Neumonía Artículo 2

Physiol Rev 98: 1417–1464, 2018
Published May 16, 2018; doi:10.1152/physrev.00032.2017
INTEGRATIVE PHYSIOLOGY OF PNEUMONIA

Lee J. Quinton, Allan J. Walkey, and Joseph P. Mizgerd
Pulmonary Center, Boston University School of Medicine, Boston, Massachusetts
Quinton LJ, Walkey AJ, Mizgerd JP. Integrative Physiology of Pneumonia. Physiol Rev 98:
L
1417–1464, 2018. Published May 16, 2018; doi:10.1152/physrev.00032.2017.—
Pneumonia is a type of acute lower respiratory infection that is common and severe. The
outcome of lower respiratory infection is determined by the degrees to which immunity
is protective and inflammation is damaging. Intercellular and interorgan signaling net-
works coordinate these actions to fight infection and protect the tissue. Cells residing in the lung
initiate and steer these responses, with additional immunity effectors recruited from the blood-
stream. Responses of extrapulmonary tissues, including the liver, bone marrow, and others, are
essential to resistance and resilience. Responses in the lung and extrapulmonary organs can also
be counterproductive and drive acute and chronic comorbidities after respiratory infection. This
review discusses cell-specific and organ-specific roles in the integrated physiological response to
acute lung infection, and the mechanisms by which intercellular and interorgan signaling contribute
to host defense and healthy respiratory physiology or to acute lung injury, chronic pulmonary
disease, and adverse extrapulmonary sequelae. Pneumonia should no longer be perceived as
simply an acute infection of the lung. Pneumonia susceptibility reflects ongoing and poorly under-
stood chronic conditions, and pneumonia results in diverse and often persistent deleterious
consequences for multiple physiological systems.
I. INTRODUCTION 1417 As dispiriting as those pediatric statistics are, the popula-

II. HOST-PATHOGEN INTERACTION 1418 tion most afflicted by pneumonia is older adults, who have
III. INNATE IMMUNITY AGAINST... 1420 incidence and risk of death from pneumonia that are orders
IV. ADAPTIVE IMMUNITY AND PNEUMONIA 1430 of magnitude greater than for children (174, 407). For se-
V. TISSUE RESILIENCE AND PNEUMONIA 1435 niors, pneumonia hospitalization has a higher risk of death
VI. LUNG MICROBIOME AND PNEUMONIA 1439 than any of the other common causes of hospitalization
VII. PNEUMONIA SUSCEPTIBILITY 1439 (147). Pneumonia causes more deaths in the US (and glob-
VIII. PNEUMONIA SEQUELAE 1445 ally) than does any other infectious disease (185). However,
IX. CONCLUSIONS AND FUTURE... 1447 most of even the oldest do survive (131). The economic
costs are staggering, with estimates ranging from nearly 20
billion dollars to more than 80 billion dollars per year in the
I. INTRODUCTION
US (136, 189, 565). And after all this immediate suffering
Pneumonia is responsible for an extremely large burden of and cost, additional indirect and longer term consequences
disease across the earth, more than diseases such as cancer, include cognitive decline comparable to traumatic brain
diabetes, HIV/AIDS, malaria, and many other diseases rec- injury, greater incidence and severity of depression, wors-
ognized as leading global health problems (330, 335, 336, ened cardiovascular and cerebrovascular health, physical
350, 351). Burden of disease is calculated from disability- limitation, and decreased life-span (39, 88, 196, 376, 431,
adjusted life years lost, and the appalling global burden of 445). Pneumonia prevention measures like influenza and
pneumonia results in part from the fact that pneumonia pneumococcal vaccines are sufficient to decrease risk,
kills more children worldwide than does any other disease thereby demonstrating causal relationships between pneu-
(425, 528). In the United States (US), children more com- monia and longer term extrapulmonary outcomes (415,
monly survive pneumonia, but even in such advantaged 503).
countries pneumonia is the most common reason for chil-
dren to be hospitalized (566). A fifth of those children need Pneumonia demands extraordinary attention from the bio-
to be in the intensive care unit (ICU), and a third of those medical community, as a direct cause of morbidity and
require mechanical ventilation (228). After children are re- mortality and as a contributor to unhealthy aging and de-
leased from the hospital, they have increased risk of chronic cline. While pneumonia results from microbial infection,
respiratory diseases including asthma and chronic obstruc- the pathogenesis of this disease is driven by the host re-
tive pulmonary disease (COPD) (123, 188), which is a fur- sponse. Within the host, pneumonia is by definition within
ther burden of this disease that does not get factored into the lungs, but it is a complex disease that involves diverse
such calculations. physiological systems working together. Although pneumo-
0031-9333/18 Copyright © 2018 the American Physiological Society 1417

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QUINTON ET AL.
nia is an acute event, it is prompted by preexisting chronic there, then pneumonia is the cause of ARDS. The fact
conditions, and it has long-term consequences. Thus pneu- that patients with pneumonia often become reclassified
monia is an acute lower respiratory tract infection that is as patients with sepsis or ARDS when they advance to
more than acute, more than lower respiratory tract, and those stages confounds the discussion and understanding
more than infection. of pneumonia. Sepsis and ARDS are immediately life-
threatening forms of severe pneumonia. Characteristics
Our goal with this review is to highlight evolving concepts of sepsis and of ARDS, including their pathophysiologi-
related to pneumonia biology. First, we emphasize the im- cal mechanisms and poor patient outcomes (19, 315),
portance of the host response. Pneumonia is an unusual should be recognized as consequences of severe pneumo-
result of infection with commonly encountered microbes; nia. The definitions of sepsis and ARDS help advance
disease is the exception rather than the norm. Knowing research related to those diseases. The lack of an unam-
“what goes right” to prevent pneumonia during the vast biguous, uniform, and accepted clinical definition for
majority of times that these microbes get into our lungs pneumonia may complicate research on this disease.
seems key to conceptualizing methods to better prevent and
cure this disease. Second, we advocate reenvisioning pneu-
monia as not just an acute event, but rather as a chronic A. The Microbes Causing Pneumonia
condition of heightened susceptibility. The mechanisms re-
sponsible for susceptibility must be better elucidated so they Microbe-targeted approaches have proven useful for pneu-
can be interrupted. Third, we wish to increase attention on monia. The advent of antibiotics was profoundly impor-
pneumonia consequences outside of the lung. Physiological tant, dramatically reducing pneumonia mortality rates in
pathways are only beginning to be defined for the extrapul- the US during the mid-20th century (336). Vaccines also
monary manifestations of pneumonia. And fourth, we high- decrease rates of pneumonia in populations in which they
light that pneumonia has physiological consequences that are adopted, modestly but importantly (154, 174, 175).
persist beyond the time course of the pneumonia itself. Thus interfering with the microbial side of this host-patho-
Pneumonia events lead to prolonged morbidity and earlier gen interaction driving pneumonia is productive.
mortality, with greater mechanistic insight needed. Im-
proved knowledge in these areas could lead to adjunct ther- Because microbes initiate this disease, changes among mi-
apies that target the wider and longer impacts of pneumonia crobes infecting the respiratory tract influence pneumonia
on its victims. biology. The mutations and reassortments leading to anti-
genic drift and shifts of influenza viruses are prominent
examples (574). Infamously, a strain of H1N1 influenza
II. HOST-PATHOGEN INTERACTION virus that emerged in 1918 led to a pandemic with particu-
larly overwhelming increases in morbidity and mortality,
Pneumonia is an infection of the lung causing exudative largely due to secondary bacterial pneumonias (341, 342).
fluid to accumulate in the pulmonary parenchyma, compro- A more recent antigenic shift for influenza virus in 2009
mising respiratory function. Diagnosis depends on evidence caused a pandemic that included severe pneumonias (574).
of pulmonary consolidation (based on auscultation or radi- Sporadic but very severe cases of zoonotic pneumonias
ology) in conjunction with evidence of infection (based on caused by animal-tropic influenza viruses demonstrate that
microbiology or on general signs such as fever, malaise, highly pathogenic influenza viruses are always nearby (150,
leukocyte shifts, etc.) with an acute onset. It does not have a 545). Although the influenza viruses presently circulating in
clinical definition that is established by an adjudicating animals are not readily transmissible among humans, a few
body and uniformly applied by the medical community. mutations can change that (291). Other zoonoses cause rare
Pneumonia is by far the most common cause of sepsis (320, pneumonias but get considerable attention because of their
516), which has been defined by an international task bioterrorism potential, including Brucella anthracis, Yer-
force as organ dysfunction due to a dysregulated host sinia pestis, and Francisella tularensis. Some fungi are im-
response to infection that is severe enough to be life- portant causes of pneumonia within restricted geographic
threatening (454). Pneumonia is distinguished from regions, such as Coccidioides immitis in the southwestern
other forms of sepsis by the location; when the infection US or Histoplasma capsulatum in the Missouri, Ohio, and
causing dysregulated host response is in the lungs, then it Mississippi River valleys. Microbes that have prominently
is pneumonia. Pneumonia causes the majority (33, 62) of emerged as pneumonia threats in recent decades include
cases of the acute respiratory distress syndrome (ARDS), Legionella, Pneumocystis, hantavirus, SARS coronavi-
which has been defined (486a) as being acute in onset (⬍1 rus, MERS coronavirus, and more. Some microbes that
wk) with diffuse (bilateral) pulmonary edema (not due to have recently become recognized as important causes of
elevated hydrostatic pressure) and arterial hypoxemia pneumonia may represent a recent emergence of knowl-
(the degree of which stratifies severity). Pneumonia is edge more than of microbes, including rhinoviruses C
distinguished from other forms of ARDS by etiology; and D, coronaviruses NL63 and HKU1, human metap-
when the lungs contain fluid because of microbes present neumoviruses, and more (230). Among pneumonia-caus-
1418 Physiol Rev • VOL 98 • JULY 2018 • www.prv.org

ing bacteria, the emergence and spread of antibiotic re- The etiology of pneumonia is complex and poorly under-
sistance is a continuous threat (280). Plasmids containing stood, because the microbes causing pneumonia are ex-
carbapenem resistance genes are being passed among traordinarily numerous and extremely varied (FIGURE 1).
Klebsiella pneumoniae and other pneumonia agents, in- The agents identified include many different viruses and
cluding bacteria already resistant to most other antibiot- bacteria, and these microbes do not appear to share any
ics (133). The recent discovery of plasmid-mediated particular characteristics (RNA viruses, DNA viruses, en-
colistin resistance (294, 402, 527) suggests the frighten- veloped viruses, nonenveloped viruses, Gram-positive bac-
ing prospect of bacterial pneumonias that are resistant to teria, Gram-negative bacteria, cell wall-free bacteria, extra-
all currently licensed antibiotics. The expanding myriad cellular bacteria, intracellular bacteria, etc.). Pneumonia
of microbes combined with future prospects of increas- can also be caused by fungal and other infectious agents.
ingly ineffective antibiotics mean microbe-targeting such Any given microbe accounts for only a small minority each
as with antimicrobials and vaccines can achieve successes of all pneumonia cases (227), with the most common three
but not victory. Alternative and supplementary ap- for adults hospitalized with community-acquired pneumo-
proaches, such as modifications of host responses during nia being rhinoviruses (9%), influenza viruses (6%), and
pneumonia, are needed. pneumococci (5%). Different populations (children, hospi-
Relative frequency amongst bacteria (%)
40
Line color: Gram(+)

or Gram(-)
30 or atypical
Fill color: EC coccus
or EC rod
20 or intracellular (white)
or gliding
10
Bacteria 0
Pneumococcus
Mycoplasma
Staph.aureus
Legionella
Enterobacteriaceae
Streptococci,other
Haemophilus
Mycobacteria
C.pneumoniae
Pseudomonas
Fusobacterium
Other
14% total
FIGURE 1. The microbial agents that
cause pneumonia are numerous, diverse,
and poorly understood. Data represent
nonimmunocompromised adult patients
27% total hospitalized for community-acquired pneu-
monia (CAP). Despite intensive efforts, no
Viruses microbial agent can be identified in the ma-
jority of pneumonia cases. Among the viral
Unknown agents detected, no virus or type of virus
was especially prominent. Among bacte-
35 62% total ria, pneumococcus was most common,
but a great many species and types of
30 agents of bacteria were detected. [Data from Jain et
pneumonia al. (227).]
amongst viruses (%)
Relative frequency
25
Etiology,
20 US adults
15
with CAP
10
5
Line color: capsid
0 or envelope
rhinovirus
influenza
metapneumovirus
RSV
parainfluenza
coronavirus
adenovirus
Fill color: RNA (+) strand

or RNA (-) strand
or DNAgenome
Physiol Rev • VOL 98 • JULY 2018 • www.prv.org 1419

QUINTON ET AL.
talized patients, nursing home residents, etc.) have differ- immunity involves an elaborate network of cells and sig-
ent microbes implicated (15, 79), but in each population nals that actively function to eliminate invading organ-
it is a spectrum of responsible agents rather than a spe- isms and maintain tissue integrity, defense also includes
cific microbial type. There are few, if any, unifying prin- the anatomical barriers that restrict the deposition of
ciples to the types of microbe that cause pneumonia. microbes within the respiratory tract. Airway architec-
These diverse etiologic agents encode a wide variety of ture not only offers the means to heat, humidify, and
microbe-specific virulence pathways that influence the distribute air throughout the respiratory tract, but it also
likelihood that respiratory infection will cause pneumo- provides an efficient physical barrier against microbes
nia. While contributing to pneumonia pathogenesis, mi- and other potentially toxic substances. Examples of an-
crobial virulence pathways are beyond the scope of this atomic protective measures include nasal hairs, the mu-
discussion of host physiology, and readers may wish to cociliary escalator, and the epithelial barrier itself, which
consult other reviews specific to relevant microbes (135, ultimately provides the protective interface separating
321, 339, 374, 380, 436, 508).
the external and internal environments (429). Even the
branching pattern of the respiratory tract represents a
In many cases, a microbial suspect is not identified (FIGURE
critical innate defense. Materials over 3 ␮m in diameter
1). Even in studies designed for the purpose of identifying
have extremely limited access to the lower respiratory
etiologic agents, a potentially responsible microbe fails to
tract due to filtration and impaction in more proximal
be detected in about one-fifth of childhood pneumonias
(228) and more than half of adult pneumonias (227). When airways (21), which has important implications for the
one or more microbes are identified, the degree to which it dispersal of infectious substances. Yet, this is insufficient
or they are truly causal is uncertain. In virtually all cases, the to wholly prevent microorganisms from accessing the
agents recognized as responsible are ubiquitous opportunis- deeper lung, including the respiratory zone of the alveo-
tic microbes. Most people who encounter these microbes do locapillary interface. Defense against microbes within the
not develop pneumonia and do not get seriously ill. Rather, lower respiratory tract then relies on a carefully coordi-
the interaction usually results in asymptomatic carriage or nated immune response that includes both resident and
subclinical infection. The presence of the microbe does not recruited features. Resident defenses such as soluble an-
mean an individual gets pneumonia. While the microbe is timicrobial factors in airway lining fluid and alveolar
relevant, whether or not these microbes cause pneumonia macrophages (AMs) provide the initial tier of protection
depends more on the host and the host response than on the against microbes, followed quickly thereafter by re-
microbe or any specific microbial characteristics. cruited elements such as extravasated leukocytes and
other immunomodulatory plasma constituents. The re-
sulting inflammation is a hallmark of innate immunity,
B. Host Responses to Microbes in the Lung involving a panoply of intra- and extrapulmonary cells
and signals, some of which are highlighted below, that
Whether or not microbes in the lung exceed a host’s capac- ideally exert an appropriate balance of resistance and
ity to maintain pulmonary homeostasis depends on a com- resilience in an effort to re-establish lung homeostasis.
plex integration of physiological processes, together which
aim to prevent the onset of pneumonia. For these processes
to be effective they must provide adequate levels of both A. Lung Innate Immunity
immune resistance and tissue resilience (407). Immune re-
sistance refers to the eradication of living pathogens during The recognition of lung pathogens elicits robust remodeling
an infection, whereas tissue resilience involves the preven- of the pulmonary transcriptome (e.g., as described in Refs.
tion of or resolution of injury resulting from the pathogen
162, 246, 259, 409, 546), resulting in the production and
and/or from the host response to the pathogen. Inappropri-
release of mediators that coordinate early protection. These
ate amounts of either disrupt homeostasis, making both
mediators include a plethora of multifactorial cytokines,
equally essential. Despite important advances in our under-
chemokines, growth factors, antimicrobial substances, op-
standing the pathways comprising resistance and resilience,
the degree to which certain biological signals under certain sonins, enzymes, enzyme inhibitors, adhesion molecules,
circumstances in certain individuals collaborate to dictate receptors, apoptotic factors, anti-apoptotic factors, and
pneumonia outcome remains largely unclear. more. This response involves the recruitment and/or activa-
tion of numerous cell types, some of which have only re-
cently become appreciated in the setting of lung immunity.
III. INNATE IMMUNITY AGAINST Moreover, some of these cells function within the lungs,
MICROBES IN THE LUNGS whereas others do not. All of this must be considered in the
context of an integrated physiological response to lung in-
Innate immunity represents the initial preexisting determi- fection. The initial responses are from cells already present
nant of resistance against invading pathogens. While innate within the uninfected lung.

1. Alveolar macrophages brane transport of ions by CFTR, TRPC6, TRPM2, and other
channels and pumps coordinately render the phagosome
AMs are professional phagocytes that reside on the surface acidic and inhospitable to microbes (103, 104, 418). In addi-
of the lower respiratory tract. They represent an initial line tion, synthesis of reactive oxygen and nitrogen intermedi-
of leukocytic antimicrobial defense. Studies in mouse mod- ates also contributes to alveolar macrophage killing of
els indicate that AMs, like other tissue-resident macro- phagocytized microbes (176, 199). In concert with phago-
phages (387), are yolk sac-derived and extremely long-lived cytosis, apoptosis can contribute to maximal macrophage-
(177, 229, 349). In fact, experiments with GFP-expressing mediated killing (111) (FIGURE 2), for example, when trig-
chimeric mice strongly support that the lifespan of AMs gered by release of cathepsin D into the cytosol to degrade
approaches the mouse lifespan (229). Examination of hu- the anti-apoptotic factor Mcl-1 (312). AM apoptosis can
man lung transplants mismatched for HLA or for sex chro- also be triggered by extracellular cues such as recognition of
mosomes reveal that alveolar macrophages of the donor the cytokine TRAIL by the DR5 receptor on macrophages
lung persist for all of the several years that have been in- (468). Both TRAIL and apoptosis are required for efficient
cluded in analyses (124, 357). This population of resident clearance of bacteria in the lungs (35, 468). AM death by
phagocytes is often maintained over the course of lung in- pathways other than apoptosis can be stimulated by agents
jury and infection, remaining after the recruited inflamma- of pneumonia, such as necroptosis mediated by RIP1 and
tory cells have been removed from the airspaces by apopto- RIP3 kinases and MLKL (85, 165, 255) (FIGURE 2). This
sis and efferocytosis (229). does not kill bacteria but instead exacerbates infection (85,
165). Therefore, AM apoptosis is a specialized pathway of
Functionally, AMs are extremely diverse, with essential immune resistance, while other macrophage death path-
roles in both immune resistance and tissue resilience (4) ways are instead detrimental to the host. The antimicrobial
(FIGURE 2). Under normal homeostatic conditions, AMs effector functions of AMs can be sufficient to control low
suppress inflammation through a variety of mechanisms to pathogen burdens without recruiting additional cells (2,
be further discussed below. This is critical for limiting im- 111).
munopathology, as macrophages clear environmental de-
bris, excess surfactant, apoptotic cells, and other innocuous The direct microbicidal capacity of AMs is complemented
materials (211, 497). In the setting of infection, however, by their exceptional ability to coordinate the immune activ-
AMs exert significant plasticity, transitioning from an anti- ity of other cells, both neighboring and remote, which is
inflammatory housekeeping cell into a central node of immune essential when microbes are too virulent or too numerous to
activity. Macrophages bear an armament of pattern recogni- be efficiently handled by resident innate immunity. To do
tion receptors (484), allowing them to respond to a diverse so, AMs use RelA from the NF-␬B transcription factor fam-
repertoire of pathogens. Upon pathogen recognition, AMs di- ily to dispatch numerous cytokines such as tumor necrosis
rectly contribute to immune resistance through the ingestion factor (TNF)-␣, interleukin (IL)-1␣, IL-1␤, chemokines,
and phagocytosis of microbes (244) (FIGURE 2). Transmem- IL-6, and granulocyte colony stimulating factor (G-CSF),
Immune Tissue
resistance resilience
Reparative
Pro-inflammatory
TNF Myo18A
CXCL2 Necroptosis
RelA
Re
Rel IL-4RD
IL-1 RIPK1/3
IL-36 MLKL CCR2 FIGURE 2. During pneumonia, macro-
...
phages have multiple critical roles in pro-
LXA4 tecting the host against infection (immune
RvD3
resistance) and against injury (tissue resil-
MaR1...
ience). The molecules identified were for
sis
yto
CFTR
R illustrative purpose and do not represent an
roc
IL-1RA, IL-10,... exhaustive presentation.

TRP
RP
Ps
Effe
ccatD
aD
Ph Mcl-1
cl-1
ag
oc DR
R5
yto
sis
Ca2+ tory
Apopto flamma
sis A nti-in

QUINTON ET AL.
all of which are important for eliciting lung innate immu- ing microbes (184) and also by influencing immune activi-
nity (61, 171, 173, 194, 239, 240, 392, 408, 413) (FIGURE ties (381). In the upper respiratory tract and conducting
2). Isolates of pneumococcus collected from complicated airways of the lung, a prominent feature is mucociliary
pneumonia patients tend to be lower activators of macro- clearance. The importance of ciliary action is highlighted by
phage NF-␬B compared with pneumococci collected from the severe lung disease, particularly recurrent respiratory
other individuals, and such lower NF-␬B activators induce infections, in patients with primary ciliary dyskinesia (258).
slower cytokine expression and pulmonary defense in Airway ciliated cells are more heterogeneous than previ-
mouse models of pneumonia (85), further supporting the ously recognized, and subsets of airway ciliated cells (e.g.,
concept that the capacity of AMs to elaborate cytokines is those marked by the MIWI2 expression) have immuno-
key to initiating immune responses in the lung. This capac- modulatory roles that extend beyond the mechanical
ity may be shaped by prior encounters with invading patho- clearance of mucus (529). Secreted airway mucins,
gens. Macrophage NF-␬B activation and cytokine elabora- largely synthesized by goblet and club cells, are the pri-
tion are altered for prolonged periods of time after the res-
mary constituents of the mucus layer, and are indepen-
olution of prior respiratory infections (211), suggestive of
dently essential for immune resistance. Genetic targeting
trained immunity (363). The degree to which such altera-
of MUC5B but not MUC5AC has been shown to render
tions in AM responsiveness may improve or worsen antimi-
mice more susceptible to bacterial infection, revealing the
crobial resistance, and mechanisms responsible for altering
these macrophage behaviors, demand further attention. former to represent a particularly important mucin in the
context of innate immunity (423). CFTR mutations,
An emerging area of focus related to AMs is the release of which compromise the fluidity of mucus in cystic fibrosis
cytokines and other immunomodulating agents within patients (191), also underscore the importance of mucus
membrane-bound vesicles such as exosomes and micropar- in lung immunity given the prevalence of lung infections
ticles (FIGURE 2). IL-36␥, which is essential for efficient in CF patients. In addition to mucus, numerous soluble
resistance against bacterial pneumonia in mouse models, is immunomodulators are constitutively present in epithe-
one such AM product (267). Following bacterial stimula- lial lining fluid throughout the respiratory tract, includ-
tion of human and mouse AMs, this cytokine is released in ing but not limited to SP-A, SP-D, lactoferrin, lysozyme,
membrane-bound particles, and it appears within lipid ves- and others (both known and likely unknown), all of
icles in the air spaces of human patients with bacterial pneu- which exhibit defense properties (536).
monia (267). Mechanisms determining which cytoplasmic
constituents are encapsulated within the secreted vesicles Besides the constitutive defense properties of the epithelial
and how these signal to recipient cells are ongoing areas of surface, epithelial function is immunologically dynamic fol-
research in pulmonary immunity. lowing exposure to invading pathogens. Lung epithelial
cells can undergo dramatic transcriptional remodeling in
Thus macrophages are important as antimicrobial effector response to infection or infectious stimuli (82, 246), and
cells and as sources of cytokines in the lungs (FIGURE 2), such activity is elicited by both pathogen- and host-derived
promoting the recruitment and activation of other cells me- mediators, as enabled by a wide gamut of receptors for
diating immune resistance, some of which are highlighted pathogen-associated molecular patterns (PAMPs), damage-
below. The profound influence of AMs on pneumonia out- associated molecular patterns (DAMPs), cytokines, and
come is further supported by reports of targeted disruption other immunomodulatory agents (181, 455, 536). Epithe-
of macrophage function, either pharmacologically or genet- lial-specific genetic targeting of NF-␬B activity, down-
ically, which impairs innate defense in mouse models of stream of many of these receptors (408), is necessary and
lung infection (55, 111, 187, 198, 389, 392). sufficient for the elaboration of innate lung defense (73, 74,
406, 554, 555). With regards to pathogen-elicited re-
2. Epithelial cells
sponses, several studies in genetic mouse models support
While the accessibility of AMs by bronchoalveolar lavage Toll-like receptor (TLR) signaling as an important source of
has provided a wealth of information regarding their func- immune activation (118, 180, 332, 367, 388, 413). Myeloid
tions and regulation in the context of pneumonia and other differentiation factor 88 (MyD88) is a central adapter pro-
lung diseases, contributions of other cell types have recently tein for much but not all TLR signaling and is essential for
emerged with the advent of more sophisticated isolation pulmonary immune resistance as evidenced by profound
and targeting strategies. Among these additional immuno- susceptibility to lung infections in individuals with genetic
modulatory cell types are those that comprise the lung epi- MyD88 deficiency, particularly children (518). Mice lack-
thelium, a complex network of epithelial subsets differen- ing MyD88 in either hematopoietic and/or nonhematopoi-
tially distributed throughout the upper and lower respira- etic cells are vulnerable to lung infection (10, 118, 180), and
tory tract (536). In the alveoli, surfactant proteins (SP) A the targeted genetic manipulation of MyD88 in the epithe-
and D, synthesized by the alveolar epithelial type II cells, lium specifically yields substantial changes in pulmonary
have critical roles in immune resistance, by directly inhibit- inflammation and defense (118, 332).

Microbial engagement of pathogen recognition receptors (470), and many others (246) which can confer local im-
(PRRs), while significant, is insufficient for maximal epithe- mune resistance.
lial responses. This is again evidenced by the influence of
MyD88 on pulmonary inflammation. MyD88 deficiency The capacity of epithelial cells to control the immunological
appears to have a larger consequence on the development of tone of the lungs is further exemplified by studies showing
acute pulmonary inflammation than do combinations of that their activation is highly protective against subsequent
TLR deficiency (456), possibly owing to MyD88’s involve- infectious challenges (130). The intranasal administration
ment in signaling downstream of the IL-1 receptor IL-1R1 of nontypeable Hemophilus influenza lysates confers re-
(332). Along these lines, cytokine stimulation of epithelial markable protection against subsequent challenges with S.
cells, particularly that due to IL-1 and TNF-␣, is a require- pneumoniae (83). The protective signaling components of
ment for maximal epithelial responses in some settings. For this stimulation have been narrowed down to a combina-
instance, direct in vitro stimulation of epithelial cells with tion of ligands for TLR2/6 and TLR9 (119). Importantly,
this broadly effective inducible resistance conferred by TLR
Streptococcus pneumoniae fails to elicit an NF-␬B response,
ligand administration appears to solely rely on the activity
whereas stimulation with pneumonic airway lining fluid
of epithelial cells (82, 119, 284), which has important im-
robustly activates this transcription factor in an IL-1- and
plications regarding the functional capacity of this cell type
TNF-␣-dependent manner (406). Expression of these cyto-
to control pulmonary immune resistance. Pharmacological
kines requires macrophage activity (392), which can occur activation of TLRs is safely tolerated in vivo (11) and con-
in direct response to pneumococcus (392, 406), suggesting fers significant protection against not only S. pneumoniae,
that AMs are a critical relay for initiating epithelial re- but also other bacterial, viral, and fungal pathogens (115,
sponses to certain microbes (like pneumococcus). The com- 129). This epithelial stimulation was demonstrated to be
bined importance of IL-1 and TNF-␣ is consistent with sufficiently robust for pneumonia protection in the severely
evidence that mice lacking all signaling receptors for these immunocompromised setting of leukemia and its treatment
cytokines are exquisitely susceptible to infection (240), and (284). These studies highlight the potential significance of
additional studies consistently support the notion that mac- harnessing immune resistance provided by the lung epithe-
rophage-derived products such as IL-1 are requisite for ep- lium to prevent pneumonia.
ithelial-derived innate immunity (198, 283, 313).
3. Neutrophils
The ability of epithelial cells to respond to AMs does not
preclude epithelial activation by other cytokines and cells. Following exposure to harmful microbes, a major role of
IL-22, which has numerous protective properties during AMs, epithelial cells, and other resident cells of the lung is
pneumonia (23, 71, 220, 272, 371, 395, 498, 510, 549), is to recruit additional effector cells in the event that initial
produced by multiple cell types, including Th17 cells and local defenses are insufficient. This requires the elaboration
innate lymphocytes (71, 272, 371, 373, 510, 549). IL-22- of cytokines and other intermediates that facilitate the mi-
dependent protection includes its capacity to activate epi- gration of cells into the airspaces of the lungs. Neutrophils,
thelial cells via the transcription factor STAT3 to produce which are sparse or absent in the airspaces of uninfected
the antimicrobial siderophore binding protein lipocalin 2 lungs, are the earliest and most abundantly recruited leuko-
(LCN2) (23), which is itself required for maximal lung im- cyte in response to infectious stimuli, representing a hall-
munity (24, 66, 141). STAT3 activity in lung epithelium mark feature of recruited innate immunity in the lungs.
Neutrophils have many and diverse roles during pneumo-
also promotes expression of the antimicrobial factor Reg3␥
nia, as microbe killers and also as important modifiers of
(76). Likewise, the IL-6 family cytokine oncostatin M
the immune milieu (FIGURE 3).
(OSM) can activate epithelial STAT3 to promote induction
of the chemokine CXCL5 (495), which is important for
The known biological mechanisms governing lung neutro-
lung neutrophil recruitment (234, 327, 554). Although
phil recruitment are vast, with many more almost certainly
CXCL5 is induced by STAT3, it is also dependent on NF-␬B remaining to be discovered (90). Indeed, numerous local
in epithelial cells of the infected lung (554, 555), and signals coalesce to drive this response, such as pathogen
CXCL5 can be stimulated by IL-17 as well (69). CXCL5 is recognition (by PRRs), transcriptional remodeling of re-
especially interesting because it is derived exclusively from sponding resident cells (by transcription factors such as
epithelial cells during diverse settings (234, 246, 554, 555). NF-␬B and STAT3), production of early-response cyto-
The epithelium can also signal directly to neutrophils by kines and growth factors (which further stimulate neigh-
producing granulocyte-macrophage colony stimulating fac- boring and remote cells), generation of a chemotactic or
tor (GM-CSF) and secreted and transmembrane 1 (Sectm1) haptotactic gradient (as accomplished by chemokines, eico-
proteins (246, 465, 554). Additional epithelial-specific sanoids, complement fragments, and other host factors),
products induced by lung infection include CCL20 (466, an appropriate display of adhesion molecules, and the
555), short palate, lung, and nasal epithelial clone 1 cytoskeletal rearrangements and locomotion of the neu-
(SPLUNC1) (292), thymic stromal lymphopoietin (TSLP) trophils themselves (90, 112). Rapid transmigration is

QUINTON ET AL.
Mac or
MDSC
PhSer
FIGURE 3. During pneumonia, neutro-

IFN-J phils have both effector (antimicrobial) and
CXCL2 affector (immunomodulatory) roles. Effec-
tor roles include microbial elimination via
IL-17
phagocytosis and degranulation as well as
TRAIL NET formation (top right). Affector roles
include activities that enhance antimicro-
CXCL10 bial activities by other cells, such as mac-
rophage stimulation by neutrophil-derived
Epithelium IL-17 and TRAIL and neutrophil stimulation
by IFN-␥. Other immunomodulating activi-
ties involve the recruitment of antimicrobial
cells (e.g., by CXCL12, CCL17, CXCL10,
CXCL12
CXCL2). Signals provided from apoptotic
CTL
neutrophils are immunoregulatory, en-
Neutrophil CTL hancing the resolution of inflammation. The
molecules identified are for illustrative pur-
CCL17 pose and do not represent an exhaustive
iNKT
presentation. PhSer, phosphatidylserine.
Endothelium
aided by the large marginated pool of neutrophils in the icate pathogens. For instance, genetic deletion of neutrophil
pulmonary vasculature, which means that neutrophil elastase and cathepsin G in mice increases vulnerability to
numbers that can exceed the total circulating pool are lung infections with S. pneumoniae (179), whereas S. pneu-
microns away at the start of infection (113). Neutrophils moniae lacking endonuclease A are less efficient at evading
are relatively short-lived cells (391, 491) compared with NETs, causing less severe pulmonary infections (32). Thus,
other leukocytes, surviving on the order of hours to days, while short-lived, the bactericidal capacity of this critical
but their survival time can be modified by signals within phagocyte population is a consequence of both great num-
the inflammatory milieu (86). bers and diverse function.
Neutrophils are antimicrobial cells (FIGURE 3). Upon acti- Outside of these effector roles, neutrophils also function in
vation within the airspaces, neutrophils exert an expansive a governing capacity, producing cytokines, chemokines,
repertoire of intra- and extracellular antimicrobial activities and other factors that coordinate the ongoing immune func-
(260), and their importance in the context of lung infections tions in the lung (226). Lung neutrophils dispatch a variety
is evidenced by extreme susceptibility to infection in the of signals that shape acute pulmonary inflammation, pro-
absence of functional neutrophils both clinically (during viding a second wave of immunomodulatory cargo to ex-
neutropenia and with disorders of neutrophil function such pand upon initial responses from resident cells (FIGURE 3).
as chronic granulomatous disease) and in animal models For example, neutrophils recruited in response to lung in-
(following depletion or targeting of neutrophil-specific fac- jury induced by influenza virus or acid aspiration release the
tors) (61, 151, 179, 386, 421, 539, 547). The primary chemokine CXCL10, which subsequently enhances both
means of neutrophil-mediated killing are 1) phagocytosis, neutrophil activity and recruitment through its receptor
during which phagolysosomal fusion exposes ingested or- CXCR3 (213). Neutrophils produce the neutrophil-attract-
ganisms to reactive oxygen species (via NADPH-oxidase ing and -activating chemokine CXCL2, and neutrophilic
activity) and acidity; 2) degranulation, during which gran- production of CXCL2 can drive a self-amplifying feed-for-
ules release toxic factors such as myeloperoxidase (MPO), ward loop of localized neutrophilia that is important to
gelatinase B (MMP9), cathepsins, defensins, and other an- defense but also a contributor to lethal lung injury (51).
timicrobial proteins into the phagosome and/or extracellu- Neutrophil production of chemokines like CXCL10 and
lar space; and 3) the formation of neutrophil extracellular CXCL2 may contribute to “swarming” behavior of neutro-
traps (NETs), which result from the extrusion of DNA as- phils (253), in which neutrophil activation amplifies the
sociated with histones and granule-derived antimicrobial local recruitment of neutrophils within the air spaces of
proteins. All of these killing mechanisms cooperate to erad- infected lungs (FIGURE 3). In some cases, neutrophils also

can be a source of IL-17 (60, 533), a cytokine driving pro- activated (M1) resident macrophages in that they are
tective immunity through the induction of CXCL5, phagocytes capable of producing inflammatory cytokines
CXCL1, G-CSF, and enhanced phagocytic antimicrobial such as IL-1, TNF-␣, and IL-12, and they can be distin-
defense (69, 559). Interferon (IFN)-␥, the prototypical guished from resident cells by a variety of differentially
driver of type I immunity, is another typically lymphocyte- expressed surface markers, the most notably of which is
derived cytokine that can be produced by neutrophils in high expression of CD11b (4).
some settings of lung infection. In mouse models of pneu-
monia induced by Gram-positive (but not Gram-negative) Multiple studies support an essential role for recruited mac-
bacteria, emigrated but not circulating neutrophils repre- rophages in maintaining immune resistance in the lungs.
sent a prominent source of IFN-␥, which then enhances CCL2, for example, is both sufficient and necessary for
NET formation to facilitate bacterial killing (163, 553). inflammatory monocyte/macrophage recruitment in mice
This finding expands the catalog of neutrophil defense func- challenged intratracheally with S. pneumoniae, and its ex-
tions while highlighting the need to elucidate the causes and pression level is inversely proportional to the number of
consequences of neutrophil reprogramming as they shift living bacteria recovered from the lungs (540, 541). Recent
between the extra- and intrapulmonary environments. studies in mice infected with K. pneumoniae suggest that
not only are CCR2⫹ recruited monocytes critical for lung
While CXCL10, IL-17, and IFN-␥ are examples of neutro- bacterial clearance, but also that, for a subset of K. pneu-
phil-derived cytokines empowering neutrophil-driven de- moniae isolates, the antibacterial contribution of this cell
fense, neutrophil products affect other cells as well (FIGURE population exceeds that of neutrophils (547). As discussed
3). For instance, neutrophils can enhance macrophage-me- with other cell types above, recruited monocytes/macro-
diated immunity by serving as a source of TRAIL, which phages also function to enhance the accumulation of other
drives antimicrobial apoptotic responses (468). Neutro- recruited immune cells. In the setting of sterile inflammation
phils are a requirement for the extravasation of iNKT cells induced by intratracheal lipopolysaccharide (LPS), neutro-
from the pulmonary vasculature, where they are abundant phil and inflammatory monocyte responses were similarly
before infection (486). To do so, migrating neutrophils re- diminished following interruption of CCR2, suggesting
lease the chemokine CCL17, which recruits iNKT cells to that the neutrophil accumulation requires signaling to
the interstitium, and this is essential to optimal defense in monocytes (318). Inflammatory monocytes may also be re-
mice with pneumococcal pneumonia (486). Similarly, neu- quired for the recruitment of IL-17-producing innate lym-
trophils can recruit lymphocytes for adaptive immunity phocytes; in mice challenged with K. pneumoniae, recruited
purposes; after influenza infections, the recruitment of an- monocytes were identified as the prominent source of
tiviral CD8⫹ T cells to the lung and optimal influenza elim- TNF-␣, contributing to the lung recruitment of ILC3s and
ination requires CXCL12, which is produced exclusively by IL-17-mediated defense (548). Thus the integration of re-
the migrating neutrophils within the infected lung and de- cruited monocytes with other innate defenses has surfaced
posited in membrane-bound packets along the neutrophil’s as a key determinant of immune resistance.
path within the interstitium (289). Therefore, neutrophils
serve as both a consequence and cause of acute pulmonary 5. Innate lymphocytes
inflammation, mediating both effector and affector actions
of immune resistance (FIGURE 3). The roles of innate lymphocytes in the context of pneumo-
nia biology are receiving considerable interest. Their study
4. Recruited macrophages is enabled by increasingly sophisticated tools for character-
izing and manipulating lymphocyte subsets. While innate
While AMs may be the exclusive resident leukocyte of the lymphocytes bear functional similarities to the B and T
airspaces, they do not represent the only macrophage pop- lymphocytes well recognized for their roles in adaptive im-
ulation driving innate immunity. Perhaps this has been mune responses, they are innate with regards to pathogen
somewhat overlooked by the accessibility of AMs through recognition. Natural killer (NK) cells, which were discov-
lavage and the overwhelming numbers of recruited neutro- ered over four decades ago, represent one type of innate
phils in the early stages of pneumonia, not to mention the lymphocyte enriched in lung tissue, important for defense
technical challenge of distinguishing resident versus re- against both viral and bacterial pathogens (197). Patients
cruited cells of the same type. It is evident that a distinct with genetic mutations causing NK cell deficiency are espe-
population of recruited bone marrow-derived macrophages cially prone to viral infections (369), and the direct require-
can have an indispensable role in pulmonary innate immu- ment of NK cells for maximal antiviral immunity has been
nity. In response to inflammatory stimulation, induction of observed in animal models as well (1, 467). While the im-
the chemokine CCL2 acts as the primary signal to recruit pact of NK cells on bacterial infections is less delineated,
monocytes into airspaces (72, 317–319), which then be- pro-defense roles are beginning to emerge. Mice lacking the
come further primed (316), expanding the available macro- NK cell activating receptor NCR1 (NKp46) as well as mice
phage pool. This newly recruited inflammatory monocyte/ depleted of NK cells (via anti-asialo GM1) exhibit increased
macrophage population is functionally similar to classically lung bacterial burdens and mortality upon infection with S.

QUINTON ET AL.
pneumoniae (125). NK cells also are essential for clearance phocytes. More precise targeting strategies will be required
of K. pneumoniae (549) and S. aureus (457) in murine mod- to definitively distinguish the functional contributions of
els of pneumonia, possibly due to their roles in synthesizing ILCs during pneumonia.
IL-22 (549) and IL-15 (457), each of which is independently
essential for defense against those respective microbes (23, In addition to ILCs, unconventional T cells (160) are an-
457). NK cells may also function at the interface of viral and other group of innate lymphocytes promoting lung defense.
bacterial pneumonias by limiting the likelihood of superin- Invariant natural killer T (iNKT) cells possess an invariant
fection. The number of NK cells and their capacity to pro- TCR alpha chain and recognize lipid antigens presented by
duce TNF-␣ were diminished in mouse lungs with S. aureus the MHC-like molecule CD1d (53). During pneumococcal
pneumonia following influenza infection compared with pneumonia, J␣18⫺/⫺ mice lacking iNKT cells exhibit in-
mice with S. aureus pneumonia and no prior influenza, and creased mortality in association with impaired bacterial
adoptive transfer of NK cells (but not TNF-␣-deficient or clearance from the lungs (54). Moreover, iNKT cells pro-
influenza-exposed NK cells) was sufficient to restore anti- duce IFN-␥ and IL-22 in response to influenza infection
bacterial defense to influenza-infected mice (458). (373), although this did not alter immune resistance in this
particular setting, it may have defense implications in other
NK cells were the first recognized subset of the innate lym- infections. ␥␦-T cells have a limited diversity of TCRs with
phocytes now known as innate lymphoid cells (ILCs). These poorly understood antigen specificity, but they demonstra-
cells have been categorized in three distinct groups: 1) group bly function in an innate capacity to modulate pulmonary
1 including ILC1s and NK cells, 2) group 2 including ILC2s, inflammation (42). During pneumonia, ␥␦-T cells can be a
and 3) group 3 including ILC3s and lymphoid tissue-in- major source of both TNF-␣ and IL-17, and mice lacking
ducer (LTi) cells (461, 462, 519). The categorization of these cells are more susceptible to lung infections with K.
ILCs across three distinct groups is consistent with their pneumoniae or S. pneumoniae (71, 340, 356). Mucosa-
capacity to produce cytokines reflective of Th1, Th2, and associated invariant T (MAIT) cells recognize riboflavin-
Th17 adaptive lymphoid cells, yet ILCs are devoid of the related products produced by diverse bacteria when pre-
known lineage markers associated with adaptive T cells, sented by the MHC-related molecule MR1 (145). While
MAIT ligands are unexpected in viral infections of any an-
and they are not antigen specific (461, 519). Research into
imal, MAIT cell numbers in the peripheral blood during
ILCs and lung infection is in early stages.
severe avian influenza infections were elevated in human
patients who survived, and MAIT activation by the cyto-
ILCs have been identified in the lungs of humans (96) and
kine IL-18 might possibly improve defenses against influ-
mice (338), and despite their relatively low abundance, they
enza (297). Although relevant to tuberculosis infection
can play important roles. To our knowledge, ILC1s do not
(161), roles of MAIT cells during bacterial pneumonia have
reside or function within the healthy lung. In contrast,
yet (to our knowledge) to be demonstrated, but demand
ILC2s are present under unchallenged homeostatic condi-
further attention.
tions (152), although their functional contributions to im-
mune resistance are uncertain. RSV infection promotes ac-
Beyond ILCs and unconventional T cells, innate-like B cells
cumulation of IL-13-expressing ILC2s in the lung, which
also can impact early defense in the lungs. B1 cells are a
associates with increased type 2 inflammatory responses self-renewing B cell population that is a major producer of
(470), suggesting at least one connection of ILC2s to lower cross-reactive natural IgM antibodies (30). The innate re-
respiratory infection. ILC2s help repair and regenerate in- sponse activator (IRA) subset of B1a cells has been shown
jured lung tissue (44, 279, 333), but ILC2-mediated repair to reside in the pleural space and migrate to the lung paren-
after pneumonia specifically is presently speculative. ILC3s chyma in response to E. coli pneumonia, where these cells
are perhaps the most relevant to pneumonia biology and then provide a protective GM-CSF-dependent IgM re-
acute pulmonary inflammation, particularly with regards to sponse (530). Additional studies in the setting of pneumo-
their influence on IL-17-mediated defense. ILC3s are a coccal pneumonia also support a requirement for B1a cells
prominent source of this cytokine in response to multiple to achieve maximal innate defense in the first days of infec-
microbial stimuli in the lungs, including P. aeruginosa (31, tion (556).
347), K. pneumoniae (548), and LPS (347). Similarly, IL-
22, often associated with Th17 biology and IL-17-depen- 6. Platelets
dent lung immunity (23), has been shown to derive from
ILC3 cells during pneumococcal pneumonia (510). In all of While best recognized for their roles in coagulation, plate-
these cases, the physiological significance of lung ILC3s is lets contribute to innate immunity as well, with multiple
inferred from the already recognized influence of the cyto- potential connections to pneumonia (46, 550). Platelets and
kines they express. In some cases, ILC3-dependent immune their associated platelet GTPases and adhesion molecules
effects are more directly supported through depletion strat- enhance LPS-induced neutrophil recruitment in the lung
egies (347, 548), although a limitation of these studies is and host defense during Klebsiella pneumonia (98, 99,
their use of Rag⫺/⫺ mice lacking adaptive immunity lym- 375), demonstrating roles in immune resistance. Their myr-

iad effects on coagulation, inflammation, and other aspects The clinical utility of APPs is largely restricted to their ap-
of physiology (46, 550) likely shape immune resistance, but plication as biomarkers of disease severity, including that of
also platelets may contribute in some cases through direct pneumonia (13, 460, 564). The regulation and physiologi-
antimicrobial activities (269). During severe influenza in- cal relevance of APP expression is beginning to be under-
fections, excess platelet activation amplifies inflammation, stood.
lung injury, and mortality (278), consistent with the notion
that the challenge to tissue resilience from exuberant in- Lung infections elicit robust hepatic transcriptome remod-
flammation can at times be downstream of platelet activi- eling within hours of experimentally induced pneumonia,
ties. The lung is the site for much platelet production by before the detection of any living organisms into the circu-
megakaryocytes during homeostasis (282), and platelet lation (403, 404, 531). Regulation of hepatic gene pro-
production during acute inflammation is increased by mat- grams guiding APP synthesis is attributed to multiple tran-
uration of committed progenitors into new megakaryocytes scription factors (427), including STAT3, which was origi-
(178). It will be of interest to determine whether and how nally known as the “acute phase response factor” before it
megakaryocytes in the lung and the differentiation of stem- was cloned in the early 1990s (9, 571). In the setting of lung
like precursors into megakaryocytes are influenced by, and infections, NF-␬B and STAT3 are particularly important
in turn influence, pneumonia. for hepatic acute phase changes based on studies in mouse
models (403). Following a lung infection with S. pneu-
B. Extrapulmonary Innate Immune moniae sufficient to induce over 1,000 gene changes in the
liver, targeted simultaneous deletion of NF-␬B RelA and
Physiology
STAT3 in hepatocytes virtually eliminated the pneumonia-
induced APR (403). This response requires a combination
The immunological capacity of the lungs is shaped by a
of early-response cytokines (TNF-␣, IL-1␣, and IL-1␤) with
complex and highly dynamic pool of local constituents,
IL-6, as mice lacking these cytokine signals exhibit marked
some of which are discussed above. Typically, the lungs are
remarkably efficient at compartmentalizing both infections defects in hepatic activation of RelA and STAT3, respec-
and the response that they elicit, with a breach in contain- tively, in association with abrogated APP synthesis (404).
ment representing insufficient resistance and resilience, po- These findings confirm the presence of a lung-liver axis,
tentially resulting in ARDS and/or sepsis. While it is logical, whereby cytokine signals from the lung elicit a rapid hepatic
and certainly necessary, to investigate innate immune re- response to remodel the blood proteome. Consequently,
sponses to lung infections from a local intrapulmonary per- APR-null mice lacking hepatocyte RelA and STAT3 not
spective, lung defense does not and cannot occur in a vac- only lack changes in circulating APPs during pneumonia
uum. Rather, it involves an integrated physiological re- (despite unaffected baseline levels), but they also have di-
sponse in which the lungs selectively send and receive input minished amounts of some APPs in alveolar exudate during
from extrapulmonary tissues. Elucidating the identity and pneumonia (200, 201). Failure to mount a liver APR is
functional relevance of these signals has been historically associated with increased mortality and impaired immune
challenging, due in large part to limited tools for interrogat- resistance both systemically and locally in mice lacking he-
ing tissue-specific contributions and the ever-present com- patocyte RelA and STAT3 (200, 201, 403), directly dem-
plications in distinguishing cause from effect. Yet, advances onstrating the physiological significance of lung-liver com-
in gene targeting and other experimental approaches con- munication.
tinue to expand our understanding and appreciation for
remote processes controlling local immune resistance dur- While the existence of liver-derived protection during pneu-
ing pneumonia. monia is supported by the aforementioned studies, unveil-
ing distinct mechanisms of protection presents a major chal-
1. Liver lenge due to the breadth and diversity of hepatic acute phase
changes. Enhancing opsonophagocytosis is one important
The liver has long been appreciated for its role in mounting function. It has been known for over a half century that
the acute phase response (APR). Liver hepatocytes synthe- acute phase serum can enhance opsonophagocytosis (233),
size and secrete significant quantities of circulating acute and serum obtained from pneumonic mice lacking hepato-
phase proteins (APPs), whose expression can be dramati- cyte RelA and STAT3 has a diminished capacity to do so
cally altered in response to virtually any infection or injury (403), proving that hepatic activity is essential to this blood-
(91, 148). The APR was discovered almost 90 yr ago in borne defense during pneumonia. The reduced op-
pneumonia patients, when researchers identified changes a sonophagocytosis after hepatic transcription factor target-
substance (now known as C-reactive protein, CRP) in blood ing invovlves decreased deposition of complement compo-
that bound to a polysaccharide-containing fraction of S. nent 3 (C3) on the surface of pneumococci (403). A role for
pneumoniae (490). There are now dozens of known [and pneumonia-induced C3 expression is also supported by a
likely many more unknown (403)] APPs, which are func- recent study showing that IL-22, which is essential for in-
tionally diverse, and primarily expressed in the liver (148). nate defense against intrapulmonary S. pneumoniae, in-

QUINTON ET AL.
creases hepatic and serum C3 levels to a degree that is 2. Bone marrow

sufficient to increase its bacterial deposition as well as pul-
monary defense (498). Targeted deletion of the IL-22 recep- As outlined above, effective local immune resistance re-
tor on hepatocytes reduces local lung clearance of pneumo- quires both resident and recruited leukocytes in the
coccus, indicating that this STAT3-activating cytokine lungs, the latter of which includes the rapid emigration of
works alongside IL-6 in the context of the lung-liver axis. neutrophils from the blood to the airspaces. As neutro-
Short pentraxins such as CRP and serum amyloid P (SAP) phils are extracted from the circulation, their supply
are other APPs that bind to bacterial surfaces, where they must be maintained to meet the demand of the infected
both activate complement deposition and promote recogni- lung, which is primarily established by the egress of
tion and phagocytosis through Fc␥Rs (299). CRP and SAP newly formed cells out of the bone marrow. This shift
are necessary and sufficient to enhance host defense in from homeostatic granulopoiesis to “emergency” granu-
mouse models of pneumococcal pneumonia (452, 567). An- lopoiesis in the marrow requires the lung to function in
other potential mechanism for liver-derived lung immunity an endocrine capacity, much like it does with the liver to
is enhancement of macrophage responsiveness, including elicit the APR. While multiple cytokines and other immu-
increases in the respiratory burst that depend on yet-to-be-
nomodulators have been shown to impact the complex
identified liver-derived factors (201). Regulation of metal
process of granulopoiesis, the most prominent is G-CSF
homeostasis may also be an important form of immune
(311), the primary intermediate through which pneu-
resistance provided by the liver. For instance, iron acquisi-
monic lungs trigger bone marrow responses. G-CSF is
tion is essential for bacteria to thrive (414), and host factors
required for steady-state granulopoiesis and is used ther-
that limit iron availability can be protective (235). Hepci-
apeutically in patients with neutropenia (379). By inhib-
din, which is largely driven by IL-6-dependent STAT3 ac-
iting osteoblast expression of the chemokine CXCL12,
tivity in the liver (361), limits iron availability by control-
G-CSF disrupts the retention of bone marrow neutro-
ling its absorption in the intestines (362), and this factor
phils, which is largely maintained by CXCR4-CXCL12
was recently shown to be both sufficient and necessary for
interactions (121, 441, 442, 480). Diminished CXCL12
promoting defense against K. pneumonia in the lungs (331).
content in the bone marrow then enables neutrophils to
Beyond opsonophagocytosis, leukocyte activation, and
respond more readily to CXCR2 ligands, such as
metal homeostasis, additional relevant APP functions may
include protease regulation, hemostasis, toxin inhibition, CXCL1, CXCL2, and CXCL8, promoting neutrophil re-
microbial starvation, and more. In addition to those men- lease from the bone marrow (120, 480).
tioned above, individual APPs such as lipopolysaccharide
binding protein (LBP), serum amyloid A (SAA), and man- G-CSF is a pleiotropic neutrophil-targeting cytokine, and
nose binding lectin (MBL) have been demonstrated signifi- a major role of G-CSF during pneumonia is to signal to
cant to pneumonia and acute pulmonary inflammation (52, the marrow from the lung. Lung infections stimulate
149, 164, 416). abundant G-CSF in the blood during pneumonia in both
patients and in animal models (382, 410). The intratra-
Secreted APPs represent only a fraction of the many hepatic cheal administration of recombinant G-CSF alone is suf-
gene changes constituting the acute phase response (8, 403), ficient to elicit increases in circulating G-CSF, blood neu-
and the importance of liver responses for lung defense de- trophils, and bone marrow granulopoiesis (447), consis-
mands consideration of non-APP functions. While some tent with the notion that lung-derived G-CSF is
“APP-independent” hepatic gene programs, such as those decompartmentalized to access the bone marrow during
linked to metabolism, protein synthesis, and protein secre- pneumonia (410). Consequently, intrapulmonary G-CSF
tion, almost certainly play a support role for APP responses delivery can also significantly amplify alveolar neutrophil
(8), others likely operate to promote defense that is entirely recruitment, as demonstrated in multiple settings of acute
distinct from that afforded by APPs themselves. Cholesterol pulmonary inflammation (26, 137, 360, 570). Genetic
regulation represents one interesting example of APP-inde- targeting of the G-CSF receptor impairs clearance of P.
pendent liver-derived protection (531). S. pneumoniae lung aeruginosa in mouse lungs, and this is associated with
infections in mice were shown to promote liver gene expres- reduced survival and dramatic decreases in both circulat-
sion of numerous factors connected to cholesterol biosyn- ing and lung-recruited neutrophils (173). Similar conse-
thesis (531). In this study, hepatic gene changes were asso- quences are observed in response to pharmacological G-
ciated with increased plasma cholesterol, and this increase CSF blockade in mice challenged with pneumococcal
was shown to abrogate pneumolysin-dependent alveolar pneumonia (257). Conditions that alter G-CSF expres-
macrophage necrosis, suggesting that acute phase exudate sion also support an important role for this cytokine in
in the alveolar space directly impairs pneumococcal viru- immune resistance. For example, impaired G-CSF ex-
lence (531). The functional relevance of the lung-liver axis is pression in the setting of alcohol exposure associates
now firmly established, and mechanisms governing liver- with reduced granulopoiesis and enhanced growth of S.
derived lung immunity are beginning to be resolved. pneumoniae in the lungs (451).

3. Spleen fense is also evident in the setting of viral pneumonia, in

which case microbiome ablation impairs immune responses
Experimental splenectomy renders pneumonic mice highly reliant on inflammasome activity (214). Despite the risk
vulnerable to systemic infection (449), and this outcome is of deleterious effects on immune defenses as well as po-
consistent with increased occurrence and reoccurrence of tentially fostering antibiotic resistance, selective decon-
pneumonia in splenectomized patients (270, 346). Precise tamination of the digestive tract has clinical utility; re-
contributions of splenic function to local lung defense are ducing the presence of potentially infectious agents in the
presently unknown. Like that of the liver, the anatomy and gastrointestinal and respiratory systems of vulnerable pa-
distribution of phagocytes within the spleen enable reticu- tients can decrease rates of pneumonia and death in the
loendothelial clearance of circulating pathogens (324), ICU (43, 97). In addition to microbe-derived substances,
which is essential for controlling systemic defense and host-derived metabolites from the intestines have also
inflammation during pneumonia. This is unlikely a direct been shown to have important immunomodulatory prop-
contributor to immune resistance in the lung, though. As erties. For example, select intestinal short-chain fatty ac-
a secondary lymphoid organ, the spleen has essential ids have numerous effects on leukocyte recruitment and
roles in adaptive immune responses, and these may con- activation (517). These effects appear to be context spe-
tribute to local lung defense, particularly the delivery of cific, and at present their direct influence on immune
plasma antibodies in the exudate of an infected lung. The activity in the respiratory tract is unknown.
IgM produced by marginal-zone B cells (324) may be
particularly important for some respiratory pathogens, 5. Fat
like pneumococcus (556). The activation mechanisms
and functional roles of splenic B cells involve other leu-
Adipose tissue represents another remote contributor to
kocytes linked to pneumonia outcome such as neutro-
innate pulmonary defense. Leptin is derived primarily from
phils (78, 400), ILCs (304), and macrophages (263). Be-
adipocytes, and leptin signaling is essential to optimal im-
yond the loss of phagocytes, neutropenia may predispose
mune defense in multiple mouse models of lung infection
to pneumococcal pneumonia because of defects in T cell-
(308 –310, 502). Conversely, excess leptin including hyper-
independent antibodies from the spleen; IgM, IgG, and
leptinemia, a hallmark of obesity, may increase risk of
IgA against pneumococcal capsular polysaccharides are
pneumonia (390). Higher leptin levels associate with
produced by splenic B cells requiring neutrophils as
greater pneumonia risk in nonhospitalized adults, and with
helper cells, and all are diminished in the blood of neu-
greater severity of pneumonia among hospitalized patients,
tropenic patients (400).
independent of body mass (502). High circulating leptin
content in mice, elevated by diverse strategies, can compro-
4. Gastrointestinal tract
mise innate immunity in the lungs (502). A specific role for
leptin is further supported by the observation of no adverse
The intestinal mucosa is an immunologically rich environ-
effects on lung defense in a leptin-independent mouse model
ment, containing a microbial landscape shaped by interac-
of obesity (307). The precise role of leptin is complicated by
tions among microbiota, invading pathogens, and host im-
indirect metabolic consequences of its manipulation and the
mune functions (438). These interactions also have immu-
widespread physiological impacts of obesity (479). Adi-
nologic consequences in tissue sites outside of the intestines,
ponectin is another adipokine with inflammation-regulat-
including the lungs. For instance, meso-diaminopimelic
ing properties that may influence pulmonary immune resis-
acid-containing peptidoglycan derived from the intestinal
tance. In the setting of sterile inflammation induced by LPS,
microbiota engages the NOD1 receptor of neutrophils in
adiponectin deficiency exaggerates immune responses (59,
bone marrow, enhancing their in vitro microbicidal capac-
262), but whether or how this factor directly contributes to
ity against S. pneumoniae and S. aureus (81). Depletion of
pneumonia biology is currently unclear. While elements of
gut microbiota with antibiotics impairs K. pneumoniae
the obesity phenotype including changes in adipokines may
clearance in the lungs in association with reduced pulmo-
influence pneumonia biology, the evidence does not conclu-
nary cytokine responses and impaired ROS synthesis by
sively demonstrate that obesity per se increases risk of com-
AMs (80). Oral administration of NOD-like receptor li-
munity acquired pneumonia, independent of obesity-asso-
gands is sufficient to rescue innate immune responses fol-
ciated comorbidities (265, 390).
lowing microbiome depletion, consistent with the hypoth-
esis that gut-derived microbial products promote defense at
other tissue sites (80). Similar immunodeficiency is also ob- 6. Other extrapulmonary influences on lung
served in mice with pneumococcal pneumonia following innate immunity
gut microbiome depletion; broad-spectrum antibiotic treat-
ment ablates intestinal microbiota and significantly in- The liver, bone marrow, spleen, gut, and adipose tissue are
creases the number of viable bacteria recovered from the highlighted above for their impact on intrapulmonary im-
lungs, concurrent with reduced cytokine expression and mune responses, perhaps all of which involve endocrine
phagocytosis by AMs (437). Gut-derived pulmonary de- activities from these tissues (FIGURE 4). The systemic re-

QUINTON ET AL.
PATHOGEN
FIGURE 4. Multiple extrapulmonary organs

Substance P, NLR ligands,
contribute to immune resistance against pul-
Bradykinin SCFAs
monary infection. The molecules identified
are for illustrative purpose and do not repre-
sent an exhaustive presentation. In the few
instances where signals have been identified
by which pulmonary infection signals to the
Neutrophils Adipokines extrapulmonary organ, this communication is
G-CSF,
denoted in gray. APPs, acute phase proteins;
CXCR2 SCFAs, short-chain fatty acids.
ligands IgM
APPs IL-6, TNF,
IL-1, IL-22
sponse to pathogens in the airspaces has other origins, as IV. ADAPTIVE IMMUNITY AND
well. For example, procalcitonin (PCT), which is the thy- PNEUMONIA
roid-derived precursor to calcitonin, increases in the
blood of critically ill patients and rises in the blood dur- The adaptive immune system is well recognized in the fight
ing pneumonia, and it can be used as a biomarker to help against pneumonia. One of the earliest effective treatments
distinguish infections of bacterial versus viral origin (22) for pneumonia, used until antibiotics became available, was
and as a predictor of pneumonia severity (483). The func- “serum therapy” in which antibodies collected from horses
tional significance of PCT elevation during bacterial or rabbits that had previously been serially exposed to
pneumonia is unknown. Likewise, febrile-range hyper- pneumococci were administered to pneumonia patients
thermia has numerous consequences on pulmonary in- (64, 65). If the antibodies were appropriate to the pneumo-
flammation and immunity (186), including elevated neu- coccal serotype and were administered soon after pneumo-
trophil accumulation and earlier clearance of K. pneu- nia symptoms developed, “serum therapy” decreased mor-
moniae from the lungs (419), suggesting that fever may tality by approximately one-third (64, 65). Along similar
serve as a systemic mechanism of brain-derived pulmo- lines, but using hybridomas rather than animal sera as an
nary defense. Direct biological contributions of fever to immunoglobulin source and for prevention rather than
pneumonia biology, either good or bad, are largely spec- cure, delivery of a monoclonal antibody against RSV is
ulative. Brain function may also influence pneumonia currently in clinical use for high-risk children (16). The
susceptibility, particularly that caused by aspiration, vaccines against influenza, pneumococcus, and Hemo-
through coordination of airway reflexes such as cough philus influenzae stimulate the host to generate their own
(122). For instance, pneumonia incidence has been circulating antibodies against these microbes, which re-
shown to correlate with cough reflex sensitivity (355), duce risk of pneumonia (154, 174, 175). Thus the hu-
and among patients with mixed primary neurological moral arm of adaptive immunity can protect the lungs.
disorders the incidence of ARDS is significantly greater in The emergence of HIV/AIDS in the last half of the 20th
those lacking cough and/or gag reflexes (204). Interest- century emphasized the importance of cellular immunity
ingly, a recent meta-analysis indicated markedly higher in immune defense of the lungs. Patients with low CD4⫹
pneumonia incidence in subjects with a specific polymor- T cell counts are highly susceptible to pneumonias caused
phism in angiotensin converting enzyme that reduces by diverse organisms including especially Pneumocystis
substance P and bradykinin, both of which drive the and pneumococcus (169, 440). Although not yet feasible
cough reflex (524), also consistent with the notion that in humans, the adoptive transfer of microbe-specific
airway reflex sensitivity contributes to pulmonary de- CD4⫹ or CD8⫹ T cells is capable of fighting respiratory
fense. infection in inbred animals (182, 232, 558), similar to the

transfer of protection achieved with antibodies. Thus cel- A. Naturally Acquired Heterotypic
lular immunity also protects the lungs against pneumo- Adaptive Immunity
nia. The regulation and function of specific components
of the adaptive immune system in fighting respiratory Heterotypic immunity refers to adaptive immunity directed
infection are discussed in several recent reviews (47, 70, against a microbe that is similar but not identical to the
75, 407, 481). microbe originally establishing immunological memory.
Examples include memory to influenza viruses across dif-
The earliest infections of the youngest children elicit pri- ferent seasons (e.g., H1N1 from 2009 and H1N1 from
mary adaptive immune responses, and subsequent en- 2010) or across different subtypes (e.g., H3N2 and H1N1),
counters with those or related microbes trigger secondary or to multiple of the 94 different serotypes of pneumococ-
or recall responses from memory cells. The immunolog- cus. Because they are such commonly encountered microbes
ical memory established by repeated respiratory infec- (FIGURE 1), healthy young adult humans probably have
tions is almost certainly key to the immune defense that some degree of heterotypic immune memory against all of
helps prevent pneumonia in older children and adults the most common causes of pneumonia.
(407). Such “real world” encounters with microbes pro-
foundly rewire immunity, including both innate and Pneumonia defense is strongly influenced by the earliest
adaptive immunity in the lungs (FIGURE 5). Effects of infections with respiratory pathogens, based on evidence
“real world” exposures on immunity were elegantly dem- of immunological “imprinting” against influenza viruses
onstrated by studies in which the circulating leukocyte (167). Those born before 1968 were likely first infected
transcriptomes of mice and humans were compared (34). with influenza viruses containing hemagglutinins (HAs)
In short, laboratory mice have immune systems that re- from phylogenetic group 1 (which includes H1, H2, and
flect those of human infants, whereas mice that were H5 HAs), whereas those born after that date were more
caught in barns or purchased from pet stores have im- likely to be first infected by influenza viruses with group
mune systems that more closely match human adults 2 HAs (which includes H3 and H7 HAs). For the unfor-
(34). The co-housing of laboratory mice with those pur- tunate humans who get infected with highly pathogenic
chased from pet stores leads to 1) transcriptional remod- zoonotic influenza viruses, the severity of pneumonia
eling of blood leukocytes to more closely match that of correlates strongly with their birth dates; those born be-
human adults, 2) circulating antibodies against multiple fore 1968 are more likely to get severe pneumonia from
pathogens of mice, 3) seeding of the lungs (FIGURE 5) and H7N9 rather than H5N1 avian influenza viruses,
other organs with lymphocytes of the innate and adaptive whereas those born after 1968 are more likely to get
immune systems, and 4) dramatically improved defenses severe pneumonia from H5N1 rather than H7N9 (167).
against experimental infection (34). Here, we overview These individuals likely did not have neutralizing anti-
two important ways in which adaptive immunity is re- bodies against the avian influenza viruses, but their ac-
modeled by prior microbial infections, the establishment quired immunity against related viruses (within the same
of heterotypic immunity and of resident memory, both of phylogenetic group) provided some level of protection.
which are rapidly advancing areas of research with pro- Such early imprinting of immunity may influence many
found implications for pneumonia defense. or all types of respiratory infections.
Uninfected lung of infant humans and Uninfected lung of adult humans, FIGURE 5. Lungs that have experienced
naïve SPF laboratory mice wild mice, and experienced lab mice prior infections are different from naive lungs
that have not. The T-cell population most no-
BALT table in lungs from neonatal humans is reg-
ulatory T (Treg) cells, whereas the healthy
JG-T lungs of adults or of laboratory animals that
T
have experienced prior respiratory infections
TRM contain abundant resident memory T (TRM)
B cells. In addition, lungs that have experie-
Treg DC nced prior respiratory infections exhibit vary-
ILCs ing degrees of immunological changes in-
Time cluding bronchus-associated lymphoid tissue
(BALT), innate lymphoid cells (ILCs), and ␥␦-T
cells. In addition, the alveolar macrophages
(AM) and epithelial cells of experienced lungs
behave differently from their counterparts in
naive lungs, likely due to a combination of
AM AM trained immunity and direction from adaptive
immunity.

QUINTON ET AL.
A combination of humoral and cellular protection is impli- infections with that virus (463), suggesting that the preex-
cated in mediating the naturally acquired heterotypic im- isting heterotypic immunity provided protection. These re-
munity that protects young adult humans against respira- sults from the epidemiologic study differ in detail from re-
tory infection of the airways. When healthy young adults sults of experimental infections with influenza or RSV,
are experimentally infected with influenza virus or RSV, the which showed correlation with elements of preexisting het-
amount of heterotypic antibodies in their blood before ex- erotypic immunity but not with blood CD8⫹ T cells (243,
perimental infection inversely correlates with their viral 537). In animal models of influenza infection, both CD4⫹ T
burden and symptoms after infection (25, 231). In serone- cells and CD8⫹ T cells are sufficient to transfer heterotypic
gative individuals who have not seen a particular influenza immunity against pneumonia (182, 232). Together, such
virus before, those with greater numbers of influenza-re- studies demonstrate that preexisting heterotypic immunity
sponsive CD4⫹ T cells in their blood before infection (FIG- varies across hosts and pathogens, and variations in the
URE 6) have less severe infection as measured by viral bur- parameters of heterotypic immunity make critical contribu-
den and symptoms during the experimental infection (537). tions to the outcome of respiratory infection.
By design necessity, the experimental human infections de-
scribed above cause mild disease; correlates of protection Some heterotypic antibodies in human blood can be neu-
observed there are inferred to be relevant to pneumonia. tralizing, preventing viral infection of cells (354, 543).
Supporting this inference, antibodies with respiratory Other heterotypic antibodies direct immune effector activ-
pathogen specificity found in the blood of seronegative ities. Heterotypic antibodies against the conserved stalk re-
healthy uninfected adults can be sufficient to protect mice gion of influenza HA trigger a respiratory burst in phago-
against severe viral or bacterial pneumonia (157, 543). Also cytes and provide heterotypic defense against respiratory
supporting the association of preexisting heterotypic immu- infection that is Fc receptor (FcR) dependent, whereas ho-
nity with more severe infections is an epidemiologic study of motypic protection provided by antibodies against the more
a population first experiencing the reassortant H1N1 influ- variable head regions of HA do not protect via such path-
enza virus that emerged in 2009 (463). Although all subjects ways (109, 348). This applies uniformly across anti-HA
were naive to this particular virus, patients with greater antibodies and to anti-neuraminidase antibodies as well
circulating numbers of CD8⫹ T cells recognizing epitopes (108), suggesting that FcR-mediated activities may be gen-
conserved in that coming influenza virus (FIGURE 6) dem- erally required for protection by heterotypic antibodies.
onstrated less symptoms during their naturally acquired Young adult humans have antibodies recognizing hundreds
A T cells during LRTI, naïve host B T cells during LRTI, experienced host
day 1 day 1
Infection Infection
Multifunctional
days 3–5
(IL-17, IL-22, IFN-J,
TNF, IL-2...)
Lung Lung
LN LN
days 6-10
Blood Blood
Quiescent
Poised
Th17 or other Cytokine
Spleen (IL-17 & IL-22) Spleen secreting
FIGURE 6. T lymphocytes contribute differently to respiratory infection in naive and experienced hosts. A: in
naive individuals, who have not previously seen relevant respiratory infections, T lymphocytes responsive to the
microbe in the lungs are found in the circulating blood (red) and secondary lymphoid organs such as the spleen
(purple) and lymph nodes (LN, blue). It takes several days for them to appear in the lungs and a week for their
activities to be manifest. B: in contrast, in experienced hosts who have previously been infected with relevant
respiratory pathogens, there are greater numbers of responsive T lymphocytes in the blood and secondary
lymphoid organs, and there is a resident memory population of responsive T cells already present in the lungs
before infection. These lung T cells are poised to respond more rapidly and to elaborate a broader repertoire
of protective cytokines. Thus responsive T cells in experienced hosts are more numerous, localized to the right
place, able to respond more quickly, and prone to becoming multifunctional, altogether leading to T cell-
mediated defense in the lung that is quicker and more efficacious.

of protein epitopes from pneumococcus (157), and raising the respiratory tract that specifically protect these tissues
antibodies against some of these pneumococcal antigens by against respiratory infection. The best recognized such
vaccinating mice can improve defense against pneumococ- structures are the tertiary lymphoid organs of the upper
cal pneumonia (157, 334), by mechanisms including op- airways, the tonsils and nasal-associated lymphoid tissue
sonophagocytosis, decreased adherence, disruption of tox- (443), as well as the variable amounts of bronchus-associ-
ins, and more. Human blood from any of at least three ated lymphoid tissue (BALT) in the lower airways (412).
different continents consistently contains IgG antibodies These are sites of local antibody production, as well as
against a common set of diverse pneumococcal proteins, sources of memory B cells and plasma cells providing sys-
and delivering human IgG (without antigen selection) to temic protection. More recently, it has become evident that
mice is sufficient to diminish the severity of infection during lung tissue contains numerous memory T cells that reside
pneumococcal pneumonia (538). However, pneumococ- stably in the interstitium but are not in tertiary lymphoid
cus-recognizing antibodies found in the blood after pneu- organs (401, 485, 501). The biology of such resident mem-
mococcal infection are not necessarily capable of mediating ory T (TRM) cells has been reviewed (134, 434). Here, we
heterotypic protection (84, 157). Whether and when the discuss aspects of lung TRM cells that are especially perti-
heterotypic antibodies present in human blood can help to nent to pneumonia defense (FIGURE 6).
prevent pneumonia demands more investigation.
While identified previously (205), many fundamentals of
Cellular immunity makes many contributions to hetero- lung TRM cells in respiratory infection were established with
typic protection of the lungs (FIGURE 6). Memory CD4⫹ T a seminal study from 2011 (485). Mice with a transgenic
cells established by prior respiratory infections are superior TCR specific to influenza HA were used to restrict analyses
to primary effectors in their protection of the respiratory to antigen-specific cells. Memory CD4⫹ T cells were col-
tract, because they are more multifunctional (i.e., produc- lected from the lungs or the spleen of mice with a fully
ing a greater variety of cytokines) and more prone to yield T resolved influenza virus infection, and then adoptively
follicular helper (TFH) cells in the relevant lung tissue (473). transferred to normal uninfected mice; the lung-derived
The expansion of such memory CD4⫹ T cells in the in- memory cells were then found exclusively in the lungs,
fected lungs requires IL-6 (474). Activities of these virus-
whereas the spleen-derived cells were found in the spleen
specific memory CD4⫹ T cells include the lysis of infected
and other tissues of the recipient mice. When the blood-
cells (153, 537) as well as the acceleration and amplification
streams of such recipient mice were connected via parabio-
of pathways described above under “innate immunity” but
sis to other uninfected mice who had not received T cell
here directed by memory T cell-derived cytokines (472,
transfers, the lung-derived T cells did not appear in the
475). Similar phenomena apply to bacterial pneumonias.
parabiotic host, whereas the spleen-derived cells did. These
Adult humans have CD4⫹ T cells that proliferate and pro-
data demonstrated that the resolution of lung infection re-
duce IL-17 in response to acapsular pneumococcus or pneu-
sulted in a population of lung-resident memory cells, re-
mococcal proteins, which are heterotypic responses in the
tained in the tissue rather than recirculating with a lung-
sense that they are independent of serotype (301). In hu-
homing propensity. When mice that had received compara-
mans, experimental pneumococcal infections of the upper
airways increase the numbers of cognate multifunctional ble numbers of TCR-transgenic (hence identical antigen
CD4⫹ Th17 cells in the blood and lungs (544). IL-17 stim- specificity to influenza HA) memory T cells from the lungs
ulates host defense against extracellular bacteria and fungi or from the spleen were challenged with an influenza infec-
in the lungs (70). Heterotypic protection against pneumo- tion, the lung-derived cells provided better protection as
coccus in the lungs can be modeled in mice by infecting measured by weight loss, survival, and viral burdens, indi-
them with one serotype before challenging them with an- cating that lung TRM cells have superior abilities to protect
other, and both IL-17 and CD4⫹ T cells are necessary for against respiratory infection compared with central mem-
heterotypic protection against pneumonia in this model ory cells. Therefore, the resolution of lower respiratory in-
(526). Furthermore, CD4⫹ T cells from the spleens of such fection can seed the lungs with TRM cells that remain local
mice are sufficient to confer defense against respiratory in- and protect that pulmonary tissue against further infec-
fection, if and only if they have intact genes for IL-17 (526), tions.
demonstrating that this systemic cellular immune memory
can provide heterotypic protection against bacterial pneu- Resident memory cells populate the lung tissues after bac-
monia. terial pneumonia as well (459). When pneumococcus
causes a lobar pneumonia, the resulting CD4⫹ TRM cells
concentrate selectively in the previously infected lobe,
B. Resident Memory Cells rather than dispersing throughout the lower respiratory
tract (459). Because systemic immunity applies equally to
In addition to the circulating or systemic immune memory the entirety of the respiratory tract yet TRM cells are re-
described above, which can protect the lungs and all tissues, stricted to a single lobe, this provides an elegant opportu-
there are also localized depots of immune memory within nity to examine the contributions of resident memory above

QUINTON ET AL.
and beyond the combined abilities of all central memory tic of young adults with naturally acquired heterotypic im-
cells, circulating antibodies, and other components of sys- munological memory cannot be provided by systemic adap-
temic heterotypic adaptive immunity. The lobe with TRM tive immunity alone.
cells demonstrates far superior lung defense against virulent
pneumococci compared with the contralateral lobes with- Human lungs contain TRM cells. A 2011 publication ana-
out TRM cells (FIGURE 7). Trained innate immunity (363), lyzing lobectomy samples from lung cancer patients re-
such as improved AM functions, could additionally con- vealed that the noncancerous regions of lung tissue include
tribute to the localization of heterotypic immune defense an unexpectedly large number of T cells (401), and this has
after lobar pneumonia, but the fact that depletion of CD4⫹ now been reproducibly found in human lung tissues with-
cells compromises such defense (459) highlights a TRM cell out cancer or any pulmonary disease, from young children
role. Thus lung TRM cells protect against diverse types of through senior citizens (433, 487, 488). These lung lympho-
respiratory pathogens, and the lung protection characteris- cytes include both CD4⫹ and CD8⫹ T cells (433, 487,
488). While imperfect, CD69 expression on nonactivated T
cells is used as a marker for TRM cells (134, 434), and lung
T cells tend to express CD69 (401, 433, 487, 488). Memory
T cells begin accumulating in human lungs as early as in-
Lobar pneumonia fancy (487, 488). T cells from human lungs are more likely
followed by to proliferate in response to influenza virus antigen presen-
resolution results in… tation than are T cells from the blood or the skin (401),
suggesting antigen specificity may be skewed towards respi-
ratory pathogens. While cytokine expression from human
lung TRM cells stimulated by presentation of microbial an-
tigens has not (to our knowledge) been reported, pneumo-
coccus presentation to mouse lung TRM cells (459) induces
CD11a
…CD4+ TRM cells the MHCII-dependent expression of a wide variety of cyto-

only in that lobe,
kines (including IL-17A, IFN-␥, TNF-␣, IL-2, and more),
and the antigen-independent polyclonal activation of hu-
man lung-derived T cells (401, 433, 487, 488) stimulates
CD69 the coexpression of many cytokines (e.g., IFN-␥, TNF-␣,
and IL-2 together), altogether suggesting a predilection for
“multifunctional” phenotypes. Thus the human lung con-
tains a preponderance of TRM cells, which likely have spec-
…Th17-poised cells ificity for respiratory pathogens and exert multifunctional
IFN-J
only in that lobe,

roles.
The CD8⫹ TRM cells have been the most extensively stud-
IL-17A ied resident memory cells in the lung, largely by character-
izing the cells found in human lungs or by influenza infec-
tions of mice. The heterotypic protection against influenza
provided by CD8⫹ TRM cells depends on IFN-␥ expression,
…and improved which is more rapid from TRM cells compared with circu-
heterotypic defense
only in that lobe.
lating effector memory T (TEM) cells (323). CD8⫹ TRM
cells from human lungs have distinct transcriptomes com-
pared with CD8⫹ TEM cells from the blood, including
steady-state expression of mRNAs for effector molecules,
suggesting that the lung cells are not just better-positioned
anatomically but also are better poised molecularly to re-
spond quickly during lower respiratory infection (208) (FIG-
FIGURE 7. The site of respiratory infection determines where
URE 6). Distinct patterns of expression for chemokine re-
protection resides. After pneumococcal lobar pneumonia in mice,
CD4⫹ resident memory T (TRM) cells are found 1–2 mo later in the ceptors and adhesion molecules (208) may contribute to the
previously infected lobe rather than contralateral lobes. Polyclonal prolonged lung localization of CD8⫹ TRM cells in the
stimulation of cells collected from the different lobes shows that lungs. After influenza infection in mice, CD8⫹ TRM cells
CD4⫹ T cells are poised to elaborate Th17 cytokines only in the reside selectively at sites of prior damage to the tissue (482).
previously infected lobe. Furthermore, the previously infected lobe is
significantly more protected against infection by pneumococci of a
The maintenance of CD103⫹ CD8⫹ TRM cells in the lung
different serotype compared with contralateral lobes. [Adapted from requires signaling from Notch, low levels of T-bet, and the
Smith et al. (459).] IL-15 receptor (208, 302). Administration of 4 –1BB ligand

amplifies CD8⫹ TRM cell accumulation after mucosal vac- and 2) retain the function and number of viable lung paren-
cination, while 4 –1BB-deficient CD8⫹ T cells fail to seed chymal cells to ensure an environment supportive of gas
the lungs after recovery from influenza infection (572), sug- exchange. Some of these events will be highlighted below,
gesting a requirement for this costimulation pathway. The with consideration to both intra- and extrapulmonary con-
development of CD103⫹ CD8⫹ TRM cells in the lungs after tributions.
influenza infection also requires IFN-␥ from helper CD4⫹
T cells (276). Whether the pathways described above are
broadly applicable, for example, to multiple types of respi- A. Resilience in the Lungs
ratory infection or to CD4⫹ lung TRM cells, demands more
study. The fundamental biology of lung TRM cells, and how An excess of the signals described above as promoting im-
lung TRM cells are normally involved in resistance and sus- mune resistance against microbes can be dangerous to the
ceptibility to diverse respiratory infections as well as the lung tissue itself. Perhaps the most direct and immediate
roles of alterations in lung TRM cells in diverse populations element controlling the magnitude of this response is the
of susceptible or resistant hosts, remains poorly defined and size and strength of the initial stimulus, which wanes as a
presents especially great promise for improving our under- consequence of adequate defense. But the self-limiting na-
standing of pneumonia defense. ture of infection, or lack thereof, cannot apply a sufficient
level of control to ensure tissue protection. This is accom-
plished, in part, through inducible processes that actively
C. Other Long-Term Changes to Lung Cells limit innate immunity and acute pulmonary inflammation.
After Acute Pneumonia Infection For example, classic anti-inflammatory cytokines such as
IL-10, transforming growth factor (TGF)-␤, and IL-1 recep-
In addition to changes in adaptive immunity as outlined tor antagonist (IL-1RA) are sufficient and necessary to re-
above, other persistent changes to lung tissue (FIGURE 5) duce innate immune responses and inflammatory lung in-
have been noted to result from resolution of respiratory jury during pneumonia (94, 170, 195, 505, 507). Of course,
infection, potentially relevant to immune resistance against this comes with the risk of overly blunting immune resis-
subsequent pneumonias. Severe respiratory infections can tance and exacerbating infection (507), highlighting the
cause BALT formation, and these tertiary lymphoid organs complexity of achieving effective but balanced immune re-
can contribute to local antimicrobial defense (412). Pre- sponses to invading pathogens.
sumably because of the infections experienced, the co-hous-
ing of laboratory mice with mice purchased from pet stores Just as AMs are central for establishing pulmonary immune
is sufficient to thereafter increase the numbers of innate resistance, they are also essential for tissue resilience. The
lymphocyte populations in the lungs, including ILC1, ILC2, activation state of AMs is tightly regulated by their mi-
ILC3, and ␥␦-T cells (34). Infection with influenza virus is croenvironment (211). In a state of baseline homeostasis,
capable of altering the phenotypes of alveolar macrophages engagement of CD200R, TGF-␤R, and IL-10R by their cor-
and epithelial cells in the mouse lung for months afterwards responding ligands at the epithelial surface is an important
(107, 247, 394). The degrees to which BALT, innate lym- negative regulator of alveolar macrophage activity (211),
phocyte accumulation, and such remodeling of epithelial desensitizing these cells to innocuous environmental parti-
cells and macrophages reflects chronic inflammation, cles common to the airspaces. As the alveolar microenviron-
trained immunity (363), aberrant repair, or all of the above, ment is altered (e.g., during infection), AMs become acti-
and the factors influencing these and other long-term vated and can exhibit M1 (classical) or M2 (alternative)
changes in the lung occasionally observed after respiratory characteristics, with the former more typically bearing the
infection, are largely unclear. pro-inflammatory features highlighted in the aforemen-
tioned section on immune resistance (4). On the other hand,
alternatively activated (M2) AMs generate anti-inflamma-
V. TISSUE RESILIENCE AND PNEUMONIA tory factors such as IL-10 and IL-1RA, and the size of this
cell population has been shown to expand during the reso-
Like the local and remote resistance pathways outlined lution phase of pneumonia, helping to restore tissues to
above, biological processes driving tissue resilience also in- baseline homeostasis (93, 238, 525).
clude input from intra- and extrapulmonary sources. The
shared goal of these signals is to limit injury resulting from In addition to fine-tuning inflammation through the release
all aspects of infection, which requires countermeasures to of anti-inflammatory cytokines, an essential role of macro-
damage elicited from the microbes, as well as that from the phages in the aftermath of an acute inflammatory event is to
host response (i.e., immunopathology). Failure to achieve remove accumulated debris, a large amount of which in-
this goal progresses pneumonia to ARDS and sepsis (19, cludes dead or dying leukocytes. This is largely achieved
315). Two major avenues for fortifying tissue resilience in through phagocytosis of apoptotic cells presenting in-
the airspaces are events that 1) provide negative feedback creased levels of phosphatidylserine and other “eat me”
on inflammation, which left unchecked can cause injury; signals on their surface, in a complex and tightly regulated

QUINTON ET AL.
process known as efferocytosis (192, 193). Efferocytosis abling this cell population to better withstand the barrage
steers the environment away from an accumulation of ne- of toxic stimuli accrued at the air-liquid interface in an
crotic cells, which are inherently pro-inflammatory. Addi- infected lung. Mouse models employing targeted lung-spe-
tionally, efferocytosis actively reprograms AMs to release a cific epithelial STAT3 deficiency have consistently demon-
suite of anti-inflammatory mediators (193), limiting the strated a requirement for this transcription factor to limit
likelihood of immunopathology. While this includes cyto- cytotoxicity and acute lung injury in response to a variety of
kines like TGF-␤ (212), it also involves the release of pro- stimuli, including virus (314), bacteria (405), LPS (215),
resolving lipid mediators such resolvins, lipoxins, maresins, hyperoxia (206), and naphthalene (252). Mechanisms of
and protectins (285). These factors elicit resilience re- STAT3-mediated epithelial protection likely involve, at
sponses, including but not limited to inflammatory cytokine least in part, the induction of gene programs that inhibit
regulation, epithelial repair, and efferocytosis itself (28). apoptosis and drive tissue repair (252, 314). Conversely,
Pro-resolving lipid mediators limit immunopathology in gain of STAT3 function in lung epithelium can limit acute
numerous settings of viral and bacterial pneumonia (28), lung injury, as shown in the setting of hyperoxia (287), but
and recent evidence suggests that inhibition of these path- protective STAT3-dependent signals require precise regula-
ways may even serve as a virulence determinant for P. tion given the potential for the development of epithelial
aeruginosa and perhaps other important causes of pneumo- adenocarcinoma (286). Host-derived signals upstream of
nia (140). epithelial STAT3 activation, therefore, represent an impor-
tant control point for guiding tissue resilience during pneu-
Use of in situ imaging has compellingly revealed a popula- monia. Leukemia inhibitory factor (LIF) may represent a
tion of nonmotile macrophages in the airspaces, which also particularly prominent player in this regard. LIF is induced
appear to have a major influence on tissue resilience (534). in lung epithelial cells in response to infection (144, 405,
These “sessile” macrophages remain adherent to the alveo- 496), and it is necessary and sufficient to activate lung epi-
lar surface, where upon stimulation they employ gap junctions thelial STAT3 (409). Pharmacological blockade of LIF
to propagate immunosuppressive Ca2⫹ waves throughout the causes significant injury in response to bacterial and viral
epithelium. Disruption of these connexin-43-containing gap pneumonias (144, 409). Not only does this phenocopy the
junctions is sufficient to amplify cytokine expression and consequence of epithelial STAT3 inhibition (405), but it is
alveolar neutrophilia in response to bacteria or bacterial also notable that LIF neutralization does not impact patho-
stimuli (534), suggesting that these interactions apply neg- gen burdens (144, 409), suggesting that the benefits of LIF
ative feedback to reduce injury in the setting of acute in- are solely attributable to increased tissue resilience. In ad-
flammation. Notably, the identification of sessile macro- dition to STAT3, other contributors to epithelial protection
phages challenges existing paradigms of alveolar macro- and/or repair in the setting of lung infections include
phage biology, produced by decades of studies focused on ␤-catenin (568, 569), FOXM1 (293), and p63 (273). The
macrophages lavaged from the airspaces (38). Only a frac- promising and burgeoning area of stem cell-mediated tissue
tion of alveolar macrophages are recovered by bronchoal- regeneration, while still nascent, is also likely to reveal im-
veolar lavage, which may be a consequence of differential portant mechanisms of epithelial barrier control as the field
lavageability among several functionally distinct macro- develops (247, 266).
phage subsets. The alveolar macrophages that are con-
nected to epithelial cells via gap junctions and not collected In addition to its viability and fluid clearance, the epithe-
by bronchoalveolar lavage may have specialized roles in lium of the lung has significant resilience roles in producing
lung resilience during pulmonary inflammation. anti-inflammatory signals. SAM Pointed Domain Contain-
ing ETS Transcription Factor (SPDEF) is best recognized for
The alveolar-capillary barrier is maintained and restored by driving mucus metaplasia (68), but a nonpathological role
the presence of tight junctions and the expression of epithe- of SPDEF is to limit inflammatory gene expression down-
lial Na⫹ channels (e.g., ENaC and Na⫹-K⫹-ATPase) and stream of MyD88 and TRIF (264). The goblet cell promot-
other membrane transporters (e.g., CFTR and aquaporin 5) ing factor transcription factor FOXA3 also diminishes an-
which actively limit the airspace liquid accumulation char- tiviral immune resistance gene programs (67). And some
acteristic of pneumonia (37). These surface proteins are mucus proteins exhibit anti-inflammatory roles in the pneu-
dynamically regulated by host factors such as cAMP ago- monic lung (254), as highlighted by protective immunosup-
nists, glucocorticoids, thyroid hormone, and TRAIL, and pressive effects of MUC1 following P. aeruginosa infection
disruption of these pathways can enhance acute lung injury in mice (506).
(37, 389).
While AMs and lung epithelium represent resident sources
Structural integrity of the epithelial barrier also relies on of pulmonary resilience, recruited leukocyte populations
cellular viability, which is actively supported during pneu- also have the capability to elicit tissue protective responses.
monia by tissue-protective signaling networks. STAT3 ac- For example, recruited exudate macrophages have been
tivity is a critical determinant of epithelial resilience, en- identified as an important source of IL-1RA-dependent pre-

vention of epithelial apoptosis and inflammatory injury in particularly CD8⫹ but also CD4⫹ T cells, can be important
mice with pneumonia caused by LPS or K. pneumoniae additional sources of IL-10-mediated tissue protection dur-
(195). Macrophages support the growth of alveolar epithe- ing respiratory viral infections (477, 478), thereby exhibit-
lial cells and of lung epithelial “pneumospheres” in vitro ing both pro-resistance and pro-resilience characteristics.
(279), and the CCR2-mediated migration of blood mono- Recruited ILC2s can limit immunopathology during pneu-
cytes into lung tissue is essential to maximizing lung regen- monia, as evidenced by their accumulation in the airspaces
eration after pneumonectomy (279), together suggesting of mice and humans following influenza infection, com-
that the repair of lungs injured by infection may be down- bined with their release of the tissue protective factor am-
stream of monocyte recruitment; although not tested in phiregulin (338). NK cells can also be tissue protective,
pneumonia yet, an emerging body of evidence consistently producing IL-22 to mediate epithelial repair in response to
suggests that type 2 immune signals drive macrophage-me- viral or bacterial lung infections (272, 276, 549). Thus res-
diated tissue repair after diverse infections and insults, de- ident and recruited cell types enhance intrapulmonary resil-
pendent on macrophage receptors including IL-4R␣ and ience during pneumonia (FIGURE 8).
myosin 18A (44, 279, 333). Neutrophils, perhaps the most
prototypical “proinflammatory” cell type, cause elastase-
dependent activation of a cytoprotective ␤-catenin response B. Resilience From Outside the Lungs
as they migrate across the epithelial barrier (568, 569).
Myeloid-derived suppressor cells (MDSCs), which bear re- Tissue resilience of the lungs, like immune resistance (see
semblances to neutrophils, also accumulate in pneumonic above), can originate from extrapulmonary sources. The
lungs, where they limit immunopathology through synthe- brain is one example. As discussed above, brain-dependent
sis of IL-10 and enhanced efferocytosis of apoptotic neutro- processes such as fever and reflex control appear to promote
phils (396). Recruited cells derived from lymphoid progen- immune defense in the lungs (122, 186), but the central
itors can also limit inflammatory injury in the lungs. Regu- nervous system can also function to limit inflammation po-
latory T cells (Tregs) accumulate in the lungs of patients and tentially reducing immunopathology. For instance, neu-
mice with lung injury, and these cells are sufficient and roendocrine control of immunity, such as that achieved by
necessary to curb inflammatory cytokine induction and to autonomics and the hypothalamic-pituitary-adrenal (HPA)
stimulate resolution in mouse models of acute pulmonary axis, is well appreciated (372). Crosstalk between the sym-
inflammation (5, 94). Antiviral effector T cells, including pathetic and parasympathetic activity has been attributed
LUNG INFLAMMATION AND INJURY
TGF-b IL-10 IL-1ra Pro-resolving MUC1

lipids, IL-10
T Exudate
(Treg/CD8+) MDSC ILC2 NK
monocyte
PMN Club
PMN
AM SPDEF
AREG, IL-13 LIF IL-22
PMN Goblet
ENaC
CFTR
5
Aqp
se
ATPa K
Na/
b-catenin Ca2+
Repair Cell
STAT3
death
FoxM1
Exudate resorption
p63
Basal cell
FIGURE 8. Multiple different cell types provide activities to help accomplish tissue resilience and prevent lung
injury during pneumonia. Examples shown are not an exhaustive list and pictorialize some of the mechanisms
described in text.

QUINTON ET AL.
to myriad immunological processes, with ACh and cat- Some of the APPs produced in the liver in response to pul-
echolamines, particularly norepinephrine, now mechanisti- monary infection serve to counter inflammatory injury. Per-
cally linked to the suppression of cells across the immune haps the most revealing example of liver-dependent tissue
system, including but not limited to macrophages, dendritic protection in the lungs is the pathological consequence of
cells, T cells, and B cells (372). Meanwhile, glucocorticoids ␣1-antitrypsin (AAT) deficiency. Patients with this inher-
derived from the HPA axis are quintessentially anti-inflam- ited disorder can present with severe liver and lung injury,
matory. The anti-inflammatory effects of glucocorticoids the latter of which can result in COPD, bronchiectasis, and
on CXCL5 expression and neutrophilic inflammation in the increased pneumonia incidence (172). Therapeutic treat-
lungs involve circadian rhythms in airway epithelial cells ment with AAT reduces inflammatory injury in patients and
(156). While the direct impact of endogenously synthesized animal models (63, 241), and this protective effect may
glucocorticoids such as cortisol on pneumonia is not en- extend beyond AAT’s seminal function of inhibiting neu-
tirely clear, the HPA axis has long been a target for phar- trophil elastase. Liver-derived APPs contributing to metal
macological intervention. Many studies have examined the homeostasis may also influence pulmonary tissue resilience.
application of corticosteroids for pneumonia patients. For example, in addition to their roles in immune resistance
While plausible that steroids may pose risk for pneumonia (e.g., bacteriostatic iron sequestration) (235), iron-handling
patients (422), results have suggested general trends to- proteins also prevent iron toxicity, oxidative stress, and
wards a protective effect, perhaps reducing the risk of lung injury (155). Thus it is feasible that APPs including but
ARDS and shortening hospital stays (523). Because it en- not limited to antiproteases and those regulating metal ho-
tails risk and only subsets of patients may respond favor- meostasis confer liver-dependent tissue protection in pneu-
ably, precision medicine may be needed to apply corticoste- monic lungs. An indirect example of liver-dependent immu-
roid therapies most effectively for pneumonia. Consistent noregulation in the lungs relates to MDSC mobilization.
with this premise, a recent clinical trial showed that severe Egress of these anti-inflammatory cells from the bone mar-
community-acquired pneumonia patients with the highest row requires gp130-dependent liver activity during sepsis
(430), suggesting that the liver may be a requisite interme-
levels of inflammation (based on serum CRP) showed sig-
diate for the lung-protective roles of MDSCs observed in
nificant reductions in treatment failure if they received
pneumonia (396).
methylprednisone (494). Investigations in animal models
have shed further light on functional connections between
Extrapulmonary organ injury is a common sequela of se-
neural input and pulmonary immune responses. Vagal de-
vere pneumonia, posing concern for sepsis secondary to
nervation reduces acute pulmonary inflammation and mor-
pulmonary infections (320) and indicating that signals gov-
tality in mice with pneumonia induced by E. coli, likely
erning extrapulmonary tissue resilience are critical to pneu-
owing to decreased engagement of the anti-inflammatory
monia outcome. Liver injury is a prominent feature of sepsis
␣7 nicotinic acetylcholine receptor (␣7 nAChR) on alveolar (471). As discussed above, hepatic acute phase changes oc-
macrophages and neutrophils (476). This is further sup- cur in response to lung infections in mice (403, 404). Pneu-
ported by enhanced injury in mice lacking ␣7 nAChR itself monia-induced transcript changes in hepatocytes include
under the same conditions (476). In another example of hepatoprotective means to limit liver injury, and distur-
brain-derived lung resilience, adrenalectomy impairs circa- bance of such transcriptome remodeling by interruption of
dian suppression of airway epithelial cells and exaggerates either RelA or STAT3 in hepatocytes can lead to hepato-
the lung CXCL5 response, seemingly due to disruption of toxicity (8, 201). The ER stress and antiapoptotic pathways
glucocorticoid receptor occupancy (156), which is consis- induced by STAT3 and RelA in hepatocytes are examples of
tent with the possibility of an endogenous HPA-dependent inducible tissue resilience outside of the lungs. Increased gut
reduction of inflammatory injury. Similarly, adrenalec- permeability, which is both a cause and consequence of
tomy promotes inflammatory injury following intrapul- sepsis (256), is also regulated during pneumonia. Results
monary challenges with LPS or immune complexes, al- from animal models recapitulate pneumonia-induced intes-
though this could be more attributable to modulation of tinal injury and provide evidence for its occurrence being
catecholamine responses rather than glucocorticoids dictated by signals including surfactant proteins A and D
based on blockade studies of the latter (139). A recently (117), PARP (295), EGF (114), Bcl2 (210), and p53 (87).
identified anti-inflammatory role of pulmonary neuroen- Acute injury to the kidneys and brain is also associated with
docrine cells also suggests neural regulation of lung im- sepsis, and increased damage to either organ occurs up- and
munity (49). These innervated lung epithelial cells release downstream of that of the lung (345, 435, 453). In the
excessive neuropeptides and enhance pulmonary inflam- heart, pneumococcal pneumonia can lead to bacterial
mation when their organization is disrupted by targeted growth and macrophage necroptosis within the mycocar-
mutation of the Robo receptor (49), suggesting that the dium that leads to acute injury and prolonged scarring (56,
organization and function of these innervated cells is 159, 417). The mechanistic basis for most of the crosstalk
essential to curbing inflammatory responses to pulmo- between these tissues and the lungs is poorly understood,
nary challenges such as infection. requiring further investigation into biological pathways

that promote or limit damaging interactions. Further in- pneumonia (105, 306, 448, 450, 535). Furthermore, the
sights regarding extrapulmonary tissue resilience will be respiratory microbiome shapes the immune system that de-
essential for illuminating physiological determinants pre- fends the lungs against pathogens (209, 306). The lung
venting disseminated injury and sepsis during pneumonia. microbiome and lung immunity are both influenced by ex-
trapulmonary microbiomes (58, 81, 106, 190, 209), includ-
ing that of the gastrointestinal tract as detailed above, high-
VI. LUNG MICROBIOME AND PNEUMONIA lighting roles of microbiota outside the lungs affecting
pneumonia.
While the lung was previously considered to be a sterile
organ, a microbiome in the lung has become appreciated Finally, the lung microbiome is altered in chronic pulmo-
due to culture-independent techniques for detecting, iden- nary diseases (105). As discussed below, chronic pulmonary
tifying, and quantifying bacteria (105). The bacteria in the diseases increase the risk of pneumonia, and pneumonia
lungs of healthy individuals are likely transients that repre- accelerates the course of chronic pulmonary diseases.
sent a balanced equilibrium of incoming bacteria (from in- Changes in the lung microbiome may mediate some of these
halation, aspiration, etc.) with bacterial elimination (by res- relationships between chronic pulmonary diseases and
ident innate immunity including the mucociliary escalator, pneumonia.
alveolar macrophages, and biochemical components in
lung lining fluids, as described above). While healthy lungs VII. PNEUMONIA SUSCEPTIBILITY
are not likely a niche for stable populations of resident
bacteria growing there, they are never sterile and those mi- We propose a change in how pneumonia is approached,
crobes in the lung have physiological consequences (105). that the medical community should address pneumonia as a
chronic condition of susceptibility rather than merely an
In healthy individuals, the microbiota in the lung are similar acute infection. The argument for such a shift in approach is
to that of the mouth (29, 513). The bacteria are most abun- motivated by the inspiring successes from the cardiovascu-
dant in the largest airways and diminish with increasing lar community. Deaths from infarction (i.e., heart attacks
distance into the respiratory tract, suggesting an oral source and strokes) are presently a third of their levels from a
for the lung microbiome during health (209). Healthy sub- half-century ago (353), contrasting sharply with the un-
jects with greater amounts of this microbiota in their air changing mortality rates for pneumonia over this time-
spaces have evidence of low level subclinical inflammation frame (20, 147, 290, 336). Both pneumonia and infarction
in their BAL fluid (439), implying that recruited immunity are acute events with disastrous consequences. Infarction is
may at times need to supplement resident immunity to con- attacked with blood-thinners and anticoagulants that pre-
trol lung microbiota and prevent pneumonia. Consistent vent or eliminate clots, analogous to attacking pneumonia
with the notion that exposure to respiratory pathogens is using vaccines and antibiotics that prevent or eliminate in-
not sufficient to cause pneumonia, it is not unusual to find fections. However, so much more is done to address the
bacterial agents that cause pneumonia in the lung micro- underlying chronic disease predisposing to acute infarc-
biome of healthy individuals (127, 202, 337). tions. With so little biological understanding at present,
little or nothing can be done to address the underlying
One perspective on pneumonia is to frame it as a shift in the chronic disease predisposing to acute pneumonia.
lung microbiome (105). During pneumonia, the lung micro-
biome becomes dominated by the etiologic agent causing A pivotal event in cardiology was the demonstration that
infection (105, 221, 385, 492). Thus the pneumonia micro- subjects who would later get infarctions already had mea-
biome is differentiated by low microbial diversity, high mi- surable biological changes: higher blood pressure and se-
crobial biomass, and local bacterial growth (105). A feature rum cholesterol (248). This discovery led to individualized
that may differentiate the bacteria that cause pneumonia risk factor assessments, behavioral changes (e.g., in diet,
(FIGURE 1) from other bacteria of the normal respiratory exercise, and smoking) designed specifically to alter the rel-
tract microbiome is that the causative agents of pneumonia evant risk factors, and the use of drugs such as beta-block-
better thrive in a setting of lung inflammation (with differ- ers and statins that target risk factors (rather than acute
ences in nutrients, temperature, biochemical and immune clots) and thereby lower infarction risk (353). Successful
components, etc.). Subsets of organisms within the respira- prevention of infarctions results in part from treating the
tory microbiome may be better adapted to growth in such underlying chronic disease process. The approach to pneu-
environments, and these may be most likely to be causes of monia should move in similar directions. Finding ways to
pneumonia (209). measure and interfere with the chronic processes underlying
pneumonia susceptibility should be major goals for the
In addition to providing agents that cause pneumonia, the coming years. The ability to approach pneumonia by differ-
microbiome importantly influences pneumonia susceptibil- entiating those with susceptibility and effectively treating
ity and outcome. Microbes in the respiratory tract micro- that susceptibility has exceptional promise for diminishing
biome can limit or favor growth of the causative agents of the burden of pneumonia.

QUINTON ET AL.
So who gets pneumonia? Who are the susceptible? As de- (around two-thirds) are younger than 65 yr of age (227).
tailed above, young children and older adults have higher This is probably because the chronic conditions that in-
rates of pneumonia then those aged in-between (FIGURE crease pneumonia susceptibility begin in middle age, and
9A). Multiple clinical and behavioral conditions have been there are more middle-aged than elderly people (e.g., over
identified as risk factors for pneumonia (discussed further twice as many 55 as 75 yr olds in the US, based on 2016
below), and these conditions associate with increased pneu- census data). Finally, only a fraction of the population with
monia risk across the age spectrum (FIGURE 9A) (384). any of the recognized risk factors will get pneumonia, but
However, while those with recognized risk factors have there are presently no means of predicting which subjects
higher rates of pneumonia, this results from an increased within these risk groups are most likely to get pneumonia.
degree of susceptibility rather than a switch from resistant Underlying conditions or risk factors are pivotal, but not
to susceptible. People get pneumonia at every age, even well understood. We summarize here some of the currently
without recognized risk factors (FIGURE 9A). About half of recognized connections between underlying factors and
children hospitalized with pneumonia have recognizable pneumonia susceptibility. However, this is an area that
underlying conditions, especially premature birth or needs more research. Deeper epidemiologic and especially
asthma, while the other half do not (228). Similarly, young physiological insights are needed before we can recognize,
adults with pneumonia more often do not have recognized prevent, or reverse pneumonia susceptibility.
risk factors (FIGURE 9B). In contrast, most older adults hos-
pitalized with pneumonia have underlying conditions that
are known risk factors for pneumonia (FIGURE 9B), includ- A. Age
ing chronic respiratory, cardiovascular, neurologic, or met-
abolic diseases (227). A large fraction of aging adults suffer Although pneumonia can occur across a lifespan, the very
from one or more of these chronic conditions, tilting the young and old are at highest risk. Both the old and young
demographics of pneumonia towards the aging group, re- have impaired immune responses to pulmonary pathogens,
sulting in a disproportionate number of pneumonia cases in as well as increased risk of pathogens breaching impaired
the 60-and-over cohort (FIGURE 9B). Despite this, among anatomic barriers to the lower respiratory tract, such as
adults hospitalized for pneumonia in the US, the majority aspiration of oral or gastric contents. The combination of
A B
Risk stratification:
60
8000 “High-Risk” Factors high-risk
high-risk
at-risk HIV at-risk
Immunosuppressants... 50
Pneumonia Case Distribution
no risk factors
(per 100,000 people per year)
...for malignant neoplasms no risk factors

(across all patients, %)
6000
...for solid organ transplant
40
Congenital immunodeficiency
Pneumonia Rate
Diseases of white blood cells

Functional/anatomic asplenia 30
4000
and more...
“At-Risk” Factors
20
Chronic lung disease
2000 Chronic liver disease
Alcoholism 10
Cigarette smoking
Diabetes
0 and more... 0
r5
17
49
59
r5
17
49
59
er
er
ov
ov
de
de
to
to
to
to
to
to
d
d
un
un
18
50
5
18
50
an
an
60
60
Age Group (years) Age Group (years)

FIGURE 9. Known risk factors for pneumonia are relevant and important, but insufficient to differentiate the
susceptible from the resistant. Figure panels were generated from data reported by Pelton et al. (384),
representing analyses of 3.4 million individuals in Germany from 2008 to 2012. A: pneumonia rates for
individuals stratified by age group and risk factors. For all age groups, the recognized risk factors associate with
elevated rates of pneumonia. Rather than susceptible versus resistant, these risk factors associate with an
increased pneumonia susceptibility up to severalfold. Even those without recognized risk factors get pneumo-
nia. For all risk groups, pneumonia rates are highest at either end of the age spectrum. B: the distribution of
all pneumonia cases among age groups and risk groups. The majority of pneumonias occur in older individuals,
most of whom have recognized risk factors. For younger subjects, including children and adults through age
49, more pneumonias are in subjects without recognized risk factors than in those with recognized risk.

poorer immune clearance and increased alveolar pathogen morbidities compared with those without, it is also evident
burden potently increases age-associated risks for develop- that only a small fraction of those that are young or old and
ing pneumonia. have high risk conditions will get pneumonia in a given
year, on the order of 3,000 per 100,000 or 3% per year
Young children have scant prior history with pathogens, (FIGURE 9A).
leaving them less protected by adaptive immune memory
and more dependent on innate immune responses (as Multiple environmental and behavioral exposures act to-
detailed above). Their lack of heterotypic immunologic gether to increase pneumonia susceptibility. Tobacco
memory against the etiologic agents of pneumonia is smoke represents the most important modifiable risk factor
likely a predominant predisposing factor for childhood for pneumonia (368), with nearly one in three pneumonia
pneumonia. In addition, many specific immune altera- cases attributable to tobacco smoking (14). Both active and
tions have been noted in the very young, including altered passive tobacco smoke exposures increase nasopharyngeal
phagocyte function and cytokine production by their pathogen (e.g., S. pneumoniae) carriage (281, 366) and al-
AMs (219, 274, 275), a preponderance of Treg cells in ter acute respiratory tract immune responses. Short-term
their lungs (487), different patterns of cytokine release by exposure to tobacco smoke disrupts airway mucociliary
their blood leukocytes (261), and altered recruitment and clearance, alters interferon response to viral pathogens, and
activity of their ILCs during respiratory infection (432). attenuates alveolar macrophage, natural killer cell, and
While both are involved, it is unclear whether getting dendritic cell responses to pathogens (464). Chronic expo-
older or gaining experience with microbes (34) is most sures to cigarette smoke substantially derail antibacterial
responsible for “maturing” these and other immune pa- adaptive immunity, diminishing bacteria-specific antibod-
rameters in young children. ies (both IgA and IgG in the BAL fluid and IgG in the blood)
and skewing bacterial antigen-induced T-cell responses
Whereas the very young have immature and inexperienced (whether from lung or spleen) towards IL-17 and away
immune systems that predispose to development of pneu- from IFN-␥ and IL-4 (300). Such changes worsen host de-
monia, excessive activity and chronic inflammation may fense while exaggerating inflammation. Mechanisms by
paradoxically impair immune responses and contribute to
which cigarette smoke alters immune cells are multifaceted,
pneumonia risks in the aged (45). There is evidence of smol-
involving many diverse particulate materials, toxic chemi-
dering inflammation in the aging lung as well. In one study
cals (acrolein, acetone, benzopyrenes, methylcholanthrene,
of bronchoalveolar lavage fluid, healthy volunteers older
etc.), catalytic agents, noxious gases, and more in cigarette
than 65 yr old had increased neutrophil, immunoglobulin,
smoke (464). Many of the ⬎4,000 components of cigarette
and IL-6 concentrations when compared with younger vol-
smoke are individually capable of dysregulating immuno-
unteers (329). The chronic inflammatory milieu of aging
physiology, and the habit of cigarette smoking ensures pro-
induces multiple changes that contribute to increased
longed exposures to large doses of these in combination.
pneumonia risk. Chronic inflammation increases patho-
High levels of secondhand smoke or of air pollution also
gen adhesion to host cells (92), induces tolerance of TLRs
associate with increased risk for and severity of pneumonia
(107), impairs monocyte pathogen clearance (399), and
blunts pulmonary innate immune responses to S. pneu- (7, 364, 538). These exposures contain similar particulate
moniae (203). In short, the cells of the lung and their matter and toxic compounds like acrolein, so pneumonia
inter-communication that is necessary for coordinated susceptibility due to secondhand smoke and air pollution
immune responses become dysregulated with advancing may be from overlapping mechanisms with tobacco smok-
age (50). In addition, multiple changes in the adaptive ing.
immune system associate with aging and reflect a grow-
ing state of immunosenescence with diminished efficacy Long-term tobacco and poor air quality exposure leads to
of responses to diverse microbial challenges (166, 322, chronic lung diseases that further exacerbate pneumonia
557), which may further contribute to the increased sus- risks. COPD is the most common clinically observed path-
ceptibility to pneumonia among the elderly. Modification ological response to long-term exposure to noxious inhaled
of compromised immunity resulting from the chronic in- particles. COPD is characterized by development of fixed
flammation and/or immunosenescence of aging may rep- airway obstruction, emphysematous remodeling of the al-
resent targets of future pneumonia risk reduction, once veolar air spaces, and mucus metaplasia with impaired mu-
better defined. cociliary clearance in the conducting airways. The AMs of
COPD patients adapt to increased oxidative stress by in-
creasing expression of the anti-apoptotic protein Mcl-1,
B. Comorbidities which diminishes antibacterial efficacy of these cells and
may be a biological factor contributing to pneumonia sus-
At any age, a wide spectrum of comorbidities associates ceptibility in these patients (36). Responses of COPD lungs
with increasing risk of pneumonia (FIGURE 9). While pneu- to pathogens are further influenced by alterations in the
monia rates are two- to threefold higher in those with co- airway microbiome (305) as well as COPD treatments such

QUINTON ET AL.
as inhaled and systemic immunosuppressive corticosteroid multiple chronic diseases that lead to pneumonia may iden-
therapies (138, 251). This leads to a three- to fourfold in- tify novel opportunities to interrupt etiological pathways.
creased risk for pneumonia in COPD patients (444, 493).
Smoking cessation reduces the elevated pneumonia risk Drug and alcohol abuse, dementia, and stroke are also as-
for COPD patients, but it is not sufficient to eliminate it, sociated with increased risks of pneumonia (168). Increased
and COPD patients maintain an excessive pneumonia pneumonia risks associated with these conditions that re-
susceptibility despite smoking cessation (12). Impor- sult in altered mental status occur through immunosuppres-
tantly, patients with COPD who get pneumonia experi- sion, altered host microbiome, and disruption of physical
ence acute decrements of lung function that worsen barriers that allow larger burdens of pathogens entry into
COPD severity and chronic inflammation, both of which the lower respiratory tract. Alterations in upper airway re-
increase risk for future pneumonia and perpetuate a cycle flexes and depressed mental status increase dysphagia risk
of COPD decline (444). and the number of pathogens aspirated into lung in patients
with either acute or chronic conditions that impair mental
Asthma, defined by reversible airways obstruction, is asso- status. The risks for pneumonia in conditions disrupting
ciated with a 1.5- to 2-fold increased risk for pneumonia, basic anatomical airway protection are further exacerbated
substantially lower than COPD (216). Reasons for lower by alterations in nasopharyngeal pathogen carriage and lo-
rates of pneumonia associated with asthma as compared cal immune suppression, including impairments in alveolar
with COPD likely include the younger age, less tobacco macrophage function with alcohol and drug abuse (57, 288,
smoke exposure, and different anatomical pathologies ob- 325, 326, 424). For example, chronic alcohol ingestion re-
served in patients with asthma as compared with COPD. sults in oxidative mitochondrial stress leading to dysfunc-
Factors predisposing asthma patients to pneumonia include tional alveolar macrophage phagocytosis and increased
airways with excessive mucus and immune profiles skewing risks of ARDS during pneumonia; both opiates and opiate
towards anti-helminthic defense and allergic responses withdrawal syndromes have protean immunosuppressive
rather than protection against bacteria and viruses (132, actions involving innate and adaptive immunity (424). Ef-
207). fects of alcohol consumption on redox imbalance and oxi-
dative stress in alveolar macrophages have been attributed,
In addition to the increased risk of pneumonia accompany- in part, to diminished glutathione availability (57, 95, 288,
ing chronic lung diseases, comorbid conditions involving 560). The inverse relationship between alcohol consump-
other organ systems also increase pneumonia risk. Despite tion and glutathione levels has been observed in patients
the substantial differences in each condition, diabetes mel- and animal models, and more recent studies have indicated
litus, chronic liver disease, kidney disease, and heart failure that glutathione supplementation can be used to circumvent
all show strong increases (e.g., 1.5- to 4-fold) in pneumonia alcohol-related macrophage dysfunction (326, 344, 560).
risks (216, 493). The hyperglycemia of diabetes impairs Acute neurological insults such as stroke act through vagal
neutrophil chemotaxis (100) and superoxide-mediated an- ␣7 nAChR-mediated anti-inflammatory pathways to in-
timicrobial effects (383), although clinical trials of strict crease pneumonia risks. Increased vagal tone after stroke
control of hyperglycemia fail to demonstrate reductions in activates ␣7 nAChRs on macrophages and alveolar epithe-
pneumonia (6, 486b), implying additional mechanisms lium to impair the innate immune response and promote
contributing to susceptibility. Impaired neutrophil function pneumonia (126). Compounding risks for patients with
during liver disease (40) is in part related to tuftsin defi- substance abuse or dementia, neurological conditions, and
ciency (499). Tuftsin modulates activities of phagocytic impaired physical barrier defenses are comorbid nutritional
cells, but requires activation in the spleen; splenic conges- deficiencies (including vitamin D, zinc, and protein-calorie
tion from cirrhotic liver disease is hypothesized to impair malnutrition) that exacerbate innate immune dysfunction
tuftsin activation. Uremia during chronic kidney disease (27, 183, 296, 411, 420). The aging populace, heralding
impairs neutrophil intracellular killing through unclear more strokes and dementia, plus the growing prevalence of
mechanisms; however, dialysis partially restores neutrophil opiate abuse suggest increasing burdens of pneumonia over
function (17). Mechanisms of increased pneumonia risk coming years, putting added pressure on elucidating mech-
associated with heart failure have not been experimentally anisms by which these major risk factors predispose to
elucidated, although some hypothesize that chronic pulmo- pneumonia.
nary edema may generally impair neutrophil and monocyte
chemotaxis and function. Importantly, chronic diseases For young children, additional major factors associated
cluster together (e.g., diabetes is a risk factor for liver and with increased risk of pneumonia are factors common in
kidney disease as well as heart failure). With the exception areas of lower socioeconomic status, including malnutri-
of targeted vaccination against influenza and pneumococ- tion, vitamin deficiencies, incomplete vaccination, crowded
cus, methods to reduce pneumonia risks among patients living conditions, indoor air pollution/parental smoking,
with chronic disease are unclear and warrant further study. prematurity or low birth weight, lack of breastfeeding, and
Understanding the pathophysiological interactions between HIV infection (142, 225, 277, 365, 514, 542). Breastfeed-

ing is considered one of the most cost-effective interventions (504), and blunted type I interferon signaling (512) may
to reduce childhood pneumonia, by supplying humoral and contribute to the inability to mount an effective response
cellular adaptive immune components to the neonate with a to the increased bacterial load faced by the ventilated
naive and immature immune system. In addition to being lung.
immunocompromised from HIV, childhood comorbid con-
ditions such as gastroesophageal reflux, asthma, and con- Acute viral upper respiratory infections may lead to super-
genital heart diseases also increase pneumonia risk, al- infection with bacterial pathogens in the absence of me-
though diverse mechanisms including increased penetration chanical ventilation and impaired upper airway protection.
of pathogens to the lower respiratory tract, recurrent sub- Bacterial infections (most commonly S. pneumoniae) com-
clinical lung injury, airways disease, pulmonary edema, and plicated nearly all deaths resulting from the 1918 H1N1
chronic inflammation. influenza pandemic (321, 342) and 25–50% of severe influ-
enza deaths during the 2009 H1N1 pandemic (158). Many
mechanisms for bacterial superinfection after viral infection
C. Acute Illness and Pneumonia
are shared with ventilator- and hospital-acquired pneumonia
during critical illness, including epithelial damage increasing
Healthcare-associated pneumonia represents an important susceptibility to bacterial invasion, macrophage depletion and
and potentially preventable burden to the healthcare system dysfunction, type I interferon dysregulation, and attenuated
(573). Pneumonia is the most common healthcare-associ- TH17 responses necessary for bacterial clearance.
ated infection in the US (303), and ventilator-associated
pneumonias alone contributed approximately $3 billion in The numerous and complex mechanisms by which acute
US healthcare costs in 2009 (573). Healthcare-associated viral infections transiently suppress innate and adaptive im-
pneumonias represent a “perfect storm” of pneumonia risk
mune responses against bacteria in the lung have been ex-
factors. Patients in the healthcare setting often have multi-
cellently summarized by others (101, 242, 249, 321, 428).
ple comorbid conditions that increase pneumonia risks,
Most current knowledge relates to interactions between in-
disruptions to airway barriers from sedative medications
fluenza infections and pneumonias caused by pneumococ-
and/or endotracheal tubes, sepsis-induced (41) and drug-
cus or S. aureus, but information may be greatest for these
induced immunosuppression, increased exposures to op-
interactions because they have been examined more exten-
portunistic and antibiotic-resistant bacteria, and an al-
sively because of special relationships among these organ-
tered microbiome from recent antibiotic exposure. It is
isms. Many immunological mechanisms for how influenza
thus not surprising that hospitalized patients are at high
viruses predispose to secondary infections (101, 242, 249,
risk for recurrent pneumonias: ~20% of patients hospi-
321, 428), such as epithelial damage, ineffective macro-
talized with pneumonia and 5% of patients hospitalized
with sepsis, heart failure, or myocardial infarction are phages, exuberant interferons, and TH17 cell dysfunction,
rehospitalized within 30 days with pneumonia (102, should also apply to viral infections other than influenza.
397). Typical of pneumonias occurring during other Supporting such pan-viral generalization, mimicking viral
acute illnesses, ventilator-associated pneumonias repre- signaling by administering noninfectious polyI:C (as a sur-
sent a pathophysiology driven by simultaneous disrup- rogate for viral double-stranded RNA) is sufficient to
tions to upper airway barrier protection, to lower airway render mice susceptible to pneumonia caused by pneu-
clearance mechanisms, and to immunological responses. mococcus or S. aureus, dependent on signaling from type
Despite efforts such as routine chlorhexidine-based oro- I IFNs (489) as was previously demonstrated for influ-
pharyngeal care and measures to prevent gastroesopha- enza virus-induced susceptibility (446). Viruses other
geal reflux among patients requiring mechanical ventila- than influenza, such as RSV and rhinovirus, predispose to
tion, ~1 in 10 patients requiring mechanical ventilation secondary bacterial infections in animal studies and as-
for more than 2 days develop ventilator-associated pneu- sociate with secondary bacterial infections in patient
monia (328). Endotracheal tubes and sedatives remove studies (101). More than one-tenth of all hospitalized
epiglottic airway protection and facilitate entry of oro- adult pneumonia patients in whom virus could be de-
pharyngeal flora into the distal lung. Furthermore, pre- tected also have evidence of bacterial co-infection, and
existing lung injury from prior illness and damage due to the fraction of pneumonias in which a copathogen is
mechanical ventilation, combined with the high preva- identified appears roughly similar across all the different
lence of multidrug-resistant pathogens in the nosocomial viruses (227). Similarly, a plethora of bacterial agents
setting, favors infection with pathogenic bacteria differ- beyond pneumococcus and S. aureus are identified in
ing from the common causes of community acquired studies of secondary bacterial pneumonias, including H.
pneumonia, including Staphylococcus aureus, Entero- influenzae, S. pyogenes, and more (101, 242, 249, 321).
bacteriaceae (especially Klebsiella and E. coli), Pseu- Thus, although many virus-specific and bacteria-specific
domonas, and Acinetobacter (79). Immune suppression contributions to bacterial superinfections after acute vi-
due to critical illness, such as impaired leukocyte glycol- ral infection have been elucidated (249, 321), we suspect
ysis (511), expansion of myeloid-derived suppressor cells that most lower respiratory tract viral infections increase

QUINTON ET AL.
risk for most bacterial pneumonias, through immune can exacerbate the underlying comorbidity predisposing to
pathways triggered by diverse viruses that compromise pneumonia, this becomes a vicious cycle (FIGURE 10). In-
immune defenses against diverse bacteria. creased efforts to interrupt pneumonia susceptibility in
those with comorbidities will help break these feed-forward
In summary, aging, tobacco, alcohol or drug abuse, poor air cycles of comorbidity and pneumonia. However, better bi-
quality, nutritional deficiencies, pulmonary disease, non- ological understanding is needed first. At present, we have
pulmonary comorbid conditions, and acute illnesses or ex- no biologic metrics that can distinguish those with elevated
posures interact to increase pneumonia susceptibility. Con- pneumonia susceptibility from their more resistant peers.
ditions predisposing to pneumonia enhance susceptibility Our understanding of the physiological underpinnings of
by increasing upper respiratory colonization, decreasing lo- pneumonia susceptibility are too rudimentary and incom-
cally protective barrier mechanisms, and altering local and plete to guide useful countermeasures that will preserve or
systemic innate and adaptive immune responses. Impor- restore defects in resistance and resilience that develop due
tantly, conditions that predispose to pneumonia tend to to comorbidities or exposures. In this instance, the epide-
cluster within individuals and communities, further magni- miology is leading the way, and biological understanding
fying pneumonia risks. Because an incident of pneumonia needs to catch up.
A
ceptibility
etc. (and unknown)
sus
frustrated homeostasis
immune dysregulation
chronic inflammation
more likely & sooner
more severe
CO-MORBIDITIES PNEUMONIA
immediate step loss lung injury

accelerated chronic decline bacteremia
acute stress
etc. (and unknown)
se q u elae
B
(Respiratory, Cardiovascular, Cognitive, etc.)
Pn
dysfunction (symptomatic) Pn
Systems Function
Pn
failure (life-threatening)
death
adolescence geriatrics
Age
FIGURE 10. The vicious cycle by which pneumonia drives unhealthy aging. Pneumonia susceptibility is raised
by a wide variety of chronic diseases that are recognized as general risk factors for pneumonia (comorbidities).
Pneumonia elicits a predisposition to and worsening of those same comorbidities. Thus comorbidities make
people more likely to get pneumonia, and pneumonia precipitates and exacerbates comorbidities, which makes
individuals yet more likely to get pneumonia, which yet further accelerates comorbidities, and so on. A: the
self-amplifying cycle of interactions between pneumonia and comorbidities. B: the decline in physiological
function driven by this self-amplifying cycle, schematically rendered to communicate the concept (not actual
data).

VIII. PNEUMONIA SEQUELAE (503, 515). Thus, far from a merciful agent of relief as often
and erroneously conceptualized, pneumonia is a major
The prior section highlights that pneumonia cannot simply problem for the aged and forms a catastrophic positive
be considered as an acute event, but that conditions preced- feedback loop with other chronic diseases (FIGURE 10), pre-
ing infection must be considered as responsible for enabling venting healthy aging and worsening overall decline.
the pneumonia occurrence. Similarly, the outcomes of
pneumonia also should be considered in physiological and
temporal context. Death from pneumonia is one potential A. Short-Term Consequences of Pneumonia
result, perhaps the most emphasized of the possible out-
comes. In addition, pneumonia has other long-term conse- Severe pneumonia results in direct lung injury from the
quences for survivors, which degrade health and hasten infectious pathogen, impairing alveolar gas exchange and
mortality after the acute event is over. causing respiratory failure (FIGURE 11). Pneumonia is the
leading cause of ARDS, when it causes a bilateral injury that
An unfortunate aspect of the strong relationship between includes the diffuse influx of protein-rich edema and inflam-
aging, pneumonia, and death is the prominent notion of matory cells into the alveolar space, destruction of surfac-
pneumonia as the “old man’s friend.” This metaphor is tant, formation of fibrin-rich intra-alveolar hyaline mem-
off-base and counterproductive, encouraging some to con- branes, and loss of gas-exchanging type 1 pneumocytes
clude that pneumonia is inevitable and merciful for the (315). Treatment of ARDS currently consists of supportive
elderly. To our knowledge, this metaphor first appeared in therapy and use of measures to decrease further lung injury
the fifth edition of William Osler’s textbook The Principles caused by mechanical ventilation practices. Patients with
and Practice of Medicine, used to imply that pneumonia can ARDS have mortality rates of 30 – 40%.
provide a quick and painless end for some elderly patients
suffering from other slow terminal conditions (370). How- Severe pneumonia may also result in injury to organs dis-
ever, pneumonia is not universally quick, or painless, or in tant from the lung (FIGURE 11). Prior sections communi-
terminal patients. Ironically, Dr. Osler enjoyed good health cated that lung resistance and resilience depended on ex-
until he developed pneumonia at age 70, leading to months trapulmonary tissues, and it is also clear that extrapulmo-
of distress, decline, and recurrent illness before he eventu- nary tissues can be involved in the acute and severe
ally succumbed to this disease (3). manifestations of pneumonia. The occurrence of life-threat-
ening organ injury from an infection such as pneumonia is
Pneumonia is not typically lethal, but rather it is usually defining for sepsis (454). Extrapulmonary organ damage
survived. The likelihood of survival decreases with age, but resulting from pneumonia may have diverse manifestations
even those over 90 yr of age have a 75% survival rate (3). including encephalopathy, coagulopathy, kidney and liver
Those elderly pneumonia cases (the vast majority) that end failure, as well as cardiovascular complications (e.g., shock
in survival cannot possibly be framed as merciful in any or arrhythmias). With the exception of antibiotics, intrave-
way. They are costly, distressing, and major contributors to nous fluid therapy, and organ-supportive treatments (e.g.,
morbidity for the aged. It is difficult to precisely quantify renal dialysis and mechanical ventilation), no sepsis-specific
the toll pneumonia exacts beyond its (important) impact on treatments have been shown to improve patient outcomes.
mortality, but it is undeniably large. Pneumonia requires Despite the absence of sepsis-specific therapies, improve-
hospitalization in 10 –20% of cases (with more than 5 days ments in the processes of critical care delivery have resulted
of stay typical), necessitates ICU admission in ⬎20% of in nearly a 50% reduction in short-term case-fatality rates
hospitalizations, incurs 30-day readmission rates of ~20% from sepsis over the past two decades (469), revealing that
after hospitalization, and costs tens of billions of dollars per improvements in healthcare delivery can have substantial
year in the US (136, 189, 227, 228, 352, 565). For Medicare impact for this disease. However, this outcome of pneumo-
alone (hence only a subset of the population), pneumonia nia is as grim as ARDS, and severe sepsis patients currently
costs 13 billion dollars in healthcare per year (565). In ad- have mortality rates of 33% (469).
dition to its immediately attributable burden, pneumonia
increases the risk for and worsens the progression of many Considered in isolation as an acute event, pneumonia is a
of the other chronic diseases that also commonly afflict major cause of morbidity and mortality, often due to ARDS
older individuals. For example, as expanded upon below, and/or sepsis. But pneumonia is much more than this acute
after matching for initial disease severity and controlling for event.
confounders, survivors of pneumonia consistently experi-
ence worse degrees of cognitive decline and dementia, func-
tional disability and limitations, heart attacks, strokes, de- B. Long-Term Consequences of Pneumonia
pression, and risk of death over the ensuing years (39, 88, in Adulthood
196, 376, 431, 445). Implicating causal relationships, vac-
cination against respiratory pathogens decreases cardiovas- In the century-plus since Osler depicted pneumonia as
cular and cerebrovascular disease morbidity and mortality friendly to the aged and deemed it “Captain of the Men of

QUINTON ET AL.
PNEUMONIA
FIGURE 11. Pneumonia sequelae. Pneu-
monia causes direct injury to the lungs,
Lung injury Bacteremia Systemic from a combination of microbial and inflam-
inflammation Treatment matory signals. When the degree of injury
crosses a physiological threshold defined
Arterial Organ by blood gases, this is diagnosed as acute
hypoxemia infection respiratory distress syndrome (ARDS).
When infection and inflammation dissemi-
Immunity nate from the lungs and injure other or-
gans, this is diagnosed as sepsis if severe
enough to be life-threatening. ARDS and
Endothelium sepsis are well-recognized outcomes of
Microbiome pneumonia. Perhaps less well-recognized
Organ injury
or dysfunction are the indirect consequences, including
Coagulation
the predisposition to or exacerbation of on-
going chronic diseases such as COPD, ath-
Autonomic NS erosclerosis, cognitive decline, and more.
The mechanisms driving the sequelae of
pneumonia are multifactorial, including sys-
temic inflammation and infection plus local-
ized and diffuse aberrations involving the
immune, cardiovascular, microbiome, he-
DETERIORATION matologic, and nervous systems.
ARDS SEPSIS (decrements in pulmonary, cardiovascular,
neuromuscular, hematologic, cognitive,
psychologic, and other functions)
Death” (370), pneumonia case-fatality rates in advantaged of cognitive and functional status, pneumonia (and not
communities such as the US have dramatically declined other reasons for hospitalization) associates with a 57%
(407). ARDS and sepsis have high mortality rates, but they increase in risk of developing dementia (445). The risk of
occur in only a fraction of pneumonia cases, and fewer than myocardial infarction, stroke, or heart failure increases
10% of all elderly patients hospitalized for pneumonia die fourfold in patients with pneumonia within 30 days, and
from this disease (290). The public health impact of pneu- remains twofold elevated 1 yr later (88). Risks of cardiovas-
monia in the 21st century is perhaps most driven by its cular events associated with pneumonia exceed what can be
contribution to progressive health decline from long-term accounted for by other cardiovascular risk factors such as
complications that often involve extrapulmonary organs diabetes or smoking (88, 89). Finally, nearly one in five
(222, 223). Unlike in Dr. Osler’s day, most pneumonia pneumonia hospitalizations results in rehospitalization
patients today suffer, survive, and deteriorate (FIGURE 11). within 30 days, and most of these readmissions are for
infection (102). Thus hospital discharge after pneumonia
Among older adults, survivors of an acute pneumonia hos- should not imply a full recovery.
pitalization have higher mortality risks that persist for years
following discharge compared with matched patients hos- The mechanisms through which pneumonia affects long-
pitalized for reasons other than pneumonia (48, 128). In- term risk for cognitive, functional, cardiovascular, and in-
creased mortality risks following pneumonia appear to be fectious disease are poorly understood. Current hypotheses
less dependent on age or acute severity of pneumonia, but implicate residual inflammation in the many complications
strongly influenced by the nature of the preexisting comor- that occur following pneumonia. For example, IL-6 levels
bid conditions (48, 88, 128, 343). However, even after ad- measured in the blood at the time of pneumonia hospital-
justing for comorbid conditions as well as age, patients with ization discharge are associated with increased risk of later
pneumonia appear to have worse long-term mortality rates death from cardiovascular disease and infection (561). Cir-
when compared with similar patients who have not suffered culating levels of inflammatory cytokines and acute-phase
pneumonia (398, 561, 563). reactants such as IL-6 and CRP also associate with subse-
quent cognitive decline (551, 552). Poor cognitive and func-
Long-term effects of pneumonia are manifest in extrapul- tional outcomes following pneumonia may additionally re-
monary organs. Pneumonia accelerates or precipitates de- sult from hypoxia and hypoperfusion during acute illness
clines in cognition (445) and functional status (224), as well (445) and from ancillary treatments common to severe
as raising risks for cardiovascular complications such as pneumonia (e.g., benzodiazepine sedatives and bed rest)
stroke, myocardial infarction, and heart failure (88) and for that appear to increase inflammation, acute delirium, and
recurrent infections (397, 398). For example, after account- long-term cognitive risks (376, 378, 393, 532). Increased
ing for multiple comorbid conditions and prior trajectories risks of recurrent and new infections may be due in part to

postinfectious immune paralysis (18, 41). Risks of stroke, monia events hasten cardiovascular deterioration (89, 493,
myocardial infarction, and heart failure may be increased 509). Neurological and psychological diseases make pneu-
due to prolonged coagulopathy (562), endothelial injury monia more likely, and pneumonia compounds the severity
with accelerated atherosclerosis (250), large volume shifts of neurological and psychological diseases (39, 376, 445).
(116), cardiac injury (218, 245, 426), and arrhythmias Such iterative positive feedback loops apply to most of the
(521, 522) that result from pneumonia (FIGURE 10). At least comorbidities associated with pneumonia. In short, pneu-
for some types of pneumonia (e.g., pneumococcus), cardiac monia is both a symptom of and a cause of unhealthy aging.
complications may result from direct infection of cardiac
tissue with macrophage necroptosis followed by scarring
(56, 159). Use of physical rehabilitation (110, 358, 359, IX. CONCLUSIONS AND FUTURE
500), avoidance of benzodiazepines (146, 268), targeted DIRECTIONS
immune modulation (494), and use of cardiovascular risk
reduction medications such as statins and aspirin (520) are Exposures to the ubiquitous microbes that cause pneumo-
active areas of investigation seeking to attenuate myriad nia are routine and unavoidable. Whether and which sub-
long-term risks following pneumonia (271). Further studies jects get pneumonia upon exposure is dictated by mamma-
are required to determine the mechanistic links between lian biology. When the integrated responses of the pulmo-
pneumonia and these longer term extrapulmonary conse- nary, immune, cardiovascular, neurological, and other
quences, as well as the extent to which these complications systems are appropriate to eliminating microbes while pre-
after pneumonia are modifiable. serving physiological function, respiratory infection is sub-
clinical or mild. Too often, though, this is not the case. We
need to develop a better understanding of how the body
C. Long-Term Consequences of Pediatric normally successfully defends itself against respiratory
Pneumonia pathogens so that we can recognize and counter decrements
in these protective pathways. Comorbidities and exposures
Pneumonia affects 50% of children each year in the most render individuals more susceptible to pneumonia, but the
economically disadvantaged regions (77) and is the most biology of this susceptibility is not yet well delineated. The
common reason for childhood hospitalization in regions physiology underlying the long-term and extrapulmonary
such as the US that have a more privileged socioeconomic sequelae of pneumonia that accelerate chronic disease and
status (566). Studies of childhood pneumonia further refute unhealthy aging is only speculative still.
the notion that pneumonia is an acute illness with limited
ramifications for survivors. Rather, children experience We need new ways to approach pneumonia, to diminish the
high rates of subsequent pulmonary comorbidity following burden of this disease that has stayed too high for too long.
pneumonia, with 10% of children suffering complications Continued research into fighting microbes will be helpful,
following resolution of pneumonia (123). Unlike multisys- hopefully resulting in more and better antibiotics and vac-
tem disease of adults, the best recognized long-term com- cines, but these directions cannot be enough. The responsi-
plications of childhood pneumonias are localized to the ble microbes are too numerous, too ubiquitous, and too
affected organ, the lungs. The most common complications diverse. We need to reconceptualize pneumonia. Improved
following childhood pneumonia are development of restric- understanding of the physiology of the acute infection will
tive lung disease, asthma, bronchiectasis, and chronic bron- lead to new approaches for limiting lung injury and the
chitis (123, 298). Acute effects of pneumonia in children dissemination of infection, inflammation, and injury be-
also result in altered lung development that increases the yond the lung. This will reduce ARDS and sepsis. Improved
predilection for pneumonia later in life (236, 237). Biolog- understanding of the biological mechanisms connecting
ical links between early life acute infections and persistent acute pneumonia events to their long-term sequelae will
chronic respiratory diseases are not yet well established, to beget new approaches to interrupting the vicious cycle that
our knowledge. drives unhealthy aging. This will help people live longer,
better. Before people get pneumonia, changes in their phys-
iology are responsible for rendering them susceptible, and
D. Positive Feedback Loop of Pneumonia and these changes are a biological process that is not yet identi-
Progressively Declining Health fied but needs to be defined. Pneumonia susceptibility must
be considered as a chronic condition so that we can develop
As shown by the overlap between pneumonia risk factors medical approaches to combat this chronic condition be-
and pneumonia consequences, iterative positive feedback fore pneumonia occurs. Improved understanding of the
loops are prominent features of this disease (FIGURE 10). mechanisms underlying pneumonia susceptibility will di-
Poor health begets pneumonia, and pneumonia diminishes rect such development. Just as lowering blood pressure and
health. COPD predisposes patients to lung infection, and cholesterol levels help prevent acute infarctions, under-
lung infections accelerate the decline of COPD (444, 493). standing which biological changes render individuals most
Cardiovascular diseases raise pneumonia risk, and pneu- susceptible to pneumonia will provide opportunities for in-

QUINTON ET AL.
terventions that target those biological pathways and re- p91-related transcription factor involved in the gp130-mediated signaling pathway.
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ACKNOWLEDGMENTS
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Medicine, 72 East Concord St., Boston, MA 02115 (e-mail: 12. Almirall J, Bolíbar I, Balanzó X, González CA. Risk factors for community-acquired
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GRANTS 13. Almirall J, Bolíbar I, Toran P, Pera G, Boquet X, Balanzó X, Sauca G; Community-
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The authors received research support from the National the diagnosis and assessment of severity of community-acquired pneumonia. Chest
125: 1335–1342, 2004. doi:10.1378/chest.125.4.1335.
Instutes of Health that is relevant to this review, including
R01 GM120060 and R01 HL111459 (to L. J. Quinton); 14. Almirall J, González CA, Balanzó X, Bolíbar I. Proportion of community-acquired
K01 HL116768 and R01 HL136660 (to A. J. Walkey); and pneumonia cases attributable to tobacco smoking. Chest 116: 375–379, 1999. doi:10.
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R35 HL135756, R01 AI115053, R61 HL137081, and R56
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Physiol Rev 98: 1417–1464, 2018

Published May 16, 2018; doi:10.1152/physrev.00032.2017

INTEGRATIVE PHYSIOLOGY OF PNEUMONIA

Pulmonary Center, Boston University School of Medicine, Boston, Massachusetts

I. INTRODUCTION 1417 As dispiriting as those pediatric statistics are, the popula-

0031-9333/18 Copyright © 2018 the American Physiological Society 1417

1418 Physiol Rev • VOL 98 • JULY 2018 • www.prv.org

Line color: Gram(+)

Fill color: RNA (+) strand

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1420 Physiol Rev • VOL 98 • JULY 2018 • www.prv.org

IL-1RA, IL-10,... exhaustive presentation.

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FIGURE 3. During pneumonia, neutro-

1424 Physiol Rev • VOL 98 • JULY 2018 • www.prv.org

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1426 Physiol Rev • VOL 98 • JULY 2018 • www.prv.org

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creases hepatic and serum C3 levels to a degree that is 2. Bone marrow

1428 Physiol Rev • VOL 98 • JULY 2018 • www.prv.org

3. Spleen fense is also evident in the setting of viral pneumonia, in

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FIGURE 4. Multiple extrapulmonary organs

1430 Physiol Rev • VOL 98 • JULY 2018 • www.prv.org

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1432 Physiol Rev • VOL 98 • JULY 2018 • www.prv.org

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…CD4+ TRM cells the MHCII-dependent expression of a wide variety of cyto-

only in that lobe,

1434 Physiol Rev • VOL 98 • JULY 2018 • www.prv.org

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1436 Physiol Rev • VOL 98 • JULY 2018 • www.prv.org

LUNG INFLAMMATION AND INJURY

TGF-b IL-10 IL-1ra Pro-resolving MUC1

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1438 Physiol Rev • VOL 98 • JULY 2018 • www.prv.org

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...for malignant neoplasms no risk factors

Diseases of white blood cells

Age Group (years) Age Group (years)

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immediate step loss lung injury

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