Joseph Kamtchum-Tatuene1*
Ali Z. Nomani2Sarina Falcione2
Danielle Munsterman2
Gina Sykes2
Twinkle Joy2
Elena Spronk2Maria Isabel Vargas3
Glen C. Jickling2- 1Faculty of Medicine and Dentistry, Neuroscience and Mental Health Institute, University of Alberta, Edmonton, AB, Canada
- 2Department of Medicine, Faculty of Medicine and Dentistry, University of Alberta, Edmonton, AB, Canada
- 3Division of Neuroradiology, Department of Radiology and Medical Imaging, Geneva University Hospital, Geneva, Switzerland
Embolic stroke of unknown source (ESUS) represents one in five ischemic strokes. Ipsilateral non-stenotic carotid plaques are identified in 40% of all ESUS. In this narrative review, we summarize the evidence supporting the potential causal relationship between ESUS and non-stenotic carotid plaques; discuss the remaining challenges in establishing the causal link between non-stenotic plaques and ESUS and describe biomarkers of potential interest for future research. In support of the causal relationship between ESUS and non-stenotic carotid plaques, studies have shown that plaques with high-risk features are five times more prevalent in the ipsilateral vs. the contralateral carotid and there is a lower incidence of atrial fibrillation during follow-up in patients with ipsilateral non-stenotic carotid plaques. However, non-stenotic carotid plaques with or without high-risk features often coexist with other potential etiologies of stroke, notably atrial fibrillation (8.5%), intracranial atherosclerosis (8.4%), patent foramen ovale (5–9%), and atrial cardiopathy (2.4%). Such puzzling clinical associations make it challenging to confirm the causal link between non-stenotic plaques and ESUS. There are several ongoing studies exploring whether select protein and RNA biomarkers of plaque progression or vulnerability could facilitate the reclassification of some ESUS as large vessel strokes or help to optimize secondary prevention strategies.
Introduction
Ischemic stroke is considered cryptogenic when no definite cause is identified during the baseline etiological workup (1). According to the Cryptogenic Stroke/Embolic Stroke of Undetermined Source International Working Group, the baseline etiological workup should include brain imaging with computed tomography (CT) or magnetic resonance imaging (MRI), assessment of the heart rhythm with 12-lead ECG and continuous cardiac monitoring for at least 24 h with automated rhythm detection, transthoracic cardiac ultrasound, and imaging of cervical and intracranial vessels supplying the infarcted brain region (using CT, MRI, conventional angiography, or ultrasonography) (2).
Cryptogenic strokes represent ~30% of all ischemic strokes. They could be further classified into three subgroups: stroke with no cause despite complete baseline workup, stroke with multiple possible underlying causes, and stroke with incomplete baseline workup (3). In the subgroup of cryptogenic strokes with complete workup, embolic stroke of unknown source (ESUS) is a clinical construct referring to non-lacunar ischemic strokes (size >1.5 cm on CT or >2.0 cm on diffusion MRI) of presumable embolic origin (superficial/cortical brain lesion) despite the absence of any obvious sources of cardiac or arterial embolism (e.g., atrial fibrillation, carotid, or intracranial stenosis > 50%) (Figure 1) (2). ESUS represent ~17% of all ischemic strokes with a recurrent stroke rate of 4.5% per year despite antithrombotic therapy (4–6).
Figure 1. Brain and plaque imaging findings in a 64-year-old man with ESUS. (A) Axial angio-CT scan slice showing a hypodense non-stenotic carotid plaque in the right internal carotid artery (white arrow). (B–E) Axial diffusion-weighted imaging slices (with corresponding ADC maps) showing multiple embolic strokes in the right pre-and post-central area. (F,G) Coronal and axial T1-weighted black blood sequence showing hyperintensity of the non-stenotic plaque in the right internal carotid artery (white arrow), thus confirming the presence of intraplaque hemorrhage.
The definition of ESUS was based on the assumptions that cryptogenic strokes may be related to covert atrial fibrillation and that a relationship between non-stenotic atherosclerotic plaques (causing <50% stenosis) and stroke was unlikely. However, there is now evidence to suggest that ESUS represents a heterogeneous group including patients with various other potential causes of stroke besides atrial fibrillation (7–9). Such causes include atrial cardiopathy (10), patent foramen ovale (PFO) (11), cancer (12), and non-stenotic plaques affecting the aortic arch or carotid, vertebral, or intracranial arteries (7, 13, 14). Atrial cardiopathy is a concept referring to a dysfunction of the left atrium that is thought to favor and precede the onset of atrial fibrillation and its eventual detection by electrocardiographic devices. The diagnosis is based on the identification of imaging markers (e.g., left atrial enlargement, spontaneous echocontrast in the left atrium or the left atrial appendage, atrial fibrosis with delayed gadolinium enhancement on MRI), electrocardiographic markers (e.g., paroxysmal supraventricular tachycardia, increased P-wave terminal force in V1, interatrial block, prolonged PR), and blood biomarkers (e.g., N-terminal pro-brain natriuretic peptide, highly sensitive cardiac troponin T) (10).
Non-stenotic carotid plaques are found in 40% of patients with ESUS and 10–15% of patients with ESUS have mild stenosis (20–49%) (2, 15–17). Here we review the evidence supporting the relationship between non-stenotic carotid plaques with high-risk features and stroke in patients with ESUS. We present the remaining challenges in the process of formally establishing the causal link between non-stenotic plaques and ESUS, notably those related to the identification of blood biomarkers of vulnerable plaque. Finally, we discuss the management of non-stenotic carotid plaques in patients with ESUS and highlight areas for future research.
Non-stenotic Carotid Plaques as a Potential Cause of ESUS
The relationship between non-stenotic carotid plaques and ESUS is supported by a set of three clinical observations.
First, in patients with ESUS, carotid plaques are more prevalent on the side of the stroke than on the contralateral side. In a cross-sectional study of 85 patients with ESUS, non-stenotic carotid plaques thicker than 3 mm were present in 35% of ipsilateral carotid arteries vs. 15% of the contralateral carotid arteries (18). A similar finding was observed in a review of 138 ESUS cases from the prospective multicenter INTERRSeCT study (The Predicting Early Recanalization and Reperfusion With IV Alteplase and Other Treatments Using Serial CT Angiography). The investigators found a non-stenotic carotid plaque ipsilateral to the stroke in 29.2% of patients and contralateral to the stroke in 18.7% (17).
Second, in patients with ESUS, there is a lower incidence of atrial fibrillation detected during follow-up in patients with ipsilateral non-stenotic carotid plaques than in those without, thus suggesting that non-stenotic carotid plaques may be related to the stroke. In 777 participants of the New Approach Rivaroxaban Inhibition of Factor Xa in a Global Trial vs. ASA to Prevent Embolism in Embolic Stroke of Undetermined Source (NAVIGATE-ESUS) trial who were followed up for a median of 2 years, the incidence of atrial fibrillation was 2.9 per 100 person-years in patients with ipsilateral non-stenotic carotid plaques vs. 5.0 per 100 person-years in those without (overall rate: 8.5 vs. 19.0%; adjusted hazard ratio: 0.57, 95% CI 0.37–0.84) (15).
Third, plaques with high-risk features are more prevalent on the side of the stroke in patients with ESUS. In a meta-analysis of 8 studies enrolling 323 patients with ESUS, plaques with high-risk features were present in 32.5% of the ipsilateral carotid arteries vs. 4.6% of the contralateral carotid arteries. More specifically, the odds of finding a non-stenotic carotid plaque with a ruptured fibrous cap in the ipsilateral vs. the contralateral carotid artery was 17.5, reinforcing the idea that non-stenotic carotid plaques should not be considered as benign coincidental findings in patients with ESUS (13).
High-risk plaques have features on brain or vascular imaging that are associated with a higher risk of stroke in patients with either symptomatic or asymptomatic carotid atherosclerosis, independent of the grade of stenosis (19–24). The most common high-risk plaque features are echolucency, impaired cerebrovascular reserve, intraplaque hemorrhage (Figure 1), silent brain infarcts, lipid-rich necrotic core, large juxtaluminal black hypoechoic area, large plaque volume, plaque thickness, microembolic signals, mural thrombus, neovascularization, plaque irregularity, plaque inflammation or hypermetabolism, thin or ruptured fibrous cap, and ulceration (19, 21, 25–31). The American Heart Association combines some of these features to derive a classification of atherosclerotic plaques into 6 types reflecting increasing instability and risk of cardiovascular events (Table 1) (32–37). On average, high-risk plaque features are three times more prevalent in patients with symptomatic vs. asymptomatic carotid stenosis (OR = 3.4, 95% CI: 2.5–4.6) (19). They are detected using various vascular imaging modalities (Table 2). To date, there are no data on the risk of recurrent stroke associated with each of the high-risk features in patients with ESUS. Analysis of secondary outcome data from the Carotid Plaque Imaging in Acute Stroke study (CAPIAS; NCT01284933) might help to address this knowledge gap (35, 39).
Table 1. American Heart Association comprehensive morphological classification scheme for atherosclerotic lesions (32–34).
Challenges of Establishing Causal Link With Stroke
Puzzling Clinical Associations
Although studies of high-risk features have provided evidence of an association between non-stenotic carotid plaques and brain infarction in patients with ESUS, establishing causality remains challenging in most cases. The dilemma rests on four clinical observations. First, high-risk features are often found in plaques in the absence of related clinical symptoms (19, 40). In a meta-analysis of eight studies enrolling 323 patients with ESUS, a non-stenotic carotid plaque with high-risk features was identified in the contralateral carotid artery in 4.6% of cases (95% CI: 0.1–13.1) (13). Likewise, in a meta-analysis of 64 studies enrolling 20,571 patients with asymptomatic carotid stenosis of various grades, 26.5% of patients were found to have at least one high-risk plaque feature (95% CI: 22.9–30.3). The highest prevalence was observed for neovascularization (43.4%, 95% CI: 31.4–55.8) and the lowest for mural thrombus (7.3%, 95% CI: 2.5–19.4). On average, intraplaque hemorrhage was found in 1 out of 5 patients (19). Second, high-risk plaque features are not specific for symptomatic carotid plaques. In a meta-analysis of data from 20 prospective studies enrolling 1,652 patients with symptomatic carotid stenosis, high-risk plaque features were identified in <1 in 2 patients (43.3%, 95% CI: 33.6–53.2) (19). Third, in patients with stroke, there is an association between the presence of high-risk plaque features and atrial fibrillation. In a study of 68 patients with embolic stroke, including 45 ESUS, the presence of high-risk plaque features on carotid ultrasound (ulceration, thickness ≥ 3 mm, and echolucency) was independently associated with detection of atrial fibrillation on admission or during follow-up (OR = 4.5, 95% CI: 1.0–19.6) (41). Fourth, in some patients with ESUS diagnosed using the current clinical definition, non-stenotic carotid plaques often coexist with other potential causes of stroke, including atrial fibrillation (8.5%) (15), intracranial atherosclerosis (8.4%) (42), PFO (5–9%) (43, 44), and atrial cardiopathy (2.4%) (45).
Lack of Reliable Biomarkers
The identification of an ipsilateral non-stenotic carotid plaque with or without high-risk features is not sufficient to reclassify ESUS as stroke due to large vessel disease. Further research is, therefore, needed to determine whether combination of vascular imaging findings, clinical data, and candidate biomarkers of plaque progression/instability or atheroembolism (46–82) into multiparameter scores could improve the ability to (1) establish a causal link between ESUS and a non-stenotic carotid plaque, (2) predict plaque progression or stroke recurrence, and (3) select patients who might benefit from adjuvant anti-inflammatory and lipid-lowering therapies as briefly discussed in the next section. Some biomarkers of plaque progression and instability that warrant further investigation specifically in patients with ESUS are presented in Table 3. There are several ongoing projects exploring biomarkers in patients with ESUS or cryptogenic stroke, notably the Searching for Explanations for Cryptogenic Stroke in the Young: Revealing the Etiology, Triggers, and Outcome study (SECRETO, NCT01934725) (95), the Carotid Plaque Imaging in Acute Stroke study (CAPIAS, NCT01284933) (35), and the Biomarkers of Acute Stroke Etiology study (BASE, NCT02014896) (96). Efforts to establish a causal relationship between non-stenotic carotid stenosis and ESUS using biomarkers and multimodal vascular imaging in well-phenotyped prospective cohorts will also benefit from research aiming to identify alternative causes of stroke in patients with ESUS (14, 68, 97–104).
Table 3. Biomarkers of potential interest for the study of non-stenotic carotid plaques in ESUS.
Challenges of Secondary Stroke Prevention
As a result of the challenges to determine the root cause of an ESUS, the optimal treatment strategy for patients with ESUS remains unclear, and a tailored approach would likely be the most appropriate (9). In this section, we briefly describe the strategies that have been explored so far and discuss possible future directions.
Dual Antiplatelet Therapy and Antiplatelet Switch
Following the results of the Platelet-Oriented Inhibition in New TIA and Minor Ischemic Stroke (POINT) (105) and the Clopidogrel in High-Risk Patients with Acute Non-disabling Cerebrovascular Events (CHANCE) (106) trials, patients with ESUS are treated with Aspirin-based dual antiplatelet therapy for 21 days provided that their baseline NIHSS is low. After 3 weeks, patients ideally return to single antiplatelet therapy and switching from Aspirin to Clopidogrel is considered in patients who had an ESUS while on Aspirin (107). A meta-analysis of data from CHANCE and POINT showed that extending the treatment beyond 3 weeks might increase the bleeding risk without additional benefit for secondary stroke prevention (108). Whether the presence of ipsilateral non-stenotic carotid plaque with or without high-risk features would modify the magnitude (absolute risk reduction) and duration (beyond 21 days) of the benefits derived from dual antiplatelet therapy in patients with ESUS remains unknown. In patients allergic to Clopidogrel and in carriers of a CYP2C19 loss of function allele, Ticagrelor might be an alternative according to findings of the Acute Stroke or Transient Ischemic Attack Treated with Ticagrelor and ASA [acetylsalicylic acid] for Prevention of Stroke and Death (THALES) trial (109–112). The ongoing Clopidogrel with Aspirin in High-risk patients with Acute Non-disabling Cerebrovascular Events II (CHANCE-2, NCT04078737) trial is evaluating the superiority of the Ticagrelor-Aspirin combination over Clopidogrel-Aspirin therapy in CYP2C19 loss of function carriers with minor stroke or transient ischemic attack (TIA) (113). There is currently no evidence supporting the use of dual antiplatelet therapies not containing Aspirin or triple antiplatelet therapies (with or without Aspirin) for secondary stroke prevention in patients with acute stroke or TIA (114).
Anticoagulation
The New Approach Rivaroxaban Inhibition of Factor Xa in a Global Trial vs. ASA [Acetylsalicylic Acid] to Prevent Embolism in Embolic Stroke of Undetermined Source (NAVIGATE-ESUS) and the Randomized Double-Blind Evaluation in Secondary Stroke Prevention Comparing The Efficacy Of Oral Thrombin Inhibitor Dabigatran Etexilate for Secondary Stroke Prevention in Patients With Embolic Stroke of Undetermined Source (RE-SPECT-ESUS) trials have shown that universal full-dose oral anticoagulation is not an effective strategy to reduce the risk of stroke recurrence in patients with ESUS (5, 6). These results are likely explained by the heterogeneity of stroke mechanisms in patients with ESUS as discussed earlier, with atrial fibrillation being diagnosed in only 24.8% of cases at 24 months using insertable cardiac monitors (115). Moreover, there is no evidence that patients with ESUS and ipsilateral non-stenotic carotid plaques should be treated differently than those without plaques. In a subgroup analysis of data from 2,905 patients with non-stenotic carotid plaques enrolled in the NAVIGATE-ESUS trial, there was no difference between Rivaroxaban and Aspirin with respect to the prevention of ipsilateral ischemic stroke [Hazard ratio [HR] = 0.6, 95% CI: 0.2–1.9]. Major bleeding complications were significantly more frequent in patients taking anticoagulation (HR = 3.7, 95% CI: 1.6–8.7) (16).
In the Cardiovascular Outcomes for People Using Anticoagulation Strategies (COMPASS) trial, the combination Rivaroxaban-Aspirin (2.5 mg twice daily plus Aspirin 100 mg once per day) was superior to Aspirin alone (100 mg once daily) for the prevention of cardioembolic strokes (HR = 0.4, 95% CI: 0.2–0.8) and ESUS (HR = 0.3, 95% CI: 0.1–0.7) but there was no effect on the incidence of stroke due to moderate-to-severe carotid stenosis (HR = 0.9, 95% CI: 0.5–1.6) (116). Although these results suggest that the combination of Aspirin and low-dose Rivaroxaban could be an effective secondary stroke prevention strategy, they are not directly applicable to patients with ESUS since all patients with acute stroke (<1 month) were excluded from the trial due to the perceived higher risk of major intracranial bleeding (117). Furthermore, the baseline proportion of patients with non-stenotic carotid plaque, with or without high-risk features, was not reported. The prevalence of ipsilateral non-stenotic carotid plaque in participants diagnosed with ESUS during follow-up was also not reported.
According to currently available data, patients with ESUS and features of atrial cardiopathy, notably atrial enlargement, constitute the only subgroup that may benefit from anticoagulation (118). However, since these results are derived from a post-hoc analysis of the NAVIGATE-ESUS trial, they might not be used to justify universal prescription of anticoagulation until confirmation is obtained in dedicated trials. The ongoing Atrial Cardiopathy and Antithrombotic Drugs in Prevention After Cryptogenic Stroke (ARCADIA, NCT03192215) (101), Apixaban for Treatment of Embolic Stroke of Undetermined Source (ATTICUS, NCT02427126), and A Study on BMS-986177 (oral factor XIa inhibitor) for the Prevention of a Stroke in Patients Receiving Aspirin and Clopidogrel (AXIOMATIC-SSP, NCT03766581) trials will, hopefully, provide conclusive results to guide patient care. Likewise, in the Oxford Vascular Study, a large patent foramen ovale is present in 36% of patients with a cryptogenic stroke aged >60 years (119) and associated with a 2.5 times higher risk of recurrent ischemic stroke (120), thus suggesting it might be worth trialing PFO closure or anticoagulation in elderly patients with a large PFO. However, the causal relationship between the PFO and the recurrent stroke was not formally established and the prevalence of ipsilateral non-stenotic carotid plaque not reported. Because PFO closure or anticoagulation are not expected to prevent strokes due to large vessel atherosclerosis, trials of PFO closure or anticoagulation in elderly patients with a large PFO should carefully plan subgroup analyses according to the presence of alternative candidate causes of the recurrent stroke, notably an atrial cardiopathy or an ipsilateral non-stenotic carotid plaque that may coexist with PFO (43, 44, 121).
Other Therapies and Interventions
Currently, patients with ESUS receive intensive lipid-lowering therapy (e.g., statins, ezetimibe) to achieve a level of LDL cholesterol <70 mg/dL (1.8 mmol/L) as early as possible after stroke (122–124). The treatment is maintained long-term if well-tolerated, even in older adults (125–128). Specific targets of LDL cholesterol have not been assessed in patients with ESUS and it is unknown if the presence of an ipsilateral non-stenotic carotid plaque would modify the effect of lipid-lowering drugs as suggested by findings of the Stroke Prevention by Aggressive Reduction in Cholesterol Levels (SPARCL) (129). Furthermore, the potential role of newer classes of lipid-lowering drugs for plaque stabilization and secondary stroke prevention is yet to be defined. Such drugs include proprotein convertase subtilisin/kexin type 9 (PCSK9) inhibitors (small interfering RNA—inclisiran or monoclonal antibodies—evolocumab or alirocumab) and Apo(a) antisense oligonucleotides that reduce plasma levels of both LDL cholesterol and lipoprotein(a) [Lp(a)]; as well as anti- angiopoietin-like 3 monoclonal antibodies that do not affect Lp(a) levels and bempedoic acid (92, 130–135). Like ezetimibe (93, 136), the new lipid-lowering drugs may be useful as add-on or statin-sparing agents in cases of allergy or intolerance to statins, familial hypercholesterolemia, refractory hypercholesterolemia, or in patients with high Lp(a) levels at the time of stroke since statins increase plasma levels of Lp(a) (90, 137). There are reports of an association between high Lp(a) levels and cryptogenic stroke (138, 139) suggesting that Lp(a) could represent a biomarker to guide optimization of lipid-lowering therapy in patients with ESUS as is the case in other cardiovascular diseases.
Systemic inflammation, a hallmark of atherosclerosis, modulates the risk of stroke and the effect of lipid-lowering agents (140–142). This explains the benefit of various anti-inflammatory drugs (e.g., canakinumab, colchicine) for the prevention of atherosclerotic cardiovascular diseases (86, 87, 143). In patients with ESUS and ipsilateral non-stenotic carotid plaque, the effect of anti-inflammatory agents is worth exploring, especially in those with high-risk plaque features since they would not be offered revascularization procedures as first-line treatment according to current guidelines (144–146). Data from the ongoing Colchicine for Prevention of Vascular Inflammation in Non-Cardioembolic Stroke (CONVINCE, NCT02898610) might answer the question of whether patients with ESUS with or without ipsilateral non-stenotic carotid plaques would benefit from the addition of low-dose colchicine to best medical therapy for secondary stroke prevention (147). The relevance of serial vascular imaging to monitor carotid plaque progression and stability is another aspect of the management that remains unexplored.
Besides pharmacological treatments, there is a variety of lifestyle interventions that are beneficial for cardiovascular risk reduction and are recommended by the American Heart Association for secondary stroke prevention no matter the suspected underlying etiology. Such interventions include smoking cessation, regular physical activity, weight loss, improved sleep hygiene, avoidance of noise and air pollution, reduction of salt and sugar intake, higher consumption of fish, fruits, and vegetables (148–155).
Conclusion
ESUS is a common subtype of stroke that is frequently associated with an ipsilateral non-stenotic carotid plaque. Evidence suggests that advanced multimodal vascular imaging and biomarkers might help reclassify some ESUS as large vessel strokes. However, the precise algorithm for this reclassification remains to be designed. Despite significant research efforts since the term ESUS was coined in 2014, the optimal management strategy for patients with ESUS remains unclear. There are several ongoing trials investigating various interventions. While waiting for more evidence to support the design of tailored therapeutic guidelines for the various well-phenotyped subgroups of patients with ESUS, clinicians should continue to fully implement all previously validated stroke prevention strategies, whether an ipsilateral non-stenotic carotid plaque is present or not. Such strategies include short-term dual antiplatelet therapy if appropriate, long-term intensive lipid lowering therapy, control of modifiable cardiovascular risk factors (e.g., hypertension, diabetes, smoking, obesity), and lifestyle changes.
Author Contributions
JK-T did the literature search and wrote the manuscript. MV and JK-T prepared the figure. AN, SF, DM, GS, TJ, ES, MV, and GJ critically revised the manuscript. All authors approved the final version.
Funding
GJ received research grant support from Canadian Institutes of Health Research (CIHR), Heart and Stroke Foundation, University Hospital Foundation, Canada Foundation for Innovation (CFI), and National Institutes of Health (NIH). JK-T was supported by the Faculty of Medicine and Dentistry Motyl Graduate Studentship in Cardiac Sciences, an Alberta Innovates Graduate Student Scholarship, the Ballermann Translational Research Fellowship, the Izaak Walton Killam Memorial Scholarship, and the Andrew Stewart Memorial Graduate Prize.
Conflict of Interest
The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.
Publisher's Note
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Keywords: stroke, carotid stenosis, carotid plaque, biomarkers, atherosclerosis
Citation: Kamtchum-Tatuene J, Nomani AZ, Falcione S, Munsterman D, Sykes G, Joy T, Spronk E, Vargas MI and Jickling GC (2021) Non-stenotic Carotid Plaques in Embolic Stroke of Unknown Source. Front. Neurol. 12:719329. doi: 10.3389/fneur.2021.719329
Received: 02 June 2021; Accepted: 30 August 2021;
Published: 22 September 2021.
Edited by:
Christopher Bladin, Monash University, AustraliaReviewed by:
Klearchos Psychogios, Metropolitan Hospital, GreecePatricia Martínez Sánchez, Torrecárdenas University Hospital, Spain
Jae Won Song, University of Pennsylvania, United States
Copyright © 2021 Kamtchum-Tatuene, Nomani, Falcione, Munsterman, Sykes, Joy, Spronk, Vargas and Jickling. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.
*Correspondence: Joseph Kamtchum-Tatuene, kamtchum@ualberta.ca