Capsaicin As A Therapeutic Molecule 2014 PDF

Progress in Drug Research 68
Series Editor: K. D. Rainsford
Omar M. E. Abdel-Salam Editor
Capsaicin as
a Therapeutic
Molecule
Progress in Drug Research
Volume 68
Series editor
K. D. Rainsford, Sheffield Hallam University,
Biomedical Research Centre, Sheffield, UK
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Omar M. E. Abdel-Salam
Editor
Capsaicin as a Therapeutic
Molecule
13
Editor
Department of Toxicology and Narcotics
National Research Center
Cairo
Egypt
ISBN 978-3-0348-0827-9 ISBN 978-3-0348-0828-6 (eBook)

DOI 10.1007/978-3-0348-0828-6
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Preface
Capsaicin, a homovanillic acid derivative (8-methyl-N-vanillyl-6-nonenamide),

is the pungent ingredient in red peppers of the plant genus Capsicum, including
chillies and jalapenos. Capsaicin has long been used as a probe for sensory neu-
ronal mechanisms. This is because capsaicin selectively stimulates, and at large
doses, defunctionalizes a subset of primary afferent neurons with unmyelinated C
fiber or thinly myelinated Aδ fibers. Most capsaicin-sensitive fibers are polymodal
nociceptors (which respond to a range of sensory stimuli including noxious heat,
pressure, and chemical irritation) as well as heat nociceptors, mechano-heat
insensitive chemonociceptors, and warm receptors. The molecular site of action of
capsaicin and other structurally related substances have been identified and cloned.
This receptor, the transient receptor potential vanilloid 1 (TRPV1), formerly vanil-
loid receptor subtype 1 (VR1), forms a nonselective cation channel in the plasma
membrane that is highly expressed in peripheral and central terminals of these
primary sensory neurons. Capsaicin application at submicromolar concentrations
activates the subset of polymodal nociceptor fibers that express its receptor; this
leads to release of neuropeptides, such as substance P and calcitonin gene-related
peptide, from nerve terminals and burning pain. Higher concentrations or the
repeated application of low concentrations of capsaicin leads to desensitization,
i.e., decline in response to capsaicin and also to other stimuli of polymodal nocic-
eptors. This desensitizing action has made capsaicin attractive for use as a periph-
erally acting analgesic for chronic painful syndromes.
Capsaicin has moved toward clinical applications and is used currently in topi-
cal creams and gels to relieve intractable neuropathic pain, uremic pruritus, and
rheumatoid arthritis. Capsaicin also proved of value in nonallergic (vasomotor)
rhinitis, migraine, cluster headache, herpes zoster, and bladder overactivity and
interstitial cystitis. Resiniferatoxin is an ultrapotent capsaicin analog isolated
from the dried latex of the cactus-like plant Euphorbia resinifera. In patients with
overactive bladder, intravesical resiniferatoxin improves bladder function without
having significant irritancy and/or toxicity. Intrathecal resiniferatoxin is currently
undergoing clinical trials in patients with intractable cancer pain. Capsaicin and
capsaicin-like molecules have thus remarkable potential as pharmaceutical agents
for treating various human aliments.
The intended purpose of this volume is to compile the available knowledge
and the most recent achievements pertaining to the application of capsaicin and
v
vi Preface
capsaicin-like molecules in the management of various human aliments. It also

seems timely to cover basic issues on the capsaicin receptor, the mechanisms of
its action, and its role in physiological and pathological processes and provide the
latest perspectives on these issues. The book aimed to combine both basic
science on the pathophysiological role of sensory nerves and TRPV1 in the
disease process itself, in addition to covering current knowledge and h ighlighting
the most recent progress in the use of capsaicin as a therapeutic agent. Each
chapter is written by noted experts in their field of endeavor. In this way, it is
hoped that the book will be useful for both clinicians and researchers and that it
will stimulate their future research.
I would like to thank all the authors of this volume who worked diligently to
produce such outstanding chapters that not only covered current knowledge but
also discussed important potential pharmaceutical implications for further research
in this field. This book has been only possible because of their efforts. I am most
indebted to the Series Editor, Prof. Dr. Kim Rainsford, and the Senior Editor
Dr. Hans Detlef Klüber for their idea that has led to this book, for kindly invit-
ing me to produce this volume and for the invaluable support. I would also like to
gratefully acknowledge the Springer’s edition Staff and in particular the Project
Coordinator Dr. Andrea Schlitzberger for her continued help and advice through-
out the preparation and production of this book.
Contents
1 Capsaicin and Sensory Neurones: A Historical Perspective. . . . . . . . . 1

János Szolcsányi
2 Pharmacology of the Capsaicin Receptor, Transient Receptor

Potential Vanilloid Type-1 Ion Channel . . . . . . . . . . . . . . . . . . . . . . . . . 39
Istvan Nagy, Dominic Friston, João Sousa Valente,
Jose Vicente Torres Perez and Anna P. Andreou
3 TRPV1 in the Central Nervous System: Synaptic Plasticity,

Function, and Pharmacological Implications. . . . . . . . . . . . . . . . . . . . . 77
Jeffrey G. Edwards
4 Topical Capsaicin Formulations in the Management

of Neuropathic Pain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Mark Schumacher and George Pasvankas
5 Capsaicin-Based Therapies for Pain Control. . . . . . . . . . . . . . . . . . . . . 129

Howard Smith and John R. Brooks
6 Intranasal Capsaicin in Management of Nonallergic

(Vasomotor) Rhinitis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147
Umesh Singh and Jonathan A. Bernstein
7 Capsaicin as an Anti-Obesity Drug. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171

Felix W. Leung
8 The Potential Antitumor Effects of Capsaicin. . . . . . . . . . . . . . . . . . . . 181

Inés Díaz-Laviada and Nieves Rodríguez-Henche
9 Capsaicin as New Orally Applicable Gastroprotective

and Therapeutic Drug Alone or in Combination
with Nonsteroidal Anti-Inflammatory Drugs in Healthy
Human Subjects and in Patients. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
Gyula Mózsik
vii
viii Contents
10 Capsaicin Receptor as Target of Calcitonin Gene-Related

Peptide in the Gut . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
Stefano Evangelista
11 Capsaicin for Osteoarthritis Pain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277

Laura L. Laslett and Graeme Jones
12 The Role of Capsaicin in Dermatology . . . . . . . . . . . . . . . . . . . . . . . . . 293

Katherine Boyd, Sofia M. Shea and James W. Patterson
13 Use of Vanilloids in Urologic Disorders . . . . . . . . . . . . . . . . . . . . . . . . . 307

Harris E. Foster Jr. and AeuMuro G. Lake
Index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319
Chapter 1
Capsaicin and Sensory Neurones:
A Historical Perspective
János Szolcsányi
Abstract Capsaicin, the pungent ingredient of red pepper has become not only
a “hot” topic in neuroscience but its new target-related unique actions have
opened the door for the drug industry to introduce a new chapter of analgesics.
After several lines of translational efforts with over 1,000 patents and clinical tri-
als, the 8 % capsaicin dermal patch reached the market and its long-lasting local
analgesic effect in some severe neuropathic pain states is now well established.
This introductory chapter outlines on one hand the historical background based
on the author’s 50 years of experience in this field and on the other hand empha-
sizes new scopes, fascinating perspectives in pharmaco-physiology, and molecular
pharmacology of nociceptive sensory neurons. Evidence for the effect of capsaicin
on C-polymodal nociceptors (CMH), C-mechanoinsensitive (CHMi), and silent
C-nociceptors are listed and the features of the capsaicin-induced blocking effects
of nociceptors are demonstrated. Common and different characteristics of noci-
ceptor-blocking actions after systemic, perineural, local, intrathecal, and in vitro
treatments are summarized. Evidence for the misleading conclusions drawn from
neonatal capsaicin pretreatment is presented. Perspectives opened from cloning
the capsaicin receptor “Transient Receptor Potential Vanilloid 1’’ (TRPV1) are
outlined and potential molecular mechanisms behind the long-lasting functional,
ultrastructural, and nerve terminal-damaging effects of capsaicin and other TRPV1
agonists are summarized. Neurogenic inflammation and the long-list of “capsaicin-
sensitive” tissue responses are mediated by an unorthodox dual sensory-efferent
function of peptidergic TRPV1-expressing nerve terminals which differ from
the classical efferent and sensory nerve endings that have a unidirectional role in
neuroregulation. Thermoregulatory effects of capsaicin are discussed in detail. It
is suggested that since hyperthermia and burn risk due to enhanced noxious heat
J. Szolcsányi (*)
Department of Pharmacology and Pharmacotherapy, University of Pécs
Medical School, Szigeti u. 12, Pécs H-7624, Hungary
e-mail: [email protected]
O. M. E. Abdel-Salam (ed.), Capsaicin as a Therapeutic Molecule, Progress in Drug 1

Research 68, DOI: 10.1007/978-3-0348-0828-6_1, © Springer Basel 2014
2 J. Szolcsányi
threshold are the major obstacles of some TRPV1 antagonists, they could be over-
come. The special “multisteric” gating function of the TRPV1 cation channel pro-
vides the structural ground for blocking chemical activation of TRPV1 without
affecting its responsiveness to physical stimuli. A new chapter of potential anal-
gesics targeting nociceptors is now already supported for pain relief in persistent
pathological pain states.
1.1 Introduction
Capsaicin is the main pungent hot principle of the fruit capsicum species
(Capsicum annuum, Capsicum frutescent, Capsicum longum etc.) of the genus
Solanaceae. This plant originated from the Americas and has become a popular
culinary spice of food throughout the world. Thus capsicum is known under vari-
ous names such as chilli pepper, red pepper, paprika, cayane pepper, tabasco, jala-
peno, or under its ancient name aji.
Archeological evidence from Mesoamerica documented that inhabitants of
the Tehuacan valley consumed red pepper back to about 7000 BC. From burials
from this age, pepper fruits and seeds were found in early settlements of Mexico.
Ancient native people domesticated chilli around 5200–3400 BC, (Mac Neish
1964; Mózsik et al. 2009) and potteries from the Nazca Culture in Peru were deco-
rated with figures of chilli fruits (Lembeck 1987). For further interesting readings
see (Mózsik et al. 2009; Szállási and Blumberg 1999).
The written history of red pepper started with Christopher Columbus, who
described in his log in 1493 that inhabitants of the New World commonly eat
foods with chilli (Szolcsányi 1993). He named it red pepper because of its spicy
taste resembling the black and white peppers of the Piper genus used in Europe as
favorite and rather expensive spices. Red pepper was also popular in the Old World.
Beyond its culinary usage capsicum has been used also since centuries as folk
medicine. Since the nineteenth century, extracts prepared from pungent pods were
listed in Pharmacopoeia of the United States as Oleoresin capsicin since 1860
(Du Mez 1917), and an alcoholic extract, Tinctura capsici was used in Europe as
topical counterirritant analgesic remedies (Nothnagel 1870; Geissler and Moeller
1887). Since these preparations with the burning sensation induced also cutane-
ous vasodilatation and reddening of the skin they were also called rubefacients. In
tropical countries, chilli intake was used as folk medicine to cope with the hot cli-
mate by enhancing heat loss regulation with capsicum-induced skin vasodilatation
and “gustatory sweating” (Lee 1954).
Isolation of the pungent principle and studies on the pharmacological effects
of capsicum started in the early decades of the nineteenth century. Impure extract
made by Christian Friedrich Bucholz was first named as capsicin and the oily
impure ingredient isolated by Rudolf Buchheim was named capsicol since it
was thought to be a nitrogen-free nonalkaloid compound. Thresh crystallized for
the first time the active principle in 1876 and renamed it capsaicin (Geissler and
1 Capsaicin and Sensory Neurones: A Historical Perspective 3
Moeller 1887; Thresh 1876; Suzuki and Iwai 1984). The chemical structure of
capsaicin was determined by Nelson in (1919).
The chemical structure of capsaicin is 8-methyl-N-vanillyl-trans-6-nonenamide
(Fig. 1.1). It is the main pungent ingredient of red pepper, but in capsicum spe-
cies six further sharp tasting capsaicin-related compounds have also been isolated
with similar pungency. These so called capsaicinoids differ in structure from the
main hot ingredient of capsaicin only in the double bond, arborization, or length
of the long aliphatic chain. In commercial capsicums, the following capsaicinoids
were isolated: capsaicin 33–59 %, dihydrocapsaicin 30–51 %, nordihydrocapsai-
cin 7–15 %, and the remainder, less than 5 % are homodihydrocapsaicin homocap-
saicin, nonanoyl-vanillylamide, and decanoyl-vanillylamide (Mózsik et al. 2009).
The cis-isomer of capsaicin (Fig. 1.1) is a synthetic compound which is not pro-
duced by the plant.
The first paper on studying the pharmacological effects of capsaicin was pub-
lished by Endre Hőgyes in 1878. His main findings include (1) In humans capsicol
as counterirritant does not induce vesiculation in the skin in contrast to canthari-
dine commonly used at that time; (2) Oral intake of capsicol in gelatine capsules
enhances gastrointestinal motility without gustatory effect; (3) In dogs capsaicin
induces fall in body temperature. Owing to the lack of effects in various prepa-
rations innervated by efferent nerves his main conclusion was that “capsicol acts
mainly on sensory nerves” (Hőgyes 1878). Although these observations were pub-
lished in a well-recognized pharmacology journal they remained unnoticed for
more than 60 years and did not form a starting point for the pharmacology of sen-
sory nerve endings.
In striking contrast, at that time similar approaches on the selective actions of
natural alkaloids such as curare, ergot alkaloids, nicotine, and atropine paved the
way to the mechanism of efferent neurohumoral transmissions which led to the
identification of their neurotransmitters of acetylcholine and noradrenaline. Thus
the pharmacology of the efferent nervous system started with investigation the
effects of these rather toxic herbal compounds. The pharmacology of nocicep-
tors started decades after the discovery that nociceptors are the sites of capsaicin
desensitization as described in Ref. (Szolcsányi 2005) (Fig. 1.2).
1.2 Capsaicin Desensitization
The phenomenon of “capsaicin desensitization” was discovered by Nicholas

Jancsó in the 1940s of the last century (Szállási and Blumberg 1999; Szolcsányi
2005, 1984). It was a serendipitious observation in the course of experiments in
which he studied the pivotal mediator role of histamine in mediation of inflam-
mation and storage of macromolecules in endothelial and macrophage cells.
During these years, antihistaminic drugs were inaccessible and therefore he used
in rodents high histamine doses for desensitization of these receptors. He used
by chance capsaicin instead of histamine for desensitization because he thought
4 J. Szolcsányi
Fig. 1.1 Chemical structure of some exogenous and endogenous agonists of the transient recep-
tor potential vanilloid type-1 (TRPV1) capsaicin receptor
that capsaicin acts as a potent histamine releasing agent. It turned out, however,
that the “capsaicin desensitization” is a new phenomenon and it differs from the
actions of histamine in its broad-spectrum antinociceptive effect. The perspectives
(a) Number of publications / year on PubMed:

Capsaicin (n:11416) TRPV1(n:3055)
600
500
Capsaicin
400
TRPV1
300
Drugs
Capsaicin Cloned
200
Receptor Receptor
100
0
1966 1971 1976 1981 1986 1991 1996 2001 2006 2011
(b) Number of publications / year on PubMed:
Neurogenic inflammation (n: 2289)

140
120
100
80
60
BrJ.Pharmac
40
20
0
1965 1970 1975 1980 1985 1990 1995 2000 2005 2010
Fig. 1.2 Number of publications at keywords of capsaicin and TRPV1 (a) or neurogenic inflam-

mation (b) indicated in database of PubMed (2013 March); capsaicin receptor: first publication of
a hypothetical receptor in 1975 (Szolcsányi and Jancsó-Gábor 1975a); cloned receptor: cloning
the capsaicin receptor in 1997 (Caterina et al. 1997). Drugs: first FDA approval for a capsaicin
containing drug (Qutenza). Br. J. Pharmac.: first direct evidence for the existence of neurogenic
inflammation (Jancsó et al. 1967). For more details see text
of these early data, however, were not recognized by the editor of Experientia and
the manuscript written by N. Jancsó with his wife Aurelia Jancsó-Gábor in 1949
on the discovery of capsaicin desensitization was rejected. Afterward the Jancsó
couple focused on their main field of interest on storage of macromolecules in
inflammatory cells and in the kidney which were published in the Nature and other
journals. However, they never sent another manuscript on capsaicin to interna-
tional journals. In 1955 Nicholas Jancsó wrote an excellent monograph in German
on storage of macromolecules in the reticulonoendothelial system and in the kid-
ney (Jancsó 1955). He took this opportunity to summarize all of his results and
concept about “capsaicin desensitization.” Since his views on actions of capsaicin
6 J. Szolcsányi
have been often misinterpreted in recent reviews, I quote in English two sentences
from the book: (1) “The resistance of eyes desensitized by capsaicin also against
acidic, alkalic and even hypertonic salt solutions”… indicates “that the sensory
nerve endings become unresponsive to chemical stimuli although their physical
excitability remains”; (2) “Those receptors (denselben Receptoren) are apparently
desensitization which remain responsive to physically evoked corneal or sneezing
reflexes.” In contrast to the desensitization of the nicotinic receptors “synaptotro-
pen Verbindungen” he never considered the existence of a capsaicin receptor on
sensory nerve endings (Jancsó 1955).
About 10 years later Jancsó 1964 briefly outlined his views for the last time in
English in an abstract of an invited lecture: “Capsaicin induces in rats and guinea
pigs a peculiar sensory disturbance lasting for weeks or even years. The animals
become insensitive to pain by chemical substances while the perception of pain
caused by physical means remains unimpaired. Capsaicin probably interferes with
the synthesis of the mediator substance (of neurogenic inflammation JS) in the
pain receptor or in the whole neurone. The mediator substance may be a brady-
kinin-like polypeptide, or the enzyme producing it” (Jancsó 1964).
The mechanism of this “peculiar” phenomenon remained enigmatic and
without quantitative published data even his statements were questioned and
challenged (Makara et al. 1967). After 4 years of experimental physiological back-
ground I joined the Jancsó’s couple to work on capsaicin in 1962. We worked
together until his demise in 1966. This period was very fruitful but the results were
not summarized, completed and particularly were not prepared for publication. The
first paper on capsaicin desensitization was sent to the Br. J. Pharmacol. Jancsó
et al. (1967) 1 year later (Fig. 1.2) providing also the first direct evidence for the
existence of neurogenic inflammation. Since my view about the role of brady-
kinin differed from Jancsó’s interpretation, this part of experiments and his quoted
conclusion on this aspect were omitted although the data with enhanced brady-
kinin-like activity obtained from the skin after antidromic nerve stimulation were
convincing. I myself made the titration under his supervision on the isolated rat
uterus preparation for several months. My impression was that this bradykinin-
like activity is increasing in time at room temperature and therefore I attributed it
to an enhanced bradykininogen extravasation and not to a release from the nerve
endings. Few years later by using also the rat-isolated duodenal preparation, we
obtained the first hint of evidence that substance P might be the mediator which
is released from the stimulated sensory nerve endings: “The contraction of the rat
duodenum could be attributed to the presence of another mediator: e.g. substance
P” (Jancsó-Gábor and Szolcsányi 1972).
These results remained unnoticed for 10 years (Fig. 1.2). Neither the selective
blockade of chemonociception in capsaicin-pretreated rats nor its blocking effect
on neurogenic inflammation initiated further research although the sensory recep-
tor-selective action of capsaicin was documented also by action potential record-
ings from the saphenous nerve of the capsaicin-desensitized rats (Jancsó et al.
1967). It is worthy to mention that until the mid-1960s there was no unequivo-
cal evidence for the existence of nociceptors (Melzack and Wall 1965) although
Sherrington predicted their existence already in 1906 (Sherrington 1906). Thus, it

remained elusive whether the long-lasting capsaicin desensitization is a neurotoxic
effect which renders sensory nerve terminals in general unresponsive to chemical
agents, or the effect is related to a loss of function of a subgroup of sensory recep-
tors, notably nociceptors, which mediate chemonociception but not those which
mediate mechano-nociception.
1.3 Selective Effect of Capsaicin on Cutaneous

C-Polymodal Nociceptors
C-polymodal nociceptors in the skin, the major subgroup of unmyelinated affer-

ent fibers were discovered by Bessou and Perl in 1969 (Bessou and Perl 1969). The
coined name polymodal refers to responsiveness of these sensory end organs to three
different modalities: noxious heat, moderate-high mechanical, and chemical (acids)
stimuli. First evidence of a selective action of capsaicin on C-polymodal nociceptors
was obtained by the capsaicin-evoked selective collision of the C2 compound action
potentials of the cat saphenous nerve which could be activated also by noxious
heat (Szolcsányi 1977). In addition both electrophysiological and psychophysical
evidence for the thermodependence of its sensory effects on animals and humans,
respectively provided evidence that capsaicin selectively acts on C-polymodal noci-
ceptors (Szolcsányi 1977). Psychophysical assessments on human tongue and skin
also supported this conclusion. Immersion of the tongue into 1 % solution of cap-
saicin resulted in selective loss of chemonociception evoked by capsaicin, mustard
oil or zingerone without altering the recognition threshold concentrations of menthol
and taste stimuli evoked by NaCl, quinine, ascorbic acid, and glucose. These results
provided the first evidence that capsaicin is not a general chemosensory blocking
agent but its effect is restricted to physiologically well-defined groups of sensory
receptors identified as the C-polymodal nociceptors. Temperature discrimination
limens were inhibited in the warm and hot (44–45 °C) range, but sensation to tac-
tile and cold stimuli remained intact. On the blister base on volar skin, the pain pro-
ducing effect of capsaicin, bradykinin, or acetylcholine, but not that of potassium
chloride solution, was inhibited after topical application of a high, desensitizing con-
centration of 1 % capsaicin solution (Szolcsányi 1977; Szolcsányi and Pintér 2013).
The results provided the first set of evidence for a selective action of capsaicin on
nociceptors and for the thermo- and chemoanalgesic effect of capsaicin pretreatment
on human skin and tongue (Fig. 1.3).
Excitation and desensitization of cutaneous primary afferent units in the rab-
bit ear by close arterial injection of capsaicin fully supported its highly selective
action on this group of nociceptors (Fig. 1.4). Capsaicin did not evoke over a
100-fold dose range action potentials of C-mechanoreceptors, A-delta (Aδ)
mechanical nociceptors, and all types of Aδ and Aβ mechanoreceptors or
C-afferent cooling receptors (Szolcsányi 1987, 1980). These sensory receptors
were neither desensitized to their natural stimuli after high doses of capsaicin.
8 J. Szolcsányi
(a) Number of publications / year on PubMed:
Capsaicin nociceptor (n: 1133)

80
70
60
50
40
30
J.Physiol
20
10
0
1976 1981 1986 1991 1996 2001 2006 2011
(b) Number of publications / year on PubMed :
Capsaicin human pain (n:1359)

90
80
70
60
50
40
J.Physiol
30
20
10
0
1975 1980 1985 1990 1995 2000 2005 2010
Fig. 1.3 Number of publications at keywords capsaicin nociceptor (a) and capsaicin human

pain (b) Arrows first publication on the lists (Szolcsányi 1977)
It was interesting, however, that action potentials of C-polymodal nociceptors

to all three modalities of mechanical, chemical (bradykinin, xylene, capsaicin),
or noxious heat stimuli were suppressed or blocked. Desensitization of a single
C-polymodal unit to one kind of stimulation often was not paralleled by similar
changes in responsiveness to other modalities of stimulation and most units still
responded to one type of stimulation. Thus, it seems that the transducer processes
and not the conducting axons were impaired (Szolcsányi 1993, 1987). Notably, in
contrast to earlier findings close arterial injection of bradykinin in low but not in
high doses evoked action potentials exclusively on C-polymodal nociceptors but
not on other types of afferent fibers (Szolcsányi 1987). Topical application of cap-
saicin in 50 % DMSO on the skin of rat (Kenins 1982), or on the burn-induced
blister base in the cat (Foster and Ramage 1981), and on intact skin of humans
Fig. 1.4 Response of a
C-polymodal nociceptor of
the rabbit ear to repeated
intra-arterial injections
of capsaicin. Number of
discharges in each 2 s
period (a and b) and in 1 s
(c). The marks below the
graphs indicate the duration
of capsaicin injection.
Doses: 20 μg (a), 200 μg
(b) and 600 μg (c). Note
the reproducibility with
the small dose and the
desensitization after higher
doses. (Reproduced from
Szolcsányi 1987a with the
kind permission of the editors
of J. Physiology London)
(Konietzny and Hensel 1983) or monkeys (Bauman et al. 1991) as well single
unit studies after intradermal injection in the rat (Martin et al. 1987) or monkey
(Bauman et al. 1991) supported that capsaicin evoked action potentials only on
C-polymodal nociceptors, on Aδ mechanoheat (polymodal) nociceptors, and also
on mechano-insensitive (MiH) or silent C-nociceptors (Szolcsányi 1993, 1996).
Interoceptors with axons conducting in C- and Aδ range and excited by brady-
kinin and in some cases also by mechanical stimuli were shown to be excited and
desensitized by capsaicin. These results have recently been summarized elsewhere
(Szolcsányi and Pintér 2013).
10 J. Szolcsányi
Beyond the mechano-heat sensitive C-polymodal nociceptors (CMH) in the

skin of healthy human subjects, a smaller portion of C-nociceptors were mecha-
noinsensitive; most of them still responded to noxious heat (CH) but 6/67 units
were insensitive to physical stimuli (CMiHi) (Weidner et al. 1999). Nevertheless,
both C-polymodal nociceptor (CMH) (LaMotte et al. 1992; Schmelz et al. 2000a)
and CH and CMiHi nociceptors were activated by intracutaneous injection of
capsaicin (Schmelz et al. 2000a). Furthermore, topical application of mustard
oil or capsaicin sensitized the CMi nociceptors and several of them afterward
responded to mechanical stimuli (Schmelz et al. 1994). In another study, tonic
pressure on the human skin sensitized most of the C-mechano-insensitive units
and responded with action potentials after 20 s (Schmidt et al. 2000). It is impor-
tant to note that there is clear evidence that capsaicin-sensitive CMH and CMi
nociceptors mediate itch (Johanek et al. 2008; Han et al. 2013) and are mainly
responsible to mediate the axon reflex flare in human skin (Schmelz et al. 2000b).
Topical desensitization of the skin with high concentration of capsaicin abolished
the itch sensation (Tóth-Kása et al. 1986). It is interesting that axon reflex flare
could be evoked also in pigs (Pierau and Szolcsányi 1989), but not in rodents and
it is also mediated by CMi fibers (Lynn et al. 1996). After UV-B irradiation these
silent nociceptors are sensitized (Rukwied et al. 2008) as C-polymodal nocicep-
tors (Szolcsányi 1987).
Taking together all these findings on the excitatory and blocking effects of cap-
saicin by recording activity of single sensory fibers the following conclusions can
be drawn:
(1) Physiological well-defined types of sensory units with unmyelinated (C) or
thin myelinated (Aδ) fibers are excited by capsaicin. The largest subgroup
of these capsaicin-responsive units are the C-polymodal nociceptors but in
monkeys, pigs, and humans considerable group of afferents are mechanically
insensitive albeit they could be sensitized sometimes under inflammatory con-
ditions to become mechanical responsive (Szolcsányi and Pintér 2013).
(2) Mechanoreceptors with unmyelinated or myelinated axons cannot be acti-
vated and there is no evidence for their long-term blockade after capsaicin
application. Cold receptors are neither sensitive to capsaicin.
(3) After high capsaicin doses responsiveness of C-polymodal nociceptors is
inhibited to mechanical, thermal, and chemical stimuli. Complete dam-
age of these nociceptors, however, also could be elicited by higher doses of
capsaicin (Szolcsányi and Pintér 2013). Nevertheless, there is functional
evidence that after capsaicin pretreatment loss of responsiveness of capsa-
icin-sensitive nerve terminals is not necessarily due to loss of nerve fibers.
Electrophysiological data support different stages of desensitization of the
nerve endings to natural stimuli (sensory desensitization) (Szolcsányi 1993;
Szolcsányi and Pintér 2013).
(4) Large group of capsaicin-sensitive sensory receptors release neuropeptides
and induce neurogenic inflammation and other efferent tissue responses in
internal organs. Thus, they have dual sensory-efferent function (see later).
1.4 Experimental Models for Capsaicin-Induced Blockade

of Nociceptors
1.4.1 Terminology
The traditional descriptive term of “capsaicin desensitization” simply refers to the

refractoriness of animals, human beings, or in vitro tissue preparations to capsaicin-
type agents which is accompanied in rodents by chemoanalgesia and impaired ther-
moregulation in a warm environment (Szolcsányi 1993; Szolcsányi and Pintér 2013).
Owing to the present state of knowledge on operations and modulation of TRPV1
channels the term is now obsolete. It might have been different meanings and there-
fore should be avoided. Here the long-term functional unresponsiveness of capsaicin-
sensitive, TRPV1-expressing neurons and their sensory nerve endings are summarized
which can be achieved by high doses of capsaicin or its congeners. Precise mecha-
nisms at the molecular level of unresponsiveness, shift of threshold or thermal
enthalpy, potency, or efficacy of agonists, modulators of the gating function of the inte-
grative TRPV1 cation channel to various stimuli are discussed in another chapter of
this book and see also recent references (Szolcsányi and Pintér 2013; Szolcsányi and
Sándor 2012; Xia et al. 2011; Touska et al. 2011; Planells-Cases et al. 2011). In the
pharmacology “desensitization” means a decreasing responsiveness or refractoriness
to the action of a chemical agent, as declining gating of the TRPV1 or nicotinic recep-
tors to the respective agonists by recording at cellular level of currents, ion fluxes, or
other responses. For decreasing responsiveness to repeated application of an agonist
compound in isolated organs or isolated cells, the term tachyphylaxis is used although
in some publications they are also called desensitization. The term “desensitization” is
an accepted term also in sensory physiology and pharmacology referring to the change
of responsiveness of the sense organ to various stimuli (Szolcsányi 1993; Szolcsányi
and Pintér 2013). In order to make it clear in this chapter for this functional block-
ade or diminished responsiveness of the capsaicin-sensitive primary afferent neurons,
the term “sensory desensitization” is used. The importance of this differentiation is
underlined by the fact that capsaicin-induced sensory desensitization involves all func-
tions of the nociceptive nerve terminals, while pharmacological desensitization of the
TRPV1 channel inhibits only those effects which are mediated by this cation channel.
1.4.2 Sensory Desensitization Induced by Capsaicin
Repeated application of capsaicin congeners in near threshold concentrations or

low doses in vivo or in vitro induces reproducible effects without desensitization
(Szolcsányi 1993; Szolcsányi and Pintér 2013; Szolcsányi and Jancsó-Gábor 1976).
At higher concentration ranges, however, a dose-dependent sensory desensitization
develops within minutes even under in vivo condition. Figure 1.4 (Szolcsányi 1987)
shows that close arterial injection of capsaicin into the rabbit ear in doses of 20 μg
12 J. Szolcsányi
elicited similar burst of discharges on a single unit of C-polymodal nociceptor, while a

10 times higher dose induced desensitization and further increment in dose resulted in
unresponsiveness to capsaicin, although it still fired to an enhanced level of tempera-
ture or mechanical stimuli but not to bradykinin. Close arterial injection of 0.2 μg cap-
saicin into the hindleg of the rat also evoked reproducible number of spikes on C- or
Aδ single unit fibers of polymodal nociceptors (Szolcsányi et al. 1988). Instillation
of capsaicin congeners into the eye of rats produced similar reproducible nocifensive
wiping responses at low threshold dose range of the compounds and induced sensory
desensitization at higher doses. The sensory desensitization evoked by the compound
was related to the chemical structure and not to magnitude of the nocifensive reaction.
Thus, not excessive stimulation but strong binding of the agonist and lasting opening
the cation channel is responsible for the sensory desensitizing effect (Szolcsányi and
Pintér 2013; Szolcsányi and Sándor 2012). It is interesting that under these condi-
tions no sensitization was observed although after subcutaneous (s.c.) injection of
capsaicin under the skin of rat’s hind paw (Szolcsányi 1977) or after topical capsaicin
application on the skin of monkey (Bauman et al. 1991) or in an in vitro skin prepara-
tion (Guenther et al. 1999) sensitization of C-polymodal nociceptors to innocuous heat
stimuli was observed.
For studying the sensory desensitizing effect of capsaicin there is a large scale
of methods used in animal experiment:
(1) Topical application to the skin or instillation into the eye or applying to other
mucosal areas of airways, gastric mucosa, or urinary bladder induces local
desensitization. These latter scopes will be discussed in other chapters of the
book owing to their potential therapeutic relevance.
(2) Close arterial injection. It has the advantage of studying dose-related effects
with fast onset and short lasting exposure. Results of these treatments have
been discussed and an example is shown in Fig. 1.4. Subcutaneous injection
for regional sensory desensitization or neurotoxic damage of the cutaneous
sensory nerve terminals can be achieved.
(3) Subcutaneous or intraperitoneal injections of capsaicin in large doses particu-
larly in rats and mice is a common method for inducing long-term systemic
sensory desensitization. The lasting effects observed after pretreatment of adult
or neonatal animals—as has been compared mainly on rats—are qualitatively
different. Therefore, they are discussed separately.
(4) Perineural application around various nerve trunks in rats, mice, guinea pigs,
and other species.
(5) Intrathecal application.
(6) In vitro application to preparations of isolated organs, sensory nerve-peripheral
tissues, sensory nerve-spinal cord preparation, tissue slices, cultured dorsal or
trigeminal neurons and TRPV1 transfected cell lines are commonly used.
(7) TRPV1 gene-deleted mice and TRPV1 siRNA knockdown mice and recently
gene modified animals using Cre-recombinant knock in mice have provided
new scopes of evidence for the role of TRPV1 in various functions. Notably,
TRPV1 transfected cell lines has become indispensable means in high
throughput screening in drug development.
1.4.3 Systemic Application in Adult Animals
In rats the antinociceptive effect of systemic capsaicin pretreatment lasts for

several days, weeks or months (Szolcsányi 1993; Buck and Burks 1986; Holzer
1991; Szolcsányi 1987b, 1990). In all reported studies the blockade of chemon-
ociception to large scale of agents was clearly shown, but antinociceptive effect
against noxious heat or mechanical stimuli resulted in controversial results. It
could be due partly to methodical differences. It was particularly striking that
although after topical application on the human skin there was a marked enhance-
ment in noxious heat threshold (Szolcsányi 1990) in animal experiments when
testings with conventional models of hot plate, tail flick, radiant heat or plantar
tests which detect reflex latencies to suprathreshold stimuli the results were con-
tradictory. Furthermore, often the eye-wiping test to capsaicin (Szolcsányi and
Jancsó-Gábor 1976) was taken as a level of “desensitization” to noxious chemical
stimuli, while physical stimuli were applied on other parts of the body. The first
study (Holzer 1991) to measure the threshold for different nociceptive stimuli on
the same skin area of the hind paw led to the following results. After a total s.c.
dose of 400 mg/kg given in five successive days, the blockade of chemonocic-
eption to xylene was complete for a week, and it remained inhibited for 25 days
while the enhanced noxious heat threshold returned slightly earlier. After pretreat-
ment with 150 mg/kg nociceptive thermal threshold increased by 2.5 °C for one
day, but returned to the control level on the fourth day. Slight enhancement in
the threshold of cutaneous mechanical stimuli lasted only for 1 week (Szolcsányi
1987). Mechanical hyperalgesia due to chronic inflammation, however, was mark-
edly reduced in capsaicin pretreated rats (Barthó et al. 1990). In contrast to all
these findings antinociceptive effect of capsaicin pretreatment on the capsaicin-
evoked eye-wiping test lasts after a dose of 50 mg/kg over 2 months (Szolcsányi
1993; Szolcsányi and Pintér 2013). Long-lasting antinociceptive effect of sys-
temic capsaicin pretreatment of adult guinea pigs (Buck et al. 1981) and mice
(Gamse 1982) were also reported. It is worthy to mention, that birds are not sen-
sitive to the irritant effect of capsaicin and after high dose of close arterial cap-
saicin injection desensitization to nociceptive chemical stimuli was neither evoked
(Szolcsányi et al. 1986).
The long-lasting antinociceptive effect of capsaicin pretreatment is accompa-
nied by severe mitochondrial swelling of the small B-type neurons of the trigem-
inal or dorsal root ganglia (Joó et al. 1969; Szolcsányi et al. 1975; Chiba et al.
1986). This ultrastructural damage was described also in some corneal nerve end-
ings after topical application of capsaicin (Szolcsányi and Pintér 2013; Szolcsányi
et al. 1975) and could explain the functional loss of the affected nociceptors
without frank degeneration. Peripheral and central nerve terminals of capsaicin-
sensitive primary afferent neurons are more vulnerable to systemic or intra-arterial
capsaicin doses. Thus in contrast to the cell body axon terminals but not the dorsal
root fibers degenerate after capsaicin pretreatment (Chung et al. 1990, 1985; Pethő
and Szolcsányi 1996; Palermo et al. 1981). Furthermore, impaired mitochondrial
function with diminished ATP production could explain the characteristic fatigue
14 J. Szolcsányi
of responsiveness of the affected sensory receptors (Szolcsányi and Pintér 2013;

Szolcsányi and Jancsó-Gábor 1976; Szolcsányi 1990; Szolcsányi et al. 1975). The
decreasing level of nocifensiveness to repeated application of a nondesensitizing
vanilloid e.g. zingerone should be taken into account to avoid overlooking a partial
desensitized state.
1.4.4 Systemic Treatment of Neonatal Rats
It was reported in 1977 by the group of Gábor Jancsó that rats treated s.c. on the
second day of life with 50 mg/kg capsaicin produces within an hour massive acute
necrotic cell death of small B-type of primary afferent neurons. These animals
tested in the adult age failed to respond to capsaicin and in these animals neuro-
genic inflammation could not be elicited (Jancsó et al. 1977, 1987). One year later
Thomas Jessell, Claudo Cuello and Leslie Iversen made the remarkable discovery
(Jessell et al. 1978) that capsaicin pretreatment of adult rats selectively depleted
the sensory neuropeptide substance P from the sensory ganglia but not from other
tissues. Usage of capsaicin in neuropeptide research as a sensory neurotoxin was
one of the main reason why interest to capsaicin research increased in the eighties
as indicated on Fig. 1.2. For this purpose a model suggesting complete and selec-
tive loss of sensory neurons seemed to be more tempting than usage of rats treated
in the adult age. Several quantitative morphological studies confirmed the original
observation of Gábor Jancsó (1987) in respect of substantial loss of B-type neu-
rons and sensory unmyelinated C-fibers in adult rats after neonatal pretreatment. It
turned out, however, that loss of neurons is not restricted to the capsaicin-sensitive,
i.e., C-polymodal nociceptive neuronal population and several secondary changes
in the peripheral tissues and in the pain pathway was revealed which resulted in
contradictory conclusions (Holzer 1991; Cervero and McRitchie 1981). Most
importantly single unit studies showed an indiscriminate loss of sensory C-fibers
(Welk et al. 1984) and the spectrum of destructed primary afferent neurons
depended on the dose (Nagy et al. 1983). Selective degeneration of C-afferents
has been described in a lower dose range of 20–30 mg/kg dose and the com-
monly used 50 mg/kg induced 18 % loss of the myelinated fibers. Furthermore,
34 % loss of large light RT96 labelled A-type neurons was also described (Lawson
and Harper 1984). Further secondary changes are reviewed elsewhere (Szolcsányi
2005; Holzer 1991; Szőke et al. 2002a).
Acute necrotic cell death was not observed after neonatal treatment of rats with
other TRPV1 agonists as resiniferatoxin (Szállási and Blumberg 1999; Szolcsányi
et al. 1990) or anandamide (Szőke et al. 2002b) and in both cases again the selec-
tive, pronounced mitochondrial swelling in B-type sensory neurons was striking as
in rats treated with capsaicin in adult age. Furthermore, quantitative morphometry
provided strong evidence that there is no significant loss of neurons in trigemi-
nal ganglia for 5 days after neonatal capsaicin treatment (Szőke et al. 2002a). The
loss of neurons in trigeminal ganglia ensued on the next two weeks, but this loss
was completely prevented by daily administration of 100 μg/kg s.c. NGF. The first

dose was given one day after the capsaicin injection, to avoid the interference with
the acute capsaicin effect.
It has been concluded that after neonatal capsaicin treatment few cells with
necrotic or apoptotic signs of degeneration observed shortly after the treatment
could be attributed to the asphyxia induced by capsaicin which evokes in this dose
range pronounced reflex apnoea, fall in blood pressure and heart rate (Szolcsányi
et al. 1990) leading dose dependently to mortality even after adult treatments
(Szikszay et al. 1982). After treatment with other TRPV1 agonists as resiniferatoxin
(Szolcsányi et al. 1990) or anandamide which do not evoke the Bezold Jarish reflex
mitochondrial swelling in small type of neurons of dorsal root or trigeminal gan-
glia but not cell death was observed. In all cases of TRPV1 agonists these ultras-
tructural changes lasted for several weeks or months (Szállási and Blumberg 1999;
Szolcsányi 1993; Szolcsányi and Pintér 2013; Szőke et al. 2002a; Szolcsányi et al.
1990; Szőke et al. 2002b). Except for these mitochondrial changes there are quali-
tative differences between the endpoints of adult or neonatal capsaicin treatments.
An important difference should be underlined. Biological markers and sensory neu-
ropeptides missing in rats pretreated in the neonatal age summarized in different
reviews in several cases are not expressed in capsaicin-sensitive neurons (Buck and
Burks 1986; Holzer 1991). Thus, in contrast to the listed data there is no evidence
for expressing cholecystokinin, (CCK), vasoactive intestinal polypeptide (VIP), argi-
nine vasopressin, bombesin, or galanin in TRPV1-expressing capsaicin-sensitive
neurons (Szolcsányi et al. 1994). Another important point is the effect of capsaicin
treatment on wound healing. Trophic lesions in the skin and cornea in rats pretreated
at the neonatal but not in adult age were described by Carlo Maggi group (Maggi
et al. 1987; Abelli et al. 1993). Wound healing was not affected after perineural cap-
saicin treatment (Wallengren et al. 1999) although epidermal immunoreactive CGRP
and substance P fibers were markedly lost for at least 42 days (Dux et al. 1999).
1.4.5 Perineural Application
After perineural application of 1 % capsaicin the first evidence for a long-lasting
functional impairment of capsaicin-sensitive afferent responses proposed to be due
to substance P depletion was reported by Jancsó et al. (1980). Subsequent single unit
studies revealed that after a non-selective axonal blockade of this high concentration
of capsaicin lasting for 1–3 days, selective loss of C-polymodal nociceptors and an
increased noxious heat threshold of the remaining units are together being responsible
for the analgesic effect of this type of capsaicin treatment (Petsche et al. 1983; Pini
et al. 1990; Szolcsányi 1993; Szolcsányi and Pintér 2013). The advantage of local-
ized degeneration of capsaicin-sensitive afferents and the long-lasting effect due
to degeneration of the fibers made this technique popular and was tested on sciatic,
saphenous, or vagal nerve trunks mainly on rats but occasionally also on the guinea-
pig, ferret, rabbit, cat, and monkey (Szolcsányi 1993; Szolcsányi and Pintér 2013).
16 J. Szolcsányi
After 1 % capsaicin application significant antinociception against noxious heat or

mechanonociceptive stimuli lasted over 10 days (Szolcsányi 1987). In the concen-
tration range of 0.1–1.5 % long-lasting depletion of substance P was reported (Wall
1987). Furthermore, for a potential therapeutical usage of the highly potent resinifera-
toxin (RTX), perineural application was proposed in a concentration of 0.001 % which
produced noxious heat analgesia for 2 weeks (Kissin 2008). In a recent publication
(Browning et al. 2013), however, after perivagal capsaicin application degeneration
of vagal efferent motoneurons was also demonstrated suggesting a “critical re-evalu-
ation” in this field. Mechanism of neurotoxicity evoked by high concentration of cap-
saicin or RTX applied on nerve trunks remained enigmatic and could not be explained
on the basis of cytotoxicity described in vitro when high concentration of capsaicin
was applied to overexpressed cell lines or to cultured neurons of sensory ganglia
(Kissin 2008).
1.4.6 Local Desensitization by Subcutaneous Pretreatment
Topical application of capsaicin is already in the analgesic therapy for some neu-
ropathic and osteoarthritic pain states (Szolcsányi and Pintér 2013). Therefore
this scope is discussed in other chapters of this book including the long-term loss
of epidermal sensory fibers after subcutaneous injection of capsaicin in humans
(Szolcsányi 1993; Szolcsányi and Pintér 2013). Under experimental condition in the
rat, sc. injection of capsaicin (5 μg/50 μl) induced enhancement of noxious heat and
mechanical nociception for 2 weeks (Szolcsányi 1987). In respect of noxious heat
and noxious cold threshold changes induced, intraplantar injection of capsaicin, res-
iniferatoxin and N-oleoyldopamine (OLDA) were tested for several days. It has been
found that injection of TRPV1 agonists of capsaicin and RTX induced an enhanced
noxious heat threshold and shifted down the noxious cold threshold providing a
clear desensitizing effect in a dose dependent manner. The recovery from the cold
antinociception was, however, faster than that of the hot one indicating probably that
the sensory desensitizing/damaging effect of the nerve endings lasted not as long as
the vanilloid-induced diminished function of the noxious heat responsive TRPV1
thermotransducer. OLDA failed to elevate noxious heat threshold indicating its low
sensory desensitizing potency (Bölcskei et al. 2010). Plantar incision-induced heat
hyperalgesia was reduced by infiltration the plantar region by 0.025 and 0.1 % cap-
saicin similarly as after perineural capsaicin pretreatment while mechanical hyperal-
gesia was only slightly influenced (Hamalainen et al. 2009).
1.4.7 Intrathecal Application
The prolonged potent antinociceptive action of intrathecal capsaicin combined

with depletion of substance P in the dorsal horn reported by the group of Tony
Yaksh provided in 1979 the first evidence for the blockade of central terminals
of capsaicin-sensitive nociceptors (Yaks et al. 1979). Damaged glomerular

C-type terminals of the dorsal horn localized with ultrastructural technique
proved the selective site of action (Palermo et al. 1981). Piperine and nonanoyl
vanillyamide together with capsaicin enhanced the tail flick latency in paral-
lel with the depletion of substance P and somatostatin, while the less pungent
capsaicin congeners were less effective or ineffective after central application
(Micevych et al. 1983) similarly as at the peripheral terminals for inhibition the
eye-wiping responses (Szolcsányi and Jancsó-Gábor 1975). Structure–activity
relationship between the potency of immediate neuropeptide release and long-
term antinociceptive effect was observed (Jhamandas et al. 1984). The highly
potent analgesic effect of intrathecal RTX application has been revealed in our
laboratories in 1993 (Szolcsányi et al. 1993). More recent detailed analysis and
therapeutical perspectives of intrathecal RTX application is discussed in a sepa-
rate chapter of this book.
1.4.8 Effect on In Vitro Preparation
Until the mid sixties of the last century few papers were published on the in
vitro effects of capsaicin on isolated preparations from mammals or on microor-
ganisms (Fig. 1.5) (Molnár 1965; Szolcsányi 1982). Smooth muscle responses
already reported seemed to me interesting to reveal some new type of neurogenic
mechanisms mediated by some capsaicin-sensitive interoceptors. The first in
vitro evidence reported in 1978 fully supported this hypothesis. Capsaicin selec-
tively stimulated and subsequently abolished for hours the function of nerve end-
ings of extrinsic neurons which elicited a new type of neural efferent mechanism
(Szolcsányi and Barthó 1978; Barthó and Szolcsányi 1978). This unorthodox
dual “sensory-efferent” function of “capsaicin-sensitive” nerve endings (Fig. 1.5)
turned out to revise the classical axon reflex theory (Fig. 1.6) and will be discussed
under a separate subheading. Subsequently several in vitro studies were reported
on the role of substance P and other neuropeptides and about their possible media-
tor role in the spinal dorsal horn of the nociceptive pathway. Wide range of reports
are summarized in several reviews (Buck and Burks 1986; Holzer 1991; Maggi
1995). The enhanced interest on capsaicin in the eighties (Fig. 1.2) could be attrib-
uted mainly to the high interest in neuropeptide-related research.
The first evidence that capsaicin (1–10 μM) selectively depolarizes and
evokes spikes on dorsal root ganglion cells supplied by C fibers was reported by
Heyman and Rang in (1985). A study on cell culture of dorsal root ganglia (DRG)
cells revealed earlier a major subgroup of neurons which were selectively activated
by bradykinin and as tested in some cases also to capsaicin (Baccaglini and Hogan
1983). The selective depolarization of vagal sensory C-fibers and cell bodies due
to enhanced conductance to sodium and calcium ions was subsequently described
together with the calcium-induced in vitro neurotoxic effect documented with
ultrastructural pictures (Marsh et al. 1987). Furthermore, several seminal papers
published by the Sandoz group from London analysed in detail the ion fluxes
18 J. Szolcsányi
(a) Number of publications / year on PubMed

:
Capsaicin - sensitive (n:1862)
120
100
80
60
40
N-SArch Pharmacol
20
0
1977 1982 1987 1992 1997 2002 2007 2012
(b) Number of publications / year on PubMed

:
Capsaicin in vitro (n:1891)
110
100
90
80
70
60
50
40
30
20
10
0
1973 1978 1983 1988 1993 1998 2003 2008
Fig. 1.5 Number of publications at keywords capsaicin-sensitive (a) and capsaicin in vitro (b).

Arrow first publication on the list (Szolcsányi and Barthó 1979)
and their biochemical consequences (Wood et al. 1988; Winter et al. 1990) and
electrophysiological effects of capsaicin (Bevan and Szolcsányi 1990; Bevan and
Docherty 1993). In a rat saphenous nerve–skin preparation in vitro the selective
excitatory effect of capsaicin on polymodal nociceptors was observed (Seno and
Dray 1993) in accordance with the in vivo data discussed earlier. Threshold con-
centration of capsaicin was around 100 nM on C-MH and Aδ-MH (polymodal)
fibers and up to 1–3 μM no other types of sensory receptors were excited.
Another seminal observation in studies on phorbol esters made by Peter
Blumberg around the turn of the 1990s was the discovery that resiniferatoxin
(RTX) a tricyclic diterpene isolated from the fresh latex of Euphorbia resinifera
differs in actions from other phorbol esters and evoked responses on nociception and
thermoregulation which resembled that induced by capsaicin. Capsaicin and RTX

molecule share a common vanilloid moiety linked to apolar regions (Fig. 1.1). After
the first in vivo studies were completed, a common spectrum of effects of these
vanilloids revealed that RTX has several orders higher potency than capsaicin, but
showed also some special features (Szolcsányi et al. 1990; De Vries and Blumberg
1989; Szállási and Blumberg 1989. Thus, RTX has become a promising tool and
Árpád Szállási with Peter Blumberg introduced a H3RTX binding technique and ini-
tiated a series of extensive investigations on the “vanilloid receptor” (Szállási and
Blumberg 1990). Full account of these achievements (Szállási and Blumberg 1999)
are discussed in two other chapters of this book. Nevertheless, it is worthy to men-
tion that as early as in 1990 single patch recording from neurons of dorsal root gan-
glia showed evidence that capsaicin and RTX apparently gated the same ion channel
(Bevan and Szolcsányi 1990). Furthermore, sympathetic neurons, neurofilament-
containing (A-type) neurons and non-neural cells were not sensitive to RTX or cap-
saicin and the two compounds acted on the same cells (Winter et al. 1990) as an
evidence also on a spinal cord-tail preparation (Dickenson et al. 1990).
Intrathecal application of capsaicin revealed the important scope of action of
capsaicin on the central terminals of the capsaicin-sensitive afferents in the spinal
cord (Dickenson et al. 1990). Two in vitro electrophysiological studies first sup-
ported these observations. The excitatory effect of capsaicin (10–20 μM) in a spinal
cord slice preparation was followed by a loss of slow excitatory postsynaptic poten-
tials (EPSP) (Urbán et al. 1985). In the isolated spinal cord of the neonatal rat dorsal
root stimulation evokes a ventral root reflex on the conralateral side. The slow com-
ponent of the ventral root reflex but not the fast one was abolished after local (1 μM
for 30 min) or systemic (50 mg/kg s.c. 2 days before) capsaicin pretreatment (Akagi
et al. 1985). More recently it has been described that capsaicin (1 μM) increased the
glutaminergic miniature EPSP postsynaptic currents in lamina II dorsal horn second
order nociceptive neurons while the amplitudes of the “inhibitory postsynaptic poten-
tials” (IPSP-s) were inhibited (Pan and Pan 2004) or according to another study the
GABAergic miniature IPSP-were not changed (Kim et al. 2009).
1.4.9 Action of Capsaicin on the Brain
The first functional and morphological evidence that capsaicin has a site of action
in the brain was obtain more than 40 years ago within the series of analysing the
thermoregulatory effects of capsaicinoids (Jancsó-Gábor et al. 1970a; Szolcsányi
et al. 1971. This aspect will be discussed under a separate subheading since it forms
the major obstacles for developing TRPV1 antagonist due to the common hyper-
thermic side effect of some otherwise promising drug candidates. Morphological
evidence using radioimmunoassay, H3RTX binding and in situ hybridization detec-
tions of TRPV1 mRNA resulted in positive effects in various brain regions although
quantitative estimations revealed about a 30 times lower level of expression in brain
areas than in the sensory ganglia (Caterina 2007). Using the TRPV1 reporter mice
20 J. Szolcsányi
Fig. 1.6 a Theory of dual sensory-efferent function of capsaicin-sensitive nociceptors


(Reproduced from Szolcsányi 1988 with the kind permission of Birkhäuser Publishing House).
b Original concept of axon reflex theory. c Revised axon reflex theory (Reproduced from
Szolcsányi 1984 with the kind permission of Akadémiai Kiadó, Budapest). d Role of capsaicin-
sensitive nerve endings in gastroprotection. e Enhanced protection of gastric mucosa by intake
of low concentration of capsaicin (Reproduced from Szolcsányi and Barthó 1981 with the kind
permission of Akadémiai Kiadó, Budapest)
a highly sensitive technique TRPV1 was detected only in the posterolateral hypo-
thalamus with strong presence in primary sensory ganglia (Cavanaugh et al. 2011).
From the functional aspect particular attention was paid to sites of the descend-
ing inhibitory pain pathway and on the hippocampus. These unsettled issues on
the actions of capsaicin in the brain are discussed in another chapter and in several
recent reviews (Kauer and Gibson 2009; Steenland et al. 2006; Palazzo et al. 2008).
1.5 Efferent Function of Capsaicin-Sensitive Sensory

Nerve Endings
It was discovered by Nicholas Jancsó that pain producing agents evoke inflamma-
tion by stimulation of nerve endings which could be desensitized by capsaicin pre-
treatment (Jancsó 1955, 1964). In a posthumous paper written by his wife Aurelia
Jancsó-Gábor and myself as his coworker provided the first “direct evidence” for the
existence of neurogenic inflammation (Jancsó et al. 1967). Cardinal signs of inflam-
mation as plasma extravasation through the interendothelical gaps of the contracted
endothelial cells of the post-capillary venules but not at the capillaries (Majno et al.
1961) and involvement tissue cells as histiocytes in storage of these proteins in
response to orthodromic or antidromic electrical stimulation of sensory nerve endings
were not shown earlier. Subsequently, in neurogenic inflammation of the airways the
sites on postcapillary endothelial gaps were confirmed and adhered leukocytes (mono-
cytes, neutrophils) and platelets were also detected (McDonald 1988). The axon
reflex flare reddening was analysed in detail by Thomas Lewis (1927, 1937), anti-
dromic vasodilatation described by Bayliss (1901) more than 100 years ago and even
the loss of mustard oil-induced chemosis in the denervated eye could be attributed to
responses of arterioles or in the last example the oedema could be due to the damaged
capillaries (Szolcsányi 1996). Our studies in addition provided evidence for the medi-
ating role of a subpopulation of nerve endings subserving chemogenic pain.
Could capsaicin-sensitive interoceptors also evoke similar dual sensory-efferent
tissue responses? This was the intriguing next question to be answered. With my
coworker Loránd Barthó we started these works on in vitro preparations of isolated
organs. It turned out that on the classical preparation of the guinea-pig isolated ileum
capsaicin and mesenteric nerve stimulation elicit a new type of nerve-mediated con-
traction (Szolcsányi and Barthó 1978; Barthó and Szolcsányi 1978). Subsequently
we described capsaicin-sensitive neural responses in the rabbit ileum, guinea-
pig taenia coli and airway smooth muscle preparations (Szolcsányi 1984, 1996;
22 J. Szolcsányi
Maggi 1995). On the other hand it was striking that neural responses to stimula-
tion of vagal parasympathetic, mesenteric sympathetic, intramural cholinergic,
purinerg or substance P mediated peptiderg neuroeffector transmissions were not
affected. Thus the neuroselective action of capsaicin was proven for the first time
under in vitro condition (Maggi 1995). Therefore the term “capsaicin-sensitive” neu-
ral system with characteristic “sensory-efferent” function was introduced in 1978
(Szolcsányi and Barthó 1978, 1979; Maggi 1995; Jancsó et al. 1968). Characteristic
features of this type of capsaicin sensitivity are: (1) Fast response from nanomo-
lar (10−8 M) concentrations of capsaicin; (2) Activation is followed after washing
out the compound by lasting—after micromolar range irreversible—neuroselec-
tive blockade of the capsaicin-responsive neuroeffector responses to electrically or
chemically induced stimulation without affecting neurotransmissions of classical
autonomic nerves; (3) Responses evoked by capsaicin are absent after chronic den-
ervation. Although up to 1 μM concentration of capsaicin smooth muscle responses
to electrical stimulation of autonomic fibers remained unchanged, in the presence
of high concentration (from 3 × 10−5 M) inhibition of responses to sympathetic
nerve stimulation was observed. This non-selective effect, is however, fully revers-
ible and recovers within minutes after washout the compound from the organ bath
(Szolcsányi and Barthó 1978). On isolated neurons of the dorsal root ganglia a simi-
larly reversible nonselective inhibition of outward currents was observed already in
the presence of 1 × 10−5 M capsaicin (Szolcsányi 1990). These studies opened up
high interest in the field of neuropeptide research particularly to shed light on the
role of substance P, other tachykinins, CGRP or somatostatin as local regulatory pep-
tides. The increase in the number of papers on capsaicin during the eighties under
keywords of “capsaicin in vitro ”or “capsaicin-sensitive” (Fig. 1.5) revealed several
important scopes of this new type of neural mechanism (Maggi 1995).
In contrast to the classical axon reflex theory (Szolcsányi 1984; Caterina 2007;
Cavanaugh et al. 2011; Kauer and Gibson 2009; Steenland et al. 2006; Palazzo
et al. 2008; Majno et al. 1961; McDonald 1988; Lewis 1927) our results revealed that
the mediator of the capsaicin-sensitive efferent responses is released from the sensory
receptors and not through axonal collaterals from effector nerve terminals (Fig. 1.6).
More than 40 years ago we have shown that local anaesthetics instilled into
the rat’s eye did not inhibit the plasma extravasation evoked by capsaicin pro-
viding evidence for a mediator release from the nerve endings without involve-
ment of axonal conduction (Jancsó et al. 1968). I have also shown on the
guinea-pig isolated trachea that neurogenic contraction evoked by capsaicin
(3.3 − 330 × 10−8 M), piperine (3.5 − 350 × 10−7 M) and two synthetic capsa-
icin congeners were neither inhibited by tetrodotoxin. Furthermore, under these
conditions, potency of the compounds to evoke efferent response run parallel
with their sensory receptor stimulating nociceptive effect (Szolcsányi 1983a).
Thus, it has been suggested that capsaicin-sensitive sensory nerve endings have
dual sensory-efferent functions (Szolcsányi 1984 ,1996, 1988) and in this way
form a new type of nerve terminals different from the classical autonomic effer-
ent and sensory afferent nerve endings which subserve unidirectional functions
in neuroregulation (Fig. 1.6).
Further studies on effects of capsaicin in isolated organs supported (Maggi

1995; Németh et al. 2003; Maggi et al. 1988) or intended to modify slightly this
concept (Lundberg 1996) suggesting that axon reflexes are needed at thresh-
old concentration of capsaicin (10−8 M), but not at higher ranges. Jan Lundberg
group reported inhibition by tetrodotoxin or omega-conotoxin in the guinea-pig
perfused lung preparation (Lundberg 1996). We have revealed, however, (Németh
et al. 2003) that release of sensory neuropeptides (substance P, CGRP, somatosta-
tin) from the isolated rat’s trachea evoked by 10 nM capsaicin was not inhibited
by lidocaine (25 nM), tetrodotoxin (1 μM) omega-conotoxin GVIA (100–300 nM)
and a low concentration (50 nM) of agatoxin TK while 250 nM agatoxin TK or
cadmium (200 μM) inhibited or completely prevented the release of these neuro-
peptides. In the light of the preferential opening of the TRPV1 channel to Ca++
over Na+ (Caterina et al. 1997; Wood et al. 1988; Bevan and Szolcsányi 1990) the
intracellular high Ca2+ concentration to TRPV1 activation could release neuropep-
tides probably even before the graded depolarization of generator potential open
the voltage-gated Ca2+ and Na+ channels for spike initiation (Fig. 1.6). Beyond
the conceptional novelty for neuroregulation this scope is important, since epider-
mal TRPV1-expressing arborizations of peptidergic fibers are also sites for neuro-
peptide release causing local effects on keratinocytes or on epithelial cells of the
conjuctiva, airways and various organs. This would not be expected when the clas-
sical axon reflex theory—which still seems to be is reiterated (Chiu et al. 2012)—
would be valid.
Further important point was, that antidromic stimulation of capsaicin-sensitive
dorsal roots evoked also in internal organs neurogenic inflammation and enhance-
ment of microcirculation. In rats segmental neurogenic inflammatory plasma
extravasation was shown to antidromic stimulation of lumbosacral dorsal roots on
genito-urinary organs and rectum (Pintér and Szolcsányi 1995) and enhancement
of microcirculation not only in the skin but also in the striated muscle of the rat’s
hindleg was detected with laser-Doppler flowmetry (Pórszász and Szolcsányi 1994).
It is important to note that in rodents where the receptive field of polymodal nocic-
eptors is small, almost punctate no axon reflex flare could be seen, while in primates
(see earlier) and pigs (Pierau and Szolcsányi 1989) the large receptive field indicating
the wide arborization of the terminal axons was coupled with axon reflex flare evoked
by capsaicin or other irritants.
In order to obtain some evidence for the functional significance of this efferent role
of capsaicin-sensitive nerve terminals it seemed to be interesting to test the effects of
capsaicin on the stomach where the mucose is in contact with high acidity of the gas-
tric juice. Could capsaicin protect the mucosa by inducing enhanced mucosal micro-
circulation? Furthermore, capsaicin-pretreated rats are more prone for ulcer formation
than the controls? Our results in fact fully confirmed that it is the case (Szolcsányi
and Barthó 1981, 2001) and the scheme on Fig. 1.6d and e, from our first publica-
tion seems to be still valid. Afterwards extensive studies of Peter Holzer from Graz
on the gastrointestinal mucosal protective effect of capsaicin in low concentration and
on the role of CGRP released from TRPV1-expressing nerve endings were revealed
several important new details in this field (Holzer and Sametz 1986). (For reviews
24 J. Szolcsányi
Holzer 1991, 2007; Szolcsányi and Barthó 2001). Clinical studies for gastroprotective
effect of capsaicin are in progress in Pécs (Mózsik et al. 2009) and data obtained on
humans are summarized by Gyula Mózsik in another chapter.
Final interesting point to refer here is the high efficacy of vasodilator effer-
ent function of capsaicin-sensitive nerve endings. Both in humans to transcuta-
neous electrical stimulation and in rats to dorsal root stimulation the frequency
optimum of enhancement in cutaneous microcirculation is much lower than that
required to elicit pain or nociception (Szolcsányi 1996, 1988).
A serendipitous observation revealed an even more interesting neurohumoral regu-
latory role of the capsaicin-sensitive nerve endings. In the course of experiments to
stimulation the cut peripheral end of dorsal roots in the rat a systemic antinociceptiv/
antiinflammatory effect mediated by the capsaicin-sensitive nerve endings was dis-
covered (Szolcsányi 1996; Szolcsányi et al. 2011). A subgroup of TRPV1-expressing
sensory neurons store the neuropeptide somatostatin, which is also released when
these polymodal receptors are activated and—as measured—access into the circula-
tion producing a systemic “sensocrine effect.” Inhibition of the function of immune
cells, nociceptors, and neurogenic inflammation by nerve stimulation could be evoked
via sst4 and sst1 somatostatin receptors. Synthetic stable peptide (TT-232) or nonpep-
tides analogues being selective agonists on these receptors are potential analgesic/
antiinflammatory drug candidates without endocrine side effects which are mediated
by the other three somatostatin receptors. High efficacy to inhibit by sst4 agonists
neuropathic and complete Freund’s adjuvant (CFA)-induced hyperalgesia underlines
their potential usage as analgesics (Szolcsányi et al. 2011; Pintér et al. 2006).
1.6 Effects on Thermoregulation
The heat-loss effect of capsaicin was described already by Hőgyes (1878) and the
loss of capsaicin-induced fall in body temperature in rats, mice and guinea-pigs
was a good indicator for the state of “capsaicin desensitization” in early studies
of Nicholas Jancsó (1955). Beyond the obvious effect of capsaicin on peripheral
thermosensors the role of preoptic central warm sensitive thermodetectors was
analysed with involvement of my help in these experiments (Jancsó-Gábor et al.
1970). Capsaicin activated several heat-loss thermoeffectors in rats as cutaneous
vasodilatation, inhibition of oxygen consumption at cool but not at thermoneutral
ambient temperature and in cats evoking sweating of the plantar skin and pant-
ing. Furthermore, in rats intrapreoptic microinjections of capsaicin interrupted
shivering and induced fall in body temperature (Szolcsányi 1982; Szolcsányi and
Jancsó-Gábor 1973, 1975b; Pierau et al. 1986).
Particularly striking was the effect of capsaicin on thermoregulatory escape
behaviour from a warm environment. In the two setups we used the floor was
covered with plastic sheet, to minimize the involvement of cutaneous recep-
tors. In contrast to the controls after 1 mg/kg s.c. given capsaicin all rats escaped
from the heat chamber (39–41 °C) and their body temperature decreased by 4 °C
(Szolcsányi and Jancsó-Gábor 1975b; Szolcsányi 2004). Rats pretreated 20 days

before with high capsaicin doses (50 + 100 mg/kg s.c.) could not cope their
body temperature to overheating (Szolcsányi 1982; Jancsó-Gábor et al. 1970)
and remained in the heat chamber although their hyperthermia reached nearly
lethal level of 42 °C (Szolcsányi and Jancsó-Gábor 1975b; Szolcsányi 2004. In
striking contrast rats where the brain 5-HT level was depleted by p-chlorophe-
nylanine (PCP) treatment although they also showed enhanced hyperthermia in
the warm chamber their thermoregulatory behaviour was just the opposite to
that of the capsaicin pretreated animals. All PCP-treated rats left faster the warm
chamber than the controls indicating that their impaired physiological heat-loss
regulation was compensated by behavioural means (Szolcsányi and Jancsó-
Gábor 1975b). After desensitizing doses of capsaicin the rat’s body temperature
for 1–2 days was significantly higher at room temperature but after this period
their body temperature does not differ from that of the controls (Szikszay et al.
1982; Szolcsányi 1982; Szolcsányi and Jancsó-Gábor 1973, 1970). Beyond cap-
saicin piperine, several vanillylamides and homovanilloylamides induced also
long-term/irreversible impaired thermoregulation lasting for several months
(Szolcsányi 1982; Jancsó-Gábor et al. 1970).
Thermoregulatory behaviour and physiological regulatory features of capsa-
icin pretreated rats do not support the concept that tonic activation of visceral
TRPV1 by nonthermal factors is the adjustable reference signal in thermoreg-
ulations as proposed recently (Romanovsky et al. 2009). Temperature selec-
tion of rats between two compartments differing in 5 °C differences was not
altered in capsaicin pretreated rats up to 25 °C ambient temperature. These rats
were pretreated with 50 + 100 mg/kg s.c. capsaicin 3–120 days before testing
and remained in the warmer chamber of 35 versus 30 °C, while the controls
choose the 30 °C. There was no sign of recovery of the disturbed thermoreg-
ulatory behaviour for 4 months. Slight tendency to avoid 40 versus 35 °C
was observed but it was still impaired as compared to the untreated controls
(Szolcsányi 1983b).
In respect of physiological thermoregulation of capsaicin pretreated rats there
was differential upward shift in threshold for activation various heat-loss mecha-
nisms. It was striking that rats with complete loss of heat avoidance behaviour at
35 °C ambient temperature responded with cutaneous vasodilatation in the tail
when their body temperature was increased only by 1 °C or their skin tempera-
ture by 4.4 °C (Szolcsányi 1983). Nevertheless when the ambient temperature
was raised from 25 to 35 °C cutaneous vasodilatation started later at higher cuta-
neous and body temperatures than those of the controls. Furthermore, in con-
trast to the abrupt marked tail vasodilatation of the controls, the pretreated rats
responded with slowly developing vasodilatation which were often interrupted
with vasoconstrictor periods in an oscillatory manner. Heat-loss grooming was
rare and appeared at higher body temperatures. Thus the thermoneutral zone
shifted upwards, but various effector mechanisms switched on at highly differ-
ent levels which seems to be in accordance with the multiple thermostat theory
(Satinoff 1978).
26 J. Szolcsányi
The role of central warmth sensors of the preoptic area as site of action of cap-
saicin are indicated by the following data:
1. In rats localized heating the preoptic area induces fall in body temperature with
vasodilatation and interruption of shivering. These responses are significantly
inhibited for days after systemic capsaicin pretreatment (Jancsó-Gábor et al.
1970a).
2. Microinjection of capsaicin into the preoptic/anterior hypothalamus (POAH)
(rat, rabbit) elicits coordinated heat-loss responses. After repeated capsaicin
application the responses are desensitized and these animals afterwards show
impaired heat-loss regulation (Szolcsányi 1982; Jancsó-Gábor et al. 1970a;
Urbán et al. 1985).
3. Microiontoforetic application of capsaicin into POAH cells excited most of
the warm-sensitive neurons and decreased the firing rate of the cold ones (Hori
1984).
4. After systemic capsaicin desensitization by s.c. administration (a) the heat-
loss responses to preoptic heating are inhibited (b) preoptic microinjection
of capsaicin induces only slight fall in body temperature (Jancsó-Gábor et
al. 1970a; Pierau et al. 1986) (c) proportion of thermoresponsive neurons
in POAH are significantly diminished (Hori 1981) (d) long-lasting ultra-
structural changes in some small type neurons of POAH were observed
(Szolcsányi et al. 1971).
5. After preoptic lesions heat loss response to s.c. injection of capsaicin injec-
tion is diminished, shortened but not abolished (Szolcsányi and Jancsó-Gábor
1975b).
Detailed description of the characteristics of POAH warm-sensitive units and
their responses to capsaicin and preoptic heating have been summarized in a thor-
ough review of Tetsuro Hori (1984).
Thus, presence of POAH warmth sensitive neurons and their sensitivity to
capsaicin is well established (Caterina 2007; Hori 1984) their integrative func-
tion in thermoregulation support the Hammel’s model (Boulant 2006) although
in this field neural pathways and hypothalamic circuitry is still under investiga-
tion (Morrison and Nakamura 2011). Particularly important is that capsaicin elic-
its a species-specific coordinated heat-loss response either when applied into the
POAH area or when it is applied subcutaneously. TRPV1 knockout (Szelényi et
al. 2004; Garami et al. 2011) and TRPV1 knockdown (Tóth et al. 2011) mice have
no profound alteration in basal body temperature except that in TRPV1 knockout
mice a slightly higher circadian fluctuation (Szelényi et al. 2004), preference for
a cooler floor temperature and their slightly higher thermoneutral zone for evok-
ing tail vasodilatation and lower oxygen consumption were described (Garami et
al. 2011). It is worthy to mention, however, that in TRPV1 reporter mice TRPV1
expression was also detected in the arterial walls which could participate in the
vascular effects (Caterina 2007). The most pronounced effect of capsaicin is on
the thermoregulatory behaviour against overheating is not coupled with impaired
regulation against cold. Temperature difference limen on the human tongue is also
impaired in warm temperature range but not in the cold one (Szolcsányi 1977).
Certainly several important aspects of actions of capsaicin on thermosensa-
tion remained unanswered. The tempting hypothesis about the tonic not thermal
influence of TRPV1-expressing neural input into the thermoregulatory network
(Garami et al. 2010) still is not supported by convincing evidence, but I agree that
the TRPV1 channel itself “it is not” the principal transducer molecule for signal-
ing warmth in thermoregulation (Romanovsky et al. 2009).
1.7 Perspectives and General Comments
The highly selective action of capsaicin on the major subgroup of nociceptive pri-
mary afferent neurons and several lines of evidence for the existence of capsaicin
receptors supplied the clues for a successful functional genomic screening strategy
to isolate an unknown cDNA clone from dorsal root ganglia that reconstitutes a
nociceptive responsiveness in non-neural cells (Caterina et al. 1997). Thus, clon-
ing the capsaicin receptor has been a real breakthrough from several aspects for
basic neuroscience and particularly for drug development to open a new chapter
which could be denoted as the nociceptor blocking analgesics.
1. The receptor of capsaicin renamed to Transient Receptor Potential Vanilloid-1
(TRPV1) turned out to be a cation channel with integrative function
(Tominaga et al. 1998) directly gated by noxious heat (Cao et al. 2013), pro-
tons, capsaicin, RTX and several endogenous ligands as anandamide, lipox-
ygenase metabolites, oleoyldopamine, lysophosphatidic acid, arachydonyl
dopamine, 9-hydroxyoctadecadienoic acid (Szolcsányi and Pintér 2013;
Szolcsányi and Sándor 2012) Fig. 1.1.
2. It is a nocisensor transducer molecule of the plasma membrane which can
be activated not only by a variety of pain producing chemical agents but
indirectly it is stimulated or sensitized by activation other endogenous pain
producing mediators released in the tissues under acute or chronic inflamma-
tory conditions as bradykinin, prostanoids, nerve growth factor, chemokines,
serotonin, proteinase, ATP etc. (Huang et al. 2006; Szolcsányi and Pintér
2013).
3. The structure of capsaicin receptor with six transmembrane domains and a
pore loop region between TM5 and TM6 segments is similar to a previously
described cation channel in the retina of the mutant Drosophila fruit flye
(Montell 2011). Hence its present name of TRPV1 was given on this ground.
After cloning TRPV1 a large group of TRP channels with at least 28 members
were cloned in mammalian species. Nine of them are gated by thermal stimuli
(six by heating, three by cooling) and they are often denoted as thermo-TRP
channels (Nilius and Owsianik 2011; Vay et al. 2012).
4. Gating function of TRPV1 channel is in several aspect different from the canon-
ical ligand-gated and voltage-gated channels (Szolcsányi and Sándor 2012).
28 J. Szolcsányi
The large-scale of chemical structures subserve the role for signaling noxious
events and opens the TRPV1 cation channel by acting on different parts of the
protein in a “multisteric” way (Szolcsányi and Sándor 2012). It is not dedicated
to convey specific chemical messages in cell to cell communication as the
ligand-gated channels do. Although its chemical structure is similar to the K+
channels and TRPV1 can be activated by depolarization and particularly sensi-
tized the gating effects of thermal or capsaicin stimuli, its voltage-sensitivity is
in the non-physiological range which makes its role not primary importance in
function (Szolcsányi and Sándor 2012).
5. TRPV1 was the first channel which could be opened by thermal stimuli with
high Q10, large enthalpy changes. Structural basis of conformational changes
in molecular rearrangement in noxious heat range is challenging for further
research (Szolcsányi and Sándor 2012; Clapham and Miller 2011; Baez-Nieto
et al. 2011).
6. TRPV1 is expressed in most cases in homotrameric form but could be
coupled to a heterotetrameric arrangement with another nocisensor TRP
channel, the noxious cold and chemoceptive channel of Transient Receptor
Potential Ankyrin 1 (TRPA1) (Vay et al. 2012). In this way further pos-
sible tissue selective analgesic drug targets are emerging (Szolcsányi and
Pintér 2013).
7. Highly interesting feature of gating the TRPV1 and TRPA1 channels is that
they show a phenomenon of “pore dilation” after prolonged chemical activa-
tion (Szolcsányi and Pintér 2013; Chung et al. 2008; Banke 2011). In other
words after high capsaicin concentration larger cations up to 500 Da could
enter into the nerve terminal. Uptake of a quaternary lidocaine analogue
molecule of QX-314 induced selective local anesthetic blockade of TRPV1-
expressing nociceptors (Vay et al. 2012; Binshtok et al. 2007).
8. “Pore dilation”, calcium overload, intracellular acidosis might contrib-
ute to the surprisingly selective mitochondrial swelling lasting for months
(Szolcsányi and Pintér 2013; Chung et al. 2008; Szolcsányi et al. 1971) which
seems to have primary importance to induce different severities of impairment
of nociceptor functions from functional desensitization to complete elimina-
tion of the central and peripheral terminals of the TRPV1-expressing nocic-
eptive neurons which subserve not only pain, but itch, cough, and sneezing
(Szolcsányi and Pintér 2013).
9. The selective site of action of capsaicin on nociceptors has been and will be
utilized as a powerful tool in clinical trials for testing analgesic, (Andresen
et al. 2011) antitussive drugs. Furthermore, in human settings important
insights in neural circuitry for central sensitization were revealed with the
help of capsaicin (LaMotte et al. 1991; Woolf 2011).
10. The exciting new horizons appeared with cloning the capsaicin receptor

TRPV1 cation channel is in development of new analgesics with a target
on nociceptors. It is inevitable for the target-oriented drug industry to have
a transfected cell line for high throughput screening for TRPV1 antagonists.
First generation of compounds led to potent agents but some drug candidates
had powerful effect of blocking also noxious heat sensation which induced
burn risk and some others induced either in preclinical or clinical studies
hyperthermia (Szolcsányi and Sándor 2012; Vay et al. 2012; Kort and Kym
2012; Gunthorpe and Chizh 2012). Second generation of TRPV1 antagonists
seems to overcome these obstacles (Szolcsányi and Sándor 2012; Kort and
Kym 2012; Gunthorpe and Chizh 2012).
Utilization of the nociceptor blocking/damaging effect of high concentration of
capsaicin applied topically, however, already resulted in the introduction the first
nociceptor-targeted analgesic drug in therapy of neuropathic pain. On the basis of
recent Cochrane Database, topically applied high-concentration (8 %) capsaicin
in chronic neuropathic pain patients (involving 2,073 participants including 1,272
with postherpetic neuralgia) established the efficacy which lasted at both eight and
12 weeks (Derry et al. 2013). On the other hand, low concentration of capsaicin
(0.075 %) applied several times daily over several weeks was “without meaningful
effect” on neuropathic pain patients (Derry and Moore 2012). More recent results
with the 8 % dermal patch from German pain centers revealed high level of pain
relief in HIV-associated neuropathy, postherpetic neuralgia, cervical spinal radicu-
lopathy and back pain (Treede et al. 2013).
These clinical data provide not only further step in treatment of patients with
severe persistent pain states but provide a conceptual message about the sig-
nificance of nociceptors in triggering neuropathic pain which certainly medi-
ate also chronic inflammatory pain. Revision of common view is needed which
suggests that “nociceptor pain” is a physiological signal in acute pain stages to
injury but play no role in pathological pain in which action potentials conducted
in nociceptive afferents was assumed to have negligible role. Owing to technical
and ethical burdens there are few microneurography studies which were against
this traditional view. These details will be summarized in another chapter of this
book. I refer here only to one recent study which documented by recording from
C-fiber nociceptors spontaneous activity in patients having painful polyneuropathy
(Kleggetveit et al. 2012).
Acknowledgments This work was supported by the grants of OTKA NK-78059 and SROP
4.2.2.A-11/1/KONV-2012-0024.
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Chapter 2
Pharmacology of the Capsaicin Receptor,
Transient Receptor Potential Vanilloid
Type-1 Ion Channel
Istvan Nagy, Dominic Friston, João Sousa Valente, Jose Vicente Torres Perez
and Anna P. Andreou
Abstract The capsaicin receptor, transient receptor potential vanilloid type 1 ion
channel (TRPV1), has been identified as a polymodal transducer molecule on a
sub-set of primary sensory neurons which responds to various stimuli including
noxious heat (>~42 °C), protons and vanilloids such as capsaicin, the hot ingredi-
ent of chilli peppers. Subsequently, TRPV1 has been found indispensable for the
development of burning pain and reflex hyperactivity associated with inflamma-
tion of peripheral tissues and viscera, respectively. Therefore, TRPV1 is regarded
as a major target for the development of novel agents for the control of pain and
visceral hyperreflexia in inflammatory conditions. Initial efforts to introduce
agents acting on TRPV1 into clinics have been hampered by unexpected side-
effects due to wider than expected expression in various tissues, as well as by the
complex pharmacology, of TRPV1. However, it is believed that better understand-
ing of the pharmacological properties of TRPV1 and specific targeting of tissues
may eventually lead to the development of clinically useful agents. In order to
assist better understanding of TRPV1 pharmacology, here we are giving a compre-
hensive account on the activation and inactivation mechanisms and the structure–
function relationship of TRPV1.
2.1 Introduction
The biological effects of chilli peppers, which are produced by capsaicin, the
archetypical exogenous activator of the transient receptor potential vanilloid type
1 ion channel (TRPV1) (Caterina et al. 1997; Thresh 1876a, b), have been known
I. Nagy (*) · D. Friston · J. S. Valente · J. V. T. Perez · A. P. Andreou

Department of Surgery and Cancer, Section of Anaesthetics, Pain Medicine and Intensive
Care, Imperial College London, Chelsea and Westminster Hospital, 369 Fulham Road,
London SW10 9NH, UK

40 I. Nagy et al.
for several thousands of years. When applied through the oral rout (e.g. eating
spicy dishes), these effects include burning pain in the mouth, heavy perspiration
and increased bowel movements. It is rather perplexing why, in spite of the pain
and discomfort, the majority of people still enjoy eating hot dishes. Nevertheless,
the biological effects through topical application (e.g. accidental application on
mucous membranes) which include erythema in addition to a burning pain sensa-
tion are also well known. It is also an everyday experience that repeated consump-
tion of, or contact with, hot peppers results in reduced sensitivity to chilli pepper
and even to other stimuli. This desensitizing effect was widely used by native
Americans, and later in Europe, for analgesia.
The first animal and human experiments to find out the physiological effects
of capsaicin were conducted by a Hungarian doctor, Hőgyes (1878a, b). He noted
that oral application of capsaicin reduced the respiratory and heart rate and body
temperature in dogs. Topical application onto his own or his assistant’s arm pro-
duced the well-known hyperaemia and burning pain. When Hőgyes put capsaicin
onto his tongue he felt a sharp burning pain. When he consumed capsaicin in a
capsule, he first felt warmth in the epigastrium, then experienced belching and flat-
ulence (Hőgyes 1878b).
Following more than 60 years of dormancy, pharmacological studies with
capsaicin were revitalized by three, again Hungarian, scientists Nicolas Jancsó,
Aurelia Jancsó-Gábor and János Pórszász (Jancsó and Jancsóné 1949; Pórszász
and Jancsó 1959). They noted that capsaicin activated a subpopulation of sensory
nerve fibres, which belonged to the so-called nociceptive sensory nerves. They
also noted that following capsaicin application, the responsiveness of the nerves
was reduced not only to capsaicin but also to other chemical activators, such as
mustard oil (Pórszász and Jancsó 1959). These authors then noted that topical cap-
saicin application increased mechanical responsiveness, a phenomenon which was
recreated and analysed in humans by Simone et al. 30 years later (Pórszász and
Jancsó 1959; Simone et al. 1989). Jancsó et al. later found evidence that capsai-
cin, through activating a group of sensory nerve fibres, induced neurogenic inflam-
mation (Jancsó et al. 1967) and that capsaicin impaired thermoregulation through
an action in the hypothalamus (Jancsó-Gábor et al. 1970). Another major step in
studying the biological actions of capsaicin was when Nicolas Jancsó’s son, Gábor
Jancsó showed that capsaicin activated, and was able to induce degeneration in, a
subset of chemosensitive primary sensory neurons (Jancsó et al. 1977). An undis-
putable evidence for the presence of a specific and selective receptor for capsaicin
on a sub-set of small diameter (nociceptive) primary sensory neurons was finally
showed by Szallasi and Blumberg (1990). Although many laboratories had tried
to find the capsaicin receptor, particularly after Jancsó et al. and Szallasi and
Blumberg’s findings (Jancsó et al. 1977; Szallasi and Blumberg 1990), the cap-
saicin receptor, then called as vanilloid type 1 receptor, was cloned only in 1997
(Caterina et al. 1997). Since then, the number of papers dealing with the pharma-
cology of capsaicin and its receptor the transient receptor potential vanilloid type 1
ion channel (TRPV1) has grown at an exponential rate. This is because it became
clear that TRPV1, in addition to some physiological functions, also plays a pivotal
2 Pharmacology of the Capsaicin Receptor, Transient Receptor Potential 41
role in the development of various pathological processes; most prominently, in

the development of inflammatory pain (for further references see: White et al.
2011; Nagy et al. 2004). Here, we give an account of our current knowledge of the
pharmacology of the capsaicin receptor, TRPV1.
2.2 Exogenous Activators of TRPV1
As a polymodal nocisensor, TRPV1 is responsive to different exogenous activators

including various toxins and other painful agents, heat above 42 °C, protons and
membrane depolarisation.
2.2.1 Chemical Activators
Of TRPV1’s activating agents, the prototypical activator is capsaicin (trans-8-methyl-N-

vanillyl-6-nonenamide), the main pungent ingredient of the hot chilli pepper (Capsicum
peppers; Thresh 1876a). Capsaicin, which is believed to be a selective and specific
TRPV1 activator, has a half-maximal effective concentration (EC50) of ~700 nM on
this ion channel, though the efficacy of capsaicin on TRPV1 slightly varies depending
on the species, expression system and read out (Oh et al. 1996; Caterina et al. 1997).
Activation of TRPV1 by capsaicin (and by other activators as well, see below) results in
increased open probability of the ion channel and subsequent increase in cationic flux
(Liu et al. 2006a; Wood et al. 1988; Dray 1992; Caterina et al. 1997).
TRPV1 is a non-selective cationic channel; hence it is permeable to all the
major cations found extracellularly and intracellularly (Caterina et al. 1997).
Therefore, when TRPV1 is expressed by cells with excitable membranes such as
neurons, its activation results in a net cationic influx and subsequent depolarisation
upon which neurons are capable of generating and propagating action potentials
(Caterina et al. 1997). In the case of nociceptive primary sensory neurons, which
are believed to be the main type of neurons expressing TRPV1 (Cavanaugh et al.
2011), the initial excitation in vivo is accompanied by a local increase of inflam-
matory mediators and the development of a burning pain sensation. However,
the initial excitation is followed by a refractory state in which the neurons do not
respond to capsaicin (Pórszász and Jancsó 1959). This process is known as nocic-
eptor desensitization (Caterina et al. 1997) (for details see below).
Nociceptive primary sensory neurons play a pivotal role in the development
and maintenance of various pain conditions (Nagy 2004). Hence, the capsaicin-
induced desensitisation explains the paradoxical use of capsaicin as an analge-
sic agent to treat different pain disorders (Ueda et al. 2013b; Noto et al. 2009;
Webster et al. 2011). Importantly, when capsaicin is applied in sufficiently high
concentration and duration, it induces degeneration due to excessive Ca2+ influx
(Jancsó et al. 1977).
42 I. Nagy et al.
Capsaicin possesses a vanillyl moiety (Fujiwake et al. 1980). A large series

of other plant-derived molecules, including piperine and piperinoyl-piperidine,
the alkaloids present in black or white pepper (Izzo et al. 2001; Mandadi and
Roufogalis 2008), eugenol, a phenol derived from clove and cinnamon leaf oil
and gingerols, which are phenol compounds in ginger (Holzer 2008; Mandadi and
Roufogalis 2008), also have this moiety, and they can activate TRPV1 with vari-
ous efficacies and potencies. Still, perhaps the best-known vanilloid is resinifera-
toxin (RTX) from Euphorbia resinifera.
RTX is an unusual phorbol-related diterpene which is more potent (with
an EC50 of ~40 nM) than capsaicin in producing TRPV1-mediated biological
effects (Caterina et al. 1997). The acute excitatory response of TRPV1 evoked
by RTX is also followed by desensitization, and these two agents produce cross-
desensitization. However, RTX produces prolonged depolarisation. Further, the
depolarisation produced by a given concentration of RTX results in a significantly
lower number of action potentials than the same extent of depolarisation produced
by capsaicin. This could be due to the slower kinetics of RTX than of capsaicin
in activating TRPV1. The subsequent slow depolarisation during RTX application
then induces fewer simultaneous activation of sodium channels than the fast depo-
larisation during capsaicin application. Based on these properties, RTX may be
useful for clinical treatments as it produces less pain than capsaicin (Raisinghani
et al. 2005).
In addition to vanilloids, other plant-derived molecules also activate TRPV1.
Allicin can be found in garlic and activates TRPV1 in addition to the ankyrin
type 1 ion channel (TRPA1), another transient receptor potential (TRP) molecule
(Macpherson et al. 2005). The EC50 of allicin-containing garlic extract in TRPV1-
expressing CHO cells is ~1:3500 dilution (Macpherson et al. 2005), whereas
it is 1:500 dilution in TRPV1-expressing Xenopus oocytes (Macpherson et al.
2005). The specific EC50 of allicin in TRPV1-expressing CHO cells is ~50 μM
(Macpherson et al. 2005). Allicin activates TRPV1 differently from capsaicin as it
acts by covalent modification of a single cysteine residue in the N-terminus of the
channel, C157 (see below) (Salazar et al. 2008).
Allyl isothiocyanate is another plant-derived agent which activates TRPV1
(Ohta et al. 2007). Allyl isothiocyanate, which can be found in the genus Brassica,
is an agent we consume in mustard and wasabi. Similarly to allicin, allyl isothio-
cyanate also activates both TRPV1 and TRPA1 (Everaerts et al. 2011). Mustard
oil causes a concentration-dependent increase in TRPV1-mediated currents above
~100 μM (Everaerts et al. 2011). The TRPV1-mediated response induced by allyl
isothiocyanate is significantly smaller than that of 1 μM capsaicin suggesting that
it is a weak partial agonist of TRPV1 (Everaerts et al. 2011). It is assumed that the
residue S513 (see below) may have a role in allyl isothiocyanate-induced activa-
tion of TRPV1 (Gees et al. 2013).
Camphor (1,7,7-Trimethylbicyclo[2.2.1]heptan-2-one) is isolated from the
plant Cinnamomum camphora and activates TRPV1, as well as another vanilloid
type TRP molecule, TRPV3. The camphor-induced TRPV1 activation is followed
by desensitization of the ion channel, which is more complete than that induced
by capsaicin (Xu et al. 2005). Hence, the camphor-induced TRPV1 desensitisa-

tion together with the inhibitory effect on TRPA1 (Fajardo et al. 2008), which also
plays a pivotal role in the development of pain associated with inflammation of
tissues, might be responsible for the well-known and widely used antinocicep-
tive effect of this agent (Xu et al. 2005; Fajardo et al. 2008). The molecular basis
of camphor-sensitivity of TRPV1 is separate from its capsaicin-sensitivity but,
similarly to capsaicin, camphor fails to activate chicken TRPV1 (Xu et al. 2005).
Hence, camphor may activate TRPV1 by a novel mechanism, which is distinct
from vanilloid-induced activation.
In addition to plant-derived TRPV1 activators, some molecules synthesised
and excreted by animals can also activate TRPV1. For example, the peptides
vanillotoxins (VaTxs) are present in tarantula venom (Psalmopoeus cambridgei
and Ornithoctonus huwena). In addition to TRPV1, some VaTxs (VaTx1-3) act
on voltage-gated potassium channels, which supports the close relationship sug-
gested between TRP and voltage-gated potassium channels (Siemens et al. 2006).
Interestingly, while the great majority of molecules acting on TRPV1 are hydro-
phobic and act at the intracellular side of the channel, VaTxs are amphiphilic and
activate TRPV1 at its extracellular side (Cromer and McIntyre 2008).
Several widely used synthetic compounds including four of the most commonly
used artificial sweeteners (saccharin, aspartame, acesulfame-K and sodium cycla-
mate) have been shown to activate TRPV1 in a dose-dependent manner (Riera et
al. 2007). Interestingly, there is a shift from pleasant to unpleasant (bitter/metal-
lic) taste perception when the concentration of these agents is increased (Vincent
et al. 1955; Helgren et al. 1955; Schiffman et al. 1995). In addition to activating
TRPV1, artificial sweeteners also sensitize this ion channel to acids and thermal
stimuli (Riera et al. 2007).
Electrophysiological recordings demonstrated that extracellular Na+, Mg2+ and
2+
Ca ions sensitize and activate TRPV1 via electrostatic interactions with the resi-
dues E600 and E648 (see below) (Ahern et al. 2005b). Mg2+ is even capable of
reducing capsaicin’s EC50 by about 50 % (Ahern et al. 2005b). Three other salts
(CySO4, ZnSO4 and FeSO4), which produce a metallic taste sensation, have also
been shown to activate TRPV1 (Riera et al. 2007). It is still not clear how these
salts activate TRPV1, although they have been suggested to act through intracel-
lular binding sites (Riera et al. 2007). The activation of TRPV1 by these sulphuric
salts could be explained by the potential harmfulness of the sulphate group and
the function of TRPV1 as a sensor for potentially dangerous stimuli. This view is
supported by the difficulty to distinguish between bitter/metallic taste and burning
sensation (Green and Hayes 2003; Lim and Green 2007).
Ethanol, between 0.1 and 3 %, potentiates TRPV1 responses evoked by other
activators (Trevisani et al. 2002), including capsaicin, protons and heat (Trevisani
et al. 2002). The ethanol-induced sensitisation, at least to heat stimuli, is medi-
ated through lowering the heat threshold of the ion channel (from approx. 42 °C
to approx. 34 °C) (Trevisani et al. 2002). Hence, TRPV1-expressing sensory nerve
fibres become activated by the body temperature following exposure to ethanol.
The ethanol-induced sensitisation of TRPV1 explains why high alcohol content
44 I. Nagy et al.
drinks induce burning sensation and why those drinks do not produce the burning
sensation when they are consumed with ice.
TRPV1 also seems to be important for specific behavioural actions induced by
ethanol (Blednov and Harris 2009; Glendinning et al. 2012). For example, attenu-
ation of ethanol’s capsaicin-like burning sensation could at least partially explain
why adolescent ethanol use and abuse behaviour in humans is associated with foe-
tal ethanol exposure (Glendinning et al. 2012). Further, given the role of TRPV1
in thermoregulation (Gavva et al. 2007), ethanol’s effects on TRPV1 also underlay
its effects on body temperature (Trevisani et al. 2002) and the lethal hypothermia
commonly observed following alcohol intoxication.
2.2.2 Protons
Acidic pH also activates TRPV1 (Tominaga et al. 1998; Jordt et al. 2000;
Baumann and Martenson 2000; McLatchie and Bevan 2001). Extracellular pro-
tons are considered to be TRPV1 modulators as they increase the potency of heat
and capsaicin by lowering the threshold of channel activation (Jordt et al. 2000;
Tominaga et al. 1998). However, protons also directly activate TRPV1 (pH < 6.0)
(Tominaga et al. 1998). Remarkably, in addition to protonation, deprotonation also
activates TRPV1 (Dhaka et al. 2009). In contrast to the extracellular sites for pro-
tonation, the site for deprotonation is located intracellularly (see below). Hence
TRPV1 must play an important role in sensing and maintaining extracellular and
intracellular pH.
2.2.3 Heat
The great majority of TRP channels respond to changes in various physical stimuli
such as heat or pressure (Nilius and Appendino 2011). TRPV1 was the first TRP
channel, and indeed molecule, shown to respond specifically to increased tempera-
tures (Caterina et al. 1997). Interestingly, TRPV1 seems to be tonically active in
vivo, hence it acts as a molecular thermometer (Gavva et al. 2007). Accordingly, it
has been proposed that the main function of TRPV1 is to maintain body tempera-
ture (Gavva et al. 2007). This putative function explains why some TRPV1 ago-
nist, e.g. capsaicin and RTX, cause a reduction in body temperature, and also why
TRPV1 antagonists induce considerable hyperthermia in several species (Holzer
2008). The role of TRPV1 in thermoregulation may hamper the use of TRPV1
antagonists in treating pain conditions.
The heat sensor of TRPV1 allows the receptor to detect noxious heat. It is a
specific heat-induced signalling-event with a temperature coefficient of about 26
(Liu et al. 2003). In comparison, the temperature coefficient of molecules which
do not specifically respond to heat is about 2 (Liu et al. 2003). An increase from
the ambient temperature to about 45 °C leads to a pronounced increase in the

intracellular calcium concentration in TRPV1-expressing cells (Caterina et al.
1997). Studies of chimeric thermo-sensitive TRP channels show that a segment in
the C-terminus of TRPV1 confers heat-sensitivity to the channel ((Brauchi et al.
2006), see details below). Apparently, heat acts by prolonging the burst of TRPV1
channel opening and the sensitivity of the channel to heat can be modulated by
environmental agents such as ethanol (Trevisani et al. 2002).
It seems puzzling that TRPV1 could be involved both in thermoregulation with
maintaining the body’s core temperature at ~37 °C, and in the detection of noxious
heat above ~42 °C. Little is known about the mechanism of molecular thermo-
thresholding of TRPV1 and further studies must be done to determine them.
There are multiple putative mechanisms which could explain how TRPV1 plays
a role both in maintaining the body temperature and in the detection of noxious
heat stimuli. These include the presence of different splice variants of TRPV1,
post-translational modification (e.g. specific phosphorylation sites), or tetrameric
combinations of TRP channels (see below) in various tissues. Alternatively tissue-
specific agents may regulate the gating properties of TRPV1.
Ectotherm animals such as fish, amphibians or reptiles, which use external
source of heat to regulate their body temperature, also require a temperature sensor
since the ability to sense environmental temperature is necessary for survival, to
maintain homeostasis and to avoid tissue damage. Zebrafish (Danio rerio) express
a single TRPV1/2-like orthologue, which could be derived from an evolutionary
precursor of tetrapod TRPV1 and another vanilloid type TRP molecule, TRPV2
(Saito and Shingai 2006). Based on the expression of this zebrafish TRPV1 in
nearly all early-born trigeminal neurons (Gau et al. 2013), and the fact that envi-
ronmental hot temperatures activate TRPV1-expressing neurons in zebrafish (Gau
et al. 2013), it has been suggested that TRPV1 has been involved in heat sensation
for at least 360–450 million years, when fish diverged from tetrapods (Volff 2005).
2.3 Endogenous Activators
TRPV1 is activated by two major types of endogenous molecules. The first group
of endogenous activators comprise of ligands which, similarly to exogenous
ligands, bind to TRPV1 and increase the open probability of the ion channel. The
second group of endogenous TRPV1 activators includes intracellular signaling
molecules which, mainly through phosphorylation of discrete amino acid resi-
dues, increase either the open probability of TRPV1 or the efficacy or potency of
TRPV1-activating ligands (sensitization). The separation between these molecules
is not entirely unambiguous. For example, while anandamide (see below) has pre-
viously been considered as a ligand (i.e. endovanilloid), recent evidence suggests
that it is also an intracellular signaling molecule. Nevertheless, while ligand bind-
ing results in transient activation (i.e. while the ligand is present), sensitization
induced by intracellular signaling molecules may last longer.
46 I. Nagy et al.
2.3.1 Ligands from the Inside (Autocrine Signalling)
A series of putative endovanilloids, containing unsaturated fatty acids with 18 or

20 carbon atoms, have been identified in recent years. In these molecules, arachi-
donic or oleic acids bind to various moieties, such as glycerol, ethanolamine or
dopamine.
Arachidonylethanolamide (anandamide), which was established as an endog-
enous ligand for the G protein-coupled cannabinoid 1 (CB1) receptor (Matsuda et
al. 1990; Devane et al. 1992), was the first endogenous molecule to be identified as
a putative endogenous TRPV1 activator (Zygmunt et al. 1999). Although a series
of other target molecules for anandamide has recently been found (Goodfellow
and Glass 2009), the CB1 receptor and TRPV1 are still considered to be the main
targets for anandamide.
Anandamide is synthesized by various cells including primary sensory neurons
(Carrier et al. 2004; Di Marzo et al. 1996; Di Marzo et al. 1994; van der Stelt and
Di Marzo 2005; Vellani et al. 2001). Multiple enzymatic pathways are involved in
anandamide synthesis, which produce this ligand either in a Ca2+ dependent or
Ca2+ independent manner (Okamoto et al. 2004; Sun et al. 2004; Liu et al. 2008;
Simon and Cravatt 2008; Vellani et al. 2008). In primary sensory neurons, both
increased intracellular Ca2+ concentration, which, for example, occurs following
TRPV1 activation (Caterina et al. 1997), and activation of protein kinase A (PKA)
and protein kinase C (PKC) result in anandamide synthesis (van der Stelt et al.
2005). Accordingly, TRPV1-expressing primary sensory neurons express several
enzymes which have been implicated in anandamide-synthesis, and those enzymes
seem to form functional anandamide synthesising pathways (Nagy et al. 2009;
Varga et al. 2013). It has consistently been shown that anandamide produced by
primary sensory neurons activate TRPV1 (van der Stelt et al. 2005; Varga et al.
2013). Based on the expression pattern of anandamide-synthesising enzymes and
TRPV1, the trigger for anandamide production and the effect of anandamide of
primary sensory neuron origin, Di Marzo et al. suggested that anandamide acts as
a signal amplifier for TRPV1 (van der Stelt and Di Marzo 2005). Anandamide is
believed to bind to the same site as capsaicin in TRPV1 (Jordt and Julius 2002).
Another ethanolamide, which instead of arachidonic acid contains oleic acid,
also activates TRPV1 (Ahern 2003; Movahed et al. 2005). Oleoylethanolamide
has been identified as a peripheral satiety factor whose actions are mediated pri-
marily through peroxisome proliferator-activated receptor alpha (Fu et al. 2003).
Oleoylethanolamide activates TRPV1 with a potency similar to that of ananda-
mide (Ahern 2003; Movahed et al. 2005). However, phosphorylation of TRPV1
by PKC is essential for TRPV1 to respond to oleoylethanolamide (Ahern 2003).
Consistently with oleoylethanolamide being an endogenous TRPV1 ligand, intra-
peritoneal oleoylethanolamide administration induces visceral -related behavior,
which is absent in TRPV1−/− mice (Wang et al. 2005). These data suggest that
oleoylethanolamide has a physiological role in modulating TRPV1 in pathological
conditions (Almasi et al. 2008).
N-arachidonyldopamine (NADA) is an endogenous molecule identified in sev-

eral brain regions with particularly high concentrations in the striatum (Huang et
al. 2002b). Administration of NADA to cultured primary sensory neurons results
in TRPV1-mediated calcium influx and neuropeptide release (Huang et al. 2002a).
Further, intradermal injection of NADA into the hind paw of mice induces ther-
mal hyperalgesia in a TRPV1-dependent manner (Huang et al. 2002a). As with
oleoylethanolamide, TRPV1’s sensitivity to NADA is greatly increased by PKC-
mediated phosphorylation at Ser502 and 800 (Premkumar et al. 2004).
Lipoxygenases (LOX) produce molecules which are capable of activating het-
erologously expressed, as well as native, TRPV1 (Hwang 2000). These products
include some hydroperoxy eicosatetraenoic acids (HPETEs) and leukotrienes
which are derivatives of fatty acids (Samuelsson 1983). Among the LOX products,
12-(S)-, 15-(S)- and 5-(S)-HPETE and leukotriene B4 exhibit high potency in acti-
vating TRPV1 (Hwang 2000). LOX products are produced during inflammation,
and their intradermal injection has been shown to produce hyperalgesia (Levine
et al. 1986). A link between inflammation, LOX products and TRPV1 activity has
been established by Shin et al. (2002). They found that 12- HPETE, which has the
highest potency in activating TRPV1, is produced by primary sensory neurons fol-
lowing activation of the bradykinin 2 (B2) receptor by one of the most important
inflammatory mediators, bradykinin, and subsequent production of arachidonic
acid by B2 receptor-evoked phospholipase A2 activity (Shin et al. 2002).
Lysophosphatidic acid (1-acyl-glycerol-3-phosphate, LPA) is a precursor of
phospholipid biosynthesis but also functions as an intercellular signaling molecule
participating in cell survival, neurite retraction, cancer cell migration and invasion,
fertilization, embryonic implantation, spermatogenesis, vasculogenesis, angio-
genesis, proliferation and differentiation of neural progenitor cells (Ueda et al.
2013a). These biological functions have been linked to a specific class of receptor,
called LPA receptors 1-6 (Noguchi et al. 2009). Most recently, TRPV1 has also
been shown to be activated by LPA (Nieto-Posadas et al. 2012). Hence, intracel-
lular application of LPA results in TRPV1 activation via a direct interaction with
the proximal C terminus of TRPV1, specifically with K710, which is also a bind-
ing site for phosphatidylinositol 4,5-bisphosphate (PIP2; see below) (Brauchi et al.
2007). In agreement with the cellular response, LPA injection into the paw induces
significantly less acute pain-related behavior in TRPV1−/− mice than in wild-type
mice (Nieto-Posadas et al. 2012).
The group of putative endovanilloids, in addition to some lipophylic com-
pounds, also include some hydrophylic molecules which bind to and activate
TRPV1. ATP is an important mediator of pain because it is released from tissues
during inflammation and/or tissue damage (Bours et al. 2006). While ATP primar-
ily activates P2X and P2Y receptors (Burnstock and Kennedy 2011; Burnstock
2008, 2009), it can also bind directly to TRPV1 in a region between the ankyrin
repeats in the N-terminus (Lishko et al. 2007) as well as at the C terminus (Kwak
et al. 2000). ATP interacts with calmodulin (CaM; see below) at these binding
sites.
48 I. Nagy et al.
Calcium overload induces cells death (Kass and Orrenius 1999; Caterina et
al. 1997). Hence, maintaining Ca2+ homeostasis is crucial. One way to main-
tain Ca2+ homeostasis is to regulate Ca2+-permeable channels such as TRPV1
(Caterina et al. 1997). Several molecules seem to be involved in the modulation
of TRPV1 activity based on the Ca2+ influx. One such molecule is calmodulin
(CaM), which binds four Ca2+ (Vetter and Leclerc 2003). The Ca2+-CaM complex
has been implicated in one of the most characteristic features of TRPV1, Ca2+-
dependent desensitization (Koplas et al. 1997) (more details on desensitisation is
presented later in this Chapter). TRPV1 has two putative CaM-binding sites. One
of them is present in the NH2-terminus, in a region including amino acids 189-222
(Rosenbaum et al. 2004), a site that can also bind triphosphate nucleotides such as
ATP. Here, CaM and ATP are believed to compete for binding. While binding of
the Ca2+-CaM complex reduces responses of TRPV1 to its activators (desensitiza-
tion/tachyphylaxis), ATP binding prevents desensitization (Lishko et al. 2007). It
is proposed that this effect is mediated by modulating the channels sensitivity to
calcium fluctuations and possibly metabolic state (Phelps et al. 2010). Mutation
on this shared binding site eliminates desensitization (Lishko et al. 2007). A
second putative CaM-binding site is located in the C terminus (Numazaki et al.
2003). Mutation at this site does not eliminate desensitization, though its kinetics
are altered (Rosenbaum et al. 2004). Hence, this CaM-binding site could also be
involved in TRPV1 desensitization.
Although the Ca2+-calmodulin dependent kinase II (CaMKII) does not bind to
TRPV1, we discuss its function here due to its role in Ca2+-dependent modulation
of TRPV1 activity. CaMKII-mediated phosphorylation of TRPV1 is fundamental
for TRPV1 responsiveness to capsaicin (Jung et al. 2004). In contrast, the dephos-
phorylation of TRPV1 by the Ca2+-dependent phosphatase calcineurin leads to a
desensitization of the receptor (Docherty et al. 1996). Hence, it is believed that
there is a dynamic balance between the phosphorylation and dephosphorylation of
the TRPV1 channel by CaMKII and calcineurin respectively, which controls the
responsiveness/desensitization states of the channel. In addition, Ca2+ has also
been shown to stimulate phospholipase C (PLC)-mediated cleavage of the sensi-
tizing agent phosphatidylinositol-4,5-bisphosphate (PIP2) (Liu et al. 2005; Stein
et al. 2006; Lishko et al. 2007; Lukacs et al. 2007; Mercado et al. 2010; Lau et al.
2012).
Phosphatidylinositol-4,5-bisphosphate (PIP2) is a minor component of the
plasma membrane that can serve multiple roles in cell physiology. It is involved
in the regulation of many proteins and can also anchor proteins to the plasma
membrane through pleckstrin homology and other domains (DiNitto et al. 2003;
Lemmon 2003; Cho and Stahelin 2005). One of the most important roles of PIP2,
however, is acting as a source of intracellular second messengers (Dietrich et al.
2005) as it is cleaved by PLC to generate diacylglycerol (DAG) (Woo et al. 2008b)
and inositol 1,4,5-trisphosphate (IP3).
Phosphatidylinositol-4,5-bisphosphate is involved in the regulation of TRPV1
activity via at least three mechanisms: by direct binding (Prescott and Julius 2003;
Chuang et al. 2001; Brauchi et al. 2007), through the generation of DAG (Woo et
al. 2008b) and IP3 (Ahern et al. 2005a) and by activating the accessory membrane
protein phosphoinositide interacting regulator of TRP (Kim et al. 2008).
Although the role of direct binding has been studied extensively, its role still
remains controversial. Early reports suggested that PIP2 is an inhibitor of TRPV1
activity (Chuang et al. 2001). More recently, several groups reported that PIP2
binding and depletion sensitizes and desensitizes the channel, respectively, in
mammalian cells (Liu et al. 2005; Stein et al. 2006). In agreement with the latter
findings, the presence of PIP2 appears to prevent TRPV1 desensitization (Lishko
et al. 2007).
Regarding PLC-mediated PIP2 cleavage, DAG activates PKC, which then
phosphorylates TRPV1 (Bhave et al. 2003) (see below). In addition, DAG is also a
partial agonist of heterologously-expressed TRPV1 (Woo et al. 2008a).
Nitric oxide (NO) is an important cellular signaling molecule, participating
in many physiological and pathological processes such as vasodilation (Culotta
and Koshland 1992). NO can induce calcium entry into cells via TRP channels,
including TRPV1, through an activation mechanism mediated by S-nitrosilation
of cysteine residues (Yoshida et al. 2006). S-nitrosilation involves covalent
incorporation of the nitric oxide moiety into the thiol group of cysteine to form
S-nitrosothiol. This is a reversible post-translational modification analogous to
phosphorylation.
A-kinase anchoring proteins (AKAPs) are well known for their ability to scaf-
fold PKA, PKC, or calcineurin to a large number of different ion channels, pro-
moting fast and precise phosphorylation. AKAP79 was found to be able to bind
TRPV1 (Zhang et al. 2008). Interestingly ablation of this protein, by genetic
manipulation, resulted in a strong reduction of PKC-mediated sensitization of
TRPV1 (see below; (Jeske et al. 2009)). More recently, an antagonist of TRPV1-
AKAP79 binding has been developed and shown to potently block TRPV1 sensiti-
zation (Fischer et al. 2013).
Another scaffolding protein, β-arrestin-2, has also been recently implicated
in the desensitization of TRPV1 (Por et al. 2012) by linking the phosphodies-
terase PDE4D5 to the receptor and limiting its PKA-phosphorylation status (for
details of PKA-mediated phosphorylation see below). Further, knocking down
β-arrestin-2 using small interfering RNA resulted in an increase of TRPV1-
mediated cellular responses to capsaicin both to initial and repeated administra-
tions (Por et al. 2012).
In addition to their interaction with polymerized microtubules, tubulin dimers
can interact with the C-terminus region of TRPV1 in vitro (Goswami et al. 2004).
Recently, a region in the N-terminus of TRPV1 has also been shown to bind tubu-
lin independently (Lainez et al. 2010). Hence, TRPV1 may have multiple tubu-
lin-binding sites. Storti et al. have demonstrated that the microtubule cytoskeleton
helps to form the TRPV1 tetramer (see below) in the membrane (Storti et al.
2012). Therefore, it is possible that tubulin interaction with TRPV1 is a dynamic
process and helps to modulate TRPV1 function.
50 I. Nagy et al.
2.3.2 Second Messenger Interactions
TRPV1 activity which is induced by heat or/and ligands can be modified by the
activation of other receptors including those coupled to tyrosine kinase (trk) or G
proteins (Nagy et al. 2004). Activation of tyrosine kinase (trk)-coupled or Gq/s
protein-coupled receptors results in reducing the molecule’s heat threshold and/
or increasing the efficacy and potency of ligands (Tominaga et al. 2001; Vellani
et al. 2001; Cesare and McNaughton 1996; Moriyama et al. 2005b; Lopshire and
Nicol 1998). This type of modulation appears to be crucial in inflammation, where
inflammatory mediators including nerve growth factor, bradykinin, serotonin, his-
tamine and prostaglandins accumulate, activate their cognate receptors on TRPV1-
expressing neurons and induce TRPV1 sensitisation. The downstream effectors of
inflammatory mediators on TRPV1 include molecules belonging to trk-, protein
kinase A (PKA)- or protein kinase C (PKC)-dependent pathways (Cesare et al.
1999; Premkumar and Ahern 2000; Vellani et al. 2001) and various endogenous
activators such as anandamide or 12-HPETE (Shin et al. 2002; Vellani et al. 2008).
PKA within primary sensory neurons plays a major role in producing inflam-
matory hyperalgesia (Levine and Taiwo 1990). Prostaglandins, such as prostaglan-
din E2 (PGE2), produce hyperalgesia by elevating intracellular cAMP levels and
hence activating PKA in sensory neurons (Taiwo et al. 1989; Taiwo and Levine
1990). PKA’s action on TRPV1 depends on the phosphorylation of residues impli-
cated in the sensitisation of heat-evoked responses (Rathee et al. 2002). It appears
that PKA-mediated phosphorylation is essential to keep TRPV1 in a responsive
state (Bhave et al. 2002; Mahmud et al. 2009).
The PKC pathway can be activated following activation of Gq-coupled recep-
tors by several inflammatory mediators including ATP, bradykinin, prostaglan-
dins and trypsin or tryptase (Moriyama et al. 2003, 2005a; Tominaga et al. 1998;
Cortright and Szallasi 2004). Phosphorylation of TRPV1 by PKC results in reduc-
tion of its temperature threshold and potentiation of proton-evoked responses
(Bhave et al. 2003; Studer and McNaughton 2010; Numazaki et al. 2002; Huang
et al. 2006a, b). This PKC-mediated phosphorylation is also implicated in the
potentiation of TRPV1 activation by NADA (Premkumar et al. 2004) and oleoyle-
thanolamide (Ahern 2003) as well as in re-phosphorylation of TRPV1 after desen-
sitization in the presence of Ca2+ (Mandadi et al. 2004).
2.3.3 Depolarisation
TRPV1 was initially considered to be a cation channel with no voltage sensitiv-

ity (Caterina et al. 1997) in accordance with its lack of positively charged resi-
dues in the fourth transmembrane domain. However, a pronounced outward
rectification of capsaicin-induced membrane currents had previously been
observed (Gunthorpe et al. 2000), suggesting the existence of a membrane
depolarization-sensing domain in TRPV1. The C terminus of TRPV1 had recently

been shown to influence both temperature and voltage-sensing (Vlachova et al.
2003). However, studies using chimeras between TRPV1 and another TRP chan-
nel, the cold receptor melastatin type 8 (TRPM8) channel, had demonstrated that
the thermo-TRP-specific region is different from the voltage sensor region of these
molecules (Brauchi et al. 2006).
2.4 Signal Integration
The fascinating polymodal nature of TRPV1 raises the question of how TRPV1
integrates the effects of its various activators. In recent years, two opposing views
on this signal integration have developed. Bernd Nilius et al. have proposed a
sequential model. In this model, various stimuli shift the voltage dependence of
the channel from a physiologically uninteresting voltage range into a functionally
relevant voltage (Nilius and Voets 2005). Hence, according to this model, all types
of stimuli open the channel through modifying voltage-sensitivity. However, post-
translational modifications as well as ligand binding also induces changes in tem-
perature-sensitivity, which itself is connected to voltage dependence (Gunthorpe
et al. 2000; Vlachova et al. 2003). Therefore, while a shift in the voltage-depend-
ence may ultimately be responsible for opening the channel, ligand binding and
post-translational modifications may act through modifying both temperature- and
voltage-sensitivity.
An opposing view has been put forward by Latorre et al. who proposed an
allosteric model. According to this model, while various sensors interact with each
other, each sensor is linked directly to the gating apparatus. Hence, each stimu-
lus is able to open the channel independently of each other (Latorre et al. 2007).
The evidence that the C-terminus plays a role in temperature control while leaving
voltage dependence unaffected (Brauchi et al. 2006) would support this view.
2.5 Mechanisms of TRPV1 Inactivation
Inactivation of TRPV1 can have potential therapeutic implication in a number

of conditions, including pain (Roberts and Connor 2006; Jara-Oseguera et al.
2008), inflammation (Fernandes et al. 2012; Southall et al. 2003), chronic res-
piratory diseases (Preti et al. 2012) and conditions related to the cardiovascular
system (Fernandes et al. 2012; Robbins et al. 2013). The action of TRPV1 may
be negatively modulated by endogenous molecules, such as adenosine and choles-
terol. Extracellular inactivation of TRPV1 may occur through antagonists (Roberts
and Connor 2006) or through desensitisation (Touska et al. 2011) which may
allow capsaicin and its analogues to be used as analgesics (Hoffmann et al. 2012;
Maihofner and Heskamp 2013).
52 I. Nagy et al.
2.5.1 Endogenous Negative Modulators of TRPV1
Cholesterol, non-classic eicosanoids and adenosine have been proposed to nega-

tively modulate TRPV1 (Morales-Lazaro et al. 2013). Picazo-Juarez et al. have
demonstrated that cholesterol enrichment of excised patches from TRPV1-
expressing HEK293 cells decreases capsaicin-induced TRPV1 currents as well
as currents induced by temperature and voltage increase (Picazo-Juarez et al.
2011). The level of membrane cholesterol also appears essential for the expres-
sion of TRPV1. Earlier studies by Liu et al. (2006b) have demonstrated that deple-
tion of cholesterol from membrane rafts reduces channel expression as well as
capsaicin and proton-induced TRPV1 currents, probably through internalisation
of TRPV1 channels on the membrane. The role of cholesterol might be multifac-
eted as depletion of cholesterol in trigeminal neurons was sufficient to diminish
calcium uptake in response to capsaicin or resiniferatoxin (RTX). However, in rat
TRPV1-transfected cells, cholesterol depletion was able to inhibit calcium influx
in response to capsaicin and or N-oleoyl-dopamine, but not in response to ananda-
mide, RTX or low pH (Szoke et al. 2010).
Other components of the lipid raft are likely to play additional, more complex
roles in regulating the function and expression of TRPV1 channels. For exam-
ple, treatment of sensory neurons with sphingomyelinase inhibited activation of
TRPV1 by capsaicin and RTX, while inhibition of ganglioside synthesis reduced
capsaicin- or RTX-evoked calcium influx (Szoke et al. 2010; Santha et al. 2010).
Resolvins are omega-3 fatty acids derivatives that have been shown to inhibit
TRPV1-mediated currents in DRG neurons, with resolvin D2 being more potent
that resolvin D1 or resolvin E1 (Park et al. 2011). The mechanism by which
resolvins modulate TRPV1 activity is not clear, though it is likely to involve inhi-
bition of the extracellular signal-regulated kinase (ERK) signalling pathway (Xu
et al. 2010). In addition, inhibition of the Gi/o protein (Liu and Simon 1996;
Caterina et al. 1997; Koplas et al. 1997) abolishes the inhibitory effects of resolvin
D2 (Park et al. 2011; Morales-Lazaro et al. 2013). At a much higher concentra-
tion, resolvins are also inhibitors of TRPA1 and TRPV3 (Park et al. 2011; Bang
et al. 2012). Intrathecal administration of resolvins at very low doses prevents
spontaneous pain and mechanical hypersensitivity evoked by intrathecal capsai-
cin administration as well as formalin injection- and Complete Freund’s Adjuvant
injection-induced pain-related behaviour (Park et al. 2011; Xu et al. 2010).
Adenosine has also been suggested to negatively regulate the action of TRPV1,
as its intrathecal injection has been shown to inhibit allodynia and mechanical
hyperalgesia induced by intradermal injection of capsaicin in humans (Eisenach
et al. 2002). In in vitro studies, adenosine analogues have been shown to inhibit
capsaicin-induced TRPV1-mediated currents in TRPV1-expressing HEK293 cells
and in DRG neurons in a competitive manner. Adenosine analogues compete for
the ligand (resiniferatoxin and capsaicin)-binding site of TRPV1, indicating that
the inhibitory effect is mediated via a direct interaction of these ligands with the
ion channel (Puntambekar et al. 2004) rather than via the activation of adenosine
receptors (Sawynok and Liu 2003). It is possible that adenosine mediates tonic
suppression of TRPV1 activity in these conditions and thereby reduces the sen-
sory inputs triggered by activation of this receptor (Puntambekar et al. 2004).
TRPV1 activation has been suggested to promote adenosine release as its produc-
tion depends on calcium availability, which is increased when TRPV1 is activated
(Morales-Lazaro et al. 2013).
2.5.2 Desensitisation and Tachyphylaxis of TRPV1
Prolonged activation of TRPV1, for example by vanilloids or protons, induces

acute desensitization of the receptor and insensitivity to subsequent stimuli (Liu
and Simon 1996; Caterina et al. 1997; Koplas et al. 1997). Repeated applications
of vanilloids also induce reduction in TRPV1-mediated responses, a phenomenon
which is called tachyphylaxis (Liu and Simon 1996; Touska et al. 2011). It is not
yet clear if tachyphylaxis is induced through the same mechanisms as desensitisa-
tion, but they are likely to share at least some molecular processes.
Desensitisation of TRPV1, which is largely a Ca2+-depended process, is due
to a rapid rise in intracellular calcium levels which occurs when TRPV1 is acti-
vated (Koplas et al. 1997; Mohapatra and Nau 2005; Cholewinski et al. 1993;
Piper et al. 1999). In the absence of extracellular or intracellular Ca2+, no desen-
sitisation occurs (Koplas et al. 1997; Cholewinski et al. 1993). As mentioned,
Ca2+ binds to CaM and activates the phosphatase calcineurin and CaMKII. This
transient calmodulin binding is essential for TRPV1 desensitisation (Numazaki et
al. 2003; Rosenbaum et al. 2004; Lishko et al. 2007). Rosenbaum et al. (2004)
have demonstrated that overexpression of CaM in TRPV1-expressing cells poten-
tiates the desensitising effects of Ca2+, whereas co-expression of a mutant inac-
tive form of CaM with TRPV1 results in a lack of Ca2+-induced desensitisation.
Dephosphorylation of the receptor by calcineurin, triggered by increased intracel-
lular Ca2+ concentration, has been reported to enhance desensitisation (Docherty
et al. 1996; Mohapatra and Nau 2005; Piper et al. 1999). Intracellular inhibition
of calcineurin significantly decreases desensitization of TRPV1 by capsaicin or
protons (Mohapatra and Nau 2005). On the other hand, PKA activity results in
decreased desensitization and increased sensitivity to capsaicin, protons and anan-
damide (Mohapatra and Nau 2005; Di Marzo et al. 2002; Bhave et al. 2003). A
balance between TRPV1 dephosphorylation by calcineurin and phosphoryla-
tion by different kinases, as mentioned earlier, is thought to regulate the Ca2+-
dependent desensitization of the channel (Jung et al. 2004; Cortright and Szallasi
2004; Docherty et al. 1996; Mohapatra and Nau 2005; Mandadi et al. 2004).
Upon desensitisation of TRPV1, a number of other molecular mechanisms
contribute to further inhibition of the channel. Sanz-Salvador et al. (2012) have
recently reported that TRPV1 agonists can downregulate the membrane expres-
sion of TRPV1 through endocytosis and lysosomal degradation, thus contribut-
ing further to agonist-insensitivity. This process is modulated by PKA-dependent
54 I. Nagy et al.
phosphorylation (Sanz-Salvador et al. 2012). Capsaicin-desensitised TRPV1 also

appears to have decreased affinity for capsaicin as, following the rapid onset of
the first capsaicin evoked-response of TRPV1 in transfected HEK293T cells,
the kinetics of subsequent responses become slower. In this case, desensitisation
can be overcome with higher capsaicin concentrations (Vyklicky et al. 2008).
However, the desensitisation is not due to the impairment of intrinsic gating mech-
anisms as the desensitised channel remains responsive to depolarisation (Yao and
Qin 2009). Capsaicin-induced desensitisation of TRPV1 is also accompanied by
a decrease in the responsiveness to heat (Vyklicky et al. 2008; Tominaga et al.
1998).
Other mechanisms, in addition to Ca2+-dependent desensitisation are also
involved in the receptor’s desensitisation. As mentioned above, camphor activates
TRPV1 independently of the vanilloid binding site and desensitises the channel in
a Ca2+-independent manner (Xu et al. 2005). Piperine has a propensity to cause
greater desensitisation of TRPV1 than capsaicin, even in the absence of extracel-
lular Ca2+ (McNamara et al. 2005).
Desensitisation of TRPV1 has been widely used to control pain for centuries
and, in recent years, we have witnessed a revival of using capsaicin or its ana-
logues in various concentrations. A formulation (WL-1002) from Winston
Laboratories is in clinical trials for cluster headache, migraine and osteoarthritic
pain, as is Compound 4975 from Anesina for neuropathic and musculoskeletal
pain (Jara-Oseguera et al. 2008; Mandadi and Roufogalis 2008). At present, there
are creams with a low concentration of capsaicin (0.075 %) available with no
proof of desensitization (Szallasi and Sheta 2012) and a patch with an 8 % concen-
tration of trans-capsaicin is available for the treatment of peripheral neuropathic
and HIV-associated pain (Noto et al. 2009).
As application of capsaicin results in an unpleasant hot sensation and skin irri-
tation, attempts have been made to develop TRPV1 agonists which produce less
pungency, such as capsaite and olvanil (Brand et al. 1987; Iida et al. 2003). Such
agonists have been shown to robustly activate TRPV1 and to present hyperalgesic
effects in vivo (Wu et al. 2006; Appendino et al. 2005b; Phillips et al. 2004; Iida
et al. 2003; Roberts and Connor 2006). However, the use of such synthetic ago-
nists as analgesics has not been very successful in humans as they require direct
contact with nerve endings before being broken down or sequestered (Cromer and
McIntyre 2008).
In addition to desensitisation, other mechanisms have also been implicated
in vanilloid-induce analgesia. Some studies reported degeneration of epider-
mal nerve fibers upon repeated or prolonged application of capsaicin (McMahon
et al. 1991; Nolano et al. 1999; Simone et al. 1998; Knotkova et al. 2008) in
parallel to reduction of pain responses. This capsaicin-induced degeneration
of small nerve endings is a reversible process (Simone et al. 1998; McMahon
et al. 1991) which may account for the long-lasting antinociceptive effects of cap-
saicin (Knotkova et al. 2008; Nagy et al. 2004; Jancsó et al. 2008; Tender et al.
2005). The vanilloid-induced degeneration is likely to occur through neurotoxicity
due to excess Ca2+ influx (Olah et al. 2001; Szolcsányi 2004) or the production
of intracellular reactive oxygen species (Hail 2003). In addition, a significant role

for the vanilloid-induced inhibition of axonal transport (Santha and Jancso 2003)
and decreased availability of nerve growth factor have also been suggested in the
defunctionalisation of C-fibers (Jancsó et al. 2008). This may have additional
effects on the availability of neuropeptides such as substance P and calcitonin
gene-related peptide (CGRP), which have been implicated in nociceptive pro-
cesses, thus further promoting anti-nociception (Jancsó et al. 2008).
2.5.3 Mechanisms of Action of TRPV1 Receptor Antagonists
The aim for the development of TRPV1 antagonists is to provide novel analge-
sic drugs which do not produce undesirable side effects (Gomtsyan et al. 2005;
Roberts and Connor 2006). Non-competitive antagonists that interact with sites
other than the agonist binding site prevent agonist-induced receptor opening or
block the aqueous pore. This mode of action is thought to be more clinically rel-
evant as, in a disease state, TRPV1 might already be activated. Competitive antag-
onists, on the other hand, bind to the agonist binding site and lock the channel in
a closed, non-conductive state (Roberts and Connor 2006). TRPV1 is activated,
through interactions with different binding sites by vanilloids, heat and protons
(see below), which may all play a role in TRPV1 activation in pathological condi-
tions. Therefore, antagonists should inhibit all binding sites. However, inhibition
of the capsaicin binding site remains a critical requirement for TRPV1 antagonists
and many have been developed by structurally altering capsaicin or other potent
TRPV1 agonists such as RTX.
Capsazepine, an analogue of capsaicin, was the first synthetic competitive
antagonist of TRPV1 (Bevan et al. 1992). Compared with other TRPV1 antago-
nists, capsazepine has a relatively low potency on TRPV1. Capsazepine has
been shown to inhibit capsaicin-induced TRPV1 currents in sensory neurons and
to compete with RTX for binding (Szallasi et al. 1993). Although capsazepine
was shown to inhibit the behavioural nociceptive properties of capsaicin in vivo
(Perkins and Campbell 1992), its effect on heat- and proton-induced TRPV1 acti-
vation appears to be species-dependant (Walker et al. 2003; Savidge et al. 2002).
In humans, capsazepine has been reported to inhibit TRPV1 activation by heat
and protons. However, due to low metabolic stability and poor pharmacokinetic
properties, capsazepine did not reach clinical development (Gomtsyan et al. 2005).
Capsazepine has also shown some effects on other channels, such as voltage-
gated calcium channels, nicotinic receptors and TRPM8 (Roberts and Connor
2006). Although capsazepine has a low potency and exhibits unspecific binding,
it has been used in many pharmacological studies and served as a pharmacologi-
cal tool for comparing novel TRPV1 antagonists. In addition to capsazepine, other
TRPV1 antagonists were also derived from TRPV1 agonists. Halogenation (i.e.
iodine substitution) of vanillamide compounds, such as nonivamide and arvnil,
produced potent TRPV1 antagonists (Appendino et al. 2003, 2005a, b; Roberts
56 I. Nagy et al.
and Connor 2006; Wahl et al. 2001). Since then, a number of pharmaceutical com-
panies have explored the development of novel TRPV1 antagonists such as fused
pyridine, azabicyclic, heterocyclic and amide derivatives (Roberts and Connor
2006). Of them, fused pyridine derivatives have been shown to exhibit antinoci-
peptive effects in rodent models of neuropathic pain at a low dose (0.1 mg kg−1,
(Roberts and Connor 2006). Other structural classes of TRPV1 antagonists include
pyridyl piperazinyl ureas and cinnamides. Most of these compounds are potent
TRPV1 antagonists that block capsaicin-, heat- and pH-evoked TRPV1 responses,
with high efficacy in a number of pain models and good oral bioavailability
(Swanson et al. 2005; Sun et al. 2003; El Kouhen et al. 2005; Honore et al. 2005;
Tafesse et al. 2004; Gavva et al. 2005).
A number of novel TRPV1 antagonists produce long-lasting and dose-depend-
ent hyperthermia (Roberts and Connor 2006; Swanson et al. 2005), which is
thought to be due to the blocking of tonic TRPV1 activity which controls body
temperature. In addition, the efficacy and potency of most novel TRPV1 antago-
nists has been assessed on peripherally produced analgesia. However, TRPV1
is also expressed in the central nervous system (Peters et al. 2011; Chavez et
al. 2010; Matta and Ahern 2011; Kauer and Gibson 2009), as well as in vari-
ous peripheral tissues where the role of TRPV1 is poorly defined. For example,
TRPV1 is suggested to play a protective role against noxious stimuli in gastric
mucosal epithelial cells (Kato et al. 2003; Holzer 2011; Faussone-Pellegrini et
al. 2005), and a modulatory role in insulin secretion in the pancreas (Gram et al.
2007). Further, TRPV1 has been associated with a protective role against myocar-
dial injury through the generation of chest pain in myocardial hypoxia (Robbins
et al. 2013; Fernandes et al. 2012). Therefore, the blocking of TRPV1 activity by
antagonists may have additional undesirable side-effects.
2.6 Stucture: Function Relationship in TRPV1
The TRPV1 protein consists of 838 or 839 amino acids in rats and humans respec-
tively, and has an estimated relative molecular mass of 95,000 (Caterina et al. 1997).
It can be divided into three structural components; the N- and C- termini, both of
which are intracellular, and a transmembrane region consisting of six helices (S1-6)
and a pore-forming loop between S5 and S6 (Fig. 2.1). The TRPV1 molecule pos-
sesses distinct protein moieties that enable it to complex with other molecules, or
‘subunits’, in order to form a tetrameric ion channel with fourfold symmetry and
an aqueous pore. TRPV1 subunits typically self-associate, leading to TRPV1’s
predominant expression as a homotetramer, though it may also contribute struc-
turally to heteromers in the form of TRPV1 splice variants or functionally distinct
complexes including other vanilloid type TRP channel subunits, such as TRPV2
and TRPV3 (Rutter et al. 2005; Smith et al. 2002). The resulting channel is inte-
grated into a ‘transducisome’, a macromolecular complex including scaffolding pro-
teins and downstream signalling molecules. The complex, derived from Drosophila
Fig. 2.1 Critical residues involved in TRPV1 function. TRPV1 topology highlighting residues

implicated in the activation, sensitisation, desensitisation, gating properties or permeation of the
channel
phototransduction machinery which includes the prototypical TRP channel

(Vennekens et al. 2002), improves transduction efficiency by grouping components
of the channel’s intracellular signalling pathways, such as PKC, PLC (Vennekens
et al. 2002), calmodulin (Docherty et al. 1996), phosphoinositide 3-kinase (Stein et
al. 2006), SNAPIN and synaptotagmin IX (Morenilla-Palao et al. 2004). Within the
channels at the centre of these signalling complexes, the structural divisions of each
TRPV1 subunit also reflect functional distinctions determined by the localisation of
activation sites where interactions with various endogenous and exogenous ligands,
heat, protons and post-transcriptional modifications occur.
2.6.1 The N Terminus
Like other vanilloid type TRP proteins (Jin et al. 2006; McCleverty et al. 2006;
Erler et al. 2004), TRPV1’s cytosolic N-terminus hosts an ankyrin repeat domain
(ARD) that contains six ankyrin repeats (Fig. 2.1). The 33-amino acid sequence
58 I. Nagy et al.
of an ankyrin repeat can be found in many proteins with various responsibilities

including cytoskeletal integrity, cell-cycle regulation, inflammation and tran-
scription (Mosavi et al. 2004) and is required for channel function (Hellwig et
al. 2005). Within the TRPV family, the ARD enables self-association between
TRPV6 subunits (Erler et al. 2004) and the oligomerisation required for TRPV4
biogenesis (Arniges et al. 2006). Studies specifically investigating the TRPV1
ARD have identified a multi-ligand binding site for CaM and ATP which partly
regulates the Ca2+-dependent desensitisation discussed above (Koplas et al. 1997).
ATP binds to some transporters and receptors via nucleotide-binding sites
known as ATP-binding cassettes (ABCs) containing the Walker A and B motifs
and a signal sequence between their primary structures (Walker et al. 1982;
Decottignies and Goffeau 1997; Hung et al. 1998). While TRPV1 does not possess
the complete sequence, ATP was first proposed to interact with the N-terminus
via a Walker B motif including D178. Mutation of D178 abolishes ATP-mediated
potentiation of capsaicin-induced currents in TRPV1-expressing oocytes (Kwak et
al. 2000), though Lishko’s model shows that this residue lies within a helix of the
second ARD rather than the typical Walker B β strand (Lishko et al. 2007).
As previously mentioned, extracellular acidity and intracellular alkalinity stim-
ulate TRPV1 independently and the latter is mediated via the N-terminus. The
alkaline deprotonation-underlying activation by an increase in cytosolic pH occurs
at H378 (Fig. 2.1), a histidine residue located between the ARD and the first trans-
membrane segment (Dhaka et al. 2009). Point mutation studies have also shown
that R114 within the N-terminus (Fig. 2.1) is a structural necessity for the chan-
nel’s hydrophilic interaction with capsaicin and RTX (Jung et al. 2002).
In addition to binding sites, the N-terminus houses sites for post-transcriptional
modifications. These sites include Y199 (or Y200 in humans; Fig. 2.1), the phos-
phorylation of which by Src kinase following nerve growth factor-induced activa-
tion of the tyrosine kinase A receptor promotes TRPV1 channel’s insertion into
the cell membrane (Zhang et al. 2005). The N-terminus is also suitably equipped
for mediating the regulation of Ca2+-dependent desensitisation; in addition to
its above-mentioned CaM binding region it houses multiple consensus sites for
PKA-mediated phosphorylation. Electrophysiological study of TRPV1 mutants
has identified both S116 and T370 (Fig. 2.1) as major PKA phosphorylation sites
required for reduction of TRPV1 desensitisation following capsaicin stimulation
(Bhave et al. 2002; Mohapatra and Nau 2005). While phosphorylation at these
sites reduces desensitisation, dephosphorylation at T144 and T370 (Fig. 2.1) by
calcineurin promotes desensitisation (Jeske et al. 2006).
2.6.2 The C Terminus
TRPV1’s C-terminus is composed of the distal 155 residues of the molecule

(Fig. 2.1). Among its key structural features is the TRP domain (E684-R721;
Fig. 2.1), a sequence located near the channel gate that is responsible for the
tetramerisation of TRPV1 monomers (Garcia-Sanz et al. 2004) and modulating the

channel’s function. Functional TRPV chimaeras in which TRPV1’s TRP domains
are replaced with cognate domains from TRPV2-4 require capsaicin and/or heat to
exhibit voltage-dependent gating. This, coupled with further biophysical analysis
supporting the TRP domain’s role in determining the activation energy of chan-
nel gating, supports the region’s role in coupling stimulus reception with chan-
nel gating (Garcia-Sanz et al. 2007). Further study has localised key residues that
determine activation energy to the TRP box, a region in the TRP domain that is
highly conserved between the TRPV, the melastatin type (TRPM) and the canoni-
cal type (TRPC) TRP subfamilies. Alanine substitution of I696, W697 and R701
within this six-residue segment significantly impairs voltage-, heat- and capsaicin-
induced channel activity in a manner consistent with modification of downstream
signalling and TRP box-dependent channel subunit interaction (Valente et al.
2008). Consistent with the C-terminus’ putative role in gating control, truncating
the distal 31 or 72 amino acids of TRPV1 progressively reduces pH-, heat- and
capsaicin-sensitivity, its thermal threshold and the onset, outward rectification and
peak tail current amplitude of voltage-induced currents (Vlachova et al. 2003).
Furthermore, TRP chimaeras coupling TRPV1 with the C-terminus of the cold-
sensing TRPM8 molecule, or vice versa, exhibit the temperature sensitivity of the
donor channel (Brauchi et al. 2006). This demonstrates that the C-terminus con-
fers the channel’s thermosensing phenotype. Subsequent investigation established
that deletion of residues 741–752 abolishes TRPV1’s heat-sensitivity and hence
localised a major thermosensing region to the C-terminus (Brauchi et al. 2007).
In experimenting with these chimaeric receptors, Brauchi noted the exchange of
another important C-terminus feature; the modulation site of PIP2. PIP2 binding
has been suggested to occur within residues 777–820 (Fig. 2.1) by Prescott and
Julius (2003). However, homology modelling challenges the role of this region
as a direct binding site and instead suggests that PIP2 makes contact with K694,
K698 and K701 within the C-terminus (Fig. 2.1) (Brauchi et al. 2007). As dis-
cussed above, PIP2’s role in TRPV1 modulation remains unclear.
As with the proposed Walker B motif within the N-terminus, the C-terminus
was proposed to contain the Walker A motif normally found within ABC trans-
porters. Point mutation of a residue within this sequence at K735 prevents the
sensitising effects of ATP in TRPV1-expressing oocytes (Kwak et al. 2000), sug-
gesting the C-terminus possesses a nucleotide binding domain. Despite not pos-
sessing any previously defined CaM binding motifs, the C-terminus was also
found to bind CaM within a 35-residue region (Numazaki et al. 2003). Point muta-
tions within this region subsequently established the involvement of 5 residues in
CaM binding (V769, R771, R785, K788 and R797). These findings were consist-
ent with a model by which the C-terminus’ binding motif docks into CaM as a
basic amphiphilic α-helix (Grycova et al. 2008). Additionally, E761 was found
to be of structural significance in vanilloid binding alongside R114 within the
N-terminus (Jung et al. 2002).
There are further functional similarities between the structural components
of the C- and N-termini. Point mutations of PKA consensus sites revealed that
60 I. Nagy et al.
mimicking phosphorylation via S774D and S820D mutations significantly reduces

capsaicin-induced desensitisation, demonstrating the presence of phosphorylation
sites on the C-terminus. However, raising cAMP levels with forskolin pre-treat-
ment in the presence of these mutants decreased tachyphylaxis further still. As this
was not observed with S116D and T370D mutations, N-terminus-based phospho-
rylation sites appear to play the major roles in PKA-mediated TRPV1 modulation
(Mohapatra and Nau 2003). Conversely, TRPV1 phosphorylation by PKC occurs
at the C- rather than the N-terminus. Point mutation studies have identified that
S800 is a major phosphorylation site underlying PKC’s sensitising TRPV1 to cap-
saicin (Fig. 2.1) (Numazaki et al. 2002; Bhave et al. 2003), while S774 and S820
serve as minor PKC phosphorylation sites (Bhave et al. 2003). Furthermore, the
ability of phorbol esters to activate TRPV1 in addition to stimulating PKC was
identified and the potentiation of resulting currents by PKC was shown to be
dependent on S704 (Fig. 2.1) (Bhave et al. 2003). The C-terminus hence hosts a
variety of important structural features that regulate tetramerisation, gating proper-
ties, temperature sensitivity and channel sensitisation.
2.6.3 The Pore Domain
TRPV1’s pore domain is formed by S5, S6 and the adjoining pore loop (P-loop)
between them (Fig. 2.1). S6 constitutes the inner pore helix while the P-loop
serves as the channel’s selectivity filter. Subsequently, many key residues that
determine the channel’s gating and permeability properties have been identified
here. Employing the substituted cysteine accessibility method to scan S6 of rat
TRPV1 elucidated the presence of two intracellular constrictions that block the ion
conduction pathway. One, located at L681, prevents the ingress of large (~6 Å)
molecules. The other, at Y671, prevents the passage of small ions (~2 Å) and com-
prises TRPV1’s activation gate in response to both capsaicin and heat (Fig. 2.1).
Given the periodicity of an alpha helix, the accessibility of these residues was
consistent with their positioning within the aqueous pore-facing side of a heli-
cal transmembrane domain (Salazar et al. 2009). This arrangement is consistent
with the previous findings that T671 modulates Ca2+-permeation properties and
is implicated in Ca2+-dependent desensitisation (Mohapatra et al. 2003). Beyond
in addition to identifying pore constriction sites, point mutation studies have elu-
cidated a range of residues with alternative functional relevance in the pore region.
Following evidence that D646 neutralisation reduces divalent cation permeability,
it has been suggested that this residue might form a ring of negative charges in
order to construct a high affinity cation binding site near the channel’s extracel-
lular entrance. Such an arrangement could serve to coordinate cation movement
and hence modulate channel permeation and blockade (Garcia-Martinez et al.
2000). Further, E636 mutation weakly modulated pore blockade consistently with
this residue serving to stabilise the channel’s selectivity filter or tetrameric struc-
ture. The suggested roles of these residues are consistent with TRPV1’s proposed
structural and operational similarity to the potassium crystallographically-sited

activation channel KcsA (Garcia-Martinez et al. 2000).
While TRPV1’s response to intracellular pH increase is mediated by the
N-terminus, the effects of low pH, such as that occurring within damaged tissue due
to local acidosis, are presumed to result from protonation of its extracellular acidic
residues. Two such residues found near the channel’s pore confer different means of
proton-mediated gating (Fig. 2.1). E600 appears to determine the channel’s response
to other activators at low pH. Wild type TRPV1 exhibited dynamic heat-response
potentiation when the extracellular pH decreased across a range reflecting tissue-
damage associated local acidosis though, upon E600 mutation, the channel failed
to exhibit such dynamic and robust response modulation (Jordt et al. 2000). E648
instead appears to confer the channel’s direct activation by protons as its mutation
selectively abrogates proton-induced channel activation while responses to capsai-
cin and heat remained unaffected (Jordt et al. 2000). The E648A mutation hence
supports the co-existence of independent activation pathways for different stimuli
within TRPV1. However, it is worth noting that an alternative mutation of this resi-
due, E648Q, has conversely been reported to selectively potentiate responses to cap-
saicin and not protons. Furthermore, the study described this same effect as a result
of mutating residues E636 and D646 (Welch et al. 2000), both discussed above. In
addition to E600 and E648, a study demonstrating that both proton-induced activa-
tion and sensitisation of TRPV1 are mediated by shifting the voltage dependence
of activation curves towards more physiological membrane potentials elucidated that
both of these processes depend on F660 within the pore region (Aneiros et al. 2011).
Further still, the hydrophobic interactions that appear to mediate the coupling of pro-
ton binding with channel gating appear to rely on additional residues, one of which
is located in the pore region at T633 (Ryu et al. 2007).
The pore region has further function in addition to regulating TRPV1’s per-
meability and mediating responses to acidic pH. S-nitrosylation of C616 and
C621, which are located within the proximal pore domain, underlies NO-evoked
responses of TRPV1 (Yoshida et al. 2006). Further, the lipid cholesterol, an essen-
tial structural component of cell membranes, has been shown to be an impor-
tant regulator of TRPV1 and seems to bind to a cholesterol recognition amino
acid consensus (CRAC) sequence within S5 (Liu et al. 2006b; Szoke et al. 2010;
Jansson et al. 2013; Santha et al. 2010; Picazo-Juarez et al. 2011; Morales-
Lazaro et al. 2013). The substitutions R579D and F582Q within this CRAC motif
decrease the cholesterol response. However, depletion of cholesterol has also been
shown to reduce TRPV1-mediated currents and, furthermore, decrease TRPV1
channel membrane expression (Liu et al. 2006b).
Along with the C-terminus (Brauchi et al. 2007), the pore domain appears to
confer some of the channel’s thermosensing capability as mutating residues 613–
627, thereby giving TRPV1 an artificial pore turret sequence, prevents the channel
from responding to heat. This region was then observed to undergo heat-induced
conformational changes not observed with ligand- and voltage-dependent activa-
tion (Yang et al. 2010). In addition, triple (N628K, N652T and Y653T) and double
(N652T and Y653T) point mutant channels exhibit a shorter open time specifically
62 I. Nagy et al.
in response to heat, while responses to capsaicin and pH are unaffected (Grandl

et al. 2010). Endogenous heat-induced TRPV1 gating incorporates multiple
open states of varying durations; those of greater length are diminished in these
mutants. As with other regions in the molecule, TRPV1’s pore region appears to
be functionally regulated by post-transcriptional modification. This was first estab-
lished with the identification of an exclusive N-glycosylation site at N604 in cell
lines (Jahnel et al. 2001). Western blotting of primary sensory nerve extracts later
indicated the presence of both glycosylated and unglycosylated TRPV1. This
variation in glycosylation state was observed in wild type TRPV1 (WT-TRPV1)
but not the unglycosylated N604T mutant (N604T-TRPV1) upon expression in
HEK293 cells. Variations in glycosylation state were reflected in the variabil-
ity of capsaicin-induced currents and desensitisation observed across different
WT-TRPV1-tranfected cells, while responses mediated by N604T-TRPV1 were
uniform. Glycosylation ultimately appears to alter the maintenance of capsaicin-
induced intracellular calcium level increases, acute desensitisation and pore dila-
tion in a manner consistent with a substantial variability of endogenous TRPV1
glycosylation (Veldhuis et al. 2012).
2.6.4 The S1–S4 Module
The final TRPV1 component, the S1–S4 module (Fig. 2.1), confers many func-
tional qualities also enabled by other regions of the molecule. However, by pos-
sessing the ‘vanilloid pocket’ between the first intracellular loop and S4, it is
set apart by its predominant interaction with capsaicinoids and resiniferonoids.
These compounds are highly lipophilic and it is presumed that they bind intra-
cellularly having crossed the cell membrane. Mutational analysis supports an
arrangement in which capsaicin interacts with the cytosolic aromatic residue
Y511 via its vanillyl moiety and other polar residues such as S512 and R491 via
hydrogen bonding (Jordt and Julius 2002). Alternatively, following the demon-
stration that I550T mutation in rabbit TRPV1 is sufficient to confer capsaicin
sensitivity and that the reverse T550I mutation in rat and human TRPV1 pre-
vents it, it has been suggested that capsaicin’s vanillyl moiety interacts at T550
while hydrophobic interaction occurs at Y511 (Gavva et al. 2004). Similarly,
an additional mutation, L547M, was sufficient to enable high affinity binding
of the ultra-potent vanilloid RTX in rabbit TRPV1 and the reverse mutations at
positions 550 and 547 caused a loss of RTX binding in human and rat TRPV1
(Gavva et al. 2004). It was also demonstrated that anandamide, an endocannabi-
noid and endovanilloid with significant structural similarity to capsaicin, failed
to activate the Y511A mutant. It hence appears that there are shared structural
determinants of sensitivity to capsaicin and endogenous ligands (Jordt and Julius
2002).
Consistent with these mutational analyses, a modelling study suggested that

capsaicin’s vanillyl moiety does indeed interact at Y511 via π–π and hydrophobic
interactions and at S512 via hydrogen bonding, while its carbonyl group interacts
via hydrogen bonds with both Y511 and K571 (Lee et al. 2011). The π–π and
hydrophobic interactions at Y511 also appeared to occur with RTX binding while
the residue’s hydroxyl group formed a hydrogen bond with K571 in order to
embrace RTX’s phenyl ring. Additionally, RTX’s longer tail region contributed to
hydrophobic interaction with M547, its C4-OH group hydrogen-bonded with T550
and its orthophenyl group exhibited hydrophobic interaction with L515. As the
RTX molecule has phenyl rings at both ends, and there are hydrophobic residues
at both ends of the binding region, the model also supported a secondary bind-
ing mode by which RTX’s vanillyl moiety pointed towards M547, its orthophe-
nyl group oriented towards Y511, its C20-ester seemed to form hydrogen bonds
with N551 and its C13-propenyl group formed hydrophobic interaction with L515
(Lee et al. 2011). In addition, the importance of a second hydrophobic site at F543
(which had been implicated in a previous RTX model alongside Y555 (Chou et al.
2004)) in binding a simplified RTX analogue was established and has interesting
implications for the design of novel ligands (Lee et al. 2011).
In addition to its major roles in vanilloid binding, the S1-4 module houses
residues key to TRPV1’s pH sensitivity. The mutational analyses that eluci-
dated the above-described vanilloid binding site concomitantly established the
involvement of S512 and R491 in mediating the channel’s response to protons.
R491G and S512F mutations dramatically reduced proton-induced currents,
while alternative mutations of these residues would preserve the responses to a
greater extent (Jordt and Julius 2002). Additionally, as with T633 within the pore
region, V538 within the second extracellular loop is required for the hydropho-
bic interactions involved in coupling proton binding with channel gating (Ryu
et al. 2007). The S1–S4 module enables further post-transcriptional modifica-
tion via S502, a consensus phosphorylation site for both PKA and PKC located
within the first intracellular loop. Upon comparison with other predicted phos-
phorylation site mutants including T370D, PKA-mediated potentiation of heat
response currents were most prominently reduced with S502D (Rathee et al.
2002), supporting the particular functional significance of this PKA phospho-
rylation site. As with S800 within the C-terminus, mutation studies have dem-
onstrated that phosphorylation of S502 by PKC potentiates capsaicin-induced
currents (Numazaki et al. 2002). Although TRPV1’s molecular determinants of
voltage sensing have not yet been identified, such activation is generally asso-
ciated with a series of positively charged amino acids within the channel’s S4.
This is supported by the effect of mutating such residues within various voltage-
gated ion channels on gating charge (Stuhmer et al. 1989; Papazian et al. 1991).
Employing this approach has since confirmed that S4 and the second intracellu-
lar loop do indeed constitute part of the voltage sensor in TRPM8, offering inter-
esting insight into how TRPV1 might sense voltage (Voets et al. 2007).
64 I. Nagy et al.
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Chapter 3
TRPV1 in the Central Nervous System:
Synaptic Plasticity, Function,
and Pharmacological Implications
Jeffrey G. Edwards
Abstract The function of TRPV1 in the peripheral nervous system is increasingly

being investigated for its anti-inflammatory and antinociceptive properties in an effort
to find a novel target to fight pain that is nonaddictive. However, in recent years, it was
discovered that TRPV1 is also associated with a wide array of functions and behaviors
in the central nervous system, such as fear, anxiety, stress, thermoregulation, pain, and,
more recently, synaptic plasticity, the cellular mechanism that allows the brain to adapt
to its environment. This suggests a new role for brain TRPV1 in areas such as learning
and memory, reward and addiction, and development. This wide array of functional
aspects of TRPV1 in the central nervous system (CNS) is in part due to its multi-
modal form of activation and highlights the potential pharmacological implications of
TRPV1 in the brain. As humans also express a TRPV1 homologue, it is likely that ani-
mal research will be translational to humans and therefore worthy of exploration. This
review outlines the basic expression patterns of TRPV1 in the CNS along with what
is known regarding its signaling mechanisms and its role in the aforementioned brain
functions. As TRPV1 involvement in synaptic plasticity has never been fully reviewed
elsewhere, it will be a focus of this review. The chapter concludes with some of the
potential pharmaceutical implications of further TRPV1 research.
3.1 Introduction
TRPV1 is a nonselective calcium-permeable cation channel involved in nocicep-

tive circuits in the peripheral nervous system (PNS) and various functions includ-
ing synaptic plasticity in the central nervous system (CNS). TRPV1 is highly
J. G. Edwards (*)
Physiology and Developmental Biology, Brigham Young University, Neuroscience Center
575 WIDB, Provo, UT 84602, USA

78 J. G. Edwards
expressed in the PNS, including in dorsal root ganglia, trigeminal ganglia, and
primary sensory neurons (Szallasi and Blumberg 1991; Helliwell et al. 1998),
where it is being examined for its anti-inflammatory and antinociceptive properties
(Caterina et al. 2000; Nagy et al. 2004; Palazzo et al. 2008). This is important con-
sidering its multimodal activation properties that could integrate many types of
painful stimuli (Tominaga et al. 1998) as it is activated by low pH, various ligands,
and physical stimuli such as temperature. In addition, TRPV1 is also present,
albeit at lower levels, in the brain (Mezey et al. 2000), including hippocampus,
amygdala, and hypothalamus, where it was identified using various techniques,
including immunocytochemistry, quantitative RT-PCR, and in situ hybridiza-
tion (Mezey et al. 2000; Cristino et al. 2006; Toth et al. 2005; Roberts et al. 2004;
Merrill et al. 2012).
It should be noted, however, that TRPV1 expression in the CNS has been
debated for two main reasons. First, in contrast to previous studies, one report
using TRPV1 reporter mice identified very restricted TRPV1 expression in the
brain, with the highest levels primarily in the hypothalamus (Cavanaugh et al.
2011). Second, considering the important role TRPV1 plays as a sensory recep-
tor in the PNS, some have questioned the necessity of a function for TRPV1 in
the CNS as TRPV1 is thermal sensitive and thus activated by moderate thermal
stimuli at a temperature >42–43 °C. It is also activated exogenously by capsai-
cin (Tominaga and Tominaga 2005; Caterina et al. 1997; Caterina 2007), the com-
ponent in chili peppers that mediates the “hot” or pain sensation of spicy foods.
Therefore, the question is could TRPV1, which is highly expressed in the PNS
and involved in sensation, be involved in brain function where it has ~20–25-fold
lower expression in rodents (Sanchez et al. 2001; Han et al. 2013), and are these
lower expression levels even physiologically or behaviorally relevant? One part of
this question could be answered by the fact that TRPV1 is both multimodal and is
activated by many different ligands, suggesting that activation of TRPV1 may be
variable depending on the specific region in which it is expressed.
Recently, several studies attempted to answer the question regarding the
physiological and behavioral relevance of TRPV1 in the CNS. First, endogenous
ligands (in addition to exogenous capsaicin) for TRPV1 and enzymes that pro-
duce these ligands are expressed in the brain. These include endocannabinoids/
eicosanoids/endovanilloids, such as N-arachidonoyl-ethanolamine (anandamide),
N-arachidonoyl-dopamine (NADA) (Huang et al. 2002), oleoylethanolamide
(Ahern 2003), and N-oleoyldopamine (Chu et al. 2003), arachidonic acid deriva-
tives, such as 12-hydroperoxyeicosa-tetraenoic acid (12-HPETE) (Gibson et al.
2008), and finally N-acylethanolamines (Movahed et al. 2005), among others.
This extremely large number of endogenous ligands for one receptor has been the
topic of a recent review (Di Marzo and De Petrocellis 2012) and suggests a role
for this TRPV1 characteristic in potential function. Second, many studies now
illustrate that TRPV1 is physiologically relevant in the CNS where reported func-
tions include behavioral anxiolytic effects following TRPV1 antagonism (Santos
et al. 2008; Kasckow et al. 2004; Micale et al. 2008), contextual fear learning and
plasticity using TRPV1 knockout (TRPV1−/−) mice (Marsch et al. 2007), visual
3 TRPV1 in the Central Nervous System 79
development in the superior colliculus (Maione et al. 2009), and improved spa-
tial memory retrieval under stressful conditions in response to TRPV1 activation
(Li et al. 2008). In addition, presynaptic TRPV1 in the hippocampus is involved
in inhibitory interneuron synaptic plasticity (Gibson et al. 2008). This was the first
demonstration of TRPV1 involvement in synaptic plasticity, the critical cellular
mechanism used by the brain to allow animals to adapt and respond to changes
in their environment, a function known as experience-dependent or use-dependent
plasticity. Following this initial description of TRPV1 involvement in hippocampal
plasticity, other researchers identified TRPV1-dependent plasticity in other brain
regions, suggesting it could be an important mechanism used throughout the brain.
Therefore, just like many other proteins that can be present and necessary in both
the PNS and CNS, such as the Na+/K+ ATP-ase transporter, which is expressed in
both the brain and kidney, TRPV1 appears to play important yet distinct roles in
both the PNS and the CNS.
In summary, while there has been some debate regarding TRPV1 expression in the
brain, there is now a substantial accumulation of data demonstrating TRPV1 func-
tion in the CNS. One of the focuses of this chapter will be the role TRPV1 plays
in CNS synaptic plasticity and signaling pathways, with a focus particularly on the
hippocampus, the declarative memory center of the brain. This chapter also presents
other major functions of TRPV1 in the CNS, such as its association with anxiety,
analgesia, behavior, thermoregulation, etc., as well as its potential pharmaceutical
applications. In order to provide a framework for the following chapter review of
TRPV1 function in the CNS, I will first outline CNS TRPV1 expression and function.
3.2 Brain TRPV1 Expression and Function
Using radiolabeled TRPV1 ligand, RNA expression and PCR, western blot, and
immunoprecipitation, TRPV1 has been identified in the CNS of humans, rats,
and mice. In rodents, TRPV1 expression is located in major brain areas, includ-
ing the forebrain, the limbic system, the diencephalon, and midbrain. Regional
expression of these major areas include cerebellum, cortex, hippocampus, dentate
gyrus, amygdala, habenula, hypothalamus, suprachiasmatic nucleus, inferior olive,
substantia nigra, among others (Mezey et al. 2000; Sanchez et al. 2001; Roberts
et al. 2004; Szabo et al. 2002; Acs et al. 1996; Cortright et al. 2001; Han et al.
2013; Hayes et al. 2000). It is important to highlight that a TRPV1 homologue with
92 % similarity to rats is present in humans (Hayes et al. 2000). Human TRPV1 is
located on the chromosome site 17p13, and similar to rodents is activated by cap-
saicin, low pH, and temperature. Also similar to rodent TRPV1, human TRPV1
is expressed in the cerebellum, the hippocampus, and the frontal cortex as well as
in the dorsal root ganglia. Interestingly, while rat TRPV1 is expressed ~25 times
higher in dorsal root ganglia than in the CNS, human TRPV1 is expressed only 6–7
times higher in the dorsal root ganglia than in the CNS, suggesting an even greater
potential for TRPV1 functionality in the human CNS. Human TRPV1 expression
80 J. G. Edwards
is an important consideration as it suggests that studies of rodent TRPV1 are likely

translational in nature to humans. Therefore, information gleaned from research
with rodents, where most TRPV1 data originates, will likely apply to humans,
which is the focus of this chapter.
In outlining TRPV1 expression, this chapter will begin with the hippocam-
pus, a major emphasis of this review. In the hippocampus, cellular localization
of TRPV1 was identified within hippocampal pyramidal cells and astrocytes
but is absent from most, but not all, interneurons. Expression was noted using
varied techniques, including examination through either (1) protein expres-
sion via standard immunocytochemistry, electron microscopy, or western blot;
(2) mRNA expression via RT-PCR; or (3) whole cell recordings (Cristino et al.
2006; Toth et al. 2005; Gibson et al. 2008; Bennion et al. 2011; Merrill et al.
2012; Cristino et al. 2008). Specifically, TRPV1 is present in CA1 and CA3
pyramidal cell somas; the dentate gyrus, including the molecular layer; and
punctate of hippocampal layers within the stratum oriens and stratum radiatum.
This punctate was located in postsynaptic dendrites along with some expres-
sion in presynaptic terminals in CA1. Using immunocytochemistry, TRPV1
expression in CA3 and CA1 pyramidal cells was determined to be homogeneous
within most cells and within just some interneurons of the oriens (Cristino et al.
2008). Using RT-PCR, TRPV1 was identified within 50 % of CA3 cells (Merrill
et al. 2012), while CA1 cells were not examined. Rare interneurons of the stra-
tum radiatum are positive for TRPV1 using RT-PCR (unpublished observation
of the author).
The location of expression of physiologically relevant TRPV1 includes both
presynaptic and postsynaptic domains. When expressed presynaptically, TRPV1
usually enhances the release of the excitatory neurotransmitter glutamate, for exam-
ple, in the substantia nigra (Marinelli et al. 2003; Starowicz et al. 2007), hypothal-
amus (Sasamura et al. 1998), and other regions (Jennings et al. 2003). However,
there are some important exceptions in which presynaptic TRPV1 depressed
glutamate release in synaptic plasticity (Gibson et al. 2008; Maione et al. 2009).
Postsynaptically TRPV1often activates calcium-sensitive signaling pathways and in
several cases mediates synaptic plasticity as well (Chavez et al. 2010).
In the hippocampus TRPV1 is physiologically present and modulates synaptic
activity (Gibson et al. 2008; Marsch et al. 2007; Santos et al. 2008; Al-Hayani
et al. 2001; Li et al. 2008; Chavez et al. 2010; Bennion et al. 2011). Al-Hayani
et al. (2001) reported that TRPV1 agonists selectively increase paired-pulse
depression in a dose-dependent fashion, which was blocked by the TRPV1
antagonist capsazepine; this is the first demonstration of TRPV1 function-
ing in the hippocampus at the synaptic level. Subsequently, other studies dem-
onstrated TRPV1 involvement in the plasticity of synapses causing long-term
changes, beginning with the finding that TRPV1 was required for a novel form
of plasticity known as long-term depression (Gibson et al. 2008). As the study
of the TRPV1 involvement in plasticity is fairly new and has been only briefly
reviewed previously (Cachope 2012; Di Marzo and De Petrocellis 2012), it will
be a primary focus of this chapter.
3.3 Synaptic Plasticity
Synaptic plasticity is a critical phenomenon used by the brain for adapting or learning
from experiences in our environment, also known as experience-dependent plastic-
ity. The study of synaptic plasticity involves determining how mammalian brains can
alter their synapses, a cellular mechanism involved in functions ranging from learning
and memory, to reward and addiction, to brain development. Many types of plastic-
ity are dependent on the N-methyl-D-aspartate (NMDA) glutamate receptors, which
function as a coincidence detector of simultaneous presynaptic and postsynaptic
activity. If a receptor or signaling molecule is required for a certain type of plasticity,
such as the NMDA receptor, it is a mediator. If a receptor alters the properties of the
plasticity but is not required for it, it is a modulator.
For NMDA-dependent plasticity, calcium entry via NMDA receptors acti-
vates signaling pathways that either enhance or inhibit synaptic neurotransmis-
sion. Enhanced neurotransmission is known as long-term potentiation (LTP)
and is usually due to increased presynaptic neurotransmitter release or increased
postsynaptic receptors, such as insertion of α-amino-3-hydroxy-5-methyl-4-
isoxazolepropionic acid (AMPA) glutamate receptors into the postsynaptic mem-
brane. Depressed neurotransmission is long-term depression (LTD) and results
from decreased presynaptic neurotransmitter release or decreased postsynaptic
receptor numbers that are removed from the synapse. Both LTP and LTD occur
in the hippocampus, the critical brain region required for declarative and spa-
tial memories. Both can be induced in vitro using various stimulation protocols.
High-frequency stimulation (50–100 Hz) usually induces LTP and low-frequency
stimulation (1–5 Hz) induces LTD. The hippocampus is made up of a trisynaptic
pathway with information coming from the entorhinal cortex into the dentate gyrus
subfield and from there to the Cornu Ammonis 3 (CA3) and CA1 subfields. CA1
LTP is one of the most heavily studied types of plasticity in the brain. As TRPV1
is highly calcium-permeable, similar to NMDA, it is also a great candidate for trig-
gering calcium-induced cell signaling, such as occurs to initiate plasticity.
3.3.1 Hippocampal Long-Term Potentiation
Regarding studies of TRPV1 involvement in NMDA receptor-dependent hippo

campal CA1 LTP, TRPV1 modulation of plasticity was first demonstrated when
CA1 LTP in TRPV1−/− mice was reduced compared to wild-type control mice
(Marsch et al. 2007). This illustrated for the first time that TRPV1 could modu-
late this highly studied type of plasticity. A study published the following year sup-
ported this finding as TRPV1 agonists facilitated NMDA receptor-dependent CA1
LTP, albeit in rats, which was blocked by TRPV1 antagonists, capsazepine, and
SB366791 (Li et al. 2008). Collectively, the genetic elimination of TRPV1 reduced
LTP, while TRPV1 activation by agonists enhanced LTP, suggesting a real role for
TRPV1 in modulating CA1 LTP.
82 J. G. Edwards
(a) Presynaptic TRPV1

TRPV1 LTD
Calcineurin
AMPA
12-HPETE
12-LO
AA
mGluR1
(b) Postsynaptic
TRPV1 LTD
AMPA
Calcineurin ?
AA/NAPE AEA
TRPV1
mGluR5
 Fig. 3.1 Schematic Representation of TRPV1 LTD. a Presynaptic TRPV1 LTD, while medi-

ated at the presynaptic terminal depressing glutamate neurotransmitter release, requires forma-
tion of postsynaptic 12-HPETE in order to activate TRPV1. 12-HPETE is formed by the enzyme
12-lipoxygenase (12-LO) using arachidonic acid (AA) as a metabolic precursor, which is lib-
erated subsequent to mGluR1 activation. Once TRPV1 is activated presynaptically, it results in
activation of the protein phosphatase calcineurin, which through an unknown mechanism (?)
inhibits neurotransmission (as illustrated with an ‘x’). b Postsynaptic LTD results from endo-
cytosis of AMPA glutamate receptors. Postsynaptic mGluR5 and TRPV1 activation along with
anandamide (AEA) formation are required for this LTD. While the exact pathway of AEA forma-
tion and its effect is not completely known, AEA usually is formed from the conversion of meta-
bolic precursor N-arachidonoyl phosphatidylethanolamine (NAPE) phospholipase D, and once
formed AEA likely targets TRPV1. TRPV1 then potentially results in the activation of calcineu-
rin (?), which through clathrin-dependent mechanisms induces endocytosis of AMPA receptors.
It should be noted that the exact location of TRPV1 in both cases is not specifically known as
TRPV1 could be expressed by the plasma membrane or by intracellular membranes regulating
internal calcium release
While these data illustrate TRPV1 involvement in hippocampal plasticity,

the mechanism by which TRPV1 modulates hippocampal CA1 LTP was not
determined. This mechanism was later identified which will be described
below, but only after the discovery of a novel form of hippocampal plasticity
that was directly mediated by TRPV1. In this case, TRPV1 directly induced
plasticity of inhibitory hippocampal GABAergic interneurons (Gibson et al.
2008). Hippocampal inhibitory feedforward interneurons in the stratum
radiatum underwent high-frequency stimulus-induced LTD. This LTD was
dependent on postsynaptic activation of metabotropic glutamate receptor
1 (mGluR1) followed by presynaptic TRPV1 stimulation. In this pathway,
mGluR1 induced increases in intracellular calcium, resulting in the formation
of 12-(S)-Hydroperoxyeicosa-5Z, 8Z, 10E, 14Z-tetraenoic acid (12-HPETE)
from arachidonic acid cleavage via the enzyme 12-lipoxygenase. 12-HPETE
was then retrogradely diffused or transported across the synapse and acti-
vated presynaptic TRPV1 receptors on glutamate inputs, depressing transmit-
ter release (Fig. 3.1a). The identification of this plasticity suggested a possible
mechanism for TRPV1 enhancement of CA1 NMDA-dependent LTP. When
inhibitory feedforward interneurons, which innervate pyramidal cells in the
CA1, are depressed by LTD, CA1 pyramidal cells could be disinhibited, allow-
ing them to exhibit larger LTP. This was confirmed by the fact that the GABAA
antagonist picrotoxin blocked CA1 LTP enhancement by TRPV1 agonists
resiniferatoxin and capsaicin (Fig. 3.2a, b). In essence picrotoxin eliminates
fast inhibition mediated by interneurons from the circuit (Bennion et al. 2011)
(see Fig. 3.2c). Therefore, TRPV1 activation reduced GABA inhibition onto
CA1 pyramidal cells, allowing for enhanced LTP. This was later supported by
a genetic study in which the reduction in CA1 LTP in TRPV1−/− mice could
be rescued back to wild-type levels by picrotoxin (Brown et al. 2013).
Therefore, TRPV1 modulates LTP of hippocampal output CA1 pyramidal cells
via synaptic plasticity of feedforward interneurons.
84 J. G. Edwards
(a)
3.0
Normalized fEPSP Slope

DMSO- Control DMSO
2.5 Capsaicin
2.0
1.5 Cap
1.0
0.5
0 10 20 30 40 50 60 70
(b) 3.0
Time (min)
Normalized fEPSP Slope
Control DMSO
2.5 Capsaicin
2.0
1.5
Cap
1.0
Picrotoxin
0.5
0 10 20 30 40 50 60 70
Time (min)
CA1
(c) Interneuron picrotoxin
GABA A receptors
TRPV1 receptors
CA3
One interesting conundrum concerning the TRPV1-mediated LTD is that

while normally presynaptic TRPV1 enhances glutamate neurotransmission,
as TRPV1 is calcium-permeable and thus enhances presynaptic calcium and
transmitter release levels, in this case TRPV1 depressed transmitter release.
It turns out that TRPV-mediated LTD requires activation of the phosphatase
calcineurin by TRPV1, in order to induce LTD. This data will be more fully
addressed later on.
Collectively, these data suggest that TRPV1 is normally involved in NMDA
receptor-dependent LTP. Since TRPV1 plays a role in plasticity, TRPV1 could be
used as a neuromodulator target in the effort to potentially enhance plasticity and
therefore theoretically enhance memory formation.
 Fig. 3.2 TRPV1-induced enhancement of CA1 pyramidal cell long-term potentiation (LTP) is

blocked by GABAA antagonist picrotoxin. a The TRPV1 agonist capsaicin (1 μM), significantly
increased (p < 0.05; n = 14) theta burst (arrow)-induced LTP as compared to dimethyl sulfoxide
(DMSO) vehicle control (0.1 % DMSO; n = 20), as measured using field excitatory postsynaptic
potentials (fEPSPs). b Picrotoxin (100 μM) significantly blocked the capsaicin-induced enhance-
ment of LTP (p < 0.05; n = 8) compared to control (n = 17). Insets: an average of 15 traces
either just before (black) or 28–30 min after (gray) conditioning stimulus. Scale Bars: 0.25 mV,
10 ms. Figure 3.2 parts a and b were reprinted with permission from Bennion et al. ( 2011). c A
schematic model representing the effect of picrotoxin in the hippocampal circuit. CA3 pyramidal
cell axons form the Schaffer Collateral pathway innervate the CA1 subfield and synapse onto
both CA1 pyramidal cells and CA1 inhibitory interneurons. Interneurons use GABA as an inhibi-
tory neurotransmitter that binds to postsynaptic GABAA receptors, which mediate fast inhibi-
tion onto pyramidal cells. TRPV1 located presynaptically at the Schaffer Collateral synapse onto
the interneurons induce LTD when activated (see Fig. 3.1a) and thus reduce inhibition from the
interneurons to the CA1 pyramidal cells, known as disinhibition. In the presence of capsaicin to
induce TRPV1 LTD, LTP of CA1 pyramidal cells is enhanced (see a this figure). In the presence
of picrotoxin, which eliminates the effect of the interneurons from the hippocampal circuit, this
capsaicin-induced enhancement of CA1 LTP is blocked (see b this figure); indicating TRPV1
acting through the interneuron pathway is required for enhanced CA1 pyramidal cell LTP
3.3.2 Hippocampal Long-Term Depression
Recent studies examined TRPV1 modulation of various forms of hippocam-

pal LTD following the demonstration of TRPV1 modulation of NMDA recep-
tor-dependent LTP in CA1 pyramidal cells. Hippocampal LTD is a mechanism
thought to depotentiate synapses that have undergone LTP and could be used to
eliminate harmful memories or allow for new memory formation, among other
potential options. These studies identified that TRPV1 is indeed likely involved in
several types of hippocampal LTD, including (1) in the dentate gyrus, (2) mGluR-
dependent CA1 LTD, and (3) NMDA-dependent CA1 LTD, which will be dis-
cussed in turn.
A novel postsynaptic LTD mediated by TRPV1 was identified in the dentate
gyrus (Chavez et al. 2010). Dentate gyrus granule cells innervated by the medial
perforant pathway underwent postsynaptic LTD via clathrin-dependent internali-
zation of AMPA receptors in response to capsaicin application or a 1 Hz pairing
protocol that was TRPV1-dependent. TRPV1-induced LTD in the dentate gyrus
was confirmed using TRPV1−/− mice, supporting the study’s pharmacological
data (see model in Fig. 3.1b). Interestingly, in contrast to CA1, where presynaptic
TRPV1 activation required postsynaptic mGluR1 and 12-HPETE formation; in the
dentate gyrus, postsynaptic TRPV1 activation required postsynaptic mGluR5 and
anandamide production. Therefore, TRPV1-dependent LTD in the hippocampus
can differ fairly dramatically depending on the hippocampal subfield. However,
similar to CA1, dentate gyrus LTD was also calcineurin-dependent, suggesting
calcineurin may play a key role in TRPV1 signaling in the hippocampus.
Another major type of hippocampal synaptic plasticity is mGluR-dependent
LTD, in contrast to NMDA-dependent LTD. Regarding CA1 mGluR-dependent
86 J. G. Edwards
LTD, previous studies proposed that the initial acute depression of it was mediated
by a cannabinoid receptor 1 (CB1)–independent endocannabinoid pathway
(Rouach and Nicoll 2003), though what this endocannabinoid pathway could be,
was not known. One report suggests this CB1-independent acute depression could
be TRPV1 induced. In this case, initiating mGluR-dependent LTD using the type
I mGluR agonist DHPG while examining the acute depression phase, the TRPV1
antagonist capsazepine actually caused an increase in the depression (Bennion et
al. 2011). This implied a role for TRPV1, though capsaicin application caused
no further change in the depression. Taken together, however, the fact that cap-
sazepine caused an increase in depression suggests that when activated normally,
TRPV1 mitigates some of the acute depression of mGluR-dependent LTD, and
since capsaicin had no effect, TRPV1 is already probably close to being fully
activated in response to DHPG application. Type I mGluRs activated by DHPG
thus likely result in the production of a TRPV1 agonist, such as anandamide or
12-HPETE, to activate TRPV1. Thus when TRPV1 is blocked, the acute depres-
sion is even greater by eliminating the mitigating effect of TRPV1 on depressed
glutamate neurotransmission. The TRPV1 involved in acute DHPG-induced
depression is most likely present on CA1 pyramidal cells rather than the TRPV1
modulating interneuron activity, as the acute depression in the presence of capsaz-
epine is not altered by the GABAA antagonist picrotoxin. While TRPV1 altered
acute short-term depression, it was not involved in true LTD or long-lasting
depression of duration greater than 15 min.
Regarding CA1 NMDA-dependent LTD, in one report, TRPV1 agonist capsai-
cin (1 mM) caused a reduction of LTD induced by 3 Hz stimulation, an effect that
was eliminated by capsazepine (Li et al. 2008), suggesting that TRPV1 can modu-
late CA1 NMDA-dependent LTD. However, while this study enticingly suggests
that TRPV1 is involved in CA1 LTD, the concentration of capsaicin used can have
off-target effects, including increasing intracellular calcium in a TRPV1-indendent
manner. A subsequent study using a lower, more TRPV1-specific concentration of
capsaicin (1–10 μM) and 5 Hz stimulation noted no change in LTD (Bennion et al.
2011). While several variables differed between these two reports and could be the
reason for the discrepancy, no conclusive evidence can be reached at this time regard-
ing TRPV1 involvement in CA1 NMDA-dependent LTD.
Collectively, while TRPV1 involvement in CA1 NMDA-dependent LTD is
debatable, TRPV1 is likely involved in short-term acute depression of mGluR-
dependent LTD, and strong evidence supports it mediating a novel form of LTD in
the CA1 and dentate gyrus.
3.3.3 Plasticity in Other CNS Regions
After TRPV1-dependent synaptic plasticity was reported in the hippocampus,

TRPV1-dependent types of plasticity were identified in other brain regions as
well. One such example is in the superior colliculus, which is a classic model
used to examine the synaptic refinement or pruning that occurs in the developing
visual system via mechanisms such as LTD, which can cause a weakening or loss
of synapses. High-frequency stimulus-induced LTD of the superior colliculus, as
measured using field excitatory postsynaptic potentials, was blocked with TRPV1
antagonists and mimicked using TRPV1 agonists (Maione et al. 2009). The devel-
opmental timing of the ability to induce LTD also coincided with temporal TRPV1
expression as measured using TRPV1 antibodies. TRPV1 receptor expression and
TRPV1-dependent LTD were both present in young animals but absent in adults.
Juvenile TRPV1 expression occurs in GABAergic cells of the superior collicu-
lus and on glutamatergic retinal inputs to the superior colliculus where TRPV1 is
likely presynaptically expressed in the latter, similar to glutamatergic input to CA1
stratum radiatum interneurons. It appears that this plasticity modulates the GABA
pathway to induce LTD as GABA receptor blockers eliminated this LTD. In sum-
mary, TRPV1 could be developmentally involved in the CNS by regulating synaptic
pruning, the elimination of incorrect and unnecessary synapses.
In addition to the superior colliculus, the amygdala, which is part of the lim-
bic system along with the hippocampus, has also altered plasticity in the pres-
ence of capsaicin (Zschenderlein et al. 2011). Interestingly, TRPV1-induced
alteration of amygdalar LTP was dependent on the type of anesthetic used on
the animal, with ether producing decreased LTP and isoflurane producing
increased LTP. These results were confirmed using TRPV1−/− mice. In addi-
tion, in the presence of ether, the TRPV1 agonist N-oleoyldopamine also
depressed amygdala lateral nucleus LTP (Kulisch and Albrecht 2013). In this
case stress was also examined, and research demonstrated that TRPV1 activa-
tion by N-oleoyldopamine inhibited stress-induced depression of LTP by forced
swim test. The exact mechanism of this TRPV1 pathway and how TRPV1
altered amygdala LTP was not completely determined, though nitric oxide syn-
thase was required. Along with modulation of amygdala LTP, TRPV1 was also
required for a type of amygdala LTD. In the extended amygdala, neurons from
the bed nucleus of the stria terminalis exhibit TRPV1-dependent LTD (Puente
et al. 2011). This postsynaptic form of plasticity required the activation of post-
synaptic TRPV1 via anandamide, which was formed as a result of postsynaptic
mGluR5 stimulation, very similar to TRPV1-dependent LTD in the dentate gyrus
(Chavez et al. 2010).
The midbrain also demonstrates plasticity via TRPV1 in both the nucleus
accumbens and the substantia nigra. The nucleus accumbens is especially
important for reward and reward-dependent learning, which can be modulated
by the drugs of abuse that alter normal plasticity, leading to addictive states.
Addiction results in behaviors and actions that are carried out inspite of the
negative consequences. In medium spiny neurons of the nucleus accumbens,
mGluR5-induced endocannabinoid production is required for postsynaptic
TRPV1-mediated LTD initiated by either low-frequency stimulus or the type
I mGluR agonist DHPG (Grueter et al. 2010). This LTD required activation
of both mGluR5 and TRPV1 receptors as demonstrated using various antag-
onists and TRPV1−/− mice. TRPV1 induced postsynaptic AMPA receptor
88 J. G. Edwards
endocytosis, again similar to TRPV1-LTD in the hippocampus and amygdala.

Interestingly, the injection of cocaine 24 h prior to the physiological experi-
ments altered this plasticity by blocking it. This suggests that TRPV1 plays
a role synaptically and behaviorally in the reward pathways of the brain and
could be involved in addiction at the nucleus accumbens level. In this study
TRPV1−/− mice also demonstrated enhanced locomotion in response to
cocaine injection, supporting a role for TRPV1 in motor pathways. Finally,
dopamine release in the nucleus accumbens can also be enhanced by TRPV1
activation of dopamine neurons in the ventral tegmental area via gluta-
mate, which activates the nucleus accumbens following noxious stimulation
(Marinelli et al. 2005). This further supports a role for TRPV1 in the midbrain
reward pathways.
As a note, it is worth mentioning that a form of TRPV-like mediated LTD is
exhibited in leeches, an invertebrate. This LTD occurs at nociceptive synapses and
is dependent on presynaptic TRPV-like receptors activated by postsynaptically
produced endocannabinoids and is also calcineurin-dependent (Yuan and Burrell
2010, 2012). This type of plasticity is extremely similar to presynaptic TRPV1-
mediated LTD in hippocampal interneurons (Gibson et al. 2008) and is also
dependent on presynaptic protein synthesis and postsynaptic synthesis of mRNA
and protein (Yuan and Burrell 2013). While the requirement of transcription and
translation in mammalian CNS TRPV1 plasticity has yet to be investigated, it
is likely similar to leeches as many forms of plasticity are dependent on protein
synthesis.
In summary, there is now substantial data supporting the role of TRPV1 in syn-
aptic plasticity in divergent brain regions, including acting as a mediator of LTD
and a modulator of LTP. Therefore, TRPV1 has the potential to be a widespread
regulator of adaptive brain function via synaptic alterations in brain areas required
for learning and memory, visual development, and the reward pathways, including
drug-induced alterations in reward plasticity. The involvement of TRPV1 in synap-
tic plasticity is summarized in Table 3.1.
3.4 Endogenous TRPV1 Activity
3.4.1 Endogenous CNS TRPV1 Ligands
As changes in pH and temperature are relatively small and likely insufficient

to activate TRPV1 in the CNS, lipid-based ligands are the most likely endog-
enous activators. Various fatty acid derivatives that activate TRPV1 are endog-
enously produced in the CNS. These ligands are thought not to be released by
standard vesicle chemical neurotransmission mechanisms but are locally act-
ing signal molecules, functioning in paracrine/autocrine or intracellular mes-
senger fashion. Endogenously produced TRPV1 CNS ligands include several
Table 3.1 TRPV1 involvement in the modulation and mediation of mammalian CNS synaptic plasticity
Plasticity Location TRPV1- pre or Effect mGluR eCB Induction Signal Reference
type post molecule
Modulate LTP Hippocampal Enhanced LTP HFS (100 Hz) ND Li et al.
CA1 (2008)
pyramidal
cells
Hippocampal Postsynaptic Enhanced LTP Theta burst, HFS ND Bennion et al.
CA1 likely mediated by (2011)
pyramidal disinhibition via
cells interneurons
Hippocampal Reduced LTP in HFS (100 Hz) ND Marsch et al.
CA1 TRPV1−/− (2007)
3 TRPV1 in the Central Nervous System
pyramidal
cells
Hippocampal Reduced LTP in HFS (100 Hz) ND Brown et al.
CA1 TRPV1−/− (2013)
pyramidal rescued to WT
cells with GABA
antagonist
Amygdala, Pre and Depressed LTP Anandamide HFS (100 Hz), Nitric Zschenderlein
lateral Postsynaptic, in ether, likely capsaicin Oxide et al.
nucleus alters glutamate enhanced LTP Synthase (2011)
in isoflurane
Amygdala, Pre and Depressed LTP N-oleoyldopamine HFS (100 Hz), Kulisch and
lateral Postsynaptic, (ether), blocked w/w out Albrecht
nucleus alters glutamate stress-induced N-oleoyldopamine (2013)
impairment of
LTP
LTD Hippocampal Reduction in LTD LFS (3 Hz) ND Li et al.
CA1 (2008 )
pyramidal
89
cells
(continued)
Table 3.1 (continued)
90
Plasticity Location TRPV1- pre or Effect mGluR eCB Induction Signal Reference
type post molecule
Hippocampal Postsynaptic likely No change in LFS (5 Hz) ND Bennion
CA1 LTD et. al.
pyramidal (2011)
cells
mGluR- Hippocampal Postsynaptic likely Mitigate acute Type I DHPG ND Bennion et al.
LTD CA1 depression, no mGluRs (2011)
pyramidal effect on LTD
cells
Mediate LTD Hippocampal Presynaptic Depressed mGluR1 12-HPETE HFS, TRPV1 agonists Calcineurin, Gibson et al.
CA1 glutamate Ca2+ (2008);
interneurons release Jensen
and
Edwards
(2012)
Superior Presynaptic likely Induce LTD, ND Anandamide or HFS (50 Hz), TRPV1 ND Maione et al.
colliculus GABA system 12-HPETE agonist (2009)
involved possibly
Hippocampal Postsynaptic AMPA receptor mGluR5 Anandamide LFS, TRPV1 agonists Calcineurin, Chavez et al.
dentate endocytosis Ca2+ (2010)
gyrus
Nucleus Postsynaptic AMPA receptor mGluR5 ND LFS (3 Hz); Capsaicin Ca2+ Grueter et al.
accumbens- endocytosis (2010)
MSNs
Amygdala, Postsynaptic ND mGluR5 Anandamide LFS (10 Hz) Ca2+ Puente et al.
stria (2011)
terminalis
Abbreviations: ND, not determined; HFS, high frequency stimulus; LFS, low frequency stimulus
J. G. Edwards
C18 N-acylethanolamines, such as endovanilloid N-oleoylethanolamine

(Movahed et al. 2005), N-arachidonoyl-dopamine, 12-HPETE, and ananda-
mide (Tóth et al. 2009). These all bind TRPV1 in the hippocampus (Ahern
2003; Al-Hayani et al. 2001; Gibson et al. 2008; Huang et al. 2002). 12-HPETE
is also produced in the hippocampus by stimulation protocols used for synap-
tic plasticity (Feinmark et al. 2003). Therefore, theoretically these all could be
involved in the induction of TRPV1 plasticity or TRPV1-induced behavior in
vivo. For example, as activation of endogenous anandamide (Al-Hayani et al.
2001) or N-arachidonoyl-dopamine (NADA) (Huang et al. 2002) in the hip-
pocampus both increase paired-pulse depression of population spikes, and
12-HPETE mediates CA1 stratum radiatum interneuron LTD (Gibson et al.
2008), hippocampal TRPV1 could likely influence synaptic plasticity in vivo/in
vitro. Enzymes that form anandamide and 12-HPETE are respectively N-acyl-
phosphatidylethanolamine-specific phospholipase D (NAPE-PLD) (Di Marzo et al.
1994) and 12-lipoxygenase (Hwang et al. 2000). mRNA for these enzymes are
expressed by both hippocampal pyramidal cells and inhibitory interneurons
as demonstrated using RT-PCR (Merrill et al. 2012), suggesting that both cells
express enzymes to produce TRPV1 ligands and thus modulate hippocampal
TRPV1 activity. That interneurons can produce endocannabinoids in addition to
pyramidal cells was also recently demonstrated electrophysiologically (Péterfi et al.
2012). Immunocytochemical localization of TRPV1 alongside biosynthesis or
biodegradation enzymes of TRPV1 endogenous ligands in the hippocampus and
cerebellum support an endogenous role of TRPV1 in the brain (Cristino et al.
2008). Involvement of TRPV1 in normal, in vivo/in vitro hippocampal function is
also supported by the fact that TRPV1−/− mice show reduced CA1 LTP as com-
pared to littermate controls (Marsch et al. 2007). In addition to the hippocam-
pus, in the superior colliculus, TRPV1 expression was co-localized in young
animals (P14-28) to NAPE-PLD and 12-lipoxygenase (Maione et al. 2009). The
demonstration of TRPV1 expression near the enzymes that produce TRPV1 endo-
vanilloid ligands illustrates that all the components necessary for TRPV1 to be
endogenously active in vivo present in specific regions. It also strongly suggests
that TRPV1 could be used as a target of pharmaceutical agents that alter TRPV1
activity in order to achieve a particular benefit.
3.4.2 Tonic Activation
Similar to the PNS, where tonic activation of TRPV1 seems to be especially

important for pain and inflammatory conditions (Premkumar and Abooj 2013),
endogenously produced ligands also appear to tonically activate CNS TRPV1,
where it alters basal neurotransmission. For example, in the hippocampus,
where the previously described TRPV1-mediated interneuron LTD occurs
in response to mGluR1 activation followed by 12-HPETE formation, there is
actually an increase in glutamate neurotransmission in response to mGluR1
92 J. G. Edwards
CPCCOEt (50µM)
1.5
Normalized EPSC
1.0
0.5
0 5 10 15 20 25 30
Time (min)
Fig. 3.3 TRPV1 is likely tonically activated in CA1 causing basal depression of neurotrans-

mitter release onto hippocampal stratum radiatum interneurons. The metabotropic glutamate
receptor 1 (mGluR1) antagonist CPCCOEt significantly increases (p < 0.05; n = 7) excitatory
postsynaptic currents (EPSCs). EPSCs increased by 27.6 ± 3.8 % (STE) at 10–15 min after drug
application. As mGluR1 is required to synthesize 12-HPETE to induce LTD via TRPV1 (Gibson
et al. 2008), this suggests there is tonic activation of mGluR1 and thus TRPV1 stimulation under
basal conditions in vitro, which is uncovered by blocking mGluR1
antagonists, suggesting that the interneurons were tonically inhibited by

TRPV1 via mGluR1 (see Fig. 3.3). In other brain regions TRPV1 is also toni-
cally activated, such as in the substantia nigra, in response to tonic anandamide
release (Marinelli et al. 2003), and in the brain stem, where TRPV1 antago-
nists altered increased activity in the rostral ventromedial medulla (Starowicz
et al. 2007). While the significance of tonic action of CNS TRPV1 is cur-
rently unknown, the cannabinoid receptor CB1 is also often tonically activated
(Cachope 2012) and it could be a shared property of cannabinoid/endovanilloid
receptors.
3.5 TRPV1 Signaling in CNS
TRPV1 can be expressed both presynaptically and postsynaptically, and

depending on the specific synapse, it can either increase or decrease neu-
rotransmission. Therefore, TRPV1 may have various signaling roles and
mechanisms that are unique in different brain regions. As stated previously,
presynaptic TRPV1 normally enhances glutamate neurotransmission by
increasing presynaptic calcium (Musella et al. 2009; Marinelli et al. 2003;
Marinelli et al. 2007; Doyle et al. 2002). However, presynaptic TRPV1 can also
depress neurotransmission, as in hippocampal LTD (Gibson et al. 2008). While
initially contradictory, it is possible that in this case calcium entry via TRPV1
could be activating a calcium-sensitive pathway to depress transmitter release.
Supportive of this was evidence that blockade of the protein phosphatase cal-
cineurin, also known as protein phosphatase 3/protein phosphatase 2B, elimi-
nated both high-frequency stimulus-induced and TRPV1 agonist-induced LTD
in interneurons (Jensen and Edwards 2012). Thus TRPV1 mediated this LTD
or depression of neurotransmission via activation of a calcineurin-depend-
ent pathway (see Fig. 3.1a). Supportive of this are the many studies that have
linked calcineurin activity to synaptic plasticity, including presynaptic plastic-
ity (Heifets et al. 2008; Zeng et al. 2001). In addition, a link between TRPV1
and calcineurin in depressing neurotransmission was identified in dorsal root
ganglion cells where TRPV1-mediated Ca2+ currents activated calcineu-
rin, causing reduced neurotransmitter release (Wu et al. 2005). In this study
dephosphorylation via calcineurin had the dual effect of both decreasing activ-
ity of voltage-gated calcium channels in the presynaptic terminal and endo-
cytosing them. It is possible that a similar mechanism mediates depression
of neurotransmission via calcineurin in the hippocampus as well. These data
also suggest that TRPV1 is closely coupled with calcineurin in the presyn-
aptic terminal. While the exact location of TRPV1 is not known, as it could
be expressed in the plasma membrane or on intracellular membranes, TRPV1
activates calcineurin that likely depresses voltage-gated calcium channels and
reduces neurotransmission overall at the synapse. Another possibility is that
TRPV1 mediates activation of a kinase such as PKA, which alters the vesicle
release machinery of the cell through RIM1α, as has been reported for CB1
plasticity (Marinelli et al. 2007). This seems less likely based on our unpub-
lished data using the PKA/kinase antagonist staurosporine that did not block
LTD. In regions such as the superior colliculus, presynaptic TRPV1 may be
functioning in a similar fashion, though to date the presynaptic TRPV1 signaling
pathway is not known in other brain regions.
Interestingly, postsynaptic TRPV1 also mediates a signal cascade triggered by
calcineurin in the dentate gyrus (Chavez et al. 2010) (see Fig. 3.1b). Therefore,
calcineurin is a potential common downstream target of TRPV1 and is likely
closely associated with TRPV1 by a protein binding domain such as AKAP
(Schnizler et al. 2008) in a type of supramolecular signaling complex. This would
allow calcineurin activation by calcium, which is specifically entering the synapse
terminal via TRPV1, similar to sensory neurons (Schnizler et al. 2008). Finally,
calcineurin desensitizes TRPV1 (Mohapatra and Nau 2005), suggesting this
could serve as a kind of negative feedback system as well; however, this has yet
to be investigated specifically in the CNS. While much is known about TRPV1
in the PNS (or through expression systems, e.g., HEK cells), including its revers-
ible phosphorylation via PKA/PKC and calcineurin, along with factors involved
in sensitization, desensitization, and TRPV1 activation (Cortright and Szallasi
2004; Mohapatra and Nau 2005; Zhang et al. 2007; Mandadi et al. 2004; Woo et al.
2008), much less is known regarding signaling in the CNS, which remains to be
fully explored.
94 J. G. Edwards
3.6 TRPV1 in CNS Behavior
3.6.1 Stress and Anxiety
In the CNS, TRPV1 seems especially relevant in stress- and anxiety-related

behaviors. TRPV1 has recently been reviewed as an important stress-response
protein in the CNS (Ho et al. 2012). TRPV1−/− mice exhibit several behavioral
changes, including reduced anxiety, fear conditioning (amygdala-dependent), and
stress sensitization (Marsch et al. 2007; Santos et al. 2008), while wild-type mice
infused with capsaicin exhibit anxiety-like behaviors (Hakimizadeh et al. 2012).
TRPV1−/− mice had less anxiety in elevated maze, and light-dark tests and less
freezing response following fear conditioning in tone and stress sensitization
compared to wild-type littermates (Marsch et al. 2007). Similarly, following the
infusion of TRPV1 antagonists in the ventral hippocampus or by intraperitoneal
injection, rats and mice exhibit reduced anxiety in the elevated plus-maze test
(Santos et al. 2008; Kasckow et al. 2004; Micale et al. 2008). Microinjection of
the CB1/TRPV1 agonist anandamide into the prefrontal cortex suggests that
TRPV1 plays a role in anxiety, with CB1 activation being more anxiolytic and
TRPV1 activation being more anxiogenic (Rubino et al. 2008). In this study,
higher dose injections of the nonhydrolysable anandamide analog methananda-
mide produced an anxiogenic effect, which was blocked by TRPV1 antagonist
capsazepine. URB597, the selective inhibitor of fatty acid amide hydrolase, the
anandamide degrading enzyme, which induces increased endogenous anandamide,
was somewhat anxiogenic as well. These data indicate a role for TRPV1 in anxiety
in various brain regions.
Regarding stressful events, TRPV1 activation proved to enhance spatial mem-
ory retrieval in response to stress (Li et al. 2008). While TRPV1 agonist capsaicin
application by itself, either via intrahippocampal or intragastric infusion, did not
enhance memory as measured using a Morris water maze behavioral assay, capsai-
cin did eliminate the deficits in spatial memory associated with stress from forced
swim. This suggests that TRPV1 may play a protective role on short-term memory
following stress. Similar findings were also demonstrated in the lateral nucleus of
the amygdala where TRPV1 agonists eliminate stress-induced decreases in LTP
(Kulisch and Albrecht 2013). Therefore, TRPV1 appears to play a significant role
in anxiety and stress in the CNS.
3.6.2 Alcohol Consumption
As TRPV1 is also activated by ethanol, it has the potential to induce CNS ethanol-
mediated behaviors. Indeed, TRPV1−/− mice had a higher preference for and con-
sumption of ethanol (Blednov and Harris 2009) than wild-type mice. In addition,
TRPV1−/− mice had a faster recovery from ethanol-induced motor incoordination
and loss of righting reflex than wild-type mice. Injection of TRPV1 antagonist into
wild-type mice resulted in the same phenotype as the TRPV1−/− mice. Decreased
ethanol avoidance, associated with no change in consumption of sweet and bitter,
was also noted by others (Ellingson et al. 2009), supporting this general find. It
should be highlighted that while ethanol consumption in TRPV1−/− mice could
still be mediated by lack of TRPV1 in the PNS trigeminal nerve in the oral cavity,
effects on motor coordination are likely mediated by TRPV1 in the midbrain.
3.7 Thermoregulation/Analgesia
3.7.1 Thermoregulation/Hypothalamus
As TRPV1 is thermosensitive and has been noted to be present in the hypothala-

mus by almost every study examining its CNS expression, it is now being studied
in the CNS for its role in thermoregulation, as well as other hypothalamic func-
tions. As early as 1970, a study examined the effect of capsaicin injection into
the hypothalamus and demonstrated a dose-dependent decrease in temperature
(Jancsó-Gábor et al. 1970), though no TRPV1 antagonist was known at the time
to confirm the specificity of capsaicin action. More recent data also suggests that
TRPV1 plays a role in thermoregulation, including in humans, where TRPV1-
specific blockade induces hyperthermia (Gavva et al. 2008). However, the case for
TRPV1 or other TRP channels in thermoregulation is currently debated. I will not
go into further discussion of TRPV1-mediated thermoregulation here as this has
been reviewed by others (Caterina 2007; Romanovsky et al. 2009).
Hypothalamic TRPV1 function is also involved in osmoregulation, as sweat
production and water-regulating mechanisms in the kidney are linked to ther-
moregulation. TRPV1 is connected to the regulation of the vasopressin/antidiuretic
hormone that contributes to thermal control in vivo (Naeini et al. 2006; Sharif-
Naeini et al. 2008). For review see Sudbury et al. (2010).
3.7.2 Pain/Analgesia
Of great importance was the initial identification that TRPV1−/− mice have
decreased pain response (Caterina et al. 2000). Currently, TRPV1 (along with other
TRPs) is considered a critical target for second-generation analgesics (Premkumar
and Abooj 2013), which have been reviewed by many others particularly in
the PNS (Gavva et al. 2008; Cortright and Szallasi 2009; Brederson et al. 2013;
Schumacher 2010). Antagonism of brain TRPV1 is thought to play a role in broad-
spectrum analgesia via central desensitization (Cui et al. 2006). However, a major
issue with TRPV1 antagonists is that they induce hyperthermia (Gavva et al. 2008),
96 J. G. Edwards
likely caused by hypothalamic TRPV1. Interestingly, TRPV1 also plays a role in

pain transmission in the CNS. For example, in descending antinociceptive pain
pathways in the brain stem, TRPV1 agonists suppress nociception (Maione et al.
2006). For review see Palazzo et al. (2008). The mechanism is enhanced glutamate
release in the rostral ventromedial medulla activating antinociceptive neurons sub-
sequent to TRPV1 stimulation (Starowicz et al. 2007). TRPV1 involvement in pain
analgesia in the CNS was also evidenced using N-arachidonoyl-serotonin, a com-
bination fatty acid amine hydrolase (FAAH)/TRPV1 antagonist (de Novellis et al.
2011). This antagonist blocked a significant amount of neuropathic pain induced
by spared nerve injury as monitored in the prelimbic cortex subsequent to baso-
lateral amygdala stimulation. In this study, the spared nerve injury model resulted
in increased local glutamate, and enhanced TRPV1 and FAAH protein expression.
This pain processing mediated by TRPV1 appears to be dependent on glial cas-
pases (Giordano et al. 2012). The aforementioned FAAH/TRPV1 antagonist was
also examined for analgesic effects in this and other brain regions (de Novellis et al.
2008). TRPV1 involvement in pain also extends to the spinal cord (Morisset et al.
2001). Collectively, the data suggest that not only could TRPV1 play a role in anti-
inflammatory/antinociception pathways in the PNS but could also have an analge-
sic effect in the CNS, including in the brain and spinal cord.
3.8 Potential Pharmacological Implications
TRPV1 is the most highly studied of all the TRP channels and has been shown
to have therapeutic value (Di Marzo et al. 2002; Cortright and Szallasi 2004;
Starowicz et al. 2008). Based on this review, it is evident that TRPV1 could have
potential pharmacological implications in the CNS for anxiety; learning and mem-
ory; protection from stress-induced memory loss; motor control, especially dur-
ing ethanol intoxication; analgesia; thermoregulation; and more. Because of the
multimodal characteristics of TRPV1 and its widespread distribution in the CNS
(Di Marzo and De Petrocellis 2012), several therapeutic approaches in the CNS
could be illuminated for the benefit of humans. This includes drugs or agents that
not only block or activate TRPV1 directly, but that also alter TRPV1 ligand bio-
synthesis or degradation, which could be especially important given that TRPV1
seems to be under tonic regulation. The side effects of such drugs, however, should be
taken into account since they could adversely impact the control of body temperature,
memory, etc.
Regarding learning and memory, TRPV1 in CA1 hippocampus could be a tar-
get to facilitate LTP or alter interneuron activity. Facilitation of LTP is important
as many studies have correlated depressed LTP to poorer performance on mem-
ory tests, such as the Morris water maze, while increased LTP corresponds to bet-
ter performance. As TRPV1 activation enhances hippocampal LTP (Li et al. 2008;
Bennion et al. 2011), and genetic deletion of TRPV1 depresses LTP (Marsch et al.
2007), it is tempting to postulate that TRPV1 activity in the hippocampus could
be a potential target for enhancing memory in those with memory deficits such as
Alzheimer’s disease. In addition, as stress is one factor that impairs LTP and per-
formance on memory tests (Li et al. 2008) and TRPV1 appears to be protective of
LTP during stress, TRPV1 could be targeted to mitigate stress-mediated memory
loss. Understanding how TRPV1 controls interneuron activity could also be critical,
as interneurons play a crucial role in the function and rhythm of pyramidal cells,
the output cells of the hippocampus. A single interneuron innervates hundreds of
pyramidal cells (Freund and Buzsaki 1996). Interneurons synchronize the firing
and oscillatory behavior of CA1 pyramidal cells (Cobb et al. 1995) as well as cre-
ate the gamma rhythm (30–80 Hz) and theta rhythm (5–12 Hz) (Whittington and
Traub 2003; McBain and Fisahn 2001), the latter of which is critical for normal
memory formation. Importantly, interneurons also quiet the excitatory circuit in the
hippocampus that forms a loop with the entorhinal cortex, thus preventing epilep-
tic activity due to over-excitation. Those with temporal lobe seizures are thought to
have reduced interneuron numbers or function, which is often associated with stroke
or other neurological damage. Therefore, as TRPV1 appears to be under basal acti-
vation, partially inhibiting CA1 hippocampal interneurons, TRPV1 antagonism
could increase interneuron activity, thereby reducing seizure activity. Modulating
TRPV1 activity could also have an effect on hippocampal synchronization and oscil-
lation. Collectively, while none of these potential outcomes of hippocampal TRPV1
have been fully investigated, they are enticing avenues of future research in the areas
of learning and memory, stress effects on learning and memory, and epilepsy.
Understanding the role of CNS expressed TRPV1 in analgesia is also an excit-
ing avenue of research as we struggle to find a nonaddictive treatment to allevi-
ate pain. While opiates are the current major class of drug to block pain, typically
blocking pain at the level of the spinal cord, they are also the number one rea-
son drug addicts enroll in drug rehabilitation clinics. Thus, the need for alternative
analgesics that are nonaddictive is great.
Two additional topics not yet highlighted are TRPV1 involvement in locomo-
tion and neuroprotection. Neuroprotection subsequent to cerebral ischemia by
TRPV1 antagonism was observed via increased cell survival of hippocampal CA1
pyramidal cells and, interestingly, prevented ischemia-induced hyperlocomotion
(Pegorini et al. 2006). Direct TRPV1 activation can also induce hypolocomotion
(Di Marzo et al. 2001). This suggests a direct correlation between Parkinson’s dis-
ease and TRPV1 function, as TRPV1 suppresses locomotion in normal animals
and alters behaviors induced by L-DOPA (Lee et al. 2006). This study builds upon
others and suggests a role for TRPV1 in voluntary movement.
While there is great deal of potential, many of the therapeutic pharmacologi-
cal applications of TRPV1 research in the CNS are currently unexplored. Hopefully,
in the coming years those researching TRPV1 in the CNS will investigate the many
potential applications and uncover some of the benefits that the examination of TRPV1
will provide. These applications include Parkinson’s disease (locomotion/dopamine
cells), cognition and learning disorders such as Alzheimer’s disease (hippocampus/
limbic system), reward (dopaminergic cells), pain (spinal cord and brain), temperature
regulation (hypothalamus), etc.
98 J. G. Edwards
3.9 Conclusion
The data on TRPV1 in the CNS illustrate its important role as it is involved in
an impressive array of behaviors and functions, indicating the need for further
exploration. As TRPV1 is expressed in humans, knowledge gained regarding its
function in rodents could be translational in nature. For example, drugs target-
ing TRPV1 and other TRP channels are being investigated for pain treatment in
humans and in animals (Salat et al. 2013), and enhanced TRPV1 expression has
been illustrated in the human cortex in association with epilepsy (Shu et al. 2013).
The development of second-generation TRPV1 antagonists for analgesia has been
encouraged (Szolcsányi and Pintér 2013). These, among many other evidences
of TRPV1 in humans, suggest that TRPV1 research in animals and humans has
therapeutic value. The potential therapeutic applications of brain TRPV1 have
been reviewed by others (Starowicz et al. 2008; Morelli et al. 2013), including
the role of TRPV1 in anxiety, locomotion, body temperature, pain, etc. However,
TRPV1 is also involved in other brain functions, such as synaptic plasticity and
development, as reviewed here. It appears very likely that the study of TRPV1 will
provide additional insight into the understanding of the brain and open up new
applications in pharmacological research using TRPV1 as the target molecule.
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Chapter 4
Topical Capsaicin Formulations
in the Management of Neuropathic Pain
Mark Schumacher and George Pasvankas
Abstract This chapter reviews the scientific and clinical evidence supporting the
use of topical formulations containing the pungent principle of chili peppers—
capsaicin, for the treatment of peripheral neuropathic pain. Given the limitations of
current oral and parenteral therapies for the management of pain arising from vari-
ous forms of nerve injury, alternate therapeutic approaches that are not associated
with systemic adverse events that limit quality of life, impair function, or threaten
respiratory depression are critically needed. Moreover, neuropathic conditions can
be complicated by progressive changes in the central and peripheral nervous sys-
tem, leading to persistent reorganization of pain pathways and chronic neuropathic
pain. Recent advances in the use of high-dose topical capsaicin preparations hold
promise in managing a wide range of painful conditions associated with periph-
eral neuropathies and may in fact help reduce suffering by reversing progressive
changes in the nervous system associated with chronic neuropathic pain conditions.
4.1 Introduction
Physicians have faced a common dilemma over the ages, how to relieve a patient’s
pain without doing harm. Fortunately, long before the advent of clinical trials, early
physicians successfully used native plant derivatives to provide pain relief. Although
M. Schumacher ()
Division of Pain Medicine, Department of Anesthesia and Perioperative Care,
University of California, 513 Parnassus Ave, Box 0427, San Francisco,
CA 94143-0427, USA
G. Pasvankas
Division of Pain Medicine, Department of Anesthesia and Perioperative Care,
University of California, 2255 Post St., MZ Bldg N, San Francisco, CA 94143, USA

106 M. Schumacher and G. Pasvankas
Table 4.1 Peripheral neuropathic conditions treated with topical capsaicin

Peripheral neuropathic conditions treated with Topical capsaicin
Postherpetic neuralgia (PHN)
Painful diabetic polyneuropathy (PDPN)
HIV-associated distal symmetrical polyneuropathy (HIV-DSPN)
Persistent postsurgical pain
their preparations may have been crude by today’s standards, they apparently
provided effective pain relief for their time. Use of medicinal plant derivatives from
hot chilies in South America dates as far back as 4000 BC. However, much of our
modern accounts and written records of chili’s irritant properties and medicinal use
in the western hemisphere are derived from Aztec culture beginning in the twelfth
century. Beyond their irritant use, Aztec physicians also realized chili’s usefulness
to treat painful maladies such as toothaches—perhaps one of the earliest recorded
forms of “nerve pain.”
Use of medicinal salves and balms used in ancient times appeared to reemerge
in the 1800s with the isolation of the principle agent from hot chili peppers—cap-
saicin. Building on the realization that the experience of pain is based on special-
ized nerves, “nociceptors,” that respond to noxious stimuli (Sherrington 1906),
later Hungarian investigators in the 1940s observed that capsaicin both activates
and subsequently inactivates sensory nerves. Following the confirmation of the
“nociceptor” hypothesis by Bessou and Perl in 1969, the existence of a “capsaicin
receptor” expressed on C-polymodal nociceptors was investigated and importantly
the phenomenon of nociceptor “desensitization” due to repetitive exposure to cap-
saicin was formally investigated (Bessou and Perl 1969; Szolcsanyi and Jancso-
Gabor 1975, 1976; Szolcsanyi et al. 1975).
As described in detail in this chapter, it was not until the 1980s that the broader
use of topical capsaicin appeared in earnest in the medical literature as a therapy
for difficult-to-manage pain syndromes—especially for the treatment of painful
conditions associated with nerve injury, such as post-herpetic neuralgia (PHN).
Conditions such as PHN describe one of a number of maladies that are associated
with sensations of burning, shooting, and/or electrical-quality pain. Unfortunately,
attempts to manage such painful conditions with therapies that rely primarily on
opioid analgesics have been associated with well-known side effects such as nau-
sea/vomiting, constipation, pruritus and at higher dosing, respiratory depression.
Moreover, certain patient populations, such as those with advanced age, multiple
medical problems, pulmonary disease, or those with increasing opioid require-
ments may have an unacceptably high risk of adverse events including urinary
retention and life threatening respiratory depression. Such opioid-associated
adverse events can rapidly degrade quality of life and level of function, limiting
their usefulness in chronic painful conditions involving nerve injury.
This chapter reviews the application of topical formulations containing the pun-
gent principle of chili peppers—capsaicin, for the treatment of neuropathic pain-
ful conditions (see Table 4.1). Given the limitations of current oral and parenteral
4 Topical Capsaicin Formulations in the Management of Neuropathic Pain 107
therapies for the management of pain arising from various forms of nerve injury,
alternate therapeutic approaches that are not associated with adverse events that
limit quality of life, impair function or threaten respiratory depression are critically
needed. Moreover, neuropathic events can be complicated by progressive changes in
the central nervous system, such as central sensitization leading to persistent reorgan-
ization of pain pathways and chronic pain. Recent advances in the use of high-dose
topical capsaicin preparations hold promise in managing a wide range of painful con-
ditions associated with nerve injury and may in fact help stop or reverse progressive
changes in the nervous system associated with chronic neuropathic pain conditions.
4.2 Neuropathic Pain
Whether noted by clinician or patient, neuropathic pain can be one of the most
disabling and challenging medical conditions to effectively manage. This is in
part due to the diverse and poorly understood pathophysiological drivers that are
associated with persistent neuropathic pain. Of the known sources of painful neu-
ropathic pain, this chapter will focus on a subgroup of those of peripheral origin
or manifested in a peripheral site of disease that have shown to be responsive to
topical capsaicin. These include infectious (herpes zoster, HIV, metabolic (diabe-
tes), and nerve entrapment/surgical/trauma). Although it is uncertain what specific
property these diverse disease states or lesions share that engender the develop-
ment of persistent painful neuropathic conditions, by definition, pain arising as
a direct consequence of a lesion or disease affecting the somatosensory system
either peripheral or central, now serves as the current definition of neuropathic
pain by the International Association for the Study of Pain—Special Interest
Group on Neuropathic Pain (NeuPSIG).
4.2.1 Pathways and Mechanisms
4.2.1.1 Nociceptors: The Site of Capsaicin Action
Since the early observations of Sherrington, who believed that the experience of
pain was based on nerves that responded to specific types of noxious stimuli that
cause tissue damage, the concept of “nociceptive nerves” and later the term “noci-
ceptor” emerged to describe what we now refer to as primary afferent nociceptors
(Sherrington 1906). Nociceptors represent that portion of the peripheral nervous
system that is specialized for the detection of noxious stimuli. One of the principle
benefits provided by nociceptors is their rapid detection of impending or actual
tissue injury. Nociceptors accomplish this by being a part of an integrated system
or “pain pathway” beginning with peripheral nociceptive terminals that function
to detect multiple noxious stimuli (transduction), the relay of these signals to the
central nervous system through the conduction of action potentials (transmission)

and finally their interpretation as a harmful or unpleasant experience (perception)
(Fields 1990).
Within the peripheral nervous system, somatosensory detection of tissue damaging
stimuli (thermal, mechanical, chemical) begins at the peripheral terminals of primary
afferent nociceptors whose cell bodies reside primarily in the trigeminal (V) and dor-
sal root ganglia (DRG). In addition, cranial nerves V (innervation of the majority of
the face, conjunctiva, mouth, and dura mater) as well as cranial nerves VII, IX, and
X (innervation of the skin of the external ear, and mucous membranes of the larynx
and pharynx) also participate in nociception (Carpenter 1985). Likewise, nerve termi-
nals derived from nociceptors residing in spinal dorsal root ganglia (cervical, thoracic,
and lumbar) innervate the somatotopic dermatomes of the skin and underlying tissue.
Nociceptors derived from dorsal root ganglia then send central processes to laminae I,
II, and V of the dorsal horn of the spinal cord and following synaptic connection with
second-order dorsal horn neurons, nociceptive information is relayed to higher cent-
ers of the brain.
Detection of noxious stimuli of the skin and underlying deep tissues (somatic)
has been divided into three modalities: noxious thermal, mechanical, and chemi-
cal. The behavioral and physiological responses following the application of one
of these three painful modalities have served as the cornerstone for a classification
scheme of nociceptors. Within this classification scheme, the threshold for evok-
ing the sensation of pain has been determined in human volunteers with certain
external forces applied to the skin such as noxious thermal stimuli (temperatures
>43–45 °C) or intense mechanical stimuli. Criteria for detection of noxious chemi-
cal stimuli have also been applied and rely on the sensation of pain in response to
certain compounds such as capsaicin, the pungent principle ingredient in hot chili
peppers and the therapeutic focus of this chapter (Fields 1990).
Primary afferent nociceptors have been further classified based on their axon
diameter, conduction velocity, degree of myelination, and more recently, cross-
sectional area of neuronal soma. The axons of primary afferent neurons fall into
three distinct groups, Aß (large-diameter, 6–22 μm, heavily myelinated with fast
conduction velocities (CV) of 33–75 m/sec), Aδ (diameter 2–5 μm, thinly mye-
linated with CV 5–30 m/sec), and C fibers (diameter 0.3–3 μm, unmyelinated
with CV of 0.5–2 m/sec) (Bessou and Perl 1969). Nociceptors activated by mul-
tiple noxious stimuli are referred to as “polymodal nociceptors.” (McMahon and
Koltzenburg 1990) Included in this category are C fiber type mechano-heat noci-
ceptors and at least two types of A fiber type nociceptors: mechano-heat Type I
(high heat threshold >49 °C) and mechano-heat Type II, (heat threshold ~43 °C)
(Fields 1990). Finally, high threshold mechano-nociceptors that fail to respond to
thermal stimuli have been characterized for both C and A fiber types as well as for
nociceptors that respond only to noxious chemical stimuli.
The sensation of peripheral neuropathic pain arising from peripheral sites of
pathology has been described as arising from both unmyelinated C-type (slowly con-
ducting) nerve fibers associated with sensations of dull, aching, burning, and poorly
localized pain as well as thinly myelenated Aδ nerve fibers which are more rapidly
conducting and signal sensations of sharp, stabbing, and often well-localized pain.
However, despite this elegant classification of nociceptor subtypes, discharge pat-
terns of polymodal nociceptors do not precisely correlate with stimulus-induced
pain sensation (Adriaensen et al. 1984). Therefore, central processing of nociceptor
impulses must be required for the discrimination of painful sensations. Although not
proven, one may hypothesize that the selective destruction and/or functional silenc-
ing of a subset of polymodal nociceptors following topical capsaicin treatment, as
discussed below, could disrupt the input of peripheral neuropathic pain signal pro-
cessing of polymodal nociceptors.
Nociceptors also have the ability to adjust their sensitivity following repetitive
noxious stimuli or tissue/nerve injury. Sensitization encompasses an increase in
spontaneous nociceptor activity, a lowered threshold for activation, and an increase
in action potential firing after suprathreshold stimuli (Fields 1990). Together with
plasticity changes in the dorsal horn of the spinal cord, sensitization of nocicep-
tors contributes to hyperalgesia. Nociceptor modulation is complex and multiple
pathways exist to both detect noxious stimuli and modulate transducing element
sensitivity. Under neuropathic conditions this complexity is increased, driven by
overlapping biochemical processes—some common to both tissue and nerve injury.
Examples of changes more prominent to experimental neuropathic pain models
arising from peripheral nociceptor sensitization include increased small-afferent
signaling arising from distal sprouting of injured nerves and aberrations in nocic-
eptor channels/receptor expression (sodium and calcium channels, Nerve Growth
Factor/NGF receptor-TrkA) in injured and uninjured (adjacent) sensory neurons.
One signaling molecule long associated with experimental neuropathic pain is
the trophic factor “nerve growth factor” (NGF). Since its identification by Levi-
Montalcini and Calissano, NGF has been distinguished from other neurotrophin
family members (brain-derived neurotrophic factor NT-3, and NT-4/5) as being
essential for normal nociceptor development and function (Koltzenburg 1999;
Lewin and Mendell 1994; McMahon et al. 1995). NGF is synthesized and secreted
by a wide variety of tissues including Schwann cells located within sensory gan-
glion and importantly, in the end-target tissues of nociceptive terminals—epider-
mal fibroblasts and keratinocytes. NGF is intimately involved in maintaining and
modifying the phenotype of the nociceptor population. Adult sensory neurons lose
their dependency on NGF for survival but retain expression of its high-affinity
receptor TrkA primarily on the small-diameter primary afferent nociceptors (C
and Aδ) (Koltzenburg 1999). Tissue and nerve injury are associated with increased
NGF production and content at the site of the injury, serving as the driving signal
for the associated pain and hyperalgesia (Woolf and Costigan 1999). Therefore,
long-term exposure of nociceptive terminals to increased levels of NGF can result
in long-term phenotypic changes in the repertoire of nociceptive transducing ele-
ments such as the capsaicin receptor. Such changes may lead to aberrations in pain
signaling and in turn, may represent a molecular template for sustained peripheral
neuropathic pain. Although the focus of this chapter is on peripheral mechanisms
of neuropathic pain and its treatment with topical capsaicin, other more central
changes associated with models of neuropathic pain also include the loss of the
blood brain barrier integrity surrounding the spinal cord, allowing migration of
non-neuronal inflammatory cells into the dorsal horn (sensory) of the spinal cord
and the DRG. Other changes associated with experimental models of neuropathic
pain include activation of dorsal horn microglia that are known to be associated
with chronic pain (Watkins et al. 2001).
4.2.2 Assessment
Neuropathic pain often goes unrecognized and therefore is under-reported being

unsuccessfully treated with agents such as non-steroidal anti-inflammatory drugs
(NSAIDS) and/or acetaminophen (Gore et al. 2007). Although there is no “gold
standard,” pathognomonic sign or symptom for the diagnosis of neuropathic
pain, a focused history and sensory exam can often provide clinicians the criti-
cal insight for early recognition and subsequent treatment. A combination of signs
(hypoesthesia, hyper/hypo-algesia, heat/cold hyperalgesia, allodynia) and symp-
toms (paraesthesias, sensation of burning, and/or shooting pain) together with the
appropriate clinical context increases the likelihood of a reliable diagnosis of neu-
ropathic pain (Haanpaa et al. 2009).
To assist the clinician, standardized screening tools have been developed to
provide the practitioner a reliable and importantly, validated approach to forming
an accurate diagnosis. Two such tools are the “Leeds assessment of neuropathic
symptoms and signs” (LANSS) (Bennett 2001) and the “Douleur Neruopathiques
4 questions” (DN4) (Bouhassira et al. 2005). Although a clinical history may pro-
vide a high degree of suspicion about whether a particular patient indeed is suffer-
ing from pain of peripheral neuropathic origins, the incidence of neuropathic pain
varies geographically. Whereas patients in developing countries with high rates of
HIV or trauma due to war may be predisposed to neuropathic pain from these pro-
cesses, patients from developed countries may be more likely to develop neuro-
pathic pain as a consequence of diabetes or a herpes zoster infection predisposing
to PHN (Haanpaa et al. 2009).
4.2.3 Treatment of Neuropathic Pain
Evidence-based guidelines for the treatment of painful neuropathic conditions

continue to gain strength as additional randomized controlled trials are success-
fully completed. Expert opinion in the form of guideline recommendations have
emerged and in many cases have been updated from societies dedicated to the evi-
dence-based management of neuropathic pain such as NeuPSIG (Special Interest
Group on Neuropathic Pain of the International Association for the Study of Pain)
(Dworkin et al. 2010, 2007). Therefore, guidelines intended to recommend any ther-
apy as a “first-line” treatment for a particular type of neuropathic pain require that
efficacy has been established in multiple randomized clinical trials (RCT) (Oxford
Center for Evidence-based Medicine, Grade A) and that these recommendations
are consistent with the provider’s experience/patient population. Unfortunately, few
neuropathic pain therapies including those involving the topical application of cap-
saicin, fulfill such criteria. Nevertheless, an evolving list of first-line medications
have been recommended that include: antidepressants with both norepinephrine and
serotonin reuptake inhibition, calcium channel alpha 2 delta ligands (gabapentin
and pregabalin), and topical lidocaine (Dworkin et al. 2010). Second-line therapies
(which may be considered “first-line” under certain circumstances) include trama-
dol and opioid analgesics. Finally, so-called “third line” therapies include other anti-
convulsants and “low-dose” capsaicin creams, as high-dose capsaicin-based patch
studies were just emerging as these guidelines were reported. These recommenda-
tions are in line with other international expert groups (Attal et al. 2010). Among
a collection of European countries that participated in comparison of their clini-
cal practice guidelines on the treatment of neuropathic pain in cancer patients, all
responded that the use of amitriptyline was a first-line recommendation (Piano et
al. 2014). Second, the use of gabapentinoids was recommended. Within this report,
the clinical practice guidelines across nine countries also included whether the use
of capsaicin-containing plasters should be recommended for the treatment of condi-
tions of “local (peripheral) neuropathic pain”, presumably having a restricted pat-
tern of distribution (dermatomal or non-dermatomal). Although four of the countries
did not provide data, the remaining five countries all recommended that capsaicin-
containing plasters should be utilized for the treatment of neuropathic conditions
(Piano et al. 2014).
Therefore, providers are faced with a range of choices from pharmacologic
therapies of nonopioid and opioid agents, adjuvant analgesics, topical prepara-
tions, and interventional techniques such as neuroblockade and intraspinal infu-
sions to recently advancing neurostimulatory techniques. Unfortunately, there is
even less evidence in support of interventional approaches to manage pain from
neuropathic conditions refractory to pharmacologic interventions. Due to the
paucity of RCT data in this area, only weak recommendations so far exist that
include the use of epidural injections for herpes zoster, epidural steroid injections
for radiculopathy, spinal cord stimulation (SCS) therapy for failed back surgical
syndrome, and SCS for complex regional pain syndrome type 1 (CRPS type 1)
(Dworkin et al. 2013). More invasive-ablative techniques are also sometimes used
under conditions of compassionate care for patients with progressive malignant
disease driving neuropathic symptoms (Kanpolat et al. 2009; Meyerson 2001;
Turnbull et al. 2011) although these can also be associated with significant risks or
unmasking other painful sensations.
As we await additional randomized clinical trials, a step-wise approach for the
treatment of neuropathic pain is recommended where a combination of proven
medications may represent a superior therapeutic plan. Nevertheless, clinical trials
investigating the use of such combination therapies have yet to fully emerge. Just
as one considers the application of multiple pharmacologic agents to a particular
condition, patients suffering from chronic neuropathic pain will likely benefit from
a multimodal or multidisciplinary approach to their pain management. Importantly,

multidisciplinary treatment programs compared with conventional treatment are
effective in reducing the intensity of the pain reported by the patient for a period
of four months to one year (evidence category A2). Although multimodal ther-
apy has been shown to be efficacious for a number of conditions, its superiority
over uni-modal therapies has not yet been fully supported in the literature due
to the absence of sufficient high quality randomized controlled trials (category
D evidence). Nevertheless, it is the recommendation of the American Society of
Anesthesiologists—ASA task force in 2010 on practice guidelines for chronic pain
management, that “a multimodal strategy be part of the treatment plan for patients
with chronic pain” (2010). Moreover, such a multi-modal approach should ensure
early recognition and treatment of psychosocial maladies that are critical for long-
term success in any treatment plan and goal to improve functional status and over-
all quality of life.
4.3 The Action of Capsaicin on Primary

Afferent Nociceptors
It has long been appreciated that initial applications of capsaicin are painful, but
paradoxically, repeated application produces a topical analgesic effect. It has been
proposed that a series of overlapping capsaicin-induced effects that include: desen-
sitization, nociceptor dysfunction, neuropeptide depletion, (Cao et al. 1998; Yaksh
et al. 1979), and nociceptive terminal destruction (Robbins et al. 1998; Simone
et al. 1998) constitute critical elements producing pain relief. However, several
aspects of topical capsaicin treatment appear to limit its overall effectiveness and
application in clinical practice. The first is the requirement for repeated capsaicin
application (up to 4–5 times daily) to establish and maintain an adequate degree of
analgesia. Repeated use of capsaicin-containing topical creams leads to the loss of
epidermal nerve fibers that can be detected as soon as 3 days following repeated
application. In fact, after 3 weeks of capsaicin treatment on the volar forearm 4
times daily, there was an approximately 80 % reduction in epidermal nerve pro-
cesses. Loss of the epidermal fibers (see Fig. 4.1) was concordant with a reduction
in painful sensation to noxious heat and mechanical stimuli (Nolano et al. 1999).
Similar findings were observed when capsaicin was injected subcutaneously in
volunteers (Simone et al. 1998).
Yet in other clinical studies performed to better quantify the effects of low-dose
capsaicin on expression of TRPV1 and neuropeptides in human nociceptive ter-
minals, control human skin biopsies showed abundant immunoreactivity to the
neuropeptides SP (substance-P) and CGRP (calcitonin gene related peptide). After
1 day of repeated topical application of capsaicin (five times daily) at a concentra-
tion of 0.025 %, a diminution of SP and CGRP immunoreactivity in nerve fib-
ers was observed (Stander et al. 2004). Continuous application of capsaicin for
24 days, 1 and 8 months, respectively, resulted in a decrease of SP and CGRP
TRPV1
(-) ++
Ca
++ TRPV1
Desensitization Ca ++
Ca
(a) TRPV1
(-) ++
Ca
++
Ca
(-)
++
Ca
++ TRPV1
Dysfunction Ca ++
Ca
(b)
+
Na
(-) +
Na
Substance-P TRPV1
++ ++
Depletion ++ Ca
Ca
++
Ca
Ca
++
(c)
++ Ca
Ca
TRPV1
++
Ca ++
Ca
++
Ca
++
Ca
Ca
++
++ TRPV1
Destruction Ca
++ ++
++
Ca
Ca Ca
(d) Ca
++
TRPV1
++
Ca
Fig. 4.1 Topical capsaicin-mediated analgesia. Topical application of capsaicin to the skin can

produce concentration, dosing interval, and time-dependent changes to underlying sensory nerve
terminals expressing the capsaicin receptor (TRPV1). As illustrated in panels (a–d), functional
(a–c) and subsequently structural (d) changes in the TRPV1-expressing nociceptive terminals
occur as a result of the magnitude and duration of TRPV1 activation. Long-term analgesia may
arise from selective destruction and/or functional silencing of a subset of polymodal nociceptors
following topical capsaicin treatment disrupting central nociceptive input from peripheral neuro-
pathic pain signal processes. a Desensitization is a calcium-dependent phenomenon where appli-
cation of capsaicin leads to a decrease in inward current response during continued capsaicin
application. When capsaicin is applied at repeated intervals, each subsequent response becomes
smaller and is often referred to as tachyphylaxis. TRPV1 may become refractory to the effect of
endogenous inflammatory mediators and intracellular secondary messengers. b Repeated or pro-
longed application of capsaicin can also produce nociceptor dysfunction. Under this condition,
 which is dependent on the influx and/or excess of store-released calcium, other pain-transducing
receptor–channels are inactivated. This may explain analgesic effects beyond the known func-
tion of TRPV1. c Depletion of neuropeptides (Substance-P, CGRP) from nociceptive terminal is
evoked by capsaicin (low- and high-dose) or repeat applications. Substance-P has been show to
play a key role in facilitating nociceptive neurotransmission in the dorsal horn of the spinal cord.
d Destruction of TRPV1-expressing nociceptive terminals has been the most reliable marker cor-
relating the application of capsaicin with analgesia
expression in superficial small nerve fibers of the papillary dermis, whereas,

in nerve fibers of the deep dermis, the content of neuropeptides was unchanged.
In contrast, the distribution and intensity of TRPV1 staining in nerve fibers and
appendage structures was not changed as compared to untreated skin. Seven and
14 days after discontinuation of the capsaicin therapy, immunoreactivity to SP
and CGRP was again detectable in small papillary nerve fibers. We, and others,
hypothesize that capsaicin directs a dose-dependent effect, with low-dose capsai-
cin treatments associated with loss of neuropeptides in sensory terminals whereas
the repetitive and/or highest capsaicin dosing being the most effective in directing
the destruction of nociceptor terminals. What properties of nociceptors allow for
their selective inactivation/destruction following capsaicin application?
With the isolation of a cDNA clone encoding a capsaicin-activated ion channel
in 1997, the molecular basis of the capsaicin receptor, transient receptor poten-
tial cation channel subfamily V member 1 (TRPV1) was finally realized (Caterina
et al. 1997). Termed TRPV1, it encodes a nonselective cation channel subunit
of approximately 95 kDa that is highly expressed in the small-diameter sensory
neurons of dorsal root, trigeminal, and vagal ganglion. Its structure mostly resem-
bles that of members of the Kv 1.2 and store-operated channel family (Caterina
et al. 1997). The TRPV1 subunit spans the plasma membrane six times, contain-
ing large N- and C-terminal intracellular regions, and is proposed to form tetra-
meric and/or heteromeric channel complexes (Eilers et al. 2007; Kedei et al. 2001;
Kuzhikandathil et al. 2001). It is activated by capsaicin on the intracellular surface
in a dose-dependent manner. Once activated, TRPV1 allows for the depolarization
of the nociceptor through the conduction of cations. However it is not selective
for monovalent cations but rather it preferentially conducts calcium through its
channel pore, resulting in an increase in intracellular calcium and cellular depo-
larization. Thus, TRPV1 can be considered a cellular sensor and when expressed
on sensory neurons, can confer specialized properties such as the detection of nox-
ious stimuli and as explained below, detects changes in endogenous signaling mol-
ecules associated with tissue injury and inflammation.
Nerve and tissue injury result in the production and release of multiple inflamma-
tory products that have been characterized and identified to directly activate TRPV1.
These include products of inflammation and tissue injury such as NGF (Koltzenburg
1999; Mendell et al. 1999) as well as anandamide, the endogenous ligand for the
cannabinoid receptor (CB1) (Smart et al. 2000; Julius and Basbaum 2001). Products
of the lipoxygenase pathway of arachidonic acid, 12-(S)-hydroperoxyeicosatetranoic
acid (12-(S)-HPETE), and leukotriene B4, (LTB4) have also been found to activate
Table 4.2 Topical capsaicin formulations

Low concentration topical High concentration topical
Over the counter Prescription
Multiple formulations including cream, Patch
liquid, patch
Generally at or below 0.15 % capsaicin 8 % capsaicin
Applied by patient at any location Applied by medical professional in an appropri-
ate clinical venue
Application repeated multiple times daily Applied once for one hour, repeated as needed
for anywhere from weeks to indefinite at three month or greater intervals
time period
Does not require pretreatment to the applica- Requires pretreatment with topical local anes-
tion area thetic to the application area
TRPV1 in vitro (Shin et al. 2002). It has been reported that TRPV1 is expressed on
large and small cutaneous nerve fibers in the human dermis and at the epidermal–
dermal junction, while intraepidermal nerve fibers only occasionally stained for
TRPV1. A similar staining pattern of TRPV1 immunoreactivity was also described
in rat skin (Guo et al. 1999). Importantly, TRPV1 and SP are also co-localized
in human cutaneous nerve fibers confirming previous reports in rat and mice.
Therefore, beyond the ability of capsaicin to disrupt the function of polymodal
nociceptors expressing TRPV1, capsaicin-induced inactivation could also result
in blockade of endogenous activation of TRPV that is associated with pathophysi-
ologic conditions giving rise to neuropathic pain symptoms.
4.3.1 Painful Neuropathic Conditions Treated with Topical

Capsaicin Preparations
4.3.1.1 Overview
Early meta-analysis that included patients suffering from diabetic neuropathy and
osteoarthritis concluded that topical capsaicin improved pain when compared with
a placebo (Zhang and Li Wan Po 1994), the analysis includes a number of uncon-
trolled and/or underpowered trials, a concern that has weakened their influence on
changing clinical practice over time. Moreover, if one applies a more “rigorous”
standard for clinical trials (as exists presently) on trial data prior to 2004, topical
capsaicin (0.025 or 0.075 %) showed poor to moderate efficacy in the treatment
of either musculoskeletal or neuropathic symptoms (Mason et al. 2004). Coupled
with one-third of these study patients experiencing mild to moderate adverse
effects such as erythema, irritation, and transient increase in pain, (see Table 4.2)
enthusiasm for widespread use of these agents in the absence of concurrent local
anesthetic pretreatment appeared to plateau. Therefore, such treatments were con-
sidered for so-called “nonresponders” rather than as a first-line treatment option.
To obtain improved patient acceptance and analgesic efficacy using capsaicin-based

creams, therapeutic trials have progressively shifted from repeated applications
of a combination of local anesthetic pretreatment followed by low-dose capsaicin
(Turnbull et al. 2011) to potentially a single application of high-dose topical cap-
saicin patch. This shift, in part, owes its origin to a case series that included 10
patients suffering from intractable lower extremity pain with neuropathic features.
Application of capsaicin (5–10 %) under regional anesthesia resulted in a wide
range of posttreatment pain relief (Robbins et al. 1998).
Therefore, the report of Robbins et al. suggested an alternative approach, a
single application period of a high-dose capsaicin rather than the onerous task of
repeat daily applications of low-dose formulations that are associated with a high
dropout rate. Later, a high concentration capsaicin patch (8 %) was devised and
its application to the skin for a period of 1–2 h produced longer term changes in
epidermal nerve fibers that included loss of staining and reduction of heat sensi-
tization. This illustrated that a short-term application of a high concentration of
capsaicin can mimic those changes previously seen under repeat application (3–5
times/day for 1 week) of lower concentration capsaicin cream (Malmberg et al.
2004). Subsequently, a randomized double-blinded study for the treatment of
PHN using a 1-hour application of a high-dose capsaicin (8 %) patch was found to
provide significant pain relief between study weeks 2–12 (Backonja et al. 2008).
However, just as repeated application of low-dose capsaicin creams has found lim-
ited acceptance by patients due to application-induced burning and/or irritation,
application of a high-dose capsaicin patch must also overcome a similar therapeu-
tic barrier. To address this additional therapeutic barrier, high-dose capsaicin patch
administration requires a unique application protocol as compared with low-dose
breams and a health care provider (see Table 4.2). Pilot studies indicated that pre-
treating the proposed application area with 4 % lidocaine jelly for one hour was
reported to provide “acceptable” side effects following application of high-dose
capsaicin patch, though such treatment was commonly associated with localized
pain and erythema (Backonja et al. 2008).
4.4 Safety and Tolerability of High-Dose Capsaicin Patch
Beginning with a series of small, open label studies, more rigorous double-
blinded randomized controlled studies focused on the safety and tolerability of
high-dose capsaicin-containing patches following prior application of a topical
local anesthetic. Importantly, it was studied whether the type of local anesthetic
influenced the degree of tolerability of the subsequent capsaicin patch applica-
tion. In a randomized prospective study of 117 patients suffering from a range of
peripheral neuropathies including PHN and diabetic neuropathy, using LMX 4,
Topicaine, or Betacaine, with endpoints of average pain score at baseline versus at
2–12 weeks, no significant difference in tolerability was found between the vari-
ous local anesthetics (Webster et al. 2012). Although no serious adverse events
Table 4.3 Capsaicin application site adverse effects

Capsaicin application site adverse effects
Erythema
Pain
Pruritus
Papules
Adverse reactions occurring in clinical studies in ≥5 % of patients treated with high concentra-
tion capsaicin patch and of higher incidence than controls. Symptoms were generally rated as
“mild” or “moderate” and generally resolved by postapplication day 0–2
(AE) related to high-dose capsaicin patch treatment were reported, 50–59 % of

the study patients reported adverse effects (see Table 4.3), which were primarily
local, mild to moderate in severity, and resolved within in 1–2 days. Furthermore,
analgesic responses were not significantly different between local anesthetic pre-
treatment groups. Importantly, patients receiving a longer (90-min) patch appli-
cation were associated with greater procedural discomfort and greater use of
periprocedural analgesics without a proportional increase in analgesic effect. Thus
a 60-min application period was largely adopted (Webster et al. 2012). Moreover,
these results mirror a smaller study with a focus only on patients with PHN treated
topically with lidocaine 2.5 %/prilocaine 2.5 % cream for 60 min before receiv-
ing a single 60-min application of topical high concentration capsaicin. Maximum
mean change in NPRS score was +3.0 observed at 55-min postpatch application
with scores gradually declining to near preanesthetic levels within 85 min of patch
removal. However, half of the patients received analgesic medication on the day of
treatment (Webster et al. 2011). More broadly, analysis of twelve studies of mixed
experimental design and patients with various peripheral painful neuropathies
(PHN, HIV-DSPN, and PDN) showed that the maximum increase in pain report-
ing score ranged from 2.3 to 2.8 with no difference in treatment-associated pain
among the different neuropathies (Webster et al. 2012).
Despite the mild to moderate adverse effects described above (localized pain
and irritation) topical capsaicin engenders an overall favorable safety profile due
to several complementary factors. Capsaicin can be systemically absorbed through
the skin as a function of its applied concentration and duration of exposure.
When the kinetics of systemic capsaicin absorption were investigated in patients
receiving a high-dose capsaicin (8 %) patch for pain arising from either PHN,
HIV-associated neuropathy (HIV-AN), or from diabetes mellitus (PDN), patch
application to the trunk (PHN) directed the greatest plasma levels (peak 17.8 ng/mL).
Conversely, significantly lower plasma concentrations were detected when the
patch was applied to the feet (diabetic neuropathy, HIV-AN). Likewise, if applica-
tion time was increased from 60 to 90 min, the hourly plasma concentration was
observed to double (Babbar et al. 2009). Ultimately following absorption, capsai-
cin is rapidly eliminated by the cytochrome P450 hepatic enzyme system, (Chanda
et al. 2008) with a population elimination half-life of 1.64 h (Babbar et al. 2009).
In summary, the application of high-dose capsaicin in the treatment of a diverse

range of peripheral neuropathic states results in significant postapplication pain
(up to a change of +3 on the NPRS) but treatment-associated pain is independ-
ent of underlying neuropathic condition or type of pretreatment local anesthetic.
Greater than half of patients appeared to require supplemental analgesics to man-
age the treatment-associated pain which may be greater with a longer (90-min)
application period. Nevertheless, pain associated with patch treatments was rela-
tively transient in duration with the majority of patients returning to baseline pain
levels within 2 days and overall without report of severe adverse events. For these
reasons, high-dose capsaicin patch therapy has been advanced and investigated for
efficacy in the treatment of a number of chronic painful conditions arising from
peripheral neuropathic states, but with an apparent majority of studies derived
from patients suffering from PHN (Peppin et al. 2011; Simpson et al. 2010).
4.4.1 Postherpetic Neuralgia
PHN is one of the most prevalent painful conditions associated with neuropathy
that clinicians may encounter. PHN is driven in the USA by some 800,000 cases
of primary herpes zoster infection each year (Schmader 2002). In Germany by
comparison, from 2004 to 2009, 403,625 herpes zoster infection cases were esti-
mated per year with approximately 5 % of such cases developing PHN (Ultsch
et al. 2013). Following a primary systemic infection, the herpes zoster virus
remains dormant in the dorsal root (sensory) ganglion but may become reacti-
vated under conditions of stress, infection, malignancy (especially lymphoma), or
immune-suppression resulting in its renewed replication. As a result of increased
herpes zoster viral transport to the skin via infected sensory nerves, eruption
of painful lesions along dermatomal distributions are manifest resulting in an
increased risk of developing PHN after age 55 (Ultsch et al. 2013).
Acute outbreaks of herpes zoster are treated with a combination of medications
to suppress viral replication and if needed, to manage painful symptoms. Although
pain is well known to be associated with a reactivation (shingles) event, it is when
pain and discomfort persist for more than 1 month after the zoster rash has healed
that the diagnosis of PHN is typically made. Symptoms can include perceptions
of constant burning and gnawing as well as paroxysmal sharp shooting and/or
shocking pain either at rest or induced by light tactile stimulation. A combina-
tion of antiviral therapy (Acyclovir) and multimodal analgesics (gabapentinoids,
TCAs, topical capsaicin preparations, opioids, topical lidocaine preparations) are
intended to decrease the duration of outbreak, promote healing, and manage pain.
Unfortunately, despite the effective treatment of herpes zoster infection, PHN may
still develop resulting in pain that is notoriously difficult to manage—degrading a
patient’s quality of life.
In response to this therapeutic dilemma, a variety of treatment options have
been investigated including the use of topically applied agents, such as capsaicin.
Initially formulated as “low-dose” capsaicin creams, several large, double-blinded,

vehicle-controlled studies of patients with chronic PHN-demonstrated efficacy of
low-dose capsaicin creams (0.075 %). The authors of these studies suggested that
they should be considered as part of the initial plan for PHN pain management
(Watson et al. 1993). Given the modest success of low-dose capsaicin, the devel-
opment of a high-dose capsaicin patch has more recently reinvigorated the idea
that high-dose topical capsaicin preparations could one day take their place among
first-line treatments of painful symptoms of PHN pain. In support of this effort and
as previously introduced, a topical patch capable of delivering high-dose (8 %)
capsaicin therapy was subsequently developed.
4.4.1.1 Efficacy of High-Dose Capsaicin Patch Therapy

for the Treatment of PHN
Randomized controlled trials: building a case for the therapeutic efficacy of high-
dose capsaicin treatment in peripheral neuropathies has required substantial evi-
dence. What must be overcome is not only an analgesia endpoint, but that the
increase in pain associated with a single patch treatment can be sufficiently toler-
ated and be of short duration such that the benefit of a long-term analgesia will
outweigh the mild—moderate short-term adverse effects. Therefore, multiple ran-
domized, double-blinded controlled multicenter trials were conducted. NPRS for
weeks 2–8 post high-dose capsaicin patch application were compared with a low
concentration (0.04 %) control patch. Initial results showed a 29.65 versus 19.9 %
reduction of pain intensity in treatment versus control patients during weeks 2–8
and a similar 29.6 versus 19.9 % for weeks 2–12. Importantly, these findings held
true regardless of whether or not patients were taking concomitant antineuropathic
pain medications (Backonja et al. 2008).
In a dose finding study, 299 PHN patients received high-dose or low-dose
capsaicin patch for 30, 60, or 90 min. Although the 30-min group did not meet
statistical significance, the 60-min treatment was significant with the largest
improvement for patients during weeks 2–8 was following the 90-min treat-
ment (27.8 vs. 17.3 %) (Webster et al. 2010a). Notably, the degree of pain relief
for PHN in these studies appeared independent of whether patients were treated
within the first 6 months of PHN or later (after 6 months). Whereas, another report
suggested a greater overall improvement (including patient satisfaction) in anal-
gesic treatment profile for patients suffering from PHN for greater than 6 months
(Webster et al. 2010b).
Beyond individual or multicenter-integrated data studies described previously,
meta-analysis of high-dose capsaicin prospective randomized trials have been per-
formed inclusive of PHN, painful diabetic neuropathy, and HIV-associated neuropa-
thy. Such meta-analysis continued to demonstrate a significant decrease in reported
pain between high-dose capsaicin patch treatments versus low-dose controls (30.7 %
reduction from baseline during weeks 2–12 vs. 22.7 % drop in low-dose control
patch). Overall, (all sub groups of neuropathic pain) there was a 30 % reduction
achieved in 44 % of high-dose patch versus 34 % control (low-dose patch), however,
the overall magnitude of these differences is relatively small—approximately 8–10 %.
Such meta-analysis were limited by a study period that was 12 weeks, and a neuro-
pathic pain subgroup cohort that was insufficient in size to detect subgroup treatment
benefits (Mou et al. 2013) (Irving et al. 2012). Subsequent meta-analysis was under-
taken with a larger number of PHN patients (1313 PHN) studied with high-dose cap-
saicin patch treatment, and using a 30 % reduction in mean pain intensity score as
characterizing a “responder.” This analysis revealed a mean of 3.4 days until onset
of analgesia, with duration of analgesic response of 5 months (Irving et al. 2012).
Furthermore, in an attempt to identify patients that may have gained the greatest ben-
efit from high-dose patch treatment, a study identified five types of “responders:” (1)
a population showing worsening of response (i.e., pain increases during treatment)
which were 1.5 and 0.8 % of patch versus control; (2) a population showing no anal-
gesic response which were 22.7 % of patch and 39.1 % of control; (3) a population
showing a partial or full analgesic response but with a return to pretreatment pain levels
within 12 weeks (24.7 % patch vs. 17.6 % control); (4) a population showing a partial
analgesic response at week 1 that remained constant during the study period (14.5 %
patch and 14.3 % control); and (5) a population that showed an ongoing decline in
pain rating during the 12 weeks of the study which were 36.6 % patch and 28.2 %
control. Importantly, increasing age and duration of disease as well as concurrent opi-
oid use all were negative predictors of resolution of the pain (Group 5), and generally,
no analgesic response to the high-dose capsaicin patch treatment (Group 2) (Martini
et al. 2013).
Taking a complementary approach, a systematic review of six studies includ-
ing 2073 patients was performed by the Cochrane Database through December
of 2012 that included RCT and controlled trials of at least 6-week duration. Four
studies of 1272 participants for PHN showed numbers needed to treat (NNT) to
attain “much improved or very much improved” of 8.8 and 7.0. Serious adverse
events were no more common with high-dose treatment than controls nor were
the rate of study withdrawals, however the “lack of efficacy” withdrawals were
found to be greater in controls—supporting a beneficial effect of the high-dose
patch. Overall, the systematic review of high-dose patch treatment for PHN (and
HIV-associated neuropathy) generated more participants with high levels of pain
relief than control—but the additional proportion of that benefit is not large.
Nevertheless, for those who did respond, benefits in sleep, fatigue, depression, and
quality of life were also seen (Derry et al. 2013).
4.4.1.2 Summary: Treatment of PHN with High-Dose Capsaicin
PHN can result in severe neuropathic pain and impaired functional status. The
majority of oral analgesic treatments for PHN carry the risk of significant sys-
temic side effects. This has been in large part responsible for the interest in topi-
cally administered therapies. Prior to the advent of a high-dose capsaicin patch,
widespread acceptance of capsaicin in lower concentration forms were limited by
unimpressive evidence and compliance with the cumbersome and uncomfortable

nature of chronic administration. With the advent of a high-dose patch, a capsai-
cin treatment option now exists that does not eliminate, but changes and potentially
improves upon the limitations of its administration. There is now a modest but
growing evidence base including several RCTs, meta-analysis, and systematic
review supporting safety and efficacy in the use of high-dose capsaicin patch treat-
ment for PHN. Interestingly, thus far only a single retrospective study has attempted
to provide insight as to the financial impact of the use of the high concentration
capsaicin patch in the treatment of PHN. Using a model based on monthly analge-
sic medication cycles, including analgesic dose titration and management of adverse
events, the proportion of patients achieving at least a 30 % improvement in PHN
pain with outcomes cost per quality-adjusted life-year (QALY) were calculated.
Although no head-to-head studies were identified for comparison, they found that
the high-dose (8 %) capsaicin patch (and topical lidocaine patch) were significantly
more effective than oral analgesic medications prescribed for PHN. The incremental
cost-effectiveness ratio for the capsaicin patch overlapped with the topical lidocaine
patch and was within the accepted threshold of cost per QALY gained compared to
tricyclic antidepressants (TCAs), duloxetine, gabapentin, and pregabalin. However,
the frequency of the high-dose capsaicin patch retreatment could significantly
impact its cost-effectiveness (Armstrong et al. 2011).
4.4.2 Diabetic Neuropathy
Diabetes mellitus affects more than 14 million people within the USA, and esti-
mates predict that globally, rates will increase to 366 million by 2030 (Wild et al.
2004). Among this cohort, some estimate that between 18 and 24 % may suffer
from some form of painful diabetic neuropathy (PDN) and a subset of patients suf-
fering from diabetic polyneuropathy is termed PDPN (Schmader 2002; Spallone
and Greco 2013). PDPN is thought to arise from the metabolic and microvessel
consequences associated with chronic hyperglycemic exposure, as occurs in dia-
betes type I or II. PDPN represents the most bothersome of symptoms of diabetic
polyneuropathy that develops into a chronic painful condition. Management of the
painful neuropathic symptoms associated with PDNP has been difficult given lim-
ited choices of therapeutic agents (TCAs, gabapentinoids, topical lidocaine), and
often less than 50 % pain reduction or high number-needed-to-treat—NNT.
Given the apparent widespread prevalence and difficulty in managing PDPN,
use of preparations containing either low or high concentrations of capsaicin have
been investigated. Early randomized studies using relatively low-dose capsaicin
preparations (0.075 %) versus a vehicle control four times daily on patients suf-
fering from PDPN, showed a small but statistically significant improvement in
pain intensity scores (VAS) and pain relief (The Capsaicin Study Group 1991).
More recently the idea that capsaicin-containing topical preparations may, in fact,
have a therapeutic advantage in the treatment of diabetic neuropathy was advanced
due to over-expression of its natural target—the capsaicin receptor (TRPV1) in an

experimental rodent model of diabetes (Rashid et al. 2003). Unfortunately, such
a promising idea has not yet been observed to translate into therapeutic outcome.
For example, in a noncontrolled, prospective observational study, 91 patients
with PDPN were enrolled for single treatment with 1–4 high-dose topical capsai-
cin patches and pain scores were studied longitudinally over a 12-week period.
Approximately one-third (34 %) of patients treated with a single application of
the high-dose capsaicin patch showed a rapid and clinically relevant reduction
in pain that persisted (70 ± 5 % pain reduction) by week 12. However, an equal
percentage either had no improvement or a short-term benefit that peaked at 3
weeks following treatment (Martini et al. 2012). As observed in the treatment of
other peripheral neuropathies, high-dose capsaicin patch therapy for PDNP was
also associated with a mean increase in reported pain scores of 2.3–2.8 on night
two, resulting in 14 % of treated patients requiring additional analgesics to man-
age their treatment-associated pain (Peppin et al. 2011). Therefore, although some
patient’s suffering from PDNP may indeed experience significant analgesic ben-
efit, its overall lower response rate has made it problematic to consider high-dose
capsaicin patch therapy as a first-line analgesic treatment until more convincing
evidence from RCT is reported.
4.4.3 HIV-Associated Painful Neuropathy
Painful peripheral neuropathies as a result of HIV infection represent another

therapeutic challenge for both patient and clinician. HIV-associated distal sym-
metrical polyneuropathy (DSPN), represents perhaps the most common neurologic
complication (30–50 %) of HIV-infected patients. Although the mechanism of
HIV-DSPN-associated pain remains unclear, it is presumably driven by a combi-
nation of cytotoxic HIV-viral protein product(s) and/or is exacerbated by certain
antiretroviral therapies (Acharjee et al. 2010; Huang et al. 2013). Such pain can
be refractory to standard pharmacologic treatment leading to major morbidity and
disability. In response for the need of more effective treatments, early trials again
focused on the use of low-dose capsaicin-containing topical preparations but with
unsatisfactory results (Paice et al. 2000). With the development of the high-dose
(8 %) capsaicin patch, a renewed effort was launched to demonstrate the efficacy
of topical capsaicin for the treatment of HIV-DSPN without a detectable change in
the perception of warmth, cold, sharp pain, or vibration sensation (Simpson et al.
2008). Although an initial RCT study showed a trend toward better pain relief for
these patients, the study failed to meet its primary endpoint (Clifford et al. 2012).
Subsequently, the combination of two similarly designed RCT revealed a reduction
in pain with application of the high-dose patch treatment for 30 but not 60 min—
missing significance due to an unusually high level of pain relief from the low-
dose control patch application (Brown et al. 2013). Finally, with study of a greater
number of subjects (801 HIV-DSPN patients) with pain of the lower extremities
(feet) showed modest pain relief with 41 % of HIV-DSPN patients having a 30 %
reduction in symptoms and a mean duration of response of 5 months. Importantly,
of those that were followed for the entire 12 months, 10 % had complete resolution
of painful symptoms (Mou et al. 2013). Moreover, there was no apparent relation-
ship between the duration of patch application, the number of patch applications
or the degree of analgesia achieved. Numbers needed to treat (NNT) to achieve
a patient report of “better or much better” was 5.8 and higher NNT for other out-
come measures. Adverse events included short-term site swelling and burning sen-
sation with 44 % of the patients requesting oxycodone/acetaminophen following
capsaicin patch placement. A small number of patients also experienced itching
or coughing (Derry et al. 2013). Given the NNT of HIV-DSPN patients to achieve
even a modest analgesic result, use of high-dose capsaicin patch does not appear to
be a first-line analgesic treatment for HIV-DSPN although an unpredictable subset
of such patients may obtain significant long-term relief of painful symptoms.
4.4.4 Other Painful Conditions with Neuropathic Features
Just as postherpetic neuralgia, diabetic and HIV-associated neuropathies represent

distinct disease entities they also share overlapping features of pain and dysfunc-
tion of the peripheral nociceptive system. Although less well known, there are a
number of other painful conditions with neuropathic features arising from diverse
pathophysiology. Of these, the more commonly known include: trigeminal neural-
gia, complex regional pain syndrome type-II (causalgia) and persistent postsurgical
pain. Paradoxically, despite sharing apparently similar mechanistic origins (partial
nerve injury) they differ widely in terms of their therapeutic response to pharma-
cologic and interventional therapies but all are known to be difficult to effectively
manage and generally resistant to opioid based analgesic strategies. Perhaps due to
their complexity and relative scarcity, there does not appear to be any controlled
studies for the treatment of trigeminal neuralgia or CRPS-II with topical capsai-
cin—except perhaps a case report of the successful treatment of PHN in the trigem-
inal (V1) distribution with a high-dose capsaicin patch (Sayanlar et al. 2012).
In contrast, the use of topical capsaicin for the management of postoperative
incisional pain includes a series of case reports (McPartland 2002; Rayner et al.
1989; Weintraub et al. 1990). Controlled trials for the treatment of persistent post-
surgical pain following mastectomy has been pursued with reasonable success
and later in part confirmed by an open label trial (Dini et al. 1993; Watson and
Evans 1992). Capsaicin-based topical applications were also investigated with a
controlled trial on postsurgical neuropathic pain in cancer patients with the use of
0.075 % cream applied four times daily. Impressively, 53 versus 17 % (placebo
control) of patients experienced a significantly greater pain relief while using topi-
cal capsaicin (Ellison et al. 1997). As concern of persistent postsurgical pain syn-
dromes grow, additional trials utilizing capsaicin-containing preparations should
be forthcoming.
4.5 Conclusions
As our understanding of the molecular basis of pain transduction has advanced,

propelled with the isolation of the capsaicin receptor (TRPV1), there has been a
renewed effort to leverage these discoveries to develop more effective treatment
for persistent painful conditions. Despite the historic use of topical preparations
containing capsaicin, the recent combination of neurobiology, biotechnology, and
advances in clinical trial design has allowed concentrated forms of capsaicin to
be safely applied to manage painful neuropathic conditions. Of the painful condi-
tions described in this chapter, the strongest evidence exists for the use of high-dose
capsaicin for the management of painful PHN. However, as with other therapeu-
tic options for the treatment of painful neuropathic conditions, there appear to be
patient responders and non-responders suffering from PHN and a range of other
neuropathic conditions. Fortunately, there appears no advantage, nor disadvantage,
of such patients taking concurrent anti-neuropathic/analgesic medications while
undergoing high-dose capsaicin patch treatment. For those patients fortunate to
receive analgesic benefit from a single application of the high-dose capsaicin patch,
there is the potential of long-lasting relief of painful symptoms without the require-
ment of continued daily topical application. Nevertheless, analgesic response rates
for peripheral neuropathic painful conditions tend to average approximately 30 %
and rarely if ever exceed 50 %. Moreover, the magnitude of analgesic effect is typi-
cally modest (10–30 %). Beyond PHN, other painful neuropathic conditions sensi-
tive to the analgesic effects of topical capsaicin (with decreasing level of evidence)
include HIV-associated painful neuropathy (DSPN), painful diabetic neuropathy and
postsurgical neuropathic pain. In these cases, there is not yet adequate evidence to
support capsaicin-based topical therapies as first-line treatments. However, for some
patients who are intolerant of standard pharmacologic approaches for the treatment
of peripheral neuropathic pain syndromes, topical capsaicin preparations continue
to offer a rational and often successful option—largely free of systemic side effects
such as sedation, altered mental status, or risks of dependence and addiction.
Acknowledgments Thanks to Morgen Ahearn for her editorial assistance.
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the rat spinal cord and produces prolonged thermal analgesia. Science 206:481–483
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Eur J Clin Pharmacol 46:517–522
Chapter 5
Capsaicin-Based Therapies for Pain Control
Howard Smith and John R. Brooks
Abstract The TRPV1 receptor is known to play a role in nociceptive transmission

in multiple organ systems, usually in response to the pain of inflammation. TRPV1
antagonism has so far shown limited benefit in antinociception. Capsaicin, a
TRPV1 agonist, has been shown to induce a refractory period in the nerve termi-
nal expressing TRPV1 and even, in sufficient dosing, to create long-term nerve
terminal defunctionalization. This has led to research into topical capsaicin as a
treatment for multiple painful conditions. The majority of work has focused on
musculoskeletal pain and neuropathic pain and has revealed that although low-
dose topical capsaicin has limited effectiveness as an analgesic, high-dose capsai-
cin, when tolerated, has the potential for long-term analgesia in certain types of
neuropathic pain.
5.1 Introduction
There exist many chronic painful conditions for which the search for effective
therapies is still underway. These conditions include painful musculoskeletal
conditions, migraine headache, biliary and pancreatic pain, the pain associated
with cancer, and multiple forms of neuropathic pain; from diabetic neuropathy
to postherpetic neuralgia, among others (Nilius 2007; Immke and Gavva 2006).
Depending on the specific condition, research into new forms of pain treatment
have come about due to various reasons including the need for more effective
H. Smith · J. R. Brooks (*)
Department of Anesthesiology, Albany Medical College, 47 New Scotland Avenue,
MC-131, Albany, NY 12208, USA

130 H. Smith and J. R. Brooks
treatments, for potential “adjunctive” treatments, or even the need to decrease overall
pill or opioid burden and improve patient adherence (Derry and Moore 2009).
The vanilloid compound capsaicin, found in various chili peppers, has long
been known to produce a hot, burning, stinging sensation, whether on ingestion
of spicy food or when applied to the skin (Caterina et al. 1997; Premkumar and
Abooj 2013; Immke and Gavva 2006; Nilius 2007). As somewhat of a paradox,
capsaicin has also been known to provide superficial pain relief despite, again,
an initial unpleasant sensation. Although this has been known for a century, the
molecular target and mechanism for capsaicin’s effects have only relatively
recently been investigated and brought to light. Modern scientific technique has
allowed for a more complete characterization of not only capsaicin and its action
but also of its target—the TRPV1 receptor—itself and the class of receptors to
which it belongs (Caterina et al. 1997). More and more light is being shed on the
TRP receptors and their various roles throughout the body.
Perhaps as a logical evolution, topical capsaicin-based therapies have been
developed and tested in the hope that, for certain painful conditions, a new, reli-
able form of pain relief may be available to patients suffering from these condi-
tions (Haanpää and Treede 2012). Various forms of topical capsaicin have been
studied. The purposes of this chapter are (1) to review TRPV1 and its nociceptive
role both in general and in various painful conditions, (2) to briefly review current
research into potential TRPV1 antagonists and their role in antinociception, and
(3) to review the current research and recommendations regarding topical capsai-
cin and pain relief, as well as to briefly discuss future research directions.
5.2 Capsaicin and TRPV1: Structure and Function
The scientific community has long been indirectly aware of the ligand-gated ion
channel known as the Transient Receptor Potential cation channel, subfamily V,
member 1 (TRPV1) through early observations of the antinociceptive properties
of the compound—and TRPV1 agonist—known as capsaicin. Modern knowledge
of TRPV1 began with its initial characterization using cloning techniques in 1997
(Caterina et al. 1997; Premkumar and Abooj 2013). It was the first receptor of its
class to be discovered and has subsequently been the subject of numerous molecu-
lar characterization studies which have led to the elucidation of its varied roles
in a number of nociceptive and nonnociceptive processes (Nilius 2007; Cao et al.
2013; Khairatkar-Joshi and Szallasi 2009; Immke and Gavva 2006). Knowledge of
TRPV1 additionally spawned research into the TRPV class of receptors as a whole
and, since its discovery, there have been a number of additional TRPV receptors
discovered and studied in various degrees of detail (Premkumar and Abooj 2013).
TRPV1 is a tetrameric, nonselective channel permeable to cations, espe-
cially calcium (Wong and Gavva 2009). Original patch-clamp studies (Bevan and
Szolcsányi 1990) showed TRPV1 to open in response to capsaicin, producing a
slow inward depolarizing current. Extensive work by numerous authors has shown
5 Capsaicin-Based Therapies for Pain Control 131
TRPV1 to be expressed in small-diameter sensory neurons, both centrally and

peripherally (Premkumar and Abooj 2013; Immke and Gavva 2006). The TRPV1
receptor has been found in the nociceptive, distal ends of Aδ and C fibers. These
small-diameter fibers are involved in the transmission of nociceptive impulses from
the periphery, implying a role for TRPV1 in pain transmission. However the recep-
tor has also been found at the synapse of the dorsal root (and trigeminal) ganglion
and their central second-order neuronal targets (Premkumar and Abooj 2013).
Additionally, research has shown TRPV1 to be a polymodal receptor, displaying
activation in the presence not only of vanilloids like capsaicin, but of elevated tem-
peratures and acidity (Immke and Gavva 2006) as well as a broad range of other
mediators including but not limited to adenosine, arachidonic acid metabolites,
anandamide, and resiniferatoxin (Premkumar and Abooj 2013). This points to
TRPV1 playing more of a role in the pain of inflammatory and/or thermal insult
rather than generalized nociception as a whole.
Further supporting the potential role of TRPV1 in inflammatory pain is a study
linking the TRPV1 receptor to the immune response in humans. In a study by
Hutchinson et al. (2013), injection of low-dose endotoxin and subsequent activa-
tion of toll-like receptor 4 (TLR-4) was associated with an increase in the allodynia,
flare, and hyperalgesia of capsaicin dermal injection over control subjects injected
with capsaicin and no endotoxin. Additionally, an increase in the cytokine IL-6
was observed after endotoxin injection. The precise mechanisms of the effects of
endotoxin on TRPV1 sensitivity have not been clearly delineated. Several mecha-
nisms have been proposed, including (1) a direct TLR-4 interaction with endotoxin
in the periphery with subsequent direct sensitization of TRPV1, (2) an endotoxin-
induced cytokine cascade with direct, peripheral sensitization of TRPV1, and (3) an
endotoxin-induced cytokine cascade with subsequent “central sensitization” via the
TRPV1 receptor. Given that there was observed an increase in “allodynia”, largely
thought to be a central phenomenon, it appears likely based on this study that there
is at least a component of endotoxin-induced cytokine cascade and subsequent cen-
trally-directed sensitization (Hutchinson et al. 2013). Regardless of mechanism, the
linking of an immune stimulus, an increase in inflammatory mediators/biomarkers,
and TRPV1 activity lends a significant amount of support to the role of TRPV1 in
pain associated with inflammation and the immune response in general (Hutchinson
et al. 2013). Equally important is the identification of a potential target—TRPV1—
for modifying neurohumoral-related pain (Hutchinson et al. 2013).
Antagonist studies using the compound capsazepine have further confirmed
a role for the receptor in inflammatory pain (Immke and Gavva 2006). In addi-
tion, a reduction in the thermal pain associated with inflammation in knockout
mice (Davis et al. 2000) also suggested that TRPV1 is involved in inflammatory
pain. Immke and Gavva (2006) describe several other knockout studies that have
also been helpful in exploring the role or roles this receptor plays in nociception.
TRPV1 is widely believed to contribute to thermal homeostasis in not only exper-
imental animal models such as the rat and dog, but in humans as well. As will
be discussed later, this discovery was an unexpected result of TRPV1 antagonism
studies (Wong and Gavva 2009).
Interestingly, multiple studies have shown that the different TRPV1 agonists
work in concert to modulate the receptor’s activity; for example, the presence of
one agonist sensitizes the receptor to the effect of a second agonist (Nagy et al.
2004). Multiple inflammatory mediators, including bradykinin, prostaglandins,
ATP, and glutamate, also have the ability to sensitize the receptor. This observation
points to TRPV1 as a receptor at the convergence of multiple biochemical pro-
cesses (Immke and Gavva 2006). In the typical inflammatory milieu, with multiple
mediators present, it seems that TRPV1 responds with greater, longer lasting, even
tonic activation. This potentially robust response is presumably one of the reasons
TRPV1 has been such a desirable target for the relief of pain in certain conditions.
The compound capsaicin, known formally by its IUPAC name (E)-N-[(4-
hydroxy-3-methoxyphenyl)methyl]-8-methylnon-6-enamide, is an alkylamide
with the chemical formula C18H27NO3. It is found in pepper-bearing plants of the
genus capsicum. First isolated in 1816, it is a compound long known to the scien-
tific community. Capsaicin, then, possesses both a lipophilic (fatty acid) moiety
and a vanilloid moiety (Tominaga and Tominaga 2005). Capsaicin interacts with
several key amino acid residues of the TRPV family of cation channels- Tyr 511
and Ser 512 in particular (Tominaga and Tominaga 2005). Furthermore, Immke
and Gavva (2006) describe a vanilloid-binding pocket comprising the third and
fourth transmembrane portions of the protein. It is thought that the lipophilic
portion of the capsaicin molecule may bind to transmembrane domains on the
channel-lipid interface of the receptor and that the vanilloid component of the
molecule interacts with cytosolic residues, thus cross-linking transmembrane
domains (Tominaga and Tominaga 2005). It appears as well that several of these
residues are critical not only for agonist binding but for antagonist binding as
well. Thus it is believed that TRPV1 agonists and antagonists occupy overlapping
regions in the same vanilloid-binding site (Immke and Gavva 2006). Other sites on
the TRPV1 receptor have also been described as having the ability to bind ligands,
such as protons, and activate the receptor (Immke and Gavva 2006).
Although the role of capsaicin in nociception and antinociception is the topic
of this chapter, it is interesting to note that capsaicin is being investigated with
regard to possible roles outside the realm of pain management. For instance, it is
believed to play a role in inducing apoptosis in breast tumors. A study by Chang
et al. (2011) found capsaicin to induce S-phase cell cycle arrest and accompanying
apoptosis in two different human breast cancer cell lines; this effect is believed by
the authors to occur through a mitochondrial-mediated pathway. Although, again,
outside the scope of this chapter, it is important to note just how potentially broad
the role of capsaicin in modern medicine is capable of being.
5.3 TRPV1 and Its Role in Nociception
The role of the TRPV1 receptor in a variety of locations and pain modalities has
been the subject of much research and effort. The location of TRPV1 at both
peripheral nociceptive nerve terminals and the primary central synapse of those
same nociceptive nerves suggest TRPV1 as a potential mediator of neuropathic

pain. This has been undoubtedly borne out in the literature. It is the peripheral
location of TRPV1 that has spawned research into its targeting in the relief of such
pain. As will be discussed in detail later, multiple studies have shown that topical
TRPV1 agonism via capsaicin has been able to successfully modulate neuropathic
pain, confirming TRPV1’s involvement in these pathologic conditions (Haanpää
and Treede 2012; McCleane 2003).
TRPV1 has been implicated in the pain associated with pancreatitis as well.
Schwartz et al. (2011) induced pancreatitis in the mouse and found that pancre-
atic inflammation led to an upregulation of TRPV1 in the pancreas and an increase
in the activity of afferent nociceptive neurons originating within the pancreas.
Additionally, Schwartz found that TRPV1 antagonism was effective in reducing
pancreatic inflammation and pain-associated behaviors (Schwartz et al. 2011).
Indeed, a review by Liddle (2007) describes numerous other studies that have
additionally shown (1) the presence of TRPV1 in pancreatic nociceptive neurons,
(2) the upregulation of these receptors in pancreatitis, (3) the contribution of multi-
ple inflammatory mediators found in pancreatitis to TRPV1 activation, and (4) the
amelioration of experimental pancreatic pain with TRPV1 antagonism. Of addi-
tional note, Zhu et al. (2011) have shown that nerve growth factor one (NGF-1)
contributes to TRPV1 expression and activity in chronic pancreatitis.
TRPV1 has additionally been demonstrated to have involvement in joint pain
from both osteoarthritis and rheumatoid arthritis. TRPV1 is expressed in syno-
vial fibroblasts in both these painful joint conditions (Engler et al. 2007). Terenzi
et al. (2013) showed TRPV1 activation by neuropeptides in rheumatoid synovial
fibroblasts. A Cochrane Review by Richards et al. (2012) demonstrated the topi-
cal capsaicin may be at least somewhat efficacious in treating pain in patients with
rheumatoid arthritis. Even in muscle, TRPV1 activation contributes to nociception
and its activation appears to be involved in chronic muscular pain (Ro et al. 2009).
TRPV1’s expression in the dura (Huang et al. 2012) and in extracranial arter-
ies (Cianchetti 2010) have made it a potential target in migraine. Capsaicin jelly
displayed effectiveness in reducing migraine pain in some patients with arterial
pain during migraine attacks (Cianchetti 2010). Summ et al. (2011) however failed
to demonstrate success of TRPV1 antagonism in preventing trigeminal-mediated
nociception in rat models of migraine. Indeed, work by Lambert et al. (2009)
demonstrated that although TRPV1 antagonism may play a role in suppressing
sensitization in certain trigeminal pathologies including transformed migraine,
TRPV1 antagonism alone was not effective at ameliorating symptoms of primary
migraine. Taken together, the current body of work suggests that more has to be
done to elucidate TRPV1’s exact role in migraine.
TRPV1 has additionally been shown to play a role in multiple other areas of
human pathophysiology, including work that demonstrates its activation in cough
and other respiratory pathways (Adcock 2009). A review by Takemura et al.
(2008) describes TRPV1’s presence in the lung and potential for mediating inflam-
matory lung illnesses; however, more work admittedly needs to be done in this
arena. TRPV1 has been investigated in other various roles of everything from vis-
ceral pain, to cancer pain, and even to acupuncture.
5.4 TRPV1 Antagonists and Antinociception
With the role of TRPV1 in multiple modalities of nociception well documented, it

would seem a logical expectation that TRPV1 antagonism would aid in antinocicep-
tion, an expectation that has, to varying degrees, played out in research. The hope
of researchers has long been to develop an effective analgesic or analgesics based
around the TRPV1 channel, which has been so extensively linked to peripheral noci-
ceptors. Numerous small molecules have been investigated for their potential use as
antihyperalgesics, especially in, but not limited to, the setting of inflammatory-type
pain (Wong and Gavva 2009). The first TRPV1 antagonist, capsazepine, has been
used in numerous in vivo and in vitro pharmacology studies (Nagy et al. 2004).
A review by Wong and Gavva (2009) details multiple TRPV1 antagonists that
have been investigated and have shown varying degrees in efficacy with regard to
their ability to attenuate thermal and inflammatory hyperalgesia. The existing com-
pounds, according to Wong, appear to show maximum efficacy when they possess
the ability to block three distinct modes of TRPV1 activation: capsaicin, acidity,
and heat (Wong and Gavva 2009). This relates to TRPV1’s proposed physiologic
role in sensing thermal- and inflammatory-related nociception in the periphery.
Additionally, Cui et al. (2006) showed that CNS penetration is also important for
TRPV1 antagonists to display an acceptable antinociceptive profile. These findings
have served as the backdrop for the development of clinical TRPV1 antagonists.
One such antagonist, ABT-102, was investigated in a double-blind, randomized,
controlled clinical trial among healthy volunteers. The study showed that ABT-102
was effective in increasing heat-pain thresholds and reduced painfulness of suprath-
reshold oral and cutaneous heat (Rowbotham et al. 2011). Subjects’ ability to sense
injurious levels of heat, however, was not impaired (Rowbotham et al. 2011). In
addition, Chizh et al. (2007) investigated the proposed antagonist SB-705498 in a
randomized, controlled, single blind, crossover study in healthy volunteers. Similar
to ABT-102, SB-705498 increased the heat-pain threshold versus placebo, although
this increase was not seen in capsaicin-sensitized skin. Additionally, capsaicin-
evoked flair was decreased in patients given SB-705498 (Chizh et al. 2007).
An important reported side effect of TRPV1 antagonism is hyperthermia in mul-
tiple animal models, suggesting that TRPV1 does play a role in thermoregulation in
addition to its role in nociception (Wong and Gavva 2009). Indeed, although not all
antagonist studies have reported or observed hyperthermia in humans, multiple stud-
ies have (Gavva et al. 2008). This includes, among others, a molecule initially investi-
gated in phase-one clinical trials, AMG-517 (Gavva et al. 2008). The phase-one trial of
AMG-517 was stopped due to undesirable levels of hyperthermia in volunteers and as
a result the efficacy of this drug is not fully elucidated (Wong and Gavva 2009).
Studies investigating other TRPV1 antagonists, as well as potential ways
to minimize the risk of hyperthermia in humans, are ongoing. However much
research is instead focusing on TRPV1 agonists such as capsaicin based on their
ability to activate, and then desensitize, TRPV1 and potentially ablate TRPV1-
expressing neurons, thus providing an antagonist-like effect without the risk of the
hyperthermia seen in trials of AMG-517 (Wong and Gavva 2009).
5.5 Topical Capsaicin and Analgesia
Much of the research into capsaicin-based therapy has focused on topical capsa-
icin and its potential to treat various painful conditions. Topical therapy has the
advantage of being able to be applied directly over the painful region and therefore
has the potential to deliver direct, targeted therapy. Furthermore, topical therapy
can reduce overall pill burden and may be easier for patients to take, thus promot-
ing adherence. Capsaicin is proposed, as discussed earlier, to act as an agonist at
the TRPV1 receptor and produce a refractory state with regard to receptor activity
and therefore produce antinociception. Repeated doses have been proposed to lead
to “defunctionalization” of the nerve and an overall long-term reduction of pain.
Defunctionalization is a broad term that describes a number of cellular physiologic
processes that ultimately result in a loss of nerve function as opposed to the out-
right degeneration or destruction of the nerve terminal itself. It is thought to be
due to a number of cellular and molecular changes induced by tonic and TRPV1
activation, temporary loss of membrane potential, impaired cellular transport, and
reversible retraction of nerve fiber endings (Anand and Bley 2011). Also seen
alongside defunctionalization is a depletion of Substance P, although this is now
thought to be merely an association and not causative (Anand and Bley 2011).
The potentially beneficial effects of capsaicin-based therapy must be weighed
against potential drawbacks. Capsaicin therapy is associated with pain described
often as stinging or burning, as well as erythema (Haanpää and Treede 2012). These
side effects can be presumably quite undesired in patients already experiencing pain
significant enough to warrant therapy in the first place. Regardless, the obvious
aforementioned benefits of both capsaicin and topical therapy have kept interest in
this area alive. Capsaicin-based topical therapy has long been in existence and has
long been the subject of research. Multiple modalities of pain have been investigated
with regard to their potential to be alleviated by topical capsaicin-based TRPV1 acti-
vation, including musculoskeletal pain, diabetic neuropathy, postherpetic neuralgia,
and other forms of chronic neuropathic pain. Capsaicin-based creams have been
studied in different concentrations as well in an attempt to find the most efficacious
dose producing the least adverse effects. As we will soon discuss in further detail,
topical capsaicin has been investigated in three different concentrations: 2, 0.025,
and 0.075 %, considered “low dose,” and 1, 8 %, considered “high dose.”
5.5.1 Preclinical Data
Preclinical work into TRPV1 and capsaicin as they pertain to potential antino-
ciception has already been briefly discussed. To resummarize, TRPV1 knockout
models in the mouse have demonstrated the role of TRPV1 in not only peripheral
nociception, but thermoregulation as well (Haanpää and Treede 2012). TRPV1
antagonism appears to mimic the effects of TRPV1 knockout, both in mice and in
humans (Haanpää and Treede 2012). This potential for hyperthermia in humans
has been a significant roadblock to advances in TRPV1 antagonism (Haanpää and

Treede 2012). In contrast, studies using TRPV1 agonists such as capsaicin and
risiniferatoxin have shown an ability to inactivate TRPV1 and even cause longer-
term nerve defunctionalization in specific nerves expressing the TRPV1 receptor
(Haanpää and Treede 2012). Thus, TRPV1 agonism has emerged from preclinical
work as a promising therapeutic option for patients in whom chronic pain is in part
contributed to by TRPV1 activation, be it physiologic or pathologic.
5.5.2 Topical Capsaicin and Musculoskeletal Pain
A meta-analysis by Mason et al. (2004) investigated the efficacy of 0.025 % one

of the two concentrations referred to as “low dose” capsaicin. It was an update to
prior work done on the effectiveness of capsaicin in musculoskeletal conditions.
Three double-blind placebo-controlled trials involved patients with musculoskel-
etal conditions. The relative benefit from topical capsaicin 0.025 % compared with
placebo was 1.5 with a number needed to treat of 8.1 (Mason et al. 2004). Thus,
this particular concentration of topical capsaicin appears to show limited efficacy
in patients with musculoskeletal conditions. Additionally, one-third of patients
experienced adverse effects of capsaicin on application. The authors were unable
to directly compare topical capsaicin to topical NSAIDs in the relief of musculo-
skeletal pain; however, indirect comparisons noted by the authors suggest capsai-
cin to be less efficacious (Mason et al. 2004).
5.5.3 Topical Capsaicin and Neuropathic Pain
Neuropathic pain, a broad term describing pain arising from lesions of sensory nerves
themselves, affects a large number of people with an often-significant reduction in
overall quality of life. It is typically characterized by pain and sensation-related symp-
toms as hypersensitivity, burning, numbness, or tonic, unrelenting pain. Neuropathic
pain can result from a number of conditions, including but not limited to diabe-
tes, trigeminal neuralgia, HIV, herpes zoster, medical treatments, and trauma. These
patients often have difficulty finding effective treatment regimens and there has been
much research into optimizing care for people living with chronic neuropathic pain
(Dworkin et al. 2010). Traditional treatment for neuropathic pain has involved tricyclic
antidepressants, gabapentin, Selective serotonin reuptake inhibitors (SSRIs), serotonin
and noradrenaline reuptake inhibitors (SNRIs), and even opioids. Topical capsaicin is
being investigated with regard to whether it can provide safe, effective relief in dif-
ferent neuropathic pain conditions including diabetic neuropathy, fibromyalgia, and
trigeminal neuralgia (Dworkin et al. 2010). Interest in capsaicin in neuropathic pain
has, not surprisingly, come about as a result of our knowledge of TRPV1 and its loca-
tion on peripheral nerves, as well as the ability of capsaicin to not only provide pain
relief but to cause degradation of the nerve with repeated exposures.
5.5.4 Capsaicin (Low Dose) and Neuropathic Pain
Topical capsaicin has been available for some time in a low dose, i.e., less than
1 %, form for some time. Many studies have been published in an attempt to eval-
uate its efficacy and safety. Again, it is important to note that “low-dose capsaicin”
here actually refers to two different concentrations: 0.025 and 0.075 %.
The aforementioned systematic review by Mason et al. (2004) looked not only
at 0.025 % topical capsaicin in the treatment of chronic musculoskeletal pain,
but at 0.075 % (still considered low dose) topical capsaicin in the treatment of
chronic neuropathic pain. Six double-blind, randomized, placebo-controlled tri-
als were analyzed. It was found in the studies analyzed, that low-dose topical
capsaicin has a number needed to treat (NNT) of 5.7 with, as mentioned previ-
ously, a significant rate of capsaicin-related adverse effects (Mason et al. 2004).
Therefore, similar to its conclusion on capsaicin for musculoskeletal pain, low-
dose topical capsaicin is not an effective treatment for chronic neuropathic pain,
although it still may be considered in refractory cases or patients in which the
magnitude of pain is sufficiently great to warrant a search for multiple or adju-
vant therapies (Mason et al. 2004).
In 2010, the National Institute of Health and Clinical Excellence in the UK
(NICE) published guidelines for the treatment of neuropathic pain in adults. The
guidelines described currently recommended treatment options for neuropathic
pain, from first to third order. In general, duloxetine or amitriptyline were rec-
ommended as first-line agents, followed by pregabalin as a second-line agent,
and tramadol or a lidocaine patch were recommended as third-line agents (NICE
2010). Capsaicin failed to earn a recommendation as either a first-, second-, or
third-line agent (NICE 2010). Interestingly, though, guidelines published by
Dworkin et al. (2010) do list topical low-dose capsaicin as a third-line agent in the
treatment of chronic neuropathic pain. Although current capsaicin use, as will be
detailed below, focuses on higher doses, the inclusion of capsaicin in this set of
guidelines stands in contrast to the NICE guidelines and implies potential benefits
to topical capsaicin despite limited and mixed clinical data (Dworkin et al. 2010).
More recently, a Cochrane review published by Derry and Moore in (2012)
attempted to evaluate the available literature in an attempt to assess whether
low-dose topical capsaicin was indeed a viable option for patients with neuro-
pathic pain. The review included seven studies of 1,600 patients in total. Each of
the studies evaluated 0.075 % topical capsaicin. Neuropathic conditions involved
included distal painful polyneuropathy, HIV neuropathy, postherpetic neural-
gia, postsurgical cancer pain, diabetic neuropathy, and postmastectomy pain. The
studies focused on pain that was at least moderate in nature and, in most cases,
unresponsive or poorly responsive to other therapies. Studies were all randomized,
controlled, and double-blinded and of at least 6 weeks’ duration.
Derry and Moore made two key conclusions in their review. First, they concluded
that the available data regarding 0.075 % (low dose) capsaicin is limited; indeed the
number of studies and participants they were able to use in their review was deemed
relatively suboptimal (Derry and Moore 2012). This appears somewhat surprising
given that low-dose capsaicin cream is already used with some frequency. This pau-
city of data, however, is borne out in reviews by Mason et al. (2004) and the NICE
guidelines (2010). In several studies, data were too small in amount to perform
meaningful statistical analyses (Derry and Moore 2012).
However, the Cochrane review by Derry and Moore (2012), based on the exist-
ing data available, did conclude that low-dose topical capsaicin was likely ineffec-
tive as a treatment for multiple modalities of chronic neuropathic pain in adults.
The review additionally concluded that further treatment into low-dose capsaicin
for this purpose was likely to be largely unproductive (Derry and Moore 2012).
Interestingly enough, the 2012 Cochrane review was an update to a 2009 review
by the same authors. The 2009 review, looking at both high and low-dose capsai-
cin, concluded that topical application could in fact be effective in some patients
(Derry et al. 2009). However, using stricter inclusion criteria in 2012, the authors
arrived at a different conclusion when it comes to low-dose capsaicin. As will be
discussed shortly, however, higher doses of capsaicin delivered topically are cur-
rently being investigated, research that has been fueled largely by the seeming
ineffective nature of low-dose capsaicin in neuropathic pain.
Of additional note, a randomized controlled trial by Casanueva et al. (2013)
investigated low dose again, 0.075 %- capsaicin in the treatment of fibromyalgia,
a chronic, painful condition thought to arise as a result of primary nervous system
pathology. The study included 126 patients receiving either their usual fibromyal-
gia treatment or their usual treatment with the addition of topical capsaicin. The
study found that patients with severe fibromyalgia did show short-term improve-
ment after the addition of topical capsaicin to their previously established treat-
ment regimen (Casanueva et al. 2013). Outcomes measured included not only
pain scores but overall quality of life assessments as well. Thus, although the
majority of available data do seem to suggest that low-dose capsaicin for neuro-
pathic or musculoskeletal pain is not an effective treatment option, there are some
data to suggest that, in some patients (depending on individual factors such as dis-
ease type or severity), low-dose capsaicin may be a reasonable therapeutic option
when others have failed to provide sufficiently complete pain relief and quality of
life improvement.
5.5.5 High-Dose Topical Capsaicin and Neuropathic Pain
While there exist low dose, 0.075 % formulations of capsaicin, there exists a
much higher dosing option: 8 %. This formulation, commonly referred to in the
literature as high dose, has also been the subject of much study. This has been
driven, in part, by the lack of convincing evidence for low-dose capsaicin’s effi-
cacy as an analgesic.
Application of high-dose capsaicin carries with it a unique problem. While low-
dose capsaicin was associated with occasional skin irritation and discomfort that
was often a barrier to its effective use, 8 % capsaicin causes significant, nearly
universal skin symptoms that are painful and make its use, in and of itself, incred-
ibly undesirable to patients (Derry and Moore 2012). In fact, an early study with
doses up to 10 % warranted the use of regional anesthesia to allow patients to tol-
erate the treatment (Robbins et al. 1998)! Currently, it is accepted practice for 8 %
application to be accompanied by pretreatment with a local anesthetic or other
medication to facilitate tolerability. Interestingly, it seems that although low-dose
application requires multiple dosings at predetermined intervals, high-dose capsai-
cin requires a single application (Derry and Moore 2012). Thus, although appar-
ently far more irritating than its low-dose counterpart, high-dose capsaicin at least
spares its patients from multiple painful applications.
Webster et al. (2012) investigated the pretreatment of patients with local
anesthetic prior to application of 8 % capsaicin. They enrolled 117 patients in a
study in which, in addition to a 60 or 90 min high-dose capsaicin treatment, they
received one of three possible local anesthetics. Oral oxycodone was also given on
an as needed basis to all participants during application and participants could take
oral hydrocodone/acetaminophen for 5 days posttreatment (Webster et al. 2012).
While the study ultimately found no statistically significant differences between
the three topical anesthetics used in the study in terms of overall tolerability of
the high-dose capsaicin treatment, what the study also found is important to note.
That is, while no differences existed between types of pretreatment, pretreatment
itself allowed significant tolerability of the application (Webster et al. 2012). More
than 90 % of the treatment was completed by most patients and they reported up to
30 % reductions in neuropathic pain up to 12 weeks after the application. Thus we
see that, although the type of pretreatment does not matter much, pretreatment in
and of itself allows tolerability of a treatment that appears, at least from this study,
to be effective in long-term reductions in neuropathic pain among patients suffer-
ing from this constellation of painful illnesses (Webster et al. 2012). As an addi-
tional note, another study by Webster et al. (2011) showed success in 8 % patch
tolerability following pretreatment with 2.5 % lidocaine/2.5 % prilocaine, further
supporting the notion that not only is 8 % capsaicin able to be tolerated following
pretreatment, but ultimately it is pretreatment itself and not the specific type that
facilitates application of high-dose capsaicin.
As part of their updated review on topical capsaicin, Derry and Moore (2012)
dedicated a separate review to high-dose delivery, reflecting both (1) the increased
amount of research into the subject and (2) the apparent difference on potential for
therapeutic effect versus its low-dose cousin. High dose differs, again, because of
its potential for a single application over 12 weeks and the potential for quick sen-
sory neuronal degradation; the tradeoff again being the requirement for pretreat-
ment to facilitate tolerability (Derry and Moore 2012). Six studies of a total of
over 2,000 patients were included in the review; all were randomized, controlled
(with 0.04 % capsaicin as a control), and double-blinded. Results included pain
scores at various intervals posttreatment, ranging from 2 to 12 weeks. Patients’
specific neuropathies included HIV neuropathy and postherpetic neuralgia. These
two conditions, it seems, are the most studied in the literature for 8 % capsaicin
and the two most common conditions for which high-dose capsaicin is currently
being prescribed (Derry and Moore 2012). Studies were of at least 6 weeks’ dura-
tion, as in the review of low-dose capsaicin.
The Cochrane review found that in both HIV neuropathy and postherpetic
neuralgia, 8 % topical capsaicin was significantly more effective than “placebo”
(0.04 % capsaicin) in providing 30–50 % reductions in pain scores in the weeks
following treatment (Derry and Moore 2012). These data stand in stark con-
trast to those for low-dose capsaicin, where the little evidence available failed to
show a significant benefit for that particular formulation. Furthermore, the data
behind 8 % capsaicin is high quality and points to not only pain relief but also
an improvement in overall quality-of-life indicators including improved sleep and
reduced fatigue and depression (Derry and Moore 2012). These data also appear
to support those from a previous review (Derry et al. 2009) in which a limited
amount of data from only two available studies were used to suggest a potential
benefit from 8 % application despite the obvious need for further investigation into
that formulation as a potential therapy in adult neuropathic pain.
The application of high-dose capsaicin was obviously not without its side
effects, as could be expected since there were significant side effects with even
low-dose application (Derry and Moore 2012). Side effects of treatment included
pain, erythema, pruritis, and even edema that tended to resolve shortly after the
treatment (Derry and Moore 2012). Finally, the studies included in this review did
pretreat their participants with local anesthetic; this is a technique that is largely
accepted as being necessary to facilitate adherence to treatment in light of such a
high dose of a compound known to induce pain all by itself (Webster et al. 2012).
Current guidelines for the treatment of postherpetic neuralgia, based on the
available evidence, have included 8 % topical capsaicin as either a second- or
third-line agent (Argoff 2011). Ultimately, capsaicin, and therefore TRPV1 ago-
nism in general, has found to be most beneficial in the form of high-dose cap-
saicin, applied topically, in patients with postherpetic neuralgia who have failed at
least one line of therapeutic options (Argoff 2011). Additionally, a case report by
Sayanlar et al. (2012) describes the efficacious use of 8 % capsaicin in the treat-
ment of post-herpetic trigeminal neuralgia in a 64-year-old woman. She reportedly
experienced pain relief even 1 year after treatment (Sayanlar et al. 2012), which is
a significant amount of time especially considering the end points for Derry and
Moore’s Cochrane reviews (2009, 2012) went only as far as 12 weeks. The results
of this case report suggest that, although high-dose capsaicin as been studied
mainly in nontrigeminal postherpetic neuralgia, it may be effective in the trigemi-
nal variety as well (Sayanlar et al. 2012).
Currently, 8 % topical capsaicin is FDA-approved for the treatment of post-
herpetic neuralgia. It has not yet been FDA-approved for uses in other neuropa-
thies or other painful conditions. In fact, an open-label study was performed
by Simpson et al. (2008) in which 12 volunteers received high-dose topical
capsaicin for painful HIV neuropathy. All 12 experienced some reduction in
pain, with a subset even responding with a greater than 50 % reduction in pain
(Simpson et al. 2008). This pain reduction often persisted over 12 weeks post-
application. Although the results of this study showed promise, a newer, larger,
randomized controlled study by Clifford et al. (2012) failed to show any differ-
ence in pain reduction with regard to capsaicin and HIV neuropathy. Ultimately,
based on the available evidence, the FDA has not approved capsaicin for the
treatment of HIV neuropathy.
High-dose capsaicin is commercially available topically as a patch (Qutenza©
2009). Qutenza© is, again, FDA-approved for the treatment of postherpetic neu-
ralgia. Each patch contains 179 mg of capsaicin. It must be applied by a physi-
cian and may be cut into an appropriate shape prior to its use. Up to four patches
may be used at a time. The skin is pretreated with a local anesthetic and the
patch applied. It is kept in place for 60 min while any acute pain that results is
treated on an as-needed basis. After a 60 min treatment, it need not be reapplied
for 3 months. Common side effects typically include skin erythema, pruritis, pain,
papules, and a transient increase in blood pressure (Qutenza© 2009).
5.6 Future Directions
It appears from the available data that, while low-dose capsaicin is generally inef-
fective as an analgesic in either musculoskeletal or multiple forms of chronic neu-
ropathic pain in adults, high-dose capsaicin has shown efficacy in certain forms
of chronic neuropathic pain. A logical evolution in research into investigation of
TRPV1 agonism, then, most likely ought to focus on either 8 % topical capsaicin
in musculoskeletal pain or forms of chronic neuropathic pain not yet investigated,
be it diabetic peripheral neuropathy, or distal painful polyneuropathy.
Another research target may lie in a different TRPV1 agonist, resiniferatoxin.
A review by Brederson et al. (2013) details work done with regard to resinifer-
atoxin and its potential role in analgesia and antinociception. The compound is
being studied in animal models and has demonstrated the ability to (1) prevent
surgically-induced neuropathic pain when injected perineurally and (2) (poten-
tially) permanently ablate localized chronic pain when injected either into a
specific ganglion or even intrathecally (Brederson et al. 2013). Additionally, res-
iniferatoxin has shown the ability to provide multidermatome cancer pain relief
when injected intrathecally in dogs with osteosarcoma; there is even a trial under-
way in a human volunteer (Brederson et al. 2013). Taken together, it appears that
resiniferatoxin has the potential to play a significant role in the alleviation of cer-
tain types of chronic pain.
Finally, one specific type of neuropathic pain—opioid-induced hyperalgesia—
deserves mention. It is a form of neuropathic pain thought to result from chronic
use of opioid pain medications, such as morphine. Although the mechanism of the
development of pain seems to involve the opioid’s interaction with toll-like recep-
tor four (TLR-4, Li 2012), research has also shown that TRPV1 may in fact play
a mediating role as well. Rodent TRPV1 knockout studies by Vardanyan et al.
(2009) has suggested that TRPV1 is involved in the development of neuropathic
pain in chronic opioid use. Of course, more work needs to be done. However, it is
CHRONIC OPIOID USE
TRPV1
CAPSAICIN ANTAGONISTS
DEFUNCTIONALIZATION RECEPTOR BLOCKADE
TRPV1 ACTIVATION
SYMPTOMS OF NEUROPATHIC
PAIN
Fig. 5.1 Potential for TRPV1 modulation to reduce pain related to opioid-induced hyperalgesia.

Either capsaicin-based defunctionalization or outright TRPV1 antagonism may be useful in alle-
viating this subset of chronic pain
conceivable that TRPV1 manipulation (see Fig. 5.1), whether it be defunctionali-

zation via capsaicin or outright antagonism, may provide pain relief in this subset
of patients with chronic neuropathic pain.
Further investigation into TRPV1 antagonists may continue to yield fruitful
results; however, work must be done to investigate further the potential of that
drug class to induce hyperthermia in humans in the hope of mitigating that poten-
tially deleterious effect and thus removing a major roadblock to the therapeutic
potential of TRPV1 antagonists as a whole.
5.7 Summary and Conclusions
Capsaicin has long held a place in our understanding of nociception and antinoci-
ception, even significantly predating our knowledge of its molecular mechanism
and the molecular biology of its target, the TRPV1 receptor (Prekumar and Abooj
2013). The growing body of research into transient receptor-potential vanilloid
receptors has yielded an understanding of a class of receptor that is involved in mul-
tiple types of nociception across multiple organ systems, with additional roles in
physiologic processes such as the inflammatory response and thermoregulation in
the mammalian organism (Nilius 2007). It is of no surprise, given the diversity of

TRPV1 location and functions, that it has emerged as a potential therapeutic target
in multiple painful conditions in which the desire for either more effective therapies
or therapies that might reduce overall opioid, or even pill, burden has fostered the
search for available, effective, and safe therapeutic options (Derry et al. 2009).
TRPV1 antagonists have been investigated; the premise behind investiga-
tion being that they may provide effective antinociception by interfering with an
otherwise nociceptive ion channel. The major roadblock in this route of therapy
remains the class’ potential for inducing hyperthermia in humans. Thus TRPV1
antagonism, while a logical next step in theory, has to date yet to pan out in terms
of being a safe therapeutic option (Wong and Gavva 2009, Chizh et al. 2007).
TRPV1 agonism, such as that produced by capsaicin and resiferatoxin, pro-
duces a predictable initial painful stimulus followed by a refractory state at the
receptor. Over time, this leads to degeneration of the receptor itself and an over-
all reduction in capacity for nociceptive input (Derry and Moore 2012). While the
TRPV1 receptor has been traditionally thought of as mediating inflammatory pain
through its interaction with the inflammatory milieu produced by any number of
stimuli, the ability to reduce the functional capacity for peripheral sensory nerve
activity has led to research into TRPV1 agonism as a potential treatment for mus-
culoskeletal and, more frequently, multiple forms of chronic neuropathic pain,
from diabetic neuropathy to postherpetic neuralgia among several others.
Research into TRPV1 agonism has taken the form of application of topical cap-
saicin in one of two forms: low dose (0.075 %) and high dose (8 %). Commercial
preparations of both these doses are available currently. The available data point to
three main conclusions: (1) that low-dose topical capsaicin does not seem to be par-
ticularly effective at treating chronic musculoskeletal pain especially compared with
topical NSAID treatment, (2) low-dose capsaicin does not appear to be effective at
treating multiple forms of chronic neuropathic pain in adults, although this conclu-
sion is limited by a relative lack of evidence, and finally that (3) high-dose capsaicin
does appear to be safe and effective in the treatment of HIV neuropathy and posther-
petic neuralgia in adults (Derry and Moore 2012). Topical capsaicin is not without
its drawbacks, however. While not appearing to put patients at a significant risk of
systemic effects, local pain and erythema have the potential to limit the use of topical
capsaicin in the arena of pain treatment (Wong and Gavva 2009); certainly the crea-
tion of pain appears counterintuitive in patients with whom pain is already a signifi-
cant problem and a significant limitation to an acceptable quality of life. However,
especially in the case of high-dose capsaicin, long-term pain reduction may be worth
the short-term painful effects of drug administration. Furthermore, pretreatment
with local anesthetics and pre and posttreatment with oral opioids appears to reduce
overall discomfort and dissatisfaction to the point where adherence is optimized and
long-term effects may be realized (Wong and Gavva 2009). This is no small achieve-
ment, especially given the propensity of these patient populations to not only experi-
ence suboptimal pain control and a significant pill burden.
Certainly, more work needs to be done. Overall evidence for or against topical
capsaicin is limited. Furthermore, the effectiveness of 8 % capsaicin has only been
shown in two specific types of neuropathy. The potential for high-dose application
to provide relief in not only other types of chronic neuropathy (distal painful poly-
neuropathy, trigeminal neuralgia, cancer-related pain, and others) but also in other
painful conditions including migraine and musculoskeletal pain should prompt
further research into high-dose applications of capsaicin, both alone and in con-
junction with other more established therapies. While more work obviously needs
to be done, the available evidence points to the conclusion that, in sufficient doses,
TRPV1 agonism with capsaicin can be used as an effective analgesic, at least in
certain types of adult chronic neuropathic pain.
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Chapter 6
Intranasal Capsaicin in Management
of Nonallergic (Vasomotor) Rhinitis
Umesh Singh and Jonathan A. Bernstein
Abstract Capsaicin is a selective transient receptor potential vanilloid 1 (TRPV1) ion

channel agonist and has been demonstrated to reduce nerve conduction of nociceptive
C fibers in the trigeminal nerve without affecting conduction in Aδ fibers. This chap-
ter reviews the classification of chronic rhinitis subtypes, the prevalence and epidemi-
ology of nonallergic rhinitis (NAR), postulated pathophysiology and mechanisms of
NAR including the role of transient receptor potential (TRP) ion channels and discusses
the potential therapeutic benefits of capsaicin in the treatment of chronic rhinitis sub-
types, specifically NAR. Evidence supports that hypersensitivity of TRP ion channels
on sensory afferent neurons innervating nasal mucosa is responsible for inducing NAR
symptoms. These symptoms, characterized as excessive nasal glandular secretion, nasal
congestion, and headache, are mediated through neuropeptide release during axonal
and parasympathetic reflexes which are initiated by a spectrum of nonspecific irritants
that activate TRP channels. Rational approaches to treat the pathophysiology of NAR
would be to develop therapies with selective TRPV1 agonist activity like capsaicin that
target desensitization of TRP ion channels on sensory afferent nerves.
6.1 Introduction
Capsicum, or therapeutic peppers, have been used for thousands of years to treat
a wide variety of ailments and are included in the traditional medicine practices
of India, China, Japan, and Korea. Cayenne pepper or Capsicum is included the
U. Singh · J. A. Bernstein (*)
Department of Internal Medicine, Division of Immunology/Allergy Section, University
of Cincinnati College of Medicine, 3255 Eden Avenue, Suite 350, ML#563, Cincinnati,
OH 45267-0563, USA
U. Singh · J. A. Bernstein
Bernstein Allergy Group, Inc, Cincinnati, OH, USA

148 U. Singh and J. A. Bernstein
German Pharmacopeia, Commission E monographs and approved in the US as an

OTC topical analgesic. Capsicum tincture and oleoresin were formerly in the offi-
cial United States Pharmacopeia and National Formulary as a carminative, stimu-
lant, and rubefacient (Leung and Foster 1996; Taber 2005).
In modern times, there have been over 40 clinical trials on capsaicin for the
treatment of sinusitis, allergic (AR) and nonallergic rhinitis (NAR), cough, and
headache. Investigational studies using capsaicin for the treatment of NAR have
been most promising (Tran et al. 2011). Capsaicin (C18H27NO3, MW: 305.41)
is known to be a selective TRPVI ion channel agonist and has been demonstrated
to reduce nerve conduction of nociceptive C fibers in the trigeminal nerve without
affecting conduction in Aδ fibers (Docherty et al. 2013).
Studies investigating the health effects of capsaicin continue to expand and
there is now an emerging body of research that has elucidated how this novel com-
pound may exert its therapeutic benefits. This chapter will review the classification
of chronic rhinitis subtypes, the prevalence and epidemiology of NAR, postulated
pathophysiology, and mechanisms of NAR including the role of TRP ion chan-
nels and discuss the potential therapeutic benefits of capsaicin in the treatment of
chronic rhinitis subtypes, specifically NAR.
6.2 Classification and Definition of Chronic Rhinitis

Subtypes
Chronic rhinitis is defined as persistent inflammation of the mucosal membranes lin-

ing the nasal cavity, characterized by symptoms including nasal congestion, rhinor-
rhea, sneezing, and itching with or without post-nasal drainage (Bernstein 2013a;
Schroer and Pien 2012). Broadly defined, rhinitis can be divided into inflamma-
tory and noninflammatory rhinitis. Inflammatory rhinitis includes seasonal (SAR)
or perennial allergic rhinitis (PAR) and nonallergic rhinitis eosinophilic syndrome
(NARES), whereas noninflammatory rhinitis includes vasomotor rhinitis (VMR) and
other NAR conditions such as rhinitis medicamentosa, gustatory rhinitis, and hormo-
nally-induced rhinitis. If one includes all of the NAR conditions into one category
(i.e., NARES and VMR) then developing a common phenotype becomes more dif-
ficult to establish (Bernstein et al. 2012). To complicate matters further, patients with
AR or NAR often exhibit significantly increased symptoms in response to irritant
triggers, leading clinicians to postulate another rhinitis subtype termed “mixed rhinitis”
which is the coexistence of an AR and NAR component (Bernstein 2010). NAR con-
ditions are diagnoses by exclusion. To establish a definitive diagnosis of NAR, all
other NAR syndromes should first be properly considered and excluded (Shah and
McGrath 2012; Scarupa and Kaliner 2009; Settipane and Lieberman 2001). A diag-
nosis of NAR requires negative specific IgE responses by skin or serologic testing,
the absence of localized specific IgE in the nose (“entopic” rhinitis), exclusion of
an infectious etiology, and the absence of a structural problem such as nasal septal
6 Intranasal Capsaicin in Management of Nonallergic (Vasomotor) Rhinitis 149
deviation, osteomeatal complex disease, and/or nasal polyps. Furthermore, symp-

toms are frequently triggered by irritant triggers such as tobacco smoke, solvents,
perfumes/fragrances as well as temperature and/or barometric pressure changes but
recognition of nonallergic triggers is not characteristic of all NAR patients (Tran et
al. 2011; Bernstein et al. 2012). Differentiation of the nonallergic conditions, VMR
and NARES, is limited to the presence or absence of eosinophilia in the nasal pas-
sages (Ito 1993; Bernstein 2009). Therefore, VMR is truly a noninflammatory, non-
allergic condition whereas NARES is an inflammatory, nonallergic condition. It
should be emphasized that symptoms and physical findings are not pathognomonic
for AR as patients with NAR often manifest similar features. Therefore, proper diag-
nostic testing is essential to accurately classify these disorders.
The management of chronic NAR can be very challenging for physicians and
extremely frustrating for patients. Many people with this chronic condition are
inadequately diagnosed (Ledford 2003). Previously, chronic rhinitis and sinusi-
tis conditions were lumped into the “catch all” diagnosis of VMR (relating to
dysfunction of nerves and muscles that cause the blood vessels to constrict or
dilate). More recent studies indicate that neural or autonomic dysregulation of the
nasal mucosa may be an important cause of NAR (van Rijswijk and Gerth van
Wijk 2006; Bernstein 2013b). However, since the mechanism(s) of NAR is still
incompletely understood, some experts, now refer to these (NAR) conditions as
Idiopathic (unknown cause) rhinitis (IR), to emphasize the lack of understanding
the underlying cause(s) of this disorder (van Rijswijk and Gerth van Wijk 2006).
In addition, to further emphasize the significant morbidity associated with rhinitis,
the term “rhinosinusitis” instead of sinusitis has been adopted, which more accu-
rately reflects the importance of correctly diagnosing and treating chronic rhini-
tis disorders to prevent complications such as sinusitis. Sinusitis is almost always
accompanied by concurrent nasal airway inflammation, and in many cases sinus-
itis is preceded by rhinitis symptoms (Sedaghat et al. 2012). Although the term
rhinosinusitis is believed to more accurately describe the spectrum of infectious
and inflammatory conditions previously grouped under the term sinusitis, most
patients with the VMR form of NAR do not have persistent sinus mucosal swell-
ing or obstruction of the osteomeatal complexes if recognized and treated appro-
priately (Settipane and Lieberman 2001).
6.3 Prevalence and Epidemiology of NAR
It is estimated that more than 70 million people suffer from rhinitis in the
United States frequently complicated by sinusitis each year, and that about 36.2
(±0.3) million people visit their physician each year due to chronic sinusitis (Lee
and Bhattacharyya 2011). Rhinitis (“inflammation of the nose”) and sinusitis
(“inflammation of the sinuses”) causes significant burden of disease which signifi-
cantly impairs patient’s quality of life and their daily functioning (Meltzer et al.
2009).
The incidence of NAR in the general population is estimated to be 2–4 %

(Bousquet et al. 2001), but among chronic rhinitis sufferers it is approximately
25 % (Settipane 2008). Other studies have reported that NAR affects up to 22 mil-
lion Americans annually (Settipane and Kaliner 2013). However, large population
studies have yet to be conducted to determine the true prevalence or incidence of
PAR or NAR disorders. One cross-sectional survey found that the diagnosis of AR
ranged between 43 and 83 %, whereas the prevalence of NAR ranged between 17
and 52 % (Shah and McGrath 2012; Scarupa and Kaliner 2009; Bernstein 2009).
The National Rhinitis Classification Task Force questionnaire survey evaluated 975
patients with chronic rhinitis and is one of the few studies that attempted to identify
the prevalence of mixed rhinitis (MR), defined as the presence of patients experience
symptoms in response to AR and nonallergic triggers. They found that 34 % of these
patients met the criteria for MR (Settipane and Lieberman 2001; Bernstein 2010).
6.4 Clinical Presentation of NAR
NAR can present with or without known triggers. Nonallergic triggers typically
include symptoms in response to odors and chemical irritants and to weather
changes (i.e., temperature and barometric pressure changes). However, since NAR
is a diagnosis of exclusion there is no specific test available to confirm the diagno-
sis of nonallergic conditions. It has been previously reported that patients who
present with new onset symptoms later in life (age >45 years), have no family his-
tory of allergies, no seasonality of their symptoms or symptoms around cats, dogs,
or furry animals and increased symptoms around strong odors such as perfumes
and fragrances, have more than 98 % likelihood of having a diagnosis of NAR
that will correlate with an allergy specialist’s diagnosis of NAR after allergy skin
testing (Bernstein et al. 2012; Bernstein 2009, 2013b). Typically, patients suffer-
ing from NAR may have tried multiple treatments without benefit, including sec-
ond generation antihistamines and nasal corticosteroids. In addition, these patients
often undergo fiberoptic endoscopic nasal surgery in an attempt to gain symptom
relief with often unsatisfactory or incomplete results.
6.5 Innervation and Blood Supply to the Nasal Mucosa
The surface of the nasal cavity is primarily composed of respiratory epithelium

with numerous seromucous acinar glands, blood vessels, and nerves within the
lamina propria. Nasal cavity resistance is directly influenced by swelling of nasal
mucosa. The alternating variations of nasal engorgement with airflow restriction
from one side of the nasal passages to the other, that occurs normally every 1–5 h,
comprises the nasal cycle which is due to variations in sympathetic tone to the vas-
cular tissue in the nasal mucosa (Mirza et al. 1997).
Trigeminal nerve branches innervate blood vessels and mucous membrane of

nasal cavities. Branches of the ophthalmic and maxillary divisions of the trigem-
inal nerve are responsible for mediating general sensations such as touch, pain,
and temperature from the nasal mucosa to the central nervous system. The super-
ficial trigeminal nerve fibers in the epithelium are more sensitive to noxious irri-
tant stimuli. The nasal mucosal glands are also innervated by autonomic fibers that
control cyclical and reactive vascular activity (Cassano et al. 2012).
The nasal blood vessels are supplied by sympathetic postganglionic fibers
whereas the secretomotor supply to the nasal mucous glands are innervated by
postganglionic parasympathetic fibers, derived from the pterygopalatine gan-
glion, which are distributed through branches of the maxillary nerves. Interactions
of sensory, parasympathetic, and sympathetic nervous systems innervating nasal
mucosa regulate mucosal glandular secretion as well as blood flow within the
nasal mucosal vasculature.
6.6 Proposed Rhinitis Pathophysiology for Nonallergic

Rhinitis
The most widely accepted mechanism for NAR patients has been an autonomic
imbalance between the sympathetic and parasympathetic nervous system resulting
in parasympathetic hyperactivity leading to nasal congestion, rhinorrhea, and post-
nasal drainage (Bernstein 2013b; Harlor et al. 2012; Devillier et al. 1988). Nasal
congestion and rhinorrhea are primarily due to engorgement of vascular anastomo-
ses and caverns in the submucosa and increased glandular secretions from goblet
cells in serous and mucous glands. Inhaled irritants can stimulate Type C noci-
ceptive sensory nerves. Activation of these nerve endings release neuropeptides,
e.g., Substance P (SP) and Calcitonin G-Related Peptide (CGRP), through an
axonal response system as an immediate protective mucosal defense mechanism
against these noxious irritants (antidromic reflex) (Fig. 6.1) (Norlander et al. 1996;
Baraniuk 1992, 2001; Kavut et al. 2013). These reflexes increase glandular secre-
tions (mostly in NAR) and also cause plasma extravasation (mostly in AR) leading
to mucosal edema. Increased glandular secretions, as opposed to fluid transudation
from blood vessels, has been postulated to represent a primary pathophysiologic
characteristic of NAR (Norlander et al. 1996).
In addition, SP and other mediators (e.g., acetylcholine) released through cen-
tral parasympathetic reflexes, activate neurokinin1 and acetylcholine or muscarinic
receptors, respectively. The coexistence of an acetycholine peptide may increase the
secretory response to acetylcholine (ACh) resulting in increased submucosal glan-
dular secretion (Baraniuk 2001; Tai and Baraniuk 2002; Lindh and Hokfelt 1990).
Sympathetic activities mediated by neuropeptide Y (NPY) and norepinephrine main-
tain nasal patency by causing vasoconstriction leading to decongestion of the nasal
mucosa. Collectively, these autonomic responses constitute what is referred to as the
orthodromic response (Baraniuk 2001). Over activity of these axonal (antidromic)
Fig. 6.1 Outlines the hypothetical mechanisms of AR, NAR, or MR and the role of capsai-
cin in TRPV1 desensitization in such clinical conditions. Stimulation of maxillary division of
trigeminal nerves (V2) is initiated by environmental irritants, and hypersensitivity of TRPV1
on these nerve fibers is mediated by inflammatory mediators such as bradykinin (BK) acting on
bradykinin receptors (B2R) in case of allergic rhinitis. Specific involvement of BK in mediat-
ing TRPV1 sensitization to irritants in NAR have not been demonstrated in previous studies.
Increased glandular secretion or plasma protein exudation occurs specifically in NAR or AR
respectively, that are possibly mediated by locally activated antidromic reflexes causing neuro-
peptide release or through autonomic imbalance causing parasympathetic over activity
reflexes suppress or dampen these sympathetic activities allowing parasympathetic

activity to be more prominent resulting in increased nasal congestion (Baraniuk
1992; Baraniuk and Kaliner 1991). Reduction in the nasal luminal cross-sectional
area as an index of increased nasal obstruction and mucus secretions, both induced
by parasympathetic over stimulation, have been demonstrated to be predictive of
nasal nonspecific hyper-responsiveness (Kim and Jang 2012).
6.7 Role of Transient Receptor Potential Ion Channels

in NAR Pathophysiology
There are several protective reflexes initiated by trigeminal sensory afferent nerves,
such as sneezing, cough, mucus secretion, and bronchoconstriction that are essen-
tial for expelling or neutralizing irritants and allergens from the respiratory system.
Transient Receptor Potential (TRP) ion channels, such as TRPV1 (vanilloid) and
the TRPA1 (ankyrin), on non-myelinated C fibers of trigeminal sensory nerves that
innervate the nasal mucosa, are sensors of inhaled irritants (Geppetti et al. 2010). The
vanilloid subtype, TRPV1, is an integrative, multigated ion channel widely expressed
in human nasal epithelium and neuronal tissue and is known to be activated typi-
cally by capsaicin, protons and heat (Szolcsányi and Sándor 2012; Cao et al. 2013;
Brauchi et al. 2006; Myers et al. 2008). This channel is believed to be important in
a spectrum of important physiological functions that are inhibited in cell or animal
models that have TRPV1 gene deletion (White et al. 2011; Szolcsányi 2008). On the
other hand, development of nasal hyper-responsiveness to environmental factors that
may initiate symptoms of rhinitis may be caused by TRPV1 hyperactivity (Lambert
et al. 2013). Neuropeptides such as SP and CGRP secreted as a result of stimulation
of these afferent nerves cause vasodilatation, increased vascular permeability, and
glandular secretion that can explain many of the symptoms associated with chronic
rhinitis (Pfaar et al. 2009). It is also known that TRP channel activation is also highly
regulated by neuropeptides such as SP and CGRP (Chung et al. 2008).
TRPV1 channels interact and regulate other colocalized TRP channels
(e.g., TRPA1) and ion channels (e.g., Na+ channels) (Raisinghani et al. 2011).
Intracellular cascades triggered by other G-protein coupled receptors such as brad-
ykinin receptors (B2R) have been demonstrated to further sensitize these channels.
(Szolcsányi and Pintér 2013; Mizumura et al. 2005).
Changes in the regulatory mechanisms that control TRPV1 channel function
can result in pathologic alteration of its activity. N-glycosylation of the TRPV1
channel affects pharmacokinetics (EC50) and dose–response curves of TRPV1
agonists (Wirkner et al. 2005). Thus, any pathological alteration in TRPV1 glyco-
sylation may cause TRPV1 channel hyper-responsiveness (Veldhuis et al. 2012).
TRPV1 N-glycosylation facilitates TRPV1 pore dilation and therefore significantly
reduces agonist-induced desensitization of these channels. Pore dilation confers resist-
ance to channel desensitization or conformational changes to desensitized state.
Interestingly, glycosylation end products have been found to be elevated in patients with
AR (Di Lorenzo et al. 2013), but such changes have not been investigated for NAR.
6.8 Capsaicin Regulation of TRPV1 Channel Gating
Capsaicin-gated TRPV1 conductance is regulated by calcium in a concentra-

tion and voltage dependent manner by causing hyperpolarizing shifts in the
voltage dependence of these channels (Aneiros et al. 2011; Blanchard and
Kellenberger 2011). Capsaicin-induced TRPV1 activation hydrolyzes the membrane

phosphatidylinositol 4, 5-bisphosphate PIP2 and its subsequent depletion has been
shown to occur in parallel with TRPV1 ion channel activation (Akopian et al. 2007).
Recovery of the channel from the desensitized state is determined by replenish-
ment of PIP2 in the cell membrane (Liu et al. 2005). It has been demonstrated that
TRPV1 desensitization to repeated applications of capsaicin (tachyphylaxis) is pre-
vented by ATP or PIP2, while calmodulin was necessary for sustaining tachyphy-
laxis (Lishko et al. 2007). Interestingly, another study has shown that PIP2 along
with PIP4 inhibits TRPV1 leading investigators to conclude that the phospho-
inositide turnover contributes to thermal hyperalgesia by blocking inhibition of the
channel (Cao et al. 2013). In addition, PKC and PKA mediated phosphorylation
sensitizes TRPV1 channels by promoting downstream changes in channel activation
that enhances the channel opening time rather than by a direct action of phospho-
rylation on the capsaicin binding site (Brauchi et al. 2006; Samways and Egan 2011;
Studer and McNaughton 2010; Garcia-Sanz et al. 2007). Novel proteins associated
with GABA receptors have been identified to be associated with TRPV1 signal-
ing complex. These proteins increase trafficking and surface expression of TRPV1,
besides modulating channel gating and sensitivity (Lainez et al. 2010).
6.9 Mechanism of Action of Capsaicin in NAR
Surgical denervation of sensory or autonomic nerves as well as treatment with

intranasal capsaicin has been demonstrated to reduce glandular secretions and
mucosal permeability and therefore relieve symptoms of NAR (Norlander et al.
1996; Baraniuk 1992; Baraniuk and Kaliner 1991). Capsaicin has been shown to
reduce mucosal permeability without affecting tight junction of the nasal mucosal
epithelium (Jeon et al. 1995). It causes sensory neurons important for relaying
pain signals from the nasal cavity to become hyposensitive. As these cells become
less hyper-reactive, neurogenic pain signals are significantly reduced. Capsaicin
also depletes SP stores in nerve cells. Because SP may dilate nasal blood vessels
and increase secretions from mucosal membranes, the depletion of SP stores in
nerve cells by capsaicin can also relieve chronic painful sinus conditions. This
observation is supported by previous studies that demonstrated that capsaicin-
induced TRPV1 desensitization decreases the number of CGRP and SP immune
reactive cells, without causing axonal degeneration of urinary bladder nerve fibers
in animal models (Avelino and Cruz 2000). Analogous mechanisms may explain
observed neuropeptide depletion induced by capsaicin in nasal mucosal glands
(Blom et al. 1997). Repeated intranasal capsaicin application has been shown to
reduce nasal vascular responses in patients with rhinitis which correlates with
reduction of the CGRP-like immunoreactivity in nasal biopsies (Lacroix et al.
1991). Several other potential mechanisms of action for capsaicin continue to be
investigated which may further help elucidate the mechanism(s) for underlying
complex disorders such as NAR and headache.
6.10 Clinical Trials Investigating the Health Benefits

of Capsaicin
Double-blind, placebo-controlled studies have demonstrated that capsaicin pro-

vides both significant short- and long-term reduction of symptoms in NAR patients.
More recently published controlled trials have demonstrated that capsaicin can be
safely administered without having to anesthetize the nose and causes no significant
adverse effects (Blom et al. 1997, 1998; Bernstein et al. 2011a, b). Capsaicin and
its derivatives have also been demonstrated in controlled studies to reduce the fre-
quency and severity of cluster, migraine, and tension headaches (Fusco et al. 2003).
Table 6.1 summarizes some of the important clinical trials investigating the
effects of capsaicin in AR, NAR, or MR as well as on headache and sinusitis.
Clinical trials investigating the therapeutic benefit of capsaicin on patients with AR
did not find significant effect in reducing nasal hyper-reactivity or in improving rhi-
norrhea (Gerth Van Wijk et al. 2000). However, some of these trials were able to
demonstrate that increased plasma protein extravasation or leucocyte infiltration is
neurally mediated through sensory afferents nerves innervating the nasal mucosa
(Sanico et al. 1997, 1998a, b). In contrast, a number of clinical trials have described
significant therapeutic efficacy and safety of chronic usage of local capsaicin formu-
lations, when used to treat NAR and MR compared to placebo therapies (Bernstein
et al. 2011a, b; Ciabatti and D'Ascanio 2009; Zheng et al. 2000; Filiaci et al. 1994,
1996; Rinder 1996; Marabini et al. 1991). Because all of these trials implemented
different study designs and dosing regimens, the ability to compare primary end-
points is significantly limited (Table 6.1) (Bernstein et al. 2011a, b; Filiaci et al.
1996; Marabini et al. 1991; Van Rijswijk et al. 2003; Latimer and Poston 1976).
A randomized double blinded placebo-controlled study by Bernstein et al.
reported significant improvement in total nasal symptom scores as well as non-nasal
symptoms including headaches, sinus pressure, and pain in patients with a signifi-
cant component of NAR improved significantly, with repeated administration of a
locally applied low concentration capsaicin formulation for 2 weeks compared to a
placebo (Bernstein et al. 2011a, b). Capsaicin has also been recently demonstrated
to improve clinical symptoms in idiopathic rhinitis by down regulating over-expression
of TRP ion channels (e.g., TRPV1 and TRPA1) (Van Gerven et al. 2013).
Other placebo-controlled trials by Blom et al. investigated the therapeutic ben-
efit of capsaicin compared to placebo on nasal biopsies and immunohistochem-
istry among nonallergic noninfectious rhinitis patients (Blom et al. 1997, 1998).
Capsaicin significantly improved the symptom visual analog score for nasal
congestion and rhinorrhea without affecting cellular homeostasis or immuno-
competent cells (Blom et al. 1997, 1998). Local application of capsaicin was dem-
onstrated to exert this clinical effect without affecting eosinophilic cationic protein
(ECP) levels in nasal lavage fluid or altering nasal symptoms produced by specific
allergen provocation. Furthermore, capsaicin did not alter levels of CD1+, CD25+,
CD3+, CD68+, BMK13+, IgE+, tryptase+, and chymase+ cells in pan-neurogenic
staining of nasal mucosa of NAR patients compared to controls (Blom et al. 1998).
Table 6.1 Summary of clinical trials investigating the effects of capsaicin in patients with allergic, nonallergic, mixed rhinitis
156
Clinical trials investigating effect of capsaicin in patients with allergic rhinitis

Study Design Endpoints Results Conclusion
Alenmyr et al. (2012) RDBPCCO; studied the TNSS, nPIF, ECP TRPV1 blocking dosage TRPV1 is not a key mediator
PMID: 21951314 effect of synthetic TRPV1 of SB-705498 did not of the symptoms in allergic
blocker (SB-705498) on improve TNSS, nPIF, rhinitis
daily allergen challenges ECP
in patients with seasonal
AR
Gerth Van Wijk et al. (2000) RDBPC; evaluated efficacy Nasal reactivity to HDM No significant effect of cap- Capsaicin lacks therapeutic
PMID: 11122219 of repeated capsaicin (measured by nasal saicin on nasal reactivity effect in perennial allergic
application to patients symptoms, albumin + LT to HDM, on VAS or RQL rhinitis
with HDM nasal allergy; levels in NLF), respon- 6 weeks or 3 months
N = 26 siveness to histamine after treatment; small
(before and 6 weeks after effect on the area of the
trt.), VASS, RQL curve (AUC) of histamine
dose response curves
(P = 0.03)
Sanico et al. (1998a) Determined if AR and NAR Nasal symptoms, glandular Capsaicin-sensitive nerve Hyper-responsiveness of
PMID: 9537786 is characterized by secretion and plasma stimulation caused similar sensory nerve fibers is
sensory neuronal hyper- extravasation measured by increases in nasal symp- characteristic of PAR
responsiveness; PAR, lactoferrin and albumin tom scores, lactoferrin in causing increased perme-
NAR, healthy controls levels in NLF respectively all groups but increased ability to albumin in nasal
were stimulated with albumin levels signifi- vasculature
TRPV1 agonist capsaicin cantly only in PAR
(continued)
U. Singh and J. A. Bernstein
Clinical trials investigating effect of capsaicin in patients with allergic rhinitis
Sanico et al. (1998b) Determined whether NLF volume and lysozyme, Atropine or lidocaine Plasma protein extravasation
PMID: 9475863 increased nasal vascular albumin and fibrinogen pretreatment reduced into nasal mucosa in AR is
permeability in AR is content capsaicin-induced lavage neutrally mediated
neuronally mediated. AR volume and lysozyme
volunteers pretreated with content but not albumin
atropine or placebo before and fibrinogen content
capsaicin
Sanico et al. (1997) RDBPC; determined whether NLF collected at different High doses of capsaicin (10, Nasal sensory nerve stimula-
PMID: 9389293 neuronal stimulation time intervals; endpoints- 100 μg) increased leuco- tion increases leucocyte
induces dose-dependent NSS, NLF leucocyte cyte count, albumin and infiltration and plasma
inflammatory changes counts, albumin, lysozyme levels at 0.5, 1 protein extravasation in AR
in human upper airway; lysozyme levels and 4 h after application patients
N = 10 AR patients;
Capsaicin 1, 10, 100 μg
sprayed into nasal cavity
Roche et al. (1995) RDBPC; Studied the effect Nasal airflow conductance Capsaicin-induced increase Colchicine (known to inhibit
PMID: 7697245 of colchicine on the nasal (rhinometry), volume of in elastase in NLF in AR microtubular axonal trans-
response to capsaicin nasal secretions, NLF patients was attenuated by port of peptides) prevents
(10^(−9) to 3 × 10^(−5) cytology colchicine treatment inflammatory response
M in AR; N = 16, 8 AR (increase in neutrophil
and 8 controls elastase) due to nasal
sensory neuronal irritation
6 Intranasal Capsaicin in Management of Nonallergic (Vasomotor) Rhinitis
in AR
(continued)
157
158
Clinical trials investigating effect of capsaicin in patients with nonallergic rhinitis

Van Gerven et al. (2013) RC (Parallel study); N=14 ΔVAS; ΔNHR; nasal fluid SP, For cases, VAS, TRES, NHR, TRPV1-substance P signal-
PMID: 24139494 cases (Idiopathic rhinitis), expression of TRP channels nPIF, TRPV1/A2 channel ing is increased in IR; the
12 controls (healthy); and mast cell marker expression and SP levels corresponding symptoms
before and after CDA decreased between 4-12 are significantly reduced
provocation on and off wks. post-treatment by Capsaicin which
treatment (with Capsaicin) reduces the TRP channel
comparison of VAS and expression in nasal mucosa
TRES, nasal fluids and without affecting hNECs
biopsy collection, measure-
ment of nPIF
Bernstein et al. (2011a, b) RDBPC; N = 20 (cases), 22 ΔTNSS (from baseline to end ICX72 improved TNSS Repeated intranasal capsaicin
PMID: 21802026 (controls); compared effi- of study i.e. 2 weeks), ISS (p < 0.01), ISS (p < 0.01), use safely and rapidly
cacy and safety of capsaicin nasal congestion, sinus improves symptoms in
nasal spray (ICX72) with pain, sinus pressure, NAR
placebo in subjects with headache; no difference in
NAR adverse effects
(vs. controls)
Blom et al. (1998) Placebo-controlled; NANIR Nasal biopsy and Nasal symptoms improved Capsaicin nasal spray reduces
PMID: 9824407 Cases treated with capsai- immunohistochemistry significantly in capsaicin nasal symptoms without
cin every 2nd/3rd day × 7 treated group. Number of affecting cellular homeo-
treatments. at baseline, immunocompetent cells stasis or immunocompetent
2 week, 3, 9 month after or neural tissue density cells
treatment.; endpoints- did not significantly dif-
immunocompetent cell fer between treated and
densities and neural control groups
tissue density in the nasal
mucosa
(continued)
Kuhn et al. (1997) RPC; Animal study; applica- Substance P in nasal secre- Significant differences Nasal mucous SP levels
PMID: 9292182 tion of capsaicin or tion measured before and in nasal secretion SP following irritant nasal
placebo after capsaicin application between capsaicin treated stimulus change after intra-
and control rats nasal capsaicin treatment
in VMR
Blom et al. (1997) RPC; N = 25 NANIPER VASS, LT, PGD2, and Significant and prolonged Capsaicin has no effect on
PMID: 9249272 patients tryptase levels in NLF reduction in VASS in cap- inflammatory mediators;
before, during and after saicin treated group. No pathogenesis of NANIPER
capsaicin treatment difference in LT, PGD2, does not involve inflamma-
and tryptase levels tory cells
Filiaci et al. (1996) RD: N = 15 patients Nasal symptoms, polyp size, Capsaicin treatment Capsaicin improves aspecific
PMID: 8882755 affected by aspecific nasal cytology improved symptoms, nasal hyper-reactivity and
nasal hyper-reactivity; nasal hyper-reactivity and polyposis
determined whether local polyp size
capsaicin treatment,
1/week, × 5 weeks,
improved hyper-reactivity
and nasal polyposis
Filiaci et al. (1994) Randomized controlled; NSS (baseline and after non- Improvement in symptoms Capsaicin reduces nasal
PMID: 7892815 determined whether specific provocation) and reduction of nasal reactivity in VMR
capsaicin reduced nasal resistance and aspecific
reactivity in VMR; hyper-reactivity within
N = 10 VMR patients, 2 weeks of capsaicin

were treated with treatment; benefits lasted
capsaicin (30 μM, 1/ 6 months
week × 5 weeks)
(continued)
159
160

Marabini et al. (1991) Studied effects of capsaicin NSS and nasal secretion Acute effects induced by Beneficial effect of capsaicin
PMID: 1859650 (15 g, tid, × 3 day) on capsaicin such as pain and is due to its desensitization
nasal mucosa in VMR secretion of nasal fluid (functional blockade) of
patients subsided at last capsaicin nerve endings of sensory
application neurons in VMR patients
Clinical trial investigating effect of capsaicin in patients with mixed rhinitis

Ciabatti and D’Ascanio Randomized placebo- pre and post treatment nasal Reduced frequency of IR Local capsaicin spray is effec-
(2009) controlled; N = 208; symptoms symptoms with 4 μg/puff tive and safe treatment
PMID: 19012048 evaluated efficacy and tid × 3 day; no significant for IR
safety of capsaicin nasal difference in side effects
sprays (1, 2 or 4 μg/ (vs. controls)
puff × 3 days) in IR
Van Rijswijk et al. (2003) RDBPCCO; Efficacy of VASS for nasal symp- VASS decreased significantly Intranasal capsaicin is safe
PMID: 12859554 alternative capsaicin regi- toms, rhinorrhea, nasal and rapidly with capsaicin for IR; five treatments of
men N = 15 (case), 15 blockage applied five times/day capsaicin in a day is better
(control) at 1 h intervals × 1 day; or equally effective as five
reduction in nasal hyper- treatments over 2 weeks
reactivity 9 months after
treatment; no difference in
side effects (vs. placebo)
(continued)
Clinical trial investigating effect of capsaicin in patients with mixed rhinitis
Rajakulasingam et al. (1992) RDBPC; Effect of capsaicin Nasal airway resistance, NLF No significant changes in No vascular effects of cap-
PMID: 1317373 (3 × 10^(−5) M) on nasal albumin levels nasal airway resistance or saicin on human nasal
airway resistance and plasma protein exuda- mucosa
plasma protein exudation with capsaicin were
tion in nasal mucosa was measured
determined
Clinical trial investigating effect of capsaicin in patients with headaches

Fusco et al. (1994) RDBPC; N = 52 patients symptomatic improvement Difference between effects of Repeated capsaicin applica-
PMID: 7708405 with episodic cluster contralateral and ipsilat- tion was effective in cluster
headaches and 18 with eral capsaicin treatment headache
chronic cluster headache was significant in both
(CH); ascertained the episodic and chronic suf-
difference in efficacy ferers of cluster headache
of treatment with nasal
capsaicin depending on
side of application
Marks et al. (1993) RDBPC; determined whether decrease in headache severity Headache severity signifi- Intranasal capsaicin applied
PMID: 8495452 nasal application of capsai- cantly reduced in capsai- ipsilaterally provides thera-
cin is effective in aborting cin treated group between peutic benefit in CH
cluster headache attacks; 8 and 15 days; episodic
capsaicin applied ipsilat- CH benefited more

eraly × 7 day, headache
severity recorded for 15 day
(continued)
161
162
Clinical trial investigating effect of capsaicin on sinusitis

Zheng et al. (2000) RDBPC; evaluated the Nasal airway resistance; Marked reduction of nasal Capsaicin reduces polyps
PMID: 10779188 effect of capsaicin on the Rhinorrhea using VAS; airway resistance post and nasal obstruction
intensity of nasal obstruc- Clinical staging of polyp; polypectomy by capsai- and is therefore cheaper
tion and rhinorrhea and all parameters recorded cin; no significant reduc- alternative to corticoster-
recurrence of nasal polyps before and after treatment tion in rhinorrhea oids for post polypectomy
post polypectomy; n = 51 management
nasal polyposis patients,
22 controls; patients
treated with capsaicin 1/
week. × 5 weeks
May et al. (1998) Experimental study; n = 7 rCBF measured using PET Increased rCBF found Increased activation in cavern-
PMID: 9514561 healthy volunteers; bilaterally in the insula, ous sinus suggests that
capsaicin applied to right cingulate cortex, cavern- it is probably involved
forehead stimulated Cr. ous sinus and cerebellum; in sensory input through
N. V (div. 1) trigeminal n
(continued)
Clinical trial investigating effect of capsaicin on sinusitis
Rinder (1996) Vanilloid receptors in pig Nasal secretion induced by
PMID: 8800374 nasal mucosa differ from VR1 activation are medi-
those in their dorsal horn; ated through CGRP release
Capsaicin evoked vasodi-
lation in pig nasal mucosa
indicates activation of
sensory nerves; Capsaicin
desensitization of the
human nasal mucosa
attenuated subjective pain
response and reduction
of cross-sectional area of
nasal cavity induced by
proton (VR1 activator);
Capsazepine did not
reduce capsaicin and
LA-evoked vasodilation
in pig nasal mucosa;
CGRP receptor antago-
nist reduced capsaicin-
induced vascular effects
in pig mucosa
RDBPC(CO) randomized double blinded placebo-controlled (cross over); TRPV1 transient receptor potential vanilloid 1; (T)NSS (Total) nasal symptom
Score; nPIF nasal peak inspiratory flow; ECP seosinophilic cationic protein; ISS individual symptom scores; IR idiopathic rhinitis; VASS Visual analog scale
scores for nasal symptoms; HDM house dust mite; LT leukotriene; RQL Rhinitis quality of life; NANIR nonallergic noninfectious rhinitis; PAR perennial
allergic rhinitis; NAR nonallergic rhinitis; NLF nasal lavage fluid; VMR: Vasomotor Rhinits; rCBF regional cerebral blood flow; PET positron emission
tomography
163
These findings imply that NAR does not involve alterations in a number of immu-
nocompetent cells or modulation of neural tissue density and indicate that capsa-
icin’s effectiveness in treating either NAR, MR, or AR may be attributable to a
mechanism(s) unrelated to traditional AR inflammatory pathways (Baudoin et al.
2000).
The inability of these studies to demonstrate a significant effect of capsai-
cin on inflammatory effector cells, supports an alternative mechanistic pathway
of capsaicin in NAR which is most likely neurogenic (Blom et al. 1997; 1998;
Rajakulasingam et al. 1992). Stimulation of ophthalmic branch of the trigemi-
nal nerve has been shown to alter vascular flow in the insula and cavernous sinus
(May et al. 1998; Marks et al. 1993) and therefore it has been postulated that
stimulation of hyper-reactive sensory nerves fibers in the maxillary division of
the trigeminal nerve may cause overstimulation of the parasympathetic autonomic
nervous system causing headaches, frequently experienced by patients with NAR
or MR. It is also known that the insular region of the brain regulates autonomic
nervous activity. Specifically, sympathetic activity is controlled by the right insula
and parasympathetic activity is controlled by the left insula (Vanneste and De
Ridder 2013). Therefore, hyper-reactivity of the maxillary branch of the trigeminal
nerve may affect vascular supply in the insular regions possibly leading to auto-
nomic imbalance causing increased parasympathetic over activity and hypersecre-
tion by nasal mucous glands.
6.11 Capsaicin’s Ability to Desensitize Trigeminal Afferent

C fiber TRPV1 Channels May Explain its Therapeutic
Benefits in NAR
Although the therapeutic efficacy of capsaicin in AR or NAR does not appear

to involve modulation of classic inflammatory pathways, it has been suggested
that it may relieve symptoms of histamine-induced nasal congestion, sneezing,
and rhinorrhea by blocking the histamine/PLA2/LPO/TRPV1 pathway (Gerth
Van Wijk et al. 2000; Kim et al. 2004; Riechelmann et al. 1993). Histamine can
activate TRPV1 in sensory neurons through the intracellular pathway involving
phospholipase A2 and lipoxygenase (Kim et al. 2004). In vitro cell studies have
demonstrated that Azelastine, an antihistamine agent approved by the FDA for the
treatment of NAR can activate and subsequently desensitize TRPV1 (Bernstein et
al. 2011a, b; Horak and Zieglmayer 2009; Singh et al. 2014). Therefore, the anti-
histaminergic activity of Azelastine may be due to its direct or indirect effect on
desensitizing TRPV1. Similar mechanism may also account for antihistaminergic
effects of capsaicin observed in mice models (Gijbels et al. 2000).
TRPV1 has six trans membrane (TM) domains. The hydrophobic outer
pore of the channel is formed between fifth and sixth TM domains (TM5-TM6
linker). During gating, the domain of the channel constituting the pore, undergoes
significant conformational rearrangement. The outer pore region is critical for

gating of TRPV channels. Capsaicin-induced desensitization of TRPV1 ion chan-
nels may also involve conformational changes in the outer pore region that deter-
mine the balance between these channels in the opened and closed state (Myers
et al. 2008). This effect results in blocking nasal sensory nerve stimulation which
results in decreased nasal hyper-responsiveness (Changani et al. 2013; Georgalas
and Jovancevic 2012). Therefore it has been proposed that capsaicin works
through a feedback mechanism that confers cellular protection against toxic Ca2+
overload following channel activation (Vyklicky et al. 2008).
6.12 Current Treatment Options for NAR Indicate

an Unmet Need for Novel Therapies
Pharmacotherapy for AR and NAR differs dramatically. However, since there are
currently no specific treatments for NAR patients, most of the therapies we cur-
rently use to treat this condition are also used to treat AR. Only a few studies have
been conducted on well-characterized patients with NAR conditions (VMR and
NARES). Nasal corticosteroids have been reported to be effective in NAR with
or without anticholinergic agents and fluticasone proprionate has previously been
approved by the FDA for NAR (Tran et al. 2011; Bernstein 2013b). Azelastine
is a topical antihistamine approved by the FDA for treatment of SAR and NAR.
Studies have demonstrated that Azelastine is very effective in alleviating symp-
toms of nonallergic VMR (Bernstein 2007). In addition to its H1-receptor antago-
nist activity, Azelastine has also marked anti-inflammatory actions, which include
inhibition of leukotrienes, bradykinin, SP, and vasointestinal peptide (Bernstein
2007). Adjunctive agents used to treat symptoms of NAR include first generation
antihistamines because of their anticholinergic activity, intranasal anticholinergic
agents which have been demonstrated to relieve severe rhinorrhea and/or post-
nasal drainage associated with NAR and topical saline which has been shown to
reduce symptoms of post-nasal drainage, sneezing, and congestion in some NAR
patients (Bernstein 2013b; Huang and Govindaraj 2013).
Alternative therapies have been proposed for treatment of NAR including intra-
nasal capsaicin as discussed. Recently, the intranasal application of CO2 which has
been shown to attenuate trigeminal nociception mediated by TRP channel activ-
ity has been found to reduce symptoms in patients with AR but has not yet been
studied in NAR patients. Because of the colocalization of TRPM8 with TRPV1
ion channels in trigeminal nerve fibers, TRPM8 antagonists in conjunction with
agents such as capsaicin that desensitize TRPV1 ion channels, merit considera-
tion for therapeutic trials in NAR (Keh et al. 2011). Second generation TRPV1
antagonists and capsinoids (capsaicin TRPV1 activity without the burning sensa-
tion) which do not exhibit the side effects of hyperthermia and risk of brain injury
may also have therapeutic advantages in the future treatment of NAR (Szolcsányi
and Sándor 2012).
6.13 Conclusion
Hypersensitivity of TRP ion channels on sensory afferent neurons innervating

nasal mucosa may be responsible for inducing NAR symptoms. Excessive nasal
glandular secretion through neuropeptides released during axonal and parasympa-
thetic reflexes are initiated by a spectrum of nonspecific irritants acting on these
highly reactive TRP channels. Activation of TRP channels resulting in increased
blood flow to the cerebral circulation can lead to other symptoms such as head-
aches which are frequent complaints of NAR patients. Consequently, rational
approaches to treat the pathophysiology of NAR would be to develop therapies
such as selective TRPV1 agonists like capsaicin that target desensitization of TRP
ion channels on sensory afferent nerves.
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Chapter 7
Capsaicin as an Anti-Obesity Drug
Felix W. Leung
Abstract Laboratory studies support a role of capsaicin as an anti-obesity agent.

Intestinal mucosal afferent nerves appear to play a role in controlling adipose tis-
sue distribution between visceral and subcutaneous sites. Activation of the tran-
sient receptor potential vanilloid-1 channels by capsaicin prevents adipogenesis.
A neurogenic mechanism modulates the regulation of fat metabolism by transient
receptor potential vanilloid-1-sensitive sensory nerves. A neural pathway enables
the selective activation of the central network that regulates brown adipose tissue
sympathetic nerve activity in response to a specific stimulation of gastrointestinal
transient receptor potential channels. Dietary capsaicin reduces metabolic dys-
regulation in obese/diabetic mice by enhancing expression of adiponectin and its
receptor. The effects of capsaicin in adipose tissue and liver are related to its dual
action on peroxisome proliferator-activated receptor alpha and transient receptor
potential vanilloid-1 expression/activation. Local desensitization of the abdominal
capsaicin-sensitive fibers attenuates the hypometabolic adaptation to food depriva-
tion. Truncal vagotomy leads to significant reductions in both diet-induced weight
gain and visceral abdominal fat deposition. Vagal de-afferentation leads to a more
modest, but clinically and statistically significant, reduction in visceral abdominal
fat. Thermogenesis and lipid metabolism-related proteins are altered upon cap-
saicin treatment in white adipose tissue. Capsaicin induces apoptosis and inhib-
its adipogenesis in preadipocytes and adipocytes. Epidemiologic data show that
Disclosure: The author has no conflict of interest to declare.
F. W. Leung (*)
111G, Division of Gastroenterology, Sepulveda Ambulatory Care Center, VAGLAHS,
16111 Plummer Street, Sepulveda, CA 91343, USA
F. W. Leung
David Geffen School of Medicine at UCLA, Los Angeles, CA, USA
F. W. Leung
VA Sepulveda Ambulatory Care Center, VAGLAHS, North Hills, CA, USA

172 F. W. Leung
consumption of foods containing capsaicin is associated with a lower prevalence

of obesity. Clinical evidence supports a role of capsaicin as an anti-obesity agent.
Both oral and gastrointestinal exposure to capsaicin increase satiety and reduce
energy and fat intake; the stronger reduction with oral exposure suggests a sen-
sory effect of capsaicin. Bioactive components containing capsaicin may support
weight maintenance after a hypocaloric diet. Capsaicin consumption 1 h before
low intensity exercise is a valuable supplement for the treatment of individuals
with hyperlipidemia and/or obesity because it improves lipolysis. Capsinoid
ingestion increases energy expenditure through the activation of brown adipose
tissue in humans. Capsinoid ingestion is associated with an increase in fat oxida-
tion that is nearly significant; and two common genetic variants may be predictors
of response. Further clinical research to develop convenient approaches for obese
individuals to take advantage of this common dietary ingredient to prevent the
onset or curtail the progression of obesity will be instructive and clinically relevant.
7.1 Introduction
Laboratory and clinical studies support a role of capsaicin as an anti-obesity

agent. This chapter reviews recent developments in this field. Systemic treatment
with capsaicin, the active ingredient of hot pepper, or its analog is an accepted
experimental method to induce functional ablation of the capsaicin-sensitive
afferent nerves (Holzer 1991). Such functional impairment retarded body weight
gain (Leung et al. 2007) and reduced total body fat (Melnyk and Himms-Hagen
1995) in rats. The capsaicin (vanilloid) receptor agonist (resiniferatoxin) (Gram
et al. 2005; Moesgaard et al. 2005) reduced body fat and body weight and
improved glucose tolerance in obese rats (Gram et al. 2005; Moesgaard et al.
2005). In experimental studies, when oral capsaicin was provided to rodents as
0.014 % of the diet (Kawada et al. 1986; Ohnuki et al. 2001), a dose equivalent
to that ingested by rural Thai people (Interdepartment Committee on Nutrition for
National Defense 1962), there was a significant 24 % (Kawada et al. 1986) and
29 % (Ohnuki et al. 2001) reduction in the weight of visceral (peri-renal) fat, but
no effect on total caloric intake. These studies suggested the possibility that oral
capsaicin treatment might regulate visceral adipose tissue metabolism.
Capsaicin absorbed from the gut lumen was almost completely metabolized
before reaching the general circulation (Donnerer et al. 1990). A direct effect (Do
et al. 2004; Hsu and Yen 2007a; Kang et al. 2003; Zhang et al. 2007) of oral capsa-
icin on adipose tissue at remote sites was unlikely. In support of this was also the
fact that repeated administration of oral capsaicin (Leung et al. 2007) functionally
desensitized the intestinal mucosal but not the corneal afferent nerves. The wiping
reflex of the front paw of the eye exposed briefly to dilute capsaicin irritation was
preserved in these rats treated with oral capsaicin for 14 days. Thus, if oral capsai-
cin could regulate adipose tissue distribution, the process might involve the intesti-
nal mucosal afferent nerves.
7 Capsaicin as an Anti-Obesity Drug 173
The development of visceral obesity may be the result of the normal pattern
of postprandial blood flow distributing absorbed fat nutrients preferentially to the
adipose tissue at visceral sites. Ingested fat must pass through the intestinal lumen
to be digested prior to absorption and distribution to various adipose tissue sites.
Fat stored at any site must be delivered there by the systemic circulation. The
intestinal mucosa is well-endowed with afferent nerve terminals (sensors), which
mediate postprandial changes in intestinal and visceral adipose tissue blood flow.
Their usual function may play a role in the accumulation of fat at visceral sites and
impairment of their usual function may result in the accumulation of adipose tis-
sue in nonvisceral sites. The results of a series of experiments (Leung et al. 2007;
Leung et al. 2001; Leung et al. 2008) summarized in one review (Leung 2008)
showed that attenuation of intestinal mucosal afferent nerve function may be a
plausible approach to the treatment of visceral obesity. Stimulation of the intesti-
nal mucosal capsaicin-sensitive afferent nerves by capsaicin produced a significant
vasoconstriction in adipose tissue (Leung et al. 2001). Functional ablation of the
intestinal mucosal capsaicin-sensitive afferent nerves led to loss of this vasocon-
striction in the visceral but not subcutaneous adipose tissue (Leung et al. 2007).
Further studies showed that the intestinal mucosal capsaicin-sensitive afferent
nerves elicit events mediated by angiotensin II in adipose tissue (vasoconstric-
tion) when nutrients were present in the intestinal lumen. When the intestinal
mucosal capsaicin-sensitive afferent nerves were functionally ablated by repeated
intragastric capsaicin treatment (Leung et al. 2007), the angiotensin II-mediated
events were abolished in the visceral, but partially retained in the subcutaneous
adipose tissue. The net effect was an angiotensin II-mediated and blood flow
(vasoconstriction)-dependent distribution of absorbed fat nutrient(s) preferentially
to the subcutaneous rather than the visceral adipose tissue. These studies provide
the evidence to implicate the intestinal mucosal afferent nerves in the regulation of
adipose tissue distribution.
7.2 Laboratory Studies
Long-term feeding experiments were undertaken in wild-type mice and transient

receptor potential channel vanilloid type 1 (TRPV1) knockout mice. Compared
with lean counterparts, in the visceral adipose tissue from obese db/db and ob/ob
mice, and from obese human male subjects, there was a reduced expression of
TRVP1. The oral administration of capsaicin for 120 days prevented the develop-
ment of obesity in male wild-type mice but not in TRPV1 knockout mice assigned
to high-fat diet. This activation of TRPV1 channels by capsaicin prevented adipo-
genesis and obesity (Zhang et al. 2007).
On a 4.5 % fat diet, wild-type and TRPV1-null mice gained equivalent body
mass. On a 11 % fat diet, however, TRPV1-null mice gained significantly less
mass and adiposity; at 44 weeks the mean body weights of wild-type and TRPV1-
null mice were approximately 51 and 34 gm, respectively. Both groups of mice
174 F. W. Leung
consumed equivalent energy and absorbed similar amounts of lipids. TRPV1-

null mice, however, exhibited a significantly greater thermogenic capacity.
Furthermore, 3T3-L1 preadipocytes expressed functional calcitonin gene-related
peptide receptors. A potential neurogenic mechanism by which TRPV1-sensitive
sensory nerves may regulate energy and fat metabolism (Motter and Ahern 2008).
Intragastric administration of capsiate resulted in a time- and d ose-dependent
increase in integrated brown adipose tissue sympathetic nerve activity over
180 min. This increase in brown adipose tissue sympathetic nerve activity was
abolished by blockade of TRP channels as well as of sympathetic ganglionic trans-
mission and was inhibited by ablation of the gastrointestinal vagus nerve. The acti-
vation of sympathetic nerve activity was delimited to brown adipose tissue and did
not occur in the heart or pancreas. A neural pathway enables the selective activa-
tion of the central network regulating the brown adipose tissue sympathetic nerve
activity in response to a specific stimulation of gastrointestinal TRP channels (Ono
et al. 2011).
Based on the premise that metabolic dysregulation (hyperglycemia, hyperinsu-
linemia, hyperlipidemia) is a hallmark of obesity-related diseases such as insulin
resistance, type 2 diabetes, and fatty liver disease, investigators assessed whether
dietary capsaicin attenuated the metabolic dysregulation in genetically obese dia-
betic KKAy mice, which have severe diabetic phenotypes. Male KKAy mice fed
a high-fat diet for 2 weeks received a 0.015 % capsaicin supplement for a fur-
ther 3 weeks and were compared with nonsupplemented controls. Dietary cap-
saicin markedly decreased fasting glucose/insulin and triglyceride levels in the
plasma and/or liver, as well as expression of inflammatory adipocytokine genes
(e.g., monocyte chemoattractant protein-1 and interleukin-6) and macrophage
infiltration. Expression of the adiponectin gene/protein and its receptor, AdipoR2,
increased in adipose tissue and/or plasma, was accompanied by increased acti-
vation of hepatic adenosine monophosphate (AMP)-activated protein kinase, a
marker of fatty acid oxidation. Dietary capsaicin reduces metabolic dysregula-
tion in obese/diabetic KKAy mice by enhancing expression of adiponectin and its
receptor (Kang et al. 2011).
Whether dietary capsaicin can reduce obesity-induced inflammation and met-
abolic disorders such as insulin resistance and hepatic steatosis was assessed in
male C57BL/6 obese mice fed a high-fat diet for 10 weeks. They received a sup-
plement of 0.015 % capsaicin for a further 10 weeks and were compared with
unsupplemented controls. Dietary capsaicin lowered fasting glucose, insulin, lep-
tin levels, and markedly reduced the impairment of glucose tolerance in obese
mice. Levels of tumor necrosis factor-alpha (TNFα), monocyte chemoattractant
protein-1 (MCP-1), and interleukin (IL)-6 mRNAs and proteins in adipose tissue
and liver decreased markedly, as did macrophage infiltration, hepatic triglycerides,
and TRPV-1 expression in adipose tissue. The messenger ribonucleic acid/protein
of adiponectin in the adipose tissue and peroxisome proliferator-activated receptor
alpha/peroxisome proliferator-activated receptor-γ coactivator 1 alpha messenger
ribonucleic acid in the liver increased. Luciferase assays revealed that capsaicin
is capable of binding peroxisome proliferator-activated receptor alpha. Dietary
capsaicin may reduce obesity-induced glucose intolerance by not only suppress-

ing inflammatory responses but also enhancing fatty acid oxidation in adipose tis-
sue and/or liver, both of which are important peripheral tissues affecting insulin
resistance. The effects of capsaicin in adipose tissue and liver are related to its dual
action on peroxisome proliferator-activated receptor alpha and TRPV-1 expres-
sion/activation (Kang et al. 2010).
Intraperitoneal capsaicin (5 mg/kg) desensitizes the local afferent vagal nerve
endings for approximately 3 weeks. Following such desensitization, male Wistar
rats deprived of food for 120 h lost significantly (18.9 ± 0.4 % vs. 15.8 ± 1.0 %),
i.e., 20 % more weight than the controls, suggesting defective hypometabolic
adaptation in desensitized animals. Upon re-feeding following a period of fasting,
in the first 0.5–3 h the food intake was significantly greater in capsaicin pretreated
compared to the control group, demonstrating blockade of satiety as a sign of
desensitization. The delayed gastrointestinal passage supported that vagal afferent
nerve endings were in a desensitized state in these rats. Local desensitization of
the abdominal capsaicin-sensitive fibers attenuates the hypometabolic adaptation
to food deprivation (Garami et al. 2010).
The impact of disrupting vagal signaling by total vagotomy or selective vagal
de-afferentation on weight gain and fat content in diet-induced obese rats was
assessed. Male Sprague–Dawley rats (n = 5–8) underwent truncal vagotomy,
selective vagal de-afferentation with capsaicin, or sham procedure. Animals were
maintained for 11 months on a high-caloric diet. At 11-months, vagotomized
rats weighed 19 % less (P = 0.003) and de-afferented rats 7 % less (P = 0.19)
than shams. Vagotomized and de-afferented animals had 52 % (P < 0.0001) and
18 % reduction (P = 0.039) in visceral abdominal fat, respectively. There were
no changes in blood glucose or glycemic indexes. Jejunal sodium-glucose linked
transporter 1 messenger ribonucleic acid, protein and function were unchanged
across all cohorts at 11-months postoperatively. Truncal vagotomy led to sig-
nificant reductions in both diet-induced weight gain and visceral abdominal fat
deposition; and vagal de-afferentation led to a more modest, but clinically and sta-
tistically significant, reduction in visceral abdominal fat (Stearns et al. 2012).
The anti-obesity effect of capsaicin was examined in rats (5-week old) treated
with capsaicin (10 mg/kg) along with a high-fat diet. In comparison with saline-
treated rats, body weight of those in the capsaicin-treated group decreased by
8 %. Protein mapping of white adipose tissue homogenates revealed signifi-
cant alterations to a number of proteins. Significant down-regulation of heat
shock protein 27 (Hsp27) and Steap3 protein, as well as upregulation of olfac-
tory receptor (Olr1434) in obese white adipose tissue was documented. Most of
the identified proteins are associated with lipid metabolism and redox regulation.
Thermogenesis and lipid metabolism-related proteins were markedly altered upon
capsaicin treatment in white adipose tissue (Joo et al. 2010).
The effects of capsaicin on the induction of apoptosis and inhibition of lipid
accumulation in 3T3-L1 preadipocytes and adipocytes were investigated.
Capsaicin decreased cell population growth of 3T3-L1 preadipocytes. 3T3-L1
preadipocytes exposed to capsaicin showed that apoptotic cells increased in a
176 F. W. Leung
time- and dose-dependent manner. Treatment with capsaicin decreased the num-
ber of normal cells and increased the number of early apoptotic and late apoptotic
cells in a dose-dependent manner. The treatment of cells with capsaicin caused the
loss of mitochondrial membrane potential. The induction of apoptosis in 3T3-L1
preadipocytes by capsaicin was mediated through the activation of caspase-3, Bax,
and Bak, and then through the cleavage of poly ADP ribose polymerase (PARP)
and the down-regulation of Bcl-2. Capsaicin significantly decreased the amount
of intracellular triglycerides and glycerol-3-phosphate dehydrogenase (GPDH)
activity in 3T3-L1 adipocytes. Capsaicin also inhibited the expression of peroxi-
some proliferator-activated receptors gamma (PPARγ), CCAAT-enhancer-binding
protein alpha (C/EBPα), and leptin, but induced upregulation of adiponectin at the
protein level. Capsaicin efficiently induces apoptosis and inhibits adipogenesis in
3T3-L1 preadipocytes and adipocytes (Hsu and Yen 2007b).
7.3 Clinical Studies
Early epidemiological data revealed that the consumption of foods contain-

ing capsaicin was associated with a lower prevalence of obesity (Wahlqvist and
Wattanapenpaiboon 2001). Clinical studies in recent years support a role of cap-
saicin in the treatment of obesity. For 24 subjects, 16 h food intake was assessed
four times during 2 consecutive days by offering macronutrient-specific buffets
and boxes with snacks. At 30 min before each meal, 0.9 gm red pepper (0.25 %
capsaicin; 80,000 Scoville Thermal Units) or a placebo was offered in either
tomato juice or in two capsules that were swallowed with tomato juice. Hunger
and satiety were recorded using Visual Analogue Scales. Only in the oral exposure
condition was the reduction in energy intake and the increase in satiety related to
perceived spiciness. Both oral and gastrointestinal exposure to capsaicin increased
satiety and reduced energy and fat intake; the stronger reduction with oral expo-
sure suggests a sensory effect of capsaicin (Westerterp-Plantenga et al. 2005).
The acute and subchronic effect of a supplement containing tyrosine, capsai-
cin, catechines, and caffeine or placebo on thermogenesis, body fat loss and fecal
fat excretion was assessed. Eighty overweight-obese subjects ((body mass index)
31.2 ± 2.5 kg/m2, mean ± SD) underwent an initial 4-week hypocaloric diet
(3.4 MJ/day). Those who lost >4 % body weight were instructed to consume a
hypocaloric diet (−1.3 MJ/day) and were randomized to receive either placebo
(n = 23) or bioactive supplement (n = 57) in a double-blind, 8-week intervention.
Weight loss during the induction phase was 6.8 ± 1.9 kg. At the first exposure
the thermogenic effect of the bioactive supplement exceeded that of placebo by
87.3 kJ/4 h (95 % CI: 50.9; 123.7, P = 0.005) and after 8 weeks this effect was
sustained (85.5 kJ/4 h (47.6; 123.4), P = 0.03). Body fat mass decreased more in
the supplement group by 0.9 kg (0.5; 1.3) compared to placebo (P < 0.05). The
bioactive supplement had no effect on fecal fat excretion, blood pressure, or heart
rate. Bioactive supplement increased 4-hours thermogenesis by 90 kJ more than
placebo, and the effect was maintained after 8 weeks and accompanied by a slight
reduction in fat mass. Bioactive components containing capsaicin may support
weight maintenance after a hypocaloric diet (Belza et al. 2007).
Capsaicin significantly induced a lower respiratory gas exchange ratio (0.92
(0.02) vs. 0.94 (0.02), means (SE), P < 0.05) and higher fat oxidation (0.17 (0.04)
vs. 0.12 (0.04) gm/min, means (SE), P < 0.05) during exercise. Other measured
effects were not significant. Capsaicin consumption 1 h before low intensity exer-
cise (50 % VT(max)) is a valuable supplement for the treatment of individu-
als with hyperlipidemia and/or obesity because it improves lipolysis (Shin and
Moritani 2007).
The acute effect of nonpungent capsaicin analogs (capsinoids) on energy
expenditure in brown adipose tissue in humans was studied. Eighteen healthy
men aged 20–32 years underwent fludeoxyglucose positron emission tomog-
raphy (FDG-PET) after 2 h of cold exposure (19 °C) while wearing light cloth-
ing. Whole-body energy expenditure and skin temperature, after oral ingestion
of capsinoids (9 mg), were measured for 2 h under warm conditions (27 °C) in
a single-blind, randomized, placebo-controlled, crossover design. When exposed
to cold, 10 subjects showed marked fludeoxyglucose uptake into adipose tissue of
the supraclavicular and paraspinal regions (brown adipose tissue-positive group),
whereas the remaining 8 subjects (brown adipose tissue-negative group) showed
no detectable uptake. Under warm conditions (27 °C), the mean (±SEM) resting
energy expenditure was 6114 ± 226 kJ/day in the brown adipose tissue-positive
group and 6307 ± 156 kJ/day in the brown adipose tissue-negative group (NS).
Energy expenditure increased by 15.2 ± 2.6 kJ/hour in 1 h in the brown adipose
tissue-positive group and by 1.7 ± 3.8 kJ/hour in the brown adipose tissue-neg-
ative group after oral ingestion of capsinoids (P < 0.01). Placebo ingestion pro-
duced no significant change in either group. Neither capsinoids nor placebo
changed the skin temperature in various regions, including regions close to brown
adipose tissue deposits. Capsinoid ingestion increases energy expenditure through
the activation of brown adipose tissue in humans (Yoneshiro et al. 2012).
In a 12-week, placebo-controlled, double-blind, randomized study, the safety
and efficacy of capsinoids taken orally (6 mg/day) on weight loss, fat loss, change
in metabolism, and candidate genes as predictors of capsinoid response were eval-
uated. Forty women and 40 men with a mean (±SD) age of 42 ± 8 years and body
mass index of 30.4 ± 2.4 were randomly assigned to a capsinoid or placebo group.
Capsinoids were well tolerated. Mean (±SD) weight change was 0.9 ± 3.1 and
0.5 ± 2.4 kg in the capsinoid and placebo groups, respectively (P = 0.86). There
was no significant group difference in total change in adiposity, but abdominal adi-
posity decreased more (P = 0.049) in the capsinoid group (−1.11 ± 1.83 %) than
in the placebo group (−0.18 ± 1.94 %), and this change correlated with the change
in body weight (r = 0.46, P < 0.0001). Changes in resting energy expenditure did
not differ significantly between groups, but fat oxidation was higher at the end of
the study in the capsinoid group. Of 13 genetic variants tested, TRPV1 Val585Ile
and mitochondrial uncoupling protein 2 (UCP2) −866 G/A correlated significantly
with change in abdominal adiposity. Capsinoid ingestion was associated with an
178 F. W. Leung
increase in fat oxidation that was nearly significant. Two common genetic variants
may be predictors of therapeutic response (Snitker et al. 2009).
7.4 Conclusion
The hypothesis that capsaicin and TRVP1 play a role in regulating adipose tis-
sue is supported by laboratory and clinical evidence. Further clinical research to
develop convenient approaches for obese individuals to take advantage of this
common dietary ingredient to prevent the onset or curtail the progression of obe-
sity will be instructive and clinically relevant.
Acknowledgments Supported in part by Veterans Affairs Medical Research Funds.
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Chapter 8
The Potential Antitumor Effects
of Capsaicin
Inés Díaz-Laviada and Nieves Rodríguez-Henche
Abstract Capsaicin, one of the major pungent ingredients found in red peppers,

has been recently demonstrated to induce apoptosis in many types of malignant cell
lines including colon adenocarcinoma, pancreatic cancer, hepatocellular carcinoma,
prostate cancer, breast cancer, and many others. The mechanism whereby capsaicin
induces apoptosis in cancer cells is not completely elucidated but involves intracel-
lular calcium increase, reactive oxygen species generation, disruption of mitochon-
drial membrane transition potential, and activation of transcription factors such as
NFκB and STATS. Recently, a role for the AMP-dependent kinase (AMPK) and
autophagy pathways in capsaicin-triggered cell death has been proposed. In addi-
tion, capsaicin shows antitumor activity in vivo by reducing the growth of many
tumors induced in mice. In this chapter, we report the last advances performed in the
antitumor activity of capsaicin and review the main signaling pathways involved.
8.1 Capsaicin
Capsaicin (8-methyl-N-vanillyl-6-noneamide) is the major constituent of the peppers

belonging to the genus Capsicum and responsible for their spicy flavor and burning
sensation, also known as pungency. Besides capsaicin, a family of related compounds
are present in Capsicum sp. plants, all referred as capsaicinoids. These compounds
are capsaicin, dihydrocapsaicin, nordihydrocapsaicin, and homocapsaicin. Capsaicin
Conflict of Interest. Authors declare that there is no conflict of interest.
I. Díaz-Laviada (*) · N. Rodríguez-Henche
Biochemistry and Molecular Biology Unit, Department of System Biology,
University of Alcala, 28871 Madrid, Spain
N. Rodríguez-Henche

182 I. Díaz-Laviada and N. Rodríguez-Henche
Fig. 8.1 Structure of
capsaicin. Capsaicin has
CH3
three main moieties: vannillyl O
(methylcatechol group), O CH3
amide bond, and an alkyl side N
chain H CH3
HO
Capsaicin
and dihydrocapsaicin are the two major capsaicinoids found in hot peppers (more
than 90 % of the total capsaicinoids) (Wahyuni et al. 2013).
The naturally occurring content of capsaicinoids in spices have been deter-
mined by use of liquid chromatography and ranges typically from 0.1 mg/g in chili
pepper to 2.5 mg/g in red pepper and 60 mg/g in oleoresin red pepper (Alothman
et al. 2012). Pungency is measured by the Scoville scale that considers the times
a sample must be diluted to make the pungency imperceptible. By definition,
one part per million (ppm) of capsaicin has a pungency of 15 Scoville Heat units
(SHU) (Wahyuni et al. 2013).
Capsaicin consists of three functional moieties: vanillyl (methylcatechol
group), amide bond, and alkyl side chain (Fig. 8.1). Analyses of the structure–
activity relationship of numerous capsaicin analogs suggest that the vanillyl motif
and amide bond regions are essential for pharmacological activity at TRPV1 and
thus maintaining the excitation of sensory neurons, which could be alternatively
expressed as maintaining pungency (Walpole et al. 1996). In contrast, the aliphatic
chain in the C region is presumed to be essential for maximal potency (Walpole
et al. 1993). Recently, a capsaicin analog was synthesized by a ring closure of the
methylcatechol, a replacement of amide bond by a bioisosteric sulfonamide group,
and a modification of the alkyl chain to incorporate a rigid ring. This compound
was named RPF 101 and exhibited much higher potency against breast tumor cell
growth than capsaicin (de-Sa-Junior et al. 2013).
Capsaicin is absorbed very rapidly by a nonactive process from the stomach
and whole intestine with a maximum blood concentration observed at 1 h after
administration (Suresh and Srinivasan 2010). Capsaicin is mainly metabolized in
the liver through cytochrome P450-dependent reactions and peroxydase enzymes,
producing three major metabolites, 16-hydroxycapsaicin, 17-hydroxycapsaicin,
and 16, 17-hydroxycapsaicin, and is scarcely excreted in the urine (Suresh and
Srinivasan 2010). Although many enzymes may play some role in hepatic drug
metabolism, cytochrome P450 enzymes are quantitatively the most important, and
it has been proposed that many drug–drug interactions result from the alteration
(increase or decrease) in the activities of these enzymes (Zhang et al. 2012; Zhai
et al. 2013). However, Babbar et al. demonstrated that at concentrations occurring
after ingestion of chili peppers or topical administration of a high-concentration
patch, capsaicin did not cause direct inhibition of any CYP enzyme (Babbar et
al. 2010). Capsaicin toxicity is minimal at low doses. Previous research on the
8 The Potential Antitumor Effects of Capsaicin 183
metabolism of capsaicin has proposed the formation of potentially deleteri-

ous reactive intermediates. It has been s uggested that capsaicin is converted into
a mutagenic or carcinogenic form through metabolism, such as an electrophilic
epoxide or quinone derivatives (Surh and Lee 1995). However, research by Reilly
et al. (2003) support the hypothesis that P450-mediated metabolism of capsaicin
represents a detoxification mechanism by decreasing its pharmacological and/
or toxicological activity and may serve to ameliorate the effects of capsaicin by
preventing key biochemical interactions with molecular determinants of toxicity
(Reilly et al. 2003). It must be taken into account that the metabolism of capsaicin
by different P450 enzymes expressed in different tissues may yield different reac-
tive intermediates in different cell types, which may partially explain conflicting
reports related to the cytotoxic, procarcinogenic, and chemoprotective effects of
capsaicinoids in different cells and/or organ systems (Reilly et al. 2013).
8.2 TRPV1 Receptor
It has been well documented that capsaicin targets the receptor TRPV1, first
cloned from rat (Caterina et al. 1997) (see Chap. 2 of this book). TRPV1 is a cat-
ion channel belonging to the superfamily of transient potential receptors (TRPs)
which are subdivided into seven subfamilies based on their amino acid sequence
homology: TRPC (canonical), TRPV (vanilloid), TRPA1 (the only member of the
subfamily ankyrin), TRPM (melastatin or long TRPs), TRPP (polycystin), TRPN
(nonmechanoreceptor potential C), and TRPML (mucolipin). The vanilloid TRP
subfamily comprises six members (TRPV1-6). Based on sequence homology and
functional similarity, the six TRPV channels are divided into nonselective cation
channels group 1 (TRPV1, TRPV2, TRPV3, and TRPV4), and selective Ca2+
channels group 2 (TRPV5 and TRPV6). TRPV1 is a nonselective cation channel
but prefers Ca2+ over Na+. Until now, capsaicin has been identified uniquely as an
agonist at TRPV1.
Structurally, a functional TRPV1 channel is a tetrameric membrane pro-
tein with four identical subunits assembled around a central aqueous pore which
forms the cation channel. Each subunit harbors six membrane-spanning domains
with a short, pore-forming hydrophobic loop between the fifth and sixth trans-
membrane domains, an N-terminal domain with six ankyrin repeats (ARD), and a
C-terminal domain residue within the cytoplasm (Fig. 8.2). Capsaicin binds to the
TRPV1 protein channel in the intracellular S2–S4 region with high affinity medi-
ated by interactions between the vanilloid group of capsaicin and the benzene ring
of aromatic residues (Jordt and Julius 2002). The ARD of the N-terminal region
contains an ATP-binding as well as a Ca-calmodulin binding site (Lishko et al.
2007). Phosphatidylinositol-4,5-bisphosphate (PIP2) binds to the C-terminus of
the receptor and inhibits channel gating (Prescott and Julius 2003). Either ATP or
PIP2 prevent desensitization to repeated applications of capsaicin whereas calmo-
dulin has the opposite effect (Lishko et al. 2007).
P loop, pore turret (temperature-sensing)
S1 S2 S3 S4 S5 S6
ATP CaCM
capsaicin ARD
ARD
PIP2
CaCM
COOH
NH 2
Fig. 8.2 The TRPV1 receptor. TRPV1 channel is a tetrameric membrane protein with four
identical subunits. Each subunit harbors six membrane-spanning domains with a short, pore-
forming hydrophobic loop between the fifth and sixth transmembrane domains, an N-terminal
domain with six ankyrin repeats (ARD), and a C-terminal domain residue within the cyto-
plasm. The ARD of the N-terminal region contains an ATP-binding as well as a Ca-calmodulin
binding site
Besides by capsaicin, TRPV1 receptor is activated by heat, low pH, and other
ligands, leading to a burning pain sensation. Recent findings suggest that heat and
capsaicin activate TRPV1 at different sites and they may act synergistically to
stimulate channel gating (Cui et al. 2012).
The expression of TRPV1 has been demonstrated in most of the tumor
cells analyzed. TRPV1 is expressed in human breast cancer MCF-7 and BT-
20 cells (Chang et al. 2011; Vercelli et al. 2013) as well as in canine mammary
cancer cells (Vercelli et al. 2013). Prostate cancer derived LNCaP and PC-3 cells
as well as Benign Prostate Hyperplasia (BPH) tissue expresses TRPV1 (Sanchez
et al. 2005). In those cells, capsaicin evokes an increase in the intracellular cal-
cium concentration which is blocked by the TRPV1 antagonist capsazepine,
implying a functional receptor (Sanchez et al. 2005). TRPV1 ion channels are
expressed in glioma cell lines and in glioma tissues as well as in several tumor
cells of astrocytic origin, and in normal human astrocytes (Biggs et al. 2007).
Changes in the expression of TRPV1 are often associated with changes in
tumor progression and prognosis. Clinical investigation found a remarkably ele-
vated TRPV1 expression in the epithelial cells of prostate cancer samples when
compared to either the healthy or the BPH sections (Czifra et al. 2009). The
expression of TRPV1 increased in parallel and gradually with the Gleason grade
(Czifra et al. 2009). High TRPV1 expression in tumorigenic cell lines may play
roles in the development and progression of hepatocellular carcinoma and meta-
static liver cancers (Rychkov and Barritt 2011). By contrary, a decrease of TRPV1
expression can occur during the development of human urothelial cell carcinoma
(UCC). Levels of TRPV1 are strongly reduced in high-grade and stage inva-
sive of transitional cell carcinoma of human bladder and low TRPV1 expression
is related with poor prognosis (Santoni et al. 2012). In line with this, it has been
proposed that chronic blockade of TRPV1 might increase the risk of tumor devel-
opment. Topical administration of a TRPV1 antagonist in mice promoted mouse
skin tumorigenesis (Li et al. 2011). Likewise, capsaicin treatment induced a more
aggressive gene phenotype and invasiveness in null-TRPV1 urothelial cancer cells
(Caprodossi et al. 2011).
However, as described below, in most studies performed, capsaicin-induced
tumor cell growth inhibition and apoptosis is independent of its stimulatory effects
on the TRPV1 receptor, because co-treatment with competitive vanilloid receptor
inhibitors like capsazepin did not protect the cells from capsaicin-induced death
(Kim et al. 2004; Athanasiou et al. 2007; Zhang et al. 2008); moreover, it increases
the cytotoxic effect of capsaicin (Sanchez et al. 2006; Sung et al. 2012).
8.3 Antitumor Properties of Capsaicin in Different

Cancer Cells
Cancer is caused by defects in the mechanisms underlying cell proliferation and cell
death. The development of tumors results from excessive cell proliferation com-
bined with inhibition of cell apoptosis, which eventually leads to imbalances in tis-
sue homeostasis and uncontrolled proliferation. Hence, targeting cell proliferation or
induction of cancer cell apoptosis is one of the major challenges in cancer research.
Capsaicin has been shown to inhibit cell proliferation, to induce cell cycle arrest and
to trigger apoptosis in many cancer cell types (summarized in Table 8.1).
8.3.1 Colorectal Cancer
Colorectal cancer (CRC) is one of the most lethal cancers worldwide and the
third leading cause of cancer-related death in the United States (Siegel et al.
2012; Quaglia et al. 2013). It is estimated that there are nearly 1.2 million men
and women living in the United States with a previous diagnosis of colorectal can-
cer, and an additional ~150,000 will be diagnosed each year (Siegel et al. 2012).
The poor prognostic outcome of colorectal cancer is due to its resistance to current
therapies. Although about half of individuals with CRC could be cured by surgery,
radiation therapy, and/or chemotherapy treatment before tumor cell dissemination,
40–50 % of patients had metastatic diseases and prognosis is poor with a 5-year
survival <10 % (Quaglia et al. 2013).
Recent findings suggest that deregulation of the mucosal immune system
predisposes to inflammatory bowel disease (IBD) and CRC. The role of inflam-
mation in carcinogenesis was first proposed by R. Wirchow in the nineteenth cen-
tury after observations in tumor samples which were infiltrated by high numbers
of leukocytes (Bochalli 1952). A tumorigenic niche, composed of inflammatory
Table 8.1 Cancer cell lines sensitive to capsaicin-induced cell death

Effective doses (μM) IC50 (μM) References
Colorectal cancer
LoVo 100–200 100 Lee et al. (2012)
HCT-116 50–250 250, 25 Chueh et al. (2004), Oh
et al. (2008), Yang et al.
(2013)
SW480
COLO 205 25–500 150 Lu et al. (2010)
Prostate cancer
PC-3 5–50 20 Mori et al. (2006), Sanchez
et al. (2006, 2007)
DU-145 0.01–500 10 Mori et al. (2006)
LNCaP 0.01–500 200 Mori et al. (2006)
Breast cancer
MCF-7, SKBR-3, T47D, 1–200 50, 200, 300 Oh et al. (2008), Chou
BT-474 et al. (2009),
Thoennissen et al.
(2010), Chang
et al. (2011), Dou et al.
(2011), de-Sa-Junior
et al. (2013)
MDA-MB-231 200, 22 Thoennissen et al. (2010),
de-Sa-Junior et al.
(2013)
Urinary bladder
T24 50–200 150 Yang et al. (2010)
Myeloid leukemia
NB4, Kasumi-1 10–200 50 Ito et al. (2004)
UF-1, HL60 50–1,000 80, 150 Ito et al. (2004), Tsou
et al. (2006), Moon et al.
(2012)
U937 50–250 500, 200 Moon et al. (2012)
HPB-ATL-T, HPB-CTL-I, 50–200 Zhang et al. (2003)
HUT-102
HPB-ALL, Jurkat T 100
Gastric carcinoma
SCM1 0.1–200 200 Wang et al. (2008)
Hepatocellular carcinoma
HepG2 10–200 75, 200, >200 Huang et al. (2009),
Popovich et al. (2010),
Moon et al. (2012)
Pancreatic cáncer
PANC-1 50–300 200 Zhang et al. (2013)
AsPC-1 and BxPC-3 25–250 150 Zhang et al. (2008)
Cutaneous squamous cell
carcinoma
COLO 16 25–200 100 Hail and Lotan (2002)
Melanoma
A375 Kim (2012)
(continued)
Effective doses (μM) IC50 (μM) References
Nasopharyngeal
carcinoma
NPC, NPC-TW 039 200–400 250 Ip et al. (2012)
Small cell lung cancer
H69 1–100 50 Brown et al. (2010)
Others
KB cells 50–250 150 Lin et al. (2013)
cells, myofibroblasts, other cell types, and extracellular components, is essential

for the maintenance of malignancies and facilitates tumor initiation, progression,
and survival. Indeed, human colon cancer tissues are infiltrated by inflammatory
cells and plasma levels of cytokines are often raised in CRC patients (Vaiopoulos
et al. 2013). Regulation of the inflammatory response is very complicated but
many signaling pathways involve the transcription factor NFκB. Capsaicin down-
regulates NFκB (see below) behaving as a very potent inhibitor of inflammation
(revised in this book) and hence may contribute to prevent CRC. Besides this, cap-
saicin functions as an antitumoral drug as it inhibits the growth and proliferation
of different CRC cell lines. High-concentration capsaicin (≥200 μM for SW480
and CT-26 cell lines; ≥25 μM for HCT116 cell line) showed antiproliferative
activity in CRC cells in a dose-dependent manner (Yang et al. 2013). In another
study, an inhibition of cell growth and transcriptional activity was observed at
100 μM (Lee et al. 2012) (Table 8.1).
8.3.2 Pancreatic Cancer
Pancreatic cancer, one of the most fatal types of solid malignancy, is the fourth
leading cause of cancer-related mortality in the USA and other industrialized
countries. Despite efforts over the past three decades to improve diagnosis and
treatment, the prognosis for patients with pancreatic cancer is extremely poor with
or without treatment, and incidence rates are virtually identical to mortality rates
(Tamburrino et al. 2013). Srivastava et al. demonstrated that capsaicin-triggered
apoptosis in human pancreatic cancer cells, which represent one of the most dif-
ficult types of cancer to treat. Capsaicin increased the number of apoptotic pro-
teins and increased cytochrome c levels in the cytosol in pancreatic AsPC-1 and
BxPC-3 cells. Capsaicin-induced apoptosis in pancreatic cancer cells was associ-
ated with the generation of reactive oxygen species (ROS) and persistent disrup-
tion of mitochondrial transmembrane potential without affecting the normal cells
(Zhang et al. 2008; Pramanik et al. 2011). Likewise, in pancreatic cancer PANC-1
cells, capsaicin dose-dependently induced apoptosis, via downregulation of the
PI3 K/Akt pathway (Zhang et al. 2013).
8.3.3 Hepatocellular Carcinoma
Hepatocellular carcinoma is the most common form of liver cancer, and its inci-
dence has been increasing worldwide, representing 70–85 % of primary hepatic
malignancies in adults. Liver transplant is the first choice of treatment because
it eliminates malignant cells and restores liver function. However, unfortunately
20 % of patients suffer tumor recurrence and in spite of intense research on HCC
treatment, no relevant improvement in the survival of patients with HCC has been
achieved so far (Llovet and Bruix 2008). Therefore it is urgent to identify novel
therapeutic strategies for the management of HCC.
Capsaicin induced apoptosis in the hepatocellular carcinoma cell line HepG2
with the involvement of intracellular Ca2+, ROS, Bcl-2 family, cytochrome c
protein expression, and caspase-3 activity (Huang et al. 2009). In the same cells,
capsaicin increased ROS production and induced expression of heme oxyge-
nase-1 (HO-1) (Lee et al. 2004; Joung et al. 2007). Likewise, capsaicin sensitized
hepatocellular carcinoma cells as well as breast cancer cells and leukemia cells
to apoptosis induced by tumor necrosis factor-related, apoptosis-inducing ligand
(TRAIL) (Moon et al. 2012). Co-treatment with capsaicin and TRAIL potentiated
the caspase 3, 8, and 9 activation, the release of cytochrome C, and the disruption
of mitochondrial transmembrane potential.
8.3.4 Prostate Cancer
Prostate cancer is one of the most prevalent forms of cancer in men worldwide. It
is estimated that there are nearly 2.8 million men living with a history of prostate
cancer in the United States, and an additional 241,740 cases have been diagnosed
in 2012. Although prostate-specific antigen (PSA)-based screening has substan-
tially reduced the incidence of mortality from prostate cancer (Carter et al. 2013;
Vickers et al. 2013), it has increased the number of new cases diagnosed. Therefore,
the increasing prevalence and the complexity of cancer treatment techniques
require a great effort to avoid negative treatment effectiveness. Treatment options
vary depending on the stage and grade of the cancer, as well as patient comorbid-
ity, age, and personal preferences. More than one-half (57 %) of men aged younger
than 65 years are treated with radical prostatectomy. Those aged 65–74 years com-
monly undergo radiation therapy (42 %), although radical prostatectomy (33 %) is
also often used. Androgen deprivation therapy, chemotherapy, bone-directed ther-
apy (such as zoledronic acid or denosumab), radiation therapy, or a combination of
these treatments are used to treat more advanced disease. Unfortunately, too often
the appearance of hormone refractory cancer cells leads eventually to the recurrence
of cancer which turns to a hormone-independent state for which there is not treat-
ment. The development of such lethal, castration-resistant prostate cancer (CRPC) is
associated with adaptive changes to the androgen receptor (AR), including the emer-
gence of mutant receptors and truncated, constitutively active AR variants.
Scientific progress in prostate cancer treatment has often been based on the use of
established cell lines which mimics different prostate cancer stages. The LNCaP cell
line is derived from a biopsy of a lymph node of a 50-year-old Caucasian male with
confirmed diagnosis of metastatic prostate carcinoma (Horoszewicz et al. 1983).
These cells are responsive to classic AR agonists and therefore are used as a model
for androgen-sensitive prostate cancer. It has been shown that in the LNCaP cells
high doses of capsaicin downregulates the expression of the AR (Mori et al. 2006).
AR regulates the transcription of the PSA gene, as the 5′ upstream promoter and
enhancer region of the PSA gene has several androgen response elements (ARE).
Capsaicin at high doses inhibits the ability of dihydrotestosterone to activate the
PSA promoter/enhancer even in the presence of exogenous AR which suggests that
capsaicin inhibits the transcription of PSA not only via downregulation of expres-
sion of AR, but also by a direct inhibitory effect on PSA transcription (Mori et al.
2006). Those effects are TRPV1 receptor independent since the antagonists, capsaz-
epine and ruthenium red, do not have any effect (Mori et al. 2006). Moreover, doses
used to induce apoptosis on LNCaP prostate cells are very high (200 μM) and far
away from the Kd of the receptor. However, capsaicin at lower doses (10–20 μM)
induces upregulation of androgen receptor expression in LNCaP cells which is pre-
vented by the TRPV1 antagonist capsazepine (Malagarie-Cazenave et al. 2009).
PC-3 cell line was originally derived from advanced (grade IV) androgen-
independent prostate adenocarcinoma metastasized to bone (Iype et al. 1998).
They are tumorigenic and have been widely used as a model for androgen-resistant
prostate cancer. DU-145 cells were derived from a human prostate adenocar-
cinoma metastatic to the brain and are also used to study the androgen-resistant
prostate cancer (Stone et al. 1978). In this androgen-independent cell lines, cap-
saicin dose-dependently induces cell cycle arrest and apoptosis (Mori et al. 2006;
Sanchez et al. 2006, 2007, 2008). The mechanisms underlying vanilloid-induced
apoptosis seem to occur independently of the TRPV1 receptor. In fact the apop-
totic effect elicited by capsaicin in PC-3 cells cannot be reversed by the TRPV1
antagonist capsazepine, which in turn exerts cytotoxic effect on prostate cells
(Mori et al. 2006; Sanchez et al. 2006). The androgen-resistant cell lines are more
sensitive to capsaicin-induced cell death as doses of capsaicin required to induce
cell death are lower than that required in the LNCaP cells (Table 8.1).
8.3.5 Breast Cancer
Breast cancer is the second leading cause of cancer death in women, exceeded
only by lung cancer. It is estimated that 1 out of 10 women will develop breast
cancer during her life and that there are nearly 3 million women living in the
United States with a history of invasive breast cancer (Siegel et al. 2012).
Although significant advances have been made in the treatment of this cancer, only
less than half of the patients treated for localized breast cancer benefit from adju-
vant chemotherapy; and most patients with metastatic cancer eventually develop
disease that is resistant to therapy. In addition to stage, factors that influence
survival include tumor grade, hormone receptor status, and human epidermal
growth factor receptor 2 (HER2) status.
Several reports indicate that capsaicin inhibits the growth of breast cancer cell
lines. Inhibition of growth is associated with cell cycle arrest in the S-phase and
increased levels of apoptosis both in caspase-3-deficient MCF-7 cells and in non-
caspase-3-deficient BT-20 cells suggesting that apoptosis induction is caspase-3
independent (Chou et al. 2009; Thoennissen et al. 2010; Chang et al. 2011).
Notably, in breast cancer cell lines, capsaicin was able to decrease the protein
levels of both HER-2 and EGFR (Thoennissen et al. 2010). In HER-2 overex-
pressing BT-474 and SKBR-3 cell lines, which only have low to moderate lev-
els of EGFR, capsaicin was able to clearly reduce expression levels of both types
of receptors. In contrast, the drug showed less activity in the MDA-MB231 cell
line, which is known to overexpress HER-2 as well as EGFR. However, capsaicin
did not alter the mRNA levels of EGFR and HER-2 in all three breast cancer cell
lines, suggesting that capsaicin decreases the two receptors by affecting their pro-
tein stability (Thoennissen et al. 2010).
In another study performed by Yoon et al. capsaicin treatment of MCF-7 cells
induced S-phase arrest and the accumulation of p53 in the nucleus and cytosol.
Capsaicin also induced autophagy through the AMPKα-mTOR signaling pathway
which was further confirmed by Atg5 induction, LC3 conversion, and decreased
p62 in a dose-dependent manner (Yoon et al. 2012).
Likewise, Dou et al. showed that whole pepper extracts were effective in inhib-
iting cell growth and inducing apoptosis in breast cancer cell lines MDA-MB-231
and MCF-7 and in Jurkat T leukemia cells. The peppers used in this study ranged
in capsaicin levels from the bell pepper (0 Scoville heat units) to the habanero
chili (100,000–350,000 Scoville heat units) and they were compared with puri-
fied capsaicin (16,000,000 units) (Dou et al. 2011). The effectiveness of the pep-
per extracts was correlated with the levels of capsaicin present according to the
Scoville scale. Both pepper extracts and purified capsaicin induced apoptosis and
decreased VEGF secretion in breast cancer cells whereas has minimal effect in
breast normal cells (Dou et al. 2011). The mechanism whereby the extracts and
capsaicin induced apoptosis was not related to the presence/absence of estrogen
receptors since both cell lines differ in the ER expression (MCF-7 are estrogen
receptor-positive and MDA-MB-231 are estrogen receptor-negative) (Thoennissen
et al. 2010). However, it was reduced by the hydroxyl radical scavenger thiourea,
suggesting the involvement of reactive oxygen species in the apoptotic effect.
8.3.6 Leukemic Cells
Capsaicin suppressed the growth of leukemic cells, but not normal bone marrow
mononuclear cells, via induction of G0–G1 phase cell cycle arrest and apoptosis.
Capsaicin-induced apoptosis was in association with the elevation of intracellu-
lar reactive oxygen species and Ca2+ production accompanying a downregulation
of mitochondrial membrane potential (Δψm) (Ito et al. 2004; Tsou et al. 2006).
Interestingly, capsaicin-sensitive leukemic cells were possessed of wild-type p53,
resulting in the phosphorylation of p53 at the Ser-15 residue by the treatment of
capsaicin which was abrogated by pre-treatment with the antioxidant NAC (Ito
et al. 2004). In human myeloid leukemia cells capsaicin binds to prohibitin (PHB)
2, which is normally localized to the inner mitochondrial membrane, and induces its
translocation to the nucleus thereby causing apoptosis. In human acute monocytic
leukemia cells THP-1, capsaicin increases the gene expression of carnitine palmi-
toyltransferase 1 (CPT-1) and the oxidation rate of palmitate. This data suggests that
capsaicin-induced attenuation of palmitate-induced inflammatory gene expression is
associated with reduced activation of JNK, c-Jun, and p38 and improved β-oxidation
(Choi et al. 2011).
The approach of treating cancer with combinations of standard chemo-
therapeutic drugs has become increasingly common. In line with this, studies
performed by Schwartz et el. demonstrated that the addition of capsaicin to a
combination of molecules targeting the cancer metabolism markedly decreased
lung or bladder carcinoma and melanoma tumor cell growth in mice (Schwartz
et al. 2013).
8.3.7 Lung and Bronchus
Lung cancer is a major cause of morbidity and mortality worldwide in both men
and women, accounting for 29 % of all cancers. The median age at diagnosis for
lung cancer is 70 years for males and 71 years for females. The majority of lung
cancers (56 %) are diagnosed at a distant stage because early disease is typically
asymptomatic; only 15 % of cases are diagnosed at a local stage (Matsuda and
Machii 2013). Lung cancer is classified as small cell (14 % of cases) or non-small
cell (85 % of cases) for the purposes of treatment. Radiation therapy alone (for
limited disease) or combined with chemotherapy (for extensive disease) is the
standard treatment for small cell lung cancer. Although it has been reported the
chemopreventive effect of capsaicin in experimental models of lung carcinogen-
esis, there are few studies showing the antitumor activity in lung cancer. In four
human small cell lung cancer (SCLC) cells, capsaicin displays potent antiprolifer-
ative activity with the contribution of the E2F family of transcription factors which
mediate cell cycle arrest (Brown et al. 2010).
8.4 Capsaicin Cancer-Promoter Activity
Despite our increasing understanding of the anticancer effects of capsaicin on the

above-mentioned cancer cell lines, conflicting data from animal models and basic
research suggest that in some circumstances capsaicin may promote tumor growth.
Low doses of capsaicin may exert protumorigenic effects in several cancer cell
lines. Human colorectal carcinoma cell line SW480 and HCT116, and murine colo-
rectal carcinoma CT-26 cell line revealed a 4-fold elevation in cell motility upon treat-
ment with 12.5 μM capsaicin, which had no impact on cell proliferation (Yang et al.
2013). Likewise, HCT116 human colon carcinoma cells treatment with low concen-
trations of capsaicin (≤10 μM) enhanced cell proliferation and migration in asso-
ciation with upregulation of ENOX2 (tumor-associated NADH oxidase) expression
(Liu et al. 2012). The same group has demonstrated that higher doses of capsaicin
(250 μM) inhibit HCT116 cell proliferation and downregulate ENOX2 (Mao et al.
2008). In human keratinocytes from perilesional vitiligo skin, capsaicin used at a con-
centration of 10 μM, induced an increase in mitochondrial activity and reduced ROS
accumulation and NFκB and p53 activation (Becatti et al. 2010).
In the same line, the group of Yang et al. demonstrated that low doses of cap-
saicin (12.5 μM) enhanced both migratory and invasive capability of HCT116 cell
line whereas higher doses (200 μM) induced cell cycle arrest and inhibit cell pro-
liferation (Yang et al. 2013). Furthermore, 100 μM capsaicin induced epithelial-
to-mesenchymal transition, upregulated expression of MMP-2 and MMP-9, and
activated Akt/mTOR and STAT-3 pathways in colorectal cancer cells (Yang et al.
2013). We have observed that capsaicin at lower doses (10–20 μM) induces cell
proliferation and upregulation of the androgen receptor expression in prostate can-
cer LNCaP cells (Malagarie-Cazenave et al. 2009). Interestingly, this effect was
TRPV1 receptor-dependent since it was prevented by the TRPV1 receptor antago-
nist capsazepine (Malagarie-Cazenave et al. 2009).
The biphasic effect of capsaicin observed in many tumor cells might be due
to the activation of TRPV1. As stated above, most tumor cell lines expressed
TRPV1 which has an affinity for capsaicin of Kd = 710 nM. Low doses of cap-
saicin (≤20 μM) were effective in inducing calcium entry through TRPV1 recep-
tor in cultured cells (Vriens et al. 2004; Sanchez et al. 2005). In line with this, it
has been observed that Ca2+ entry via a capsaicin-sensitive membrane channel
may play a role in stimulating hepatocellular carcinoma HepG2 cells cell migration
(Vriens et al. 2004). Therefore at low doses capsaicin presumably activates TRPV1
which could influence intracellular calcium levels affecting cancer cell aggressive-
ness. However, the capsaicin-induced apoptotic effect at high doses is a receptor-
independent mechanism, as observed in most cancer cell lines. In addition, recent
findings demonstrate that in TRPV1 null cells, capsaicin exhibits a more aggressive
antiproliferative effect than in TRPV1 expressing cells (Caprodossi et al. 2011).
8.5 Mechanisms Underlying the Capsaicin

Antitumor Activity
In spite of the well-known antiproliferative effect of capsaicin in tumor cell

lines, the mechanism underlying the intracellular signaling pathways are poorly
understood. In this section, we will summarize the best established intracellular
phenomena as well as recent pathways involving AMP-dependent kinase (AMPK)

and autophagy.
8.5.1 Intracellular Calcium
The calcium dependence of apoptosis has been well defined and comprises
a sustained elevation of intracellular calcium as well as a decrease in endoplas-
mic reticulum calcium. Sustained elevation in intracellular calcium concentration
activates various secondary mechanisms that induce the increased production of
reactive oxygen and nitrogen species and ultimately the programmed cell death.
Several studies showed that capsaicin-induced apoptosis via increased Ca2+ levels
in different carcinoma cells models (Chou et al. 2009; Huang et al. 2009; Lu et al.
2010), although the molecular mechanisms of the Ca2+ signaling pathways lead-
ing to capsaicin-induced cell death are still misunderstood. The release of intra-
cellular Ca2+ may be an important regulatory factor on early apoptosis induced
by capsaicin as calcium chelators prevent capsaicin-induced cell death (Lee
et al. 2009). In most cancer cell types other than neuroblastoma or glioma cells,
the increase in intracellular calcium is secondary to ER stress-dependent responses
rather than a massive calcium entry by a calcium-permeable channel (Huang et al.
2009; Lee et al. 2009; Ip et al. 2012).
8.5.2 Reactive Oxygen Species
Reactive oxygen species (ROS), including superoxide (O2−), hydroxyl radical

(HO−), and hydrogen peroxide (H2O2), have a dual role in cellular environments.
Whereas low ROS levels are involved in normal cell events, excess ROS cause cel-
lular damage and ultimately lead to cell death (Sinha et al. 2013). The involvement
of ROS in vanilloid-induced apoptosis has been demonstrated in most of the cell
lines analyzed (Sanchez et al. 2007; Huang et al. 2009; Lu et al. 2010) and revised
by Surh (Surh 2002; Lu et al. 2010). In recent years, a number of studies have
shown that oxidative stress could cause cellular apoptosis via both the mitochon-
dria dependent and mitochondria-independent pathways (Sinha et al. 2013).
The plasma membrane of cells contains an electron transport chain (tPMET),
cyanide-insensitive, comprised by two cytoplasmic NADH-coenzyme Q reduc-
tases, one NADH cytochrome b reductase, the lipophilic electron carrier coen-
zyme Q (CoQ), and a terminal coenzyme Q oxidase located on the external
plasma membrane surface (Fig. 8.3). The last one oxidizes externally supplied
NADH and hence they are NADH oxidases (NOX). Since they are located on
the outside cell surface, they are referred to as ECTO-NOX or ENOX proteins
(Crane and Low 2008; Jiang et al. 2008). The tPMET reduces extracellular oxi-
dants by using the reducing power of intracellular antioxidants, making the cell
SH
NAD + Protein
SH
NADH S
ENOX Protein
NADH- S
CoQ
Cyt b
NADH - Q
NADH -Q reductase
reductase
NADH NAD +
NADH NAD +
Fig. 8.3 Trans-Plasma membrane electron transport chain (tPMET). It is comprised by two

cytoplasmic NADH-coenzyme Q reductases, one NADH cytochrome b reductase, the lipophilic
electron carrier coenzyme Q, and a terminal coenzyme Q oxidase located on the external plasma
membrane surface
metabolism respond to changes in the local redox environment. They also exhibit
protein disulfide-thiol interchange activities (Bosneaga et al. 2008). In tumor
cells, this plasma membrane NADH oxidase is upregulated (Morre et al. 1995).
It seems that at least one function of this redox system is to regenerate NADP
from NADH accumulated in the glycolytic production of ATP, increased in
tumor cells. CoQ blockage inhibits the plasma membrane NADH-oxidoreductase
electron transport chain and promotes reactive oxygen species production that
may result in apoptosis.
The group of Morré has demonstrated that cancer cells contains a specific isoform
of ENOX only expressed in tumor cells designated ENOX2 (former tNOX) that is
inhibited by several quinone site inhibitors with anticancer activity, all of which result
in cell cycle arrest and induce apoptosis. ENOX2 is expressed only in tumoral cells
and not in normal cells. In line with this, ENOX2 overexpression in noncancerous
MCF-10A cells results in the acquisition of invasivity, an aggressive characteristic
of cancer (Chueh et al. 2004). The role of ENOX2 in tumor formation is evidenced
by the fact that ENOX2 knockdown suppresses the growth of HCT116 xenografts in
vivo and metastatic potential following colon cancer cells tail-vein injections in mice
(Liu et al. 2012). This activity has been also detected in the sera of prostate cancer
patients (Morre et al. 1997) whereas it is absent in serum from healthy volunteers
or patients of other conditions (Morre et al. 2008). Different ENOX2 isoforms are
specifically expressed in cancers of different tissue origins providing a very use-
ful tool for diagnosis and management (Morre et al. 2008). It is relevant to note that
this enzyme is completely inhibited by capsaicin, since capsaicin can behave like a
quinone analog (Morre et al. 1995, 1996; Macho et al. 1999), which has no activ-
ity in constitutive ENOX (Jiang et al. 2008). Likewise, preincubation of cancer cells
with coenzyme Q prevents capsaicin-induced apoptosis (Wolvetang et al. 1996),
suggesting that capsaicin induces apoptosis by competing with coenzyme Q in the
plasma membrane redox system. Inhibition of ENOX2 can affect the redox balance
with an overall shift toward a pro-oxidative status which results in the redirection of
the normal electron flow in the plasma membrane complex, favoring the one elec-
tron processes that generates superoxides and other aggressive oxidants (Hail 2003;
Macho et al. 2003). Capsaicin also decreases the half-life of ENOX2 in human gastric
carcinoma cells concurrently with apoptosis (Wang et al. 2008).
By other hand, research performed by Srivastava et al. has demonstrated the
involvement of thioredoxine (Trx) in capsaicin-induced apoptosis in pancreatic can-
cer cells. Intracellular antioxidant thioredoxin (Trx) negatively regulates apoptosis
signal-regulating kinase 1 (ASK1,) a member of mitogen-activated protein kinase
kinase kinase family, which is involved in apoptosis induction. Authors demon-
strated that the expression of Trx was significantly reduced by capsaicin, resulting
in the activation of ASK1 mainly by phosphorylation at Thr845. Capsaicin-mediated
ROS generation was involved in the inhibition of Trx and activation of the ASK-1
cascade, leading to apoptosis in pancreatic cancer cells (Pramanik and Srivastava
2012) (Fig. 8.4).
However, one cannot exclude the possibility that some of the ROS generation
promoted by vanilloid treatment is attributable to a disruption of the mitochon-
drial respiratory system since capsaicin can also inhibit the NADH:coenzyme Q
oxidoreductase (i.e., complex I) activity of the mitochondrial electron transport
system. Hail and Lotan have demonstrated that in skin squamous cell carcinoma
capsaicin induces the inhibition of mitochondrial respiration (Hail and Lotan
2002). The induction of apoptosis was associated with the mitochondrial perme-
ability transition (i.e., an increase in the permeability of the inner mitochondrial
membrane associated with the opening of a nonspecific pore) concomitant with
a rapid increase in hydroperoxide generation and a decrease in oxygen consump-
tion. This may be due to an inhibition of mitochondrial electron transport by
capsaicin, presumably at complex I, which may promote the production of ROS.
In human pancreatic cancer cells capsaicin causes ROS (superoxide radical and
hydrogen peroxide) generation by inhibiting mitochondrial complex I and com-
plex III activity and drastically disrupts mitochondrial functions decreasing ATP
levels. However, normal pancreatic epithelial cells were resistant to the effects
of capsaicin (Pramanik et al. 2011). Therefore, capsaicin targets both mitochon-
drial and plasma membrane electron transport systems, thereby generating ROS
that can mediate apoptosis (Surh 2002). In line with this notion we have observed
that capsaicin treatment of prostate cancer PC-3 cells induces an increase in ROS
in a biphasic manner with an acute peak after a 15-min treatment and a second
peak after 10 h (Sanchez et al. 2006). Whereas the second peak is inhibited by
mitochondrial electron chain inhibitors, as rotenone and cyanide, the first peak
seems not to have a mitochondrial origin (Sanchez et al. 2006). Macho et al. dem-
onstrated that in transformed cells capsaicin and capsaicinoids selectively induced
a rapid increase of ROS followed by a subsequent disruption of the mitochon-
drial transmembrane potential and had no effect in normal cells (Macho et al.
1999). Similar results were observed in prostate PC-3 cells (Sanchez et al. 2006).
Therefore, it appeared that capsaicin exposure of tumor cells initiates ROS produc-
tion at the plasma membrane tPMET resulting in oxidative stress, which triggered
mitochondrial-induced apoptosis (Fig. 8.3).
Capsaicin
ENOX2
NADH- CoQ
Cyt b
NADH-Q
reductase
NADH-Q
reductase
ROS Ca2+ Ca2+

Ca2+
ER STRESS
PERK
Trx P ATF6
AMPK IRE
P
ASK Akt
mTORC1
p53
LC3I P
p70S6K
Cytochrome C
P
S6
LC3II
AUTOPHAGY
Caspase 3
APOPTOSIS
Fig. 8.4 Scheme of the main signaling pathways activated by capsaicin in tumoral cells.

Capsaicin induces apoptosis by several mechanisms. Capsaicin impacts the NADH-
oxidoreductase electron transport chain present in cancer cells and inhibits its activity.
Deregulation of plasma membrane electron transport chain produces accumulation of ROS which
inactivates thioredoxin (Trx) activating the apoptosis signal-regulated kinase ASK1. Excess of
ROS may also activate mitochondrial-dependent apoptosis. In most cell lines, capsaicin increases
intracellular calcium concentration secondary to ER stress. ER stress responses may induce
autophagy. Activation of AMPK may occur by ROS or by a calcium-dependent pathway. AMPK
inhibits the mTOR7S6 pathway and activates autophagy (see text for explanation)
8.5.3 AMPK and Autophagy
Cancer cells can reprogram their metabolism, and thus their energy production,
to support the anabolic requirements associated with cell growth and prolifera-
tion, by limiting their energy metabolism largely to glycolysis, leading to a state
that has been termed “aerobic glycolysis” (Schulze and Harris 2012; Ward and
Thompson 2012). Those changes constitute a fundamental adaptation of tumor
cells to a relatively hostile environment, and support the evolution of aggressive
and metastatic phenotypes. The importance of metabolic reprogramming in can-
cer is being increasingly recognized and represents one of the major fields of
research in this area.
The AMP-dependent protein kinase (AMPK) is considered the principal meta-

bolic gatekeeper of the cell. It is activated by metabolic stresses that increase cel-
lular ADP/ATP and/or AMP/ATP ratios (Hardie et al. 2012; Hardie and Alessi
2013). Upon energetic imbalance, intracellular concentrations of AMP increase,
thus promoting AMPK activation. Activated AMPK stimulates catabolic pathways
(e.g. glycolysis and fatty acid oxidation) and, concomitantly, inhibits the rate of
anabolic reactions (protein, cholesterol, triglyceride and fatty acid synthesis) to
restore the correct adenylate energy charge. Capsaicin treatment of colon can-
cer HT29 cells induced AMPK activation and inhibition of ACC, a well-known
AMPK substrate, suggesting that capsaicin is inhibiting lipid biosynthesis. Both
phenomena were involved in capsaicin-induced apoptosis (Kim et al. 2007). We
have also observed that capsaicin at 40 μM induces activation of AMPK in pros-
tate PC-3 cells through a mechanism independent of TRPV1 receptor (data not
shown). In line with this, capsaicin was shown to inhibit adipogenesis in 3T3-L1
preadipocytes cells through direct activation of caspase-3 (Hsu and Yen 2007).
The mechanism whereby capsaicin could activate AMPK is not clear but recent
research indicates that pro-oxidant conditions or the selective inhibition of the
mitochondrial electron transport chain, also plays a pivotal role in the stimulation
of AMPK activity (Cardaci et al. 2012). As capsaicin increases intracellular ROS
and impairs mitochondrial transmembrane potential, this could be a sufficient sig-
nal to trigger AMPK activation (Fig. 8.3).
AMPK is not only an energy-responsive enzyme but has been identified as a
regulator of autophagy. Autophagy is a cellular self-digestive process whereby
bulk cytoplasmic components and intracellular organelles are sequestered into
double membrane vesicles named autophagosomes and delivered for degradation
fusing with lysosomes to form single-membrane autophagolysosomes. The con-
tents of the autophagolysosomes are ultimately degraded by lysosomal hydrolase
(Caffarel et al. 2006; Eisenberg-Lerner and Kimchi 2009; Dikic et al. 2010; Glick
et al. 2010). Accumulating data have demonstrated that autophagy is involved in
cell death, referred to as type II programmed cell death. Stimulation of autophagy
in many cellular settings relies on the inhibition of the mTORC1 complex, which
plays a central role in the control of protein synthesis, cell growth and cell pro-
liferation through the regulation of several downstream targets. As a result of its
central position in the control of cellular homeostasis, mTORC1 integrates signals
from different inputs. One of the most important upstream regulators of mTORC1
is the pro-survival kinase Akt, which phosphorylates and inactivates TSC2 (an
inhibitor of the mTORC1 activator Rheb) and PRAS-40. Thus, Akt activation
stimulates mTORC1 and inhibits autophagy. On the other hand, AMPK has also
been shown to negatively regulate mTORC1 via TSC2 activation, which also leads
to autophagy stimulation (Alers et al. 2012; Cardaci et al. 2012). The autophagic
pathway has been extensively investigated in yeast and mammalian cells. During
autophagy, microtubule-associated protein 1 light chain 3 (LC3) is cleaved at its
C-terminal arginine residue to form LC3-I. LC3-I is easily activated and conju-
gated to phosphatidylethanolamine (PE) and bound to the autophagosome mem-
brane to form LC3-II. LC3-II localized to the autophagosome has been used as
an autophagosome marker. Capsaicin-induced autophagy has been demonstrated

in various cancer cell types. In HCT116 and MCF-7 cells, dihydrocapsaicin
(DHC) and capsaicin induce autophagy that may contribute to cell death (Oh et al.
2008). The effect of capsaicin and DHC was abrogated by the catalase inhibitor
3-amino-1,2,4-triazole (3AT) and catalase genetic knockdown, indicating that
DHC-induced autophagy was regulated by catalase activity (Oh et al. 2008).
The endoplasmic reticulum (ER) performs several functions, which include
protein-folding, trafficking, and intracellular calcium concentration regulation.
When ER functions are disrupted causing an imbalance between protein-folding
capacity and protein load ER triggers a series of signaling and transcriptional
events known as the unfolded protein response (UPR). The UPR attempts to
restore homeostasis in the ER but if unsuccessful can trigger apoptosis in the
stressed cells and local inflammation (Wang et al. 2010). Three pathways may be
activated during the ER stress response: the inositol-requiring enzyme-1 (IRE-1)
pathway, the PERK pathway and the ATF6 pathway. In prostate PC-3 cells, cap-
saicin treatment induced an upregulation of CHOP protein which was detected by
microarray studies, RT-PCR and western blot (Sanchez et al. 2008). The increase
in CHOP protein expression was preceded by an increase in ATF4 expression and
in an enhancement of eIF2α phosphorylation, which indicates that the PERK ER
stress pathway is activated by capsaicin in prostate cells (Sanchez et al. 2008). In
human breast cancer cells, capsaicin treatment triggered ER stress by increasing
levels of IRE1, CHOP, GRP78/Bip, and activated caspase-4. It led to an increase
in cytosolic Ca2+, calpain activation, loss of the mitochondrial transmembrane
potential, release of mitochondrial cytochrome c, and caspase-9 and -7 activation
(Lee et al. 2009). In line with these results, Choi et al. demonstrated that in breast
cancer cells capsaicin induced ER stress by upregulation of IRE-1 and CHOP.
Moreover, capsaicin treatment caused an increase in the conversion of LC3I into
LC3II which was reduced by transfection of MCF-7 cells with p38 siRNA. IRE1
knockdown with selective siRNA was found to reduce the phosphorylations of
p38 and Akt and eventually to reduce LC3II conversion. Authors demonstrate that
p38 MAPK is required for capsaicin-induced autophagy at the sequestration step
of autophagosome formation (Choi et al. 2010a). This observation link capsaicin-
induced ER stress with autophagy as is schematized in Fig. 8.4.
In a recent study, Choi et al. demonstrated that the capsaicin analog, dihydro-
capsaicin (DHC) induced autophagy through catalase activation, although it might
be involved in cell protection against apoptotic and necrotic cell death rather than
in apoptosis induction (Choi et al. 2010b).
8.5.4 Peroxisome Proliferator-Activated Receptors
Peroxisome Proliferator-Activated Receptors (PPAR) are ligand-activated tran-

scription factors which belong to the nuclear receptor superfamily and medi-
ate several physiological functions, among which the best characterized are lipid
metabolism, energy balance and anti-inflammation (Youssef and Badr 2011).

There are three PPAR subtypes alpha, delta (also known as beta), and gamma, all
of which have long been known to be expressed in most tissues although at differ-
ent levels (Yessoufou and Wahli 2010). PPARγ exists in two major isoforms (γ1
and γ2) which arise by differential transcription start sites and alternative splicing
(Zhu et al. 1995) although PPARγ1 expression is very low in most tissues.
Recent research has shown that capsaicin activates PPARα in vitro with an
EC50 of 50 μM (Mueller et al. 2011). In addition, dietary capsaicin enhances fatty
acid oxidation in adipose tissue through PPARα activation (Kang et al. 2010).
Moreover, dietary capsaicin lowered fasting glucose, insulin, leptin levels, and
markedly reduced the impairment of glucose tolerance in obese mice pointing to a
beneficial effect of capsaicin in metabolic-related diseases. In line with this obser-
vation, topical application of capsaicin cream in male mice lowered serum levels
of fasting glucose, total cholesterol, and triglycerides and increased expression of
PPARα and PPARγ (Lee et al. 2013). The involvement of PPAR receptors in the
capsaicin antitumor activity has been demonstrated by several groups. In HT-29
human colon cancer cells treatment with capsaicin or the PPARγ ligand troglita-
zone-induced apoptotic cell death in a dose-dependent manner (Kim et al. 2004).
Capsaicin-induced cell death was completely blocked by a specific PPARγ antago-
nist and was independent of the TRPV1 receptor as capsazepine did not have any
effect (Kim et al. 2004).
8.5.5 P53
The tumor suppressor protein p53 regulates the cellular response to DNA dam-
age by mediating cell cycle arrest, DNA repair, and cell death. Activation of
p53 induces apoptosis typically through the mitochondrial pathway, although
p53 can also modulate cell death through death receptors although the mech-
anisms involved in p53-mediated cell death remain controversial. In response
to stress signals, the levels of p53 protein are rapidly increased, and activity is
enhanced after phosphorylation at the Ser-15 residue, resulting in the upregu-
lation of various proapoptotic genes, including the cyclin-dependent kinase
inhibitor p21WAF1/CIP1 and those encoding members of the Bcl-2 family as
the proapoptotic protein Bax. In turn, increased levels of Bax induce mitochon-
drial depolarization, release of cytochrome c, and activation of caspase cascade,
leading to apoptosis.
Following capsaicin treatment an increase in p53 and phosphorylated p53 has
been observed in several cancer cell lines (Huang et al. 2009; Kim et al. 2009;
Maity et al. 2010; Kim 2012; Yoon et al. 2012) (reviewed in (Rajput and Mandal
2012)). Several studies have demonstrated that ROS generation plays a significant
role in phosphorylation of p53 at the Ser-15 residue.
However, the role of p53 in the mechanism of capsaicin-induced cell death is
not critical since in cells lacking p53 as PC-3 cells or null capsaicin also triggers
apoptosis and cell death. It has been suggested that in the absence of p53, pro-
grammed cell death proceeds and is partly mediated by the “tumor suppressor
lipid”, ceramide (Hage-Sleiman et al. 2013). Ceramide either de novo synthetized
or produced by sphingomyelin hydrolysis, can induce cell death through both cas-
pase-dependent and caspase-independent mechanisms. As ceramide accumulation
has been observed in capsaicin-treated p53 null cells (Sanchez et al. 2007), this
could explain the p53-independent apoptosis induction triggered by capsaicin.
8.5.6 Transcription factors: NFκB and STATs
NF-κB is a family of transcription factors ubiquitously expressed and well-known

for their central role in immunity, inflammation. However, NF-κB also plays a major
role in development and progression of cancer because it regulates a number of genes
involved in inflammation, cell survival, cell proliferation, invasion, angiogenesis,
and metastasis. Capsaicin is a potent inhibitor of NFκB and blocks NFκB activation
induced by proinflammatory stimuli (Singh et al. 1996). The group of Mori described
that the activity of NF-κB was dramatically inhibited by capsaicin in PC-3 cells
(Mori et al. 2006). NFκB proteins are maintained in the cytoplasm by their binding
with inhibitory proteins (IKBs). The degradation of IKB allows NFκB to translocate
to the nucleus and bind cognate DNA-binding sites to regulate the transcription of
a large number of genes, including inflammatory cytokines. Capsaicin treatment of
human myeloid ML-1a cells blocked the degradation of I kappa B alpha, and thus
the nuclear translocation of the p65 subunit of NF-kappa B, which is essential for
NF-kappa B activation (Singh et al. 1996). Mori et al. also observed that capsaicin
inhibited the TNF-α-induced IκBα degradation in the cytoplasm, thus preventing the
TNF-α-dependent translocation of NF-κB to the nucleus. Moreover, IκBα protein lev-
els increased in PC-3 cells cultured with capsaicin for 2 h compared with the levels
in untreated cells (Mori et al. 2006). In line with this, in adult T cell leukemia cells,
capsaicin treatment induced the decrease in phosphorylated Iκ-Bα accompanied by a
decrease in the NF-κB binding activity of p65, but not p50, indicating selective inhibi-
tion of p65 subunit by capsaicin. Decrease in the NF-κB activity, at least in part, may
be responsible for induction of apoptosis in these cells (Zhang et al. 2003).
8.6 In Vivo Antitumoral Action of Capsaicin
Given the large number of publications that have described the antiproliferative
effect of capsaicin in vitro it is somewhat surprising that there are relatively few
studies that have investigated the in vivo antitumoral action of capsaicin. However,
although they differ in the cell type used, the inoculation site and the adminis-
tration route of capsaicin (Table 8.2), all show a substantial reduction of tumor
growth in xenograft and orthotopic mouse models.
Table 8.2 In vivo antitumor activity of capsaicin

Tumor site Cells injected Dose (mg/kg) Administration References
route
Colon cancer Subcutaneous COLO 250 1 and 3 Injection Lu et al. (2010)
Pancreatic Subcutaneous PANC-1 5 (3 times per Oral gavage Zhang et al.
cancer week) (2013)
AsPC-1 2.5 (5 days a Oral gavage Pramanik et al.
week) (2011)
Orthotopic PANC-1 5 Oral gavage Pramanik and
Srivastava
(2012)
Prostate cancer Subcutaneous PC-3 5 Injection Sanchez et al.
(2006)
Subcutaneous PC-3 5 (3 times per Oral gavage Mori et al.
week) (2006)
Breast cancer Orthotopic MDAMB231 5 (3 times per Oral gavage Thoennissen
week) et al. (2010)
Urinary bladder Subcutaneous T24 5 Injection Yang et al.
cancer (2010)
Leukemia Subcutaneous NB4 50 Injection Ito et al. (2004)
Small cell Subcutaneous H69 10 Injection Brown et al.
carcinoma (2010)
In vivo studies in immunodeficient nu/nu mice bearing colo 205 tumor xeno-
grafts showed that capsaicin at 1 and 3 mg/Kg injected each 3 days effectively
inhibited tumor growth (Table 8.2) (Lu et al. 2010). Interestingly, dietary expo-
sure of capsaicin during the initiation phase was found to significantly reduce the
incidence of colonic adenocarcinoma in a model of azoxymethane-induced colon
tumorigenesis (Yoshitani et al. 2001).
Capsaicin at 5 mg/kg administered by oral gavage 3 days a week reduced 30 %
the volume and weight of pancreatic tumors (Pramanik and Srivastava 2012;
Zhang et al. 2013) and urinary bladder tumors (Yang et al. 2010). Capsaicin was
an extremely effective inhibitor of the cancer process, inducing apoptosis in can-
cer cells.
The in vivo activity of capsaicin against prostate cancer has only been studied
in the PC-3 cell line because it is the best tumorigenic. Xenograft PC-3 tumors
were induced intradermically in mice and a significant reduction of tumor growth
was observed in the mice treated during 14 days with capsaicin when injected near
the tumor. Biochemical parameters revealed that the treatments did not affect liver
or kidney. Tunnel labeling showed that capsaicin was able to induce apoptosis of
PC-3 cells also in vivo (Sanchez et al. 2006). Moreover, capsaicin exhibit a protec-
tive anticarcinogenic activity in mice injected s.c. with PC-3 cells. PC-3 cells were
injected into the flanks, and from the next day, capsaicin was given by gavage
3 days per week. Tumor volumes were measured weekly and all mice were killed
at the end of the 4th week when tumors were dissected and weighted. Tumors in
capsaicin-treated mice compared with those in vehicle-treated mice were statisti-
cally significantly smaller (Mori et al. 2006). Those results indicate that capsaicin
is a promising new chemotherapeutic agent that exerts effects in preventing and in

reducing tumor growth.
In addition, the aggressive EGFR-positive MDAMB231 breast cancer cells
were grown orthotopically in the breast tissue of female mice following oral cap-
saicin administration 3 days a week. Capsaicin treatment caused a reduction of
70 % in the weight of breast cancer tumors compared to controls (Thoennissen
et al. 2010). Concordantly with the in vitro studies, breast tumors of mice treated
with capsaicin had lower levels of activated ERK, as well as HER-2 and cyclin
D1, whereas caspase-3, -7, -9 activity along with PARP cleavage products was
increased compared to the tumors from the control mice (Thoennissen et al. 2010).
In a model of mice with subcutaneous leukemic tumors, treatment of ani-
mals with capsaicin (50 mg/kg) in 5 % ethanol as an emulsion fluid injected
daily for 6 days significantly decreased tumor weight and increased apoptosis
(Ito et al. 2004).
To the best of our knowledge, no human clinical trials on capsaicin efficacy
against cancer have been carried out. However, it has recently been reported a case
of a patient with recurrent adenocarcinoma of the prostate with Gleason grade 7,
who experienced a slowing of his prostate-specific antigen doubling time while
taking capsaicin (Jankovic et al. 2010).
8.7 Conclusions and Future Perspectives
Despite our improved understanding of cancer biology and ability to perform more
complex therapeutic strategies that produce better short-term outcomes, major
progress toward increasing survival times has been exhaustively slow. It is, there-
fore, of particular interest to impose new therapeutic strategies of this fatal dis-
ease. The development of preventive approaches using specific natural or synthetic
compounds, or both, requires a depth of understanding of the cross-talk between
cancer signaling pathways and networks to retain or enhance chemopreventive
activity while reducing known toxic effects. Capsaicin has shown to have antitu-
moral properties both in vitro and in vivo against many cancer cell types. Although
the in vitro doses required to trigger apoptosis are very high, in the in vivo studies
no toxic side effects have been observed suggesting that capsaicin-based chemo-
therapy could be a safety treatment. In fact, antitumoral capsaicin effective doses
used in the in vivo studies (range between 1 and 50 mg/kg, Table 8.2) suggest that
therapeutic doses could be achievable without toxic side effects. Considering that
red peppers have a capsaicin content ranging from 0.1 to 60 mg/g, to reach a thera-
peutically effective dose, a person of about 70 kg should take daily 3 kg of the soft
pepper or 6 g of the most hot pepper during the treatment. Although this is not a
daily consuming quantity, could be used in case of chemotherapy. Global differ-
ences in the daily consumption of capsicum spices vary from 2.5 g/person in India,
5 g/person in Thailand, 15 g/person in Saudi Arabia, or 20 g/person (one chili pep-
per) in Mexico (O’Neill et al. 2012). This suggests that at least 20 g pepper/person
can be consumed daily without side toxic effects. Overall, these findings show that
capsaicinoids could be considered as a useful cancer therapeutic approach.
Acknowledgments This work has been supported by Spanish Minneco (grant BFU2012-31444),
Comunidad de Madrid (Grant S2010/BMD-2308), and Fundación Tatiana Pérez de Guzmán.
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Chapter 9
Capsaicin as New Orally Applicable
Gastroprotective and Therapeutic Drug
Alone or in Combination with Nonsteroidal
Anti-Inflammatory Drugs in Healthy
Human Subjects and in Patients
Gyula Mózsik
Abstract Background: Capsaicin is a specific compound acting on capsaicin-sensitive

afferent nerves. Aim: Capsaicin was used to study the different events of human gas-
trointestinal physiology, pathology, and clinical pharmacology, and possible therapeutic
approaches to enhance gastrointestinal mucosal defense in healthy human subjects
and in patients with various different gastrointestinal disorders as well as its use with
nonsteroidal anti-inflammatory drugs (NSAIDs) in healthy subjects and in patients.
Materials and Methods: The observations were carried out in 198 healthy human
subjects and in 178 patients with different gastrointestinal (GI) diseases (gastri-
tis, erosions, ulcer, polyps, cancer, inflammatory bowel diseases, colorectal polyps,
cancers), and in 69 patients with chronic (Helicobacter pylori positive and negative)
gastritis (before and after eradication treatment). The gastric secretory responses
and their chemical composition, gastric emptying, sugar loading test, gastric trans-
mucosal potential difference (GTPD) with application of capsaicin alone, after etha-
nol alone and with capsaicin, indomethacin-induced gastric mucosal microbleeding
without and with capsaicin were studied. The immunohistochemical examinations of
the capsaicin receptor (TRVP1), calcitonin gene- related peptide (CGRP), and sub-
stance P (SP) were carried out in gastrointestinal tract, and especially in patients with
chronic gastritis (with and without Helicobacter infection, before and after classical
eradication treatment). Classical molecular pharmacological methods were applied to
study the drugs inhibiting the gastric basal acid output. Results: Capsaicin decreased
the gastric basal output, enhanced the “non-parietal” (buffering) component of gas-
tric secretory responses, and gastric emptying, and the release of glucagon. Capsaicin
G. Mózsik (*)
First Department of Medicine Medical and Health Centre, University of Pécs,
Pécs H-7643, Hungary
e-mail: [email protected]; [email protected]

210 G. Mózsik
prevented the indomethacin- and ethanol-induced gastric mucosal damage; mean-

while capsaicin itself enhanced (GTPD). Capsaicin prevented the indomethacin-
induced gastric mucosal microbleeding. The expression of TRVP1 and CGRP
increased in the gastric mucosa of patients with chronic gastritis (independently of
the presence of Helicobacter pylori infection), and the successfully carried out eradi-
cation treatment. The human first phase examinations (the application of acetylsali-
cylic acid (ASA), diclofenac, and naproxen together with capcaicinoids) (given in
doses that stimulate capsaicin-sensitive afferent vagal nerves) showed no change in
the pharmacokinetic parameters of ASA and diclofenac and the ASA and diclofenac-
induced platelet aggregation. Conclusions: Capsaicin represents a new orally appli-
cable gastroprotective agent in healthy human subjects and in patients with different
chemical and Helicobacter pylori-induced mucosal damage and in many other dis-
eases requiring treatment with NSAIDs.
9.1 Introduction
Capsaicin is an active ingredient of red pepper and paprika. These plants are well
known and used in every day of the culinary practice for about 7500 years.
It was an important discovery that capsaicin (capsaicin, dihydrocapsaicin, nor-
dihydrocapsaicin, and other capsaicinoids) specifically modify the function of cap-
saicin-sensitive afferent nerves (Jancsó et al. 1967, 1968, 1970).
Capsaicin activates the capsaicin (vanilloid) receptor expressed in a subgroup
of primary afferent nociceptive neurons (Szolcsányi 2004). The capsaicin recep-
tor has been cloned (Caterina et al. 1997) and turned out to be a cation channel.
It is gated besides capsaicin and other capsaicinoids (some vanilloids) by low pH,
noxious heat, and various pain-producing endogenous and exogenous chemicals.
Thus, these sensory nerve endings equipped with these ion channels are prone to
be stimulated in gastric mucosa.
The action of capsaicin on capsaicin-sensitive afferent nerves is a dose-depend-
ent (Szolcsányi and Barthó 1981; Szolcsányi 1984, 1997, 2004; Abdel-Salam
et al. 1999, 2001; Mózsik et al. 2001). Szolcsányi indicated four different stages
of capsaicin action (depending on the dose and duration of the exposure to the
compound): (a) Excitation (stage 1); (b) Sensory blocking effect (stage 2); (c)
Long-term selective neurotoxin impairment (stage 3), and (d) Irreversible cell
destruction (stage 4) (Szolcsányi 1984). The stages 1 and 2 are reversible, while
the stages 3 and 4 are irreversible compound-induced actions on capsaicin sensi-
tive afferent nerves. These stages of capsaicin actions can be detected in the gas-
trointestinal tract (Mózsik et al. 2001) in animal experiments.
The vagal nerve has a key role in the development of gastrointestinal mucosal
damage and prevention (Mózsik et al. 1982). The key role of vagal nerve has been
emphasized dominantly in the aggressive processes to gastrointestinal (GI) mucosa
(such as peptic ulcer disease, gastric mucosal damage, etc.) in both animal models
and as well as in human clinical practice. The “chemical” and “surgical” vagotomy
9 Capsaicin as New Orally Applicable Gastroprotective and Therapeutic 211
were widely used in the treatment of patients with peptic ulcer disease in the years
up to middle of 1970 (Karádi and Mózsik 2000). By other words, the primary aim of
this therapy was to decrease the activity of vagal nerve at the level of efferent nerve.
The application of capsaicin in the animals experiments was used as a specific
tool to approach the group of primary afferent nociceptive neurons (Szolcsányi
2004; Buck and Burks 1986; Holzer 1988, 1991, 2013; Szállasi and Blumberg
1999) involved in the different physiological, pathological processes, and medical
therapy in healthy human subjects, and in patients with different GI disorders as
well as those treated with NSAIDs.
Szolcsányi and Barthó (1981) were the first who clearly indicated the beneficial
and harmful effect of capsaicin in the peptic ulcer disease in rats that depended
on the applied doses of capsaicin. Later, Holzer started a very extensive research
work with capsaicin in the field of gastroenterology (Holzer 1998, 1999, 2013;
Buck and Burks 1986; Szállasi and Blumberg 1999; Holzer and Sametz 1986;
Holzer and Lippe 1988). Our group also participated in the GI capsaicin research
in animal experiments beginning from 1980 (Mózsik et al. 1997).
Even the new drug “Lafutidine” a Histamin-2-receptor (H2R) blocking com-
pound, that was developed in the medical treatment of GI mucosal damage and
marketed in Japan (Ajioka et al. 2000, 2002; Onodera et al. 1999; Takeuchi 2006)
showed typical capsaicin actions at the target organ.
The new and interesting results obtained with capsaicin application in animal
experiments offered excellent tools to approach the different events of human gas-
trointestinal physiology, pathology, and pharmacology, and to produce new drug
or new drug combinations in healthy human subjects and patients with different
GI and other diseases (myocardial infarction, thrombophilia, rheumatoid arthritis,
chronic pain killer use).
We started with clinical studies with capsaicin from 1997 (Debreceni et al.
1999; Mózsik et al. 1999, 2004a, b, 2005) and these studies incorporated the dif-
ferent regulatory mechanisms of capsaicin in the human stomach, gastric mucosal
preventive effects of capsaicin(noids) on the NSAIDs-induced gastric mucosal
damage, chronic gastritis with Helicobacter pylori (H. pylori) positive and nega-
tive gastritis (with and without eradication treatment). We performed immunohis-
tochemical examinations of capsaicin receptor (TRVP1), Calcitonin Gene-Related
Peptide (CGRP), SP in the human gastrointestinal mucosa of patients with differ-
ent GI disorders, took significant steps for the development of a capsaicin con-
taining drug (alone) and in combination with NSAIDs (capsaicin plus aspirin,
diclofenac, naproxen), including the preparation of protocols for human phase I
examinations (and to carry out these examinations after the receiving permis-
sion from the National Institute of Pharmacy (Budapest, Hungary) and National
Clinical Pharmacological and Ethical Committee of Hungary).
These studies were carried out in prospective, randomized, and multiclinical studies
of healthy human subjects, patients with various gastrointestinal disorders including
gastric mucosal damage produced by application of NSAIDs or H. pylori infection.
The aims of this review are: (1) to give a short summary on the actions of capsai-
cin on the human gastrointestinal tract (dominantly on the stomach); (2) to indicate
212 G. Mózsik
some details of gastroprotective actions of capsaicin in healthy human subjects; (3)

to demonstrate the capsaicin-induced gastric protective actions against the NSAIDs-
(COX-1 and COX-2 inhibitor or a nonselective COX inhibitor) drug-induced gas-
tric microbleedings in healthy human subjects; (4) to prove the independency the
expression of TRPV1 and CGRP expression from the presence of the Helicobacter
pylori positive or Helicobacter pylori −ve chronic gastritis, the efficacy of success-
fully carried out eradication treatment in patients with Helicobacter pylori positive
gastritis in patients; (5) to indicate the clinical pharmacological problems of plant
origin capsaicin in humans (in term of drug processing); (6) to draw attention to
capsaicin actions (given orally in stimulatory doses) on capsaicin-sensitive afferent
nerves); (7) to illustrate these gastroprotective effects of capsaicin in healthy human
subjects in the treatment of those who have been under chronic NSAID use (like
patients with myocardial infarction, stroke, thrombophilia, rheumatic diseases, etc.).
In terms of classical pharmacology, we would like to demonstrate clearly that the
applied doses of capsaicin in the human observations stimulates capsaicin-sensitive
afferent nerve with a clear-cut exclusion of capsaicin desensitization.
On the other hand, our research activity clearly demonstrates the different dif-
ficulties of capsaicin(oids) application as new gastroprotective drug for healthy
subjects and patients with different GI disorders and NSAIDs used in regards to
toxicology plant cultivation, storage, chemical detection and standardization ques-
tions as well as permission request from authorities needed prior the launch of
industrial processing of plant-derived, orally applicable drug or drug combinations.
Our attention was focused toward the effects of capsaicin on the human gastroin-
testinal tract in healthy conditions and in various gastrointestinal disorders, and the
development of a new capsaicin containing drug (alone) or in different combinations
(NSAIDs plus capsaicin: aspirin, diclofenac, naproxen) together with nationally and
internationally accepted by the responsible authorities working in this field.
9.2 Materials and Methods
9.2.1 Subjects
The observations were carried out in 198 healthy human subjects aged 25–65 years
(40 ± 10 years) and in 178 patients with various gastrointestinal disorders ( gastritis,
erosion, ulcer, polyps, cancer, and chronic inflammatory bowel diseases, polyps,
precancerous states, colorectal cancer) aged 25–75 years (45 ± 10) as well as on 69
patients with chronic gastritis aged 39–68 years (mean: 56.4 years) (altogether 445
healthy persons and GI patients).
The observations were carried out at First Department of Medicine and Institute
of Cardiology, Medical and Health Centre of Pécs, Hungary, Department of
Gastroenterology of Petz Aladár Teaching Hospital, Győr, Hungary, Department
of Gastroenterology of Markusovszky Hospital, Szombathely, Hungary (and
their relevant Departments of Pathology), Department of Pharmacology and

Pharmacotherapy and Institute of Pharmaceutical Chemistry, Medical and Health
Centre, University of Pécs, Hungary, Histopathology Ltd., Pécs, Hungary and our
industrial research partner (PannonPharma Ltd., Pécsvárad, Hungary).
The healthy human subjects and patients were included into the groups of dif-
ferent randomized, prospective studies (see later).
The classical human phase I examinations were carried out in 15 healthy males
in each protocol (additionally up today, 30 healthy human subjects for human
phase I examinations for aspirin plus capsaicin and diclofenac plus capsaicin).
The physical, laboratory, and iconographic examinations were normal in the
healthy human subjects, in patients with various gastrointestinal disorders.
The healthy persons were randomized into different groups of prospective, ran-
domized, and prospective studies for evaluation of the effects of capsaicin on:
1. Basal gastric acid secretion (Mózsik et al. 1999);
2. Changes in cations, anions, albumin concentration (and outputs) of gastric secre-
tory responses (Mózsik et al. 2004a, 2005);
3. Gastric emptying (Debreceni et al. 1999);
4. Sugar (glucose) loading test (75 g given orally) (Dömötör et al. 2006b);
5. Gastric transmucosal potential difference (GTPD) alone (Mózsik et al. 2005);
6. GTPD measurement after intragastric administration of ethanol and capsaicin
application (Mózsik et al. 2005);
7. Indomethacin-induced gastric microbleedings without and with capsaicin (Fisher
and Hunt 1976).
The different doses of capsaicin (1–8 μg/100 mL in saline solution) were intra-
gastrically given to identify the ED50 values on the gastric basal acid secretion.
These doses of capsaicin were used to determine direct action of capsaicin on the
GTPD (without and with intragastric administration of ethanol) and indomethacin-
induced gastric microbleedings.
All of the healthy volunteers received capsaicin in doses in random allocation.
In the observations to study the gastric emptying, sugar loading test, the effect of
the ED50 value (400 μg intragastrically given) of capsaicin was tested.
The 178 patients with different gastrointestinal disorders were studied by
immunohistochemical examinations of biopsy samples. The histological diagnosis
was established based on the opinion of independent pathologist. The immunohis-
tochemical examinations for TRVP1, CGRP, and SP were carried out on the same
paraffin-embedded tissue samples from which the classical histological diagnosis
was established by the independent pathologist.
The patients with chronic gastritis (69 patients) were divided into Helicobacter
positive and negative groups. Smaller group of patients with Helicobacter pylori infec-
tion were further studied after classical eradication treatment had been performed.
The observations were carried out according to the method of Good Clinical
Practice (GCP). The studies were carried out from 1997 up to now and which were
permitted by the Regional Ethical Committee of Pécs University, Hungary. Written
informed consent was obtained from all participants.
214 G. Mózsik
The human phase I examinations were permitted by the National Institute of

Pharmacy (Budapest, Hungary) and National Clinical Pharmacological and Ethical
Committee (Budapest, Hungary). These studies were performed in years of 2011–2012.
The following main methods were used in the human observations:
9.2.2 Determination of Gastric Basal Acid Out
Determination of Gastric Basal Acid Out (BAO) in healthy human subjects. After an
overnight fasting, a nasogastric tube was introduced at 8.00 a.m., and the total gas-
tric content was suctioned. Then the newly secreted gastric juice was suctioned every
15 min for 1 h (BAO). The healthy subjects received intragastrically capsaicin (100,
200, 400 and 800 μg ig.), atropine (0.1–1.0 mg sc.), Pirenzepine 25–50 mg, famotidine
(20–40 mg orally), ranitidine (150–300 mg orally), cimetidine (100–1000 mg orally),
Omeprazole (20–40 mg iv.), and Esomeprazole (20–40 mg orally) given for determina-
tion of their dose responses curves (Mózsik et al. 2005, 2007; Szabó et al. 2013).
Gastric acid secretion was measured by titration of gastric juice with 0.1 N
NaOH to pH 7.0 (pH titrimeter, Radelkis, Budapest). The gastric acid outputs were
expressed as mmol/h (mean ± SEM).
9.2.3 Determination of Affinity and Intrinsic Activity Curves
Determination of affinity and intrinsic activity curves for drugs inhibiting BAO
in healthy human subjects. The applied doses of drugs were expressed in molar
values, which were used to determine the affinity and intrinsic activity curves of
the different drugs by the method of Csáky (1969). For drawing the affinity and
intrinsic activity curves the doses of various drugs were expressed in (−) molar
values, which offered to analyze the drug actions on the BAO according to the
classical molecular pharmacological methods. We identified the pD2 values (nec-
essary doses of drugs to produce 50 % inhibition on BAO values). The effect of
atropine (αatropine = 1.00) in case of identification of intrinsic activity curves for
other drugs and capsaicin (Mózsik 2006).
9.2.4 Chemical Composition of Gastric Juice Without

and with Capsaicin Application
These observations were carried out in the same healthy human subjects. The con-
centrations of Na+, K+, and calcium2+ in the gastric juice were measured flame
photometrically. The concentration of Mg2+ was measured by atomic absorption

spectrophotometrically, the chloride concentration by colorimetric method, the
protein content by the method of biuret reaction. The 400 μg of capsaicin (as ED50
value) was used in these studies.
9.2.5 Calculation of “Parietal” and “Non-Parietal”

Components of Gastric Secretory Responses
Without and with Capsaicin
The chloride linked to H+ and sodium was calculated for the determination of
“parietal” (chloride linked to H+) and “non-parietal” (linked to sodium) compo-
nents of gastric BAO (Hollander 1934).
9.2.6 Measurement of Gastric Transmucosal Potential

Difference
Gastric Transmucosal Potential Difference (GTPD) was measured during endos-

copy. The exploring mucosal electrode was passed through the biopsy channel of
gastroscope and the reference electrode was placed on the volar surface of the left
forearm. The electrodes were connected to a digital voltmeter (Radelkis, Budapest,
Hungary, OP 211/1). GTPD measurements were done at the greater curvature of
the gastric body and the results were expressed in –mV (without and with intragas-
trically administration of different doses of capsaicin) (Hossennbocus et al. 1975;
Mózsik et al. 2005). Five mL capsaicin (300 mL/L, diluted in saline) was intra-
gastrically applied and only saline solution was given to identify the baseline in
GTPD. The Δ GTPD values were expressed in –mV, ΔGTPD max was calculated
at 5 min after intragastric application of capsaicin.
9.2.7 Effect of Capsaicin on Ethanol-Induced Changes

GTPD Changes
The GTPD baseline was identified. Then ethanol (5 mL, 300 mL/L) was intra-
gastrically given. The GTPD change was determined after the ethanol had been
passed through the biopsy channel of gastroscope without and with capsaicin
administration (given in different doses in the same pathway after 1 min of ethanol
administration).
216 G. Mózsik
9.2.8 Gastric Microbleeding Measurements Produced

by Application of Indomethacin Produced by Acute
Administration of Indomethacin (Without
with Capsaicin Administration) in Healthy Human
Subjects
Indomethacin (IND) (as one of the nonselective COX-inhibitors) produces gastric
microbleeding. The extent of indomethacin-induced gastric microbleeding was meas-
ured in healthy human subjects by the method of hemoglobin concentration in the
gastric juice respecting the value of gastric emptying rate (Fisher and Hunt 1976). The
details of this method were described earlier (Mózsik et al. 2005).
9.2.8.1 Indomethacin (IND)-Induced Gastric Mucosal Microbleedings

in Acute Observations in Healthy Human Subjects
The baseline of gastric microbleeding was measured in the gastric juice without
application of any drug and/or capsaicin.
The hemoglobin concentration was determined. The extent of gastric emptying
was measured with application of phenol red into the stomach (by the method of
Fisher and Hunt 1976; Nagy et al. 1984). The extent of gastric microbleeding was
expressed in mL/day (mean ± SEM), and this value was taken as baseline (used as
control for other observations).
9.2.8.2 Capsaicin-Induced Acute Mucosal Protection

on the IND-Induced Acute Gastric Microbleeding
in Healthy Human Subjects
The healthy human subjects received IND (3 × 25 mg given orally for a day), and
the forthcoming day the gastric microbleeding was measured on forthcoming day,
when these healthy human subjects also received 25 mg IND orally. The extent
of gastric microbleeding was measured as mentioned above, and its value was
expressed as mL/day (mean ± SEM).
9.2.9 Measurement of Gastric Emptying by Stable Isotope

Method (Infrared Spectroscopy, IRIS, Izinta, Budapest,
Hungary)
The gastric emptying measurements were performed on two consecutive days by the
same protocol, without capsaicin on first day and with capsaicin on second day. The
measurement procedure was the following. The healthy human subjects went on an
overnight starvation and the observations were started at 8.00 a.m. In total, 100 mL
of 13C-octanoid acid (Izinta, Budapest, Hungary) was given for the gastric empty-
ing measurements. This material was given in 200 mL physiological saline and 75 g
glucose was added to the solution. The volunteers exhaled into a plastic bag with a
volume of 0.5 L. The first air sample was considered as reference. Then, the volun-
teers swallowed the test solution and gave air samples in every 15 min. The IRIS per-
formed the infrared spectroscopy (IRIS, Izinta, Budapest, Hungary) measurements
and calculated the delta over base (DOB) values. This value was directly proportional
to the ratio 13CO2 and 12CO2 (DOB is about 13CO2/12CO2) in the air sample. When
we respected the DOB values against the time in the graph, we obtained a curve (gas-
tric emptying curve). On this curve, we could consider the following four parameters
to characterize gastric emptying rate: (1) maximal value of DOB (DOBmax unit) (U);
(2) the time at DOBmax (U/min); (3) the slope of the rising part of the curve (U/min),
and (4) time at 50 % of area under curve (AUC50 %, min). The DOBmax and slope are
direct, meanwhile the time at DOBmax and the tome at AUC50 % are inversely propor-
tional to gastric emptying (Debreceni et al. 1999; Mózsik et al. 2004a).
9.2.10 Sugar Loading Test in Healthy Human Subjects

(75 g Glucose Given Orally)
The glucose (75 g) was orally given in 100 mL water. The plasma level of glu-
cose was measured enzymatically (Boehringer, Germany). The plasma levels of
insulin (μIU/mL) (Biochem Immunsystem), C-peptide and glucagon (pg/mL)
(Byk-Sangtect Diagnostic GmbH) were measured by RIA. All measurements were
carried out before and after administration repeatedly every 15 min for 4 h period
(Dömötör et al. 2006b).
9.2.11 Immunohistochemical Examinations in the Gastric

and Large Bowel Mucosa in Patients with Various
Disorders
The classical histopathological examinations were carried out by an independent

pathologist for giving the histopathological diagnosis of patients (besides the clas-
sical laboratory, iconographic examinations).
The specific immunohistochemical examinations were used for the same biopsy
specimens used for pathological examination. Specific immune antisera were used
for detection of vanilloid (TRVP1) receptor (polyclonal anti-TRVP1, Abcam,
Cambridge, UK), CGRP (polyclonal anti-CGRP, Abcam, Cambridge, UK), and
substance P (monoclonal anti SP, Abcam, Cambridge, UK).
The TRVP1 and CGRP positivity and/or negativity was detected, meanwhile SP
staining was evaluated by a semiquantitative scale (Dömötör et al. 2005).
218 G. Mózsik
9.2.12 Detection of Helicobacter Pylori in Patients

with Chronic Gastritis
The presence of Helicobacter pylori was detected by 13C-urea breath test (Izinta,
Hungary) and with specific histological staining of biopsy specimens. The diag-
nosis of chronic gastritis was based on the classical pathological histology. The
results of observations were expressed as mean ± SEM. The unpaired and paired
Student’s t tests were used for the calculation of results between the identical
observations. P value ≤ 0.05 was considered statistically significant.
9.2.13 Evaluation of Capsaicin-Stimulated Gastric Mucosal

Protection on IND-Induced Gastric Microbleeding
and Capsaicin-Produced Gastric Mucosal Protection
on the IND-Induced Gastric Microbleeding Before
and After 2 Weeks Capsaicin Treatment (Based on
Randomized, Prospective and Multiclinical Study
in Healthy Subjects) (Mózsik et al. 2004a, 2005, 2007)
9.2.13.1 Measurement of Gastric Microbleeding Before and After

2 Weeks Capsaicin Treatment
The baseline in gastric microbleeding was measured and carried out as those under
the point of Sect. 9.2.8.1. The gastric microbleeding was expressed in mL/day
(mean ± SEM).
9.2.13.2 Measurement of IND-Induced Acute Gastric Microbleeding

Before and After 2 Week Capsaicin Treatment
These measurements were carried out in healthy human subjects as those written
under Sect. 9.2.8.2. These healthy subjects received 3 × 25 mg IND for 1 day and
25 mg IND on the next day before the measurement of the extent of gastric micro-
bleeding. The gastric microbleeding was expressed in mL/day (mean ± SEM).
9.2.13.3 Measurement of Capsaicin-Induced Acute Gastric Mucosal

Protection Against the IND-Induced Acute Gastric
Microbleeding Before and After 2 Week Capsaicin Treatment
The observations were carried out under the observational circumstances mentioned
in 12.2, however, different doses of capsaicin (200 and 400 μg given orally) were
used. 200 and 400 μg capsaicin were applied given orally before the measurement of
IND-induced acute gastric microbleeding before and after 2 week capsaicin treatment.
9.2.14 Evaluation of Capsaicin’s Effect by Randomized,

Prospective, Multiclinical Studies in Patients with
Chronic Helicobacter Pylori Positive Gastritis Before
and After Eradication Treatment to Capsaicin Effect
Due to Stimulation of Capsaicin-Sensitive Neural
Afferentation (Lakner et al. 2011)
These studies were carried out in 38 persons (including 20 healthy persons and
18 patients with H. pylori positive gastritis). The histologically normal controls
were 41–67 years, mean: 52.1 years, meanwhile the ages of patients with chronic
Helicobacter pylori infection were 39–68 years, mean: 56.4 years (Lakner et al. 2011).
The presence of H. pylori was determined by the methods mentioned above.
The eradication therapy involved a 7 days treatment with double dose proton
pump inhibitor consisting of pantoprazole (2 × 40 mg/day), amoxicillin (1000 mg
twice daily), and clarithromycin (500 mg twice daily) according to European guide-
lines (Malfertheiner et al. 2007). Following this 1 week of eradication period, the
patients were further treated with normal dose of pantoprazole for another week.
The gastroscopies, gastric biopsies, general, and special immunohistochemical
examinations were carried out at the time of entry of patients into the eradication
treatment and after the eradication treatment (Lakner et al. 2011).
9.2.15 Animal Toxicological Examinations Required

by Hungarian Authorities to Receiving Permission
for Human Phase I. Examinations
The National Institute of Pharmacy (Budapest, Hungary) and National Clinical

Pharmacological and Ethical Committee (Budapest, Hungary) requested additional
geno- and other toxicological examinations with natural capsaicin (Capsaicin
Natural USP 27), since limited knowledge were known about the circumstances
of its cultivation, collection, storage, stability, preparation, and chemical compo-
sition. Few literature data suggested genotoxicity in certain preparation. Further
research suggested that to be dependent on environmental factors, since these
tested were negative for synthetic capsaicin.
These required studies with natural capsaicin from India were: (1) testing of
natural capsaicin with bacterial reverse mutation assay; (2) testing of mutagenic
effect of test item natural capsaicin by mouse micronucleus test; (3) 14 day oral
average dose 120 mg/kg body weight given orally for 14 days; (4) determination
of natural capsaicin’s toxic oral dose in Beagle dogs (placebo, 0.3–0.6–0.9 mg/kg
body weight given orally for 14 days); (5) 28 day oral toxicology study of natural
capsaicin in rats (used placebo treatment, 5, 15, and 30 mg/kg body weight); (6)
28 day oral toxicology and kinetic study in Beagle dogs (placebo, 0.1, 0.3, and
0.9 mg/kg body weight/day orally given for 28 days) (Mózsik et al. 2010).
220 G. Mózsik
9.2.16 Human Phase I. Clinical Pharmacological Studies
The National Institute of Pharmacy (Budapest, Hungary) permitted to carry out three
human phase I. examinations. The aims of these studies were: (1) The safety of cap-
saicin containing drug combinations (capsaicin plus aspirin, capsaicin plus diclofenac,
and capsaicin plus naproxen); (2) The measurements of different pharmacokinetic
parameters (capsaicin and NSAIDs); (3) The measurements of different orally given
capsaicin on the pharmacokinetic parameters of NSAIDs; (4) Testing the effects of
NAIDs or capsaicin (given alone and co-administrations) on the platelet aggregations.
These observations were carried out in healthy males (15 healthy persons par-
ticipated in each protocol study) (for further details, see below).
9.2.17 Used Drugs and Compounds
Anticholinergic (atropine, Egis, Budapest, Hungary), antimuscarinic (Pirenzepine,

Boehringer, Ingelheim, Germany) agents; (histamine H2-receptor antagonists
(Cimetidine, PannonPharma, Hungary), ranitidine (Biogal-Teva, Hungary), famo-
tidine (Richter Gedeon, Hungary), proton pump inhibitors (PPI) (Omeprazole,
Astra-Zeneca, Sweden), Esomeprazole (Astra-Zeneca, Sweden)); indomethacin
(Chinoin, Budapest, Hungary).
Capsaicin was applied in these studies was obtained from Asian Herbex Ltd
(Capsaicin USP as manufactured in Andhra Pradesh, India). The Drug Master File
(DMF) is signed in the documentation of Drug and Food Administration (FDA) in
the United States as only one capsaicin preparation for orally applicable prepara-
tion (17856 A II 26.10.2004 Asian Herbex Ltd.: Capsaicin USP as manufactured
in Andhra Pradesh, India) (for further details, see Mózsik et al. 2009a, b).
9.2.18 Statistical Evaluation of the Results
The results were expressed as mean ± SEM. The paired, unpaired Student’s t test,
and ANOVA test were used for the statistical analysis of the results. The results
were taken to be significant if the P ≤ 0.05. Special mathematical programs were
applied for the evaluation of results of human phase I. examinations.
9.3 Results
9.3.1 Capsaicin-Induced Gastric BAO in Healthy Human Subjects
Capsaicin (given in doses of 100, 200, 400, and 800 μg orally) dose-dependently
inhibited the gastric acid output (Y = −0.13X + 1.164; r = 0.97; n = 16; P < 0.001)
Fig. 9.1 Inhibition of gastric
acid basal output (BAO)
by capsaicin in 16 healthy
human subjects. (After
Mózsik et al. 2005)
(Mózsik et al. 1999, 2005). The ED50 value of capsaicin was obtained as 400 μg/
person on the gastric BAO (in case of administration of capsaicin in doses which
stimulates capsaicin-sensitive afferent nerves) (Fig. 9.1) (Mózsik et al. 2005).
9.3.2 Affinity and Intrinsic Affinity Curves for the Capsaicin,

Muscarinic (Atropine, Pirenzepine), H2-Receptor
Antagonists (Cimetidine, Ranitidine, Famotidine),
and Proton Pump Inhibitors (Omeprazole
and Esomeprazole) on the Gastric BAO in Healthy
Human Subjects
The action of the compounds inhibiting the gastric basal acid secretion is shown in
Fig. 9.2. The curve indicates that no competitive actions of these drugs exist on the
gastric basal acid output. The pD2 values were calculated from the affinity curves
obtained in the molecular pharmacological studies.
The intrinsic activity curves for the drugs inhibiting the gastric basal acid outputs
in healthy human subjects were calculated. The intrinsic activity (αatropine = 1.00)
was taken to be equal to 1.00, and the values for other drugs were expressed to action
of atropine (Fig. 9.3). The pA2 values (50 % inhibition of intrinsic activity in (−)
molar values) were calculated from the intrinsic activity curves.
For the molecular pharmacological understanding the background of the
action of drugs, action the molecular weights, pD2 values, of the intrinsic activity
(in comparison to atropine action) and pA2 values were calculated and shown in
Table 9.1.
The Figs. 9.2 and 9.3, Table 9.1 clearly indicate that capsaicin acts in the
smaller doses as those drugs acting on the muscarinic (atropine, Pirenzepine), H2R
(cimetidine, ranitidine, famotidine, nizatidine) receptors and proton pump inhibi-
tors (omeprazole, esomeprazole).
222 G. Mózsik
Inhibition BAO (H+ output/h)

(Total = 100%)
Capsaicin Atropine Omeprazole Famotidin Ranitidine Cimetidine
100
e
ï ï
n=10-12 ï
50 ï ï ï ï ï ï
ï
ï ï
ï ï ï
6 5 4 3 2 -log [M]
Fig. 9.2 Affinity curves for drugs inhibitory actions of different antisecretory drugs on the BAO
in healthy human subjects. The absolute values were calculated as H+ output/h, the presentations
of curves expressed in percent value (total = 100 %) (mean ± SEM). (After Mózsik et al. 2007)
Inhibition (BAO)(H+ output/h)

(α atrpine = 1,00)
Atropine Omeprazole ïFamotidine Ranitidine Cimetidine
1
ï ï
Capsaicin ï
n=10-12
0,5 ï ï ï ï ï ï
ï
ï ï ï
ï ï ï ï
6 5 4 3 2 -log [M]
Fig. 9.3 Intrinsic activity curves for the inhibitory drugs of different antisecretory drugs
and capsaicin (given in stimulatory doses of capsaicin-sensitive afferent nerves) on the BAO
in healthy human subjects, which were expressed to action of atropine (1.00) (α atropine)
(mean ± SEM). (After Mózsik et al. 2007)
9.3.3 Changes in the “Parietal” and “Non-Parietal”

Components of Gastric Secretory Responses
The measurements of cations (H+, sodium, potassium, calcium, magnesium) and

of chloride- offered the possibility to identify the “parietal” and “non-parietal”
Table 9.1 Summary of the affinity (pD2) and intrinsic activity (expressed in value of αatropine = 1.00)
(pA2) values of capsaicin, atropine, Pirenzepine, cimetidine, ranitidine, famotidine, Omeprazole, and
Esomeprazole on the gastric basal acid output (BAO) in healthy human subjects. (After Mózsik et al.
2007)
Compounds M.W. pD2 Intrinsic activity pA2
Capsaicin 305.4 5.88 0.76 5.87
Atropine 289.38 5.40 1.00 5.40
Pirenzepine 424.34 3.93 0.89 3.93
Cimetidine 252.34 2.23 1.00 2.23
Ranitidine 314.41 3.33 1.00 3.33
Famotidine 337.43 3.77 1.00 3.77
Nizatidine 331.47 3.34 1.00 3.34
Omeprazole 345.42 3.97 1.00 3.97
Esomeprazole 345.42 3.97 1.00 3.97
components of gastric secretion in humans without and with administration of dif-

ferent drugs (or compounds) (Hollander 1934).
Using the Hollander’s method for the calculation and evaluation of measure-
ments of cations, chloride in the gastric juice indicated clearly the significant
decrease of “parietal component” (Δ − 18 ± 2 mmol/L, P < 0.001) in associa-
tion with significant increase of “ non-parietal component” (Δ + 19 ± 2 mmol/L,
P < 0.001) component of the gastric secretion after application of 400 μg (given
orally) of capsaicin (n = 10) (Mózsik et al. 2005) (Table 9.2).
9.3.4 Changes in Albumin Level in the Gastric Juice After

Capsaicin Administration in Healthy Human Subjects
The albumin concentration increased from 1.24 ± 0.001 g/L versus 1.63 ± 0.02 g/L

(P < 0.001; n = 10) after 400 μg capsaicin (i.g. given) application (Mózsik et al.
2005).
9.3.5 Action of Capsaicin on the GTPD in the Healthy

Human Subjects
Capsaicin (given ig. in doses of 100, 200, 400, and 800 μg) dose-dependently
increased the GTPD alone (Δ value from to baseline 10 (−mV)) (Mózsik et al. 2005).
When we applied capsaicin in double dose (800 μg, intragastrically) then
we received the same increase in GTPP and in the same time period (Hossenbocus
et al. 1975; Mózsik et al. 2005) (Fig. 9.4).
224
Table 9.2 Chemical composition of gastric juice without (A) and with (B) application of capsaicin (ED50 = 400 μg) in healthy human subjects
H+ Na+ K+ Ca2+ Mg2+
A B A B A B A B A B
43 ± 3 25 ± 1 73 ± 4 89 ± 2 13 ± 1 8 ± 0.6 0.98 ± 0.02 0.88 ± 0.01 0.49 ± 0.01 0.38 ± 0.01
P < 0.001 P < 0.001 P < 0.001 P < 0.001 P < 0.001
100 ± 7 58 ± 2 100 ± 5 122 ± 3 100 ± 8 62 ± 5 100 ± 2 90 ± 1 100 ± 2 78 ± 2
“Parietal” component “Non-parietal” component Albumin (g/L)

A B A B A B
43 ± 3 25 ± 2 126 ± 4 145 ± 4 1.24 ± 0.001 1,630,002
P < 0.001 P < 0.001 P < 0.001
100 ± 7 58 ± 5 100 ± 3 115 ± 3 100 ± 1 131 ± 2
The results are given as mmol/L or % (mean ± SEM) (n = 10). (After Mózsik et al. 2005)
G. Mózsik
Fig. 9.4 Capsaicin dose-
dependent gastric mucosal
protective effect of capsaicin
on GTPD in 10 healthy
subjects. (After Mózsik et al.
2005)
9.3.6 Action of Ethanol on GTPD in Healthy

Human Subjects
The intragastrically applied ethanol immediately and significantly decreased the

GTPD (Δ 25 (−mV)) (Mózsik et al. 2005).
9.3.7 Preventive Action of Capsaicin on the Ethanol-Induced

Decrease of GTPD in Healthy Human Subjects
The intragastrically applied capsaicin (given in doses of 100, 200, 400, and
800 μg) dose-dependently prevented the ethanol-induced decrease of GTPD in
healthy human subjects (Mózsik et al. 2003, 2005). 800 μg capsaicin was intra-
gastrically given after each other with 5 min interval (Fig. 9.5).
9.3.8 Indomethacin-Induced Acute Gastric Microbleeding

and the Acute Gastric Mucosal Preventive Effect of
Capsaicin on the Indomethacin-Induced Acute Gastric
Mucosal Damage in Healthy Human Subjects (Based
on the Results of Prospective, Randomized
and Multiclinical Study)
9.3.8.1 Extent of Indomethacin-Induced Acute Gastric Mucosal

Damage in Healthy Human Subjects
The baseline of blood losing was 2.0 ± 0.2 mL/day (n = 14) without application

of IND, which was increased to 8.1 ± 0.2 mL/day (n = 14; P < 0.001).
226 G. Mózsik
Fig. 9.5 Dose-dependent
gastric mucosal protective
effect of capsaicin is repeated
(800 μg) on the GTPD with
5 min time interval (n = 10,
mean ± SEM) in healthy
human subjects (after Mózsik
et al. 2005; with permission)
9.3.8.2 Gastric Mucosal Preventive Effect of Capsaicin

on the Indomethacin-Induced Acute Gastric
Microbleeding in Healthy Human Subjects
Capsaicin was given in doses of 200, 400, and 800 μg orally before the administra-
tion of indomethacin. The acutely applied capsaicin prevented by dose-dependent
manner of indomethacin-induced gastric microbleeding in healthy human subjects
(Y = −0.0071*X + 7.78; r = −0.98, n = 14; P < 0.001) (Mózsik et al. 2005;
Sarlós et al. 2003) (Fig. 9.6).
9.3.9 Effect of Capsaicin on the Gastric Emptying

Capsaicin was intragastrically given in dose of ED50, which increased significantly

the gastric acid emptying: (1) Capsaicin (400 μg, ig = ED50)-induced changes
in the maximal values of Delta Over Base (DOB max) decreased from 18 ± 1 to
14 ± 1 U (P < 0.01); (2) the time to reach the DOB max decreased from 148 ± 13
to 70 ± 12 min (P < 0.01); (3) the slope (in U/min) increased from 0.11 ± 0.01 to
14 ± 0.001 (P < 0.001); (4) the time to reach the AUC50 decreased from 115 ± 10
to 80 ± 8 (min) (n = 10; P < 0.01) (Debreceni et al. 1999).
9.3.10 Increased Glucose Absorption from Small Intestine

and of Glucagon Release by capsaicin During the
Glucose Loading Test in Healthy Human Subjects
During glucose loading test we measured the glucose absorption in the proximal
part of the small intestine, insulin, C peptide, glycagon using the plasma level of
glucose as markers substance (Dömötör et al. 2006a, b) (Figs. 9.7, 9.8).
Fig. 9.6 Gastric mucosal protection demonstrated by reduced microbleeding before and after

two weeks capsaicin treatment of indomethacin (IND)-induced mucosal damage. (After Mózsik
et al. 2005)
Design of clinical observations Determination of the blood:

Glucose level;
75 g glucose orally or Insulin level;
75 g glucose and 400 µg/kg capsaicin orally
&peptide level;
Glucagon level;
0 15 30 45 60 75 90 105 120 135 150 165 180 195 210 225 240 time (min)
Fig. 9.7 Design of clinical observations with glucose observation and utilization in 14 healthy

human subjects without and with (400 μg orally) capsaicin application. The measurement of glu-
cose, insulin, C-peptide, glucagon was carried out from the plasma level in every 15 min period
from the glucose application to 4 h. (After Dömötör et al. 2006a, b)
The absorption of glucose from the small intestine and glucagon release
increased by capsaicin administration; however, no significant changes were
obtained neither in insulin nor in C-peptide release under these observational cir-
cumstances (Fig. 9.7).
The plasma levels of glucose increased significantly 30–150 min and the
plasma level of glucagon increased from 90 to 180 min after capsaicin administra-
tion in healthy human subjects given 75 g glucose orally. The plasma levels of
insulin and C-peptide increased from 75 to 165 min after glucose administration;
however, levels did not differ significantly.
228 G. Mózsik
Fig. 9.8 Changes in plasma level of glucose, insulin, C-peptide, and glucagon after oral admin-
istration of glucose (75 g in 100 ml water) in 14 healthy human subjects. Capsaicin (400 μg)
was orally given in gelatine capsule (Hungaropharma, Budapest, Hungary). The plasma levels
of glucose, insulin, C-peptide, and glucagon were measured every 15 min for 4 h. The results are
expressed as mean ± SEM. (After Dömötör et al. 2006a, b)
9.3.11 Results of the Immunohistochemical Examinations

in the Human Gastric and Large Bowel Mucosa
in Healthy Human Subjects and in Patients
with Different Gastrointestinal Disorders
9.3.11.1 Demonstration of Capsaicin Receptors, CGRP, and SP

in the Human Gastric and Large Bowel Mucosa in Healthy
Human Subjects
The results of these observations were obtained in “healthy human subjects,” who
had different functional complaints and the endoscopic examinations were carried
out to exclude the presence of any histologically proven disease (the clinical his-
tological examinations were carried out by the independent pathologist) and the
opinion of pathologist gave normal histology.
The immunohistochemical examination demonstrated the presence of capsaicin
(TRVP1) receptors in the gastric and large bowel mucosa obtained from biopsy
samples (Fig. 9.8). The location of capsaicin receptor could be demonstrated near
the nerve endings, vascular vessel and in the epithelial layer (Fig. 9.9) (Dömötör et
al. 2005).
The CGRP and SP could be observed in gastric mucosa and these parts of large
bowel mucosa as well (Fig. 9.10) (Dömötör et al. 2005).
9.3.11.2 Demonstration of Capsaicin Receptor, CGRP, and SP

in the Gastric and Large Bowel Mucosa in Patients
with Different Disorders
The preliminary results of these observations were published by Dömötör et al.

(2005).
These patients went over the clinical endoscopic and pathological examinations.
The original pathological diagnosis was given by an independent pathologist.
The capsaicin receptor, and released neuropeptides (CGRP and SP) could be
detected in all types of patients with different disorders (Table 9.3). The results
of these preliminary clearly indicated the following: (1) capsaicin receptor could
be demonstrated in patients with superficial gastritis, erosive gastritis, stomach
polyps, stomach cancer, inflammation of large bowel disease, colon polyps with
severe dysplasia, and colorectal cancers.
The CGRP could be demonstrated in most of the all of the above-mentioned
diseases; meanwhile the SP could not be demonstrated in these diseases (Table 9.3).
230 G. Mózsik
(a) (b) (c)
(a) (b) (c)
(a) (b) (c)
Fig. 9.9 The immune distribution of TRPV1 (first row), CGRP (second row), and of SP (third
row) in the gastric mucosa of a healthy subject (a) and of patient with H. pylori negative (b)
and H. pylori positive (c) chronic gastritis. Arrows show the immunosigns in the mucosa. (After
Mózsik et al. 2007)
9.3.12 Capsaicin Receptor, CGRP, and SP in the Patients with

Helicobacter Positive and Negative Chronic Gastritis
These observations were carried out in 57 patients with chronic gastritis (21
patients from them were Helicobacter positive and 30 patients were Helicobacter
pylori negative).
The expression of capsaicin receptors and CGRP increased in the gastric
mucosa with both bacteria positive and negative chronic gastritis, meanwhile SP
increased with a limited extent determined by a semiquantitative scale (Fig. 9.9)
(Dömötör et al. 2006a).
D E
F

D E

E

Fig. 9.10 The immundistribution of TRPV1 (first line), CGRP (second line), and of SP (third
line) in the colon mucosa of control person (a) and of patient with inflammatory bowel disease
(b) and with severe dysplastic polyp (c). Arrows show the immunsigns in the mucosa. (After
Mózsik et al. 2007; with permission)
9.3.13 Measurements of the Gastric Microbleeding Before

and After 2 Week Capsaicin Treatment: Testing
of the Changes in Baseline, Indomethacin-Induced
Acute Gastric Microbleeding and of Capsaicin-
Stimulated Gastric Mucosal Protective Effect
on the Indomethacin-Induced Acute Gastric
Microbleeding in Healthy Human Subjects
9.3.13.1 Baseline Before and After 2 Weeks Indomethacin Treatment

Without Application of any Drug and/or Compound
The baseline of gastric microbleeding was detected 2.1 ± 0.1 versus

2.0 ± 0.1 mL/day, before and after 2 weeks capsaicin treatment (without other
drug/compound application).
232 G. Mózsik
Table 9.3 Immune distribution of capsaicin receptor (TRPV1), calcitonin gene-related peptide

(CGRP), and substance P (SP) in the gastric and large bowel mucosa of patients with different GI
disorders. (After Mózsik et al. 2007)*
TRPV1 CGRP SP
Stomach
Superficial gastritis + + –
Erosive gastritis + + –
Gastric ulcer ± ± ±
Polyp + + –
Carcinoma + + –
Large bowel
Inflammation + + +
Polyp with moderate dysplasia – – –
Poly with severe dysplasia +Spot-like – –
Carcinoma +Spot-like + –
*The signs of + or – indicate the trend of expression in the specific immunohistochemical exami-
nations in the mucosa specimens (stomach and large bowel) in patients with different diseases
9.3.13.2 Measurement of Indomethacin-Induced Acute Gastric

Mucosal Microbleeding: Before and After 2 weeks Capsaicin
Treatment—in Healthy Human Subjects
The acute administration of indomethacin significantly increased the extent of

gastric microbleeding versus baseline (without administration of indomethacin)
(P < 0.001; n = 14) in healthy human subjects before (baseline vs. Ind., 2.1 ± 0.1
vs. 8.3 ± 0.2 mL/day) and after (baseline vs. Ind., 2.0 ± 0.1 vs. 7.8 ± 0.3 mL/day)
2 weeks capsaicin (3 × 400 μg orally given) treatment (Mózsik et al. 2005).
9.3.13.3 Measurement of Acutely Applied Capsaicin-Induced Gastric

Mucosal Protective Effect on the Indomethacin-Induced Acute
Gastric Microbleeding Before and After 2 Weeks Capsaicin
Treatment in Healthy Human Subjects
The intragastrically applied capsaicin dose-dependently prevented the indometh-

acin-induced gastric mucosal damage (Mózsik et al. 2003, 2004a, 2005)—before
(Y = −0.0087X + 9.18, r = −0.99: P < 0.001) and after (Y = −0.0096X + 10.1;
r = −0.99; P < 0.001) 2 weeks capsaicin treatment—when capsaicin was acutely and
intragastrically (in doses of 200 and 400 μg) given before the 1 day indomethacin treat-
ment (see the description in the methods) (Mózsik et al. 2005) (Figs. 9.11 and 9.12).
IND IND
CAPS CAPS
(acute effect of capsaicin) (acute effect of capsaicin)
&KURQic capsaicin treatment
0 1 2 weeks
Capsaicin treatment (3x 400 µg ig.)
Fig. 9.11 Clinical study design of a chronic capsaicin treatment in healthy human subjects.

Abbreviations: CAPS capsaicin, IND indomethacin
Microbleeding (ml/day)
1
befor ( n = 14, Means + S.E.M.)
2 wks caps.
after
r = - 0.99 ; Y = - 0.0087 X + 9.18
8 p < 0.001
r = - 0.99 ; Y = - 0.0096 X + 10.1
p < 0.001
6
0
IND IND IND
+0 + 200 + 400 CAPS
Fig. 9.12 Capsaicin (given 200 and 400 μg ig.)-induced gastric mucosal preventive effects
on indomethacin (3 × 25 mg ig.)-produced gastric mucosal microbleeding before and after a
chronic capsaicin (3 × 400 μg ig. for 2 weeks) in 14 healthy human subjects. The results were
expressed as mean ± SEM)
234 G. Mózsik
9.3.14 Expression of Capsaicin Receptor, CGRP, and SP

in Patients with Chronic Gastritis
9.3.14.1 Capsaicin-Sensitive Afferentation in H. pylori Positive

and Negative Chronic Gastritis
The symptoms of patient’s suffering from chronic gastritis with or without H.

pylori infection (20 H. pylori positive and 30 H. pylori negative) were nonspe-
cific including epigastric discomfort, nausea, loss of appetite, and vomiting. The
patients underwent physical, laboratory, ultrasonographic, endoscopic, and his-
tological (including special immunohistochemical) examinations. Twenty people
with functional dyspepsia (all of them underwent the aforementioned medical, lab-
oratory, iconographic, and histological examinations and all of these examinations
indicated negative results) were taken as healthy controls. The age of patients was
39–68 years; there were 22 males and 29 females with chronic gastritis, and 10
males and 10 females in the functional dyspepsia group.
The H. pylori infection was detected by 14C-urea breath test, rapid urease test,
Warthinn-Starry silver staining, and specific histological examinations. The gastric
tissue samples from the stomach and antrum were examined by an independent
histologist and classified of chronic gastritis according to the Sydney System.
The immunohistochemical studies were carried out on formalin fixed, paraffin-
embedded tissue samples of gastric mucosa using the peroxidase-labeled polymer
method (Lab Vision Co., Fremont, USA). SP was detected by the NC1/34HL rat
monoclonal antibody, the TRPV1 receptor, and CGRP were labeled using poly-
clonal rabbit antisera (all from Alcam Ltd., UK, Cambridge).
9.3.14.2 Capsaicin-Sensitive Afferentation in H. pylori Positive Chronic

Gastritis Before and After Eradication Treatment
These observations were carried out in 38 persons, including 20 healthy subjects

and 18 patients with H. pylori positive gastritis. The age of persons with histo-
logically intact gastric mucosa (controls) were 41 to 67 years (mean = 52.2 years).
The age of patients with chronic H. pylori positive gastritis (6 males, 12 females)
was 39–68 years (mean = 56.4 years).
The time period between the first and control gastroscopy was 6 weeks after the
starting of the examinations. The biopsies were taken from the corpus and antrum
of patients with chronic gastritis, before and after eradication treatment and from
healthy subjects.
The H. pylori positive patients underwent 7 days eradication treatment with
a combination of double dose PPI (pantoprazole 2 × 40 mg/day), amoxicillin
(1000 mg twice daily), and clarithromycin (500 mg twice daily) according to the
European guidelines. After this 1 week combination treatment, the patients contin-
ued to take normal dose of PPI for another week.
Control
% ¤ ¤
Before eradication
120
¤ NS After eradication
¤ NS ¤= P<0,01
100
NS= not significant
80
60 NS
40 NS
20 NS
0
TRPV1 positive CGRP positive SP positive
Fig. 9.13 Changes in the immunhistochemical distribution of capsaicin receptor (TRPV1),

CGRP, and SP in patients with H. pylori positive chronic gastritis before and after eradication
therapy (after Lakner et al. 2011)
The H. pylori infection was detected before and after treatment with 14C-urea
breath test, rapid urease test, gastroscopy, Warthinn-Starry silver staining, and spe-
cific histological and immunohistological examinations of gastric mucosa.
The results of eradication treatment was successful in 89 %, the gastric histol-
ogy (by biopsy and by histology) indicated normal picture in 22 % of cases, and
78 % of patients showed moderate gastritis.
The expression of TRPV1 and CGRP increased significantly in the gastric mucosa
of patients with chronic gastritis—independently on the presence of H. pylori positive
or negative status and of successful eradication treatment in patients with H. pylori pos-
itive gastritis (Fig. 9.9), meanwhile on significant expressions obtained in SP of gastric
mucosa in these groups) (Dömötör et al. 2005; Lakner et al. 2011; Mózsik et al. 2011,
2014; Czimmer et al. 2013; Vincze et al. 2004) (Figs. 9.9, 9.13, 9.14 and Table 9.4).
9.3.15 Clinical Pharmacological Challenges of the Natural

Capsaicin for the Human Medical Treatments
and Drug Processing
9.3.15.1 Chemistry of Natural Capsaicin with Respect to Spices

of Capsaicin in Producing Plants in Over the World
The name of “capsaicin” is generally used in the medical physiological, pharmaco-

logical research; however, this material does not contain a clinical entity. The name
of “capsaicin” covers 5 homologs (capsaicin, dihydrocapsaicin, nordihydrocapsaicin,
236 G. Mózsik
Fig. 9.14 Changes in the %
NS
NS
NS
expression of capsaicin 100 TRPV1
***
receptor (TRPV1), calcitonin 80
***
of TRPV1, CGRP, SP (in percent, means SEM)

*** ***
gene-ralated peptide (CGRP),
60
and substance P (SP) in
the human gastric mucosa 40
of healthy voluntaries 20
(histologically intact) (a), H. 0
pylori positive (b), H. pylori A B C D E
NS
negative (c) and H. pylori NS
positive before, (d) and after %
100 CGRP NS *** ***
eradication (pantoprazole
***
40, amoxicillin 1000 and 80 ***
clarithromycin 500 mg, all 60
two times per day, for 7 days)
40
(n = number of patients).
(After Mózsik et al. 2014) 20
0
A B C D E
%
100 SP
80
NS
60 NS
Expression
40 NS
NS
20 NS
NS NS
0
A B C D E
n= 40 21 30 18 18
homodihydrocapsaicin, homocapsaicin) and two analogs (nanonoid acid valilylamide

and decanoid acid vanillylamide) (for further information, see Mózsik et al. 2009a, b).
The United States Pharmacopeia describes the list of capsaicins and their defi-
nitions, identifications, melting range, and also defines the content of capsaicin,
dihydrocapsaicin, and other components as follows (USP 30-NP25, 2006, Edition
pp. 1609): capsaicin contents not less than 90.0 % and not more 110.0 % of labeled
percentage of total capsaicin. The content of capsaicin is not less than 55 %, and the
sum of capsaicin and dihyrocapsaicin should not be less than 75.0 %. The content
of other capsaicinoids cannot be more than 15 %, all these were calculated on the
dried basis (see details in Ref. Mózsik et al. 2009a, b) These criteria were absolutely
accepted by the Hungarian Authorities of Hungarian Institute of Pharmacy and, of
course, by us during the our preclinical and clinical examinations.
9.3.15.2 International Requirements for Plant Origin Capsaicin

for Orally Applicable Drug in Humans
Drug Master File (DMF)

To receive permission for human use of capsaicin preparation from the National
and International Regulatory Authorities we have to show the following details: (1)
Specification of capsicum species; (2) Climatic regulations of places of Capsicum
Table 9.4 The summary of the changes in the immunohistochemical distribution of capsaicin

receptor, calcitonin gene-related peptide, and substance P in patient with chronic H. pylori posi-
tive gastritis before and after eradication therapy
TRPV1 CGRP Substance P
Positive Negative Positive Negative Positive Negative
Before 88.89 % (16) 11.11 % (2) 100 % (18) 0 % (0) 5.56 % (1) 94.44 % (17)
eradication
(n = 18)
After eradi- 72.22 % (13) 17.78 % (5) 100 % (18) 0 % (0) 0 % (0) 100 % (18)
cation
(n = 18)
Control group 35 % (7) 65 % (13) 40 % (8) 60 % (12) 75 % (15) 25 % (5)
(n = 20)
cultivation; (3) Chemical treatments of Capsicum plants during their cultivation;

(4) Details of treatment of Capsicum plants (their collections, drying, extractions,
storages, etc.); (5) Analytical results supporting the chemical composition of the
plant origin capsaicin extracts; (6) Chemical stability of natural capsaicin (cap-
sainoids); (7) Analytical results showing the (possible) contamination of the natu-
ral capsaicin product with organic phosphates, pesticides, fusariums, aflatoxin; (8)
International centification (including the Drug and Food Administration, FDA) on
the capsaicin (capsaicinoids) content of the natural preparation.
Extremely important to mention that facts given by only internationally accred-
ited laboratories.
The DMF of capsaicin originated from India is signed in the documentation of
Food and Drug Administration (FDA) in the United States (“17856 A II 26.10.2004
Asian Herbex Ltd: Capsaicin USP as manufactured in Andhra Pradesh, India” ).
9.3.16 Human First Phase Examinations Based on the

Permission of International and National Authorities
9.3.16.1 Necessary Permissions for Human Clinical First Phase

Examinations from the Authorities in Healthy Human
Subjects
We aimed to use capsaicin of natural origin (capsaicinoids) for the preparation of

an orally applicable drug or for different drug combinations.
We compiled the documentations for the National Institute of Pharmacy
(Budapest, Hungary) to ask permission for human clinical pharmacological studies
with capsaicin: (1) Expert’s opinion; (2) Results of toxicological studies (including
those which were required by the National Institute of Pharmacy); (3) Chemical
stability of the natural capsaicin preparation; (4) Results of pharmaceutical indus-
trial formulation from the natural capsaicin; (5) Different permissions from the
Medical Faculty of our University (Pécs, Hungary); (6) Documentation of health
238 G. Mózsik
insurance of volunteers; (7) Preclinical dossiers; (8) Documented permission on

the accreditation of Clinical Pharmacological Unit for human phase I and II (which
accreditation was controlled by the National Institute of Pharmacy in Hungary; (9)
Exact and accepted protocols by the National Institute of Pharmacy and National
Clinical Pharmacological Ethical and Clinical Pharmacological Committee of
Hungary; (10) Written information of volunteers on the planned examinations;
(11) Request for authorization of a clinical trial on medical product for human use
to competent authorities and for opinion of ethical committees in the community;
(12) Data of investigators (CV, certificates) and participating institutes.
9.3.16.2 Three Protocols Authorized by the Hungarian

Competent Authorities
(a) “Human phase I. Single-blind study comparing the pharmacokinetic properties of

ASA after single oral dose administration alone and after co-administration of two
different does of capsaicin (400 and 800 μg) and evaluating their safety in healthy
male subjects” (protocol number: 1.4.1., EudraCT number: 2008-007048-32);
(b) “Human phase I. Single-blind study investigating the pharmacokinetic properties
of diclofenac after single oral dose administration alone and after co-adminis-
tration of two different doses of capsaicin (400 and 800 μg) and evaluating their
safety and healthy male subjects” (protocol number: 1.4.2; EudraCT number:
2008-007050-36);
(c) “Human phase I. Single-blind study comparing the pharmacokinetic properties of
naproxen after single oral dose administration and after co-administration of two
different doses (400 and 800 μg) of capsaicin and evaluating their safety in healthy
male subjects” (protocol number: 4.3; EudraCT number: 2008-007098-19).
The human phase I. exanimations of “a” and “b” were carried out in the 2012 at
First Department of Medicine and Institute of Cardiology, Medical and Health
Centre of Pécs University, Hungary.
Objectives of these studies were:
1. The primary objective of these trials was to investigate whether two differ-
ent doses of capsaicin (400 and 800 μg) co-administered with ASA (or with
diclofenac or naproxen) would influence the pharmacokinetic properties of
ASA (diclofenac and naproxen) administered alone.
2. The secondary objective of these studies was to evaluate the safety and toler-
ability of both preparations administered alone and after co-administration.
3. Platelet aggregometry substudy: the aim was to confirm the presumption that
giving capsaicin with ASA (diclofenac, naproxen) would not alter the inhibi-
tory effect of ASA (diclofenac, naproxen) on platelet aggregation.
Study design: healthy male volunteers aged 18–55 years, body mass index between
18 and 29.2 kg/m2, laboratory parameters were in normal range. All the inclusion cri-
teria of the protocols were strictly kept by the healthy volunteers.
Fifteen healthy subjects participated in each of these randomized studies (according

to random allocation of protocols). Monitoring of the vital signs (blood pressure, heart
rate, temperature, ECG), physical examinations, routine laboratory tests, fecal occult
blood test, continuous monitoring of adverse events were done. Pharmacokinetic
measurements for ASA (acetylsalicylic acid, salicylic acid), diclofenac, naproxen, and
capsaicinoids, as well as platelet aggregation were carried out.
The manufacturer of the study products was PannonPharma Ltd, Pécsvárad,
Hungary.
The mathematical analysis of the study of ASA plus capsaicin were finished up
to now.
The main results of ASA plus capsaicin examinations are to test that:
1. The product ASA plus 400 μg capsaicin, ASA plus 800 μg capsaicin and refer-
ence product ASA product are bioequivalent;
2. The combined ASA-therapies reach equivalent effectiveness on inhibiting
platelet aggregation to that of ASA monotherapy;
3. Thus, 400 μg and 800 μg capsaicin did not influence the inhibitory effect of
ASA on platelet aggregation;
4. Capsaicin (at doses of 400 and 800 μg) by itself did not have a significant
effect on platelet aggregation;
5. Capsaicin (given in two different doses) did not significantly modify ASA
absorption from the gastrointestinal tract, and did not change the pharmacoki-
netic characteristics of salicylic acid (transformed from ASA);
6. Neither capsaicin nor dihydrocapsaicin could be detected chemically in the sera
of the volunteers (who participated in the classical clinical human phase I. exam-
inations (employing orally applied doses of 400 μg or 800 μg capsaicin). High
pressure liquid chromatography (HPLC) has serum detection limit around 20
nanogram/mL and the value is 26 fentogram/mL serum by liquid chromatography–
mass spectrometry (LC-MC).
These results offered us to conclude the following:
1. The applications of capsaicin alone or in combination with ASA and diclofenac
(up to now) are safety and well tolerable drug combinations in healthy subjects.
2. Since capsaicin (and dihydrocapsaicin) could not be detected in the healthy
human subjects its actions appear to be dominantly on the GI mucosa.
3. Capsaicin alone is not able to modify the aggregation of platelets, however, it
did not modify the ASA-induced inhibition of platelets.
4. The gastroprotective effect of capsaicin exists against the NSAIDs-induced GI
mucosal damage in doses capable of stimulating capsaicin-sensitive afferenta-
tion; however, the platelet aggregation by NSAIDs remained unchanged.
5. These special human situations offered us to produce a new gastroprotec-
tive capsaicin containing drugs or drug combinations for the medical treat-
ment in patients with gastrointestinal disorders and which would prevent the
NSAID-induced side effects in patients who are needed to be treated with
NSAIDs.
240 G. Mózsik
The number of patients with GI disorders and other medical conditions needed
to be treated with NSAIDs is extremely big. We have no final conclusions on the
possible role of capsaicin-sensitive afferentations in the treatment of H. pylori (or
other factors)-caused gastritis (but this infection represents the biggest infection
disease in over the World).
Our results encourage us to pursue further human observations for the success-
ful actions of capsaicin described in this chapter will possibly stimulate the devel-
opment of new candidate capsaicin containing drug combinations (like ASA plus
capsaicin) to be used in the medical therapy (Clinical Study Reports to Protocol
1.4.1, Pécs and Pécsvárad, Hungary 2012). We are also aware that many other
observations are needed in these fields.
9.4 Discussion
The vagal nerve plays a key role in the gastrointestinal physiology, pathology, and
pharmacology. The nerve fibers of vagus can be divided into afferent (about 90 %)
and efferent fibers (10 %) based on the results of animal observations. About 9–10 %
of vagal afferent fibers are capsaicin-sensitive afferent fibers (Gabella and Pease 1973;
Grijalva and Novin 1990).
Most observations on the gastrointestinal field were based on the modification
of efferent fibers of vagal nerve, except the classical surgical vagotomy (both in
the animal experiments and in the human therapy of peptic ulcer disease). This
standpoint was emphasized in time period of application of different anticholiner-
gic compounds acting at the level of muscarinic receptor.
Since histamine has an essential role in the gastric acid secretion and in many
other immunological processes, various H2 receptor antagonist compounds were
developed like cimetidine, ranitidine, famotidine, and nizatidine.
After recognition of the H+-K+-ATPase as biochemical structure of gastric acid
secretion, the so-called proton pump inhibitors (H+-K+-ATPase inhibitors) were
developed and studied in clinical practice using great efforts (Mózsik 2006).
The principal problems for clinicians were that the research did not offer any
possibilities for studying capsaicin-sensitive afferent fibers of the vagal nerve in the
human physiology, pathology, pharmacology, and in human medical therapy.
The observations of Jancsó et al. (1967, 1968, 1970) opened a new gate for
evaluation of the potential roles of capsaicin-sensitive afferent fibers indepen-
dently from the other afferent nerves in various physiological, pharmacological,
and pathological processes.
Szolcsányi and Barthó (1981) were the first authors, who clearly demonstrated
the dual actions of capsaicin on the peptic ulcer in rat: capsaicin given in small
doses prevented, meanwhile this compound given in higher doses aggravated the
gastric ulcer in the rat. Later on, Holzer studied the details of capsaicin actions in
the GI tract (see the reviews of Holzer 1998; 1999, 2013).
Our experimental studies with capsaicin have been carried out together with
professor Szolcsányi (Department of Pharmacology and Pharmacotherapy, Medical
and Health Centre, University of Pécs, Hungary) from 1980, understanding the
actions of capsaicin in gastric mucosal damage and protection have been our main
focus (Mózsik et al. 1997).
My work team started with the human clinical pharmacological studies from
the years of 1960 in patients with peptic ulcer disease (Mózsik et al. 1965, 1967,
1969a, b). These studied tried to clear up the absorption, metabolism, and excre-
tion of various anticholinergic agents in patients with peptic ulcer before the start-
ing of chronic treatment, after the regular chronic treatment, and after cessation
of these drugs. The application of anticholinergic agents to patients was used to
approach the cholinergic-mediated processes both in the development and treat-
ment of peptic ulcer diseases.
After the year 1970, the H2 receptor blocking compounds were deeply studied
in human GI physiology, pathology, and pharmacology. Many clinical pharmaco-
logical studies have been carried out in patients with peptic ulcer disease (Mózsik
et al. 1994; Patty et al. 1984; Tárnok et al. 1979, 1983).
In the past two decades, the proton pump inhibitors were widely studied.
The problems, results, and difficulties of our clinical pharmacology practice put
down the bases of a very clear research line for the observations with capsaicin. The
results of different animal observations offered a new possibility for evaluation of
capsaicin-sensitive afferent nerves (by the application of capsaicin) during physio-
logical, pathological, pharmacological, and therapeutic events of the GI tract.
Results from animal experiments clearly indicated to us that the stimulatory
doses of capsaicin on capsaicin-sensitive fibers produce gastric mucosal defensive
actions and they are able to prevent the NSAID-induced gastric mucosal damage.
These scientifically carried out studies with capsaicin in animals also offered a
new tool to approach the capsaicin-sensitive afferent nerves in the healthy human
beings, and in some patients with different GI disorders.
Our studies with capsaicin in healthy human subjects and in patients with dif-
ferent gastrointestinal disorders started from 1997. These studies were permitted
by the Regional Ethical Committee of Pécs University, Hungary, and these obser-
vations were carried out according to GCP respecting the Helsinki Declaration.
The human observations were carried out according to the basic laws of human
clinical pharmacology (inclusion and exclusion criteria, randomization, prospec-
tive studies, generally self-controlled group of healthy human subjects, etc.).
We had three aims in these studies with the capsaicin:
1. To understand the main mechanisms of capsaicin-sensitive afferent nerves on
gastric functions.
2. To try to understand the potential role(s) of capsaicin-sensitive afferent nerves in
the development of human physiological, pathological and pharmacological events.
3. To evaluate and even develop a new capsaicin containing drug or drug com-
binations to modify the capsaicin-sensitive afferentation in healthy human
subjects and to treat patients with gastrointestinal mucosal damage against
NSAIDs and Helicobacter pylori infection.
These aims led us to use a significant number of the methodologies applied in
the human studies. However, we had to use classical molecular pharmacological
242 G. Mózsik
methods to compare and to understand some details of capsaicin-induced changes

in the human physiological, pathological parameters, and also for better under-
standing of the results of capsaicin observations.
The following main trends were applied in the capsaicin research:
1. To determine the dose-response curves for the various drugs and capsaicin.
2. To introduce the classical molecular pharmacological methods for understand-
ing the capsaicin-induced action in comparison to others produced by anticho-
linergic drugs, H2 receptor antagonists, or proton pump inhibitors.
3. The specific immunohistochemistry (for obtaining morphological evidence)
was incorporated into the research.
4. Different parameters were simultaneously measured (e.g., plasma glucose,
insulin, C-peptide, and glucagon were detected during the sugar loading test
in the healthy human subjects).
5. Capsaicin studies were carried out not only following acute administration but
also after a chronic capsaicin administration.
6. The immunohistochemical studies were carried out in the GI mucosa of patients
with different GI disorders (acute gastric mucosal damage, chronic inflamma-
tion, precancerous state, and cancers in the stomach and in the large bowel);
7. The human pathological diagnosis was given by an independent pathologist.
8. The ED5O (necessary doses of drugs to produce 50 % inhibition) values were
determined and expressed in (−) molar values (pD2).
9. The possible role of capsaicin afferentation in the prevention or treatment
of gastric mucosal damage produced by NSAIDs in healthy subjects and in
patients who are treated with these drugs (as pain killers, platelet aggregation,
anti-inflammatory compounds, etc.) was evaluated.
10. Protocols for human phase I. examinations with capsaicin alone and/or with
combination of capsaicin plus NSAIDs to receive permission from national
and international authorities were prepared.
9.4.1 Capsaicin-Sensitive Efferent Nerves Versus Gastric

Secretion in Healthy Human Subjects
Capsaicin in a dose-dependent manner decreased the gastric basal secretion (basal

acid output, BAO) (Mózsik et al. 1999, 2004a, 2005). Capsaicin was applied in
very small doses (200–800 μg orally) which stimulate the capsaicin-sensitive
afferent nerve.
When we applied the molecular pharmacological approach to the actions of
capsaicin, anticholinergic agents, H2R antagonists, or proton pump inhibitors,
we were surprised that capsaicin was able to inhibit the gastric acid secretion at a
smaller molar concentration than other clinically widely used drugs (Figs. 9.2 and
9.3). Analyzing the intrinsic activity of these drugs and capsaicin by the molecular
pharmacological methods (intrinsic activity of atropine was taken to be 1.00), we
found capsaicin’s action to be lesser than atropine’s (Fig. 9.3).
The affinity curves of different drugs and capsaicin were molecular pharmacologi-
cally determined and given as pD2 (the necessary doses of drugs and capsaicin to pro-
duce 50 % inhibition of gastric acid secretion (basal acid output), which expressed
in (−) molar value) and as intrinsic activity (pA2) (the necessary doses of drugs and
capsaicin to produce 50 % inhibition, also expressed in (−) molar) values (Table 9.1).
The results of these molecular pharmacological studies clearly indicated the
sensitivity of the various regulatory targets of different drugs and capsaicin in
comparison to possible physiological roles of the target organs and the drug
actions influence their functional activities and states. There is no question that
the stimulation of capsaicin-induced afferent-sensitive nerves plays a very signifi-
cant effect in regulation of processes important for maintenance of gastric mucosal
integrity in human beings (including in healthy subjects and patients with different
GI disorders or treated with different drugs, especially with NSAIDs).
The decrease of gastric acid secretion was explained by the increased H+
back diffusion after capsaicin application via the increased vasodilator pro-
cesses induced by the release of the CGRP and SP in animal observations or by
the increase of somatostatin secretion. The CGRP and SP together with capsaicin
receptor (TRVP1) could be detected by inmunohistological methods in the gastric
mucosa around the nerves, vascular spaces, parietal cells, and in epithelial layer.
The human observations with increased gastric secretory responses are present
in all of increased gastric mucosal blood flow. On the other hand, the increased
gastric acid (H+) secretion is closely associated with the increase of K+, Mg2+,
Ca+, and albumin in gastric juice. However, the decrease of gastric acid secre-
tion produced by antisecretory agents is associated with the decrease of H+, K+,
Mg2+, Ca2+, and albumin (Myren 1968).
Human observations with capsaicin do not suggest presence of increased H+ back
diffusion during capsaicin action (except when capsaicin was given in high doses):
1. The increased H+ back diffusion suggests the decreased level of albumin in the
gastric juice. Our results cannot prove the existence of gastric H+ back diffu-
sion in healthy human subjects during the capsaicin action:
2. We calculated the “parietal” and “non-parietal “components of gastric juice after
Hollander’s original observation (Hollander 1934). Our results clearly indicate
that the decrease of gastric H+ concentration (and output) is closely associated
with the increased extent of “non-parietal component” during the capsaicin action
in the healthy human subjects. The “non-parietal component” of the gastric juice
is a buffering part, which is not obtained in circumstance of passive metabolic
processes. Earlier, the significant increase of buffering (“non-parietal compo-
nent”) secretion was obtained in 2–10 days after cessation of a prolonged atro-
pine treatment in patients with peptic ulcer disease (Antal et al. 1965).
3. There are other arguments against the existence of the passive H+ back dif-
fusion in the stomach during capsaicin action in the healthy human subjects.
When the capsaicin was directly given to gastric mucosa (using gastroscope)
then the “gastric transmucosal potential difference” (GTPD) increased in a
dose-dependent manner (Mózsik et al. 2005).
244 G. Mózsik
If ethanol was intragastrically given (using the biopsy channel), then this GTPD
immediately decreased, which could be reversed by the topical application of cap-
saicin. This action of capsaicin is also dose-dependent after ethanol application in
the healthy human subjects (Mózsik et al. 2005).
The capsaicin action on the gastric secretory responses can be explained by dif-
ferent ways:
1. Direct cellular action of capsaicin on the parietal cells;
2. Direct stimulatory action of capsaicin on the “non-parietal component” of gas-
tric secretory responses;
3. Capsaicin (given in doses producing the stimulation of capsaicin-sensitive affer-
ent nerves) results in direct neural (or hormonal) influences on the gastric mucosa;
4. Other yet not known mechanism(s) existing in the regulation of the human gastric
secretion.
Capsaicin given in ED50 increased the gastric emptying (Debreceni et al. 1999;
Mózsik et al. 2004a, b). This action of capsaicin on the gastric emptying can be
explained at least by two pathways:
1. Decrease of gastric acid secretion;
2. Direct action on muscular function of the stomach (pylorus).
Up to now, the acute action of capsaicin was evaluated dominantly by measur-
ing one or two parameters.
9.4.2 Capsaicin Effect on Glucose Absorption from Small

Intestine in Healthy Human Subjects and its Hormonal
and Metabolic Backgrounds
The sugar loading test was applied for measuring absolutely different physiologi-
cal events, e.g., glucose absorption from the proximal part of the small intestine
and consequently the produced hormonal regulations during the glucose loading
test.
The response to glucose loading in healthy human subject can be divided into
three different periods on the basis of physiological events after orally applied glu-
cose in healthy human persons:
1. Absorption (first period, from 30 to 90 min);
2. Insulin (and other hormones) release (second period, from 60 to 150 min);
3. Glycogen mobilization by the liver (third period, from 150 to 180 min)
under adrenergic neural influences.
The glucose can be absorbed from the proximal part of the small intestine by
active transport mechanism (in presence of Mg2+, mitochondrial ATP breakdown
into ADP) (Dömötör et al. 2006b). The monitoring of the glucose level was used
as biological marker for the equilibrium of the different physiological events.
In the first period, the plasma glucose level depends only on the glucose absorp-
tion; in the second period, the plasma level of glucose represents the equilibrium
between the absorption and hormone release; and in the third, the glucose level
represents the mobilization of glucose by the liver in healthy human subjects. It is
also important that the insulin and glucagon act contra regulatory on glucose utili-
zation in the serum.
By studying the time sequence of changes in plasma levels of glucose, insulin,
C-peptide, and glucagon after glucose loading in healthy human subjects without
and with capsaicin (400 μg orally), we found the followings:
1. The plasma level of glucose (from 30 to 150 min) and the glucagon (from 90 to
180 min) increased significantly after glucose plus capsaicin administration.
2. The plasma levels of insulin and C-peptide were increased from 90 to 165 min,
however, no significant changes were observed between subjects without and
with capsaicin.
3. No difference in timing of insulin and glucagon release was observed, which
clearly excludes the existence of antagonism between insulin and glucagon
release (short time).
4. The plasma level of glucagon was higher for longer than it was in case of insu-
lin. It should be noted that capsaicin increased the glucagon level.
The results clearly indicate that capsaicin-sensitive afferent nerves have a key
role in the regulation of glucose absorption from the small intestine (due to a local
increase of blood flow), glucose utilization, and release of neuropeptide (presently
the glucagon release). This human observation proved clear-cut active participa-
tion of capsaicin-sensitive afferent nerves in the carbohydrate metabolism (by the
ways of modification of sugar absorption, hormone release). Till now, only the
somatostatin release induced by capsaicin has been known (Szolcsányi 2004).
9.4.3 Capsaicin (Given Orally in Small Doses of 200, 400,

and 800 Mg) Prevents Indomethacin-Induced Gastric
Microbleedings in Healthy Human Subjects
Indomethacin (IND) was used in these studies, which is a nonselective COX inhib-
itor (the ratio of ED 50 of indomethacin on COX-1/COX-2 = 0.3 0) (Kawai et al.
1998) (Table 9.5). The extent of gastric microbleeding appears as a consequence
of COX-1 and COX-2 inhibition.
The results of our observations (Sarlós et al. 2003; Mózsik et al. 2003, 2004a, 2005)
were that capsaicin given intragastrically dose-dependently prevented the IND-induced
gastric microbleeding (before and after 2 weeks of capsaicin treatment).
Under the results of Kawai et al. (1998), we calculated the extents of gastric
microbleeding depending on COX-1 and COX-2 enzyme activity (Table 9.6).
It was found that the capsaicin-induced gastric mucosal protection remained
unchanged before and after the 2 weeks capsaicin treatment in both COX-1 and
COX-2 enzyme parts of the COX system.
246 G. Mózsik
Table 9.5 Comparison of NSAID Ratio COX-1 : COX-2

inhibitory effects (IC50) by
Aspirin 0.12
giving the COX-1 and of
various NSAIDs using human Diclofenac 38.00
platelet COX-1 and synovial Etodolac 179.00
cell COX-2 (After Kawai Ibuprofen 0.86
et al. 1998)* Indomethacin 0.30
Loxoprofen-SRS 3.20
NS-398 1263.00
Oxaprozin 0.061
Zaltoprofen 3.80
The orally given 200, 400, and 800 μg capsaicin dose-dependently reduced the
indomethacin-induced gastric microbleeding. All the healthy persons included in
this study received all the mentioned doses of capsaicin in random allocation.
9.4.4 Questions of Desensitization to Capsaicin Receptor to

Capsaicin (in Doses Applied by us During the Studies)
9.4.4.1 Facts to Exclude the Presence of the Desensitization of Capsaicin

Receptor to Applied Doses of Capsaicin in Acute Observation
Circumstances
When we applied the capsaicin twice in doses of 800 μg ig. after 5 min interval
(Fig. 9.5), then we received the same extents of increase in difference of GTPD,
indicating a very active metabolic action under these observation circumstances.
The same extent of gastric mucosal protection was obtained in the IND-induced
gastric mucosal damage in healthy human subjects. The actions of gastric mucosal
prevention was dose-dependent on the indomethacin-induced gastric microbleed-
ings (please note that these human observations were carried out in prospective,
randomized and multiclinical studies) (Figs. 9.6 and 9.12).
The results of these mentioned observations clearly indicated that the doses of
capsaicin in our studies could not produce desensitization of capsaicin receptors
(these doses of capsaicin only were able to stimulate the capsaicin-sensitive affer-
ent nerve).
9.4.4.2 Facts to Exclude the Presence of Desensitization to Capsaicin

Receptor by Applied Doses of Capsaicin During 2 Weeks of
Capsaicin Treatment
Capsaicin exerts gastro-protective effect on IND-induced gastric mucosal micro-

bleeding that remained unchanged before and after 2 week capsaicin (3 × 400 μg
orally given) treatment (Fig. 9.12).
Table 9.6 Correlation between the capsaicin actions, COX-1 and COX-2 systems and gastric
microbleedings produced by indomethacin in healthy human subjects before and after the 2-week
capsaicin (3 × 400 μg orally) treatment. (After Mózsik et al. 2007)*
• IC50 value of indomethacin to ratio of COX-1/COX-2 = 0.30
(1: 3.25)
• Microbleeding in the stomach
← 2 weeks capsaicin treatment →
Before After
Baseline 2.1 ± 0.1 mL/day 2.0 ± 0.1 mL/day

After IND 8.25 ± 0.25 mL/day 7.8 ± 0.3 mL/day
Δ IND-induced 6.15 ± 0.2 mL/day 5.8 ± 0.3 mL/day
(=inhibition on COX-1 + COX-2) (=100 %)
COX-1 1.447 ± 0.1 mL/day 1.364 ± 0.1 mL/day

COX-2 4.70 ± 0.2 mL/day 4.44 ± 0.2 mL/day
• 400 μg capsaicin (IG given) induced decrease of ind-gastric microbleeding
6 ± 0.2 mL/day 5.9 ± 0.2 mL/day
*mean ± SEM in 14 healthy human subjects
By other words, the gastric baseline microbleeding remained unchanged after

the application of different doses of capsaicin (200, 400, and 800 μg orally) that
induced gastric mucosal protection.
The registration of these facts (observations) are very important, since a very
wide scale of capsaicin doses was applied in human observations, and of course
they resulted very contradictory data (because capsaicin were applied in stimula-
tory doses to capsaicin-sensitive afferent nerve and much higher doses produce
reversible and irreversible inhibitory actions in various animal experiments).
The capsaicin acts at the level of capsaicin receptor, which has been cloned (Caterina
et al. 1997). It is true that the capsaicin action depends on its doses proved by animal
experiments (Szolcsányi 1984; Mózsik et al. 2001). The small dose (400 μg = ED50)
was applied for two weeks (in dose of 400 μg × 3 orally) in healthy subjects. The gas-
tric mucosal microbleeding was produced by orally given IND (Fig. 9.15).
The following results were obtained:
1. The extent of baseline gastric microbleeding before and after 2 weeks capsaicin
(without application of any drug) remained unchanged.
2. The extent of acutely given indomethacin-induced gastric microbleeding was
also unchanged.
3. The extent of capsaicin-induced gastric mucosal protection was also found to be
the same (and dose-dependent) before and after the 2 weeks capsaicin treatment.
It has been concluded from these observations that the sensitivity of capsaicin
receptor (TRVP1) was unchanged, and on the other hand, the orally applied cap-
saicin is capable to exert gastric mucosal protection against indomethacin.
Probably the applied small dose of capsaicin—used in our present studies—
could not modify the TRVP1 receptor sensitivity. We have no knowledge in this
field by using higher dose(s) of capsaicin in healthy human subjects.
248 G. Mózsik
From the side of compound(s)
Chronic treatment with the same dose (A)
Acute effect Decreased acute effect after

chronic treatment
Chronic treatment (B)
Acute effect Increased dose of the drug need to reach

the same acute effect after chronic
treatment
From the side of mucosal injury and complaints
Mucosal damaging effects of NSAIDs (A)
Higher protective effect Decreased protective effects
Changes in complaints (B)
Small
Increased
Fig. 9.15 Schematic demonstration the possible pathways in changes of chronic capsaicin

treatment from the side of the compound (upper part) and from the side of mucosal injury and
complaints (lower part) in healthy human subjects and in patients with different (including gas-
trointestinal) disorders
These facts are very important from the point of selection of capsaicin contain-
ing drug, because these dosages of capsaicin could exert beneficial effect (given
orally in small doses), meanwhile the capsaicin in high doses can produce revers-
ible or irreversible damage on the human gastric mucosa.
Earlier similar types of observations were carried out with atropine and
other parasympatholytics (Mózsik et al. 1965, 1966, 1969a, b) and cimetidine
(Wildersmith et al. 1990). Tolerance developed to the drugs applied chronically in
patients with peptic ulcer disease, and the “pharmacological denervation hyper-
sensitivity” occurred during clinically detectable tolerance (Mózsik et al. 1966,
1969a, b). These clinical pharmacological examinations modified the periodicity
and dosage of applicable drugs (used in chronic treatment).
The careful analysis of the results with capsaicin actions, COX-1 and COX-2
systems and gastric microbleedings produced by IND in healthy human sub-
jects before and after 2 weeks capsaicin (3 × 400 μg orally) treatment offered an
excellent possibility to approach the capsaicin actions on the COX-1 and COX-2
enzyme system (Table 9.6).
9.4.5 Gastric (Gastrointestinal) Cytoprotection Versus

Capsaicin Actions (Given in Stimulatory Doses
of Capsaicin-Sensitive Afferent Nerves)
Observations with different chemical agents (drugs, mediators, and nutri-

tive agents like retinoids, prostaglandins, and others) indicated a special gastric
mucosal protection, which did not depend on the gastric acid inhibition (see the
reviews Mózsik et al. 2010, 2011a, b). Later on many observations indicated that
the so-called gastric cytoprotective agents are able to prevent the development of
injuries of different organs (produced by different actions) and they can accelerate
healing processes.
The existence of gastric cytoprotection was earlier proved in patients with pep-
tic ulcer (Mózsik et al. 1965, 2010, 2011a, b) as it was nominated by André Robert
(1979).
Only few points are interesting in our present position, namely: (1) The capsai-
cin-induced gastric mucosal protection in healthy human subjects is accompanied
with the decrease of gastric acid secretion (that was one of the criteria differed
from the of the existence of “classic” gastric cytoprotection); (2) both “classical
cytopotective effects” as well as capsaicin-produced gastric mucosal protection
disappear after surgical vagotomy (but not after chemical vagotomy); (3) gas-
tric cytoprotective effects produced by different agents remained to be the same
besides application of capsaicin (given in doses to produce stimulation of capsai-
cin-sensitive afferent nerves) (Mózsik et al. 1997). These results led us to suggest
that: (1) some part a gastric mucosal (cyto) protection is very closely associated
with the functional activity of capsaicin-sensitive afferent nerves; (2) increased
extent of gastric mucosal damage might develop in consequence of surgical abla-
tion of capsaicin-sensitive afferent nerves (Mózsik et al. 1982, 2011a, b).
250 G. Mózsik
These lines of capsaicin and cytoprotection protection in some sensses are simi-
lar but differ in others (Szabó et al. 2012; Mózsik et al. 2011a, b).
9.4.6 Immunohistochemical Distribution of Capsaicin

Receptor (TRPV1), (CGRP), and Substance P (SP)
in the Gastric and Large Bowel Mucosa of Patients
with Different Gastrointestinal Disorders
The use of specific antisera against TRVP1 receptor, CGRP, and SP released by
the stimulation of capsaicin-sensitive afferent nerve can immunohistochemically
demonstrate their presence in the GI mucosa. Please note that mucosal biopsy can-
not be performed in healthy human subjects due to ethical regulations. So “healthy
subjects” are represented by human subjects with functional disorders having no
endoscopic abnormalities and diagnosed by clinicians and independent pathologists.
There is another problem, namely the regular biopsy can offer a small tissue sample
for its regular pathological histological evaluation. Our specific immunohistochemi-
cal observations could be done only after successful routine histological examination.
We studied l78 patients with different gastrointestinal disorders (complaints),
and the persons who had normal histology based on the opinion of independent
pathologist were used as normal (healthy) human subjects (Dömötör et al. 2007;
Mózsik et al. 2007).
The TRVP1 receptor, CGRP, and SP neuropeptides released by the stimulation
of capsaicin receptor can be shown by immonohistochemistry both in the human
gastric and colon mucosa. The TRVP1 receptors and neuropetides (CGRP and SP)
could be demonstrated in the GI mucosa around the nerve endings, vascular ves-
sels, parietal cells, however, in the epithelial layer also.
The capsaicin application and the immunohistochemical demonstration of
TRVP1 receptor in the GI tract newly met in the healthy human subjects. We
studied the immunohistochemical distribution of TRVP1, CGRP, and SP in the
GI mucosa of patients with different disorders. The TRVP1 receptor, CGRP, and
SP could be detected practically in all patients with different acute, chronic dis-
eases (including benignant, precancerous, and cancerous diseases) (Dömötör et al.
2005). The results of these observations can be taken only as preliminary results.
Their expression differed significantly in the GI mucosa of patients with acute and
chronic disorders. Of course, the critical evaluation of these immunohistochemi-
cal observations is extremely hard, since we have only very limited information
on the origin, stages, time periods of diseases, drug therapies, and suggested etio-
logical backgrounds. The studies dealing with the changes of individual patients
with chronic GI disorders—in this research respect—are in progress. We have to
emphasize two different main points in these studies, namely (1) The changes of
the expressions of TRVP1, CGRP, and SP are helpful from the point of develop-
ment of GI mucosal injury and prevention, and (2) Probably the participations of
TRVP1, CGRP, and SP differ in these GI pathological circumstances.
9.4.7 Immunohistochemical Examinations in Patients with

Chronic H. pylori Positive and Negative Gastritis
In human observations, the possible participation of TRVP1, CGRP, and SP were

studies in patients with chronic gastritis. The laboratory tests (quick urease test,
urea breath test) and specific histological staining widely used in every day medi-
cal practice for demonstration of the presence of Helicobacter pylori infection
were used, which suggested the presence of bacteria as the etiological for chronic
gastritis.
Our studies were carried out in patients with H. pylori positive and negative
chronic gastritis. The expression of TRVP1, CGRP, and SP increased significantly
in the gastric mucosa with chronic gastritis; however, no difference was obtained
on their expression in patients with H. pylori positive and negative chronic gastri-
tis (Dömötör et al. 2006a).
The inflammation of the tissues does not represent a specific tissue reaction to
provocation agents. This statement can be concluded from our results obtained in
patients with H. positive and negative chronic gastritis due the potential role of
capsaicin-sensitive afferent nerves. There is no question that the so-called “neu-
rogenic inflammation” participated in the “general inflammatory processes” in
patients with different gastrointestinal disorders.
9.4.8 Capsaicin-Sensitive Afferentation in Patients with

Chronic H. pylori Positive Gastritis Before and After
Eradication Treatment
The last step of our observations indicated that capsaicin-sensitive afferentation

did not differ before and 6 weeks after successful eradication treatment in patients
with chronic H. pylori positive gastritis (meanwhile the control biopsy was normal
in 22–78 % indicated a moderate improvement of the histological picture of gastri-
tis) (Lakner et al. 2011; Mózsik et al. 2011a, b, 2014; Czimmer et al. 2013).
After careful analysis of these results, it can be stated that the capsaicin-sen-
sitive afferentation represents as an essential pathway in the healing of chronic
gastritis (probably without and with Helicobacter pylori infection). These results
suggest an independent mechanism in the healing of chronic gastritis which dif-
fers from the eradication treatment. By other words, besides the H. pylori infection
other factors might exist. The H. pylori infection can be taken as one (but probably
most important) exogenous factor, however, the capsaicin-sensitive afferent fibres
of vagal nerve represents an endogenous factor in the injury and protection of gas-
tric mucosa (Mózsik et al. 2014).
Our results with capsaicin (in healthy human subjects and in patients with dif-
ferent gastrointestinal disorders) are summarized in Fig. 9.9. The vagal nerve is
able to modify the GI tract by regulatory steps at the central nervous system and
252 G. Mózsik
at the level of target organ. The peripheral action of capsaicin is a dose-depend-

ent action (Szolcsányi 1984; Mózsik et al. 2001) (Table 9.5). Capsaicin releases
CGRP and SP (Inui et al. 1991; Dömötör et al. 2005), which modifies the vascular
reactions in the gastrointestinal mucosa (Sipos et al. 2006) recently demonstrated
that the existence of neuroimmune link between the CGRP, SP, and immune cells
in the gastric mucosa of patients with chronic gastritis. Dömötör et al. (2006b)
demonstrated the increased release of glucagon during a sugar loading test in
healthy human subjects, indicated a new step of capsaicin-induced changes taking
place between the capsaicin-sensitive afferent nerves and neurohormonal regula-
tion. Dömötör et al. (2006b) gave a direct evidence for the role of capsaicin in the
carbohydrates metabolism.
There were a few very surprising matters due to capsaicin from the point of
human classical clinical pharmacology prior to our observations:
1. No permitted orally applicable capsaicin preparation available for humans;
2. No chronic toxicology to capsaicin in animal observations (two spices of ani-
mals—rodent and dog-treated with capsaicin for 6 months);
3. No direct clinical pharmacological study to germinative function;
4. Capsaicin (Sigma-Aldrich, USA) chemically is not uniform due to its content of
dihydrocapsaicin, nordihydrocapsaicin, and some other capsaicinoids;
5. No classical human clinical pharmacological study (human phase I and phase
II) was found in the literature;
6. No correct Drug Master File (DMF) for capsaicin preparations were developed
for the commercially obtained capsaicin (except for a certain capsaicin prepara-
tion obtained from India and used by us);
7. No human pharmacokinetic observations were available for capsaicin (please
remember that our capsaicin studies in healthy human subjects were started in
1997).
Bernard et al. (2008) were unable to create pharmacokinetic profile of cap-
saicinoids after administration of 15 and 30 mg of capsaicin/person; meanwhile,
the detection limit was 10 ng/ml. Chaiyasit et al. (2009) applied orally 5 gram of
C. frurenscens (equivalent to 26.6 mg pure capsaicin) indicated that the capsai-
cin could be detected in plasma after 10 min, and the peak concentration (Cmax)
was 2.47 ± 0.13 ng/mL, t max was 47.1 ± 2.0 min, and t½ was 24.9 ± 5.0 min.
After 90 min, capsaicin could not be detected in the plasma. Chaiyasit et al. (2009)
explained the results of Bernard et al. (2008) by the time factor of pharmacoki-
netic behaviors of capsaicin in humans. The results of these observations were
mentioned in the review paper by O’Neill et al. (2012).
We also received new information from the chronic toxicological studies in
Beagle dogs (2008). These animals were treated with different doses (0.1, 0, 3, and
0.9 mg/kg body weight/day orally given) of capsaicin(noids) for 1 month. No toxic
effects were observed in these dogs during the whole treatment periods. We noticed
surprisingly that capsaicin and dihydocapsaicin could not be detected in the sera of
Beagle dogs by either High Pressure Chromatography (HPLC) with the detection
limit of 20 ng/mL serum or Liquid Chromatography—Mass Spectrometry (LC–MS)
with the detection was 26 fg/mL in the serum at any time after the oral administration
of capsaicin(oids) (Mózsik et al. 2008; Boros et al. 2008).
In our human phase I. examination (when we applied orally 400 or 800 μg cap-
saicinoid orally alone or in combination with aspirin or diclofenac) neither capsai-
cin nor dihydrocapsaicin could be detected in the sera of healthy volunteers of any
time after the capsaicin(oids) application.
Our comments on the above-mentioned pharmacokinetic observations in
healthy subjects are:
1. The applied dose of capsaicin was extremely high in human beings.
2. The exact chemical compositions of plant origin capsaicin preparations was not
known.
3. Capsaicin concentration was measured in the sera of healthy subjects during
these studies and no dihydrocapsaicin concentration mentioned.
4. There was no mentioning of the fact that capsaicin is transformed into dihydo-
capsaicin during metabolism.
In light of the results obtained in Beagle dogs and healthy human subjects, it
is clear that capsaicin(oids) acts (act) primarily locally. This state was accepted
in our human phase I. clinical pharmacological studies, when the capsaicin(oids)
alone and in combination with aspirin, diclofenac, and naproxen were put in
bioadhesive compounds during the industrial preparation, since we aimed at the
enhance local actions of these drug candidate molecules in the stomach.
We never tested the actions of capsaicin(oids) in the gastrointestinal tract in any
other application forms than oral.
9.4.9 Main Conclusion from Our Observations on Capsaicin

Application in Healthy Human Subjects and in Patients
with Different Disorders
1. Capsaicin (as a specific agent to stimulate the capsaicin-sensitive afferent

nerves) plays a special role in the regulation the gastric functions (decrease of
gastric acid secretion, increase of gastric emptying, increase in “buffering part”
of the gastric secretion, increase of gastric transmucosal potential difference),
absorption of glucose (and in its metabolism as well as in increase of glycagon
release) in healthy human subjects, when it is applied in stimulatory doses.
2. Capsaicin (given orally in stimulatory doses) protects against the alcohol and
NSAID-induced gastric mucosal damage in healthy human subjects.
3. Capsaicin given in stimulatory doses to capsaicin-sensitive afferent nerves did
not produce desensitization of its receptor (neither in acute administrations nor
in chronic administrations) in healthy human subjects.
4. The presence of capsaicin receptor (also CGRP and SP, which are very close in
physiological relation) can be shown by specific immunohistochemical meth-
ods in various gastrointestinal disorders.
254 G. Mózsik
5. Capsaicin-induced gastroprotection differs from the eradication treatment in

patients with chronic H. pylori positive gastritis (and probably the roles of cap-
saicin receptor and CGRP differ from the SP).
6. It is very important to note that these gastroprotective actions can be obtained only
by administration of capsaicin in stimulatory doses to its sensitive afferent nerves.
7. The human phase I. examinations clearly indicated that the capsaicin and dihy-
drocapsaicin cannot be detected in the serum of volunteers; and the examined
person tolerated well the orally given capsaicin in doses of 400 and 800 μg or
in co-administration with ASA and diclofenac. Furthermore, it is also impor-
tant, that the administration of capsaicin (in different doses) will not modify the
absorption and metabolism of ASA and diclofenac; meanwhile, the inhibition
of platelet aggregation remained the same.
After looking at this conclusion list, there are clear evidences that the capsaicin
is an orally applicable drug either alone or in combinations with different NSAIDs
to healthy human subjects and to patients. Its indications are wide from the pre-
vention of drug-induced gastric mucosal damage in from patients under long-term
aspirin treatment (due to cardiovascular disease, thrombophilia, and rheumatoid
arthritis), in pain killer treatment, and pin patients having chronic H. pylori posi-
tive gastritis and in patient with different carbohydrate disorders.
We are of the opinion that we can scientifically put down the clinical pharma-
cological bases of the oral capsaicin or drug combination use. Of course, we are
aware that many other observations are needed to be carried out in accordance to
the regulations of international drug development, production, and marketing for a
capsaicin containing drug for the everyday medical treatment.
Acknowledgments This study was supported by the National Office for Research and Technology,
“Pázmány Péter” Programme, RET-II 08/2005 (2005–2008), and by Baross Grant Programme
(REG-DG-09-2-2009-0087,CAPSATAB) (2011–2012).
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Chapter 10
Capsaicin Receptor as Target of Calcitonin
Gene-Related Peptide in the Gut
Stefano Evangelista
Abstract Calcitonin gene-related peptide (CGRP), a 37 aminoacid-residue pep-

tide, is a marker of afferent fibers in the upper gastrointestinal tract, being almost
completely depleted following treatment with the selective neurotoxin capsaicin
that targets these fibers via transient receptor potential vanilloid type-1 (TRPV-1).
It is widely distributed in the peripheral nervous system of mammals where it
is present as α isoform, while intrinsic neurons of the enteric nervous systems
express predominantly CGRP-β. Many gastrointestinal functions involve CGRP-
containing afferent fibers of the enteric nervous system such as defense against
irritants, intestinal nociception, modulation of gastrointestinal motility and secre-
tion, and healing of gastric ulcers. The main effects on stomach homeostasis rely
on local vasodilator actions during increased acid-back diffusion. In humans,
release of CGRP through the activation of TRPV-1 has been shown to protect
from gastric damage induced by several stimuli and to be involved in gastritis. In
both dyspepsia and irritable bowel syndrome the repeated stimulation of TRPV-1
induced an improvement in epigastric pain of these patients. The TRPV-1/CGRP
pathway might be a novel target for therapeutics in gastric mucosal injury and vis-
ceral sensitivity.
10.1 Molecular Biology
In the central and peripheral nervous systems, the RNA transcript from the
calcitonin gene yields an mRNA, which encodes the 37 aminoacid-residue

peptide calcitonin gene-related peptide (CGRP), proved to be an important physi-
ologic mediator (Wimalawansa 1996; van Rossum et al. 1997). CGRP is the first
S. Evangelista (*)
Department of Preclinical Development, Menarini Ricerche SpA,
Via Sette Santi 1, 50131 Florence, Italy

260 S. Evangelista
Fig. 10.1 Schematic view of the CGRP receptor that consists of calcitonin receptor-like peptide
(CLR), receptor activity modifying protein 1 (RAMP1), and receptor component protein (RCP)
biologically active neuropeptide identified through the molecular biology approach

(Rosenfeld et al. 1983) and can be found in two forms as CGRP-α, which is gen-
erated by transcription and alternative splicing of the calcitonin (CT)/CGRP-α
gene, and as CGRP-β, which is encoded by the CGRP-β gene. The two forms dif-
fer by one and three amino acids in rats and humans respectively. CGRP-β has
been shown to have a pattern of expression that overlaps, but is nonidentical to that
of CGRP-α, with CGRP-α having a higher level of expression in most neurons of
the central and peripheral nervous system (Mulderry et al. 1988). One exception is
the intrinsic neurons of the enteric nervous systems, which express predominantly
CGRP-β mRNA.
CGRP is a member of a family of peptides that share sequence homology and
have some overlapping biological activities. The members of the family include
amylin, adrenomedullin, and CGRP (Barwell et al. 2012).
Receptors to this peptide have been divided into two classes in the past, CGRP1
and CGRP2, on the basis of functional tests. After the cloning of calcitonin recep-
tor-like receptor (CLR) and receptor activity-modifying proteins (RAMPs), it
became clear that the CGRP1 receptor was a complex between CLR and RAMP1
(Fig. 10.1). It is now apparent that the CGRP2 receptor phenotype is the result
of CGRP acting at receptors for amylin and adrenomedullin and therefore, the
term “CGRP2” receptor should no longer be used, and the “CGRP1” receptor
should be known as the “CGRP” receptor. The CGRP receptor consists of a seven-
transmembrane-spanning protein designated RAMP1 and an intracellular compo-
nent protein (RCP) (Fig. 10.1). RAMP1 is involved in receptor trafficking and is
required for CGRP binding to CLR, whereas the interaction of CLR with other
RAMP proteins forms adrenomedullin receptors (Evans et al. 2000).
10 Capsaicin Receptor as Target of Calcitonin Gene-Related Peptide in the Gut 261
The human C-terminal fragment of the peptide, hCGRP8–37, was the first and
widely used tool for determining whether the action of CGRP as well as that of
CT is mediated via specific CGRP receptors or CT receptors. It selectively antag-
onizes CGRP activity, being also an agonist for CT receptor (van Rossum et al.
1997). So far some CGRP antagonists are in development as a potential treatment
for acute migraine attacks (Negro et al. 2012). This new class of drugs is designed
to block and/or reverse CGRP-mediated dilation of intracranial vessels induced by
activation of the main sensory nerves in the brain. CGRP is also thought to play
a role in cardiovascular homeostasis and nociception (Wimalawansa 1996; van
Rossum et al. 1997).
10.2 Distribution
CGRP is widely distributed in both peripheral and central neurons. The function
and expression of CGRP may differ depending on the location of synthesis in the
spinal cord. CGRP is derived mainly from the cell bodies of motor neurons when
synthesized in the anterior horn of the spinal cord and may contribute to the regen-
eration of nervous tissue after injury. When synthesized in the posterior horn of
the spinal cord, CGRP came from posterior root ganglion and may be linked to the
transmission of pain. In the trigeminal vascular system, the cell bodies on the gan-
glion are the main source of CGRP. High levels of CGRP-like immunoreactivity
(LI) have been found in the rat (Sternini et al. 1987) and human (Tani et al. 1999)
stomach and the absence of CGRP-LI in endocrine cells suggests that it is more
important as a neurotransmitter than as a circulating hormone. Further to dorsal
root ganglia, gastric muscle, and mucosa are innervated by vagal afferent from
nodose ganglia, another source of CGRP playing important functional role of the
stomach (Young et al. 2008) (Fig. 10.2). Since no positive CGRP cells are found
in the stomach, most gastric CGRP is of extrinsic origin and is contained and
released from peripheral endings of capsaicin-sensitive afferents (Holzer 2007).
In the enteric nervous system CGRP-β is expressed in a subset of Dogiel type II,
intrinsic primary afferent neurons that are not sensitive to capsaicin, while CGRP-α
is the primary isoform expressed in the sensory afferent neurons of the extrinsic
nervous system originating from the dorsal root and vagal ganglia (Fig. 10.2).
10.3 Target of TRPV-1 Agonists and Antagonists
Capsaicin is the main capsaicinoid in chili peppers, followed by dihydrocapsai-

cin. These two compounds are also about twice as potent to the taste and nerves
as compared to the minor capsaicinoids such as nordihydrocapsaicin, homodihy-
drocapsaicin, and homocapsaicin (Table 10.1). Capsaicin is believed to be synthe-
sized in the interlocular septum of chili peppers by addition of a branched-chain
262 S. Evangelista
α CGRP/
α CGRP/ TRPV1
TRPV1
βCGRP
βCGRP
TRPV1
Fig. 10.2 Schematic representation of the extrinsic and intrinsic CGRP-containing neurons and

TRPV-1 distribution in the gastrointestinal tract. Extrinsic spinal afferents have their cell bodies in
the dorsal root ganglia and contain only α-CGRP. CGRP-containing extrinsic nerve terminals inner-
vate the circular and longitudinal smooth muscle layers, the myenteric plexus and the submucosal
plexus, where they densely innervate vascular structures and the mucosa. CGRP-containing intrinsic
enteric neurons express only β-CGRP that are localized in the submucosal and myenteric plexuses.
Submucosal neurons innervate the mucosa, whereas myenteric neurons project orally and aborally,
both within the myenteric plexus and to the circular muscle layer. TRPV-1 was found in both DGR
and NG and in the latter coexpressed with CGRP only in 10 % of the neurons. TRPV-1 is present also
in the parietal cells of the mucosa. CM circular smooth muscle; DRG dorsal root ganglion; LM longi-
tudinal smooth muscle; MP myenteric plexus; NG nodose ganglia; SMP submucosal plexus
fatty acid to vanillylamine; specifically, capsaicin is made from vanillylamine and

8-methyl-6-nonenoyl CoA. Biosynthesis depends on the gene AT3, which resides
at the pun1 locus, and which encodes a putative acyltransferase. Besides the six
natural capsaicinoids, the synthetic capsaicinoid vanillylamide of n-nonanoic acid
(VNA, also PAVA) is used as a reference substance for determining the relative
pungency of capsaicinoids (Table 10.1).
From the pioneering work of Jancsò (1960) it has been shown that capsaicin is a
selective neurotoxin for sensory nerves, and this has led the exploration of the func-
tional role of these neurons, e.g., at the gastrointestinal level and to the hypothesis of
dual “sensory-efferent” functions mediated by capsaicin-sensitive neurons (Holzer
1991, 2007). Capsaicin affects the afferent neurons by two distinct phases: an initial
excitation followed by a long-lasting refractory state during which the neurons are not
responsive to the neurotoxin and other stimuli. The refractory state (also called desen-
sitization) is usually reversible in terms of weeks, but the systemic administration of
high doses of the neurotoxin causes permanent neurotoxicity (Holzer 1991). These
neurons are important to transmit sensory information toward the central nervous sys-
tem but also to release their neurotransmitters toward the periphery, playing a local
effector role in several regulatory processes. CGRP is considered the likely mediator
of sensory neurons in the stomach and their marker in the upper gastrointestinal tract.
Recent studies have shown that capsaicin specifically targets these afferent nerves via
Table 10.1 Names and characteristics of the natural capsacinoids and the synthetic one (PAVA)
used as reference for pungency
Capsaicinoid name Abbreviations Typical Chemical structure
relative
amount
(%)
Capsaicin C 69
Dihydrocapsaicin DHC 22
Nordihydrocapsaicin NDHC 7
Homodihydrocapsaicin HDHC 1
Homocapsaicin HC 1
Nonivamide PAVA
transient receptor potential vanilloid of type-1 (TRPV-1), a non selective cation chan-
nel with high permeability for Ca++ (Holzer 2007). TRPV-1 belongs to a family of
store operated Ca++ channels and acts as a polymodal detector of potentially harmful
stimuli including capsaicin, resiniferatoxin, noxious heat, H+ ions, anandamide, and
several lipoxygenase products (Holzer 2007). Gingerol, piperine, and zingerone are
other spices that might act as TRPV-1 agonists. TRPV-1 and CGRP coimmunoreactiv-
ity was found in almost all the dorsal root ganglia and in 10 % of the nodose ganglia
(Zhong et al. 2008; Fig. 10.2).
The dual “sensory-efferent” functions can be envisaged with gastric ulcers: ani-
mals pretreated with high doses of capsaicin show an aggravation of experimen-
tally induced ulceration because of depletion of protective neurotransmitters. On
the other hand, local application of low doses of capsaicin affords gastric protec-
tion through the release of neuropeptides (among them: substance P and CGRP) in
the periphery (Holzer 1991, 1998; Abdel-Salam et al. 1999; Szolcsànyi and Bartho
2001; Evangelista 2009). This was confirmed by the use of agonists and antago-
nists of the TRPV-1 (Peng and Li 2010). Functional TRPV-1 antagonists such as
264 S. Evangelista
ruthenium red and capsazepine produced aggravation of gastric antral ulcers and
inhibited the gastroprotective effects of low doses of capsaicin (Yamamoto et al.
2001). Resiniferatoxin is a naturally occurring, ultrapotent capsaicin analog that
activates the vanilloid receptor in a subpopulation of primary afferent sensory neu-
rons involved in nociception. Resiniferatoxin causes an ion channel in the plasma
membrane of sensory neurons to become permeable to cations, most particularly
the calcium cation; this evokes a powerful irritant effect followed by desensitiza-
tion and analgesia. Neurochemical and functional studies were carried out to inves-
tigate and to compare the effects of resiniferatoxin and capsaicin in the rat stomach
(Tramontana et al. 1994). Neonatal administration of resiniferatoxin (0.6–1.6 μmol/
kg s.c.) produced a marked decrease in gastric CGRP-LI in both secretory and
nonsecretory region of the stomach. Almost complete depletion of the peptide was
determined by neonatal administration of capsaicin (164 μmol/kg s.c.). Vasoactive
intestinal polypeptide-LI was concomitantly unaffected by resiniferatoxin or cap-
saicin, thus showing the selectivity of action of the neurotoxins on gastric afferent
fibers. Oral administration of an equimolar dose (0.3 nmol/kg) of resiniferatoxin
or capsaicin together with 50 % ethanol reduced at similar extent gastric haemor-
rhagic lesions produced by the mucosal barrier-breaker agent. These findings pro-
vide evidence that resiniferatoxin and capsaicin may act on a common neuronal
target in the rat stomach and that the acute exciting (protective) effect is of the same
magnitude (Mòzsik et al. 2006). In order to study compounds less pungent than
capsaicin, a group of analogs named capsinoids (the natural capsiate, dihydrocap-
siate, dihydrocapsiate, and the synthetic capsiate analog vanillyl nonanoate) with
similar chemical structure of lead compound and TRPV-1 agonistic properties were
developed (Luo et al. 2011). Both capsiate and its analog vanillyl nonanoate pro-
tected rat gastric mucosa from ethanol-induced injury by the release of CGRP and
this effect was reverted by prior administration of the TRPV-1 antagonist capsaz-
epine (Luo et al. 2011; Li et al. 2012). The gastroprotection of capsinoids was par-
allel to a decrease in cellular apoptosis and caspase-3 activity and to an increase
of antioxidant activity seen as superoxide dismutase and malondialdehyde activ-
ity. Rutaecarpine, an alkaloid found in certain herbs including Evodia rutaecarpa,
protects the gastric mucosa against injury induced by ASA and stress, and its gas-
troprotective effect is related to a stimulation of endogenous CGRP release via acti-
vation of the vanilloid receptor being reverted by pretreatment with capsaicin or
capsazepine (Wang et al. 2005). Another TRPV-1 agonist such as anandamide was
found able to protect gastric mucosa from injury induced by restrain stress in rats,
and this effect was partially mediated by sensory nerves (Warzecha et al. 2011).
10.4 Biological Actions
CGRP, being a very potent vasodilator, is able to produce positive inotropic

activity and vasorelaxation. Due to its wide distribution in the gastrointestinal
tract CGRP has been the target of many studies summarized in some reviews
Brain
Nociception, pain
Afferent neurons
Emotion, affect,
cognition
Autonomic reflexes
Food-related signals
Neuroendocrine
Endocrine signals
responses
Immune signals Local tissue reactions
at site of insult
Noxious signals
GI defense and
GI monitoring
homeostasis
Fig. 10.3 Role of afferent neurons in gastrointestinal (GI) defense. The figure shows how pri-
mary afferent neurons monitor the chemical and physical environment within the GI tract and the
various modalities of the response in order to maintain homeostasis: via brain-mediated reactions
and reflexes and through local neuropeptides release at the site of the insult
(Holzer 1992, 2007; Bartho et al. 2008; Evangelista 2009). CGRP-containing

pathways of the enteric nervous system have been shown to be involved in
intestinal nociception, modulation of gastrointestinal motility and secretion
(Fig. 10.3).
As regards the motility, two distinct effects appear important for CGRP
action on intestinal smooth muscle: a direct relaxant effect, observed in the
longitudinal and circular muscles of intestinal segments from various species
and an indirect effect, produced via stimulation of neuronal receptors lead-
ing to the release of other transmitters which, in turn, affect intestinal motil-
ity (Bartho et al. 2008). The human gut (especially the circular musculature)
is relaxed by capsaicin, but this effect seems to be under the control of dif-
ferent neurotransmitter agents, nitric oxide (NO), and VIP, neither of them of
intrinsic neuronal origin. The “local efferent” effect of extrinsic afferent neu-
rons can also be demonstrated in vivo, both in animals and man. Yet, nearly
normal motility of the small and large intestines is maintained in animals
with functionally inhibited capsaicin-sensitive nerves. CGRP is involved also
in the peristaltic reflex elicited by muscle stretch and mucosal stimulation
(Grider 1994). Peristaltic reflex are subjected to the activity of several neu-
rotransmitters: both the 5-HT4 receptor antagonists and the CGRP antagonist
hCGRP8–37 inhibit ascending contraction and descending relaxation. Thus, the
reflex in mouse, like that in rat and human intestine, is initiated by mucosal
release of 5-HT and activation of 5-HT4 receptors on CGRP sensory neurons
and is relayed via somatostatin and opioid interneurons to VIP/nitric-oxide
synthase inhibitory motor neurons and via cholinergic interneurons to acetyl-
choline/tachykinin excitatory motor neurons. The importance of this system
266 S. Evangelista
in regulating GI movements may be exaggerated under pathophysiological con-

ditions, first of all inflammation. The afferent function of capsaicin-sensitive
nerves plays a role in sympathetic reflexes, such as the inhibition of GI motility
after laparotomy or by peritoneal irritation and diabetic gastroparesis (Bartho
et al. 2008).
CGRP is a potent suppressor of basal and secretagogues-stimulated gastric
acid and pepsin secretion in humans, dogs, rabbits, and rats (Ren et al. 1998;
Evangelista 2009). Multiple mechanisms seem to be involved in the CGRP antise-
cretory activity such as the release of somatostatin from D cells (Ren et al. 1998),
where CL and RAMP1 mRNAs has been found, the direct inhibition of gastrin-
and cholinergic-dependent stimulatory effects and the stimulation of mucus and
bicarbonate from gastroduodenal mucosa (Evangelista 2009).
Concerning the ion and fluid intestinal transport, CGRP exhibited concentra-
tion-dependent dual actions upon rat colonic epithelia acting directly on colonic
enterocytes. At low concentrations (i.e., 0.03–10 nM) CGRP produces antisecre-
tory effects that are abolished by pretreating tissues with tetrodotoxin (TTX). At
higher concentrations (30–200 nM) secretory responses predominate, and these
effects were not abolished by TTX (Cox et al. 1989). In guinea-pig colon, CGRP
depolarizes myenteric neurons that are synaptically coupled to submucosal neu-
rons. Cholinergic neurons using nicotinic and muscarinic synapses for transmis-
sion of information to the epithelium are involved in inducing chloride secretion.
CGRP is also present in human epithelia but it is not known whether the described
secretory effects are of physiological relevance. It should be observed that in
human volunteers the intraluminal capsaicin application did not affect electrolyte
absorption and fluid secretion (Hammer et al. 1998). During inflammation the acti-
vation of CGRP receptors may result in effects on tight junction permeability not
observed in normal tissue (Holzer 2007).
It is known that the vascular system of the gastrointestinal tract is innervated
by both sympathetic vasoconstrictor and parasympathetic vasodilator neurons but
splanchnic blood vessels receive also a dense supply of fibers containing CGRP
(Sternini et al. 1987; Green and Dockray 1988). These fibers innervate blood ves-
sels of the entire body and their density is greater around arteries than veins. In the
gastrointestinal tract, CGRP-containing nerve fibers are surrounding the mucosa
and submucosa blood vessels and species differences are known concerning their
presence, being scarce in human and porcine stomach (Green and Dockray 1988).
CGRP exerts also a potent vasodilator and past studies have shown it as a non-
cholinergic and nonadrenergic transmitter able to dilate mesenteric artery after
periarterial stimulation (Holzer 1992). When released from extrinsic afferent nerve
fibers in acid-threatened stomach, CGRP causes a NO-dependent vasodilation
that has been shown to be a defensive signal in the face of pending acid injury in
the gastric mucosa (Holzer 1998) (Fig. 10.3). The vasodilator effect of CGRP has
been widely studied in the upper gastrointestinal tract (see below) and is working
under pathological conditions.
Fig. 10.4 Lack of capsaicin (caps)-induced gastric mucosal protection against 50 % ethanol-

induced lesions in mice knockout to CGRP (CGRP−/−). Means ±S.E values of 5–6 mice for
group. * = P < 0.01 between wild type (WT) groups. Modified from (Ohno et al. 2008)
10.5 Pathophysiology
10.5.1 CGRP in Gastrointestinal Defence
10.5.1.1 Experimental Evidences
Both indomethacin- or ethanol-induced mucosal lesions were enhanced by sys-

temic administration of hCGRP8–37 while low dose of capsaicin and/or TRPV-1
agonists have clearly shown to exert gastroprotection via the stimulation of sen-
sory nerves and the local release of CGRP (Holzer 2007) indicating that endog-
enous CGRP plays a trophic role on mucosal defense of the stomach. Further,
gastroprotection by capsaicin was dose-dependently antagonized by the CGRP
antagonist, hCGRP8–37, and by a monoclonal antibody to CGRP (Evangelista
2009). Recent studies using CGRP-knockout mice (Ohno et al. 2008) have
strongly confirmed these findings: the protective action of capsaicin against etha-
nol-induced lesions was completely abolished in CGRP−/− mice (Fig. 10.4). The
authors also showed that the adaptive gastroprotection induced by previous expo-
sure of the stomach to mild irritants was mediated by CGRP being completely
absent in CGRP knockout mice (Ohno et al. 2008).
Furthermore, several studies have reported a depletion of tissue CGRP-LI dur-
ing the formation of several gastric ulcers (Evangelista 2009). Decreased levels of
gastric CGRP-LI were observed after acetic acid-, cysteamine-, concentrated etha-
nol- or water-immersion stress-ulcers, and the ulcerogens did not affect the tissue
content of other peptides (Evangelista 2009) suggesting that reduction in gastric
CGRP-LI cannot be attributed only to damage of the tissue.
268 S. Evangelista
On the other hand, restoration of CGRP-LI was observed in animals bear-

ing ulcers during healing (Evangelista 2009), and intense CGRP immunostain-
ing was observed in the ulcer margin of patients with gastric ulcers (Tani et al.
1999). Healing of ulcer elicited by acetic acid in CGRP knockout mice was mark-
edly delayed as compared with wild type mice as well as the granulation tissue,
and neovascularization at the base of these ulcers was poor in CGRP−/− animals
(Ohno et al. 2008). Furthermore, in isolated rat stomachs exposed to hyperosmolar
concentrations of sodium chloride, the addition of CGRP enhanced the recovery
of mucosal integrity after mild but not severe damage produced by the lesioning
agent (Miller et al. 1995). These findings and the observation that there is a tonic
flow of CGRP toward the peripheral endings of sensory fibers suggest that the
peptide is restored in connection with the healing of ulcers after its release pro-
duced by the ulcerogen.
As regards the known CGRP antisecretory effect (Evangelista 2009) along
with somatostatin releasing activity from gastric D cells (Ren et al. 1998), other
mechanisms have been explored to explain the CGRP protective role in the stom-
ach. It is known that hyperemia induced by an injury is a physiological response to
tissue damage and limits the extent of injury in the stomach (Holzer 1992, 1998).
Modulation of this response is an important defense mechanism and it has been
reported that CGRP released by capsaicin-sensitive fibers is involved in gastric
hyperemic protective effects (Holzer 1998).
Local application of low doses of capsaicin or TRPV-1 agonists able to stim-
ulate gastric nerve endings (Szolcsànyi and Bartho 2001; Holzer 2007) enhance
gastric blood flow through the mucosa, dilate submucosal arterioles, and reduce
concomitantly gross mucosal lesions produced by ethanol (Holzer 1998;
Szolcsànyi and Bartho 2001; Mòzsik et al. 2006). Afferent nerve endings originat-
ing from dorsal root ganglia and passing through the celiac/superior mesenteric
ganglion complex have been reported to modulate these effects, which are abol-
ished by chemical ablation induced by the pretreatment with high doses of capsai-
cin (Holzer 1998; Szolcsànyi and Bartho 2001).
It is noteworthy that the gastric hyperemic responses to acid back diffusion
(Holzer 1998) or hypertonic solution (Matsumoto et al. 1991) depend on sensory
innervation of the tissue. On the other hand, it has been shown that exposure of
isolated tissues of the rat stomach to low pH solution produces a selective release
of CGRP (Geppetti et al. 1991). Hydrogen ions diffusing into the gastric wall of
disrupted mucosal barrier may promote protective vasodilation by activating the
“efferent” function of capsaicin-sensitive afferent nerves and activating TRPV-1
that are sensible to acidosis of the tissue (Holzer 2011).
A mediator role of CGRP in this protective hyperemia induced by afferent fib-
ers is largely proved. In fact, capsaicin released CGRP from isolated tissues of the
rat stomach (Holzer 1998; Evangelista 2009), an effect that was abolished after
disruption of capsaicin-sensitive neurons (Holzer 1998) or in CGRP−/− ani-
mals (Ohno et al. 2008); intravascular application of capsaicin induced a release
of CGRP into the vascular bed of the rat stomach followed by a marked vasodi-
lator effect (Holzer 1998; Szolcsànyi and Bartho 2001) and gastric vasodilating
response to topical application of capsaicin was blocked, at least in part, by the

antagonist hCGRP8–37 (Li et al. 1991). Further, low doses of locally applied
CGRP dilated submucosal arterioles and enhanced gastric blood flow (Holzer
1998, 2007) and CGRP-induced vasodilation is in keeping with the distribution of
this peptide around blood vessels in the stomach (Sternini et al. 1987) and the high
number of vascular CGRP receptors in this region (Gates et al. 1989).
Taken together, these observations strongly suggest that CGRP is the likely
mediator of the protective function of sensory nerves in the stomach.
Similarly other gastrointestinal disorders involving inflammation, infection, or
ulceration were reported to be correlated to change in CGRP innervation (Holzer
2007). Experimental colitis induced by trinitrobenzensulfonic acid (TNB) as
well inflammatory bowel diseases were associated with tissue CGRP decrease
(Reinshagen et al. 1998) and upregulation of TRPV-1 in nerve fiber of the colon
(Yiangou et al. 2001). Silencing of CLR or the use of the CGRP antagonist
increased the severity of the TNB lesions (Reinshaghen et al. 1998; Clifton et al.
2007). This is only an example of how CGRP innervation can be used as a surveil-
lance system that along other ones (immune, endocrine, etc.) can coordinate the
defense of all gastrointestinal tracts from injury (Fig. 10.3).
10.5.1.2 Clinical Findings
In humans, TRPV-1 labeling was localized in parietal cells of stomach from sur-
gical specimens as assessed by immunohistochemistry, in situ hybridization,
and Western blot analysis (Faussone-Pellegrini et al. 2005). These authors found
TRPV-1 labelling in the parietal cells and in neurons and nerve fibers in the
mucosa and submucosa (Fig. 10.5) confirming its potential capability to influence
gastric secretion and protection. Intragastric application of small doses of cap-
saicin (1–8 μg/ml corresponding to 3–26 μM) in healthy humans decreased in a
dose-dependent manner basal gastric acid secretion (Mòzsik et al. 2005; Szabó et
al. 2013). In the same study, it was shown that low concentrations of capsaicin
protect against gastric injuries induced by ethanol or indomethacin as evaluated
by micro-bleeding and transmucosal potential difference (Mòzsik et al. 2005), and
a suspension of 20 g chili was able to protect the human gastroduodenal mucosa
from the damage induced by a high dose of acetylsalicylic acid (Yeak et al. 1995).
Gastric microbleeding induced by indomethacin was not affected by repeated
daily doses (3 × 400 μg i.g.) of capsaicin given for 2 weeks (Mòzsik et al. 2005).
In humans the TRPV-1 receptor and CGRP were detected in patients with different
gastric diseases (Tani et al. 1999; Dömötör et al. 2005; Mózsik et al. 2007). In gas-
tritis patients, CGRP and TRPV-1 were enhanced as compared to controls but both
are not dependent on the presence of H. pylori (Dömötör et al. 2007).
Taken together, these findings indicate that stimulation of TRPV-1 with low
doses of capsaicin is protective for human stomach in terms of decreased acid
secretion and reduction of injury induced by irritants and might be a potential tool
to develop gastroprotective drugs.
270 S. Evangelista
Fig. 10.5 TRPV-1 distribution in gastric human samples. DAB reactions; counterstaining with

haematoxylin, bright field microscopy. For methodology see Faussone-Pellegrini et al. (2005).
a Gastric mucosa: the parietal cells are labelled by anti-capsaicin receptor antibody and no other
epithelial cell types are positive. Calibration bar = 100 μm. b Gastric submucosa: anti-capsaicin
receptor-positive neurons and nerve fibres in a submucous ganglion. Calibration bar = 15 μm.
From Faussone-Pellegrini and Vannucchi, University of Florence, Italy
10.5.2 CGRP in Gastrointestinal Motility Disorders

and Visceral Sensitivity
10.5.2.1 Experimental Evidences
Infection, inflammation, intestinal anaphylaxis, trauma, and stress are known

to induce change in motility and all have been reported to be associated to the
activity and release of tachykinins and CGRP from extrinsic afferents. Peptides
are released from central endings of afferent neurons in the spinal cord and
brainstem and mediate transmission to the efferent reflex arc. Likewise, CGRP
released within the gut in response to an irritant may facilitate the excitation of
afferents and participate to transmission of nociceptive traffic between affer-
ent neurons and second-order neurons in the spinal cord and brainstem (Bueno
et al. 1997). As an example the induction of colonic inflammation by acetic
acid instillation facilitates the pain reaction to rectal distension, changing the
pain threshold, and this hypersensitivity can be blocked by a CGRP antagonist
(Bueno et al. 1997; Plourde et al. 1997). The precise site at which CGRP and
also tachykinin receptors mediate colonic hyperalgesia seems to be the spi-
nal cord since CGRP was found enhanced there after colonic irritation and its
antagonist is more effective if given by intrathecal than intravenous route (Bueno
et al. 1997; Plourde et al. 1997). Since irritation, immune challenge, and inflam-
mation release tachykinin and CGRP from extrinsic afferents and from intrin-
sic neurons inside the gut, these peptides may either increase the peripheral
sensory gain of extrinsic afferents or contribute to the afferent transmission of
algesic signal within the central nervous system. As extrinsic afferents of the
gut do not possess receptors for CGRP, it is probable that peptide-induced sen-
sitization or excitation of sensory neurons is an indirect consequence of pep-
tide action on gastrointestinal effectors (Holzer 2007). In this context, TRPV-1
has been shown to play a role in gastroesophageal (Bielefeldt and Davis 2008),
small intestinal (Rong et al. 2004) and colonic (Jones et al. 2005, 2007) vis-
ceral mechanosensitivity or neonatal irritation of the colon (Winston et al. 2007).
TRPV-1 was shown to be upregulated in nociceptive visceral afferents of rodents
with TNB-induced colitis (Miranda et al. 2007; De Schepper et al. 2008a). De
Schepper et al. (2008a) showed that acute TNB-induced colitis increased the
response to colorectal distention in rat pelvic afferent C fibres but not in Aδ
fibres. This inflammation-induced increase in mechanosensitivity was reduced
by the TRPV-1 antagonist BCTC (N-(4-tert-butylphenyl)-4-(3-chloropyridin-
2-yl)tetrahydropyrazine-1(2H)-carboxamide monohydrochloride; De Schepper
et al. 2008b). Due to different experimental conditions and irritant used, Phillis
et al. (2009) showed that mechanosensitivity of nociceptive serosal and mesen-
teric colonic splanchnic afferents to graded stimuli was unaffected during dextran
sulfate sodium colitis in rats (Phillis et al. 2009). However, TRPV-1 seems to be
an important amplifier of noxious stimuli as the antagonist SB-750364 inhibited
mechanosensitivity and spontaneous neuronal discharge only during inflamma-
tion but not in healthy conditions (Phillis et al. 2009). Taken together, it could
well be that the effect of TRPV-1 antagonists may only become significant after
TRPV-1 upregulation, which is not necessarily associated with obvious inflam-
mation. In rats, stress-induced visceral hypersensitivity that is dependent on mast
cell degranulation and subsequent TRPV-1 activation also occurs in the absence
of overt inflammation (van den Wijngaard et al. 2009), but preceding inflamma-
tion is a trigger to enhance expression and function of TRPV-1, a change that
persists once inflammation disappears. In fact, persistent hyperalgesia is observed
after resolution of dextran sulfate (Ejkelkamp et al. 2007) and zymosan (Jones
et al. 2005) colitis or in adults rats exposed when neonated to chemical irritation
of the colon with acetic acid (Winston et al. 2007).
10.5.2.2 Clinical Findings
Application of capsaicin to the human jejunum induced abdominal pain simi-

lar to that induced by distension (Schmidt et al. 2004). Capsaicin did not stimu-
late jejunal motility neither did it affect mechanosensitivity, therefore the altered
pain sensitivity is due to stimulation of chemoreceptors probably by the TRPV-1
activation. On the other hand, capsaicin load can be considered as a valuable
test to investigate hypersensitivity (van Wanrooii et al. 2014). In trial involv-
ing 116 outpatients suffering from dyspepsia, the median perception score after
ingestion of capsule containing 0.75 mg of capsaicin was significantly higher than
placebo (Fuhrer et al. 2011). In heartburn patients, 5 mg of capsaicin mixed to
the meal significantly decreased the peak to the heartburn. When refluxed, cap-
saicin probably sensitized the oesophagus and primed it to noxious stimuli such as
272 S. Evangelista
Table 10.2 Percentage of area of immunoreactivity of vanilloid receptor 1 (TRPV-1), substance

P, and CGRP in rectal samples from patients characterized by rectal hypersensitivity and controls
Rectal hypersensitivity Control p
Mucosa
TRPV-1 0.44 (0.30–0.59) 0.11 (0.00–0.21) 0.0005
Substance P 0.45 (0.29–0.85) 0.39 (0.29–0.61) 0.43
Submucosa
TRPV-1 3.50 (2.20–3.90) 0.80 (0.62–1.30) 0.002
CGRP 24.3 (14.2–42.8) 4.30 (0.10-10.0) 0.0009
Circular muscle
TRPV-1 2.30 (1.20–3.00) 0.78 (0.19–1.62) 0.002
Longitudinal muscle
TRPV-1 1.13 (0.70–2.20) 0.32 (0.14–0.80) 0.01
Values are median with a 95 % range. Modified from (Chan et al. 2003)
acid (Rodriguez-Stanley et al. 2000). Intraesophageal capsaicin infusion has been

found to lower sensory and pain thresholds to oesophageal balloon distension,
again presumably through direct activation of TRPV-1 and release of neurotrans-
mitters (Gonzalez et al. 1998).
Another study has analyzed the impact of acute ingestion of red chili powder
(capsaicin equivalent of 14 mg) on men diagnosed with irritable bowel syndrome
(IBS) and volunteers. Chili did not alter small bowel and colonic transit in both
groups but increased the rectal threshold for pain in healthy volunteers (Agarwal
et al. 2002). Similarly in IBS and healthy men the repeated ingestion of 5 g chili
daily did not affect rectosigmoid motility (Shah et al. 2000).
It is noteworthy that rectal biopsy samples taken from patients with well-char-
acterized rectal hypersensitivity showed a marked increase in TRPV-1 in mus-
cle, submucosal, and mucosal layers as compared with controls (Chan et al. 2003)
(Table 10.2). Submucosal immunoreactive CGRP expressed in ganglion cells but
not SP was increased as well (Table 10.2). The increase in TRPV-1 significantly cor-
related with the decrease in heat and distension sensory thresholds confirming that
both afferent and intrinsic fibers take part in the change in signaling pathways of
visceral hypersensitivity. Likewise, Akbar et al. (2008, 2010) and Keszthelyi et al.
(2013) showed that increased TRPV-1 transcription and nerve fibers were present
in quiescent inflammatory bowel disease patients with IBS-like symptoms with a
correlation to pain severity. These authors observed that also substance P immunore-
activity, CD3 lymphocytes, and mast cells staining for c-kit were more prevalent in
IBS patients (Akbar et al. 2008). As shown in Fig. 10.3, mediators released by endo-
crine and immune cells can sensitize afferent nerve endings and activate TRPV-1
since this activation is attenuated in TRPV-1 knockout mice (Jones et al. 2007).
In a recent placebo controlled study performed in 50 IBS patients diagnosed
according to Rome II criteria, the repeated administration of 600 mg/daily by
enteric coated capsules of red pepper for 6 weeks significantly decreased the inten-
sity of abdominal pain and bloating, improving visceral sensitivity (Bortolotti and
Porta 2011). On the other hand, a study performed in healthy volunteers with the
repeated ingestion of capsaicin (0.25 mg tid for 4 weeks) desensitized both chem-
onociceptive and mechanonoceciptive pathways (Fuhrer and Hammer 2009). In a
double-blind, placebo-controlled study, 30 individuals with dyspepsia were given
either 2.5 g daily of red pepper powder (divided up and taken prior to meals) or
placebo for 5 weeks (Bortolotti et al. 2002). By the third week of treatment, indi-
viduals taking red pepper were experiencing significant improvements in pain,
bloating, and nausea as compared to placebo, and these relative improvements
lasted through the end of the study.
These positive results were attributed to the desensitizing effect of repeated
administration of capsaicin. It produced a long-lasting refractory state during
which the neurons affected are not responsive. Therefore the repeated stimula-
tion of TRPV-1 induced an excess of the influx of Ca++ and other cations, sensory
neurons are thus defunctionalized and depleted of their transmitter for a period of
time which is the base of improvement of epigastric pain recorded. The potential
clinical application of TRPV-1 agonists have to be confirmed by large clinical tri-
als but the mechanism of action described seems to be interesting for developing
drugs in functional gastrointestinal diseases. Agents that are able to block TRPV-
1-bearing nociceptors, without an initial excitatory effect, might add to the actual
limited pharmacological armamentarium for functional gastrointestinal disorders
and might affect both chemoreceptors and mechanoreceptors in the gut by desensi-
tizing these two perception pathways.
Acknowledgments We would like to thank Dr. Stefania Meini for drawing of the figures.
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Chapter 11
Capsaicin for Osteoarthritis Pain
Laura L. Laslett and Graeme Jones
Abstract Capsaicin appears to be effective for osteoarthritis pain but it is uncertain

whether the effect has a dose response, is consistent across joints, or changes over
time. Methods: Randomized controlled trials of topical capsaicin use in OA were
identified from PubMed, EMBASE, and ISI Web of Knowledge. Effect on pain
scores, patient global evaluation of treatment effectiveness and application site burn-
ing were assessed by standardised mean differences (SMD), using RevMan. Results:
Five double–blind randomized controlled trials and one case–crossover trial of topi-
cal capsaicin use were identified. Formulations ranged from 0.025 to 0.075 %, and
trial durations from 4 to 12 weeks. Trials assessed OA of the knee (n = 3), hand
(n = 1), and a mix of joints (n = 2). Capsaicin treatment efficacy (vs. placebo) for
change in VAS pain score was moderate, at 0.44 (95 % CI 0.25–0.62) over 4 weeks
of treatment. There was no heterogeneity between studies, indicating no between-
study differences, including effect of OA site or treatment concentration. Two stud-
ies reported treatment beyond 4 weeks, with divergent results. One study reported
an effect size of −9 mm after 12 weeks, and maximal between-group differences
at 4 weeks. A second study reported that between-group differences increased over
time, up to 20 weeks. Capsaicin was reported as being safe and well–tolerated, with
no systemic toxicity. Mild application site burning affected 35–100 % of capsaicin–
treated patients with a risk ratio of 4.22 (95 % CI 3.25–5.48, n = 5 trials); incidence
peaked in week 1, with incidence rates declining over time. Conclusions: Topical
capsaicin treatment four times daily is moderately effective in reducing pain inten-
sity up to 20 weeks regardless of site of application and dose in patients with at least
moderate pain and clinical or radiologically defined OA, and is well tolerated.
L. L. Laslett · G. Jones (*)
Musculoskeletal Unit, Menzies Research Institute Private bag 23,
Hobart, TAS 7000, Australia

278 L. L. Laslett and G. Jones
11.1 What is Osteoarthritis?
Osteoarthritis (OA) is the most common joint disorder. Research suggests OA is a

complex collection of heterogeneous pathologies which result in a common out-
come (Dieppe and Lohmander 2005), rather than a single disease entity. The lack
of a common causal pathway has hampered development of effective treatments
for modifying the natural history of the disease. Most existing treatments focus
on relieving pain and improving function, and there are few examples of therapies
which modify disease. The pathogenesis of pain in OA is complex and multifacto-
rial, involving local nociception, inflammatory mediators, and central sensitization
(Dieppe and Lohmander 2005; Kidd et al. 1996; Schaible and Grubb 1993).
11.2 Existing Treatments for Osteoarthritic Pain
Treatment of osteoarthritic pain includes a wide range of therapies, from non-

pharmacological treatments (e.g. education, weight reduction, physiotherapy),
pain medications (e.g. paracetamol, NSAIDs (non-steroidal anti-inflammatory
drugs), opioids), nutraceuticals (e.g. glucosamine, chondroitin sulphate), and sur-
gical therapies (e.g. joint replacement). The effect sizes of these treatments vary,
but are typically small (Zhang et al. 2010) and fall far short of the levels of pain
relief desired by patients. Most pharmacological therapies for osteoarthritis are
taken orally e.g. paracetamol, but topical preparations of various medications have
been used, including NSAIDS, comfrey, and capsaicin. When capsaicin is used for
arthritic pain it is typically used topically, in concentrations of 0.025 or 0.075 %,
and sold under trade names including Zostrix and Capzasin-P.
11.3 Capsaicin, and Putative Mechanisms

in Osteoarthritic Pain
Capsaicin is the active ingredient in hot chilli peppers. It is a excitatory neurotoxin

that selectively destroys primary afferent nociceptors in vivo and in vitro (Jancso et al.
1977; Wood et al. 1988). Capsaicin and related vanilloid compounds produce burn-
ing pain by activating the transient receptor potential vanilloid receptor 1 (TRPV1)
(Caterina et al. 1997) (formerly known as VR1), which is a member of the tran-
sient release potential (TRP) channel superfamily (Szallasi and Blumberg 2007).
Capsaicin–sensitive fibres are polymodal nociceptors which respond to capsaicin
with discharge and subsequent desensitization to chemical, mechanical and thermal
stimuli (Kenins 1982), including exposure to capsaicin itself (Baron 2000; Fusco
and Giacovazzo 1997). Neural messages in capsaicin–sensitive fibres are thought to
be transmitted transynaptically by the neurotransmitter substance P (Theriault et al.
11 Capsaicin for Osteoarthritis Pain 279
1979), an 11 amino acid peptide belonging to the tachykinin family (Pernow 1983).
This effect is reversible with treatment cessation (Nolano et al. 1999). This is par-
ticularly relevant to osteoarthritis as nociceptive fibres have been found in cartilage
(Fortier and Nixon 1997; Wojtys et al. 1990) as well as the subchondral bone (Wojtys
et al. 1990) in patients with osteoarthritis, but they are absent in the cartilage and bone
of persons without osteoarthritis (Wojtys et al. 1990), suggesting that these fibres are
involved in the signaling and maintenance of pain associated with OA. There has also
been additional evidence from genetic studies supporting the association between
pain sensitivity and OA. The Ile585Val variant of TRPV1 gene (thought to be
involved in lower peripheral pain sensitivity) has been associated with reduced risk of
painful knee OA, compared to non-painful knee OA or controls (Valdes et al. 2011).
This chapter will discuss the use of topical capsaicin in the therapy of painful
osteoarthritis in adults.
11.4 Search Strategy
Literature databases (PubMed, EMBASE, ISI Web of Knowledge) were searched

for randomized controlled trials of capsaicin use in OA, using the following key-
words: “capsaicin”, “osteoarthritis” “double-blind method”, “randomized con-
trolled trial (publication type)” or “controlled clinical trial (publication type)”
up to 2012. This was supplemented by manually searching the bibliographies of
relevant published reviews and papers. We required studies to include at least a
subpopulation of adult patients with osteoarthritis. Any participants with other
conditions (e.g. rheumatoid arthritis) have been omitted from this review. Studies
not in English were excluded.
11.5 Identified Capsaicin Trials
We identified five double–blind randomized controlled trials (Deal et al. 1991;

McCarthy and McCarty 1992; Altman et al. 1994; Deal 1994; McCleane
2000; Schnitzer et al. 2012) and one case–crossover trial (Kosuwon et al. 2010)
(Table 11.1) in which capsaicin or capsaicin–like therapies were used in formula-
tions ranging from 0.025 to 0.075 % as a topical therapy for painful osteoarthritis.
Capsaicin was applied topically to the affected area(s) four times daily.
Studies included in Table 11.1 assess the effect of treatment with capsaicin (or
capsaicin–like compounds) for 4–12 weeks in older adults with OA of the knee
(Deal et al. 1991; Schnitzer et al. 2012; Kosuwon et al. 2010), hand (McCarthy
and McCarty 1992), and a mixture of joints (Altman et al. 1994; McCleane 2000).
Inclusion and exclusion criteria varied between trials but patients were typically
required to have at least moderate pain and either radiological evidence of OA or
be clinically diagnosable as having OA, or both.
Table 11.1 Double blind randomized controlled trials of capsaicin
280
Study, duration n Age (years) Sex (M:F) OA site Formulation Outcomes Rate of application site
burning
Deal 1991 (Deal et al. 70 61 25M:45F Knee 0.025 % capsaicin VAS pain −13.9 %, 23/52 (44 %) capsaicin;
1991) 4 weeks p = 0.061 1/49 (0.02 %)
Pain (categories) placebo patientΩ
−0.35, p = 0.053
Global evaluation
−0.39, p = 0.051
McCarthy 1992 14 65 ± 2 5M:9F Hand 0.075 % capsaicin Pain VAS ~−40 % 7/7 capsaicin; 0/7
(McCarthy and (p < 0.02) placebo
McCarty 1992) Tenderness
4 weeks scores ~ −30 %
p < 0.02. No effect
on grip strength,
joint swelling,
duration of morning
stiffness or function
(continued)
L. L. Laslett and G. Jones
burning
Altman 1994 (Altman 113 62 ± 12¥ Knee 0.025 % capsaicin Pain VAS Significant 26/36 (46 %) of
et al. 1994) differences by capsaicin users
12 weeks week 4, effect size
−9 mm at week 12
Tenderness Less ten-
derness in capsaicin
group by week 8
(p = 0.03)
Global assessment
11 Capsaicin for Osteoarthritis Pain
(physician) sig-
nificant improve-
ment by week 4
(p = 0.042). Patient
assessment by week
4 (p = 0.023)
Pain severity (categori-
cal) and HAQ: no
differences
(continued)
281
282
burning
McCleane 2000 200 ~49 ± 14 78M:89F Hip, knee, shoulder, 0.025 % capsai- VAS pain scores Not reported
(McCleane 2000) hand cin ± 1.33 % GTN Difference between
5 weeks GTN + capsaicin
and GTN or capsai-
cin alone p < 0.05
Analgesic use
Difference between
any actives and
placebo p < 0.05,
Adding GTN to
capsaicin has addi-
tive effect. GTN
application reduced
burning sensation
when combined
with capsaicin
(continued)
burning
Schnitzer 2012 695 61 33 %:67 % Knee 0.075 % civamide Primary outcomes 35 % in capsaicin group,
(Schnitzer Placebo 0.01 % (12 weeks) using 11 % in placebo
et al. 2012) civamide TWA WOMAC p ≤ 0.001
12 weeks + exten- pain p = 0.009.
sion WOMAC physical
function: p ≤ 0.001
Subject global evalu-
ation p = 0.008.
Pain and physical
function effect sizes

greater in patients
with higher pain
scores
Kosuwon 2010 (Deal 70 61 (44–82) years Knee 0.025 % capsaicin VAS pain−0.72, 66.6 % of patients dur-
et al. 1991) 4 weeks 0M:61F p ≤ 0.05 ing the capsaicin
treatment WOMAC pain −3.42, phase versus 16.6 %
p ≤ 0.05 patients during pla-
WOMAC function cebo phase; p ≤ 0.05
−8.97, p ≤ 0.05
¥No data on sex ratios in Altman 1994 (3)
ΩData given only for whole cohort (rheumatoid arthritis and osteoarthritis)
VAS visual analog scale; GTN glycerol trinitrate; IA intra–articular; OA osteoarthritis; NSAIDs non–steroidal anti–inflammatory drugs; ACR American
College of Rheumatology criteria; KL Kellgren and Lawrence classification; WOMAC Western Ontario and McMaster University Osteoarthritis Index;
HAQ Health Assessment Questionnaire; BMI body mass index; TWA mean time weighted average (area under the curve/days of observation)
KL Kellgren and Lawrence classification
JSW Joint space width
283
11.6 Treatment Efficacy Within Placebo–Controlled Trials
Studies described in Table 11.1 show the efficacy of capsaicin (vs. placebo) on

a range of outcomes, including pain using a visual analog scale (VAS), either a
0–100 scale or a 0–10 scale, as well as other outcomes including Western Ontario
and McMaster Universities Index (WOMAC) pain, function and stiffness scales,
patient and physician global evaluation, tenderness, grip strength, joint swelling,
duration of morning stiffness, analgesic use, and adverse events.
VAS pain is the most commonly assessed outcome, and therefore we have further
summarized the effect of capsaicin on pain intensity as assessed by visual analog
scores (VAS) in Table 11.2. VAS scores have been compared using standardized
mean differences in studies with available data (Deal et al. 1991; McCarthy and
McCarty 1992; Altman et al. 1994; McCleane 2000; Kosuwon et al. 2010), using
Review Manager (Revman) version 5.2 (The Cochrane Collaboration, Copenhagen).
By convention (Cohen 1988), the standardized mean difference values of 0.2, 0.5,
and 0.8 are considered small, medium, and large. Table 11.2 shows that capsaicin
has a medium sized effect (SMD = 0.44) on pain intensity in patients with painful
OA over 4 weeks of treatment. Results were remarkably consistent across trials with
no heterogeneity, suggesting no dose response from different doses of capsaicin, and
no difference in the effect of capsaicin on OA of different sites (e.g. hand vs. knee).
Most studies report capsaicin use over 4 weeks, with only, two studies contin-
ued treatment beyond 4 weeks (Altman et al. 1994; Schnitzer et al. 2012), both
of which reported that continuing use was associated with beneficial effects. The
study reported by Altman et al. (1994) demonstrated that the maximum difference
between groups occurred at 4 weeks, and differences between groups remained
similar between weeks 4 and 12. Schnitzer et al. (2012) report that differences in
groups increase over time, even up to 20 weeks. These studies demonstrate that
treatment with capsaicin is associated with benefits for treatment periods exceed-
ing 4 weeks but that 4 weeks is probably sufficient for a therapeutic trial.
Two studies reported assessments of how patients reported the overall impres-
sion of treatment effectiveness (symptoms better, much better or completely
gone) after 4 weeks. Capsaicin treated patients had a 40 % increased likeli-
hood of reporting that their symptoms were at better after 4 weeks of treatment
(Table 11.3). Schnitzer’s study reported that after 12 weeks, the Osteoarthritis
Research Society International (OARSI) simplified response was 10 % greater in
civamide-treated patients (Schnitzer et al. 2012), suggesting that response to treat-
ment continues up until at least 12 weeks.
Schnitzer et al. (2012) also identified interactions between baseline WOMAC
pain and function scores and treatment effect, in that civamide treatment had
greater efficacy in patients with more severe pain intensity and worse physical
function at baseline. This suggests that capsaicin treatments may be more effective
in patients with more painful OA.
In summary, the available evidence shows that treatment with capsaicin is
effective in reducing pain intensity in older adults with painful osteoarthritis, con-
ferring a medium sized effect.
Table 11.2 Forest plot comparing changes in VAS pain score over 4 weeks of treatment with capsaicin in patients with painful osteoarthritis
Study or subgroup Capsaicin Placebo Weight (%) Std. mean difference Year Std. mean difference
Mean SD Total Mean SD Total IV random, 95 % CI IV random, 95 % CI

Deal 1991 33.4 18 36 19.5 23 34 14.3 0.67 [0.19, 1.15] 1991
Mc Carthy 1992 55 31.7 7 19 29.1 7 2.5 1.11 [−0.05, 2.26] 1992
Altman 1994 29 15.1 57 20 18.7 56 23.7 0.53 [0.15, 0.90] 1994
McCleane 2000 0.49 2.37 40 0.08 2.05 40 17.3 0.18 [−0.26, 0.62] 2000
Kosuwon 2010 2.04 1.93 99 1.31 1.97 99 42.2 0.37 [0.09, 0.65] 2010
Total (95 % CI) 239 236 100.0 0.44 [0.25, 0.62]
Heterogeneity Tau2 = 0.00; Chi2 = 3.88, df = 4(P = 0.42); I2 = 0 %
Test for overall effect Z = 4.69 (P < 0.00001)
285
286
Table 11.3 Forest plot of patient global evaluation of treatment effectiveness after 4 weeks of treatment
Study or subgroup Capsaicin Placebo Weight (%) Risk ratio Year Risk ratio
Events Total Events Total M-H, Fixed, 95 % CI M-H, Fixed, 95 % CI
Deal 1991 26 36 17 34 33.1 1.44 [0.98, 2.14] 1991
Altman 1994 49 57 35 56 66.9 1.38 [1.09, 1.73] 1994
Total (95 % CI) 93 90 100.0 1.40 [1.14, 1.71]
Total events 75 52
Heterogeneity Chi2 = 0.05, df = 1 (P = 0.83); I2 = 0 %
Test for overall effect Z = 3.27 (P = 0.001)
A treatment was considered “effective” if patients reported feeling “better” “much better” or their symptoms had “completely gone”
11.7 Safety of Capsaicin in Placebo–Controlled Trials
In concordance with studies investigating the use of capsaicin in other painful con-
ditions, these studies reported that capsaicin was safe and well–tolerated. There
have been no reports of systemic toxicity with the use of topical capsaicin in
osteoarthritis.
Mild application site burning was the most comment adverse event associated
with topical use of capsaicin, being more common in patients using capsaicin (35–
100 %), and causally associated with capsaicin use, but rapidly ameliorates with con-
tinuing use. Proportion of participants reporting application site burning are shown in
Tables 11.1 and 11.4. The risk ratio for application site burning is 4.22 (Table 11.4).
Most studies reported rates of burning over the entire study duration. However,
two studies reported temporal trends in reports of incident application site burning
over 12 weeks (Altman et al. 1994; Schnitzer et al. 2012). Both studies reported
peak incidence in week 1, with incidence declining over time, and this had not pla-
teaued by 12 weeks of treatment. Altman’s study showed that incidence had dimin-
ished and almost plateaued by 12 weeks, but Schnitzer’s data showed that incidence
plateaued earlier, after 2 weeks. Regardless of the time at which reports of incident
burning slow, this data suggests that overall, burning diminishes with continued use.
While most studies described the intensity of the burning sensation qualita-
tively, one study (McCleane 2000) specifically asked patients (at baseline only)
to rate the discomfort scores on a 0–10 VAS. Predictably, the capsaicin treated
patients reported a greater mean application discomfort score (2.41; 95 % CI 1.52–
3.30) compared to placebo (0.90; 95 % CI 0.21–1.59), the difference being statisti-
cally significant (p < 0.001).
This localized application site burning provides challenges for treatment blinding,
as it has the potential to unblind study participants. One study attempted to reduce
this potential source of confounding by including a very low dose of capsaicin-
like treatment into the placebo in order to mimic the burning effect (Schnitzer et al.
2012). If the burning sensation was associated with clinical response, this may have
further implications for blinding, as well as predicting which patients might benefit
from capsaicin use. However, Altman et al. (1994) found no significant difference in
pain reduction amongst capsaicin treated patients who reported burning or stinging at
the application site at week 12 compared to capsaicin patients not reporting burning
(45 % reduction, n = 16 vs. 57 % reduction, n = 27; p = 0.39).
In summary, transient application site burning is more common in patients ran-
domized to receive topical capsaicin compared to placebo. This is reported to be
mostly mild in intensity, and there have been no reports of systemic toxicity with
the use of topical capsaicin in osteoarthritis.
Cotherapy may influence toxicity. McCleane (2000) added a glycerol trinitrate
(GTN) arm and GTN plus capsaicin arms to capsaicin alone and placebo. They found
that the addition of GTN to capsaicin reduced the discomfort of the burning sensation
associated with capsaicin use compared to capsaicin alone, and this combination pro-
vided an additive effect on pain outcomes, with human receiving capsaicin and GTN
having greater reduction in pain intensity than either capsaicin or GTN alone.
288
Table 11.4 Forest plot of reports of application site burning

Study or subgroup Capsaicin Placebo Weight (%) Risk ratio Year Risk ratio
Events Total Events Total M-H, Fixed, 95 % CI M-H, Fixed, 95 % CI
Deal 1991 23 36 0 34 0.9 44.46 [2.81, 704, 39] 1991
Mc Carthy 1992 7 7 0 7 0.9 15.00 [1.02, 220.92] 1992
Altman 1994 26 57 2 56 3.5 12.77 [3.18, 51.28] 1994
Kosuwon 2010 66 99 16 99 27.8 4.13 [2.58, 6.60] 2010
Schnitzer 2012 120 344 39 351 67.0 3.14 [2.26, 4.36] 2012
Total (95 % CI) 543 547 100.0 4.22 [3.25, 5.48]
Total events 542 57
Heterogeneity Chi2 = 9.20; df = 4 (P = 0.06); I2 = 57 %
Test for overall effect Z = 10.80 (P < 0.00001)
Note Duration of capsaicin use ranges from 4 to 12 weeks
Capsaicin can be hazardous when applied to mucous membranes, (for example,

its’ use in pepper spray by law enforcement), and therefore capsaicin should not
be ingested, inhaled, or applied to the eyes. Therefore, caution should be advised
when applying capsaicin preparations topically, that patients take care to avoid
touching eyes, mouth, nose, abraded skin or genitals. As capsaicin is a neurotoxin,
neurotoxicity is theoretically possible, either via specific (via TRPV1) or nonspe-
cific mechanism (Szallasi and Blumberg 1999).
Overall, the safety profile of topically applied capsaicin is good.
11.8 Patient Preference
Topical therapies enable the active ingredient to be absorbed through the skin to
a localized area, thereby conferring benefit to that specific area and reducing the
amount of medication that is systemically absorbed. This reduces the potential for
drug interactions or drug-related systemic adverse events. This may be more suited
for patients with small numbers of affected joints rather than generalized osteoar-
thritis. Also, capsaicin may be more effective in patients with neuropathic compo-
nents to their arthritis.
In a study asking older patients with knee OA to weight their treatment pref-
erences based on effectiveness, risk of side-effects and other factors (including
cost), capsaicin was the preferred treatment from a range of other oral medications
(non–selective NSAIDs, COX-2 (cyclooxygenase–2) inhibitors, opioids, glucosa-
mine and chondroitin sulphate) (Fraenkel et al. 2004). This suggests that patients
might be willing to accept less effective treatments in exchange for a lower risk of
adverse effects. The controversy surrounding the use of the COX–2 inhibitor class
of NSAIDs and heightened cardiovascular risk (Bombardier et al. 2000; Bresalier
et al. 2005; Caughey et al. 2011; Solomon et al. 2005), highlights the importance
of safe treatment options to minimize adverse side effects.
11.9 Areas of Uncertainty
The longest clinical trial of capsaicin for osteoarthritis pain is 12 weeks, with a
long–term open label extension. However, osteoarthritis symptoms often fluctuate
so it is uncertain how efficacy and toxicity would be affected by intermittent use or
by continuous use for longer than 12 weeks. There is the possibility of tachyphy-
laxis with the latter; although the trial of Schnitzer et al. (2012) does not support
this, demonstrating increasing efficacy over time. The effect sizes seem consistent
for the hand and knee but there is very limited data at other sites and it seems less
likely that it will be effective for non–superficial joints such as the hip.
Different trials used different formulations of capsaicin ranging from 0.025 to
0.075 %. It is possible that both efficacy and side effects may vary by strength
of formulation, yet no studies have compared different formulations to determine

the optimal combination of efficacy and side effects and the magnitude of benefit
seemed similar across trials. Clinicians would typically start with the lower con-
centration and titrate upwards depending on response.
Further elucidation of which patients may benefit most from capsaicin therapy
is required, such as early versus late OA, localized versus generalized OA, and
those with and without neuropathic pain.
11.10 Summary
In conclusion, data from placebo–controlled trials show that topical capsaicin

treatment four times daily is moderately effective in reducing pain intensity over
12 weeks and possibly longer. The most common adverse effect is localized burn-
ing sensations of mild to moderate intensity, which is causally associated with
capsaicin use, but diminishes with continuing use. Overall, this suggests that cap-
saicin should be used early in the OA treatment algorithm especially for superfi-
cial joints like the hand and knee.
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doi:10.1016/j.joca.2010.01.013
Chapter 12
The Role of Capsaicin in Dermatology
Katherine Boyd, Sofia M. Shea and James W. Patterson
Abstract Neurogenic pain and pruritus are the common chief complaints at

dermatology office visits. Unfortunately, they are also notoriously difficult condi-
tions to treat. Topical capsaicin used as a single therapy or as an adjuvant offers a
low-risk option for patients who do not achieve control on other therapies. This
chapter presents the evidence behind topical capsaicin use in dermatologic condi-
tions characterized by neurogenic pain or pruritus, including postherpetic neural-
gia, notalgia paresthetica, brachioradial pruritus, lichen simplex chronicus, prurigo
nodularis, pruritus ani, pruritus of hemodialysis, aquagenic pruritus, apocrine
chromhidrosis, lipodermatosclerosis, alopecia areata, and psoriasis. It presents
the most common capsaicin formulations, dosages, and durations of treatment for
each condition. Additionally, the chapter addresses various adverse effects and
limitations in the use of topical capsaicin in dermatology.
12.1 Introduction
In a 2006 study by McDermott et al., patients who experienced neuropathic

pain had greater unemployment status, reported missing from work more than
5 days per month, and had decreased daily functioning as a result of their pain
(McDermott et al. 2006; Tolle et al. 2006). This occurred despite more frequent
visits to their physician and management with a variety of prescription medica-
tions (McDermott et al. 2006; Tolle et al. 2006). A more recent study from Europe
demonstrated that neuropathic pain is associated with increased rates of insomnia,
anxiety, and depression (Langley et al. 2013). Neuropathic pain and itch are com-
mon reasons for dermatology office visits, and the burden that results from these
K. Boyd · S. M. Shea · J. W. Patterson (*)

Department of Pathology, University of Virginia Health System,
Charlottesville, VA 22908-0214, USA

294 K. Boyd et al.
conditions may be due in part to suboptimal treatment. Capsaicin represents a

viable topical treatment option for patients experiencing neuropathic pain and itch
who may fail to achieve relief from more commonly prescribed analgesics, antide-
pressants, antiepileptics, and other sedatives (Tolle et al. 2006).
While capsaicin has been used for medicinal purposes for centuries, its early
documented use as a topical analgesic for treatment of neuropathic pain or itch
is sparse. Native Americans used pepper pods as topical relief on their gums for
toothaches, in addition to topical use as an aphrodisiac (Szallasi and Blumberg
1999). The analgesic effect of capsaicin was recognized in literature as early as
1850, when it was documented in the Dublin Free Press for relief of sore teeth
(Szallasi and Blumberg 1999).
Since that time, topical use of capsaicin in the field of dermatology has
expanded to include many conditions with a component of pain or itch. In this
chapter, we will discuss the use of capsaicin in each of the following dermatologic
conditions (Table 12.1):
• Postherpetic neuralgia
• notalgia paresthetica
• Brachioradial pruritus
• Lichen simplex chronicus and prurigo nodularis
• Pruritus ani, vulvae, and scroti
• Pruritus of hemodialysis
• Aquagenic pruritus
• Apocrine chromhydrosis
• Lipdermatosclerosis
• Alopecia areata
• Psoriasis
12.2 Dermatologic Conditions Responsive to Capsaicin

Therapy
12.2.1 Post-Herpetic Neuralgia
Postherpetic neuralgia is defined as pain persisting more than 90 days following

the occurrence of herpes zoster infection. It is the most common complication
of HZV infection and occurs in 10–30 % of cases. The incidence and severity of
herpes zoster infection increases with age, as does the likelihood of postherpetic
neuralgia. Trigeminal neuralgia refers to postherpetic neuralgia occurring in the
distribution of one of the branches of the trigeminal nerve (Pellissier et al. 2007).
Post-herpetic neuralgia and trigeminal neuralgia are conditions characterized
by both neuropathic pain and neuropathic pruritus. As such, these conditions are
particularly challenging to treat. Traditional treatment regimens include early high
dose antiviral medications, oral analgesics such as nonsteroidal anti-inflammatory
12 The Role of Capsaicin in Dermatology 295
Table 12.1 Dermatologic conditions responsive to capsaicin therapy
Dermatologic condition Clinical manifestations

Post-herpetic neuralgia Pain persisting more than 90 days following the
occurrence of herpes zoster infection
Notalgia paresthetica Focal pruritus typically located unilaterally on the mid-
or upper back
No primary lesion can be identified
Often there is evidence of chronic rubbing or scratching
seen as hyperpigmentation or mild lichenification in
the area where the patient experiences the itch
Brachioradial pruritus Unilateral or bilateral pruritus of the distal, and less
commonly, proximal arms
No primary lesion can be identified
Often there is evidence of chronic rubbing or scratching
seen as hyperpigmentation or mild lichenification in
the area where the patient experiences the itch
Lichen simplex chronicus and prurigo Thickened, erythematous or hyperpigmented scaly
nodularis plaques that may also show evidence of excoriation
Distribution is variable, and depends on the underlying
source of pruritus. Lesions are in areas that the patient
can reach
Pruritus ani, vulvae, and scroti Intractable itching in the perianal or genital area, often
with secondary lichenification
Pruritus of hemodialysis Systemic pruritus
May be associated with underlying neuropathy
Aquagenic pruritus Rare condition characterized by itching sensation of the
skin following exposure to water of any temperature
or salinity
Apocrine chromhidrosis Apocrine sweat is pigmented, usually yellow, green, or
black
Lipodermatosclerosis A manifestation of chronic venous insufficiency
Painful panniculitis that typically presents on the medial
lower legs in women over 40 years of age, as a result
of chronic venous insufficiency
Erythema progressing to hyperpigmentation, warmth,
and induration
Alopecia areata Most commonly, discrete round to oval areas of
non-scarring hair loss
Other, more rare forms include loss all scalp hair
(alopecia totalis) or all of body hair (alopecia
universalis)
Psoriasis Classic form: variably sized erythematous and scaly
plaques distributed on the extensor extremities,
buttocks, and scalp
Other forms:
• Gutatte: eruptive, small plaques
• Erythrodermic: total body erythema
• Pustular: eruptive form, often in patients with
unstable chronic psoriasis, may be associated with
systemic symptoms
296 K. Boyd et al.
drugs, and high dose anti-epileptics, particularly gabapentin. Additionally, oral

corticosteroids are often given to decrease inflammation-related pain. Topical anal-
gesics, specifically lidocaine and capsaicin have also shown efficacy in pain and
itch amelioration (Watson et al. 1993).
A 6-week randomized, double-blinded, vehicle-controlled study with 2-year
open label follow-up demonstrated some amount of pain relief in 64 % of patients
with postherpetic neuralgia treated with 0.075 % capsaicin cream compared to
only 25 % of patients on placebo. A more recent Phase III trial of topical synthetic
capsaicin (8 % transcapsaicin patch) documented a 30 % decrease in pain scores
after 2–12 weeks when compared with placebo after 1 h exposure (Backonja et al.
2008). Although effect on pruritus was not mentioned, it may be speculated that
itch was relieved to a similar extent.
The 8 % transdermal patch formulation is relatively new with limited data;
however, this higher concentration preparation shows promise as a useful adjuvant
therapy for the persistent pain of postherpetic neuralgia, particularly with repeat
applications over the course of 2 years (Backonja et al. 2008).
12.2.2 Notalgia Paresthetica
Notalgia paresthetica is a common condition, presenting most frequently in mid-

dle-aged or older adults as focal pruritus typically located unilaterally on the mid
or upper back. Usually, no primary lesion can be identified on examination, but
often there is evidence of chronic rubbing or scratching seen as hyperpigmenta-
tion or mild lichenification in the area where the patient experiences the itch. Rare
cases may have a bilateral and symmetric presentation. More extensive secondary
changes may result from chronic scratching.
The pathogenesis of notalgia paresthetica is related to entrapment of the pos-
terior rami of spinal nerves originating at T2–T6. Patients may have a history of
back injury or complain of back and/or neck pain. Additionally, there is often
evidence of spinal column degeneration or other vertebral pathology on imaging.
Although pruritus may improve in many of these patients with surgical correction
of their vertebral disease, a less invasive method for treating itch is preferred for
patients who do not otherwise require surgery. Systemic therapy with gabapentin
has shown some benefit, but topical therapy may be satisfactory in some cases
without the side effects associated with gabapentin. Topical therapies include local
anesthetics, corticosteroids, and capsaicin.
Both topical capsaicin cream (0.025 %) and the 8 % capsaicin patch have been
shown to be efficacious in this condition. In a double-blind, vehicle-controlled
crossover study with topical capsaicin, 20 patients with notalgia paresthetica were
randomized to capsaicin 0.025 % cream or vehicle control group with crosso-
ver after 4 weeks of treatment and a 2 week washout period. Overall, 70 % of
patients experienced improvement in their symptoms with capsaicin therapy while
30 % of patients had improvement with vehicle. While most patients experienced
some relapse after 1 month of no treatment, repeat use of topical capsaicin cream
0.025 % again resulted in remission of their pruritus (Wallengren and Klinker
1995).
Additionally, a report of two cases of notalgia paresthetica treated with a 8 %
capsaicin patch resulted in complete remission of itch in both patients immediately
following removal of the patch. The patient who was able to tolerate the complete
goal duration of therapy (60 min) remained symptom-free at 12 weeks. The other
patient was able to tolerate the patch for only 20 min and experienced recurrence
of pruritus after few days. While the authors admit that data for use of the cap-
saicin patch for neuropathic itch is currently limited, their experience does show
efficacy of this formulation in the treatment of notalgia paresthetica with ease and
convenience of application as a benefit over the cream (Metz et al. 2011).
12.2.3 Brachioradial Pruritus
Patients with brachioradial pruritus present with unilateral or bilateral pruritus of

the distal, and less commonly, proximal arms. The pruritus is often felt to be worse
during the summer months or after prolonged sun exposure and is most com-
mon in middle-aged or older patients with fair skin. As with notalgia paresthetica,
there is no identifiable primary lesion, though secondary changes associated with
chronic scratching and rubbing may be present.
The etiology of brachioradial pruritus is not completely understood. Because it
apparently worsens with sun exposure in many patients, one theory suggests that
brachioradial pruritus is a result of sun damage to peripheral nerve fibers in the
sun-exposed skin of the arm. One study demonstrated a decrease of sensory nerve
fibers in the distal arms of patients with brachioradial pruritus at the end of the
summer season compared to number of nerve fibers during a symptom-free period
(Wallengren and Sundler 2005). A second theory proposes that cervical spine dis-
ease causing entrapment of cervical nerve rami results in neuropathic itch in the
distal arm distribution, analogous to the theoretical cause of notalgia paresthetica.
Indeed, many patients complain of neck pain and have evidence of spinal column
disease in the C5–C6 distribution on imaging. Current thinking is that cervical ver-
tebral disease may predispose patients to brachioradial pruritus while ultraviolet
light is an eliciting factor (Wallengren and Sundler 2005).
As with notalgia paresthetica, surgical treatment of cervical vertebral disease
may result in amelioration of pruritus in some patients with brachioradial pruritus.
Gabapentin has also been used with some success in treatment of this condition.
Unfortunately, brachioradial pruritus is often resistant to topical or oral corticos-
teroids and antihistamines.
Topical capsaicin has been used successfully in some cases. Two studies done
in tropical latitudes demonstrated 12 of 15 (80 %) patients experienced improve-
ment of symptoms when treated with topical capsaicin (Knight and Hayashi 1994;
Goodless and Eaglstein 1993). In another study carried out in a temperate climate,
298 K. Boyd et al.
all patients experienced relief of itch during the treatment period but found that
capsaicin 0.025 % cream was no better than vehicle. The authors postulate that
one reason for this outcome is the difficulty in distinguishing laterality in pruritus.
They also considered the possibility of spontaneous improvement as the weather
changed to cooler temperatures (Wallengren and Sundler 2005). Regardless; cap-
saicin remains a safe alternative for treatment of brachioradial pruritus.
12.2.4 Lichen Simplex Chronicus and Prurigo Nodularis
Lichen simplex chronicus (LSC) and prurigo nodularis are dermatologic conditions
that present in patients who chronically scratch or rub their skin due to intractable
pruritus from a variety of primary sources. The causative source may be a derma-
tologic condition such as atopic dermatitis, scabies, or pemphigoid, or it may be
related to pruritus associated with systemic illness or malignancy. Lichen simplex
chronicus and prurigo nodularis are not uncommon findings in patients with diabe-
tes mellitus, obstructive biliary disease, chronic kidney disease, liver failure, endo-
crine dysfunction, or malignancies such as leukemia and lymphoma. Additionally,
pruritus and secondary changes of lichen simplex chronicus and prurigo nodularis
can be seen in patients with severe emotional stress or anxiety.
Lichen simplex chronicus presents as thickened, erythematous or hyperpig-
mented scaly plaques that may also show evidence of excoriation. Distribution
is variable, and depends on the underlying source of pruritus. Regardless of the
source, the lesions are usually located on easy-to-reach skin; that is, areas that the
patient has access to rub or scratch repeatedly.
Prurigo nodularis is a similar condition in that it results from chronic mechani-
cal irritation of the skin, however, it presents as discrete nodules of lichenification
and excoriation rather than confluent plaques.
Treatment of both of these conditions is difficult. The pruritus is often intractable
and the mechanical irritation caused by scratching or rubbing worsens the licheni-
fication and inflammation, and subsequently, the pruritus. While treatment of the
underlying condition can help significantly, often, that condition is not curable and
therefore the pruritus persists. Therapeutic regimens aimed at easing the itch include
topical medications such as emollients containing menthol and topical corticoster-
oids. These treatments are often insufficient on their own because as the stratum
corneum thickens in these conditions, it inhibits penetration of the medication into
the dermis. While intralesional steroids have been used with some success, the size
of the plaque of LSC or the number of prurigo nodules may make this modality
impractical. Systemic therapies that have been used with some success include anti-
histamines, ultraviolet light, corticosteroids, cyclosporine, thalidomide, and etreti-
nate. Although these medications have been shown to be successful at ameliorating
pruritus, each has side effects that limit the practicality of its use. Capsaicin is a rea-
sonable alternative as it lacks systemic side effects and penetration through a thick-
ened stratum corneum can be enhanced through occlusion.
To evaluate the efficacy of topical capsaicin in the treatment of prurigo nodularis,

Stander et al. measured both the clinical and histologic features pre- and posttreat-
ment in 33 patients. Each patient applied capsaicin to the lesional areas 4–6 times
daily, starting with a concentration of 0.025 % and increasing as needed, to achieve
complete cessation of pruritus. The highest concentration required was 0.3 %
by a single patient. Treatment duration was also variable, lasting from 2 weeks to
33 months in one patient with poor compliance. However, all participants achieved
complete remission within 12 days and 24 patients experienced flattening of lesions
within 2 months. Although there was recurrence of pruritus once the capsaicin
application was stopped in about half of the study patients, the majority experienced
2 weeks to 2 months of treatment-free remission. Patients also experienced relief
when the medication was reinitiated following cessation and recurrence. The his-
tologic changes accompanying the clinical changes showed thinning of the stratum
corneum and epidermis, and decreased inflammation and scarring. Ultrastructurally,
decreased reactivity to substance P was noted following treatment with capsaicin.
The authors conclude that capsaicin is effective for symptomatic relief as well as
clinical resolution of the nodules. They recommend regular application of topical
capsaicin 4–6 times daily at a concentration that achieves complete cessation of pru-
ritus with reapplication upon recurrence (Stander et al. 2001).
12.2.5 Pruritus Ani, Vulvae, and Scroti
Pruritus of the anogenital skin and mucosa may be idiopathic or secondary to an

underlying disorder. It presents as intractable itching in the perianal or genital area,
often with secondary lichenification. In order to diagnose primary or idiopathic
pruritus ani, vulvae, or scroti, possible secondary causes should be ruled out.
Potential causes of secondary anogenital pruritus include irritant or allergic contact
dermatitis, primary cutaneous conditions (psoriasis, atopic dermatitis, seborrheic
dermatitis, lichen planus, lichen sclerosus), malignancy (anogenital carcinoma,
paget’s disease), infection (pinworms, sexually transmitted diseases), hemorrhoids,
rectal fistulas, or sinus tracts. In the absence of an underlying condition, idiopathic
anogenital pruritus has been attributed to dietary causes such as excessive caffeine
intake, personal hygiene, or psychogenic factors (Bolognia and Jorizzo 2012).
In cases of secondary anogenital pruritus, symptoms improve with treatment of
the underlying condition. For idiopathic cases, treatment can be more challenging.
In patients with a suspected psychogenic component, psychological evaluation,
and counseling may be beneficial. Mild cases may respond to frequent sitz baths
and mild-potency topical corticosteroids. However, severe cases with secondary
lichenification may require more potent topical steroids, leading to increased risk
of atrophy (Bolognia and Jorizzo 2012).
A randomized, placebo-controlled crossover study evaluating the efficacy of
topical capsaicin use for patients with anogenital pruritus found that 31 of 49 par-
ticipants experienced relief of symptoms during the treatment period. Participants
300 K. Boyd et al.
applied 0.006 % capsaicin ointment or placebo ointment with menthol to the

affected area 3 times daily for 4 weeks followed by a 1-week wash out and 4 week
crossover period. Four patients withdrew from the study due to side effects. There
was a statistically significant (p < 0.001) difference in response rate between the
two groups. Responders required consistent treatment of at least one application
of capsaicin daily to remain symptom-free (Lysy et al. 2003). For patients who are
refractory to topical steroids, or have a risk of atrophy with continued treatment,
topical capsaicin appears to be a safe and effective alternative.
12.2.6 Pruritus of Hemodialysis
Pruritus is the most common and most distressing dermatologic condition in patients
undergoing chronic hemodialysis. Although prevalence has decreased recently
because of improved dialysis techniques, it still occurs in 25–43 % of patients. The
most common sites of involvement are the back, head, and abdomen, and frequently
1/3 of the total body surface area is involved (Weisshaar et al. 2003).
The pathogenesis of hemodialysis-associated itch is not well understood.
Despite the well-established correlation of hyperuricemia and pruritus in patients
with chronic renal failure, multiple studies have not shown an association between
electrolyte levels and intensity of itch in patients undergoing hemodialysis. In a
study involving 167 patients on hemodialysis, the only factor associated with
increased pruritus was the presence of a preexisting neuropathy such as restless
leg syndrome, paresthesias, decreased sensation, decreased deep tendon reflexes,
or decreased muscle strength. The authors suggest that this association confirms
the neurogenic origin of the pruritus of hemodialysis (Akhyani et al. 2005).
Multiple treatment modalities have found variable success in the treatment
of hemodialysis-associated pruritus. Systemic therapy includes anti-histamines,
cholestyramine, erythropoietin, ondansetron, and UVB phototherapy. Topical
moisturizers and corticosteroids have also shown some efficacy in select patients.
However, no specific therapy has shown consistent efficacy. In a 2003 study, no
difference in pruritus was noticed between skin treated with capsaicin 0.05 %
and untreated skin. However, topical capsaicin 0.05 % resulted in significantly
decreased pruritus in hemodialysis patients compared with healthy controls
(Weisshaar et al. 2003). In patients on chronic hemodialysis treatment, pretreat-
ment with capsaicin may be helpful in decreasing dialysis-related pruritus.
12.2.7 Aquagenic Pruritus
Aquagenic pruritus is rare condition characterized by itching sensation of the skin fol-
lowing exposure to water of any temperature or salinity. No primary lesion or skin
change is identified. Typically, itching, burning, or stinging sensation will begin within
30 min of exposure to water and last for up to 2 h. The lower extremities are affected
first, with migration of symptoms to upper body but with sparing of the head, palms,
and soles. While the etiology of idiopathic aquagenic pruritus is unclear, some stud-
ies have demonstrated elevated levels of neurotransmitters and peptides implicated in
other pruritic conditions, including acetylcholine, histamine, serotonin, and prostaglan-
din E2 in the dermis and epidermis of affected skin. It is important to evaluate for and
exclude underlying conditions that may lead to secondary aquagenic pruritus, such as
hematologic malignancy (including Hodgkin disease), polycythemia vera, essential
thrombocythemia, or myelodysplastic syndrome (Bolognia and Jorizzo 2012).
Overall, treatment options for idiopathic aquagenic pruritus have been dissat-
isfying. Systemic medications such as cyproheptadine, cimetidine, and cholesty-
ramine have been used without much success. Ultraviolet light has been more
effective with PUVA, demonstrating better results than with broadband UVB.
A study by Lotti et al. evaluated both the clinical and immunofluorescent
changes in skin of patients with aquagenic pruritus before and after 4 weeks of
treatment with capsaicin cream of three different concentrations (0.025, 0.5,
1.0 %). They found that prior to treatment, neuropeptidergic fibers in skin were
filled with neuropeptides when evaluated with direct immunofluorescence and
clinically patients experienced pruritus with exposure to water. Following cap-
saicin treatment, neuropeptidergic fibers were devoid of neuropeptide and water
did not evoke pruritus. The authors conclude that aquagenic pruritus is mediated
at least in part by neuropeptides, including substance P (Lotti et al. 1994). Thus,
capsaicin is a reasonable treatment option for this rare condition. Currently, no
standard for dosing or frequency of application exists and either parameter may
be adjusted to achieve maximum efficacy while still being tolerable to the patient.
12.2.8 Apocrine Chromhidrosis
Apocrine chromhidrosis is a condition in which apocrine sweat is pigmented, usually

yellow, green, or black. This results from the high lipofuscin concentration in apocrine
sweat of some patients. One case report demonstrated effective treatment of facial apo-
crine chromhidrosis with topical capsaicin in a 30-year-old female. The patient applied
capsaicin to half of her face 1–2 times daily, and vehicle to the other half. Resolution
of her condition occurred only on the half treated with capsaicin and recurred within
2 days of cessation of the therapy (Marks 1989). While treatment options for apocrine
chromhidrosis are limited, capsaicin is a valid option with few side effects.
12.2.9 Lipodermatosclerosis
Lipodermatosclerosis, a manifestation of chronic venous insufficiency, is a pain-

ful panniculitis that typically presents on the medial lower legs as a result of
chronic venous insufficiency. In addition to pain, patients experience erythema
302 K. Boyd et al.
progressing to hyperpigmentation, warmth, and induration of the site. It presents

most commonly in women over the age of 40. Clinical manifestations are often
bilateral. It is felt that in patients with venous insufficiency, venous hypertension
leads to increased leakage of fibrinogen and other blood products from capillaries.
Fibrinogen then polymerizes to form fibrin cuffs around vessels, further impairing
oxygen exchange and leading to tissue hypoxia. This hypoxia results in the classic
changes seen in the subcutaneous tissue in patients with lipodermatosclerosis: sep-
tal thickening and sclerosis with hyaline fibrosis and eventually lipomembranous
change of fat lobules (Bolognia and Jorizzo 2012).
A number of therapeutic modalities have been attempted to treat this condition
with variable success. Much depends on the stage of the disease. Compression
and elevation are helpful in the early stages and are the mainstays of treatment.
Anabolic steroids such as stanozolol have been used successfully for their fibrino-
lytic properties, however, significant side effects that limit its usefulness. Other
treatments used in small studies and case reports with varying success include
ultrasound, pentoxifylline, fasciotomy, and phlebectomy (Bolognia and Jorizzo
2012).
Typically, the pain associated with early lipodermatosclerosis is the most con-
cerning symptom for patients. Yosipovitch et al. describe two patients with acute
lipodermatosclerosis and one with acute lobular panniculitis and venous insuf-
ficiency who experienced relief of pain with topical capsaicin. They were each
treated for 3 weeks with 0.075 % topical capsaicin 5 times per day, followed by
continued treatment 3 times daily for an additional month in two of the cases.
Each patient experienced resolution of pain and clinical panniculitis with no recur-
rence at follow-up of 2–6 months. While little is known about the fibrinolytic
activity of capsaicin, Thai people who ingest chili pepper daily do show increased
fibrinolytic activity (Visudhiphan et al. 1982). Additionally, capsaicin has been
shown to increase bleeding time and inhibit platelet aggregation in mice. The
authors postulate that substance P may have fibrinolytic properties, thus making
topical capsaicin an useful treatment for early lipodermatosclerosis and other lobu-
lar panniculitides (Yosipovitch et al. 2005).
12.2.10 Alopecia Areata
This inflammatory alopecia is characterized by discrete round to oval areas of

nonscarring hair loss, most commonly on the scalp. In many cases, the hair will
regrow spontaneously, but often the condition recurs in a different area. There are
chronic and more extreme forms of alopecia areata where a patient may lose all
their scalp hair (alopecia totalis) or all of their body hair (alopecia universalis).
The prognosis for complete regrowth in these cases is less promising. Alopecia
areata may also affect the fingernails and toenails in a variety of ways, most com-
mon of which is pitting of the nail plate. Other nail changes include ridging, tra-
chyonychia, onychomadesis, and red lunulae.
Alopecia areata is considered to be an autoimmune condition wherein T-cells

target specific autoantigens on terminal anagen follicles. The histopathologic
picture is that of a lymphocytic infiltrate tightly surrounding and sometimes
infiltrating the follicular bulb, thus sparing the stem cells in the bulge region
of the follicle and, therefore, the follicle’s ability to regenerate intact. The
main goal of treatment for alopecia areata is the reduction of the inflammatory
response. For limited and localized disease, intralesional corticosteroids may
speed regrowth of hair. Additional topical treatments include irritants such as
azelaic acid and anthralin, or immunotherapy with agents such as squaric acid.
For more widespread hair loss, systemic corticosteroids or immunosuppres-
sants like cyclosporine have been used, but these options are limited due to side
effects (Bolognia and Jorizzo 2012).
While the role of the immune system is well established in the etiology of alo-
pecia areata, the clinic link between emotional stress and worsening of the condi-
tion has led some to search for a neurologic contribution. Previous studies have
demonstrated decreased concentrations of substance P and calcitonin gene-related
peptide in scalp biopsies of alopecia areata as well as changes in the structure and
function of perifollicular nerves (Peters et al. 2001; Rossi et al. 1997). As capsai-
cin causes release and subsequent depletion of substance P, Ehsani et al. postulated
its potential use in treating alopecia areata by transiently increasing the neuropep-
tide and the neurofollicular interface. They randomized 50 patients with less than
30 % scalp surface area involvement with alopecia areata to a control group or
treatment group. The control group applied clobetasol ointment 0.05 % daily for
6 weeks while the treatment group applied capsaicin ointment daily for 2 weeks,
then twice daily for 4 weeks. Although there was no statistically significant dif-
ference between the control and treatment group in terms of regrowth of termi-
nal hairs, after 4 weeks, the treatment group demonstrated a significantly greater
growth of vellus follicles. They concluded that capsaicin has a dual effect on the
follicular unit: it inhibits hair shaft elongation and matrix proliferation but pro-
motes vellus hair growth (Ehsani et al. 2009). While this does not appear to be an
optimal treatment for alopecia areata, it does highlight a potential role for neuro-
peptides in the etiology of the condition and a potential target for treatment.
12.2.11 Psoriasis
Psoriasis is a common Th1/Th12-mediated inflammatory skin condition that pre-

sents in the classic form as variably sized erythematous and scaly plaques distrib-
uted on the extensor extremities, buttocks, and scalp. Presentation is variable, with
involvement ranging from a few small plaques to complete erythroderma. Patients
may have involvement with their hands, feet, scalp, or nails or isolation of disease
to those areas. Twenty percent of patients have associated joint pain. While cuta-
neous pain and itch are not consistent symptoms, many patients experience such
discomfort from their psoriatic plaques.
304 K. Boyd et al.
While recent psoriasis therapeutic research has focused on the inflammatory

mechanisms involved in the pathogenesis of the disease, there is evidence to
suggest that neurogenic pathways may also contribute to or exacerbate the con-
dition. One double-blind study of topical capsaicin in the treatment of psoriasis-
related pruritus demonstrated not only significant improvement of itch, but also
reduction in combined psoriasis severity scores, as measured by degree of scal-
ing, thickness, erythema, and pruritus, in patients using capsaicin 0.025 % cream
for 4–6 weeks when compared to those using a vehicle control. The authors
speculate that substance P plays a role not only in the driving the pruritus and
pain associated with psoriasis, but also in influencing the inflammatory process
by increasing perfusion and thus promoting accumulation of inflammatory mark-
ers at the site (Ellis et al. 1993).
An additional study supported the role of neurogenic factors in the patho-
genesis of psoriasis. Krogstad, et al. found that lesional psoriatic skin treated
with capsaicin showed immediate increase of histamine and overall perfusion.
However, when measured at 24 h following application of capsaicin, there was
a decrease below baseline of both perfusion and histamine levels (Krogstad et
al. 1999). While capsaicin does not target specific inflammatory pathways—the
feature that makes many of the new biologic medications and traditional immu-
nosuppressant medications effective in the treatment of , the significant improve-
ment in both pruritus and other psoriatic symptoms shown with topical capsaicin
treatment make it a valuable adjuvant therapy in patients for whom systemic
therapy is less desirable.
12.3 Treatment Limitations
12.3.1 Adverse Effects
The nature of capsaicin as a derivative of chili peppers and a substance P releaser

makes it a powerful skin irritant. This has been known for generations among
people who handle chili peppers and develop a contact dermatitis called “Hunan
hand” as a result of chronic exposure. Its therapeutic effects are no different. All
patients experience skin irritation in the form of burning with the application of
even low concentrations of topical capsaicin. In the case of accidental inhala-
tion, capsaicin can induce coughing and burning of the mucosa. This property is
exploited in the formulation of personal protection sprays containing capsaicin
(Bode and Dong 2011).
Reports of more severe side effects are rare. One report attributes a case of cor-
onary vasospasm and acute myocardial infarction to the use of a topical capsaicin
patch in the treatment of lower back pain (Akcay et al. 2009). Multiple studies
done in mice also suggest that topical capsaicin may have carcinogenic potential,
including skin cancer. The complete blockade of the transient receptor potential
vanilloid subfamily member 1 (TRPV1) in the presence of a tumor promoter

resulted in increased skin carcinogenesis in mice. The authors postulate that block-
ade of TRPV1 through chronic use of topical capsaicin, coupled with a tumor
promoter such as ultraviolet light, could result in increased skin cancer (Bode and
Dong 2011). Thus, caution should be taken into account when combining topical
capsaicin with phototherapy.
12.3.2 Compliance
Perhaps the most significant limitation to using capsaicin to treat dermatologic

conditions is compliance with the treatment. Because nearly every patient expe-
riences immediate cutaneous discomfort, many patients are unable to continue
treatment for a sufficient length of time to reach a point of therapeutic benefit.
In fact, from reported clinical trials and experience, at least 30 % of patients or
participants withdraw due to lack of tolerability (Papoiu and Yosipovitch 2010).
As response rates for some dermatologic conditions are high, it may be necessary
to counsel the patient about the expected transient cutaneous discomfort and the
importance of compliance for a meaningful response.
12.4 Summary
Neurogenic pain and pruritus play a role in many dermatologic conditions, making
topical capsaicin a viable treatment option that lacks the systemic side effects of
the oral alternatives. Additionally, capsaicin is a reasonable alternative for the treat-
ment of other diseases, including apocrine chromhidrosis, lipodermatosclerosis,
and alopecia areata. Compliance can be difficult, especially with increased concen-
trations, as nearly as every patient experiences immediate cutaneous discomfort;
however, this can be mitigated with appropriate dose escalation and education.
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Chapter 13
Use of Vanilloids in Urologic Disorders
Harris E. Foster Jr. and AeuMuro G. Lake
Abstract The bladder is an organ rich in vanilloid targets: dense unmyelinated

c-fibers partially responsible for bladder sensation and response to noxious stimuli.
Drugs such as capsaicin and resiniferatoxin (RTX) interact with the VR1 vanilloid
receptor subtype to initially excite then subsequently desensitize the c-fibers. This
chapter examines the literature describing the use of vanilloid receptor agonists in
the treatment of the following urological disorders: neurogenic bladder (NGB),
overactive bladder (OAB), and interstitial cystitis/painful bladder syndrome (IC/PBS).
Review of the literature was performed using Pubmed and the following key
words “capsaicin,” “resiniferatoxin (RTX),” and “neurogenic bladder,” “overactive
bladder (OAB),” and “interstitial cystitis,” “painful bladder syndrome.” Articles
focusing on randomized trials comparing intravesical administration of a vanil-
loid receptor agonist to placebo and those in English were reviewed. We conclude
that capsaicin and RTX do appear to provide some acceptable treatment results in
patients with neurogenic bladder, though larger studies are needed to confirm this.
Although efficacy has been shown in some studies, currently the use of vanilloids
cannot be recommended for routine use in patients with OAB as the need for cath-
eterization may cause the risk to outweigh the benefit of treatment. Similarly, for
the treatment of BPS, vanilloid receptor agonists lack strong evidence for efficacy
or tolerability; larger studies are needed to define their role. Understanding how
vanilloids are able to impact these disorders, however, may help further elucidate
their underlying pathophysiological processes.
H. E. Foster Jr. (*)
Department of Urology, Yale University School of Medicine, New Haven,
CT 06520-8028, USA
A. G. Lake
Department of Obstetrics and Gynecology, Section of Urogynecology and Reconstructive Pelvic
Surgery, Yale University School of Medicine, New Haven, CT 06520-8028, USA

308 H. E. Foster Jr. and A. G. Lake
13.1 Introduction
Vanilloids can be useful in a variety of clinical disorders, some involving those of

urological origin. Most of the focus has revolved around treating disorders in which
the bladder is the offending organ either directly or indirectly. The bladder is an
organ rich in vanilloid targets, that being the dense unmyelinated c-fibers partially
responsible for bladder sensation and response to noxious stimuli. Drugs such as
capsaicin and RTX interact with the VR1 vanilloid receptor subtype to initially
excite then subsequently desensitize the c-fibers. Although c-fibers are not the pri-
mary mediator of the bladder micturition reflex which ultimately eventuates in a
bladder contraction, that primarily being the responsibility of their myelinated
(faster) Aδ counterparts, in certain pathophysiological situations, where there is
damage or dysfunction of the latter, they can significantly contribute to reflex blad-
der activity with negative consequences (Chancellor 2002). Furthermore, as pain
associated with the bladder is mediated by these c-fibers, pharmacological methods
to reduce their activity can be beneficial in the treatment of disease entities in which
pain from the bladder is a primary symptom. The purpose of this chapter is not to
discuss the detailed mechanisms by which vanilloids affect the neurological system
in general as this is covered elsewhere in this text. The goal, however, is to describe
how these agents perform in the treatment of certain urological disorders. In par-
ticular, the diseases/disorders to be discussed will include neurogenic bladder, over-
active bladder (OAB), and interstitial cystitis/painful bladder syndrome (IC/PBS).
13.2 Neurogenic Bladder
Neurogenic bladder (NGB) can result from any neurological insult that interferes
with the normal functioning of the lower urinary tract which requires intact path-
ways involving the central and peripheral neurological systems. Causes are many
but most commonly include spinal cord injury (SCI), multiple sclerosis (MS), spina
bifida, degenerative spinal disease, cerebrovascular accident and as a result of surgi-
cal extirpative procedures that affect peripheral bladder innervation such as radical
hysterectomy and abdominal-perineal resection. Almost all patients with SCI and
anywhere from 50 to 90 % of those with MS will develop some type of NGB dys-
function throughout the course of their disease (Burns et al. 2001; Fingerman and
Finkelstein 2000). Depending on the specific location of the neurological insult,
the effects on lower urinary tract function are varied. Typical manifestations of dys-
function are neurogenic detrusor overactivity (NDO), detrusor hyperreflexia with
external sphincter dyssynergia, detrusor hypocontractility, detrusor areflexia, and
loss of normal detrusor compliance. Urinary incontinence and/or urinary retention
are the most likely clinical manifestations of NGB which primarily although not
exclusively affect quality of life. The most disturbing and potentially life threaten-
ing complication to be prevented, however, is upper tract deterioration as manifested
13 Use of Vanilloids in Urologic Disorders 309
Table 13.1 Treatment options for NGB

Route Treatment Proposed mechanism of action
Observation Spontaneous voiding –
Oral Antimuscarinics Suppresses detrusor muscle
contractions
Tricyclic antidepressant Central and peripheral anticholinergic
Catheterization Intermittent Drainage of bladder/urinary tract
Condom (male)
Suprapubic tube
Indwelling urethral
Urinary diversion Ileovesicostomy (continent or
incontinent)
Ileal conduit
Intravesical Intradetrusor on a botulinum toxin A Paralyzes detrusor muscle
injection
Antimuscarinics Suppresses detrusor muscle
contractions
by hydronephrosis which can ultimately result in chronic renal insufficiency. This is

generally due to a loss in the low pressure storage capabilities of the bladder, over-
whelming the propulsive effects of the ureter to transport urine from the kidneys.
The primary goal when managing NGB is to establish a low pressure reservoir in the
bladder with secondary goals including continence of urine if possible and reduction
of other complications such as recurrent urinary tract infections and urolithiasis.
Management of NGB is varied and depends on multiple factors mainly related
to the type of NGB dysfunction present and the capabilities and desires of the par-
ticular patient (Table 13.1). Most importantly, urodynamics, where the relationship
between bladder filling and storage pressure along with an assessment of its ability
to contract is required for adequate assessment. As mentioned previously, findings
can range from an underactive or overactive detrusor along with different degrees
of bladder compliance. Physical and social capabilities of the patient and their pro-
viders are almost as important as this will determine whether or not intermittent
urethral catheterization is an option since this is generally the preferred method of
management when bladder emptying is incomplete. Other options for managing
the NGB include condom catheterization (in the male), spontaneous voiding (dia-
pered if incontinent), suprapubic tube drainage, indwelling urethral catheter, con-
tinent or incontinent ileovesicostomy, and supravesical diversion with ileal conduit
or continent catheterizable reservoir.
Pharmacologic intervention is often necessary to ameliorate involuntary bladder
contractions secondary to NDO when intermittent catheterization is the preferred
method of management in those with NGB. This is typically accomplished with the
use of antimuscarinic agents of which a myriad are available commercially (i.e.,
oxybutynin, tolterodine, solifenacin, etc.). Antimuscarinic drugs are thought to sup-
press bladder contractions by the blockade of muscarinic receptors on the detrusor
muscle, however, effects on the urothelium and central nervous system may also
play a role. Use of these agents in combination or in conjunction with other drugs
with anticholinergic effects such as the tricyclic antidepressant class may be of
benefit when monotherapy is insufficient at achieving the clinical goal. In the case
when oral therapies are unable to suppress the bladder effectively, options include
various intravesical treatments, augmentation ileocystoplasty, or a change to another
form of bladder management. Direct instillation or injection of different substances
into the bladder have the advantage of obviating the need for oral administration
and avoiding many of the associated side effects of antimuscarinic agents such as
dry mouth, constipation, and less commonly, mental status changes. Currently, the
only Food and Drug Administration (FDA)-approved drug for intravesical adminis-
tration for NGB is botulinum toxin A which has performed well in multiple clinical
trials with an acceptable side effect profile (Linsenmeyer 2013). The mechanism of
action behind its efficacy is a selective blockade of acetylcholine-mediated detrusor
muscle contractions (Schurch et al. 2000). Intravesical instillations of oxybutynin
and lidocaine have also been described but are not used commonly for the manage-
ment of NGB. It is in this clinical situation and administration route that vanilloids
have shown some clinical efficacy in patients with NGB.
There have been numerous studies investigating the therapeutic benefit of intra-
vesical vanilloids (capsaicin and RTX) in patients with NGB secondary to SCI and
MS that are refractory to oral antimuscarinic therapy. A thorough review of the pub-
lished randomized trials was performed by MacDonald et al. in 2007 (MacDonald
et al. 2008). They compiled data from nine clinical trials (288 patients) compar-
ing capsaicin and RTX to each other, placebo, or, in 1 trial, to botulinum toxin A
(BTX-A). The majority of patients had either SCI or MS and nearly three quarters
(71 %) were male. The main outcome measure was improvement in urinary incon-
tinence as measured by the number of daily episodes. Doses of capsaicin ranged
from 1 mM, 30 mg, and 2 mM and that of RTX was 0.005–1.0 μM, and 100 nM.
Duration of treatment was 4 weeks to 18 months with the majority being at least
90 days duration. Many of the trials were placebo controlled and double blinded.
Capsaicin reduced the number of daily urinary incontinence episodes by 3.8 epi-
sodes when compared to placebo. There was also a significant reduction in the
numbers of pads used per day from 10 to 4. In the two trials comparing capsaicin to
RTX, one showed no difference between treatment arms with both agents decreas-
ing the urinary incontinence episodes at 30 days. As expected, the RTX groups had
more durable responses at 90 days with the median number of daily incontinence
episodes being 1 and 4 in the RTX and capsaicin groups, respectively. The side
effect profile of capsaicin demonstrated greater incidences of pelvic pain/burning
and flushing with the former occurring in 50–60 % of those treated with this agent.
Although it was thought that the ethanol solvent may be responsible for this result,
the effect was unchanged when glucidic acid was used as the solvent. Other side
effects were similar to that of the placebo group. When capsaicin and RTX were
compared to each other, capsaicin had a significantly higher incidence of pelvic
pain (50 vs. 12 %).
Lazzeri et al. reported on their 10-year experience using intravesical vanil-
loids in 54 patients with neurogenic incontinence (Lazzeri et al. 2004). Doses of
capsaicin and RTX were 10 mM and 10 nM–10 μM, respectively. A number of

treatment outcomes were investigated including improvement in clinical status
(dry on intermittent catheterization and bladder capacity 50 % higher at 3 months),
number who continued therapy, number of instillations received, interval length
between instillations, and alternative therapies when vanilloids failed. Over half
(53.7 %) of those who received capsaicin had an improvement in their clini-
cal symptoms and urodynamic parameters at 3 months. A higher response rate
(73.33 %) was noted in those who received RTX at the 10 μM dose.
In summary, capsaicin and RTX do appear to provide acceptable treat-
ment results in patient with neurogenic bladder, primarily due to SCI and MS.
Randomized studies, however, are few and involve relatively small numbers of
patients. The side effect profile generally favors RTX and durability of response is
longer as would be expected. Although promising, at this point, use of these agents
cannot be recommended as a standard treatment for NGB based on available data.
13.3 Overactive Bladder
OAB comprises a constellation of symptoms including urinary frequency, urgency

with or without urinary incontinence in the absence of definable pathology such
as urinary tract infection, bladder outlet obstruction, bladder cancer, or disorder
of the neurologic system (i.e., SCI, MS, cerebrovascular accident, spina bifida,
Parkinson’s disease, etc.) which can result in a similar clinical presentation. The
prevalence of OAB in the United States ranges from 7–27 % in men and 9–43 %
in women (Gormley et al. 2012). It also disproportionately affects the elderly pop-
ulation and can heighten the risks of falls potentially resulting in hip fractures and
skull injuries with their concomitant comorbidities (deep vein thrombosis, pulmo-
nary embolus, intracranial hemorrhage etc.). Despite not having direct impact on
duration of life, OAB can have tremendous negative effects on the quality of life.
Many find that their ability to perform and/or enjoy daily activities and ability to
obtain satisfactory sleep is encumbered by the frequent and urgent need to void.
Furthermore, management of the often associated urinary (urgency type) inconti-
nence can often be a costly venture requiring the use of various types of protective
devices such as sanitary pads and diapers. In severe cases, chronic urethral cath-
eterization may be chosen as the most pragmatic method of management, expos-
ing the patient to some of the long-term consequences previously mentioned when
used in the neurogenic population.
Evaluation of the patient with OAB revolves around diagnostic tests able to
detect causative and potentially treatable etiologies. Simple urinalysis can detect
evidence of urinary tract infection, glucosuria which may be causing an osmotic
diuresis, and hematuria (microscopic or gross), a potential indicator of urinary
tract pathology such as neoplasia or urolithiasis. Urine cytology while not highly
sensitive does have good specificity (low false positives) and can be utilized
when social data (tobacco use or exposure to chemicals) suggest predisposition to
Table 13.2 Treatment options for OAB

Behavioral Avoidance of bladder irritants, Decreases irritation
bladder retraining
Oral Antimuscarinics Suppresses detrusor muscle
contractions
Beta-3 Agonist Relaxes detrusor smooth muscle
Transdermal Antimuscarinics Suppresses detrusor muscle
contractions
Intravesical Intradetrusor on a botulinum toxin A Paralyzes detrusor muscle
injection
Neuromodulation Sacral Unknown, electrically stimulates
somatic afferent nerves in spinal
nerve root
Percutaneous tibial nerve Unknown, electrically stimulates
somatic afferent nerves in spinal
nerve root
urothelial malignancy. Measurement of post-void residual urine can assist in the

detection of bladder outlet obstruction and neurogenic vesicourethral dysfunc-
tion when elevated. Direct inspection of the bladder and urethra with cystoure-
throscopy may be indicated when there are reasons to suspect bladder neoplasm
(primarily hematuria or suspicious urine cytology). Urodynamics, although not
required for diagnosis, can be helpful in determining if bladder outlet obstruction
or neurogenic bladder is the underlying pathophysiological process. Typical find-
ings in patients with OAB are the presence of involuntary detrusor contractions of
varying magnitudes during the filling phase, sometimes accompanied by the loss
of urine. The absence of this pattern, however, is not sufficient to eliminate the
diagnosis of OAB as the study can be normal in up to 50 % of affected patients.
Management and treatment of OAB is dictated primarily by the severity of the
symptoms and the level of impact it has on the patient’s quality of life (Table 13.2).
Oftentimes behavioral modification by the moderation in fluid intake, reduction in
the use of caffeinated products and others with diuretic properties (i.e. alcohol),
and elimination of food stuffs with high spice content can be sufficient at satisfac-
torily ameliorating the symptoms of OAB. In most instances, however, this is not
adequate and pharmacological or surgical options must be considered. The goal
of these therapies is either reduction in the frequency or amplitude of the associ-
ated involuntary detrusor contraction or their elimination altogether. As with NGB,
pharmacotherapy for OAB generally involves the use of agents with antimuscarinic
properties that interfere with detrusor contractions. Many are commercially avail-
able with no significant differences in their efficacy. Oral preparations are most
commonly used; however, agents that can be topically administered (transdermal
patch, gel) exist. Recently, another agent with beta-3 agonist properties (mira-
begron) has become commercially available that has similar efficacy to the anti-
muscarinics but without the typical side effects of dry mouth and constipation
(Herschorn et al. 2013). Studies to investigate the potential benefit of combination
therapy with the antimuscarinics and beta-3 agonists are currently in development
and may provide an additional option for treatment. When pharmacotherapy fails
to achieve significant clinical benefit, surgical options include intravesical injec-
tions of botulinum toxin or sacral neuromodulation utilizing the Interstim device
made by Medtronic. Both have demonstrated acceptable results in patients in
whom medical therapy is inadequate or side effects are intolerable. The advantages
of botulinum toxin are its simplicity of administration and low side effect profile.
Repeat injections (every 6–9 months), however, are necessary to maintain efficacy
and there is the potential for transient urinary retention requiring catheterization
(indwelling or intermittent) until resolution. Sacral neuromodulation typically
requires two phases, one of which is a testing period with a stimulating lead in
place to establish efficacy followed by surgical implantation of the generator when
successful. Complications can include infection, pain, and lead displacement.
As mentioned above, OAB can have multiple etiologies; however, if its under-
lying pathophysiology is related to sensitization or recruitment of c-fibers result-
ing in involuntary bladder contractions, then functional desensitization of these
fibers with a vanilloid would be expected to provide some benefit. Many studies
have suggested efficacy of vanilloids in the treatment of OAB. Soontrapa et al.
reported on 25 patients with either OAB or what they described as either a hyper-
sensitive bladder or primary detrusor instability, who were treated with 1 mM of
capsaicin diluted in 100 ml of 30 % ethanol solution (Soontrapa et al. 2003). In
those with OAB it was found that daytime urinary frequency (16.5–8.6), inconti-
nence episodes per day (9.7–2.4), bladder capacity (160.1–236.9 ml), and detru-
sor contraction pressure (71.1–57.3 cm H20) improved following treatment with
capsaicin. Mahawong et al. reported efficacy when using capsaicin to treat Benign
prostatic hypertrophy (BPH) with OAB symptoms (Mahawong et al. 2007).
Urinary frequency, nocturia, and mean first desire to void improved at 1, 3, and
6 months and mean maximal cystometric capacity improved at 1 month. There
were no significant differences in peak flow rate, detrusor pressure, and post-void
residual volume compared to pretreatment values. However, in a randomized pla-
cebo controlled study of 58 female patients with OAB, Rios et al. found no differ-
ence in efficacy between a single 50 mM intravesical dose of RTX and placebo in
any clinical or urodynamic parameters including urgency incontinence (Rios et al.
2007). Safety was not found to be concerning as RTX instillation was well toler-
ated with few and self-limited side effects.
Vanilloids have been found to be useful in patients with OAB for reasoning
similar to that of NGB. When compared to standard therapies, disadvantages to
their use primarily include the need for intravesical instillation via catheter and
multiple treatments to maintain efficacy. The former is particularly problematic as
the overwhelming majority of patients with OAB do not require intermittent cath-
eterization and may be reluctant to submit to the procedure regularly. Although
efficacy has been shown in some studies, currently the use of vanilloids cannot be
recommended for routine use in patients with OAB. In fact, treatment with these
agents is not included in the American Urological Association guidelines for the
management of OAB (Gormley et al. 2012).
13.4 Interstitial Cystitis/Bladder Pain Syndrome
Bladder pain syndrome (BPS) (sometimes referred to synonymously as inter-

stitial cystitis) is a condition that falls under a larger category of genitourinary
pain syndromes, hypersensitivity, or sensory disorders of the urinary tract. It is
described as “the complaint of suprapubic pain related to bladder filling, accom-
panied by other symptoms such as increased daytime and nighttime frequency, in
the absence of proven urinary infection or other obvious pathology” (Abrams et
al. 2002). Similar to other conditions in this class, BPS is a diagnosis of exclusion
and lacks a clear pathophysiologic basis for the symptoms reported and therefore
scientifically proven medical or surgical treatments for the diagnosis.
Understandably in BPS, as the hypotheses for etiologic nature are varied, so too
are the diagnostic criteria. Over the last 3 decades, several urologic associations,
conferences, and institutes have posited a range of criteria to be met and excluded
for diagnosis of BPS (Gillenwater and Wein 1988; Hanno and Dmochowski 2009;
Simon et al. 1997; van de Merwe et al. 2008). The most recent of these is from
2008, proposed by the European Society for the Study of Interstitial Cystitis
(ESSIC) (Hanno and Dmochowski 2009). This criteria suggests that a diagnosis of
BPS would be made “on the basis of chronic pelvic pain, pressure or discomfort
perceived to be related to the urinary bladder accompanied by at least one other uri-
nary symptom (persistent urge to void or urinary frequency). Classification of BPS
types might be performed according to findings on cystoscopy with hydrodisten-
sion and morphologic findings in bladder biopsies…” (van de Merwe et al. 2008).
In 2011, the American Urologic Association (AUA) published a clinical guide-
line statement on the diagnosis and treatment of BPS in keeping with the ESSIC
consensus (Hanno et al. 2011). The treatment guidelines are stratified from first-
line to sixth-line and include: patient education, stress management, and behav-
ioral modification (first-line), oral, transdermal, and intravesical analgesic and
restorative regimens (second-line), cystoscopy under general anesthesia, fulgura-
tion of Hunner’s ulcers (third-line), neuromodulation (fourth-line), intradetrusor
botulinum toxin, immunomodulation (fifth-line), and lastly urinary diversion with
or without substitution cystoplasty (sixth-line) (Hanno et al. 2011). Pain manage-
ment is a component of symptom control throughout this treatment algorithm.
Analgesic agents commonly used for BPS range from amitriptyline, hydroxyzine,
and lidocaine to narcotic drug prescription (Table 13.3).
One consequence of long-term narcotic use is opioid addiction. For this reason,
medical personnel are advised to involve the participation of a pain management
specialist in administering and regulating this aspect of treatment. Comprehensive
treatment of often associated pain syndromes, irritable bowel syndrome, fibromy-
algia, and chronic fatigue syndrome, is also recommended in a multidisciplinary
fashion (Hanno and Dmochowski 2009).
The above listed treatment options reflect the current working pathophysiologic
theories that exist for BPS. It is believed that the etiology of BPS is multifactorial.
Specific factors thought to play a role in this syndrome can be stratified into three
Table 13.3 Treatment options for PBS

Behavioral Stress reduction/avoidance of bladder Decreases pain sensitivity
irritants
Oral Amitriptyline Central and peripheral anticholinergic
Hydroxizine Stabilizes mast cells
Pentosanpolysulfate sodium Stabilizes glycosaminoglycan (GAG)
layer of urothelial cells
Intravesical Lidocaine* Analgesic
Heparin* Mimics GAG layer
Sodium bicarbonate* Alkalinization, promotes penetration of
lidocaine
Dimethyl sulfoxide (DMSO) Anti-inflammatory
Hydrodistension (Normal saline) Unknown, possibly increases bladder
capacity
*These agents are typically mixed and administered together
categories: offensive foreign antigens, intrinsic structural abnormalities of the

bladder, and neurogenically and biochemically mediated host immune response
(Bologna and Whitmore 2007).
As stated previously in this chapter, vanilloid receptors in the bladder modu-
late activity of sensory neurons. RTX and capsaicin act at this receptor and may
potentially offer a viable treatment modality for BPS. The following is a summary
of the existing literature that includes studies focused on comparisons of intra-
vesically administered vanilloid receptor agonists and a placebo or other active
control.
Currently, there are three randomized placebo-controlled studies that have
investigated the efficacy and/or safety and tolerability of intravesical RTX for the
treatment of BPS. Lazzeri et al. reported their findings on 18 subjects (15 women),
who received a single dose of 30 cc saline containing 10 nM of intravesically
administered RTX in 1 % ethanol or placebo saline solution (Lazzeri et al. 2000).
The primary outcome was voiding pattern and pain score at 30 days evaluated by
patient diary of urinary frequency and nocturia and previously utilized pain scale
(occurrence (0–5) and intensity of pain (0–4)). They reported a statistically signifi-
cant decrease in frequency and nocturia at 30 days. This decrease remained statis-
tically significant at 3 months for frequency but not nocturia. Pain scores decreased
at 30 days to a level of statistical significance, but this did not persist to 3 months.
The second study by Chen et al., reported on the safety and tolerability of intra-
vesical RTX for the treatment of BPS (Chen et al. 2005). In it, 22 subjects (17
women), received 0.05 or 0.10 μM of RTX or placebo (10 % ethanol in saline).
An optional retreatment of the bladder included 50 cc of 2 % lidocaine in the
bladder via a Foley catheter for 10 min, followed by a 50 cc rinse of the bladder
with saline. The primary outcome was pain and voiding pattern assessed by visual
analog scale and voiding diary, respectively at 1, 4, 8, and 12 weeks. Additional
measures included cystoscopy and serum concentrations of RTX preinstillation
as well as immediately and 4 weeks after therapy. No serious adverse event was
reported. They found no statistically significant change in pain scores or voiding
diary among the three groups.
The final, and largest study by Payne et al. comprised a cohort of 163 patients
(86 % women) with IC who were randomized to a single dose of intravesical
placebo (10 % ethanolic solution), or 0.01, 0.05, or 0.10 μM of RTX (Payne et al.
2005). Pretreatment included 50 mL of 2 % lidocaine intravesically for 10 min;
this was increased during the study to 100 mL of 4 % lidocaine for 30 min to
increase tolerability of the therapy. The primary efficacy endpoint was assessed
using the Global Response Assessment (GRA) at 4 weeks. Twelve subjects discon-
tinued the study, four from the placebo group. No change in GRA score was noted
among the groups. A dose-dependent increase in treatment pain and urgency, how-
ever, was observed and one adverse event of lower abdominal pain (judged to be
related to the study drug) requiring hospitalization was reported.
As elucidated in this study, instillation pain appears to be the main limitation in
the use of RTX for the treatment of BPS. Additionally, sustained efficacy of RTX
treatment has yet to be depicted in the current literature.
In summary, intravesically administered vanilloid receptor agonists lack strong
evidence for efficacy or tolerability in the treatment of BPS. Further studies describ-
ing treatment schedules, long-term outcomes, and comparison to existing bladder
instillation regimens are necessary to establish the role of this therapy in BPS.
13.5 Conclusions
Urologic disorders in which bladder function is negatively impacted such as neu-

rogenic bladder, OAB, and IC/PBS are prevalent, challenging to treat, and can
result in significant reduction in quality of life. As a result of the unique p roperties
of the bladder urothelium, intravesical application of vanilloids may provide a
novel method for the treatment of these disorders. A cadre of clinical studies exist,
which have been described in this chapter, suggest some efficacy utilizing these
agents in affected patients. At this point, current data do not support the routine
use of vanilloids in these clinical situations. A better understanding of their limited
efficacy, however, may help further elucidate underlying pathophysiology and help
expand our armamentarium of treatments.
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Index
A Capsaicin, 78, 83, 105, 147, 148, 152–156,

Adipose tissue distribution, 171 158, 160–162, 164–166, 171, 191, 261,
Affinity and intrinsic activity curves for 293–305
capsaicin and for antisecretory drugs, Capsaicin as new orally applicable gastropro-
222, 223 tective drug alone and in combination
AKAP, 93 with NASAIDs, 253, 254
Albumin in the gastric juice without and with Capsaicin desensitization, 3–7, 11, 24, 26
capsaicin, 223 Capsaicin gastroprotection and gastric cyto-
Allergic rhinitis, 148, 152, 156 protection, 249
Alopecia areata, 293–295, 302, 303, 305 Capsaicin in dermatology, 293, 294
Alzheimer’s disease, 97 Capsaicin-induced decrease of BAO vs. other
AMPK, 181, 190, 193, 196, 197 antisecretory drugs 6, 214
Amygdala, 87 Capsaicin receptor, 210
Analgesics, 95 Capsaicin-sensitive fibers, 171
Anandamide, 78 Capsaicin-sensitive nociceptors, 17, 21
Anti-obesity agent, 171 Capsaicin-sensitive afferent nerves and the
Anxiety, 94 stomach, 211
Anxiogenic, 94 Capsazepine, 81, 131
Apocrine chromhidrosis, 293, 295, 301, 305 Chemical composition of gastric juice without
Aquagenic pruritus, 293–295, 300, 301 and with capsaicin, 222
Autonomic, 149, 151, 152, 154, 164 Chemistry a plant (natural) origin capsaicin,
Axon reflex, 10, 17, 21–23 235
Chronic capsaicin treatment in healthy sub-
jects, 233
B Chronic gastritis vs TRPV1, CGRP and SP in
Blood glucose, serum levels of insulin the patients, 231
C.peptide and glucagon and capsaicin, Chronic Helicobacter pylori positive and nega-
228 tive gastritis, 230
Brachioradial pruritus, 293–295, 297, 298 Colorectal cancer, 185, 186, 192
Cough, 133
COX-1 and COX-2 enzyme and capsaicin, 247
C
Calcineurin, 93
Calcitonin gene-related peptide (CGRP), 259 D
Cancer, 132 Defunctionalization, 135
Cannabinoid receptor 1, 86 Dentate gyrus, 85

Research 68, DOI: 10.1007/978-3-0348-0828-6, © Springer Basel 2014
320 Index
Desensitization, 147, 152–154, 165, 166 Human, 287

Drawbacks, 135 Human phase I studies, 220
Drug Master File (DMF), 236 Human stomach and capsaicin
Dyspepsia, 273 action, 212, 213
Human TRPV1, 79
Hypothalamus, 95
E
Endotoxin, 131
Epilepsy, 97 I
Eradication treatment vs TRPV1, CGRP Immunocytochemistry, 80
and SP in patients with chronic Immunohistochemistry of TRPV1, CGRP,
gastritis, 235, 236 SP in human gastric mucosa, 230
Ethanol, 94 Indomathacin-induced gastric
Ethanol effect on GPTD, 215 microbleedings in healthy
Exclusion of desensitation to capsaicin in human stomach, 226
acute human observations, 229 Inflammation, 39, 40, 43, 47, 50, 51, 58, 131
Experimental colitis, 269 Interneurons, 83
Expression of capsaicin receptor, CGRP Interstitial cystitis, 307, 308, 314
and SP in patients with Chronic Intestinal mucosal afferent nerves, 171
gastritis, 234 Ion channel, 148, 153, 154, 165, 166
Irritable bowel syndrome (IBS), 272
F
Four different stages of capsaicin action, 210 L
Leeches, 88
Lichen simplex chronicus, 293–295, 298
G Lipodermatosclerosis, 293, 295, 301, 302, 305
Gastric Basal Acid Out (BAO), 214 12-lipoxygenase, 91
Gastric emptying vs capsaicin action in LNCaP, 184, 186, 189, 192
humans, 226 Locomotion, 97
Gastric microbleeding and indomethacin, 218 Long-term depression, 81
Gastric Transmucosal Potential Difference Long-term potentiation, 81
(GTPD), 215 Low dose, 137
Gastric ulcer, 23
Gastroprotection, 267
Glandular secretions, 151, 154 M
Glucose loading test in humans without Migraine, 133
and with capsaicin, 226 Mixed rhinitis, 148, 150, 156, 160
GPTD and capsaicin action in the human Musculoskeletal, 136
stomach, 215
N
H NADA, 78
Headache, 147, 148, 154, 155, 158, 161, NAPE-PLD, 91
164, 166 NAR, 147
Healing, 268 Nasal congestion, 147, 148, 151, 152, 155,
Hepatocellular carcinoma, 184, 186, 188, 192 158, 164
High-dose capsaicin, 138 Nasal glandular secretion, 147
Hippocampus, 78 Neurogenic bladder, 307, 308, 311, 312, 316
History, 2 Neuropathic pain, 105, 133, 136
HIV-associated distal symmetrical Neuroprotection, 97
polyneuropathy (HIV-DSPN), 106 NMDA, 81
HIV neuropathy, 140 No desensitization to capsaicin during
12-HPETE, 83 two weeks treatment, 233, 246
Index 321
Nociceptor blocking analgesics, 27 Resiniferatoxin (RTX), 141, 264, 307, 308,

Nociceptors, 107 310, 311, 313, 315, 316
Non-allergic, 150 Results of capsaicin alone and in combination
Nonallergic rhinitis, 148, 151, 158, 163 with ASA, 253
Notalgia paresthetica, 295–297 Rheumatoid arthritis, 133
Nucleus accumbens, 87 Rhinitis, 147–151, 153–155, 163
O S
Opioid-induced hyperalgesia, 141 Seizures, 97
Osteoarthritis, 278, 279, 284, 287, 289 Sensory afferent neurons, 147, 166
Overactive bladder (OAB), 307, 308, Sensory desensitization, 10–12
311–313, 316 Sensory effect of capsaicin, 172
Sensory-efferent innervation, 1, 10, 17, 22
Stress, 94
P Substantia nigra, 87
Pain, 39–44, 46, 47, 51, 52, 54, 56, 95, 105 Superior colliculus, 86
Painful bladder syndrome, 307, 308 Sympathetic, 150–152, 164
Painful diabetic polyneuropathy (PDPN), 106 Synaptic plasticity, 81
Pancreatitis, 133
Parasympathetic, 147, 151, 152, 164, 166
Parietal and non-parietal components T
of gastric secretion, 217 Therapy, 279, 290
Parkinson’s disease, 97 Thermoregulation, 11, 19, 24–27, 95
Patch, 116 TLR-4, 131
PC-3, 184, 186, 189, 195, 197–201 Topical, 105
Persistent postsurgical pain, 106 Topical therapy, 135
Pharmacology, 39–41 Transient receptor potential vanilloid
Postherpetic neuralgia (PHN), 106, 140, of type-1 (TRPV-1), 1, 2, 11,
294, 296 12, 14–16, 19, 21, 23–29, 115, 147,
Postsynaptic, 80 152–154, 156, 163–166, 182–185,
Preparation of human phase I. examinations 189, 192, 197, 199, 263
with capsaicin, 237 Transient receptor potential vanilloid-1 chan-
Presynaptic, 80 nels, 171
Primary sensory neurons, 39–41, 46, 47, 50 TRPV1 agonists, 134
Prostate cancer, 184, 186, 188, 189, 192, TRPV1 antagonism, 134
194, 195, 201 TRPV1, CGRP and SP in human
Protocols of capsaicin alone and of GI tract, 232
combinations with NSAIDs, 239 TRPV1 knockout, 78
Prurigo nodularis, 293–295, 298, 299 TRPVI ion channel, 147
Pruritus ani, 293–295, 299 Type I mGluR, 86
Pruritus of hemodialysis, 293–295, 300
Psoriasis, 293–295, 299, 303, 304
V
Vasomotor, 148, 163
Q Visceral abdominal fat, 171
Qutenza, 141
R
Requested permission for capsaicin research
in humans, 219

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Progress in Drug Research 68

Series Editor: K. D. Rainsford

Omar M. E. Abdel-Salam Editor

For further volumes:

ISBN 978-3-0348-0827-9 ISBN 978-3-0348-0828-6 (eBook)

Library of Congress Control Number: 2014934672

© Springer Basel 2014

Printed on acid-free paper

Springer Basel AG is part of Springer Science+Business Media (www.springer.com)

Capsaicin, a homovanillic acid derivative (8-methyl-N-vanillyl-6-nonenamide),

capsaicin-like molecules in the management of various human aliments. It also

1 Capsaicin and Sensory Neurones: A Historical Perspective. . . . . . . . . 1

2 Pharmacology of the Capsaicin Receptor, Transient Receptor

3 TRPV1 in the Central Nervous System: Synaptic Plasticity,

4 Topical Capsaicin Formulations in the Management

5 Capsaicin-Based Therapies for Pain Control. . . . . . . . . . . . . . . . . . . . . 129

6 Intranasal Capsaicin in Management of Nonallergic

7 Capsaicin as an Anti-Obesity Drug. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171

8 The Potential Antitumor Effects of Capsaicin. . . . . . . . . . . . . . . . . . . . 181

9 Capsaicin as New Orally Applicable Gastroprotective

10 Capsaicin Receptor as Target of Calcitonin Gene-Related

11 Capsaicin for Osteoarthritis Pain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277

12 The Role of Capsaicin in Dermatology . . . . . . . . . . . . . . . . . . . . . . . . . 293

13 Use of Vanilloids in Urologic Disorders . . . . . . . . . . . . . . . . . . . . . . . . . 307

O. M. E. Abdel-Salam (ed.), Capsaicin as a Therapeutic Molecule, Progress in Drug 1

The phenomenon of “capsaicin desensitization” was discovered by Nicholas

(a) Number of publications / year on PubMed:

(b) Number of publications / year on PubMed:

Neurogenic inflammation (n: 2289)

Fig. 1.2 Number of publications at keywords of capsaicin and TRPV1 (a) or neurogenic inflam-

Sherrington predicted their existence already in 1906 (Sherrington 1906). Thus, it

1.3 Selective Effect of Capsaicin on Cutaneous

C-polymodal nociceptors in the skin, the major subgroup of unmyelinated affer-

(a) Number of publications / year on PubMed:

Capsaicin nociceptor (n: 1133)

(b) Number of publications / year on PubMed :

Capsaicin human pain (n:1359)

Fig. 1.3 Number of publications at keywords capsaicin nociceptor (a) and capsaicin human

It was interesting, however, that action potentials of C-polymodal nociceptors

Beyond the mechano-heat sensitive C-polymodal nociceptors (CMH) in the

1.4 Experimental Models for Capsaicin-Induced Blockade

The traditional descriptive term of “capsaicin desensitization” simply refers to the

1.4.2 Sensory Desensitization Induced by Capsaicin

Repeated application of capsaicin congeners in near threshold concentrations or

elicited similar burst of discharges on a single unit of C-polymodal nociceptor, while a

1.4.3 Systemic Application in Adult Animals

In rats the antinociceptive effect of systemic capsaicin pretreatment lasts for

of responsiveness of the affected sensory receptors (Szolcsányi and Pintér 2013;

1.4.4 Systemic Treatment of Neonatal Rats

was completely prevented by daily administration of 100 μg/kg s.c. NGF. The first

After 1 % capsaicin application significant antinociception against noxious heat or

1.4.6 Local Desensitization by Subcutaneous Pretreatment

The prolonged potent antinociceptive action of intrathecal capsaicin combined

of capsaicin-sensitive nociceptors (Yaks et al. 1979). Damaged glomerular

1.4.8 Effect on In Vitro Preparation

(a) Number of publications / year on PubMed

(b) Number of publications / year on PubMed

Fig. 1.5 Number of publications at keywords capsaicin-sensitive (a) and capsaicin in vitro (b).

thermoregulation which resembled that induced by capsaicin. Capsaicin and RTX

1.3 Selective Effect of Capsaicin on Cutaneous

1.4 Experimental Models for Capsaicin-Induced Blockade

1.4.2 Sensory Desensitization Induced by Capsaicin

1.4.3 Systemic Application in Adult Animals

1.4.4 Systemic Treatment of Neonatal Rats

1.4.6 Local Desensitization by Subcutaneous Pretreatment

1.4.8 Effect on In Vitro Preparation

1.4.9 Action of Capsaicin on the Brain

1.5 Efferent Function of Capsaicin-Sensitive Sensory

1.7 Perspectives and General Comments

2.2 Exogenous Activators of TRPV1

2.3.1 Ligands from the Inside (Autocrine Signalling)

2.3.2 Second Messenger Interactions

2.5 Mechanisms of TRPV1 Inactivation

2.5.1 Endogenous Negative Modulators of TRPV1

2.5.2 Desensitisation and Tachyphylaxis of TRPV1

2.5.3 Mechanisms of Action of TRPV1 Receptor Antagonists

2.6 Stucture: Function Relationship in TRPV1

2.6.3 The Pore Domain

2.6.4 The S1–S4 Module

3.2 Brain TRPV1 Expression and Function

3.3.1 Hippocampal Long-Term Potentiation

Regarding studies of TRPV1 involvement in NMDA receptor-dependent hippo

3.3.2 Hippocampal Long-Term Depression

3.3.3 Plasticity in Other CNS Regions

3.4 Endogenous TRPV1 Activity

3.4.1 Endogenous CNS TRPV1 Ligands