PG15

T h e P ro m i s e a n d Re a l i t y
of Pharmacogenetics
in Psychiatry
Peter P. Zandi, PhD*, Jennifer T. Judy, MS
KEYWORDS
Pharmacogenetics Pharmacogenomics Antidepressants
Antipsychotics Mood stabilizers
Genome-wide association study Efficacy Side effects
The primary means of treating mental illnesses is with an arsenal of psychotropic

medications, including antidepressants, antipsychotics, and mood stabilizers. Despite
progress over the past several decades in developing new classes of such medica-
tions that are presumably safer and more effective, the ability to treat mental illnesses
remains clinically suboptimal. These medications are effective in only a subset of
patients or produce partial responses, and they are often associated with debilitating
side effects that discourage adherence.1
The results from the latest and largest treatment effectiveness trials of psychotropic
medications sponsored by the National Institute of Mental Health reinforce the notion
that there is still a long way to go in the war against mental illnesses. In the recently
completed Sequenced Treatment Alternatives to Relieve Depression (STAR*D) study
in which patients with nonpsychotic major depression were followed for up to 6 years
through a sequence of alternative treatment regimens, only 37% achieved remission
on first-line therapy with a selective serotonin reuptake inhibitor (SSRI), whereas
another 16.3% withdrew completely from treatment because of drug intolerance.2
Even worse, in the Clinical Antipsychotic Trials of Intervention Effectiveness (CATIE)
in which patients with schizophrenia were treated with a menu of leading antipsy-
chotics under conditions meant to reflect realistic clinical practice and followed for
up to 18 months, over 74% eventually discontinued their study medication either
because of lack of efficacy or tolerability.3 Similarly, in the Systematic Treatment
Enhancement Program for Bipolar Disorder (STEP-BD) trial in which patients with
bipolar disorder were enrolled and provided treatments with mood stabilizers and
The work of Peter P. Zandi is supported by National Institute of Mental Health grant K01
MH072866-01. The work of Jennifer T. Judy is supported by National Institute of Mental Health
grant T32-MH14592.
Department of Mental Health, Johns Hopkins Bloomberg School of Public Health, Hampton
House, Room 857, 624 North Broadway, Baltimore, MD 21205, USA
* Corresponding author.
E-mail address: [email protected] (P.P. Zandi).
Psychiatr Clin N Am 33 (2010) 181–224

doi:10.1016/j.psc.2009.12.001 psych.theclinics.com
0193-953X/10/$ – see front matter ª 2010 Elsevier Inc. All rights reserved.
182 Zandi & Judy
antidepressants that followed expert consensus guidelines, up to 75% experienced

symptom relapse sometime over the course of follow-up.4 These figures are sobering
and suggest considerable room for improvement in psychiatric treatments.
With the advent of the genomics revolution, there has been growing excitement that
pharmacogenetics can pave the way to improved treatments. The term ‘‘pharmacoge-
netics’’ was first coined nearly a half century ago when it was recognized that inherited
variation can influence responses to medications.5 Since then, an evergrowing
number of pharmacogenetic traits have been studied. Earlier studies focused on vari-
ation in candidate genes or gene systems believed to influence the absorption, distri-
bution, or clearance of drugs (ie, pharmacokinetics) or mediate their mechanisms of
actions by interactions with receptors or transporters and downstream second
messengers (ie, pharmacodynamics). Completion of the Human Genome Project
and the emergence of new tools to interrogate the entire genome on an unprece-
dented scale, however, have accelerated interest in studying the relevance of variation
across the entire genome. These advances have spawned a new term, ‘‘pharmacoge-
nomics.’’ Pharmacogenomics and pharmacogenetics are used interchangeably, and
in both cases refer to the study of how genetic variation influences response to
drug treatments in terms of efficacy (ie, efficacy pharmacogenetics) or tolerability
(ie, safety pharmacogenetics).
The hope is that through pharmacogenetics genetic profiles will be discovered that
can be determined by simple genetic tests and that predict how patients respond to
different psychotropic treatments before they are initiated. The benefits are that it
would allow physicians to tailor medications to their patients in such a way that maxi-
mizes their efficacy and tolerability, ushering in an era of ‘‘personalized medicine.’’ In
addition, by elucidating the pathways by which drugs act to treat illness and provoke
unwanted side effects, pharmacogenetics may inform the rational development of
new treatments that are ever more safe and efficacious. The promise of pharmacoge-
netics in psychiatry is that it will lead to the smarter use of existing weapons and, in
turn, the development of even smarter weapons to combat mental illness.
There is still a long way to go before the promise becomes a reality. This article
reviews the progress that has been made in research toward understanding how
genetic factors influence psychotropic drug response and the challenges that lie
ahead in translating the research findings into clinical practice that yields tangible
benefits for patients. Discussed are antidepressants, mood stabilizers, and antipsy-
chotics, and for each are reviewed the pharmacogenetic studies that have been per-
formed on them, including candidate gene studies of pharmacokinetic or
pharmacodynamic factors and genome-wide studies. Next the few examples of phar-
macogenetic biomarkers and corresponding tests that have begun to penetrate into
clinical practice in psychiatry are examined and their impact on patient care assessed.
The article concludes with a discussion of the challenges to advancing the goals of
personalized care in psychiatry.
ANTIDEPRESSANTS
The monoamine oxidase inhibitors and tricyclics were the first antidepressants intro-
duced, back in the 1950s. They heralded a major breakthrough in the treatment of
depression, but their wider use was limited by partial efficacy and significant concerns
about side effects, such as sedation.6 In the late 1980s a new class of antidepressants
became available known as the ‘‘selective serotonin reuptake inhibitors.’’ Because of
their improved efficacy and tolerability, the SSRIs quickly gained popularity and are
now the most widely used antidepressants.7 They are among the first-line choices
Pharmacogenetics in Psychiatry 183
for the treatment of depression,8,9 but they are still only effective in a subset of
patients10 and are associated with certain common side effects, such as weight
gain, insomnia, and sexual dysfunction, which are leading causes of nonadherence.11
More recently, a number of other new classes of antidepressants have been intro-
duced with mixed pharmacodynamic profiles. These include serotonin-norepineph-
rine reuptake inhibitors, the dopamine-norepinephrine reuptake inhibitors, serotonin
modulators, norepinephrine-serotonin modulators, and selective norepinephrine re-
uptake inhibitors.
Overview of Pharmacogenetic Studies

At least 119 pharmacogenetic studies of candidate genes and the efficacy or tolera-
bility of treatment with antidepressants have been reported in the literature.12–130
Most of these have studied SSRIs, although several have examined serotonin-norepi-
nephrine reuptake inhibitors or other older agents, such as the monoamine oxidase
inhibitors or tricyclics. Approximately 65% of the studies have been on samples of
whites, whereas the remaining studies have mostly studied Asian samples, including
Chinese, Japanese, or Korean. The samples sizes have been generally small with
a median of less than 150 subjects, and each of the studies have investigated no
more than a handful of specific candidate gene polymorphisms at a time. The excep-
tions to this include several reports71,87,90,97,108,115,123,124,127 from STAR*D in which
pharmacogenetic studies with over 1900 subjects who provided a DNA sample
have been performed to examine the association between a number of different candi-
date genes and treatment response to citalopram, including efficacy, treatment-emer-
gent suicide ideation, and sexual dysfunction. In addition to these studies, three
genome-wide association studies of antidepressant treatment response have recently
been reported in the literature.131–133 Table 1 provides a description of candidate
genes studies from STAR*D and genome-wide association studies of treatment
responses to antidepressants.
Pharmacokinetic Studies
Multiple pharmacogenetic studies have been performed on the relationship between
genes coding for CYP450 enzymes, which are involved in the metabolism of many
different xenobiotics, and antidepressant treatment responses. CYP2D6 and
CYP2C19, which together with CYP2C9 metabolize virtually all SSRIs,134 have
received the greatest attention.
CYP2D6 is constitutively expressed in the liver and is responsible for metabolizing
approximately 25% of drugs known to be metabolized by CYP450 enzymes.135 It is
the key enzyme in the metabolic pathway of many antidepressants.136 Because
CYP2D6 is not inducible,137 functional genetic variation and ‘‘environmental’’ inhibi-
tors of the enzyme are the only factors that can modify its activity, making it a good
candidate for pharmacogenetic testing.138 Over 90 genetic variants have been identi-
fied in CYP2D6.139 These variants have been functionally classified into four pheno-
typic groups based on their effects on enzyme activity: (1) poor metabolizers (PMs),
(2) intermediate metabolizers (IMs), (3) extensive metabolizers (EMs), and (4) ultrarapid
metabolizers (UMs). There are considerable differences in the frequencies of these
classes across racial and ethnic groups.138 CYP2C19 is also polymorphic with two
main phenotypic groups: EMs and the rarer PMs.138
The contention is that CYP-related PMs are at an increased risk of side effects from
antidepressants, whereas UMs and to a lesser extent IMs are less likely to show posi-
tive response to treatment.138 A commercially available pharmacogenetic test has
been clinically approved to test for the CYP2D6 and CYP2C19 genetic variants based
184
Zandi & Judy
Table 1
Candidate gene studies from STAR*D and genome-wide association studies of treatment responses to antidepressants
Author (Year) Drug Genes Outcome Sample Size Key Findings

Candidate gene studies from STAR*D
McMahon (2006) Citalopram 68 genes Efficacy 1953 (split sample design) Association with 5-HTR2A
Hu (2007) Citalopram 5-HTT Efficacy Remission 1775 Association with adverse
Tolerance effect burden
Adverse effects
Kraft (2007) Citalopram 5-HTT Efficacy 1914 No association
Paddock (2007) Citalopram 68 genes Efficacy 1816 (full sample) Association with GRIK4
Peters (2008) Citalopram CYP2D6, CYP2C19, Efficacy 1953 (split sample No associations
CYP3A4, CYP3A5, Tolerance design)
ABCB1
Lekman (2008) Citalopram FKBP5 Efficacy 1809 Association with response
Cabanero (2009) Citalopram PDE11A, PDE1A, PDE9A Efficacy 1914 No association
Domschke (2009) Citalopram BDNF Efficacy 1914 No association
Perlis (2009) Citalopram 68 genes Sexual dysfunction 1473 Associations with GRIA3,
GRIK2, GRIA1, GRIN3A
Genome-wide association studies
Laje (2009) Citalopram Illumina Human-1 Bead Treatment-emergent 180 Association with PAPLN
Chip suicidal ideation
Garriock (2009) Citalopram Affymetrix 500K and 5.0 Efficacy 1491 Suggestive associations with
UBE3C, BMP7, RORA
Ising (2009) Antidepressants Illumina Human-1 and Efficacy 339 Association with a multifactorial
HumanHap300 Bead SNP score
Chips
Abbreviation: SNP, single nucleotide polymorphism.

on this characterization.140 At least 13 different studies have examined the relationship

between variation in these genes and treatment response to antidepres-
sants,12,22,24,39,40,48,54,55,59,75,82,83,108 however, and the results have been decidedly
mixed. The largest study from STAR*D included 1877 genotyped subjects and found
no association between variation in CYP2D6 or CYP2C19 and either efficacy or toler-
ability.108 Moreover, a recent review of existing studies found little overall evidence of
an association between these two CYP450 genes and antidepressant response,
calling into question the clinical use of testing for these variants.141 The commercially
available pharmacogenetic test and its potential use in clinic practice are discussed in
further detail later.
Pharmacodynamic Studies
The therapeutic action of antidepressants is thought to be mediated at least partially
through their effects on monoaminergic transmission and primarily the serotonergic
pathway. Consequently, genes in the serotonergic pathway have been of great
interest in pharmacogenetic studies of antidepressants. 5HTT, which codes for the
presynaptic membrane-bound serotonin transporter protein that is the target of
SSRIs, is of these by far the most widely studied. It has a variable length repeat poly-
morphism in the promoter region (5HTTLPR), in which a 44-bp long stretch of DNA is
either present in the ‘‘long’’ form of the gene or absent in the ‘‘short’’ form. Experi-
mental data suggest the long form is associated with greater expression of the
gene,142 although recent findings have suggested this locus may actually be triallelic
because of the presence of a single nucleotide polymorphism (SNP) nearby, which
leads to further variability in the effect on gene expression.143 Other common variants
are found in the gene, including a variable number of tandem repeats in intron 2
(STin2), which has been shown to influence gene transcription144 and has also been
examined in multiple pharmacogenetic studies.
A systematic review of pharmacogenetic studies of antidepressants145,146 was
recently reported in which the published associations between treatment response
and these two well-characterized 5HTT variants were comprehensively examined. In
this review, a meta-analysis of 15 studies13–16,21,27,28,34,37,38,44,49,73,74,88 showed the
long allele of the promoter polymorphism was associated with better response and
remission rates, whereas another meta-analysis of nine studies35,41,46,74,81,87,100,118,121
indicated the long allele was also associated with lower rates of side effects. The review
of studies on the intronic variant was less clear, although a meta-analysis of seven
studies14,30,51,73,84,110,121 suggested an influence on efficacy, particularly among
Asians. Enthusiasm for these findings is dampened by the fact that another study90
from the STAR*D trial found no evidence of an association between any variants in
5HTT and treatment outcomes, despite having one of the largest samples to test the
relationship.
The systematic review146 also examined variants in 16 other candidate genes
thought to play a role in the pharmacodynamics of antidepressants and reported on
by at least two different studies. Of these, variants in four of the genes were found
on meta-analysis to be significantly associated with either efficacy or side effects.
The four genes are (1) 5HT1A, (2) 5HT2A, (3) TPH1, and (4) BDNF. 5HT1A and
5HT2A code for serotonin receptors that are the targets of certain antidepressants
and atypical antipsychotics. Interestingly, an association between 5HT2A and antide-
pressant efficacy was one of the leading pharmacogenetic findings from STAR*D.71
TPH1 codes for tryptophan hydroxylase, which is the rate-limiting enzyme in the
biosynthesis of serotonin. It is more commonly expressed in the periphery,147 but
there is some evidence from the mouse that it is also expressed in the brain during
186 Zandi & Judy
the late developmental stages.148 BDNF is a neurotrophic factor that is involved in the
development, survival, and functional maintenance of neurons.149
Genome-wide Studies
Three genome-wide association studies of antidepressant response have been pub-
lished.131–133 In the first study131 90 whites who developed treatment-emergent
suicidal ideation with citalopram in STAR*D and an equal number of gender- and
race-matched treated controls were genotyped at 109,365 SNPs on the Illumina
Human-1 BeadChip (Illumina Inc, San Diego, CA, USA). One marker was significant
after correction for multiple testing in the gene PAPLN. This gene encodes a proteo-
glycan-like sulfated glycoprotein, but little else is known about its function and poten-
tial relevance to treatment-emergent suicidal ideation.
The second study132 examined efficacy responses to citalopram in 1491 STAR*D
subjects who were genotyped at 430,198 SNPs with the Affymetrix (Santa Clara,
CA, USA) 500K and 5.0 platforms. No SNPs met criteria for genome-wide significance,
but there were three with suggestive evidence in or near the genes UBE3C, BMP7, and
RORA. The biological relevance of these genes to treatment response is not immedi-
ately obvious.
The most recent study133 was performed in the Munich Antidepressant Response
Signature project in which patients who were treated with antidepressants according
to the choice of their physicians were naturalistically followed for efficacy response. A
total of 339 patients were genotyped on almost 410,000 nonoverlapping SNPs with
the Illumina Sentrix Human-1 and HumanHap300 BeadChip arrays. A multilocus
genetic variable that described the individual number of alleles of select SNPs asso-
ciated with beneficial treatment outcome was constructed and then dichotomized.
The dichotomized variable describing carriers with high and low number of response
alleles was associated with positive outcome in the Munich Antidepressant Response
Signature sample and in a replication sample derived from STAR*D. This finding
suggests that treatment response may be multifactorial and under the control of
a number of additive genetic loci instead of a limited number with large effects.
MOOD STABILIZERS
The leading mood stabilizers include lithium and the anticonvulsants, such as val-
proate, carbamazepine, and lamotrigine. Lithium has been a remarkably successful
drug, but its introduction into psychiatry has had a complicated and somewhat contro-
versial history.150 Its use in practice dates back to the mid-nineteenth century, but it
was not until the 1970s that it was finally approved in the United States for the treat-
ment and prophylaxis of mania. Considerable evidence has accumulated since then
about the positive benefits of lithium,151 yet it lacks universal effectiveness and can
provoke side effects, such as hand tremor, frequent urination, and weight gain.
Despite the benefits and relatively cheap cost of lithium, its use has been steadily
eclipsed over the past couple decades by the introduction of the anticonvulsants.152
The comparative safety and efficacy of lithium versus the rival anticonvulsants,
however, remains a matter of debate.153

There is a relative dearth of pharmacogenetic studies of mood stabilizers. Some 36
candidate gene studies have been reported.154–189 Almost all of these examined
lithium. With few exceptions, the studies were based on samples of whites with
exceedingly small numbers (median 5 111), and in most cases they relied on
retrospective characterization of response to lithium. One genome-wide association

study of lithium responsiveness was recently reported.190 Table 2 provides a descrip-
tion of the genome-wide association study of treatment response to mood stabilizers.
Pharmacodynamic Studies
As far as the authors are aware, no pharmacogenetic studies have been reported on
the pharmacokinetics of mood stabilizers. Published studies have instead concen-
trated on pharmacodynamic factors. Although the mechanisms of action of lithium
and the other anticonvulsant mood stabilizers are not completely known, there are
two leading hypotheses. The first involves the phosphoinositide pathway and has
been referred to as the ‘‘inositol depletion hypothesis.’’191 It posits that lithium, and
perhaps valproate and carbamazepine,192 inhibit the activity of two enzymes, inositol
monophosphatase and inositol-polyphosphate 1-polyphosphatase, which causes
a reduction in the amount of free inositol available for the regeneration of phosphati-
dylinositol 4,5-bisphosphate (PIP2). PIP2 is a substrate needed for the generation of
important intracellular signaling molecules, inositol 1,4,5-triphosphate (IP3) and diac-
ylglycerol by activation of the enzyme G-protein-coupled phospholipase C. IP3 medi-
ates Ca12 release from intracellular stores and mediates a range of signaling
pathways. Both Ca12 and diacylglycerol further stimulate protein kinase C, which is
also a component of other signaling pathways. There have been at least seven
studies156,157,159,167,169,179,181 on the relationship between variation in genes coding
for key enzymes in this pathway and treatment response to lithium, but the findings
have been largely inconclusive.
The leading alternative hypothesis for lithium’s mechanism of action is its effects on
cell survival through the inhibition of GSK3b.193 Lithium acts in the same manner as the
Wnt pathway to inhibit GSK3b, leading to the translocation of b-catenin to the cell
nucleus where it becomes part of complexes that regulate the transcription of genetic
components involved in cell survival.194,195 It has been shown that valproate may have
similar effects.196 Motivated by these considerations, several pharmacogenetic
studies of GSK3b175,176 have been reported, again with mixed findings.
There has also been interest in examining some of the usual suspects in
psychiatric genetics, such as MAOA, COMT, 5HTT, TPH1, and
BDNF.161,163,168,170,173,174,177,179,182,184 As yet, there remains no conclusive evidence that
variation in any of these genes influences treatment response to mood stabilizers.
Genome-wide Studies
One genome-wide association study of lithium response has been reported.190 In this
prospective study from STEP-BD, the associations between 1.4 million genotyped
and imputed SNPs and the risk of mood disorder recurrence were examined among
Table 2
Genome-wide association studies of treatment responses to mood stabilizers
Author Sample
(Year) Drug Genes Outcome Size Key Findings
Perlis (2009) Lithium (alone Affymetrix Efficacy 458 Suggestive
or in 500K (recurrence) associations
combination with GRIA2,
with other SDC2, ODZ4
psychotropic
medications)
188 Zandi & Judy
1177 patients with bipolar disorder, including 458 who were treated with lithium alone
or in combination with other psychotropic medications. SNPs found to be associated
at the threshold of P<5 10 4 were examined in a replication sample from the Univer-
sity College London in which 359 patients with bipolar disorder were retrospectively
assessed for lithium response. These SNPs were also tested to determine if their asso-
ciation with recurrence was specific to treatment lithium in the STEP-BD cohort. None
of the SNPs tested in the STEP-BD cohort met genome-wide significant criteria for
association. A total of 140 SNPs were carried forward for replication, however, and
of these nine were significant in the University College London sample at P<.05. Of
these, five had the same direction of effect as in the STEP-BD cohort, and three dis-
played associations that were specific to lithium treatment. The latter three SNPs point
to associations with GRIA2, which has been found to be downregulated by chronic
lithium treatment in a human neuronal cell line197,198; SDC2, which codes for a cell-
surface proteoglycan that may play a role in dendritic spine formation in the
hippocampus197; and ODZ4, which has been implicated in brain patterning.199 These
findings implicate novel candidate genes for lithium response that merit further inves-
tigation, but more generally they suggest there are few if any genes with large effects
on lithium response and, instead, as with other complex traits, multiple loci may be
involved.
ANTIPSYCHOTICS
The first generation of antipsychotics (FGAs), including the phenothiazine derivates,

such as chlorpromazine, dates back to the 1950s. Their introduction was responsible
for large decreases in psychiatric inpatient populations.200 Because of side effects,
however, such as extrapyramidal symptoms including parkinsonism, akathisia, and
tardive dyskinesia (TD), their appeal was limited. In the 1990s a second generation
of antipsychotics (SGAs) with a more diverse mechanism of action that targeted
various serotonin and dopamine receptors was developed. The first of these, cloza-
pine, has been shown to be effective against treatment-resistant schizophrenia,201
but it is also associated with life-threatening agranulocytosis. Several other SGAs,
such as risperidone, olanzapine, and quetiapine, have since been introduced. The
conventional notion is that compared with FGAs these so-called ‘‘atypical antipsy-
chotics’’ have better safety profiles and greater efficacy, particularly against the nega-
tive symptoms of schizophrenia.200 A recent meta-analysis suggested, however, that
only a few are actually more effective at reducing symptoms and have less tendency
for inducing extrapyramidal symptoms.202 SGAs are also associated with notable
adverse effects of their own, such as weight gain, diabetes, metabolic syndrome,
and sedation.203

At least 273 pharmacogenetic studies of candidate genes and antipsychotic treatment
response have been published.204–476 Most of these studies examined the use of multiple
antipsychotics, although FGAs were typically considered separately from SGAs. Approx-
imately 40% of the studies examined only one antipsychotic, with clozapine being the
most widely studied, followed by olanzapine and risperidone. The outcomes of interest
were split evenly between efficacy and side effects. Among the latter, TD and weight
gain were most commonly studied, with a subset of studies focused on agranulocytosis
associated with clozapine. Just over half the studies were on samples of whites, whereas
the rest were mostly of Chinese, Japanese, or Korean samples. As with the pharmacoge-
netic studies of antidepressants and mood stabilizers, the sample sizes were generally
small with a median of 115, not counting four reports398,403,441,442 from the CATIE trial,
which each included approximately 700 patients. Five genome-wide association studies
of antipsychotic treatment response have been published.477–481 Table 3 provides
a description of candidate genes studies from CATIE and genome-wide association
studies of treatment responses to antipsychotics.
Table 3
Candidate gene studies from CATIE and genome-wide association studies of treatment
responses to antipsychotics
Sample Key
Author (Year) Drug Genes Outcome Size Findings
Candidate gene studies from CATIE
Grossman CATIEa CYP2D6, Optimized 750 No associations
(2008) CYP1A2, dose
CYP2C8, Treatment
CYP2C9, stop because
CYP2C19, of side
CYP1A4, effects
CYP3A5, Tardive
CYP3A4, dyskinesia
ABCB1,
FMO3,
UGT1A4
Campbell (2008) CATIEa RGS4 Efficacy 678 Suggestive
association
Need (2009) CATIEa 118 genes 21 phenotypes 756 Multiple
suggestive
associations
Tsai CATIEa 128 genes Tardive 710 No associations
(2009) dyskinesia
Genome-wide association studies
McClay CATIEa Affymetrix Efficacy 738 Significant
(2009) 500K association
in 4p15
Alkelai CATIEa Affymetrix Antipsychotic- 397 Suggesitve
(2009) 500K plus induced associations
custom parkinsonism in EPF1,
164K NOVA1,
fill-in chip FIGN
Aberg CATIEa Affymetrix Extrapyramidal 738 Significant
(2009) 500K side effects associations
in 11q24 and
ZNF202
Lavedan Iloperidone Affymetrix Efficacy 426 Suggestive
(2009) 500K association
with NPAS3
Volpi Iloperidone Affymetrix QT interval 183 Suggestive
(2009) 500K prolongation association
with CERKL
and SLCO3A1
a
In CATIE, patients were treated with up to five different antipsychotics: olanzapine, quetiapine,
risperidone, ziprasidone, and perphenazine.
190 Zandi & Judy
Pharmacokinetics
Just as they do with antidepressants, the CYP450 enzymes play a leading role
in the pharmacokinetics of antipsychotics. Along with CYP2D6, CYP1A2,
CYP3A4, and CYP3A5 are the key enzymes responsible for metabolizing most
commonly used antipsychotics.482 A number of studies205,222,232,236,245,260,262,270,
271,281,292,294,310,311,324,331,341,342,348,367,377,388,389,404,420,451,459,461,463
have examined
the association between variants in the genes coding for these enzymes and antipsy-
chotic response. Most of these have studied adverse effects, and in particular TD. A
meta-analysis483 of studies on TD provided evidence of an increased risk with loss of
function alleles in CYP2D6. Further analysis suggested, however, that publication bias
could not be entirely ruled out. In addition, a recent report398 from the CATIE trial in
which a number of variants across the key CYP450 genes, and several other Phase
II and transporter genes, were examined found no strong associations with dosing,
safety, or efficacy of the antipsychotic treatments used in the trial.
Pharmacodynamics
Dysregulation of the dopaminergic system was among the first pathological findings
observed in schizophrenia, and dopamine inhibition is a common feature of most anti-
psychotics, particularly the FGAs. Evidence suggests that dopamine antagonism may
be required for antipsychotic activity, with positron emission tomography studies
showing that a certain level of blockade of dopaminergic receptors in the striatrum
is needed to sustain a therapeutic effect, whereas excess blockade can lead to extra-
pyramidal side effects.484–486 There are five subtypes of dopamine receptors (D1–D5),
and of these D2 and D3 are the most widely implicated in pharmacogenetic studies of
antipsychotics.
Three polymorphisms in DRD2, which encodes the D2 receptor, have received the
greatest attention. These include the Taq1A polymorphism, which is located approx-
imately 10 kb from the 3’ end of the gene and has no known functional effect; the -141-
C Ins/Del polymorphism in the promoter region, which has been associated with lower
expression of the D2 receptor in vitro487 and higher D2 density in the striatum in
vivo488; and Ser311Cys, a relatively common coding polymorphism that has been
shown to reduce signal transduction by the receptor.489 At least 14
studies250,261,265,273,306,330,345,349,351,390,392,411,420,421 have examined the relationship
between DRD2 polymorphisms and efficacy of both FGAs and SGAs, whereas 20
studies243,255,259,264,274,278,289,293,295,300,352,372,375,382,395,401,421,422,444,452 have inves-
tigated adverse effects, including TD, weight gain, and neuromalignant syndrome.
In a recent meta-analysis490 of four different genes and TD, a significant association
was found with the Taq1A polymorphism in DRD2.
The DRD3 gene, which has also been extensively studied, contains a Ser9Gly poly-
morphism that has been shown in vitro to influence dopamine binding affinity.491
Several studies have examined the association between this polymorphism and effi-
cacy227,238,250,284,316,334,339,400,418,420,439,446,449 and adverse effects like
TD.211,215,223,228,237,242,244,252,257,278,286,375,401,416,443,452,473,492 A mega-analysis of
combined data from several studies on 780 patients276 suggested the Gly9 allele
conferred a small, but significant, increase in risk of TD. This finding was corroborated
by a later meta-analysis,492 which suggested the association was stronger in non-
Asian versus Asian populations.
The serotonergic system has also been implicated in treatment responses to anti-
psychotics. SGAs in particular display high affinities for serotonin receptors, which
have been hypothesized to mediate, at least partially, their therapeutic action.493,494
Seven distinct families of serotonin receptors have been identified (5HT1–5HT7).495 Of

greatest interest is the 5HT2 receptor family, especially 5-HT2A and 5-HT2C. Several
polymorphisms in both 5HT2A (-1438-G/A and 102-T/C in the promoter and His425Tyr
in the coding region) and 5HT2C (a VNTR, -759-T/C, and -995-G/A in the promoter and
Cys23Ser in the coding region) have been investigated in multiple studies of treatment
response and adverse effects.204,206,210,212,214,218,220,225,226,230,246,248,249,263,266,268,
269,275,280,283,285,288,290,297,308,320,327,329,336,365,367,370,375,384,385,387,401,402,409,413,418,429,
430,443,445,448,453,456,468,473
Several meta-analyses of these studies have been con-
ducted including one showing an association between the 102-T/C and His425Tyr
polymorphisms in 5HT2A and treatment response to clozpaine,496 a second showing
an association between the 102-T/C polymorphism in 5HT2A and TD,497 and a third
showing an association between the -759C/T polymorphism in 5HT2C and weight
gain.498
A number of other genes have been investigated in relation to antipsychotic
responses. These studies have been motivated by various hypotheses about the
mechanisms of action of antipsychotics, such as the role of the glutamatergic system
or neuronal genesis and plasticity.482 In addition, several pharmacogenetic studies
from the CATIE trial have examined a range of candidate genes with inconclusive
results.441,442
Genome-wide Studies
Five genome-wide association studies of antipsychotic treatment response have been
reported in the literature.477–481 Three of these came from the CATIE trial in which
patients with schizophrenia were randomized to treatment with either a SGA (olanza-
pine, quetiapine, risperidone, or ziprasidone) or a FGA (perphenazine). The first
study477 tested for genome-wide predictors of efficacy among 738 patients geno-
typed using the Affymetrix 500K genotyping platform supplemented with a custom
164K chip to improve genome-wide coverage. Efficacy was measured by changes
over time in positive and negative symptom scores. Because the patients were al-
lowed to switch among treatments because of lack of efficacy or tolerability, associ-
ations were examined relative to the first drug to which the patient was randomized.
Only one finding, in an intergenic region on chromosome 4p15, reached the prespe-
cified threshold for genome-wide significance. Two other findings were close to this
threshold in ANKS1B and CNTNAP5, which were found to mediate negative symptom
response to olanzapine and risperidone, respectively.
The two other studies478,479 from CATIE were partially overlapping. The more inclu-
sive study479 examined symptoms of parkinsonism, akathasia, and abnormal involun-
tary movements among the 738 patients included in the efficacy study described
previously. Three findings met genome-wide significance in novel regions that have
not been previously implicated in the pharmacogenetics of extrapyramidal symptoms.
Two were located in an intergenic region on chromosome 11q24, and the other was in
ZNF202, which is a transcriptional repressor controlling PLP1, a major component of
myelin.
The remaining two genome-wide association studies480,481 came from a Phase 3
randomized trial of iloperidone, an investigational new drug for the treatment of
schizophrenia from Vanda Pharmaceuticals. The 28-day trial was double-blinded
and placebo- and ziprasidone-controlled. In the first study,480 genome-wide associa-
tions with efficacy were examined. A total of 426 patients genotyped on the Affymetrix
500K platform were included, including 218 on iloperidone, 103 on active comparator,
and 103 on placebo. The outcome was change from baseline to last scheduled obser-
vation in positive and negative total symptom scores. Three complimentary analyses
192 Zandi & Judy
were performed, and six loci were identified with consistent findings across these
analyses. The single best finding was in NPAS3, a gene that circumstantial evidence
has previously implicated in schizophrenia. In the second study,481 genome-wide
associations with QT interval prolongation, a potentially life-threatening side effect
of treatment with iloperidone and other antipsychotics, were examined. A total of
183 patients on iloperidone treatment with QT interval measurements at day 14 of
the trial were included in this analysis. The top findings implicated two genes in partic-
ular, CERKL and SLC03A1, with plausible roles in this adverse effect. CERKL is
thought to be part of the ceramide pathway, which regulates currents conducted by
various potassium channels including the hERG channel, which when inhibited can
prolong the QT interval. SLC03A1 plays a role in translocation of prostaglandins, which
may have cardioprotective effects.
PHARMACOGENETICS IN CLINICAL PRACTICE
Only one pharmacogenetics test has been approved by the Food and Drug Adminis-
tration (FDA) for clinical use in psychiatry.140 This is the AmpliChip CYP450 Test mar-
keted by Roche Molecular Systems. It uses Affymetrix microarray-based genotyping
technology with more than 15,000 oligonucleotide probes to assay for 20 CYP2D6
alleles, 7 CYP2D6 duplications, and 3 CYP2C19 alleles. The test includes software
with an algorithm to predict CYP2D6 and CYP2C19 phenotypes (ie, PM, IM, EM,
and UM) based on the identified alleles.
The intended use of the chip cleared by the FDA is very general and does not refer to
any specific drug. Instead, it states that information about the two CYP450 genes as-
sayed, ‘‘may be used as an aid to clinicians in determining therapeutic strategy and
treatment dose for therapeutics that are metabolized’’ by-products of these genes.499
Consequently, the FDA cleared the Roche AmpliChip without clinical studies demon-
strating that it is actually beneficial for selection or dosing of any psychotropic medi-
cation, despite the fact that it has been marketed, often direct-to-consumer, for use
with these medications, especially the SSRIs.500 This is consistent with the FDA’s
approach to other diagnostic devices, such as MRIs, where it has left demonstration
of clinical benefit to clinicians and payers.
The Centers for Disease Control and Prevention commissioned an independent
panel to examine the analytic validity, clinical validity, and clinical use of CYP450 gen-
otyping when prescribing SSRI antidepressants.501 These three key characteristics of
a pharmacogenetics test are defined, respectively, as the ability to (1) detect different
alleles accurately, (2) predict clinically meaningful outcomes, and (3) provide informa-
tion that improves the risk/benefit ratio of clinical treatment. In their review, the inde-
pendent panel determined there was strong evidence for the analytic validity of
CYP450 genotyping, but only marginal evidence for its clinical validity and almost
no evidence for its clinical use.141 The independent panel concluded501 there was,
‘‘insufficient evidence to support a recommendation for or against use of CYP450
testing in adults beginning SSRI treatment,’’ and further noted that, ‘‘in the absence
of supporting evidence, and with consideration of other contextual issues, EGAPP
discourages use of CYP450 testing for patients beginning SSRI treatment until further
clinical trials are completed.’’
In addition to regulating pharmacogenetic tests, the FDA also oversees the incorpo-
ration of information about relevant pharmacogenetic biomarkers into the drug labels.
Biomarkers are defined as characteristics that can be objectively measured and eval-
uated as indicators of normal biological processes, pathogenic processes, or pharma-
cologic responses to a therapeutic intervention.502 Genetic variants associated with
therapeutic responses to a pharmacological agent are pharmacogenetics biomarkers.

The FDA collects information on pharmacogenetic biomarkers and their analytic val-
idity, clinical validity, and clinical use from pharmaceutical companies during the
drug application process,503 and then incorporates this information into approved
drug labels as deemed appropriate.
In a recent survey504 of drug labels approved between 1945 and 2005, it was re-
ported that a total of 121 contained pharmacogenetic information. Of these, 69 labels
referred to human genomic biomarkers, and the remainder referred to microbial
genomic biomarkers. Of the labels referring to human genomic biomarkers, 43
(62%) pertained to polymorphisms in CYP450 genes, with CYP2D6 being the most
common. Approximately 17% of the labels were for psychiatric drugs. In most cases
the drug labels merely provided pharmacogenetic information. Only one label went
further and recommended, but did not require, a specific action before making a ther-
apeutic decision. This was for testing urea cycle enzyme deficiencies before
prescribing valproic acid. Although pharmacogenetic information has begun to pene-
trate into clinical practice, it has not yet had a meaningful impact on therapeutic deci-
sion making in psychiatry.
CHALLENGES TO CLINICAL TRANSLATION
Despite notable progress in research over the past decade, the promise of pharmaco-
genetics in psychiatry has not yet been fully realized. The biggest obstacle to trans-
lating the promise into reality is that there is still no clear understanding of how
genetic factors influence treatment response to psychotropic medications. The
studies performed to date suggest a number of intriguing hypotheses that merit further
investigation, but they do not point to any definitive associations that can be used with
confidence to predict how a patient responds to a particular treatment. The difficulty
with the pharmacogenetic associations thus far reported is the lack of consistent find-
ings. For every positive association, there are typically several negative studies that
cast doubt on the finding. As a result, it is difficult to draw firm conclusions about
the clinical relevance of any genes that may be implicated.
There are several reasons for the difficulty. First, treatment responses to psycho-
tropic medications are complex phenotypes. They may be as complex as the diseases
for which they are used to treat. Psychotropic medications may act on a number of
different molecular pathways to exert their therapeutic effect, and in turn they may
be acted on by a number of different molecular pathways in the process of their
absorption, distribution, and elimination. Consequently, multiple variants in distinct
and converging genetic pathways may independently and interactively contribute to
a particular drug response. In addition, multiple environmental factors may further
contribute to variability in the response. Demographic factors, diet, substance abuse,
smoking, concomitant treatments, and comorbidities may all affect the actions of
psychotropic drugs.505 For example, it has been shown that smoking induces
CYP450 activity and promotes the metabolism of substrate drugs,506,507 whereas
SSRIs are known to inhibit CYP450 activity and may disrupt the metabolism of other
concomitant medications.508 Treatment responses may be the sum of a number of
impinging genetic and environmental factors, making it difficult to identify any one
factor in isolation and to construct more complete models of the determinants of
drug response.
Second, it is particularly challenging to conduct appropriately designed pharmaco-
genetic studies that can illuminate the complex architecture of treatment responses.
The studies performed to date have had rather small sample sizes and short periods
194 Zandi & Judy
of follow-up, largely because it is costly and logistically challenging to ascertain and

prospectively evaluate patients in such studies. Even the largest studies that have
been reported are significantly underpowered to detect genes with effect sizes likely
involved in treatment responses. To address this issue, efforts have been made to
combine data across studies in meta- or mega-analyses. Although this can be a useful
strategy, existing studies frequently differ so considerably in design, patient popula-
tions, and outcome measures that it raises serious questions about the comparability
of results across studies. Finally, to complicate matters, within each study patients
often take multiple medications and have erratic patterns of adherence. As a result,
the responses to any one drug during follow-up may be hopelessly obscured. Clearly,
new approaches are needed to overcome these limitations to further advance the
goals of pharmacogenetics.
SUMMARY
By personalizing treatments to psychotropic medications, pharmacogenetics holds

great promise to dramatically improve care in psychiatry. The genomics revolution
has provided an unprecedented set of tools to pursue the goal of pharmacogenetics.
As reviewed here, a great deal of work has begun to use these tools to unravel the
complex pharmacogenetic underpinnings of treatment responses. Although consider-
able progress has been made, much work remains to be done. It seems this is only the
end of the beginning of a long venture.
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T h e P ro m i s e a n d Re a l i t y

The primary means of treating mental illnesses is with an arsenal of psychotropic

Psychiatr Clin N Am 33 (2010) 181–224

antidepressants that followed expert consensus guidelines, up to 75% experienced

Overview of Pharmacogenetic Studies

Author (Year) Drug Genes Outcome Sample Size Key Findings

Abbreviation: SNP, single nucleotide polymorphism.

on this characterization.140 At least 13 different studies have examined the relationship

Overview of Pharmacogenetic Studies

retrospective characterization of response to lithium. One genome-wide association

The first generation of antipsychotics (FGAs), including the phenothiazine derivates,

Overview of Pharmacogenetic Studies

Seven distinct families of serotonin receptors have been identified (5HT1–5HT7).495 Of

PHARMACOGENETICS IN CLINICAL PRACTICE

therapeutic responses to a pharmacological agent are pharmacogenetics biomarkers.

CHALLENGES TO CLINICAL TRANSLATION

of follow-up, largely because it is costly and logistically challenging to ascertain and

By personalizing treatments to psychotropic medications, pharmacogenetics holds

1. Liu-Seifert H, Adams DH, Kinon BJ. Discontinuation of treatment of schizo-

SSRI-associated sexual side-effects. Neuropsychopharmacology 2006;31:

94. Kronenberg S, Apter A, Brent D, et al. Serotonin transporter polymorphism

126. Kato M, Fukuda T, Wakeno M, et al. Effect of 5-HT1A gene polymorphisms on

145. Serretti A, Kato M, De RD, et al. Meta-analysis of serotonin transporter gene

203. Sharif Z. Side effects as influencers of treatment outcome. J Clin Psychiatry

240. Kaiser R, Konneker M, Henneken M, et al. Dopamine D4 receptor 48-bp repeat

the schizoparanoid and residual subtypes of schizophrenia. Mol Psychiatry

339. Reynolds GP, Yao Z, Zhang X, et al. Pharmacogenetics of treatment in first-episode

371. Dettling M, Cascorbi I, Opgen-Rhein C, et al. Clozapine-induced agranulocy-

Results from treatment responses to risperidone in a naturalistic setting. Hum

451. Du J, Zhang A, Wang L, et al. Relationship between response to risperidone,

467. Mossner R, Schuhmacher A, Kuhn KU, et al. Functional serotonin 1A receptor

501. Evaluation of Genomic Applications in Practice and Prevention (EGAPP)

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