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Surface Modification and Local Orientations of Surface Molecules in Nanoth-erapeutics
Md. Lutful Amin, Jae Yeon Joo, Dong Kee Yi, Seong Soo A. An
PII: S0168-3659(15)00235-7DOI: doi: 10.1016/j.jconrel.2015.04.017Reference: COREL 7638
To appear in: Journal of Controlled Release
Received date: 25 December 2014Revised date: 9 April 2015Accepted date: 12 April 2015
Please cite this article as: Md. Lutful Amin, Jae Yeon Joo, Dong Kee Yi, Seong Soo A.An, Surface Modication and Local Orientations of Surface Molecules in Nanotherapeu-tics, Journal of Controlled Release (2015), doi: 10.1016/j.jconrel.2015.04.017
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Surface Modification and Local Orientations of Surface
Molecules in Nanotherapeutics
(REVISED VERSION II)
Ms. Ref. No.: JCR-D-14-01819
Md. Lutful Aminad, Jae Yeon Jooa, Dong Kee Yibc*, Seong Soo A. Ana**
aDepartment of BioNano Technology, Gachon University, Gyeonggi-do, Republic of Korea.
bDepartment of Chemistry, Myongji University, Yongin, Gyeonggi-do, Republic of Korea.
cDepartment of Energy and Biotechnology, Myongji University
dDepartment of Pharmacy, Stamford University Bangladesh
* Corresponding author at: Department of Chemistry, Myongji University, 116 Myongji-ro,
Cheoin-gu, Yongin, Gyeonggi-do 449 728, Republic of Korea, Tel: +82 31 330 6178, Email:
[email protected]; [email protected]
** Corresponding author at: Department of BioNano Technology, Gachon University, 1342
Seongnamdaero, Sujeong-gu, Seongnam, Gyeonggi-do 461 701; Republic of Korea, Tel: +82
31 750 8981, Email: [email protected]; [email protected]
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ABSTRACT
Nanotechnology has emerged as a powerful tool for various therapeutic applications, solving
many difficulties in both diagnosis and treatment. However, many obstacles in complex
biological systems have impeded the successful application of therapeutic nanoparticles, and
fine-tuning nanoparticle properties has become extremely important in developing highly
effective nanomedicines. To this end, particles have been engineered in various ways, with a
special emphasis on surface modifications. The nanoparticle surface contacts the biological
environment, and is a crucial determinant of the response. Thus, surface coating, surface charge,
conjugated molecules, shape, and topography have enormous impacts on the total behavior of
nanoparticles, including their biodistribution, stability, target localization, cellular interaction,
uptake, drug release, and toxicity. Hence, engineering of the particle surface would provide
wider dimensions of control for the specific and precise functions in the development of smart
nanomedicines. Moreover, local orientation of nanoparticles in vivo and orientations of surface
molecules are critical for their efficacy. Herein, we analyze surface functionalities, focusing on
their mechanisms and respective advantages, and summarize results of surface engineering and
renovating applications of nanoparticles.
Keywords: targeting strategy, surface engineering, surface orientation, surface topography, drug
delivery, nanotoxicity.
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1. INTRODUCTION
The emergence of nanotechnology in medical science has improved drug delivery systems in
terms of solubility, membrane permeability, drug targeting, and controlled release [1,2]. Over the
last few decades, development of therapeutic nanocarriers has become an important area of
research, as they can improve the delivery of active molecules to the target site and overcome
biological barriers [1,3]. In complex biological systems, nanomedicines have faced obstacles
such as rapid clearance, lack of proper interaction, nonspecific targeting, inability to enter
targeted cells and the core of tissues, and uncontrolled drug release [4,5]. Several investigations
have found that nanoparticle surfaces greatly impact their performance [6,7]. Because
nanoparticle surfaces come in contact with biological systems, surface characteristics determine
how the nanoparticles will behave in vivo and the overall effectiveness of the particles, including
stability, cellular interaction, uptake, drug delivery, and toxicity [4,6,8,9]. Therefore, engineering
of the particle surface provides another dimension of control for specifically tailoring the
functions and developing smart nanoparticles.
Nanoparticle surfaces have been engineered in various ways for specific functions depending on
the intended therapeutic use. Surface modifications such as attachment of bioactive and
penetrating molecules, use of stimulus-responsive materials, surface coating, and modification of
surface charge, texture, and shape allow nanoparticles to serve as smart devices that interact
selectively with targeted cells, enter the core of tissues, and release drugs at a controlled rate,
escaping from body clearance [4,10]. Surface modification with hydrophilic biocompatible
polymers increases the circulation time and delays the removal of nanoparticles by the
mononuclear phagocyte system (MPS), preventing rapid clearance prior to reaching the targeted
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tissue and delivering drugs [11,12]. The surface charge of nanoparticles has been modified
according to the charge of the target cells or tissues to increase cellular interaction and
internalization [13]. Conjugating active molecules on the surface of nanoparticles converts them
into guided vehicles that exhibit cell-specific targeted interactions and penetrate to the core of
the target tissue [1,14,15]. Attachment of specific penetrating peptides to nanoparticles is also
effective for enhancing cellular uptake [16]. Nanoparticle surfaces have been decorated with
stimulus-responsive materials to release drugs in response to various stimuli [17]. Importantly,
the orientation and alignment of surface molecules affect their functions and the overall
efficiency of nanomedicines [15,16]. In addition, modification of surface roughness and
nanoparticle shapes significantly affect cellular interactions and drug release [18], and
nanoparticle toxicity is related to surface properties, as variation in surface characteristics has
significantly lowered the level of toxicity [19,20]. Combining these properties has allowed
development of intelligent nanoparticles to meet delivery and therapeutic objectives [21].
Surface engineering thus has become a major tool to address the particular challenges of
nanotherapeutics. Studies have shown how surface engineered nanoparticles can efficiently
overcome the limitations of other delivery systems [22]. Nowadays, proper surface
functionalization has become a prerequisite for effective application of nanoparticles [23]. In this
review, we focus on different surface characteristics of nanoparticles and discuss conventional
and newer functionalities that have been discovered to increase the efficiency of nanoparticles.
We further review the effect of surface molecule and nanoparticle orientations on function.
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2. SURFACE MODIFICATION FOR ENHANCED STABILITY OF
NANOPARTICLES
Surface properties play the most important role for nanoparticle stability in blood circulation.
Conventional nanoparticles with unmodified surfaces are unstable and rapidly cleared by the
MPS before reaching the target tissue. Nanoparticles are recognized by the immune system
through opsonization, a process by which a particle becomes covered with opsonin proteins,
making it more visible to the MPS (liver, spleen, lungs, and bone marrow), and thereby
increasing clearance [24]. Different functional groups on nanoparticle surfaces are the primary
determinants of stability [24,25]. Usually, the degree of hydrophobicity determines the extent of
opsonin binding: a high level of hydrophilicity is associated with lower opsonin binding and
higher stability of nanoparticles in blood circulation, whereas hydrophobic surfaces induce
nanoparticle aggregation through hydrophobic interactions and minimize surface energy, which
can trigger opsonization and rapid elimination [26].
The stability of nanoparticles in blood has been increased by surface modification. The surface
has been coated with biocompatible hydrophilic polymers/surfactants or copolymers with
hydrophilic properties. Hydrophilic polymers on the surface of the nanoparticles repel other
molecules by steric effects. Thus, nanoparticles are not covered with opsonin proteins and are
protected from rapid clearance [27]. Widely used surface-coating materials for prolonging the
circulation time include polyethylene glycol (PEG), polyethylene oxide (PEO),
polyvinylpyrrolidone (PVP), polyacrylic acid, dextran, poloxamer, poloxamine, and polysorbate
(Tween-80). PEG is the most widely used material and has efficiently enhanced the stability of
nanoparticles in many studies [26,27,28].
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In addition to the density of the polymer on the nanoparticle surface, polymer conformation
plays a significant role in determining stability [27]. PEG molecules with brush-like
configurations on the surface of nanoparticles reduce phagocytosis and complement activation,
whereas mushroom-like structures of PEG are potent complement activators and favor
phagocytosis [11,29]. Polymer conformation is described using the Flory radius, F (Eq. 1), which
is determined by the number of monomers per polymer chain, n, and the length of one monomer,
, in Angstroms ( = 3.5 for PEG). Hence, F increases with increasing molecular weight of
PEG. Polymers that are less densely grafted to the nanoparticle surface form mushroom-like
structures wherein the mean distance between each grafting site is larger than the polymer size
(Flory radius); thus, the individual polymer chains remain separated without interacting. When
the mean distance is decreased and F is increased, each polymer chain overlaps, resulting in
higher grafting density and polymer interaction. It forms a brush like conformation PEG,
extending from the NP surface [30]. Brush-like PEG chains on the surface establish a
hydrophilic lining that prevents attachment of molecules to the nanoparticles [31]. PEG densities
below 9% on the surface of nanoparticles form a mushroom-like structure, and those above 9%
form a more rigid, brush-like morphology [32]. Larger nanoparticles can be coated with smaller
lengths of PEG (3,40010,000 monomers) because increases in hydrodynamic radius can shorten
the half-life [33].
Equation 1:
F = n3/5 -------------------------------------------------------------------------------------------------- (1)
Superparamagnetic iron oxide nanoparticles (45 nm) were coated with 2030 dextran chains in
a brush-like conformation, which reduced the rapid clearance of the nanoparticles from the
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bloodstream with a prolonged half-life (t1/2) of 34 h [34]. Figure 1 illustrates the effect of PEG
density on serum exposure and macrophage uptake. Neutral functional groups on nanoparticle
surfaces provide excellent protection from opsonization, whereas charged functional groups are
responsible for active nanoparticle interaction with target cells [35,36]. A zwitterionic copolymer
showed excellent shielding of nanoparticles in blood circulation and maximized their interactions
with target tissue. Yuan et al. developed a zwitterionic polymer-based nanoparticle for enhanced
drug delivery to tumors. The nanoparticles were neutrally charged at physiological conditions
and thus showed a prolonged circulation time (t1/2 24.05 h in a three-compartment
pharmacokinetic model). After leaking into the tumor, the nanoparticles became positively
charged in the acidic extracellular environment, and were efficiently taken up by tumor cells
[35]. In our previous study, we modified silica nanoparticles with a PEG-conjugated
polyethyleneimine copolymer, and studied the biodistribution profile by ICP-MS and
fluorescence imaging. The observed biodistribution indicated that the particles were retained for
a long time, and efficiently entered A549 lung cancer cells [37].
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Figure 1. Influence of PEG density on serum protein adsorption to gold nanoparticles and their
subsequent uptake by macrophages. (Adapted with permission from C.D. Walkey, J.B. Olsen, H.
Guo, A. Emili, W.C. Chan. Nanoparticle size and surface chemistry determine serum protein
adsorption and macrophage uptake. J. Am. Chem. Soc. 134 (2012) 2139-2147. Copyright (2012)
American Chemical Society.)
Although hydrophilic materials on the surface of nanoparticles prevent them from being
opsonized, hydrophobic characteristics are often required for purposes such as controlled release
and increasing membrane permeability and cellular uptake [38]. Amphiphilic copolymers with
both hydrophilic and hydrophobic residues have shown promising results addressing these
issues. The hydrophobic part interacts with the hydrophobic core, whereas the hydrophilic part
remains outside to protect the nanoparticles from opsonization. Subtle Change in the degree of
surface hydrophilicity and hydrophobicity has also shown substantial effect on circulation and
uptake. [38,39]. Block copolymers have been popular for designing nanomaterials, incorporating
desired properties of several polymers [40]. Novel amphiphilic triblock copolymers consisting of
PEG as the hydrophilic segment and poly(-caprolactone) as the hydrophobic block were used
successfully to encapsulate the poorly water-soluble anticancer drug 4 -demethyl-
epipodophyllotoxin via hydrophobic interactions, resulting in controlled drug release [41].
3. SURFACE CHARGE AND CELLULAR INTERACTIONS
Because cell membranes are charged, nanoparticle surface charge plays a major role in active
cell interaction and cellular uptake. Neutral and negatively charged nanoparticles show lower
levels of internalization than positively charged particles because of the negative charge of the
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cell membrane [35]. Several cationic polymers such as poly(L-lysine) (PLL), poly(ethylenimine)
(PEI), chitosan, and diethylaminoethyl-dextran (DEAE-DEX) have been used successfully for
cellular uptake. PEI bears the highest density of charged groups on its surface and greatly
increases membrane permeability, as reported in several studies [42-46].
Cationic particles bind to negatively charged groups on the cell surface (e.g., sialic acid) and
translocate across the plasma membrane [43]. The amount of positive charge is correlated with
cellular internalization. Clathrin-dependent endocytosis occurs at lower charge density, whereas
strongly charged surface coatings bypass typical uptake mechanisms in certain cells [13]. When
the endocytic pathway is inhibited, compensatory endocytosis causes higher internalization of
cationic particles [47]. Among cationic polymers that do not possess fusogenic activity, some
can disrupt endosomal membranes through their buffering capacity [48]. Moreover, plasma
proteins can bind to the cationic surface of nanoparticles and increase cellular uptake [49].
Depolarization of the plasma membrane and formation of holes in lipid bilayers by cationic
nanoparticles is common regardless of the shape, chemical composition, deformability, charge
density, or size of the particles [50]. Positively charged nanoparticles are also effective in
mucosal drug delivery. Nanoparticles coated with chitosan or hyaluronic acid showed increased
in vivo association to gastrointestinal tract mucosae, nasal mucosae, and the cornea [48].
Efficient uptake of cross-linked chitosan nanoparticles (e.g., particles having a zeta potential of
+15 to +30 mV) by Caco-2 cells has been reported in several studies [51]. Positively charged
nanoparticles have also shown increased penetration through the skin [52,53].
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Despite these findings showing greater interactions, a positively charged surface is not a
prerequisite for efficient endocytosis. Neutral or negatively charged nanoparticles also show
efficient cellular uptake, especially when conjugated with targeting ligands. There is also
evidence of internalization of negatively charged particles without targeting ligand. Nonspecific
binding and clustering of the particles on the few cationic sites on the plasma membrane are
believed to be responsible for their internalization [47,54,55]. Oligonucleotide-modified gold
nanoparticles were examined for cellular uptake and were readily taken up by mouse endothelial
cells even with negative surface charge [56]. Further study revealed the adsorption of serum
proteins on the surface of the nanoparticles through electrostatic and hydrophobic interactions,
which allowed them to interface with the cell membrane [56,57]. The possible role of
nanoparticle surface charge on entry through the apical plasma membrane (facing the external
environment) was investigated. Both cationic and anionic nanoparticles were targeted mainly to
the clathrin endocytic pathway. A few nanoparticles (both positive and negative) were thought to
be internalized through a macropinocytosis-dependent pathway. Many nanoparticles
transcytosed and accumulated at the basolateral membrane, and some anionic nanoparticles
transited through the degradative lysosomal pathway. It was therefore suggested that cationic
nanoparticles may be promising carriers for transcytosing drugs [58].
Cationic nanoparticles have been found to cross the blood-brain barrier (BBB) to a greater
extent, resulting in increased brain penetration [59]. However, highly cationic and anionic
nanoparticles were found to cause charge mediated disruption of the BBB. Neutral and slightly
negative NPs were more effective in delivering therapeutics in brain, maintaining the integrity of
BBB [60].
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4. CELL TARGETING LIGAND ON THE SURFACE OF
NANOPARTICLE
Targeting molecules are the major components in active tissue targeting. Specific targeting
moieties can be conjugated to the surface of a core particle that recognizes the unique surface
properties of the targeted cells. Molecular interactions between nanoparticle and cell surfaces are
based on ligand-receptor binding theory [61]. Targeting agent-linked nanoparticles are
internalized through the pathway utilized by the unconjugated ligand, and the higher
concentrations of targeting agents on nanoparticle surfaces cause stronger cell interactions
compared to those observed with the ligand alone [40]. Figure 2 depicts a comparison of cellular
uptake among nanoparticles conjugated to a targeting moiety, PEGylated nanoparticles, and
unconjugated nanoparticles. It shows a high cellular uptake of folate-conjugated nanoparticles
and greater internalization of PEGylated particles than that observed with unmodified
nanoparticles because of increased circulation time. Various molecules such as folic acid, biotin,
transferrin, peptides, enzyme substrates, mono- or oligosaccharides (which specifically interact
with the membrane protein lectin), and antibodies have been successfully used as the targeting
moiety [62]. Table 1 summarizes some investigations of ligand-conjugated nanocarriers and their
extent of cellular uptake. In most of these studies, nanoparticles were successfully internalized
despite bearing negative surface charges. The uptake of particles was associated with the
targeting moiety rather than with the effect of surface charge. Successful uptake was also shown
for positively charged particles. These findings suggest that the surface charge of nanoparticles is
not significant when targeting moieties are conjugated.
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Figure 2. Confocal microscopic images of KB cells treated with (A) PLGA nanoparticles, (B)
functional PLGA nanoparticles (PLL-PEG coated), and (C) folate-conjugated nanoparticles.
(Adapted with permission from S.H. Kim, J.H. Jeong, K.W. Chun, T.G. Park. Target-specific
cellular uptake of PLGA nanoparticles coated with poly(l-lysine)-poly(ethylene glycol)-folate
conjugate. Langmuir 21 (2005) 88528857. Copyright (2012) American Chemical Society.)
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Table 1.
Different targeting moieties on nanoparticle surfaces and extent of their internalization.
Targeting
Moiety
Nanoparti
cle
Size
(nm)
Surface
Charge
(mV)
Targeted
Tissue
Result Conjugation
Method
Referen
ces
Folate
PLGA
Nanoparti
cles
108.9 -18.4 KB 6.7-fold
higher uptake
Covalent
Binding
(amide
linkage)
[63]
Iron
Oxide
Nanoparti
cles
60-80 -12.5 HeLa >3-fold
higher uptake
Covalent
Binding
(amide
linkage)
[64]
Transferri
n
PLGA
Nanoparti
cles
220 -8 PC3 3-fold higher
uptake
Linker
Chemistry
[65]
Biotin Gold
Nanoparti
cles
20-40 - HeLa,
A549,
MG63
>2-fold
higher uptake
Covalent
Binding
(amide
linkage)
[66]
Chitosan
Nanoparti
cles
165.3 +16.5 MCF-7
cells
>2-fold
higher uptake
Covalent
Binding
(amide
linkage)
[67]
Monoclo
nal
Antibody
PLGA
Nanoparti
cles
124.2 +12.0 MDA-
MB-231
cells
>2-fold
higher uptake
Covalent
Binding
(amide
[68]
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linkage)
RGD
Peptide
Albumin
Nanoparti
cles
130 -30.77 BxPC-3 >2-fold
higher uptake
(after 24 h)
Linker
Chemistry
[69]
Galactose Gold
Nanoparti
cles
50 -30 Hepatocy
te
16-fold
higher uptake
Au-S Binding [70]
Targeting moieties are attached to nanoparticles with longer chains so that they extend outside of
the dense polymer brush, thereby avoiding steric hindrance and enabling binding to the targeted
receptors [61,71]. However, increased ligand concentrations on nanoparticle surfaces can
enhance rapid clearance due to adsorption of opsonin. Gu et al. used aptamers as a targeting
ligand for prostate cancer-specific antigens (PSMA) and found greater accumulation of
nanoparticles in the liver and the spleen with higher surface ligand density. The nanoparticles
also showed lower tumor localization compared to the particles functionalized with lower
densities of aptamers [72]. These findings were supported by Kirpotin et al., who used an HER-2
antibody and observed higher clearance rates with dense ligand loading. High targeting moiety
surface density makes the stealth polymer layer ineffective, resulting in serum protein binding
[73], which can diminish the ability of the ligands to interact with the target receptors [74].
Therefore, the number, density, and orientation of targeting ligands on the surface of
nanoparticles are important for effective targeting.
The active site of the ligand must be available in the correct three-dimensional arrangement to
bind to the receptor [75]. Particular consideration is required to ensure that serum proteins do not
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cover the targeting moiety. As previously discussed, the addition of targeting moieties may
compromise the stealth feature of nanoparticles and can accelerate their clearance [76]. Salvati et
al. developed transferrin-modified PEGylated silica nanoparticles (86 nm) and observed that the
accumulation and uptake of transferrin-modified particles was lower than that of the unmodified
particles. The number of transferrin molecules per nanoparticle was high (~250), and a protein
corona formed on the nanoparticles [74]. McNeeley et al. observed a similar effect for
doxorubicin-loaded, folate-modified PEGylated liposomal formulations: the incorporation of
0.15% (of total lipid formulation) folate conjugates resulted in a 41.8% smaller area under the
curve (AUC), whereas formulations containing 0.2% folate conjugates demonstrated a 61.9%
reduction in AUC compared to that observed with non-targeted liposomes [77]. These results
imply that low ligand concentration can increase half-life and improve biodistribution of
nanoparticles.
Lee et al. developed folate-modified tetrahedron-shaped oligonucleotide nanoparticles (28.6 nm)
for siRNA delivery and showed that at least three folate molecules per nanoparticle are required
for optimal delivery to cancer cells. Increasing the number of folate molecules did not increase
the cellular uptake. The nanoparticles showed a longer circulation time in vivo (t1/2 24.2 min).
They found that gene silencing occurred only when the ligands were in the appropriate spatial
orientation. The density and location of folate on the tetrahedron were varied, and greater gene
silencing was observed when the local density of three folic acids on the tetrahedron was
maximized (encompassing a face of the tetrahedron). However, when the density of the three
folic acid molecules was decreased (greater distance from each other), no gene silencing was
observed. They speculated that higher local ligand density might influence the intracellular
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trafficking pathway of nanoparticles through the cells and affect gene silencing [78]. Elias et al.
developed ligand conjugated magnetic nanoparticle and showed that an intermediate ligand
density can provide greater cellular association compared with higher and lower ligand densities.
Even though multivalency increases binding avidity, over-crowding can prevent ligands from
obtaining the correct orientation. Furthermore, higher ligand density can saturate receptor
binding [79]. The receptor density reaches an entropic limit at critically large ligand density,
resulting in insufficient adhesion to overcome membrane deformation cost [80].
These investigations indicate that the number and orientation of the targeting ligand should be
considered for proper biodistribution and cellular uptake. Optimizing the number of ligands and
their orientations is critical for nanotherapeutics and is not equivalent to increasing the number of
ligands per nanoparticle.
4.1 METHODS CURRENTLY BEING DEVELOPED FOR TARGETING
Methods for increasing target specificity are currently being developed, and some show
increased efficiency over conventional targeting strategies. These methods are based on surface
engineering and involve two steps. In the first step, signaling molecules or surface labels are
delivered to the target cells; in the second step, therapeutic nanoparticles with complimentary
surface functionality target those molecules. This has been described by two approaches called
communication control system and chemical targeting system; both effectively amplify the
location of a tumor and subsequently target the amplified tumor with therapeutic particles [81].
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Von Maltzahn et al. reported the communication control system where tumor-targeted tissue
factor (tTF-RGD) was delivered as a signaling module to activate the coagulation cascade in
tumors. Coagulation transglutaminase factor XIII (FXIII)-binding peptides were conjugated on
the surface of doxorubicin loaded liposomes which acted as the receiving module to target the
coagulation. This autonomous communication system improved the tumor targeting efficiency
by up to 40-fold relative to particles without a communication system [82].
The chemical targeting system involves in vivo metabolic labeling with artificial chemical
groups. Unnatural azide-functionalized glycans are delivered to cells and become incorporated
by glycosylation. These azide functional groups are nonreactive and compatible with endogenous
biological molecules. Cells effectively "tag" glycoproteins with the azide group by using an
intrinsic glycan synthesis process and express azide-modified sialic acids on their surface. This
azide group then can be specifically targeted by an alkyne-activated compound, using copper-
free "click" chemistry. Various cancer cell lines including A549, U87MG, MCF-7, and KB cells
have been shown to express azide groups homogeneously on the cytoplasmic membrane [83,84].
Lee et al. reported tumor targeting using a chemical targeting system (Figure 3). In the first step,
an unnatural glycan, tetraacetylated N-azidoacetyl-D-mannosamine (Ac4ManNAz), was used to
introduce azide groups on the cell surface. Ac4ManNAz was delivered to cells by using chitosan
nanoparticles, which accumulated in tumor cells by enhanced permeability and retention effect.
Cells expressed azide-containing glycoproteins in a dose-dependent manner. In the second step,
Ce6-loaded bicyclo[6.1.0]-nonyne-modified nanoparticles were delivered to A549 human lung
cancer cells for effective photodynamic therapy. The nanoparticles showed significantly higher
tumor accumulation than did unmodified particles [84].
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Figure 3. Tumor targeting strategy via metabolic glycoengineering and click chemistry.
(Adapted with permission from S. Lee, H. Koo, J.H. Na, S.J. Han, H.S. Min, S.J. Lee, S.H. Kim,
S.H. Yun, S.Y. Jeong, I.C. Kwon, K. Choi, K. Kim. Chemical tumor-targeting of nanoparticles
based on metabolic glycoengineering and click chemistry. ACS Nano 8 (2014) 20482063.
Copyright (2012) American Chemical Society.)
5. PENETRATING AGENTS
Cell-penetrating peptides (CPPs) are short peptide sequences that can assist nanoparticle entry
into the cell and have delivered drugs 200 times larger than their established size limit for
bioavailability. Surface modification with CPPs enhances the cell permeability of nanoparticle-
based drug delivery systems [85,86]. Unlike targeting ligands, CPPs can assist nanoparticle
internalization to various types of cells (not specific for a particular cell type) and are especially
useful for internalizing nanoparticles by passive targeting [87,88]. Trans-activating
transcriptional activator (TAT) has been widely tested and has shown potential for enhancing
cellular uptake. Other CPPs include penetratin, transportan, VP-22, MPG, Pep-1, MAP, SAP,
PPTG1, hCT (932), RGD, and SynB [89].
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TAT moieties were attached to the surface of long-circulating PEGylated liposomes and PEG-
phosphatidylethanolamine (PEG-PE)-based micelles by using TATp-short PEG-PE derivatives
and showed high level of internalization [90]. Superparamagnetic iron oxide particles,
conjugated to the TAT peptide sowed approximately 100-fold higher cell penetration than non-
modified particles [91]. Zhao et al. developed paclitaxel-loaded polymeric liposomes with
surface-conjugated TAT peptide and folic acid (size: 6070 nm; zeta potential: 28.69 mV). A
cellular internalization study showed that TAT peptide-modified particles, and folate-TAT
peptide-modified particles had 2.63-fold and 3.38-fold higher uptakes, respectively, than
unmodified particles in A549 cells, and 6.67-fold and 24.27-fold higher uptakes, respectively,
compared to unmodified particles in KB cells [88].
Todorova et al. studied the effects of TAT peptide concentration and surface arrangement on
membrane permeation capacity using 3-nm gold nanoparticles. They found that maximal
penetration occurred with 5.4% TAT (Figure 4). A high TAT concentration could reduce the
stability of nanoparticles in solution and result in lower cell penetration ability. Dense
arrangement of TAT peptides resulted in like-charge repulsion, which changed the solution
conformations to disfavor membrane interactions [92]. Therefore, it is necessary to control and
maintain appropriate surface coverage of CPPs to produce stable and cell-permeating
nanoparticles.
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Figure 4. TEM images of nanoparticles in the cytosol showing the effect of CALNNTAT
concentrations on the internalization of gold nanoparticles by HeLa cells. (a) 1.8%; (b) 3.6%; (c)
5.4%; and (d) 9.0%. (Adapted with permission from N. Todorova, C. Chiappini, M. Mager, B.
Simona, I.I. Patel, M.M. Stevens, I. Yarovsky. Surface presentation of functional peptides in
solution determines cell internalization efficiency of tat conjugated nanoparticles. Nano Lett 14
(2014) 5229-5237. Copyright (2012) American Chemical Society.)
Petersen et al. developed penetratin-conjugated gold nanoparticles and demonstrated up to 100%
uptake within 2 h in a preliminary biological study [93]. Most CPPs are positively charged, and
zeta potential is thought to play a major role in cellular uptake; however, CPP-conjugated
nanoparticles with negative zeta potentials also show effective cellular uptake. PEG-poly(lactic
acid) nanoparticles were functionalized by penetratin for efficient biodistribution and brain drug
delivery. The particles (100 nm) with a zeta potential of -4.42 mV showed enhanced cellular
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uptake in MDCK-MDR cells via both lipid raft-mediated endocytosis and direct translocation
processes. They also exhibited significantly enhanced brain uptake and reduced interactions with
non-targeted tissues in in vivo pharmacokinetic and biodistribution studies [94].
Although the exact mechanism by which CPPs enter cells remains unclear, two general
mechanisms, direct penetration and endocytosis, have been described for their internalization.
Direct penetration occurs through various mechanisms including inverted micelle formation,
pore formation, the carpet-like model, and the membrane thinning model. The first step in all of
these pathways is interaction between the positively charged CPP and negatively charged
elements of the cell membrane (e.g., heparan sulfate and the phospholipid bilayer), which results
in stable or transient destabilization of the membrane. In contrast, endocytic pathways include
phagocytosis for large particles and pinocytosis for smaller particles. In pinocytosis, vesicles are
formed after the inward folding of the outer surface of the cell membrane. Clathrin or caveolin
pits are involved in receptor-mediated endocytosis [95].
6. EFFECT OF SHAPE
In addition to other surface properties, the shape of nanoparticles was found to be useful for their
interaction with cells, cellular uptake, biodistribution, and subsequent fate [96]. For drug
delivery, zero-order release was achieved with a hemi-spherical particle that degraded at its face
[97]. Transferrin-coated rod-shaped nanoparticles were developed with much lower
internalization efficiency than transferrin-coated spherical nanoparticles. The uptake of the rod-
shaped nanoparticles was speculated to be more dependent on their width than length [98].
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Internalization kinetics and efficacy can be affected by local surface curvature, which determines
the interactions between cell and particle surfaces. Spherical gold particles with diameters of 14
or 75 nm showed 375500% greater uptake in HeLa cells than 74 14 nm rod-shaped particles.
Chan et al. hypothesized that the differences in particle curvature were responsible for the
differences in cellular uptake, which was affected by particle contact area with the cell
membrane [18]. Florez et al. evaluated particle shape and demonstrated that ellipsoidal
nanoparticles had higher cell surface binding but lower uptake compared to spherical particles.
The negative correlation between aspect ratio and uptake rate was related to the lower uptake of
non-spherical nanoparticles, which was further explained by the larger radius of curvature for
non-spherical particles adsorbed on the cells [99]. A similar effect was observed for polystyrene
nanoparticles upon change from a three-dimensional spherical particle to a two-dimensional disk,
which enhanced cell surface binding but reduced cellular uptake. The surface charges of the
spherical and disk-shaped particles were 13.6 and 16.8 mV, respectively, which suggests the
role of shape in cellular uptake irrespective of surface charge [100,101].
The effect of nanoparticle shape and orientation on the pattern of cell penetration was examined.
Rod-shaped nanoparticles were most rapidly internalized among all shapes when they were
longitudinally perpendicular to the cell membrane. When the rod was oriented tangentially to the
cell membrane, the internalization rate significantly decreased. This was explained by greater
difficulty enclosing the particles in their tangential orientation. In contrast, the penetration of
spherical nanoparticles was independent of contact angle because of their symmetric shape
(Figure 5) [102].
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Figure 5. Effect of shape and nanoparticle orientation on cellular uptake.
Xu et al. reported the effects of the shape of layered double hydroxide (LDH) particles (rods with
width 3060 nm and length 100200 nm and hexagonal sheets with width 50150 nm and
thickness 1020 nm) on cellular internalization. Both shapes were readily taken up by CHO-K1,
NIH 3T3, and HEK 293T cells. The rod-like particles specifically targeted the nucleus, whereas
the sheet-like particles were retained in the cytoplasm. The uptake of the differently shaped
particles was primarily associated with strong positive charge. Both types possessed high zeta
potential (around +40 mV), which interacted with the negatively charged cell membrane
irrespective of shape. Further investigation revealed that the LDH particles were internalized
through clathrin-mediated endocytosis [103]. Gratton et al. demonstrated uptake of PRINT-
fabricated nanoparticles of different sizes and aspect ratios in HeLa cells and found that
cylindrical nanoparticles had the highest percentage of cellular internalization over time. Cubic
particles showed similar internalization profiles to those of cylindrical particles. However,
internalization depended on positive surface charge. When the charge was reversed, uptake of
particles decreased dramatically [104].
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In blood circulation, nanoparticle motion encounters different forces. Hemodynamic forces are
fluid resistant forces that oppose the motion of nanoparticles in blood and are proportional to the
shape of the nanoparticle in a fluid with a moderate to high Reynolds number. An investigation
of fluid resistant forces demonstrated that the force increased with the radius of spherical
particles. Additionally, non-spherical particles experience tumbling and rolling because of
unequal moments resulting from these forces [105,106]. Self-assembled filamentous micelles
with very high aspect ratios (2260 nm diameter, 28 m length) were found circulate ten times
longer (~ 1 week) than spherical particles [107]. Polystyrene particles of different geometric
shapes but otherwise identical properties (dimensions, surface area, volume, and chemistry) were
fabricated, and their engulfment by macrophages was monitored. The local particle shape at the
point of initial contact determined their phagocytic fate. Macrophages that attached to elliptical
disks along the major axis internalized them very quickly (
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1.6% of the injected disk-shaped particles remained in the blood at 1 and 30 min, respectively
[110]. Although more investigation is needed to fully determine the role of particle shape in
clearance, these investigations imply that non-spherical particles can be retained longer in blood
circulation and suggest a relationship between particle movement in blood and clearance. As the
spherical particles maintain stable orientations during movement, the complex tumbling and
rolling motions of non-spherical particles (with high aspect ratios) might interfere with the
macrophage attachment and phagocytosis.
From these experiments, we conclude that, in blood circulation, non-spherical particles with high
aspect ratios are phagocytosed less than spherical particles are. However, spherical particles
show better performance in entering target cells than do the non-spherical particles.
7. SURFACE TEXTURE OF NANOCARRIERS
The surface texture of nanoparticles can significantly affect their cell attachment, interaction,
uptake, and drug delivery [111,112]. Although smoothness is important for controlled drug
release, roughness also has beneficial effects. Surface roughness promotes cell binding through
nonspecific binding forces that enhance cellular uptake. Direct penetration into the cell
membrane may occur through a combination of nonspecific attractive forces (e.g., roughness and
charge) on the surface of spiked particles without the need for ligand-receptor interactions [111].
Niu et al. developed silica nanoparticles with a viral capsid-like rough structure on the surface.
These particles were very effective in penetrating the membrane, disrupting the endosome, and
delivering siRNA (Figure 6) [113]. Nanoscale surface roughness greatly minimizes repulsive
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interactions (e.g., electrostatic and hydrophilic interactions) between cells and nanoparticles,
thereby promoting adhesion and possibly facilitating engulfment by cells [111].
Figure 6. Silica nanoparticles with capsid like rough surface and their cellular uptake. (Adapted
with permission from Y. Niu, M. Yu, S.B. Hartono, J. Yang, H. Xu, H. Zhang, J. Zhang, J. Zou,
A. Dexter, W. Gu, C. Yu. Nanoparticles mimicking viral surface topography for enhanced
cellular delivery. Adv. Mater. 25 (2013) 6233-6237. Copyright John Wiley and Sons)
Particles can be fabricated with different surface textures such as ridges on the sides, with a
variation in surface areas and surface roughness. These surface properties can be used to alter the
drug release pattern of nanoparticles or to affect their movement in the bloodstream [114]. The
performance of aerosols was enhanced by increasing the surface roughness in several studies.
Particles tend to become cohesive, partially amorphous, and physically unstable in aerosols,
making powder deagglomeration and precise delivery to the lungs difficult because of their
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cohesion forces. A small variation in the surface roughness was important for reducing the
cohesion and performance variability of powdered BSA [115]. Rough surfaces were also useful
for mucoadhesion of nanoparticles for mucoadhesive drug delivery. Ageros et al. developed
cyclodextrinpoly(anhydride) nanoparticles for bioadhesion within the gut, where high
bioadhesive capacity was observed for nanoparticles with a rough surface morphology [116]. In
contrast, surface smoothness is needed to minimize the variation in drug release and can be an
important factor in the biodistribution of nanoparticles [112,113]. Proteins and biomolecules tend
to bind more to the rough surfaces of nanoparticles than to smoother surfaces [113]; therefore,
nanoparticles with smoother surfaces are more stable in biological systems [24].
8. STIMULI RESPONSIVE DELIVERY
Drug release can be triggered by internal and external stimuli. The carrier system can be
designed with materials to control the release of drug in the targeted area [117]. Materials or
chemical groups sensitive to various stimuli are conjugated to the surface of nanoparticles and,
upon exposure to the stimulus, undergo a conformational change, cleavage, or other chemical
changes that result in drug release [18].
8.1 SURFACE SWITCHING
Recently, surface switching has been investigated for stimuli responsive delivery. In this
technique, surface molecules or chemical groups can toggle activity upon exposure to different
stimuli. This method includes changing wettability (hydrophilicity-hydrophobicity), surface
charge, or shape in response to temperature, pH, electric field, light, and ionic strength
[118,119].
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Yoo et al. reported low-molecular-weight PLGA nanoparticles (160310 nm) that were able to
switch their shape from elliptical disk to spherical in a stimulus-responsive manner. Elliptical
disk-shaped particles show prolonged circulation and increased tumor accumulation but exhibit
slower cellular uptake compared to spherical particles. The disk-shaped particles could become
spherical in the targeted area for efficient internalization. The shape-switching characteristics
were achieved by a subtle balance between polymer viscosity and interfacial tension. The PLGA
molecules possess a carboxylic acid end group, and the interfacial tension of PLGA particles was
controlled through ionization of these carboxylic acid groups. At physiological pH, the end
carboxyl groups are charged, causing low hydrophobicity and low interfacial tension. When the
pH was lowered, carboxylate groups were protonated, thus increasing hydrophobicity and
inducing the shape switch with an exponential response, where interfacial tension provided the
main driving force for shape change [120].
Rotello et al. recently reported surface charge-based DNA uncaging from the surface of
photolabile gold nanoparticles. The surface was designed with a photocleavable o-nitrobenzyl
ester linker and a quaternary ammonium salt to switch the surface from cationic to anionic upon
irradiation. DNA was complexed with the nanoparticles. After irradiation with near-UV light, the
nitrobenzyl linkage was cleaved to produce an anionic carboxylate group, resulting in DNA
release. In vitro studies were conducted using a T7 RNA polymerase assay, which revealed
restored DNA transcription upon UV irradiation [121].
Lahann et al. developed a smart surface that changes its wettability in response to an electrical
potential. Gold nanoparticles with a self-assembled 16-mercaptohexadecanoic acid (MHA)
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monolayer were fabricated to possess a hydrophobic chain capped by a hydrophilic carboxylate
group. Upon applying the electrical potential, the negatively charged carboxylate groups were
attracted towards the positive gold surface, resulting in a conformational change of the MHA
hydrophobic chains. Because of this chain bending, the aliphatic MHA chains were changed
from an all-trans conformation to a mixture of trans and gauche conformations. This mixed
conformation increased intermolecular van der Waals contacts and exposed hydrophobic chains
to the surface, converting the hydrophilic surface to a moderately hydrophobic state [122].
8.2 ENZYME RESPONSIVE SURFACE DESIGN
Enzymes have also been targeted for responsive drug delivery. In some diseases, abnormal
production of enzymes differentiates diseased cells from normal healthy cells. Nanomaterials
have been designed with appropriate substrates, mostly peptides, attached to the surface of the
nanoparticle, that are cleaved by the respective enzyme, causing release of the drug [119]. For
example, matrix metalloproteinase (MMP) is overexpressed by many cancer cells and is needed
for their metabolism. Specific peptide sequences attached to the surface of nanoparticles are
cleaved between Leu and Gly residues by MMP [119,123]. We previously reported the
development of MMP-sensitive gold nanorods using a peptide sequence Gly-Pro-Leu-Gly-Val-
Arg-Gly-Cys conjugated to a fluorescent probe (Cy5.5) for simultaneous imaging and treatment
of cancer by hyperthermia. The enzyme-sensitive nanorods were studied in HeLa cells, and the
Cy5.5 activated by MMP enzymes in the cell culture media was successfully visualized [123].
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9. EFFECT OF SURFACE PROPERTIES ON NANOPARTICLE
TOXICITY
The toxicity of nanomedicines has become a major issue impeding their effective application.
Several toxic effects of nanoparticles such as endocrine disruption and neurotoxicity have been
reported [124,125]. The abundance of macrophages and accumulation of nanoparticles cause
organs such as the liver and spleen to be highly affected by toxicity. Organs with high blood flow
(e.g., kidney and lung) are also prone to nanoparticle-induced toxicity. Inside cells, nanoparticles
may interact with cellular components, alter cell function, damage DNA, arrest the cell cycle,
cause mutagenesis, create reactive oxygen species (ROS), and induce apoptosis. As nanoparticles
have a large surface area, various transition metals, chemicals, and proteins can be attached to
their surface and produce ROS [126-128]. The main molecular mechanism underlying
nanotoxicity is free radical formation and induction of oxidative stress by ROS, which can be
formed by several mechanisms including the phagocytic cell response to nanoparticles, presence
of transition metals, and environmental factors [126].
Different nanoparticle surface properties such as charge and functional groups can affect toxicity
[127]. Surface protection plays a critical role in preventing toxicity by reducing deposition of
transition metals, chemicals, and proteins and the generation of ROS [129]. Gold nanoparticles
without surface modifications have shown in vivo toxicity in many studies. However, surface-
modified gold nanoparticles exhibit lower toxicity over long exposure [130,131].
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9.1 ROLE OF DIFFERENT SURFACE MOLECULES IN NANOTOXICITY
Various reports indicate that nanoparticle toxicity is highly dependent on the type of particle,
surface material and their molecular weights, and particle concentrations [132]. Drug carriers can
be inorganic functional materials that impart unique physicochemical properties such as
photothermal activity (gold nanorod), magnetic moment (iron oxide nanoparticles), porous
structure (mesoporous silica nanoparticles), and fluorescence (quantum dots [QDs]). However,
inorganic materials usually show toxicity [133]. Similarly, organic materials such as different
synthetic polymers also show toxicity in vivo. Cationic polymers appear to be especially toxic to
different organs. Interestingly, lower toxicity was observed for a lower molecular weight cationic
polymer (PEI) [134]. Low-molecular-weight dextran on nanoparticle surfaces also showed lower
toxicity than did high-molecular-weight dextran [135]. Furthermore, when toxic polymers are
linked to hydrophilic polymers such as PEG, the combined amphiphilic polymers can reduce
toxicity [136].
Hoshino et al. developed carboxylic acid, polyalcohol, and amine-modified QDs and evaluated
their cytotoxicity. The cytotoxicity of QDs was related to the surface-conjugated molecules but
not the nanocrystalline particle itself. Among all the particles, hydroxyl-modified QD was the
least toxic [137]. Our group developed silica-coated gold nanorods, minimized the size of the
silica layer to sub-nanometer thickness, and performed cytotoxicity studies. In our investigation,
a very thin layer of silica effectively reduced the toxicity of gold nanorods with a half-maximal
inhibitory concentration >400 g/mL. The optothermal efficiency of bare rods was maintained
even after coating with silica [138]. These results suggest that hydrophilic nanoparticle surfaces
are important for preventing toxicity due to the protection of surface from binding of different
molecules.
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Cetyltrimethylammonium bromide (CTAB) is a cationic surfactant commonly used to stabilize
gold nanorods during synthesis. CTAB is highly toxic, causing mitochondrial damage and
generating ROS. Displacement of CTAB with safe materials such as PEG and citric acid or
conjugation with biocompatible hydrophilic materials can significantly reduce gold-induced
toxicity [129,139]. Wang et al. reported that CTAB -containing nanorods showed no toxicity in
vivo when conjugated to poly(styrenesulfonate) [129]. Boca et al. examined the toxicity of
chitosan-capped gold nanoparticles in Chinese hamster ovary cells and found that more than
85% of the cells were viable even after a long period of exposure [130].
9.2 SURFACE CHARGE AND GEOMETRY IN NANOTOXICITY
Positively charged nanoparticles were reported to be toxic in many studies because of their
ability to destabilize the negatively charged cell membrane through electrostatic interactions
[127]. Positively charged particles can further damage the outer membrane of mitochondria,
which is slightly negatively charged and has an electrochemical gradient very similar to that of
the plasma membrane, which is very sensitive to charge. If positively charged nanoparticles
accumulate outside the mitochondria, the mitochondrial membrane potential is imbalanced,
resulting in membrane damage and release of pro-apoptotic proteins into the cytosol [140].
Goodman et al. fabricated cationic and anionic nanoparticles functionalized with quaternary
ammonium and carboxylate groups, respectively. Their results demonstrated that cationic
nanoparticles were moderately toxic, whereas anionic nanoparticles were non-toxic to cells
[141]. The toxicity of poly(amidoamine) PAMAM dendrimers was evaluated in mice. Positively
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charged particles showed toxicity, whereas negatively charged particles from the same materials
were non-toxic [127,142].
Yu et al. evaluated the toxicity of silica nanoparticles in animal model. Nonporous silica
nanoparticles (120 nm) exhibited low systemic toxicity and the highest maximum tolerated dose
(MTD) (450 mg/kg) compared to mesoporous silica nanoparticles (MTDs: 3065 mg/kg).
However, toxicity decreased when mesoporous silica nanoparticles were modified with primary
amine groups (MTDs: 100150 mg/kg) [143]. It suggests the protection of large porous surface
for reducing toxicity. Although the surface was modified with amines, toxicity depends on
charge density. Yu et al. showed increased cellular association of silica nanoparticles with higher
zeta potentials (+17 mV versus +32 mV), which they explained by a surface charge threshold
(> +30 mV) above which the amine functionalities facilitated nanoparticle-cell interaction
through electrostatic interactions [144]. Adsorption of serum proteins on the nanoparticle surface
can also decrease the overall charge and toxicity [145].
Different particle shapes and aspect ratios did not significantly affect particle toxicity. However,
gold nanorods were shown to be more toxic than their spherical counterparts [145]. Further
studies revealed that the toxicity was associated with surface CTAB molecules and was
attenuated when CTAB molecules were replaced by other molecules as discussed above.
10. PERSPECTIVE
Although the effects of different surface characteristics have been discovered and various
methods of surface modification have evolved, control of conjugation at specific sites with
ordered individual components will require optimization to achieve reproducible and effective
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surface modifications [146]. Particle aggregation must be carefully considered as it can diminish
the success of particle engineering [147]. Our current observation suggests that nanomedicine
will be based on smart surface functionalities and will rely on development of drug carriers as a
platform for prolonged blood circulation, interaction with specific sites, and accurate drug
delivery in addition to addressing toxicity concerns during and after drug delivery [146, 148].
Surface engineering will supplement existing techniques and will be valuable for newer
applications. Since understanding of the interactions between nanoparticle surface features and
the biological milieu is increasing, future particle design will enable precise behavioral control of
nanomedicines, which may be applied as real-time monitoring tools for biodistribution and drug
delivery [146, 147]. Functionalized moieties on the nanohybrid structure will reform adjuvant
cancer therapy with selective and precise targeting and destruction of cancer cells, which will
improve long-term survival.
Smart surfaces of nanoparticles may be utilized for ultrasensitive biorecognition through the
interaction of biomarkers and the nanoparticle surface, which will accelerate treatment of
complicated disorders [146]. As present targeting strategies involve cellular internalization only,
there is a high probability that surface chemistry can be designed to direct and localize
nanoparticles to a particular area [149,150]. In addition to intracellular delivery, surface
functionalization will play a key role for delivery of therapeutics to various sites. As several
studies have already shown that surface modification of nanoparticles can enhance their cell
attachment, future formulations for drug delivery to the extracellular matrix, which strongly
affects cell growth and death, will be based on engineered surfaces. Hence, design of smart
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surfaces will be the most critical ground to improve cell responses of nanomedicines for
particular applications.
Conclusion
Herein, we analyzed how various functionalities on nanoparticle surfaces affect their desired
behavior. Several studies have successfully engineered nanoparticle surfaces to overcome the
limitations of conventional nanoparticles where surface modification was deemed the most
efficient technique to increase the efficacy of nanomedicines. This review demonstrated how
surface modification and local orientations of surface molecules are important for the efficiency
and utility of nanotherapeutics. Based on our current understanding of nanoparticle surfaces, we
predict that surface functionalization will change and revolutionize the therapeutic applications
of nanoparticles and treatment patterns of different diseases in the near future.
Acknowledgment
This work was supported by the grant of National Research Foundation of Korea (NRF), funded
by Korean government (MEST) (2012R1A2A2A03046819), and (2013R1A1A2005329).
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