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© 2017 Hogrefe Int. J. Vitam. Nutr. Res. (2017), 1–5
https://doi.org/10.1024/0300-9831/a000400
News and Views
Bioactivity of Carotenoids –
Chasms of Knowledge
Torsten Bohn1
1 Luxembourg Institute of Health, Population Health Department, 1 A–B rue Thomas Edison, L-1445 Strassen, Luxembourg
Received: April 28, 2016; Accepted: June 22, 2016
Abstract: Carotenoid dietary intake, especially within fruits/vegetables and their plasma levels have been associated in many epidemiological
studies with a reduced risk of several chronic diseases, including type-2 diabetes, cardiovascular diseases, several types of cancer, and age-
related macular degeneration. However, intervention trials with isolated carotenoids (as supplements) have fallen short of fulfi lling the hopes
that were placed in these lipophilic pigments, often producing no positive or even adverse effects, such as increased lung cancer rate or total
mortality. More recent studies have suggested that certain metabolites, and not necessarily the native compounds may be (the most) biologi-
cally active ones, such as certain apocarotenals (originating following enzymatic cleavage) and other more polar compounds, acting as more
suitable electrophiles to react with transcription factors such as nuclear factor kappa-B (NF-KB) and nuclear factor (erythroid-derived 2)-like 2
(Nrf2). In addition, it appears that questions of dosing are likewise crucial, as may be interactions of non-provitamin A carotenoids and their
derivatives with retinoic acid receptors (RAR) or retinoid X receptors (RXR). Furthermore, our picture on carotenoid metabolism may be incom-
plete, as our knowledge on e. g. the interaction with the microbiota is virtually nil. In this position article, it is aimed to highlight some of the
discrepancies that appear to trouble carotenoid-related research, and point out some of the existing gaps in our knowledge.
Keywords: Xanthophylls, carotenes, metabolites, NF-κB, Nrf-2, RAR/RXR, colon.
Epidemiological studies
and carotenoids
Apart from representing essential precursors for vitamin A
[1; 2; 3], several large and prospective epidemiological stu-
dies have shown a positive correlation between the dietary
intake of carotenoids and reduced risk of developing seve-
ral chronic diseases. For example, in a meta-analysis with
over 135,000 participants, Hamer and Chida [4] have
shown that the consumption of total carotenoids was asso-
ciated with a reduced risk (almost 30 %) of type 2 diabetes
(T2D). Similarly, in a study with over 70,000 female parti-
cipants, dietary intake of α- and β-carotene was signi -
cantly associated with a reduced risk (25 % and 20 %, res-
pectively) of coronary artery disease, when comparing
quintiles of highest vs. lowest intake [5]. A comparable re-
sult was found by Buijsse et al. [6] in a meta-analysis of
prospective cohort studies (with ca. 4500 participants),
showing that plasma β-carotene in elderly men was associ-
ated with an overall reduced total mortality (of almost
30 %). Though the mechanisms of action remained unc-
lear at the time, it was speculated that carotenoid antioxi-
dant capacity (involving quenching of free radicals such as
of lipid peroxides) was likely to be associated with the ob-
served e ects [7].
Intervention trials with carotenoid
supplements – hard endpoints
These positive ndings and related antioxidant activity
seen in many in vitro trials [8] sparked a number of large-
scale supplementation trials, especially with β-carotene.
Most recognized for their adverse e ects on smokers, both
the ATBC [9] and the CARET trial [10], in which
β-carotene was (co-) administered at high daily doses of
20mg with 50mg α-tocopherol and 30mgwith 25,000
IU vitamin A, respectively, for several years, had to be dis-
continued due to increased lung-cancer mortality. Similar
ndings were encountered in a meta-analysis by Bjelako-
vic et al. (also including healthy subjects), suggesting that
β-carotene supplements resulted in enhanced mortality
when given alone or together with other antioxidants [11].
Supplementation trials nding a positive (or at least, no
negative) e ect do also exist, such as the Linxian trial [12],
though it may be speculated that e ects can be, at least in
part, explained by a reduced status of certain micronutri-
ents in these populations, and that supplementation rather
ameliorated these de ciencies.
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2 T. Bohn, Carotenoids – Quo Vadis?
Vitamin (2017), 1–5 © 2017 Hogrefe
Short-term dietary intervention
trials – surrogate markers
Several intervention trials with whole foods, notably with
tomato products rich in carotenoids (lycopene, β-carotene)
have been conducted, which generally suggested some po-
sitive health e ects, as measured by surrogate markers,
such as those related to in ammation, e. g. interleukin-6
(IL–6), interleukin-8 (IL–8), interleukin 1-beta (IL–1β), tu-
mor necrosis factor alpha (TNF-α), C-reactive protein
(CRP), or oxidative stress, e. g. improving superoxide dis-
mutase (SOD), glutathione peroxidase (GPx), catalase
(CAT), or heme-oxygenase 1 (HO–1) [13; 14]). The same
appears to be true to some extent for non-healthy subjects,
in which the intervention with supplements, such as with
lycopene or lutein, has shown some bene ts, as measured
e. g. by improved serum amyloid A (a marker of in amma-
tion), and IL–6 [14; 15].
These endpoints were chosen, as mechanistic, i. e. in
vitro/cellular trials, had suggested that not the direct anti-
oxidant e ects (e. g. free radical quenching) may be res-
ponsible for the proposed health e ects, but also (and
perhaps especially) e ects on gene expressions, such as
via altering cellular transcription factors linked to in am-
mation and oxidative stress, as reviewed by Kaulmann
and Bohn [16]. It appears that certain carotenoids and
their derivatives can bind to cysteine residues of nuclear
factor kappa-B (NF-KB) or nuclear factor (erythroid-deri-
ved 2)-like 2 (Nrf2). This can prevent the degradation of
the inhibitor of NF-KB and thus the liberation of free NF-
kB (and subsequent translocation to the nucleus which
up-regulates pro-in ammatory gene-expression, gure
1); and for Nrf2 fostering dissociation from the kelch-like
ECH-associated protein 1 (keap-1) repressor, with Nrf2
then translocating to the nucleus, up-regulating expressi-
on of anti-oxidant enzymes [17; 18].
Are we looking at
the right compounds?
How to explain the conundrum of discrepancies between
epidemiological ndings and intervention trials? Are we
targeting the wrong molecules? Are other compounds,
such as dietary bre, anti-oxidant vitamins (C/E), or other
bioactive secondary plant compounds (e. g. phytosterols,
glucosinates etc.), and not carotenoids, responsible for the
observed health e ects?
This extreme position may also fall short of the reality.
There are several aspects to consider prior to “ripping o ”
Figure 1. Potential interrelation between carotenoid exposure, oxidative stress, infl ammation, and toxicological relevant pathways (pattern fi ll).
Higher carotenoid concentrations (depending on carotenoid type, organism, bioavailability etc.) may increase the risk, at least intermittently, of reac-
tive oxygen species (ROS) production, activating nuclear factor (erythroid derived 2)-like 2 (Nrf2) translocation and expression of anti-oxidant enzy-
mes. Likewise, nuclear factor-kappa B (NF-κB) translocation may be inhibited, limiting pro-infl ammatory responses. Lower concentrations, possibly
covering the lower/physiological range, may even reduce Nrf2 translocation, effects for NF-κB are less clear. Certain derivatives of β-carotene, but
also of lycopene, can alter retinoic acid receptor (RAR) and retinoid x receptor (RXR) activity, effecting apoptosis, with lower concentrations of retinoic
acid/other derivatives possibly favouring cell proliferation [22]. Higher concentrations of native carotenoids may reduce the proportion of carotenoid
derivatives (non-fi lled arrows, possibly involving β-carotene oxygenases 1/2 (BCO1/2). High concentrations of native compounds have further been
suggested to trigger cytochrome P450 enzyme (CYP) activation, producing pro-carcinogenic compounds [38]. *effects for higher/lower doses (on NF-
κB and Nrf2) shown in vitro and in vivo especially for astaxanthin, β-carotene, lutein, lycopene [16]. +: Data for β-carotene and derivatives. $: Data for
β-carotene derivatives and indications for apo-15-lycopenoids. CAT: catalase; GPx: glutathione peroxidase; HO-1: heme-oxygenase 1; IL-1β: interleu-
kin-1-beta; IL-6: interleukin-6; NO: nitric oxide; SOD: superoxide-dismutase; TNF-α: tumor necrosis factor alpha.
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T. Bohn, Carotenoids – Quo Vadis? 3
© 2017 Hogrefe Vitamin (2017), 1–5
Are we overlooking something?
Other pathways, which so far have been mostly overlooked,
may also play a role, which likewise may involve carotenoid
metabolites. Caris-Veyrat et al. [27] have suggested that ly-
copene metabolites such as apo-15-lycopenoids show vita-
min A – like behaviour, as they may activate retinoid X re-
ceptor (RXR) and retinoic acid receptor (RAR) [28; 29; 30].
Also e ects together with other bioactive compounds, such
as with docosahexaenoic acid (DHA) and ATRA, on RAR/
RXR mediated apoptosis have been reported [31], highligh-
ting potential additive/synergistic interactions with other
micronutrients. Also in this respect, more is known for
other phytochemicals such as for polyphenols [32], but litt-
le on carotenoids.
When highlighting potential dose e ects, it is also im-
portant to stress out inter-individual di erences in dose-
responses, possibly related to genetic di erences such as
single nucleotide polymorphisms (SNPs), altering carote-
noid metabolism and bioavailability [33; 34]. Possibly also
epigenetic di erences do play a role, however, no informa-
tion on this is available.
Finally, several aspects of potential carotenoid meta-
bolism have never been investigated. A good example
is the human colon and its microbiota. As only 10–40 %
of carotenoids are absorbed (presumably, in the small in-
testine), the majority of carotenoids can reach the large
intestine. In vitro studies have further suggested that ca-
rotenoids are not completely recovered, only 10 % [35] –
50 % [36]. Obviously, they are fermented – but into what?
From polyphenols, we know that these may be converted
into numerous metabolites, following ring ssion, degly-
cosylation, hydrolysis, deglucuronidation, and deme-
thylation [37]. However, nothing is known regarding ca-
rotenoids. It is not impossible that bioactive, more polar
degradation products are formed. Though admittedly
this is speculation, it is remarkable that nothing on colo-
nic metabolism is known.
Conclusions and Perspectives
Our current view on potential bioactive properties on caro-
tenoids appears to be incomplete. Missing aspects include
the following:
1. Which metabolites and breakdown products are formed
in the human body?
2. Does the colon and especially microbiota play any role
in carotenoid metabolism?
3. Are the (more polar) metabolites the (more) bioactive
molecules – rather than the native compounds? If so,
which exactly?
carotenoids the status of any health bene ts. It rather ap-
pears that our understanding of carotenoid bioavailability
and bioactivity, especially regarding the active com-
pounds and possibly dose-related aspects, is incomplete:
It can be hypothesized that carotenoids, administered at
high doses (supplements), may override the body’s meta-
bolism capacity, increasing the ratio of native compounds
to metabolites, resulting in more pro-oxidant and pro-in-
ammatory conditions.
Indeed, several studies have suggested that β-carotene
oxygenase 1/2 (BCO1/2) cleavage metabolites, due to
their enhanced electrophilic properties (with improved
binding ability to cysteine residues of NF-KB and Nrf2),
and higher solubility in the cytosol, are better alterators
of these pathways, resulting in anti-in ammatory e ects,
and stimulating the body’s own antioxidant system [17].
Highest bioactivity regarding these pathways was associ-
ated with apocarotenals with 12 C-atoms, and having a
methyl-group 3 C-atoms distant from the terminal alde-
hyde function [17]. In addition, several studies in vitro
[18] and even in vivo in rats [19] have shown that polar
carotenoid breakdown products of lycopene and lutein
(following UV-Vis irradiation), respectively, are more
bioactive with respect to anti-in ammatory/antioxidant
targets (related to transcription factors), supporting this
hypothesis.
Higher, i. e. supra-physiological doses on the other
hand (1–10 μM in cellular trials, or doses exceeding the
daily intake of ca. 10–20mg [20]), have in part been rela-
ted to pro-oxidative e ects in some, though not all stu-
dies, as reviewed earlier [16]. For example, in several cel-
lular trials, concentrations of > 1 μM of all-trans retinoic
acid (ATRA), a potential metabolite of β-carotene, have
been associated with pro-oxidative e ects [21], as oppo-
sed to lower, nutritionally plausible concentrations (< 1
μM) [16]. Earlier results in smoke-exposed ferrets [22]
have likewise suggested arbitrary e ects at low vs. high
concentrations of β-carotene (0.4 vs. 2.4 mg/kg bw.,
equal to 6 and 30mg/kg bw. for humans), in line with the
ATBC/CARET trial, resulting in lower retinoic acid con-
centrations and reduced retinoic acid receptor (RAR)-β
expression, hampering apoptosis but increasing cyto-
chrome P450 activation, possibly resulting in the forma-
tion of harmful metabolites.
Such concentrations (> 30mg/kg bw.), taken for several
weeks, are likely to considerably increase the typical
β-carotene plasma concentration from 0.3–1.0 μM to 3–5
μM or higher [23; 24; 25], which thus may not be desirable.
Also higher doses of lycopene (3.3mg/kg bw. in rats) have
shown arbitrary e ects, interestingly especially when
ethanol reduced BCO2 activity [26], also pointing out to
the importance of the balance between metabolites and
native carotenoids.
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4 T. Bohn, Carotenoids – Quo Vadis?
Vitamin (2017), 1–5 © 2017 Hogrefe
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4. To what extent do various (epi-) genetic di erences
(SNPs, copy number variations etc.) alter inter-individu-
al di erences regarding bioavailability and bioactivity?
5. Which are the predominant mechanisms of action –
which nuclear receptors are important?
6. How much of a dose- (i. e. concentration related) e ect is
there for the various carotenoids and derivatives or what
is the “therapeutic” (and nutrition/physiological rele-
vant) window, if any?
These merely constitute some of the most pressing questi-
ons that should be addressed in order to lift the veil of the
unresolved bioactivity that carotenoids may exert, and
should be addressed prior to future large-scale supple-
mental experiments. It can be hoped for that improved in
vitro (e. g. 3-D cell culture) and in vivo (e. g. knock-out) mo-
dels, higher availability of (metabolite) standards, and im-
proved analytical capabilities will contribute to solve some
of these persistent puzzles.
Acknowledgements
The insights obtained during participation in the EU-COST
Actions Positive (FA-1403) and Eurocaroten (CA-15136)
are much appreciated.
Confl ict of interest
The author is also Editor-in-Chief of this journal.
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Torsten Bohn
Luxembourg Institute of Health, Population Health Department
1 A–B rue Thomas Edison
L-1145 Strassen
Luxembourg
Phone: +352-621-216-637
Fax: +352-265-32-872
torsten.bohn@gmx.ch
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