---
title: Neoadjuvant Pembrolizumab + Decitabine Followed by Std Neoadj Chemo for Locally Advanced HER2- Breast Ca
nct_id: NCT02957968
overall_status: ACTIVE_NOT_RECRUITING
phase: PHASE2
sponsor: Virginia Commonwealth University
study_type: INTERVENTIONAL
primary_condition: Breast Adenocarcinoma
countries: United States
canonical_url: "https://parkinsonspathways.com/agent/trials/NCT02957968.md"
clinicaltrials_gov: "https://clinicaltrials.gov/study/NCT02957968"
ct_last_update_post_date: 2026-04-21
last_seen_at: "2026-05-12T06:04:00.885Z"
source: ClinicalTrials.gov (mirrored, no enrichment)
---
# Neoadjuvant Pembrolizumab + Decitabine Followed by Std Neoadj Chemo for Locally Advanced HER2- Breast Ca

**Official Title:** T-Cell Immune Checkpoint Inhibition Plus Hypomethylation for Locally Advanced HER2-Negative Breast Cancer - A Phase 2 Neoadjuvant Window Trial of Pembrolizumab and Decitabine Followed by Standard Neoadjuvant Chemotherapy

**NCT ID:** [NCT02957968](https://clinicaltrials.gov/study/NCT02957968)

## Key Facts

- **Status:** ACTIVE_NOT_RECRUITING
- **Phase:** PHASE2
- **Study Type:** INTERVENTIONAL
- **Target Enrollment:** 46
- **Lead Sponsor:** Virginia Commonwealth University
- **Collaborators:** Merck Sharp & Dohme LLC, National Cancer Institute (NCI)
- **Conditions:** Breast Adenocarcinoma, Estrogen Receptor- Negative Breast Cancer, Estrogen Receptor-positive Breast Cancer, HER2/Neu Negative, Invasive Breast Carcinoma, Progesterone Receptor Negative, Progesterone Receptor Positive Tumor, Stage II Breast Cancer, Stage IIA Breast Cancer, Stage IIB Breast Cancer, Stage IIIA Breast Cancer, Stage IIIB Breast Cancer, Triple-negative Breast Carcinoma
- **Start Date:** 2017-01-24
- **Completion Date:** 2027-03-31
- **CT.gov Last Update:** 2026-04-21

## Brief Summary

This study is a 2-cohort, open-label, multicenter, phase 2 study of a short course of immunotherapy consisting of sequential decitabine followed by pembrolizumab administered prior to a standard neoadjuvant chemotherapy regimen for patients with locally advanced HER2-negative breast cancer. The primary efficacy objective is to determine if the immunotherapy increases the presence and percentage of tumor and/or stromal area of infiltrating lymphocytes prior to initiation of standard neoadjuvant chemotherapy. At enrollment, patients will be assigned to one of 2 cohorts based on hormone receptor status.

* Cohort A - patients with HER2-negative, hormone receptor-negative breast cancer (defined as both ER and PgR with \< 10% positive staining on IHC) Note: before beginning standard neoadjuvant chemotherapy, patients in Cohort A may be reassigned to Cohort A2 to receive extended pembrolizumab as part of new standard neoadjuvant and postoperative adjuvant therapy.
* Cohort B - patients with HER2-negative, hormone receptor-positive breast cancer (defined as either ER or PgR with ≥ 10% positive staining on IHC)

## Detailed Description

Both cohorts will receive the identical doses and treatment schedules of decitabine and pembrolizumab followed by a standard neoadjuvant chemotherapy regimen. Both cohorts will receive 4 cycles of AC and 12 doses of weekly paclitaxel or Nab-paclitaxel. Paclitaxel or Nab-paclitaxel will be combined with carboplatin for Cohorts A and A2 (TNBC). The sequence of the 2 regimens will be at the discretion of the treating medical oncologist following the safety lead-in phase. For the primary endpoint, Cohorts A and A2 will be evaluated together, separate from Cohort B.

## Eligibility

- **Minimum age:** 18 Years
- **Sex:** ALL
- **Healthy Volunteers:** No

```
Inclusion Criteria:

* Invasive adenocarcinoma of the breast diagnosed by core needle biopsy
* Breast cancer determined to be HER2-negative per current American Society of Clinical Oncologists/College of American Pathologists (ASCO/CAP) human epidermal growth factor receptor 2 (HER2) Guidelines (If IHC was performed, IHC 0 or 1+; if fluorescence in situ hybridization (FISH) or other in situ hybridization test, dual probe HER2/Chromosome 17 Centromere (CEP17) ratio \< 2.0 with an average HER2 copy number \< 4.0 signals/cell)
* Breast cancer determined to be hormone receptor-positive or hormone receptor-negative defined as follows:

  * Hormone receptor-positive: ≥ 10% staining by IHC for either estrogen receptor (ER) or progesterone receptor (PgR)
  * Hormone receptor-negative: \< 10% staining by IHC for both ER and PgR
* Locally advanced breast cancer defined as any of the following per American Joint Committee on Cancer (AJCC) Staging Criteria:

  * T2 based on tumor measurements by physical examination or imaging and with clinically positive regional lymph nodes (cN1 or cN2), irrespective of hormone receptor status
  * Hormone receptor-negative breast cancer patients with tumor size of 3-5 cm measured by physical examination or imaging with clinically negative regional lymph nodes (cN0)
  * Any T3 based on tumor measurements by physical examination or imaging
  * Any T4 (including inflammatory breast cancer), irrespective of hormone receptor status
* Ipsilateral axillary lymph nodes must be evaluated by MRI or ultrasound within 12 weeks prior to study registration to determine clinical nodal status. If imaging is suspicious or abnormal, a fine needle aspiration (FNA) or core biopsy of the questionable node(s) on imaging is required. Nodal status should be classified according to the following criteria:

  * Nodal status - negative

    * Imaging of the axilla is negative; OR
    * Imaging of the axilla is suspicious or abnormal AND FNA or core biopsy is negative.
  * Nodal status - positive

    * FNA or core biopsy of node(s) is cytologically or histologically suspicious or positive
* Breast imaging performed prior to study registration as follows:
* Ipsilateral breast - within 12 weeks
* Contralateral breast - within 24 weeks
* Age ≥ 18 years
* Eastern Cooperative Oncology Group (ECOG) performance status of 0 or 1
* Adequate bone marrow function as defined below:

  * Absolute neutrophil count (ANC) ≥ 1,500/mm3
  * Platelet count ≥ 100,000/mm3
  * Hemoglobin ≥ 10.0 g/dL
* Adequate renal function as defined below:
* Serum creatinine ≤ upper limit of normal (ULN) for the lab or a calculated creatinine clearance ≥ 60 mL/min
* Adequate hepatic function as defined below:

  * Total bilirubin ≤ ULN for the laboratory
  * Aspartate aminotransferase (AST) ≤ 1.5 x ULN for the laboratory
  * Alanine aminotransferase (ALT) ≤ 1.5 x ULN for the laboratory
  * Alkaline phosphatase (ALP) ≤ 2.5 x ULN for the laboratory Note: If ALP is \> 1.5 x ULN, imaging to rule out bone and liver metastasis is required.
* Left ventricular ejection fraction (LVEF) assessment (ie, 2-D echocardiogram or multigated acquisition (MUGA) scan) performed within 12 weeks prior to study registration indicates an LVEF ≥ 50% regardless of the cardiac imaging facility's lower limit of normal
* Women who are not postmenopausal or have not undergone hysterectomy must have a documented negative serum pregnancy test within 72 hours prior to initiating study treatment.

Note: Postmenopausal is defined as any of the following:

* Age ≥ 60 years
* Age \< 60 years and amenorrheic for at least 1 year with follicle-stimulating hormone (FSH) and plasma estradiol levels in the postmenopausal range
* Bilateral oophorectomy

  * A female patient who is a woman of child-bearing potential (WCBP) and a male patient with a partner who is a WCBP must agree to use a medically accepted method for preventing pregnancy for the duration of immunotherapy and neoadjuvant chemotherapy and until after completion of breast surgery or, for patients who do not receive neoadjuvant chemotherapy, for a minimum of 6 months following the last dose of pembrolizumab or decitabine
  * Ability to understand and willingness to sign the consent form

Exclusion Criteria:

* Breast cancer treatment for the currently diagnosed breast cancer including radiation therapy, chemotherapy, targeted therapy, or endocrine therapy prior to study registration
* Administration of a live vaccine within 30 days prior to initiating study treatment Note: Seasonal influenza vaccines for injection are generally inactivated flu vaccines and are permitted; however, intranasal influenza vaccines (eg, Flu-Mist) are live attenuated vaccines, and are not allowed.
* Administration of a monoclonal antibody within 4 weeks prior to initiating study treatment or has not recovered (ie, ≤ grade 1 or at baseline) from adverse events (AEs) due to a monoclonal antibody administered more than 4 weeks earlier
* Administration of any investigational agent within 4 weeks prior to initiating study treatment
* Evidence of metastatic disease that is extensive enough to preclude consideration of subsequent definitive surgery for the primary tumor
* History of ipsilateral invasive breast cancer or ipsilateral ductal carcinoma in situ (DCIS) Note: Patients with history of ipsilateral lobular carcinoma in situ (LCIS) are eligible.
* History of solid organ or allogeneic stem cell transplant
* Previous therapy for any malignancy with an anthracycline or taxane for Cohorts A and B and carboplatin for Cohort A
* Cardiac disease that would preclude administration of the drugs included in the study treatment regimen including, but not limited to:

  * Angina pectoris that requires the current use of anti-anginal medication
  * Ventricular arrhythmias except for benign premature ventricular contractions
  * Supraventricular and nodal arrhythmias requiring a pacemaker or not controlled with medication
  * Conduction abnormality requiring a pacemaker
  * Valvular disease with documented compromise in cardiac function; and symptomatic pericarditis
* Nervous system disorder (ie, paresthesia, peripheral motor neuropathy, or peripheral sensory neuropathy) ≥ grade 2, per CTCAE v5.0
* Administration of or condition requiring administration of systemic steroid therapy or any other form of immunosuppressive therapy within 7 days prior to initiating study treatment Exception: Patients with conditions that can be managed with steroids equivalent to or less than an oral prednisone dose of 10 mg daily would not be excluded from the study.
* Previous therapy for this cancer with an anti-anti-programmed death-1 (PD-1), anti-PD-L1, anti-PD-L2 agent, or any other immunomodulatory agent
* Known or presumed hypersensitivity to decitabine or pembrolizumab (or any of their excipients)
* Diagnosed immunodeficiency, eg, human immunodeficiency virus (HIV)
* Active autoimmune disease requiring systemic treatment within the past 2 years (ie, with use of disease-modifying agents, corticosteroids, or immunosuppressive drugs) or a documented history of clinically severe autoimmune disease or a syndrome that requires systemic steroids or immunosuppressive agents Note: Patients with the conditions or medical history listed below are NOT excluded from this study.

  * Vitiligo
  * Resolved childhood asthma/atopy
  * Requirement for intermittent use of bronchodilators or local steroid injections or topical steroids
  * Hypothyroidism stable on hormone replacement
  * Sjogren's Syndrome
* Known history or evidence of interstitial lung disease or active, non-infectious pneumonitis
* Known history of active bacillus tuberculosis (TB)
* Active infection requiring systemic therapy
* Known active Hepatitis B or C
* Pregnancy or breastfeeding
* Diagnosis or treatment for another malignancy within 5 years prior to study registration, with the following exceptions: complete resection of basal cell carcinoma or squamous cell carcinoma of the skin, any in situ malignancy, and low-risk prostate cancer after curative therapy
* Medical, psychological, or social condition that, in the opinion of the investigator, may increase the patient's risk or limit the patient's adherence with study requirements
```

## Arms

- **Cohort A: Triple Negative Breast Cancer (TNBC)** (EXPERIMENTAL) — Triple Negative Breast Cancer (Cohort A): Decitabine IV over 60 minutes on 4 days and pembrolizumab IV over 30 minutes on days 8 and 22. Four cycles of dose-dense doxorubicin and cyclophosphamide (AC), followed by 12 doses of weekly paclitaxel and carboplatin.
- **Cohort B: HER2-negative hormone receptor-positive tumors** (EXPERIMENTAL) — HER2-negative hormone receptor-positive tumors (Cohort B): Decitabine IV over 60 minutes on 4 days and pembrolizumab IV over 30 minutes on days 8 and 22. Four cycles of dose-dense doxorubicin and cyclophosphamide (AC), followed by 12 doses of weekly paclitaxel.
- **Cohort A2: Triple Negative Breast Cancer (TNBC) with Extended Pembrolizumab** (EXPERIMENTAL) — Triple Negative Breast Cancer (Cohort A2). Decitabine IV over 60 minutes on 4 days and pembrolizumab IV over 30 minutes on days 8 and 22. Four cycles of dose-dense doxorubicin and cyclophosphamide (AC), followed by 12 doses of weekly paclitaxel and carboplatin, and pembrolizumab every 3 weeks.

## Interventions

- **Doxorubicin** (DRUG) — 60 mg/m2 once every 2 weeks for 4 cycles.
- **Cyclophosphamide** (DRUG) — cyclophosphamide 600 mg/m2 (AC) once every 2 weeks for 4 cycles.
- **Paclitaxel** (DRUG) — Paclitaxel 80 mg/m2 IV once weekly for 12 weeks.
- **Carboplatin** (DRUG) — carboplatin IV 1.5 area under curve (AUC) once weekly for 12 weeks.
- **Decitabine** (DRUG) — Given IV
- **Pembrolizumab** (DRUG) — Given IV

## Primary Outcomes

- **The Percentage of Increase in Tumor and Stroma With Infiltrating Lymphocytes (TIL) From Baseline Pre-treatment Biopsy to Post-immunotherapy Biopsy Following Administration of Decitabine Followed by Pembrolizumab.** _(time frame: Baseline pre-treatment biopsy to post-immunotherapy biopsy following administration of decitabine followed by pembrolizumab, 3-7 day window after Day 22 medication administration, about one month)_ — To determine and quantify if treatment with neoadjuvant decitabine followed by pembrolizumab increases lymphocyte infiltration into tumor and/or stroma in patients with locally advanced, HER2-negative breast cancer.

## Secondary Outcomes

- **Number of Adverse Events (AEs) Reported During and After Immune Treatment (ie, Decitabine and Pembrolizumab)** _(time frame: Time of study registration until 30 days following the end of administration of decitabine and pembrolizumab, or until another cancer treatment was initiated, or 30 days following surgery, 12- months.)_
- **Number of Patients Meeting Criteria for Lymphocyte-predominant Breast Cancer (LPBC) Following Treatment With Decitabine and Pembrolizumab** _(time frame: Assessed at end of administration of decitabine and pembrolizumab Day- Window of time Days 25-29)_
- **Number of Patients With Pathologic Complete Response (pCR) in the Breast and Post-therapy Lymph Nodes.** _(time frame: End of administration of decitabine and pembrolizumab Day- Window of time Days 25-29, or 30 days following surgery)_
- **Number of Patients With no or Minimal Residual Disease in the Resected Breast and Axillary Specimen.** _(time frame: End of therapy surgery)_
- **The Number of Patients With Clinical Complete Response (cCR)** _(time frame: End of therapy surgery)_
- **Enumeration of T Cells and Immune Cell Subsets** _(time frame: Assessed at end of administration of decitabine and pembrolizumab Day- Window of time Days 25-29)_
- **Evaluation of Expression of Protein Programmed Death-Ligand 1 (PD-L1) Within Tumor, Stroma, and Infiltrating Immune Cells Combined, at Baseline and Following Immunotherapy.** _(time frame: Assessed at end of administration of decitabine and pembrolizumab Day- Window of time Days 25-29)_
- **Change of Intensity of Programmed Death-Ligand 1 (PD-L1) Expression by Assay as it Relates to Pathologic Complete Response (pCR) Rates From Chemotherapy** _(time frame: Baseline biopsy (BX1) before treatment, end of therapy (EOT) surgery 2nd core biopsy (BX2) 3-7 days following last dose of pre-chemotherapy pembrolizumab (i.e after the second dose of pembrolizumab))_
- **Change of Intensity of PD-L1 Expression by Assay as it Relates to Pathologic Complete Response pCR Rates From Chemotherapy Tumor Samples for Proprietary PD-L1 Staining.** _(time frame: Baseline biopsy (BX1) prior to therapy, EOT surgery 2nd core biopsy (BX2) 3-7 days following last dose of pre-chemotherapy pembrolizumab)_
- **Evaluation of Myeloid-derived Suppressor Cells (MDSC) Identified in Blood Samples Post-decitabine Compared to MDSC Found in Blood Samples Collected at Baseline.** _(time frame: Assessed at end of administration of decitabine compared to assessment at baseline prior to protocol treatments.)_
- **Evaluation of Myeloid-derived Suppressor Cells (MDSC) Identified in Blood Samples Post-pembrolizumab Compared to MDSC Found in Blood Samples Collected at Baseline.** _(time frame: Assessed at baseline, after administration of decitabine, after decitabine and 2 doses of pembrolizumab.)_
- **Event Free Survival (EFS) Rate at 12 Months Following the Last Dose of Pembrolizumab.** _(time frame: 12 Months following surgery)_

## Locations (4)

- St. Elizabeth Healthcare, Edgewood, Kentucky, United States
- Ohio State University Comprehensive Cancer Center, Columbus, Ohio, United States
- University of Virginia, Charlottesville, Virginia, United States
- Virginia Commonwealth University/Massey Cancer Center, Richmond, Virginia, United States

## Recent Field Changes (last 30 days)

- `status.overallStatus` — added _(2026-05-12)_
- `status.primaryCompletionDate` — added _(2026-05-12)_
- `status.completionDate` — added _(2026-05-12)_
- `status.lastUpdatePostDate` — added _(2026-05-12)_
- `design.phases` — added _(2026-05-12)_
- `design.enrollmentCount` — added _(2026-05-12)_
- `eligibility.criteria` — added _(2026-05-12)_
- `eligibility.minAge` — added _(2026-05-12)_
- `eligibility.sex` — added _(2026-05-12)_
- `outcomes.primary` — added _(2026-05-12)_
- `outcomes.secondary` — added _(2026-05-12)_
- `armsInterventions.arms` — added _(2026-05-12)_
- `armsInterventions.interventions` — added _(2026-05-12)_
- `sponsor.lead` — added _(2026-05-12)_
- `sponsor.collaborators` — added _(2026-05-12)_
- `results.hasResults` — added _(2026-05-12)_
- `locations.st. elizabeth healthcare|edgewood|kentucky|united states` — added _(2026-05-12)_
- `locations.ohio state university comprehensive cancer center|columbus|ohio|united states` — added _(2026-05-12)_
- `locations.university of virginia|charlottesville|virginia|united states` — added _(2026-05-12)_
- `locations.virginia commonwealth university/massey cancer center|richmond|virginia|united states` — added _(2026-05-12)_

---

*Canonical: https://parkinsonspathways.com/agent/trials/NCT02957968.md*  
*Source data (authoritative): https://clinicaltrials.gov/study/NCT02957968*  
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