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© 2003 The American Society for Nutritional Sciences J. Nutr. 133:808-813, March 2003

Food Products Containing Free Tall Oil-Based Phytosterols and Oat ß-Glucan Lower Serum Total and LDL Cholesterol in Hypercholesterolemic Adults1

Kevin C. Maki2, Fred Shinnick*, Marlyn A. Seeley, Patricia E. Veith, Laura C. Quinn, Pamela J. Hallissey, Arlene Temer and Michael H. Davidson

Chicago Center for Clinical Research, Chicago, IL and * Altus Food Company, Chicago, IL

2To whom correspondence should be addressed. E-mail: kmaki{at}protocare.com


    ABSTRACT
 TOP
 ABSTRACT
 MATERIALS AND METHODS
 RESULTS
 DISCUSSION
 LITERATURE CITED
 
This randomized, double-blind, controlled trial evaluated the influence of low fat, low saturated fat food products that contained free tall oil–based phytosterols (TOP) and oat ß-glucan (from whole oats and bran concentrate) on serum lipid concentrations in adults with mild-to-moderate hypercholesterolemia. After a 5-wk National Cholesterol Education Program Step I diet lead-in period, 112 subjects incorporated one of two treatments into their diets for 6 wk: food products (cereal, snack bar and beverage) that provided 1.8 g TOP and 2.8 g ß-glucan/d and contained <=3.0 g total fat and <=1.0 g saturated fat (TOP/ß-glucan treatment) or similar control foods. The serum LDL cholesterol response from baseline to the end of study was significantly larger in the TOP/ß-glucan treated group than in the control group, in which there was no change (-3.7 vs. 0.4%; P = 0.013). Likewise, total cholesterol decreased in the TOP/ß-glucan treatment group and did not change significantly in the controls (-2.3 vs. 0.8%; P = 0.043). Serum HDL cholesterol and triglyceride responses did not differ between the groups. The results of this trial suggest that consumption of a group of low fat, TOP and ß-glucan– containing foods is a useful adjunct in the dietary management of hypercholesterolemia.


KEY WORDS: • hypercholesterolemia • lipids • tall oil • phytosterols • ß-glucan

Coronary heart disease (CHD)3 is the leading cause of death in the United States (1 ). Compelling evidence indicates that the risk of CHD can be decreased by reducing total and LDL cholesterol concentrations (25 ). The National Cholesterol Education Program (NCEP) Step I dietary recommendations, and now the Therapeutic Lifestyle Changes (TLC) diet, emphasize limiting saturated fatty acid and cholesterol intakes. In practice, institution of the NCEP Step I diet has produced reductions in LDL cholesterol of 3 to 10% (611 ). Because this is frequently not large enough to achieve target LDL cholesterol levels, an adjunct to diet therapy is often needed. For this reason, the Adult Treatment Panel III of the NCEP recommends phytosterols (plant sterols) and soluble fiber as adjunctive lipid-lowering therapies (4 ).

Plant sterols are structurally similar to cholesterol and compete with cholesterol for incorporation into micelles in the intestine. Usual levels of phytosterol consumption do not significantly affect cholesterol absorption. When consumed at higher levels, however, these compounds inhibit absorption of exogenous and endogenous cholesterol in the gastrointestinal tract (12 ,13 ). Tall oil– based phytosterols (TOP) are extracted from tall oil, which is a fat-soluble by-product obtained from trees during the pulping process (14 ). Regular consumption of TOP has been shown to significantly lower total and LDL cholesterol concentrations (1421 ).

Consumption of ß-glucan has also been shown to reduce total and LDL cholesterol levels (2226 ). ß-Glucan is the predominant soluble fiber in oat products. The mechanism by which ß-glucan lowers cholesterol levels may be related to its viscosity, bile salt binding capacity or fermentability (23 ,27 ). A meta-analysis of 19 clinical trials indicates that daily consumption of 3 g ß-glucan can reduce total cholesterol levels by 0.13 to 0.15 mmol/L (25 ).

The present study was conducted to evaluate the effects of a group of low fat food products containing free TOP and oat ß-glucan (from whole oats and bran concentrate) on serum lipid levels in adults with mild-to-moderate hypercholesterolemia.


    MATERIALS AND METHODS
 TOP
 ABSTRACT
 MATERIALS AND METHODS
 RESULTS
 DISCUSSION
 LITERATURE CITED
 
This was a randomized, double-blind, controlled clinical trial conducted at the Chicago Center for Clinical Research (Chicago, IL). This study was performed according to Good Clinical Practice Guidelines (International Conference on Harmonization: Good Clinical Practice: Consolidated Guideline, Notice of Availability, FederalRegister 25692, 1997), the Declaration of Helsinki (1996) and US 21 CFR Part 50 Protection of Human Subjects, and Part 56 Institutional Review Boards. An institutional review board (Schulman Associates IRB, Cincinnati, OH) approved the protocol before the initiation of the study. Study procedures were reviewed with subjects and each participant provided written informed consent before protocol-specific procedures were carried out.

Subjects.

Potential participants (21 to 75 y of age) were recruited from the Chicago metropolitan area and prescreened by telephone. Eligibility was further assessed at screening and baseline visits (wk –6, –5, –1 and 0). Subjects had to have LDL cholesterol between 3.36 and 5.17 mmol/L, triglycerides <= 9.05 mmol/L and a body mass index (BMI) <= 38.0 kg/m2 at the wk –1 visit. Participants also had to be in apparent good health, as indicated by a physical examination, an electrocardiogram and serum chemistry, hematology and urinalysis panels. Women of childbearing potential were required to have a negative urine pregnancy test and to use an approved method of contraception throughout the study.

Subjects were excluded if they had Type I, III, IV or V secondary hyperlipoproteinemia. Use of hypolipidemic medication (including niacin or its analogs at doses of > 400 mg/d) within 4 wk of the wk –6 visit was also exclusionary, as was the use of hypolipidemic supplements [including plant sterol, (n-3) fatty acids and dietary fiber supplements] within 1 wk of the wk –6 visit. Other exclusionary medications included drugs for regulating hemostasis (except for a stable dose of aspirin), hypoglycemic medications, systemic corticosteroids, androgens, phenytoin, erythromycin and thyroid hormone (except stable-dose replacement therapy for >=2 mo before enrollment).

Poorly controlled hypertension (systolic blood pressure >= 160 mm Hg and/or diastolic blood pressure >= 100 mm Hg) was an exclusion criterion for this study, although subjects with adequately controlled hypertension were allowed to participate provided that their dose of antihypertensive therapy had remained constant for 2 mo before the wk –6 visit. The following were also exclusionary: diabetes mellitus or a fasting glucose >= 1.26 g/L at the wk –5 visit; history of cancer within the previous 5 y (with the exception of nonmelanoma skin cancer or basal cell carcinoma); current or recent history (within 6 mo) of significant atherosclerotic, hepatic, gastrointestinal, pulmonary, endocrine or renal disease; and a recent history (within the past 12 mo) or a strong potential for substance abuse.

Clinic visits.

Subjects visited the clinic at wk –6, –5 and –1 (screening), at wk 0 (baseline) and at wk 2, 5 and 6 (treatment) for assessments of vital signs, height (wk –6 only) and weight, and a fasting serum lipid profile [total, LDL and HDL cholesterol, and triglycerides]. Serum chemistry, hematology and urinalysis panels were completed at wk –5, and a urine pregnancy test (for women of childbearing potential) was performed at baseline (wk 0). An electrocardiogram and a physical examination were performed at wk –1. At wk –6, subjects were instructed to continue their usual diets. At wk –5, they were instructed on the NCEP Step I diet. Compliance with this diet was reinforced at each subsequent visit. The Eating Pattern Assessment Tool (EPAT) (28 ) was completed at wk –6, 0 and 6, to aid in the assessment of dietary fat and saturated fat intakes during dietary counseling. Three-day diet records were dispensed at wk –6, –1 and 5, and collected and analyzed at wk –5, 0 and 6, respectively. Diet records were analyzed using the University of Minnesota Nutrition Data System for Research (NDS-R), version 4.02_30 software (1999).

Subjects were randomized at baseline (wk 0) to one of two double-blind treatments: food products that provided 1.8 g TOP and 2.8 g ß-glucan per day and contained <=3.0 g total fat and <=1.0 g saturated fat (TOP/ß-glucan treatment) or similar food products that provided < 1.0 g ß-glucan and no TOP (control). Assessments of concomitant medication use and adverse events were performed at each treatment visit (wk 2, 5 and 6).

Study products.

Table 1 presents the nutritional composition of the TOP/ß-glucan and control food products. Food products for each treatment included a cereal, a snack bar and a beverage. Subjects were instructed to consume one of each of these products daily, for a total of three doses of study product per day.


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TABLE 1 Nutrient compositions of the TOP/ß-glucan and control food products1,2

 
Each product in the TOP/ß-glucan treatment was formulated to be indistinguishable in taste and appearance to the same type of control product (cereal, snack bar or beverage). Study products were also similar in nutrient composition, with the primary differences being the phytosterol and ß-glucan contents. The group of TOP/ß-glucan products provided 1.8 g TOP and 2.8 g ß-glucan per day. The group of control products provided < 1.0 g ß-glucan per day and no TOP. The source of ß-glucan in the treatment cereal was whole grain rolled oats. The control cereal was primarily corn flakes with some whole grain rolled wheat and crisp rice. The ß-glucan source in the treatment snack bar was whole grain rolled oats and oat bran concentrate. The control snack bar contained primarily crisp rice. The ß-glucan compositions of the test and control cereals and snack bars were assessed using the Association of Analytical Communities 995.16 method (29 ). There was no ß-glucan in the treatment or control beverages. The primary difference between these beverages was that the treatment beverage contained 1.8 g of TOP and the control beverage did not.

The free TOP used in the TOP/ß-glucan food products was supplied by ReducolTM (Novartis Consumer Health SA, Nyon, Switzerland, produced by Forbes Meditech, Vancouver, Canada). Reducol has a composition of 44% sitosterol, 25% sitostanol, 12% campesterol and 6% campestanol. The phytosterol content of each food product was assessed by a method that uses gas chromatography (30 ). The sterols were extracted from the food samples with toluene. The toluene was then evaporated and the sterols were silylated with N,O-bis(trimethylsilyl) trifluoroacetamide in pyridine. The silylated sterols were assessed by gas chromatography using 5-{alpha}-cholestane as an internal standard.

Laboratory measurements.

Medical Research Laboratories (Highland Heights, KY) performed laboratory measurements including urinalyses and serum chemistry, hematology and lipid profiles. This laboratory participates in the Centers for Disease Control and Prevention lipid standardization program (31 ). Serum chemistry analysis was conducted on the Hitachi 747 (Roche Diagnostics, Indianapolis, IN) and serum hematology testing utilized the Coulter STKS (Coulter Corporation, Miami, FL). Urinalyses were completed using the Clinitek Atlas (Bayer Diagnostics, Tarrytown, NY).

Cholesterol and triglycerides were measured enzymatically (using reagents that contained cholesterol oxidase, esterase and peroxidase for cholesterol, and lipase, L-{alpha}-glycerophosphate oxidase, peroxidase and glycerokinase for triglycerides) using the Hitachi 747 (Roche Diagnostics). Heparin and manganese chloride were used to isolate HDL cholesterol. LDL cholesterol was calculated using the Friedewald equation (LDL cholesterol = total cholesterol – HDL cholesterol – triglycerides/5) (32 ). Because this equation is not valid when the triglyceride concentration is above 10.34 mmol/L, LDL cholesterol was not calculated under these circumstances.

Statistical analyses.

Statistical analyses were conducted using the SAS version 8.0 statistical analysis package (SAS Institute, Cary, NC). Analyses are presented for an intent-to-treat sample. This sample includes all subjects who completed at least one postrandomization assessment of lipids after receiving at least one dose of study product. The last observations were carried forward to impute missing values.

Baseline comparability of treatments for age, height, weight, vital signs measurements and lipid values was assessed by ANOVA. Comparability between treatment groups for gender and race was evaluated by the chi-square test. ANOVA models including treatment as the independent variable were generated to compare responses between groups for the following variables: LDL, total and HDL cholesterol; triglycerides; and the ratio of LDL cholesterol to HDL cholesterol. For these analyses, screening, baseline, and end-of-study values were defined as means of values collected at wk –6 and –5; wk –1 and 0; and wk 5 and 6, respectively. Within-treatment group comparisons were assessed by the single-sample t test.

Differences between treatments in dietary intake were also assessed by ANOVA. Possible differences in the incidence of adverse events were measured with Fisher’s exact (two-tail) test. All tests for significance were performed at {alpha} = 0.05, two-tailed.


    RESULTS
 TOP
 ABSTRACT
 MATERIALS AND METHODS
 RESULTS
 DISCUSSION
 LITERATURE CITED
 
Subjects and demographics.

Two-hundred and sixty-eight people were screened to identify the 112 subjects randomized. Seven (6.3%) of the randomized subjects dropped out of the study before completing the intervention period. Reasons reported for discontinuation of subjects in the TOP/ß-glucan treatment included noncompliance with the protocol (n = 1) and withdrawal of consent (n = 1). Subjects who dropped out of the control did so because of noncompliance with the protocol (n = 1), withdrawal of consent (n = 2) and adverse events [rash on arm and groin, abdominal pain in lower left quadrant (n = 1); angioedema and mouth swelling (n = 1)] judged by the Investigator to be possibly or probably related to the study control products.

Table 2 shows the demographic and baseline characteristics of subjects. Subjects in the TOP/ß-glucan treatment group were significantly older than those assigned to the control group (59.3 ± 1.4 vs. 55.2 ± 1.1 y, respectively; P = 0.028). There were no significant differences between treatments in sex, race, height, weight, BMI or blood pressure. The approximate mean height and weight of subjects were 169 cm and 80 kg, respectively. Subjects had a mean BMI of ~28 kg/m2. Of the subjects in the TOP/ß-glucan treatment group, 51% were female as were 62% in the control group. The majority of subjects (~75%) were non-Hispanic White.


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TABLE 2 Demographic and baseline characteristics of subjects1,2

 
Mean compliance with study product consumption for all three food products exceeded 95% in both groups. There were no significant differences between treatments in mean overall compliance with study product intake or for consumption of the cereal, snack bar or beverage independently.

Dietary analyses.

Results of 3-d diet record analyses at screening, baseline and the end-of-study are presented in Table 3 . Reported intakes of energy, carbohydrate, fat, saturated fatty acids, polyunsaturated fatty acids (PUFA), monounsaturated fatty acids, dietary fiber and cholesterol were not significantly different between treatments at screening or baseline. The percentage of energy (% energy) from protein at screening was slightly higher in the TOP/ß-glucan group than in controls (17.9 ± 0.5 vs. 16.4 ± 0.6%; P = 0.026).


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TABLE 3 Analyses of dietary variables for tall oil–based phytosterol/ß-glucan and control treatment groups at screening (wk –5), baseline (wk 0) and end-of-study (wk 6)13

 
Both groups showed reductions in total fat, saturated fat and cholesterol intakes after dietary counseling. Further reductions were observed after randomization because of the incorporation of the low fat study foods into subjects’ diets. At the end of the treatment period, both groups had mean intakes of total fat, saturated fat and cholesterol that were well within the NCEP Step I diet targets. Both groups maintained their weight from screening through the end of treatment (change in TOP/ß-glucan group -0.1 ± 0.2 kg vs. in control group -0.1 ± 0.1 kg).

Compared to controls, dietary fiber intake in the TOP/ß-glucan treatment group was greater at the end of the treatment period (16.8 ± 1.0 vs. 21.6 ± 1.1 g/d; P = 0.003). Likewise, reported consumption of soluble fiber was greater in the TOP/ß-glucan treatment group (7.4 ± 0.4 g/d) than in the control (5.1 ± 0.3 g/d; P < 0.0001). Differences in intakes of total and soluble dietary fiber matched very closely with those expected based on the composition of the study products.

Lipids.

Table 4 details the lipid concentrations at screening, baseline and the end-of-study, and the percentage changes from screening to baseline and from baseline to the end-of-study. There were no significant differences between treatments at screening for total, LDL or HDL cholesterol concentrations, the LDL/HDL cholesterol ratio, or triglyceride levels. Subjects in both groups entered the study with a mean LDL cholesterol level of ~4.14 mmol/L. After diet counseling, the LDL cholesterol concentration changed significantly in the TOP/ß-glucan group (-3.7 ± 1.0%, P = 0.0004), but not in the control group (-0.3 ± 1.5%). A further reduction of 3.7 ± 1.2% (P = 0.002) compared to baseline occurred in the TOP/ß-glucan group during treatment, whereas LDL cholesterol levels were unchanged in control subjects (0.4 ± 1.5%). The difference in response between groups tended to be significant for the screening to baseline period (P = 0.077) and was significant for the baseline to end-of-study period (P = 0.013).


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TABLE 4 Serum lipid concentrations for tall oil–based phytosterol/ß-glucan and control treatment groups at screening, baseline and end-of-study, and percentage changes (% {Delta}) from screening to baseline and from baseline to end-of-study12

 
Serum total cholesterol concentrations paralleled those of LDL cholesterol. In the TOP/ß-glucan treatment group, a reduction of 2.6 ± 0.8% (P = 0.002) occurred from screening to baseline and a further reduction of 2.3 ± 1.0% occurred during treatment (P = 0.040). No significant changes in serum total cholesterol concentration during either period were noted in the control group.

No significant changes occurred in HDL cholesterol or triglyceride concentrations during the trial in the TOP/ß-glucan treatment group. Significant within-group changes from baseline in HDL cholesterol (-3.9 ± 1.1%, P = 0.0006) and triglyceride levels (median change = 7.9%, P = 0.002) occurred in the control group. The LDL/HDL cholesterol ratio responses differed (P = 0.003) between groups: -1.8 ± 1.3 (NS) vs. 4.8 ± 1.7% (P = 0.007) in the TOP/ß-glucan and control groups, respectively.

Adverse events.

With the exception of an increased incidence of rhinitis in the TOP/ß-glucan treatment group (17.5 vs. 7.3% for control; P = 0.026), there were no other statistically or clinically important differences between treatments in the incidence of adverse events overall or for any body system. All reported cases of rhinitis in the TOP/ß-glucan group were considered mild in severity and judged by the Investigator to be unrelated to the study product.


    DISCUSSION
 TOP
 ABSTRACT
 MATERIALS AND METHODS
 RESULTS
 DISCUSSION
 LITERATURE CITED
 
Results of this randomized, double-blind, controlled trial demonstrate that subjects with mild-to-moderate hypercholesterolemia can reduce their LDL and total cholesterol levels by consuming a group of TOP/ß-glucan– containing foods as part of a diet low in saturated fat and cholesterol. Fasting lipid levels of those who consumed food products that provided 1.8 g TOP and 2.8 g ß-glucan (from whole oats and bran concentrate) per day were compared to those of subjects who consumed similar food products that provided <1.0 g ß-glucan per day and no TOP. Mean LDL and total cholesterol levels at the start of the study were identical for each group. The combination of the NCEP Step I diet plus TOP/ß-glucan products resulted in a modest, but clinically important reduction from screening to end of treatment of 0.33 mmol/L (8.0%) in the mean LDL cholesterol concentration, whereas diet therapy plus control products resulted in a negligible reduction of 0.04 mmol/L (1.0%).

This trial was not designed to evaluate the separate contributions of the active ingredients in the study products (TOP and ß-glucan). Rather, the study aim was to assess the efficacy of a group of commercially available functional food products that would reduce LDL cholesterol when incorporated into a therapeutic diet.

There is substantial evidence to suggest that sterol/stanol and ß-glucan–containing foods effectively reduce elevated levels of LDL cholesterol (1426 ). In previous studies, daily consumption of 2 to 3 g/d plant sterols or stanols was shown to lower total and LDL cholesterol levels by 5 to 15% (15 ,1820 ). Results from studies using ß-glucan from oats suggest that consumption of 2 to 3 g/d will lower the LDL cholesterol concentration by 4 to 5% (33 ). Differences between the active and control study products in TOP and ß-glucan for the present study were 1.8 and 2.0 g/d, respectively. Therefore, the observed LDL cholesterol response was at the low end of the expected range, given results from previous trials.

Roughly one-half of adults in the United States have elevated cholesterol levels (34 ). Each 5% reduction in LDL cholesterol in the population would decrease the number of people who qualify for drug therapy by 5 to 7 million (34 ,35 ). Therefore, dietary interventions that produce modest but sustained reductions in LDL cholesterol have the potential to have an important public health impact. The NCEP ATP III guidelines encourage the use of phytosterols and soluble fiber as therapeutic options to enhance LDL cholesterol lowering (4 ). In the current study, the addition of the TOP/ß-glucan– containing foods had an additional effect on LDL cholesterol that was equivalent to the influence of the initial diet counseling.

Very little LDL cholesterol reduction occurred in the control group after initiation of the NCEP Step I diet (change = -0.3%). Subjects in the active treatment group showed a more typical response (-3.7%). Because this was a double-blind, placebo-controlled trial, it is likely that this difference represents a chance occurrence. Notably, the diet record analyses suggest that in both the control and TOP/ß-glucan groups, intakes of fat, saturated fat and cholesterol during the treatment period were significantly reduced beyond the levels consumed after counseling on the NCEP Step I diet. The control group experienced a small increase in triglycerides (median change = 7.9%, P = 0.002) and a small decline in the HDL cholesterol concentration (change = -3.9%, P = 0.0006). This is most likely due to greater carbohydrate and lower fat intakes as a result of consuming the low fat, high carbohydrate study foods, which apparently displaced other higher fat items from the diet. Increased triglycerides and reduced HDL cholesterol are well-documented effects of replacing dietary fat with carbohydrate (36 ). As a result of the decline in HDL cholesterol concentration, the LDL/HDL cholesterol ratio rose significantly among control subjects during the treatment period (4.8%, P = 0.007). Despite consumption of foods with similar macronutrient composition, the TOP/ß-glucan treatment group did not show significant adverse changes in triglycerides, HDL cholesterol or the LDL/HDL cholesterol ratio.

As the food industry develops products intended for use as adjunctive cholesterol-lowering therapies, it is important that they keep the needs of consumers in focus. People are unlikely to consider a product for long-term use unless it tastes good and is practical to consume. The group of TOP/ß-glucan– containing foods used in the present study included a cereal, a snack bar and a beverage. Mean compliance with consumption of these products was > 95%, suggesting that the taste of these products was acceptable and that they were easily incorporated into a low fat diet. Therefore, these foods can be recommended with the expectation that people will consider them for long-term use.

In conclusion, the results of the present study provide evidence that consumption of a group of low fat, TOP and ß-glucan–containing foods is a useful adjunct in the dietary management of hypercholesterolemia.


    FOOTNOTES
 
1 Supported by Altus Food Company, Chicago, IL. Back

3 Abbreviations used: ATP, Adult Treatment Panel; BMI, body mass index; CHD, coronary heart disease; EPAT, Eating Pattern Assessment Tool; NCEP, National Cholesterol Education Program; NDS-R, Nutrition Data System for Research; TOP, tall oil– based phytosterols. Back

Manuscript received 10 July 2002. Initial review completed 26 July 2002. Revision accepted 25 November 2002.


    LITERATURE CITED
 TOP
 ABSTRACT
 MATERIALS AND METHODS
 RESULTS
 DISCUSSION
 LITERATURE CITED
 

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