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Youngjae Byun, Jin Bong Hwang, Sung Hwan Bang

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Formulation and characterization of a-tocopherol loaded poly 3-caprolactone<br />

(PCL) nanoparticles<br />

<strong>Youngjae</strong> <strong>Byun</strong> a , <strong>Jin</strong> <strong>Bong</strong> <strong><strong>Hwan</strong>g</strong> c , <strong>Sung</strong> <strong>Hwan</strong> <strong>Bang</strong> d , Duncan Darby a , Kay Cooksey a , Paul L. Dawson b ,<br />

Hyun <strong>Jin</strong> Park a,d , Scott Whiteside a, *<br />

a Department of Packaging Science, B-212 Poole & Agricultural Center, Clemson University, Clemson, SC 29634-0320, USA<br />

b Department of Food Science, 204 Poole & Agricultural Center, Clemson University, Clemson, SC 29634-0320, USA<br />

c Korea Food Research Institute, 516 Bakhyun-dong, Bundang-gu, <strong>Sung</strong>nam-Si, Gyeonggi-do, 463-746, Republic of Korea<br />

d Department of Food Technology, 306 School of Life Science and Biotechnology, Korea University, Seoul, 136-701, Republic of Korea<br />

article info<br />

Article history:<br />

Received 27 January 2010<br />

Received in revised form<br />

24 June 2010<br />

Accepted 27 June 2010<br />

Keywords:<br />

Polycaprolactone<br />

Antioxidant<br />

Emulsion<br />

Ultrasonification<br />

a-tocopherol<br />

1. Introduction<br />

abstract<br />

Free radicals or, more generally, reactive oxygen species<br />

(ROS) are products of normal cellular metabolism. They are the<br />

molecules or molecular fragments containing unpaired electrons.<br />

The unpaired electron usually gives a considerable degree of reactivity<br />

to the free radical. ROS are well recognized for playing a dual<br />

role as both deleterious and beneficial species (Valko et al., 2007).<br />

The harmful effect of free radicals occurs in biological systems<br />

when there is an overproduction of ROS on one side and a deficiency<br />

of enzymatic and non-enzymatic antioxidants on the other.<br />

Overproduction of ROS can be an important mediator of damage<br />

to cell structures, including lipids and membranes, proteins,<br />

and DNA (Blander, Oliveira, Conboy, Haigis, & Guarente, 2003;<br />

Harman, 1993).<br />

Vitamin E has a fundamental role in the normal metabolism of<br />

all cells. It has biological antioxidant activity capable of terminating<br />

chain reactions and it can chemically prevent lipid oxidation<br />

* Corresponding author. Tel.: þ1 864 656 6246; fax: þ1 864 656 4395.<br />

E-mail address: wwhtsd@clemson.edu (S. Whiteside).<br />

0023-6438/$ e see front matter Ó 2010 Elsevier Ltd. All rights reserved.<br />

doi:10.1016/j.lwt.2010.06.032<br />

LWT - Food Science and Technology 44 (2011) 24e28<br />

Contents lists available at ScienceDirect<br />

LWT - Food Science and Technology<br />

journal homepage: www.elsevier.com/locate/lwt<br />

a-tocopherol-loaded poly 3-caprolactone (PCL) nanoparticles were prepared by emulsion solvent evaporation<br />

with ultrasonification technique. The influences of PCL concentration (3 and 5 g/100 mL), solvent<br />

in the oil phase (methylene chloride (DCM) and methylene chloride: acetonitrile ¼ 50:50 (DCM:ACN)),<br />

and ultrasonification time (1, 2, and 3 min) were investigated. Encapsulation efficiency (%) was calculated<br />

by Duncan’s multiple rage tests and it decreased from 87.73 to 57.45 when ultrasonification time was<br />

increased from 1 to 3 min. DCM as a solvent in the oil phase and 5 g/100 mL PCL showed better<br />

encapsulation efficiency than DCM:ACN and 3 g/100 mL PCL. Particle mean size was decreased when<br />

ultrasonification time was increased from 1 to 3 min. Nanoparticles with DCM as a solvent in the oil<br />

phase had larger particle mean size than the particle with DCM:ACN. There were no significant differences<br />

in particle mean size between two PCL concentrations. PCL with 3 g/100 mL concentration had<br />

higher a-tocopherol loading (%) than 5 g/100 mL PCL. Overall, 5 g/100 mL PCL in DCM as solvent in the oil<br />

phase with 3 min ultrasonification time showed the best encapsulation formulation.<br />

Ó 2010 Elsevier Ltd. All rights reserved.<br />

(Combs, 2008, pp. 181e212). a-tocopherol is the most abundant<br />

lipid-soluble, chain-breaking antioxidant and it is the most biologically<br />

active form of vitamin E compounds. The free radical<br />

scavenging reactivity of the four tocopherols has been measured,<br />

with the order of a-tocopherol > g-tocopherol > b-tocopherol > dtocopherol<br />

(Lien, Ren, Bui, & Wang, 1999).<br />

Many methods have been developed for preparing nanoparticles.<br />

Commonly used methods of preparing nanoparticles<br />

from biodegradable polymers include emulsion solvent evaporation<br />

(Sahoo, Panyam, Prabha, & Labhasetwar, 2002; Scholes et al.,<br />

1993), nanoprecipitation (Govender, Stolnik, Garnett, Illum, &<br />

Davis, 1999; Leo, Brina, Forni, & Vandelli, 2004), salting out procedure<br />

(Konan, Gurny, & Allemann, 2002), and a combined method<br />

(Mccarron, Donnelly, & Marouf, 2006). The difference between<br />

emulsion solvent evaporation and nanoprecipitation is that the<br />

main phases in the emulsion solvent evaporation stay immiscible at<br />

all times, only to be removed later by evaporation. Emulsion solvent<br />

evaporation method involves two steps. The first step requires<br />

emulsification of the polymer solution into an aqueous phase.<br />

During the second step, the solvent used in the polymer solvent is<br />

evaporated, inducing polymer precipitation as nanospheres (Reis,<br />

Neufeld, Ribeiro, & Veiga, 2006).


In this research, poly 3-caprolactone (PCL) was used to encapsulate<br />

a-tocopherol within nanospheres. PCL is semi-crystalline<br />

biodegradable and biocompatible polyester with low glass transition<br />

temperature and melting point (Pitt, 1990). It has been investigated<br />

for drug delivery for several years and it is non-toxic and<br />

non-mutagenic (Forrest, Zhao, Won, Malick, & Kwon, 2006; Mora-<br />

Huertas, Fessi, & Elaissari, 2010). Moreover, it is considerably lower<br />

cost than other biodegradable polyesters such as polyglycolide,<br />

polylactide, and their copolymers.<br />

The objective of this work was to entrap a-tocopherol within<br />

PCL nanoparticles by O/W emulsion solvent evaporation with<br />

ultrasonification method and to optimize the encapsulation<br />

formulation. To achieve this goal, this study was designed to assess<br />

the influence of formulation variables on the characteristics of<br />

nanoparticles such as encapsulation efficiency, a-tocopherol<br />

loading, particle size, zeta potential, and morphology. The formulation<br />

variables were as follows: (1) solvent in the oil phase;<br />

(2) concentration of PCL; (3) ultrasonification time.<br />

2. Materials and methods<br />

2.1. Materials<br />

a-tocopherol (Mw 430.7 g/mol) was purchased from EMD<br />

Bioscience (CA, USA). Poly 3-caprolactone (PCL, Mw 65,000 g/mol)<br />

was purchased from SigmaeAldrich (MO, USA). Polyvinyl alcohol<br />

(PVA, Mw 22,000 g/mol) was purchased from Acros organics (NJ,<br />

USA). Methylene chloride (DCM), methanol, and acetonitrile (ACN),<br />

all HPLC grade were purchased from J.T.Baker (USA). Phosphate<br />

Buffered Saline (PBS, 10 liquid concentrate) was purchased from<br />

EMD Bioscience (CA, USA).<br />

2.2. Formulation of nanoparticles containing a-tocopherol<br />

In this study, nanoparticles were prepared using an oil-in-water<br />

emulsion solvent evaporation with ultrasonification technique<br />

(Fig. 1) by modification of previous works (Kim, <strong><strong>Hwan</strong>g</strong>, Park, &<br />

Park, 2005 and Konan et al., 2002). Three factors were statistically<br />

examined, solvent in the oil phase, PCL concentration, and<br />

ultrasonification time (Table 1).<br />

In this procedure, specific amount of PCL (300 or 500 mg) was<br />

dissolved in 10 mL of solvent (methylene chloride or methylene<br />

chloride:acetonitrile ¼ 50:50) containing 10 mg of a-tocopherol.<br />

A PVA (2g/100 mL) solution was prepared in PBS solution. The<br />

PCL solution was added to 40 mL of the PVA solution. The total<br />

mixture in 250 mL centrifuge bottle was then placed in an ice bath<br />

and emulsified using a Branson Digital Sonifier (model 250, Connecticut,<br />

USA) with 55 W of energy output for a specific time<br />

(1, 2, and 3 min) to obtain an oil-in-water emulsion. Another 40 mL of<br />

the PVA solution was then added to the emulsion. The final solution<br />

was stirred for 12 h at 300 rpm on a magnetic stir plate to allow the<br />

evaporation of methylene chloride and acetonitrile and to allow<br />

the formation of the nanoparticles. The suspension was then<br />

centrifuged at 4880 g for 20 min. The pellet was resuspended in<br />

distilled water and centrifuged three more times at 1220 g for 20 min<br />

each. These washing steps were performed to remove unencapsulated<br />

PVA and a-tocopherol. The nanoparticles were collected and<br />

frozen at 80 C for at least 2 h and subsequently freeze dried for 2<br />

days. The freeze dried nanoparticles were stored at 4 C.<br />

2.3. a-Tocopherol encapsulation efficiency (%) and loading (%)<br />

Encapsulation efficiency was determined by an extraction<br />

method. Dried nanoparticles (10 mg) were dissolved in 5 mL of<br />

methylene chloride and 5 mL of distilled water. The mixture was<br />

Y. <strong>Byun</strong> et al. / LWT - Food Science and Technology 44 (2011) 24e28 25<br />

Fig. 1. Flow chart depicting the encapsulation process.<br />

vigorously vortexed for 1 min and sonicated 5 min in order to<br />

extract the a-tocopherol into the organic solution. Then, methylene<br />

chloride was evaporated and replaced with methanol. The 2 mL of<br />

organic solution was filtered and the a-tocopherol content of the<br />

solution was analyzed by HPLC (Waters 1525 Binary HPLC pump,<br />

USA).<br />

The experiment was performed in triplicate and the encapsulation<br />

efficiency was calculated using the ratio of the mass of<br />

Table 1<br />

Batch compositions used for constituting a-tocopheroleloaded nanoparticle.<br />

Code PCL concentration<br />

(g/100 mL)<br />

3M1 3 DCM a<br />

Solvent in the oil<br />

phase<br />

3M2 3 DCM 2<br />

3M3 3 DCM 3<br />

5M1 5 DCM 1<br />

5M2 5 DCM 2<br />

5M3 5 DCM 3<br />

3MA1 3 DCM:ACN b<br />

1<br />

3MA2 3 DCM:ACN 2<br />

3MA3 3 DCM:ACN 3<br />

5MA1 5 DCM:ACN 1<br />

5MA2 5 DCM:ACN 2<br />

5MA3 5 DCM:ACN 3<br />

a DCM: Methylene chloride, ACN: Acetonitrile.<br />

b (DCM:ACN): DCM:ACN ¼ 50:50.<br />

Ultrasonification<br />

time (min)<br />

1


26<br />

Fig. 2. Effects of (a) solvent in the oil phase, (b) PCL concentration, and (c) ultrasonification<br />

time on particle mean size (n ¼ 18 and LSD ¼ 110.15 for PCL concentration<br />

and solvent in the oil phase, n ¼ 12 and LSD ¼ 134.91 for ultrasonification time,<br />

p < 0.05).<br />

a-tocopherol determined analytically to the mass of a-tocopherol<br />

added during the formation process, as shown in Eq. (1). The atocopherol<br />

loading (%) was calculated using the ratio of the mass of<br />

a-tocopherol determined to the mass of total nanoparticle, as<br />

shown in Eq. (2).<br />

Encapsulation efficiency ð%Þ ¼<br />

Mass of a tocopherol determined ðmgÞ<br />

Mass of a tocopherol added ðmgÞ<br />

a tocopherol loading ð%Þ ¼<br />

Mass of a tocopherol determined ðmgÞ<br />

Mass of total nanoparticle ðmgÞ<br />

2.4. Particle mean size and zeta potential<br />

100 ð1Þ<br />

100 ð2Þ<br />

A dilute suspension of nanoparticles was prepared in distilled<br />

water. Particle mean size and size distribution were determined by<br />

Zetasizer (Nano-ZS, Malvern Instrumet, UK). The surface charges on<br />

nanoparticles were also examined by measuring their zeta potentials<br />

using the Zetasizer.<br />

2.5. Scanning electron microscopy<br />

The morphology of the nanoparticles was examined by scanning<br />

electron microscopy (S-4800 UHR FE-SEM, Hitachi high technologies<br />

America, Inc.). Surfaces were prepared using platinum coating.<br />

SEM images were taken at 3 kV with 5 k magnification and 10 mm<br />

scale bar was used.<br />

Y. <strong>Byun</strong> et al. / LWT - Food Science and Technology 44 (2011) 24e28<br />

Fig. 3. Effecs of (a) solvent in the oil phase, (b) PCL concentration, and (c) ultrasonification<br />

time on encapsulation efficiency (n ¼ 18 and LSD ¼ 7.61 for PCL concentration<br />

and solvent in the oil phase, n ¼ 12 and LSD ¼ 9.32 for ultrasonification time,<br />

p < 0.05).<br />

Fig. 4. Effects of (a) solvent in the oil phase, (b) PCL concentration, and (c) ultrasonification<br />

time on loading (n ¼ 18 and LSD ¼ 0.2106 for PCL concentration and<br />

solvent in the oil phase, n ¼ 12 and LSD ¼ 0.2579 for ultrasonification time, p < 0.05).


2.6. Statistical analysis<br />

Statistics were performed with the analysis of variance (ANOVA)<br />

using SAS (version 9.1, SAS Institute Inc., Cary, NC, USA). Differences<br />

among mean values were processed by Duncan’s multiple range<br />

tests and the least significant difference (LSD). Significance was<br />

defined at a level of p < 0.05.<br />

3. Results and discussion<br />

3.1. The effect of solvent on properties of nanoparticle<br />

The solvent in the oil phase dissolves into the aqueous phase<br />

and then, evaporates in the O/W emulsion solvent evaporation<br />

method. The extent and speed of solvent transfer from the oil<br />

phase into the aqueous phase depends on the solubility. The<br />

solvent composition can be a key factor in controlling the solvent<br />

removal rate and the final size of the microspheres (Maia &<br />

Santana, 2004). In this study, the particle mean size of the<br />

nanoparticles prepared by DCM:ACN as the solvent in the oil<br />

phase was smaller than that prepared by DCM only (Fig. 2). The<br />

water-miscible solvent quickly diffused out of the polymer solution.<br />

Then, DCM was removed leading to hardening of the capsule<br />

(Luong-Van, Grondahl, Nurcombe, & Cool, 2007). The water<br />

solubility of ACN was greater than DCM and therefore the rate of<br />

precipitation was higher than the rate with DCM. Due to the high<br />

water solubility of ACN, it had higher diffusion rate before<br />

hardening. This was the major reason for the smaller particle<br />

mean size prepared by mixture of DCM and ACN (Kim et al.,<br />

2005). In this study, encapsulation efficiency was increased<br />

when DCM was used as the solvent in the oil phase (Fig. 3). By<br />

increasing the particle mean size, the a-tocopherol diffusion into<br />

the aqueous solution decreased because there was a longer<br />

distance to a-tocopherol travel. Consequently, higher encapsulation<br />

efficiency was associated with an increase in the particle<br />

Y. <strong>Byun</strong> et al. / LWT - Food Science and Technology 44 (2011) 24e28 27<br />

Fig. 5. SEM images of nanoparticles (a) 5M1 (b) 5M2 (c) 5M3.<br />

mean size. There were no significant differences in a-tocopherol<br />

loading (%) between the two solvents (Fig. 4).<br />

3.2. The effect of polymer concentration on properties of<br />

nanoparticle<br />

Polymer concentration is also a key factor. In this study, two PCL<br />

concentrations, 3 and 5 g/100 mL, were selected. Those concentrations<br />

showed the best result in preliminary test. The encapsulation<br />

efficiency was increased by increasing PCL concentration<br />

from 3 to 5 g/100 mL (Fig. 3). By increasing the polymer concentration<br />

in the organic phase, the viscosity of the solution was<br />

increased (Ito, Fujimori, & Makino, 2007). Increasing viscosity can<br />

decrease the a-tocopherol diffusion into the aqueous phase and<br />

thus increase the a-tocopherol incorporation into the nanoparticles<br />

(Song et al., 2008). Consequently, the encapsulation efficiency of<br />

nanoparticles was increased by increasing the polymer concentration.<br />

Conversely, a-tocopherol loading (%) was decreased by<br />

increasing PCL concentration (Fig. 4). Increasing viscosity increased<br />

the total mass of PCL in the nanoparticles. This decreased the ratio<br />

of a-tocopherol to the total mass of nanoparticles, thus decreasing<br />

a-tocopherol loading (%). It was observed that there were no<br />

significant differences in particle mean size between two PCL<br />

concentrations (Fig. 2).<br />

3.3. The effect of ultrasonification time on properties of<br />

nanoparticle<br />

Ultrasonification time is another key factor. In this study, particle<br />

mean size was decreased by increasing ultrasonification time from<br />

1 to 3 min (Fig. 2). The increased time of ultrasonification led to the<br />

formation of smaller nanoparticles. It was also observed that<br />

encapsulation efficiency was decreased by increasing ultrasonification<br />

time from 1 to 3 min (Fig. 3). Increasing the ultrasonification<br />

time resulted in a reduction in the encapsulation<br />

efficiency due to the decreasing particle mean size (Song et al., 2008).


28<br />

Table 2<br />

Properties of a-tocopheroleloaded nanoparticle.<br />

Code Encapsulation<br />

efficiency (%)<br />

3M1 79.57 10.32 bc<br />

3M2 65.22 6.78 cd<br />

3M3 54.53 5.22 d<br />

5M1 96.42 4.27 a<br />

5M2 90.72 14.15 ab<br />

5M3 90.95 6.15 ab<br />

3MA1 79.65 7.89 bc<br />

3MA2 50.39 4.06 d<br />

3MA3 24.91 1.83 e<br />

5MA1 95.29 12.52 a<br />

5MA2 63.18 9.54 d<br />

5MA3 59.41 9.08 d<br />

Again, encapsulation efficiency is associated with the particle mean<br />

size. There were no significant differences in a-tocopherol loading<br />

(%) with respect to ultrasonification time (Fig. 4).<br />

3.4. Overall properties of nanoparticles<br />

The shape of nanoparticles was spherical and regular as visualized<br />

in the SEM photographs (Fig. 5). There were agglomerates of<br />

fragments when DCM:ACN was used as a solvent in the oil phase<br />

(Figure was not shown).<br />

Selecting the best formulation is a critical issue for further<br />

research. In this research, the nanoparticle with higher encapsulation<br />

efficiency (%) had higher total amount of particle than the<br />

nanoparticle with higher loading (%). Therefore, higher encapsulation<br />

efficiency (%) is more important factor than higher loading<br />

(%) to select the best formulation (Table 2).<br />

Encapsulation efficiency ranged from 25 to 96% depending on<br />

the different factors (Table 2). Only four formulations showed over<br />

90% of encapsulation efficiency; 5M1, 5M2, 5M3, and 5MA1<br />

(Table 2). a-tocopherol loading (%) in the nanoparticles ranged from<br />

2.12 to 3.51% (Table 2). It was observed that a-tocopherol loading<br />

(%) of 5M3 was higher than that of 5M1, 5M2, and 5MA1. In this<br />

research, less than 500 nm of particle mean size was considered<br />

as an adequate particle mean size and less than 0.5 of polydispersity<br />

was considered as a good size distribution. Particle mean<br />

size ranged from 247 to 1070 nm (Table 2). 5M3 had 369 nm<br />

particle mean size with 0.27 polydispersity and 5M2 had 448 nm<br />

particle mean size with 0.40 polydispersity. On the other hand,<br />

5M1 and 5MA1 had particle mean size above 700 nm with 0.60<br />

polydispersity.<br />

4. Conclusion<br />

a-tocopherol<br />

loading (%)<br />

3.01 0.38 ab<br />

3.21 0.22 a<br />

3.06 0.25 a<br />

2.26 0.14 c<br />

2.12 0.42 c<br />

2.50 0.28 bc<br />

3.51 0.35 a<br />

3.20 0.20 a<br />

3.19 0.17 a<br />

2.41 0.49 c<br />

2.12 0.34 c<br />

2.31 0.32 c<br />

Results are expressed as the mean SD (n ¼ 3).<br />

aei The different letters within same column differ significantly (p < 0.05).<br />

Total amount of<br />

particle (mg)<br />

264.33 2.52 d<br />

203.00 16.64 fg<br />

178.33 2.89 gh<br />

426.33 10.02 a<br />

430.67 22.14 a<br />

365.67 33.86 b<br />

226.67 2.89 ef<br />

158.00 20.22 h<br />

78.33 7.64 i<br />

400.33 35.70 a<br />

298.67 13.58 c<br />

257.33 5.03 de<br />

a-tocopherol-loaded PCL nanoparticles as a free radical scavenger<br />

were prepared by O/W emulsion solvent evaporation with<br />

ultrasonification technique. It has been shown that PCL concentration,<br />

solvent in the oil phase, and ultrasonification time all<br />

significantly affected the encapsulation efficiency (%). In contrast,<br />

solvent in the oil phase and ultrasonification time did not significantly<br />

affect a-tocopherol loading (%) and PCL concentration did<br />

not significantly affect particle mean size.<br />

Overall, 5 g/100 mL PCL in DCM as the solvent in the oil phase<br />

with 3 min ultrasonification time showed good encapsulation<br />

efficiency (%), smaller particle mean size with good polydispersity,<br />

well-shaped particle, and high a-tocopherol loading (%). Due to<br />

these results, this formulation was selected for further research.<br />

Y. <strong>Byun</strong> et al. / LWT - Food Science and Technology 44 (2011) 24e28<br />

References<br />

Particle mean<br />

size (nm)<br />

1070 55.75 a<br />

908.23 4.71 b<br />

370.23 14.35 e<br />

767.83 46.30 c<br />

448.87 0.85 d<br />

368.03 3.47 e<br />

399.50 11.07 e<br />

316.20 3.92 f<br />

247.70 1.65 g<br />

733.17 27.80 c<br />

392.77 12.42 e<br />

376.10 7.08 e<br />

Polydispersity<br />

(PI)<br />

0.70 0.04 a<br />

0.70 0.01 a<br />

0.28 0.04 ef<br />

0.59 0.02 b<br />

0.40 0.02 c<br />

0.27 0.03 ef<br />

0.37 0.01 cd<br />

0.25 0.01 f<br />

0.10 0.04 g<br />

0.60 0.04 b<br />

0.33 0.02 de<br />

0.29 0.08 ef<br />

Zeta potential<br />

(mV)<br />

14.73 0.61 g<br />

12.83 0.29 f<br />

10.57 0.21 bc<br />

11.97 0.49 ef<br />

11.77 0.81 de<br />

12.13 0.23 ef<br />

10.87 0.72 cd<br />

9.83 0.12 b<br />

7.70 0.16 a<br />

16.23 0.74 h<br />

15.23 1.10 gh<br />

15.70 0.26 gh<br />

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