International Journal of
Environmental Research
and Public Health
Review
Recent Advances in Nanoencapsulation Systems
Using PLGA of Bioactive Phenolics for Protection
against Chronic Diseases
Rohanizah Abdul Rahim 1,2 , Putri Ayu Jayusman 1 , Norliza Muhammad 1 , Fairus Ahmad 3 ,
Norfilza Mokhtar 4 , Isa Naina Mohamed 1 , Norazlina Mohamed 1 and Ahmad Nazrun Shuid 1, *
1
2
3
4
*
Pharmacology Department, Faculty of Medicine, Universiti Kebangsaan Malaysia, Cheras,
56000 Kuala Lumpur, Malaysia; rohanizah@usm.my (R.A.R.); putri.ayujay@gmail.com (P.A.J.);
norliza_ssp@ppukm.ukm.edu.my (N.M.); isanaina@ppukm.ukm.edu.my (I.N.M.);
azlina@ppukm.ukm.edu.my (N.M.)
Advanced Medical and Dental Institute, Universiti Sains Malaysia, Bertam, 13200 Kepala Batas,
Pulau Pinang, Malaysia
Anatomy Department, Faculty of Medicine, Universiti Kebangsaan Malaysia, Cheras, 56000 Kuala Lumpur,
Malaysia; apai.kie@gmail.com
Physiology Department, Faculty of Medicine, Universiti Kebangsaan Malaysia, Cheras,
56000 Kuala Lumpur, Malaysia; norfilza@ppukm.ukm.edu.my
Correspondence: anazrun@ukm.edu.my
Received: 12 November 2019; Accepted: 4 December 2019; Published: 6 December 2019
Abstract: Plant-derived polyphenolic compounds have gained widespread recognition as remarkable
nutraceuticals for the prevention and treatment of various disorders, such as cardiovascular,
neurodegenerative, diabetes, osteoporosis, and neoplastic diseases. Evidence from the epidemiological
studies has suggested the association between long-term consumption of diets rich in polyphenols and
protection against chronic diseases. Nevertheless, the applications of these phytochemicals are limited
due to its low solubility, low bioavailability, instability, and degradability by in vivo and in vitro
conditions. Therefore, in recent years, newer approaches have been attempted to solve the restrictions
related to their delivery system. Nanoencapsulation of phenolic compounds with biopolymeric
nanoparticles could be a promising strategy for protection and effective delivery of phenolics.
Poly(lactic-co-glycolic acid) (PLGA) is one of the most successfully developed biodegradable polymers
that has attracted considerable attention due to its attractive properties. In this review, our main goal
is to cover the relevant recent studies that explore the pharmaceutical significance and therapeutic
superiority of the advance delivery systems of phenolic compounds using PLGA-based nanoparticles.
A summary of the recent studies implementing encapsulation techniques applied to polyphenolic
compounds from plants confirmed that nanoencapsulation with PLGA nanoparticles is a promising
approach to potentialize their therapeutic activity.
Keywords: nanoparticles; encapsulation; polyphenols; poly (lactic-co-glycolic acid)
1. Introduction
Nowadays, the world appears to be increasingly interested in health benefits of foodstuff and its
health-enhancing ingredients [1]. Bioactive compounds, which have been extensively studied for their
roles in disease prevention, are extra-nutritional constituents that typically occur in small quantities in
plants and food products [2]. Epidemiological studies and associated meta-analyses have strongly
suggested that long-term consumption of diets rich in plant polyphenols provide protection against the
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www.mdpi.com/journal/ijerph
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development of various diseases, including cancers, cardiovascular diseases, diabetes, osteoporosis,
and neurodegenerative diseases [3].
Polyphenols are secondary metabolites present in all vascular plants that have been implicated as
the active components in a number of herbal and traditional medicines [4]. More than 8000 polyphenolic
compounds have been identified in various plant species and several of them are known to possess a
wide spectrum of pharmacological properties [5]. Fruits like grapes, apple, pear, cherries, and berries
contains up to 200 to 300 mg polyphenols per 100 grams of their fresh weight. Since polyphenols can
be found in a diverse range of foods (fruits, vegetables, cereals) and beverages, it has been estimated
that in a normal diet, the daily intake of phenols could range from about 20 mg to 1 g, which may be as
higher as the recommended intake of vitamin E [6]. Estimated dietary intakes may differ for each class
of polyphenols but the total intake of polyphenols in people who eat several servings of fruits and
vegetables per day probably may reach 1 g/d [7].
Most of the etiology and progression of acute and chronic clinical disorders were induced by
oxidative and nitrosative stresses, which may suggest that antioxidants can display health benefits
as prophylactic agents [8]. Many of the biological functions of polyphenols have been attributed
to their free radical scavenging and antioxidant activities. Polyphenols exhibit a wide range of
pharmacological properties, including antibacterial, anti-inflammatory, antiallergic, hepatoprotective,
antithrombotic, antiviral, anticarcinogenic, and vasodilatory actions [9]. Molecular studies have
revealed that polyphenols can exert modulatory actions in biological cells by the interaction with
molecular targets central to the cell signaling machinery [8]. It is well established that polyphenol-rich
diets may increase plasma antioxidant capacity. Polyphenols may protect cell constituents against the
harmful oxidative damage and therefore, limit the risk of various degenerative diseases associated
with oxidative stress.
However, the health benefit of polyphenols is not only dependent on their intake but also their
bioavailability. Since metabolites reaching the blood and tissues are different from those present in
food, identification of metabolites and evaluation of their biological activity is a big challenge [10].
Several studies have shown that polyphenols were extensively metabolized during transportation
across the small intestine and liver, resulting in significant alteration of their redox potential [8]. Only a
small proportion of the molecules remain available following oral administration, which could limit
the activity and potential health benefits of polyphenols [11].
One of the approaches to improve the bioavailability of polyphenols is by incorporating them
into nanoparticles. In recent years, nanotechnology has been rapidly expanding in the food and
pharmaceutical industries, especially with the application of nanoencapsulation of bioactive compounds
for biological purposes [12,13]. It involves the production, processing, and application of materials with
sizes less than 1000 nm [14]. Polymeric nanoparticle is one of the most effective ways to circumvent the
delivery problems of phenolics, and for protection of the nutrients against undesirable circumstances.
Poly(lactic-co-glycolic acid) (PLGA) is a biodegradable polymer that has been successfully
developed in the field of nanomedicine. It undergoes hydrolysis in the body to produce the
biodegradable metabolite monomers, lactic acid and glycolic acid. These two monomers are endogenous
and easily metabolized by the body via the Kreb cycle, hence there is very minimal systematic toxicity
associated with the use of PLGA for biomaterial applications [15]. PLGA is approved by the US
Food and Drug Administration for therapeutic use in humans and is commercially available in
different molecular weights and copolymer compositions. The various forms of PLGA are identified
by the monomers’ ratios. It is well suited for sustained intracellular delivery of drugs and biological
macromolecules [16]. The current review summarizes relevant studies, which have explored the
therapeutic feasibility and pharmaceutical significance of PLGA nanopolymers as advanced delivery
systems for phenolic compounds.
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2. Phenolics Phytochemicals
Polyphenols may be classified into different groups based on the number of phenol rings they
possess and on the basic structure that bind these rings to one another [17]. They are mainly classified
as: phenolic acids (hydroxybenzoic acids and hydroxycinnamic acids), flavonoids, stilbenes, and
lignans. Figure 1 illustrates different groups of polyphenols and their basic chemical structures.
Figure 1. Groups of polyphenols and their basic chemical structures. (A) Phenolic acids, (B) flavonoids,
(C) stilbenes, and (D) lignans.
Phenolic acid accounts for about one-third of the polyphenolic compounds in our diet and
is abundant in acidic-tasting fruits. The term “phenolic acids” describes the phenolic compounds
that have one carboxylic group [18]. They are mainly divided into two sub-groups, which are
hydroxybenzoic and hydroxycinnamic acid [19]. The most commonly found hydroxybenzoic acids
are p-hydroxybenzoic, protocatechuic, vanilic, and syringic acids. Hydroxybenzoic acids possess a
common structure of C6 -C1 and are derived from benzoic acid. On the other hand, the four most
common hydroxycinnamic acids are ferulic, caffeic, p-coumaric, and sinapic acids [20]. Hydrobenzoic
acids can be found in tea while hydroxycinnamic acids can be found in cinnamon, coffee, blueberries,
kiwis, plums, apples, and cherries. These acids are mostly found as glycosylated derivatives of esters
of quinic acid, tartaric acid, and shikimic acid [7].
Flavonoids are the most abundant polyphenols found in the human diet. The basic structure
of flavonoids consists of two aromatic rings that are bound together by three carbon atoms forming
an oxygenated heterocycle. The literature has revealed that flavonoids possess both antioxidant and
anti-inflammatory properties, which are mainly found in fruits, vegetables, legumes, red wine, and
green tea. Flavonoids are subdivided into six classes: flavonols, flavones, isoflavones, flavanones,
anthocyanidins, and flavanols [7]. Flavonols being the most ubiquitous flavonoids in foods, are present
at relatively low concentrations. Quercetin and kaempferol are the main representatives of flavonols,
and are abundant in onions, curly kale, leeks, broccoli, and blueberries. Flavones, which are less
common than flavonols, mainly consist of glycosides of luteolin and apigenin. Parsley and celery are
the main edible sources of flavones [7]. Meanwhile, isoflavonoids that have structural similarities to
estrogens possess the ability to bind to estrogen receptors and thus, are classified as phytoestrogens.
Catechins and proanthocyanidins are the monomer and polymer forms of flavanols, respectively.
Green tea contains a substantial amount of catechins, including gallocatechin, epigallocatechin, and
epigallocatechin gallate (EGCG) [21].
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Stilbenes contain two phenyl moieties that are connected by a two-carbon methylene bridge. Since
stilbenes are found in low quantities in our diet, larger quantities may be needed to exert significant
health effects, which can be provided in concentrated extracts or in the form of purified compounds.
Resveratrol, which can be found in red wine and peanuts, is the most extensively studied stilbene.
It has been extensively studied for its anticarcinogenic effect [22]. However, the protective effect of
resveratrol is unlikely at normal nutritional intakes since this molecule is found in such small quantities
in the diet [23].
Lignans are diphenolic compounds containing a 2,3-dibenzylbutane structure that is formed by
the dimerization of two cinnamic acid residues [5]. Lignans can be found in flax seeds, legumes, cereals,
grains, fruits, algae, and certain vegetables. Flax seeds are high in lignans, at about a thousand times
higher than in other food sources.
It has been widely acknowledged that dietary polyphenols play important roles in human health.
High intake of fruits, vegetables, and cereals, which are rich in polyphenolic molecules, has been
associated with lower risks of chronic disorders [24]. Natural polyphenols have been shown to have
potent antioxidant activity from their role in the inhibition of free radicals by deactivating their active
species and/or precursors.
2.1. Antioxidant Mechanism of Action
The main mechanism proposed for the antioxidation action of phenols includes, molecular
complexation with pro-oxidant protein, chelation of potentially pro-oxidant metal ions (Fe3+ , Al3+ ,
Cu2+ ), or by direct trapping of reactive oxygen species (ROS) [25]. As a primary antioxidant,
polyphenols work to inactivate free radicals through the hydrogen atom transfer (HAT), single electron
transfer (SET), and transition metals chelation (TCM) [25].
In the HAT mechanism (1), the phenolic antioxidant, as indicated by ArOH, may react with the
free radical, R, by transferring its hydrogen atom through the hemolytic rupture of the O-H bond.
This reaction produces harmless RH species and oxidized ArO− radicals, which are less reactive than
the original reactive radicals. The main determining factor for the antioxidant action of the phenolic
compound in the HAT mechanism is bond dissociation enthalpy (BDE). The lower the BDE value
of the phenolic O-H bond, the easier the dissociation of the O-H bond to react with the free radicals.
The dissociation energy, BDE, is determined by the presence, number, and positions of additional
phenolic hydroxyl groups, their involvement in the formation of intramolecular hydrogen bonds,
and the possibility of allowing electronic delocalization based on the conformation throughout the
molecule [26].
In the SET mechanism (2), an electron from ArOH is donated to the free radical, R, which produces
an energetically stable anion species, R- , and a less reactive cation radical, ArOH+ •. The ionization
potential (IP) is the important determinant for the scavenging activity evaluation in this mechanism.
The lower the IP, the easier the electron abstraction [25]. The antioxidant potential efficacy of each
polyphenol mechanism is determined by the two basic physicochemical parameters, BDE and IP,
respectively. The stable phenoxy radicals, ArO• and ArOH+ •, are produced by the reactions as
the result of delocalization of their unpaired electron over the aromatic ring either by resonance or
hyperconjugation effects [26].
Hydrogen atom transfer (HAT):
ArOH + R•−−−−−−−−−−−−−−−−−−→ArO• + RH
(OH hemolytic rupture)
(1)
Single electron transfer (SET):
ArOH + R•−−−−−−−−−−−−−−−−−→ArOH+ • + R−
(electronic abstraction)
(2)
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Another antioxidative mechanism of polyphenols is via chelation of transition metals (transition
metal chelation, TCM) that leads to stable complex compounds [27,28]. The antioxidant capacity
of polyphenols prevents the redox-active transition metals from catalyzing free radical formation.
For instance, metal ions (mainly Fe2+ ) that react with hydrogen peroxide may be inactivated by
polyphenols through suppression of the superoxide-driven Fenton reaction, the harmful source of
ROS [29]. Hydroxyl radical (OH•) is the most reactive oxygen radical that cannot be eliminated by
enzymatic reactions and may react with any kind of substrate they encounter [30]. Hence, if these
metal ions are not bound to protein or any chelators, a Fenton-like reaction may take place, causing the
accumulation of free radicals and the initiation of biomolecules’ damage processes.
The formation of relatively stable phenoxyl radicals by an antioxidant mechanism may disrupt
the chain oxidation reactions in cellular compartments and protect cell constituents against oxidative
damage [31]. This may limit the risks of various degenerative diseases associated with oxidative
stress [32]. There are increasing evidences from animal studies that dietary supplementation with
polyphenols may limit the development of cancers, cardiovascular diseases, neurodegenerative
diseases, diabetes, and osteoporosis. These diseases are mainly associated with the occurrence of
oxidative damage to cell components, DNA, proteins, and lipids due to aging, which contributes to the
degeneration of somatic cells and the pathogenesis of the diseases.
Studies have also shown that polyphenols may induce phase II enzymes, such as glutathione
S-transferase via nuclear factor erythoid-2-related factor 2 (Nrf2)-mediated antioxidant responsive
element (ARE) pathway [33]. Polyphenols may be responsible for the release of Nrf2 from its cytosolic
inhibitor, Keap1, and an increase in Nrf2 stability. The stabilization of Nrf2 is important to maintain
the cellular defense mechanism [34]. This molecular basis demonstrated the role of polyphenols in
protection against the development of various diseases by regulating the antioxidant/detoxifying
enzymes via Nrf2 signaling.
Apart from its antioxidant activity, a large body of evidence exists for the anti-inflammatory
effects of polyphenols. The anti-inflammatory capacity of polyphenols is contributed by the following
functions: firstly, by acting as antioxidants, secondly by interfering with oxidative stress signaling,
and thirdly by suppressing the pro-inflammatory signaling transduction [35]. The potential molecular
mechanism of their anti-inflammatory activities may also include the inhibition of enzymes related
to inflammation, such as cyclooxygenase and lipoxygenase, and many others such as peroxisome
proliferator-activated receptors (PPAR), nitric oxide synthase (NOS), nuclear transcription factor κB
(NF-κB), and NSAID activated gene-1 (NAG-1) [36]. The modulatory effect of polyphenols on cellular
biomarkers related to oxidative stress and inflammation establish the role of polyphenols in reducing
the risk of many chronic diseases.
2.2. Health-Beneficial Effects of Polyphenols and Their Limitations
Prolonged oxidative stress could lead to chronic inflammation and chronic diseases [37]. The
abundant literature has shown that polyphenols provide protection against the development of
oxidative stress-related diseases. Even though cancer is one of the major causes of death in the world,
it is preventable and highly susceptible to modulation by dietary factors [38]. Phenolic compounds,
which are abundant in vegetables and fruits from our diet, are important chemopreventive agents.
For instance, studies have demonstrated that functional food in the Mediterranean diet displayed an
important role in cancer prevention by inactivating carcinogens, decreasing cell proliferation, inducing
cell cycle arrest and apoptosis, and inhibiting angiogenesis in many types of tumor [39].
Many polyphenolic compounds, such as quercetin, catechin, isoflavones, lignans, flavanones,
ellagic acid, curcumin, or resveratrol have been extensively studied. All of them showed protective
effects in different cancer models. A substantial number of in vivo and in vitro studies have documented
the cancer-preventive effect of quercetin by induction of apoptosis during different cycle stages without
affecting normal cells [40]. A study by Mu et al. [41] demonstrated the therapeutic effect of quercetin on
human hepatoma cell lines (HepG2), while Jeong et al. [42] evaluated the effect of quercetin in human
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breast carcinoma cells. These studies showed that quercetin protected cells from oxidative stress,
inflammation, and DNA damage via its antioxidant properties. In addition, quercetin modulated
the growth of many cancer cell lines by blocking cell cycle progression and tumor cell proliferation
and by inducing apoptosis. Resveratrol is another polyphenol, which has shown preventive effects
against many types of cancers, including activity on prostate, breast, and stomach cancer cell lines. It
affected carcinogenesis by modulating the signal transduction pathway that controls cell division and
growth, apoptosis, inflammation, angiogenesis, and metastasis [43]. However, the use of polyphenol in
humans as a chemopreventive agent was limited by their poor bioavailability. For instance, resveratrol
found in berries and grapes is well tolerated by humans but is rapidly metabolized, leading to a short
half-life and limited effectiveness [44,45].
Neurodegenerative diseases, such as Alzheimer’s disease, Parkinson’s disease, and other
types of dementia are dependent of oxidative stress that particularly affects brain tissues [46].
Therefore, antioxidant compounds may also contribute to the prevention of such diseases. Dietary
supplementation of fruits’ or vegetables’ extracts rich in polyphenols such as blueberry, spinach, and
strawberry has shown to retard and reverse age-related neuronal signal-transduction and cognitive
behavioral deficits in aging rats [47,48]. Apart from that, supplementation of grape polyphenols was
also shown to protect the experimental animals from the neurodegenerative changes induced by
chronic ethanol consumption by preventing the decrease in synaptic protein function [49]. On the
other hand, an in vitro experiment demonstrated that a low dose of green tea polyphenols is more
effective in preventing neurodegenerative disease compared to higher doses, which appeared to be
pro-oxidant and toxic [50]. The findings of the study have suggested that neuroprotective mechanism
of green tea polyphenols against oxidative stress-induced cell death include stimulation of protein
kinase C (PKC) and modulation of cell survival/cell cycle genes. However, little is known about
polyphenol concentration in the brain. There is an issue on the permeability of the blood–brain barrier
to polyphenols and several studies were carried out to determine polyphenols’ concentrations such as
flavanone (naringin and quercetin) and isoflavone (genistein) in the plasma and tissues of rats [51–53].
Data from these studies have demonstrated poor blood–brain barrier penetration of naringin, genistein,
or quercetin.
Osteoporosis and its fracture complication is another age-related disease that contributes to a high
mortality rate in humans [54]. Apart from hormonal imbalance and chronic inflammation, osteoporosis
is also associated with oxidative stress [55]. Lifestyle and dietary modification have been proposed as the
natural approach to reduce the risk of osteoporosis. Recently, many studies have found the link between
dietary polyphenols intake and bone health [56]. Bioactive phenolic compounds such as soy isoflavones
have attracted much attention as a possible alternative agent to prevent osteoporosis. Supplementation
of soybean isoflavones genistein, daidzein, or their glycosides to ovariectomised rats for several
weeks prevent the loss of bone mineral density and trabecular volume [57,58]. A meta-analysis of
several randomized clinical trials has revealed that supplementation of soy isoflavones could prevent
postmenopausal osteoporosis and improve bone strength by increasing lumbar spine bone mineral
density (BMD) and decreasing bone resorption marker (urine deoxypiridinoline), thereby decreasing
the risk of fracture [59,60]. However, soy isoflavones’ supplementation did not have a significant
favorable effect on BMD of total hip, femoral neck, and trochanter, as well as bone formation markers
(bone alkaline phosphatase and osteocalcin) in menopausal women. Further studies are required to
address factors affecting the magnitude of beneficial effects of soy isoflavones on bone [61].
Due to their potent antioxidant properties, abundance in diet, and preventive role of oxidative
stress-related diseases, researchers and food manufacturers have become more interested in
polyphenols [7]. These valuable properties are largely dependent on the stability, bioactivity, and
bioavailability of the active ingredients [62]. Polyphenols were reported to be unstable to pH, enzymes,
or the presence of other nutrients in the gastrointestinal system, thus limiting their activity and
potential [26].
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Food is conveniently taken orally but food processing into digestible form occurs in a strict
sequence. The lining of the digestive tract might not be proper for the absorption of bioactive
components from the food. After being swallowed and transferred into the stomach, digestion of the
food components takes place in the acid solution of the stomach [63]. In fact, only a small proportion is
absorbed due to short gastric residence time, low permeability, and low solubility. Therefore, these
compounds require a protective mechanism that can maintain the chemical integrity of the bioactive
components in order to deliver them to the physiological target [64].
In addition, polyphenols are sensitive to physical and chemical conditions such as light, heat,
and oxidation during food processing, distribution, or storage [26]. They may oxidize very quickly,
leading to the progressive appearance of brown color and/or unwanted odors with consequent loss
of activities. The unpleasant taste of most phenolic compounds, which is very astringent and bitter,
also limits their use in food or oral medication. Hence, it is important for product formulators and
manufacturers to provide protective mechanisms that can maintain the active molecular form up to
the time of consumption [64].
The utilization of encapsulated polyphenols or the formulation of a finished protected product
instead of free compounds could effectively overcome these limitations [26,62]. This could be achieved
by encapsulation technologies, such as spray drying, liposome entrapment, nanoencapsulation,
freeze-drying, inclusion complexation, and cocrystallization. Through these encapsulation systems, the
stability and physicochemical properties of nutrients were enhanced compared to the non-encapsulated
ingredients [65].
3. Nanoencapsulation of Phenolics
Encapsulation can be defined as a process to entrap an active agent or a substance within
another substance or carrier material [66]. In the food industry, encapsulation is a useful tool to
improve the delivery of biomolecules (antioxidants, minerals, vitamins, lycopene, fatty acids) and
living cells (antibiotic) into food. Since most of the nutraceuticals are sensitive and labile, the goal of
encapsulating nutraceuticals is to reduce the damage and protect the bioactive agents from undesirable
circumstances [65]. Beside bioactive protection, their bioavaibility was also improved due to an increase
in surface-to-volume ratio by reducing the particle size into the nano-range [67,68].
Nanoparticles are sub-micron solid particles that may or may not be biodegradable and can be
used for encapsulation of bioactive compounds [69]. Therefore, nanoencapsulation can be defined as a
process of coating a substance within another material at sizes on the nano-scale, ranging from 1 to
1000 nm [69,70]. Nanocarriers increase nutraceuticals’ bioavailability by allowing them to easily enter
the bloodstream from the gut [71].
Nanoencapsulation technology is a promising and a novel method that could preserve the core
material from adverse environmental conditions and undesirable effects that cause their degradation
through along the digestive tract [72]. Polyphenols’ nanoencapsulation could also alleviate the
unpleasant tastes or flavors and overcome the drawbacks related to its instability, as well as improve
the bioavailability and half-life of the compound in vivo and in vitro [62].
The selection of suitable materials and techniques for encapsulation are important for successful
encapsulation of bioactive compounds. Biodegradable polymeric nanoparticles are highly preferred
by many researchers from food and pharmaceutical fields due to their good properties in terms of
biocompatibility, design and preparation, structure variation, and bio-mimetic characters [73]. Apart
from that, they are stable in blood, have low toxicity, are non-thrombogenic, non-immunogenic,
non-inflammatory, and are applicable to various molecules [74].
Solvent evaporation method is the main dispersion method for the preparation of polymeric
nanoparticles [73]. This method can be used for nanoencapsulation of phenolic compounds such as
quercetin in polymeric nanoparticles. For instance, quercetin can be loaded in polymeric nanoparticles
by the solvent evaporation method to improve its poor aqueous solubility and stability. The
antioxidant activity assay has revealed that the functional activity of quercetin was retained after
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nanoencapsulation [75]. Emulsification or solvent diffusion is another dispersion method, which
is commonly used for creating nanoparticles. It has been used for loading of curcumin in PLGA
nanoparticles to improve oral bioavailability of curcumin by at least 9-fold [76]. The usage of highly
bioavailable nanoparticle formulation of polyphenols is expected to bring about the improvement of
phenolic compounds’ efficacy as a therapeutic agent for the treatment of numerous disorders.
3.1. Poly(lactic-co-glycolic acid) (PLGA)-Based Nanoparticles
PLGA has been extensively studied for polyphenols’ delivery due to their biocompatible and
biodegradable features. PLGA-nanoparticles are internalized in cells partly through fluid phase
pinocytosis and in part through clathrin-mediated endocytosis in vascular smooth muscle cells before
rapidly entering the cytoplasm [77]. Following internalization, biodegradable PLGA nanoparticles
undergo surface charge reversal in the acidic pH of endo-lysosomes, which facilitates an interaction of
nanoparticles with the vesicular membranes. This leads to transient and localized destabilization of
the membrane, thereby resulting in the escape of nanoparticles into cytosol [78]. A significant fraction
of nanoparticles underwent exocytosis and only 15% escaped into the cytosolic compartment. The
fraction of nanoparticles that escape the endosomal compartment may remain in the cytoplasmic
compartment and release the encapsulated therapeutic agent in a sustained manner as the polymer
slowly degrades [77].
In line with the technological advancement in drug delivery systems, PLGA has been widely and
successfully used to encapsulate extract of natural products, including polyphenols. A number of
in vitro and in vivo studies have been performed to confirm that nanoencapsulation of polyphenolic
compounds with biopolymer are useful in enhancing their protective potential.
3.2. Therapeutic Potentials of PLGA-Encapsulated Polyphenols
3.2.1. Anti-Inflammatory Potential
Most chronic illnesses, including cancer, diabetes, and cardiovascular diseases, are mediated
through chronic inflammation [79]. Hence, the suppression of chronic inflammation may have the
capacity to delay, prevent, and even treat various chronic diseases. A large number of studies have
shown that dietary polyphenols were associated with anti-inflammatory activities [35]. In fact, the free
radical scavenging activity of polyphenols was mainly contributed by the anti-inflammatory actions of
these molecules. In recent years, encapsulation of polyphenolic compounds with PLGA nanoparticles
have been extensively studied to overcome the setbacks related to their bioavailability and efficacy.
Polyphenolic compounds, particularly catechin, found in cherry extract possessed both antioxidant
and anti-inflammatory properties; however, they have low oral bioavailability. A recent study has
evaluated the efficacy of polyphenol-rich cherry extracts from Prunus avium L encapsulated in
PLGA nanoparticles [80]. Different concentrations of cherry extract were tested for its antioxidant
gastrointestinal permeability using a triple-cell-co-culture model (Caco-2/HT29-MTX/RajiB), which
resembles the intestine. Results from the study showed that PLGA nanoparticles were able to promote
permeability of the encapsulated cherry extract while maintaining their antioxidant activity. Due to its
low cytotoxicity, the use of PLGA nanoparticles could allow administration of higher cherry extract
doses. Cherry extract entrapped in PLGA nanoparticles has been found to protect human umbilical
vein endothelial cells (HUVECs) from oxidative stress induced by H2 O2 .
In another study, resveratrol-loaded galactosylated PLGA nanoparticles was evaluated for
their oral bioavailability and in vitro anti-inflammatory activity, in Sprague-dawley rats and
lipopolysaccharides-induced murine macrophage cell line, RAW 264.7, respectively [81]. Galactosylated
PLGA nanoparticles have significantly enhanced oral bioavailability of resveratrol. In situ single-pass
intestinal perfusion and cellular uptake evaluation showed that galactosylated nanoparticles could
improve the intestinal permeability and transcellular transport of resveratrol. The authors indicated
that resveratrol-loaded galactosylated PLGA nanoparticles could effectively promote the intestinal
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absorption of resveratrol and enhance its anti-inflammatory bioactivity, which may be a promising
approach for the treatment of inflammatory diseases.
Wan et al. [82] investigated the effect of resveratrol-loaded PLGA nanoparticles on non-alcoholic
fatty liver disease (NAFLD) therapy in HepG2 cells. NAFLD is characterized biochemically by
the inactivation of 5’ adenosine monophosphate-activated protein kinase (AMPK), hepatic lipid
accumulation, decreased insulin sensitivity, and inflammation [83]. Resveratrol-loaded PLGA that
was prepared according to an oil/water emulsion technique exhibited better efficiency in alleviating
lipogenesis, promoting lipolysis, and reducing hepatocellular proliferation than free resveratrol. The
superior property of resveratrol-loaded PLGA was due to its improved stability, water solubility,
and bioactivity.
As reported by Chakraborty et al. [84], PLGA encapsulated quercetin prepared using
emulsion-diffusion-evaporation methods, has significantly higher potency in downregulating matrix
metalloproteinase-9 (MMP-9), infiltration of inflammatory cells, and oxidative damage in rat gastric
tissues, compared to free quercetin. The nanoencapsulated quercetin could also prevent higher
inducible-NOS (iNOS) expression and NFκβ activation, which could lead to inflammation and cell
damage in ethanol-induced gastric ulcer.
Curcumin is an active polyphenol component isolated from turmeric roots, which possesses
anti-inflammatory and antioxidant properties. The literature has shown that curcumin could behave
as a universal anti-inflammatory drug but has a major drawback of poor in vivo bioavailability, due
to its hydrophobic nature. A study by Betbeder et al. [85] showed that PLGA nanoencapsulated
curcumin has greater antioxidant and anti-nitrosant activities in epithelial cells and in an acellular
model when compared to their free form. The authors suggested that PLGA nanoparticles may
create a nano-environment that concentrates and facilitates interactions of the curcumin with reactive
oxygen species (ROS) and reactive nitrogen species (RNS), and hence, augmented the antioxidant and
anti-nitrosant activities of curcumin.
Previous studies have shown that EGCG, which could be found in green tea, possessed very
strong antioxidant and anti-inflammatory properties. A study by Srivastava et al. [86] showed that
EGCG-loaded PLGA nanoparticles significantly induce DNA repair genes and inhibit the inflammatory
genes. These preventive actions were deduced from 7,12-dimethylbenzanthracene (DMBA)-induced
DNA damage in mouse skin using the DNA alkaline unwinding assay. The authors have demonstrated
that tea polyphenol loaded with PLGA nanoparticles have a 30-fold dose advantage over the free
EGCG doses in preventing DNA damage and could be used in chemoprevention.
3.2.2. Anti-Cancerous Potential
Natural products, including polyphenols, have been known for their anticancer effects for a
long time. A significant number of in vitro and in vivo studies have illustrated the protective role
of polyphenols against cancer due to their ability to interfere with the carcinogenesis process [5].
Apart from that, the therapeutic efficacy of polyphenols is also linked to their synergistic effect with
conventional drugs for several cancer treatments [87]. In recent years, a wide range of biocompatible
polymers has been utilized as polymeric nanoparticles to deliver anti-cancer drugs. Encapsulation of
polyphenolic compounds with synthetic polymer PLGA nanoparticles was also investigated in light of
enhancing the efficacy of their chemotherapeutic effects.
Quercetin and catechin, which are considered as important bioflavonoid polyphenols, have great
potential as antioxidant, anti-mutagenic, and anti-carcinogenic agents [88]. Pool et al. [89] proved
that the antioxidant effects of quercetin and catechin were enhanced by the incorporation with PLGA
nanoparticles. The antioxidant capacity measured by superoxide anion-scavenging activity, lipid
peroxidation assay, and chelating activity, showed that PLGA-encapsulated quercetin has more potent
antioxidant action against peroxyl radical-induced lipid peroxidation and greater chelating activity
towards transient metals than non-encapsulated quercetin. The results obtained from the study
suggested that these delivery systems may be suitable to increase the shelf life of bioactive flavonoids
Int. J. Environ. Res. Public Health 2019, 16, 4962
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and may be helpful as a therapeutic system to delay the development of oxidative stress-related
diseases, including cancer.
Quercetin has also shown great potential in reducing adverse side effects and enhancing anti-tumor
efficacy of chemotherapeutic drugs. PLGA-encapsulated polyphenols in combination with other
anticancer drugs, such as cisplatin and tamoxifen, have been investigated for its oral bioavailability and
therapeutic improvements. In their study, Jain et al. [90] investigated co-encapsulation of quercetin and
tamoxifen in polymeric nanoparticles and their implications on oral bioavailability, anti-tumor efficacy,
and drug-induced toxicity. The results demonstrated that encapsulation with PLGA nanoparticles
prepared by the emulsion-diffusion evaporation method possessed better oral delivery, ~3-fold, which
was about a 3-fold increase in oral bioavailability as compared to the free form quercetin. The
authors also showed that in contrast to free drugs’ combination, co-encapsulation with nanoparticles
resulted in higher anti-tumor efficacy, as revealed by higher tumor suppression when tested against a
DMBA-induced breast cancer model in female Sprague-Dawley rats. Co-encapsulation of quercetin
and tamoxifen with PLGA nanoparticles could be a promising approach in improving oral delivery of
quercetin and tamoxifen for cancer therapy.
The anticancer potential of polymer-based nanoparticles of EGCG and theaflavin alone or in
combination with cisplatin have been studied by Singh et al. [91] in human cancer lines, A549
(lung carcinoma), HeLa (cervical carcinoma), and THP-1 (acute monocytic leukemia), using the
cell proliferation assay and cell cycle assay. After nanoencapsulation with PLGA, polyphenols
alone or in combination with an anticancer drug, were found to be more effective in inhibiting
cell proliferation, metastasis, angiogenesis, and apoptosis biomarkers. The results showed that the
nanoencapsulated polyphenols exhibit ~20-folds, about a 20-fold dose advantage in exerting their
anticancer effect compared to native EGCG and theaflavin in A549, HeLa, and THP-1 cells. The
researchers demonstrated that PLGA-mediated delivery of polyphenols could serve as a basis for
enhancing bioavailability and limiting the unwanted toxicity of chemotherapeutic agents.
Nassir et al. [92] have studied the effect of encapsulated resveratrol in PLGA nanoparticles on
their cytotoxic and mode of apoptotic cell models’ death against prostate cancer cell lines. The results
showed that encapsulation of resveratrol with PLGA nanopolymer induced apoptosis in prostate
cancer cell lines with no adverse effect on normal macrophage cells. This was through the evaluation of
the MTT cytotoxic assay and combined use of different apoptotic markers, such as phosphatidylserine
externalization, the TUNEL assay, analysis of mitochondrial membrane potential, cell cycle status, the
caspase-3 assay, and assessment of ROS generation. In addition, resveratrol nanoparticles exhibited
significantly greater cytotoxicity towards prostate cancer cell lines compared to free resveratrol. No
adverse cytotoxic effects on murine macrophages were observed even at the highest dose. The
authors supported the potential developing and use of resveratrol-loaded nanoparticles for prostate
cancer chemoprevention.
3.2.3. Neuroprotective Potential
Polymeric materials, including PLGA, were among the first to be used to transport drugs to the
brain [93]. Nanoparticles for brain application have dimensions of fewer than 200 nm. The small
aggregation size conferred a high degree of tissue penetration. Nanotechnology may be able to tackle
the limited efficacy of polyphenols applications for the treatment and management of many disorders,
including brain diseases. Other than improving the aqueous solubility and bioavailability of drugs,
a nanoparticle-based delivery system also may overcome physiological barriers [94,95]. Polyphenols
have low bioavailability in the brain due to their limited capacity to cross the blood–brain barrier.
Hence, the use of polymeric-based nanotechnology to deliver natural polyphenolic compounds across
the blood–brain barrier seems to be a promising strategy for neurodegenerative diseases’ prevention
and treatment.
Studies have demonstrated that curcumin-loaded nanoparticles were an effective and attractive
treatment for brain diseases, particularly Alzheimer’s disease, Parkinson’s disease, and cancer.
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Szymusiak et al. [96] proved that the incorporation of highly hydrophobic curcumin into stable
polymeric nanoparticles, PLGA could enhance its oral absorption. Pharmacokinetic analysis after
oral delivery of nano-curcumin demonstrated that the dose requirement was reduced approximately
2-fold to achieve comparable plasma and central nervous system tissue concentrations in mice when
compared to non-encapsulated curcumin.
More recently, the effect of PLGA nanoparticles loaded with curcumin on neuronal
differentiation and neuronal stem cells’ proliferation were explored in a study by Tiwari et al. [97].
Curcumin-encapsulated PLGA nanoparticles were shown to potently induce neuronal stem cells’
proliferation and neuronal differentiation in vitro and in adult rats’ hippopocampus and subventricular
zone, as compared to uncoated curcumin. Based on transmission electron microscopy analysis,
the PLGA-nanoencapsulated form of curcumin induced neurogenesis by internalization into the
hippocampus. Curcumin nanoparticles significantly increased expression of the genes involved in cell
proliferation and neuronal differentiation. The results also demonstrated that PLGA-encapsulated
curcumin reversed the deficits in hippocampal neurogenesis and in learning and memory dysfunction
in an Alzheimer’s disease rat model. Curcumin nanoparticles induced neurogenesis by activation of the
canonical Wnt/β-catenin pathway and enhanced the brain self-repair mechanism. PLGA-encapsulated
curcumin could be a promising therapeutic approach in treating neurodegenerative diseases such as
Alzheimer’s disease.
As is widely described in previous studies, quercetin may exert a protective action against
Alzheimer’s disease and other oxidative stress-related neurodegenerative diseases [98,99]. However,
Ansari et al. [99] showed that quercetin acted as an antioxidant at lower doses, but was neurotoxic at
higher doses. The neuroprotective effect of quercetin was also limited by its poor blood–brain barrier
permeability. Ghosh et al. [100] evaluated the therapeutic efficacy of PLGA-nanoencapsulated quercetin
in combating ischemia-reperfusion-induced neuronal damage in young and aged Swiss Albino rats. It
was demonstrated that three days of continuous reperfusion after ischemia caused massive damage to
neuronal cells. Upregulation of inducible nitric oxide synthase (iNOS) expression may lead to excessive
nitric oxide (NO) production, which in turn may react with superoxide to form peroxynitrite, a powerful
radical that induced neuronal death after cerebral ischemia [101]. Oral treatment of nanoencapsulated
quercetin was found to downregulate iNOS and caspase 3 activities and improve neuronal count in
the hippocampal subfields. The results suggested that PLGA nanoencapsulation could be a potential
approach to deliver quercetin to the brain and provide the protection against oxidative stress causing
ischemic neuronal damage.
To date, there is no published clinical trial on nanotechnology-based polyphenol delivery systems
in neurodegenerative diseases. Preclinical in vivo and in vitro studies suggested that a polymeric
nanoparticle-based polyphenol delivery system could enhance the absorption of phenolic compounds
and improve their ability to cross the blood–brain barrier. PLGA nanoparticles could also enhance the
characteristic of polyphenols to overcome limitations with conventional administration. This could be
a good strategy for the prevention and treatment of neurodegenerative diseases.
3.2.4. Anti-Osteoporosis Potential
The anti-osteoporosis properties of polyphenolic compounds may be augmented when combined
with a special delivery system, such as PLGA nanoparticles. Ahn et al. [102] was the first to
demonstrate the effect of curcumin-loaded PLGA nanoparticles against bone loss in ovariectomised
rats. There were improvements in bone mineral density and trabecular microarchitecture in rats fed
with curcumin-loaded nanoparticles compared to non-encapsulated curcumin. Quantitative real-time
PCR analyses of osteogenesis/osteoclast-related genes in the tibia of ovariectomised rats revealed
that curcumin nanoparticles significantly improved bone remodeling. The authors suggested that
encapsulation with PLGA nanoparticles could enhance the protective effect of curcumin against
ovariectomised-induced bone loss.
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In another study by Khalil et al. [103], PLGA-encapsulated Citrus medica leaves extract that is rich
in flavonoids was combined with rosiglitazone to prevent osteoporosis induced by diabetes in rats.
Combined therapy of rosiglitazone and Citrus medica nanoparticles reduced the risk of osteoporosis in
insulin-resistant rats. The osteoprotegerin (OPG), receptor activator of nuclear factor kappa-B ligand
(RANKL), and β2-microglobulin levels were much improved in diabetic rats receiving Citrus medica
nanoparticles. The BMD data also showed that citrus flavonoids prevented both cortical and trabecular
bone loss of the femur.
Studies on the effects of encapsulating polyphenolic compounds with PLGA nanoparticles against
osteoporotic bone loss are still lacking. The available studies have demonstrated that polymeric
nano-technological techniques may increase the delivery and efficiency of polyphenolic compounds as
anti-osteoporosis agents. This could open the door for future research in improving the therapeutic
index of polyphenolic compounds against osteoporosis. Conjugation of polyphenolic compounds with
PLGA nanoparticles is expected to exert higher efficacy for treatment of bone loss compared to their
native form.
4. Conclusion and Perspectives
Despite the growing evidence regarding the beneficial effects of dietary polyphenols in the
prevention and treatment of various chronic diseases, their low bioavailability represents a critical
limitation for clinical application. The insufficient number of clinical trials on polyphenols as treatment
of oxidative stress-related diseases, and failure to reproduce the therapeutic effects seen in in vitro
models, pose major challenges. Medical and pharmacology fields have made some progress to provide
innovative nanotechnology-based systems for the improvement of drug delivery and cell targeting.
There is emerging evidence that nanoparticle-based delivery systems could provide solutions to
polyphenol solubility, instability, and poor bioavailability.
The sustained release of the therapeutic agent from PLGA-based nanoparticles could increase
treatment efficacies. PLGA nanoparticle-based polyphenol delivery systems have been developed with
biocompatibility and biodegradability characteristics. Nevertheless, their toxicity and safety should be
determined first before introduction into clinical practice. The identification of possible long-term side
effects is particularly important when substantial amounts of nanoparticles will be dispensed to cells
or animals. The high cost of production and difficulty of scale-up also limit their use in clinical trials.
The positive results obtained thus far suggest that a nanotechnology-based system is a promising
strategy to maximize the therapeutic potential of polyphenols against various diseases, including
cancers, neurodegenerative, and metabolic disorders. More advanced research on polymeric
nano-technology-based polyphenol delivery systems is warranted before they could be used to
treat oxidative stress-related diseases.
Author Contributions: Conceptualization, N.M. (Norliza Muhammad), F.A., N.M. (Norfilza Mokhtar), N.M.
(Norazlina Mohamed); writing—original draft preparation, R.A.R., P.A.J.; writing—review and editing, R.A.R.,
P.A.J., I.N.M., A.N.S.; supervision, I.N.M., A.N.S.
Funding: This research received no external funding.
Acknowledgments: We thank Universiti Kebangsaan Malaysia for providing the grant for this study
(DIP-2018-015).
Conflicts of Interest: The authors declare no conflict of interest.
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