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An Overview of Current Knowledge on the Properties, Synthesis and Applications of Quaternary Chitosan Derivatives

Emanuelle Dantas de Freitas, Celso Fidelis de Moura, Jonas Kerwald et al.

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Research Article — Peer-Reviewed Source

Original research published by Freitas et al. in Polymers. Redistributed under Open Access — see publisher for license terms. MedTech Research Group provides these references for informational purposes. We do not conduct original research. All studies are the work of their respective authors and institutions.

Abstract

Chitosan, a chitin-derivative polysaccharide, known for its non-toxicity, biocompatibility and biodegradability, presents limited applications due to its low solubility in neutral or basic pH medium. Quaternization stands out as an alternative to modify this natural polymer, aiming to improve its solubility over a wide pH range and, consequently, expand its range of applications. Quaternization occurs by introducing a quaternary ammonium moiety onto or outside the chitosan backbone, via chemical reactions with primary amino and hydroxyl groups, under vast experimental conditions. The oldest and most common forms of quaternized chitosan involve N,N,N-trimethyl chitosan (TMC) and N-[(2-hydroxy-3-trimethyl ammonium) propyl] chitosan (HTCC) and, more recently, quaternized chitosan by insertion of pyridinium or phosphonium salts. By modifying chitosan through the insertion of a quaternary moiety, permanent cationic charges on the polysaccharide backbone are achieved and properties such as water solubility, antimicrobial activity, mucoadhesiveness and permeability are significantly improved, enabling the application mainly in the biomedical and pharmaceutical areas. In this review, the main quaternized chitosan compounds are addressed in terms of their structure, properties, synthesis routes and applications. In addition, other less explored compounds are also presented, involving the main findings and future prospects regarding the field of quaternized chitosans.

Full Text
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Abstract

Chitosan, a chitin-derivative polysaccharide, known for its non-toxicity, biocompatibility and biodegradability, presents limited applications due to its low solubility in neutral or basic pH medium. Quaternization stands out as an alternative to modify this natural polymer, aiming to improve its solubility over a wide pH range and, consequently, expand its range of applications. Quaternization occurs by introducing a quaternary ammonium moiety onto or outside the chitosan backbone, via chemical reactions with primary amino and hydroxyl groups, under vast experimental conditions. The oldest and most common forms of quaternized chitosan involve N,N,N-trimethyl chitosan (TMC) and N-[(2-hydroxy-3-trimethyl ammonium) propyl] chitosan (HTCC) and, more recently, quaternized chitosan by insertion of pyridinium or phosphonium salts. By modifying chitosan through the insertion of a quaternary moiety, permanent cationic charges on the polysaccharide backbone are achieved and properties such as water solubility, antimicrobial activity, mucoadhesiveness and permeability are significantly improved, enabling the application mainly in the biomedical and pharmaceutical areas. In this review, the main quaternized chitosan compounds are addressed in terms of their structure, properties, synthesis routes and applications. In addition, other less explored compounds are also presented, involving the main findings and future prospects regarding the field of quaternized chitosans.

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1. Introduction

Chitosan is a polycationic polymer (pKa = 6.2–6.8) obtained by partial chitin N-deacetylation under alkaline conditions, thus consisting of a linear mucopolysaccharide formed by β -(1 → 4)-2-amino-2-deoxy- d -glucose and β -(1 → 4)-2-acetamide-2-deoxy- d -glucose copolymers. This cationic character is the basis of most of its applications as an antimicrobial compound in several fields, including food, agriculture, biomedicine and textiles [ 1 ]. As a result that it presents itself as a biodegradable [ 2 ] and biocompatible [ 3 ] material, chitosan has been arousing the interest of several research groups due to its physicochemical properties and unique bioactivity [ 4 , 5 , 6 , 7 ]. However, chitosan has low solubility in aqueous solutions and organic solvents, in addition to having a short useful life, thus limiting its applicability [ 8 ]. One of the methodologies used to solve this limitation is the quaternization of chitosan. Chitosan quaternization consists of replacing the chitosan amino terminals with quaternary terminals or by inserting functional cationic groups [ 9 , 10 ]. This quaternization improves the solubility of chitosan, in addition to enhancing its antimicrobial action [ 11 ]. The introduction of permanent positive charges in the chitosan chain can be achieved by preparing a quaternary ammonium chitosan salt, covalently adding a substituent containing a quaternary ammonium group or quaternizing the amino group of the original polymer [ 12 ]. This permanent introduction of positive charges in the polymer, regardless of the pH of the aqueous medium, provides solubility in water as well as better antimicrobial activity [ 13 , 14 ]. This improvement in antimicrobial activity may be related to the fact that the positive charges in chitosan are captured by cells, inhibiting the transition of DNA and the synthesis of RNA and proteins, or even, the disorganization and denaturation of the proteins of the microorganism’s membrane caused by the interaction between positive chitosan groups and the negative charges of the microorganism’s membrane and therefore causing cell death [ 15 , 16 , 17 ]. The most studied and simple form of quaternary ammonium chitosan derivative is N,N,N-trimethyl chitosan (TMC) [ 18 ]. This derivative is obtained by reaction with methyl iodide, sodium iodide or sodium hydroxide [ 19 ]. The insertion of portions of quaternary ammonium outside the chitosan structure by an alkylation reaction is the second most common way to quaternize chitosan, forming the compound N-[(2-hydroxy-3-trimethyl ammonium) propyl] chitosan (HTCC) and it is commonly synthesized from a reaction between chitosan and gycidyltrimethyl ammonium chloride [ 20 , 21 , 22 ]. Recently, new quaternized chitosan derivatives with pyridinium salts and phosphonium salts have been gaining interest from several research groups due to the antimicrobial properties presented by these quaternary salts in addition to providing better solubility to chitosan [ 23 , 24 , 25 , 26 , 27 ]. These derivatives, based on the literature, have been shown to be quite efficient in microbial activities when compared to chitosan [ 28 , 29 , 30 , 31 , 32 ], in addition to being able to be applied in areas such as cosmetic agents [ 33 ], pharmaceuticals and biomedical [ 34 , 35 , 36 , 37 ], food industry [ 38 , 39 ], antimicrobial agent [ 24 , 40 , 41 ] and wastewater treatment [ 42 , 43 ]. This review focuses on presenting the main quaternized compounds of chitosan, from the most used, such as TMC and HTCC, to those that have aroused a greater interest of researchers, such as the quaternized chitosan derivatives with pyridinium or phosphonium salts. We addressed them in terms of their structure, properties, synthesis routes and applications. In addition, other less explored compounds are also presented, involving the main findings and future perspectives in the field of quaternized chitosans.

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2. TMC

2.1. Structure and Properties of TMC N,N,N-trimethyl chitosan (TMC) is an N-alkyl derivative of chitosan, which is obtained through the quaternization (methylation) of amino group in C-2 position of the polymer’s backbone. During this process, other similar compounds are frequently produced, such as 6-O methylated and 3-O methylated TMC, and N-methylated and N,N-dimethylated chitosan [ 44 ], shown in Figure 1 . These subproducts are seldom, if ever, desired and their presence in the final product may result in unhoped-for properties. Among the quaternary chitosan compounds, TMC is the most studied one, mainly because of the simplicity of its synthesis methods [ 18 ]. TMC was first synthesized by Terayama, H. and Terayama, E. [ 45 ] and it was called Macramin. Its antibacterial activity was first reported by Hatta et al. [ 46 ]. Much later experiments carried out by Muzzarelli and Tanfani [ 47 ] were able to produce TMC through different steps, but the compound displayed low water solubility. A year later, Domard et al. [ 48 ] developed a slightly different synthesis method that was able to obtain a water-soluble compound, independently of the pH. Several studies were based on these ones and attempted to improve these preparation approaches. The highlights and results obtained will be described with more detail in the next subsection. As a chitosan derivative, TMC preserves a lot of its original properties. However, some features can be highly improved or drastically changed with its quaternization. Differently from chitosan, TMC is soluble in neutral and alkaline media. Its solubility is influenced by several factors. First, the deacetylation degree (DD) of the original chitosan impacts directly in the quantity of amino groups available for modification, which also has a direct influence on the degree of quaternization (DQ). The DQ is also an important factor on the solubility of TMC. The higher the DQ is, the higher is the number of substituted amino groups, meaning that the overall cationic charge will be increased and so will the solubility of the polymer [ 49 ]. The DQ of TMC can be improved by modifications on the synthesis process or repeating the methylation process multiple times. The drawback of this method is that it leads to an increase in the number of O-methylated TMC that is produced. Studies have shown that a high degree of O-methylation weakens the solubility of TMC [ 50 , 51 ]. In addition, prolonged synthesis process results in the production of N,N-dimethyl chitosan, which is insoluble and will hence diminish the overall solubility of TMC. This way, a higher DQ does not always result in higher solubility [ 52 ]. Thus, all of these factors must be considered during the preparation of chitosan quaternary derivatives. The mucoadhesion potential of TMC is also improved when compared to that of chitosan [ 53 ]. This property, too, is affected by TMC’s DQ, even though the findings, so far, have been contradictory. Sandri et al. [ 54 ] reported an increase in bucal mucosal membrane adhesiveness when the material’s DQ was increased. This result may be attributed to the increase in the polymer’s overall cationic charge, which is augmented with the presence of quaternary groups. Thus, the electrostatic interaction of TMC with the negatively charged sialic acid residues present mucin, a glycoprotein that composes mucus, will be stronger. On the other hand, Snyman et al. [ 55 ] found a decrease in mucoadhesivity with an increase in the degree of quaternization. The authors related this to conformational changes in the structure of TMC. In a similar context, Jintapattanakit et al. [ 56 ] attributed a combination of positive charge density, steric hindrance of pendent groups and molecular weight to be highly influential on mucoadhesive properties of the polymer. Interactions of TMC with the epithelial membrane are also responsible for its permeation enhancing properties. The polymer is reported to aid penetration of hydrophilic and/or high-molecular-weight molecules across the intestinal epithelium, especially peptides and proteins. This is associated with the opening of the intercellular tight junctions [ 57 ]. The influence of DQ in the transport of [ 14 C]-mannitol across intestinal Caco-2 cell monolayers was evaluated by Thanou et al. [ 58 ]. They reported higher transport enhancement as TMC charge density was increased, improving the paracellular permeability of intestinal epithelia. Similar results were obtained by Florea et al. [ 59 ], who assessed the enhancement of pulmonary delivery of octreotide by TMC. The authors describe pH, solubility and cationic charge density as important factors for the modulation of the paracellular barrier. Regarding its wettability, whereas chitosan has a hydrophilic nature, N-methylated chitosan has an amphiphilic nature due to the hydrophilic character of its (N-(CH 3 ) 3 ) groups and the hydrophobic character of its (N-(CH 3 ) 2 ). Thus, almost pure TMC will pr

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2.2. Preparation Methods

Until 2016, there were four main methods for preparing TMC, according to Wu et al. [ 69 ] and Kulkarni et al. [ 70 ]. These methods are described below, followed by alternative methods and approaches that were able to successfully produce TMC in the last four years. A scheme with a summary of the most common methodologies employed is displayed in Figure 2 . 2.2.1. Conventional Methods The simplest way of obtaining TMC is by a one-step reaction of chitosan with methyl iodide (CH 3 I) under strong alkaline conditions using N-methyl-2-pyrrolidone (NMP) as a solvent and sodium iodide (NaI) as a catalyst [ 48 ]. Curti et al. [ 12 ] verified that an excess of NaOH resulted in higher trimethylation, even reaction yield was lower and O-methylation was favored. As a result of this, water solubility decreased as the alkaline agent and CH 3 I excess was increased. The average degrees of quaternization obtained in this study ranged from 10% to 45%. By using methyl iodide as methylating agent, N,N,N-trimethyl chitosan iodide is obtained. As a result of its toxicity and, therefore, unsuitability of application in several fields, it is normally converted to TMC chloride, either by reacting with NaCl [ 48 , 71 ] or hydrochloric acid (HCl) [ 52 ]. In this context, Zhang et al. [ 72 ] prepared four TMC salts (citrate, acetylsalicylate, ascorbate and gallate) by dissolving iodide precursor in solutions of sodium salts with the four desired couteranions. As a result, the gallate and ascorbate derivatives presented better antioxidant activity than chitosan and TMC iodide. Another method, initially developed by Muzzarelli and Tanfani [ 47 ], involved the synthesis of N,N-dimethyl chitosan (DMC) by reacting chitosan with formaldehyde in acidic media and following addition of sodium borohydride. Only then was CH 3 I added to the system to produce TMC. The obtained compound was water insoluble, even with a DQ as high as 60%. A modification of this method was later executed by Verheul et al. [ 51 ]. In the study, instead of sodium borohydride, DMC was synthesized using a formic acid–formaldehyde mixture. Trimethylation was then carried out with an excess of methyl iodide. Through this method, the authors were able to obtain O-methyl free water soluble TMC with no chain scission. They also stated that TMCs with DQs as high as 75% could be obtained by varying reaction time. A variation of this method was attempted by some authors [ 19 , 65 ]. In these approaches, a pre-alkylation of chitosan was carried out by used different aldehydes than formaldehyde in order to obtain a Schiff-base intermediate. Later on, quaternization was carried out traditionally by using CH 3 I. By previously introducing methyl groups on the nitrogen atom, the formation of quaternary ammonium salts is facilitated along with the hindering of O-methylation. However, because of the use of different and more complex aldehydes in the pre-alkylation step, other quaternized chitosan derivatives, such as N-N-Propyl-N,N-dimethyl chitosan and N-Furfuryl-N,N-dimethyl chitosan, can be obtained along with TMC [ 19 ]. In spite of the efficiency obtained by using CH 3 I as a methylation agent, it is an expensive, volatile and toxic reagent. In addition, halide ions are difficult to separate from solution. Thus, De Britto et al. [ 60 ] synthesized TMC with the use of dimethyl sulfate (DMS). Compared to methyl iodide methods, this approach results in a less expensive, less toxic and more simple method, as DMS can act both as an agent and a solvent for the reaction, avoiding the use of NMP. In addition, TMC chloride was directly obtained as NaCl is used in the medium. In this study, the calculated DQs ranged from 15.8 to 52.5% and were found to be time and temperature dependent, with high temperatures favoring O-methylation over N-methylation. Due to the fact that methylation agents are not selective and O-methylation occurs in almost all of the methods cited above, even if chitosan’s amino groups are much more reactive than C-3 and C-6 hydroxyl groups, it is a good strategy to protect these less reactive groups through O-silylation. First, chitosan is reacted with methanesulfonic acid (CH 3 SO 3 H) to obtain chitosan metasylate, followed by the insertion of tert-butyldimethylsilyl (TBDMS) groups, producing 3,6-di-O-tert-butyldimethylsilyl-chitosan. This compound displays excellent solubility in a number of common organic solvents [ 73 ]. Once the hydroxyl groups are protected and O-methylation can no longer occur, the methylation of this chitosan derivative is executed by using CH 3 I. According to Benediktsdóttir et al. [ 74 ], such procedure leads to a product with 100% trimethylation, composed of N,N,N-Trimethyl-di-TBDMS chitosan. Finally, the hydroxyl groups can be deprotected through the use of a tetrabutylammonium fluoride (TBAF) solution in NMP. The authors also reported, for the first time, a full N,N,N-trimethyl chitosan without the presence of O-methylated or N-mono o

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2.2.2. Alternative Methods and Approaches

As a result that conventional agents used for methylation of chitosan, such as alkyl halide or dimethyl sulfate, are highly toxic and carcinogenic, Wu et al. [ 75 ] proposed a novel green approach for CHI quaternization. The authors quaternized chitosan by using dimethyl carbonate as a methylation reagent in an ionic liquid (acting as a solvent and a catalyst). Even though the preparation process is not optimized and still needs improvement, especially in order to obtain higher DQs, the authors were able to produce TMC without the occurrence of O-methylation. Mahajan et al. [ 76 ] explored a complete green approach to the synthesis of TMC by using two different lipases, ( Burkholderia cepacia and Candida rugosa ), as biocatalysts and dimethyl carbonate as the green methylating agent, in a reaction medium comprising of ternary deep eutectic solvents. As a result, whereas the lipase from B. cepacia selectively N-methylated the chitosan polymer, the one from C. rugusa yielded an O-methylated product. The quaternization degrees obtained from both lipases were of about 12.5 and 15.7%, respectively. These values are still very low when compared to the ones that are obtained through conventional methods, indicating an urgency for optimization of green methods.

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2.3. Applications of TMC and Its Derivatives

TMC has been applied to several fields in the form of nanoparticles, films, blends, emulsions, etc. Biomedicine is, by far, the field that have been the most studied for trimethyl chitosan and its derivatives. In addition, some research has been done about TMC in environmental and food applications. In this context, some reviews have been written. Kulkarni et al. [ 70 ] wrote a review paper focused on applications of TMC in the form of nanoparticles and some other specific applications have been tracked by Mourya and Inamdar [ 77 ], Wu et al. [ 69 ] and Zhao et al. [ 78 ]. Therefore, this review will focus more on recent applications. It is important to be aware that “TMC” almost always refers to TMC iodide, but it is hardly ever specified by authors in their publications and thus the term “iodide” will be not used throughout this section. Whenever another counter-anion, such as chloride, replaces iodide, it will be explicitly stated below. Chitosan and its derivatives have been widely studied as adsorption enhancers, especially of peptide and protein drugs. This is due to the opening of tight junctions in between epithelial cells, which facilitates the paracellular diffusion across mucosal epithelia [ 79 ]. Kotzé et al. [ 80 ] demonstrated that TMC was able to increase transport of the hydrophilic compounds [ 14 C]-mannitol, a fluorescein isothiocyanate-labeled dextran and the peptide drug buserelin across Caco-2 cell monolayers. Since then, several studies have reported TMC’s efficiency as a permeation enhancer. Thanou et al. [ 58 ] evaluated the effect of the degree of quaternization of trimethyl chitosan on the absorption enhancement. The authors showed that high charge density is necessary for TMC to significantly improve the paracellular permeability, which means that the transport enhancement across intestinal epithelia is improved with higher DQs. He et al. [ 81 ] reported improved transdermal permeation of testosterone by using TMC and also verified a stronger enhancement with high DQs. Trimethyl chitosan displayed penetration enhancement towards intestinal [ 82 ], nasal [ 83 ], corneal [ 84 ] and bronchial epithelia, [ 85 ] and buccal mucosa [ 54 ]. As a result of TMC’s excellent mucoadhesive and absorption-enhancing properties, it shows potential to be used, especially, in the delivery of oral drugs. It can increase protein bioavailability in gastrointestinal environments and permeability in the intestinal barrier, in addition to its low toxicity and high susceptibility to biodegradation. In the last few years, trimethyl chitosan and its derivatives have been successfully applied in systems aiming oral delivery of insulin [ 86 , 87 ], natural antioxidants [ 88 ], flavonols [ 89 ], anticancer drugs, such as paclitaxel [ 90 ] and gemcitabine [ 91 ], antifungal drugs [ 92 ] and antiviral drugs [ 28 ]. In addition to oral administration, researchers have developed systems composed of TMC to deliver drugs through nasal [ 93 ], pulmonary [ 94 ] and intravenous [ 90 ]. Drug delivery can also be done through ocular administration. In this sense, efforts have been made in order to develop new drug carriers that are able to increase ocular absorption and improve drug bioavailability. Asasutjarit et al. [ 36 ] developed formulations of TMC NPs loaded with diclofenac sodium (DC) for ophthalmic use. Eye irritation tests revealed that this material is safe for use. Additionally, in vivo ophthalmic absorption studies conducted with rabbits showed that bioavailability of DC is increased and the system could be used for treatment of ocular inflammation with lower frequency of administration than that of common DC eye drops. Similarly, Li et al. [ 95 ] prepared TMC-coated lipid nanoparticles of baicalein (TMC-BAI-LNPs). In vitro and in vivo studies indicated that the material had no ocular irritation and resulted in prolongation of drug retention time in tears and improvement of its ocular bioavailability. Cationic chitosan is able to form a polyelectrolyte complex with anionic DNA and thus it is applied to gene delivery systems. Additionally, polymeric vehicles seem more convenient than other gene delivery approaches because of efficiency and safety issues. Rahmani et al. [ 96 ] investigated DNA transfection efficiency of three chitosan derivatives, one of them being a TMC derivative (thiolated trimethyl chitosan). The authors reported that the three compounds are efficient vehicles for gene delivery and that specifically for SKOV-3 and MCF-7 cells, TMC exhibited the highest transfection efficiency of DNA nanocomplexes. According to this study, the thiol group can enhance the transfection process, even though cell type is the determining factor in a delivery system. Baghaei et al. [ 97 ] evaluated polyelectrolyte complexes of TMC and some polyanions (hyaluronan, alginate and dextran sulfate) in their gene delivery efficiency to MCF7 cells through an experimental design. In vitro studies showed non-toxicity and hi

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3. HTCC

3.1. Structure and Properties of HTCC The second most common route for quaternizing chitosan is through the introduction of a quaternary ammonium moiety outside the chitosan backbone by an alkylation reaction, leading to the formation of N-[(2-hydroxy-3-trimethyl ammonium) propyl] chitosan, or HTCC, which has chloride as counter-anion and whose structural formula is shown in Figure 3 [ 20 ]. The first reports related to the production of HTCC date from the 1980s, when Lang et al. [ 114 ] reported on the chitosan modification, without however presenting results of characterization of derivatives, which was later performed by Loubaki et al. [ 115 ], who carried out elemental analysis and infrared spectroscopy, in addition to 13 C- and 1 H-NMR spectroscopy. Initially, the focus of HTCC synthesis was on the cosmetic market, having generated several patents at that time [ 33 ]. However, an important branch of application of HTCC related to antimicrobial action has gained attention in recent decades, having been firstly reported by Kim et al. [ 29 ], who applied it as an antimicrobial finish of cotton fabrics. HTCC is also a cationically modified chitosan, considered thus by the presence of ammonium groups that are ionized regardless of pH value [ 116 ]. Its most common synthesis route is through the contact of chitosan with glycidyl trimethylammonium chloride (GTMAC), which can generate HTCC with different DQs depending on stoichiometry [ 115 ]. The DQ refers to the number of positively charged quaternary ammonium groups present in the chitosan chain and according to Seong et al. [ 117 ], the reaction time and temperature, and the ratio of GTMAC to chitosan can affect its value. The reaction mechanism for producing HTCC is explained by the attack of chitosan amino groups on the C atom with the least steric hindrance of the GTMAC molecule, which is thermodynamically and kinetically more favorable than the attack by the chitosan hydroxyl groups [ 118 ]. Biologically, HTCC presents characteristics very similar to chitosan, such as non-toxicity, biodegradability, biocompatibility, mucoadhesiveness and antimicrobial activity. Nevertheless, it also has some unique valuable properties that are not attained in the non-modified polymer [ 116 , 119 ]. According to Chen et al. [ 120 ], the addition of quaternary ammonium to chitosan was capable of improving its water-solubility, antibacterial activity and biocompatibility. The increase in water solubility may be justified by the weakening of the hydrogen bonds in the ordered arrangement of chitosan due to the introduction of quaternary ammonium compound, which causes an increase in the charge strength. Shagdarova et al. [ 121 ] showed that HTCC presented more pronounced antibacterial, antioxidant and antifungal properties than the non-modified chitosan. The improvement in antibacterial activity may be related to the positively charged groups present in HTCC structure, which interact better with the negatively charged structures on the cell surface. Hecq et al. [ 38 ] reported that the mucoadhesive property, characterized by the positively charged surface which favors electrostatic interactions with the enteric surface, with negatively charged mucins, has been improved in HTCC in relation to chitosan. Chitosan had a positively charged surface only in acidic medium, while HTCC was less sensitive to pH variation, with a positively charged surface even at neutral pH. Mucoadhesion is one of the key factors for polymers applicable as absorption enhancers on mucosal surfaces. To confirm the possibility of its use as a drug carrier or for food processing, for example, it is important to assess its toxicity in vivo. Wang et al. [ 122 ] evaluated the effect of HTCC in vivo, introducing the compound in the diet of mice for 30 days. The trials did not detect toxicity immediately or after the HTCC treatment period, nor mortality under the same conditions. No changes in appetite were observed, either in feces or behavioral nor in body weights. The authors detected a reduction in the levels of Fe, Zn and Ca in the mice livers. Xiao et al. [ 123 ] compared the crystallinity of HTCC and chitosan, concluding that HTCC has a more amorphous structure, consistent with its greater solubility. This means that quaternization induces the breakdown of inter- and intra-molecular hydrogen bonds, causing the breakdown of the crystalline structure observed in the non-modified polymer [ 124 ]. This change in the crystalline structure and the formation of a looser structure, also helps to favor the diffusion of free water molecules in the molecular chains of HTCC, resulting in a better ability to absorb liquids [ 125 ]. HTCC properties are usually influenced by the DQ used. Wang et al. [ 126 ] evaluated the rheology of the material and found that both the apparent viscosity and the modulus of elasticity, or storage, (G’) increase with the increase of the DQ. In addition, the authors concluded that the ma

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3.2. Preparation Methods

The most common and most widely studied method for obtaining HTCC is by the reaction between chitosan and GTMAC, according to the synthesis route shown in Figure 4 a. In general, this reaction is more favored under acidic conditions, which makes the epoxy group more reactive and easier to open. Furthermore, under acidic conditions the epoxy group reacts more favorably to NH 2 groups of chitosan, while under basic conditions, the reaction by the OH groups of chitosan is more favored [ 22 ]. Most of the studies that used the aforementioned methodology either performed it in an aqueous medium or used acetic acid as a reaction catalyst. Therefore, chitosan is dispersed in deionized water (and acetic acid, when applicable). GTMAC aqueous solution is added in different amounts to obtain different DQs. In general, the acid-catalyzed reaction is conducted over a 10–18 h period, at temperatures ranging from 50–80 °C [ 22 , 35 , 117 , 120 , 138 ]. In cases where the catalyst is not used, a longer time (up to 24 h) or a higher temperature (85 °C) may be necessary to achieve expected results [ 21 , 29 , 130 , 139 ]. As reported by Seong et al. [ 117 ], who studied the influence of the time and temperature parameters on the DQ, the DQ increases with increasing temperature and reaction time, up to an optimum, in their case 80 °C and 18 h, with little variation in DQ values above these conditions. It is also possible to find more specific cases of the reaction of chitosan and GTMAC. Lu et al. [ 140 ], Wu et al. [ 141 ] and Zhou et al. [ 125 ] carried out the reaction by dissolving chitosan in isopropanol, with a reaction time in the range of 7–10 h, at a temperature of 80 °C. Nam et al. [ 142 ] used Zn(BF 4 ) 2 as a catalyst for the reaction, with elevated time (20 h) and temperature (100 °C) conditions, and Ruihua et al. [ 143 ] dispersed chitosan in deionized water and perchloric acid, the reaction occurring at 80 °C for 8 h. As noted, HTCC synthesis is normally carried out in a heterogeneous reaction medium and involves several types of volatile organic reagents or other aggressive chemical reagents. To overcome these issues, Yang et al. [ 118 ] proposed the employment of an ionic liquid of 1-allyl-3-methylimidazole chloride (AmimCl) as a green and homogeneous reaction medium. Thus, the chitosan was dispersed in AmimCl until complete dissolution. GTMAC was added and maintained in reaction for 8 h at 80 °C. The second most used route for the production of HTCC is through the reaction between chitosan and 3-chloro-2-hydroxy-propyl trimethyl ammonium chloride (CTA), a lower cost reagent than the usual GTMAC [ 9 ]. CTA is used as an etherification reagent due to its characteristic of generating an epoxide in alkaline conditions, which is similar to GTMAC [ 144 ]. In general, chitosan is dispersed in isopropanol or 2-propanol, over which NaOH solution is added and kept under stirring for a time that can vary from 2–5 h. After this step, aqueous CTA solution is added and the reaction can be conducted under conditions ranging from 6–10 h and 40–60 °C [ 145 , 146 , 147 ]. Ali and Singh [ 148 ], in turn, dispersed the chitosan in water, requiring reaction conditions of 33 °C and 18 h, a significantly longer time than that performed by authors who used other solvents. Tan et al. [ 149 ] dispersed chitosan in an alkaline aqueous solution of LiOH/KOH/urea/H 2 O, which is considered an environment-friendly solution. Later, they added CTA solution dropwise to the chitosan solution, the reaction taking 12 h to complete. In addition to HTCC synthesis, some studies report the synthesis of other compounds similar to HTCC, such as O-HTCC (O-(2-hydroxyl) propyl-3-trimethyl ammonium chitosan chloride), characterized by the insertion of quaternary terminals in the hydroxyl group of chitosan. This reaction also occurs through the contact of chitosan with GTMAC, though under conditions where the NH 2 functional groups are protected [ 150 ]. The procedure for obtaining the O-HTCC usually proceeds through three steps: the first to protect the NH 2 functional group, the second to insert the quaternary terminal into the hydroxyl group, and the third to release the NH 2 functional group. In general, chitosan is dispersed in acetic acid, to which benzaldehyde or any benzoyl hydride is added to protect the NH 2 group, producing N-benzylidene chitosan. After neutralization with NaOH, solution of GTMAC dispersed in isopropyl alcohol is added and maintained in reaction for 16 h at 70 °C. The product generated in this step is added to an ethanolic HCl solution, obtaining crude O-HTCC, which must be purified in suitable solvents [ 150 , 151 , 152 ]. Figure 4 b presents the synthesis route aforementioned [ 153 ]. Additionally through the contact of chitosan with GTMAC, it is possible to obtain a third product, N,O-HTCC (N,O-[(2-hydroxyl-3-trimethyl-ammonium) propyl] chitosan chloride), obtained from an additional quaternization of HTCC through hydroxyl gr

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3.3. Applications of HTCC and Similar Compounds

As HTCC has been extensively studied in recent decades, it finds applications in several fields, especially for its advantageous properties such as water solubility, enhanced permeability due to hydration, mucoadhesivity, antibacterial activity and strong steric hindrance of positively charged quaternary groups, in addition to properties from unmodified chitosan, such as biocompatibility and biodegradability [ 123 ]. As mentioned, the primary development of HTCC aimed at its application as a cosmetic agent. The interaction of the quaternary ammonium group with the anionic hair groups made it possible to use these compounds as a conditioning agent for hair treatments [ 33 ]. Given HTCC’s antibacterial activity, Kim et al. [ 29 ] evaluated its application as an antimicrobial cotton finisher. The authors found that HTCC-treated cotton presented almost 100% bacterial reduction, even at low concentrations. However, due to the aqueous solubility of HTCC, its durability as a cotton finisher could be limited by the launderings number. Thus, the authors reported that the conjugation of HTCC with a commercial nonionic binder was able to provide good laundering durability in terms of antimicrobial activity. Kim et al. [ 128 ] also evaluated the microbial activity of HTCC-treated cotton fabrics. However, an appreciable antimicrobial activity was not observed, even after a single laundering. Thus, polycarboxylic acids were added to improve the immobilization of HTCC, obtaining bacterial reductions greater than 91% after 20 launderings, without affecting the mechanical strength or whiteness of the fabric. Zhu et al. [ 30 ], taking advantage of the antimicrobial property of HTCC, evaluated its use in the control of cyanobacteria blooms, which occur due to the high load of nutrients and pollutants in the water and can generate cyanotoxins capable of threatening aquatic and human life. The authors found that HTCC with a DQ of 98% was capable of inhibiting the growth of M. aeruginosa , the most common harmful algae species, and reduce the release of cyanotoxins. Possibly, HTCC acts by destroying the cellular structure of these cyanobacteria that are related to photosynthesis. Jin et al. [ 158 ], following the same research field, proved the possibility of using HTCC as a coagulant in drinking water treatment to remove M. aeruginosa . Vanitha et al. [ 159 ], in turn, evaluated the larvicidal action of HTCC against larvae in aquatic bodies of two species of mosquitoes, Culex and Aedes , vectors of a large number of infectious diseases. When compared to the action of silver nanoparticles, HTCC demonstrated equivalent larvicidal activity, with the advantages of biodegradability, biocompatibility and non-toxicity. The positive charge of HTCC electrostatically interacts with the negative surface residues of the microbial membranes, killing the mosquito larvae. The vast majority of research involving HTCC covered its biomedical and pharmaceutical application due its biocompatibility, mucoadhesiveness, water solubility, etc. Mi et al. [ 160 ] and Mi et al. [ 34 ] produced porous chitosan microspheres by coagulation in an aqueous solution of TPP (tripolyphosphate) and subsequent chemical modification by adding quaternary ammonium groups through CTA reagent. The authors’ objectives were, respectively, to obtain a means of controlled release of Newcastle disease vaccine antigen and a new delivery system for the indomethacin drug. Both the antigen and the indomethacin were subjected to adsorption in quaternized and unmodified chitosan, the former having the highest adsorption capacities due to the electrostatic attraction between the quaternary ammonium group and the negative charges of the two compounds. Xu et al. [ 161 ] also evaluated HTCC nanoparticles ionically gelled with TPP, aiming to evaluate its application as a protein carrier, in this case, bovine serum albumin (BSA) as a model protein drug. The authors found that HTCC nanoparticles were a potential vehicle for protein administration, with a high capacity for incorporation and the possibility of prolonging release. This result was expanded by Zhao et al. [ 162 ], who successfully produced HTCC and TPP nanoparticles for incorporation of Parathyroid Hormone-Related Protein (PTHrP), a polypeptide capable of promoting bone formation and proliferation of osteoblasts, but which is expensive and easily denatures, requiring a system of controlled release. Another important application of HTCC was reported by Kaminski et al. [ 35 ] and refers to the action as a reversal agent for heparin, an anticoagulant extensively used but which, in emergency situations, may need to be stopped immediately. HTCC (DQ = 90.5%) appears as an option to the usual protamine sulfate, which can cause several adverse effects and low efficiency of action on heparin. The results showed that HTCC binds satisfactorily to low- and high-molecular-weight heparins at a typical blood pH. In addition, HTCC forms smal

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4. Quaternized Chitosan with Pyridinium Salts

Pyridinium salts constitute a class of unsaturated heterocyclic molecules ( Figure 5 ) and the main route of obtaining them is through SN 2 type reactions between pyridine and alkali halides [ 174 , 175 , 176 ]. Pyridine derivatives were introduced into the polymer backbone to improve polymer properties including solubility, physicochemical and biological properties [ 63 ]. Several studies have proven that pyridinium salts have a wide range of applications, including antiviral, antibacterial and antifungal activity [ 177 , 178 ]. According to Sowmiah et al. [ 179 ], pyridinium salts are known to inhibit the growth of various microorganisms, such as bacteria, viruses and fungi. This inhibition occurs through the cationic groups present in the pyridinium that are attracted by negatively charged microorganisms, resulting in disorganization and denaturation of proteins in the microorganism membrane and, thus, causing cell death [ 15 ]. The first study on the incorporation of pyridinium salts in chitosan was reported in 2010 by Li et al. [ 180 ]. The authors presented three new quaternary chitosan derivatives, called PACS, CHPACS and BHPACS, synthesized from the reaction between chloroacetyl chitosan (CACS) and pyridine, as shown in Figure 6 a, and tested the antifungal activity of both against four pathogenic fungi, namely, Cladosporium cucumerinum , Monilinia fructicola , Colletotrichum lagenarium and Fusarium oxysporum . The CHPACS and BHPACS derivatives were synthesized from a solution of 5-chlorosalicylaldehyde or 5-bromosalicylaldehyde and the product of this reaction was added together with CACS. The authors observed that the derivatives CHPACS and BHPACS had an inhibitory effect against pathogenic fungi superior to that presented by the other derivatives and the chitosan itself, presenting an effect of 100% in concentrations of 500 μ g/mL and 1000 μ g/mL which happened by the presence of groups 5-chloro-2-hydroxybenzylideneamino and 5-bromo-2-hydroxybenzylideneamino in the structure of the derivatives. This fact was also reported by Guo et al. [ 181 ] in their work, where they noticed an increase in the inhibitory effect of the chitosan derivative when the group 5-chloro-2-hydroxybenzylideneamino was inserted in the chitosan structure. Tan et al. [ 23 ] developed a cationic derivative of chitosan containing N-methyl-1,2,3-triazolium and N-methyl-pyridinium via efficient cuprous-catalyzed azide-alkali cycloaddition reaction (CuACC). The derivative was synthesized in three stages: initially, the cationic derivative of propargyl chitosan (a) was synthesized from the reaction of chitosan with propargyl bromide; then, derivative (a) was dissolved in a DMSO solution and 3-azidopyridine, triethylamine and cuprous iodide were added, producing the cationic derivative containing 1,2,3-triazole and pyridine (b); finally, derivative (c), containing 1,2,3-triazolium and pyridinium was synthesized from N-methylation, reacting derivative (b) with iodomethane. Figure 6 b shows a summary of the synthesis of compound (c). The authors tested the antifungal potential of the derivative with three phytopathogenic fungi, C. lagenarium , W. fusarium and F. oxysporum . The derivative containing 1,2,3-trizolium and pyridinium in its structure showed a superior antifungal action when compared to the other derivatives, presenting a maximum inhibition rate of 98.44% for C. lagenarium , followed by 79.16% and 67.56% for W. fusarium and F. oxysporum , respectively, at 1.0 mg/mL, showing a potential antifungal agent. In addition, it has better solubility in water, especially at alkaline pH. Jia et al. [ 24 ] introduced, by nucleophilic substitution, portions of pyridine to obtain N-(1-carboxbutyl-4-pyridinium) chloride chitosan. The synthesis process ( Figure 6 c) of this new derivative took place through an initial treatment of chitosan with 4-chlorobutyl chloride for the production of N-chlorobutyl chitosan, which then reacted with pyridine, finally forming a chloride of quaternary ammonium, N-(1-carboxybutyl-4-pyridinium) chitosan. The antifungal activity of this derivative was tested with B. cinerea and F. fulva , where the antifungal index of pyridine chitosan was 75%, while that of chitosan was only 58.9%, in addition, serious morphological changes of B. cinerea when treated with pyridine chitosan, where it caused the damage and deformation of the structure of fungal hyphae and, subsequently, the inhibition of the growth of the strain. A similar fact was observed by [ 182 ], where the positively charged portion of the cationic molecule directly interfered with the fungal cell surface, changing the permeability of the plasma membrane and thus inhibiting the growth of fungi. A recent study, developed by Omidi and Kakanejadifard [ 25 ], made modifications of chitosan and chitosan nanoparticles by long-chain pyridinium compounds via imine binding. In this work, the chitosan reaction was carried out in an acidic aqueous solution using

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5. Quaternized Chitosan with Phosphonium Salts

Quaternary phosphonium salts are a multifunctional organophosphate class that are generally obtained by the nucleophilic substitution reaction between phosphine and halide [ 184 ], as shown in Figure 7 . These salts have a structure that is similar to the salts of quarternary ammonium. However, they have better antimicrobial activity than ammonium salts [ 8 ]. According to Kenawy and Kandil [ 185 ], polymers with quaternary phosphonium groups are probably the most explored type of polymeric biocide. It is generally accepted that the mechanism of bactericidal action of polycationic biocides involves destructive interaction with the cell wall and/or cytoplasmic membranes. Like pyridinium salts, the insertion of quaternary phosphonium salts into the chitosan structure is recent. Chitosan functionalization with phosphonium groups has been investigated for antibacterial applications [ 32 , 186 , 187 , 188 ], gene therapy, carrier of genes [ 27 ], vaccine antigen carrier [ 37 ] and adsorption in water treatment [ 42 ]. Figure 8 shows the simplified synthesis routes for quaternized chitosan compounds with phosphonium salts. In 2011, Wang et al. [ 26 ] synthesized new chitosan derivatives with water-soluble quaternary phosphonium salts (WSPCSs) with different DQs (3.6% and 4.2%). The preparation and synthesis took place by stirring the chitosan with hydroxybenzotriazole in pure water at 25 °C until a homogeneous solution was obtained. The solution was mixed with CTPC followed by dropwise addition of EDC-HCl in ultra pure water and the reaction took place over a period of 48 h at 25 °C. The results presented by the authors showed a good solubility of WSPCSs in water without the addition of acid and an affinity for organic compounds, which can be dissolved in a solvent with a mixture of water and organic compounds. In addition, the authors also evaluated the cytotoxicity of these new derivatives for mouse fibroblasts, showing low toxicity with increasing the degree of substitution, due to the interactions between cationic polymers and plasma membrane components. Qian et al. [ 40 ] synthesized new quaternized chitosan derivatives with (4-carboxybutyl)triphenyl phosphonium bromide (CTPB), using the same synthetic route presented by Wang et al. [ 26 ], with two different DQs (12.1% and 21.5%). These new derivatives, NPCSs, have been tested with several non-viral gene vectors. The authors observed that the insertion of the phosphonium group conferred greater cytotoxicity when compared to chitosan, since the introduction of the CTPB group ends up introducing positive charges to the structure of chitosan, a result also observed by Wang et al. [ 26 ], which was that positive charges interacted with the components of the cell’s plasma membrane. Continuing this work, Guo et al. [ 186 ] synthesized chitosan derivatives with phosphonium salts (NPCSs) with different DQs (3%, 13% and 21%) and tested the bacterial activity of these new derivatives against E. coli and two strains of S. aureus . The indispensable results show that, for lower degrees of substitution, the MIC and MBC values required by NPCS derivatives are lower when compared with derivatives such as HTCC, chitosan itself and CTPB for the three bacteria tested. The MIC and MBC values vary between 64 and 200 ( μ g/mL) and 200 to 400 ( μ g/mL), respectively. In order to apply NPCS with a new intramuscular vaccine antigen carrier, Cai et al. [ 37 ] proposed a change in the structure of the NPCS by quaternizing the chitosan with (2-carboxyethyl) triphenylphosphonium bromide. The synthesis route for this new derivative was the same as previously mentioned. Immunization tests performed using ovalbumin as the antigen models showed that immunization showed that the formulation of this new NPCS can contribute to a significantly higher level of antigen-specific immune responses, including a higher antigen-specific IgG antibody titer. With these results, the authors can state that this new water-soluble chitosan derivative can be used as a potential antigen carrier for prevention and immunization therapy. Via trimethylation, chlorine acetylation and quaternization with tricyclohexylphosphine and triphenylphosphine, Tan et al. [ 32 , 188 ] synthesized two new chitosan derivatives modified with quaternary phosphonium salts: tricyclohexylphosphonium acetyl chitosan chloride (TCPACSC) and triphenylphosphonium acetyl chitosan chloride (TPPACSC). The derivatives were synthesized by a single chemical step, reacting chloroacetyl chitosan with tricyclohexylphosphine and triphenylphosphine. As shown by Wang et al. [ 26 ], the authors observed that the insertion of phosphonium salts in the chitosan structure improved its solubility, especially at alkaline pH. The authors evaluated the efficiency of these new derivatives in terms of their antifungal activities against the pathogens P. asparagi , W. fusarium , C. lagenarium and F. oxysporum , where the results indicated that even at concentr

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6. Other Quaternized Chitosan Derivatives

As the quaternization of chitosan has already demonstrated the possibility of obtaining materials with improved properties, many studies have expanded this modification using a number of reagents and obtaining a variety of quaternized chitosans, in addition to the most common ones aforementioned. Some of the options for obtaining different quaternized derivatives involve modifying the most common quaternized chitosans, such as TMC and HTCC, or using their precursors to obtain other quaternizing agents. Xu et al. [ 20 ] developed compounds of N,O-di-quaternary ammonium chitosan with different degrees of O-substitution, by the reaction of TMC with CTA. All derivatives showed better bacterial activity than chitosan and N,N,N-trimethyl-O-(2-hydroxy-3-trimethylammonium propyl) chitosan, obtained after the O-quaternization step, demonstrated stronger activity than that of TMC, with an increase proportional to the degree of O-substitution. Qi et al. [ 190 ] synthesized the quaternary ammonium salt 3-chloro-2-hydroxypropyl dimethyl dehydroabietyl ammonium chloride (CHPDMDHA), from dehydroabietylamine, with a similar structure to that of CTA. CHPDMDHA, when reacting with low molecular weight chitosan (LWCS), generates a grafted polymeric cationic surfactant, called LWCS-g-CHPDMDHA. The properties of the surfactant were directly influenced by DQ: the critical micellar concentration (CMC), above which aggregates (or micelles) of surfactant begin to form, decreased with increasing DQ, as well as the surface tension in CMC. According to Holappa et al. [ 191 ], the traditional route of obtaining TMC does not allow achieving structurally uniform polymers, since obtaining TMC does not occur without also methylating hydroxyl fractions of chitosan. To compensate, the authors suggested the synthesis of another quaternized derivative of chitosan, the chitosan N-betainates. Through subsequent steps of protection and deprotection of the amino and hydroxyl groups, it is obtained a full N-substituted chitosan, with a quaternary betaine moiety. The authors found a low antibacterial activity in neutral conditions and an increase in this activity with decreased DQ in acidic conditions. This means that the location of the positive charge in relation to the chitosan backbone affects antimicrobial activity. The same research group reported in Holappa et al. [ 192 ] obtaining another quaternized derivative of chitosan, in order to eliminate the problems of obtaining TMC: the mono- and di-quaternary piperazine derivatives. In Korjamo et al. [ 193 ], the research group evaluated the effect of these novel chitosan derivatives (N-betainates and N-piperazines) on the paracellular transport of mannitol and its cytotoxicity. The authors found an increase in paracellular transport in compounds with lower DQs and, in addition, N-betainates proved to be less toxic than N-piperazines, although both were found to have low toxicity. Once again, the authors proved that the permanent positive charge of the betaine and piperazine groups does not resemble the positive charge in the free amino group in terms of biological activity. Thus, the substitutes must be present at their minimum value until the pH-independent solubility is reached, in order to exercise its maximum activity. Zambito et al. [ 194 ] and Zambito et al. [ 195 ] reported that the property of enhanced transmucosal absorption of drugs in common quaternized chitosans, such as TMC, is affected by molecular weight, DQ and structural features. Thus, the authors proposed novel quaternized chitosans instead of the traditional TMC to improve the absorption of intraocular drugs, generating the so-called N,O-[N,N-diethylaminomethyl (diethyldimethylene ammonium)n] methyl chitosans. The obtained derivatives enhanced the penetration of hydrophilic and hydrophobic molecules through the porcine buccal epithelium, with a remarkably stronger effect than that of TMC. Drug penetration through the paracellular route has been improved by all derivatives, while the transcellular route has been enhanced by derivatives with high DQ. Regarding the ex vivo and in vivo permeability through the cornea of a rabbit, all derivatives improved the permeability, with better results than the TMC and more effective for the highest DQ. With the purpose of obtaining a quaternary chitosan derivative different from the traditional N-substituted ones, Cao et al. [ 196 ] synthesized N,N-dimethyl-O-quaternary ammonium chitosan using GTMAC as a quaternizing agent. The generated product had better moisture absorption and retention capacity than chitosan, in addition to stronger antibacterial activity. Li et al. [ 197 ] also used GTMAC to produce a novel O-quaternary ammonium N-acyl thiourea chitosan (OQCATUCS), containing double antimicrobial groups: the quaternary ammonium moiety and the thiourea group. An initial N-protection step was performed for the grafting of the quaternary ammonium group into the hydroxyl group, followed by

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7. Future Prospects

Quaternary chitosan derivatives have attracted a lot of attention in the last two decades because of the remarkable properties that these materials present. While quaternization preserves the excellent characteristics of chitosan, it broadens the range of possible applications as major limitations of the original polymer, such as poor solubility in neutral and alkaline media, are overcome. This way, quaternized chitosan is a multifunctional material that shows a lot of possible uses, showing potential especially in inactivation/inhibition of microorganisms, drug and gene delivery, vaccine adjuvancy, adsorption and wound dressing. Even though the most important chitosan derivatives, such as TMC and HTCC, have been known for decades, research interest has only been intensified in the last few years. Still, their synthesis processes are not very well optimized and each method has always major drawbacks that hinder its use, either because of its toxicity or either because it is not economically feasible in industrial applications. Additionally, studies involving other quaternized chitosan compounds like phosphonium and pyridinium salts are very recent and still need maturation. For the future, as there is growing interest in quaternized chitosan and the number of studies about it increases every year, it is expected that in the next years there will be enough knowledge about these compounds and that their preparation methods will be sufficiently optimized so that real applications can benefit from the formidable and diverse properties that these materials can offer.

Article Details
DOI10.3390/polym12122878
PubMed ID33266285
PMC IDPMC7759937
JournalPolymers
Year2020
AuthorsEmanuelle Dantas de Freitas, Celso Fidelis de Moura, Jonas Kerwald, Marisa Masumi Beppu
LicenseOpen Access — see publisher for license terms
Citations119