Exploring the mechanism of hollow microcapsule formation by self-assembly of soy 11s protein upon heating

Exploring the mechanism of hollow microcapsule formation by self-assembly of soy 11s protein upon heating

Journal Pre-proof Exploring the mechanism of hollow microcapsule formation by self-assembly of soy 11s protein upon heating Huanhuan Zhao, Mingming Gu...

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Journal Pre-proof Exploring the mechanism of hollow microcapsule formation by self-assembly of soy 11s protein upon heating Huanhuan Zhao, Mingming Guo, Tian Ding, Xingqian Ye, Donghong Liu PII:

S0268-005X(19)31271-8

DOI:

https://doi.org/10.1016/j.foodhyd.2019.105379

Reference:

FOOHYD 105379

To appear in:

Food Hydrocolloids

Received Date: 16 June 2019 Revised Date:

22 August 2019

Accepted Date: 10 September 2019

Please cite this article as: Zhao, H., Guo, M., Ding, T., Ye, X., Liu, D., Exploring the mechanism of hollow microcapsule formation by self-assembly of soy 11s protein upon heating, Food Hydrocolloids (2019), doi: https://doi.org/10.1016/j.foodhyd.2019.105379. This is a PDF file of an article that has undergone enhancements after acceptance, such as the addition of a cover page and metadata, and formatting for readability, but it is not yet the definitive version of record. This version will undergo additional copyediting, typesetting and review before it is published in its final form, but we are providing this version to give early visibility of the article. Please note that, during the production process, errors may be discovered which could affect the content, and all legal disclaimers that apply to the journal pertain. © 2019 Published by Elsevier Ltd.

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Exploring the mechanism of hollow microcapsule

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formation by self-assembly of soy 11s protein upon

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heating

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Huanhuan Zhao a, Mingming Guo a,b, Tian Ding a,b, Xingqian Ye a,b, Donghong Liu a,b,c,

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a

College of Biosystems Engineering and Food Science, Zhejiang Key Laboratory for Agro-Food

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Processing, Zhejiang R&D Center for Food Technology and Equipment, Zhejiang University,

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Hangzhou 310058, Zhejiang, China b

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c

Fuli Institute of Food Science, Hangzhou 310058, Zhejiang, China

Ningbo Research Institute, Zhejiang University, Ningbo 315100, Zhejiang, China

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Abstract: This study investigates the phenomenon of hollow microcapsule formation through

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simple heat treatment of soy 11s protein solution. Microscopies were used to monitor the

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morphological changes of proteins in the aqueous phase during fabrication; the corresponding

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changes in zeta potential, protein solubility and composition were examined. In the presence of

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0.05 M sodium chloride, the 11s protein self-assembled into irregular flocs, which transformed

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into microgels or hollow microcapsules upon heating at 80

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microcapsule transformation occurred within the first 60 s of heating and the microcapsules

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formed their perfect hollow spherical structure in 4 min of heating. A mechanism was proposed

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for 20 min. The key protein flocs-

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to describe the hollow structure formation in microcapsules. The samples with protein

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concentration of 2 g/L had more microgels formed, while those with 5 and 10 g/L protein was

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mainly composed of hollow microcapsules. It was found that as the particle radius approached

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the wall thickness, microgels formed instead of microcapsules.

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Keywords: hollow microcapsule; microgel; soy 11s protein; self-assembly; protein aggregates

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1 Introduction

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Design of hollow microcapsules (or nanocapsules) has been receiving particular interest due to

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their wide applicability; for example, hollow microcapsules can be developed as delivery

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systems of active components, catalytic systems and absorbents for removal of hazardous

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compounds in aqueous phase (Loiseau et al., 2017). Hollow microcapsules have the potential to

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load more core materials compared to the solid (i.e. homogenous porous) spheres and can have a

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more sustained release as the substrates are entrapped inside the hollow structure (Rivera,

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Pinheiro, Bourbon, Cerqueira, & Vicente, 2015).

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Hollow microcapsules are commonly prepared through self-assembly of wall materials onto

33

the surface of either a solid or a liquid template (Wan, Guo, & Yang, 2015). A layer-by-layer

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method has been widely used, which permits the formation of microcapsules with engineered

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features upon dissolution of the sacrificial solid core (Zhang, Guan, & Zhou, 2005). Another

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approach is through fabrication of colloidosomes with the colloidal particles assembled around

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the templating droplets (Lee & Weitz, 2009). In addition to the interfacial self-assembly of wall

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materials at the solid-liquid or liquid-liquid boundaries, another strategy of hollow microcapsule

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fabrication is through double emulsions with the wall materials incorporated into the middle

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phase (Loiseau et al., 2017). In spite of a higher encapsulating capability and potential better

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controlled release performance of hollow microcapsules, conventional approaches to assemble

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such microcapsules are usually complex and time consuming and often involve addition of toxic

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solvents to remove the sacrificial templates, performed as temporary cores, during the processes

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(Feng & Lee, 2017; Rivera et al., 2015).

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Natural biopolymer-based delivery systems have attracted much attention owning to their

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advantages of biodegradability and biocompatibility (Larrañaga, Lomora, Sarasua, Palivan, &

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Pandit, 2017). Soy protein, as a natural polymer, has been commonly used as a starting material

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to prepare polymeric delivery systems for bioactive compounds; it is an abundant resource,

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which has desirable water solubility and non-immunogenic and anti-carcinogenic properties

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(Maltais, Remondetto, & Subirade, 2009). Recently, spontaneous formation of hollow

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microcapsules through heating of pure plant-based protein solutions has been reported. To the

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best of our knowledge, Chen, Zhao, Nicolai, and Chassenieux (2017) was the first found

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spontaneous formation of hollow microcapsules under heating using pure legume protein

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solutions. The authors demonstrated ion-induced microphase separation of native soy glycinin

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solution, based on which, hollow microcapsules were produced by heating the dispersion above

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60

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and a wall thickness of approximately 1 µm. Later, Cochereau, Nicolai, Chassenieux, and Silva

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(2019) also reported hollow microcapsule formation in pea protein isolate solution through pH-

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induced phase separation and subsequent heating above 40

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such self-assemble ability was not solely for specific types of plant proteins.

for more than 5 min; the resulting microcapsules had a diameter ranging from 1 to 40 µm

for 2 min and they suggested that

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The aforementioned spontaneous formation of plant protein-based hollow microcapsules has

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several advantages over the traditional methods such as a simpler fabrication routing and no

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requirements of sacrificial core materials, chemical cross-linkers or emulsion templates. The

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hollow microcapsules produced from the new method is stable and can keep their integrity

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between a pH range from 1 to 11.5; the microcapsules has desirable pH responsive permeability

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of FITC-dextran (Chen, Zhang, Mei, & Wang, 2018). Despite the above advantages and potential

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applications, the driving forces and underlying mechanisms of the microcapsule fabrication are

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unknown, more specifically, spontaneous formation of the shell and disappearance of proteins at

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the center during heating. Chen et al. (2017) hypothesized that the increased attractive

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interactions drove densification of soy protein within the protein microdomains as a result of the

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configurational changes during heating, while Cochereau et al. (2019) attributed it to possible

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redistribution of protein from the core of microdomains to solution and formation of permanent

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protein-protein crosslinks at the shell. However, there is still a lack of study in the literature to

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validate any of the hypotheses and to reveal the actual mechanisms of this new protein self-

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assembly process.

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Therefore, the objective of this research was to (1) explore the key phenomena involved at

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each stage of hollow microcapsule formation using soy 11s protein and to (2) gain further

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insights into the mechanisms through monitoring the changes in morphology of protein

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flocs/particles and the corresponding changes in composition and properties of the aqueous

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systems.

81 82 83

2 Materials and Methods

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2.1 Isolation of soy 11s protein

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Soy 11s protein was isolated from defatted soy flour, which was offered by Sinoglory Health

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Food (Shangdong, China). The isolation method of Wu, Murphy, Johnson, Fratzke, and Reuber

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(1999) was adopted with minor modifications. Firstly, the defatted soy flour was dispersed in

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deionized water with a weight ratio of 1:20, using a magnetic stirrer (30 min, 1200 rpm). The pH

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was then modified to 7.5 using 2 M sodium hydroxide, after which the mixture was centrifuged

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by a Sigma 3K15 centrifuge (Sigma Laborzentrifugen GmbH, Osterode am Harz, Germany) at

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9500 rpm for 30 min (4

). Then, sodium bisulfite powder was dissolved into the supernatant at

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a concentration of 0.98 g/L, prior to pH adjustment to 6.4 using 2 M HCl. The turbid dispersion

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was stored in a refrigerator (4

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The precipitates obtained was quickly rinsed with deionized water for 3 times and then re-

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dispersed in deionized water. The solution was finally freeze-dried and the dry powder of 11s

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protein was stored in a refrigerator set to 4

98

.

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2.2 Microcapsule preparation

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) for 20 h and then centrifuged at 7000 rpm for 30 min (4

).

.

Hollow microcapsule dispersion was prepared following Chen et al. (2018) with some

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modifications. Isolated soy 11s protein powder was firstly dissolved in deionized water at 20

.

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Three batches were prepared with protein concentration of 4, 10 and 20 g/L, respectively, where

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each batch was centrifuged at 9000 rpm (20

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centrifuge (Keda Chuangxin, Hefei, China) to remove insoluble fraction. Each solution was then

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combined with an equal amount of 0.1 M sodium chloride (NaCl) solution under magnetic string

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at 700 rpm for 1 min; each new turbid dispersion has a final ionic strength value of 0.05 M and

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protein concentration of approximately 2, 5 and 10 g/L, respectively. Thereafter, the dispersion

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was immediately immerged in a hot water bath with a temperature of 80±2

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the time of immersion. Hollow microcapsules or homogeneous microgels formed spontaneously

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during heating.

) using a HC 3018R high speed refrigerated

for 20 min from

111 112

2.3 Microscopic observations

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Aliquots of soy protein solutions in the presence of 0.05 M NaCl were heated at 80

water

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bath for 0, 15, 30, 45, 60, 120, 240 and 1200 s, respectively. A Leica TCS SP8 confocal laser

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scanning microscopy (CLSM; Leica Microsystems CMS GmbH, Wetzlar, Germany) was used to

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observe the difference in morphology of protein flocs or particles (microcapsules/microgels) in

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aqueous phase. Approximately 3 mL of sample was taken and stained with Rhodamine B

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(Yuanye Bio-Technology Co., Ltd., Shanghai, China) at a concentration of 1 ppm. A drop of

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sample was then mounted onto a glass slide, which was viewed using a 63× water immersion

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objective lens. A laser beam at 561 nm was used and the fluorescence intensity was recorded

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between 560 to 660 nm. The measurements were carried out immediately after sample making.

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A UPH 203i Phase Microscope (Aopu Photoelectric Technology Co., Ltd., Chongqing, China)

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was also used for observation and image acquisition by a 10× objective lens.

124 125

2.4 Particle size characterization

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ImageJ software (Schneider, 2012) was employed to separate particles from the CLSM images

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of the samples after 20 min (1200 s) heat treatment. Holes of hollow particles were filled during

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image processing, and particles smaller than 0.14 µm2 were eliminated for the aim of removing

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redundant pixels or hazy particles. Equivalent diameter of each particle was calculated based on

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the area obtained by the software, assuming the particles as perfect spheres. The size values were

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then grouped into a continuous series of size bins with a bin width of 0.5 µm, using OriginPro

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2018 software (OriginLab, Northampton, MA). The particle size distribution was represented

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based on the relative frequency in percentage as a function of equivalent diameter (bin center

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value). Coefficient of variation (CV) was calculated to evaluate the particle size monodispersity

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using the following equation.

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CV (%) =

× 100% (1)

Where standard deviation (STD) and average equivalent diameter (ADE) of each type of samples (2, 5 and 10 g/L) were obtained using the OriginPro software.

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2.5 Protein concentration and solubility measurements

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After the aforementioned 1:1 combination of protein solution and NaCl solution, the dispersion

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became turbid, either prior to heating or after heating and there were significant phase separation

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after 40 min of sample making (Figure 1). Accordingly, the turbid dispersions were centrifuged

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immediately after sample preparation at 9000 rpm, 20

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refrigerated centrifuge and the supernatants containing NaCl were collected and defined as

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Solution Type 2 (ST2, prior to heating) and ST3 (after heating), respectively. The original

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protein solutions with concentration of 4, 10 and 20 g/L were also diluted with an equal amount

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of deionized water and the new solutions had final protein concentration of 2, 5 and 10 g/L,

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respectively, without the presence of NaCl; these solutions were named as ST1.

using the HC 3018R high speed

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The total protein concentration of the isolated soy 11s protein powder was determined by the

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Kjeldahl method in duplicates based on the nitrogen content and a Kjeldahl factor of 6.25 was

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used (Renkema, Gruppen, & van Vliet, 2002). Then, the protein content of ST1, ST2 and ST3

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was measured based on Bradford (1976) using bovine serum albumin as the standard. The

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solubility of protein in the solutions was estimated using nitrogen solubility index (NSI):

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percentage of soy protein in solutions (the Bradford method) over the total protein content (the

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Kjeldahl method). Moreover, the pH values of the three types of solutions were measured using a

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digital pH meter (Five Easy Plus, Mettler Toledo, Columbus, USA).

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2.6 Electrophoresis

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SDS-PAGE (Sodium dodecyl sulfate polyacrylamide gel electrophoresis) was performed using

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a 12% acrylamide resolving gel and a 5% acrylamide stacking gel. The composition of ST1, ST2

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and ST3 was examined after proper dilution. Aliquots of 5 µL sample (a combination of protein

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solution and buffer solution) per well were loaded on to the gel. The electrophoresis was run

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with an electrophoresis cell connected to a Bio-Rad PowderPac Basic power supply (Hercules,

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CA, USA) at 80 V and continued with 120 V when the protein reached the resolving gel. After

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electrophoresis, the gel was stained with Coomassie brilliant blue R250 solution for 30 min on a

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shaker and then it was rinsed with deionized water, after which it was destained using a mixture

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of deionized water, methanol and acetic acid several times during a period of 24 h.

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2.7 Changes in Zeta potential

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Zeta potential was measured using a Malvern Zetasizer (Nano ZS90, Malvern Instruments,

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Worcestershire, U.K). Samples heated for 0, 15, 30, 45, 60, 120, 240, 480 and 1200 s were used;

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the first series of samples with protein concentration of 2 g/L were diluted with 0.05 M NaCl

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buffer for 10 times, while the second series with protein concentration of 5 g/L were diluted for

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25 times. The samples with protein concentration of 10 g/L was not measured as there were

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particles or aggregates beyond the measurement range, i.e. >100 µm. Each sample was loaded

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into a DTS1070 cuvette and the measurements were controlled by the Zetasizer software.

178 179

2.8 Statistical analysis

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The measurements of zeta potential, protein concentration and solubility were carried out three

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times with three replication for each individual measurement unless otherwise stated and the

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values were reported as means ± standard error. Analyze of variance was performed in SPSS

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software (SPSS 17.0, IBM Corp., NY, USA). The protein concentration and NSI values were

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evaluated using one-way ANOVA with a post hoc Tukey test, at a significance level of 95%.

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3 Results and Discussion

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3.1 Effect of protein concentration on microcapsule formation

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3.1.1 Microscopic observations

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The process of microcapsule formation can be split into two procedures: ion-induced phase

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separation and heat-induced particle formation. According to Figure 2 (A1, B1 and C1), it can be

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seen that, prior to heating, soy protein flocs appeared in the presence of 0.05 M NaCl and with a

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higher protein concentration (2, 5 and 10 g/L), the size of flocs became larger and there was

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denser spatial distribution of the flocs. The phase separation phenomenon of protein solution

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caused by ion addition has been extensively studied, commonly reported for gel formation

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(Totosaus, Montejano, Salazar, & Guerrero, 2002). In this study, the surface charges were

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screened by addition of Na+ and as the electrostatic repulsion decreased, proteins flocculated at

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their native states (low ionic strength) through weak non-covalent links, i.e. hydrogen bonds, van

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der Waals force or hydrophobic interactions; such aggregating state was reversible depending on

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solution conditions (Kastelic, Kalyuzhnyi, Hribar-Lee, Dill, & Vlachy, 2015; Peng, Ren, & Guo,

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2016).

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The sizes of spherical particles after heat treatment also increased with the protein

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concentration (Figure 2, A2, B2 and C2), which was consistent with Chen et al. (2017) using soy

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glycinin concentration of 8-15 g/L. The hollow microcapsules had a single cavity or vacuoles at

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the center, in which there could be smaller protein aggregates remained. In addition to the hollow

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microcapsule formation, small homogeneous microgels presented in all samples. Particularly, in

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Figure 2 (A2), hollow microcapsules were rarely identified and there was a significant amount of

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microgel aggregates. The wall thickness of the hollow microcapsules were estimated to be

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between approximately 0.7 and 2.2 µm based on the CLSM micrographs, where larger hollow

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microcapsules had thicker walls; an example was shown in Figure 2 (C2). As such it was

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reasonable to expect that the vacuoles can hardly form within a single spherical particle when the

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size of the particles was small, e.g. with a radius smaller than 2.2 µm. This renders that wall

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thickness is a crucial factor that determines the lower limit of the size of hollow microcapsules.

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The morphology of the protein flocs in Figure 2 (A1, B1 and C1) was irregular. Chen et al.

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(2017) had similar observations of irregular protein flocs in 10 g/L soy glycinin solution with

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0.05 M NaCl and pH of 7.2, while spherical microdomains formed when the NaCl concentration

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increased to 0.1 M; however, both types of dispersion had desirable formation of hollow

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microcapsules under heating (Chen et al., 2018; Chen et al., 2017). In addition, as the protein

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flocs were relatively unstable, their morphology could be mixing-speed dependent just before

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heating (Cochereau et al., 2019). Thus, there was no evident correlation found between the

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morphology of phase separated flocs and the formation of hollow microcapsules.

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3.1.2 Particle size distribution

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The size distribution of particles in each type of samples after 20 min heating at 80

were

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presented in Figure 3. The majority of particles had equivalent diameter smaller than 15 µm;

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however, there were 5.5% and 9.1% particles exceeded this size boundary in the 5 and 10 g/L

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samples, respectively. Although there was presence of large microcapsule aggregates as

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identified in Figure 2 (B3 and C3) and microgel aggregates as displayed in Figure 2 (A2), the

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former was eliminated and the later was separated into individual particles with care during

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image processing. The average equivalent diameter values of the three types of samples were 2.8

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µm (2 g/L), 6.6 µm (5 g/L) and 6.6 µm (10 g/L), and their corresponding CV values were 47.4%,

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65.9% and 89.5%, respectively. A higher CV value indicates less homogeneous or uniform

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particles. This was in good agreement with the observation in Figure 3 that the size distribution

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of particles in the 2 g/L samples exhibited narrower unimodal, while the size of particles in the 5

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and 10 g/L samples had more significant variation. Despite the same mean size values of the 5

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and 10 g/L samples, the size distributions were different and the 10 g/L sample had the highest

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CV value.

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Due to the limited resolution of CLSM, only the visible particles were taken into account

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during image processing. The 2 g/L sample had the largest proportion of small particles with a

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size range between 0 and 4.5 µm, approximately 89.9%. Hence, the 2 g/L sample was dominated

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by microgels, different form the 5 and 10 g/L samples composed of both microgels and

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microcapsules. The size of hollow microcapsules were generally larger than the microgels. It can

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be proposed that when the protein concentration was low, there were less opportunities of

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protein-protein interactions and therefore, smaller “solid” protein particles can form upon

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heating.

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3.2 Microstructural changes of protein particles upon heating

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Samples with protein concentration of 2 g/L formed numerous small microgels, while those

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with protein concentration of 10 g/L had more large microcapsules and microcapsule aggregates.

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As a result, samples with protein concentration of 5 g/L was selected and heated at 80

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different time duration. The CLSM micrographs in Figure 4 illustrate the continuous changes in

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particle morphology during the protein flocs-microcapsule transformation in the presence of 0.05

12

for

254

M NaCl upon heating. It has to be noted, however, that there could be changes in the

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particle/aggregate morphology due to cooling once the samples were taken for CLSM

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measurements; therefore, the particle/aggregate morphology shown in Figure 4 may be different

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from the scenario of 20 min heating at 80

258

function of time.

with continuous changes in protein structure as a

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The soy protein flocs (Figure 4, A1) exhibited random shapes prior to heating, similar to those

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in Figure 2 (A1, B1 and C1). Interestingly, however, “hollow” structure or cavities inside the

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flocs sporadically appeared as presented in Figure 4 (A2), different to those in Figure 4 (A1),

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although the samples were independently prepared with the same solution conditions. This was

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ascribed to the strong sensitivity of the morphology of such protein system to solution conditions

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as suggested by Cochereau et al. (2019), and Chen et al. (2017) also had similar inconsistent

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observations in soy glycinin system with pH between 4-6.4 and NaCl concentration between 0.4-

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0.5 M. This was an implication that the protein particles tent to interact with each other forming

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hollow structure although the driving forces and trigger conditions currently remained unclear.

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Despite the slight divergent findings in the morphology of protein flocs during the first 15 s of

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heating (Figure 4, A1-B1 or A2-B2), hollow microcapsules started to form into their shapes from

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30 s of heating. As heating proceeded, the main changes were within each single microcapsules:

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single vacuoles formation at the center and perfection of the spherical shapes (Figure 4, C-E).

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From 4 min (240 s) of heating there were minimal changes (Figure 4, F-G). Therefore, the most

273

important transformation from ion-induced flocs to hollow microcapsules occurred rapidly

274

within 30 s of heating at 80

275

worth mentioning that the variations in particle size of microcapsules among the micrographs

, followed by post-heating for microcapsule perfection. It was

13

276

was due to the difference of position in focus during image acquisition as there could be phase

277

separation.

278

Figure 5 (A) showed CLSM cross-sectional images of a particulate type floc (P1), focused at

279

varying depth after heating for 15 s and strand type flocs and cavities within them were also

280

indicated using blue arrows. Each floc was composed of individual spherical protein clusters,

281

which were self-associated with each other and there were also a few free clusters suspended in

282

the peripheral solution; the diameter of protein clusters were estimated to be approximately 2-5

283

µm. P1 was composed of loosely packed protein clusters with cavities within it; however, it was

284

not a hollow sphere. Figure 5 (B) showed microstructural details of the intermediate-state hollow

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microcapsules after heating for 30 s, where the particles became more spherical in shape and

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vacuoles presented at the center, although some particles inter-connected with each other as

287

indicated (P2 and P3). These inter-connected particles could separate or merge into one

288

microcapsule during subsequent heating.

289 290

3.3 Changes in protein solubility during microcapsule formation

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The total protein concentration of the isolated soy 11s protein was determined as 94.34±0.47

292

wt %; therefore, it was shown in Table 1 that the actual protein concentration (C0) of the 2, 5 and

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10 g/L samples were calculated as approximately 1.89, 4.72 and 9.43 g/L, respectively. With the

294

removal of insoluble protein fraction by centrifugation, the protein concentrations in ST1 (C1)

295

decreased to 1.48, 3.71 and 7.68 g/L, respectively. It is noticeable that the concentration values

296

of ST2 (C2: 043, 1.76 and 2.96) were significantly (P<0.05) smaller than those of ST3 (C3: 0.6,

297

2.45 and 4.64) for each type of sample, which suggested that the soy proteins in ion-induced

298

flocs partially re-dispersed/dissolved into the solution upon heating, resulting in higher protein

299

concentration values in ST3.

14

300

In Figure 6, the NSI1 values of ST1 solutions, being estimated between 0.79 and 0.81, were not

301

statically different (P>0.05) among the three types of samples. This was because ST1 solutions

302

had pH values ranging from 7.34 to 7.44 which contributed to high solubility of soy globulins in

303

water as the pH was away from the isoelectric point, approximately 4.9-5.2 (Golubovic, van

304

Hateren, Ottens, Witkamp, & van der Wielen, 2005; Wolf, 1970). For each type of samples, the

305

changes in NSI values had a similar trend as the changes in concentrations, i.e. a decrease by

306

adding NaCl and then a slight increase because of heating. These results reveal that the proteins

307

had the lowest solubility due to ion-induced phase separation and the solubility increased slightly

308

due to the conformational changes of protein during heating; the pH values of ST2 and ST3

309

solutions varied between 6.72 and 6.85. The NSI2 and NSI3 values of the 2 g/L sample were both

310

significantly (P<0.05) lower than those of the 5 and 10 g/L samples and it meant higher

311

productivity of microgels than the microcapsules.

312 313

Table 1. Protein concentration (C) of each type of solutions and supernatants.

Sample

Actual concentration

C1

C2

C3

ST1

ST2

ST3

g/L

314 315

2 g/L

1.89

1.48±0.01 a

0.43±0.03 b

0.60±0.11 c

5 g/L

4.72

3.71±0.01 a

1.76±0.02 b

2.45±0.04 c

10 g/L

9.43

7.68±0.01 a

2.96±0.02 b

4.64±0.05 c

Note: different superscript letters in each row denote significant differences at P<0.05. Values are means ± standard error (n=3).

316 317

3.4 Changes in zeta potential during microcapsule formation

15

318

Zeta potential values of the 2 and 5 g/L samples containing 0.05 M NaCl were measured at

319

different stages of heating. It was seen from Figure 7 (the full diagram, Figure A1, has been

320

provided in the Supplementary data) that both samples had an initial value of approximately -

321

11.8 mV, which was followed by a sharp decrease within the first 15 to 30 s. Then it increased

322

quickly until approximately 60 s of heating. The zeta potential value continued to change and

323

after approximately 4 min, it almost kept constant with time. Overall, the curve of 5 g/L sample

324

had a similar trend as the 2 g/L sample in spite of slight shifts. It has to be aware that the

325

morphological difference of the particles in these two samples may influence the zeta potential

326

results. The redistribution of protein from flocs to solution during heating was possibly occur

327

within the first 60 s of heating as indicated by on our CLSM observations and the changes in zeta

328

potential. In addition, the zeta potential values were in a range of aggregation threshold of -11 to

329

-20 (Schramm, 2014); hence, the dispersions were relatively unstable as being observed in

330

Figure 1.

331

Heat treatment generally induced conformational changes of native soy proteins and soy 11s

332

protein could undergo dissociation and then association/aggregation reactions (Nishinari, Fang,

333

Guo, & Phillips, 2014). Therefore, the protein composition of ST1, ST2 and ST3 were compared

334

using SDS-PAGE analysis. The 11s fraction of soy proteins can generally dissociate into smaller

335

2s, 3s or 7s forms depending on pH, ionic strength and heating conditions (Hashizume &

336

Watanabe, 1979; Nishinari et al., 2014). However, in Figure 8, no marked changes in protein

337

electrophoretic patterns was detected apart from the differences in the color intensity, which was

338

ascribed to varying dilution levels. Note that here the protein composition of ST2 and ST3 were

339

similar by comparing A and D, B and E, or C and F in Figure 8, which elucidated in return that

340

the protein composition in flocs prior to heating and particles formed after heating were also

16

341

similar. The solutions were dominant in soy 11s acidic and basic subunits and there were minor

342

amount of 7s β subunits. The molecular mass of the 11s acidic subunits was approximately 35

343

kDa and the 11s basic subunits were approximately 19-20 kDa, which was in line with the values

344

reported in the literature (Hsiao, Yu, Li, & Hsieh, 2015); there were no additional pattern

345

exhibited between the range of 10-25 kDa (not shown). These results rendered that the

346

phenomena of ion-induced phase separation, partial redistribution of proteins during heating and

347

heat-induced microcapsule formation were probably irrelevant to specific protein components.

348 349

3.5 Mechanism of microcapsule formation

350

Relying on the obtained results, we can describe the two procedures of hollow microcapsule

351

formation as illustrated in Scheme 1: ion-induced phase separation and heat-induced

352

microcapsule formation. The presence of sodium ions neutralized the surface charges of proteins

353

(Mulvihill & Kinsella, 1988) and promoted protein-protein association forming protein clusters,

354

which stacked together yielding a particulate type or strand type protein floc; there were single

355

clusters remained as shown in Figure 5. Peng et al. (2016) had similar observations in ion or acid

356

induced soymilk prior to gel formation and the morphology of flocs were pH and ion-strength

357

dependent. Thereafter, when the phase separated system was heated at 80 oC, soy proteins started

358

to denature (Nagano, Akasaka, & Nishinari, 1994), accompanied by exposure of hydrophobic

359

groups and aggregate/gel formation (Wang et al., 2017). As mentioned by Ferry (1948), protein

360

gelling involved unfolding or dissociation of proteins and then association or aggregation

361

reactions, where the rate of the first step was faster than the second. The ongoing denaturation

362

allowed protein-protein interactions mainly driven by hydrophobic interactions (Hashizume &

363

Watanabe, 1979; Peng et al., 2016).

17

364

Regarding to the structural evolution of microcapsules or microgels, we propose the following

365

procedures as illustrated in Scheme 1, based on our results of microscopic observations,

366

solubility tests and zeta potential measurements. (1) Ion-induced protein flocs partially re-

367

dispersed into the periphery solution at the start of heating within 60 s, possibly due to

368

dissociation reaction or an increase of protein solubility, contributing to higher NSI values in

369

ST3. (2) the gelling or aggregation process occurred simultaneously and can be described by the

370

LENP model (Andrews & Roberts, 2007) following a process of nucleation and nucleation-

371

dependent aggregation (polymerization and then condensation). Permanent crosslinks between

372

proteins formed, e.g. intermolecular disulfide bonds (Lakemond, de Jongh, Hessing, Gruppen, &

373

Voragen, 2000) and the shell became rigid, although the driving force of the hollow structure

374

development in microcapsules remained unclear and more efforts were required. (3) The strand

375

type protein flocs may be split into several smaller particles or rearrange into one large particle.

376

(4) Microgels formation was favored when the flocs had a diameter smaller than 4.4 µm, because

377

there could be more protein gelled than re-dispersed.

378

Cochereau et al. (2019) heated 2 g/L pea protein isolate solution (pH 6.3) at 40 oC for 2 min

379

and found pH-induced phase separated microdomains (spherical) transforming to hollow

380

microcapsules, where the former had a mean diameter of 4.9±1.1 µm and the later was 7.2±1.9

381

µm. Although the authors failed to explain why the later was larger than the former, they also

382

proposed that formation of the hollow pea protein microcapsules was due to the vacuoles growth

383

within the spherical protein microdomains when protein partially redistributed during heating,

384

which was followed by formation of permanent crosslinks between pea proteins. However, our

385

results were different as it was found that there were no evident relevance between the

386

morphology of protein flocs, i.e. either spherical or not, and hollow microcapsule formation.

18

387

Nishinari et al. (2014) mentioned that globular proteins can convert into varying intermediate

388

states when denatured and their actual structure or format were still unclear. As a result, due to

389

the complexity of protein structure and high aqueous-environment dependence of the

390

morphologies, continuous efforts are required to clarify the microcapsule formation process and

391

to further explore the kinetics of protein flocs-microcapsule transformation.

392 393 394

4 Conclusions

395

The present work has shown the morphological evolution of protein aggregates during protein

396

flocs-microcapsule transformation upon heating at 80 oC. A mechanism of microcapsule

397

formation has been proposed based on the microscopic observations and solubility and zeta

398

potential measurements at different stages of the transformation process. It was found that phase

399

separation of soy 11s fraction, induced by the presence of 0.05 M NaCl, contributed to the

400

formation of protein clusters and irregular protein flocs. During the first 30 to 60 s of heating, the

401

protein partially re-dispersed into the solution, yielding higher NSI values, where the remaining

402

protein gradually gelled and formed either spherical hollow microcapsules or microgels upon the

403

subsequent heating. The phenomena of ion-induced phase separation and heat-induced gelation

404

were both irrelevant to specific protein components. The 2 g/L sample was mainly composed of

405

small microgels after heating and those with protein concentration of 5 and 10 g/L were

406

dominated in hollow microcapsules. The microgels formed when the radius was close to the wall

407

thickness between approximately 0.7 and 2.2 µm. A better understanding of the process of

408

hollow microcapsule formation using pure plant-based protein can benefit in future size

19

409

reduction, bio-conjugation and tailored structure design of this type of hollow microcapsules,

410

allowing their broader applications in industry.

411 412

Supporting Information: The following file is available free of charge. Appendix A: Changes

413

in zeta potential values of samples during heating. Appendix B: Representative original and

414

processed images (ImageJ processing).

415 416 417

Funding Sources: This work was a part of the research project of China Postdoctoral Science Foundation [grant No. 2019M652091].

418 419

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Figure Captions

501 502

Figure 1. Sedimentation of protein flocs or particles in samples with varying protein

503

concentration after 40 min of sample making. The red arrows indicate precipitates at the bottom.

504

A: after heating; B: prior to heating.

505 506

Figure 2. Representative images showing protein flocs formed prior to heating (A1-C1: CLSM)

507

and protein particles formed after heating (A2-C2: CLSM; A3-C3: phase microscopy).

508 509

Figure 3. Particle size distribution of microcapsules or microgels formed in samples with

510

varying protein concentration after 20 min heating at 80

511

the value of bin center was displayed on x-axis.

. Each bin has a bin size of 0.5 µm and

512 513

Figure 4. CLSM images illustrating evolution in morphology of protein flocs or particles

514

distributed in the 5 g/L sample during heating at 80 oC for 0 s (A1 and A2), 15 s (B1 and B2), 30

515

s (C), 45 s (D), 60 s (E), 240 s (F) and 1200 s (G).

516 517

Figure 5. CLSM images showing the morphology of protein aggregates distributed in the 5 g/L

518

sample after heating at 80 oC for 15 s (A) and 30 s (B). Cross-sectional images of P1 (P: particle)

519

from top to bottom (focusing at different depth) were shown.

520

24

521

Figure 6. Changes in NSI values (NSI1, NSI4 and NSI3) of the solutions (ST1, ST2 and ST3,

522

respectively) during sample preparation. Different superscript letters denote significant

523

differences at P<0.05. Values are means ± standard error (n=3).

524 525

Figure 7. Changes in zeta potential values of samples with protein concentration of 2 and 5 g/L

526

during heating. Points are means ± standard error (n=3).

527 528

Figure 8. Differences in electrophoretic patterns of the solutions (ST1, ST2 and ST3) with

529

varying protein concentration.

530 531

Scheme 1. Diagram illustrating the changes in protein-protein interactions during microcapsule/

532

microgel formation. R: re-dispersion; G: gelation.

533 534

25

Highlights

Morphological evolution of protein aggregates in the aqueous phase was shown.

The key protein flocs-microcapsule transformation occurred within 60 s of heating.

Microgels formed instead of microcapsules when the radius was smaller than 2.2 µm.

Hollow microcapsule formation were irrelevant to specific protein components.

A potential microcapsule formation routine was proposed based on the results.

Declarations of Interest: None.