REVIEWS

Horizontal gene transfer: building the

web of life
Shannon M. Soucy1, Jinling Huang2 and Johann Peter Gogarten1,3
Abstract | Horizontal gene transfer (HGT) is the sharing of genetic material between
organisms that are not in a parent–offspring relationship. HGT is a widely recognized
mechanism for adaptation in bacteria and archaea. Microbial antibiotic resistance and
pathogenicity are often associated with HGT, but the scope of HGT extends far beyond
disease-causing organisms. In this Review, we describe how HGT has shaped the web of life
using examples of HGT among prokaryotes, between prokaryotes and eukaryotes, and even
between multicellular eukaryotes. We discuss replacement and additive HGT, the proposed
mechanisms of HGT, selective forces that influence HGT, and the evolutionary impact of HGT
on ancestral populations and existing populations such as the human microbiome.

Selfish genetic element

Horizontal gene transfer (HGT) was first described in HGT has long been recognized as an important force
A gene or group of genes microorganisms in the late 1940s1, and around 20 years in the evolution of bacteria and archaea. However, the
that enhance their own later it was speculated to have a role in the adaptation exchange of genetic information between prokaryotic
transmission and reproductive of multicellular eukaryotes — specifically plants2. Since symbionts and their eukaryotic hosts, and even between
success without making a
positive contribution to the
then, methods to detect HGT have improved, and these eukaryotes, signifies that HGT in eukaryotes occurs
host’s fitness. have revealed the surprising extent and relevance of more frequently than previously thought 7,8. Often these
HGT to the variation of viral, prokaryotic and eukary- transfers involve gene donations to unicellular eukary-
otic gene content. Many apparent gene duplications, for otes9 and are frequently associated with bacterial endo-
example, are now known to be the result of HGT, not symbionts10 (known as endosymbiotic gene transfer
autochthonous gene duplication, resulting in a ‘web of (EGT) or intracellular gene transfer (IGT)). However,
life’ rather than in a steadily bifurcating tree3,4. bacterial genes can also be transferred to multicellular
For a transferred gene to survive in the recipient eukaryotes8. Recent interest in the human microbiome
lineage for long periods of time, the gene usually needs has reinvigorated the search for HGTs from symbionts
to provide a selective advantage either to itself (in the into the human genome. Although transfers of bacte-
case of a selfish genetic element) or to the recipient, rial genes into the human germ line11,12 have not be con-
and research on HGT initially focused on such genes. firmed, evidence is accumulating of HGT from bacteria
However, it is now known that many of the genes that to human somatic cells13. These findings demonstrate
1
Department of Molecular have been identified as transferred through comparative the enduring influence of HGT on the evolution of all
and Cell Biology, University genomics between close relatives have neutral or nearly parts of the web of life, eukaryotes included.
of Connecticut, 91 North neutral effects in the recipient in both prokaryotic and In this Review, we present an overview of how HGT
Eagleville Road, Storrs,
Connecticut 06269–3125,
eukaryotic organisms5. One rule for transferred genes has contributed to innovation throughout the web of
USA. seems to be ‘first do no harm’ — genes that are suc- life by providing novel combinations of gene sequences
2
Department of Biology, cessfully integrated into a recipient are often expressed for selection to act upon, thus shaping the evolution of
East Carolina University, at low levels and encode functions at the periphery of species ranging from single-celled microorganisms to
Greenville, North Carolina
metabolism6. These neutral acquisitions, however, can multicellular eukaryotes. Advances in the understand-
27858, USA.
3
Institute for Systems later provide novel combinations of genetic material ing of mechanisms of HGT, methods of identifying
Genomics, University for selection to act on — in some cases, the transferred HGT events and the growth of genome databases have
of Connecticut, material becomes domesticated over time and pro- facilitated these insights.
Connecticut 06269–3125, duces a beneficial phenotype. In other cases, when the
USA.
Correspondence to J.P.G. 
imported genes remain neutral and there is no obvious Mechanisms of HGT
e-mail: gogarten@uconn.edu benefit associated with their retention, the genes are The three most recognized mechanisms of HGT in
doi:10.1038/nrg3962 likely to be lost over time. prokaryotes are conjugation, transformation and

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transduction (FIG. 1). Conjugation requires physical con- to the presence of foreign genes in eukaryotic genomes,
tact between a donor and a recipient cell via a conjuga- as is the case for mitochondria and plastids, which are
tion pilus, through which genetic material is transferred. eukaryotic organelles that evolved from bacterial endo-
Conjugation is canonically restricted to bacterial cells as symbionts10, and many other endosymbionts that have
the donor and recipient, however, Agrobacterium spp. donated genetic material to their host genomes23. In the
is an exception and uses its conjugation machinery for absence of an endosymbiotic partner, a congruent phylo-
HGT into plant cells14,15. Transformation is the uptake genetic signal from multiple foreign genes has also been
of exogenous DNA from the environment and has been used to infer the presence of obsolete endosymbionts in
reported in both archaea and bacteria16,17. Transduction plants and other photosynthetic eukaryotes25,30. Notably,
is the delivery of genetic material through phage preda- however, genes of endosymbiotic origin are either absent
tion owing to the integration of exogenous host genetic or not obviously enriched in several eukaryotes that har-
material into a phage genome, and this phenomenon has bour endosymbionts24,26, suggesting that proximity alone
been observed in both bacteria and archaea. There are is not enough to ensure successful HGT.
two types of transduction: generalized, in which a ran- Feeding activities are also frequently linked to gene
dom piece of the host DNA is incorporated during cell acquisition. The mechanism of the ‘you are what you eat’
lysis; and specialized, in which a prophage imprecisely gene transfer ratchet proposed by W. Ford Doolittle sug-
excises itself from a host genome and incorporates some gests that many protists acquire genes through phagotro-
of the flanking host DNAs. phy 27. This mechanism is consistent with the findings
Other mechanisms of gene transfer, such as gene that phagotrophic microbial eukaryotes often harbour
transfer agents (GTAs) and cell fusion, have more many foreign genes28,29.
recently been described. GTAs are gene delivery sys- The recently proposed weak-link model suggests
tems that are integrated into a host chromosome and are that weakly protected unicellular or early developmental
sometimes under host regulatory control. GTAs carry stages, especially in oviparous species, might constitute
small random pieces of host genome in capsids for deliv- potential entry points for foreign genes into multicellular
ery to nearby hosts. GTAs are found in both bacteria eukaryotes8. These foreign genes could then be spread
and archaea. The GTA-encoding genes do not provide through mitosis to germline cells, and thus to offspring.
an obvious benefit to the host, which donates its DNA This model could potentially explain the fact that genes
to others, nor is the benefit to the GTA-encoding genes are frequently acquired in plants and animals that have
obvious, because the GTA does not preferentially trans- eggs associated with endosymbionts or exposed to exte-
fer the GTA-encoding genes. The question of how these rior environments (for example, mosses, Drosophila spp.
genes remain under selection for function remains enig- and nematodes)23,31,32.
matic18. One study found that GTAs from Rhodobacter One way that genes can be exchanged between
capsulatus were able to transfer antibiotic resistance to related species is through introgression — that is, gene
bacteria from different phyla; however, other studies flow due to interspecies hybridization followed by
have shown that not all bacteria, including those with the repeated backcrosses to one of the parent species. This
genes encoding GTAs, are able to receive gene donations mechanism is a major concern in transgenic crops that
via GTAs18. GTAs have evolved from prophages that have are grown in proximity to non-domesticated relatives33.
lost the ability to target their own DNA for packaging 18. Introgression of adaptive genes is not limited to plants.
Most GTAs cannot package a long enough segment of For example, introgression was inferred to have intro-
DNA to transfer all the genes that are necessary to pro- duced an allele that is important in brain development
duce GTAs — that is, in contrast to phages, GTAs cannot from archaic to modern humans, and this transferred
transfer all of the genes that encode them to a new host. allele shows signs of being under positive selection in
This is an important distinction from transduction. human populations34.
Microbiome Cell fusion has been observed in both Euryarchaeota
Following a definition ascribed
(Haloferax spp.) and Crenarchaeota (Sulfolobus spp.)19,20. Detecting HGT
to Joshua Lederberg this term
is most often used to denote Experimentally, cell fusion has been observed on solid Methods for detecting HGT generally rely on phylo-
the collective genome of the media where Haloferax volcanii forms aggregates and genetic conflict, that is, conflicting branching patterns
indigenous microorganisms of cells become physically joined by several small bridges between two gene trees; usually one of these trees is
a multicellular or unicellular of fused cell membrane21. Bidirectional gene transfer that considered to be an accepted species or a reference tree.
host. However, the term has
also been used by Lederberg
is mediated through cell fusion has also been observed Often the reference tree is assumed to represent the ver-
and others to signify an between different Haloferax species22. The bidirectional- tical evolution of the organisms that are being analysed;
ecological community of ity of this method of gene exchange means that it is more however, detecting conflict between a gene tree and the
commensal, symbiotic and similar to sexual reproduction in eukaryotes than it is to reference tree that is not due to uncertainty in phylo-
pathogenic microorganisms.
conjugation in prokaryotes. genetic reconstruction is sufficient to infer the transfer
Phylogenetic conflict of either the gene or the markers used to calculate the
Differences between the Circumstances that facilitate HGT in eukaryotes. The reference tree35. Deviations from the branching pat-
evolutionary history of a development of the nucleus sequestered genetic material tern of the reference tree identify potential HGT events,
species and the evolutionary in eukaryotes made gene exchange a more complicated and provide information about the organisms between
history of its genes are
embodied by discrepancies in
process, although physical association over extended which genes were exchanged. Species trees are often
branching order between the periods of time can facilitate HGT. Obligate endosym- built using well-conserved housekeeping or informa-
species and the gene tree. biosis as a stable form of physical association often leads tional genes, such as ribosomal proteins. These genes are

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a Conjugation b Cell fusion

d Gene transfer agents

c Transduction

f Intracellular or endosymbiotic gene transfer

e Transformation

g Introgression
Population A Population B

Backcrossing

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◀ Figure 1 | Mechanisms of gene transfer. Each panel represents a method of gene sequences become available, the more independent
transfer. Conjugation (part a) occurs through donor–recipient cell contact, and gene loss events need to be postulated and the less par-
single-stranded DNA is transferred from the donor cell to the recipient cell. Cell simonious the differential gene loss scenario becomes
fusion (part b) differs from conjugation in that DNA is exchanged bi-directionally after compared with an HGT explanation. Gene composition
cell contact and bridge formation between two cells. Gene transfer mediated by
(codon usage and oligonucleotide composition) provides
phage is known as transduction (part c). In the case of generalized transduction, any
piece of genomic DNA may be loaded into the phage head; a general transducing
a tool to identify HGT candidates42. Composition that is
phage is shown with host DNA (red). Specialized transduction occurs when an different from the genome average performs especially
activated prophage loads a piece of genomic DNA neighbouring the prophage well to identify recent transfers from distantly related
genome into the phage head together with the phage DNA (not shown). Gene donors or from phages, which have a composition that is
transfer agents (GTAs) (part d) are phages that no longer recognize their own DNA distinct from that of the recipient 43. Generally, the sets of
and only carry random fragments of host DNA. Like prophage, they reside in the host identified HGTs using each of these methods (composi-
cell genome. During transformation (part e) DNA is taken up from the surrounding tion or phylogenetic based) are complementary rather
environment; in the picture the DNA is depicted as entering the cell in the double than redundant 44.
stranded form, though many DNA uptake systems degrade one of the strands upon The comparison of genomes from closely related
cell entry. Intracellular or endosymbiotic gene transfer (part f) occurs when genetic
organisms has identified large variation in gene content
material from an endosymbiont or organelle (such as a chloroplast or mitochondrion)
is incorporated into the host genome, this mainly pertains to eukaryotes.
within a single species, especially in prokaryotic species.
Introgression (part g) occurs when a hybridization event occurs between two This variation in genome content reflects the ongoing
diverging species (orange and blue populations). Backcrosses with one of the parent process of gene gain and loss. Pan-genomes have been
populations (orange) can lead to only a small piece of the divergent genome (blue) useful for studying the evolution of gene content in
remaining in the recipient. both prokaryotic species and genera. The pan-genome
is defined as the set of all genes present in a taxon; the
accessory genome contains genes that are present in only
one or a few members of the taxon; and the core genome
transferred less frequently between divergent organisms is the set of genes present in every member of the taxon.
and can thus provide a good measure of vertical ancestry. Each individual genome thus represents a sample from
Historically, the small subunit rRNA gene (SSU rRNA) the pan-genome (BOX 1). An analysis of 61 Escherichia coli
has been used to determine the prokaryotic phylogeny. genomes revealed that only 6% of gene families were pre-
This practice was suggested to be problematic because sent in all genomes45. Pan-genomes were originally devel-
several organisms have multiple divergent rRNA oper- oped to explore the fluidity of prokaryotic genomes46;
ons, and it was reported that homologous recombina- however, because HGT is more frequent between close
tion can occur between them (see REF. 36 for a review). relatives, the pan-genome also represents the set of genes
Multi-locus sequence analysis (MLSA) has emerged as that is potentially available via HGT to any member of the
a supplementary method for determining prokaryotic group. The eukaryotic pan-genome has been less exten-
phylogeny. The aim is to minimize the phylogenetic sively studied than the prokaryotic pan-genome, possibly
conflict that results from the transfer of one or more of because the impact of HGT is less well understood and
the genes by concatenating many genes. However, if the the genomes are much larger. However, the pan-genome
individual genes are not screened for phylogenetic con- of Emiliania huxleyi, a globally distributed haptophyte
flict caused by HGT between divergent organisms, the phytoplankton species, has been studied. Although the
resulting MLSA tree might not represent either a sin- accessory genome accounts for approximately one-third
gle gene tree or the organismal evolutionary history 5. of genes present in the reference genome E. huxleyi
Careful screening of genes used in an MLSA data set CCMP1516, much of the variation in the pan-genome
for significant phylogenetic conflict, and using a large is related to intron tandem repeats and exon swapping,
number of genes (such as the suite of 50 ribosomal rather than HGT47. These data suggest that HGTs may be
proteins), can help to mitigate this problem. Generally, less frequent or that transferred genes may be less likely
within a phylum, phylogenetic trees that are generated to persist in eukaryotes.
using MLSA are in good agreement with those made
using SSU rRNA and also provide better resolution at HGT in evolution
the species level37,38. Mobile selfish genetic elements promote HGT. HGT ena-
Quantification of bacterial and archaeal HGT is bles innovations that evolved in one group of organisms
difficult because most transfers occur between closely to be shared across the web of life. Many HGTs provide
related organisms and are difficult to distinguish owing a selective advantage to the recipient but, as described
to the genetic similarity of the host and the recipi- above, some transferred genes seem to be initially neutral
ent genomes39–41. As mentioned above, the canonical or nearly neutral to the recipient. HGT of self-splicing
method for detecting HGT events uses phylogenetic selfish genetic elements such as introns and inteins pro-
conflict comparing the gene history to the species his- vide examples of nearly neutral mobile genetic elements.
tory. Substantial and statistically supported conflict in Although the self-splicing activity minimizes the cost
the branching patterns of the gene and species trees can to the host organism, the additional DNA, RNA and
identify possible gene donors or the gene exchange part- protein synthesis associated with the selfish genetic ele-
ners if the direction of transfer cannot be interpreted. ment provide an additional burden to the host 48. These
Gene duplication followed by differential gene loss elements persist because their success in invading new
is an alternative to HGT5; however, the more genome hosts compensates for the fitness cost to the host. Once

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Genome streamlining established, these elements can provide material for varia- often flank selfish elements and have been frequently
The reduction of genome size tion, increased complexity and innovations. For example, co-opted to either increase or decrease gene expression in
through relaxed selection and in Saccharomyces cerevisiae the HO endonuclease, which different tissues52. Syncytin genes that have a key role
eventual loss of loci that are evolved from an intein, functions as a mating-type switch in trophoblast cell fusion during placenta development
superfluous to the niche
occupied by the organism.
cleaving at the MAT locus. Split inteins have become an were repeatedly derived from retroviral envelope pro-
integral part of synthesizing the DNA polymerase in tein genes52,53. In organisms with distinct somatic and
Mobilome marine picocyanobacteria. The group 2 introns evolved germline cells, phenotypic ingenuity often depends on
The aggregate of mobile into spliceosomal introns, which now enable alternative the result of changes in the copy number or expression
genetic elements in a genome,
splicing and fine-tuned regulation in most eukaryotes of a gene, which are often the result of selfish element
population or environment of
interest.
(see REF. 4 for a review). Thus, HGT disseminates benefi- dynamics in the germ line54. These changes can lead to
cial, neutral and nearly neutral genes; subsequent selec- divergence among or within species.
Genome architecture tion can act on the variations that occur in the transferred
imparting sequences genes, leading in some cases to their integration into Biased gene transfer and highways of HGT. Successful
Strand-biased sequence motifs
that are enriched towards the
cellular regulatory and metabolic networks. HGTs frequently occur between closely related organ-
termini of replication; thought Selfish genetic elements are commonly involved in isms55, and the compositional similarity between the
to direct proteins towards the promoting HGT and genome rearrangements, as well donor and the recipient genomes promotes homologous
termini. as facilitating the acquisition of genes that provide a recombination that leads to homologous replacement
selective advantage for recipients49. One example is the with divergent alleles from close relatives. Additionally,
localization of antibiotic resistance genes in compound the similarity between genome architecture imparting
selfish elements such as plasmids, integrative conjuga- sequences in closely related organisms (same species or
tive elements (ICEs) and even group 2 introns50. These genera) leads to streamlined integration of the imported
compound structures can contain a large repertoire of material56. In an analysis of 21 haloarchaeal genomes,
genes with unrelated functions. Compound selfish ele- over 90% of the HGTs identified through phylogenetic
ments are often associated with toxin resistance genes, conflict were integrated into the recipient genome
metabolic genes, virulence factors and a wide range of through homologous recombination39. The frequency
secreted factors50. The acquisition of a useful gene rep- of successful HGTs between pairs of Haloarchaea was
ertoire could offset the cost of maintaining and transfer- shown to decrease exponentially with the phylogenetic
ring a large selfish element such as a conjugal plasmid. distance (FIG. 3), probably due to the reduced efficiency
The traits carried on compound mobile elements can be of homologous recombination between genetically
used as a gene reservoir in times of adversity 50,51. Genome divergent organisms.
streamlining is common in prokaryotic populations, and It was long thought that orthologous replacement
thus the mobility of adaptive genes associated with the through homologous recombination would be limited
mobilome becomes an important evolutionary strategy. to the exchange of very similar gene sequences; how-
Studies of the mobilome in different populations might ever, the discovery of divergent isofunctional genes
provide information about the selective pressures (FIG. 2) (known as homeoalleles) that can replace a divergent
that act on these populations and that influence gene homologue in the recipient genome illustrated that
distribution via HGT. homologous replacement can occur through homolo-
Selfish genetic elements are common in large multi­ gous recombination in the conserved region flanking
cellular eukaryotic genomes. Long terminal repeats the divergent homeoalleles40. Divergent homeoalleles

Box 1 | Pan-genome
This depiction (see the figure) of the pan-genome and core genome is based on Strain-specific
Edward’s Venn cogwheel104, and was designed by O. Zhaxybayeva, Dartmouth genes
College, USA. The pan-genome of a group refers to the sum of all the genes that are
present in members of the group. Pan-genomes comprise the core genome, which Accessory
comprises the genes found in all members of a group of interest, and the accessory
genome — genes that are present in only one or a few members of the group.
The concept of a pan-genome has led to the idea that steps in metabolic pathways
may be distributed over several individuals within a community. The Black Queen
hypothesis105 suggests that the combination of leaky functions — genes that produce
a product that is shared with others in the community — combined with a selection
for small genomes, will lead to a situation in which leaky functions are encoded in the Core
genomes of only a fraction of community members that produce this function as a
common good. The pan-genomes of many taxa seem to be open (that is, of an
unlimited size)106–108, although the combination of limited population size and limited
time of divergence from a common ancestor certainly limits the numbers of genes
actually present in a given taxon. Estimated pan-genome sizes taking population
size and divergence time into consideration can be large; for example, the Accessory
Prochlorococcus pan-genome has been estimated to contain approximately 58,000
genes109, whereas the individual genomes of the members of this genus encode only
about 2,000 genes each.

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being present in the recipient genome, an outcome that

Competition between holobionts (host plus symbionts) and
between microbial communities (consisting of multiple is similar to a gene duplication4. The methylaspartate
species in a syntrophic relationship) cycle, for example, combines genes from several bac-
terial metabolic pathways that were transferred to the
Competition between groups
(groups that adapt or evolve faster outcompete haloarchaeal ancestor from different bacterial donors
other groups) and incorporated into a novel pathway for carbon
assimilation58. Other examples of HGT contributing to
Competition between individuals
(genes in organisms with higher fitness the assembly or extension of metabolic pathways are
increase in frequency in the population) acetoclastic methanogenesis in Methanosarcina spp. and
the assembly of two photosystems functioning in series
Gene-level selection
(selfish genes that cooperate to construct
in oxygen-producing photosynthesis (see discussion in
a fit organism; parasitic genetic elements REF. 4 for details). In addition to frequently exchang-
that may have a negative impact on ing genes within and between genera, Haloarchaea also
host fitness) exchange genes with bacteria39,59. Haloarchaea are aero-
bic heterotrophs, although they evolved from metha-
nogens — an anaerobic chemolithotrophic lineage.
Figure 2 | Nested levels of selection
NatureonReviews
gene content. 
| Genetics
More than 1,000 genes were identified as imports from
Each coloured box represents a different level of bacteria into Haloarchaea, including those for carbon
selection that can act on gene content. assimilation, respiratory chain complexes, membrane
transporters and cofactor biosynthesis59. The influx of
these bacterial genes allowed the haloarchaeal ances-
tor to move into an aerobic environment. Similarly, the
of aminoacyl tRNA synthetases (aaRSs) provide an influx of bacterial genes to the ancestors of 12 other
example of gene transfer that would go undetected by major archaeal clades is thought to have provided the
phylogenetic and compositional HGT detection meth- key innovations to the origin of these groups60. Debate
ods. For many aaRSs, divergent forms evolved early in continues about whether the transferred genes origi-
bacterial and archaeal evolution, and thus the diversity nated from one or a few donors over a short period of
among aaRSs is easy to detect. The two or three forms time, or whether these transfers involved diverse bacte-
with the same amino acid specificity frequently replace rial donors112,113. The limited distribution of these genes
one another among both archaeal and bacterial species; within single groups of archaea indicates that ‘highways’
however, because the transfers occur between related of gene sharing between archaea and bacteria have
species, the gene tree of each type of aaRS remains promoted archaeal diversity.
in good agreement with the species tree40. Only the
patchy distribution of each type reveals gene transfers HGT and the evolution of the holobiont
and losses. Surprisingly, replacement with the divergent Many organisms rely on a complex network of sym-
form was found to sometimes occur through homolo- bionts for functions ranging from defence and immu-
gous recombination in the more conserved flanking nity to metabolism. The symbiotic communities that
regions40. are associated with larger macro-organisms provide an
The frequency and bias of HGT makes it difficult initial interface with the environment, thus new prop-
to understand how adaptations might be maintained in erties and physiological responses often occur through
ecological niches that are in close physical proximity 41. HGT involving these communities. The holobiont61 is
At least during the initial divergence of ecotypes, genes used as a collective term for the host and its associ-
are transferred between organisms that are adapted to ated microbiota. For many multicellular eukaryotes,
different niches. It is possible that the higher frequency the number of genes in the microbiome62 (genes that
of within-ecotype HGT than between-ecotype HGT are present in the microbiota) dwarfs the number of
maintains ecotype adaptation. However, genes that genes in the nuclear genome of the host and provides
adapt an organism to a particular niche are also trans- an important source of genetic diversity.
ferred between niche boundaries57, and such HGTs The composition of human gut microbiota is affected
might help recipients to integrate into a new ecological by the diet and ecology of the human host, and by com-
niche (FIG. 4). petition between members of the microbiota62. For
example, bacteria in the gut of Japanese people can break
HGT enables key metabolic innovations. The enormous down polysaccharides from the cell walls of seaweeds
Ecotypes pan-genome size of many microbial species illustrates that are commonly present in the Japanese diet. The
Genetically distinct subsets of
the importance of additive gene transfer, which is the genes encoding the polysaccharide-digesting enzymes
organisms within a population
or species, usually genetic process of the integration of novel genetic material into a were transferred from parasites of marine algae to the
differences correspond to genome. Integration into the genome can occur by non- gut bacteria63,64. This HGT has enabled Japanese people
niche adaptation. homologous recombination or through homologous to use carbohydrates from algal cell walls as a nutrient
recombination involving the genes neighbouring the source, whereas other populations cannot. It is tempt-
Holobiont
A multicellular or unicellular
transferred gene (for example, see REF. 41). An additive ing to interpret this as selection acting on the holobiont;
host and its collective transfer from a close relative of a gene that has an ortho- however, it is more likely to reflect gut bacteria evolving
symbionts. logue in the recipient genome leads to two similar copies to fill an available ecological niche (FIG. 2).

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HGT in eukaryotic evolution

Although still fragmented, the available data indicate
10 that HGT is widespread in all major eukaryotic groups
and has been ongoing throughout evolutionary time7,8,65.
As stated above, the sequestration of genetic material to
the nucleus requires distinct mechanisms for HGT in
log HGT frequency between lineages

8 eukaryotes. Nevertheless, HGT is important in confer-

ring beneficial phenotypes that may lead to the origin
of major lineages. Furthermore, changes brought about
by HGT may prompt the adaptive radiation of other
6 groups through organismal interactions and genetic
integration in a co‑evolving web of life.

HGT in the origin of plastids and Plantae. The plant

4 lineage is ripe with examples of HGTs that have
conferred novel functions (FIG. 5). Plastids, the hall-
mark of photosynthetic eukaryotes, are derived from
cyanobacterial endosymbionts in a eukaryotic host.
2 With the only exception of chromatophores in amoe-
boid Paulinella spp., the well-founded belief is that
0 0.1 0.2 0.3 0.4 0.5 all other photosynthetic eukaryotes trace their plas-
Evolutionary distance between lineages (substitutions per site) tids to a single cyanobacterial endosymbiosis66. The
transformation of a free-living cyanobacterium into a
Figure 3 | HGT is more frequent between closely related species.  The frequency permanent organelle required both genetic and meta-
Nature Reviews | Genetics
of horizontal gene transfer (HGT) events in haloarchaea is plotted against bolic integration between the two partners. Several
evolutionary distance. Gene transfers were detected through phylogenetic
analyses identified 20–50 genes from chlamydiae,
conflict between the gene’s phylogeny and the reference phylogeny calculated
a group of obligate intracellular bacteria, in various
from ribosomal proteins. HGTs between terminal edges of the reference phylogeny
are shown in black and those between internal edges are shown in red. Similar photosynthetic eukaryotes 30,67,68. These findings led
inverse log-linear relationships between recombination rate and divergence were to the suggestion that cyanobacterial and chlamydial
also observed for bacterial genera. Reprinted from Williams, D., Gogarten, J. P. and endosymbionts coexisted in an early eukaryotic host
Papke, R. T. Quantifying homologous replacement of loci between haloarchaeal cell, and that this tripartite relationship was respon-
species. Genome Biol. Evol. (2012). 4, 1223–1244 by permission of Oxford sible for the transformation of cyanobacterial endos-
University Press. ymbionts into modern-day plastids30,67,69,70. Although
it has been argued that these chlamydiae-related
genes could have resulted from phylogenetic artefacts
or could have existed in the cyanobacterial progenitor
The results of recent research on the human microbi- of plastids71–73, some of these genes are only adaptive in
ome have demonstrated the importance of the microbiota parasitic or heterotrophic bacteria and are not found
in nutrient acquisition and immune defence in humans. in extant cyanobacteria, suggesting that chlamydial
In an analysis that investigated recent gene transfers in involvement in plastid establishment is plausi-
the human microbiome, HGT was shown to be 25‑fold ble30,67,68,74. Non-cyanobacterial prokaryotes other than
more frequent between pairs of human-associated chlamydiae also contributed genes for plastid genesis
organisms than between pairs of organisms in differ- and functionality 69,75–77.
ent hosts or in aquatic or terrestrial environments49. The establishment of cyanobacterial endosymbionts
Moreover, HGT between pairs of human-associated or plastids triggered the origin of Plantae: red algae,
organisms isolated from the same body site are 50‑fold glaucophytes and green plants. Recent investigations
more likely to exchange genes than pairs from other have indicated that all three of these lineages have
environments49. The surprising extent of gene transfer been affected by HGT during their evolution69,78–80.
in human microbiota compared with other environ- The glaucophyte Cyanophora paradoxa acquired more
ments could indicate that environmental fluctuations than 400 genes from bacteria69. In red algae, HGTs
that promote frequent adaptive changes are more contributed to at least 5% of protein-coding genes in
prevalent in holobiont ecology, especially in the human Galdieria sulphuraria and many others in Porphyridium
holobiont. Notably, however, quantification of HGT is purpureum78,80. Evidence of HGT has also been found
difficult, and sampling bias between environments (in in green algae79 and land plants81,82 (see below). For
that particular study, for example, 53% of the sam- example, the moss Physcomitrella patens acquired
ples were of the human holobiont and the remaining genes from various sources, including fungi, bacte-
47% were split between aquatic, terrestrial and other ria, viruses and aquatic animals32,83,84. In most of these
host-associated environments49) could falsely inflate cases, acquired genes expanded the metabolic capabili-
the rate of detection of HGT in well-sampled environ- ties of recipients and had a key role in their adaptation
ments (humans) compared with that in environments to new environments, such as those with high salinity
with less available data. or acidity, extreme temperatures, or toxic substances.

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HGT between plants and other eukaryotes. The origin Lepidopterans are the largest group of plant-feeding
of plastids and Plantae also spawned the emergence of insects, and their diversification coincided with the
other photosynthetic eukaryotes through secondary or emergence of flowering plants. In an analysis of HGT
higher-level endosymbioses. In addition, Plantae, which in lepidopteran insects, most of the acquired genes were
are rich in complex carbohydrates, generated new shown to be distributed in multiple lepidopteran groups
niches and resources for other organisms to exploit. and related to nutritional metabolism and detoxifica-
Particularly, plant cell walls are the most abundant bio- tion91. The production of toxins by plants and the cor-
mass on earth. Both the prevalence and novelty of this responding genes for detoxification in lepidopterans, and
insoluble stored energy enhanced adaptive pressure to other phytophagous arthropods, exemplifies a genetic
take advantage of novel resources free of competition. ‘arms race’ fuelled by HGT. Many plants can produce
To effectively utilize plant biomass, other organisms cyanogenic glucosides, which can be converted to highly
often share genes or metabolic capabilities. For example, toxic hydrogen cyanide as a defence against herbivores.
numerous soil bacteria reside in the rhizosphere and Conversely, phytophagous arthropods not only sequester
rely on root exudes as their primary nutrient source. An hydrogen cyanide as a defence against their own preda-
increase in exude production leads to active bacterial tors, but also counteract cyanide poisoning through
growth and thus more frequent plasmid transfer among detoxification genes that were originally recruited from
rhizobacteria85. Choanoflagellates and rotifers, both of bacteria92.
which live in aquatic environments, acquired numer-
ous genes from plants and miscellaneous algae86,87, fre- HGT between multicellular eukaryotes. Many cases
quently related to complex carbohydrate degradation28. of HGT were reported between parasitic plants and
In rumen ciliates, 46 genes related to the degradation their hosts93–96. In almost all of these cases, the direc-
of complex carbohydrates, such as plant biomass, were tion of HGT is consistent with the direction of nutri-
acquired by HGT, many of them from the gut bacteria ent transfer from the host to the parasitic plant. HGT
of ruminant animals88. Beyond choanoflagellates and also occurs between multicellular eukaryotes with less
rumen ciliates, the ability to degrade plant biomass has obvious physical associations. For example, the moss
been independently acquired by many other eukaryotic P. patens acquired an actinoporin gene that is involved
groups such as oomycetes, fungi and nematodes89,90. in desiccation resistance from metazoans83. Alloteropsis
The widespread and diverse mechanisms for degrad- grasses switched to C 4 photosynthesis at least four
ing complex carbohydrates in plants in so many differ- times in the past 10 million years through the acquisi-
ent lineages highlight the convergent evolution through tion of genes from other C4 grasses97. A photoreceptor
HGT for adaptation. gene was transferred from hornworts to ferns, allow-
ing modern ferns to thrive in low-light conditions
under the canopy 98. Sturgeons, lampreys, which have
been known to feed on sturgeons, and paddle fishes
J J all share a transposable element, probably the result
of HGT mediated by the exchange of fluids during
lamprey feeding 99. The sporadic distribution of type II
antifreeze protein (AFP) genes in herring, smelt and
sea raven was also mediated by HGT, allowing these
A B fish to adapt to icy water 31.
For a long time, mitochondria were considered uni-
parentally inherited and subject to Muller’s ratchet 100.
A B For many groups of organisms, this assumption seems
to be correct 101; however, plant, algal and fungal mito-
chondrial genomes are known to be dynamic and
promiscuous, varying greatly among species in struc-
K K
ture and gene content 102. The transfer of mitochon-
drial genes between plant species can be massive and
A B widespread. In an extreme case, Amborella trichopoda,
a basal flowering plant, acquired at least four whole
mitochondrial genomes from mosses and green algae,
as well as many mitochondrial and, to a lesser degree,
plastidal fragments from other flowering plants103.
A B C
This example of HGT is not known to be associated
with an adaptive benefit and is instead an important
Figure 4 | Structured exchange community.  Prokaryotic members of two distinct
niches are shown as green and red circles (A and B); grey circlesNature
(K andReviews
J) are related
example of neutral or nearly neutral gene transfer in
| Genetics
species occupying different niches. Genes that enable the adaptation of their hosts to eukaryotes.
these niches are mostly exchanged between members of the same niche (green and red The mode of HGT between multicellular eukaryotes
arrows), but they might also be shared with recent niche invaders (blue circle; C), remains controversial. Are individual genes transferred,
accelerating the adaptation of the invader to a new habitat. Adapted with permission or are the transfers the consequence of between-
from REF. 57, (AAAS). species hybridization followed by backcrosses to one of

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REVIEWS

Eukaryotes
Land plants
s
s m
a a xa tes e s rm er
hy ga p
zo zo pl
e e rts te pe os
bo al
s no om
s op ga n al s o hy s gi
Bacteria Archaea oe m gi gle i c to
m
uc al e s se rnw op n s mno An
Am Ani Fu
n
Eu Ap Di
a
Gl
a
Re
d
Gr
e
M
o
Ho Ly
c r
Fe Gy

Function:
C4 photosynthesis

Unknown function
Mitochondrial HGT

Function:
Phototropic response

Function:
• DNA replication and repair
• Pathogen and abiotic
stress resistance

Function:
• DNA damage repair
• Vascular development
• Plant defence
• Stress tolerance
• Biosynthesis of starch,
polyamines and hormones
• Cellulose degradation
• Pollen and seed germination
• Nutrient transport

Function:
Function: • Detoxification
• Plastid biogenesis • Environment adaptation
• Starch metabolism
• Alcohol fermentation

Figure 5 | HGT to the plant lineage.  Arrows are coloured based on the origin of the gene transferred. Lines at the tips of
the arrows indicate the gain of function for the plant lineage that acquired the genetic material.Nature Reviews |gene
HGT, horizontal Genetics
transfer. Figure modified from REF. 32, Nature Publishing Group.

the parents7? In many instances, such as the transfer of from symbionts and between mitochondria occurs
AFP genes from herring to smelt 31, donor and recipi- frequently and can have an important impact on gene
ent diverged more than 200 million years ago, making content. Currently, we have a good understanding of
hybridization an unlikely scenario. The conservation the mechanisms by which prokaryotes exchange genes,
of introns between donor and recipient argues against including through GTAs and cell fusion in archaea; how-
independent transfers from bacterial symbionts. Sperm- ever, the mechanisms by which multicellular eukaryotes
mediated gene transfer between fish is one possible sce- exchange genes with one another and with prokaryotes
nario31. In the moss P. patens, eggs and embryos that are less clear. The weak-link model, sperm-mediated
are exposed to bacteria and fungi in the environment gene transfer and introgression are possible gene trans-
might have facilitated gene acquisition. The large- fer pathways, but more work is needed to explore the
scale acquisitions of mitochondrial genes in Amborella specific mechanisms involved. Importantly, compari-
trichopoda probably occurred through mitochondrial sons between closely related strains will lead to a more
genome fusion mediated by regenerated meristems accurate characterization of HGTs. Improvements
from wounded areas. in HGT detection based on the growing collection of
sequence data will result in a more realistic estimation
Perspective of HGT rates. However, accounting for false negatives
In this Review, we have discussed examples that illustrate and various types of transfer over different phylogenetic
how HGT shapes gene content in bacteria, archaea and distances remains a challenge. Nevertheless, the sur-
unicellular eukaryotes (see Supplementary information prising density of the web of life woven through genetic
S1 (table)). Even in multicellular eukaryotes, HGT exchange is becoming visible.

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© 2015 Macmillan Publishers Limited. All rights reserved

 REVIEWS

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