Paleobiology

Published by: The Paleontological Society



Paleobiology 29(3):429-454. 2003
doi: 10.1666/0094-8373(2003)029<0429:LTIEWE>2.0.CO;2

Land-to-sea transition in early whales: evolution of Eocene Archaeoceti (Cetacea) in relation to skeletal proportions and locomotion of living semiaquatic mammals

Philip D. Gingerich

Philip D. Gingerich.Department of Geological Sciences and Museum of Paleontology, The University of Michigan, Ann Arbor, Michigan 48109.

Abstract

Skeletal remains of Eocene Archaeoceti provide the only direct and unequivocal evidence of the evolutionary transition of whales from land to sea. Archaeocete skeletons complete enough to be informative about locomotion are rare (principally Rodhocetus and Dorudon), and these deserve to be studied in comparison to the full spectrum of semiaquatic mammals. A principal components analysis of 14 trunk and limb measurements for 50 species of living semiaquatic mammals reduces the observed variation to three informative axes. The first principal axis (PC-I) represents overall size (water mice and shrews have the lowest scores on this axis and the hippopotamus has the highest); the second axis (PC-II) represents a spectrum of aquatic adaptation (seals have the lowest scores and tapirs have the highest); and the third principal axis (PC-III) represents a spectrum ranging from hindlimb- to forelimb-dominated locomotion (sea otters have the lowest scores and the platypus the highest).

Dorudon fits poorly into a morphospace defined solely by living semiaquatic mammals; thus a second 53-species set was analyzed, adding an anthracothere to represent an artiodactyl ancestral morphology and two species of archaeocetes to represent successive stages of early whale evolution. This addition has little effect on the first two principal axes but changes the third substantially. PC-III now represents a contrast of lumbus- (and presumably tail-) dominated versus hindlimb-dominated locomotion (Dorudon has the lowest score and Rodhocetus the highest, whereas the otter shrew has the lowest score among living mammals and the desman the highest). Mammals that are more aquatic have a shorter ilium and femur combined with longer manual and pedal phalanges, whereas the reverse is true for more terrestrial taxa. Lumbus- and tail-dominated swimmers tend to have a longer lumbus combined with shorter pedal elements, whereas the reverse is true for hindlimb-dominated swimmers. Trunk and limb proportions of early middle Eocene Rodhocetus are most similar to those of the living, highly aquatic, foot-powered desmans. Trunk and limb proportions of late middle Eocene Dorudon indicate that it was a lumbus-and-tail-powered swimmer specialized in the direction of modern whales. Thus it appears that the land-to-sea transition in whale evolution involved at least two distinct phases of locomotor specialization: (1) hindlimb domination for drag-based pelvic paddling in protocetids (Rodhocetus), with tail elongation for stability, followed by (2) lumbus domination for lift-based caudal undulation and oscillation in basilosaurids (Dorudon). Rates of evolution in both phases of this change of adaptive zone are about an order of magnitude higher than background rates for the timescale involved.

Accepted: January 24, 2003



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Figure 1. Skeleton of the semiaquatic Russian desman or aquatic mole Desmana moschata. A, Drawing reproduced from Dobson (1882); note relatively short femur and long hind foot. B, Schematic shows fourteen lengths of trunk and limb segments measured here (see Table 4); measurements were made on original skeletons (see Appendix for list of specimens)

Figure 2. Skeletons of semiaquatic mammals transitional from land to sea in the origin of whales. A, Hippo-like early Oligocene anthracothere artiodactyl Elomeryx armatus assumed to represent a Paleocene-to-early Eocene stage of cetacean evolution. B, Early middle Eocene archaeocete Rodhocetus balochistanensis (tail length not known) representing an early middle Eocene protocetid stage of cetacean evolution. C, Middle-to-late Eocene archaeocete Dorudon atrox representing a middle-to-late Eocene basilosaurid stage of cetacean evolution. Elomeryx restoration is from Scott (1894), Rodhocetus restoration is from Gingerich et al. (2001a), and Dorudon restoration is from Gingerich and Uhen (1996). Skeletons are drawn at comparable sizes, not to scale (see Appendix for measurements)

Figure 3. Fifty-species principal components analysis of trunk and limb lengths of living semiaquatic mammals. A, Bivariate plot of PC-I versus PC-II, with related taxonomic groups enclosed in shaded convex polygons. B, Univariate plot of eigenvector coefficients or loadings for PC-I. C, Univariate plot of eigenvector coefficients or loadings for PC-II. PC-I is an axis of general size separating species in a spectrum from small (at left) to large (at right). Note that loadings for PC-I are all similar and positive. PC-II is an axis of aquatic adaptation separating mammals that are more aquatic (below) from those that are more terrestrial (above). Note that loadings for PC-II contrast long manual and pedal phalanges (Pedpiii2, Manpiii2, Pedpiii1, Manpiii1) in species that are more aquatic versus a long ilium and femur (Ilium, Femur) in species that are more terrestrial. Open diamonds labeled R.b. and D.a. show positions of Rodhocetus balochistanensis and Dorudon atrox, respectively, projected into this morphometric space based on living semiaquatic mammals. Neither taxon is particularly similar to river otters (cross-hatched) or to the sea otter (En.lu.). Remaining abbreviations are listed in Tables 4 and 5

Figure 4. Fifty-species principal components analysis of trunk and limb lengths of living semiaquatic mammals. A, Bivariate plot of PC-III versus PC-II, with related taxonomic groups enclosed in shaded convex polygons. B, Univariate plot of eigenvector coefficients or loadings for PC-II. C, Univariate plot of eigenvector coefficients or loadings for PC-III. PC-II is an axis of aquatic adaptation separating mammals that are more aquatic (below) from those that are more terrestrial (above). Note that loadings for PC-II contrast long manual and pedal phalanges (Pedpiii2, Manpiii2, Pedpiii1, Manpiii1) in mammals that are more aquatic versus a long ilium and femur (Ilium, Femur) in mammals that are more terrestrial. PC-III is an axis of locomotor specialization separating species that are hindlimb dominated (left) from those that are forelimb dominated (right). Note that loadings for PC-III contrast a long lumbus, metatarsal III, and pedal phalanx III-1 (Lumbus, Mtarsiii, Pedpiii1) in species that are more hindlimb dominated versus long manual phalanges and metacarpal III (Manpiii1, Manpiii2, Mcarpiii) in species that are more forelimb dominated. Open diamonds labeled R.b. and D.a. show positions of Rodhocetus balochistanensis and Dorudon atrox, respectively, projected into this morphometric space based on living semiaquatic mammals. Neither taxon is particularly similar to river otters (cross-hatched) or to the sea otter (En.lu.). Remaining abbreviations are listed in Tables 4 and 5.

Figure 5. Fifty-three-species principal components analysis of trunk and limb lengths of living semiaquatic mammals plus three fossil taxa: Elomeryx armatus (E.a.), Rodhocetus balochistanensis (R.b.), and Dorudon atrox (D.a.). A, Bivariate plot of PC-I versus PC-II, with related taxonomic groups enclosed in shaded convex polygons. B, Univariate plot of eigenvector coefficients or loadings for PC-I. C, Univariate plot of eigenvector coefficients or loadings for PC-II. PC-I is an axis of general size separating species in a spectrum from small (at left) to large (at right). Note that loadings for PC-I are all similar and positive. PC-II is an axis of aquatic adaptation separating mammals that are more aquatic (below) from those that are more terrestrial (above). Note that loadings for PC-II contrast long manual and pedal phalanges (Manpiii2, Pedpiii2, Pedpiii1, Manpiii1) in species that are more aquatic versus a long ilium and femur (Ilium, Femur) in species that are more terrestrial. None of the fossil taxa (diamonds) is particularly similar to river otters (cross-hatched) or to the sea otter (En.lu.). Remaining abbreviations are listed in Tables 4 and 5. Eigenvector coefficients differ slightly from those in 50-species analysis, and the position of Dorudon atrox is different (diamond D.a.), but otherwise this figure is little changed from Figure 3. Possible position of Ambulocetus natans is shown by an open diamond (Am.na.?; see text)

Figure 6. Fifty-three-species principal components analysis of trunk and limb lengths of living semiaquatic mammals plus three fossil taxa: Elomeryx armatus (E.a.), Rodhocetus balochistanensis (R.b.), and Dorudon atrox (D.a.). A, Bivariate plot of PC-III versus PC-II, with related taxonomic groups enclosed in shaded convex polygons. B, Univariate plot of eigenvector coefficients or loadings for PC-II. C, Univariate plot of eigenvector coefficients or loadings for PC-III. PC-II is an axis of aquatic adaptation separating mammals that are more aquatic (below) from those that are more terrestrial (above). Note that loadings for PC-II contrast long manual and pedal phalanges (Manpiii2, Pedpiii2, Pedpiii1, Manpiii1) in mammals that are more aquatic versus a long ilium and femur (Ilium, Femur) in mammals that are more terrestrial. PC-III is an axis of locomotor specialization separating species that are lumbus dominated (left) from those that are hindlimb dominated (right). Note that loadings for PC-III contrast a long lumbus (Lumbus) in species that are more lumbus dominated versus a long pedal phalanx III-2 (Pedpiii2) in species that are more hindlimb dominated. None of the fossil taxa (diamonds) is particularly similar to river otters (cross-hatched) or to the sea otter (En.lu.). Remaining abbreviations are listed in Tables 4 and 5. The vertical aquatic versus terrestrial axis is little changed from that of the 50-species analysis shown in Figure 4, but the horizontal locomotor axis was substantially reorganized when the fossil taxa, particularly Dorudon atrox (diamond D.a.), were added. Possible position of Ambulocetus natans is shown by an open diamond (Am.na.?; see text)

Figure 7. Evolutionary trajectory of early whale evolution from an artiodactyl land-mammal ancestor at ca. 55 Ma, represented morphologically by Elomeryx armatus, to semiaquatic Rodhocetus balochistanensis at ca. 47.5 Ma, to fully-aquatic Dorudon atrox retaining hindlimbs and feet at 37 Ma. Trajectory is graphed on the bivariate plot of PC-III versus PC-II in the 53-species analysis of Figure 6. Note that the successive fossil taxa show a progression of increasing aquatic adaptation moving from the top to the bottom of the diagram. However, they simultaneously show an abrupt reversal on the locomotor axis, moving first to extreme hindlimb domination (right) and then to extreme lumbus domination (left). Axes are calibrated in natural log (ln) units externally and corresponding standard deviation units internally (employing generally observed 5% coefficient of variation for linear measurements; see text). Inset box shows rates of evolution calculated for the first or Elomeryx to Rodhocetus transition and for the second or Rodhocetus to Dorudon transition, based on 14 measurements of each (A), based on PC-I, PC-II, and PC-III individually (B), and based on PC-I, PC-II, and PC-III simultaneously (C). Sample sizes are given in parentheses. All rates are calculated in standard deviation units on a 1,500,000 or 106.18 generation timescale. Solid circles represent positive rates and open circles negative rates. All but one of the rates calculated here exceeds the rate of 10−6.36 (dashed line) expected for paleontological rates calculated on such long time scales (Gingerich 2001: p. 139). Note that multivariate rates here are higher than the average for univariate rates, and rates for the second or Rodhocetus to Dorudon transition are higher than corresponding rates for the first or Elomeryx to Rodhocetus transition

table

Appendix Measurements of trunk and limb lengths for 50 species of living semiaquatic mammals and three species known from fossils, including archaeocetes Rodhocetus balochistanensis and Dorudon atrox, documenting the transition from land to sea in early whale evolution. Male (M) and female (F) specimens were averaged (geometric mean) when both (B) were available. Abbreviations: MCZ, Museum of Comparative Zoology, Harvard University, Cambridge; L-, Natural History Museum, London; UMMP, University of Michigan Museum of Paleontology, Ann Arbor; UMMZ, University of Michigan Museum of Zoology, Ann Arbor

table

Appendix. Continued

table

Table 1. Classification of genera in five families of Archaeoceti (bold). Summary of known skeletal remains is provided in the right-hand column. Skeletons of Rodhocetus and Dorudon are sufficiently complete and generalized to be included in the analysis presented here

table

Table 2. Summary classification and common names of living semiaquatic mammals studied here (measurements are listed in the Appendix). Columns He, K, O, Ho, W, and V refer to Hearne (1795), Kükenthal (1890, 1891), Osburn (1903), Howell (1930), Wolff and Guthrie (1985), Voss (1988), respectively, and Xs mark species included by each as semiaquatic. Dashes mark species identified as semiaquatic that are not mentioned by a subsequent author. Column N refers to Nowak (1999) and gives page number of entry in this general reference

table

Table 2. Continued

table

Table 3. Nine orders and 17 families of living mammals containing semiaquatic species. Skeletons of 50 out of 124 species were measured, including representatives of all orders and families. Most of the species that were not available for measurement are small shrews (Insectivora) and murids (Rodentia)

table

Table 4. Fourteen measurements representing trunk and limb segments of semiaquatic mammals. Schematic diagram showing measurements is included in Figure 1

table

Table 5. Principal components scores by species for PC-I, PC-II, and PC-III in (1) an analysis of 50 species of living semiaquatic mammals excluding fossil taxa; and (2) an analysis of all 53 semiaquatic species considered here (50 species of living mammals plus three fossil taxa Elomeryx armatus, Rodhocetus balochistanensis, and Dorudon atrox). PC scores for fossil taxa added to 50-species analysis are enclosed in parentheses

table

Table 6. Eigenvalues and eigenvector coefficients associated with each principal component (PC) based on 50 living semiaquatic mammals. Scores for an additional species like Rodhocetus balochistanensis are determined by summing products of the appropriate eigenvector coefficient here multiplied by (ximi)/si over all i = 14 measurements, where xi is the vector of ln-transformed measurements, mi is the corresponding 50-species mean from the bottom of the table, and si is the corresponding 50-species standard deviation from the bottom of the table. Results for principal components I, II, and III are shown graphically in Figures 3 and 4

table

Table 7. Eigenvalues and eigenvector coefficients associated with each principal component based on 50 living semiaquatic mammals plus three extinct taxa, Elomeryx armatus, Rodhocetus balochistanensis, and Dorudon atrox. Scores for an additional species would be determined by summing products of the appropriate eigenvector coefficient here multiplied by (ximi)/si over all i = 14 measurements, where xi is the vector of ln-transformed measurements, mi is the corresponding 53-species mean from the bottom of the table, and si is the corresponding 53-species standard deviation from the bottom of the table. Results for principal components I, II, and III are shown graphically in Figures 5 and 6

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