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An immersed disk in the four-ball cannot always be cleaned relative to its boundary

Statement refuted

"Every smooth properly immersed disk in B4 with embedded boundary can be homotoped relative to the boundary to a smooth properly embedded disk."

Facts & Assumptions

[F2]

The trefoil cannot bound a smooth proper disk, since its branched boundary cover has first-homology order three rather than a square. The trefoil does not bound a smooth proper disk in the four-ball

Counterexample

Assume AC for the local duality and nonsliceness suppliers. The trefoil K⊂S3=∂B4 bounds a smooth properly immersed disk with exactly one transverse interior double point. Use the trefoil diagram given by the closure of the two-strand braid σ13. Changing its middle crossing gives σ1σ1−1σ1, whose inverse pair cancels by the explicit cylinder rotation below; the remaining one-crossing closure bounds an embedded disk formed from two disks and one band. The trace of this single crossing change in a collar S3×[0,ε]⊂B4 is an immersed annulus with exactly one transverse double point. Cap its inner unknot boundary by an embedded disk deeper in B4 and smooth the join. No smooth properly embedded disk with boundary K exists: the locally proved branched-cover nonsliceness lemma excludes it. The boundary cover has first homology of order 3, whereas a slice-disk cover would be a rational homology ball whose boundary first homology has square order. Hence this immersed disk cannot be cleaned relative to its boundary. It witnesses the failure of unrestricted disk cleaning in smooth dimension four; by itself it does not specify two transverse sheets making K a Whitney circle or supply the boundary framing data of a Whitney disk.

Given: The trefoil K as the closure of σ13 and AC.

1.1givenconstructalgebra

Change the middle positive crossing to a negative crossing, giving σ1σ1−1σ1. Cancel the first inverse pair by an explicit local ambient isotopy. In a braid cylinder D2×I, write its two strands as (±reiθ(u),u), where θ makes one half-turn and then its inverse and is zero near both cylinder ends. Choose a smooth cutoff η of the squared radius, equal to one near r2 and zero near the boundary value. The maps (z,u)↦(e−isη(∣z∣2)θ(u)z,u) preserve radius, have inverse obtained by changing s to −s, and are the identity near the cylinder boundary. They extend by the identity to ambient isotopies of S3 and straighten these two strands at s=1. The remaining one-crossing closure bounds an explicit embedded disk in S3: take the two disks spanning its oriented smoothing circles at separate heights and join them by the single narrow half-twisted crossing band. This surface is embedded, and two disks joined by one band connecting their components form a disk. Its boundary is exactly the one-crossing closure. Thus the knot movie from the trefoil reaches a disk-bounding knot with one crossing change and otherwise only the displayed ambient isotopy; no external Reidemeister theorem is used.

2.1step 1.1constructalgebra

Put this movie into S3×[0,ε] by sending a strand point at movie time t to (kt(u),t). Away from the crossing-change time, each time slice is embedded and the time coordinate separates distinct slices. Near the event use spatial coordinates (x,y,z) and time t, with the two sheets parametrized by (u,t)↦(u,0,t,t) and (v,t)↦(0,v,−t,t). They coincide only at u=v=t=0. Their tangent planes are spanned by (1,0,0,0),(0,0,1,1) and by (0,1,0,0),(0,0,−1,1), respectively; these four vectors are independent. Both branches are immersions and meet transversely at this single point. Patch this local movie to the stationary outside strands, and choose stationary time collars at both endpoints. This constructs an immersed annulus with exactly one transverse interior double point.

3.1step 1.1step 2.1construct

Use the embedded disk in the inner collar sphere constructed in step 1.1 as a cap. In a fresh inward collar write its graph as (d(x),ε+τ(x)), where d:D2↪S3 is that disk, τ vanishes on its boundary, is positive in its interior, and has positive inward derivative near its boundary. The graph is embedded because d is, and its boundary is the inner movie knot. Its interior lies deeper than the movie annulus, so there are no new coincidences. Glue along their stationary boundary collars and round the corner. Annulus plus disk is a properly immersed disk whose only double point is the transverse crossing-change event of step 2.1.

4.1givenstep 3.1F2∎

The local trefoil nonsliceness lemma proves that no smooth proper embedded disk has boundary K: a putative slice disk would have a rationally acyclic branched double cover, but its trefoil boundary cover has first homology of order 3, contradicting the locally proved square-order consequence of duality. Thus the immersed disk cannot be homotoped relative to its boundary to a proper embedding. This is a disk-cleaning obstruction; calling the disk a Whitney disk additionally requires sheet arcs and their boundary data, which are not part of this witness.

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