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The characteristic disk has one more center than saddle

Statement

Assume Countable Choice ACω (The countable-choice principle used in the foliation pair). Let F be a cooriented codimension-one foliation of a smooth 3-manifold M with nowhere-vanishing defining form ω (Transversely oriented codimension-one foliations), and let h:D2→M be a C2 disk map whose characteristic covector β=h∗ω is nowhere vanishing on ∂D2 and has finitely many interior zeros, all nondegenerate, each a center or a saddle (Relative generic position for characteristic disk maps). Assume moreover that the boundary loop is either leafwise (β(τ)=0 everywhere) or a closed transversal (β(τ)≠0 everywhere), where τ is its tangent. Then the characteristic line field of h has finitely many nondegenerate centers and saddles, and their numbers satisfy c−s=1. In particular there is at least one center.

Facts & Assumptions

Given: A cooriented codimension-one foliation F with defining form ω, and a C2 map h:D2→M whose characteristic covector β=h∗ω is nowhere vanishing on ∂D2 and whose interior zeros are finitely many nondegenerate center/saddle points, with the boundary leafwise or a closed transversal as stated.

[F1]

Relative generic position supplies exactly the stated boundary and interior behaviour, and it also identifies each singularity with a nondegenerate critical point of the local transverse function, definite Hessian for a center and indefinite Hessian for a saddle (Relative generic position for characteristic disk maps).

[F2]

In a foliation chart with transverse coordinate z one has ω=a dz with a≠0, and β=(a∘h) d(z∘h); writing β=P dx+Q dy in oriented source coordinates, ∇u with u=z∘h satisfies (P,Q)=(a∘h)∇u, so at a zero p the chain rule gives D(P,Q)(p)=(a∘h)(p) D2u(p) (Transversely oriented codimension-one foliations, The chain rule for total derivatives: D(g∘f)(a)=Dg(f(a))∘Df(a)).

[F4]

Degree of circle loops: for a based loop α in S1 the degree deg⁡(α)=α~(1) is computed by the lift from 0, descends to π1, equals 0 exactly for nullhomotopic loops, and adds under concatenation and changes sign under reversal; moreover there is a continuous argument along any continuous path in S1 by path lifting, and the increment of an argument along a path is invariant under homotopies of paths with fixed endpoints (The degree of a based circle loop, Degree defines a function Deg⁡:π1(S1,[0])→Z, A based circle loop is nullhomotopic exactly when its degree is zero, Lifts of circle-loop concatenations and reversals, Existence and uniqueness of path lifts through a covering map, Existence and uniqueness of homotopy lifts through a covering map).

[F5]

The identity map of S1 has degree 1 and a single coordinate reflection has degree −1 (Degree of identity constant reflection and antipodal sphere maps).

Proof

technique · direct
1.1givenF1F2

Write β=h∗ω=P dx+Q dy in the oriented source coordinates of the disk and define the characteristic field X:=(Q,−P), so that ιX(dx∧dy)=β; then X vanishes exactly at the zeros of β, which are the finitely many nondegenerate interior points p1,…,pN of the hypothesis, and X is nowhere zero on ∂D2 and on a collar of it.

2.1step 1.1F4F5

Boundary degree. The normalized field x↦X(x)/∣X(x)∣ is a continuous loop in S1 on the counterclockwise circle ∂D2, and its degree is 1. If h(∂D2) lies in one leaf, then β(τ)=0 for the unit tangent τ of ∂D2, while β≠0 on the boundary; from 0=β(τ)=(dx∧dy)(X,τ) the vector X is tangent to the boundary circle and nonzero, hence X(x)=ε(x) τ(x) with ε≠0, and ε is continuous on the connected circle, so it has a constant sign: the normalized field is ±τ and has the same degree as the unit tangent τ, which is the rotation of the identity map and so has degree 1 [F5]. If h∣∂D2 is a closed transversal, write X=an+bτ with n the outward unit normal; then β(τ)=(dx∧dy)(X,τ)=a (dx∧dy)(n,τ) with (dx∧dy)(n,τ)>0 for the counterclockwise orientation, so a has a fixed nonzero sign, and the straight homotopy Xs=(1−s)X+s σn with σ=sign⁡a has normal component σ((1−s)∣a∣+s)≠0, hence is nonzero for all s∈[0,1]; the normalized fields are therefore homotopic loops, and the normalized outward normal n has degree 1 [F5], so the boundary degree is 1 in both cases.

3.1step 2.1F3F4

Outer polygon and holes. Since ∂D2 has a zero-free collar and the zeros are interior, by [F3] we may choose a regular polygon Q0, star-shaped about the origin with positive radial function r0(θ), whose boundary lies in the zero-free collar and whose closed convex hull contains all pi. Around each pi choose pairwise disjoint disks Di with closures in the interior of Q0 and containing no zero of X other than pi, and inside Di a centered closed square Qi with positive radial function ρi(θ) about pi. The radial homotopies θ↦((1−s)r0(θ)+s)eiθ and θ↦pi+((1−s)ρi(θ)+sRi)eiθ, with Ri the radius of Di, move ∂Q0 to the boundary circle of D2 and ∂Qi to ∂Di through loops on which X never vanishes; by the homotopy invariance of the argument increment [F4] the degree of the normalized field on ∂Q0 equals the boundary degree 1 of step 2.1, and the degree on ∂Qi equals the degree on ∂Di.

4.1step 3.1F1F2F4

The local degree at a zero is the sign of the Hessian. Fix pi and work in a foliation chart around h(pi) with transverse coordinate z and u=z∘h. By [F2] the derivative of (P,Q) at pi is (a∘h)(pi)D2u(pi), and X=(Q,−P), so DX(pi)=(a∘h)(pi)J D2u(pi) with J the quarter-turn matrix of determinant 1. The normalized field near pi is homotopic through nonzero fields on a small circle to the normalized linear field of DX(pi). If D2u(pi) is definite, write H=D2u(pi) and let λ be any eigenvalue; the family Hs=(1−s)H+sλI is invertible for every s∈[0,1], so the normalized fields of JHs give a homotopy, and for H=λI the field JHx is, in the complex notation x1+ix2, the map z↦−λi z, of degree 1. If D2u(pi) is indefinite, choose coordinates diagonalizing it with eigenvalues λ1>0>λ2; the family (1−s)H+sdiag⁡(λ1,−λ1) stays invertible, and for H=diag⁡(1,−1) one computes JHx=(−sin⁡θ,−cos⁡θ)=−i e−iθ on the unit circle, of degree −1. Hence a center contributes local degree +1 and a saddle contributes −1.

5.1step 3.1step 4.1F4

The index sum. Cover the closed polygon Q0 by a finite grid of closed axis-parallel rectangles chosen so that every grid line through a side of some square Qi is a grid line; then each grid cell either lies inside one of the squares Qi or has interior disjoint from all of them. Discard the cells lying inside a square Qi and the cells disjoint from Q0; for every remaining cell C, the set C∩Q0 is convex, hence contractible, and is contained in the closed zero-free region A=Q0∖⋃iint⁡(Qi), so the normalized field g=X/∣X∣ is defined on C∩Q0 and the loop g∣∂(C∩Q0) extends to a map of the convex set C∩Q0, hence is nullhomotopic and has argument increment 0 [F4]. Summing the increments over the finitely many cells, every edge of the grid that lies in the interior of A occurs twice with opposite orientations and cancels by the additivity and reversal rules [F4] (the cells' boundaries are finite polygonal paths, and the common edges are traversed in opposite directions with equal image under g); what survives is the boundary of Q0 traversed counterclockwise together with the boundaries of the squares Qi traversed clockwise. Therefore 0=deg⁡(g∣∂Q0)−∑ideg⁡(g∣∂Qi), that is, 1=∑iind⁡pi(X).

6.1step 2.1step 5.1∎

By step 4.1 the sum ∑iind⁡pi(X) equals c−s, where c is the number of centers and s the number of saddles among the nondegenerate zeros; step 5.1 gives c−s=1, so in particular c≥1 and the zeros of the characteristic line field are exactly the finitely many nondegenerate centers and saddles. The proof used the relative-genericity supplier, the chain rule, compactness and the elementary degree calculus of circle loops; all of these are choice-free and the only inherited hypothesis is the stated ACω of the cooriented interface.

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