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A center period annulus has an orbit or polycycle frontier

Statement

Assume Countable Choice ACω (The countable-choice principle used in the foliation pair). Let F be a C2 cooriented codimension-one foliation of a 3-manifold, and let h:D2→M be a disk map in the relative generic position of Relative generic position for characteristic disk maps. Assume the boundary is either leafwise or a closed transversal, as in cases (b) and (a) of that supplier. The connected family of regular closed characteristic trajectories surrounding any center has a maximal period annulus. Its outer frontier is a regular closed orbit; or a finite connected strongly connected directed saddle-separatrix graph whose edges are nonconstant saddle-to-saddle trajectories and whose edges are covered by finitely many directed saddle polycycles; or, when the disk boundary is a leafwise characteristic orbit, that boundary orbit. Loops, repeated saddle vertices, shared edges, and parallel edges are allowed in the saddle graph and polycycles. When the disk boundary is transverse to F, the period annulus cannot meet it. The annulus parameter gives a C2 transverse trace of the prescribed closed characteristic loops. The outer return holonomy is not assumed nontrivial.

Facts & Assumptions

Given: A cooriented codimension-one C2 foliation F of a 3-manifold with nowhere-vanishing C2 defining form, and a C2 disk map h:D2→M whose characteristic covector is in relative generic position: its singularities are finitely many nondegenerate interior centers and saddles, its characteristic covector is nowhere vanishing on a boundary collar, and along ∂D2 either the boundary is a closed transversal or it is mapped into a single leaf.

[F1]

In relative generic position the characteristic singularities of the disk map are finitely many nondegenerate points in the interior, each a center or a saddle; at a center the characteristic line field has a family of small closed orbits around it, and at a saddle it has the four-sector hyperbolic picture (Relative generic position for characteristic disk maps).

[F2]

A connected open set carrying a C2 first-integral atlas whose leaves are simple compact circles with strictly nested bounded Jordan domains and consistent orientation is an open annulus with a C2 product Ψ:S1×(0,1)→A onto its leaves, increasing in the nested order, and a nowhere-zero C1 tangent generator is written a(s,θ)∂θ with positive C1 coefficient after orienting θ (A C² first-integral period annulus has a C² leaf product).

[F3]

Under the hypotheses of [F2] with a compact frontier Γ=∂⋃sint⁡Ds, there is a C1 field Y on a neighborhood of the disk, equal to the generator on Γ and off an outer subannulus, with a positive orbit whose ω-limit set is Γ, and no choice principle is used (A flat transverse drift realizes the period-annulus frontier as an omega-limit set).

[F4]

If Γ=ωY+(y) contains at least one equilibrium, all its equilibria are nondegenerate saddles, and it separates two points, then Γ is a finite embedded strongly connected directed saddle multigraph covered by finitely many closed directed edge walks (A finite saddle omega-graph is strongly connected and is a finite union of polycycles).

[F5]

If a positive orbit of a C1 planar field has compact closure in the domain and its ω-limit set contains only finitely many equilibria, then it is either a singleton equilibrium, or one regular periodic orbit, or a finite equilibrium set together with nonconstant trajectories whose alpha- and omega-limits are equilibria (Local generalized Poincare-Bendixson theorem for a precompact planar orbit).

[F6]

Closed and bounded subsets of R2 are compact; a decreasing nested family of nonempty compact subsets has nonempty intersection; a continuous real function on a nonempty compact set attains its maximum and minimum (Heine-Borel in Rn: with the Euclidean metric a subset of Rn is compact if and only if it is closed and bounded, and the proof by bisection uses no choice principle; the same holds on the real line).

[F7]

A piecewise-C2 topological embedding S1→R2 with finitely many corners, two distinct one-sided tangent rays at each corner and regular edges has a complement with exactly two connected components, one bounded and one unbounded (A finitely cornered regular plane curve separates without choice).

[F8]

A planar field C1 up to the boundary of the closed disk has a C1 extension to a neighborhood of the disk, with value and derivative agreeing on the disk (C¹ planar fields on a closed disk extend to a neighbourhood).

[F9]

A cooriented codimension-one foliation is given by a foliated atlas whose transverse coordinate changes are diffeomorphisms, and the transverse orientation selects the positive side of each leaf (Transversely oriented codimension-one foliations).

[F10]

The interior, closure and boundary of a set in a topological space, with ∂A=A‾∖int⁡A (Interior, closure, boundary, exterior, derived set and isolated point in a topological space).

[F11]

The connected components of a space partition it and are closed; a component is the union of all connected subsets through any of its points (The components of a space are its maximal connected subsets, they partition it, and each of them is closed).

[F12]

The standing assumption of the pair is Countable Choice ACω (The countable-choice principle used in the foliation pair).

Proof

technique · direct
1.1givenF1F8F9

Writing ω for the defining form, the characteristic covector β=h∗ω is C1 with kernel exactly the characteristic line field and with the characteristic singularities as zeros, and equivalently it is obtained by summing finitely many pulled-back local transverse covectors, which differ on overlaps by positive nowhere-vanishing factors; choosing an oriented area form μ and defining X by ιXμ=β makes X a C1 planar field whose regular line foliation has a C2 first-integral atlas with local first integrals u=z∘h, and by [F1] the singularities of X in the disk are finitely many nondegenerate interior centers and saddles with nonvanishing β on a boundary collar; in the transversal boundary case β does not vanish on the boundary tangent and in the leafwise case β does, so then X is tangent to and nonvanishing along ∂D2 and the boundary circle is one regular closed X-orbit; finally [F8] extends X to a C1 field on an open neighborhood U of the disk.

2.1step 1.1F1F11

Fix a center c of X and let Pc be the set of points of regular periodic X-orbits contained in int⁡D2 whose bounded Jordan interior contains c; a nonconstant periodic orbit is an embedded circle whose period set is a closed additive subgroup of R and therefore has a least positive period, so the orbit is a C2 embedded circle because an individual trajectory of a C1 field is C2 in time (x′′=DX(x)X(x)), the center picture of [F1] makes int⁡Pc nonempty, and the local flow carries Pc and int⁡Pc to themselves; the component A of int⁡Pc containing the small center collar is open and saturated, because components are unions of connected subsets and each orbit is connected.

3.1step 2.1F7F10

The circles of A are strictly nested and consistently oriented: two distinct orbits are disjoint by uniqueness of trajectories and their bounded interiors both contain c; a connected circle disjoint from a Jordan curve lies in one complementary component by [F7], so if C2 lay in the exterior of C1 then the bounded domain of C1, being connected, disjoint from C2 and containing c∈int⁡DC2, would lie in the bounded domain of C2, giving strict nesting; and the sign in which the X-orientation of an orbit agrees with the boundary orientation of its bounded domain is locally constant on the connected A, hence one global sign.

4.1step 3.1F2F12

By [F2] applied to the C2 first-integral atlas of step 1.1 on the connected set A with its strictly nested consistently oriented compact circle leaves, A is an open annulus with a C2 product Ψ:S1×(0,1)→A taking circles onto leaves and increasing in the nested order; A is maximal among connected open regular circle families continuing the chosen center collar, because any such family lies in Pc, hence in int⁡Pc, hence in this component.

5.1step 4.1F6F10

Write Cs=Ψ(S1×{s}), let Ωs be the bounded Jordan domain of Cs and Ω=⋃0<s<1Ωs; the closed bounded domains lie in D2 because their exteriors contain the connected complement of the disk, for s<t one has cl⁡Ωs⊆Ωt and Cs⊆Ωt by strict nesting, Γ=∂Ω by [F10] is a nonempty compact subset of D2 by [F6], and Γ separates c from any fixed point q outside the closed disk, since c lies in some Ωs, q lies outside cl⁡Ω, and every path between them has a first exit from Ω, on Γ.

6.1step 5.1F6

The exhaustion Tr=cl⁡⋃s≥rCs shows Cs→Γ in Hausdorff distance and Γ⊆cl⁡A: the tail intersection lies in cl⁡Ω and misses Ω because a ball about a point of Ωt is avoided by all Cs with s>t, hence lies in ∂Ω=Γ; if arbitrarily late Cs had points at distance at least ϵ from Γ the nested compacta Tr∩{dist⁡(⋅,Γ)≥ϵ} would meet, contradiction; and conversely each p∈Γ and ϵ>0 admit x∈Ω∩Bϵ/2(p) and t with x∈Ωt, so every Cs with s>t meets the segment from x to p within ϵ of p, and a finite cover of the compact Γ gives Γ everywhere within ϵ of Cs.

7.1step 6.1F1F6

No center lies on Γ: the fixed center c lies in the open Ωt, and for any other center d the center picture of [F1] supplies a small saturated disk V disjoint from c; every regular orbit meeting V is a complete small level circle inside V by uniqueness, so it does not enclose c and is not in A, whence V is disjoint from cl⁡A and from Γ; consequently every equilibrium on Γ is among the finitely many nondegenerate saddles of the disk.

8.1step 7.1F1F8

In the transversal boundary case the period annulus does not meet the boundary: in an inward collar coordinate r≥0 the radial component of X is nonzero on ∂D2 because β is nonzero on the boundary tangent, its sign is constant along the connected boundary circle, and continuity gives δ>0 and k>0 with ∣Xr∣≥k and one fixed sign throughout 0≤r≤δ; if a periodic orbit met {r<δ} then its radial coordinate has a minimum below δ, attained on the compact periodic curve, where its derivative along X must be zero, contradicting ∣Xr∣≥k, so no orbit of A meets that collar and, in particular, the period annulus cannot meet the boundary.

9.1step 8.1F3

By [F3] applied to the product Ψ and the compact frontier Γ take the field Y=X+V constructed by the flat-drift proof, and its positive orbit y with compact closure in D2 and ωY+(y)=Γ. The derivative equality needed below follows from that construction, not merely from Y=X on Γ: its locally finite band terms Vn are supported on compact sets Bn⊂A of distance dn>0 from Γ, with ∣Vn(z)∣≤2−n−1dist⁡(z,Γ) and ∥DVn(z)∥≤2−n−1dn. The fixed inner cutoff is identically one near Γ. Any finite collection of band supports stays away from Γ, so only n≥N contribute sufficiently near it; the dn are bounded by the diameter of the disk. Thus V(z)=o(dist⁡(z,Γ)) and DV(z)→0. Extend V=0 on Γ: for p∈Γ, dist⁡(z,Γ)≤∣z−p∣ proves DV(p)=0, giving Y=X and DY=DX on Γ. Hence Γ is compact, invariant under the flow, and connected because it is the intersection of the decreasing family of connected closures of the orbit tails, while its regular Y-trajectories are X-trajectories by equality of the fields on the invariant set and uniqueness.

10.1step 9.1F5

Apply [F5] to the positive orbit of y, whose ω-limit set Γ contains only the finitely many equilibria of step 7.1: alternative (i) fails because a singleton does not separate c from q, since the complement of one point of the plane is path connected by explicit polygonal detours, so either Γ is one regular periodic orbit, or Γ contains equilibria and every regular point of it lies on a nonconstant trajectory whose alpha- and omega-limits are among those saddles.

11.1step 10.1F1F4F5

In the second alternative of step 10.1, [F4] applies with the field Y, its positive orbit and the separating compact Γ whose equilibria are nondegenerate saddles, so Γ is a finite embedded strongly connected directed saddle multigraph whose edges are the closures of the distinct nonconstant saddle-to-saddle trajectories, and finitely many closed directed edge walks cover it; in the first alternative Γ is a single regular closed orbit, and if in the leafwise boundary case Γ meets ∂D2, then the boundary circle is itself a regular closed orbit inside Γ, invariance forces the whole boundary orbit into Γ, and alternatives (i) and the equilibrium alternative cannot hold because the boundary carries no equilibrium, so Γ equals that boundary orbit; thus the outer frontier is a regular closed orbit, the boundary orbit in the leafwise case, or a finite strongly connected saddle graph covered by finitely many polycycles, with loops, repeated vertices, shared and parallel edges allowed.

12.1step 11.1F9

Finally the annulus parameter gives the prescribed trace: for each fixed phase θ0 the map s↦h(Ψ(θ0,s)) is C2 because h and Ψ are, and it is transverse to F because the pulled-back characteristic covector applied to ∂sΨ is nonzero, as ∂θΨ spans the characteristic direction and (∂θΨ,∂sΨ) is a basis; these closed traces are exactly the prescribed loops Cs, and no nontriviality of their return holonomy is assumed or used.

13.1step 12.1F12∎

Therefore every center of a disk map in relative generic position is surrounded by a maximal period annulus whose outer frontier is one of the listed alternatives, the transversal boundary case cannot be met by the annulus, and the annulus parameter supplies the C2 transverse trace of the prescribed closed characteristic loops; the only countable selections in the proof are those in the product supplier of step 4.1, made under the standing ACω of [F12], while all other steps use finitely many explicit objects.

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