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The auxiliary nu-minus threshold is bounded by smooth slice genus
Statement
For the knot-level assertions, assume the Axiom of Countable Choice. Let be a smooth oriented knot and let have a finite homogeneous basis with Maslov grading and Alexander filtration . Let be the subcomplex spanned over by for , with and , and assume with generator in Maslov degree zero. For each integer , let be the subcomplex spanned over by those terms with and . For any -graded complex that is finitely generated as an -module, with of Maslov degree , let be the maximal Maslov grading of a homogeneous non-torsion class in , with if no such class exists. Define to be the least integer for which . Then where is the minimum genus of a smooth compact connected oriented properly embedded surface in the four-ball bounded by .
Statement references
Facts & Assumptions
Given: A smooth oriented knot, its normalized minus complex, and the smooth four-ball genus. Countable Choice is assumed for the knot-level constructions and geometric comparisons; finite algebra on the stated supplied complexes and maps requires no further choice.
The Upsilon function from the filtered knot Floer complex: the finite bifiltered complex has a finite homogeneous basis, multiplication by lowers both filtration coordinates by one and Maslov grading by two, and its total localized homology has a normalized Maslov-zero generator.
The accepted normalized grid-to-analytic comparison identifies the knot complexes, with all marked-variable and stabilization factors accounted for. It is reused at that exact knot scope. Grid homology is independent of the grid and computes knot Floer homology
Regularity, compactness, and gluing for pointed Heegaard disks supplies actual full-filtered chosen disk counts and compactification for knots in , without the grid/Heegaard identification or the absolute large-surgery normalization.
The Axiom of Countable Choice (): the declared analytic cobordism branch uses countable choice; no full choice is inferred.
The accepted normalized analytic coordinate-swap equivalence is Maslov-zero and Laurent-linear, exchanges both filtrations, and preserves the normalized total generator, with its filtered inverse and homotopies. Knot Floer duality and exchange of the two filtrations
External genus input under CLAUDE.md §12: for the normalized knot complex, the least with is at most the smooth four-ball genus. Its module, Maslov and Alexander conventions are exactly Definitions2.11–2.12 and Theorem2.14 of Ozsváth–Stipsicz–Szabó, printed10–11. Proposition2.13 identifies this threshold with Hom–Wu's ; Hom–Wu, Proposition2.4, printed5 supplies the smooth genus inequality. This imports the established large-surgery/cobordism bound, not just a formal triangle identity or a localized nonzero map. The exact OSS §2.3 statement and plus/minus proof on printed10–11 and Hom–Wu definition/propositions on printed3–5 were read; Rasmussen’s upstream proof is not represented as read or locally reconstructed.
Choice scope of the external input: use it for the fixed knot diagram and finite smooth concordance/surface under consideration, not for a simultaneous choice of data for every knot. Integer domains and Spin-c labels form countable sets; all coefficient matrices and final graded basis changes are finite. Compact source charts give separable Sobolev and almost-complex parameter spaces with countable bases. Their fixed Fredholm problems admit a countable family of finite-cokernel perturbation charts, selected using ACω; the usual finite-dimensional Sard reduction and least-basis nested-ball Baire construction select one datum regular for the countable list. Compactness/gluing is used pointwise for these data, with finite covers of the compact low-index moduli and least-integer shrinking thresholds, not an arbitrary family of choices. Thus the imported fixed-data construction has a finite/countable specialization; full AC is not substituted for the declared ACω branch. The cited papers are not claimed to contain an explicit foundational choice audit.
Proof
A finite homogeneous generating set bounds the Maslov degrees of , and hence of , above. Therefore the integer degrees of homogeneous non-torsion classes, if nonempty, have a maximum, so is well-defined on the stated domain. Write and . The terms of on the th -tower are with , so their Maslov gradings are at most . By [F1], this bound tends to as tends to ; since the basis is finite, choose so that it is strictly negative for every when . Then has no class of degree zero and . For all , and its normalized tower gives . Thus the set defining is nonempty and bounded below, and its least element exists. This argument does not prove that the least element is nonnegative.
Put , and . The latter has finite free basis . Its actual inclusion becomes the identity of after localization. Therefore the kernel of its homology map is -torsion and its image is a nonzero homogeneous ideal , with . A homogeneous polynomial-torsion class is -torsion: the different powers of have distinct Maslov degrees, so a polynomial annihilator implies a monomial annihilator for that class. Consequently homogeneous non-torsion classes are exactly the homogeneous classes having nonzero image in the localized tower. Their maximal grading is the top grading of the image ideal, and hence .
Reuse the supplied Maslov-zero Laurent-linear analytic coordinate-swap equivalence , preserving the normalized total generator and swapping the two filtrations, with its swap-filtered inverse and homotopies. For , is an actual polynomial-target map: a point with goes to , whose first coordinate is at most zero. Its Maslov degree is . It localizes to an isomorphism, so its homology image is , . The same non-torsion-domain calculation gives , and thus . This argument permits negative in the Laurent intermediate complex and proves that the final target lies in the polynomial subcomplex; it does not treat alone as an endomorphism of for negative .
If , . Therefore for every negative . Together with step1.1 this proves existence of the threshold and . A direct local alternative for the upper inequality would require an actual surface input. Sufficient would be an -linear Maslov-zero map from the unknot tower to , with image in , sending the homology generator to the normalized generator1. Its image cycle would force and . A map with value a positive -power, a localized nonzero map, or a tau inequality does not suffice.
The finite free basis of in step1.2 is exactly the basis in the external Definition2.12, since its exponent condition is , and the normalized top minus grading is zero in both conventions. Thus [F4] applies to the SAME threshold, not to a shifted plus invariant. It gives at the fixed data with [F5]. Combine this with step3.1 to obtain both original inequalities. The upper bound is explicitly external; the local exponent/nonnegativity argument is retained.
Depends on
- The Upsilon function from the filtered knot Floer complex
- Grid homology is independent of the grid and computes knot Floer homology
- Regularity, compactness, and gluing for pointed Heegaard disks
- Smooth and topological slice genus
- A genus-g knot cobordism bounds the tau difference
- The decorated knot Floer cobordism map
- Regularity, compactness, and gluing for decorated knot Floer triangles
- Naturality and movie invariance of the decorated knot Floer map
- The Axiom of Countable Choice ($\mathrm{AC}_\omega$)
- Knot Floer duality and exchange of the two filtrations
Used by
Dependency tree · two levels
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Sources
- Peter S. Ozsvath, Andras I. Stipsicz, and Zoltan Szabo, Concordance homomorphisms from knot Floer homology, §2.3 (standard reference, not scraped)
- Jennifer Hom and Zhongtao Wu, Four-ball genus bounds and a refinement of the Ozsvath-Szabo tau-invariant (standard reference, not scraped)