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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 K⊂S3 be a smooth oriented knot and let C(K)=CFK∞(K) have a finite homogeneous basis x1,…,xm with Maslov grading M(xr) and Alexander filtration A(xr). Let C−(K) be the subcomplex spanned over F2[U] by Unxr for n≥0, with M(Unxr)=M(xr)−2n and A(Unxr)=A(xr)−n, and assume H∗(C−(K))≅F2[U] with generator in Maslov degree zero. For each integer s, let A(K,s) be the subcomplex spanned over F2 by those terms Unxr with n≥0 and A(xr)−n≤s. For any Z-graded F2[U] complex D that is finitely generated as an F2[U]-module, with U of Maslov degree −2, let δ(D) be the maximal Maslov grading of a homogeneous non-torsion class in H∗(D), with δ(D)=−∞ if no such class exists. Define ν−(K) to be the least integer s for which δ(A(K,s))=0. Then 0≤ν−(K)≤g4sm(K), where g4sm(K) is the minimum genus of a smooth compact connected oriented properly embedded surface in the four-ball bounded by K.

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.

[F1]

The Upsilon function from the filtered knot Floer complex: the finite bifiltered complex has a finite homogeneous basis, multiplication by U lowers both filtration coordinates by one and Maslov grading by two, and its total localized homology has a normalized Maslov-zero generator.

[F2]

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

[A6]

Regularity, compactness, and gluing for pointed Heegaard disks supplies actual full-filtered chosen disk counts and compactification for knots in S3, without the grid/Heegaard identification or the absolute large-surgery normalization.

[A7]

The Axiom of Countable Choice (ACω): the declared analytic cobordism branch uses countable choice; no full choice is inferred.

[F3]

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

[F4]

External genus input under CLAUDE.md §12: for the normalized F2[U] knot complex, the least s with δ(A(K,s))=0 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 ν+; 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.

[F5]

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

1.1givenF1algebra

A finite homogeneous generating set bounds the Maslov degrees of D, and hence of H∗(D), above. Therefore the integer degrees of homogeneous non-torsion classes, if nonempty, have a maximum, so δ(D) is well-defined on the stated domain. Write Mr=M(xr) and Ar=A(xr). The terms of A(K,s) on the rth U-tower are Unxr with n≥max⁡(0,Ar−s), so their Maslov gradings are at most Mr−2max⁡(0,Ar−s). By [F1], this bound tends to −∞ as s tends to −∞; since the basis is finite, choose s0 so that it is strictly negative for every r when s≤s0. Then H∗(A(K,s)) has no class of degree zero and δ(A(K,s))≠0. For all s≥max⁡rAr, A(K,s)=C−(K) and its normalized tower gives δ=0. Thus the set defining ν− is nonempty and bounded below, and its least element exists. This argument does not prove that the least element is nonnegative.

1.2givenF1algebra

Put R=F2[U], B=C−(K) and As=A(K,s). The latter has finite free basis Umax⁡(0,Ar−s)xr. Its actual inclusion vs:As→B becomes the identity of C(K) after localization. Therefore the kernel of its homology map is U-torsion and its image is a nonzero homogeneous ideal UVsR, with Vs≥0. A homogeneous polynomial-torsion class is U-torsion: the different powers of U 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 δ(As)=−2Vs.

2.1F3step 1.2constructalgebra

Reuse the supplied Maslov-zero Laurent-linear analytic coordinate-swap equivalence Φ:C(K)→C(K), preserving the normalized total generator and swapping the two filtrations, with its swap-filtered inverse and homotopies. For s∈Z, hs=ΦUs:As→B is an actual polynomial-target map: a point with i≤0,j≤s goes to (j−s,i−s), whose first coordinate is at most zero. Its Maslov degree is −2s. It localizes to an isomorphism, so its homology image is UHsR, Hs≥0. The same non-torsion-domain calculation gives −2Hs=δ(As)−2s, and thus Hs=Vs+s. This argument permits negative s in the Laurent intermediate complex and proves that the final target lies in the polynomial subcomplex; it does not treat Us alone as an endomorphism of B for negative s.

3.1givenstep 1.1step 1.2step 2.1algebra

If s<0, Vs=Hs−s≥−s>0. Therefore δ(As)≠0 for every negative s. Together with step1.1 this proves existence of the threshold and ν−(K)≥0. A direct local alternative for the upper inequality would require an actual surface input. Sufficient would be an R-linear Maslov-zero map from the unknot tower to B, with image in Ag, sending the homology generator to the normalized generator1. Its image cycle would force Vg=0 and ν−(K)≤g. A map with value a positive U-power, a localized nonzero map, or a tau inequality does not suffice.

4.1givenF4F5step 1.2step 3.1algebra∎

The finite free basis of As in step1.2 is exactly the basis in the external Definition2.12, since its exponent condition is n≥max⁡(0,Ar−s), 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 ν−(K)≤g4sm(K) 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.

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