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Hörmander's weighted L2 existence theorem for the dbar equation

Statement

Assume the Axiom of Choice (AC). Let n≥1 and use one-based labels zj:=zj−1can for 1≤j≤n, also for their derivatives and form coefficients. Let Ω⊆Cn be a domain that is Hartogs pseudoconvex (Plurisubharmonic exhaustions and Hartogs pseudoconvexity), let φ∈C2(Ω;R) be strictly plurisubharmonic on Ω (The Levi form and strict plurisubharmonicity), and let 1≤q≤n. For a∈Ω let λ1(a)≤⋯≤λn(a) be the eigenvalues of the Hermitian matrix (φjkˉ(a)) and put w(a):=λ1(a)+⋯+λq(a), so that w>0 on Ω. Write L0,k2:=L0,k2(Ω,e−φ) and let ∂ˉk:Dom⁡∂ˉk⊆L0,k2→L0,k+12 be the maximal distributional ∂ˉ of Weighted L2 spaces and maximal dbar operators.

  1. If f∈Dom⁡∂ˉq satisfies ∂ˉqf=0 and the weighted energy E(f):=∫Ω∣f∣2w e−φ dV is finite, then there is u∈Dom⁡∂ˉq−1 with ∂ˉq−1u=f and ∥u∥φ2≤E(f).

  2. (Smooth data.) If in addition φ∈C∞(Ω;R) and f∈C∞(Ω;Λ0,q) satisfies ∂ˉf=0 pointwise and E(f)<+∞, then there is u∈C∞(Ω;Λ0,q−1)∩L0,q−12(Ω,e−φ) with ∂ˉu=f and ∥u∥φ2≤E(f).

The strict positivity of φ is kept in both claims, and no boundary regularity of u is claimed. Claim 2 is the C∞ branch of the same weighted estimate, quoted from the source of [F19]; it does not assert that the solution of claim 1 is smooth.

Facts & Assumptions

Given: The Axiom of Choice; an integer n≥1; a domain Ω⊆Cn that is Hartogs pseudoconvex; a function φ∈C2(Ω;R) strictly plurisubharmonic on Ω; an integer 1≤q≤n; the eigenvalue functions λ1(a)≤⋯≤λn(a) of the Hermitian matrices (φjkˉ(a)), a∈Ω, and w:=λ1+⋯+λq; and a form f∈Dom⁡∂ˉq with ∂ˉqf=0 whose energy E(f)=∫Ω∣f∣2w−1e−φdV is finite.

[F1]

With the conventions of Weighted L2 spaces and maximal dbar operators: the space L0,k2(Ω,e−φ) of coefficient tuples carries the inner product ⟨u,v⟩φ=∫Ω∑∣J∣=kuJvJ‾e−φdV and is a complex Hilbert space.

[F2]

With the same conventions, for u∈L0,k2 with a locally integrable representative the distributional form ∂ˉu:=∑∣J∣=k∑j=1n(∂uJ/∂zˉj)dzˉj∧dzˉJ is defined, and Dom⁡∂ˉk consists of those u for which ∂ˉu is represented by an element of L0,k+12, which is then ∂ˉku (Weighted L2 spaces and maximal dbar operators).

[F3]

Coefficients are extended to non-increasing tuples by antisymmetry, so that vjK=0 when j∈K, and this convention assigns the shuffle signs in the coefficient formula of [F2] (Weighted L2 spaces and maximal dbar operators).

[F4]

The bidegree decomposition and the coefficient formula ∂ˉη=∑I,J,j(∂zˉjaI,J)dzˉj∧dzI∧dzˉJ for smooth forms are as recorded in Bigraded complex forms and the Dolbeault operators; a smooth (0,k)-form is identified with its tuple of coefficients and Cc∞(Ω;Λ0,k) denotes the smooth compactly supported (0,k)-forms.

[F5]

A weak derivative is defined by the test identity ∫Ωu Dαφ=(−1)∣α∣∫Ωvφ for every φ∈Cc∞(Ω), and it is a statement about almost-everywhere classes (Weak derivative of a locally integrable function).

[F6]

The Levi form of u∈C2(Ω,R) is Lu(a;v)=∑j,k∂2u∂zj∂zˉk(a)vjvk‾, and u is strictly plurisubharmonic when Lu(a;v)>0 for every a∈Ω and every v≠0 (The Levi form and strict plurisubharmonicity).

[F7]

A domain with C2 boundary is Levi pseudoconvex when for every boundary point p there are a neighbourhood U of p and a function ρ∈C2(U,R) with Ω∩U={ρ<0}, dρ(p)≠0, and Lρ(p;v)≥0 for every complex tangent vector v (Levi pseudoconvex domains).

[F8]

A domain Ω is Hartogs pseudoconvex when −log⁡δΩ is plurisubharmonic on Ω, where δΩ is the equal-radius polydisc boundary function; the whole space is Hartogs pseudoconvex by the empty-complement convention (Plurisubharmonic exhaustions and Hartogs pseudoconvexity).

[F9]

If Ω⊆Cn is a Hartogs pseudoconvex domain, then there are S∈C∞(Ω) strictly plurisubharmonic and a strictly increasing sequence ck→+∞ such that, with Ωk:={z∈Ω:S(z)<ck}: every ck is a regular value of S, every ∂Ωk is a nonempty C∞ hypersurface of Ω, Ωk‾⊆Ωk+1 and ⋃kΩk=Ω, and LS(p;v)>0 for every p∈∂Ωk and every v≠0 with ∑j(∂S/∂zj)(p)vj=0 (Smooth strictly plurisubharmonic exhaustion of a pseudoconvex domain).

[F10]

Weighted solvability on a smoothly bounded domain (Weighted ∂̄ solvability on a smoothly bounded pseudoconvex domain): if D is a bounded Levi pseudoconvex domain with C∞ boundary, φ∈C2(D‾) is strictly plurisubharmonic at every point of D‾, 1≤q≤n, and f∈Dom⁡∂ˉq(D) satisfies ∂ˉqf=0, then there is u∈Dom⁡∂ˉq−1(D) with ∂ˉq−1u=f, and the least-norm such solution satisfies ∥u∥φ,D2≤∫D∣f∣2w−1e−φdV with w the sum of the q smallest eigenvalues of the Hermitian matrices (φjkˉ) on D.

[F11]

The Wirtinger operators satisfy ∂zj=12(∂xj−i∂yj) and ∂zˉj=12(∂xj+i∂yj) (Wirtinger operators in Cm).

[F12]

For functions with continuous second partial derivatives the mixed second partials commute (Continuous second partials of a scalar potential commute).

[F13]

A finite-dimensional complex inner product space has an orthonormal basis of eigenvectors of every normal endomorphism (Complex spectral theorem: a normal endomorphism of a finite-dimensional complex inner product space has an orthonormal eigenbasis, and conversely).

[F14]
[F15]

A finite orthonormal list (e0,…,er−1) satisfies ∑i<r∣⟨v,ei⟩∣2≤∥v∥2 for every v, with equality when (ei) is an orthonormal basis (Bessel's inequality for a finite orthonormal list and Parseval's identity for an orthonormal basis).

[F16]

Under the Axiom of Countable Choice every complete real or complex inner-product space is reflexive (Hilbert spaces are reflexive by Riesz representation).

[F17]

Under the ultrafilter lemma, DC and HB, a real or complex Banach space X is reflexive if and only if every norm-bounded sequence in X has a subsequence converging weakly to a point of X (Reflexivity is equivalent to weak subsequential compactness of bounded sequences).

[F18]

Under HB, if a net xi⇀x in a real or complex normed space, then ∥x∥≤lim inf⁡i∥xi∥, with no boundedness or completeness hypothesis (Weak convergence implies lower semicontinuity of the norm).

[F20]
[F21]

The Axiom of Choice implies HB, the real dominated-extension principle (Hahn-Banach dominated extension theorem for real vector spaces).

[F22]

In ZF, AC implies the Axiom of Countable Choice and the prescribed-initial-point form of Dependent Choice (AC supplies the countable and dependent choices used in Banach integration).

[F23]

AC is the assertion that every family of nonempty sets has a choice function (The Axiom of Choice); DC is the prescribed-initial-point form of The axiom of dependent choice: a relation in which every element is related to something admits an N-indexed chain; ACω selects from every at most countable family of nonempty sets (The Axiom of Countable Choice (ACω)); HB is the real dominated-extension principle over ZF (The real dominated-extension principle as an additional hypothesis over ZF).

[F19]

(Demailly, Ch. VIII, Theorem 6.5 and its proof, printed p. 378, with (6.4) on p. 377.) On a weakly pseudoconvex Kähler manifold with a hermitian line bundle and a smooth weight having nonnegative curvature eigenvalues, a smooth closed (n,q)-form of finite reciprocal-eigenvalue energy has a smooth solution with the corresponding norm bound. No global L2 hypothesis on the datum is required. Here use the trivial line bundle and the flat normalization in which dzj,dzˉj are orthonormal; the eigenvalues are those of (φjkˉ) and the metric volume is a constant multiple of dV. Put α=dz1∧⋯∧dzn. The map η↦η∧α commutes with ∂ˉ and preserves coefficient norms, so the source bound transfers to (0,q)-forms; the common volume constant cancels.

[F24]

Weak convergence of a net means convergence against every bounded linear functional; a sequence is the case I=N (Weak convergence of nets and sequences).

[F25]

Under the complex Euclidean dictionary, Ω is an open connected subset of R2n, hence any two points can be joined by a polygonal path in Ω (Complex m-space and its real coordinate dictionary, For an open subset of Rn, connectedness, path-connectedness and polygonal connectedness are equivalent).

Choice use. AC is the ambient hypothesis recorded in the Statement and cited as [F23]; its countable instance ACω is consumed through the reflexive-Hilbert-space supplier [F16] and licenses the countably many applications of [F10] in step 2.2 that produce the sequence (uk), and DC and HB are consumed through the reflexivity criterion [F17]; the consequences AC ⇒ ultrafilter lemma, AC ⇒ HB and AC ⇒ (DC and ACω) are supplied by [F20], [F21] and [F22]. No other family of nonempty sets is selected, and apart from the interfaces named above no step uses choice beyond the definitions and the cited interfaces.

Proof

technique · direct
1.1F7F8F9F25given

By [F8] and [F9] choose a smooth strictly plurisubharmonic exhaustion S and increasing regular values ck→+∞, with Ωk:={S<ck} relatively compact and exhausting Ω. Fix z0∈Ω and discard an initial finite segment so that z0∈Ωk for every remaining k. Let Dk be the connected component of Ωk containing z0; these components are nested. They exhaust Ω: for z∈Ω, [F25] gives a polygonal path from z0 to z, whose compact image lies in some Ωk by the increasing open cover, so z∈Dk. Each Dk is bounded because Ωk‾ is compact. At p∈∂Dk one has p∈∂Ωk={S=ck}; the regular-level chart makes Ωk a connected local subgraph near p, and its inside part meets Dk, so it lies in Dk. Thus Dk has C∞ boundary locally defined by ρ=S−ck with dρ(p)≠0. Strict plurisubharmonicity gives Lρ(p;v)>0 on every nonzero complex tangent vector, so Dk is a bounded Levi pseudoconvex domain to which [F10] applies.

1.2F6F11F12F13F14given

For a∈Ω write H(a):=(φjkˉ(a)) and B(a):=H(a)T. Reality of φ, the Wirtinger formulas [F11] and commutation of mixed partials [F12] give Hjk‾=Hkj, so H and B are Hermitian and are self-adjoint by [F14]. Their characteristic polynomials agree, since det⁡(tI−HT)=det⁡(tI−H), so they have the same ordered eigenvalues λi. With the first-variable-linear inner product, Lφ(a;v)=∑j,kHjk(a)vjvk‾=⟨B(a)v,v⟩. Thus strict plurisubharmonicity [F6] makes B positive definite. Its orthonormal eigenbasis from [F13] shows that λ1(a)=min⁡∣v∣=1⟨B(a)v,v⟩>0, hence every eigenvalue of H is positive and w(a)≥qλ1(a)>0.

1.3F1F2F4F5given

For each k let fk be the restriction of f to Dk, that is the tuple of restrictions fk,K:=fK∣Dk. Then fk∈L0,q2(Dk,e−φ) with ∫Dk∣fk∣2w−1e−φdV≤E(f) because f∈L0,q2(Ω,e−φ) and the integrand is nonnegative, and fk∈Dom⁡∂ˉq(Dk) with ∂ˉqfk=0: distributional differentiation is local, so the coefficient distributions of ∂ˉfk on Dk are obtained by evaluating those of ∂ˉf on test functions supported in Dk, and the coefficient formula and test identity of [F2], [F4] and [F5] pair them with the test functions ψ‾, ψ∈Cc∞(Dk), exactly as ∂ˉf pairs with the zero extensions of ψ‾ to Ω; since the distribution ∂ˉf is represented by the zero form by the hypothesis ∂ˉqf=0, its restriction to Dk is represented by the zero form as well.

1.4F1F2F3F4F5F11givenalgebra

Fix a test form η∈Cc∞(Ω;Λ0,q) and let ∂0∗η be the (0,q−1)-form with coefficients (∂0∗η)I:=−∑j=1n∂zjηjI; then, writing H:=L0,q−12(Ω,e−φ), eφ∂0∗η is compactly supported, of class C2, and lies in H, and for every u~∈H one has the distributional identity ∑∣K∣=q⟨(∂ˉu~)K,ηK‾⟩=⟨u~,eφ∂0∗η⟩φ, where the left side evaluates the coefficient distributions of F2 against the test functions ηK‾ and the antisymmetry convention of [F3] assigns the shuffle signs: both sides equal the single sum −∑∣I∣=q−1∑j=1n∫Ωu~I ∂zˉj(ηjI‾)dV, the left by the test identity of [F5] and the sign convention for ∂ˉ of [F4], and the right by expanding the pairing of F1 with (eφ(∂0∗η)I)‾=eφ(∂0∗η)I‾ and conjugating the holomorphic derivative by the Wirtinger rules [F11].

2.1F1F15step 1.2givenalgebra

The function w is upper semicontinuous, hence Borel measurable, on Ω: for every orthonormal q-frame V=(v1,…,vq) the function a↦G(a,V):=∑i=1q⟨H(a)vi,vi⟩ is continuous, and w(a)=min⁡VG(a,V) over the nonempty set of orthonormal q-frames, because expanding in an eigenbasis (ej) of step 1.2 gives G(a,V)=∑jλj(a)mj with mj:=∑i∣⟨vi,ej⟩∣2∈[0,1] by the Bessel inequality of [F15] and ∑jmj=∑i∥vi∥2=q by its Parseval clause, and for such a mass vector ∑jλj(a)mj−(λ1+⋯+λq)(a)=∑j≤qλj(mj−1)+∑j>qλjmj≥λq(∑j≤q(mj−1)+∑j>qmj)=0, with equality for V=(e1,…,eq); hence {w<c}=⋃V{a:G(a,V)<c} is a union of open sets, and since w>0 on Ω by step 1.2 the integrand ∣f∣2w−1e−φ is a nonnegative measurable function, so that the energy E(f) of the statement is a well-defined extended Lebesgue integral.

2.2F10step 1.1step 1.2step 1.3given

Fix k and take D:=Dk. The domain D is a bounded Levi pseudoconvex domain with C∞ boundary, the weight φ lies in C2 on a neighbourhood of D‾⊆Ω and is strictly plurisubharmonic at every point of D‾ by step 1.2 and the hypothesis, and the datum fk lies in Dom⁡∂ˉq(D) with ∂ˉqfk=0 by step 1.3; all hypotheses of [F10] are therefore met, and its conclusion supplies the least-norm solution uk∈Dom⁡∂ˉq−1(D) of ∂ˉq−1u=fk with ∥uk∥φ,D2≤∫D∣f∣2w−1e−φdV≤E(f), where the eigenvalue functions named in [F10] are the functions λj of step 1.2 and the last inequality is step 1.3 with the nonnegative integrand and D⊆Ω.

3.1F1step 2.2givenalgebra

Extend each uk by zero: let u~k equal uk on Dk and 0 on Ω∖Dk, regarded as a coefficient tuple. Then u~k∈H:=L0,q−12(Ω,e−φ) with measurable coefficients, ∥u~k∥φ2=∥uk∥φ,Dk2≤E(f) by step 2.2, and consequently (u~k)k≥1 is a norm-bounded sequence in the complex Hilbert space H of [F1].

3.2F1F5step 1.1step 1.4step 2.2given

Let η∈Cc∞(Ω;Λ0,q) and let K be an index with supp⁡η⊆DK, which exists because the sets Dk increase to Ω by step 1.1 while supp⁡η is compact; for every k≥K the left side of the identity of step 1.4 with u~:=u~k equals ∫Ω∑∣K′∣=qfK′ηK′‾dV=:⟨f,η⟩0: on the open set Dk⊇supp⁡η the tuples u~k and uk agree, so by the locality of distributional differentiation the coefficient distributions of ∂ˉu~k evaluated against the test functions ηK′‾ depend only on uk, and there the L2 identity ∂ˉq−1uk=fk of step 2.2 represents them by the coefficients fK′.

4.1F16F17F20F21F22step 3.1

The space H is reflexive by [F16], whose countable-choice hypothesis is the instance ACω supplied by AC through [F22]; by [F17], whose ultrafilter-lemma, DC and HB hypotheses are supplied from AC by [F20], [F22] and [F21], a reflexive complex Banach space has the property that the norm-bounded sequence (u~k) admits a subsequence (u~kj)j≥1 converging weakly in H to some u∈H.

5.1F18F21step 3.1step 4.1algebra

By [F18], whose HB hypothesis is supplied from AC by [F21], applied to the weakly convergent sequence of step 4.1 one has ∥u∥φ≤lim inf⁡j→∞∥u~kj∥φ, and ∥u~kj∥φ2≤E(f) for every j by step 3.1, so that lim inf⁡j∥u~kj∥φ≤E(f)1/2 and ∥u∥φ2≤E(f).

5.2F1F2F24step 4.1step 1.4step 3.2

Let η∈Cc∞(Ω;Λ0,q). By step 1.4 the left side of its identity with u~:=u~kj equals ⟨u~kj,eφ∂0∗η⟩φ, and this scalar converges to ⟨u,eφ∂0∗η⟩φ as j→∞ because eφ∂0∗η∈H and u~kj⇀u weakly (step 4.1 and the characterization of weak convergence by bounded functionals in [F24]); by step 3.2 the same scalar equals ⟨f,η⟩0 for all sufficiently large j, so ⟨u,eφ∂0∗η⟩φ=⟨f,η⟩0, and by step 1.4 applied with u~:=u, whose left side is by construction the pairing of the coefficient distributions of ∂ˉu with the test form η, the distribution ∂ˉu is represented by the L2 form f; by the definition of the maximal operator F2 this says u∈Dom⁡∂ˉq−1(Ω) and ∂ˉq−1u=f.

6.1F9F23F19step 5.1step 5.2given∎

Claim 1 holds: the element u of step 5.2 lies in Dom⁡∂ˉq−1 with ∂ˉq−1u=f, and ∥u∥φ2≤E(f) by step 5.1. Claim 2 holds by the source fact [F19] under its hypotheses: Ω with the Euclidean Kähler form is a weakly pseudoconvex Kähler manifold because the exhaustion of [F9] is a plurisubharmonic exhaustion, φ∈C∞(Ω) has nonnegative eigenvalues λj>0, and the smooth ∂ˉ-closed form f has finite energy, so the C∞ branch of the quoted theorem supplies u∈C∞(Ω;Λ0,q−1) with ∂ˉu=f and the same weighted bound; no boundary regularity of u is asserted in either claim, and both claims are stated under the ambient Axiom of Choice cited as [F23].

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