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8.2 The admissible coneF677D35E0BD7

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For $\lambda \in \mathbb R^ n$, let $S_ j(\lambda )$ be the elementary symmetric polynomial of degree $j$, put $\sigma _ j=S_ j/\binom nj$ and $\sigma _0=1$, and set

\[ \Gamma _ m=\{ \lambda :S_ j(\lambda )>0,\ 1\leq j\leq m\} . \]

A real $(1,1)$-form belongs to $\Gamma _ m(\omega )$ if its eigenvalues relative to $\omega $ belong to $\Gamma _ m$. Write $C_{n,m}$ for the corresponding closed cone of Hermitian matrices. The algebraic assertions below also apply when $m=n$.

We use the classical Gårding facts: the closed spectral cone is convex, contains the nonnegative matrices, and is preserved by adding them; adding a positive matrix puts a closed-cone matrix in its interior. The normalized root $F=\sigma _ m^{1/m}$ is concave and increasing there. Polarized products of $k$ forms in $\Gamma _ k(\omega )$ with $\omega ^{n-k}$ are positive, and Maclaurin's inequalities give $\sigma _ j^{1/j}\geq \sigma _ k^{1/k}$ for $j\leq k$. These algebraic facts will serve as inputs to the analytic arguments.

A continuous real function $v$ on $X$ is admissible if

C5A4D9AE83ED 8.2.1
\begin{equation} (\omega +\mathrm{dd}^{\mathrm{c}}v)\wedge \gamma _1\wedge \cdots \wedge \gamma _{m-1} \wedge \omega ^{n-m}\geq 0 \end{equation}

in distributions for every smooth collection $\gamma _1,\ldots ,\gamma _{m-1}\in \Gamma _ m(\omega )$. For smooth $v$ this is equivalent to the pointwise closed-cone condition; strict admissibility means membership in the open cone. Maxima and convex combinations preserve continuous admissibility. To check the maximum property, fix one smooth positive linear test in (8.2.1). Locally a smooth solution of its inhomogeneous linear equation reduces the assertion to the maximum property for subsolutions of a smooth elliptic operator.

For a bounded upper semicontinuous function $v$, admissibility means that every local $C^2$ upper test $q$ at $x$ satisfies

B372916B922F 8.2.2
\begin{equation} \omega (x)+\mathrm{dd}^{\mathrm{c}}q(x)\in \overline{\Gamma _ m(\omega (x))}. \end{equation}

For continuous $v$, this agrees with (8.2.1): Gårding duality reduces both conditions to subsolution inequalities for smooth strictly elliptic linear operators. We use their classical viscosity–distributional equivalence, with the usual subharmonic representative in the bounded class.

The first estimate controls a scalar shift of the cone. It will give lower bounds for every coefficient of the linearized Hessian operator.

Lemma 8.2.3.F86594126C69 For $\lambda \in \Gamma _ m$, put

\[ e_ m=\frac{\sigma _ m(\lambda )}{m\sigma _{m-1}(\lambda )}. \]

Then $\lambda -t\mathbf1\in \Gamma _ m$ for $0\leq t<e_ m$. If $m\geq 2$, the conclusion also holds for $t=e_ m$. For $m=1$, the endpoint lies on the boundary.

Proof. The polynomial

\[ P(x)=\sigma _ m(\lambda +x\mathbf1) =\sum _{j=0}^ m\binom mj\sigma _ j(\lambda )x^{m-j} \]

is a positive multiple of the $(n-m)$th derivative of $\prod _ i(x+\lambda _ i)$. Hence all its roots are real, by Rolle's theorem. Its coefficients are positive, so all its roots are strictly negative. Write $P(x)=\prod _{i=1}^ m(x+r_ i)$ with $r_ i>0$. Logarithmic differentiation at zero gives

\[ \sum _{i=1}^ m r_ i^{-1} =\frac{m\sigma _{m-1}(\lambda )}{\sigma _ m(\lambda )} =e_ m^{-1}. \]

Thus $\min _ i r_ i\geq e_ m$, with strict inequality if $m\geq 2$. For $x> -\min _ i r_ i$, every derivative of $P$ is positive: differentiating its product expansion produces sums of products of positive factors. Since

\[ P^{(m-j)}(x)=\frac{m!}{j!}\sigma _ j(\lambda +x\mathbf1), \qquad 1\leq j\leq m, \]

all the required symmetric polynomials are positive at $x=-t$. When $m=1$, the sole root is $-e_1$. $\square$

Lemma 8.2.4.94C4E018DD25 If $\alpha ,\gamma \in \Gamma _ m(\omega )$, then

\[ \frac{\alpha ^{m-1}\wedge \gamma \wedge \omega ^{n-m}}{\omega ^ n} \frac{\alpha \wedge \omega ^{n-1}}{\omega ^ n} \geq \frac1{m!} \frac{\alpha ^ m\wedge \omega ^{n-m}}{\omega ^ n} \frac{\gamma \wedge \omega ^{n-1}}{\omega ^ n}. \]

The assertion extends to $\gamma \in \overline{\Gamma _ m(\omega )}$ by continuity.

Proof. Write $\sigma _ k=\alpha ^ k\wedge \omega ^{n-k}/\omega ^ n$, and $M_ k=\alpha ^{k-1}\wedge \gamma \wedge \omega ^{n-k}/\omega ^ n$. For $1\leq k<m$, the cone shift with index $k+1$ and Gårding positivity give

\[ M_{k+1}\geq tM_ k \quad \left(0\leq t<\frac{\sigma _{k+1}}{(k+1)\sigma _ k}\right). \]

Let $t$ increase to the displayed endpoint. Iterating, starting with $M_1=\gamma \wedge \omega ^{n-1}/\omega ^ n$, yields

\[ M_ m\geq \frac{\sigma _ m}{m!\sigma _1}M_1. \]

All denominators are positive. Approximating a form in the closed cone by $\gamma +\delta \omega $, $\delta \downarrow 0$, gives the last assertion. $\square$

At a diagonal Hermitian matrix $\Lambda $ in the open cone, order its eigenvalues as $\lambda _1\geq \cdots \geq \lambda _ n$ and write

\[ f=F(\Lambda ),\quad F_ i=\partial _{\lambda _ i}F,\quad S=\operatorname {tr}\Lambda ,\quad \mathcal F=\sum _ iF_ i, \quad Q=\sum _ iF_ i\lambda _ i^2. \]

The next inequalities use these derivatives of the normalized root, rather than derivatives of the polynomial $S_ m$.

Lemma 8.2.5.7710D01DF6F5 If $M$ belongs to the closed Hermitian $m$-cone, then

\[ W:=\sum _ iF_ iM_{i\bar i}\geq \frac{f}{m!S}\operatorname {tr}M, \qquad F_ i\geq \frac{f}{m!S},\qquad |M_{1\bar1}|\leq \operatorname {tr}M. \]

No simultaneous diagonalization of $M$ and $\Lambda $ is required.

Proof. In the wedge notation of the mixed-trace estimate, differentiation gives $DF_\Lambda (M)=fM_ m/\sigma _ m$. The estimate $M_ m\geq \sigma _ m M_1/(m!\sigma _1)$, with $M_1=\operatorname {tr}M/n$ and $\sigma _1=S/n$, proves the first inequality. The positive semidefinite rank-one coordinate projections belong to the closed $m$-cone; taking $M$ to be each projection proves the second inequality. The closed $m$-cone is contained in the closed $2$-cone. Its eigenvalues $\mu $ satisfy

\[ \operatorname {tr}M\geq 0,\qquad \sum _ i\mu _ i^2=(\operatorname {tr}M)^2-2S_2(\mu ) \leq (\operatorname {tr}M)^2. \]

Thus the operator norm of $M$ is at most its trace, which proves the last inequality. The wedge pairing computes the derivative in the diagonal frame of $\Lambda $, regardless of the eigenvectors of $M$. $\square$

Lemma 8.2.6.473C52E484B0 If $0<f_0\leq f\leq f_1$, then

\[ Q:=\sum _ iF_ i\lambda _ i^2 \geq \frac{f_0}{m}S-\frac{n-m}{m}f_1^2, \qquad \mathcal F\geq 1. \]

Proof. The derivative of the normalized root is $F_ i=fS_{m-1}(\lambda |i)/(mS_ m)$. The splitting identity gives

\[ Q=\frac fm S-\frac{(m+1)f}{mS_ m}S_{m+1}. \]

For $m=n$, set $S_{n+1}=0$. If $S_{m+1}\leq 0$, the second term is nonnegative. Otherwise $\lambda \in \Gamma _{m+1}$ and Maclaurin gives $S_{m+1}\leq \binom n{m+1}f^{m+1}$. Since $S_ m=\binom nm f^ m$, the subtracted term is at most $(n-m)f^2/m$. This proves the first assertion. Summing the derivatives gives $\mathcal F=f\sigma _{m-1}/\sigma _ m\geq 1$, again by Maclaurin. $\square$

When $m<n$, admissible forms need not be semipositive. Positivity of a mixed Hessian measure therefore does not directly bound every coefficient of its factors. For degrees below $m$, deleted-coordinate positivity supplies the required absolute bound: if $S_{j;I}$ means $S_ j$ with the coordinates indexed by $I$ omitted, then $S_{j;I}(\lambda )>0$ for $j+|I|\leq m$, by polarized Gårding positivity.

Lemma 8.2.7.B0643A9A1173 If $0\leq r<m$, $\alpha _1,\ldots ,\alpha _ r\in \Gamma _ m(\omega )$, and $\Xi $ is a smooth complementary form, then

\[ |\alpha _1\wedge \cdots \wedge \alpha _ r\wedge \Xi | \leq C_{n,m,\Xi }(\alpha _1+\cdots +\alpha _ r)^ r\wedge \omega ^{n-r}. \]

For $r=0$ the right-hand side means $C_{n,m,\Xi }\omega ^ n$.

Proof. First take a single form $\alpha $, diagonal in an $\omega $-unitary frame, with ordered eigenvalues $\lambda \in \Gamma _ m$. For $1\leq r<m$, repeated splitting and deleted-coordinate positivity give $S_ r(\lambda )\geq \lambda _1\cdots \lambda _ r$. The sum of the last $n-r$ eigenvalues is positive, so each negative eigenvalue has modulus at most $(n-r)\lambda _{r+1}$. Thus every product of $r$ distinct eigenvalues has modulus at most

\[ (n-r)^ r\lambda _1\cdots \lambda _ r\leq (n-r)^ r S_ r(\lambda ). \]

Indeed, replace its negative factors by this bound and its positive factors by the corresponding largest eigenvalues. In the diagonal frame only complementary diagonal coefficients of $\Xi $ contribute to $\alpha ^ r\wedge \Xi $. This proves $|\alpha ^ r\wedge \Xi |\leq C_{n,m,\Xi }\alpha ^ r\wedge \omega ^{n-r}$.

Apply this bound to the polynomial $(\alpha _1+t_2\alpha _2+\cdots +t_ r\alpha _ r)^ r\wedge \Xi $, with $0\leq t_ i\leq 1$. Its absolute value is bounded by the stated right-hand side, by polarized positivity and monotonicity on the cone. A fixed invertible interpolation matrix on this finite-dimensional polynomial space bounds each coefficient by its supremum on the cube. The coefficient of $t_2\cdots t_ r$ is a fixed positive multiple of $\alpha _1\wedge \cdots \wedge \alpha _ r\wedge \Xi $. This proves the mixed bound. The closed-cone case follows by adding $\varepsilon \omega $ to each form and taking the limit. $\square$

The next coefficient bound also controls a torsion form whose diagonal coefficients can have either sign. It compares each two-coordinate coefficient with the positive coefficients of the associated gradient pairing.

Lemma 8.2.8.8673FC834527 If $\lambda \in \overline{\Gamma _ m}$, $1\leq q\leq \min \{ m-1,n-2\} $, and $i\ne j$, then, with $N=n-2$ and

\[ c_{N,q}=\frac{q(N-q)}{(q+1)(N-q+1)}<1, \]

one has

\[ |S_{q;ij}(\lambda )|^2 \leq \frac{S_{q;i}(\lambda )S_{q;j}(\lambda )}{1-c_{N,q}}. \]

This includes $q=N$, when $c_{N,N}=0$.

Proof. First prove the unnormalized Newton inequality for an arbitrary real list $\mu $ of length $N$. For $1\leq q<N$, put $R(x)=\prod _{a=1}^ N(x+\mu _ a)$ and $G=R^{(N-q-1)}$. Repeated Rolle's theorem makes $G$ a real-rooted polynomial of degree $d=q+1$. Away from its roots $r_ a$, logarithmic differentiation and Cauchy–Schwarz give

\[ G'^2-GG''=G^2\sum _{a=1}^ d\frac1{(x-r_ a)^2} \geq \frac1dG^2\left(\sum _{a=1}^ d\frac1{x-r_ a}\right)^2 =\frac1dG'^2. \]

Continuity extends this polynomial inequality to every real $x$. At zero,

\[ G=(N-q-1)!S_{q+1}(\mu ),\quad G'=(N-q)!S_ q(\mu ),\quad G''=(N-q+1)!S_{q-1}(\mu ). \]

Consequently $S_{q-1}(\mu )S_{q+1}(\mu )\leq c_{N,q}S_ q(\mu )^2$. No sign restriction on $\mu $ or on these coefficients was used. For $q=N$, its left side is zero and the same assertion holds with $c_{N,N}=0$.

Apply this to the list with $i,j$ deleted. Put $A=S_{q-1;ij}$, $B=S_{q;ij}$, $C=S_{q+1;ij}$ and $D_ i=S_{q;i}$, $D_ j=S_{q;j}$. Deleted-coordinate positivity gives $A,D_ i,D_ j\geq 0$: the required degrees are $q+1\leq m$. Splitting in the two omitted coordinates gives the exact identity

\[ D_ iD_ j=A S_{q+1}(\lambda )+B^2-AC. \]

Since $S_{q+1}(\lambda )\geq 0$ and $AC\leq c_{N,q}B^2$, this is at least $(1-c_{N,q})B^2$. There is no division by $A$ or $D_ i$; all degenerate endpoints are therefore included. Equivalently one may first add $\epsilon \mathbf1$ and pass to the closed cone. $\square$

A smooth maximum preserves the cone condition and can be chosen monotone in its smoothing scale as well as in its two arguments.

Lemma 8.2.9.365519F85C5A If smooth uniformly bounded admissible $u_ j\downarrow u$ and $v_ j\downarrow v$ are given, there are smooth uniformly bounded admissible $w_ j\downarrow \max \{ u,v\} $. For any chosen $\epsilon _ j>0$ decreasing to zero, they can be chosen to satisfy $w_ j=u_ j$ on $\{ u_ j-v_ j>\epsilon _ j\} $ and $w_ j=v_ j$ on $\{ v_ j-u_ j>\epsilon _ j\} $. For smooth functions $f,g$ on an open subset of $X$ with $\mathrm{dd}^{\mathrm{c}}f,\mathrm{dd}^{\mathrm{c}}g\in \overline{\Gamma _ m(\omega )}$, the regularized maximum $M_\epsilon (f,g)$ constructed below satisfies the same unshifted cone condition.

Proof. Choose a nonnegative even smooth probability density $\zeta $ supported in $[-1,1]$, and set

\[ r_\epsilon (t)=\int |t-\epsilon s|\zeta (s)\, \mathrm ds, \qquad M_\epsilon (x,y)=\tfrac 12(x+y+r_\epsilon (x-y)). \]

The function $r_\epsilon $ is smooth and convex, $|r_\epsilon '|\leq 1$, and $r_\epsilon (t)=|t|$ for $|t|\geq \epsilon $. Jensen's inequality and the triangle inequality give

\[ \max \{ x,y\} \leq M_\epsilon (x,y) \leq \max \{ x,y\} +\epsilon /2. \]

Its partial derivatives in $x,y$ are nonnegative. For fixed $t$, $r_\epsilon (t)$ is an even convex function of $\epsilon $, since $\zeta $ is even. It is therefore nondecreasing for $\epsilon \geq 0$. Consequently $w_ j=M_{\epsilon _ j}(u_ j,v_ j)$ decreases pointwise to $\max \{ u,v\} $ and has the asserted equalities and bounds.

Put $h_ j=u_ j-v_ j$ and $a_ j=(1+r_{\epsilon _ j}'(h_ j))/2$. The chain rule gives

\[ \omega +\mathrm{dd}^{\mathrm{c}}w_ j =a_ j(\omega +\mathrm{dd}^{\mathrm{c}}u_ j)+(1-a_ j)(\omega +\mathrm{dd}^{\mathrm{c}}v_ j) +\tfrac 12r_{\epsilon _ j}''(h_ j) \mathrm dh_ j\wedge \mathrm d^{\mathrm c}h_ j. \]

Here $0\leq a_ j\leq 1$, and the last form is semipositive. Convexity of the cone and its stability under semipositive addition prove admissibility. For smooth local functions satisfying the unshifted cone condition, omit $\omega $ from this chain rule; the same argument proves preservation of that condition. The pointwise maximum is itself admissible: an upper test for it at a point is an upper test for a potential attaining the maximum there. Its canonical representative is thus the indicated pointwise maximum. $\square$

Lemma 8.2.10.A1FFEE061CF5 If bounded admissible $u,v$ satisfy $u\leq v$ almost everywhere with respect to $\omega ^ n$, then $u\leq v$ everywhere.

Proof. By 8.2.9, $w=\max \{ u,v\} $ is bounded admissible with its indicated canonical representative. Since $w=v$ almost everywhere, they represent the same distribution. The canonical subharmonic representative used in (8.2.2) is determined by that distribution. Thus $w=v$ pointwise, which is the assertion. $\square$

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