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9.11.63 Nonclosed equations on cuspidal products25867983D80D

On a cuspidal curve, the pullback of a Hermitian form to the normalization degenerates at the preimage of the cusp, but adding a smooth potential turns it into a positive form. On the products below we perturb the background by a nonclosed form all of whose powers are $\mathrm{dd}^{\mathrm{c}}$-closed. This fixes the mass of every bounded potential and gives an energy comparison, although the background is not closed. A perturbative solution near a constant-coefficient form then provides a positive solution against which every bounded solution can be compared.

Fix $n\geq 2$. For $j=1,\ldots ,n$, let $E_ j=\mathbb C/(\mathbb Z+\mathrm i\mathbb Z)$ with coordinate $z_ j$, and put $\kappa _ j=\frac{\mathrm i}{2\pi }\mathrm dz_ j\wedge \mathrm d\bar z_ j$. Replace a neighborhood of a point $p\in E_1$ by the cusp with normalization $z\mapsto (z^2,z^3)$; equivalently, the holomorphic functions at the marked point are the functions on $E_1$ whose first derivative vanishes there. Denote the resulting compact curve by $C$ and its cusp by $q$. Put

\[ X=C\times E_2\times \cdots \times E_ n,\qquad Y=E_1\times \cdots \times E_ n. \]

The normalization $\pi :Y\to X$ is finite and bijective, hence a homeomorphism, and has generic degree one. The space $X$ is reduced, irreducible and unibranch, and its singular locus is $\{ q\} \times E_2\times \cdots \times E_ n$.

Choose a Hermitian form $h_ C$ on $C$ which near $q$ is the restriction of $\mathrm{dd}^{\mathrm{c}}(|x|^2+|y|^2)$, where $(x,y)=(z^2,z^3)$ are the coordinates of the cusp. Its pullback is $\eta =\rho \kappa _1$, where $\rho $ is smooth, positive off $p$, and

B5525E6496F5 9.11.64
\begin{equation} \rho =4|z|^2+9|z|^4\quad \hbox{near }p. \end{equation}

Write $\lambda >0$ for the average of $\rho $ on $E_1$, and set

\[ h_0=h_ C+\sum _{j=2}^ n\kappa _ j,\quad H_0=\pi ^*h_0=\eta +\sum _{j=2}^ n\kappa _ j,\quad K_0=\lambda \kappa _1+\sum _{j=2}^ n\kappa _ j,\quad \Omega =K_0^ n. \]

Forms on the factors are pulled back to the products without change of notation.

Proposition 9.11.65.D0F33FF75830 There are a smooth real $(1,1)$-form $\alpha $ on $X$, mixing the factors $C$ and $E_2$, and a smooth real function $v_0$ on $Y$ such that, for every sufficiently small nonzero real $\varepsilon $, the Hermitian form $h=h_0+\varepsilon \alpha $ is not closed and

\[ \begin{gathered} H=\pi ^*h,\qquad k=H+\mathrm{dd}^{\mathrm{c}}v_0=K_0+\varepsilon \pi ^*\alpha \geq \tfrac 12K_0,\\ \mathrm{dd}^{\mathrm{c}}(H^ r)=\mathrm{dd}^{\mathrm{c}}(k^ r)=0\quad (r\geq 0). \end{gathered} \]

Moreover $\int _ YH^ n=\int _ Yk^ n=:M>0$.

Proof. Choose real smooth functions $A$ on $C$, supported away from $q$, and $B$ on $E_2$. Let

\[ \alpha =\partial A\wedge \bar\partial B+\bar\partial A\wedge \partial B =\partial (A\bar\partial B)+\bar\partial (A\partial B). \]

The form $\alpha $ is real and satisfies $\mathrm{dd}^{\mathrm{c}}\alpha =0$. At a point where $\partial A=0$, $\partial \bar\partial A\ne 0$ and $\partial B\ne 0$,

\[ \partial \alpha =-\partial A\wedge \partial \bar\partial B +\partial \bar\partial A\wedge \partial B\ne 0. \]

Thus $\mathrm d\alpha \ne 0$. The form $\alpha $ vanishes near the singular locus. Its operator norm relative to $H_0$ is bounded on its support, and its norm relative to $K_0$ is bounded everywhere. Choose $|\varepsilon |$ so small that both norms, multiplied by $|\varepsilon |$, are less than $1/2$. This proves positivity of $h$ in the ambient sense, semipositivity of $H$, and the inequality $K_0+\varepsilon \pi ^*\alpha \geq \tfrac 12K_0$.

The equation $\partial _ z\partial _{\bar z}v=\lambda -\rho $ on $E_1$, whose right-hand side has mean zero, has a smooth real periodic solution, obtained by dividing its nonzero Fourier coefficients. Its pullback $v_0$ satisfies $\mathrm{dd}^{\mathrm{c}}v_0=(\lambda -\rho )\kappa _1$, which proves the formula for $k$. The forms $H_0$ and $K_0$ are closed. Hence $\mathrm dk$ and $\mathrm d^{\mathrm c}k$ come from the complex surface $E_1\times E_2$, so that $\mathrm dk\wedge \mathrm d^{\mathrm c}k=0$ for degree reasons, and $\mathrm{dd}^{\mathrm{c}}k=0$. The same identities hold for $H$. The Leibniz rule now gives $\mathrm{dd}^{\mathrm{c}}(k^ r)=\mathrm{dd}^{\mathrm{c}}(H^ r)=0$ for all $r$; this uses both torsion identities, not only pluriclosedness. Expanding $(H+\mathrm{dd}^{\mathrm{c}}v_0)^ n$ and integrating by parts shows that every term containing $\mathrm{dd}^{\mathrm{c}}v_0$ integrates to zero. Hence the masses agree, and positivity of $k$ makes them positive. $\square$

Fix an integer $s\geq n+3$ before making a further choice of $\varepsilon $. Use the Fourier Sobolev norm $\| w\| _{H^ t}^2=\sum _{m\in \mathbb Z^{2n}}(1+|m|^2)^ t|\widehat w(m)|^2$ on $Y$, and write $H^ t_0$ for the subspace of real functions in $H^ t$ with zero mean with respect to $\Omega $. In the remaining formulas, $\alpha $ denotes its pullback to $Y$.

Theorem 9.11.66.6EDDAD49D627 For sufficiently small nonzero $\varepsilon $, depending on $n$, $s$ and the fixed forms, there are explicit constants $R,\delta >0$ such that every $g\in H^ s_0$ with $\| g\| _{H^ s}\leq \delta $ admits a unique $w\in H^{s+2}_0$ with $\| w\| _{H^{s+2}}\leq R$ satisfying

\[ (k+\mathrm{dd}^{\mathrm{c}}w)^ n=(f_\varepsilon +g)\Omega , \qquad f_\varepsilon =\frac{k^ n}{\Omega },\qquad k+\mathrm{dd}^{\mathrm{c}}w\geq \tfrac 14K_0. \]

The constants may be chosen as in (9.11.67). In particular, $w$ is of class $C^2$.

Proof. Set $b_1=\lambda $ and $b_ j=1$ for $j\geq 2$. The operator

\[ L_0w=\frac{nK_0^{n-1}\wedge \mathrm{dd}^{\mathrm{c}}w}{\Omega } =\sum _ j b_ j^{-1}\partial _{z_ j}\partial _{\bar z_ j}w \]

has Fourier eigenvalues $\ell (m)=-\pi ^2\sum _ jb_ j^{-1}(m_{2j-1}^2+m_{2j}^2)$. It has an inverse $H^ s_0\to H^{s+2}_0$ of norm

\[ A_0=\sup _{m\ne 0}\frac{1+|m|^2}{|\ell (m)|} \leq \frac{2\max _ jb_ j}{\pi ^2}. \]

Let $L_\varepsilon w=nk^{n-1}\wedge \mathrm{dd}^{\mathrm{c}}w/\Omega $. It preserves zero mean because $\mathrm{dd}^{\mathrm{c}}(k^{n-1})=0$. Fix $\varepsilon _0\leq 1$ within the positivity range. The finite expansion of $k^{n-1}$ gives

\[ L_\varepsilon -L_0=\sum _{j=1}^{n-1}\varepsilon ^ jP_ j, \qquad P_ jw=n\binom {n-1}{j} \frac{K_0^{n-1-j}\wedge \alpha ^ j\wedge \mathrm{dd}^{\mathrm{c}}w}{\Omega }. \]

Choose bounds $e_ j$ for the norms $\| P_ j\| _{H^{s+2}\to H^ s}$, which are finite since multiplication by smooth coefficients is bounded on $H^ s$, and set $B=\sum _ j\varepsilon _0^{j-1}e_ j$. If $|\varepsilon |\leq \varepsilon _0$ and $|\varepsilon |A_0B\leq 1/2$, the Neumann series gives $\| L_\varepsilon ^{-1}\| \leq A:=2A_0$.

The remainder is

\[ Q(w)=\sum _{r=2}^ n\binom nr\frac{k^{n-r}\wedge (\mathrm{dd}^{\mathrm{c}}w)^ r}{\Omega }. \]

For $s>n$, Fourier convolution and the Cauchy–Schwarz inequality, together with $\sum _ m(1+|m|^2)^{-s}<\infty $, make $H^ s$ an algebra. Multiplication by smooth coefficients and the finite expansion therefore give a constant $C_ Q$ such that, on the unit ball of $H^{s+2}$,

\[ \begin{aligned} \| Q(w)\| _{H^ s}& \leq C_ Q\| w\| _{H^{s+2}}^2,\\ \| Q(w)-Q(z)\| _{H^ s}& \leq C_ Q(\| w\| _{H^{s+2}}+\| z\| _{H^{s+2}})\| w-z\| _{H^{s+2}}. \end{aligned} \]

Each term of $Q(w)$ has zero integral against $\Omega $: for smooth $w$, its integral is $\int w\, \mathrm{dd}^{\mathrm{c}}(k^{n-r})\wedge (\mathrm{dd}^{\mathrm{c}}w)^{r-1}=0$, and Sobolev approximation gives the general case. The Sobolev embedding also gives a constant $D$ such that the pointwise operator norm of $\mathrm{dd}^{\mathrm{c}}w$ with respect to $K_0$ is at most $D\| w\| _{H^{s+2}}$. Choose

E79D47E722CF 9.11.67
\begin{equation} 0<R\leq \min \{ 1,(4AC_ Q)^{-1},(4D)^{-1}\} ,\qquad \delta =R/(2A). \end{equation}

The equation is equivalent to $L_\varepsilon w+Q(w)=g$. The map $w\mapsto L_\varepsilon ^{-1}(g-Q(w))$ takes the closed ball of radius $R$ in $H^{s+2}_0$ into the ball of radius $3R/4$ and has Lipschitz constant at most $1/2$. Its fixed point gives existence and uniqueness in that ball. Since $k\geq K_0/2$ and the operator norm of $\mathrm{dd}^{\mathrm{c}}w$ is at most $1/4$, the form $k+\mathrm{dd}^{\mathrm{c}}w$ is at least $K_0/4$. The embedding $H^{s+2}\subset C^2$ follows from $s\geq n+3$. $\square$

The perturbation $g$ may depend on all torus variables. For example, writing $z_ j=x_ j+\mathrm i y_ j$, every sufficiently small nonzero multiple of $\prod _ j\cos (2\pi x_ j)+\prod _ j\cos (2\pi y_ j)$ is an admissible perturbation with zero mean. Thus the construction does not force the solution to have separated variables.

Lemma 9.11.68.7426C6119D9F Every bounded $U\in \mathrm{PSH}(Y,k)$ satisfies $\int _ Y(k+\mathrm{dd}^{\mathrm{c}}U)^ n=M$. The same holds with $H$ in place of $k$.

Proof. The products are the bounded products of proposition 5.28.2. For $r\geq 1$, the bounded local recursion and Stokes' theorem on the compact manifold $Y$ give

\[ \int _ Y k^{n-r}\wedge (\mathrm{dd}^{\mathrm{c}}U)^ r =\int _ YU\, \mathrm{dd}^{\mathrm{c}}(k^{n-r})\wedge (\mathrm{dd}^{\mathrm{c}}U)^{r-1}=0. \]

Alternatively, one may convolve $U$ on the torus, add a fixed local positive quadratic function, and pass to the limit in the decreasing bounded expansion; every smooth integral vanishes by the same identity. Expanding the top power proves the assertion. The proof for $H$ is identical, since its powers are also $\mathrm{dd}^{\mathrm{c}}$-closed and its mass is $M$. $\square$

Proposition 9.11.69.FEAE8B85485E Let $V$ be a solution $w$ given by theorem 9.11.66. If a bounded $U\in \mathrm{PSH}(Y,k)$ satisfies $(k+\mathrm{dd}^{\mathrm{c}}U)^ n=(k+\mathrm{dd}^{\mathrm{c}}V)^ n$, then $U-V$ is constant.

Proof. Convolve $U$, $V$ and $k$ with the same nonnegative radial kernel $\varrho _ j$ on the torus, of radius $r_ j\downarrow 0$, and write

\[ U_ j=U*\varrho _ j,\quad V_ j=V*\varrho _ j,\quad k_ j=k*\varrho _ j, \quad A_ j=k_ j+\mathrm{dd}^{\mathrm{c}}U_ j,\quad B_ j=k_ j+\mathrm{dd}^{\mathrm{c}}V_ j. \]

Translations preserve positivity, so $A_ j\geq 0$ and $B_ j\geq \beta K_0$ with $\beta =1/4$. The forms $k_ j$ converge smoothly, and $V_ j$ converges in $C^2$. On lifted coordinate balls, choose a common positive quadratic function $q$ with $\mathrm{dd}^{\mathrm{c}}q\geq k$. Convolution gives $q*\varrho _ j=q+b r_ j^2$ for a fixed $b>0$. The radial averages of the bounded plurisubharmonic functions $U+q$ and $V+q$ decrease as the radii decrease. Hence $U_ j+b r_ j^2+q$ and $V_ j+b r_ j^2+q$ decrease to $U+q$ and $V+q$; the identical constants cancel in the difference.

Put $\phi _ j=U_ j-V_ j$ and $T_ j=\sum _{r=0}^{n-1}A_ j^ r\wedge B_ j^{n-1-r}$. The identities $\mathrm{dd}^{\mathrm{c}}k_ j=0$ and $\mathrm dk_ j\wedge \mathrm d^{\mathrm c}k_ j=0$ persist under convolution, since the torsion is still pulled back from $E_1\times E_2$. Differentiating the monomials therefore gives $\mathrm{dd}^{\mathrm{c}}T_ j=0$. Also $T_ j\geq B_ j^{n-1}\geq \beta ^{n-1}K_0^{n-1}$. Stokes' theorem applied to $\mathrm{dd}^{\mathrm{c}}(\phi _ j^2)$ yields

E6758962B60C 9.11.70
\begin{equation} -\int _ Y\phi _ j(A_ j^ n-B_ j^ n) =\int _ Y\mathrm d\phi _ j\wedge \mathrm d^{\mathrm c}\phi _ j\wedge T_ j \geq \beta ^{n-1}\int _ Y\mathrm d\phi _ j\wedge \mathrm d^{\mathrm c}\phi _ j\wedge K_0^{n-1}. \end{equation}

Only the $\mathrm{dd}^{\mathrm{c}}$-closedness of $T_ j$ is needed here.

We treat the four terms on the left separately. Expand $A_ j^ n$ with respect to the local plurisubharmonic potential $U_ j+b r_ j^2+q$ and the smoothly converging coefficient $k_ j-\mathrm{dd}^{\mathrm{c}}q$. The weighted limit lemma 5.27.2 gives $\int U_ jA_ j^ n\to \int U(k+\mathrm{dd}^{\mathrm{c}}U)^ n$. Decreasing convergence and the uniform convergence of $V_ j$ give the corresponding limit for $\int V_ jA_ j^ n$. Since $B_ j^ n$ has uniformly converging continuous densities, bounded pointwise convergence and dominated convergence give the limit of $\int U_ jB_ j^ n$. The term $\int V_ jB_ j^ n$ converges by $C^2$ convergence. A finite partition of unity gives the global statements. Since the two limiting measures are equal, the left-hand side of (9.11.70) tends to zero.

The flat Fourier Poincaré inequality now shows that the $L^2$ norm of $\phi _ j$ minus its average tends to zero. Bounded convergence gives $\phi _ j\to U-V$ in $L^2$, so $U-V$ is constant almost everywhere. Local smooth corrections and the canonical plurisubharmonic representatives extend this equality to every point. $\square$

Theorem 9.11.71.127BF0018B1A Let $f\in H^ s(Y)$ be strictly positive and set

\[ \nu =\pi _*(f\Omega ),\qquad c=\frac{M}{\int _ Y f\Omega }. \]

If $\| cf-f_\varepsilon \| _{H^ s}\leq \delta $, there is a unique bounded $u\in \mathrm{PSH}(X,h)$ with $\sup _ Xu=0$ and

\[ \mathrm{MA}^{\mathrm{ext}}_{X,h}(u)=c\nu . \]

The function $u$ is continuous and locally Hölder continuous of exponent $1/3$ in ambient coordinates. The measure $\nu $ is non-pluripolar and gives the singular locus zero mass. On the regular locus its density with respect to $h^ n$ is $f/J$, where $J=H^ n/\Omega $; near the cusp this density is $\lambda f/\rho $. The equation holds on every resolution and every common smooth refinement. Every bounded solution of an equation $\mathrm{MA}^{\mathrm{ext}}_{X,h}(u')=c'\nu $ with $c'>0$ has $c'=c$.

Proof. The function $g=cf-f_\varepsilon $ has zero mean. Let $w$ be the solution given by theorem 9.11.66. The potential $v_0+w$ is bounded and $H$-plurisubharmonic. Descent through the resolution $\pi $ (theorem 9.11.5) gives

\[ u=(v_0+w)\circ \pi ^{-1}-\sup _ Y(v_0+w), \]

which satisfies the disk condition with the background $h$ itself. Since the normalization is a homeomorphism, $u$ is continuous. The definition of the extended measure and theorem 9.11.26 give the equation. Any other bounded solution pulls back to a bounded $H$-plurisubharmonic potential. Since $\pi $ is a Borel homeomorphism, equality of the pushforward measures means equality on $Y$. Subtracting $v_0$ and applying proposition 9.11.69 gives uniqueness. The mass identity of lemma 9.11.68 forces the scalar of every bounded solution to be $M/\nu (X)=c$.

The singular locus pulls back to the divisor $\{ p\} \times E_2\times \cdots \times E_ n$, which has zero smooth volume. If a set is locally pluripolar, a local plurisubharmonic function equal to $-\infty $ on it pulls back to a plurisubharmonic function, not identically $-\infty $, away from that divisor; its pole set has zero smooth volume. Thus $\nu $ is non-pluripolar. On the regular locus, the change of variables formula gives the density $f/J$. Near the cusp $\alpha =0$, so

\[ H^ n=n!\rho \, \kappa _1\wedge \cdots \wedge \kappa _ n, \qquad \Omega =n!\lambda \, \kappa _1\wedge \cdots \wedge \kappa _ n. \]

The ratio gives the density $\lambda f/\rho $; the generic degree of $\pi $ and both factorials have been accounted for.

For the Hölder assertion, put $d=z-z'$ and $a=z+z'$. Then

\[ z^2-z'^2=da,\qquad z^3-z'^3=d(3a^2+d^2)/4. \]

If $|a|\geq |d|/4$, the first modulus is at least $|d|^2/4$, which controls $|d|^3$ on a bounded chart. Otherwise the second modulus is at least $13|d|^3/64$. Hence $|z-z'|\leq C(|z^2-z'^2|+|z^3-z'^3|)^{1/3}$. The $C^1$ regularity of $v_0+w$ in $z$ and in the other product coordinates gives the asserted ambient estimate.

Every resolution $\sigma :Z\to X$ factors through $Y$: in the cusp chart, the quotient $y/x$ is bounded off the exceptional set and extends holomorphically to the smooth source, giving the normalization coordinate. Write $\sigma =\pi \circ \mu $. The map $\mu $ is a proper modification. The bounded pullback products agree off its exceptional locus, and they give this analytic set zero mass by proposition 5.28.2. Hence their pushforwards agree on all of $Y$. This proves the equation on every resolution, and the same argument applies to further common refinements. The full potential is exactly $u\circ \sigma $, which is constant on every fiber, and surjectivity preserves all ordinary comparisons. $\square$

Existence alone holds for a larger class of data: on the normalization, the positive form $k$ places the equation in the bounded-mass regime of section 10.31. The smallness condition above is needed for the quantitative regularity and for the positive solution used in the uniqueness comparison.

Corollary 9.11.72.5F7DB1E779E6 For the same $X$ and $h$, every nonzero nonnegative $f\in L^ p(Y,\Omega )$, $p>1$, admits a bounded $u\in \mathrm{PSH}(X,h)$ with $\sup _ Xu=0$ and

\[ \mathrm{MA}^{\mathrm{ext}}_{X,h}(u)=\frac{M}{\int _ Yf\Omega }\, \pi _*(f\Omega ). \]

Proof. The torus $Y$ is Kähler, so it has bounded mass by lemma 19.9.12. Since $k>0$, zero is an ordinary model for $k$: $P_ k[0]=0$. Its lower volume is $M>0$ by lemma 9.11.68, because the potentials of the same ordinary type as zero are exactly the bounded ones. Hence theorem 10.31.3, applied on $Y$ with background $k$ and reference zero, gives a bounded $k$-plurisubharmonic solution for the measure $f\Omega $, and its scalar is $M/\int f\Omega $. Adding $v_0$ and using theorem 9.11.5, theorem 9.11.26 gives the normalized equation on $X$. The datum is non-pluripolar as in theorem 9.11.71. Neither smallness nor strict positivity of $f$ is needed for this existence statement. $\square$

The spaces $X$ contain no rational curves. Indeed, a holomorphic map $\mathbb P^1\to X$ lifts locally to $Y$ through the cusp normalization, and the local lifts glue by uniqueness. Every flat holomorphic one-form on $Y$ pulls back to zero on $\mathbb P^1$, so the lifted map has zero derivative and is constant. The results of this section depend on this explicit geometry, on the bounded ordinary type and on the $\mathrm{dd}^{\mathrm{c}}$-closedness of all powers of the background. Ambient Hölder regularity and uniqueness in the whole bounded class are proved only for data in the small Sobolev neighborhood above. The general problem 24.11.1, including arbitrary pole types and backgrounds whose powers are not $\mathrm{dd}^{\mathrm{c}}$-closed, remains open.

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