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The spectrum of an asymptotic operator is unbounded in both directions

Proved
AsymptoticOperator.spectrum_unbounded

by Mazecto · Oct 9, 2026 · Mathlib 0df444a (Lean v4.33.1)

asymptotic-operatorconley-zehnder-indexspectral-theorysymplectic-geometryunbounded-operator

Let n≥1n\ge1n≥1 and let S:S1→R2n×2nS:S^1\to\mathbb{R}^{2n\times2n}S:S1→R2n×2n be continuous with S(t)T=S(t)S(t)^{\mathsf T}=S(t)S(t)T=S(t) for all ttt. For every c∈Rc\in\mathbb{R}c∈R, ASA_SAS​ has an eigenvalue μ>c\mu>cμ>c and an eigenvalue μ<−c\mu<-cμ<−c.

Preamble
import Definitions.Def_AsymptoticOperator_Setting
Formal statement
namespace AsymptoticOperator

open ConleyZehnder

/-- Wendl §3.4, Proposition 3.28: for `n ≥ 1`, `A_S` has eigenvalues of both signs of
arbitrarily large absolute value. -/
theorem spectrum_unbounded {n : ℕ} (hn : 0 < n) (S : C(UnitAddCircle, Mat n))
    (hS : IsSymLoop S) (c : ℝ) :
    (∃ μ : ℝ, c < μ ∧ eigenspace (asymptoticOperator S) μ ≠ ⊥) ∧
      ∃ μ : ℝ, μ < -c ∧ eigenspace (asymptoticOperator S) μ ≠ ⊥ := by sorry

end AsymptoticOperator
Source
Wendl, Lectures on Symplectic Field Theory, arXiv:1612.01009, https://arxiv.org/abs/1612.01009, §3.4, Proposition 3.28, p. 61
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What the Lean code literally says, in plain math · claude-opus-5-5

Setting. Let n∈Nn \in \mathbb{N}n∈N. Let I={1,…,n}⊔{1,…,n}I = \{1,\dots,n\} \sqcup \{1,\dots,n\}I={1,…,n}⊔{1,…,n} (a first and a second copy), Vn=RI≅R2nV_n = \mathbb{R}^I \cong \mathbb{R}^{2n}Vn​=RI≅R2n with the standard Euclidean inner product, and Matn\mathrm{Mat}_nMatn​ the real I×II \times II×I (i.e. 2n×2n2n \times 2n2n×2n) matrices. In block form with respect to the two copies, J0=(0−IdnIdn0)J_0 = \begin{pmatrix} 0 & -\mathrm{Id}_n \\ \mathrm{Id}_n & 0 \end{pmatrix}J0​=(0Idn​​−Idn​0​). Let T=R/Z\mathbb{T} = \mathbb{R}/\mathbb{Z}T=R/Z with its Haar probability measure dtdtdt (total mass 111), and let H=L2(T,Vn)H = L^2(\mathbb{T}, V_n)H=L2(T,Vn​) be the real Hilbert space of a.e.-classes of square-integrable functions, with ⟨f,g⟩=∫T⟨f(t),g(t)⟩ dt\langle f, g \rangle = \int_{\mathbb{T}} \langle f(t), g(t) \rangle \, dt⟨f,g⟩=∫T​⟨f(t),g(t)⟩dt.

For f∈Hf \in Hf∈H (any representative) and k∈Zk \in \mathbb{Z}k∈Z, the Fourier coefficient is the vector f^k=∫Te−2πiktf(t) dt∈CI\hat f_k = \int_{\mathbb{T}} e^{-2\pi i k t} f(t)\, dt \in \mathbb{C}^If^​k​=∫T​e−2πiktf(t)dt∈CI, where f(t)f(t)f(t) is regarded as a complex vector componentwise; for a continuous map S:T→MatnS : \mathbb{T} \to \mathrm{Mat}_nS:T→Matn​, (Sf)^k=∫Te−2πiktS(t)f(t) dt∈CI\widehat{(Sf)}_k = \int_{\mathbb{T}} e^{-2\pi i k t} S(t) f(t)\, dt \in \mathbb{C}^I(Sf)​k​=∫T​e−2πiktS(t)f(t)dt∈CI (with S(t)S(t)S(t) regarded as a complex matrix). These are Bochner integrals (which by convention are 000 when the integrand is not integrable). Say f∈W1,2f \in W^{1,2}f∈W1,2 if the family ((1+k2)∑i∈I∣(f^k)i∣2)k∈Z\big((1 + k^2) \sum_{i \in I} |(\hat f_k)_i|^2\big)_{k \in \mathbb{Z}}((1+k2)∑i∈I​∣(f^​k​)i​∣2)k∈Z​ is summable. Let GS⊆H×HG_S \subseteq H \times HGS​⊆H×H be the set of pairs (f,g)(f, g)(f,g) with f∈W1,2f \in W^{1,2}f∈W1,2 and

g^k=−2πik J0f^k−(Sf)^kfor all k∈Z.\hat g_k = -2\pi i k \, J_0 \hat f_k - \widehat{(Sf)}_k \quad \text{for all } k \in \mathbb{Z}.g^​k​=−2πikJ0​f^​k​−(Sf)​k​for all k∈Z.

The operator ASA_SAS​ is defined as follows: if there exists a partially defined linear map on HHH (a linear subspace D⊆HD \subseteq HD⊆H and a linear map T:D→HT : D \to HT:D→H) whose graph {(x,Tx):x∈D}\{(x, Tx) : x \in D\}{(x,Tx):x∈D} equals GSG_SGS​, then ASA_SAS​ is such a map, chosen by the axiom of choice (its domain D(AS)D(A_S)D(AS​) is then {f:∃g, (f,g)∈GS}\{f : \exists g,\ (f,g) \in G_S\}{f:∃g, (f,g)∈GS​} and ASfA_S fAS​f is the corresponding ggg); if no such map exists, ASA_SAS​ is the zero map with domain all of HHH. The statement does not itself assert which case occurs.

For μ∈R\mu \in \mathbb{R}μ∈R, the eigenspace Eμ(AS)E_\mu(A_S)Eμ​(AS​) is the real linear subspace {f∈D(AS):ASf=μf}\{ f \in D(A_S) : A_S f = \mu f \}{f∈D(AS​):AS​f=μf} of D(AS)D(A_S)D(AS​); "Eμ(AS)≠0E_\mu(A_S) \neq 0Eμ​(AS​)=0" means there is a nonzero f∈D(AS)f \in D(A_S)f∈D(AS​) with ASf=μfA_S f = \mu fAS​f=μf.

Statement. Let n∈Nn \in \mathbb{N}n∈N with n≥1n \ge 1n≥1 (this hypothesis is assumed), let S:T→MatnS : \mathbb{T} \to \mathrm{Mat}_nS:T→Matn​ be continuous with S(t)S(t)S(t) symmetric for every t∈Tt \in \mathbb{T}t∈T, and let c∈Rc \in \mathbb{R}c∈R be arbitrary (of any sign). Then both of the following hold:

  1. there is μ∈R\mu \in \mathbb{R}μ∈R with μ>c\mu > cμ>c and a nonzero f∈D(AS)f \in D(A_S)f∈D(AS​) with ASf=μfA_S f = \mu fAS​f=μf;
  2. there is μ′∈R\mu' \in \mathbb{R}μ′∈R with μ′<−c\mu' < -cμ′<−c and a nonzero f′∈D(AS)f' \in D(A_S)f′∈D(AS​) with ASf′=μ′f′A_S f' = \mu' f'AS​f′=μ′f′.

Since ccc is arbitrary, this says that ASA_SAS​ has eigenvalues strictly above every real number and eigenvalues strictly below every real number. No other hypotheses are assumed.

Human review
  • Endorsed by Shuze Chen · Oct 10, 2026

    Confirmed by the moderator at approval.

  • Endorsed by Mazecto · Oct 10, 2026

    Confirmed by the mission captain (proposal self-audit).

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