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Finite-energy planes have wind∞≥1\mathrm{wind}_\infty\ge1wind∞​≥1

Proved
FiniteEnergyPlane.one_le_windInf_of_plane

by Mazecto · Nov 1, 2026 · Mathlib 0df444a (Lean v4.33.1)

conley-zehnder-indexpseudoholomorphic-curvesreeb-dynamicssymplectic-geometrysymplectizationwinding-numbers

Let S=H−1(1)⊂R4S=H^{-1}(1)\subset\mathbb{R}^4S=H−1(1)⊂R4 be a strictly star-shaped level and JJJ a smooth dλ0d\lambda_0dλ0​-compatible complex structure on ξ\xiξ. Let uuu be a finite-energy J~\tilde JJ~-holomorphic plane whose puncture ∞\infty∞ is nondegenerate (Hryniewicz, Definition 2.9) with asymptotic limit PPP. Then wind∞(u)\mathrm{wind}_\infty(u)wind∞​(u) is defined and at least 111.

Formalization Note The hypothesis is IsNondegenerateEnd H u cylInf P 1; PPP need not be nondegenerate.

Preamble
import Definitions.Def_FiniteEnergyPlane_Winding
Formal statement
namespace FiniteEnergyPlane

open MeasureTheory Metric Filter Topology
open scoped ContDiff ENNReal Real

/-- Hryniewicz (Trans. AMS 2012), Remark 3.20: a finite-energy `J̃`-holomorphic plane whose puncture
`∞` is nondegenerate in the sense of Definition 2.9 has `wind_∞ ≥ 1`. -/
theorem one_le_windInf_of_plane (H : V 1 → ℝ) (hH : IsStrictlyStarShapedLevel H)
    (J : V 1 → V 1 →L[ℝ] V 1) (hJ : IsCompatibleXiStructure H J) (u : ℂ → V 1)
    (hu : IsFiniteEnergyCurve H J Set.univ u) (P : ReebOrbit H)
    (hnd : IsNondegenerateEnd H u cylInf P 1) :
    ∃ k : ℤ, 1 ≤ k ∧ HasWindInfAt H u cylInf 1 k := by
  sorry

end FiniteEnergyPlane
Source
U. Hryniewicz, Fast finite-energy planes in symplectizations and applications, Trans. Amer. Math. Soc. 364 (2012), 1859–1931, arXiv:0812.4076, Remark 3.20
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What the Lean code literally says, in plain math · claude-opus-5-5

Read-back: FiniteEnergyPlane.one_le_windInf_of_plane

Setting. Here V=R4V = \mathbb{R}^4V=R4 with coordinates (v0,v1,v2,v3)(v_0,v_1,v_2,v_3)(v0​,v1​,v2​,v3​), and

j0(v)=(−v1,v0,−v3,v2),ω0(u,v)=⟨j0u,v⟩=u0v1−u1v0+u2v3−u3v2,λx(v)=12 ω0(x,v).j_0(v) = (-v_1, v_0, -v_3, v_2),\qquad \omega_0(u,v) = \langle j_0 u, v\rangle = u_0v_1 - u_1v_0 + u_2v_3 - u_3v_2,\qquad \lambda_x(v) = \tfrac12\,\omega_0(x,v).j0​(v)=(−v1​,v0​,−v3​,v2​),ω0​(u,v)=⟨j0​u,v⟩=u0​v1​−u1​v0​+u2​v3​−u3​v2​,λx​(v)=21​ω0​(x,v).

The gradient of HHH is taken coordinatewise, XH(x)=j0(∇H(x))X_H(x) = j_0(\nabla H(x))XH​(x)=j0​(∇H(x)), and the Reeb field is R(x)=λx(XH(x))−1XH(x)R(x) = \lambda_x(X_H(x))^{-1} X_H(x)R(x)=λx​(XH​(x))−1XH​(x). If λx(XH(x))=0\lambda_x(X_H(x)) = 0λx​(XH​(x))=0, the inverse is 000 by convention, so R(x)=0R(x) = 0R(x)=0. The energy surface is S={H=1}S = \{H = 1\}S={H=1}. The contact plane condition "v∈ξxv \in \xi_xv∈ξx​" means λx(v)=0\lambda_x(v) = 0λx​(v)=0 and dHx(v)=0dH_x(v) = 0dHx​(v)=0.

Data and hypotheses. Let:

  • H:R4→RH : \mathbb{R}^4 \to \mathbb{R}H:R4→R be strictly star-shaped: HHH is C∞C^\inftyC∞; for every u≠0u \neq 0u=0 there is exactly one r>0r > 0r>0 with H(ru)=1H(ru) = 1H(ru)=1; and dHx(x)>0dH_x(x) > 0dHx​(x)>0 whenever H(x)=1H(x) = 1H(x)=1.
  • J:R4→L(R4,R4)J : \mathbb{R}^4 \to L(\mathbb{R}^4,\mathbb{R}^4)J:R4→L(R4,R4) be a compatible ξ\xiξ-structure: JJJ is C∞C^\inftyC∞, and for every x∈Sx \in Sx∈S and every v,w∈ξxv, w \in \xi_xv,w∈ξx​ we have Jxv∈ξxJ_x v \in \xi_xJx​v∈ξx​, JxJxv=−vJ_x J_x v = -vJx​Jx​v=−v, ω0(v,Jxv)>0\omega_0(v, J_x v) > 0ω0​(v,Jx​v)>0 if v≠0v \neq 0v=0, and ω0(Jxv,Jxw)=ω0(v,w)\omega_0(J_xv, J_xw) = \omega_0(v,w)ω0​(Jx​v,Jx​w)=ω0​(v,w). Nothing is required of JxJ_xJx​ off ξx\xi_xξx​ or for x∉Sx \notin Sx∈/S.
  • u:C→R4u : \mathbb{C} \to \mathbb{R}^4u:C→R4 be a finite-energy curve on all of C\mathbb{C}C. This means:
    • uuu is C∞C^\inftyC∞ on C\mathbb{C}C and u(z)≠0u(z) \neq 0u(z)=0 for every zzz;
    • uuu is J~\tilde JJ~-holomorphic at every zzz: uuu is differentiable there and ∂su+J~(u) ∂tu=0\partial_s u + \tilde J(u)\,\partial_t u = 0∂s​u+J~(u)∂t​u=0, where ∂s\partial_s∂s​ and ∂t\partial_t∂t​ are the derivatives in the directions 111 and iii;
    • E(u)<∞E(u) < \inftyE(u)<∞, with EEE and J~\tilde JJ~ as defined below.
  • PPP be a Reeb orbit of HHH: a map x:R→R4x : \mathbb{R} \to \mathbb{R}^4x:R→R4 and a number T>0T > 0T>0 with x(τ)∈Sx(\tau) \in Sx(τ)∈S, x′(τ)=R(x(τ))x'(\tau) = R(x(\tau))x′(τ)=R(x(τ)) and x(τ+T)=x(τ)x(\tau + T) = x(\tau)x(τ+T)=x(τ) for all τ\tauτ. The period TTT need not be minimal, and PPP is not assumed prime or nondegenerate.
  • uuu have a "nondegenerate end" at ∞\infty∞ asymptotic to PPP with sign ε=1\varepsilon = 1ε=1; see "Ends" below.

Auxiliary notions.

  • σ(y)\sigma(y)σ(y) is a chosen r>0r > 0r>0 with H(ry)=1H(ry) = 1H(ry)=1 if such an rrr exists, and σ(y)=1\sigma(y) = 1σ(y)=1 otherwise. For y≠0y \neq 0y=0 this rrr is unique. For y=0y = 0y=0 with H(0)=1H(0) = 1H(0)=1, it is an arbitrary positive choice.
  • proj⁡(y)=σ(y) y\operatorname{proj}(y) = \sigma(y)\,yproj(y)=σ(y)y and a(y)=−12log⁡σ(y)a(y) = -\tfrac12 \log \sigma(y)a(y)=−21​logσ(y).
  • J~(y)\tilde J(y)J~(y) is defined as follows. Put x=proj⁡(y)x = \operatorname{proj}(y)x=proj(y), r=σ(y)r = \sigma(y)r=σ(y), α(v)=r dHx(v)/(2 dHx(x))\alpha(v) = r\,dH_x(v)/(2\,dH_x(x))α(v)=rdHx​(v)/(2dHx​(x)), β(v)=rλx(v)\beta(v) = r\lambda_x(v)β(v)=rλx​(v) and w(v)=v−α(v) 2y−β(v) r−1R(x)w(v) = v - \alpha(v)\,2y - \beta(v)\,r^{-1}R(x)w(v)=v−α(v)2y−β(v)r−1R(x). Then
J~(y)v=α(v) r−1R(x)−β(v) 2y+Jx(w(v)).\tilde J(y)v = \alpha(v)\,r^{-1}R(x) - \beta(v)\,2y + J_x(w(v)).J~(y)v=α(v)r−1R(x)−β(v)2y+Jx​(w(v)).
  • Write au=a∘ua_u = a\circ uau​=a∘u and wu=proj⁡∘uw_u = \operatorname{proj}\circ uwu​=proj∘u. Then
E(u)=sup⁡φ∫Cmax⁡(0, φ′(au)(∂sau λwu(∂twu)−∂tau λwu(∂swu))+φ(au) ω0(∂swu,∂twu)) dz.E(u) = \sup_{\varphi} \int_{\mathbb{C}} \max\bigl(0,\ \varphi'(a_u)\bigl(\partial_s a_u\,\lambda_{w_u}(\partial_t w_u) - \partial_t a_u\,\lambda_{w_u}(\partial_s w_u)\bigr) + \varphi(a_u)\,\omega_0(\partial_s w_u, \partial_t w_u)\bigr)\,dz.E(u)=φsup​∫C​max(0, φ′(au​)(∂s​au​λwu​​(∂t​wu​)−∂t​au​λwu​​(∂s​wu​))+φ(au​)ω0​(∂s​wu​,∂t​wu​))dz.

The supremum runs over C∞C^\inftyC∞ monotone φ:R→[0,1]\varphi : \mathbb{R}\to[0,1]φ:R→[0,1]. The integral is a lower Lebesgue integral with values in [0,∞][0,\infty][0,∞], so the integrand is the positive part of the density.

Ends. Let e(s,t)=e2πse2πite(s,t) = e^{2\pi s}e^{2\pi i t}e(s,t)=e2πse2πit and W(s,t)=proj⁡(u(e(s,t)))W(s,t) = \operatorname{proj}(u(e(s,t)))W(s,t)=proj(u(e(s,t))). The condition "nondegenerate end at ∞\infty∞ asymptotic to PPP with ε=1\varepsilon = 1ε=1" means that there are d,c,b∈Rd, c, b \in \mathbb{R}d,c,b∈R with b>0b > 0b>0 such that, uniformly in t∈Rt \in \mathbb{R}t∈R as s→+∞s \to +\inftys→+∞,

a(u(e(s,t)))−Ts−d→0andebs(W(s,t)−x(Tt+c))→0.a(u(e(s,t))) - T s - d \to 0 \qquad\text{and}\qquad e^{bs}\bigl(W(s,t) - x(Tt + c)\bigr) \to 0.a(u(e(s,t)))−Ts−d→0andebs(W(s,t)−x(Tt+c))→0.

This condition is only exponential uniform convergence of the end. It says nothing about the linearized return map of PPP.

Winding. A function f:R→Cf : \mathbb{R}\to\mathbb{C}f:R→C has loop winding k∈Zk \in \mathbb{Z}k∈Z if all of the following hold:

  • fff is continuous and 111-periodic, and never zero;
  • there is a continuous θ:R→R\theta : \mathbb{R}\to\mathbb{R}θ:R→R with f(t)=∣f(t)∣ eiθ(t)f(t) = |f(t)|\,e^{i\theta(t)}f(t)=∣f(t)∣eiθ(t) for all ttt;
  • θ(1)−θ(0)=2πk\theta(1) - \theta(0) = 2\pi kθ(1)−θ(0)=2πk.

The ξ\xiξ-coordinate map ξC(x,v)∈C\xi C(x, v) \in \mathbb{C}ξC(x,v)∈C is

ξC(x,v)=ω0(v,f2(x))+i ω0(f1(x),v),\xi C(x,v) = \omega_0(v, f_2(x)) + i\,\omega_0(f_1(x), v),ξC(x,v)=ω0​(v,f2​(x))+iω0​(f1​(x),v),

with frames

f1(x)=∣x∣−1(Q2x−dHx(Q2x)dHx(x) x),f2(x)=∣x∣−1(Q1x−dHx(Q1x)dHx(x) x),f_1(x) = |x|^{-1}\Bigl(Q_2x - \tfrac{dH_x(Q_2x)}{dH_x(x)}\,x\Bigr),\qquad f_2(x) = |x|^{-1}\Bigl(Q_1x - \tfrac{dH_x(Q_1x)}{dH_x(x)}\,x\Bigr),f1​(x)=∣x∣−1(Q2​x−dHx​(x)dHx​(Q2​x)​x),f2​(x)=∣x∣−1(Q1​x−dHx​(x)dHx​(Q1​x)​x),

where Q1x=(−x2,x3,x0,−x1)Q_1x = (-x_2, x_3, x_0, -x_1)Q1​x=(−x2​,x3​,x0​,−x1​) and Q2x=(x3,x2,−x1,−x0)Q_2x = (x_3, x_2, -x_1, -x_0)Q2​x=(x3​,x2​,−x1​,−x0​). As usual, ∣x∣|x|∣x∣ is the Euclidean norm, and division by 000 gives 000.

The Reeb-removing map is πξ(x,v)=v−λx(v) R(x)\pi_\xi(x,v) = v - \lambda_x(v)\,R(x)πξ​(x,v)=v−λx​(v)R(x).

"uuu has winding kkk at ∞\infty∞" means: there is s0s_0s0​ such that for every s≥s0s \ge s_0s≥s0​, the loop

t↦ξC(W(s,t), πξ(W(s,t), ∂sW(s,t)))t \mapsto \xi C\bigl(W(s,t),\ \pi_\xi(W(s,t),\ \partial_s W(s,t))\bigr)t↦ξC(W(s,t), πξ​(W(s,t), ∂s​W(s,t)))

has loop winding kkk. Here ∂sW\partial_s W∂s​W is the Fréchet derivative of WWW on R2\mathbb{R}^2R2 applied to (1,0)(1,0)(1,0), which is 000 by convention wherever WWW is not differentiable.

Conclusion. Under all these hypotheses, there is an integer kkk with

k≥1k \ge 1k≥1

such that uuu has winding kkk at ∞\infty∞ in the sense just described.

Human review
  • Endorsed by Shuze Chen · Nov 1, 2026

    Confirmed by the moderator at approval.

  • Endorsed by Mazecto · Nov 1, 2026

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

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