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The Fredholm index of a Cauchy–Riemann operator on the cylinder depends only on its asymptotic Conley–Zehnder indices

Proved
CauchyRiemannIndex.crIndex_eq_of_asymptoticCZIndex_eq

by Mazecto · Oct 17, 2026 · Mathlib 0df444a (Lean v4.33.1)

cauchy-riemannconley-zehnder-indexfredholm-indexsobolev-spacessymplectic-geometry

Let 1<p<∞1<p<\infty1<p<∞ and n≥0n\ge0n≥0. Let S,T:R×S1→R2n×2nS,T:\mathbb{R}\times S^1\to\mathbb{R}^{2n\times2n}S,T:R×S1→R2n×2n be continuous coefficients with S(s,⋅)→S±S(s,\cdot)\to S^\pmS(s,⋅)→S± and T(s,⋅)→T±T(s,\cdot)\to T^\pmT(s,⋅)→T± uniformly as s→±∞s\to\pm\inftys→±∞, where S±,T±S^\pm,T^\pmS±,T± are continuous loops of symmetric matrices whose asymptotic operators −J0∂t−S±-J_0\partial_t-S^\pm−J0​∂t​−S± and −J0∂t−T±-J_0\partial_t-T^\pm−J0​∂t​−T± are nondegenerate. If

μCZ(−J0∂t−S+)=μCZ(−J0∂t−T+),μCZ(−J0∂t−S−)=μCZ(−J0∂t−T−),\mu_{CZ}(-J_0\partial_t-S^+)=\mu_{CZ}(-J_0\partial_t-T^+),\qquad \mu_{CZ}(-J_0\partial_t-S^-)=\mu_{CZ}(-J_0\partial_t-T^-),μCZ​(−J0​∂t​−S+)=μCZ​(−J0​∂t​−T+),μCZ​(−J0​∂t​−S−)=μCZ​(−J0​∂t​−T−),

then the Cauchy–Riemann operators DS,DT:W1,p(R×S1,R2n)→Lp(R×S1,R2n)D_S,D_T:W^{1,p}(\mathbb{R}\times S^1,\mathbb{R}^{2n})\to L^p(\mathbb{R}\times S^1,\mathbb{R}^{2n})DS​,DT​:W1,p(R×S1,R2n)→Lp(R×S1,R2n) have the same Fredholm index: ind⁡DS=ind⁡DT\operatorname{ind}D_S=\operatorname{ind}D_TindDS​=indDT​.

This says the index on the cylinder depends only on the Conley–Zehnder indices at the two ends. It is used to compute indices by comparing with any convenient operator that has the same asymptotic indices.

Formalization Note DS=∂s+J0∂t+SD_S=\partial_s+J_0\partial_t+SDS​=∂s​+J0​∂t​+S; the index is crIndex p S =dim⁡ker⁡DS−dim⁡coker⁡DS=\dim\ker D_S-\dim\operatorname{coker}D_S=dimkerDS​−dimcokerDS​ from the setting module. Loops are continuous 111-periodic maps R→R2n×2n\mathbb{R}\to\mathbb{R}^{2n\times2n}R→R2n×2n (IsSymLoop), nondegeneracy is IsNondegenerate (no eigenvalue 111 of the time-one map of Ψ′=J0S±Ψ\Psi'=J_0S^\pm\PsiΨ′=J0​S±Ψ), and the Conley–Zehnder index is asymptoticCZIndex. The asymptotic convergence is IsAsymptoticTo S Splus Sminus (positive end first).

Preamble
import Definitions.Def_CauchyRiemannIndex_Setting
import Mathlib.Analysis.Calculus.ContDiff.Basic
Formal statement
namespace CauchyRiemannIndex

open MeasureTheory Matrix Filter Topology
open scoped ENNReal NNReal ContDiff RealInnerProductSpace

/-- Wendl, Lecture 5 (§ 5.8, p. 103), on the cylinder with the trivial bundle and `1 < p < ∞`: the
Fredholm index of `D_S : W^{1,p} → L^p` depends only on the Conley–Zehnder indices of its
asymptotic operators. If `D_S` is asymptotic to nondegenerate loops `S±` and `D_T` to
nondegenerate loops `T±` with `μ_CZ(-J₀ ∂ₜ - S±) = μ_CZ(-J₀ ∂ₜ - T±)`, then
`ind D_S = ind D_T`. -/
theorem crIndex_eq_of_asymptoticCZIndex_eq (n : ℕ) (p : ℝ≥0∞) [Fact (1 ≤ p)] (hp : 1 < p)
    (hp' : p ≠ ⊤) (Splus Sminus Tplus Tminus : ℝ → Mat n)
    (hSplus : IsSymLoop Splus) (hSminus : IsSymLoop Sminus)
    (hTplus : IsSymLoop Tplus) (hTminus : IsSymLoop Tminus)
    (hnSplus : IsNondegenerate Splus) (hnSminus : IsNondegenerate Sminus)
    (hnTplus : IsNondegenerate Tplus) (hnTminus : IsNondegenerate Tminus)
    (hμplus : asymptoticCZIndex Splus = asymptoticCZIndex Tplus)
    (hμminus : asymptoticCZIndex Sminus = asymptoticCZIndex Tminus)
    (S T : ℝ × ℝ → Mat n) (hS : IsAsymptoticTo S Splus Sminus)
    (hT : IsAsymptoticTo T Tplus Tminus) :
    crIndex p S = crIndex p T := by
  sorry

end CauchyRiemannIndex
Source
C. Wendl, Lectures on Symplectic Field Theory, arXiv:1612.01009, https://arxiv.org/abs/1612.01009, Lecture 5, §5.8, pp. 102-103 (cylinder, trivial bundle)

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