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Non-isolated intersections of pseudoholomorphic immersions are local holomorphic reparametrizations

Proved
FiniteEnergyPlane.exists_holomorphic_eqOn_of_accPt_intersection

by Mazecto · Nov 3, 2026 · Mathlib 0df444a (Lean v4.33.1)

fast-planesfredholm-theorypseudoholomorphic-curvesreeb-dynamicssymplectic-geometrysymplectization

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 U,W⊂CU,W\subset\mathbb{C}U,W⊂C be open and let uuu on UUU and vvv on WWW be finite-energy J~\tilde JJ~-holomorphic curves which are immersions, with u(z0)=v(w0)u(z_0)=v(w_0)u(z0​)=v(w0​) for some z0∈Uz_0\in Uz0​∈U, w0∈Ww_0\in Ww0​∈W. Suppose this intersection is not isolated: there are pairs (zk,wk)≠(z0,w0)(z_k,w_k)\neq(z_0,w_0)(zk​,wk​)=(z0​,w0​) with u(zk)=v(wk)u(z_k)=v(w_k)u(zk​)=v(wk​) and (zk,wk)→(z0,w0)(z_k,w_k)\to(z_0,w_0)(zk​,wk​)→(z0​,w0​). Then there are ε>0\varepsilon>0ε>0 and a map φ\varphiφ, holomorphic on Bε(z0)B_\varepsilon(z_0)Bε​(z0​), with φ(z0)=w0\varphi(z_0)=w_0φ(z0​)=w0​, φ′(z0)≠0\varphi'(z_0)\neq0φ′(z0​)=0, φ(Bε(z0))⊂W\varphi(B_\varepsilon(z_0))\subset Wφ(Bε​(z0​))⊂W and u=v∘φu=v\circ\varphiu=v∘φ on Bε(z0)B_\varepsilon(z_0)Bε​(z0​).

Formalization Note "Immersion" is: the real derivative is injective at every point of the domain. "Holomorphic on Bε(z0)B_\varepsilon(z_0)Bε​(z0​)" is DifferentiableOn ℂ φ (ball z₀ ε), and φ′(z0)\varphi'(z_0)φ′(z0​) is deriv φ z₀.

Preamble
import Definitions.Def_FiniteEnergyPlane_Fredholm
Formal statement
namespace FiniteEnergyPlane

open MeasureTheory Metric Filter Topology
open scoped ContDiff ENNReal Real

/-- Non-isolated intersections of pseudoholomorphic immersions (McDuff, J. Differential Geom. 34
(1991), Lemma 2.7, immersed case). Let `u` on `U` and `v` on `W` be finite-energy
`J̃`-holomorphic curves which are immersions, with `u(z₀) = v(w₀)`, and suppose this intersection
is not isolated: there are pairs `(zₖ, wₖ) ≠ (z₀, w₀)` with `u(zₖ) = v(wₖ)` and
`(zₖ, wₖ) → (z₀, w₀)`. Then near `z₀` the curve `u` is a holomorphic reparametrization of `v`:
there are `ε > 0` and a map `φ`, complex differentiable on `B_ε(z₀)`, with `φ(z₀) = w₀`,
`φ'(z₀) ≠ 0`, `φ(B_ε(z₀)) ⊆ W` and `u = v ∘ φ` on `B_ε(z₀)`. -/
theorem exists_holomorphic_eqOn_of_accPt_intersection (H : V 1 → ℝ) (hH : IsStrictlyStarShapedLevel H)
    (J : V 1 → V 1 →L[ℝ] V 1) (hJ : IsCompatibleXiStructure H J)
    (U W : Set ℂ) (hU : IsOpen U) (hW : IsOpen W) (u v : ℂ → V 1)
    (hu : IsFiniteEnergyCurve H J U u) (hv : IsFiniteEnergyCurve H J W v)
    (hui : ∀ z ∈ U, Function.Injective (fderiv ℝ u z))
    (hvi : ∀ w ∈ W, Function.Injective (fderiv ℝ v w))
    (z₀ w₀ : ℂ) (hz₀ : z₀ ∈ U) (hw₀ : w₀ ∈ W) (z w : ℕ → ℂ)
    (hz : Tendsto z atTop (𝓝 z₀)) (hw : Tendsto w atTop (𝓝 w₀))
    (hne : ∀ k, (z k, w k) ≠ (z₀, w₀)) (heq : ∀ k, u (z k) = v (w k)) :
    ∃ ε > 0, ∃ φ : ℂ → ℂ, DifferentiableOn ℂ φ (ball z₀ ε) ∧ φ z₀ = w₀ ∧ deriv φ z₀ ≠ 0 ∧
      Set.MapsTo φ (ball z₀ ε) W ∧ Set.EqOn u (v ∘ φ) (ball z₀ ε) := by
  sorry

end FiniteEnergyPlane
Source
D. McDuff, The local behaviour of holomorphic curves in almost complex 4-manifolds, J. Differential Geom. 34 (1991), 143–164, doi:10.4310/jdg/1214446994, Lemma 2.7 (case of immersed curves)
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What the Lean code literally says, in plain math · claude-opus-5-5

Theorem FiniteEnergyPlane.exists_holomorphic_eqOn_of_accPt_intersection

Data and hypotheses. Let H:V1→RH:V_1\to\mathbb RH:V1​→R be a strictly star-shaped level and J:V1→EndR(V1)J:V_1\to\mathrm{End}_{\mathbb R}(V_1)J:V1​→EndR​(V1​) a compatible ξ\xiξ-structure for HHH (both defined below). Let U,W⊆CU,W\subseteq\mathbb CU,W⊆C be open sets (no connectedness assumed), and u,v:C→V1u,v:\mathbb C\to V_1u,v:C→V1​ such that:

  • uuu is a finite-energy curve on UUU, and vvv is a finite-energy curve on WWW;
  • Du(z)Du(z)Du(z) is injective for every z∈Uz\in Uz∈U, and Dv(w)Dv(w)Dv(w) is injective for every w∈Ww\in Ww∈W;
  • z0∈Uz_0\in Uz0​∈U and w0∈Ww_0\in Ww0​∈W;
  • (zk)k∈N(z_k)_{k\in\mathbb N}(zk​)k∈N​, (wk)k∈N(w_k)_{k\in\mathbb N}(wk​)k∈N​ are sequences in C\mathbb CC with zk→z0z_k\to z_0zk​→z0​ and wk→w0w_k\to w_0wk​→w0​;
  • for every kkk, (zk,wk)≠(z0,w0)(z_k,w_k)\ne(z_0,w_0)(zk​,wk​)=(z0​,w0​) as pairs (so one of the two coordinates may equal its limit, for some or all kkk);
  • for every kkk, u(zk)=v(wk)u(z_k)=v(w_k)u(zk​)=v(wk​).

The sequences are not required to lie in UUU, WWW. The equality u(z0)=v(w0)u(z_0)=v(w_0)u(z0​)=v(w0​) is not stated as a hypothesis.

Conclusion. There exist ε>0\varepsilon>0ε>0 and φ:C→C\varphi:\mathbb C\to\mathbb Cφ:C→C such that:

  • φ\varphiφ is complex-differentiable on the open disc B(z0,ε)B(z_0,\varepsilon)B(z0​,ε);
  • φ(z0)=w0\varphi(z_0)=w_0φ(z0​)=w0​;
  • the complex derivative satisfies φ′(z0)≠0\varphi'(z_0)\ne0φ′(z0​)=0;
  • φ(B(z0,ε))⊆W\varphi(B(z_0,\varepsilon))\subseteq Wφ(B(z0​,ε))⊆W;
  • u(z)=v(φ(z))u(z)=v(\varphi(z))u(z)=v(φ(z)) for every z∈B(z0,ε)z\in B(z_0,\varepsilon)z∈B(z0​,ε).

The disc B(z0,ε)B(z_0,\varepsilon)B(z0​,ε) is not asserted to lie in UUU, while the identity u=v∘φu=v\circ\varphiu=v∘φ is asserted on the whole disc. φ\varphiφ is not asserted to be injective on the disc, and φ′≠0\varphi'\ne0φ′=0 is asserted only at z0z_0z0​. Nothing is said about φ\varphiφ outside the disc.

Setting and notation (unfolded from the imported definitions)

Space. Vn=R2(n+1)V_n=\mathbb R^{2(n+1)}Vn​=R2(n+1) (functions {0,…,2n+1}→R\{0,\dots,2n+1\}\to\mathbb R{0,…,2n+1}→R); all statements here use V1=R4V_1=\mathbb R^4V1​=R4, with coordinates y=(y0,y1,y2,y3)y=(y_0,y_1,y_2,y_3)y=(y0​,y1​,y2​,y3​). The norm on V1V_1V1​ is the sup norm ∥y∥=max⁡k∣yk∣\|y\|=\max_k|y_k|∥y∥=maxk​∣yk​∣; on C\mathbb CC the norm is the modulus, so B(z0,ε)={z∈C:∣z−z0∣<ε}B(z_0,\varepsilon)=\{z\in\mathbb C:|z-z_0|<\varepsilon\}B(z0​,ε)={z∈C:∣z−z0​∣<ε} is a Euclidean open disc. On C×C\mathbb C\times\mathbb CC×C the norm is max⁡(∣z∣,∣τ∣)\max(|z|,|\tau|)max(∣z∣,∣τ∣). "Smooth" (C∞C^\inftyC∞) means infinitely real-differentiable (not analytic).

Linear structure. j0(y)=(−y1, y0, −y3, y2)j_0(y)=(-y_1,\,y_0,\,-y_3,\,y_2)j0​(y)=(−y1​,y0​,−y3​,y2​); ω0(u,v)=⟨j0u,v⟩=u0v1−u1v0+u2v3−u3v2\omega_0(u,v)=\langle j_0u,v\rangle=u_0v_1-u_1v_0+u_2v_3-u_3v_2ω0​(u,v)=⟨j0​u,v⟩=u0​v1​−u1​v0​+u2​v3​−u3​v2​; the Liouville form λx(v)=12 ω0(x,v)\lambda_x(v)=\tfrac12\,\omega_0(x,v)λx​(v)=21​ω0​(x,v).

Hamiltonian data. For H:V1→RH:V_1\to\mathbb RH:V1​→R: ∇H(x)k=dHx(ek)\nabla H(x)_k=dH_x(e_k)∇H(x)k​=dHx​(ek​); XH(x)=j0∇H(x)X_H(x)=j_0\nabla H(x)XH​(x)=j0​∇H(x); the Reeb field R(x)=λx(XH(x))−1 XH(x)R(x)=\lambda_x(X_H(x))^{-1}\,X_H(x)R(x)=λx​(XH​(x))−1XH​(x), with the convention 0−1=00^{-1}=00−1=0 (so R(x)=0R(x)=0R(x)=0 when λx(XH(x))=0\lambda_x(X_H(x))=0λx​(XH​(x))=0). The energy surface is {H=1}\{H=1\}{H=1}.

Hypothesis "HHH is a strictly star-shaped level" (hHhHhH): HHH is C∞C^\inftyC∞ on all of V1V_1V1​; for every u≠0u\ne0u=0 there is a unique r>0r>0r>0 with H(ru)=1H(ru)=1H(ru)=1; and dHx(x)>0dH_x(x)>0dHx​(x)>0 for every xxx with H(x)=1H(x)=1H(x)=1.

Contact plane. 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.

Hypothesis "JJJ is a compatible ξ\xiξ-structure" (hJhJhJ): J:V1→EndR(V1)J:V_1\to\mathrm{End}_{\mathbb R}(V_1)J:V1​→EndR​(V1​) is C∞C^\inftyC∞, and for every xxx with H(x)=1H(x)=1H(x)=1 and all v,w∈ξxv,w\in\xi_xv,w∈ξx​: J(x)v∈ξxJ(x)v\in\xi_xJ(x)v∈ξx​, J(x)J(x)v=−vJ(x)J(x)v=-vJ(x)J(x)v=−v, v≠0⇒ω0(v,J(x)v)>0v\ne0\Rightarrow\omega_0(v,J(x)v)>0v=0⇒ω0​(v,J(x)v)>0, and ω0(J(x)v,J(x)w)=ω0(v,w)\omega_0(J(x)v,J(x)w)=\omega_0(v,w)ω0​(J(x)v,J(x)w)=ω0​(v,w). Nothing is required of J(x)J(x)J(x) off ξx\xi_xξx​, nor for x∉{H=1}x\notin\{H=1\}x∈/{H=1}, beyond smoothness.

Radial coordinates. σ(y)\sigma(y)σ(y) ("scaleToS") is a chosen r>0r>0r>0 with H(ry)=1H(ry)=1H(ry)=1 if such an rrr exists, and the junk value 111 otherwise (e.g. at y=0y=0y=0 when H(0)≠1H(0)\ne1H(0)=1). Then proj(y)=σ(y) y\mathrm{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).

Almost complex structure J~\tilde JJ~ on V1V_1V1​. For y∈V1y\in V_1y∈V1​ put x=proj(y)x=\mathrm{proj}(y)x=proj(y), r=σ(y)r=\sigma(y)r=σ(y), and the real-linear functionals and map

α(h)=r2 dHx(x) dHx(h),β(h)=r λx(h),w(h)=h−α(h) 2y−β(h) r−1R(x).\alpha(h)=\frac{r}{2\,dH_x(x)}\,dH_x(h),\qquad \beta(h)=r\,\lambda_x(h),\qquad w(h)=h-\alpha(h)\,2y-\beta(h)\,r^{-1}R(x).α(h)=2dHx​(x)r​dHx​(h),β(h)=rλx​(h),w(h)=h−α(h)2y−β(h)r−1R(x).

Then

J~(y)h=α(h) r−1R(x)−β(h) 2y+J(x)(w(h)).\tilde J(y)h=\alpha(h)\,r^{-1}R(x)-\beta(h)\,2y+J(x)\big(w(h)\big).J~(y)h=α(h)r−1R(x)−β(h)2y+J(x)(w(h)).

(Division by 000 again yields 000.)

Partial derivatives. For f:C→Ff:\mathbb C\to Ff:C→F (real vector space), ∂sf(z)=Df(z)(1)\partial_sf(z)=Df(z)(1)∂s​f(z)=Df(z)(1), ∂tf(z)=Df(z)(i)\partial_tf(z)=Df(z)(i)∂t​f(z)=Df(z)(i), where Df(z)Df(z)Df(z) is the real Fréchet derivative (equal to 000 by convention where fff is not differentiable).

J~\tilde JJ~-holomorphic on UUU: for each z∈Uz\in Uz∈U, uuu is real-differentiable at zzz and ∂su(z)+J~(u(z)) ∂tu(z)=0\partial_su(z)+\tilde J(u(z))\,\partial_tu(z)=0∂s​u(z)+J~(u(z))∂t​u(z)=0.

Energy. An admissible φ:R→R\varphi:\mathbb R\to\mathbb Rφ:R→R is C∞C^\inftyC∞, monotone non-decreasing, with 0≤φ≤10\le\varphi\le10≤φ≤1. With au=a∘ua_u=a\circ uau​=a∘u and wu=proj∘uw_u=\mathrm{proj}\circ uwu​=proj∘u, the energy density is

eφ(z)=φ′(au)(∂sau λwu(∂twu)−∂tau λwu(∂swu))+φ(au) ω0(∂swu,∂twu)e_\varphi(z)=\varphi'(a_u)\big(\partial_sa_u\,\lambda_{w_u}(\partial_tw_u)-\partial_ta_u\,\lambda_{w_u}(\partial_sw_u)\big)+\varphi(a_u)\,\omega_0(\partial_sw_u,\partial_tw_u)eφ​(z)=φ′(au​)(∂s​au​λwu​​(∂t​wu​)−∂t​au​λwu​​(∂s​wu​))+φ(au​)ω0​(∂s​wu​,∂t​wu​)

(evaluated at zzz), and

E(U,u)=sup⁡φ admissible∫Umax⁡(eφ(z),0) dz∈[0,∞],E(U,u)=\sup_{\varphi\text{ admissible}}\int_U \max\big(e_\varphi(z),0\big)\,dz\in[0,\infty],E(U,u)=φ admissiblesup​∫U​max(eφ​(z),0)dz∈[0,∞],

i.e. only the positive part of the density is integrated (Lebesgue measure on C\mathbb CC). The dλd\lambdadλ-density is ω0(∂swu,∂twu)\omega_0(\partial_sw_u,\partial_tw_u)ω0​(∂s​wu​,∂t​wu​) and the dλd\lambdadλ-energy is Edλ(U,u)=∫Umax⁡(ω0(∂swu,∂twu),0) dz∈[0,∞]E_{d\lambda}(U,u)=\int_U\max\big(\omega_0(\partial_sw_u,\partial_tw_u),0\big)\,dz\in[0,\infty]Edλ​(U,u)=∫U​max(ω0​(∂s​wu​,∂t​wu​),0)dz∈[0,∞].

Finite-energy curve on UUU (U⊆CU\subseteq\mathbb CU⊆C): u:C→V1u:\mathbb C\to V_1u:C→V1​ is C∞C^\inftyC∞ on UUU, u(z)≠0u(z)\ne0u(z)=0 for all z∈Uz\in Uz∈U, uuu is J~\tilde JJ~-holomorphic on UUU, and E(U,u)<∞E(U,u)<\inftyE(U,u)<∞. (Nothing is required of uuu outside UUU.)

Human review
  • Endorsed by Shuze Chen · Nov 4, 2026

    Confirmed by the moderator at approval.

  • Endorsed by Mazecto · Nov 4, 2026

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

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