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The transverse derivative has no zeros near a nondegenerate puncture

Proved
FiniteEnergyPlane.dlambdaDensity_pos_eventually

by Mazecto · Oct 21, 2026 · Mathlib 0df444a (Lean v4.33.1)

asymptotic-operatorpseudoholomorphic-curvesreeb-dynamicssymplectic-geometrysymplectization

Let S=H−1(1)⊂R2n+2S=H^{-1}(1)\subset\mathbb{R}^{2n+2}S=H−1(1)⊂R2n+2 be a strictly star-shaped level, JJJ a smooth dλ0d\lambda_0dλ0​-compatible complex structure on ξ\xiξ, uuu a finite-energy J~\tilde JJ~-holomorphic curve on D∖{0}D\setminus\{0\}D∖{0}, and suppose 000 is a nondegenerate puncture of uuu, asymptotic to a periodic Reeb orbit PPP with sign ε=±1\varepsilon=\pm1ε=±1. If π du\pi\,duπdu does not vanish identically on any punctured neighbourhood of 000, then there is r>0r>0r>0 such that π du(z)≠0\pi\,du(z)\neq0πdu(z)=0, equivalently ω0(∂sw,∂tw)(z)>0\omega_0(\partial_sw,\partial_tw)(z)>0ω0​(∂s​w,∂t​w)(z)>0, for all 0<∣z∣<r0<|z|<r0<∣z∣<r.

Formalization Note ω0(∂sw,∂tw)\omega_0(\partial_sw,\partial_tw)ω0​(∂s​w,∂t​w) with w=proj∘uw=\mathrm{proj}\circ uw=proj∘u is dlambdaDensity H u z, in the coordinate z=s+itz=s+itz=s+it of the disk. The hypothesis is that every punctured disk Br(0)∖{0}B_r(0)\setminus\{0\}Br​(0)∖{0} contains a point where it is nonzero. PPP need not be nondegenerate.

Preamble
import Definitions.Def_FiniteEnergyPlane_Asymptotics
Formal statement
namespace FiniteEnergyPlane

open MeasureTheory Metric Filter Topology
open scoped ContDiff ENNReal Real

/-- Hryniewicz, Definition 2.9 (3): for a finite-energy `J̃`-holomorphic curve on `D \ {0}` with a
nondegenerate puncture at `0`, if `π du` does not vanish identically near `0`, then `π du` has no
zeros near `0`, i.e. `ω₀(∂ₛw, ∂ₜw) > 0` on a punctured neighborhood of `0`. -/
theorem dlambdaDensity_pos_eventually {n : ℕ} (H : V n → ℝ) (hH : IsStrictlyStarShapedLevel H)
    (J : V n → V n →L[ℝ] V n) (hJ : IsCompatibleXiStructure H J) (u : ℂ → V n)
    (hu : IsFiniteEnergyCurve H J (ball 0 1 \ {0}) u) (P : ReebOrbit H) (ε : ℝ)
    (hε : ε = 1 ∨ ε = -1) (hnd : IsNondegenerateEnd H u cylEnd P ε)
    (hπ : ∀ r > 0, ∃ z ∈ ball (0 : ℂ) r \ {0}, dlambdaDensity H u z ≠ 0) :
    ∃ r > 0, ∀ z ∈ ball (0 : ℂ) r \ {0}, 0 < dlambdaDensity H u z := by
  sorry

end FiniteEnergyPlane
Source
U. Hryniewicz, Systems of global surfaces of section for dynamically convex Reeb flows on the 3-sphere, J. Symplectic Geom. 12 (2014), arXiv:1105.2077, Definition 2.9 (3); U. Hryniewicz, Fast finite-energy planes in symplectizations and applications, Trans. Amer. Math. Soc. 364 (2012), 1859–1931, arXiv:0812.4076, Definition 3.11 (3)
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What the Lean code literally says, in plain math · claude-opus-5-5

Read-back: FiniteEnergyPlane.dlambdaDensity_pos_eventually

Ambient space and standard structures. Here n≥0n \ge 0n≥0 is an arbitrary natural number and V=R2(n+1)V = \mathbb{R}^{2(n+1)}V=R2(n+1), with coordinates v0,…,v2n+1v_0, \dots, v_{2n+1}v0​,…,v2n+1​. VVV carries the sup norm ∥v∥=max⁡k∣vk∣\|v\| = \max_k |v_k|∥v∥=maxk​∣vk​∣ (this is the norm in every estimate below on VVV-valued quantities). Define:

  • j0vj_0 vj0​v by (j0v)k=−vk+1(j_0 v)_k = -v_{k+1}(j0​v)k​=−vk+1​ for even kkk and (j0v)k=vk−1(j_0 v)_k = v_{k-1}(j0​v)k​=vk−1​ for odd kkk;
  • ⟨u,v⟩=∑kukvk\langle u, v \rangle = \sum_k u_k v_k⟨u,v⟩=∑k​uk​vk​,  ω0(u,v)=⟨j0u,v⟩\ \omega_0(u, v) = \langle j_0 u, v \rangle ω0​(u,v)=⟨j0​u,v⟩, and λx(v)=12 ω0(x,v)\lambda_x(v) = \tfrac12\, \omega_0(x, v)λx​(v)=21​ω0​(x,v);
  • for H:V→RH : V \to \mathbb{R}H:V→R: ∇H(x)=(dH(x)ek)k\nabla H(x) = (dH(x) e_k)_k∇H(x)=(dH(x)ek​)k​,  XH(x)=j0∇H(x)\ X_H(x) = j_0 \nabla H(x) XH​(x)=j0​∇H(x), and RH(x)=λx(XH(x))−1 XH(x)R_H(x) = \lambda_x(X_H(x))^{-1}\, X_H(x)RH​(x)=λx​(XH​(x))−1XH​(x), with the convention 0−1=00^{-1} = 00−1=0 (so RH(x)=0R_H(x) = 0RH​(x)=0 wherever λx(XH(x))=0\lambda_x(X_H(x)) = 0λx​(XH​(x))=0);
  • ξx={v∈V:λx(v)=0 and dH(x)v=0}\xi_x = \{ v \in V : \lambda_x(v) = 0 \text{ and } dH(x) v = 0 \}ξx​={v∈V:λx​(v)=0 and dH(x)v=0}.

Throughout, dH(x)dH(x)dH(x), DRH(x)DR_H(x)DRH​(x), ∂s\partial_s∂s​, ∂t\partial_t∂t​, DmD^mDm denote Fréchet derivatives, with the convention that the derivative of a function at a point where it is not differentiable is 000.

Hypothesis on HHH ("strictly star-shaped level"). HHH is C∞C^\inftyC∞; for every y≠0y \ne 0y=0 there is exactly one r>0r > 0r>0 with H(ry)=1H(r y) = 1H(ry)=1; and dH(x) x>0dH(x)\,x > 0dH(x)x>0 whenever H(x)=1H(x) = 1H(x)=1.

Hypothesis on JJJ ("compatible ξ\xiξ-structure"). JJJ is a map from VVV to continuous linear maps V→VV \to VV→V; it 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; ω0(v,J(x)v)>0\omega_0(v, J(x) v) > 0ω0​(v,J(x)v)>0 if v≠0v \ne 0v=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) outside ξx\xi_xξx​ or at points with H(x)≠1H(x) \ne 1H(x)=1.

Radial coordinates. For y∈Vy \in Vy∈V, let r(y)r(y)r(y) be a fixed (choice-selected) r>0r > 0r>0 with H(ry)=1H(r y) = 1H(ry)=1 if such rrr exists, and r(y)=1r(y) = 1r(y)=1 otherwise. Put pr(y)=r(y) y\mathrm{pr}(y) = r(y)\, ypr(y)=r(y)y and a(y)=−12log⁡r(y)a(y) = -\tfrac12 \log r(y)a(y)=−21​logr(y).

Finite-energy curves. For fff defined on C=R2\mathbb{C} = \mathbb{R}^2C=R2 write ∂sf(z)=Df(z)⋅1\partial_s f(z) = Df(z)\cdot 1∂s​f(z)=Df(z)⋅1 and ∂tf(z)=Df(z)⋅i\partial_t f(z) = Df(z)\cdot i∂t​f(z)=Df(z)⋅i. For y∈Vy \in Vy∈V let x=pr(y)x = \mathrm{pr}(y)x=pr(y), r=r(y)r = r(y)r=r(y), α(v)=r2 dH(x)x dH(x)v\alpha(v) = \dfrac{r}{2\, dH(x) x}\, dH(x) vα(v)=2dH(x)xr​dH(x)v, β(v)=r λx(v)\beta(v) = r\, \lambda_x(v)β(v)=rλx​(v), w(v)=v−2α(v) y−β(v) r−1RH(x)w(v) = v - 2\alpha(v)\, y - \beta(v)\, r^{-1} R_H(x)w(v)=v−2α(v)y−β(v)r−1RH​(x), and

J~(y)v=α(v) r−1RH(x)−2β(v) y+J(x) w(v).\tilde J(y) v = \alpha(v)\, r^{-1} R_H(x) - 2 \beta(v)\, y + J(x)\, w(v).J~(y)v=α(v)r−1RH​(x)−2β(v)y+J(x)w(v).

For u:C→Vu : \mathbb{C} \to Vu:C→V put au=a∘ua_u = a \circ uau​=a∘u and wu=pr∘uw_u = \mathrm{pr} \circ uwu​=pr∘u. A function φ:R→R\varphi : \mathbb{R} \to \mathbb{R}φ:R→R is admissible if it is C∞C^\inftyC∞, nondecreasing, and takes values in [0,1][0, 1][0,1]. For U⊆CU \subseteq \mathbb{C}U⊆C the energy is the value in [0,∞][0, \infty][0,∞]

EU(u)=sup⁡φ admissible∫Umax⁡{0,eφ(z)} dz,eφ=φ′(au)(∂sau λwu(∂twu)−∂tau λwu(∂swu))+φ(au) ω0(∂swu,∂twu),E_U(u) = \sup_{\varphi \text{ admissible}} \int_U \max\{0, e_\varphi(z)\}\, dz, \qquad e_\varphi = \varphi'(a_u)\big(\partial_s a_u\, \lambda_{w_u}(\partial_t w_u) - \partial_t a_u\, \lambda_{w_u}(\partial_s w_u)\big) + \varphi(a_u)\, \omega_0(\partial_s w_u, \partial_t w_u),EU​(u)=φ admissiblesup​∫U​max{0,eφ​(z)}dz,eφ​=φ′(au​)(∂s​au​λwu​​(∂t​wu​)−∂t​au​λwu​​(∂s​wu​))+φ(au​)ω0​(∂s​wu​,∂t​wu​),

the integral being the Lebesgue integral of a nonnegative extended-real function. "uuu is a finite-energy curve on UUU" means: uuu is C∞C^\inftyC∞ on UUU; u(z)≠0u(z) \ne 0u(z)=0 for all z∈Uz \in Uz∈U; at every z∈Uz \in Uz∈U, uuu is differentiable and ∂su(z)+J~(u(z)) ∂tu(z)=0\partial_s u(z) + \tilde J(u(z))\, \partial_t u(z) = 0∂s​u(z)+J~(u(z))∂t​u(z)=0; and EU(u)<∞E_U(u) < \inftyEU​(u)<∞.

Reeb orbits. A Reeb orbit PPP of HHH consists of a map xP:R→Vx_P : \mathbb{R} \to VxP​:R→V and a number TP>0T_P > 0TP​>0 such that, for all τ\tauτ, H(xP(τ))=1H(x_P(\tau)) = 1H(xP​(τ))=1, xPx_PxP​ has derivative RH(xP(τ))R_H(x_P(\tau))RH​(xP​(τ)) at τ\tauτ, and xP(τ+TP)=xP(τ)x_P(\tau + T_P) = x_P(\tau)xP​(τ+TP​)=xP​(τ). (TPT_PTP​ is a period of xPx_PxP​, not required to be the minimal one.)

Decay notions on half-cylinders. For f:R2→Ff : \mathbb{R}^2 \to Ff:R2→F (with F=RF = \mathbb{R}F=R or F=VF = VF=V), Dmf(s,t)D^m f(s, t)Dmf(s,t) is the mmm-th Fréchet derivative, measured in the operator norm of mmm-linear maps, where R2\mathbb{R}^2R2 carries the max norm ∥(s,t)∥=max⁡(∣s∣,∣t∣)\|(s, t)\| = \max(|s|, |t|)∥(s,t)∥=max(∣s∣,∣t∣); D0f=fD^0 f = fD0f=f.

  • f→0f \to 0f→0 uniformly: for every ϵ>0\epsilon > 0ϵ>0 there is s0s_0s0​ with ∥f(s,t)∥≤ϵ\|f(s, t)\| \le \epsilon∥f(s,t)∥≤ϵ for all s≥s0s \ge s_0s≥s0​ and all t∈Rt \in \mathbb{R}t∈R.
  • f→0f \to 0f→0 in C∞C^\inftyC∞: there is s0s_0s0​ such that fff is C∞C^\inftyC∞ on (s0,∞)×R(s_0, \infty) \times \mathbb{R}(s0​,∞)×R, and for every m∈Nm \in \mathbb{N}m∈N and every ϵ>0\epsilon > 0ϵ>0 there is s1s_1s1​ with ∥Dmf(s,t)∥≤ϵ\|D^m f(s, t)\| \le \epsilon∥Dmf(s,t)∥≤ϵ for all s≥s1s \ge s_1s≥s1​, t∈Rt \in \mathbb{R}t∈R.
  • fff decays at rate bbb in C∞C^\inftyC∞: there is s0s_0s0​ such that fff is C∞C^\inftyC∞ on (s0,∞)×R(s_0, \infty) \times \mathbb{R}(s0​,∞)×R, and for every m∈Nm \in \mathbb{N}m∈N there are reals Cm,smC_m, s_mCm​,sm​ with ∥Dmf(s,t)∥≤Cm e−bs\|D^m f(s, t)\| \le C_m\, e^{-b s}∥Dmf(s,t)∥≤Cm​e−bs for all s≥sms \ge s_ms≥sm​, t∈Rt \in \mathbb{R}t∈R.

End coordinates. e0(s,t)=e−2πse−2πit∈Ce_0(s, t) = e^{-2\pi s} e^{-2\pi i t} \in \mathbb{C}e0​(s,t)=e−2πse−2πit∈C (it tends to the puncture 000 as s→+∞s \to +\inftys→+∞) and e∞(s,t)=e2πse2πite_\infty(s, t) = e^{2\pi s} e^{2\pi i t}e∞​(s,t)=e2πse2πit. For an end map e∈{e0,e∞}e \in \{e_0, e_\infty\}e∈{e0​,e∞​} put A(s,t)=a(u(e(s,t)))A(s, t) = a(u(e(s, t)))A(s,t)=a(u(e(s,t))) and W(s,t)=pr(u(e(s,t)))W(s, t) = \mathrm{pr}(u(e(s, t)))W(s,t)=pr(u(e(s,t))).

  • Asymptotically cylindrical end (for eee, PPP, a real ε\varepsilonε): there exist d,c∈Rd, c \in \mathbb{R}d,c∈R such that A(s,t)−εTPs−d→0A(s, t) - \varepsilon T_P s - d \to 0A(s,t)−εTP​s−d→0 in C∞C^\inftyC∞ and W(s,t)−xP(εTPt+c)→0W(s, t) - x_P(\varepsilon T_P t + c) \to 0W(s,t)−xP​(εTP​t+c)→0 in C∞C^\inftyC∞.
  • Exponential asymptotics at rate bbb (for eee, PPP, ε\varepsilonε, bbb): there exist d,c∈Rd, c \in \mathbb{R}d,c∈R such that A(s,t)−εTPs−dA(s, t) - \varepsilon T_P s - dA(s,t)−εTP​s−d and W(s,t)−xP(εTPt+c)W(s, t) - x_P(\varepsilon T_P t + c)W(s,t)−xP​(εTP​t+c) both decay at rate bbb in C∞C^\inftyC∞.
  • Nondegenerate end (for eee, PPP, ε\varepsilonε): there exist d,c,b∈Rd, c, b \in \mathbb{R}d,c,b∈R with b>0b > 0b>0 such that A(s,t)−εTPs−d→0A(s, t) - \varepsilon T_P s - d \to 0A(s,t)−εTP​s−d→0 uniformly and ebs(W(s,t)−xP(εTPt+c))→0e^{b s}\big(W(s, t) - x_P(\varepsilon T_P t + c)\big) \to 0ebs(W(s,t)−xP​(εTP​t+c))→0 uniformly.

Statement. D∗={z∈C:0<∣z∣<1}D^* = \{ z \in \mathbb{C} : 0 < |z| < 1 \}D∗={z∈C:0<∣z∣<1} denotes the punctured open unit disk. Let n∈Nn \in \mathbb{N}n∈N, H:V→RH : V \to \mathbb{R}H:V→R a strictly star-shaped level, JJJ a compatible ξ\xiξ-structure for HHH, and u:C→Vu : \mathbb{C} \to Vu:C→V a finite-energy curve on D∗D^*D∗ (nothing is assumed about uuu outside D∗D^*D∗). Let PPP be a Reeb orbit of HHH (no nondegeneracy assumption on PPP), and ε∈{1,−1}\varepsilon \in \{1, -1\}ε∈{1,−1}. Assume the end at 000 parametrized by e0(s,t)=e−2πse−2πite_0(s,t) = e^{-2\pi s} e^{-2\pi i t}e0​(s,t)=e−2πse−2πit is a nondegenerate end over PPP with sign ε\varepsilonε (as defined above: for some d,cd, cd,c and b0>0b_0 > 0b0​>0, A−εTPs−d→0A - \varepsilon T_P s - d \to 0A−εTP​s−d→0 and eb0s(W−xP(εTPt+c))→0e^{b_0 s}(W - x_P(\varepsilon T_P t + c)) \to 0eb0​s(W−xP​(εTP​t+c))→0 uniformly). Write

ρ(z)=ω0(∂swu(z),∂twu(z)),wu=pr∘u,\rho(z) = \omega_0\big(\partial_s w_u(z), \partial_t w_u(z)\big), \qquad w_u = \mathrm{pr} \circ u,ρ(z)=ω0​(∂s​wu​(z),∂t​wu​(z)),wu​=pr∘u,

with ∂s,∂t\partial_s, \partial_t∂s​,∂t​ the derivatives in the directions 111 and iii (equal to 000 where wuw_uwu​ is not differentiable). Assume that for every r>0r > 0r>0 there exists zzz with 0<∣z∣<r0 < |z| < r0<∣z∣<r and ρ(z)≠0\rho(z) \ne 0ρ(z)=0.

Then there exists r>0r > 0r>0 such that ρ(z)>0\rho(z) > 0ρ(z)>0 for every zzz with 0<∣z∣<r0 < |z| < r0<∣z∣<r. (The radius rrr is not required to be ≤1\le 1≤1; if r>1r > 1r>1, the conclusion also covers points outside D∗D^*D∗, where uuu is unconstrained.)

Human review
  • Endorsed by Shuze Chen · Oct 21, 2026

    Confirmed by the moderator at approval.

  • Endorsed by Mazecto · Oct 21, 2026

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

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