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Non-degenerate approximations fixing an unknotted orbit with sl=−1\mathrm{sl}=-1sl=−1, whose low-action orbits eventually have index ≥3\ge3≥3: the orbit eventually binds a transverse disk open book

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HryniewiczCriterion.exists_transverse_disk_open_book_of_approx

by Mazecto · Oct 20, 2026 · Mathlib 0df444a (Lean v4.33.1)

dynamical-systemsgeometry-topologysymplectic-geometry

Let S=H−1(1)⊂R4S=H^{-1}(1)\subset\mathbb{R}^4S=H−1(1)⊂R4 be a strictly star-shaped level and let Pˉ=(xˉ,Tˉ)\bar P=(\bar x,\bar T)Pˉ=(xˉ,Tˉ) be a prime periodic orbit on SSS that is unknotted with sl⁡(Pˉ)=−1\operatorname{sl}(\bar P)=-1sl(Pˉ)=−1. Let HkH_kHk​ be Hamiltonians such that

  1. every level Hk−1(1)H_k^{-1}(1)Hk−1​(1) is strictly star-shaped and every HkH_kHk​ is non-degenerate;
  2. Hk=HH_k=HHk​=H and dHk=dHdH_k=dHdHk​=dH at every point of xˉ(R)\bar x(\mathbb{R})xˉ(R);
  3. Hk→HH_k\to HHk​→H in Cloc∞C^\infty_{\mathrm{loc}}Cloc∞​;
  4. for every action bound AAA there is KKK such that for k≥Kk\ge Kk≥K every periodic orbit RRR on Hk−1(1)H_k^{-1}(1)Hk−1​(1) with A(R)≤A\mathcal A(R)\le AA(R)≤A has μCZ(R)≥3\mu_{CZ}(R)\ge3μCZ​(R)≥3.

Then for all large kkk, Pˉ\bar PPˉ, viewed as a periodic orbit PkP_kPk​ of XHkX_{H_k}XHk​​ (same parametrization xˉ\bar xxˉ and period Tˉ\bar TTˉ), is the binding of a transverse disk open book on Hk−1(1)H_k^{-1}(1)Hk−1​(1).

A transverse disk open book on S=G−1(1)S=G^{-1}(1)S=G−1(1) with binding Q=(x,T)Q=(x,T)Q=(x,T) is a family of maps pageθ:R2→R4\mathrm{page}_\theta:\mathbb{R}^2\to\mathbb{R}^4pageθ​:R2→R4, θ∈R\theta\in\mathbb{R}θ∈R, such that

  • (θ,u)↦pageθ(u)(\theta,u)\mapsto\mathrm{page}_\theta(u)(θ,u)↦pageθ​(u) is C∞C^\inftyC∞ and 111-periodic in θ\thetaθ;
  • each pageθ\mathrm{page}_\thetapageθ​ restricts to a smooth embedding of the closed unit disk Dˉ\bar{\mathbb D}Dˉ into SSS (IsSmoothDiskEmbedding, injective differential up to the boundary);
  • the boundary circle runs along QQQ: pageθ(cos⁡2πt,sin⁡2πt)=x(Tt)\mathrm{page}_\theta(\cos2\pi t,\sin2\pi t)=x(Tt)pageθ​(cos2πt,sin2πt)=x(Tt);
  • XGX_GXG​ is transverse to every page in the interior: XG(pageθ(u))∉im⁡Dpageθ(u)X_G(\mathrm{page}_\theta(u))\notin\operatorname{im}D\mathrm{page}_\theta(u)XG​(pageθ​(u))∈/imDpageθ​(u) for ∣u∣<1|u|<1∣u∣<1;
  • (θ,u)↦pageθ(u)(\theta,u)\mapsto\mathrm{page}_\theta(u)(θ,u)↦pageθ​(u) maps [0,1)×D[0,1)\times\mathbb D[0,1)×D bijectively onto S∖x(R)S\setminus x(\mathbb{R})S∖x(R), with injective differential at every (θ,u)(\theta,u)(θ,u), ∣u∣<1|u|<1∣u∣<1.

This is an adapted open book decomposition (AdaptedDiskOpenBook) without the requirement that the pages be global surfaces of section and without the orientation condition on the pages.

Hk→HH_k\to HHk​→H in Cloc∞C^\infty_{\mathrm{loc}}Cloc∞​ means: for every m∈Nm\in\mathbb{N}m∈N and every compact K⊂R4K\subset\mathbb{R}^4K⊂R4, DmHk→DmHD^mH_k\to D^mHDmHk​→DmH uniformly on KKK. A Hamiltonian HkH_kHk​ is non-degenerate when for every periodic orbit R=(x,T)R=(x,T)R=(x,T) on Hk−1(1)H_k^{-1}(1)Hk−1​(1) (prime or not) and its linearized flow YYY, the linearized return map on ξ\xiξ, written in the global frame (Z1,Z2)(Z_1,Z_2)(Z1​,Z2​) as the matrix φ(1)\varphi(1)φ(1) of linearizedXiPath, does not have 111 as an eigenvalue. The action of a periodic orbit R=(x,T)R=(x,T)R=(x,T) is A(R)=∫0Tλ0(x(t))[x˙(t)] dt\mathcal A(R)=\int_0^T\lambda_0(x(t))[\dot x(t)]\,dtA(R)=∫0T​λ0​(x(t))[x˙(t)]dt, with λ0=12∑(qi dpi−pi dqi)\lambda_0=\tfrac12\sum(q_i\,dp_i-p_i\,dq_i)λ0​=21​∑(qi​dpi​−pi​dqi​) the Liouville form (liouvilleForm). The Conley–Zehnder index μCZ(R)\mu_{CZ}(R)μCZ​(R) is czIndexOfPath of the linearized flow on ξ\xiξ written in the global frame (Z1,Z2)(Z_1,Z_2)(Z1​,Z2​) (linearizedXiPath), with its lower semicontinuous extension to degenerate orbits.

The hypotheses are exactly those of bounds_global_section_of_approx_of_eventually_czIndex_ge_three. This statement is the open book part of the conclusion of Hryniewicz's Section 3 for the contact forms λk\lambda_kλk​, kkk large; it does not assert that the pages are global surfaces of section.

Preamble
import Definitions.Def_HryniewiczCriterion_ConleyZehnder
import Definitions.Def_HryniewiczCriterion_GlobalSection
import Definitions.Def_HryniewiczCriterion_SelfLinking

open HryniewiczCriterion
open scoped ContDiff
Formal statement
theorem HryniewiczCriterion.exists_transverse_disk_open_book_of_approx (H : R4 → ℝ) (hS : IsStrictlyStarShapedLevel H)
    (P : PeriodicOrbit H) (hP : P.IsPrime) (hu : IsUnknotted H P)
    (hsl : HasSelfLinkingNumber H P (-1))
    (Hs : ℕ → R4 → ℝ) (hSk : ∀ k, IsStrictlyStarShapedLevel (Hs k))
    (hnd : (∀ k (R : PeriodicOrbit (Hs k)) (Y : ℝ → (R4 →L[ℝ] R4)), IsLinearizedFlow (Hs k) R.x Y →
      ∀ v : Fin 2 → ℝ, (linearizedXiPath (Hs k) R Y 1).mulVec v = v → v = 0))
    (hjet : ∀ k, ∀ y ∈ P.image, Hs k y = H y ∧ fderiv ℝ (Hs k) y = fderiv ℝ H y)
    (hconv : (∀ m : ℕ, ∀ K : Set R4, IsCompact K →
      TendstoUniformlyOn (fun k => iteratedFDeriv ℝ m (Hs k)) (iteratedFDeriv ℝ m H) Filter.atTop K))
    (hcz : (∀ A : ℝ, ∃ K : ℕ, ∀ k, K ≤ k → ∀ (R : PeriodicOrbit (Hs k)) (Y : ℝ → (R4 →L[ℝ] R4)),
      IsLinearizedFlow (Hs k) R.x Y → (∫ t in (0 : ℝ)..R.T, liouvilleForm (R.x t) (deriv R.x t)) ≤ A →
      3 ≤ czIndexOfPath (linearizedXiPath (Hs k) R Y))) :
    ∃ K : ℕ, ∀ k, K ≤ k → ∀ Pk : PeriodicOrbit (Hs k), Pk.x = P.x → Pk.T = P.T →
      ∃ page : ℝ → Plane → R4,
      ContDiff ℝ ∞ (fun z : ℝ × Plane => page z.1 z.2) ∧
      (∀ θ u, page (θ + 1) u = page θ u) ∧
      (∀ θ, IsSmoothDiskEmbedding (page θ)) ∧
      (∀ θ, page θ '' closedUnitDisk ⊆ energySurface (Hs k)) ∧
      (∀ θ t, page θ (circlePoint t) = Pk.x (Pk.T * t)) ∧
      (∀ θ, ∀ u ∈ openUnitDisk,
        hamiltonianVectorField (Hs k) (page θ u) ∉ Set.range (fderiv ℝ (page θ) u)) ∧
      (∀ y ∈ energySurface (Hs k), y ∉ Pk.image →
        ∃! z : ℝ × Plane, z.1 ∈ Set.Ico (0 : ℝ) 1 ∧ z.2 ∈ openUnitDisk ∧ page z.1 z.2 = y) ∧
      (∀ θ : ℝ, ∀ u ∈ openUnitDisk,
        Function.Injective (fderiv ℝ (fun z : ℝ × Plane => page z.1 z.2) (θ, u))) := by sorry
Source
U. Hryniewicz, Systems of global surfaces of section for dynamically convex Reeb flows on the 3-sphere, J. Symplectic Geom. 12 (2014) 791-862, arXiv:1105.2077, Theorems 3.4, 3.10 and 3.11 (pp. 20-25) and p. 37; H. Hofer, K. Wysocki, E. Zehnder, The dynamics on three-dimensional strictly convex energy surfaces, Ann. of Math. 148 (1998) 197-289, Theorems 2.2 and 2.5; U. Hryniewicz, Fast finite-energy planes in symplectizations and applications, Trans. Amer. Math. Soc. 364 (2012) 1859-1931.

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