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Semi-Fredholm property of Cauchy–Riemann operators with a large antilinear zeroth-order term

Proved
CauchyRiemannIndex.large_antilinear_semiFredholm

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

cauchy-riemannfredholm-indexsobolev-spacessymplectic-geometry

Let n=1n=1n=1, let S±S^\pmS± be continuous loops of symmetric 2×22\times22×2 matrices, and let S:R×S1→R2×2S:\mathbb{R}\times S^1\to\mathbb{R}^{2\times2}S:R×S1→R2×2 be continuous with S(s,⋅)→S±S(s,\cdot)\to S^\pmS(s,⋅)→S± uniformly as s→±∞s\to\pm\inftys→±∞. Let β:R×S1→C\beta:\mathbb{R}\times S^1\to\mathbb{C}β:R×S1→C be smooth with bounded first derivative, such that ∣β∣|\beta|∣β∣ and 1/∣β∣1/|\beta|1/∣β∣ are bounded for large ∣s∣|s|∣s∣: there are RRR and c>0c>0c>0 with c≤∣β(s,t)∣≤1/cc\le|\beta(s,t)|\le 1/cc≤∣β(s,t)∣≤1/c whenever ∣s∣≥R|s|\ge R∣s∣≥R. For σ∈R\sigma\in\mathbb{R}σ∈R let Dση=∂sη+J0∂tη+Sη+σβηˉD_\sigma\eta=\partial_s\eta+J_0\partial_t\eta+S\eta+\sigma\beta\bar\etaDσ​η=∂s​η+J0​∂t​η+Sη+σβηˉ​, acting from W1,2(R×S1,C)W^{1,2}(\mathbb{R}\times S^1,\mathbb{C})W1,2(R×S1,C) to L2(R×S1,C)L^2(\mathbb{R}\times S^1,\mathbb{C})L2(R×S1,C).

Then there is σ0\sigma_0σ0​ such that for every σ≥σ0\sigma\ge\sigma_0σ≥σ0​ the operator DσD_\sigmaDσ​ is semi-Fredholm: its kernel is finite-dimensional and its range is closed in L2L^2L2.

No nondegeneracy of the asymptotic operators of S±S^\pmS± is assumed, and nothing is assumed about the zeros of β\betaβ in the region ∣s∣<R|s|<R∣s∣<R. This is the setting of Wendl's § 5.5 (operators DS+σβ  ⋅ ‾D_S+\sigma\beta\,\overline{\,\cdot\,}DS​+σβ⋅ with a large antilinear zeroth-order term); closedness of the range is what allows the cokernel of DσD_\sigmaDσ​ to be identified with the annihilator of its range.

Formalization Note C=R2\mathbb{C}=\mathbb{R}^2C=R2 via (x,y)↦x+iy(x,y)\mapsto x+iy(x,y)↦x+iy, and η↦βηˉ\eta\mapsto\beta\bar\etaη↦βηˉ​ is the matrix antilinearMat β, so DσD_\sigmaDσ​ is DSσD_{S_\sigma}DSσ​​ with Sσ=S+σ⋅S_\sigma=S+\sigma\cdotSσ​=S+σ⋅antilinearMat ∘ β. Points of the cylinder are pairs (s,t)(s,t)(s,t) and β\betaβ is 111-periodic in ttt. W1,2W^{1,2}W1,2, the kernel crKernel 2 and the range crRange 2 are those of Definitions.Def_CauchyRiemannIndex_Setting. The hypotheses on SSS, S±S^\pmS± and β\betaβ are a subset of those of the milestone CauchyRiemannIndex.large_antilinear_perturbation_index (Wendl, Proposition 5.27). The exponent is p=2p=2p=2.

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

/-- Semi-Fredholm property of `D_σ η = D_S η + σ β η̄` for large `σ` (Wendl, § 5.5, p. 94, on the
cylinder with the trivial line bundle and `p = 2`, `n = 1`): let `S` be asymptotic to loops `S±`
of symmetric matrices, and let `β : ℝ × S¹ → ℂ` be smooth with bounded derivative, with `|β|` and
`1/|β|` bounded for large `|s|`. Then for all large `σ`, `D_σ : W^{1,2} → L²` has
finite-dimensional kernel and closed range. -/
theorem large_antilinear_semiFredholm (Splus Sminus : ℝ → Mat 1) (hSplus : IsSymLoop Splus)
    (hSminus : IsSymLoop Sminus) (S : ℝ × ℝ → Mat 1) (hS : IsAsymptoticTo S Splus Sminus)
    (β : ℝ × ℝ → ℂ) (hβ : ContDiff ℝ ∞ β) (hβper : ∀ s t, β (s, t + 1) = β (s, t))
    (hβC1 : ∃ C : ℝ, ∀ x, ‖fderiv ℝ β x‖ ≤ C)
    (hβends : ∃ (R c : ℝ), 0 < c ∧ ∀ s t, R ≤ |s| → c ≤ ‖β (s, t)‖ ∧ ‖β (s, t)‖ ≤ 1 / c) :
    ∃ σ₀ : ℝ, ∀ σ ≥ σ₀,
      FiniteDimensional ℝ (crKernel 2 (fun x => S x + σ • antilinearMat (β x))) ∧
      IsClosed (crRange 2 (fun x => S x + σ • antilinearMat (β x)) : Set (LpCyl 1 2)) := by
  sorry

end CauchyRiemannIndex
Source
C. Wendl, Lectures on Symplectic Field Theory, arXiv:1612.01009, https://arxiv.org/abs/1612.01009, Lecture 5, setting of § 5.5, p. 94 (cylinder, trivial line bundle, p = 2)

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