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The Fredholm index of Cauchy–Riemann operators on the cylinder is constant along continuous families with nondegenerate ends

Proved
CauchyRiemannIndex.crIndex_eq_of_homotopy

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

cauchy-riemannfredholm-indexhomotopy-invariancesobolev-spacessymplectic-geometry

Let 1<p<∞1<p<\infty1<p<∞ and n≥0n\ge0n≥0. For τ∈[0,1]\tau\in[0,1]τ∈[0,1] let Sτ:R×S1→R2n×2nS_\tau:\mathbb{R}\times S^1\to\mathbb{R}^{2n\times2n}Sτ​:R×S1→R2n×2n be continuous coefficients with Sτ(s,⋅)→PτS_\tau(s,\cdot)\to P_\tauSτ​(s,⋅)→Pτ​ as s→+∞s\to+\inftys→+∞ and Sτ(s,⋅)→MτS_\tau(s,\cdot)\to M_\tauSτ​(s,⋅)→Mτ​ as s→−∞s\to-\inftys→−∞, uniformly, where Pτ,MτP_\tau,M_\tauPτ​,Mτ​ are continuous loops of symmetric matrices whose asymptotic operators −J0∂t−Pτ-J_0\partial_t-P_\tau−J0​∂t​−Pτ​ and −J0∂t−Mτ-J_0\partial_t-M_\tau−J0​∂t​−Mτ​ are nondegenerate. Assume τ↦Sτ\tau\mapsto S_\tauτ↦Sτ​ is continuous in the sup norm: for every τ\tauτ and ε>0\varepsilon>0ε>0 there is δ>0\delta>0δ>0 with ∣Sσ(s,t)ij−Sτ(s,t)ij∣≤ε|S_\sigma(s,t)_{ij}-S_\tau(s,t)_{ij}|\le\varepsilon∣Sσ​(s,t)ij​−Sτ​(s,t)ij​∣≤ε for all (s,t)(s,t)(s,t) and all entries whenever ∣σ−τ∣<δ|\sigma-\tau|<\delta∣σ−τ∣<δ. Then the Cauchy–Riemann operators DSτ=∂s+J0∂t+Sτ:W1,p(R×S1,R2n)→Lp(R×S1,R2n)D_{S_\tau}=\partial_s+J_0\partial_t+S_\tau:W^{1,p}(\mathbb{R}\times S^1,\mathbb{R}^{2n})\to L^p(\mathbb{R}\times S^1,\mathbb{R}^{2n})DSτ​​=∂s​+J0​∂t​+Sτ​:W1,p(R×S1,R2n)→Lp(R×S1,R2n) satisfy

ind⁡DS0=ind⁡DS1.\operatorname{ind}D_{S_0}=\operatorname{ind}D_{S_1}.indDS0​​=indDS1​​.

This is the homotopy invariance of the Fredholm index on the cylinder: the asymptotic loops may move with τ\tauτ as long as they stay nondegenerate. It reduces index comparisons to the construction of such families.

Formalization Note The family is S : unitInterval → ℝ × ℝ → Mat n with loops P M : unitInterval → ℝ → Mat n; each S τ satisfies IsAsymptoticTo (S τ) (P τ) (M τ) (positive end first), the loops satisfy IsSymLoop and IsNondegenerate, and the index is crIndex p =dim⁡ker⁡DS−dim⁡coker⁡DS=\dim\ker D_S-\dim\operatorname{coker}D_S=dimkerDS​−dimcokerDS​ from the setting module. No continuity of the loops in τ\tauτ is assumed.

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 4–5, homotopy invariance on the cylinder with the trivial bundle and
`1 < p < ∞`: let `τ ↦ S_τ`, `τ ∈ [0, 1]`, be a family of coefficients such that every `S_τ` is
asymptotic to nondegenerate loops `P τ` (at `+∞`) and `M τ` (at `-∞`) of symmetric matrices, and
`τ ↦ S_τ` is continuous uniformly on the cylinder and in all entries. Then
`ind D_{S_0} = ind D_{S_1}`. -/
theorem crIndex_eq_of_homotopy (n : ℕ) (p : ℝ≥0∞) [Fact (1 ≤ p)] (hp : 1 < p) (hp' : p ≠ ⊤)
    (S : unitInterval → ℝ × ℝ → Mat n) (P M : unitInterval → ℝ → Mat n)
    (hP : ∀ τ, IsSymLoop (P τ)) (hM : ∀ τ, IsSymLoop (M τ))
    (hnP : ∀ τ, IsNondegenerate (P τ)) (hnM : ∀ τ, IsNondegenerate (M τ))
    (hS : ∀ τ, IsAsymptoticTo (S τ) (P τ) (M τ))
    (hcont : ∀ τ, ∀ ε > 0, ∃ δ > 0, ∀ σ, dist σ τ < δ → ∀ x i j,
      |S σ x i j - S τ x i j| ≤ ε) :
    crIndex p (S 0) = crIndex p (S 1) := 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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