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Hyperbolicity of the maximal invariant set of a transverse plug gluing, given one metric, uniqueness of integral curves and C¹ local flows

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AnosovPlugs.plugGluing_hyperbolic_of_pieces_of_flows

by ebayuser · Oct 3, 2026 · Mathlib 0df444a (Lean v4.33.1)

3-manifoldsanosov-flowsdynamical-systemshyperbolic-dynamics

Let (U,X)(U,X)(U,X) and (V,Y)(V,Y)(V,Y) be plugs: compact Hausdorff smooth 3-manifolds with boundary carrying nonsingular C¹ vector fields transverse to the boundary. Let Tout⊆∂outUT^{out}\subseteq\partial^{out}UTout⊆∂outU and Tin⊆∂inVT^{in}\subseteq\partial^{in}VTin⊆∂inV be unions of connected components of the exit and entrance boundaries, and let φ:Tout→Tin\varphi:T^{out}\to T^{in}φ:Tout→Tin be a C¹ diffeomorphism (the mission's IsBoundaryDiffeo). Let (W,Z,iU,iV)(W,Z,i_U,i_V)(W,Z,iU​,iV​) be a plug gluing (the mission's IsPlugGluing): WWW is a compact Hausdorff smooth 3-manifold with boundary, iU:U→Wi_U:U\to WiU​:U→W and iV:V→Wi_V:V\to WiV​:V→W are C¹ embeddings with injective derivatives whose images cover WWW and meet exactly along the seam iU(x)=iV(φ(x))i_U(x)=i_V(\varphi(x))iU​(x)=iV​(φ(x)), x∈Toutx\in T^{out}x∈Tout, and ZZZ is the vector field on WWW with Z∘iU=DiU∘XZ\circ i_U=Di_U\circ XZ∘iU​=DiU​∘X and Z∘iV=DiV∘YZ\circ i_V=Di_V\circ YZ∘iV​=DiV​∘Y. The field ZZZ is not assumed to be C¹. Assume in addition that (U,X)(U,X)(U,X) and (V,Y)(V,Y)(V,Y) are hyperbolic plugs (their maximal invariant sets ΛX\Lambda_XΛX​, ΛY\Lambda_YΛY​ are hyperbolic sets), and that the gluing is transverse: at every point p∈φ(LXu∩Tout)∩LYsp\in\varphi(L^u_X\cap T^{out})\cap L^s_Yp∈φ(LXu​∩Tout)∩LYs​ the pushed exit leaf φ∗(leaf of LXu)\varphi_*(\text{leaf of } L^u_X)φ∗​(leaf of LXu​) and the entrance leaf of LYsL^s_YLYs​ through ppp are transverse curves in ∂V\partial V∂V (the mission's CurvesTransverseAt), where LXuL^u_XLXu​ and LYsL^s_YLYs​ are the exit and entrance laminations. A set Λ⊆M\Lambda\subseteq MΛ⊆M is a hyperbolic set of a vector field XXX (the mission's IsHyperbolicSet X Λ) if there are a continuous Riemannian metric ggg, line fields EsE^sEs, EuE^uEu on Λ\LambdaΛ and constants C>0C>0C>0, λ>0\lambda>0λ>0 such that at every x∈Λx\in\Lambdax∈Λ: Exs⊕RX(x)⊕Exu=TxME^s_x\oplus\mathbb R X(x)\oplus E^u_x=T_xMExs​⊕RX(x)⊕Exu​=Tx​M, the two line fields are invariant under the derivatives of the time-ttt maps ϕt\phi_tϕt​ of the flow of XXX for all t∈Rt\in\mathbb Rt∈R, and ∥Dϕt(v)∥g≤Ce−λt∥v∥g\|D\phi_t(v)\|_g\le C e^{-\lambda t}\|v\|_g∥Dϕt​(v)∥g​≤Ce−λt∥v∥g​ for v∈Exsv\in E^s_xv∈Exs​, t≥0t\ge0t≥0, and ∥Dϕ−t(v)∥g≤Ce−λt∥v∥g\|D\phi_{-t}(v)\|_g\le C e^{-\lambda t}\|v\|_g∥Dϕ−t​(v)∥g​≤Ce−λt∥v∥g​ for v∈Exuv\in E^u_xv∈Exu​, t≥0t\ge0t≥0. The time-ttt map is the mission's flowMap X t, which sends xxx to γ(t)\gamma(t)γ(t) for a chosen integral curve γ\gammaγ of XXX on [0,t][0,t][0,t] with γ(0)=x\gamma(0)=xγ(0)=x when one exists, and to xxx otherwise. Assume the maximal invariant set of ZZZ is described (the hypothesis hΛ, proved in the mission as plugGluing_maxInvSet_subset and plugGluing_maxInvSet_superset):

ΛZ=iU(ΛX) ∪ iV(ΛY) ∪ {points of complete Z-orbits through iU(x), x∈LXu∩Tout, φ(x)∈LYs}.\Lambda_Z = i_U(\Lambda_X)\ \cup\ i_V(\Lambda_Y)\ \cup\ \{\text{points of complete } Z\text{-orbits through } i_U(x),\ x\in L^u_X\cap T^{out},\ \varphi(x)\in L^s_Y\}.ΛZ​=iU​(ΛX​) ∪ iV​(ΛY​) ∪ {points of complete Z-orbits through iU​(x), x∈LXu​∩Tout, φ(x)∈LYs​}.

Assume further the following. Each is the conclusion of another mission theorem, applied to the data above:

  1. (one metric for both pieces) a continuous Riemannian metric ggg on WWW together with line fields and constants, separately for each piece, that make iU(ΛX)i_U(\Lambda_X)iU​(ΛX​) and iV(ΛY)i_V(\Lambda_Y)iV​(ΛY​) hyperbolic sets of ZZZ with respect to this same ggg (isHyperbolicSet_of_metric applied to plugGluing_pieces_hyperbolic);
  2. (uniqueness) integral curves of ZZZ on [0,t][0,t][0,t] are determined by their starting point, for every ttt (plugGluing_integralCurveOn_unique);
  3. (C¹ local flows) at every interior point of UUU the field XXX has a local flow that is jointly C¹ in the initial point and the time, with the uniqueness clause of exists_localFlow_contMDiff_of_isInteriorPoint, and likewise for YYY on VVV. Then the whole maximal invariant set is hyperbolic:
ΛZ is a hyperbolic set of Z.\Lambda_Z \text{ is a hyperbolic set of } Z.ΛZ​ is a hyperbolic set of Z.

In words: this is the fifth sentence of the paper's proof of Proposition 1.1, which says that, by a classical consequence of the hyperbolic theory, the orbit of φ∗(LXu)∩LYs\varphi_*(L^u_X)\cap L^s_Yφ∗​(LXu​)∩LYs​ inherits a hyperbolic structure, with the paper's description of the bundles at a connecting point y∈Tiny\in T^{in}y∈Tin: the stable bundle is R Y(y)⊕TyLYs\mathbb R\,Y(y)\oplus T_yL^s_YRY(y)⊕Ty​LYs​ and the unstable bundle is R φ∗X(y)⊕Tyφ∗(LXu)\mathbb R\,\varphi_*X(y)\oplus T_y\varphi_*(L^u_X)Rφ∗​X(y)⊕Ty​φ∗​(LXu​), pushed into WWW by DiVDi_VDiV​. The expected proof: by hypothesis 2 the time-ttt maps of ZZZ along a connecting orbit are given by that orbit, and the two pieces are flow invariant; the time-ttt maps are C¹ along the connecting orbits: hypothesis 3 covers the interior of each piece, and near the seam a C¹ flow up to the boundary and the transversality of XXX to ∂U\partial U∂U give a C¹ hitting time; the hyperbolic structures of the two pieces extend to cone fields on neighbourhoods; an unstable cone transported from iU(ΛX)i_U(\Lambda_X)iU​(ΛX​) along a connecting orbit crosses the seam and, by the transversality hypothesis, lands inside the unstable cone of iV(ΛY)i_V(\Lambda_Y)iV​(ΛY​) after a bounded transit time; the cone-field criterion with uniform constants (compactness of ΛZ\Lambda_ZΛZ​ and of the set of connecting points) gives the invariant splitting on all of ΛZ\Lambda_ZΛZ​; the unstable estimate is the same argument for −Z-Z−Z.

Formalization Note This theorem is the target plugGluing_hyperbolic_of_pieces with three added hypotheses, each the verbatim conclusion of a mission theorem: hypothesis 1 is the conclusion of isHyperbolicSet_of_metric (the body of IsHyperbolicSet with the metric fixed to ggg), hypothesis 2 is the conclusion of plugGluing_integralCurveOn_unique, and hypothesis 3 is the conclusion of exists_localFlow_contMDiff_of_isInteriorPoint, quantified over interior points of UUU and of VVV. This theorem is now reduced to two companion theorems: plugGluing_flowMap_contMDiffOn (the C¹ regularity of the time-ttt maps of ZZZ near its maximal invariant set, also across the seam, which is proved) and plugGluing_hyperbolic_of_pieces_of_regularity (the hyperbolic theory of transverse heteroclinic connections: cone fields, their transport across the seam, and uniform constants, which is open). Hypothesis 3 gives only local flows at interior points; the regularity across the seam is proved separately in plugGluing_localSteps_seam. Mathlib (at the pinned version) has no hyperbolic theory. The paper's description of the bundles at connecting points is not asserted, because IsHyperbolicSet is existential in the bundles. The field ZZZ is not assumed C¹; the time-ttt map flowMap Z t is junk-valued where no integral curve exists.

Preamble
import Mathlib
import Definitions.Def_AnosovPlugs_Gluing

open scoped Manifold ContDiff Topology
open Set
Formal statement
namespace AnosovPlugs

theorem plugGluing_hyperbolic_of_pieces_of_flows
    {U : Type} [TopologicalSpace U] [ChartedSpace (EuclideanHalfSpace 3) U]
    [IsManifold I3 ∞ U] [T2Space U] [CompactSpace U]
    {V : Type} [TopologicalSpace V] [ChartedSpace (EuclideanHalfSpace 3) V]
    [IsManifold I3 ∞ V] [T2Space V] [CompactSpace V]
    {W : Type} [TopologicalSpace W] [ChartedSpace (EuclideanHalfSpace 3) W]
    [IsManifold I3 ∞ W] [T2Space W] [CompactSpace W]
    (X : (x : U) → TangentSpace I3 x) (Y : (y : V) → TangentSpace I3 y)
    (hX : IsHyperbolicPlug X) (hY : IsHyperbolicPlug Y)
    (Tout : Set U) (Tin : Set V) (hTout : IsUnionOfComponents Tout (outBoundary X))
    (hTin : IsUnionOfComponents Tin (inBoundary Y)) (φ : U → V)
    (hφ : IsBoundaryDiffeo φ Tout Tin)
    (htransv : ∀ p ∈ φ '' (exitLamination X ∩ Tout) ∩ entranceLamination Y,
      CurvesTransverseAt (pushLeaf φ Tout (exitLeaf X) p) (entranceLeaf Y p) p)
    (Z : (w : W) → TangentSpace I3 w) (iU : U → W) (iV : V → W)
    (hglue : IsPlugGluing X Y Tout φ Z iU iV)
    (hΛ : maxInvSet Z = iU '' maxInvSet X ∪ iV '' maxInvSet Y ∪
      {w | ∃ x ∈ exitLamination X ∩ Tout, φ x ∈ entranceLamination Y ∧
        ∃ γ : ℝ → W, γ 0 = iU x ∧ IsMIntegralCurve γ Z ∧ w ∈ range γ})
    (g : RiemannianMetric3 W)
    (hU : ∃ (Es Eu : (x : W) → Submodule ℝ (TangentSpace I3 x)) (C lam : ℝ), 0 < C ∧ 0 < lam ∧
          ∀ x ∈ iU '' maxInvSet X,
            Module.finrank ℝ (Es x) = 1 ∧ Module.finrank ℝ (Eu x) = 1 ∧
            Es x ⊔ Submodule.span ℝ {Z x} ⊔ Eu x = ⊤ ∧
            (∀ t : ℝ, (Es x).map (mfderiv I3 I3 (flowMap Z t) x).toLinearMap = Es (flowMap Z t x)) ∧
            (∀ t : ℝ, (Eu x).map (mfderiv I3 I3 (flowMap Z t) x).toLinearMap = Eu (flowMap Z t x)) ∧
            (∀ t : ℝ, 0 ≤ t → ∀ v ∈ Es x,
              g.norm (flowMap Z t x) (mfderiv I3 I3 (flowMap Z t) x v)
                ≤ C * Real.exp (-lam * t) * g.norm x v) ∧
            (∀ t : ℝ, 0 ≤ t → ∀ v ∈ Eu x,
              g.norm (flowMap Z (-t) x) (mfderiv I3 I3 (flowMap Z (-t)) x v)
                ≤ C * Real.exp (-lam * t) * g.norm x v))
    (hV : ∃ (Es Eu : (x : W) → Submodule ℝ (TangentSpace I3 x)) (C lam : ℝ), 0 < C ∧ 0 < lam ∧
          ∀ x ∈ iV '' maxInvSet Y,
            Module.finrank ℝ (Es x) = 1 ∧ Module.finrank ℝ (Eu x) = 1 ∧
            Es x ⊔ Submodule.span ℝ {Z x} ⊔ Eu x = ⊤ ∧
            (∀ t : ℝ, (Es x).map (mfderiv I3 I3 (flowMap Z t) x).toLinearMap = Es (flowMap Z t x)) ∧
            (∀ t : ℝ, (Eu x).map (mfderiv I3 I3 (flowMap Z t) x).toLinearMap = Eu (flowMap Z t x)) ∧
            (∀ t : ℝ, 0 ≤ t → ∀ v ∈ Es x,
              g.norm (flowMap Z t x) (mfderiv I3 I3 (flowMap Z t) x v)
                ≤ C * Real.exp (-lam * t) * g.norm x v) ∧
            (∀ t : ℝ, 0 ≤ t → ∀ v ∈ Eu x,
              g.norm (flowMap Z (-t) x) (mfderiv I3 I3 (flowMap Z (-t)) x v)
                ≤ C * Real.exp (-lam * t) * g.norm x v))
    (huniq : ∀ (γ γ' : ℝ → W) (t : ℝ), IsMIntegralCurveOn γ Z (uIcc 0 t) → IsMIntegralCurveOn γ' Z (uIcc 0 t) →
            γ' 0 = γ 0 → ∀ s ∈ uIcc 0 t, γ' s = γ s)
    (hflowX : ∀ x₀ : U, I3.IsInteriorPoint x₀ →
      ∃ ε > (0 : ℝ), ∃ O : Set U, IsOpen O ∧ x₀ ∈ O ∧ ∃ α : U → ℝ → U,
        (∀ y ∈ O, α y 0 = y ∧ IsMIntegralCurveOn (α y) X (Icc (-ε) ε) ∧
          ∀ τ ∈ Icc (-ε) ε, I3.IsInteriorPoint (α y τ)) ∧
        ContMDiffOn (I3.prod 𝓘(ℝ, ℝ)) I3 1 (fun p : U × ℝ => α p.1 p.2) (O ×ˢ Ioo (-ε) ε) ∧
        (∀ y ∈ O, ∀ h : ℝ, |h| ≤ ε → ∀ η : ℝ → U, η 0 = y →
          IsMIntegralCurveOn η X (uIcc 0 h) → (∀ τ ∈ uIcc 0 h, η τ ∈ O) →
          ∀ τ ∈ uIcc 0 h, η τ = α y τ))
    (hflowY : ∀ y₀ : V, I3.IsInteriorPoint y₀ →
      ∃ ε > (0 : ℝ), ∃ O : Set V, IsOpen O ∧ y₀ ∈ O ∧ ∃ α : V → ℝ → V,
        (∀ y ∈ O, α y 0 = y ∧ IsMIntegralCurveOn (α y) Y (Icc (-ε) ε) ∧
          ∀ τ ∈ Icc (-ε) ε, I3.IsInteriorPoint (α y τ)) ∧
        ContMDiffOn (I3.prod 𝓘(ℝ, ℝ)) I3 1 (fun p : V × ℝ => α p.1 p.2) (O ×ˢ Ioo (-ε) ε) ∧
        (∀ y ∈ O, ∀ h : ℝ, |h| ≤ ε → ∀ η : ℝ → V, η 0 = y →
          IsMIntegralCurveOn η Y (uIcc 0 h) → (∀ τ ∈ uIcc 0 h, η τ ∈ O) →
          ∀ τ ∈ uIcc 0 h, η τ = α y τ)) :
    IsHyperbolicSet Z (maxInvSet Z) := by sorry

end AnosovPlugs
Source
F. Béguin, C. Bonatti, B. Yu, *Building Anosov flows on 3-manifolds*, Geom. Topol. 21 (2017) 1837–1930, https://doi.org/10.2140/gt.2017.21.1837 (arXiv:1408.3951v1). Proof of Proposition 1.1, fifth sentence (arXiv v1 Section 3.1, p. 14; GT 2017 Section 4.1): the Z-orbit of φ_*(L^u_X) ∩ L^s_Y inherits a hyperbolic structure, 'a classical consequence of the hyperbolic theory' in the paper's words. Mission notions: IsHyperbolicSet, IsPlugGluing, CurvesTransverseAt, pushLeaf, exitLeaf, entranceLeaf, maxInvSet; companion theorems isHyperbolicSet_of_metric, plugGluing_integralCurveOn_unique, exists_localFlow_contMDiff_of_isInteriorPoint.

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