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Resolvent converse is a positive self-adjoint extension

Definition
ChapterHashimotoConverseProofs

by hitme development · Sep 21, 2026 · Mathlib 0df444a (Lean v4.33.1)

spectral-theorytimepiece

A bounded injective positive self-adjoint resolvent RRR defines an unbounded operator A=R−1−γA=R^{-1}-\gammaA=R−1−γ on the range of RRR. That operator is symmetric, positive, and satisfies the self-adjointness criterion, so it is a positive self-adjoint extension of any restriction of itself.

R=(A+γ)−1⟹A=R−1−γ is a positive self-adjoint extension.R=(A+\gamma)^{-1}\qquad\Longrightarrow\qquad A=R^{-1}-\gamma\ \mathrm{is\ a\ positive\ self\text{-}adjoint\ extension.}R=(A+γ)−1⟹A=R−1−γ is a positive self-adjoint extension.

Formalization Note. Lean names live in BookProof.HashimotoShiftInvert. invShiftOperator stays in the existing husk.

Definition code
import Mathlib
import Definitions.Def_ChapterHashimotoShiftInvert
import Definitions.Def_ChapterFriedrichsExtension
import Definitions.Def_ChapterYangMillsFriedrichs
import Definitions.Def_ChapterFarisLavine
import Theorems.Thm_BookProof_HashimotoShiftInvert_isShiftInvert_invShiftOperator

namespace BookProof.HashimotoShiftInvert

open BookProof.YangMillsFriedrichs BookProof.FarisLavine

noncomputable section

variable {F : Type*} [NormedAddCommGroup F] [InnerProductSpace ℂ F] [CompleteSpace F]

omit [CompleteSpace F] in
theorem preim_eq (R : F →L[ℂ] F) (hinj : Function.Injective R)
    (y : LinearMap.range (R : F →ₗ[ℂ] F)) {u : F} (hu : R u = (y : F)) : preim R y = u :=
  hinj (by rw [preim_spec, hu])

omit [CompleteSpace F] in
@[simp] theorem invShiftOperator_apply (R : F →L[ℂ] F) (hinj : Function.Injective R) (γ : ℝ)
    (y : LinearMap.range (R : F →ₗ[ℂ] F)) :
    invShiftOperator R hinj γ y = preim R y - (γ : ℂ) • (y : F) := rfl

/-- The operator defined by a self-adjoint `R` is symmetric. -/
theorem invShiftOperator_symmetricOn (R : F →L[ℂ] F) (hinj : Function.Injective R) (γ : ℝ)
    (hR : IsSelfAdjoint R) :
    SymmetricOn (LinearMap.range (R : F →ₗ[ℂ] F)) (invShiftOperator R hinj γ) := by
  have hRsym := ContinuousLinearMap.isSelfAdjoint_iff_isSymmetric.mp hR
  intro y z
  have hy : R (preim R y) = (y : F) := preim_spec R y
  have hz : R (preim R z) = (z : F) := preim_spec R z
  have hcross : (inner ℂ (preim R y) (z : F) : ℂ) = inner ℂ (y : F) (preim R z) := by
    rw [← hy, ← hz]
    exact (hRsym (preim R y) (preim R z)).symm
  simp only [invShiftOperator_apply, inner_sub_left, inner_sub_right, inner_smul_left,
    inner_smul_right, Complex.conj_ofReal, hcross]

omit [CompleteSpace F] in
/-- The operator defined by `R` is positive exactly when `R ≤ 1/γ` in the sense
of quadratic forms. -/
theorem invShiftOperator_quadForm_nonneg (R : F →L[ℂ] F) (hinj : Function.Injective R) (γ : ℝ)
    (hposR : ∀ u : F, γ * ‖R u‖ ^ 2 ≤ (inner ℂ (R u) u : ℂ).re)
    (y : LinearMap.range (R : F →ₗ[ℂ] F)) : 0 ≤ quadForm (invShiftOperator R hinj γ) y := by
  have hy : R (preim R y) = (y : F) := preim_spec R y
  have hq : quadForm (invShiftOperator R hinj γ) y
      = (inner ℂ (y : F) (preim R y) : ℂ).re - γ * ‖(y : F)‖ ^ 2 := by
    rw [quadForm, invShiftOperator_apply, inner_sub_right, inner_smul_right, Complex.sub_re,
      inner_self_eq_norm_sq_to_K]
    congr 1
    simp [← Complex.ofReal_pow]
  have hp := hposR (preim R y)
  rw [hy] at hp
  rw [hq]
  linarith

/-- The operator defined by an injective self-adjoint `R` satisfies the
self-adjointness criterion: every vector that behaves like a domain vector is
one. -/
theorem invShiftOperator_selfAdjointCriterion (R : F →L[ℂ] F) (hinj : Function.Injective R)
    (γ : ℝ) (hR : IsSelfAdjoint R) (w u : F)
    (hw : ∀ v : LinearMap.range (R : F →ₗ[ℂ] F),
      (inner ℂ (invShiftOperator R hinj γ v) w : ℂ) = inner ℂ (v : F) u) :
    ∃ h : w ∈ LinearMap.range (R : F →ₗ[ℂ] F), invShiftOperator R hinj γ ⟨w, h⟩ = u := by
  have hRsym := ContinuousLinearMap.isSelfAdjoint_iff_isSymmetric.mp hR
  have hkey : ∀ z : F, (inner ℂ z (w - (γ : ℂ) • R w - R u) : ℂ) = 0 := by
    intro z
    have hv := hw ⟨R z, ⟨z, rfl⟩⟩
    have hpre : preim R ⟨R z, ⟨z, rfl⟩⟩ = z := preim_eq R hinj _ rfl
    rw [invShiftOperator_apply, hpre] at hv
    have h1 : (inner ℂ (R z) w : ℂ) = inner ℂ z (R w) := hRsym z w
    have h2 : (inner ℂ (R z) u : ℂ) = inner ℂ z (R u) := hRsym z u
    rw [inner_sub_left, inner_smul_left, Complex.conj_ofReal, h1, h2] at hv
    rw [inner_sub_right, inner_sub_right, inner_smul_right]
    rw [hv]
    ring
  have hzero : w - (γ : ℂ) • R w - R u = 0 :=
    inner_self_eq_zero.mp (hkey (w - (γ : ℂ) • R w - R u))
  have hwsum : w = (γ : ℂ) • R w + R u := by
    linear_combination (norm := module) hzero
  have hwval : w = R (u + (γ : ℂ) • w) := by
    rw [map_add, map_smul]
    linear_combination (norm := module) hwsum
  refine ⟨⟨u + (γ : ℂ) • w, hwval.symm⟩, ?_⟩
  have hpre : preim R ⟨w, ⟨u + (γ : ℂ) • w, hwval.symm⟩⟩ = u + (γ : ℂ) • w :=
    preim_eq R hinj _ hwval.symm
  rw [invShiftOperator_apply, hpre]
  module

/-- **The operator defined by a bounded, injective, positive self-adjoint `R` is
a positive self-adjoint extension** of any restriction of it. -/
theorem invShiftOperator_isPositiveSelfAdjointExtension (R : F →L[ℂ] F)
    (hinj : Function.Injective R) (γ : ℝ) (hR : IsSelfAdjoint R)
    (hposR : ∀ u : F, γ * ‖R u‖ ^ 2 ≤ (inner ℂ (R u) u : ℂ).re)
    {D : Submodule ℂ F} (hD : D ≤ LinearMap.range (R : F →ₗ[ℂ] F)) (H : D →ₗ[ℂ] F)
    (hH : ∀ x : D, H x = invShiftOperator R hinj γ ⟨(x : F), hD x.2⟩) :
    IsPositiveSelfAdjointExtension H (invShiftOperator R hinj γ) :=
  ⟨fun x => ⟨hD x.2, (hH x).symm⟩, invShiftOperator_symmetricOn R hinj γ hR,
    invShiftOperator_quadForm_nonneg R hinj γ hposR,
    invShiftOperator_selfAdjointCriterion R hinj γ hR⟩

end

end BookProof.HashimotoShiftInvert
Source
timepiece BookProof, ChapterHashimotoShiftInvert.lean, theorem invShiftOperator_isPositiveSelfAdjointExtension

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