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An asymptotic operator is nondegenerate exactly when its fundamental solution lies in SP(n)\mathrm{SP}(n)SP(n)

Proved
AsymptoticOperator.nondegenerate_iff_SP

by Mazecto · Oct 9, 2026 · Mathlib 0df444a (Lean v4.33.1)

asymptotic-operatorconley-zehnder-indexspectral-theorysymplectic-geometryunbounded-operator

Let S:S1→R2n×2nS:S^1\to\mathbb{R}^{2n\times2n}S:S1→R2n×2n be continuous with S(t)T=S(t)S(t)^{\mathsf T}=S(t)S(t)T=S(t) for all ttt, let Ψ\PsiΨ be its fundamental solution, and let ψ=Ψ∣[0,1]\psi=\Psi|_{[0,1]}ψ=Ψ∣[0,1]​. Then 000 is not an eigenvalue of ASA_SAS​ if and only if ψ∈SP(n)\psi\in\mathrm{SP}(n)ψ∈SP(n), i.e. ψ\psiψ is a path of symplectic matrices from Id\mathrm{Id}Id to a matrix without eigenvalue 111.

So nondegenerate asymptotic operators are exactly those whose fundamental solution has a Conley–Zehnder index μCZ(ψ)\mu_{CZ}(\psi)μCZ​(ψ) in the sense of ConleyZehnder_Setting.

Preamble
import Definitions.Def_AsymptoticOperator_Setting
Formal statement
namespace AsymptoticOperator

open ConleyZehnder

/-- `A_S` is nondegenerate (`0` is not an eigenvalue) if and only if the
fundamental solution restricted to `[0, 1]` lies in `SP(n)`, the domain of the
Conley–Zehnder index. -/
theorem nondegenerate_iff_SP {n : ℕ} (S : C(UnitAddCircle, Mat n)) (hS : IsSymLoop S)
    (Ψ : ℝ → Mat n) (hΨ : IsFundamentalSolution S Ψ) (ψ : C(unitInterval, Mat n))
    (hψ : ∀ t : unitInterval, ψ t = Ψ t) :
    eigenspace (asymptoticOperator S) 0 = ⊥ ↔ ψ ∈ SP n := by sorry

end AsymptoticOperator
Source
Wendl, Lectures on Symplectic Field Theory, arXiv:1612.01009, https://arxiv.org/abs/1612.01009, §3.4, p. 61 (informal there); Hofer-Wysocki-Zehnder, Properties of pseudoholomorphic curves in symplectisations II, GAFA 5 (1995) 270-328, https://doi.org/10.1007/BF01895669, Section 3, p. 288, after Definition 3.9 (n = 1)
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What the Lean code literally says, in plain math · claude-opus-5-5

Matrices. Let n≥0n \ge 0n≥0 be a natural number (n=0n = 0n=0 is allowed). Write Matn\mathrm{Mat}_nMatn​ for the real 2n×2n2n \times 2n2n×2n matrices, rows and columns indexed by two disjoint copies of {0,…,n−1}\{0,\dots,n-1\}{0,…,n−1}, and

J0=(0−InIn0).J_0 = \begin{pmatrix} 0 & -I_n \\ I_n & 0 \end{pmatrix}.J0​=(0In​​−In​0​).

A matrix AAA is symplectic if A J0 AT=J0A\, J_0\, A^{\mathsf T} = J_0AJ0​AT=J0​. Let S1=R/ZS^1 = \mathbb{R}/\mathbb{Z}S1=R/Z; for t∈Rt \in \mathbb{R}t∈R, S(t)S(t)S(t) means SSS at the class t mod 1t \bmod 1tmod1.

The space L2L^2L2. R2n\mathbb{R}^{2n}R2n carries its Euclidean inner product. L2=L2(S1,R2n)L^2 = L^2(S^1, \mathbb{R}^{2n})L2=L2(S1,R2n) is the real Hilbert space of (classes modulo almost-everywhere equality of) measurable square-integrable functions f:R/Z→R2nf : \mathbb{R}/\mathbb{Z} \to \mathbb{R}^{2n}f:R/Z→R2n, with respect to the Haar probability measure dtdtdt on R/Z\mathbb{R}/\mathbb{Z}R/Z (total mass 111). When n=0n = 0n=0, L2L^2L2 is the zero space.

Fourier coefficients. For f∈L2f \in L^2f∈L2 (evaluated through any representative; the integral does not depend on the choice) and k∈Zk \in \mathbb{Z}k∈Z, view f(t)f(t)f(t) as a vector in C2n\mathbb{C}^{2n}C2n (real entries) and set

f^k=∫R/Ze−2πikt f(t) dt∈C2n,\hat f_k = \int_{\mathbb{R}/\mathbb{Z}} e^{-2\pi i k t}\, f(t)\, dt \in \mathbb{C}^{2n},f^​k​=∫R/Z​e−2πiktf(t)dt∈C2n,

and similarly

(Sf)k∧=∫R/Ze−2πikt S(t)f(t) dt∈C2n,(Sf)^{\wedge}_k = \int_{\mathbb{R}/\mathbb{Z}} e^{-2\pi i k t}\, S(t) f(t)\, dt \in \mathbb{C}^{2n},(Sf)k∧​=∫R/Z​e−2πiktS(t)f(t)dt∈C2n,

where S(t)S(t)S(t) acts on the complexified vector by matrix–vector multiplication. (These are Bochner integrals; by the general convention an integral of a non-integrable function is 000.)

W1,2W^{1,2}W1,2 condition. f∈L2f \in L^2f∈L2 is said to be in W1,2W^{1,2}W1,2 if the family

k↦(1+k2)∑i∣(f^k)i∣2(k∈Z)k \mapsto (1 + k^2) \sum_{i} \big|(\hat f_k)_i\big|^2 \qquad (k \in \mathbb{Z})k↦(1+k2)i∑​​(f^​k​)i​​2(k∈Z)

is summable over Z\mathbb{Z}Z, i.e. ∑k∈Z(1+k2) ∣f^k∣2<∞\sum_{k\in\mathbb{Z}} (1+k^2)\,|\hat f_k|^2 < \infty∑k∈Z​(1+k2)∣f^​k​∣2<∞ (here ∣⋅∣|\cdot|∣⋅∣ is the complex modulus and iii runs over the 2n2n2n coordinates).

Graph relation. For a continuous S:R/Z→MatnS : \mathbb{R}/\mathbb{Z} \to \mathrm{Mat}_nS:R/Z→Matn​, let GS⊆L2×L2G_S \subseteq L^2 \times L^2GS​⊆L2×L2 be the set of pairs (f,g)(f, g)(f,g) such that f∈W1,2f \in W^{1,2}f∈W1,2 and, for every k∈Zk \in \mathbb{Z}k∈Z,

g^k=−(2πk i) J0f^k−(Sf)k∧,\hat g_k = -(2\pi k\, i)\, J_0 \hat f_k - (Sf)^{\wedge}_k ,g^​k​=−(2πki)J0​f^​k​−(Sf)k∧​,

with J0J_0J0​ acting on C2n\mathbb{C}^{2n}C2n by its (real) entries.

The operator ASA_SAS​. If there exists a partially defined R\mathbb{R}R-linear map AAA on L2L^2L2 (a linear subspace D(A)⊆L2D(A) \subseteq L^2D(A)⊆L2 and a linear map A:D(A)→L2A : D(A) \to L^2A:D(A)→L2) whose graph {(x,Ax):x∈D(A)}\{(x, Ax) : x \in D(A)\}{(x,Ax):x∈D(A)} equals GSG_SGS​ as a subset of L2×L2L^2 \times L^2L2×L2, then ASA_SAS​ is one such map, chosen by the axiom of choice. Otherwise, ASA_SAS​ is by fallback the zero map with domain all of L2L^2L2 (D(AS)=L2D(A_S) = L^2D(AS​)=L2, ASx=0A_S x = 0AS​x=0 for all xxx).

Eigenspace. eigenspace(AS,0)\mathrm{eigenspace}(A_S, 0)eigenspace(AS​,0) is the real vector space {x∈D(AS):ASx−0⋅x=0}={x∈D(AS):ASx=0}\{x \in D(A_S) : A_S x - 0\cdot x = 0\} = \{x \in D(A_S) : A_S x = 0\}{x∈D(AS​):AS​x−0⋅x=0}={x∈D(AS​):AS​x=0}, a linear subspace of D(AS)D(A_S)D(AS​). "eigenspace(AS,0)=0\mathrm{eigenspace}(A_S, 0) = 0eigenspace(AS​,0)=0" means this subspace consists of the zero vector only.

The set SP(n)\mathrm{SP}(n)SP(n). SP(n)\mathrm{SP}(n)SP(n) is the set of continuous maps ψ:[0,1]→Matn\psi : [0,1] \to \mathrm{Mat}_nψ:[0,1]→Matn​ such that ψ(t)\psi(t)ψ(t) is symplectic for every t∈[0,1]t \in [0,1]t∈[0,1], ψ(0)=I2n\psi(0) = I_{2n}ψ(0)=I2n​, and det⁡(I2n−ψ(1))≠0\det\big(I_{2n} - \psi(1)\big) \neq 0det(I2n​−ψ(1))=0. (For n=0n = 0n=0, the determinant of the empty matrix is 111, so this last condition holds automatically.)

Hypotheses.

  • S:R/Z→MatnS : \mathbb{R}/\mathbb{Z} \to \mathrm{Mat}_nS:R/Z→Matn​ is continuous, and S(t)T=S(t)S(t)^{\mathsf T} = S(t)S(t)T=S(t) for every ttt.
  • Ψ:R→Matn\Psi : \mathbb{R} \to \mathrm{Mat}_nΨ:R→Matn​ is a fundamental solution of SSS: Ψ(0)=I2n\Psi(0) = I_{2n}Ψ(0)=I2n​, and for every t∈Rt \in \mathbb{R}t∈R, Ψ\PsiΨ is differentiable at ttt (entrywise topology on Matn\mathrm{Mat}_nMatn​) with Ψ′(t)=J0 S(t) Ψ(t)\Psi'(t) = J_0\, S(t)\, \Psi(t)Ψ′(t)=J0​S(t)Ψ(t).
  • ψ:[0,1]→Matn\psi : [0,1] \to \mathrm{Mat}_nψ:[0,1]→Matn​ is a continuous map with ψ(t)=Ψ(t)\psi(t) = \Psi(t)ψ(t)=Ψ(t) for every t∈[0,1]t \in [0,1]t∈[0,1] (i.e. ψ\psiψ is the restriction of Ψ\PsiΨ to [0,1][0,1][0,1], supplied as a separate continuous map).

Conclusion.

{x∈D(AS):ASx=0}={0}⟺ψ∈SP(n),\{x \in D(A_S) : A_S x = 0\} = \{0\} \quad\Longleftrightarrow\quad \psi \in \mathrm{SP}(n),{x∈D(AS​):AS​x=0}={0}⟺ψ∈SP(n),

i.e. the zero-eigenspace of ASA_SAS​ is trivial if and only if ψ(t)\psi(t)ψ(t) is symplectic for all t∈[0,1]t \in [0,1]t∈[0,1], ψ(0)=I2n\psi(0) = I_{2n}ψ(0)=I2n​, and det⁡(I2n−ψ(1))≠0\det(I_{2n} - \psi(1)) \neq 0det(I2n​−ψ(1))=0.

Human review
  • Endorsed by Shuze Chen · Oct 10, 2026

    Confirmed by the moderator at approval.

  • Endorsed by Mazecto · Oct 10, 2026

    Confirmed by the mission captain (proposal self-audit).

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