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Winding of the transverse derivative on a circle around all punctures

Proved
FiniteEnergyPlane.hasLoopWind_cylInf_eq_windInf_sub

by Mazecto · Nov 3, 2026 · Mathlib 0df444a (Lean v4.33.1)

compactness

Let S=H−1(1)⊂R4S=H^{-1}(1)\subset\mathbb{R}^4S=H−1(1)⊂R4 be a strictly star-shaped level and JJJ a smooth dλ0d\lambda_0dλ0​-compatible complex structure on ξ\xiξ. Let Γ⊂C\Gamma\subset\mathbb{C}Γ⊂C be finite and uuu a finite-energy J~\tilde JJ~-holomorphic curve on C∖Γ\mathbb{C}\setminus\GammaC∖Γ such that ∞\infty∞ is a positive nondegenerate puncture (Hryniewicz, Definition 2.9), π du\pi\,duπdu does not vanish identically, and wind∞(u,∞)=k\mathrm{wind}_\infty(u,\infty)=kwind∞​(u,∞)=k. Let R0=e2πs0R_0=e^{2\pi s_0}R0​=e2πs0​ with Γ⊂{∣z∣<R0}\Gamma\subset\{|z|<R_0\}Γ⊂{∣z∣<R0​} such that π∂su\pi\partial_suπ∂s​u has no zero on {∣z∣=R0}\{|z|=R_0\}{∣z∣=R0​}. Then the zeros of π∂su\pi\partial_suπ∂s​u in {∣z∣>R0}\{|z|>R_0\}{∣z∣>R0​} form a finite set ZZZ, each z∈Zz\in Zz∈Z is an isolated zero with a local index ind(z)\mathrm{ind}(z)ind(z), and the loop t↦π∂sw(s0,t)t\mapsto\pi\partial_sw(s_0,t)t↦π∂s​w(s0​,t) in cylindrical coordinates e2π(s+it)e^{2\pi(s+it)}e2π(s+it) at ∞\infty∞ has winding number

k−∑z∈Zind(z)k-\sum_{z\in Z}\mathrm{ind}(z)k−z∈Z∑​ind(z)

in the global frame.

Formalization Note The loop is the one in the definition of HasWindInfAt H u cylInf 1, taken at the single value s=s0s=s_0s=s0​; local indices are HasZeroIndex (piDs H u) z (idx z).

Preamble
import Definitions.Def_FiniteEnergyPlane_Compactness
Formal statement
namespace FiniteEnergyPlane

open MeasureTheory Metric Filter Topology
open scoped ContDiff ENNReal Real

/-- Let `u` be a finite-energy `J̃`-holomorphic curve on `ℂ \ Γ` (`Γ` finite) in the
symplectization of `S ⊂ ℝ⁴`, with a positive nondegenerate puncture at `∞` (Definition 2.9),
`π du` not identically zero and `wind_∞(u, ∞) = k`. Let `R₀ = e^{2π s₀}` be a radius with
`Γ ⊂ {|z| < R₀}` such that `π ∂ₛu` has no zero on the circle `|z| = R₀`. Then the zeros of
`π ∂ₛu` in `{|z| > R₀}` form a finite set `Z` of isolated zeros, and the loop `t ↦ π ∂ₛw(s₀, t)`
(cylindrical coordinates at `∞`, global frame) has winding number `k - Σ_{z ∈ Z} ind(z)`. -/
theorem hasLoopWind_cylInf_eq_windInf_sub (H : V 1 → ℝ) (hH : IsStrictlyStarShapedLevel H)
    (J : V 1 → V 1 →L[ℝ] V 1) (hJ : IsCompatibleXiStructure H J)
    (Γ : Finset ℂ) (u : ℂ → V 1) (hu : IsFiniteEnergyCurve H J (↑Γ)ᶜ u) (Pinf : ReebOrbit H)
    (hinf : IsNondegenerateEnd H u cylInf Pinf 1) (hne : ∃ z ∉ Γ, piDs H u z ≠ 0) (k : ℤ)
    (hk : HasWindInfAt H u cylInf 1 k) (s₀ : ℝ)
    (hΓ : ∀ z ∈ Γ, ‖z‖ < Real.exp (2 * π * s₀))
    (hcirc : ∀ z : ℂ, ‖z‖ = Real.exp (2 * π * s₀) → piDs H u z ≠ 0) :
    ∃ Z : Finset ℂ, (∀ z, z ∈ Z ↔ Real.exp (2 * π * s₀) < ‖z‖ ∧ piDs H u z = 0) ∧
      ∃ idx : ℂ → ℤ, (∀ z ∈ Z, HasZeroIndex (piDs H u) z (idx z)) ∧
        HasLoopWind (fun t => xiCoordC H (endW H u cylInf (s₀, t))
      (piXi H (endW H u cylInf (s₀, t)) (fderiv ℝ (endW H u cylInf) (s₀, t) (1, 0)))) (k - ∑ z ∈ Z, idx z) := by
  sorry

end FiniteEnergyPlane
Source
U. Hryniewicz, Fast finite-energy planes in symplectizations and applications, Trans. Amer. Math. Soc. 364 (2012), 1859–1931, arXiv:0812.4076, Section 4.6, p. 24 (winding of π⋅∂rw\pi\cdot\partial_r wπ⋅∂r​w on the circle ∣z∣=R0|z|=R_0∣z∣=R0​); U. Hryniewicz, Systems of global surfaces of section for dynamically convex Reeb flows on the 3-sphere, J. Symplectic Geom. 12 (2014), arXiv:1105.2077, Section 2.2.4, formula (16)
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What the Lean code literally says, in plain math · claude-opus-5-5

Read-back: FiniteEnergyPlane.hasLoopWind_cylInf_eq_windInf_sub

Ambient notation. Work in V=R4V = \mathbb{R}^4V=R4 with coordinates y0,y1,y2,y3y_0, y_1, y_2, y_3y0​,y1​,y2​,y3​ (the statement is for dimension 2(n+1)2(n+1)2(n+1) with n=1n = 1n=1). Let ω0(u,v)=u0v1−u1v0+u2v3−u3v2\omega_0(u,v) = u_0 v_1 - u_1 v_0 + u_2 v_3 - u_3 v_2ω0​(u,v)=u0​v1​−u1​v0​+u2​v3​−u3​v2​, λx(v)=12ω0(x,v)\lambda_x(v) = \tfrac12 \omega_0(x, v)λx​(v)=21​ω0​(x,v), XH=j0∇HX_H = j_0 \nabla HXH​=j0​∇H where (∇H(x))k=dHx(ek)(\nabla H(x))_k = dH_x(e_k)(∇H(x))k​=dHx​(ek​) and j0(v)=(−v1,v0,−v3,v2)j_0(v) = (-v_1, v_0, -v_3, v_2)j0​(v)=(−v1​,v0​,−v3​,v2​), and the Reeb field RH(x)=λx(XH(x))−1XH(x)R_H(x) = \lambda_x(X_H(x))^{-1} X_H(x)RH​(x)=λx​(XH​(x))−1XH​(x) (with 0−1=00^{-1} = 00−1=0). Write ξx={v:λx(v)=0, dHx(v)=0}\xi_x = \{ v : \lambda_x(v) = 0,\ dH_x(v) = 0\}ξx​={v:λx​(v)=0, dHx​(v)=0} and SH={H=1}S_H = \{ H = 1 \}SH​={H=1}.

  • Hypothesis on HHH ("strictly star-shaped level"): HHH is C∞C^\inftyC∞; every u≠0u \ne 0u=0 has exactly one r>0r > 0r>0 with H(ru)=1H(ru) = 1H(ru)=1; and dHx(x)>0dH_x(x) > 0dHx​(x)>0 whenever H(x)=1H(x) = 1H(x)=1.
  • Hypothesis on JJJ ("compatible ξ\xiξ-structure"): J:V→End(V)J : V \to \mathrm{End}(V)J:V→End(V) is C∞C^\inftyC∞ and for x∈SHx \in S_Hx∈SH​, v,w∈ξxv, w \in \xi_xv,w∈ξx​: J(x)v∈ξxJ(x)v \in \xi_xJ(x)v∈ξx​, J(x)2v=−vJ(x)^2 v = -vJ(x)2v=−v, ω0(v,J(x)v)>0\omega_0(v, J(x) v) > 0ω0​(v,J(x)v)>0 if v≠0v \ne 0v=0, ω0(J(x)v,J(x)w)=ω0(v,w)\omega_0(J(x)v, J(x)w) = \omega_0(v,w)ω0​(J(x)v,J(x)w)=ω0​(v,w).
  • Scaling, projection, aaa-coordinate. sH(y)s_H(y)sH​(y) is some r>0r > 0r>0 with H(ry)=1H(ry) = 1H(ry)=1 if one exists (chosen by choice), otherwise 111; πH(y)=sH(y) y\pi_H(y) = s_H(y)\, yπH​(y)=sH​(y)y; aH(y)=−12log⁡sH(y)a_H(y) = -\tfrac12 \log s_H(y)aH​(y)=−21​logsH​(y).
  • J~\tilde JJ~: for y∈Vy \in Vy∈V, with x=πH(y)x = \pi_H(y)x=πH​(y), r=sH(y)r = s_H(y)r=sH​(y), α(v)=r dHx(v)2dHx(x)\alpha(v) = \frac{r\, dH_x(v)}{2 dH_x(x)}α(v)=2dHx​(x)rdHx​(v)​, β(v)=rλx(v)\beta(v) = r\lambda_x(v)β(v)=rλx​(v), w(v)=v−2α(v)y−β(v)r−1RH(x)w(v) = v - 2\alpha(v) y - \beta(v) r^{-1} R_H(x)w(v)=v−2α(v)y−β(v)r−1RH​(x):  J~(y)v=α(v)r−1RH(x)−2β(v)y+J(x)w(v)\ \tilde J(y)v = \alpha(v) r^{-1} R_H(x) - 2\beta(v) y + J(x) w(v) J~(y)v=α(v)r−1RH​(x)−2β(v)y+J(x)w(v).
  • Derivatives. For fff on C\mathbb{C}C: ∂sf(z)=Df(z)[1]\partial_s f(z) = Df(z)[1]∂s​f(z)=Df(z)[1], ∂tf(z)=Df(z)[i]\partial_t f(z) = Df(z)[i]∂t​f(z)=Df(z)[i] (real Fréchet derivative, 000 where not differentiable).
  • Energy. Admissible φ\varphiφ: C∞C^\inftyC∞, non-decreasing, values in [0,1][0,1][0,1]. With a=aH∘ua = a_H \circ ua=aH​∘u, w=πH∘uw = \pi_H \circ uw=πH​∘u, eφ=φ′(a)(∂sa λw(∂tw)−∂ta λw(∂sw))+φ(a) ω0(∂sw,∂tw)e_\varphi = \varphi'(a)(\partial_s a\, \lambda_w(\partial_t w) - \partial_t a\, \lambda_w(\partial_s w)) + \varphi(a)\, \omega_0(\partial_s w, \partial_t w)eφ​=φ′(a)(∂s​aλw​(∂t​w)−∂t​aλw​(∂s​w))+φ(a)ω0​(∂s​w,∂t​w), and EH(U,u)=sup⁡φ∫Umax⁡(eφ,0)∈[0,∞]E_H(U,u) = \sup_\varphi \int_U \max(e_\varphi, 0) \in [0,\infty]EH​(U,u)=supφ​∫U​max(eφ​,0)∈[0,∞].
  • Finite-energy curve on UUU: uuu is C∞C^\inftyC∞ on UUU, nonvanishing on UUU, at each z∈Uz \in Uz∈U differentiable with ∂su+J~(u) ∂tu=0\partial_s u + \tilde J(u)\, \partial_t u = 0∂s​u+J~(u)∂t​u=0, and EH(U,u)<∞E_H(U,u) < \inftyEH​(U,u)<∞.
  • Reeb orbit PPP: a map xP:R→Vx_P : \mathbb{R} \to VxP​:R→V and TP>0T_P > 0TP​>0 with xP(τ)∈SHx_P(\tau) \in S_HxP​(τ)∈SH​, xP′=RH(xP)x_P' = R_H(x_P)xP′​=RH​(xP​), xP(τ+TP)=xP(τ)x_P(\tau + T_P) = x_P(\tau)xP​(τ+TP​)=xP​(τ) (any period, not necessarily minimal).
  • ξ\xiξ-coordinates. With Q1x=(−x2,x3,x0,−x1)Q_1 x = (-x_2, x_3, x_0, -x_1)Q1​x=(−x2​,x3​,x0​,−x1​), Q2x=(x3,x2,−x1,−x0)Q_2 x = (x_3, x_2, -x_1, -x_0)Q2​x=(x3​,x2​,−x1​,−x0​), ∣x∣|x|∣x∣ the Euclidean norm and
Fj(x)=∣x∣−1(Qx−dHx(Qx)dHx(x) x),Q=Q2 for j=1, Q=Q1 for j=2F_j(x) = |x|^{-1}\Big(Q x - \frac{dH_x(Qx)}{dH_x(x)}\, x\Big), \quad Q = Q_2 \text{ for } j = 1,\ Q = Q_1 \text{ for } j = 2Fj​(x)=∣x∣−1(Qx−dHx​(x)dHx​(Qx)​x),Q=Q2​ for j=1, Q=Q1​ for j=2

(division by 000 read as multiplication by 000), the complex coordinate of vvv at xxx is

ζx(v)=ω0(v,F2(x))+i ω0(F1(x),v)∈C.\zeta_x(v) = \omega_0\big(v, F_2(x)\big) + i\, \omega_0\big(F_1(x), v\big) \in \mathbb{C}.ζx​(v)=ω0​(v,F2​(x))+iω0​(F1​(x),v)∈C.
  • ξ\xiξ-projection: πxξ(v)=v−λx(v) RH(x)\pi^\xi_x(v) = v - \lambda_x(v)\, R_H(x)πxξ​(v)=v−λx​(v)RH​(x).
  • π du ∂s\pi\, du\, \partial_sπdu∂s​ in coordinates: for u:C→Vu : \mathbb{C} \to Vu:C→V and z∈Cz \in \mathbb{C}z∈C, with p=πH(u(z))p = \pi_H(u(z))p=πH​(u(z)),
Πu(z)=ζp(πpξ(∂s(πH∘u)(z)))∈C.\Pi_u(z) = \zeta_p\Big(\pi^\xi_p\big(\partial_s(\pi_H \circ u)(z)\big)\Big) \in \mathbb{C}.Πu​(z)=ζp​(πpξ​(∂s​(πH​∘u)(z)))∈C.
  • Cylindrical end at infinity: e∞(s,t)=e2πse2πite_\infty(s,t) = e^{2\pi s} e^{2\pi i t}e∞​(s,t)=e2πse2πit. Put W(s,t)=πH(u(e∞(s,t)))W(s,t) = \pi_H(u(e_\infty(s,t)))W(s,t)=πH​(u(e∞​(s,t))) and A(s,t)=aH(u(e∞(s,t)))A(s,t) = a_H(u(e_\infty(s,t)))A(s,t)=aH​(u(e∞​(s,t))), and ∂sW(s,t)=DW(s,t)[(1,0)]\partial_s W(s,t) = DW(s,t)[(1,0)]∂s​W(s,t)=DW(s,t)[(1,0)] (derivative of W:R2→VW : \mathbb{R}^2 \to VW:R2→V; 000 where not differentiable).
  • Nondegenerate end (with sign 111) of uuu at e∞e_\inftye∞​ asymptotic to PPP: there are d,c∈Rd, c \in \mathbb{R}d,c∈R and b>0b > 0b>0 with
sup⁡t∣A(s,t)−TP s−d∣→0,sup⁡tebs ∣W(s,t)−xP(TPt+c)∣→0(s→+∞).\sup_t |A(s,t) - T_P\, s - d| \to 0, \qquad \sup_t e^{bs}\, \big|W(s,t) - x_P(T_P t + c)\big| \to 0 \quad (s \to +\infty).tsup​∣A(s,t)−TP​s−d∣→0,tsup​ebs​W(s,t)−xP​(TP​t+c)​→0(s→+∞).

(Both are stated as: for every ε>0\varepsilon > 0ε>0 there is s0s_0s0​ with the quantity ≤ε\le \varepsilon≤ε for all s≥s0s \ge s_0s≥s0​ and all real ttt.)

  • Loop winding wind(f)=k\mathrm{wind}(f) = kwind(f)=k, for f:R→Cf : \mathbb{R} \to \mathbb{C}f:R→C and k∈Zk \in \mathbb{Z}k∈Z: fff is continuous, 111-periodic, never 000, and there is a continuous θ:R→R\theta : \mathbb{R} \to \mathbb{R}θ:R→R with f(t)=∣f(t)∣ eiθ(t)f(t) = |f(t)|\, e^{i\theta(t)}f(t)=∣f(t)∣eiθ(t) for all ttt and θ(1)−θ(0)=2πk\theta(1) - \theta(0) = 2\pi kθ(1)−θ(0)=2πk.
  • Zero index of f:C→Cf : \mathbb{C} \to \mathbb{C}f:C→C at z0z_0z0​ equal to m∈Zm \in \mathbb{Z}m∈Z: f(z0)=0f(z_0) = 0f(z0​)=0, and there is r>0r > 0r>0 such that f(z)≠0f(z) \ne 0f(z)=0 for all zzz with 0<∣z−z0∣≤r0 < |z - z_0| \le r0<∣z−z0​∣≤r, and for every ρ∈(0,r)\rho \in (0, r)ρ∈(0,r) the loop t↦f(z0+ρe2πit)t \mapsto f(z_0 + \rho e^{2\pi i t})t↦f(z0​+ρe2πit) has winding mmm.
  • Winding at infinity =k= k=k (for sign 111): there is s1s_1s1​ such that for every s≥s1s \ge s_1s≥s1​ the loop
t↦ζW(s,t)(πW(s,t)ξ(∂sW(s,t)))t \mapsto \zeta_{W(s,t)}\big(\pi^\xi_{W(s,t)}(\partial_s W(s,t))\big)t↦ζW(s,t)​(πW(s,t)ξ​(∂s​W(s,t)))

has winding kkk.

Statement. Let H:R4→RH : \mathbb{R}^4 \to \mathbb{R}H:R4→R be a strictly star-shaped level function and JJJ a compatible ξ\xiξ-structure. Let Γ⊂C\Gamma \subset \mathbb{C}Γ⊂C be a finite set (possibly empty), u:C→R4u : \mathbb{C} \to \mathbb{R}^4u:C→R4 a finite-energy curve on C∖Γ\mathbb{C} \setminus \GammaC∖Γ, and P∞P_\inftyP∞​ a Reeb orbit such that uuu has a nondegenerate end (sign 111) at e∞e_\inftye∞​ asymptotic to P∞P_\inftyP∞​. Assume Πu(z)≠0\Pi_u(z) \ne 0Πu​(z)=0 for at least one z∉Γz \notin \Gammaz∈/Γ. Let k∈Zk \in \mathbb{Z}k∈Z be such that the winding of uuu at infinity is kkk in the sense above. Let s0∈Rs_0 \in \mathbb{R}s0​∈R, set R0=e2πs0R_0 = e^{2\pi s_0}R0​=e2πs0​, and assume

  • every z∈Γz \in \Gammaz∈Γ satisfies ∣z∣<R0|z| < R_0∣z∣<R0​;
  • Πu(z)≠0\Pi_u(z) \ne 0Πu​(z)=0 for every zzz with ∣z∣=R0|z| = R_0∣z∣=R0​.

Then there exist a finite set Z⊂CZ \subset \mathbb{C}Z⊂C and a function idx:C→Z\mathrm{idx} : \mathbb{C} \to \mathbb{Z}idx:C→Z such that

  1. Z={z∈C:∣z∣>R0, Πu(z)=0}Z = \{ z \in \mathbb{C} : |z| > R_0,\ \Pi_u(z) = 0 \}Z={z∈C:∣z∣>R0​, Πu​(z)=0} (in particular this set is finite);
  2. for every z∈Zz \in Zz∈Z, Πu\Pi_uΠu​ has zero index idx(z)\mathrm{idx}(z)idx(z) at zzz;
  3. the loop at the fixed level s0s_0s0​,
t↦ζW(s0,t)(πW(s0,t)ξ(∂sW(s0,t))),W(s0,t)=πH(u(R0e2πit)),t \mapsto \zeta_{W(s_0,t)}\big(\pi^\xi_{W(s_0,t)}(\partial_s W(s_0,t))\big), \qquad W(s_0,t) = \pi_H\big(u(R_0 e^{2\pi i t})\big),t↦ζW(s0​,t)​(πW(s0​,t)ξ​(∂s​W(s0​,t))),W(s0​,t)=πH​(u(R0​e2πit)),

has winding exactly

k−∑z∈Zidx(z).k - \sum_{z \in Z} \mathrm{idx}(z).k−z∈Z∑​idx(z).

Remarks on the literal content. s0s_0s0​ is any real number satisfying the two displayed conditions; it is not required to be at least the threshold s1s_1s1​ from the winding-at-infinity hypothesis. Conclusion 3 includes the assertion that this loop is continuous, 111-periodic and nowhere zero. The zero set ZZZ is taken over the whole exterior region ∣z∣>R0|z| > R_0∣z∣>R0​, which lies in C∖Γ\mathbb{C} \setminus \GammaC∖Γ by the first assumption. Πu\Pi_uΠu​ is defined through total functions: at points where uuu or πH∘u\pi_H \circ uπH​∘u is not differentiable the derivative entering Πu\Pi_uΠu​ is 000.

Human review
  • Endorsed by Shuze Chen · Nov 3, 2026

    Confirmed by the moderator at approval.

  • Endorsed by Mazecto · Nov 3, 2026

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

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