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A knot crossing a disk transversally, always from the same side and at least once, has non-zero Gauss linking number with the disk's boundary

Proved
HryniewiczCriterion.gaussLinkingIntegral_ne_zero_of_transverse_disk

by Mazecto · Oct 8, 2026 · Mathlib 0df444a (Lean v4.33.1)

dynamical-systemsgeometry-topologysymplectic-geometry

Let E:R2→R4E:\mathbb{R}^2\to\mathbb{R}^4E:R2→R4 be C2C^2C2 on an open neighbourhood of the closed unit disk D‾\overline{\mathbb D}D with ∣E∣=1|E|=1∣E∣=1 on D‾\overline{\mathbb D}D, so E(D‾)⊂S3E(\overline{\mathbb D})\subset S^3E(D)⊂S3. Let u:R→S1u:\mathbb{R}\to S^1u:R→S1 be a C2C^2C2, 111-periodic immersion (u′≠0u'\neq0u′=0), so s↦E(u(s))s\mapsto E(u(s))s↦E(u(s)) runs (possibly several times) around E(S1)E(S^1)E(S1). Let γ:R→S3\gamma:\mathbb{R}\to S^3γ:R→S3 be a C2C^2C2, 111-periodic loop that is injective modulo 111 (a knot). Assume:

  1. γ\gammaγ misses the boundary loop: E(u(s))≠γ(t)E(u(s))\neq\gamma(t)E(u(s))=γ(t) for all s,ts,ts,t;
  2. γ\gammaγ crosses the disk transversally, always from the same side: for a fixed σ∈R\sigma\in\mathbb{R}σ∈R,
σ⋅det⁡(γ(t), γ′(t), ∂1E(v), ∂2E(v))>0whenever v∈D‾, E(v)=γ(t);\sigma\cdot\det\big(\gamma(t),\ \gamma'(t),\ \partial_1E(v),\ \partial_2E(v)\big)>0\quad\text{whenever }v\in\overline{\mathbb D},\ E(v)=\gamma(t);σ⋅det(γ(t), γ′(t), ∂1​E(v), ∂2​E(v))>0whenever v∈D, E(v)=γ(t);
  1. γ\gammaγ meets E(D‾)E(\overline{\mathbb D})E(D) at least once.

Then there is a unit vector NNN missing both loops such that the Gauss linking integral gaussLinkingIntegral N (E ∘ u) γ (stereographic projection from NNN) is a non-zero integer.

This is the statement "the linking number of a knot with the boundary of a surface equals the algebraic intersection number of the knot with the surface", in the special case where all intersections have the same sign. The algebraic count is then ±deg⁡(u)⋅#{t∈[0,1):γ(t)∈E(D‾)}≠0\pm\deg(u)\cdot\#\{t\in[0,1):\gamma(t)\in E(\overline{\mathbb D})\}\neq0±deg(u)⋅#{t∈[0,1):γ(t)∈E(D)}=0. Here EEE need not be injective, and det⁡\detdet is the 4×44\times44×4 determinant with the four vectors as rows, which orients the disk relative to γ\gammaγ inside S3S^3S3.

Suggested proof. The crossings are finitely many interior points vjv_jvj​, by transversality and compactness. Choose a centre ccc in the open disk so that the vjv_jvj​ lie on distinct rays from ccc; the bad centres form finitely many lines. Work in the strip coordinates (λ,s)↦c+λ(u(s)−c)(\lambda,s)\mapsto c+\lambda(u(s)-c)(λ,s)↦c+λ(u(s)−c), λ∈[0,1]\lambda\in[0,1]λ∈[0,1]. Graph loops s↦E(c+h(s)(u(s)−c))s\mapsto E(c+h(s)(u(s)-c))s↦E(c+h(s)(u(s)−c)) interpolate between h≡1h\equiv1h≡1 (the boundary loop) and h≡0h\equiv0h≡0 (a constant loop, Gauss integral 000). Use bump functions to move hhh past one crossing at a time. Each move changes the Gauss integral by the Gauss integral of a small loop around that crossing: arcs with fixed endpoints can be homotoped freely, since the boundary terms of the variation formula vanish. A small loop on a transverse surface around a knot has Gauss integral ±1\pm1±1, with the sign given by condition 2 and by the orientation of uuu, which is the same at every crossing.

Preamble
import Definitions.Def_HryniewiczCriterion_GlobalSection
import Definitions.Def_HryniewiczCriterion_SelfLinking

open HryniewiczCriterion
Formal statement
theorem HryniewiczCriterion.gaussLinkingIntegral_ne_zero_of_transverse_disk (E : Plane → R4) (U : Set Plane) (hU : IsOpen U) (hDU : closedUnitDisk ⊆ U)
    (hE : ContDiffOn ℝ 2 E U) (hEunit : ∀ v ∈ closedUnitDisk, euclidNorm (E v) = 1)
    (u : ℝ → Plane) (hu : ContDiff ℝ 2 u) (huper : ∀ s, u (s + 1) = u s)
    (hucirc : ∀ s, u s ∈ unitCircle) (hu' : ∀ s, deriv u s ≠ 0)
    (γ : ℝ → R4) (hγ : ContDiff ℝ 2 γ) (hγper : ∀ t, γ (t + 1) = γ t)
    (hγunit : ∀ t, euclidNorm (γ t) = 1) (hγinj : ∀ s t, γ s = γ t → ∃ n : ℤ, t = s + n)
    (hbd : ∀ s t, E (u s) ≠ γ t) (σ : ℝ)
    (htr : ∀ t, ∀ v ∈ closedUnitDisk, E v = γ t →
      0 < σ * Matrix.det (Matrix.of ![γ t, deriv γ t,
        fderiv ℝ E v (Pi.single 0 1), fderiv ℝ E v (Pi.single 1 1)]))
    (hcross : ∃ t, ∃ v ∈ closedUnitDisk, E v = γ t) :
    ∃ N : R4, euclidNorm N = 1 ∧ (∀ s, E (u s) ≠ N ∧ γ s ≠ N) ∧
      ∃ n : ℤ, n ≠ 0 ∧ gaussLinkingIntegral N (fun s => E (u s)) γ = n := by sorry
Source
D. Rolfsen, Knots and Links, Publish or Perish 1976, Ch. 5D (linking number = algebraic intersection number with a Seifert surface); U. Hryniewicz, Systems of global surfaces of section for dynamically convex Reeb flows on the 3-sphere, J. Symplectic Geom. 12 (2014) 791-862, arXiv:1105.2077, proof of Lemma 3.12 (p. 26), where lk⁡(P,Q)≠0\operatorname{lk}(P,Q)\neq0lk(P,Q)=0 is read off from the intersections of QQQ with a page.

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