A NNALES DE L ’I. H. P., SECTION C
C LAUDE V ITERBO
A proof of Weinstein’s conjecture in R
2nAnnales de l’I. H. P., section C, tome 4, n
o4 (1987), p. 337-356
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A proof of Weinstein’s conjecture
in R2n
Claude VITERBO
CEREMADE, place du Maréchal-de-Lattre-de-Tassigny,
75775 Paris, France,
and Courant Institute, 251, Mercer Street,
New York, NY 10012, U.S.A.
Ann. Inst. Henri Poincaré,
Vol. 4, n° 4, 1987, p. 337-356. Analyse non linéaire
ABSTRACT. - We prove that a
hypersurface
of contact type in has a closed characteristic. Ageometric
trick is used toreduce this
problem
tofinding T-periodic
solutions of a Hamiltonian system. This system is studiedusing
theClarke-Ekeland-Lasry
dual action functional.On démontre que toute
hypersurface
de genre contact de(R2n, 03A3dxi ~ dyi)admet
au moins unecaractéristique
fermée. Une astucegeometrique
ramene notreprobleme
a la recherche d’orbites Tperiodiques
d’un
systeme
hamiltonien. Cesysteme
estanalyse
en utilisant la fonction- nelle d’action duale deClarke-Ekeland-Lasry.
INTRODUCTION
In his paper "On the
hypothesis
of Rabinowitz’periodic
orbit theorem"(denoted by [W. 2]
in thesequel)
A. Weinstein made thefollowing conjec-
ture.
CONJECTURE. - If E c
(M, o)
is a compacthypersurface
of contacttype
in asymplectic manifold, satisfying H 1 ( E; R) =0,
then:E has a closed characteristic.The definition of
being
of contacttype
isgiven
in section one(Defini-
tion
1.1).
We recall that a characteristic is a curveeverywhere
tangent to the line field ker~.
As the reader
might
have hinted from thetitle,
our aim is to prove thisconjecture
for( M, o)
=(R2n, 03C90) (
where 03C90= 03A3 dxl
nThus,
we state.THEOREM. -
If E
c(R2n, roo)
is a compacthypersurface of
contact type, then :E has at least one closed characteristic. DLet us mention that we
dropped
thehypothesis I-I1 (E; M)=0;
for ourproof
weonly
need that X has an interior in1R2n,
which is automatic.Recall that if J is the standard
symplectic matrix,
andN (x)
denotes the outward normal to E at x, then the closed characteristics of Xcorrespond
to
periodic
solutions ofThe standard
approach
to(%)
is to transform it into a fixedperiod
Hamiltonian system, that
is,
to find a function H on such that the non-trivial solutions ofcorrespond
toperiodic
solutions of(%) (here
T isfixed).
Let us recall
shortly
the historicalbackground.
In1948,
Seifertproved
existence of closed characteristics for some
special
class of convexhypersur-
faces
(cf [S]). Thirty
yearslater,
Weinstein(cf [W. 1])
extended this result togeneral
C2 convexhypersurfaces,
and Rabinowitz(in [R])
tostrictly starshaped hypersurfaces.
Let us mention also the work of Bahri(cf [B. 2]
or a
sketchy description
in[B. 1]).
Annales de l’Institut Henri Poincaré - Analyse non linéaire
339
PROOF OF WEINSTEIN’S CONJECTURE IN 1R2N
Rabinowitz’ idea to construct H
is, assuming
E isstar shaped
withrespect to the
origin,
to setwhere cp is some well chosen function.
In
chapter
one,by
a modification of this idea we get a function H such that non-trivial solutions ofyield periodic
solutions of(.iV’).
In
chapter
two, we define the dual actionfunctional, according
to anidea of Clarke and Ekeland
(cf. [C-E])
later modifiedby Berestycki, Lasry,
Mancini and Ruf
(cf. [B-L-M-R]).
The finite dimensional reduction seems to be needed in order to prove the Palais-Smale condition: all the known
proofs
of the(P.S.)
conditionuse the fact that V H
(z).
z ~ a H(z)
> 0 for somepositive
a, that is the levelhypersurfaces
of H arestrictly starshaped.
Let us remark that this condi- tion is needed whether the direct action functional or the dual one areused.
Chapter
three is concerned with theproof
of the(P.S.)
condition for the finite dimensional reduction.Finally by
acohomological
argument, we prove that our functional has non-trivial criticalpoints,
that is done inchapter
four.I am
glad
to thank Leila Lassoued forinteresting
discussionsduring
astay at the
University
of Tunis.Francois
Laudenbach forintroducing
meto
symplectic
geometry, and forattempting (sometimes unsuccessfully
asit is the case in this
paper)
to get from me"geometric proofs".
AbbasBahri for useful comments, Helmut Hofer for
reading
themanuscript, finding mistakes,
andsimplifying
theproof (cf [H-Z]).
And of course
special
thanks to Ivar Ekeland. He introduced me to Hamiltonian systems. The reader willeasily
trace his influence in this work. Let me mention howenj oyable
it is to work under his direction.NOTATIONS
AND STANDARD DEFINITIONS
( . , . ); , . ~
scalarproduct
and norm in euclidean space;. , . ~; ~ ( ~ ~
scalarproduct
and norm in L2 space;"strictly
convex function":f such
thatfor some
positive
E;"conformal
diffeomorphism":
cp such that(c
a non-zeroconstant)
H*(A),
H*(A): homology
group,cohomology ring
of A(rational coefficients) HS1, * (A), HS1 (A): equivariant homology
group and cohomol- ogyring
of A in the sense of Borel(cf [Bo]) (with
rationalcoefficients);
[x] : integer
part of x;D : end of a statement;
o : end of a
proof.
1. REDUCTION
TO A HAMILTONIAN S YS TEM IN
1R2n
Let
(M2n, co)
be asymplectic manifold,
E ahypersurface
of contact type of( M 2", co),
that is:DEFINITION 1. 1. - E is said to be of contact type if and
only
if there isa I-form 9 on E such that
(i)
M is the inclusionmap);
(ii)
8 A is a volume form on E(i.
e. does not vanish onE).
QWe now have
(cf [W. 2],
p.354,
Lemma2).
LEMMA 1. 2. - E is
of
contact typeif
andonly if
there is a vectorfield
T~,
defined
in aneighborhood of E,
which is:Proof. -
Consider the form e of Definition 1.By
Poincare’slemma,
we can extend 8 to
9,
defined in aneighborhood
ofX,
such thatd0 =
o.(11
exists since w isnon-degenerate),
then 11(x)
is not inotherwise we would have
r~ ( x) = dj (x) ~,
andwhich is zero
because j*
is zero.So ~
is transverse to 03A3.Annales de l’Institut Henri Poincaré - Analyse non lineaire
341
PROOF OF WEINSTEIN’S CONJECTURE IN
R2N Checking (1.4)
isstraightforward:
From the
lemma,
we infer:PROPOSITION 1. 5. - For some
positive
E, there is asymplectic diffeo- morphism
where r
(resp. t)
is theprojection of 03A3
x] 1- E,
1+ E[
on thefirst (resp.
second) factor,
and U is a tubularneighborhood of
E in(M, ~).
Moreover tP
I ~
x = DProof -
Write for the flow of r~ defined in Lemma1. 2,
and setBy (1.3),
cp is adiffeomorphism provided
E is small. To show that it issymplectic,
we shall comparecp* (~)
andtr* (9) (the
reader is invited to check thatd(tr*(e))
is asymplectic
form.Now,
From
0
=i~
m andd
= m we inferi~ 0
= 0 andi~ d0
=0, so ~ 03C8*s (0)
=03C8*s 0
ls which
implies
Let us write then
The
change
of variable t = eSyields, using ( 1. 6),
Finally,
the last assertion of( 1. 5)
is obvious. 0We now assume the
origin
to be an interiorpoint
of E. Our aim is to prove.PROPOSITION 1. 8. - For any a,
positive
constant, there is a C°°function
H on ~2"
satisfying:
(i) H (o) > 0 is
the absolute minimumof H,
and H is constant in aneighborhood of
theorigin.
(ii)
H" is bounded.(iii) for |z| large enough.
(iv) If (~f)
has a nonconstantsolution,
then(~V’)
has aperiodic
orbit.a
Proof -
We construct Hexplicitly.
Let k > 1 be some
sufficiently large
number so that U and k. U aredisjoint [U
is as in( 1. 5),
k. U is theimage
of Uby
a dilation of ratiok].
This
implies
that thekP. U,
for ppositive integers,
will bepairwise disjoint.
We first define H on U
pl
by
where ~, is some
increasing
function on[ 1- E,1 + E]
that shall be definedmore
precisely
later on.From
( 1. 9)
we can check that in kP. U the levelhypersurfaces
of H arethe kp
(E).
Sinceby (1.7)
is a conformal map, and the dilations arealso
conformal,
thekp 03C8s (E)
areconformally diffeomorphic
to E. Henceon U
kP . U, (iv)
holds.Also on U kP. U
(i)
to(iii)
holdprovided
pz 1
where R is a real number such that U is contained in the ball of radius
R,
centered at theorigin.
Now let us extend H to where D is the union of U and the interior of
X,
and 0 = D - U.Annales de l’Institut Henri Poincaré - Analyse non linéaire
PROOF OF WEINSTEIN’S CONJECTURE IN
1R2N
343We can assume that H is constant on kA - D
provided k2 ~, (1- E) _ ~, ( 1 + E)
which we will assume henceforth.We then extend H to ~2n - 0
by setting
We
finally
setH (z) _ ~, ( 1- E)
for zeA. It is now easy to checkproperties (i)
to(iv):
(i)
isobvious,
(ii)
follows from( 1.11),
for thisimplies
since H" is
continuous,
it is bounded on k D -A,
hence on~2".
(iii)
follows also from( 1.11)
for itimplies
and we can assume
~, ( 1- E) >__ ~ 2 k 2 R 2.
(iv)
Consider a non-constantsolution,
itstrajectory
has to be contained in UkP U,
thusyielding
aperiodic
solution of(~).
02. THE DUAL ACTION FUNCTIONAL AND ITS FINITE DIMENSIONAL REDUCTION
Let H be a function on such that H" is bounded. Then we can find
some
positive
realnumber, K,
such that H" + KI iseverywhere
greater than s I for somepositive
E, thus isstrictly
convex, and we can consider its dual function in the sense of Fenchel(see [E-T))
which main virtue is to
satisfy
For
ff~"),
we defineAssume KT 27T
7~
then x --~ - Jx
+ K x is an Hilbert spaceisomorphism
from W 1 ~ 2
(~2n)
to LZ(~2n),
whose inverse we denoteby MK.
Then critical
points
ofFK
areprecisely
the solutions of(~f).
Our
goal
is to find criticalpoints
ofFK,
but as we cannot prove that it satisfies condition(C)
of Palais and Smale(to
prove that this condition issatisfied,
oneusually
needs some condition likeV H (x). x y H (x) > 0,
hence the level
hypersurfaces
of H arestarshaped; (cf [B-L-M-R]
or[R])
we shall use a finite dimensional reduction of
FK
that we shall nowdescribe.
Let us first set for
1R2n),
that isand since
MK
is an Hilbert spaceisomorphism,
we can as well look forthe critical
points
of and build a finite dimensional reductionThe main
point
is to remark thatBjIK
is convex in the directionorthogonal
to some finite dimensional vector space: consider
since
Ht
isstrictly
convexLet us mention that what we here denoted
by MK
is in fact thecomposition
ofMK
and the Sobolev compact inclusion from!R2n)
into L21R2n)
sothat,
as anendomorphism
ofL2, MK
is selfadjoint
and compact. Thus if G is the finite dimensionalsubspace
of Egenerated by
theeigenvectors
ofMK,
theeigenvalues
ofwhich are greater than
£, 2
we get forAnnales de l’lnstitut Henri Poincaré - Analyse non linéaire
PROOF OF WEINSTEIN’S CONJECTURE IN
!R2N
345and
~rK
isstrictly
convex in the direction of Gl(i.
e. for anyg E G,
h -~
~rK (g
+h),
defined on isstrictly convex).
We now prove.
PROPOSITION 2. 4. - For any g E
G,
thefunction
h -03C8K (g
+h) defined
on
G1
has aunique
minimum:h (g).
The mapfrom
G toG1 given by
g - h
(g)
has itsimage
in G1 C W1,2,
and is continuous as a mapfrom
Gto C
W1, 2.
Set
03C8K(g)=03C8K (g + h (g)).
Then03C8K
is afunction
onG,
whose criticalpoints
are in a one to onecorrespondance
with thoseof 03C8K.
mRemark. - The main feature of
03C8K
is that it satisfies condition(C),
that we shall prove in
Chapter
3.Proof -
As h ~03C8K (g
+h)
isstrictly
convex, it has aunique
minimumh
(g) satisfying 03C8’K (g
+ h(g)).
h = 0 for any h E Let us first provethat,
as a map from G to h is
Lipschitz.
Take gl, g2 E G and set
hl
= h(gl), h2
= h(g2),
thensince
h 1- h2
E G1.But
by (2.4),
andbecause M is linear
(hence Lipschitz)
andV H
isLipschitz (because
and H" is
bounded).
From
( 2 . 7)
we get,which
compared
to(2.5)
and(2. 6) yields
hence h is
Lipschitz
of ratioRecall now that h
(g)
is definedby
that we can write
and
Q
theorthogonal projection
on G~.We wish to prove that
hEW1, 2.
First
MKh
is inW1,2,
hence also. Now forzeL2,
Z-QZEGcW1,2,
so if then whence we see thatSince has a bounded
differential,
it maps WI,2 inW1,2,
is in
W1,2,
andeventually
h is in WI,2.We
finally
provethat 03C8
is C1 and that Weshall not prove here
that B)/
isC~,
sinceusing
apseudo gradient
vectorfield, C1
is sufficient in order toperform
min-maxtheory.
Let us compute
Since g -~ h (g)
isLipschitz,
and because we see that
ah
Since 03C8K
is C1and g -> h (g)
iscontinuous,
thisimplies
thatWK
is C1. 0 Remark. - We writeWK
for the finite dimensional reduction of~rK, and fK
for thecorresponding
reduction ofFK:
sinceMK
preserves G and G1 we set~K =fK (y).
Annales de l’Institut Henri Poincaré - Analyse non linéaire
347
PROOF OF WEINSTEIN’S CONJECTURE IN
1R2N
3. satisfies condition(C)
The aim of this
chapter
is to provePROPOSITION
3.1. - ~K satisfies
condition(C) of
Palais and Smale.Proof -
Let be a sequence such that03C8’K (g")
~ 0 and03C8K (g")
isbounded. Then if g" is bounded it has a
converging subsequence
and thereis
nothing
to prove, so we assumethat goes
toinfinity.
Set u" =gn + h
(g"), then I Un Ico
-~ + oo sincefor
some k,
andby
the same argument, if we setI
zn~~o
~ + oo.Now
by assumption
In terms of z~,,
( 3 . 2)
isequivalent
tohence
yielding
Assume that for
large
values of n, thereexists to
E such thatLet W c c U defined
by
By modifying
our choice of thefunction
we can take W to be contained in anarbitrarily
smallneighborhood
of E x{ 1 ~.
We now prove that
(3.4) implies,
for agood
choice of E, thatLet us argue
by contradiction,
and assumethat t
1 is the smallest value of tlarger than to
such that U kP . V.p>_1
For n
large enough, I E" (t) ( E/2KT,
so ifHence so
by (3.3)
and
by
the mean value theoremsince we should
have
But if E is small
enough, d (V, (U)
> E, thusimplies
which contradicts our
assumption.
Now we prove that if z~ is such that zn
(t) ~
U kP. V for allt’s,
andp>_1
I Zn
- +00, thenFK (zn)
is unbounded.Let us first compute
Using ( 3 . 6)
Annales de l’Institut Henri Poincaré - Analyse non linéaire
9
PROOF OF WEINSTEIN’S CONJECTURE IN
1R2N
thus
_ -- t j
iso,
sincefor some a‘ > a.
(The right
hand sideinequality
follows from the bounderness of H".)
so
and
using ( 3 . 6) again
Eventually
Consider now
for E = 0 this
equals -
.."’" - - - -- ~ -this
quantity
is smaller than -4(K+a)
So theright
hand side 01goes to minus
infinity
with))zJ),
andFK(zn)=03C8K(un)
is not bounded.We now see that the
only possibility
is that z"(t)
E U kP. U for all t,p? 1
hence
by
a trivial connectedness argumentSet From
( 3 . 3)
and!VH(x)! we
inferso w" is bounded in
W1,2,
hence there is aconverging subsequence,
stilldenoted wn, such that wn --> w in the
C° topology.
Let us remark that since w~
(t)
EU,
w(t) e
U for all t’s.Rewriting (3.3)
andusing
theequation V H (kP z) = kP V H (z)
forzeU, yields
Let n go to
infinity,
we thus obtainso w is a solution of such that
w (t) E U
for all t’s.Now,
let us show that Since if w is a constant inU, FK (w)
is non zero, this willimply
that w is a nontrivial solution of(~).
Obviously,
On the other
hand, by ( 3 . 3)
therefore
As before
and
for nlarge enough,
is inU
since |C0
goes to zero.Annales de l’Institut Henri Poincaré - Analyse non linéaire
351
PROOF OF WEINSTEIN’S CONJECTURE IN
R2N
Thus,
using ( I . l l),
~the last
equality
follows from(3 . 8).
This
proves FK(zn)=k2pnFK(wn),since
wn converges
strongly
to w, weindeed get FK(zn)~k2pn FK ( w) .
Finally,
if w is aconstant
inU, solution
of(3f),
thenV H (w) = 0,
hencew, so
and
So if
FK(zn)
isbounded
w is a nonconstant solution
of(3f).
ORemark. -
It is easy to see thatin order that
(P.S.) holds,
weonly
need
that FK(w)# 0
for allsolutions
w of(9Y) .
Now, acomputation yields
- - I , , , , _ ,~,
and it can be shown that if the set of
periods
ofdosed characteristics
oi£ is discrete, we can choose X so
that 0 is not a
critical
value ofFK.
4.
PROOF
OF THETHEOREM
Now that we
proved
thatfK satisfies condition (C)
we mustprove
thatit has a non
trivial critical point.
Let us first
remark
that if we letS1
=R/TZ
act on X =W1,2 (R/TZ, R2n) by
then
FK
isequivariant,
as well asfK
since g -h(g)
is
equivariant.
Now let F be the set of fixed
points
of Xby
the S 1action,
that is F is the set of constantpaths.
We now provePROPOSITION 4 . 1. - There are two
S1-invariant
vectorsubspaces of G,
V and W such that
V ~
W ~ F andif
we denoteby
S the unitsphere of G,
for
asmall, 0 y + TH (0) E,
with Esmall,
Clarge.
Moreoverdim V - dim W >-1
for
alarge enough [a
wasdefined
in( 1. 8)].
QProof -
SetThen since
we have for x E G
so for C
large,
X - X~ does not meet thenegative eigenspace
ofQ,
~,that shall be our space V
(remark
that indeedV c G).
On the other
hand,
for x in aneighborhood
of theorigin,
we assumedso that
hence since for small g, is
small,
nearthe
origin,
where qo, K is obtained fromQo, K in
the same way asfK
isobtained from
FK.
It is easy to see that qo, K and
Qo, K
have the sameindex,
and we takefor W the non
positive eigenspace
ofQo,
K.Annales de l’lnstitut Henri Poincaré - Analyse non linéaire
353
PROOF OF WEINSTEIN’S CONJECTURE IN
1R2N
An easy
computation
shows thatwhose index is
given by
so that
and
(because
kerQo, K
= F has dimension 2n)
COROLLARY 4. 2 :
thus
he
has a critical level in[y, C]
whence a non trivial critical circle. DProof. -
The idea is that ifi (A)
is the Fadell-Rabinowitzcohomological
index of
A (cf. [F-R]),
thenby (ii) V;
on the otherhand
by ( i)
f( G - GY) >_ coding
W so thatHsl (G - GB G - G~) 5~ 0
for all q in]codimG V, codimG W].
To be more
precise,
there are mapssince as
proved
at the end ofchapter 3,
F c GYas the map is
surjective
for * _ dimW1, HS1 (G - G’~)
-HS1 (a
S nWl)
will also besurjective.
On the other hand there is a
homotopy
commutativediagram
where 1t is the
orthogonal projection
on V~ and"homotopy
commutative"means that the inclusion of
G - G~
inG - ~ 0 ~
ishomotopic
to 1tcomposed
with the inclusion of in
G - ~ 0 ~;
thehomotopy being given by
Thus there is a commutative
diagram
as
so
is zero in these dimensions.
Annales de l’Institut Henri Poincaré - Analyse non linéaire
355
PROOF OF WEINSTEIN’S CONJECTURE IN
1R2N
Finally
let us write thecohomology
sequences of thepairs (G - G’~, G - G~; (G - F, G - F)
and the map between these sequences inducedby
the inclusion
y is zero for * >- dim
~i
is non zero for any * _ dim So letwhere dim Wl such that As
Y (y) = o,
is in theimage
of a henceRemark. - An
analogous
statement isproved
in[B - L - M - R]
withsome notion of genus instead of
equivariant cohomology.
We can now conclude the
proof
of our theorem:By corollary 4. 2 fK
has at least one critical value in[y, C].
ThusFK
haa critical
value,
also in[y, C]
since the critical valuesof fK
andFK
coincide.Since
y > - TH (o),
the critical orbit thus found is non trivial.According
to
proposition 1. 8,
thisyields
aperiodic
orbit of(.~V’).
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(Manuscrit reçu le 23 octobre 1986.)
Annales de l’Institut Henri Poincaré - Analyse non linéaire