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www.elsevier.com/locate/anihpc

Ground states of nonlinear Schrödinger equations with potentials Solutions d’énergie minimale des équations de Schrödinger

non-linéaires avec potentiel

Yongqing Li

a,1

, Zhi-Qiang Wang

a,b,

, Jing Zeng

a

aSchool of Mathematics and Computer Sciences, Fujian Normal University, Fuzhou, 350007, PR China bDepartment of Mathematics and Statistics, Utah State University, Logan, UT 84322, USA

Received 1 September 2005; accepted 31 January 2006 Available online 7 July 2006

Abstract

In this paper we study the nonlinear Schrödinger equation:

−u+V (x)u=f (x, u), uH1

RN .

We give general conditions which assure the existence ofground state solutions. Under a Nehari type condition, we show that the standard Ambrosetti–Rabinowitz super-linear condition can be replaced by a more natural super-quadratic condition.

©2006 Elsevier Masson SAS. All rights reserved.

Résumé

Dans cet article nous étudions l’équation non-linéaire de Schrödinger : −u+V (x)u=f (x, u),

uH1 RN

.

Nous donnons les conditions générales qui garantissent l’existence de solutions d’énergie minimale. Sous une condition de type Nehari, nous démontrons que la condition super-linéaire d’Ambrosetti–Rabinowitz peut être remplacée par une condition super- quadratique plus naturelle.

©2006 Elsevier Masson SAS. All rights reserved.

MSC:35B05; 35J60

Keywords:Nonlinear Schrödinger equations; Ground state solutions; The Ambrosetti–Rabinowitz condition

* Corresponding author.

E-mail addresses:zhi-qiang.wang@math.usu.edu, wang@math.usu.edu (Z.-Q. Wang).

1 Supported in part by NNSF of China (10161010), Fujian Provincial Natural Science Foundation of China (A0410015), and the Ky and Yu-Fen Fan Fund from AMS.

0294-1449/$ – see front matter ©2006 Elsevier Masson SAS. All rights reserved.

doi:10.1016/j.anihpc.2006.01.003

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1. Introduction

We study the nonlinear Schrödinger equation with potentials:

u+V (x)u=f (x, u), uH1

RN

. (1.1)

We are concerned with the existence ofground state solutions, i.e., solutions corresponding to the least positive critical value of the variational functional:

Φ(u)=1 2

RN

|∇u|2+V (x)u2 dx−

RN

F (x, u)dx, whereF (x, u)=u

0 f (x, t )dt.

To establish the existence of ground states, usually besides the growth condition on the nonlinearity and a Nehari type condition, the following superlinear condition due to Ambrosetti–Rabinowitz (e.g., [2,12]) is assumed:

(AR) There isμ >2 such that foru=0 andx∈RN, 0< μF (x, u)uf (x, u),

whereF (x, u)=u

0 f (x, t )dt.

This condition implies that for someC >0,F (x, u)C|u|μ.

In this paper we show that a weaker and more natural version suffices to assure the existence of aground state solution. Instead of (AR) we assume the following super-quadratic condition

(SQ) lim|u|→∞F (x,u)

u2 = ∞, uniformly inx.

We always assumeV (x)C(RN,R), infRNV (x) >0. We consider two cases of the potentials, one is periodic, i.e., thex-dependence is periodic; the other is whenV has a bounded potential well in the sense that lim|x|→∞V (x) exists and is equal to supRNV. The results will be stated and proved in Sections 2 and 3.

We would like to mention earlier results on existence of entire solutions of Schrödinger type equations with or without potentials which was studied in [3,4,9,10] (see references therein). In recent years there have been intensive studies on semiclassical states for nonlinear Schrödinger equations for which in Eq. (1.1) there is a small parameter corresponding to the Plank constant. We refer [1] for references in this direction. Our results do not require smallness of such a parameter. A recent result in [5] is in similar spirit of our Theorem 3.1; but the conditions in [5] and ours are mutually non-inclusive and the methods are different.

For (1.1) in bounded domains or if the potential functionV (x)possesses certain compactness condition, one can prove (1.1) have certain solutions. In [8] Liu and Wang first used (SQ) to get the bounds of minimizing sequences on the Nehari manifold, and under coercive condition ofV (x)they proved the existence of three solutions: one positive, one negative, and one sign-changing. The results in this current paper are natural generalizations of that in [8] to noncompact cases. In the two cases we do not have compact embedding, which is the main difficulty in this paper.

We shall make use of a combination of the techniques in [8,7] with applications of the concentration-compactness principle of Lions [6,11,12].

2. The periodic case

We consider weak solutions of −u+V (x)u=f (x, u),

uH1 RN

.

We need the following assumptions:

(V1) V (x)C(RN,R), infRNV (x)V0>0.V (x)is 1-periodic in each ofx1, x2, . . . , xN.

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(f1) f (x, t )C1is 1-periodic in each ofx1, x2, . . . , xN,ft is a Caratheodory function and there existsC >0, such that

ft(x, t )C

1+ |t|22 , lim

|t|→∞

|f (x, t )|

|t|21 =0, uniformly inx∈RN. (f2) f (x, t )=o(|t|), as|t| →0, uniformly inx.

(f3) lim|t|→∞F (x,t )

t2 = ∞, uniformly inx. (f4) f (x,t )|t| is strictly increasing int.

Here 2=N2N2forN3. ForN=1,2 we assume there isq >2 in the place of 2in(f1). We work in Hilbert space X= {uH1(RN);

RNV (x)u2dx <∞}, with normu2=

RN(|∇u|2+V (x)u2)dx. The functional associated with Eq. (1.1) is

Φ(u)=1 2

RN

|∇u|2+V (x)u2 dx−

RN

F (x, u)dx, uX.

Define γ (u)=

RN

|∇u|2+V (x)u2 dx−

RN

f (x, u)udx.

Theorem 2.1.Under assumptions(V1),(f1)–(f4)Eq.(1.1)has a weak solutionuX, such thatΦ(u)=c >0,cis defined as

c=inf

N Φ(u),

whereN = {uX: u=0, γ (u)=0}.

First we need a few lemmas.

Lemma 2.2.Let(un)be a minimizing sequence forc. Then (i) There isβ >0such thatlim infn→∞unβ.

(ii) (un)is bounded inX.

(iii) For a subsequence, up to translations,unconverges weakly tou=0.

Proof. (i) The proof is similar to the case with (AR) satisfied. We omit its proofs (see [12]).

(ii) Let(un)be a minimizing sequence ofc. If(un)is not bounded, we definevn=un/un, sovn =1. Passing to a subsequence, we may assume,vn vinX,vnvinLploc(RN), 2p <2,vnva.e. onRN.

Ifv=0, we have 1

2−

RN

F (x, un)

u2n v2ndx=c+o(1) un2 >0.

By Fadou’s lemma and(f3)we have a contradiction as follows, 1

2lim inf

n→∞

RN

F (x, un) u2n v2ndx

RN

lim inf

n→∞

F (x, un)

u2n v2ndx= ∞.

Ifv=0, we takeyn=(y1n, yn2, . . . , ynN)∈NN with allyni (1iN) being integers. Define translations ofvnby wn(x)=vn(x+yn). SinceV (x)andf (x, u)are periodic, we havewn = vn =1,|wn|p= |vn|p, andΦ(wn)= Φ(vn). Passing to a subsequence, we have wn winH1(RN),wnw inLploc(RN), 2p <2,wnw a.e.

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onRN. If there existyn, such thatwn w=0, we will get a contradiction as the case ofv=0. If for anyyn,wn0, we will get a contradiction by provingvn→0 inLp(RN). In this case, we claim for allp(2,2),

lim sup

n→∞y∈RN

B2(y)

|vn|pdx=0.

If this is not true, there existsp(2,2),δ >0, lim sup

n→∞y∈RN

B2(y)

|vn|pdxδ >0,

then there existszn∈RNsuch that, limn→∞

B2(zn)|vn|pdxδ/2>0. We can chooseyn∈NNB2(zn)such that B1(yn)B2(zn)and

nlim→∞

B1(yn)

|vn|pdxδ 2 >0, we have limn→∞

B1(0)|wn|pdxδ/2>0, that iswn w=0, a contradiction.

By Lions Lemma (cf. [12, Lemma 1.21]), we getvn→0 inLp(RN),p(2,2). Fixp(2,2). By(f1)and(f2), for anyε >0 there isCε>0 such that|f (x, u)|ε(|u| + |u|21)+Cε|u|p1. Then|F (x, u)|ε(|u|2+ |u|2)+ Cε|u|p. Then fixing anR >

2c, using Lebesgue Dominated Convergence theorem, we have

nlim→∞

RN

F (x, Rvn)dx=

RN

nlim→∞F (x, Rvn)dx=0.

Since by(f4),Φ(t un)Φ(un)fort0 we thus have c+o(1)=Φ(un)Φ(Rvn)=1

2R2

RN

F (x, Rvn)dx, which is a contradiction. Thus(un)is bounded.

(iii) We can assumeunweakly converges tou. To showu=0, again we define translations ofunas above, assume yn=(yn1, yn2, . . . , ynN)∈NN, with all yni (1iN) being integers. uynn=un(x+yn)are all possible translation ofun. If for someyn⊂NN,uynn u=0 we are done. If for anyyn⊂NN,uynn0, by similar argument as above we can proveun→0 inLp(RN),p(2,2). Then asn→ ∞,

RNunf (x, un)dx→0. Thus by (i) we have a con- tradiction:

0< βun2=

RN

unf (x, un)dx→0, asn→ ∞. 2

Lemma 2.3.For eachuX\ {0}, there exists uniquet=t (u) >0, such thatt uN. This is similar to the case of assuming (AR), we omit it.

Lemma 2.4.Let(un)Xbe a sequence such thatγ (un)→0and

RNf (x, un)una >0asn→ ∞. Then exist tn>0such thattnunN,tn→1, asn→ ∞.

Proof. Sinceun=0, by Lemma 2.3, there exists only onetn>0, such thattnunN, i.e.

tn2

RN

|∇un|2+V (x)|un|2 dx−

RN

f (x, tnun)tnundx=0.

By (f1)and (f2), |f (x, u)u|ε(|u|2+ |u|2)+Cε|u|p, we see tn cannot go zero, that istnt0>0. By (f4), f (x, u)u2F (x, u). Iftn→ ∞, we get

a+o(1)=

RN

|∇un|2+V (x)|un|2 dx=

RN

f (x, tnun)tnun tn2 dx2

RN

F (x, tnun) tn2u2n u2ndx.

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By the condition, up to translations,unu=0 a.e. inRN. We have

RN

F (x, tnun)

tn2u2n u2ndx→ +∞, asn→ ∞

a contradiction. Thus 0< t0tnC. AssumetnT, now we claimT =1. SincetnunN, byγ (un)→0 we have

RN

|∇un|2+V (x)|un|2 dx=

RN

f (x, un)undx+o(1).

SincetnT, by(f1)and(f3) T2

RN

|∇un|2+V (x)|un|2 dx−

RN

f (x, T un)T undx=o(1), that is

o(1)=

RN

f (x, T un)

T un u2nf (x, un) un u2ndx=

RN

f (x, T un)

T unf (x, un) un u2ndx.

For a subsequenceunuinLploc(RN)2p <2. Up to translations, we may assumeu=0. Then by (f4) and Fatou’s lemma

RN

f (x, T u)

T uf (x, u)

u u2dx=0, by(f4)we haveT =1. 2

Next we construct a special minimizing sequence along which

RNF (x, u) is weakly continuous. Consider Eq. (1.1) onBR(0),

u+V (x)u=f (x, u), inBR(0),

u=0, on∂BR(0). (2.1)

We can similarly defineNR,cR. By the result of [8],cRis achieved by a positive solution of (2.1) calleduR. It is easy to check thatcR> candcRcasR→ ∞. This implies(uR)asR→ ∞minimizesc. LetRn→ ∞,un:=uRn. Fixp(2,2).

Lemma 2.5.

(i)

RN|un|pA >0.

(ii) There existxn∈RNsuch thatε >0,∃R >0,lim inf

BR(xn)|un|pAε.

Proof. (i) follows fromγ (un)=0 and the fact that for any ε >0 there isCε>0, |f (x, u)|ε(|u| + |u|21)+ Cε|u|p1.

For (ii) we apply the concentration compactness principle to

RN|un|p. Then there existα(0,1],(xn)⊂RN,

ε >0,∃R >0,∀r > R,r> R, have lim inf

Br(xn)

|un|pαAε, lim inf

Bc

r(xn)

|un|p(1α)Aε.

Next we claimα=1. Chooseεn→0,rn→ ∞,rn =4rn. Letξ be a cut-off function such thatξ(s)=0, fors1 or s4,ξ(s)=1, for 2s3, and|ξ(s)|2. Takeφ(x)=ξ(|xxn|/rn)un. Using equation

BRn

unφ+V (x)unφf (x, un dx=0,

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we have,

B3rn(xn)\B2rn(xn)

|∇un|2+V (x)|un|2 dx+

B3rn(xn)\B2rn(xn)

f (x, un)undx=o(1).

Take another cut-off functionηsuch thatη(s)=1, fors2,η(s)=0, fors3, and|η(s)|2, for 2s3. Set wn(x)=η

|xxn|

rn un, vn(x)=

1−η

|xxn| rn

un(x).

Using equation as above we have Φ(un)=Φ(wn)+Φ(vn)+o(1),

and

Rn

|wn|pαAεn,

Rn

|vn|p(1α)Aεn.

Finally usingwnto test the equation for(un)we get γ (wn)=

Φ(un), wn

+o(1)=o(1).

Similarlyγ (vn)=o(1), by Lemma 2.4,∃tn→1,sn→1, such thattnwnN,snvnN. Then c+o(1)=Φ(un)=Φ(wn)+Φ(vn)+o(1)=Φ(tnwn)+Φ(snvn)+o(1)2c+o(1), which is a contradiction. Thusα=1. 2

Proof of Theorem 2.1. Let(un)N be the minimizing sequence forcgiven above. By Lemma 2.2(un)is bounded inXand weak convergent tou=0. By Lemma 2.5,−

RNF (x, un)is weakly continuous. Using the weakly lower semi-continuity we haveΦ(u)c. IfuN we haveΦ(u)=c. Ifu /N, by Lemma 2.5, there ist >0 such that t unN. Then

cΦ(t u)lim inf

n→∞ Φ(t un)lim inf

n→∞ Φ(un)=c.

SinceN is smooth, the minimizer is a critical point ofΦ. 2 3. The potential well case

We consider weak solutions of −u+V (x)u=f (u),

uH1

RN (3.1)

for the case where potential functionV (x)has a bounded potential well. Since the nonlinearity is autonomous, the conditions onf needs modified slightly. More precisely, we make the following assumptions.

(V2) 0<infRNV (x)lim|x|→∞V (x)=supRNV (x) <∞.

(f1) f (t )C1.ftis a Caratheodory function and there existsC >0, s. t.

ft(t )C

1+ |t|22

, lim

|t|→∞

|f (t )|

|t|21 =0.

(f2) f (t )=o(|t|), as|t| →0.

(f3) lim|t|→∞F (t ) t2 = ∞.

(f4) f (t )|t| is strictly increasing int.

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Theorem 3.1.Under assumptions(V2),(f1)–(f4)Eq.(3.1)has a weak solutionuX, such thatΦ(u)=c >0,cis defined as

c=inf

N Φ(u),

whereN = {uX: u=0, γ (u)=0}.

In this section we denoteV=lim|x|→∞V (x). There is an associated problemu+Vu=f (u),

uH1 RN

.

We define the energy functional Φ by replacing V with V, c =infNΦ(u), here N= {uX/{0}:

Φ (u), u =0}. SinceVis a constant, by Theorem 2.1,c>0 is achieved at someuN. Lemma 3.2.0< c < c.

Proof. It is easy to seec >0. Letube the minimizer ofc. Thenγ (u) <0, and there ist >0 such thatt uN. We have

cΦ(t u) < Φ(t u(u)=c. 2 We note that with minor changes Lemma 2.3 and 2.4 still hold.

Lemma 3.3.Let(un)be a minimizing sequence forc. Then (i) There isβ >0such thatlim infn→∞||un||β.

(ii) (un)is bounded inX.

(iii) For a subsequence,unconverges weakly tou=0.

Proof. (i) The same as Lemma 2.2.

(ii) If not, define vn =un/un. Passing to a subsequence, we may assume, vn v in X. If vn →0 in Lq(RN) for 2 q <2, we use the Lebesgue Dominated Convergence theorem to get for any R >0 fixed, limn→∞

RNF (Rvn)dx =0. Therefore a contradiction by choosing a largeR >0 inΦ(un)Φ(Rvn)=12R2

RNF (Rvn)dx. Thus by the concentration compactness principle there areyn∈RNsuch thatwn(x)=vn(yn+x)w=0. Then the proof follows from the arguments in Lemma 2.2(ii). Thus(un)is bounded.

(iii) We can assume un uinX,unu inLploc(RN). If u=0, we have

RN(V (x)V)|un|2dx→0, as n→ ∞. Thus we havec+o(1)=Φ(un)+o(1). Similarly we haveγ (un)=0,γ(un)=o(1). By Lemma 2.4 there existtn→1 such thattnunN. Then we havec+o(1)=Φ(un)+o(1)=Φ(tnun)+o(1)c+o(1), a contradiction with Lemma 3.2. 2

Next consider Eq. (3.1) onBR(0),u+V (x)u=f (u), inBR(0),

u=0, on∂BR(0) (3.2)

we can similarly defineNR=NH01(BR),cR. By the result of [8],cRis achieved by a positive solution calleduR. It is easy to check thatcR> candcRcasR→ ∞.

Lemma 3.4.Let uRNR be a minimizer ofcR. Assume for a subsequenceRn→ ∞,

BRn|un|pA(0,), whereun=uRn. Then there exists(yn)⊂RNs.t. for anyε >0, existsrε>0, for allrrε,

lim inf

n→∞

Br(yn)

|un|pAε.

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Proof. Note thatuRsatisfies (3.3) for allϕH01(BR),

BRn

uRϕ+V (x)uRϕ dx−

RN

f (uRdx=0. (3.3)

Since(un)is bounded inH1(RN), by using the concentration compactness principle, existsα(0,1]and(yn)⊂RN s.t. for anyε >0, there existsrε>0, for allrrrε,

lim inf

n→∞

Br(yn)

|un|pαAε, (3.4)

lim inf

n→∞

RN\Br(yn)

|un|p(1α)Aε. (3.5)

Now supposeα <1, then following exactly the same construction as in Lemma 2.5 we have two sequenceswn and vnsatisfying

lim inf

n→∞

RN

|wn|pαA, lim inf

n→∞

RN

|vn|p(1α)A, Φ(un)=Φ(wn)+Φ(vn)+o(1).

Moreover, if we takeϕ=wn, by (3.3) γ (wn)=

Φ(un), wn

+o(1)=o(1).

Similarly,γ (vn)=o(1). By Lemma 2.4, there existtn→1,sn→1, s.t.

wn=tnwnN, v˜n=snvnN.

If(yn)is bounded, then lim infn→∞Φ(wn)cand lim infn→∞Φ(v˜n)c. If(yn)is unbounded, then lim inf

n→∞ Φ(wn)c and lim inf

n→∞ Φ(v˜n)c.

Altogether, we have

Φ(un)=Φ(wn)+Φ(vn)+o(1)=Φ(tnwn)+Φ(snvn)+o(1), and

lim infΦ(un)lim infΦ(tnwn)+lim infΦ(snvn)c+c. A contradiction, so we haveα=1. 2

Proof of Theorem 3.1. Let (un)N be the minimizing sequence for c given in Lemma 3.4. Let A= limn→∞

RN|un|pdx. By Lemma 3.3,(un)is bounded inX and weakly converges tou=0. By Lemma 3.4, there exists(yn)⊂RNs.t.∀ε >0,∃r >0,

lim inf

n→∞

Br(yn)

|un|pAε.

Then(yn)must be bounded. Otherwise,γ(un)=γ (un)+o(1). We findtn→1, s.t.γ (tnun)=0. Then we have clim infΦ(tnun)=lim infΦ(un)=lim infΦ(un)=c

a contraction withc < c. Now, when(yn)is bounded, we have unu inLp(RN). This gives that along this sequenceΦ(un)is weakly lower semi-continuous, we have

c=inf

N Φ(u)Φ(u)lim infΦ(un)=c. 2

Remark 3.5.Though we assume in this sectionf depends only ont, looking at the proofs we see the arguments can be used with little changes to deal with the following case:f =b(x)f (t ) withb satisfying bC1(RN,R), b1b(x)b2for someb1, b2>0, andb(x)infRNb(x)=lim|x|→∞b(x). The precisely statement is the same.

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References

[1] A. Ambrosetti, A. Malchiodi, Perturbation Methods and Semilinear Elliptic Problems onRn, Progr. Math., Birkhäuser, in press.

[2] A. Ambrosetti, P.H. Rabinowitz, Dual variational methods in critical point theory and applications, J. Funct. Anal. 14 (1973) 349–381.

[3] H. Berestycki, P.L. Lions, Nonlinear scalar field equations. I. Existence of a ground state, Arch. Rational Mech. Anal. 82 (1983) 313–345.

[4] W.-Y. Ding, W.-M. Ni, On the existence of positive entire solutions of a semilinear elliptic equation, Arch. Rational Mech. Anal. 91 (1986) 283–308.

[5] L. Jeanjean, K. Tanaka, A positive solution for a nonlinear Schrödinger equation onRN, Indiana Univ. Math. J. 54 (2005) 443–464.

[6] P.L. Lions, The concentration-compactness principle in the calculus of variations. The locally compact case. I & II, Ann. Inst. H. Poincaré Anal. Non Linéaire 1 (1984) 109–145, 223–283.

[7] J. Liu, Y. Wang, Z.-Q. Wang, Solutions for quasilinear Schrödinger equations via the Nehari method, Comm. Partial Differential Equations 29 (2004) 879–901.

[8] Z. Liu, Z.-Q. Wang, On the Ambrosetti–Rabinowitz superlinear condition, Adv. Nonlinear Stud. 4 (2004) 561–572.

[9] P.H. Rabinowitz, On a class of nonlinear Schrödinger equations, Z. Angew. Math. Phys. 43 (1992) 270–291.

[10] W.A. Strauss, Existence of solitary waves in higher dimensions, Comm. Math. Phys. 55 (1977) 149–162.

[11] M. Struwe, Variational Methods. Applications to Nonlinear Partial Differential Equations and Hamiltonian Systems, Springer-Verlag, Berlin, 2000.

[12] M. Willem, Minimax Theorems, Birkhäuser, Boston, 1996.

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