A NNALI DELLA
S CUOLA N ORMALE S UPERIORE DI P ISA Classe di Scienze
J OHN E RIK F ORNÆSS C LAUDIO R EA
Local holomorphic extendability and non-extendability of CR-functions on smooth boundaries
Annali della Scuola Normale Superiore di Pisa, Classe di Scienze 4
esérie, tome 12, n
o3 (1985), p. 491-502
<http://www.numdam.org/item?id=ASNSP_1985_4_12_3_491_0>
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Holomorphic Extendability Non-Extendability
of CR-Functions
onSmooth Boundaries.
JOHN ERIK FORNÆSS - CLAUDIO REA
(*)
§
1. - In this paper we deal with CR-functions on the smooth(C~) boundary
of(a
germof)
an open set Q c Cn.By
localextendability
to Cn or toCD
at p E we mean the existence of twoneighbourhoods A c B of p in Cn
such that all CR-functions on B r1 3Dare the trace of a
holomorphic
function in A or A r1Cl7 respectively.
Our results are based on the notion of
supersector
of Q at p. Let C bea
regular analytic
curve which has a contact of orderprecisely k
at p with8Q.
The
k-jet
of adefining
function for 8Q in acomplex
coordinate on C or as we will saybriefly, 3Dy
divides(the
germof)
C in closedsectors,
interiorsectors and exterior sectors
of
order k. The first are inQ
and the second in CS~(more precisely, k-jets
of thesesets).
If we remove all those exterior sectorswhich have the rest of C is formed
by disjoint
closed sectors which are calledsupersectors of
order kof
Q at p. Asupersector
is proper if(as
agerm)
it containspoints
of(the k-jet of) Dy
otherwise thesupersector
is said to bedegenerate.
DEFINITION. We shall say that S~ satisfies the rays condition at p E 8Q
if,
for some2 c k +
00, there is ananalytic
curve,tangent
of order pre-cisely k
to 8Q at p on which there are real linesll,
... ,l", v > 3,
issued fromp
(rays),
contained in the(k-jet of) S2,
such that at least one of them iscontained in the
(k-jet of)
S~ and theirangles satisfy Ij C ~/k,
forj
=1, ..., v -1
andi 1,
>n/k.
Supersectors
and rays condition can beanalytically presented
as follows.Let be SZ =
{O(z,, ... , zn) 0), where §
is a smooth function and let«
~(~)
E Cn be acomplex analytic
curvehaving
a contact of order k at p =cp(O)
with 8Q.(*)
The second Author wassupported by
MPI and CNR ResearchGroups
andduring
the redaction, was a visitor to theDept.
of Math., Universite deStrasbourg.
Pervenuto alla Redazione il 2 Settembre 1984.
There is where
P k
is a realhomogeneous polynomial
of the variables Re~, 1m C
ofdegree
k. Asupersector
is theimage by
99 of anycomponent
of thecomplementary
in C of the union of those open sectors ofwidth >nlk
on whichPk
ispositive
and thesupersector
isproper if
Pk
isnegative
at somepoint
of thecomponent.
The rays condition is satisfied
whenever,
for some cp, there exist numbers06i
... with~+i2013 for j = 1, ... , v - 1
and01
>> such that
Pk( exp (i8;])
0for j
=1,
..., v and strictinequality
holdsfor one value
of j
at least. This condition isobviously equivalent
to the prop-erty of
Qof having
a propersupersector of
width > Somehow com-plementary
to the rays condition is thefollowing property
which says that interior sectors of S~ arealways gathered
in groups of width and those groups aresupersectors,
i.e.they
areseparated by
sectors of widthand therefore
by
sectors ofwidth > n/k.
DEFINITION. S~ has
grouped
sectors at p E aS~if,
for somek,
2 k+
00, allsupersectors
of Q at p have width Thishappens
for instance when S~ ispseudoconvex
oftype k
at p. Our main result is thefollowing.
THEOREM 1.
(i) If
the rays condition at p E 3Dthen,
near p,OR-functions
on 3Q extend
holomorphically
toCS~.
’
(ii) If
Q c C2 hasgrouped
sectors at p E aS~ then p is a localpeak point
or
for
Q. Inparticular
there areOR-functions
on a, at p which do not extendholomorphically
toC,~.
If S~ c C2 then each of the
hypothesis
in th.1,
the rays condition and thegrouped
sectorscondition, imply
that 1~ is the maximal order of contact with 8Q at p for aregular analytic
curve;i.e. p is a point of type k for
D.Conversely,
if we think in terms ofsupersectors,
we see thatonly
twokinds of
points p
E 8Q of finitetype (say type k)
excape theorem 1 for D c C2.They
are thefollowing:
DEFINITION. - A
point p
e 8Q oftype k
is said to beexceptional of
harmonickind if all
supersectors
of order k have width but is attained.DEFINITION. A
point
p E a,S2 oftype k
is said to beexceptional of
rays kind if all propersupersectors
of order k have but there is adegenerate supersector
of width > Indeed those germs areexceptional because,
for fixedk, they
form a closed subset withempty
interior of theset of germs of
type
k.In section 5 we shall prove
by examples
that forexceptional
germs bothextendability
andnon-extendability
can hold. Itis,
as will also benoted,
not clear to the authors whether
exceptional
germs of rays kindalways
havelocal
peak
functions. We shall use local co-ordinates z = x+ iy,
w = u+ iv,
z’ =
(Z3
... ,zn), with
p asorigin
and choose u = 0 as the realtangent hyper- plane
to 3Q at p. So we havewhere
Pk(z)
=Pk(x, y)
is a realhomogeneous polynomial
ofdegree l~ ~ 2.
For DC C2 we have more
simply
The first
part
of theorem 1 is derived in section 3 as a consequence of thefollowing slightly
moregeneral
result.THEOREM 2.
If
thepolynomials Pk
in(1.1)
has no nontrivial(i.e. =-A - oo)
subharmonic minorant inC,
then on a. extend(near 0)
holo-morphically
toThe
proof
of this theorem makes use of the traditionaltechnique
of an-alytic
discs as is based on a theorem of Stensones-Henriksen on the en-velopes
ofholomorphy
ofsubgraphes ([13]).
The second
part
of theorem 1 isproved
in section 4. For later conveni-ence we want to avoid that the z axis contains real lines
along
which it istangent
to 8Q ofhigher
order.So, by replacing w by w +
Azk withlarge JAI,
we can assume that
and never vanish
together .
First E. E. Levi noticed in
[7] that,
forstrictly pseudoconvex
thanksto the existence of a
regular analytic
curvethrough p,
contained inCS~,
there is no
extendability
to Then H.Lewy proved
in[8] that, by
thesame reason, there is
extendability
to S~. Later Kohn andNirenberg
showedin
[6] by
anexample,
that the curve may not exist in theweakly pseudo-
convex case; however Bedford and Fornaess
proved
in[3]
and[4]
that boththe conclusions of Levi and
Lewy
are still valid forweakly pseudoconvex
Qof finite
type.
Our construction of apeak
function is a variation on theoriginal
Bedford and Fornaess method of[4]. Kohn-Nirenberg’s example
however showed that when the Levi form vanishes
at p, extendability
to Qand
non-extendability
otC~2
have not the sameorigin (the analytic curve).
This gave the
hope
to haveextendability
results to a fullneighbourhood
of p.Recently
it has beenproved
that thishappens always
forpoints
of oddtype and,
forpoints
of eventype > 4,
in an open set of cases, moreover ata
point
of any finitetype
there isextendability
to at least one side. There-fore for
points
of finitetype
it is now convenient toforget
CR-fnnctions and to discuss theextendability
toC.~
of(germs of)
functions inO(Q)
nAlso
only
eventypes
areinteresting.
We shallkeep
thispoint
of view.Further a germ of
type k
has theextendability property
toCSd
if there isan interior sector of width >
(The
above remarks in thisparagraph
arecontained in Baouendi-Treves
[1],
Rea[9], [10], [11]
andBogges-Pitts [14].)
The last
hypothesis
isevidently stronger
than the rays condition. Indeed this isstrictly stronger
for an open subset of germs of eventype >6.
Thisis shown
by
anexample
in the last section.Similar results to the ones in this paper have been
independently
andsimultaneously
obtainedby
Bedford[2] using
differenttechniques.
§
2. - DEFINITION 2.1. LetF(z)
be a real upper semicontinuousfunction
on the open set E c C. For set = sup
~y~(z),
is subharmonic inE, ~ c .I’} .
Then is said to be thelargest
subharmonic mi- norantof
F in ~.-r,
In this section we will
only
deal with the case E = C.LEMMA 2.1. Let
P(z)
be an upper semicontinuousfunction, homogeneous of degree
k. Assume that P has a nontrivial(i.e. 00)
subharmonic mi-norant 0
on C. Thenimplies
and .+ If
in addition , then ifor
PROOF. Observe at first that the last statement of the lemma fol- lows from the first
part applied
toP(z) +
Re where a e C is such that Be > 0for 81 Arg z ()2
and Re = 0 forArg z = ()1
orArg~==02’
Then the firstpart implies
that forTo prove the first
part,
let Be azk be a harmonic term which isstrictly negative
at 6 =6iy 62. Replacing
Pby P +
E Beazk,
0 s CC 1 we seethat it
clearly
suffices to show that if then0
for81 C e C 62 and ø>O
forBy
a theorem of Kiselman([5],
or[12]
page179)
there exists a se-quence of smooth
(on
C -{0})~ k-homogeneous
subharmonic functions onC,
~~n~ ~ ‘ 1,
such that§n(0) = 0
for Vz. Hence for alllarge
n,0, j
=1,
2. Since the are smooth it followsby
a well known
argument (see
for instance[4],
p.556)
that the sets~~" 0)
and
(§n > 0)
havecomponents
which are sectors of widthrespectively Hence cpn
0 for81
00.
and 0 for iand the same
inequalities
hold for0.
DAccording
to definitions of section 1 we define as asupersector of
a realhomogeneous polynomial Qk
ofdegree k,
anycomponent
of C -.E,
where Eis the union of those
components
of which haveA
supersector
will be said to be proper ifQk
0 at some of itspoints,
non-proper
supersectors
are calleddegenerate.
We want now to derive some
analytic
consequence of thegrouped
sectorscondition,
thus we shall assume in the restof
the sectionthat, for
each a EC,
all
supersectors of
Re(az)k +
have widthn/k.
A trivial conse-quence of the
continuity
ofPk
is thefollowing.
(2.1)
Let be a propersupersector of
Re(aoz)k + Pk(z).
Thereexist
positive
numbers s, 6 suchthat, for
all a E 0 with~ac
-ao ~
s, the sectorarg z
82 --
containsexactly
onesupergector of
and this is
proper. Furthermore
the sector has no intersection with any othersupersector of
l~e(az)k
Also we shall need a
corresponding
statement fordegenerate
super- sectors.Degenerate supersectors
are finite collections of rays~el, ...,
LEMMA 2.2. Let
~81,
..., be adegenerate supersector of
Re(
There exist
positive
numbers6, 6
and an open subset Awith ao E
aA.,
such that the sector0, - 6
arg z0, +
ð intersects a super- sectoro f
Re(az)k + Pk(z),
with a E Nif
andonly i f
aE A (closure
inN)
andin this case the sector contains a
unique supersector of
.Re(az)k + Pk(z)
andthis is proper
i f
andonly if
a E A. Moreover theboundary of
A can be doneto be C~
by
atrans f ormation of
thetype
a --~(a
-ao)", oc 1.
PROOF. We shall prove that the lemma holds for v = 1 with a = 1 and that in this case .A =
A,
is boundedby
a curve t ~ao -E- tXl(t),
realanalytic
for t =1= 0 and such thatIn the
general
case we will have andby (*)
thetangent
lines toaAj+,
and8A;
will form anangle
- E]-
n,0[
and the lemma will beproved.
Solving
asystem
we see that01
is a critical zero of Be(a
exp-~-- Pk(egp [iO]) only
if ak =b(01)
withFurthermore,
y direct derivation shows thatholds
( d = Laplacian).
So
by
obvioustransversality arguments
the set A and N exist and aA is the curveao + oc,(t)
definedby (ao + ai(t) ) k = + t).
Note that ao ~ 0by (1.2),
thus the definition is correct.Only ( * )
is notyet proved.
We haveb: exp I
But
since,
for10
-81~
.e, with small E >0,
we have Re(aca
exp[io])k
~( exp [,
withc > 0, thus, by applica-
tion of the
identity
weobtain
dPk(egp [iO])
> 0 for 010
-011 C
s, so(*)
holds even if4P*~
vanishes at exp D
Finally
we need a last lemmaLEMMA 2.3. Fix a proper
supersector
Go =10,
00,’ f of
thepolynomial
Re
(ao z) k +
Then it is notpossible
tofind for
every continuousfunc-
tion
a(t): ~t ~ 0~ -~ C, a(O)
= ao two continuous realfunctions O.,(t), 02(t), 01(0) 0, O2(0)
such that0,(t) 02(t) 0,,(t) + nJk
and such that Reak(t)zk + Pk(z)
isalways negative for
some a,0,(t)
arg z02(t)
while this expres- sion isstrictly positive if
PROOF. If this is
possible,
y it followsby
amonodromy argument
thatthere exists on
C(a)
two continuous functions0,(a) 0,(a) + ~c/k
with
Re akzk +
if or+ i/k
andstrictly negative
at some0, 0,(a)
0e2(a).
Now consider a
path a
= .R exp[iy],
.R »1, ’lfJ
E[0, 2n].
ThenThis
forces V -~-
to oscillate less than2n/k.
Butsince y
increasesby
2n this contradicts that82
issingle-valued.
D§
3. - In this section we prove theorem 2 and theorem 1part (i).
Weshall use the
following
THEOREM 3.1
( Stensones-Henriksen [13]).
Let E be a convex, open subsetof
andF(z, v)
areal,
lower semicontinuousfunctions
on E. Con-sider the set
Then
(i)
theenvelope of holomorphy .1~ of
Q is a schlicht domain and there exists a lower semicontinuousfunction 0
on .E such that( ii ) If F m
are also semicontinuous inEm, Em
cEm+1,
=E, ~m corresponds
toF m
andF m fi .F’,
thenØm fi ~.
(iii) If
E has thef orm
A X .R with A c Cmw and F isindependent o f
v,then ~
is alsoindependent of
v, inf act ~
is the smallestpluri-superharmonic majorant of
.F’ as af unction
in A.PROOF OF THEOREM 2. As we noticed in section
1,
CR-functions are ex-tendable at least on one side. So we must
only
provethat,
in a suitableneighbourhood
of p, pbelongs
to theenvelope
ofholomorphy
of Q.From theorem 3.1
(iii)
it follows that theenvelope
ofholomorphy U
ofis all of Cn. For let
Then
by
theorem 3.1(ii)
there exists an m so that 0 E0m .
For t »
1, let z, w, z’
be newco-ordinates, z
=~
w =tkw,
z’ = tkil.In these co-ordinates
Um
isgiven by
Obviously
0 is still in theenvelope
ofholomorphy
ofU m.
Hence to show that 0 is in theenvelope
ofholomorphy
of S~ it suffices to show that forlarge enough
tfor all
(z, v, z’ ) with I
for C some fixed constant.Clearly
if t islarge enough
so it suffices to show that
or
equivalently
thatThis is true as soon as t ~ eMk+ 1.
This finishes the
proof
of theorem 2. DThe first
part
of theorem 1 is an easy consequence of theorem 2 as wenow show.
PROOF OF THEOREM
1, (i).
We noticed in section 1 that thehypothesis
is
equivalent
to the fact that for some a EC, Q1c(Z)
=Re OeZk + Pk(z)
has a proper
supersector
of width > Hence there exist real numbers with on eachbm -
al >n/k
and forsome j
there is ajb" Q,~
0 onfaj
0bjl.
We will show that the
largest
subharmonic minorant0,
ofQ1c (and
hence of
Pk)
is - - oo. Assume0, EA -
so0,(0)
= 0.By
Lemma 2.1it follows that
Oc 0
on(bi, aj+l)’ [ai+l’ bj+l)’ [bj+l’ a~+2) ...
and(bj-,, a,), (aj-1, bj]
...inductively,
so in factOc
0 on(acl, bm).
This contradicts however lemma 2.1applied
toOc
since So~~
o - oo aswanted. D
§
4. - We shall show in this section theproof
of theorem1, (ii).
Thisis based on the
following
PROPOSITION 4.1.
If for all a
E C thesupersectors of
thepolynomial
Re(az)k + P~(z)
have width then there exists 8 > 0 and af unction h, holomorphic
nonvanishing
in the conewhich has limit 0 at the
origin.
We assume for a moment the
proposition.
PROOF OF THEOREM 1
(ii).
S( Sincewhen w§j
=w%,
anonvanishing holomorphic function 9
is defined on
such that
g(z, wk)
=g(z, w).
For small 6 >0, Q. 6}
issimply
connected and therefore does not contain a closed curve whose
g-image
turnsaround the
origin.
Therefore aholomorphic
functionf
is defined in this set suchthat f =
g for someinteger N,
andlaxg n/4.
Moreoverf
has 0 limit at the
origin. Hence el’
is apeak
function for the setQe/2
and, by (1.1 )’,
this set contains forsuitably
small 6 > 0. D
PROOF OF PROPOSITION 4.1. Let us consider the cone
is in a
supersector of
Re(W,,ZIZ(,)k
with
Set V for the
part
ofV coming only
from propersupersectors. Any
conicalneighbourhood
ofTT
contains the set(4.1)
forsuitably
small s >0,
so thatV
is
actually
the closure of V. For eachcomplex
line Lthrough
theorigin
of 02i.e. L E
P1(C),
thecomponents
ofV
r1~B{0}
are sectors of widthalk separated by
sectors of width >alk
unless L is{z
=0~,
y in this case wehave
equality.
Consider the space .R of thosecomponents
with thequotient topology
and set 1~ for thepart
of.R coming
from V. Thus an element of I~over
[a: 1]
E is asupersector
of thepolynomial
Re(az)k + Pk(z),
pro-jection
z: Now statement(2.1)
saysexactly
that agives
Rthe structure of a Hausdorff Riemann surface over
Pi(C)
and Lemma 2.3 says that R has nocompact component. I~
iscompact
becauseV
is closed in C2.Now we define 8R =
R"’R
asboundary
of 1~. Lemma 2.2 says that this is a correctboundary.
With the notation of this lemma we can extend the co-ordinatepatches
at theboundary
from A to N and obtain abigger
Riemannsurface
R
c R which also has nocompact component
after suitable reduction.Let now £ be the
holomorphic
line bundle obtainedby blowing
up the
origin
of C2. Thepull-back
a* E - .1~ is also aholomorphic
linebundle: the fiber over a
component
of V n.LB~0~
is L. Notethat,
if wewrite
[a : @]
for an element ofP1(C),
then thecomplex
structure of .I~ is definedas the one for which is a
meromorphic
function and isexactly
theline bundle associated to this function.
Now neither
Pk(z) (by (1.2))
nor Re wk havedegenerate supersectors.
Therefore z and w are both nonzero on aR so that the transition function
w/z
of extends toJS
and we have alarger
line bundle(n* C) - -/l.
There is a natural
embedding
v : V-(n* L)
which has(in
the localproduct
co-ordinates of n*L)
the formfor z~0 for
w =A 0.
So,
after a furtherpossible
reduction ofR,
v extends to abiholomorphic
map v to(n* )"
of a conicalneighbourhood ’P
ofV.
v is C-linear on the
components
of V nLB~0~
for all .L EPi(C) . Finally,
ysince JS
is open, the dual of(n* L)"
is trivial bundleby
Behnke-Stein theorem and has a nevervanishing holomorphic
section H. H is a functionon
(n* ~)~.
Therequired
function h is Ho v. 0§
5. - In this section we discuss theexceptional
cases andemphasize
the
criticality
oftype
6:only
atpoints
of eventype >
6 canweakly pseudo-
convex domains have no outer
tangent
disc as inKohn-Nirenberg’s example
and this rays condition is
strictly
moregeneral
than the sector condition.EXAMPLE 1. Let
Then
y)
isexceptional
of rays kind. Thesupersector [-
width
2~/9
>~/6.
One seeseasily
thatP6
is notexceptional
of harmonickind,
does notsatisfy
the rays condition and does not havegrouped
sectors.The bounded
domain {
has
(0)
as apeakpoint
and e’° as apeak-function.
So CR-functions do not extend.The authors do not know whether 0 is a
peak-point
for{Re w -~ [w[2
+ P6(Z) - 81zpo 0},
8 > 0 some constant.EXAMPLE 2. Let
Then
P6
satisfies the rays condition. Observe that if s is smallenough,
it isnot
possible
to add a term of the form Re ad to makeP6 +
Re az6 have a neg- ative sector ofwidth > n/6
becauseSo for the rays condition is
strictly
moregeneral
than the sectorproperty.
EXAMPLE 3. Let
Then
Pa
isexceptional
of harmonic kind and(0)
is apeak point
forwith
peak
function eWe EXAMPLE 4. LetThen
(0)
is in theenvelope
ofholomorphy
ofand so CjB-f unctions extend to a full
neighbourhood
of(0).
But
P8
is stillexceptional
of harmonic kind.REFERENCES
[1]
M. S. BAOUENDI - F. TREVES, About theholomorphic
extensionfo CR-functions
on real
hypersurfaces in complex
space, Duke Math. J., 51(1984),
pp. 77-107.[2]
E. BEDFORD, Local andglobal envelopes of holomorphy of
domains in C2.(Preprint).
[3]
E. BEDFORD - J. E. FORNÆSS, Local extensionof CR-functions from weakly pseudo-
convex boundaries,
Michigan
Math. J., 25(1978)
pp. 259-262.[4]
E. BEDFORD and J. E. FORNÆSS, A constructionof peak functions
onweakly pseudoconvex
domains, Ann. of Math., 107(1978),
pp. 555-568.[5]
C. O. KISELMAN, On entirefunctions of exponential
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Acta Math.117, (1967),
pp. 1-35.[6]
J. J. KOHN - L. NIRENBERG, Apseudoconvex
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aholomorphic
supportfunction,
Math. Ann. 201(1973),
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E. E. LEVI, Sulleipersurperfici
dellospazio
a 4 dimensioni che possono esserefrontiera
del campo di esistenza di unafunzione
analitica di due variabili com-plesse,
Ann. Mat. PuraAppl., 18,
s. III(1911),
pp. 69-79.[8]
H. LEWY, On the local characterof
the solutionsof
anatypical linear differential equation
in three variables and a related theoremfor regular functions of
two com-plex
variables, Ann. of Math., 74(1956),
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C. REA, Extensionholomorphe
bilatérale desfonctions
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