C OMPOSITIO M ATHEMATICA
T OSHIAKI A DACHI
T OSHIKAZU S UNADA
Energy spectrum of certain harmonic mappings
Compositio Mathematica, tome 56, n
o2 (1985), p. 153-170
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ENERGY SPECTRUM OF CERTAIN HARMONIC MAPPINGS
Toshiaki Adachi and Toshikazu Sunada
© 1985 Martinus Nijhoff Publishers, Dordrecht. Printed in The Netherlands.
Let
( M m, g )
and( N n, h )
be twocompact
Riemannian manifolds. Givena
C’-mapping (p
of M intoN,
we define the energydensity (~)
to bethe trace of the induced tensor
cp* h
withrespect
to the metric g, which isoccasionally
writtenas ~d~~2 by using
the naturalmetric ~·~
on thevector bundle
T*M ~ ~-1 TN.
Define the energy functionalE(~) by
where
d vg
is the volume element of(M, g).
If the functional E isstationary at
~,then ~
is called harmonic. We denoteby £(M, N )
theset of all harmonic
mappings
of M into N. The purpose of this paper is tostudy
the energyspectrum {E(~) ~ R; ~ ~ X(M, N)}
from aquantitative
viewpoint.
In the
special
case that M =S’ (the circle),
harmonicmappings
arenothing
but closedgeodesics
inN,
and the so-called Palais-Smale condi- tion for the functional Eguarantees that,
forgeneric
metrics onN,
theenergy
spectrum
is a discrete set in R.Actually,
several methods have beendeveloped
toget quantitative
behavior of the energyspectrum (see
for instance N.
Hingston [9]
and R.Gangolli [6]).
When dim M >
1,
not much is known on the structure ofYê(M, N ),
and the
aspect
of the energyspectrum might
bepossibly complicated
because we may no
longer expect
the P - S condition. Even thequestion
whether the
spectrum E(T)
is bounded from above or not is rather hard to decide. Butconfining
ourselves to manifolds N withnon-positive
sectional curvature, we find that "a weak
compactness property" holds,
ifnot the P - S
condition,
which enables us to prove discreteness of the energyspectrum,
and toget
some information aboutasymptotics
ofE(~)
atinfinity.
From now on we suppose that N is
non-positively
curved. As was shownby Eells-Sampson [3]
and P. Hartman[8],
each connected compo- nent ofC0(M, N ),
the space of continuousmappings,
contains one andonly
onecomponent
ofX(M, N),
and the functional E assumes constant value on eachcomponent.
Thus we may set, for eachcomponent
(M, N)
One of main results in this paper is embodied in
THEOREM 1: There are
positive
constants cl, C2,depending only
upon thediameters .DM, DN,
the volumesVM, VN
and the lower limits pm, p,of
theRicci curvature
of M,
N such thatfor
any x >0,
In
particular,
the energy spectrum constitutes a discrete set in R.We will observe in
§1
that the constants cl and c2 can beexplicitly
calculated in terms of
D, V,
p.Further,
we will see in the course ofproof
that if N is
flat,
the left hand side in the aboveinequality
haspolynomial growth
as x tends toinfinity.
In the case N is a flat torus, the exactgrowth
rate can be obtained. To statethis,
we denoteby b1
=b1(M)
thefirst Betti
number, A(M)
the Albanese torus, thatis,
the toruswhich carries the flat metric derived from the
global
innerproduct
ofharmonic 1-forms on M. We will henceforth write
f(x) ~ g(x)
iff(x)/g(x) ~ 1
as x ~ ~.THEOREM 2: Let N be a
flat
torus.If
we setthen
Another case which allows us to
get precise
information on thegrowth
rate is the
following, essentially
due to G.A.Margulis [18]
andParry-Pol-
licott
[29].
THEOREM 3:
Suppose
that the sectional curvatureof
N isstrictly negative.
Then there exist apositive
constanth N
such thatIt turns out that the constant
h N
is thetopological entropy
of thegeodesic
flow on thetangent
unitsphere
bundle of N. Thefollowing
estimate is known
([17]):
where - A2 and - B 2
are the upper and lower limits of the sectional curvaturerespectively.
If N is a rank-onesymmetric space,
then one may conclude thatwhere 03BC1 ···
03BCn-1> 03BCn
= 0 are theeigenvalues
of the curvatureoperator:
X ~ NR(X, 03BD)03BD,
vbeing arbitrary
unittangent
vector(see [6],[25]).
It is known
([3])
that if the Ricci curvature of M issemi-positive definite,
then any harmonicmapping
of M into N istotally geodesic.
In§4,
we will see that if acomponent l ~ X(M, N)
contains atotally geodesic mapping,
then all themapping
in W aretotally geodesic.
As a
byproduct
of theproof
of Theorem1,
we obtain apartial generalization
of Theorem 3.THEOREM 4: Let
1( M, N )
be the spaceof totally geodesic mappings of
Minto N.
Suppose
that thefundamental
group03C01(M, p)
isgenerated by homotopy
classesof geodesic loops
yl, 03B32,···, Yt at p withlength of 03B3i
1.Then
Especially,
We should
point
out that Theorem 1is,
in its nature,regarded
as ageneralization
of the resultsby
H. Huber[10],
H.C. lm Hof[11]
and M.Maeda
[16]
aboutgeometric
estimates of the order of theisometry
groupacting
on anon-positively
curved manifold. Infact, combining
Theorem1 with the
rigidity
theorem in§4,
we have thefollowing
which im-mediately applies
to the isometries of N since anyisometry W
is harmonicandE(cp)=nVN.
THEOREM 5:
Suppose
that N isnon-positively
curved and the Ricci curva- ture isnegative
at somepoint.
Thenfor
any x >0,
the setof surjective
harmonic
mappings
cp: M - N withE(~)
x isfinite,
and thecardinarity
is estimated as in Theorem 1.
COROLLARY
(see
also§5):
The numberof
isometriesacting
on the above Nhas a bound
expressed explicitly
in termsof DN, VN
and PN.We
give
here several notations which will be used later. For aRiemannian manifold
(M, g),
let( M, g)
denote the universalcovering
manifold. The distance
function,
the sectional curvature and theinjectiv- ity
radius of M are denotedby dM, M Riem and iM respectively.
Wefurther set
As
usual, Br( p)
will denote the closed ball of radius r with center p, andD/dt
will denote the covariant differentiationalong
a curve.For information about the basic
properties
of harmonicmappings,
seeEells-Lemaire
[4].
Acknowledgement
The authors are very
grateful
to Prof. A. Morimoto and A. Katsuda for valuable advice.§1.
Proof of Theorem 1Throughout
thissection, (M, g)
is acompact
Riemannian manifold and( N, h )
is anon-positively
curvedcompact
manifold. We denoteby A x
theset of
components
ofW(M, N) containing
some 99 such that supe(~)1/2 x (it
isactually
true that if Tand 03C8
are harmonic andhomotopic,
thene(03C8) ~ e(03C8)).
We first estimate thecardinarity #Ax.
For this we recall Lemaire’s idea in
[14]
which wasoriginally applied
tothe finiteness theorem for harmonic
mappings
of uniform bounded dilatation. Fixpoints
poE M
andq° E N,
and also fix a fundamental domain -q inN
for theqr(N)-action
onN
such thatq0 ~D ~DN(q0).
For
each l ~ Ax,
we take~l ~ l with ~d~l~
x and a(unique) lifting : ~
of with(p0) ~ D.
We also take ahomomorphism 03B4l:
03C01(M) ~ 03C01(N) satisfying l(03B3p) = 03B4l(03B3)l(p),
which turns out todepend only
upon W. Since the naturalbijection
of the set ofcomponents
ofC0(M, N)
onto the set ofconjugacy
classes ofhomomorphisms
of03C01(M)
into’Tf1(N)
coincides with themapping: l
theconjugacy
classof
03B4l,
we find that themapping
is
injective.
LEMMA 1.1: Let E be
arbitrary positive
number. Thefundamental
group 7T,(M)
isgenerated by
some elements ’Tl’..., Tt such thatd SI ( po,
’Tlp0)
2(DM + t:).
A
proof
of this easy lemma is found in[2] (Prop. 2.5.6).
We set
Since ~dl~
x, the setK
iscompact,
and the setis finite.
Moreover,
from thedefinition,
it follows that03B4l(T) ~ Sx
forany l ~ Ax,
sothat, noting 03B4l
is characterizedby
the restriction03B4l| T,
we have
To estimate
#Sx
and#T,
we need thefollowing general lemma.
LEMMA 1.2: Let
Xk
be a compact Riemannianmanifold,
and let xo EX.
Then, for
any R >0,
provided
that Px 0.If 03C1x 0,
then theright
hand side can bereplaced by
In these
inequalities,
03C9k-1designates
the volumeof
the unitsphere
in thek-dimensional Euclidean space.
PROOF: Let D be a fundamental domain in
X
such thatXo E !!) C BDX(x0).
If y runs over elements in03C01(X)
withd5,(xo, 03B3x0) R,
thenwhence we have
According
to the volumecomparison
theorem due toBishop-Crittenden [1]
and Gromov[7],
Volume
or
whence the lemma.
Note that if pM >
0,
then any harmonicmapping
is constant, so wesuppose hereafter 03C1M 0.
Applying
the above lemma to the case X =M, R = 2(DM + ~), we get
REMARK
([2]):
IfMRiem - A2, A 0,
then the fundamental group’Tf1 (M)
can begenerated by
elements.
In order to estimate
#Sx,
we first notice thatKx ~ B2(DM + DN(q0),
hence for each
03C3 ~ S, taking some q E fÍ)x
with 03C3q ~Kx,
we findUsing again
Lemma1.2,
we haveCombining (1.1)
and(1.2)
andletting
E10,
weget
provided
that pN 0. If pN =0,
orequivalently,
if N isflat,
thenTheorem 1 turns out to be a consequence of the
following a-priori
estimate.
PROPOSITION 1.3: There exists a
positive
constant cdepending only
uponDM, VM
and PM suchthat, for
every cpE£(M, N)
sup
e(~) cE(~).
REMARK: If we do not care for the
dependence
of the constant c on thegeometric
terms, then the above isjust
the resultproved by Eells-Samp-
son
[3]
and K. Uhlenbeck[27].
The case
03C1M
0 is easybecause,
thisbeing
the case, every harmonicmappings 99
aretotaly geodesic,
ande((~)
are constant functions on M.Hence
E(~) = TMe(~).
We suppose PM 0. The
proof
will be carried outalong
the same lineas Uhlenbeck
[27], looking carefully
at constantsappearing
in eachstep.
Let T
~X(M, N).
We first observewhence,
for each p > 1In view of
[27],
it remainsonly
to estimate the Sobolev constant. But this has beenrecently
doneby
S. Gallot[5]
and P. Li[15],
thatis,
for any
Cl-function f
onM,
where in the case m >3,
we setIn the case m =
2,
we setTherefore, repeating
theargument
in[27],
wefinally
haveREMARK: One can use the
argument
inEells-Sampson [3]
to obtain abound on the constant c in
Proposition
1.3. Indoing this, however,
itseems difficult to eliminate the
dependence
on theinjectivity
radiusim.
We now
proceed
to theproof
of Theorem 4. In theproof
of Theorem1,
wereplace T, Kx by
Noting
thatE(~)
=VMe(~)
for any TE.r( M, N),
we findWe can make here use of the result
by
A.Manning [17] asserting
thatwhence the theorem.
So far we have considered the energy
spectrum
for thetotality
ofharmonic
mappings (or totally geodesic mappings).
It is natural to ask whathappens
if we consider thespectrum for (p E£(M, N )
with a fixedmapping
rank. But ingeneral
it seems to be difficult even to decide whether there areinfinitely
many harmonicmappings
withhigh
rank. Asfor
totally geodesic mappings
we can in fact show a finiteness theorem(see §4).
Related with theproblem
is thefollowing question:
If N is alocally symmetric
space ofnon-positive
curvature whose rank is r( 1),
then is the
following quantity positive?
§2.
Proof of Theorem 2For a flat torus
N,
the harmonic maps are identified withn-tuples
ofharmonic 1-forms with
integral periods [3];
thereforecounting
the com-ponents
ofA(M, N)
reduces tocounting
the latticepoints
Hom(H1(N, Z), H1 ( M, Z))
in the Euclidean spaceHom(H1(N, R),
H1(M, R )).
Thus we havewhere we have used the facts.
LEMMA 2.1:
(i)
For a lattice L inR k,
PROOF oF
(ii): Let {ei}, {f03B1}
be bases forL,
andL2 respectively.
If weform
symmetric
matricesthen
(det Ai)1/2
=Volume(Rkl/Li), (det AI 0 A2)1/2
=Volume(R k, 0 Rk2/L1 ~ L2).
Hence it suffices toverify
thatdet(A1 ~ A2) = (det A1)k2 (det A2)k1.
But this is immediate since for anyorthogonal
matrices
Ul, U2,
thus the
proof
reduces to the caseA,
arediagonal.
§3.
Proof of Theorem 3We let
P = {P}
be the set of allperiodic
orbits of thegeodesic
flow onthe
tangent
unitsphere
bundle of N. If weidentify
gJ with the set ofprime geodesic cycles ( = images
of closedgeodesics),
then theperiod
ofP
is thelength
of thecorresponding geodescis.
We setIt is known that if N has
strictly negative
curvature, then there is a natural one-to-onecorrespondence
P
N ~ {l ~ X ( SI, N ) ;
non nullhomotopic components},
where
(P, k) ~ P N corresponds
to thecomponent containing
thek-fold
covering
of theprime geodesic . According
toParry-Pollicott [29],
one can find apositive
constant h such thatNote that if W
corresponds
to(, k),
thenE(l) = k2(period of p)2.
Therefore one has
where
[ - 1
is the Gausssymbol,
and E is apositive
constant such that(~)=
0.Substituting (3.1)
into(3.2),
we findwhich
completes
theproof.
As a
corollary
of Theorem3,
we havePROPOSITION 3.1:
If
N isnegatively curved,
andif
dimH1( M, R)
>0,
then
PROOF: From the
assumption,
one can find a harmonicmapping
(P:M -
S
1 such that the inducedhomomorphism ~*: 03C01(M) ~ Z is surjec-
tive. Note
that,
for such a ç, themapping
yields
aninjection
of the set ofcomponents
ofC0(S1, M)
into that ofC°(M, N). Further,
for anygeodesic
c:S’ - N,
thecomposition
c - T:M ~ N is harmonic and
E(c ~)
=E(c) · E(~),
whencewhich,
in view of Theorem3, completes
theproof.
§4. Rigidities
and finitenessLet N be a
complete
Riemannian manifold withnon-positive
sectionalcurvature, and let V be a
subspace
inTq N.
We setwhich,
thanks tonon-positivity
of curvature, turns out to be asubspace
in
Tq N.
We defineintegers n(q)
andn ( N )
to berespectively. Hence,
if dim W >n(q),
thenW0 = (0).
If N isnegatively
curved at
q E N,
thenn(q) = 1,
and if the Ricci curvature isnegative
definite at q, then
n(q)
n - 1.PROPOSITION 4.1: Let (p: M ~ N be a harmonic
mapping. Suppose
thatthere exists a
point
p E M such that rankdcpp
>n(~(p)).
Then cp isrigid
in the sense that there is no other harmonic
mapping homotopic
to cp. In otherwords,
the connectedcomponent of X(M, N) containing
cp is thesingleton {~}.
COROLLARY 4.2:
If
the Ricci curvatureof
N isnegative
at somepoint,
andif
(p: M - N issurjective
harmonicmapping, then qq
isrigid.
Indeed the Sard’s theorem asserts that there exists a
point
p E M such that rankdwp
= n andn(~(p))
n - 1.PROOF OF PROPOSITION 4.1:
(Compare
theargument
in[22]).
Givenhomotopic
harmonicmappings
cp,03C8 E.Yt’(M, N),
we can find aunique
section X E
C~(~-1TN) satisfying 03C8(p) = Exp~(p) X(p).
We setFixing
an orthonormal basis{e1,···,em}
inTp M,
we define surfaces03B1J:
( - E, ~) [0, 1] ~ N by setting
LEMMA 4.3:
PROOF. This is an easy consequence of the second variation formula
and the
equalities
Since N is
non-positively curved,
the above lemmaimplies
that039403C1 0,
so that p is constant, andFrom the
assumption,
there exists apoint
p E M such that dimIm(d~p)
> n(~(p)),
whence0 = X(p) ~ (Im d~p)0,
or03C1(p) = 0.
Thisimplies
Another consequence of the second variation formula is
PROPOSITION 4.4: Let qq: M - N be a
totally geodesic mapping and 03C8
be aharmonic
mapping homotopic
to ~.Then 03C8
is alsototally geodesic.
PROOF: Let X E
C~(~-1TN)
be as in theproof
ofProposition 4.1,
and let03B3(s)
be ageodesic
in M with unitspeed.
We set03B1(s, t) = Exp tX(y(s)).
In view of the
proof
ofProposition 4.1,
we have(In fact,
the curvature conditionguarantees
thatif R(X, Y)X, Y)
=0,
then
R(X, Y)X = 0.)
We wish to proveDlas (~03B1/~s) ~
0. SinceD/as
(~03B1/~s) |(s,0)
=0,
it isenough
to show thatDlas (aalas)
isparallel
along
the curve: t ~03B1(s, t ).
But this is immediate becauseA
mapping
cp:(M, g) - ( N, h )
is calledweakly conformal
if there is anon-nagative
function À on M such thatcp*h
=ag.
Thefollowing gives
aversion of the Franchis theorem
(see
for related results[12] [14] [20] [23]).
PROPOSITION 4.5: The set
of weakly conformal
harmonicmappings W
withrank T >
n ( N ) is finite.
REMARK. For dim M >
2,
anyweakly
conformal harmonic map ishomothetic
(i.e.,
has Àconstaint).
PROOF. We are in the
position
toapply
theargument
in§1
andProposi-
tion 4.1. It suffices to
verify
the uniform boundedness of the energydensity (~). Let (p
bearbitrary weakly
conformal harmonicmapping
with rank T >
n ( N ),
and letpo E
M be apoint
at whiche(~)
attains the maximum. We maysuppose 03BB(p0)(~(1/m)e(~)(p0)) > 0. Using (1.3),
we observe that
where
SM = 03A3MRljglj
is the scalar curvature,and {e1,···,em}
is anorthonormal basis of
Tp0M.
If we seth
=03BB-1/2d~(el),
thenh(fl, fJ) = 03B4lj,
andWe note here
that,
ingeneral,
thequantity
depends only
upon thesubspace
in T. Nspanned by fl, ’ ’ ’ , fm E
T. N.Further,
from theassumption m > n(N),
R isnegative
for any{f1,···, fm}.
Since R is continuous and attains the maximum -c2( 0)
on the
compact
manifoldconsisting
of m-dimensionalsubspaces
inT. N,
we obtain
at po, and hence at any
point
in M. Thiscompletes
theproof.
COROLLARY 4.6:
Suppose
that the universalcovering
is irreducible in the de Rhamdecomposition,
and that dim M >n(N).
Then the setof totally
geodesic mappings of
M into N isfinite.
This is easy since every T
~ T(M, N )
are conformal immersions(see J. Vilms [30]).
REMARK: In
conjunction
withRoyden [21],
theargument
in this section leads to a finiteness theorem forholomorphic mappings (see [23]).
Let Mand N be
compact
Kâhler manifolds.Suppose
that the sectional curva- ture of N isnon-positive
and theholomorphic
sectional curvature isbounded from above
by
anegative
constant - K. Further assume 03C1M 0.We denote
by Hol(M, N )the
set ofholomorphic mappings
of M into N.It is a standard fact that any
~ ~ Hol(M, N)
isharmonic,
and if acomponent %’
ofX(M, N)
contains aholomorphic mapping,
then allthe
mappings
in W areholomorphic. According
to[21],
any cp EHol(M, N )
satisfieswhere r is the rank of ~ over C. Hence
# {l ~ Hol(M, N)}
as well as#{~ ~ Hol(M, N) ; rankoR~ > n(N)}
can be estimatedby
ageometric
constant
(see §1).
§5.
Anotherapproach
This section will
give
another method to count thecomponents
ofX(M,N)
which is more directgeneralization
of Maeda[16].
We retainthe notations in
§1.
Given a
positive
number x, wechoose, a, b
> 0 so that 0 zmin(iN, iN/2x)
and 0b iNI2 -
ax. Takepoints
p1,···, pt in M and ql, ’ ’ ’ , qs in N such thatChoosing
an element ~lwith ~d~l~ x
from eachcomponent l ~ Ax,
we set L =
{~l}.
We define amapping 03A6:
L ~Map(T, S)
as follows.For p
E L and i ET,
wedefine j(i)
to be thesmallest j
such that~(pi) ~ Bb(qj).
Then themapping i ~ j(i)
isthe 03A6(~).
We will show V isinjective.
For thisassume 03A6(~) = 03A6(03C8) =j(·).
Takearbitrary point
p E
M,
and say p EBa(pl).
Thenwhence we can construct a
homotopy
between ~and 03C8 by using
aunique geodesic joining 03C8(p) and 03C8(p).
This proves (p ==03C8.
The estimation of
#Ax, reduces,
afterall,
to that of thecardinarity
ofa ball
covering.
LEMMA 5.1: Let
X k
be acompact
Riemannianmanifold,
and let cix
bea
positive
number.(i)
There existfinite
numberof points
p1,···,Pt E
X such that(ii) If
the sectional curvatureof
X isnon-positive,
then the above(5.1)
can be
replaced by
These are easy consequences
of
the volumecomparison
theorem and thefact
thatif (c/2(Pl)}l=1,···,
t is amaximal family of
open balls which aremutually disjoint,
thenUBC(Pl)
= X.COROLLARY 5.2: The number
of
componentsof isometry
groupacting
on anon-positively
curvedmanifold
N is not greater thanIndeed,
in the aboveargument,
we haveonly
to set x = n, a =’Nl4n
= b. See for related
topic [28].
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Math. 86 (1964) 109-160.
[4] J. EELLS and L. LEMAIRE: A report on harmonic maps, Bull. London Math. Soc. 10
(1978) 1-68.
[5] S. GALLOT: Inégalité isoperimetrique sur les variétés compactes sans bord, to appear.
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(Oblatum 10-11-1984) Department of mathematics Nagoya University Chikusa-ku, Nagoya 464 Japan