ESTIMATIONS OF THE BEST CONSTANT INVOLVING
THE
L
2 NORM IN WENTE'S INEQUALITY ANDCOMPACT
H
-SURFACES IN EUCLIDEAN SPACEGE YUXIN
Abstract. In the rst part of this paper, we study the best constant involving the L2 norm in Wente's inequality. We prove that this best constant is universal for any Riemannian surface with boundary, or re- spectively, for any Riemannian surface without boundary. The second part concerns the study of critical points of the associate energy func- tional, whose Euler equation corresponds toH-surfaces. We will estab- lish the existence of a non-trivial critical point for a plan domain with small holes.
1. Introduction
Let be a smooth and bounded domain in R2. We denote
V
= fa
2H
1()a
6= constantgandV
0 =V
\H
01(). Given two functionsa
,b
2V
, we denote by'
the unique solution inW
11() of the Dirichlet problem;4
'
=a
xb
y;a
yb
x in'
= 0 on@
(1.1)where subscripts denote partial dierentiation with respect to coordinates.
By developing a previous work from H. Wente 22], H. Brezis and J.-M.
Coron 7] showed the following result:
Theorem 1.1. The solution
'
of equation (1.1) is a continuous function on and'
2H
1(). Moreover there exists a constantC
0() which depends only on such thatk
'
kL1()+kr'
kL2()C
0()kra
kL2()krb
kL2() (1.2) This result is sharp in the sense that since the right hand side of (1.1) is inL
1(), the classical theory of Calderon-Zygmund does provide estimates for'
only inL
q() andW
1p() forq <
1andp <
2. Note that equation (1.1) appears in many problems arising in physics and geometry, and Theorem 1.1 has many applications.Later on, F. Bethuel and J.-M. Ghidaglia 5] proved that in fact one can nd a constant
C
0() which does not depend on . We are interested here in the optimal (i.e. smallest) value of this constant such that estimates analogous to (1.2) hold. To be more precise we denote byC
1() the bestYuxin Ge, CMLA, CNRS URA-1611, ENS Cachan, 61 Av. du Pr esident Wilson, 94235 Cachan Cedex, France. E-mail: [email protected].
Received by the journal February 4, 1998. Revised February 13, 1998. Accepted for publication April 21, 1998.
c Soci et e de Math ematiques Appliqu ees et Industrielles. Typeset by LATEX.
constant involving the
L
-norm in the estimations and byC
2() for theL
2-norm, i.e.C
1() = supab2V
k
'
k1kr
a
k2krb
k2 (1.3)C
2() = supab2V
kr
'
k22kr
a
k22krb
k22:
(1.4) S. Baraket 3] obtained thatC
1() = 21 for simply connected domain . This result has been recently extended to any domain by P. Topping 21].Our aim in this paper is to study
C
2(). Thus we consider the following energy functional dened onV V
E
(ab
) = kr'
k22kr
a
k22krb
k22 (1.5) wherea
,b
2V
, and'
is given by (1.1).In this paper, we will prove the following main results.
Theorem 1.2. Let be a smooth bounded domain inR2. Then we have
C
2() = 316:
Moreover, the best constant is achieved if and only if is simply connected.
Notice that the functional
E
(ab
) is invariant under the action of con- formal dieomorphisms on the domain (see 15]). As a consequence we deduce thatC
2() andC
1() depend only on the conformal type of . Moreover it implies that the functionalE
makes sense on any Riemann sur- face (i.e. a surface equipped with a conformal structure) with or without boundary. In section 4, we prove generalizations of Theorem 1.2, namely Theorem 1.3. LetM
be a Riemann surface with a non empty boundary,then
C
2(M
) = 316and the maximum in (1.5) is achieved if and only if
M
is topologically a disc.Theorem 1.4. Let
M
be a Riemann surface without boundary, thenC
2(M
) = 332and the maximum in (1.5) is achieved if and only if
M
is topologically a sphere.An interesting observation, due to F. Helein 15], is that the study of
E
leads to a solution of theH
-surface equation ;4u
=u
xu
y, satised by surfaces of constant mean curvature in R3 in conformal representation.For this purpose, we will look for critical points of
E
. Note that direct variational approaches on that problem were developed in 7], 17] and 22].In view of Theorem 1.2, we can not maximise the problem if is not simply connected. The major obstruction in proving the existence of a maximum comes from the fact that the normskr
a
kL2 and krb
kL2 are not continuous under weak convergence inL
2. Indeed, for any smooth bounded domain in plan, concentration phenomena occur in the maximizing sequence as shownin section 7 of this paper. However, making use of a topological method, invented by J.-M. Coron 8], we establish the following result of existence.
Theorem 1.5. Let be the unit disc perfored with small holes. Then
E
admits a non trivial critical point.This paper consists of two parts sections 2-5 are concerned with the estimations of the best constant involving the
L
2norm in Wente's inequality, the remainder is devoted to search of a critical point forE
: a study of the compactness of minimizing sequences, of the Palais-Smale condition and some existence results through a topological argument.Part A. Estimations of the best constant involving the
L
2 norm
2. Outline
In this part, we will study the energy functional
E
and estimate the value ofC
2(). Our approach is the following. In section 3, we will look for the Euler-Lagrange equation for critical points of the functionalE
(ab
) on the \manifold" where kra
k2 = krb
k2 = 1. After a scaling which uses the Lagrange multiplier, we see that any critical point leads by a canonical way to a solution of theH
-surface equation, that is, the equation satised by a conformal parameterization of a surface when its mean curvature is constant.In section 4, we will calculate
C
2() in the case where is a smooth bounded domain in R2. With the help of the isoperimetric inequality, we will show thatC
2() = 163 . If is a disc, it is easy to show also that this constant is achieved. The next question is to know whether the maximum ofE
is achieved for a multiply connected domain. This is an interesting problem related to surfaces of constant mean curvature. Recall that for a long time, we thought that there does not exist an immersion with constant mean curvature from torus into R3. In 1984, H. Wente has given a coun- terexample. In view of Euler equation, the torus of Wente gives rise to a critical point of our functionalE
on an annulus. Indeed, let = (ab'
) be a critical point ofE
on an annulus, we construct a compact oriented Riemannian surfaceM
= S@ ~ by sticking and a copy of , pro- vided with opposing orientation and dene aC
1 map ~ fromM
into R3 by ~ = on and ~ = (ab
;'
) on ~. Would this map be conformal, then its image would be a torus of constant mean curvature. Conversely the torus of Wente corresponds to a critical point of our functionalE
on some annulus. Unfortunately, this surface can not be obtained by maximizing the energy functionalE
and Wente tori thus correspond to nonmaximizing critical points ofE
. We will prove this fact in section 5.At end of this part, we will also generalize all these results on a compact manifold without boundary. An interesting fact is that
C
2(M
) is also uni- versal and is just half ofC
2(). Furthermore, a maximal critical point on a domain in the plan gives rise to a maximal critical point on a compact manifold, by sticking.ESAIM: Cocv, June 1998, Vol. 3, 263{300
3. The Euler-Lagrange Equation
Definition 3.1. A point (
ab
)2V V
is critical for the energy functionalE
if it satises the following conditions:(i) r
E
(a
+tb
+s
)j(st)=(00)= 0, for all , 2H
1(),(ii) if
t: ;! is a family of dieomorphisms, depending dierentiably ont
, with 0=id
, then we havedt d
t=0
E
(a
tb
t) = 0:
We remark that
E
is invariant under a conformal transformation of andE
(ab
) =E
(ab
) for all,2R. Hence, without loss of generality, we can assume that kra
k2 =krb
k2 = 1.Theorem 3.2. Assume that(
ab
)2V V
is a critical point ofE
such that'
6= 0. Then(i)
Z
r
a
rb
= 0, (ii)@a
@n
=@b
@n
= 0 on@
wheren
= (n
1n
2) is the normal vector on@
, (iii) there exists2Rsuch that = (a
1b
1'
1) = (ab
2'
) satises:8
<
:
;4
'
1 =fa
1b
1g;4
a
1 =fb
1'
1g;4
b
1 =f'
1a
1g (3.1)where f
g=xy;yx, (iv) isC
1 on,(v) the Hopf dierential
!
=h@
z@
zi is holomorphic, i.e.@
zh@
z@
zi= 0:
Moreover, if we denote
t
=;n
2+in
1 the unit complex number tangent to@
, we haveIm(
!t
2) = 0 on@ :
(vi) If is simply connected, then the Hopf dierential vanishes:
h
@
z@
zi= 0where
@
z = 12(@
x;i@
y), which implies that is conformal, (vii) if is an annulus, then there existsc
2Rsuch thath
@
z@
zi=c z
2:
First we prove some technical lemma.Lemma 3.3. (see 7] and also 22]). If
'
2H
01()\L
1() (resp.'
2H
01()),a
2H
1()\L
1() (resp.a
2H
1()) andb
2H
1() (resp.b
2W
11()), then we haveZ
'
fab
g=Z
a
fb'
g:
Proof. Assuming rst that
'
,a
,b
2C
(), we haveZ
'
fab
g =Z
'
(a
xb
y;a
yb
x)=
Z
'
(ab
y)x;(ab
x)y]:
Integrating by parts and using the fact
'
= 0 on@
, we obtainZ
'
fab
g=Z
a
(b
x'
y;b
y'
x) =Z
a
fb'
g:
Now, we consider
'
2L
1()\H
01(),b
2H
1() anda
2L
1()\H
1().We choose three suitable sequences of smooth functions f
'
ngn2N,fa
ngn2N and fb
ngn2Nsatisfying the following conditions:'
n;!'
inH
1() and'
n;!'
weakly?
inL
1()b
n;!b
inH
1()a
n;!a
inH
1() anda
n;!a
weakly?
inL
1():
We state thatj Z
'
fab
gj k'
kL1kra
k2krb
k2j Z
a
fb'
gj ka
kL1kr'
k2krb
k2:
Passing to the limit in the inequality for
a
n,b
n and'
n, this completes the proof.Lemma 3.4. (see5] and see also 22]). Let 2
H
1(R3) be a solution of equation (3:
1) in the sense of distributions. Then 2C
1(R3).Proof. (of Theorem 3.2). Let
a
t =a
+tb
,b
t =b
. We denote by'
t the unique solution inH
01() of equation (1.1). Obviously, we have'
t ='
for allt
2Rand kra
tk22=kra
k22+ 2t
Rra
rb
+O
(t
2). Then (i) follows from the denition of a critical point.Given
a
t=a
+t
,b
t=b
with2C
1(). We denotethe unique solution inH
01() of equation (1.1) witha
=, that is,;4
=fb
g in = 0 on@ :
It is clear thatZ
jr
'
tj2=Z
jr
'
j2+ 2t
Z
r
'
r+O
(t
2):
By Lemma 3.3, Z
'
fb
g=Z
f
b'
g:
Hence, we obtainZ
jr
'
tj2 =Z
jr
'
j2+ 2t
Z
'
(;4)+O
(t
2)=
Z
jr
'
j2+ 2t
Z
'
fb
g+O
(t
2)=
Z
jr
'
j2+ 2t
Zf
b'
g+O
(t
2):
ESAIM: Cocv, June 1998, Vol. 3, 263{300
On the other hand,
Z
jr
a
tj2 =Z
jr
a
j2+ 2t
Z
r
a
r+O
(t
2):
Thus, we haveE
(a
tb
t) = kr'
k22+ 2t
Zf
b'
g+O
(t
2)
kr
a
k22+ 2t
Z
r
a
rkrb
k22+O
(t
2):
With the denition of critical point, we conclude thatZ
f
b'
g=kr'
k22Z
r
a
r 82C
1():
Performing analogous deformations forb
, we obtainZ
f
'a
g=kr'
k22Z
r
b
r for any 2C
1():
In particular, if we set , 2C
01(), we deduce that8
>
>
>
<
>
>
>
:
;4
a
= 1kr
'
k22fb'
g;4
b
= 1kr
'
k22f'a
g:
(3.2)In order to establish the property (ii), we put
, 2C
1(). Setting = 1=
kr'
k2, the property (iii) is demonstrated.In view of Lemma 3.4, is
C
1on . To prove the regularity ofu
up to the boundary, xx
2@
. So there exists a conformal mapI
fromB
(xr
)\ ontoB
+ =B
\fx >
0g, whereB
is a unit disc. Without loss of generality, we can assume that is dened onB
+. We dene the extensions of onB
as follows:f
'
1(xy
) ='
1(xy
) ifx
0;
'
1(;xy
) ifx
0a
e1(xy
) =a
1(xy
) ifx
0a
1(;xy
) ifx
0 andb
e1(xy
) =b
1(xy
) ifx
0b
1(;xy
) ifx
0:
Clearly, ~ is in
H
1(B
R3). We will prove that ~ is also a solution of equation (3.1). Thus, by Lemma 3.4, we conclude that isC
1 on . SetC
0 (B
). From the properties (ii) and (iii), we haveZ
B
re
a
1r= ZB+
r
a
1r+ZB;
re
a
1r= Z
B+
r
a
1r+ZB+
r
a
1(xy
)r((;xy
))=
Z
B+
f
b
1'
1g+Z
B+
f
e
b
1'
e1g(xy
)(;xy
)=
Z
B+
f
b
1'
1g+Z
B;
f
e
b
1'
e1g(;xy
)(xy
)=
Z
B f
e
b
1'
e1g:
i.e. ;4ea
1=feb
1'
e1g.With the same arguments, we deduce that
;4
e
b
1=f'
e1ea
1g:
On the other hand, we haveZ
B
r
'
e1r=Z
B+
r
'
1r+Z
B;
r
'
e1r=
Z
B+
r
'
1r;ZB+
r
'
1(xy
)r((;xy
))= ;
Z
B+
4
'
1+Z
B+
4
'
1(xy
)(;xy
)=
Z
B+
f
a
1b
1g;ZB+
f
a
1b
1g(xy
)(;xy
)=
Z
B
fe
a
1eb
1g that is, ;4'
e1 =fea
1eb
1g.To prove the property (v), set
a
t=a
t,b
t=b
t wheret is a family of smooth dieomorphisms of . Suppose thatd
tdt
t=0
= (
X
1X
2). Clearly, (X
1X
2)n
= 0 on@
wheren
is the normal vector on@
. Moreover, we haveZ
(;4
'
t)'
=Z
(f
ab
gt)det(rt)'
=
Z
f
ab
g('
;t)=;
Z
4
'
('
;t)=
Z
r
'
r('
;t)ESAIM: Cocv, June 1998, Vol. 3, 263{300
i.e.
r
'
tr'
=
r
'
r('
;t).However, from Theorem 1.1, we get
;
12
Z
jr
'
j2+Z
r
'
tr'
= 12Z
jr
'
tj2+O
(t
2);
12
Z
jr
'
j2+Z
r
'
r('
;t) = 12Z
jr(
'
;t)j2+O
(t
2):
Thus, we get Z
jr(
'
;t)j2 =Z
jr
'
tj2+O
(t
2):
This means thatE
(a
tb
t) = kr('
;t)k22kr
a
tk22krb
tk22 +O
(t
2):
On the other hand, it is easy to get the following relations:d
(kra
tk22)dt
t=0
= 2
Z
((
@
xa
)2;(@
ya
)2)(@
xX
1;@
yX
2) + 2@
xa@
ya
(@
yX
1+@
xX
2)]d
(krb
tk22)dt
t=0
= 2
Z
((
@
xb
)2;(@
yb
)2)(@
xX
1;@
yX
2) + 2@
xb@
yb
(@
yX
1+@
xX
2)]d
(kr('
;t)k22)dt
t=0
= ;2
Z
((
@
x'
)2;(@
y'
)2)(@
xX
1;@
yX
2) + 2@
x'@
y'
(@
yX
1+@
xX
2)]:
Thus, we get the equalityZ
h(
@
x'
)2;(@
y'
)2+kr'
k22((@
xa
)2;(@
ya
)2+ (@
xb
)2;(@
yb
)2)i (@
xX
1;@
yX
2)+ 2
@
x'@
y'
+kr'
k22(@
xa@
ya
+@
xb@
yb
)](@
yX
1+@
xX
2) = 0 i.e.Z
(j
@
xj2;j@
yj2)(@
xX
1;@
yX
2) + 2< @
x@
y>
(@
yX
1+@
xX
2)
= 0
:
(3.3)A convenient way to rewrite this equation is to set
!
=j@
xj2;j@
yj2;2i <
@
x@
y>
, and we obtain ReZ
!@
z(X
1+iX
2)dxdy
= 0where
@
z = 12(@
x +i@
y). In particular, if we putX
1+iX
2 2C
01(), we deduce that@
z!
= 0i.e.
!
is holomorphic.Now, if we use (
X
1X
2) such that (X
1X
2) =f
(;n
2n
1) on@
, wheref
is an arbitrary continuous real-valued function on@
, we obtain0 = Re
Z
@
z(!
(X
1+iX
2))dxdy
= -Im
Z
@
!
2ft
2ds
thus Im(
!t
2) = 0 on@
. The property (v) is proved.If is a disc or an annulus, from (v), we obtain Im(
!z
2) = 0 on@
. From the principle of maximum, we have Im(!z
2) = 0 on since Im(!z
2) is harmonic. So we deduce that there existsc
2Rsuch that!z
2 =c
. In the case where is a disc, we have moreoverlim
z !0
!z
2 = 0:
So we conclude the properties (vi) and (vii).Remark 3.5. If (
ab
)2V
0V
0 is a critical point ofE
inV
0V
0, then all the conclusions of Theorem except (ii) are also right.Remark 3.6. We know that every plane domain of one connectivity can be mapped conformally onto some annulus (see Ahlfors 1]). Thus, we obtain a characterization of Hopf's dierential
!
. But for a multiply connected domain , the characterization of!
is less simple.4. Isoperimetric inequality
In the following denotes a smooth simply connected domain. For sim- plicity, we suppose that is a disc, that is, =
B
= f(xy
)=r <
1g. We check easily that a stereographic representation of the upper hemi-sphere(
ab'
) =4
x
1 +
r
2 4y
1 +
r
22(1;r
2) 1 +r
2
veries all the properties of Theorem 3.2, i.e. is a critical point of
E
. It is just a maximum ofE
. More precisely, we have the following result.Theorem 4.1. Let =
B
, then (i) supab2V
E
(ab
) = 316 and the map
x
1 +
r
2y
1 +r
2
achieves the best constant,
(ii) sup
ab2V
0
E
(ab
) = 332 and the best constant is not achieved inV
0V
0.ESAIM: Cocv, June 1998, Vol. 3, 263{300
First, we will introduce the following notations. Given , !2
H
(R ), we deneh
!iD =Z
hx
!xi+hy!yi=Z
hr
r!ijj2D = h
iDV
() = 13Z
(x y)
if 2C
0(R3)L
() =Z
q
f
'
1'
2g2+f'
2'
3g2+f'
3'
1g2 where = ('
1'
2'
3)(
ab'
)V =L
(!) where ! = (ab'
):
In the proof, we will make use of the following lemmas.Lemma 4.2. (see22]) Let , !2
C
0(R3)\H
1(R3) be two mappings such that j@ and!j@ describe the same oriented Jordan curve thenj
V
();V
(!)j2L
() +L
(!)]336
:
(4.1)In fact, this Lemma is equivalent to the isoperimetric inequality.
Lemma 4.3. (see 23]). Let 2
C
0(R3)\C
2(R3)\H
01(R3) be a solution of equation (3:
1) then 0.Proof. (of Theorem 4.1). Let
a
,b
2C
1(R3) and'
be the corresponding solution of (1.1). By Lemma 3.3, we get(
ab'
)V =Z
a
fb'
g=Z
b
f'a
g=Z
'
fab
g:
Now the two vector functions=
a
j
a
jDb
j
b
jD'
j
'
jD
and ! =
a
j
a
jDb
j
b
jD ;'
j
'
jD
:
have the same boundary values. Noting thatV
() =;V
(!) andL
() =L
(!) 12jj2D = 32
from Lemma 4.2, we obtain thatj
V
()j2 3 16:
Consequently,kr
'
k22=Z
(;4
'
)'
=Z
'
fab
g= (ab'
)Vr 3
16
ja
jDjb
jDj'
jD that is,E
(ab
) 316
. Then the density ofC
1() intoH
1() impliesthat sup
ab2V
E
(ab
) 3 16:
On the other hand, it is easy to check thatE
x
1 +
r
2y
1 +r
2
= 316
:
Hence, we deduce the property (i). Similarly, putting ! = 0, we get
E
(ab
) 332
for allab
2H
01():
We seta
"1 ="x
"
2+r
2,b
"1="y
"
2+r
2,a
"2 ="x
1 +
"
2 andb
"2 ="y
1 +"
2. We claim thatkr
a
"1k22 =krb
"1k22 =Z "120
(1 +
r
2)dr
(1 +r
)4kr
a
"2k22 =krb
"2k22 ="
2 (1 +"
2)2where
r
=px
2+y
2. Seta
"=a
"1;a
"2 andb
"=b
"1;b
"2. We denote by'
" the unique solution of equation (1:
1). Then'
"can be written as follows:'
"="
2;r
28(
"
2+r
2) ;"
2;18(
"
2+ 1) +"where
" is the unique solution of the following equation;4
" =;fa
"1b
"2g;fa
"2b
"1g+fa
"2b
"2g in " = 0 on@ :
(4.2)Using Theorem 1.1, we havekr
"k22=O
("
2). Hence,kr
'
"k22 = 16Z 1
"
2
0
(1 +
rdr r
)4 +O
("
):
It is easy to see thatE
(a
"b
");! 332
as"
;!0:
Finally, we obtainsup
ab2V
0
E
(ab
) = 332:
Now we suppose that the best constant is achieved in the point (
ab
) 2V
0V
0. By Theorem 3.2, there exists 2R such that (ab
2'
) sat- ises equation (3:
1). From Lemma 4.2 and Theorem 1.1, (ab
2'
) 2C
0(R3)\C
1(R3). And, applying Lemma 4.3, we obtain (ab
2'
) = 0. Thus, this contradiction completes the proof.Remark 4.4. Because of the isoperimetric inequality, we always have sup
ab2V
E
(ab
) 316
and asupb2V0E
(ab
) 3 32for any multiply connected domain inR2. Moreover in the light of 9], this theorem implies that the embedding of Hardy spaceH1(R2) into
H
;1(R2) is not compact. Indeed, let (a
nb
n) 2V
0V
0 be a maximizing sequence ofE
inV
0V
0. Clearly,fa
nb
ngis bounded inH1(R2), but it does not converge strongly inH
;1(R2).In the following, we consider a multiply connected domain . We set
m
() = supab2V
0
E
(ab
). The analogue of Theorem 4.1 is following result.ESAIM: Cocv, June 1998, Vol. 3, 263{300
Theorem 4.5. Let, 1 be two smooth bounded domains such that1. Then
m
()m
(1). Moreover, we havem
() = 332:
(4.3)Furthermore, the best constant is not achieved in
V
0V
0.Proof. Let
a
,b
be two functions inH
01(). We dene a embedding ofH
01() intoH
01(1) as follows, to any 2H
01(), we associated 2H
01(1) such that (xy
) =(xy
) if (xy
)2 (xy
) = 0 if (xy
)2= :
We dene a energy functionalE
1 onH
01(1) by following:E
1( ) = 12Z
1 jr j
2
; Z
1 f
a
b
gwhere 2
H
01(1). We denote'
1 the unique solution of equation (1:
1) inH
01(1), i.e.;4
'
1 =fa
b
g in 1'
1 = 0 on@
1:
(4.4)Recall that
'
1 is the unique minimal point of functionalE
1. Thus, we getE
1('
)E
1('
1) where'
is the unique solution of equation (1.1) inH
01().Therefore, we obtain that
E
1('
) = 12Z
jr
'
j2;Z
f
ab
g'
= 12
Z
jr
'
j2;Z
(;4
'
)'
=;1 2
Z
jr
'
j2:
Similarly,E
1('
1) =;12
Z
1
jr
'
1j2. Consequently, we deduce thatkr
'
k2L2()=kr'
k2L2(1)kr'
1k2L2(1):
But, stating thatkra
k2L2(1)=kr
a
k2L2() and krb
k2L2(1)=kr
b
k2L2(), we conclude thatE
(ab
)E
(a
b
1)that is,
m
()m
(1). Now we chooseB
(z
0r
0) =fz
2C jjz
;z
0j< r
0g andB
(z
1r
1) =fz
2C jjz
;z
1j< r
1g such thatB
(z
0r
0)B
(z
1r
1).Thus, we obtain
323
=m
(B
(z
0r
0))m
()m
(B
(z
1r
1)) = 332:
Hence, (4.3) follows.We suppose that the best constant is achieved in the point (
ab
)2V
0V
0. It is clear that323
=