C OMPOSITIO M ATHEMATICA
P. J. DE P AEPE
Closures of open analytic polyhedra
Compositio Mathematica, tome 28, n
o3 (1974), p. 333-341
<http://www.numdam.org/item?id=CM_1974__28_3_333_0>
© Foundation Compositio Mathematica, 1974, tous droits réservés.
L’accès aux archives de la revue « Compositio Mathematica » (http:
//http://www.compositio.nl/) implique l’accord avec les conditions géné- rales d’utilisation (http://www.numdam.org/conditions). Toute utilisation commerciale ou impression systématique est constitutive d’une infrac- tion pénale. Toute copie ou impression de ce fichier doit contenir la présente mention de copyright.
Article numérisé dans le cadre du programme Numérisation de documents anciens mathématiques
http://www.numdam.org/
333
CLOSURES OF OPEN ANALYTIC POLYHEDRA
P. J. de
Paepe
Noordhoff International Publishing
Printed in the Nethorlands
Introduction
In this paper we discuss closures
of open analytic polyhedra.
The mainproblem
is to find conditions on thedefining
functions for thepolyhedron
under whieh the closure is a
holomorphic
set.A
complex analytic
manifold of dimension n is called a Stein manifold if three conditions are satisfied:Hol (M),
the collection ofholomorphic
functions on
M,
separates thepoints of M;
for every x ~ M there exist n functions inHol (M)
whichprovide
local coordinates at x;finally
forevery compact subset K of
M, hullHol(M)(K) = {x~M: |f(x)| ~ ~f~K
forall
f~Hol(M)}
is a compact subset of M.Here ~ . 1 IK
denotes the supre-mum norm on K. A compact set K in M is called Hol
(M) -
convex ifK =
hullHol(M)(K).
Note that an open subset M of C" is a Stein manifold if the last condition in the above definition is satisfied. In this paper weonly
consider Stein manifolds which are open subsets of Cn.A compact subset K of Cn is called a
holomorphic
set if K is the inter-section of Stein manifolds in Cn . K is said to be
holomorphically
convexif K is the continuous
homomorphism
space of the functionalgebra H(K) consisting
of uniform limits on K of restrictions to K of functions holo-morphic
in aneighborhood
of K. From a characterizationby Birtel, [3],
of
holomorphically
convex subsets of Cn it is evident thatholomorphic
sets are also
holomorphically
convex. The converse is not true, see[4], [12].
One can show that the interior of a
holomorphically
convex set in Cnis a Stein
manifold, [2].
We are interested in the converse statement : is the closure of arelatively
compact Stein manifold in Cnalways
aholomorphi- cally
convex set? Orperhaps
aholomorphic
set? The answer is no;take for M
Now the closure
M
of M contains thetopological boundary
of the closed unitpolydisc
in e2 and theorigin in e2
is not contained inM.
So thesmallest
holomorphic
setcontaining
M is the closed unitpolydisc
in e2and hence does not coincide with M.
334
We here try to solve this
problem
forspecial
types of Stein manifolds : openanalytic polyhedra.
An openanalytic polyhedron
in a Stein mani-fold M is a
relatively
compact subset of M of the formwhere
f1,···, fN E
Hol(M)
andN ~
n. In a similar way one defines a com-pact
analytic polyhedron
in M. This is a compact subset of M of the formwhere f1,···, fN~Hol(M)
and N ~ n. In case N = n, thepolyhedron
iscalled a
special analytic polyhedron.
For convenience we willalways
as-sume that none of the
defining
functions are constant on any of the com-ponents of M. Note that an open
analytic polyhedron
is a Stein manifold and that a Hol(M)-convex
subset K of a Stein manifold M is the inter- sectionof open analytic polyhedra,
so aholomorphic
set. For informationon
(special) analytic polyhedra,
see[1].
It is easy to see that the closure of an open
analytic polyhedron
is not
always
a compactanalytic polyhedron
definedby
the same func-tions as the open one. Just take M =
C,
N =2, fi
=(2z
+1 )/3, f2
=(z2 - 3)/2.
HereQ
={z~C}f1(z)| ~ 1, |f2(z)| ~ 1}
is not connected and the closure of P consists of one of the components ofQ.
It can also
happen
thatQ
={x~M: |fi(x)| ~ 1,
i =1,···, N}
is not acompact subset of M : M =
C,
N =3, fi
=ez2, f2
=eiz-1, f3 = ecz,
c =
e-1 403C0i.
Note thatQ
contains the half lineIn these
examples
every irreducible component of avariety
of the formwhere
J ~ {1,···,N},
is eitherentirely
contained in the closure of{x~M: |fj(x)| 1, j ~ J}
or else does not meet this set. This also need notalways
be the case : let M= e2,
N =3, fl (z, w) = (w(z-1)-1)(z-1)+1, f2(z, w) =
z,/,(z, w)
=1 4w.
Let V ={(z, w) E e2: f1(sz, w) = f2(Z, w) = 1},
so V =
{(z, w) E e2: z
=1}.
Then(1, w), |w| 1 4,
is not in the closure of P’ ={(z, w) E e2: fi(z, w)1 1, f2(z, w)1 1},
sincepoints (z, w)
with|z|
1and |w| 1 4
are not in P’.Indeed,
let(z, w)
asabove,
hence x = z -1=
So|w(z-1)2|
1 4|03B1|2 = 1 4(x2 + y2) -1 2x.
HenceRe ( fl(z, w) -1)
=Re(-03B1+w03B12)~-x +1 2x = -1 2x
> 0.So - 03B1 + w03B12 ~ D, therefore fl(z, w)| ~
1. But(1, 2)
isin the closure of P’ since the
points (x + 1
+i- 3x/2, 2)
are in theclosure of P’ if x
0,
xsufficiently
close to 0.In the next we will show that if
Q
is a compactspecial analytic poly-
hedron then
Q
is the closure of its interior. We also show that under certain conditions on the set ofpoints
where thedefining
functions for anopen
analytic polyhedron
P in M c Cn do notprovide
localcoordinates,
the closure P of P(this
notation will be usedthroughout
thefollowing)
isHol
(M)-convex,
hence aholomorphic
set. Note that this condition is of the type Hoffman needs in some of his results([9]). Finally
in the casedim M = 2 we
completely
solve ourproblem by proving
P is a holo-morphic
set.We will make use
freely
of resultsconcerning
functionalgebras,
com-plex analytic
manifolds andanalytic varieties,
stated in[6], [7], [8].
The
simplest
type of an openanalytic polyhedron
is the interior of acompact
special polyhedron.
The next result is well-known but theproof gives
an indication of thetechniques
we want to use.THEOREM 1: Let
Q =
compactspecial analytic polyhedron
in the Steinmanifold
M c cn. Then the openanalytic polyhedron
P ={x
EM: 1 fi(x)l 1,
i =1, - nl
is dense inQ.
This result follows
immediately
from a theorem in[10],
p. 132:Let N be an n-dimensional
complex analytic
manifold andf :
N ~ Cmholomorphic.
Thenf
is open iffdimx f-1f(x)
= n - m for all x E N.Now in a
neighborhood
N c M ofQ,
the varieties{z
E N :(f1,···, fn)(z)
= (f1,···, fn)(x)l
for x~ N are compact hence consist of a finite number ofpoints.
The above result shows thatf
=(fil, fn)
is open hence P is dense inQ.
Another way to see this is the
following :
the varieties{z
E M :fj(z)
=ei03B8j,
j
=1, ..’, nl
consist of a finite number ofpoints.
So every irreducible component B of{z~M : jj(s)(z)
=ei03B8j(s),
s =1,···, m},m~n,
which meetsQ
is n - m dimensional. If x~ B is aregular point
of{z
E M :jj(slz)
=ei03B8j(s),
s =
1,···,m}
there exists aneighborhood
U of x such that{z~U:
fj(s)(Z) = eiOj(s), s
=1, ’ ’ ’, 11
ispurely
n - 1 dimensional forl ~
m. It then followseasily
that x is in the closure of{z~M: |fj(s)(z)| 1, s
=1, ..., m}.
So B is in this closure. Hence P is dense in
Q.
Let P be an open
analytic polyhedron,
definedby fi, ..., fN . If a variety
of the form
with
J~{1,···, N} consisting
of melements,
is under consideration wealways
willassume Oj
=0, j ~ J
and J= {1, ···, m}.
This causes no lossof
generality
since wealways
maymultiply h by
unimôdular constants336
and reorder the functions
fil , ..., fN .
We now prove several lemmas to be used later on. We denote the Silov
boundary
of a functionalgebra
A on a compact space Xby
vA. It is well-known that the
peak points
for A are dense in aA if X is metrizable. If F is a collection of functions on atopological
spaceX, separating
thepoints
of X and
containing
the constant functions onX,
and if Y is a compact sub setof X,
then[FI Y]
will be the functionalgebra
on Ygenerated by
therestrictions to Y of the elements in F.
PROOF :
Suppose
the lemma were not true, then thereis g
E Hol(M)
for
sufficiently large k,
in contradiction with x ~hullH,I(M)(P).
Now {y~M : fi(y)
=1,
i =1,···, m}
is asubvariety
ofM,
so{y~M:
f (y) = 1, i = 1,
where V is the union of the branches of thevariety
which do not meet x and W is the union of those branches which do meet x. Both Tl and W are subvarieties of M.LEMMA 2: With notation as above
PROOF:
Suppose
the lemma is false. Since M isStein,
there existsG E Hol (M)
withG(x)
=1,
G = 0 on h Let a =~G~P.
Note that a > 0.We can find
H E Hol (M)
such thatH(x)
= 1 and~H~(P~(WBV)) - ~ 1/(2a).
So
GH(x)
=1,
GH = 0 on P ~ E Hence the supre-mum norm of GH on P n
{y ~ M: fi(y)
=1,
i =1,···, m}
is~ 1 2
whileGH(x)
=1,
in contradiction with the initialassumption.
PROOF: We abbreviate A = Let z be a
peak point
for A which is contained in E Let X be the closure of the setof peak points
for A which are not contained in ESuppose z ~ X.
Now thefunction
f E A, peaking
at z is such thatf (z)
=1, ~f~x
a, 0 a 1.Now there is a
point w~P~(WBV)
suchthat |f(w)|=b>a.
Sincew ~ V
there existsg E Hol (M)
such thatg(w)
= 1and g
= 0 on E Now|(gfk)(w)| = bk ak ~g~
forsufficiently large k,
acontradiction. Hence z is a limit
point
ofpeak points
for A which are con-tained in P n
(WBV).
Let y be a
peak point
of A which is not coiltained in E Letf
be apeak
function for y. So there arefn E Hol (M)
such thatlim fn
=f
on(P~(WBV))- and ~fn~(P~(WBV))
= 1.Let U,
U ~~M,
be aneighbor-
hood of y in
huUHol(MlP)
which has apositive
distance to V. We mayassume
that 1 fn(x)
8 for allXE hUUHOl(Mlp
n(WB V))-, x 0
U if n suf-ficiently large,
where 8 is apositive
number smaller than 1.Now let h be the
peak
function of lemma 1. For ksufficiently large,
a component ofis contained in U.
Now we use the
following
form of Rossi’s local maximum modulusprinciple [ 13,
theorem5.3] :
Let A be a functionalgebra
ond A,
f E A and03B1~R, 0~03B1~~f~0394A.
Then every componentof {y~0394A:|f(y) ~ 03B1}
meets aA. So U contains a
point
ofè[Hol(M)IP].
We can do this for anyneighborhood
U of y. Hencey~~[Hol(M)P].
So aA c~[Hol(M)P].
Let
B(P)
denote the set of allpoints
of M at which at least n = dim Mof the
defining
functions for P are 1 in absolute value.LEMMA 4:
ôH(P)
andê[Hol(M)IP]
are contained inB(P).
Comment: In
[5]
Bremermann states the same result in section5.2,
page 253. It seems to us that the argument
produced
in hisproof is
incom-plete.
Howeverusing
similar arguments as in section6.5,
page258,
the result can beproved, using
theanalogue
result for compactanalytic polyhedra, [9].
The statement follows
immediately
from theprevious
two lemmas.Let
fi,..’, fn
be elements ofHol(M).
We define the Jacobian ofri , ..., fn
as follows.It is clear that
J(f1,···, fn)(y) ~
0 if andonly
iffil , ..., fn provide
localcoordinates at y.
Let S be the set of all y E
B(P)
such thatJ(fI)(y)
= 0 for all I~ {1, ···, NI consisting
of n elements suchthat |fi(y)|
= 1 for all i~I; Herefi
standsfor
(!ï(1)’ ..., fi(n)) where {i(1), ···, i(n)}
= I.THEOREM 2:
Suppose
there is an openneighborhood
Uof
P such thatU n S
= 9.
Then P isHol(M)-convex.
338
PROOF: Let x ~
hullHOl(MlP), X 0 P;
thenfi (x) = ...
=f.(x)
=1, Ifm+l(x)1 1,..., 1 fN(x)
1 for some m ~ N(see
the remark before lemma1).
As in lemma 2 we consider the varieties V and WSuppose m ~
n. Now dim W >0, otherwise
W ={x},
in contradiction withx 0,P. By
lemma5,
W n P nB(P) ~ 0,
say y is contained in this inter- section. There are kfunctions f
suchthat |fi(y)| = 1, k ~
n.By assumption
there is a subset I
of {1, ···, N} consisting
of n elements such thatJ( fI)(y)
~ 0
and 1 fi(y)l
=1,
i E 1. If 1~ {1, ···, m}
then y is an isolatedpoint
of thevariety {z~M:fi(z)
=1, i~I},
hence ofW,
in contradiction with the fact that W is connected.Suppose I {1, ···, m}. By
the Jacobian condition not allf ,
i EI,
are constant(near y)
on W So close to y, i.e. in Un W,
wecan find a
point y’
where at most k - 1 ~ n functions are 1 in absolute value.Repeating
this process, we end op with yo EW, I ~ {1, ···, m}
con-sisting
of n elementsand fI
suchthat 1 fi(yo)l
= 1 for i E1, J(fI)(y0) ~ 0,
as above a contradiction.
Now suppose m n, hence dim W > 0.
First,
sincex 0,P,
the dimension of every branch of W is > n - m(see proof
of theorem1).
Also sincex ~ P,
for any gm+ 1, ..., gn EHol(M),
there is aneighborhood
of x in Wwhere
J(f1,···,fm,
gm+1,···,gn)
= 0. Henceby
theidentity principle
foranalytic
functions on irreduciblevarieties, J(fl"’" fm,
gm+1,···,gn)
vanishes
identically
on W for all choices of gm +1,···, gn E Hol(M).
Again,
lety E W
n P nB(P).
As before there is I~{1, ···, N} consisting
of n elements such
that 1.fi(y)1 = 1,
i~I, andJ(fI)(y) ~ 0. If I ~ {1, ···, m}
we have a contradiction with the above observation about Jacobians.
If {1, ····, m} I,
we findy’ ~
W close to y such that at least n functionsare 1 in absolute value at
y’.
Moreover the number offunctions f
whichare 1 in absolute value at
y’
is at least one less than this number at y. This ispossible
since the dimension of every branch of W is > n - m. Con-tinuing
the above process we end up with n functionsfi,
i ~ I,I ~ {1, ···, m},
and apoint y0 ~ W
suchthat |fi(y0)|
=1,
i E 1 andJ(fI)(y0) ~
0.A contradiction. Hence
hUIlH.I(M)(P)
=P,
so P is aholomorphic
set.REMARK: One can prove a
slightly
stronger result :Let T be the set of
all y
EB(P)
such that y is not an isolatedpoint
of{z~M : fi(z)
=fi(y))
for all 1~ (1,···, N} consisting
of n elements suchthat 1.fi(y)1 =
1 for all i~I.If there is a
neighborhood
U of P such that U n T =Ø,
then P isHol (M)-convex.
The
proof
of theorem 2depends
on the fact that for ann-tuple fi
withJ(f¡)(x) =1= 0, 1 fi(x)l
=1, i E I,
and apositive-dimensional variety
Wthrough
x, notall fi
areconstantly
1 in absolute value on W. The same is truereplacing J(fI)(x) ~
0by:
x is isolatedpoint
of{z~M : fI(z)
=fI(x)}
(cf.
theorem11,
p. 108 of[8]).
For our main result we need the
following theorem,
due to Stein[14, proposition 2].
Let X be a connected
complex analytic manifold,
Y acomplex
space, 03C4:X ~ Y aholomorphic mapping
such thatdimx {03C4-1(03C4(x))}
does notdepend
on x. LetL, Ln (n
=1, 2, ···)
be connectedcomponents
of levelsets of i. Assume that there is a
point
xo E L such that everyneighborhood of xo
is metby
almost allLn.
Then everypoint
of L has the same property.THEOREM 3 : Let P be an open
analytic polyhedron
in a Steinmanifold
Mwhich is a subset
of
C2 . Then P is aholomorphic
set.PROOF : Assume M is connected. This causes no loss of
generality
be-cause we may restrict our attention to
components
of M.Let XE
hullHol(M)(P), x 0 P.
Let P be definedby fl , ’ ’ ’, fN
and supposef1(x) = ···
=fm(x)
=1, fm + 1(x)| 1, ···, IfN(x)l
1. Let W as before bethe union of the branches
of {y~M: fi(y)
=1,
i =1, ···, m} through
x.Now dim W =
1,
otherwise x would be in P since x ~hullHol(M)(P
~W).
Let I be the
subvariety
of M defined asand let J be the
variety
definedby
J =fj)(z)
= 0 for somei, j
for whichJ( f , fi)
is notidentically zero}.
Then I and J are of dimension~
1. We will show x ~ I ~ J.Suppose x ~ I ~ J
thenLet
and suppose
y 0
A. In aneighborhood
Uof y fi
and z2provide
local co-ordinates. Since
J( fl , fi)(x)
= 0 forall i, 2 ~
i ~ m, because dim W =1, J( fl , fi)
isidentically
zeroby
theassumption x 0
J. So the valueof f
on U
depends only
on the value offl ,
i.e.dimy {z
E M :(f1,···, fm)(z) = (fi, ..., fm)(y)}
= 1. _Now there is a
point
y E P n W which is not contained in A. Take aneighborhood
U of y as above and choose a sequence{yn}
ofpoints
inP n U
converging
to y. LetLn
be the connected component of the levelset
{z~MBA: ( fl , ’ ’ ’, fm)(z) = (fi, ..., fm)(yn)} through
yn . These sets are 1-dimensional.340
Now
apply
Stein’s theorem toMBA
and the map(f1,···, fm).
Thisshows that every
point
ofWBA,
inparticular
x, is metby
almost allLn’
i.e. x ~
P,
a contradiction.REMARK : To prove that
hullHol(MlP)Bp
is contained in a one-dimension- alanalytic variety
one also could use the remark on convergence of ana-lytic
varieties on page 5 of[14].
The above shows that for every x ~
hull
there is aneigh-
borhood U of x in
C2BP
and a one-dimensionalsubvariety
vof U such thatU n
hullHol(M)(P) c Ji:
Letf
be apolynomial
such thatf(x)
= 0 andf
has no other zeroes on V
(after shrinking
U ifnecessary).
LetU1
be anopen
neighborhood of x, relatively
compact in U. We may assume that if Z ={z~U:f(z)=0}, ZBU1
has apositive
distance tohullHol(M)(P) (by
shrinking
Uif necessary).
SincehullHol(M(P)
is aholomorphic
set there isa Stein manifold S --D
hullHol(MlP)
such that S n Z ce U, . Consider the fol-lowing
data for a Cousin Iproblem: (S
n U;1/ f ), (SB 01; 0).
On the Steinmanifold S this
problem
issolvable,
so there is ameromorphic
function mon S such that
m - 1/f ~ Hol(S ~ U)
and m isholomorphic
onSB 01 .
Therefore the Stein manifold
{z
E S:1 m(z) CI
for Csufficiently large contains P,
but does not contain x. In other words P is aholomorphic
set.REMARK: All results stated above can be
proved
for the moregeneral
situation where M is a Stein manifold which is a Riemann domain.
COROLLARY : Let P be an open rational
polyhedron
in a Steinmanifold
Min
C2,
i.e. P isdefined by rational functions
withpole
sets which do not meetM.
Suppose
thatevery function
inHol (M)
can beapproximated
on Kby
rational
functions
withpoles off
Kfor
every compact subset Kof
M.If
H2(hullHol(M)(P); Z)
=0,
then P isrationally
convex.PROOF: The condition on M means that
hullHol(M)(P)
contains therationally
convex hull ofP.
As in theproof
of theorem 3 everypoint
x ~
hullHol(MlP), X 0 P,
is contained in a one-dimensionalvariety
V suchthat for small
enough neighborhoods
U of xAs above choose Z and a Stein manifold S. Since
H2(hullHol(M)(P); Z)
=0,
we may assume,
replacing
Sby
a smaller Steinmanifold,
there is anf
EHol (S)
such that Z n S= {f
=01 (see [ 15],
p.286).
Nowf’
has nozeroes on
P
andf
isholomorphic
on therationally
convex hull ofP,
so can be
approximated
on therationally
convex hull of Pby
rationalfunctions. This shows that x is not contained in the
rationally
convex hullof
P,
hence P isrationally
convex.Acknowledgement
The author wishes to thank Professor Frank T. Birtel for his
guidance
and encouragement
during
thepreparation
of his dissertation at TulaneUniversity,
NewOrleans,
which contains most results of this paper. The author held afellowship
of the Niels StensenStichting, Amsterdam,
TheNetherlands,
fromSeptember
1970 untilAugust
1971.REFERENCES
[1] E. BISHOP : Mappings of partially analytic spaces. Am. J. Math. 83 (1961) 209-242.
[2] F. T. BIRTEL : Function algebras and several complex variables (unpublished notes).
[3] F. T. BIRTEL : Some holomorphic function algebras. Papers from the Summer Gathering
on Function Algebras at Aarhus, July, 1969, 11-18.
[4] J. E. BJÖRK, Holomorphic convexity and analytic structures in Banach algebras. Arkiv för Matematik 9 (1971) 39-54.
[5] H. BREMERMANN: On a generalized Dirichlet problem for plurisubharmonic functions
and pseudoconvex domains. T.A.M.S. 91 (1959) 246-276.
[6] TH. GAMELIN : Uniform algebras. Prentice-Hall Inc. 1969.
[7] R. C. GUNNING and H. ROSSI: Analytic functions of several complex variables. Prentice Hall Inc, 1965.
[8] M. HERVÉ: Several complex variables. Local Theory. Tata Institute of Fundamental Research, Bombay, Oxford U.P. 1963.
[9] K. HOFFMAN : Minimal boundaries for analytic polyhedra. Rend. Circ. Mat. di Palermo,
ser. 2. 9 (1960) 147-160.
[10] R. NARASIMHAN: Introduction to the Theory of Analytic Spaces. Lecture notes in Mathematics 25, Springer 1966.
[11] P. DE PAEPE : Analytic polyhedra. Tulane dissertation, 1971.
[12] P. DE PAEPE: Homomorphism spaces of algebras of holomorphic functions (to appear).
[13] H. ROSSI: The local maximum modulus principle. Ann. Math. 72 (1960) 1-11.
[14] K.STEIN : On factorization of holomorphic mappings. Proceedings of the Conference
on Complex Analysis, Minneapolis 1964, 1-7.
[15] G. STOLZENBERG: Polynomially and rationally convex sets. Acta Math. 109 (1963)
259-289.
(Oblatum 27-XI-1973 & 26-11-1974) New Orleans, Tulane University Amsterdam, Universiteit van Amsterdam