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www.elsevier.com/locate/anihpc

On KP-II type equations on cylinders

Axel Grünrock

a,,1

, Mahendra Panthee

b,2

, Jorge Drumond Silva

c,3

aRheinische Friedrich-Wilhelms-Universität Bonn, Mathematisches Institut, Beringstraße 1, 53115 Bonn, Germany bCentro de Matemática, Universidade do Minho, Campus de Gualtar, 4710-057 Braga, Portugal

cCenter for Mathematical Analysis, Geometry and Dynamical Systems, Departamento de Matemática, Instituto Superior Técnico, Av. Rovisco Pais, 1049-001 Lisboa, Portugal

Received 15 January 2009; accepted 17 April 2009 Available online 27 May 2009

Abstract

In this article we study the generalized dispersion version of the Kadomtsev–Petviashvili II equation, onT×RandT×R2. We start by proving bilinear Strichartz type estimates, dependent only on the dimension of the domain but not on the dispersion. Their analogues in terms of Bourgain spaces are then used as the main tool for the proof of bilinear estimates of the nonlinear terms of the equation and consequently of local well-posedness for the Cauchy problem.

©2009 Elsevier Masson SAS. All rights reserved.

MSC:35Q53

Keywords:KP-II equation; Local well-posedness; Global well-posedness; Space–time estimates

Contents

1. Introduction . . . 2336

2. Strichartz estimates . . . 2337

2.1. Proof of the Strichartz estimate in theT×Rcase . . . 2339

2.2. Proof of the Strichartz estimate in theT×R2case . . . 2342

2.3. Counterexample for global Strichartz estimate inT×R. . . 2344

3. Bilinear estimates . . . 2344

3.1. Proof of the bilinear estimates in theT×R2case . . . 2347

3.2. Proof of the bilinear estimates in theT×Rcase . . . 2351

4. Local well-posedness . . . 2354

* Corresponding author.

E-mail addresses:gruenroc@math.uni-bonn.de (A. Grünrock), mpanthee@math.uminho.pt (M. Panthee), jsilva@math.ist.utl.pt (J. Drumond Silva).

1 Partially supported by the Deutsche Forschungsgemeinschaft, Sonderforschungsbereich 611.

2 Partially supported through the program POCI 2010/FEDER.

3 Partially supported through the program POCI 2010/FEDER and by the project POCI/FEDER/MAT/55745/2004.

0294-1449/$ – see front matter ©2009 Elsevier Masson SAS. All rights reserved.

doi:10.1016/j.anihpc.2009.04.002

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Acknowledgements . . . 2355 Appendix A. Failure of regularity of the flow map inTTT×RRR . . . 2355 References . . . 2358

1. Introduction

In this paper, we consider the initial value problem (IVP) for generalized dispersion versions of the Kadomtsev–

Petviashvili-II (defocusing) equation onTx×Ry

tu− |Dx|αxu+x1y2u+u∂xu=0 u:Rt×Tx×Ry→R,

u(0, x, y)=u0(x, y), (1)

and onTx×R2y

tu− |Dx|αxu+x1yu+u∂xu=0 u:Rt×Tx×R2y→R,

u(0, x, y)=u0(x, y). (2)

We consider the dispersion parameterα2. The operators|Dx|αxandx1are defined by their Fourier multipliers i|k|αkand(ik)1, respectively.

The classical Kadomtsev–Petviashvili (KP-I and KP-II) equations, whenα=2,

tu+x3u±x1y2u+u∂xu=0

are the natural two-dimensional generalizations of the Korteweg–de Vries (KdV) equation. They occur as models for the propagation of essentially one-dimensional weakly nonlinear dispersive waves, with weak transverse effects. The focusing KP-I equation corresponds to the minus()sign in the previous equation, whereas the defocusing KP-II is the one with the plus(+)sign.

The well-posedness of the Cauchy problem for the KP-II equation has been extensively studied, in recent years.

J. Bourgain [1] made a major breakthrough in the field by introducing Fourier restriction norm spaces, enabling a better control of the norms in the Picard iteration method applied to Duhamel’s formula, and achieving a proof of local well-posedness inL2(T2)(and consequently also global well-posedness, due to the conservation of theL2norm in time). Since then, a combination of Strichartz estimates and specific techniques in the framework of Bourgain spaces has been used by several authors to study KP-II type equations in several settings (see [9,10,13–17] and references therein). Recently, an optimal result was obtained by M. Hadac [6] for the generalized dispersion KP-II equation on R2, in which local well-posedness for the range of dispersions 43< α6 was established for the anisotropic Sobolev spacesHs1,s2(R2), provideds1>max(134α,1438α),s20, thus reaching the scaling critical indices for 43< α2. This includes the particular caseα=2 corresponding to the classical KP-II equation. In this case the analysis was pushed further to the critical regularity by M. Hadac, S. Herr, and H. Koch in [8], where a new type of basic function spaces — the so-calledUp-spaces introduced by H. Koch and D. Tataru — was used. Concerning the generalized dispersion KP-II equation onR3, a general result was also shown by M. Hadac in [7], which is optimal in the range 2α307 by scaling considerations. For the particular caseα=2, he obtained local well-posedness in Hs1,s2(R3)fors1>12 ands2>0.

In this article, we aim to study the local well-posedness of the initial value problem for the general dispersion KP-II type equations (1) and (2), on the cylinders Tx×Ry andTx×R2y respectively. We will show that the initial value problem (1) is locally well-posed for datau0Hs1,s2(T×R)satisfying the mean zero condition

0 u(x, y) dx=0, providedα2, s1>max(34α2,18α4), ands20. Combined with the conservation of theL2xy-norm this local result implies global (in time) well-posedness, whenever s10 ands2=0. Concerning (2) we will obtain local well-posedness foru0Hs1,s2(T×R2), satisfying again the mean zero condition, in the following cases:

α=2,s112,s2>0,

• 2< α5,s1>32α,s20,

• 5< α,s1>14α,s20.

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Forα >3 our result here is in, and below,L2xy. In this case we again obtain global well-posedness, whenevers10 ands2=0.

We proceed in three steps. First, in Section 2, we will establish bilinear Strichartz estimates for the linear versions of (1) and (2), depending only on the domain dimension but not on the dispersion parameter. We believe, these estimates are of interest on their own, independently of their application here.4In the second step, in Section 3, we will use these Strichartz estimates to prove bilinear estimates for the nonlinear term of the equations, in Bourgain’s Fourier restriction norm spaces. Finally, in Section 4, a precise statement will be given of our local well-posedness results for the associated initial value problems, with data in Sobolev spaces of low regularity. Their proofs follow a standard fixed point Picard iteration method applied to Duhamel’s formula, using the bilinear estimates obtained in the previous section. In Appendix A we provide a counterexample, due to H. Takaoka and N. Tzvetkov [18], concerning the two-dimensional case. This example shows the necessity of the lower bounds134α2 and hence the optimality (except for the endpoint) of our two-dimensional result in the range 2α52. For higher dispersion (α >52) we unfortunately lose optimality as a consequence of the case when an interaction of two high frequency factors produces a very low resulting frequency. The same problem occurs in three space dimensions, but the effect is much weaker. Here, by scaling considerations, our result is optimal for 2α5, and we leave the line of optimality only for very high dispersion, whenα >5.

2. Strichartz estimates

Strichartz estimates have, in recent years, been playing a fundamental role in the proofs of local well-posedness results for the KP-II equation. Their use has been a crucial ingredient for establishing the bilinear estimates associated to the nonlinear terms of the equations, in the Fourier restriction spaces developed by J. Bourgain, the proof of which is the central issue in the Picard iteration argument in these spaces. Bourgain [1] proved anL4L2Strichartz-type estimate, localized in frequency space, as the main tool for obtaining the local well-posedness of the Cauchy problem inL2, in the fully periodic two-dimensional case,(x, y)∈T2. J.-C. Saut and N. Tzvetkov [15] proceeded similarly, for the fifth-order KP-II equation, also inT2as well asT3. Strichartz estimates for the fully nonperiodic versions of the (linearized) KP-II equations have also been extensively studied and used, both in the two and in the three-dimensional cases. In these continuous domains,R2andR3, the results follow typically by establishing time decay estimates for the spatialLnorms of the solutions, which in turn are usually obtained from the analysis of their oscillatory integral representations, as in [3], [11] or [13]. The Strichartz estimates obtained this way also exhibit a certain level of global smoothing effect for the solutions, which naturally depends on the dispersion factor present in the equation.

As for our case, we prove bilinear versions of Strichartz type inequalities for the generalized KP-II equations on the cylindersT×RandT×R2. The main idea behind the proofs that we present below is to use the Fourier transformFx

in the periodicxvariable only. And then, for the remainingyvariables, to apply the well-known Strichartz inequalities for the Schrödinger equation inRorR2. This way, we obtain estimates with a small loss of derivatives, but independent of the dispersion parameter.

So, consider the linear equations corresponding to (1) and (2),

tu− |Dx|αxu+x1y2u=0, (3)

respectively

tu− |Dx|αxu+x1yu=0. (4)

The phase function for both of these two equations is given by φ(ξ )=φ0(k)−|η|2

k ,

whereφ0(k)= |k|αk is the dispersion term andξ =(k, η)∈Z×R, respectivelyξ=(k, η)∈Z×R2, is the dual variable to(x, y)∈T×R, respectively(x, y)∈T×R2, so that the unitary evolution group for these linear equations

4 For example our two-dimensional space–time estimate, which is equally valid for the linearized KP-I equation, together with the counterexam- ples presented later on gives a definite answer to a question raised by J.-C. Saut and N. Tzvetkov in [16, remark on top of p. 460].

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is eit φ (D), where D= −i∇. For the initial data functions u0, v0 that we will consider below it is assumed that

u0(0, η)=v0(0, η)=0 (mean zero condition).

The two central results of this section are the following.

Theorem 1.LetψC0(R)be atimecutoff function withψ|[−1,1]=1andsupp(ψ )(−2,2), and letu0, v0:Tx× Ry→Rsatisfy the mean zero condition in thex variable. Then, fors1,20such that s1+s2=14, the following inequality holds:

ψ eit φ (D)u0eit φ (D)v0

L2txyu0Hxs1L2

yv0Hxs2L2

y. (5)

Theorem 2.Letu0, v0:Tx×R2y→Rsatisfy the mean zero condition in thex variable. Then, fors1,20such that s1+s2>1, the following inequality holds:

eit φ (D)u0eit φ (D)v0

L2txyu0Hs1

x L2yv0Hs2

x L2y. (6)

Choosingu0=v0ands1=s2=12+, we have in particular eit φ (D)u0

L4txy u0

H

1 2+ x L2y

.

Note that in the case of Theorem 1, in theTx×Ry domain, the Strichartz estimate is valid only locally in time.

A proof of this fact is presented in the last result of this section Proposition 1.There is nos∈Rsuch that the estimate

eit φ (D)u0

2

L2txy Dxsu0

L2xyu0L2xy

holds in general.

The use of a cutoff function in time is therefore required inT×R, whose presence will be fully exploited in the proof of Theorem 1. In the case of Theorem 2, wherey∈R2, the result is valid globally in time and no such cutoff is needed to obtain the analogous Strichartz estimate.5

As a matter of fact, in the three-dimensional caseT×R2, the proof that we present is equally valid for the fully nonperiodic three-dimensional domain, R3. As pointed out above, Strichartz estimates have been proved and used for the linear KP-II equation, in R2 and R3. But being usually derived through oscillatory integral estimates and decay in time, they normally exhibit dependence on the particular dispersion under consideration, leading to different smoothing properties of the solutions. For estimates independent of the dispersion term φ0one can easily apply a dimensional analysis argument to determine — at least for homogeneous Sobolev spacesH˙s— the indices that should be expected. So, forλ∈R, ifu(t, x, y)is a solution to the linear equation (4) onR3, thenuλ=Cu(λ3t, λx, λ2y), C∈R, is also a solution of the same equation, with initial datauλ0=Cu0(λx, λ2y). AnL4t xy− ˙HxsL2yestimate for this family of scaled solutions then becomes

λ12suL4txy u0H˙xsL2y,

leading to the necessary conditions=12. Theorem 2, for nonhomogeneous Sobolev spaces, touches this endpoint (not including it, though).

5 In any case, for our purposes of proving local well-posedness in time for the Cauchy problems (1) and (2), further on in this paper, this issue of whether the Strichartz estimates are valid only locally or globally will not be relevant there.

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2.1. Proof of the Strichartz estimate in theT×Rcase

Proof of Theorem 1. It is enough to prove the estimate (5) whens1=1/4 ands2=0.

We have, for the space–time Fourier transform of the product of the two solutions to the linear equation6 F

eit φ (D)u0eit φ (D)v0

(τ, ξ )=

δ

τφ(ξ1)φ(ξ2)

u01)v02) μ(dξ1), (7) where

μ(dξ1)= k1,k2 =0 k=k1+k2

η1+η2=η1, and φ(ξ1)+φ(ξ2)=φ0(k1)+φ0(k2)− 1

k1k2

21−2ηk1η1+k1η2 .

Thus the argument ofδ, as a function ofη1, becomes g(η1):=τφ(ξ1)φ(ξ2)= 1

k1k2

21−2ηk1η1+k1η2

+τφ0(k1)φ0(k2).

The zeros ofgare η±1 =ηk1

k ±ω, with

ω2=k1k2 k

φ0(k1)+φ0(k2)η2 kτ

,

whenever the right-hand side is positive, and we have g

η±1=2|k|ω

|k1k2|.

There are therefore two contributionsI±to (7), which are given by I±(τ, ξ )= |k|1

k1

k1,k2 =0

|k1k2| ω u0

k1,ηk1

k ±ω

v0

k2,ηk2

kω

,

and the space–time Fourier transform ofψ eit φ (D)u0eit φ (D)v0then becomes F

ψ eit φ (D)u0eit φ (D)v0

(τ, ξ )=ψτ

I+(τ, ξ )+I(τ, ξ )

=

ψ(ττ1)

k1 k1,k2 =0

|k1k2| ω(τ1)|k|

u0

k1,ηk1

k +ω(τ1)

v0

k2,ηk2

kω(τ1)

+u0

k1,ηk1

kω(τ1)

v0

k2,ηk2

k +ω(τ1)

1.

For theL2estimate of this quantity we may assume, without loss of generality, thatk1andk2are both positive (cf.

p. 460 in [16]), so that 0< k1, k2< k.

We will now prove the result, by breaking up the sum into two cases which are estimated separately.

6 Throughout the text we will disregard multiplicative constants, typically powers of 2π, which are irrelevant for the final estimates.

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CaseI(ω(τ1)2> k1k2).

In this case we start by using the elementary convolution estimate, ψτ

I+(·, ξ )+I(·, ξ )

ω(τ1)2>k1k2

L2τψL1τI+(·, ξ )+I(·, ξ )

ω2>k1k2

L2τ. Now, to estimate theL2norm of the sum, we fix any small 0< <1/4 and Cauchy–Schwarz gives

I±(τ, ξ )

|ω(τ )2>k1k2

k1,k2>0

k1 k1k2

kω(τ ) 1

2

×

k1,k2>0

k1 k1k2

kω(τ ) u0

k1,ηk1

k ±ω(τ )

v0

k2,ηk2

kω(τ ) 21

2

. (8)

The conditionω(τ )2> k1k2implies ω(τ )k 2

1k2 = |1k0(k1)+φ0(k2))ηk22τk|>1, so that

k1k2

ω(τ ) ∼ 1

1k0(k1)+φ0(k2))ηk22τk12. We also have

k1k2

k 1, from which we conclude then that the first factor in (8) is bounded by a constantC inde- pendent ofk, τ, η, for

k1,k2>0

k1 k1k2

kω(τ )

k1,k2>0

k1 1

1k0(k1)+φ0(k2))ηk22τk12

k1

k12εp 1

p

k1,k2>0

1

1k0(k1)+φ0(k2))ηk22τkq2 1

q

,

which, using Hölder conjugate exponentsp >1/2 >2 andq=p/(p−1) <2, as well as the easy calculus fact that sup

a∈R k∈N

k1>0

1 k

φ0(k1)+φ0(k2)

a δ

Cδ, valid for any fixedα2 andδ >1/2, implies

k1,k2>0

k1 k1k2 kω(τ )C. We thus have

I±(·, ξ )|ω2>k1k22

L2τ

k1,k2>0

k1 k1k2

u0

k1,ηk1

k ±ω

v0

k2,ηk2 kω

2

k1,k2>0

k1 u0

k1,ηk1

k ±ω

v0

k2,ηk2

kω 2dω.

Here we have used =k2ωk1k2dω. Integrating with respect todη and using the change of variablesη+= ηkk1 ±ω, η=η(kkk1)ωwith Jacobian∓1 we arrive at

I±(·, ξ )|ω2>k1k22

L2τ

k1,k2>0

k1u0(k1,·)2

L2ηv0(k2,·)2

L2η.

Finally summing up overk =0 we obtain I++I

ω2>k1k22

L2τ kηDεxu02

L2xyv02L2 xy.

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CaseII(ω(τ1)2k1k2).

In this case|1k0(k1)+φ0(k2))ηk22τk1|1. Here we make the further subdivision 1=χ{|τ−τ1

k |1}+χ{|τ−τ1 k |>1}. When|τkτ1|1 we have

1 k

φ0(k1)+φ0(k2)

η2 k2τ

k

1+ ττ1

k

2,

and for every fixedτ, k, ηwe have only a finite number ofk1’s satisfying this condition. Therefore,

k1>0

ψ(τˆ −τ1) k1k2 kω(τ1)

u0

k1,ηk1

k ±ω(τ1)

v0

k2,ηk2

kω(τ1) χ{ω(τ

1)2k1k2}χ{|τ−τ1

k |1}1

k1>0

ψ (τˆ −τ1) k1k2 kω(τ1)

u0

k1,ηk1

k ±ω(τ1)

v0

k2,ηk2

kω(τ1) 1

21

2

.

Now, theL2τ ηnorm of this quantity is bounded by

k1>0

ψˆ ∗τ1

k1k2 u0

k1,ηk1

k ±ω

v0

k2,ηk2

kω

2

L2τ η

12

=

k1>0

ψ eit (φ0(k1)+φ0(k2))ei

t k1y2

Fxu0(k1,·)ei

t k22y

Fxv0(k2,·)2

L2ty

12 ,

where the equality is due to Plancherel’s theorem, applied to thet, yvariables only. By Hölder ψ eit (φ0(k1)+φ0(k2))ei

t k1y2

Fxu0(k1,·)ei

t k2y2

Fxv0(k2,·)

L2ty

ψL4

teikt1y2

Fxu0(k1,·)

L4tLy

eikt2y2

Fxv0(k2,·)

Lt L2y. (9)

The partial Fourier transformFxof a free solution with respect to the periodicxvariable only Fx

eit φ (D)u0

(k, y)=eit φ0(k)eikt2yFxu0(k, y)

is, for every fixedk, a solution of the homogeneous linear Schrödinger equation with respect to the nonperiodic yvariable and the rescaled time variables:=tk, multiplied by a phase factor of absolute value one. So, for the second factor on the right-hand side of (9) we use the endpoint Strichartz inequality for the one-dimensional Schrödinger equation, thus producing|k1|14Fxu0(k1,·)L2y, where thek1factor comes fromdt=k1ds inL4t. By conservation of theL2ynorm, the last factor is nothing butFxv0(k2,·)L2y. We thus get

k1>0

ψ eit (φ0(k1)+φ0(k2))ei

t k1y2

Fxu0(k1,·)ei

t k2y2

Fxv0(k2,·)2

L2ty

1

2

k1>0

|k1|12Fxu0(k1,·)2

L2yFxv0(k2,·)2

L2y

1

2 D

1

x4u0

L2xyv0L2xy.

Finally, when|τkτ1|>1⇒ |ττ1|> k, we exploit the use of the cutoff function; the estimate ψ(τˆ −τ1) 1

ττ1kβ

is valid, for arbitrarily largeβ, becauseψS(R)(with the inequality constant depending only onψandβ). Fixing any suchβ >1, we can write

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k1>0

ψ(τˆ −τ1) k1k2

kω(τ1) u0

k1,ηk1

k ±ω(τ1)

v0

k2,ηk2

kω(τ1) χ{ω(τ

1)2k1k2}χ{|ττ1 k |>1}1

1 ττ1

k1>0

1 (k1k2)β/2

k1k2 kω(τ1)

u0

k1,ηk1

k ±ω(τ1)

v0

k2,ηk2

kω(τ1) χ{ω(τ

1)2k1k2}1.

TheL2τ norm of this quantity is bounded, using the same convolution estimate as before, by ·1

L2τ k1>0

1 (k1k2)β/2

k1k2 kω(τ )

u0

k1,ηk1

k ±ω(τ )

v0

k2,ηk2

kω(τ )

χ{ω(τ )2k1k2}

k1>0

1 (k1k2)β/2

ω k1k2

u0

k1,ηk1 k ±ω

v0

k2,ηk2 kω

dω,

where we have done again the change of variables of integration=k2ωk1k2dω. Applying Hölder’s inequality to the integral, we then get

k1>0

1

(k1k2)β/2|k1k2|14 u0

k1,ηk1

k ±ω

v0

k2,ηk2

kω 2

1

2

k1>0 u0

k1,ηk1

k ±ω

v0

k2,ηk2

kω 2

1

2

,

valid for our initial choice of β. The proof is complete, once we take theL2 norm of this last formula, which is obviously bounded byu0L2xyv0L2xy. 2

2.2. Proof of the Strichartz estimate in theT×R2case

Proof of Theorem 2. We start by proving the easier case, whens1,2>0. Using again the Schrödinger point of view, as in the proof of Theorem 1, the partial Fourier transform in thexvariable yields

Fx

eit φ (D)u0

(k, y)=eit φ0(k)eiktyFxu0(k, y), and hence

Fxeit φ (D)u0eit φ (D)v0(k, y)=

k1 =0 k2=kk1 =0

eit φ0(k1)eit φ0(k2)ei

t

k1yFxu0(k1, y)ei

t

k2yFxv0(k2, y).

By Plancherel in thexvariable and Minkowski’s inequality we see that eit φ (D)u0eit φ (D)v0

L2txy

k1

k1,k2 =0

ei

t

k1yFxu0(k1,·)ei

t

k2yFxv0(k2,·)

L2ty

L2k

.

Hölder’s inequality and Strichartz’s estimate for Schrödinger in two dimensions, with suitably chosen admissible pairs, give

ei

t

k1yFxu0(k1,·)ei

t

k2yFxv0(k2,·)

L2ty |k1|p11|k2|p12Fxu0(k1,·)

L2yFxv0(k2,·)

L2y, (10)

where p1

1 +p12 =12andp1, p2<∞.7Then, an easy convolution estimate in thek1variable yields

7 Because of the failure of the endpoint Strichartz estimate in two dimensions, here we maynotadmitp1= ∞orp2= ∞.

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