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5 Fully non-linear and Hessian equations [057U]

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5 Fully non-linear and Hessian equations

In this section, we consider applications of Theorem 2 to fully non-linear equations besides Monge-AmpΓ¨re equations. For these applications, we need to consider the relative volumes ctn​Vtβˆ’1c_{t}^{n}V_{t}^{-1} and the energies Et​(Ο†t)E_{t}(\varphi_{t}). We begin with a simple estimate for Et​(Ο†t)E_{t}(\varphi_{t}), which generalizes the simple considerations which applied earlier to Monge-AmpΓ¨re equations and is a straightforward application of the HΓΆlder inequality,

Lemma 7

Consider the energy Et​(Ο†t)E_{t}(\varphi_{t}) in the formalism for degenerating background metrics as in the set-up (1.7). Then we have for any p,q>1p,q>1 and 1p+1q=1{1\over p}+{1\over q}=1,

Et​(Ο†t)≀ctnVt​‖en​Ftβ€–Lq​‖φtβ€–Lp.\displaystyle E_{t}(\varphi_{t})\leq{c_{t}^{n}\over V_{t}}\,\|e^{nF_{t}}\|_{L^{q}}\,\|\varphi_{t}\|_{L^{p}}. (5.1)

Next we note the following uniform LpL^{p} estimate for general functions uu, whose Hessian is in a cone Ξ“k={Ξ»;Οƒβ„“>0, 1≀ℓ≀k}\Gamma_{k}=\{\lambda;\sigma_{\ell}>0,\ 1\leq\ell\leq k\}, which is an analogue of the Ξ±\alpha-invariant estimate for plurisubharmonic functions. It is well-known to experts, but we supply a statement and proof without pluripotential theory, as we could not find a convenient reference:

Lemma 8

For any p∈(0,nnβˆ’k)p\in(0,\frac{n}{n-k}), there is a uniform constant C=C⁑(n,p,Ο‰X)>0C=C(n,p,\omega_{X})>0 such that

β€–uβ€–Lp​(Ο‰Xn)≀C,\|u\|_{L^{p}(\omega_{X}^{n})}\leq C,

with supXu=0\sup_{X}u=0 and λ⁑[Ο‰u]βˆˆΞ“k\lambda[\omega_{u}]\in\Gamma_{k}, Ο‰u=Ο‰X+iβ€‹βˆ‚βˆ‚Β―β€‹u\omega_{u}=\omega_{X}+i\partial\bar{\partial}u.

Proof. We use an idea in [11]. Without loss of generality we may assume Vol⁑(X,Ο‰X)=1{\mathrm{Vol}}(X,\omega_{X})=1.

Fix an s>0s>0 and a small Ο΅>0\epsilon>0. Let K={uβ‰€βˆ’s}βŠ‚XK=\{u\leq-s\}\subset X be compact sub-level set of uu. We choose a sequence of smooth positive functions Ξ·j\eta_{j} with ∫XΞ·j​ωXn=1\int_{X}\eta_{j}\omega_{X}^{n}=1 which converge to η∞:=a​VK2β€‹Ο΅βˆ’1​χK+aβ‹…Ο‡X\K\eta_{\infty}:=aV_{K}^{2\epsilon-1}\chi_{K}+a\cdot\chi_{X\backslash K} in L1+ϡ​(Ο‰Xn)L^{1+\epsilon}(\omega_{X}^{n}) and also pointwise, where VK=∫KΟ‰XnV_{K}=\int_{K}\omega_{X}^{n} is the volume of the set KK and a>0a>0 is a constant such that

∫XΞ·βˆžβ€‹Ο‰Xn=∫X(a​VK2β€‹Ο΅βˆ’1​χK+aβ‹…Ο‡X\K)​ωXn=a​VK2​ϡ+a​Vol​(X\K)=1.\int_{X}\eta_{\infty}\omega_{X}^{n}=\int_{X}(aV_{K}^{2\epsilon-1}\chi_{K}+a\cdot\chi_{X\backslash K})\omega_{X}^{n}=aV_{K}^{2\epsilon}+a{\mathrm{Vol}(X\backslash K)}=1.

It is not hard to see that 1/2≀a≀max⁑(2,22​ϡ)=21/2\leq a\leq\max(2,2^{2\epsilon})=2. Hence

∫Xη∞1+ϡ​ωXn=a1+ϡ​VKΟ΅+2​ϡ2+a1+ϡ​Vol​(X\K)≀4.\int_{X}\eta_{\infty}^{1+\epsilon}\omega_{X}^{n}=a^{1+\epsilon}V_{K}^{\epsilon+2\epsilon^{2}}+a^{1+\epsilon}{\mathrm{Vol}(X\backslash K)}\leq 4.

Thus we may assume β€–Ξ·jβ€–L1+ϡ​(Ο‰X)≀5\|\eta_{j}\|_{L^{1+\epsilon}(\omega_{X})}\leq 5 for jj large enough. We solve the complex Monge-AmpΓ¨re equations

(Ο‰X+iβ€‹βˆ‚βˆ‚Β―β€‹vj)n=Ξ·j​ωXn,supXvj=0.(\omega_{X}+i\partial\bar{\partial}v_{j})^{n}=\eta_{j}\omega_{X}^{n},\quad\sup_{X}v_{j}=0.

By Theorem 1 (or [14]), it holds that β€–vjβ€–Lβˆžβ‰€C0\|v_{j}\|_{L^{\infty}}\leq C_{0} for a uniform C0=C0​(n,Ο‰X,Ο΅)C_{0}=C_{0}(n,\omega_{X},\epsilon).

By integration by parts we have

∫X(βˆ’u)​(Ο‰X+iβ€‹βˆ‚βˆ‚Β―β€‹vj)kβˆ§Ο‰Xnβˆ’k\displaystyle\int_{X}(-u)(\omega_{X}+i\partial\bar{\partial}v_{j})^{k}\wedge\omega_{X}^{n-k} (5.2)
=\displaystyle= ∫X(βˆ’u)​ωXβˆ§Ο‰vjkβˆ’1βˆ§Ο‰Xnβˆ’k+(βˆ’vj)​(Ο‰uβˆ’Ο‰X)βˆ§Ο‰vjkβˆ’1βˆ§Ο‰Xnβˆ’k\displaystyle\int_{X}(-u)\omega_{X}\wedge\omega_{v_{j}}^{k-1}\wedge\omega_{X}^{n-k}+(-v_{j})(\omega_{u}-\omega_{X})\wedge\omega_{v_{j}}^{k-1}\wedge\omega_{X}^{n-k}
≀\displaystyle\leq ∫X(βˆ’u)​ωXβˆ§Ο‰vjkβˆ’1βˆ§Ο‰Xnβˆ’k+C0β€‹βˆ«XΟ‰uβˆ§Ο‰vjkβˆ’1βˆ§Ο‰Xnβˆ’k\displaystyle\int_{X}(-u)\omega_{X}\wedge\omega_{v_{j}}^{k-1}\wedge\omega_{X}^{n-k}+C_{0}\int_{X}\omega_{u}\wedge\omega_{v_{j}}^{k-1}\wedge\omega_{X}^{n-k}
=\displaystyle= ∫X(βˆ’u)​ωvjkβˆ’1βˆ§Ο‰Xnβˆ’k+1+C0.\displaystyle\int_{X}(-u)\omega_{v_{j}}^{k-1}\wedge\omega_{X}^{n-k+1}+C_{0}.

Applying (5.2) inductively we get

∫X(βˆ’u)​(Ο‰X+iβ€‹βˆ‚βˆ‚Β―β€‹vj)kβˆ§Ο‰Xnβˆ’kβ‰€βˆ«X(βˆ’u)​ωXn+k​C0≀C,\int_{X}(-u)(\omega_{X}+i\partial\bar{\partial}v_{j})^{k}\wedge\omega_{X}^{n-k}\leq\int_{X}(-u)\omega_{X}^{n}+kC_{0}\leq C, (5.3)

for some uniform constant C=C⁑(n,k,Ο‰X,Ο΅)>0C=C(n,k,\omega_{X},\epsilon)>0. On the other hand, by Newton-Maclaurin inequality that (Ο‰vjkβˆ§Ο‰Xnβˆ’kΟ‰Xn)1/kβ‰₯c⁑(n,k)​(Ο‰vjnΟ‰Xn)1/n\big(\frac{\omega_{v_{j}}^{k}\wedge\omega_{X}^{n-k}}{\omega_{X}^{n}}\big)^{1/k}\geq c(n,k)\big(\frac{\omega_{v_{j}}^{n}}{\omega_{X}^{n}}\big)^{1/n} we derive from (5.3) that

∫X(βˆ’u)​(Ξ·j)k/n​ωXn≀C⁑(n,k,Ο‰X,Ο΅).\int_{X}(-u)(\eta_{j})^{k/n}\omega_{X}^{n}\leq C(n,k,\omega_{X},\epsilon).

Letting jβ†’βˆžj\to\infty and applying Fatou’s lemma we get

∫K(βˆ’u)​VK(2β€‹Ο΅βˆ’1)​k/n​ωXn≀C⁑(n,k,Ο‰X,Ο΅)\int_{K}(-u)V_{K}^{(2\epsilon-1)k/n}\omega_{X}^{n}\leq C(n,k,\omega_{X},\epsilon)

from which we obtain that

VK=Vol({uβ‰€βˆ’s})≀C(n,k,Ο‰X,Ο΅)sβˆ’n(2β€‹Ο΅βˆ’1)​k+n.V_{K}={\mathrm{Vol}}(\{u\leq-s\})\leq C(n,k,\omega_{X},\epsilon)s^{-\frac{n}{(2\epsilon-1)k+n}}.

For any p<nnβˆ’kp<\frac{n}{n-k}, we have

∫X(βˆ’u)p​ωXn≀1+p​C​(n,k,Ο‰X,Ο΅)β€‹βˆ«1∞spβˆ’1βˆ’n(2β€‹Ο΅βˆ’1)​k+n​𝑑s≀C⁑(n,k,Ο‰X,p)\int_{X}(-u)^{p}\omega_{X}^{n}\leq 1+pC(n,k,\omega_{X},\epsilon)\int_{1}^{\infty}s^{p-1-\frac{n}{(2\epsilon-1)k+n}}ds\leq C(n,k,\omega_{X},p)

if ϡ=ϡ⁑(p)>0\epsilon=\epsilon(p)>0 is chosen small enough so that the integral above is integrable. The proof of Lemma 8 is complete.

Returning to the applications of Theorem 2, we observe that the condition that p<nnβˆ’kp<{n\over n-k} is equivalent to the dual exponent qq satisfying q>nkq>{n\over k}. Thus Theorem 2 combined with Lemmas 7 and 8 imply at once:

Theorem 5

Consider the family of fully non-linear equations (1.7) with respect to the degenerating background metrics Ο‰t\omega_{t}, t∈(0,1]t\in(0,1]. Assume that we have solutions Ο†t∈C2\varphi_{t}\in C^{2}, normalized by supXΟ†t=0\sup_{X}\varphi_{t}=0. Assume that λ⁑[ht,Ο†t]βˆˆΞ“k\lambda[h_{t,\varphi_{t}}]\in\Gamma_{k}, for some fixed kk, 1≀k≀n1\leq k\leq n. Fix q>n/kq>n/k. Then β€–Ο†tβ€–L∞\|\varphi_{t}\|_{L^{\infty}} is uniformly bounded by a constant CC depending only on n,k,qn,k,q Ο‰X,Ο‡\omega_{X},\chi β€–en​Ftβ€–Lq​(Ο‰Xn)\|e^{nF_{t}}\|_{L^{q}(\omega_{X}^{n})} and ctnVt\frac{c_{t}^{n}}{V_{t}}.

We illustrate this theorem by specializing now to the case of Hessian equations, where f⁑(Ξ»)=Οƒk​(Ξ»)1kf(\lambda)=\sigma_{k}(\lambda)^{1\over k} for some 1≀k≀n1\leq k\leq n. The more familiar form of this equation is

(Ο‰t+iβ€‹βˆ‚βˆ‚Β―β€‹Ο†t)kβˆ§Ο‰Xnβˆ’k=ctk​ek​Ft​ωXn,supXΟ†t=0,(\omega_{t}+i\partial\bar{\partial}\varphi_{t})^{k}\wedge\omega_{X}^{n-k}=c_{t}^{k}e^{kF_{t}}\omega_{X}^{n},\quad\sup_{X}\varphi_{t}=0, (5.4)

and the condition λ⁑[Ο‰t,Ο†t]βˆˆΞ“k\lambda[\omega_{t,\varphi_{t}}]\in\Gamma_{k} is part of the equation22 2 We remark that usually in the equation (5.4), one normalizes the function FtF_{t} such that ∫Xek​Ft​ωXn=V\int_{X}e^{kF_{t}}\omega_{X}^{n}=V. However, our normalization is that ∫Xen​Ft​ωXn=V\int_{X}e^{nF_{t}}\omega_{X}^{n}=V.. Thus Theorem 5 applies and, assuming uniform bounds for β€–en​Fβ€–Lq\|e^{nF}\|_{L^{q}} for some q>n/kq>n/k, it reduces the uniform estimates for Ο†t\varphi_{t} to a uniform estimate for the relative volumes ctn/Vtc_{t}^{n}/V_{t}. An important geometric case when the relative volumes can be controlled is when the classe Ο‡\chi is big, in the sense that its volume [Ο‡n]=∫XΟ‡n[\chi^{n}]=\int_{X}\chi^{n} is strictly positive. In this case, we obtain

Theorem 6

Fix 1≀k<n1\leq k<n, and consider the family (5.4) of Hessian equations with respect to the degenerating background metrics. Assume that Ο‡\chi is big. Then for any q>nkq>{n\over k}, β€–Ο†β€–L∞\|\varphi\|_{L^{\infty}} is bounded uniformly by a constant CC depending only on n,k,qn,k,q, Ο‰X,Ο‡\omega_{X},\chi and an upper bound for β€–en​Ftβ€–Lq​(Ο‰Xn)\|e^{nF_{t}}\|_{L^{q}(\omega_{X}^{n})}.

Proof of Theorem 6. In view of Theorem 5, it suffices to show that ctn​Vtβˆ’1c_{t}^{n}V_{t}^{-1} is uniformly bounded. Since Vtβ‰₯[Ο‡n]V_{t}\geq[\chi^{n}] for any tt, this reduces to showing that ctc_{t} are themselves uniformly bounded.

The factors ctc_{t} are determined by

ctkβ€‹βˆ«Xek​Ft​ωXn=∫XΟ‰tkβˆ§Ο‰Xnβˆ’k=O⁑(1).c_{t}^{k}\int_{X}e^{kF_{t}}\omega_{X}^{n}=\int_{X}\omega_{t}^{k}\wedge\omega_{X}^{n-k}=O(1). (5.5)

To estimate ctc_{t}, we still need a uniform lower bound of ∫Xek​Ft​ωXn\int_{X}e^{kF_{t}}\omega_{X}^{n}. We use HΓΆlder’s inequality as before. Thus we write

∫Xek​FtΟ‰Xnβ‰₯∫{Ft≀0}en​FtΟ‰Xn+∫{Ft>0}Ο‰Xn.\int_{X}e^{kF_{t}}\omega_{X}^{n}\geq\int_{\{F_{t}\leq 0\}}e^{nF_{t}}\omega_{X}^{n}+\int_{\{F_{t}>0\}}\omega_{X}^{n}. (5.6)

Recall that by our normalization on FtF_{t}

V=∫Xen​FtΟ‰Xn=∫{Ft≀0}en​FtΟ‰Xn+∫{Ft>0}en​FtΟ‰Xn.V=\int_{X}e^{nF_{t}}\omega_{X}^{n}=\int_{\{F_{t}\leq 0\}}e^{nF_{t}}\omega_{X}^{n}+\int_{\{F_{t}>0\}}e^{nF_{t}}\omega_{X}^{n}. (5.7)

If the first term on the right hand side of (5.7) is greater than V/2V/2, then (5.6) shows that ∫Xek​Ft​ωXnβ‰₯V/2\int_{X}e^{kF_{t}}\omega_{X}^{n}\geq V/2; otherwise the second term in (5.7) is greater than V/2V/2. Then we have by the HΓΆlder inequality

∫{Ft>0}en​FtΟ‰Xn≀(∫Xeq​n​Ft)1/q(∫{Ft>0}Ο‰Xn)qβˆ’1q\int_{\{F_{t}>0\}}e^{nF_{t}}\omega_{X}^{n}\leq\Big(\int_{X}e^{qnF_{t}}\Big)^{1/q}\Big(\int_{\{F_{t}>0\}}\omega_{X}^{n}\Big)^{\frac{q-1}{q}}

which yields a uniform lower bound of the second term in (5.6) depending additionally on the assumed β€–en​Ftβ€–Lq\|e^{nF_{t}}\|_{L^{q}}. Therefore we conclude from (5.5) that ct≀Cc_{t}\leq C for a uniform constant C>0C>0. The proof of Theorem 6 is complete.

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