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3.4. Lower bounds for heights and the Hodge index theorem [01KE]

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3.4. Lower bounds for heights and the Hodge index theorem

In the final section, we use the Hodge index theorem in Arakelov geometry to establish positive lower bounds for heights on curves. The results are inspired by recent papers [4, 45], and the proofs are borrowed from [44]. After they were conceived, I received the preprint [54] which proves a similar result in any dimension.

The arithmetic Hodge index theorem

Let XX be a projective smooth curve over FF, let L¯\overline{L} be a line bundle of degree 00 on XX, with an admissible metric. Let L¯0\overline{L}_{0} be the same line bundle with the canonical metric : if XX has genus ≥1\geq 1, this is the metric induced by an embedding of XX into its Jacobian, if XX is of genus 00, then L¯0\overline{L}_{0} is the trivial metrized line bundle. The metrized line bundle L¯⊗L¯0−1\overline{L}\otimes\overline{L}_{0}^{-1} is the trivial line bundle, together with an admissible metric which is given by a function fvf_{v} at the place vv of FF.

A formula of Faltings–Hriljac expresses (c^1​(L¯0)2|X)({\widehat{c}}_{1}(\overline{L}_{0})^{2}|X) as twice minus the Néron–Tate height of the point of JJ corresponding to LL. More generally,

(c^1​(L¯)2|X)=−2​h^NT​([L])+∑v∈M⁡(F)𝒟⁡(fv),({\widehat{c}}_{1}(\overline{L})^{2}|X)=-2\widehat{h}_{\mathrm{NT}}([L])+\sum_{v\in M(F)}\mathscr{D}(f_{v}),

where for each v∈M⁡(F)v\in M(F),

𝒟⁡(fv)=∫Xvfv​ddc⁡(fv)\mathscr{D}(f_{v})=\int_{X_{v}}f_{v}\mathop{\mathrm{d}\mathrm{d}^{c}}(f_{v})

is the Dirichlet energy of fvf_{v}. This is a non positive quadratic form which vanishes if and only if fvf_{v} is constant. For more details, I refer to [15] at archimedean places and [51] at ultrametric places. (When XX has genus 00, L≃𝒪XL\simeq\mathscr{O}_{X} and the term h^NT​([L])\widehat{h}_{\mathrm{NT}}([L]) has to be interpreted as 00.)

As a consequence, (c^1​(L¯)2|X)≤0({\widehat{c}}_{1}(\overline{L})^{2}|X)\leq 0. Let us analyse the case of equality. Since they are nonpositive, all terms in the formula above have to vanish. Consequently, [L][L] is a torsion point in the Jacobian, and all functions fvf_{v} are constant. We will say that some power of L¯\overline{L} is constant

Proposition 3.4.1.

Let FF be a number field, let XX be a projective smooth curve over FF. Let L¯\overline{L} and M¯\overline{M} be two admissible metrized line bundles over XX. Assume that deg⁡(L)=ℓ\deg(L)=\ell, deg⁡(M)=m\deg(M)=m are positive. and (c^1​(L¯)2|X)=(c^1​(M¯)2|X)=0({\widehat{c}}_{1}(\overline{L})^{2}|X)=({\widehat{c}}_{1}(\overline{M})^{2}|X)=0. Then, the essential minimum of L¯⊗M¯\overline{L}\otimes\overline{M} satisfies the following inequality :

e⁡(L¯⊗M¯)≥−12​(ℓ+m)​ℓ​m​(c^1​(m​L¯−ℓ​M¯)2|X).e(\overline{L}\otimes\overline{M})\geq-\frac{1}{2(\ell+m)\ell m}({\widehat{c}}_{1}(m\overline{L}-\ell\overline{M})^{2}|X).

Moreover, the right hand side of this inequality is always nonnegative and vanishes if and only if some power of L¯m⊗M¯−ℓ\overline{L}^{m}\otimes\overline{M}^{-\ell} is constant.

Démonstration.

By Zhang’s inequality (see [18]), one has

e⁡(L¯+M¯)≥12​(ℓ+m)​(c^1​(L¯+M¯)2|X).e(\overline{L}+\overline{M})\geq\frac{1}{2(\ell+m)}({\widehat{c}}_{1}(\overline{L}+\overline{M})^{2}|X).

Since (c^1​(L¯)2|X)=(c^1​(M¯)2|X)=0({\widehat{c}}_{1}(\overline{L})^{2}|X)=({\widehat{c}}_{1}(\overline{M})^{2}|X)=0 by assumption, we observe that

(c^1​(L¯+M¯)2|X)=2​(c^1​(L¯)​c^1​(M¯)|X)=−1ℓ​m​(c^1​(m​L¯−ℓ​M¯)2|X).({\widehat{c}}_{1}(\overline{L}+\overline{M})^{2}|X)=2({\widehat{c}}_{1}(\overline{L}){\widehat{c}}_{1}(\overline{M})|X)=-\frac{1}{\ell m}({\widehat{c}}_{1}(m\overline{L}-\ell\overline{M})^{2}|X).

This shows the first claim.

Since m​LmL and ℓ​M\ell M have the same degree, viz. ℓ​m\ell m, the rest of the proposition follows from the negativity properties of the height recalled above. ∎

Assume that (xn)(x_{n}) is a generic sequence of points such that hL¯​(xn)h_{\overline{L}}(x_{n}) tends to 00. By Theorem 3.3.1, hM¯​(xn)h_{\overline{M}}(x_{n}) converges to

1ℓ​(c^1​(L¯)​c^1​(M¯)|X).\frac{1}{\ell}({\widehat{c}}_{1}(\overline{L}){\widehat{c}}_{1}(\overline{M})|X). (3.4.2)

Except when both lower bounds are zero, this is strictly bigger than the lower bound of the proposition, which is equal to

1ℓ+m​(c^1​(L¯)​c^1​(M¯)|X).\frac{1}{\ell+m}({\widehat{c}}_{1}(\overline{L}){\widehat{c}}_{1}(\overline{M})|X).

In other words, the greedy obvious method to find points of small height for L¯+M¯\overline{L}+\overline{M} that first minimizes the height hL¯h_{\overline{L}}, only works up to the factor (ℓ+m)/ℓ>1(\ell+m)/\ell>1.

An example

Let us give some explicit formulae for the lower-bound above, in some particular cases. We consider X=𝐏1X=\mathbf{P}^{1} over 𝐐{\mathbf{Q}} and the metrized line bundle 𝒪⁡(1)¯W\overline{\mathscr{O}(1)}_{\mathrm{W}}. Let φ\varphi and ψ\psi be polynomials with integral coefficients, of degrees ℓ\ell and mm respectively ; let us pose L¯=φ∗​𝒪⁡(1)¯W\overline{L}=\varphi^{*}\overline{\mathscr{O}(1)}_{\mathrm{W}}, M¯=ψ∗​𝒪⁡(1)¯W\overline{M}=\psi^{*}\overline{\mathscr{O}(1)}_{\mathrm{W}}. The line bundle L¯m⊗L¯−ℓ\overline{L}^{m}\otimes\overline{L}^{-\ell} is trivial and its metric is given by a family of functions (fv)(f_{v}). Since φ\varphi and ψ\psi have integral coefficients, fv=0f_{v}=0 at all finite places. Moreover, since gL¯​(x)=log⁡max⁡(|φ⁡(x)|​,1)g_{\overline{L}}(x)=\log\max(\left|{\varphi(x)}\right|,1) and gM¯​(x)=log⁡max⁡(|ψ⁡(x)|​,1)g_{\overline{M}}(x)=\log\max(\left|{\psi(x)}\right|,1) are the Green functions for the divisors ℓ⁡[∞]\ell[\infty] and m⁡[∞]m[\infty] respectively, one has

f∞​(x)=log⁡max⁡(|φ⁡(x)|m​,1)max⁡(|ψ⁡(x)|ℓ​,1).f_{\infty}(x)=\log\frac{\max(\left|{\varphi(x)}\right|^{m},1)}{\max(\left|{\psi(x)}\right|^{\ell},1)}.

Then,

ddc⁡f∞=m2​π​d​Arg⁡φ⁡(x)∧δ|φ⁡(x)|=1−ℓ2​π​d​Arg⁡ψ⁡(x)∧δ|ψ⁡(x)|=1\mathop{\mathrm{d}\mathrm{d}^{c}}f_{\infty}=\frac{m}{2\pi}\mathrm{d}\operatorname{Arg}\varphi(x)\wedge\delta_{\left|{\varphi(x)}\right|=1}-\frac{\ell}{2\pi}\mathrm{d}\operatorname{Arg}\psi(x)\wedge\delta_{\left|{\psi(x)}\right|=1}

From this, we deduce that

𝒟⁡(f∞)\displaystyle\mathscr{D}(f_{\infty}) =ℓ​m2​π​(∫|ψ⁡(x)|=1log⁡max⁡(|φ⁡(x)|​,1)​d​Arg⁡ψ⁡(x)CLOSE\displaystyle=\frac{\ell m}{2\pi}\left(\int_{\left|{\psi(x)}\right|=1}\log\max(\left|{\varphi(x)}\right|,1)\mathrm{d}\operatorname{Arg}\psi(x)\right.
+∫|φ⁡(x)|=1logmax(|ψ(x)|,1)dArgφ(x)),\displaystyle\qquad{}\left.+\int_{\left|{\varphi(x)}\right|=1}\log\max(\left|{\psi(x)}\right|,1)\mathrm{d}\operatorname{Arg}\varphi(x)\right),

the two others terms vanishing. In fact, Stokes’s formula implies that the two terms within the parentheses in the previous formula are equal and we have

𝒟⁡(f∞)=ℓ​mπ​∫|φ⁡(x)|=1log⁡max⁡(|ψ⁡(x)​,1|)​d​Arg⁡φ⁡(x).\mathscr{D}(f_{\infty})=\frac{\ell m}{\pi}\int_{\left|{\varphi(x)}\right|=1}\log\max(\left|{\psi(x),1}\right|)\mathrm{d}\operatorname{Arg}\varphi(x).

The simplest case to study is for φ⁡(x)=xℓ\varphi(x)=x^{\ell}. Then,

𝒟⁡(f∞)=ℓ​mπ​∫02​πlog⁡max⁡(|ψ⁡(ei​θ)|​,1)​𝑑θ\mathscr{D}(f_{\infty})=\frac{\ell m}{\pi}\int_{0}^{2\pi}\log\max(\left|{\psi(e^{i\theta})}\right|,1)\,\mathrm{d}\theta

is 2​ℓ​m2\ell m times the logarithm of the variant M+​(ψ)\mathrm{M}^{+}(\psi) of the Mahler measure of ψ\psi :

M+​(ψ)=exp⁡(12​π​∫02​πlog⁡max⁡(|ψ⁡(ei​θ)|​,1)​𝑑θ).\mathrm{M}^{+}(\psi)=\exp\left(\frac{1}{2\pi}\int_{0}^{2\pi}\log\max(\left|{\psi(e^{i\theta})}\right|,1)\,\mathrm{d}\theta\right).

In fact, Jensen’s formula implies that

M+​(ψ)=exp⁡(1(2​π)2​∫02​πlog⁡|ψ⁡(ei​θ1)−ei​θ2|​d​θ1​d​θ2)\mathrm{M}^{+}(\psi)=\exp\left(\frac{1}{(2\pi)^{2}}\int_{0}^{2\pi}\log\left|{\psi(e^{i\theta_{1}})-e^{i\theta_{2}}}\right|\,\mathrm{d}\theta_{1}\mathrm{d}\theta_{2}\right)

is the Mahler measure M⁡(ψ⁡(x)−y)\mathrm{M}(\psi(x)-y) of the 2-variables polynomial ψ⁡(x)−y\psi(x)-y.

Consequently, except for finitely many exceptions, any algebraic point x∈𝐏1​(𝐐¯)x\in{\mathbf{P}}^{1}(\overline{{\mathbf{Q}}}) satisfies

ℓ​h​(x)+h⁡(ψ⁡(x))≥1ℓ+m​log⁡M⁡(ψ⁡(x)−y).\ell h(x)+h(\psi(x))\geq\frac{1}{\ell+m}\log\mathrm{M}(\psi(x)-y).

For ℓ=1\ell=1 and ψ⁡(x)=1−x\psi(x)=1-x, we obtain that up to finitely many exceptions,

h⁡(x)+h⁡(1−x)≥12​log⁡M⁡(1−x−y)≈0.161538,h(x)+h(1-x)\geq\frac{1}{2}\log\mathrm{M}(1-x-y)\approx 0.161538,

In that particular case, Zagier [56] has proved a much more precise result : except for 5 explicit points in 𝐏1{\mathbf{P}}^{1},

h⁡(x)+h⁡(1−x)≥12​log⁡(1+52)≈0.240606.h(x)+h(1-x)\geq\frac{1}{2}\log(\frac{1+\sqrt{5}}{2})\approx 0.240606.

Observe also that if (xj)(x_{j}) is a sequence of points such that h⁡(xj)→0h(x_{j})\rightarrow 0, Theorem 3.3.1 implies that h⁡(1−x)→log⁡M⁡(1−x−y)≈0.323076h(1-x)\rightarrow\log\mathrm{M}(1-x-y)\approx 0.323076.

Application to dynamical systems

Let us assume that L¯\overline{L} and M¯\overline{M} are the metrized line bundles 𝒪⁡(1)¯φ\overline{\mathscr{O}(1)}_{\varphi} and 𝒪⁡(1)¯ψ\overline{\mathscr{O}(1)}_{\psi} attached to rational functions φ\varphi and ψ\psi of degres dd and ee respectively, with d≥2d\geq 2 and e≥2e\geq 2. Let us write hφh_{\varphi} and hψh_{\psi} for the height relative to these metrized line bundles ; we call them the canonical heights. The isometry φ∗​𝒪⁡(1)¯φ≃𝒪⁡(1)¯φd\varphi^{*}\overline{\mathscr{O}(1)}_{\varphi}\simeq\overline{\mathscr{O}(1)}_{\varphi}^{d} and the functorial properties of the height imply that for any x∈𝐏1​(F¯)x\in{\mathbf{P}}^{1}(\overline{F}), hφ​(φ⁡(x))=d​hφ​(x)h_{\varphi}(\varphi(x))=dh_{\varphi}(x) and hψ​(ψ⁡(x))=e​hψ​(x)h_{\psi}(\psi(x))=eh_{\psi}(x). In particular, preperiodic points for φ\varphi (i.e., points with finite forward orbit) satisfy hφ​(x)=0h_{\varphi}(x)=0. Moreover,

d2​(c^1​(𝒪⁡(1)¯φ)2|𝐏1)=(c^1​(φ∗​𝒪⁡(1)¯φ)2|𝐏1)=(c^1​(𝒪⁡(1)¯φ)2|φ∗​𝐏1)=d⁡(c^1​(𝒪⁡(1)¯φ)2|𝐏1),d^{2}({\widehat{c}}_{1}(\overline{\mathscr{O}(1)}_{\varphi})^{2}|{\mathbf{P}}^{1})=({\widehat{c}}_{1}(\varphi^{*}\overline{\mathscr{O}(1)}_{\varphi})^{2}|{\mathbf{P}}^{1})=({\widehat{c}}_{1}(\overline{\mathscr{O}(1)}_{\varphi})^{2}|\varphi_{*}{\mathbf{P}}^{1})=d({\widehat{c}}_{1}(\overline{\mathscr{O}(1)}_{\varphi})^{2}|{\mathbf{P}}^{1}),

hence (c^1​(𝒪⁡(1)¯φ)2|𝐏1)=0({\widehat{c}}_{1}(\overline{\mathscr{O}(1)}_{\varphi})^{2}|{\mathbf{P}}^{1})=0 since d≠0,1d\neq 0,1. Similarly, preperiodic points of ψ\psi satisfy hψ​(x)=0h_{\psi}(x)=0, and (c^1​(𝒪⁡(1)¯ψ)2|𝐏1)=0({\widehat{c}}_{1}(\overline{\mathscr{O}(1)}_{\psi})^{2}|{\mathbf{P}}^{1})=0.

In the arithmetic case, or over function fields over a finit field, Northcott’s finiteness theorem implies easily that points xx such that hφ​(x)=0h_{\varphi}(x)=0 are preperiodic for φ\varphi, and similarly for ψ\psi. This is not true in general : for example, if φ\varphi is constant, all constant points have height 00 but only countably many of them are preperiodic ; more generally isotrivial rational functions, i.e. rational functions which are constant after conjugacy by an automorphism of 𝐏1{\mathbf{P}}^{1} will furnish counterexamples. The best known result is restricted to (non-isotrivial) polynomials : by Benedetto [10], a point of height zero is then preperiodic ; the proof relies on a detailed analysis of the Julia set.

Let us show how Prop. 3.4.1 implies results of Baker and DeMarco [4], and of Petsche, Szpiro and Tucker [45].

Proposition 3.4.3.

In the geometric case, let us assume that ψ\psi is non-isotrivial ; if FF is a function field over an infinite field, let us moreover assume that it is a polynomial. The following are then equivalent :

  1. (1)

    the heights hφh_{\varphi} and hψh_{\psi} coincide ;

  2. (2)

    φ\varphi and ψ\psi have infinitely many common preperiodic points ;

  3. (3)

    the essential lowest bound of hφ+hψh_{\varphi}+h_{\psi} is zero ;

  4. (4)

    the equilibrium measures μφ\mu_{\varphi} and μψ\mu_{\psi} are equal at all places ;

  5. (5)

    the metrized line bundles 𝒪​(1)φ\mathscr{O}(1)_{\varphi} and 𝒪​(1)ψ\mathscr{O}(1)_{\psi} are isomorphic, up to a family of constants (cv)(c_{v}) such that ∏cv=1\prod c_{v}=1.

Démonstration.

The arguments are more or less formal from Prop. 3.4.1 ; let us detail them anyway for the sake of the reader.

1)⇒\Rightarrow2). Like any rational map, φ\varphi has infinitely many preperiodic points in 𝐏1​(F¯){\mathbf{P}}^{1}(\overline{F}), and they satisfy hφ​(x)=0h_{\varphi}(x)=0. If hφ=hψh_{\varphi}=h_{\psi}, then they also satisfy hψ​(x)=0h_{\psi}(x)=0. Under the assumptions of the proposition, they are preperiodic for ψ\psi.

2)⇒\Rightarrow3) is obvious, for common preperiodic points of φ\varphi and ψ\psi satisfy hφ​(x)+hψ​(x)=0h_{\varphi}(x)+h_{\psi}(x)=0/.

3)⇒\Rightarrow4). By Prop. 3.4.1, the line bundle 𝒪​(1)φ−𝒪​(1)ψ\mathscr{O}(1)_{\varphi}-\mathscr{O}(1)_{\psi} has the constant metric at all places. In particular, the local measures μφ\mu_{\varphi} and μψ\mu_{\psi} coincide at all places.

4)⇒\Rightarrow5). Let ss be a non zero global section of 𝒪⁡(1)\mathscr{O}(1). For any place vv, fv=log⁡(‖s‖v,φ/‖s‖v,ψ)f_{v}=\log(\left\|{s}\right\|_{v,\varphi}/\left\|{s}\right\|_{v,\psi}) ; one has μv,ψ−μv,φ=ddc⁡fv\mu_{v,\psi}-\mu_{v,\varphi}=\mathop{\mathrm{d}\mathrm{d}^{c}}f_{v}, hence ddc⁡fv=0\mathop{\mathrm{d}\mathrm{d}^{c}}f_{v}=0. By the maximum principle of [51], fvf_{v} is constant. Moreover,

0=(c^1​(𝒪⁡(1)¯ψ)2|X)=(c^1​(𝒪⁡(1)¯φ)2|X)+∑vlog⁡cv=∑vlog⁡cv.0=({\widehat{c}}_{1}(\overline{\mathscr{O}(1)}_{\psi})^{2}|X)=({\widehat{c}}_{1}(\overline{\mathscr{O}(1)}_{\varphi})^{2}|X)+\sum_{v}\log c_{v}=\sum_{v}\log c_{v}.

5)⇒\Rightarrow1). This is obvious. ∎

Remarks

1) The restrictive hypotheses on ψ\psi have only been used to establish the implication 1)⇒\Rightarrow2).

2) Of course, many other results can be established by the same reasoning, in particular the number field case of Theorem 1.1 of [4]. Let us also recall that the support of the equilibrium measure μφ\mu_{\varphi} is the Julia set J⁡(φ)J(\varphi). If J⁡(φ)≠J⁡(ψ)J(\varphi)\neq J(\psi) at some place, then none of the assertions of Prop. 3.4.3 can possibly hold.

3) The main result of [54] is that a variant of the implication (4)⇒\Rightarrow(5) also holds in a more general setting : two semi-positive metrics on a line bundle which define the same measure at a place vv differ by multiplication by a constant. The given proof works for curves.

4) We also recall that an implication similar to (1)⇒\Rightarrow(5) holds for general metrized line bundles on arithmetic varieties, as proven by [1] : if L¯\overline{L} and M¯\overline{M} are line bundles with adelic metrics such that hL¯=hM¯h_{\overline{L}}=h_{\overline{M}}, then L¯⊗M¯−1\overline{L}\otimes\overline{M}^{-1} is torsion in the Arakelov Picard group Pic¯​(X)\overline{\operatorname{Pic}}(X) : the heights determine the metrics.

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