A counterexample to Hartogs' type extension of holomorphic line bundles
Zhangchi Chen

TL;DR
This paper constructs counterexamples showing that holomorphic line bundles do not always extend over certain compact subsets in complex domains, challenging previous positive extension results in complex analysis.
Contribution
It provides the first counterexamples in all dimensions for non-pseudoconvex sets, using a novel gluing lemma to demonstrate non-extendability.
Findings
Counterexamples exist in all dimensions for non-pseudoconvex sets
Holomorphic line bundles may fail to extend over certain compact subsets
A new gluing lemma facilitates the construction of these counterexamples
Abstract
Consider a domain in with and a compact subset such that is connected. We address the problem whether a holomorphic line bundle defined on extends to . In 2013, Forn\ae ss, Sibony and Wold gave a positive answer in dimension , when is pseudoconvex and is a sublevel set of a strongly plurisubharmonic exhaustion function. However, for of general shape, we construct counterexamples in any dimension . The key is a certain gluing lemma by means of which we extend any two holomorphic line bundles which are isomorphic on the intersection of their base spaces.
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[labelstyle=]
A Counterexample to Hartogs’ Type Extension
of Holomorphic Line Bundles
Zhangchi Chen [email protected] 222Département de Mathématiques D’orsay, Faculté des Sciences, Université Paris-Sud, Bâtiment 425, 91405 Orsay Cedex, France
Abstract
Consider a domain in with and a compact subset such that is connected. We address the problem whether a holomorphic line bundle defined on extends to . In 2013, Fornæss, Sibony and Wold gave a positive answer in dimension , when is pseudoconvex and is a sublevel set of a strongly plurisubharmonic exhaustion function. However, for of general shape, we construct counterexamples in any dimension . The key is a certain gluing lemma by means of which we extend any two holomorphic line bundles which are isomorphic on the intersection of their base spaces.
**Keywords: **Hartogs’ extension, holomorphic line bundles, gluing lemma
1 Introduction
The Hartogs’ extension theorem is one of the most distinctive results in several complex variables. Let () be a domain. Let be a compact subset such that is connected. Denote by the sheaf of holomorphic functions on .
Theorem 1.1**.**
(Hartogs’ extension theorem for holomorphic functions)* The restriction map*
[TABLE]
is bijective.
A proof using no techniques can be found in Merker-Porten’s paper [5].
Next, let be the sheaf of invertible holomorphic functions on . Arguing that a nowhere vanishing function extends holomorphically to as well as its inverse , and that transfers from to by the uniqueness principle, one deduces the
Corollary 1.2**.**
(Extension of invertible holomorphic functions)* The restriction map*
[TABLE]
is bijective.∎
Beyond functions, it is natural to ask whether for holomorphic line bundles, Hartogs’ type extension holds from to . If yes, is the extension unique modulo isomorphism?
Recall that there is a bijection between the set of isomorphic classes of holomorphic line bundles over , and the Picard group , constructed in the following way. Any holomorphic line bundle admits an open cover of together with local trivialization maps and transition maps . The data is a Čech 1-cocycle representing some element in Reciprocally, any element in can be expressed by some Čech 1-cocycle with respect to some open cover of valued in . The data (, ) gives a holomorphic line bundle.
Using these notations, we may restate our question more precisely.
Question 1.3**.**
Given a holomorphic line bundle over , does there exist a holomorphic line bundle over such that ? Equivalently, is the restriction map
[TABLE]
surjective? If yes, is it bijective?
A positive answer, under certain circumstances, was given by Fornaess-Sibony-Wold in [3].
Theorem 1.4**.**
(Extension across strictly pseudoconcave level sets)* Let () be a pseudoconvex domain with a strictly plurisubharmonic (psh) exhaustion function , i.e. for each , the sublevel set is compact in . Then every holomorphic line bundle over extends to . The extension is unique modulo isomorphism.*
Actually they proved a stronger version of this theorem, namely existence (resp. uniqueness) of an extension when the Levi form of has at least 3 (resp. 2) positive eigenvalues.
The proof of Theorem 1.4 uses (1) the exponential sequence and Cartan’s theorem B (2) the extension of holomorphic functions across a totally real plane and (3) Andreotti-Grauert theory. We will present the first two ingredients in Section 2 because we are going to use them later.
Now, let us come back to Question 1.3. For , Ivashkovich already presented in [4] a local counterexample (cex), but with not compact. In Section 3, we will briefly restate his construction, and by taking exponential, we will produce a domain and a compact through which some holomorphic line bundles do not extend.
Proposition 1.5**.**
There exists a bounded pseudoconvex domain equipped with a strictly psh function
[TABLE]
such that is a compact totally real -torus, and there exists a (nontrivial) holomorphic line bundle on having the property that there exists no holomorphic line bundle on with \widetilde{L}\big{|}_{\varOmega\backslash K}\cong L.
However, a similar construction in dimension , again with a compact of the same kind, would fall under the positive (known) extension Theorem 1.4.
Hence to really produce a cex to Hartogs’ type extension for holomorphic line bundles in all dimensions , the compact should not be of the shape , i.e. a sublevel set of a strictly psh exhaustion function.
In Section 4, we will perform an alternative construction. In (), for , we introduce the domain:
[TABLE]
which contains the -dimensional standard totally real torus:
[TABLE]
For small, will appear to be a thin Grauert tube around . We will check that the domain is relatively compact in the ball:
[TABLE]
centered at the origin and of radius . Also, we will take a small open ball centered at the point:
[TABLE]
as connecting the interior and the exterior of through a small hole at . Our main result is the
Theorem 1.6**.**
With the compact:
[TABLE]
the open set is connected, and there exists a (nontrivial) holomorphic line bundle on having the property that there exists no holomorphic line bundle on with \widetilde{L}\big{|}_{\varOmega\backslash K}\cong L_{\text{cex}}. Here ‘cex’ stands for ‘counterexample’
The way we construct this non-extendable is by using the following gluing lemma.
Lemma 1.7**.**
Let be two open subsets, be two holomorphic line bundles defined over and respectively. If are isomorphic as holomorphic line bundles, then there exists a holomorphic line bundle defined over such that .
A more general version of this gluing lemma, for holomorphic vector bundles, is stated and proved in subsection 4.1.
Note that in this lemma, we assume no geometrical condition on and no triviality of . The only condition is that . In particular, when , e.g. when is convex, this condition is always satisfied.
The picard group is nontrivial, which will be proved in Proposition 4.4. So we can take a nontrivial holomorphic line bundle over . As a consequence of Proposition 4.5 we show there exists a small ball centered at such that is convex. So in the gluing lemma, if we regard as and as , then is convex. Thus we can glue with a trivial line bundle over to obtain a line bundle over , which is connected by Proposition 4.7. Such is nontrivial since is. It cannot be extended to since .
V$$L_{\text{nt}}$$U$$p$$U_{p}
In dimension , the gluing lemma provides a way to extend holomorphic line bundles different from the method in Theorem 1.4.
In [3], the strongly psh exhaustion function is modified to become a nice Morse exhaustion function, also denoted by . For any and any holomorphic line bundle , defined over the super level set , they proved that for any point in the level set , there exists a small neighborhood of such that is trivial and can be extended trivially to , no matter is a critical point of the Morse function or not. Since the level set is compact, after finitely many steps, extends as over with some .
Keep extending until a local minimum of is reached. The minimum is an isolated point. There exists some small punctured ball centered at such that when , by a special case of Andreotti-Grauert theory, Proposition 12 in [1], which is also proved in [7]. Thus one can extend any holomorphic line bundle trivially across any such local minimum. This proves Theorem 1.4.
The crucial point above is the following uniqueness result, which a consequence of [3]. Let us call it ‘downward uniqueness’, since the isomorphism passes to a lower super level set.
Proposition 1.8**.**
(Downward uniqueness)* If are two holomorphic line bundles defined over that are isomorphic over with , then they are isomorphic over .*
\Gamma^{b}$$pacross a regular pointacross a critical pointp$$U_{p}$$q$$q_{1}$$q_{2}$$\Gamma^{c}$$\Gamma^{b}$$\Gamma^{a}$$\Gamma^{a}
However, by the gluing Lemma 1.7, we can lose uniqueness when we extend through compact sets having shapes different from . In our cex constructed in Section 4, the ball admits a strongly psh exhaustion function . Since is compact in , there exists some such that . We could restrict the non-extendable holomorphic line bundle , mentioned above, to , and extend to by Theorem 1.4. But in this way we will get a trivial line bundle, which does not agree with the initial bundle over . In other words, we have the following commutative diagram of restriction maps that are group homomorphisms {diagram} By Theorem 1.4, the map is bijective. But is not injective since the nontrivial line bundle and a trivial one over have the same restriction on . Consequently is not surjective.
non extendableL_{\text{triv}}$$\varOmega$$L_{\text{nt}}$$UFSW extensionextension by gluing
In conclusion, the map 2 is not always surjective, in any dimension .
Acknowledgments. The author adresses sincere thanks to Joël Merker for driving him to this problem and for useful discussions. The author also thanks an anonymous referee for pointing out minor mistakes in the first version.
2 Background
Now we present the ingredients (1) and (2) mentioned in the Introduction.
Theorem 2.1**.**
[Cartan’s theorem B]* Let be a Stein manifold, be a coherent analytic sheaf on . Then*
[TABLE]
A proof can be found in Cartan’s original paper [2]. Recall the exponential sequence
[TABLE]
of sheaves over induces an exact sequence of cohomologies
[TABLE]
When is stein, by Cartan’s theorem B we know . Moreover, if , for example when is contractible, then we get . So we have the following criterion:
Corollary 2.2**.**
Every holomorphic line bundle over a Stein contractible manifold is trivial.
In particular, every convex domain in () is Stein and contractible.
Corollary 2.3**.**
Every holomorphic line bundle over a convex domain in () is trivial.
The next ingredient is the extension of holomorphic functions across a totally real plane.
Theorem 2.4**.**
Let () be a domain, be a totally real plane. Then the restriction map
[TABLE]
is bijective.
A proof can be found in the first Chapter of Siu’s book [8]. We can also apply the argument in the proof of Corollary 1.2.
Corollary 2.5**.**
Under the same assumptions, the restriction map
[TABLE]
is bijective.
3 Compactification of Ivashkovich’s Counterexample
In this section we construct a cex in dimension 2. Let , be the standard coordinates of . For any , let be a convex bounded domain in . Let be a totally real plane in . Since contracts to , we have
We can represent a generator of this free -module explicitly by using the Čech cohomology. Take an open cover of with and . Then has 2 components, and . Let be a Čech 1-cocycle defined by , Then is a nontrivial 1-cocycle representing a generator of the module .
1y_{2}$$y_{1}111y_{2}$$y_{1}11\{y_{2}=y_{1}\}$$\{y_{2}=-y_{1}\}$$\{y_{2}=-y_{1}\}$$\{y_{2}=y_{1}\}$$U_{12}^{1}$$U_{12}^{2}$$U_{2}
Recall that the exponential sequence
[TABLE]
induces a long exact sequence
[TABLE]
By Corollary 2.5
[TABLE]
Since is simply connected, the map
[TABLE]
is surjective, thus in the long exact sequence (3), the map
[TABLE]
is also surjective. We have so , i.e. is injective. We know that the sequence
[TABLE]
is exact.
The generator maps to which is nontrivial since is injective. Since is not in the image of we know \delta\big{(}\frac{1}{2}\gamma([c])\big{)} represents a nontrivial holomorphic line bundle over , which cannot be extended to since .
Using Čech cohomology, the element can be represented by and \delta\big{(}\frac{1}{2}\gamma([c])\big{)} can be represented by . Denote this 1-cocycle by . We have , . Let be a holomorphic line bundle defined on , trivial on and and the transition function is defined by . Then is a nontrivial holomorphic line bundle. cannot be extended to , since by Corollary 2.3 every holomorphic line bundle over is trivial.
Now we will construct the following objects:
- •
a bounded pseudoconvex domain with a strongly psh exhaustion function ;
- •
some and some compact ;
- •
a holomorphic line bundle over which can not be extended to .
Recall . Consider the map
[TABLE]
This map is locally biholomorphic. It is bijective, hence biholomorphic from onto , when . When , the image is . We define as this open set. Actually is a Grauert tube around the totally real torus . It is a bounded pseudoconvex domain, as a special case of Proposition 4.4 with and . The function
[TABLE]
is a strongly psh exhaustion function of and .
Recall the covering of and the Čech 1-cocycle above. Notice that is constant along the -directions. In particular,
[TABLE]
whenever , , and . So induces a function well defined on the disjoint union with
[TABLE]
Here is an open cover of . This open cover, together with the transition function , defines a nontrivial holomorphic line bundle over .
Suppose can be extended to a holomorphic line bundle over . Note that is a biholomorphism between and its image . The pull-back gives a holomorphic line bundle defined over which extends . Here is a holomorphic line bundle defined over , since \varphi^{-1}\big{(}\varphi(D_{1})\backslash K_{0}\big{)}=D_{1}\backslash K. However, due to our discussion in Section 2, such is nontrivial hence cannot be extended across . This contradiction shows that cannot be extended to .
We can draw as a movie of its 3d-sections (when is fixed) in .
In fact, each 3d-section is obtained by rotating the 2d-section (when ) along the -axis (the dashed line).
We can also draw and in this way.
4 Counterexamples in general dimension
As announced in the Introduction, we will construct some ‘strange’ bundles which cannot be extended from to . The key idea is a certain gluing lemma describing ‘flexibility’ of holomorphic line bundles. Actually such lemma holds for holomorphic vector bundles.
4.1 Gluing lemma
Roughly speaking, holomorphic vector bundles have more ‘flexibility’ than holomorphic functions. Let () be a domain and be a non-empty open subset. If two holomorphic functions and in are equal over , then they are equal over . However, if two holomorphic vector bundles and over are isomorphic over , then they may not be isomorphic over in general. For example, let and be two non-isomorphic holomorphic line bundles over . For any , there exists a neighborhood (resp. ) of in where (resp. ) is trivial. So and are trivial over , another neighborhood of in . So they are isomorphic over a non-empty open subset of .
Lemma 4.1**.**
(Gluing lemma for holomorphic vector bundles)* Let be a complex manifold, let be two open subsets and let . For any integer , let be a holomorphic vector bundle of rank over . Let be a holomorphic vector bundle of rank over such that . Then there exists a holomorphic vector bundle of rank over such that and .*
Remark 4.2**.**
Denote by the sheaf of invertible matrices with coefficients in the sheaf of holomorphic functions. In particular, . Using the language of category theory, by the universal property of the fibre product, the following commutative diagram {diagram} induces a canonical map
[TABLE]
The gluing Lemma 4.1 states that is an epimorphism, by constructing a left inverse of .
Remark 4.3**.**
Note that we only have existence, but not uniqueness in general. That is to say, is not uniquely determined up to isomorphism by the information of and . When , a simple cex to uniqueness can be constructed by taking
[TABLE]
and with coordinates , with coordinates being trivial line bundles with the identifications
[TABLE]
for each . This defines the holomorphic line bundle , trivial over and . But and are not isomorphic whenever .
Proof of Lemma 4.1.
It suffices to consider the case where , , are non-empty. Denote the projection maps by and . Let be a trivialization of , be a trivialization of . We will use the notations
By trivializations of these vector bundles, we mean that is an open cover of , is an open cover of and
are homeomorphisms and the transition functions , defined by
[TABLE]
are holomorphic maps valued in , , satisfying the cocycle conditions:
[TABLE]
In fact, we can use the notation for the set of holomorphic sections of over where . It is indeed a free -module of rank . If we use as the standard basis of the -vector space , then is a set of nowhere vanishing holomorphic sections of which generate . So actually is a -coefficients invertible linear map such that for ,
[TABLE]
and the cocycle conditions are automatically satisfied.
In the language of Čech cohomology we would say that is represented by the open cover of and the 1-cocycle \{f_{i_{2},i_{1}}\}\in Z^{1}\big{(}\{U_{i}\},\mathcal{GL}_{r}(\mathscr{O})\big{)}. We have similar statements for \big{(}E_{V},\{V^{j}\},\{g^{j_{2},j_{1}}\}\big{)}.
Then is an open cover of trivializing and simultaneously, i.e. (resp. ) is a rank free -module generated by (resp. ). The isomorphism induces an isomorphism between the rank free -modules and . It is determined by h^{j}_{~{}i}\in H^{0}\big{(}W_{i}^{j},\mathcal{GL}_{r}(\mathscr{O})\big{)} such that for ,
[TABLE]
Use the notation . For any indices , , , we get the transition equations
[TABLE]
Now we define , a holomorphic vector bundle over . Note that is actually an open cover of . We let to be trivial on each and and define transition functions l\in Z^{1}\big{(}\{U_{i},V^{j}\},\mathcal{GL}_{r}(\mathscr{O})\big{)} by
[TABLE]
The cocycle conditions among (, , ) and (, , ) are satisfied because of (4) and (5). We only need to check the cocycle conditions among (, , ) and (, , ), i.e.
[TABLE]
But this can be achieved by taking or in (6) and using , . We have , because both bundles are given by the same transition functions with respect to the same open covering of . For the same reason . ∎
4.2 A Stein manifold with a nontrivial holomorphic line bundle
Take , . For any , define . Denote by the open ball centered at the origin of radius in .
Proposition 4.4**.**
For every ,
- (i)
* is bounded;* 2. (ii)
* is pseudoconvex with smooth boundary;* 3. (iii)
* is connected. In fact contracts to a -dimensional torus. Its Picard group is . In particular, carries a nontrivial holomorphic line bundle.*
Proof.
(i) Since
[TABLE]
we see that .
(ii) Actually the boundary . We know that is smooth on and .
[TABLE]
So is a regular value of , hence is smooth.
To prove that is pseudoconvex, we check the Levi-condition. For any and satisfying , we have
[TABLE]
Thus is pseudoconvex.
(iii) We claim that contracts to . To show this, we construct a contraction map
[TABLE]
where is a continuous map. Note that
[TABLE]
Then is a contraction map if for any and any we have
[TABLE]
If we take , then these conditions are satisfied and \operatorname{im}\big{(}H(z,1)\big{)}=\rho^{-1}(0)=\{|z_{j}|=1,j=1,\dots,n\}\cong T^{n}. We see is connected since is.
Now we calculate the Picard group . By (ii), is Stein and by Cartan’s theorem B, we have . Recall that the exponential exact sequence
[TABLE]
induces a long exact sequence
[TABLE]
Since the first and the last term vanish, we have
[TABLE]
Recall that by using a Mayer-Vietoris sequence we have for any simplicial complex and any . Hence . In particular is nontrivial since . ∎
4.3 Gluing process
Now we take , for example . The boundary is then given by the equation
[TABLE]
Proposition 4.5**.**
The real Hessian is positive definite at the point .
Proof.
For , we have
[TABLE]
So the real Hessian is
[TABLE]
where
[TABLE]
The real Hessian is positive definite if and only if for all , is positive definite. That is equivalent to
[TABLE]
for all . The first inequality is achieved since for all and all . For the second inequality, we calculate
[TABLE]
hence
[TABLE]
So at we have \det\big{(}H^{2\times 2}_{j}(p)\big{)}>0 for each . We conclude that is positive definite. ∎
Remark 4.6**.**
The condition is necessary and sufficient for the existence of some point in where the real Hessian is positive definite. This is because when , for any there exists at least one such that . Thus \det\big{(}H^{2\times 2}_{j}(p^{\prime})\big{)}\leq 0, hence is not positive definite.
At the point , since is positive definite and is smooth, there exists some open convex neighborhood of in (e.g. a sufficiently small open ball centered at ), such that is positive definite for all . Thus is strictly convex in , hence for any and any we have
[TABLE]
So and is also contained in since is convex. So . We proved that is convex.
Now we define , and . In fact we have .
Proposition 4.7**.**
The open set is connected.
To prove the proposition, we will use the language in Range’s book [6] Chap 3.7. We call a compact set a Stein compactum if it has a neighborhood basis of Stein domains.
Lemma 4.8**.**
For any bounded Stein compactum , the complement is connected.
Proof.
Since is bounded, there exists some such that . Thus the open set has an unbounded component containing .
Suppose is not connected and is another component, then is bounded. Also . Take . We have . Thus is an open neighborhood of . Since is a Stein compactum, there exists an open Stein neighborhood of contained in . The set is relatively compact in . The holomorphically convex hull of with respect to
[TABLE]
on one hand, should be relatively compact in since is Stein.
But on the other hand and is connected. Thus by Hartogs’ extension theorem for holomorphic functions we have and by maximal principle we have
[TABLE]
Hence . If is relatively compact in , so is . But since is a connected domain, it is pathly connected. We take a point and a path in connecting and . We get a subpath in approaching . Hence is not relatively compact in , a contradiction. ∎
Proof of Proposition 4.7.
In fact is a domain meeting both and . By Proposition 4.4 (iii) we know is connected. So it suffices to show that is connected. Note that the bounded compact set has a neighborhood basis of Stein domains . By Lemma 4.8 we know is connected. Since , we know is connected.∎
End of the proof of Theorem 1.6.
Take the trivial holomorphic line bundle over , take a nontrivial holomorphic line bundle over . Since is convex, by Corollary 2.3 we know the restrictions of and to are trivial, hence isomorphic. By the gluing Lemma 4.1 we get a holomorphic line bundle over , which is nontrivial since is. Thus . However, since is convex. Thus the restriction map
[TABLE]
cannot be surjective. In particular, cannot be extended to . ∎
p$$U_{p}$$G_{\epsilon}$$K=\partial G_{\epsilon}\backslash U_{p}$$\varOmega=B(2\sqrt{n}e^{\sqrt{\epsilon}})
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