An unstable three dimensional KAM torus for the quintic NLS
Trung Nguyen

TL;DR
This paper constructs a three-dimensional invariant torus for the quintic nonlinear Schrödinger equation on the circle, demonstrating its linear instability, while showing two-dimensional tori are stable, using Birkhoff and KAM techniques.
Contribution
It introduces the existence of a linearly unstable three-dimensional KAM torus for the quintic NLS, contrasting with the stability of two-dimensional tori, via a novel application of Birkhoff and KAM methods.
Findings
Three-dimensional KAM torus is linearly unstable.
Two-dimensional tori are always linearly stable.
Application of Birkhoff and KAM techniques to NLS.
Abstract
We consider the quintic nonlinear Schr{\"o}dinger on the circle. By applying a Birkhoff procedure and a KAM theorem, we exihibit a three dimension invariant torus that is linearly unstable. In comparison, we also prove that two dimensional tori are always linearly stable.
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Taxonomy
TopicsQuantum chaos and dynamical systems · Nonlinear Photonic Systems · Nonlinear Waves and Solitons
**An unstable three dimensional KAM torus for the quintic NLS
**
**Nguyen Thuy Trung
NANTES - 2018
**
Contents
Abstract: We consider the quintic nonlinear Schrödinger on the circle. By applying a Birkhoff procedure and a KAM theorem, we exihibit a three dimension invariant torus that is linearly unstable. In comparison, we also prove that two dimensional tori are always linearly stable.
1. Introduction
We consider the non linear Schrödinger equation on the torus
[TABLE]
This is an infinite dimensional dynamic system on the phase space endowed with the symplectic form The flow preserves the Hamiltonian
[TABLE]
and also, the mass and the momentum
[TABLE]
Let us expand and in Fourier basis:
[TABLE]
In this variables, the symplectic structure becomes The Hamiltonian h of the system reads
[TABLE]
and the mass and the momentum
[TABLE]
here denotes the momentum of the monomial We can rewrite equation (1.1) into a system of infinite equations
[TABLE]
In this article, we are interesting in the dynamic behavior near to [math] of solution of (1.1) in two specific forms:
[TABLE]
and
[TABLE]
or more precisely the persistence of two and three dimensional linear invariant tori:
[TABLE]
with
The first result of this paper is stated for two dimensional tori.
Theorem 1.1**.**
Fix and There exists and for there exists asymptotically of full measure (i.e. when ) such that for equation (1.1) admits a solution of the form
[TABLE]
where is analytic function from to satisfying uniformly in
[TABLE]
Here is a nonresonant vector in that satisfies
[TABLE]
Furthermore, this solution is linearly stable.
For three dimensional tori, it is too complicated111the difficulty is to verify KAM hypotheses to consider the general case. In order to apply KAM theorem 2.2, we avoid the case where there is solving equation 222 in this case, the linear part of the mode would create the instability, and the energy would soon transfer mainly between four modes , which was studied carefully in [5].
[TABLE]
In this paper, we will give here an example of and such that for small enough the torus is linearly unstable. For , denote
[TABLE]
Theorem 1.2**.**
Fix and . There exists and for there exists asymptotically of full measure (i.e. when ) such that for equation (1.1) admits a solution of the form
[TABLE]
where is analytic function from to satisfying uniformly in
[TABLE]
Here is a non resonant vector in that satisfies
[TABLE]
Furthermore, this solution is linearly unstable.
In order to prove theorems 1.1, 1.2, we follow a general stratery developed in [6] for a system of coupled nonlinear Schrödinger equations on the torus. Firstly, we apply a Birkhoff normal form procedure (Proposition (3.1)) to kill the non resonances of . Then we use sympletic changes of variables to diagonalize the effective part into the form of . The hyperbolic directions of torus are revealed in this step. Readers are suggested to take a look at the original statement of KAM theorem in [6] for further understanding.
The study of finite dimensional tori in an infinite dimensional phase space was pioneered by J. Bourgain [1] in 1988. However, the existence of unstable KAM tori in one dimensional context was first proved by B. Grébert and V. Rocha [6] in 2017, where they studied the system of coupled nonlinear Schrödinger equations on the torus. For the equation (1.1), in case of supported maninly in four modes , which satisfy such a relation in (1.6), the study of solutinon was studied carefully in [5] and [7]. In particular, in [7] they proved the recurrent exchange of energy between those modes.
Acknowledgement: I wish to thank Professor Bernoit Grébert for motivating me to publish this paper with numerous suggestions and discussions. I also wish to thank Le Quoc Tuan and Lan Anh for computations in the appendix A.
2. KAM theorem
In order to proof theorems 1.1 and 1.2, we recall a KAM theorem stated in [6].
We consider a Hamiltonian where is a quadratic Hamiltonian in normal form
[TABLE]
Here
- •
is a parameter in which is a compact in the space
- •
are the actions corresponding to the internal modes
- •
and are respectively infinite and finite sets, is the disjoint uninon
- •
are the external modes endowed with the standard complex symplectic structure The external modes decomposes in a infinite part corresponding to elliptic directions, which means for , and a finite part corresponding to hyperbolic directions, which means for
- •
has a clustering structure where are finite sets of cardinality If we denote and for we set
- •
the mappings
[TABLE]
are smooth;
- •
is a perturbation, small compare to the integrable part
Linear space Let we consider the complex weighted space
[TABLE]
where
[TABLE]
Similarly we difine
[TABLE]
with the same norm. We endow and with the symplectic structure with
A class of Hamiltonian functions. Denote On the space
[TABLE]
we define the norm
[TABLE]
For we denote
[TABLE]
For and we set
[TABLE]
We will denote points in as Let be a function333 regularity with respect to in the Whitney sense, real holomorphic in the first variable , such that for all
[TABLE]
and
[TABLE]
are real holomorphic functions. We denote by this set of functions. For we define
[TABLE]
and
[TABLE]
Jet functions For any we define its jet as the following Taylor polynomial of at and
[TABLE]
Infinite matrices For the elliptic variables, we denote by the set of infinite matrices such that maps linearly into . We provide with the operator norm
[TABLE]
We say that a matrix is in normal form if it is block diagonal and Hermitian, i.e.
[TABLE]
In particular, if is in normal form, its eigenvalues are real.
Normal form A quadratic Hamiltonian function is on normal form if it reads
[TABLE]
for some vector function , some matrix functions on normal form and is a matrix symmetric in the following sense:
Poisson brackets The Poisson brackets of two Hamiltonian functions is defined by
[TABLE]
Remark 2.1*.*
A function is preserved under the flow if and only if it commutes with i.e. By this, we have
[TABLE]
Hypothesis A0 There exists a constant such that
[TABLE]
Hypothesis A1
[TABLE]
Hypothesis A2 There exists such that for all close to in norm and for all
- (1)
either
[TABLE]
or there exists a unit vector such that
[TABLE] 2. (2)
for all either
[TABLE]
or there exists a unit vector such that
[TABLE] 3. (3)
for all and either
[TABLE]
or there exists a unit vector such that
[TABLE] 4. (4)
for all
[TABLE]
Theorem 2.2** (KAM theorem).**
Assume that hypothesis A0, A1, A2 are satisfied, commutes with and Let there exists a constant such that if
[TABLE]
then there exists a Cantor set asymptotically of full measure (i.e. when ) and there exists a symplectic change of variables such that for all
[TABLE]
with on normal form, and with Furthermore there exists such that for all
[TABLE]
*As a dynamic consequence is an invariant torus for and this torus is linearly stable if and only if *(see [6] ).
Here, the matrix is of the form,
[TABLE]
where is identity matrix of size .
Remark 2.3*.*
In [6], they constrained in a restricted class instead of using commutation of with since they considered a system of coupled NLS equation with more complicated nonlinearities.
3. Applications
The Birkhoff normal form procedure. We recall a result proved in [5].
Proposition 3.1**.**
There exist a canonical change of variable from into such that
[TABLE]
where
- •
* is the term *
- •
* is the homogeneous polynomial of degree 6*
[TABLE]
*where *
**
- •
* is the remainder of order 10, i.e a Hamiltonian satisfying*
[TABLE]
for all
- •
* is close to the identity: there exists a constant such that*
[TABLE]
for all
Henceforth, since we do not care about constant, we shall write in order to say
Persistence of 2 dimensional tori.
Firstly, we want to study the persistence of the two dimensional invariant torus for equation (1.1) for small. Choose
where and is a small parameter.The canonical symplectic structure now becomes
[TABLE]
with and
Let
[TABLE]
and its neighborhood
[TABLE]
We want to study the persistence of torus . Indeed we have
[TABLE]
By Theorem 3.1 we have
[TABLE]
We see that the term contributes to the effective part and the term contributes to the remainder term So we just need to focus on the term Let us split it:
[TABLE]
Here are homogeneous polynomial of degree 6 which contains respectively external modes of order is an homogeneous polynomial of degree 6 contains external modes of at least order 3,this term contributes the remainder term.
Thank to Lemma 2.2 on [5], the term We have
[TABLE]
where the notation ”jet free” means that the remaining Hamiltonian has a vanishing jet. For the term there are two cases that can happen.
**First case
**We assume that there is no solution444it happens when q-p is odd for
[TABLE]
Hence
[TABLE]
Hence
[TABLE]
where the effective Hamiltonian reads
[TABLE]
where
[TABLE]
and
[TABLE]
The remainder term reads
[TABLE]
In order to work on we use the rescaling
[TABLE]
The symplectic structure now becomes
[TABLE]
By definition, this change of variables send to a neighborhood of Since is close to identity, the change of variables sends to By this change of variables, we have
[TABLE]
where is a constant, and are defined by
[TABLE]
By Theorem 3.1, We check that the rest part of is in By construction, commutes555since h commutes with , and all the changes of variables are symplectic with and . For estimating the norm of notice that contains only term of order at least 3 in and is of order in so that
[TABLE]
and
[TABLE]
So we have proved:
Theorem 3.2**.**
Assume that for there do not exist solving the equation (3.1). Then, the change of variables is real holomorphic, symplectic and analytically depending on satisfying
- •
**
- •
* puts the Hamiltonian in normal form in the following sense:*
[TABLE]
where is a constant and the effective part of the Hamiltonian reads
[TABLE]
with
[TABLE]
and
[TABLE]
- •
The remainder term belongs to and satisfies
[TABLE]
and
[TABLE]
**Second case
**Assume that there are666in this case, is of the form solving (3.1), hence
[TABLE]
For the second term, let us rewrite it
[TABLE]
The effective part of this term is just given by
[TABLE]
Notice that
[TABLE]
This gives us a clue that the above term does not effect to the stability of the solution.
In order to kill the angles, we introduce the symplectic change of variables defined by
[TABLE]
By this change of variables
[TABLE]
Here is a constant given by
[TABLE]
The effective Hamiltonian reads
[TABLE]
It is on normal form
[TABLE]
where and are defined as in the first case except
[TABLE]
In order to diagonalize , we use a symplectic change of variables of the form
[TABLE]
with Then can be diagonalized as
[TABLE]
where
[TABLE]
The remainder term reads
[TABLE]
with
Using the rescaling introduced in (3.2), we get
[TABLE]
Since and is closed to identity, we have The study of is the same as in the previous case. Then we get:
Theorem 3.3**.**
Assume that satisfy the equation 3.1. The change of variables is a real holomorphic transformations, analytically depending on satisfying
- •
**
- •
* puts the Hamiltonian in normal form in the following sense:*
[TABLE]
where is a constant and the effective part of the Hamiltonian reads
[TABLE]
with
[TABLE]
and
[TABLE]
- •
The remainder term belongs to and satisfies
[TABLE]
and
[TABLE]
Now we can finish the proof of Theorem 1.1.
Proof of Theorem 1.1. By Theorem 3.2 and 3.3, there exists a symplectic change of variables , on a asymtotical set puts the Hamiltonian in normal form that satisfies,(see the appendix A) the hypotheses of KAM theorem 2.2 for , and So by KAM theorem, since the hyperbolic set is empty, the torus777here we choose
[TABLE]
is linear stable. Here we denote .
Persistence of 3 dimensional tori. Assume that
[TABLE]
where and is a small parameter. The canonical symplectic structure now becomes
[TABLE]
with and
The same as in two-modes case, we have
[TABLE]
We see that as in the previous case, the term contributes to the effective Hamiltonian and the term contributes to the remainder term So we just need to focus on the term Let us split it:
[TABLE]
Here, is homogeneous polynomial of degree 6 which just contains inner modes ; , are homogeneous polynomials of degree 6 which contain outer modes of order and . is an homogeneous polynomial of degree 6 contains outer modes of at least order this term contributes the remainder term. We have:
[TABLE]
Even if it looks a bit more complicated, we deal with as in the previous case. We assume that there is no solution to (1.6), so that For we have
[TABLE]
with and The sets are given by
[TABLE]
Assume that are disjoint888this is the case for the example considered in theorem 1.2 i.e. there is no s or t appearing in two of these sets. We shall deal with each term one by one (in case it’s not empty).
The first term just depends on the actions, and we have
[TABLE]
The second and the fourth term are similar, since their effective parts are all of the form
[TABLE]
The idea to deal with these two terms is the same as that in the two-modes case. Since
[TABLE]
these terms do not affect the stability of the flow. Since are disjoint, and as in the two-modes case, a change of variables that used to deal with a pair only affect that modes, i.e the changes of variables commute. We call the composition of all changes of variables used to deal with the sets and .
For the third term, its effective parts are of the form
[TABLE]
where For explicitness, we will consider the case and solve the following equation
[TABLE]
then An example for this could be In order to kill the angles, we introduce the symplectic change of variables defined by
[TABLE]
The effective part related to is of the form
[TABLE]
where
[TABLE]
and
[TABLE]
Denoting and we diagonalize (3.4) by the symplectic change of variables999
[TABLE]
where
[TABLE]
Then (3.4) becomes
[TABLE]
where We see that two modes correspond to hyperbolic direction if and only if , a condition related to the choice of Precisely, for , we have while for we have and . Hence, there exist (choose ) such that for we have We call the composition of changes of variables related to
For the set , without loss of generality, assume that
[TABLE]
Then, using the symplectic change of variables defined by
[TABLE]
The effective part related to becomes
[TABLE]
where
[TABLE]
If we can diagonalize (3.6) into with satisfying otherwise we rewrite it into however . We call the composition of all changes of variables related to
By construction of and definition of , the composition mapping into Using the rescaling introduced in (3.2), as the previous case we get
Theorem 3.4**.**
Assume that the equation (1.6) with has no solution in and are disjoint. The change of variables is a holomorphic, symplectic transformation, and analytically depending on , satisfying
- •
**
- •
* puts the Hamiltonian in normal form in the following sense:*
[TABLE]
where is a constant and the effective part of the Hamiltonian reads
[TABLE]
where
[TABLE]
- •
* is the disjoint union corresponds to elliptic part, and corresponds to hyperbolic part; *
- •
the remainder term belongs to and satisfies
[TABLE]
and
[TABLE]
Proof of theorem 1.2. By theorem 3.4, for and , there exists a symplectic change of variables on puts the Hamiltonian in normal form that satisfies,(see appendix A) assumptions of KAM theorem 2.2 for , and So by KAM theorem, the torus
[TABLE]
is linearly unstable.
4. Appendix A
In this appendix, we will verify the hypothesis A0, A1, A2 of Theorem 2.2 for the Hamiltonian in our applications. The hypothesis A0, A1 is trivial, so we focus on A2.
4.1. Two-modes case
The first case In this case, we have and the other estimates are trivial. For the hypothesis A2, we recall that
[TABLE]
and
[TABLE]
Let and then we have
[TABLE]
and
[TABLE]
Choosing , we get the hypothesis A2 Since the estimate of small divisor is followed. To estimate the small divisors and we use the fact that f commute with both the mass and momentum We just need to control small divisors and whenever and , respectively. We have for the mass and momentum:
[TABLE]
and
[TABLE]
By conservation of we have
[TABLE]
Therefore, for A2 we just have to study the case In this situation
[TABLE]
This term is greater than except the cases and The conservation of gives us
[TABLE]
For this implies which is excluded.
We consider the small divisor in the same way. The conservation of the mass gives us and then by computation we get The conservation of the momentum gives us We have
[TABLE]
where and very small for We see that , so if and only if Combined with conservation of the momentum, this gives
for the case
[TABLE]
for the case
[TABLE]
for the case
[TABLE]
for the case
[TABLE]
for the case
[TABLE]
In all these cases, we get which is excluded.
The second case We see that and are all the same as the previous case except and .We remind that
[TABLE]
Thank to Lemma 2.2 in [5], is in form of Without loss of generality, we can assume that101010using the change of variables j=j-p so we have For and by conservation the momentum, we just need to consider the case when satisfies i.e. which is not an integer. For , again by conservation of the momentum, we have
[TABLE]
i.e.
[TABLE]
This system has two solutions for , either () or (), which are both excluded.
4.2. Three modes case.
It is too complicated to verify all the possibility, in this appendix we just do with an implicit example where which we are interesting in Theorem 1.2. In this situation, we have are all empty, and . Recall that
[TABLE]
and
[TABLE]
The hypothesis and are trivial. For hypothesis A2 , let , and then we have
[TABLE]
This term is greater than . Since the estimate of small divisor is followed.
For hypothesis A2 choose then we have
[TABLE]
and
[TABLE]
For by conservation of the mass, we just need to estimate this divisor in the case then by computation we have
[TABLE]
For again we have by conservation of the mass, hence
[TABLE]
The set For : we have
[TABLE]
so that
[TABLE]
For by the conservation of the mass and the momentum, we just need to estimate this small divisor if
[TABLE]
This equation system has no solution111111with the implicit form of in appendix B, we can solve for general .
The set For and again by the conservation of the mass and the momentum, we have
[TABLE]
It is easy to see that has no solution in For we have and . If then we have and which can not both happen. If then we have and which again can not happen. For because of changes of variables, we have
[TABLE]
with By the conservation of the mass we just need to consider the case then
[TABLE]
By the conservation of the momentum we have
[TABLE]
The solution of this equation system that closest to the origin is and with such a big is far greater than
5. Appendix B
In this appendix, we try to solve the set in general
[TABLE]
Let it becomes
[TABLE]
This give us hence Assume more that have no common divisor except Let is a prime common divisor of and i.e. then Since we have i.e. hence Let and with is prime divisor of Then, and we need i.e. By this, Since have no common divisor except we have Assume that and then and In general, we have
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