
TL;DR
This paper characterizes polynomial automorphisms that preserve Green function level sets of Hénon maps in complex two-space, showing the uniqueness of automorphisms acting on associated Short c2^2 spaces and exploring the commutation of He9non maps with coinciding Green level sets.
Contribution
It provides a complete characterization of automorphisms preserving Green function level sets and establishes new properties of Short c2^2 spaces related to He9non maps.
Findings
Interior of non-zero sublevel sets of Green functions are Short c2^2 spaces.
No polynomial automorphism other than affine automorphisms acts on these spaces.
Coinciding Green level sets imply the He9non maps almost commute.
Abstract
For a H\'{e}non map in , we characterize the polynomial automorphisms of which keep any fixed level set of the Green function of completely invariant. The interior of any non-zero sublevel set of the Green function of a H\'{e}non map turns out to be a Short and as a consequence of our characterization, it follows that there exists no polynomial automorphism apart from possibly the affine automorphisms which acts as an automorphism on any of these Short 's. Further, we prove that if any two level sets of the Green functions of a pair of H\'{e}non maps coincide, then they almost commute.
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Further remarks on rigidity of Hénon maps
Ratna Pal
RP: Department of Mathematics, Indian Institute of Science Education and Research, Pune, Maharashtra-411008, India
Abstract.
For a Hénon map in , we characterize the polynomial automorphisms of which keep any fixed level set of the Green function of completely invariant. The interior of any non-zero sublevel set of the Green function of a Hénon map turns out to be a Short and as a consequence of our characterization, it follows that there exists no polynomial automorphism apart from possibly the affine automorphisms which acts as an automorphism on any of these Short ’s. Further, we prove that if any two level sets of the Green functions of a pair of Hénon maps coincide, then they almost commute.
1991 Mathematics Subject Classification:
Primary: 32H02 ; Secondary 32H50
The author is supported by National Post-Doctoral fellowship, SERB, India
1. Introduction
1.1. Background
For a polynomial in the complex plane, the Julia set is the complement of the open set in where the sequence form a normal family locally. The dynamical behavior of the points in the Julia set is extremely chaotic and in general the Julia set of a polynomial has a very complicated structure. It is easy to check that if two polynomials and commute, then their Julia sets coincide. Conversely, it follows from the work of Baker–Erëmenko [1] and Beardon [2] that if for two polynomials and of degree greater than or equal to , then
[TABLE]
where with and . The Julia sets of two polynomial in the complex plane, of degree greater than or equal to , coincide if and only if they commute upto a rigid motion in the complex plane. Now onwards, this property of Julia sets will be referred as a rigidity property of Julia sets.
Recently, in [7], an analogue of the above-mentioned rigidity phenomenon has been proved for the Hénon maps in which, by the classification theorem of Freidland–Milnor ([12]), is the most important class of automorphisms in from the point of view of dynamics. The class of Hénon maps consists of the polynomial automorphisms of of the form
[TABLE]
where
[TABLE]
with a polynomial of degree with highest degree coefficient and . The degree of is . Interested readers can look at [4], [5] and [6] for a detailed study of the dynamics of Hénon maps.
As in the case of polynomials in , one can give an analogous definition of Julia sets for Hénon maps in . For a Hénon map in , the Julia sets are defined as the complement of the open sets in where the sequence form normal families locally. Here denote the -fold iterates of and , respectively. It turns out that
[TABLE]
where
[TABLE]
the set of non-escaping points.
Definition 1.1**.**
Let be an automorphism on . A set is called completely invariant under the map if .
Note that are completely invariant under . In [7], for a Hénon map , we proved the following rigidity theorem.
Known Theorem 1 (KT1).
Let be an automorphism of which keeps the non-escaping sets completely invariant, then is a polynomial automorphism. If , then either or is a Hénon map. Further, shares a close relation with , viz.,
[TABLE]
where a linear map of the form with . Also,
[TABLE]
for some and for some affine automorphism in .
The same techniques, which are used to prove the above theorem, gives the following version of rigidity theorem for Julia sets of Hénon maps.
Known Theorem 2 (KT2).
Let and be two Hénon maps such that their Julia sets coincide, i.e, , then (1.2) and (1.3) hold. Conversely, if and be two Hénon maps satisfying
[TABLE]
where with and , then .
The goal of the present article is to improve and extend the rigidity result of Hénon maps obtained in [7].
1.2. Main Results
Let be a Hénon map. Now if we start with a polynomial automorphism of such that , then we can recover the same relations between and as in (1.2) and (1.3) (see (KT1)). This shows that the condition in (KT1) is redundant if we start with a polynomial automorphism in . With these words, we present our first theorem.
Theorem 1.2**.**
Let be a Hénon map in and be a polynomial automorphism of which keeps completely invariant. Then,
- (a)
if , is of the form
[TABLE]
with and
- (b)
if , then either or is a Hénon map and accordingly there exist such that
[TABLE]
Further, there exists such that
[TABLE]
The Green functions of a Hénon map is defined as follows:
[TABLE]
for all . Here . The functions are continuous, plurisubharmonic, non-negative on and pluriharmonic on vanishing precisely on .
In case of Theorem 1.1, [7], since we start with an automorphism which keeps both invariant, a direct analysis of the possible forms of (using Jung’s theorem, [13]) shows that (or ) must be a Hénon map. Consequently, it follows immediately that (or ). But in the present case, since only the invariance of is available, a similar analysis using Jung’s theorem does not a priori gurantee that is a Hénon map, rather we get that (and hence ) is a regular (hence Hénon-type) map (see Section 2 for the definitions of regular maps and Hénon-type maps). Then it requires some work to show that the Green functions of and coincide, i.e., or (one can define Green functions of regular and Hénon-type maps in the similar fashion as in the case of Hénon maps and it is discussed in Section 2). Then we use Lamy’s theorem ([14]), to show that some iterates of and (or ) coincide, i.e., there exist such that (or ) which shows that (or ) is indeed a Hénon map. In fact, in sprit Theorem 1.2 is similar to Theorem 5.4 in [14].
For each , let (see [10])
[TABLE]
Note that for , the set has empty interior and thus
[TABLE]
Further define
[TABLE]
for . The functions are continuous, plurisubharmonic, non-negative on and pluriharmonic on vanishing precisely on . It can be shown that for a Hénon map , the non-escaping sets are the zero level sets of the Green functions , i.e.,
[TABLE]
Clearly, . Theorem 1.2 gives a characterization of automorphisms in in terms of , which keep completely invariant. The next theorem shows that in case , there exists no automorphism except possibly the affine automorphisms which keeps completely invariant.
Theorem 1.3**.**
Let be a Hénon map in . If is a polynomial automorphism in such that
[TABLE]
for some , then is an affine automorphism of the follwing form
[TABLE]
In [11], Fornæss showed the existence of so called Short . A domain which can be expressed as an increasing union of unit balls (upto biholomorphism) such that Kobayashi metric vanises identically in , but allows a bounded (above) pluri-subharmonic function, is called Short . For a Hénon map , it can be shown that the interior of any non-zero sublevel set of the Green function , i.e.,
[TABLE]
is a Short , for any (see [11]). Since is essentially an increasing union of Euclidean balls in whose automorphism group is well-understood, it is an interesting task to understand the automorphism group of . Since any polynomial automorphism in which acts as an automorphism of will keep completely invariant, a simple application of Theorem 1.3 gives the following proposition.
Proposition 1.4**.**
For any , there exists no polynomial automorphism of except possibly the affine automorphisms of the form
[TABLE]
which acts as an automorphism of .
It follows from Theorem 1.1 in [7] that if the zero level sets of Green functions of two Hénon maps (or the Julia sets) coincide, then they almost commute. We prove that the same is true if any two level sets of the Green functions of a pair of Hénon maps coincide.
Theorem 1.5**.**
Let and be two Hénon maps of degree and , respectively such that
[TABLE]
for some , then
[TABLE]
Here with and where and .
Before we start proving our main theorems, we gather a few preparatory stuff in the next section. Proofs of Theorem 1.2, Theorem 1.3 and Theorem 1.5 appear in Section 3, Section 4 and Section 5, respectively.
2. Preliminaries
Readers are referred to [4], [5], [6] and [10] for a detailed study of the material in this section.
For , let us first define a filtration of as follows:
[TABLE]
For a given Hénon map of degree , there exists such that
[TABLE]
[TABLE]
[TABLE]
Recall that
[TABLE]
As defined in the previous section, the Green functions
[TABLE]
for . The functions are continuous, plurisubharmonic, non-negative on and pluriharmonic on vanishing precisely on . By construction, the following functorial property holds:
[TABLE]
Both have logarithmic growth near infinity, i.e., there exists such that
[TABLE]
in , and
[TABLE]
in . Hence
[TABLE]
for all and for some . The supports of the positive closed currents
[TABLE]
are and is an invariant measure for .
Recall that, for each , we define (see [10])
[TABLE]
and recall that for . Further define
[TABLE]
for . The functions are continuous, plurisubharmonic, non-negative on and pluriharmonic on vanishing precisely on . Clearly, satisfy the same inequalities as in (2.1), (2.2) and (2.3). Further, The supports of the positive closed currents
[TABLE]
are .
The following theorem proved by Dinh–Sibony (see [10]) have been crucially used to establish the main theorems of the present article.
Theorem 2.1**.**
The current is the unique closed positive current of mass supported on . For any , the current is a closed positive current of mass supported on .
Any Hénon map extends meromorphically to with an isolated indeterminacy point at and similarly, extends to with a lone indeterminacy point at . The class of Hénon maps form the most important class of regular maps in .
For a polynomial in , let and be the meromorphic extensions of and to , respectively. Let and be the inderminacy points of and in , respectively.
Definition 2.2**.**
We say that is regular if .
For a regular map in of degree , the Green functions
[TABLE]
for . We define
[TABLE]
The functions are continuous, plurisubharmonic, non-negative on and pluriharmonic on vanishing precisely on . By construction, the following functorial property holds:
[TABLE]
where is the degree of . Further, the functions have logarithmic growth near and the similar inequalities as in (2.1), 2.2 and (2.3) hold for . See [18] (Section 2) for the following proposition.
Proposition 2.3**.**
The points and are the attracting fixed points for and , respectively. Futhermore, for any point ,
[TABLE]
as .
The supports of the positive closed currents
[TABLE]
are .
The following theorem is due to Dinh–Sibony ([10])
Theorem 2.4**.**
The current is the unique closed current of mass supported on the sets and .
Definition 2.5**.**
A polynomial automorphism in is called Hénon-type if
[TABLE]
where is composition of Hénon maps and is a polynomial automorphism in .
Clearly, a regular map is a Hénon-type map.
Let be the collection of all pluri-subharmonic functions in . Set
[TABLE]
where .
Definition 2.6**.**
For a subset , the function
[TABLE]
for , is called the pluricomplex Green function of .
One can look at Proposition 8.4.10 in [16] for the proof of the following proposition.
Proposition 2.7**.**
The pluricomplex Green functions of the sets and of the sets are .
3. Proof of Theorem 1.2
Suppose that . Then we show that
* is a regular automorphism:*
That is a regular automorphism is obtained following the same line of arguments as in the proof of Theorem 1.1 in [7], which shows that any polynomial automorphism preserving the non-escaping sets is essentially a Hénon map. In present case, due to unavilability of invariance of under , we need to strech the arguments given in [7] accordingly to conclude that is a regular polynomial automorphism.
By Jung’s theorem (see [13]), can be written as a composition of affine maps and elementary maps in . Recall that an elementary map is of the form
[TABLE]
where and is a polynomial in . We consider following cases.
Case (i): Let
[TABLE]
for some where the ’s are non-elementary affine maps and the ’s are non-affine elementary maps. Without loss of generality, suppose that
[TABLE]
Let
[TABLE]
for . Now consider the maps
[TABLE]
and
[TABLE]
where , and . Note that where for any . Expressing in a similar way, it follows that
[TABLE]
Now and are elementary maps, and respectively, say. Therefore,
[TABLE]
where and the ’s are polynomials in of degree at least for . Since and are Hénon maps, it follows that is an indeterminacy point of . But . Thus, in this case, is regular map with as the forward indeterminacy point. Note that the point is the indeterminacy point of for some .
Case (ii): Let
[TABLE]
for some . That can not be of this form, provided , follows exactly the same set of arguments as in the proof of Theorem 1.1 in [7] (or case (ii) in Theorem 1.3 in the present paper).
Case (iii): Let
[TABLE]
for some . Note that has a form as in Case (i). Since also keeps invariant, it follows that is a regular map with as the indeterminacy point. Hence, is a regular map
Case (iv): Let
[TABLE]
for some . For simplicity, we work with
[TABLE]
and as in the previous cases, we write
[TABLE]
and thus,
[TABLE]
Note that both and are Hénon maps. Thus is a Hénon map. Therefore, and consequently, will intersects since is the limit point of in . This implies, since . This is clearly a contradiction. Therefore, can not be of this form.
Thus we prove that is a regular map. Further, the indeterminacy point of is either or and accordingly the indeterminacy point of is either or .
Green functions of and coincide:
Note that in the previous section, we have shown that if , then the forms appeared in Case (i) and Case (iii) are the two possible forms of . Now in Case (i), is the indeterminacy point of . Hence is the attracting fixed point for (see Proposition 2.3, Section 2). Now we have . If , then as where is the indeterminacy point of . But where . Therefore, . Using Dinh–Sibony rigidity result (see Theorem 2.4, Section 2) for regular maps, we can conclude that
[TABLE]
Since is a Hénon map, is the pluricomplex Green function of (see 2.7, Section2). Further we claim that * is the pluricomplex Green function of .* For sufficiently small, let
[TABLE]
which is clearly away from the point . By Theorem 8.4 in [10],
[TABLE]
for some and for all . Fix and consider the complex line . For sufficiently large
[TABLE]
in (see (2.1)) for some . Now note that
[TABLE]
and therefore is bounded at infinity along the line . Further, since and the function is harmonic in which vanishes identically on , it follows that
[TABLE]
Since
[TABLE]
for some and for all and vanishes identically on ,
[TABLE]
in . Therefore, the Green function of and the Green function of coincide, i.e.,
[TABLE]
in .
In the other case, that is, if is the indeterminacy point of , using the similar set of arguments as before, it follows that
[TABLE]
Some iterates of and agree:
Note that since are regular maps, they are Hénon-type maps, i.e., are conjugate to some Hénon maps. Further, without loss of generality, we assume that . Therefore, by Theorem. 5.4 in [14], it follows that there exists such that
[TABLE]
* is a Hénon map: *
Since root of a Hénon map is also a Hénon map (see Theorem. 4.1, [9]), it follows from (3.2) that is a Hénon map.
Some iterates of commutes with :
It follows from (3.2) that
[TABLE]
for some .
Description of linear automorphisms which keeps invariant:
Let be an affine automorphism of the form
[TABLE]
such that . Thus if we take a sequence which converges to , then
[TABLE]
as , which in turn gives that . Hence
[TABLE]
Now since and , it follows from previous description that is Hénon and thus . Therefore
[TABLE]
Let , then
[TABLE]
Now note that if , then since for all . Choose such that and as . As in (3.3), we have
[TABLE]
If , then it follows from (3.4) that as which is a contradiction since . Thus . Now
[TABLE]
Since , applying same argument as before . Thus we get . We have already proved that if , then and thus we have . So finally we get that
[TABLE]
with .
Corollary 3.1**.**
Let and be two Hénon maps such that , then there exist such that .
4. Proof of the Theorem 1.3
Before starting the proof of 1.3, we state the following propostion which we shall require later. The proof of the proposition follows exactly as the proof Proposition 2.7, hence we omit the proof.
Proposition 4.1**.**
For any , the functions are the pluricomplex Green functions of the sets and of the sets .
Proof of the Theorem 1.3:
Let be a polynomial automorphism of such that , for some . Then we prove the following equalities:
[TABLE]
for . Note that if (4.1) holds, then with . The idea of the proof is due to Buzzard–Fornæss ([9]).
Since , it follows that on . For any and consider
[TABLE]
for . The function is harmonic outside the compact set and thus it is harmonic outside a large disk of radius . Let be the harmonic conjugate of in with period . Therefore
[TABLE]
is holomorphic in . Since
[TABLE]
the function has at most a pole at infinity and thus,
[TABLE]
where is a holomorphic function in having a removable singularity at infinity. Taking absolute values and then log, we get the following:
[TABLE]
in . Therefore,
[TABLE]
in and since in ,
[TABLE]
in .
We prove that is independent of . To prove this, we work in a small neighbourhood of a fixed and consider large enough. Let be two distinct points near and let be the straight line segment joining them. Then
[TABLE]
is a smooth real 2-surface with two boundary components namely,
[TABLE]
We get
[TABLE]
applying Stokes’ theorem. Here the last equality holds due to the pluriharmonicity of on . Thus is locally constant and therefore constant everywhere. Let us write for all .
Now we have in . Further, the difference is harmonic at each for which with a removable singularity at infinity and vanishes for . Therefore, for each . Applying the same argument we get that in . Since the difference is pluriharmonic in and it vanishes in , we have in . Using similar arguments we get that
[TABLE]
in where .
Since for any , in (see [10]), if , using the similar arguments as in Theorem 1.2, we get that
[TABLE]
for . In case , we prove that
* is a regular automorphism:*
To prove that is a regular polynomial automorphism, we shall use the similar set of arguments as in the first part of the proof of Theorem 1.2. As before, the following cases arise:
Case (i): Let
[TABLE]
for some where the ’s are non-elementary affine maps and the ’s are non-affine elementary maps. As it is shown in Theorem 1.2, in this case , is a regular map.
Case (ii) Let
[TABLE]
for some . For simplicity, assume that . As in the previous case we can write
[TABLE]
where and . That can not be of this form follows exactly as in the proof of Theorem 1.1 in [7]. However, since in our present case is invariant under instead of the invariance of the non-escaping set (as in Theorem 1.1 in [7]), we need to modify our proof accordingly.
Note that for any given , there exists sufficiently large such that
[TABLE]
Let for each , there exists . Now by Lemma 6.3 in [10], in . Therefore as which contradicts the fact that for each . Thus (4.2) follows.
Claim: There exists a sequence with for all .
If no such sequence exists, then we can choose a sequence such that is bounded by a fixed constant for all and as . Without loss of generality, we choose sufficiently large such that and both are contained in where . Suppose that the Hénon map is of the form: with . Then there exists a subsequence such that and thus
[TABLE]
Therefore, the sequence is bounded which is a contradiction.
Since in ,
[TABLE]
Thus
[TABLE]
for all with .
Note that and
[TABLE]
for all . Now since and can be chosen sufficiently small, we choose them such that . Thus the last inequality follows.
Since as , it follows that
[TABLE]
and
[TABLE]
for sufficiently large .
Thus for a sequence with , it turns out that for sufficiently large . Thus
[TABLE]
and
[TABLE]
Hence
[TABLE]
where . Now since ,
[TABLE]
for sufficiently large and as . By (4.3), we get that
[TABLE]
where as which contradicts (4.4). Thus cannot be of this form.
Case (iii): Let
[TABLE]
for some . Note that has a form as in Case 1. Since also keeps invariant, it follows that is a regular map. Hence, is a regular map with as its indeterminacy point for some .
Case (iv): Let
[TABLE]
for some . For simplicity, we work with
[TABLE]
As in the previous cases, we can write
[TABLE]
and thus,
[TABLE]
Note that both and are Hénon maps. Thus is a Hénon map. Therefore, and consequently, will intersects since is the limit point of in . This implies, since . This is clearly a contradiction. Therefore, can not be of this form.
Thus we prove that is a regular map. Furthermore, the point is the indeterminacy point either of or of . Without loss of generality, let be the indeterminacy point of .
* never remains invariant under an automorphism with and :*
From (4.1), it follows that
[TABLE]
in . Comparing both sides of (4), we get that
[TABLE]
for all such that . In particular for sufficiently large , we have that for all .
Since
[TABLE]
for all such that , it follows that
[TABLE]
Also,
[TABLE]
for all such that , it follows that
[TABLE]
Therefore,
[TABLE]
This implies
[TABLE]
since .
Claim:
Since , by Prop. 2.3, it follows that . By rigidity results of Dinh–Sibony (see Theorem 2.1 and Theorem 2.4), it follows that
[TABLE]
By Prop. 4.1, the function is the pluricomplex Green function of . Again as in Theorem 1.2, we can show that is the pluricomplex Green function of and thus
[TABLE]
Now since vanishes identically on , it follows that also vanishes identically on . Since
[TABLE]
we have that
[TABLE]
Now by Theorem 2.1, it follows that for each positive , the set supports a positive closed (1,1) current of mass 1. On the other hand supports a unique positive closed (1,1) current of mass 1. Contradiction! This finishes the proof.
Thus must be an affine automorphism. Since and in , applying similar arguments as before, we can show that
[TABLE]
5. Proof of the Theorem 1.5
Let us first state the following propositon (see [7]) which we require to prove Theorem 1.5. Suppose is of the form (1.1).
Proposition 5.1**.**
For a given Hénon map , there exist non-vanishing holomorphic functions such that
[TABLE]
in where
[TABLE]
with the convention that when , and
[TABLE]
in where
[TABLE]
with the convention that when . Further,
[TABLE]
and
[TABLE]
The functions are called the Böttcher functions corresponding to the Hénon map .
Proof of the Theorem 1.5:
Since , by Prop. 4.1, we have in , i.e.,
[TABLE]
in . Therefore,
[TABLE]
in , for sufficiently large. Thus by Prop. 5.1, it follows that
[TABLE]
with in . Also since
[TABLE]
for , we have
[TABLE]
which in turn gives
[TABLE]
in . Again, using (5.2), we have
[TABLE]
in . Using 5.3, we get
[TABLE]
which implies that
[TABLE]
where .
By Proposition 5.1,
[TABLE]
and similarly,
[TABLE]
Thus,
[TABLE]
on . Now since
[TABLE]
and
[TABLE]
as in , it follows that for any fix ,
[TABLE]
Since the expression on the left of the above equation is a polynomial in , it follows that
[TABLE]
for all . Therefore,
[TABLE]
in .
We again use Böttcher coordinates to recover the relation between the first components of these maps. As in the previous case, similarly one can show that
[TABLE]
Thus using Prop. 5.1, we get that
[TABLE]
and
[TABLE]
for all . Note that is an open neighbourhood of in . As in (5.9), it can be shown that
[TABLE]
where with . Hence
[TABLE]
on . Consequently, there exists (an appropriate -th root of ) such that
[TABLE]
on where .
Note that for a fixed , there exists sufficiently small such that
[TABLE]
intersects and contains in its boundary. Choose such that . Now since , it follows that
[TABLE]
as .
Using (5.10),
[TABLE]
as . The expression on the left is a polynomial in for each fixed and thus
[TABLE]
for all . Using the similar argument as in the previous case, we get
[TABLE]
in .
Hence using (5.6) and (5.11), we get
[TABLE]
where with and with and .
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