Magnetic Double-Wells:
Lower Bounds on Tunneling
\(\,\)
with an Appendix by Tal Shpigel

Charles L. Fefferman, Jacob Shapiro
Department of Mathematics, Princeton University
Michael I. Weinstein
Department of Applied Physics and Applied Mathematics,
and Department of Mathematics, Columbia University


Abstract

We present lower bounds on tunneling rates in magnetic double well systems for generic values of the coupling constant. This result was recently announced in [1] and complements our recent counter-example construction [2] which exhibits vanishing tunneling for specially-constructed double-well potentials.

1 Introduction↩︎

Quantum tunneling in double-well systems is a cornerstone phenomenon in mathematical physics. In a non-magnetic setting, a particle localized in one of two deep and well-separated potential wells has a nonzero probability of tunneling to the other well. The tunneling time is inversely proportional to the difference between the lowest two eigenvalues of the double-well Hamiltonian, a quantity which is (typically) exponentially small in the well-depth and well-separation. This paradigm, developed both heuristically and rigorously, goes back to the classical literature and underlies a great variety of effects in physics and chemistry; see, for example, [3] in physics or [4], [5] in mathematics. The latter two works derive a lower bound on the eigenvalue splitting assuming the single-well potential has a single non-degenerate minimum. In [6] lower bounds are derived assuming rather that the single-well is compactly supported.

In contrast, adding a constant magnetic field fundamentally alters the picture. Early works on the magnetic case resolved the case of weak magnetic fields, confirming agreement with the non-magnetic case [7]. For strong magnetic fields, magnetic translations endow localized states with nontrivial complex phases, yielding interference among tunneling paths. For example in [8] we showed that for double-well magnetic systems whose single-well is radial, the magnetic field effect leads to an exponentially smaller tunneling amplitude. However, such systems with radial single-well potential were shown to still possess a strictly positive lower bound on tunneling [8][10].

Recently, we announced in [1] and then provided a complete proof in [2], that the magnetic setting admits a phenomenon that has no analogue in the non-magnetic case: exact vanishing of tunneling in a double-well system built from a suitable non-radial single-well potential. We constructed a family of (non-radial) single-well potentials such that, in a strong constant magnetic field and for large well depth, the associated symmetric double-well has zero eigenvalue splitting between its two lowest energy levels, so that tunneling is entirely eliminated. Moreover, by varying parameters within this family one can flip the parity of the ground state (from even to odd), via a coalescence and re-emergence of two distinct eigenvalues. A discussion of implications for potential applications to quantum materials is also discussed in [1].

In this paper, we prove a second result announced in [1]:
The vanishing of the tunneling is a non-generic phenomenon; for couplings, \(\lambda>0\), outside of a set of density zero, one obtains a lower bound on the tunneling.

Let us begin by introducing a precise framework. We work with the Hilbert space \(L^2(\mathbb{R}^2)\). On \(L^2(\mathbb{R}^2)\), we consider magnetic Schrödinger operators of the form \[\begin{align} \left(P-\frac{1}{2}b\lambda X^\perp\right)^2+\lambda^2 V(X)\;, \end{align}\] a perturbation by an electric potential of the Landau Hamiltonian \[\label{eq:HLandau} H^{\rm Landau}_\lambda := \left(P-\frac{1}{2}b\lambda X^\perp\right)^2.\tag{1}\] Here, \(P\equiv-\operatorname{i}\nabla\) is the momentum operator, \(X\) is the position operator, with \[\begin{align} X^\perp\equiv(-X_2,X_1)\, . \end{align}\] The parameter \(\lambda>0\) is a sufficiently large coupling constant which controls simultaneously the scaling of the magnetic field strength (which grows as \(\lambda\)), and the depth of the potential \(\lambda^2V:\mathbb{R}^2\to(-\infty,0]\). The parameter \(b>0\) controls the relative strength of the magnetic field \(b\lambda\) to the well-depth \(\lambda^2\min V\).

Such Hamiltonians describe the dynamics of an electron bound to a two-dimensional plane and subject to a constant perpendicular magnetic field. We consider simultaneously two main operators of this type: the single-well Hamiltonian \(h_\lambda\) and double-well Hamiltonian \(H_\lambda\). They are defined as \[\begin{align} \label{eq:single-well32Hamiltonian} h_{\lambda,b} := \left(P-\frac{1}{2}b\lambda X^\perp\right)^2+\lambda^2 v(X) \end{align}\tag{2}\] and \[\begin{align} \label{eq:double-well32Hamiltonian} H_{\lambda,b} := \left(P-\frac{1}{2}b\lambda X^\perp\right)^2+\lambda^2 v(X+d)+\lambda^2 v(X-d)\,. \end{align}\tag{3}\] Here \(v:\mathbb{R}^2\to[-1,0]\) is a smooth compactly supported (say within \(B_a(0)\) for some \(a>0\)) single-well potential and \(d\equiv(d_1,0)\in\mathbb{R}^2\setminus\Set{0}\) is the displacement of each well taken, without loss of generality, to lie along the \(1\)-axis.

We assume that \(v\) is chosen so that when \(\lambda\) is sufficiently large, \(h_{\lambda,b}\) has ground state energy \(e_{0,\lambda}=-\lambda^2+\mathrm{o}(\lambda^2)\) which has distance to the remainder of the spectrum with at least order of magnitude \(c_{\mathrm{gap}}\), a constant which is independent of \(\lambda\). It follows that \(E_{0,\lambda}\leq E_{1,\lambda}\), the two lowest eigenvalues of \(H_\lambda\), are also at a distance of at least order \(c_{\rm gap}\) from the remainder of the spectrum of \(H_\lambda\). We are chiefly concerned with the double-well eigenvalue splitting defined by \[\begin{align} \Delta_0(\lambda) := E_{1,\lambda} - E_{0,\lambda}\,. \end{align}\]

An emergent quantity related to \(\Delta_0(\lambda)\) is the hopping coefficient, which will also play a role in the present analysis. Its definition is given by \[\begin{align} \label{eq:hopping32coefficient} \rho_0(\lambda) &:= \left\langle\widehat{R}^{-d}\varphi_{0,\lambda}\left(H_\lambda-e_{0,\lambda}\mathbb{1}\right)\widehat{R}^{d}\varphi_{0,\lambda}\right\rangle\\ &= \lambda^2\int_{x\in\mathbb{R}^2} \overline{\varphi_{0,\lambda}(x+d)}v(x+d) \exp\left(\operatorname{i}b\lambda d_1 x_2\right)\varphi_{0,\lambda}(x-d)\operatorname{d}{x}\nonumber \end{align}\tag{4}\] Here \(\varphi_{0,\lambda}\) is the \(L^2-\) normalized ground state of \(h_\lambda\); \(\widehat{R}^{ d }\) is Zak’s magnetic translation operator [11], given by \[\begin{align} \label{eq:magnetic32translations}\widehat{R}^z := \exp\left(-\operatorname{i}z\cdot \left(P+\frac{1}{2}b\lambda X^\perp\right)\right)\qquad(z\in\mathbb{R}^2)\,. \end{align}\tag{5}\] Since \(z\cdot x^\perp = -z^\perp\cdot x\), \[\begin{align} (\widehat{R}^{ z }f)(x) \equiv \exp\left(\operatorname{i}\frac{b\lambda}{2} x \cdot z^\perp\right) f(x-z)\qquad(x,z\in\mathbb{R}^2\,,f:\mathbb{R}^2\to\mathbb{C})\,. \end{align}\]

Below we use the notion of a set of density zero; we say that \(S\subseteq(0,\infty)\) has zero density iff \[\begin{align} \lim_{M\to\infty}\frac{\mu\left(S\cap[0,M]\right)}{M} = 0 \end{align}\] where \(\mu\) is the Lebesgue measure.

Our main theorem is

1. Let \(v:\mathbb{R}^2\to[-1,0]\) be of class \(C^3(\mathbb{R}^2)\) and supported within \(B_a(0)\), where \(a>0\). Further assume that \(v(0)=-1\) is a unique global minimum which is non-degenerate. Let \(\varepsilon>0\). Assume that \(2d_1>Ca\) for some \(C\) sufficiently large but independent of \(\lambda\), where \(d=(d_1,0)\) is the displacement parameter of the double-well; see 3 .

Then, there is a constant \(b_\varepsilon>0\) such that for all \(b\in(0,b_\varepsilon)\), the following holds:

  1. There exists a set of density zero \(Z(\varepsilon,v)\subseteq(0,\infty)\) such that \[\begin{align} \label{eq:pointwise32lower32bound32on32rho} \left|\rho_0(\lambda)\right| \geq \exp\left(-\lambda^{1+\varepsilon}\right)\quad\textrm{for all}\quad \lambda\in(0,\infty)\setminus Z(\varepsilon,v)\;, \end{align}\qquad{(1)}\] and \[\begin{align} \label{eq:pointwise32lower32bound32on32Delta} \Delta_0(\lambda) \geq \exp\left(-\lambda^{1+\varepsilon}\right)\quad\textrm{for all}\quad \lambda\in(0,\infty)\setminus Z(\varepsilon,v)\;. \end{align}\qquad{(2)}\]

  2. In fact, there exists some \(\Lambda<\infty\) and a discrete set \(\Set{\lambda_k}_{k\ge1}\subseteq(0,\infty)\) such that \[\begin{align} \label{eq:density32of32zeros} \sum_{k=1}^\infty \lambda_k^{-\left(1+\varepsilon\right)}<\infty\qquad(\varepsilon>0)\,. \end{align}\qquad{(3)}\] and such that \(\rho_0\) and \(\Delta_0\) are non-zero on \(\left[\Lambda,\infty\right)\setminus\Set{\lambda_k}_k\).

  3. **Averaged counterpart to item 1:
    For any \(\varepsilon>0\) there exists some \(b_\varepsilon>0\) such that for all \(b\in(0,b_\varepsilon)\) and some \(C(\varepsilon,b,d_1)<\infty\) such that there exists some \(\lambda_\star(\varepsilon)<\infty\) such that for all \(\lambda\geq\lambda_\star(\varepsilon)\), \[\begin{align} \label{eq:avg32lower32bound32on32rho} \frac{1}{\lambda}\int_{\lambda}^{2\lambda} -\log\left(\left|\rho_0(\widetilde{\lambda})\right|\right)\operatorname{d}{\widetilde{\lambda}} \leq C(\varepsilon,b,d_1)\; \lambda^{1+\varepsilon} \end{align}\qquad{(4)}\] and \[\begin{align} \label{eq:avg32lower32bound32on32Delta} \frac{1}{\lambda}\int_{\lambda}^{2\lambda}-\log\left(\left|\Delta_0(\widetilde{\lambda})\right|\right)\operatorname{d}{\widetilde{\lambda}} \leq C(\varepsilon,b,d_1)\; \lambda^{1+\varepsilon}\,. \end{align}\qquad{(5)}\]

2. Throughout our analysis, \(\varepsilon>0\) is fixed once and for all as an arbitrarily small independent parameter. One may be tempted to take \(\varepsilon\to0^+\) as \(\lambda\to\infty\), for example, examining the role of \(\varepsilon\) below in 20 one may be tempted to take \(\varepsilon\sim\frac{1}{\lambda^{2}}\) which would have improved our lower bounds to \[\begin{align} \Delta_0(\lambda) \gtrsim \exp\left(-c \lambda\right)\left(1+o(1)\right)\qquad(\lambda\to\infty)\,. \end{align}\] Unfortunately this is not possible throughout. See e.g., 54 . There, we need to take \(b\) sufficiently small dependent on \(\varepsilon\) (in fact \(\varepsilon\sim b\)) uniformly in \(\lambda\).

3. Instead of assuming that \(\left|\arg(\lambda)\right|<\frac{\pi}{2}-\varepsilon\) and \(b\in(0,b_\varepsilon)\), let us suppose that \(b\in(0,b_{\rm max})\) and \(\left|\arg(\lambda)\right| < \varepsilon(b_{\rm max})\), with \(b_{\rm max}\) large and \(\varepsilon(b_{\rm max})\ll 1\).

Then, we believe that our analytic continuation arguments would go through with small changes. In place of upper bounds of the form \(\exp\left(\left|\lambda\right|^{1+\varepsilon}\right)\) on the relevant analytic function, we would find instead upper bounds \(\exp\left(\left|\lambda\right|^{K(b_{\rm max})}\right)\) for a constant \(K(b_{\rm max})\gg 1\).

Unless \(\rho_0(\lambda)\) and \(\Delta_0(\lambda)\) vanish identically for the given \(b\), that would imply lower bounds of the form \[\begin{align} \left|\rho_0(\lambda)\right|,\left|\Delta_0(\lambda)\right| > \exp\left(-\lambda^{K(b_{\rm max})}\right) \end{align}\] for \(\lambda\) outside a set of density zero.

Joint analyticity in \((b,\lambda)\) for \(\left|\arg(\lambda)\right|,\left|\arg(b)\right|<\varepsilon(b_{\rm max})\) would imply that \(\rho_0(\lambda),\Delta_0(\lambda)\) vanish identically as a function of \(\lambda\) at most for finitely many \(b\in(0,b_{\rm max})\).

We haven’t carried this out, and we know no way to rule out the existence of \(b\) for which, say, \(\rho_0(\lambda)=0\) for all large \(\lambda\).

1.1 Rough sketch of the proof↩︎

  • The key is to prove that, up to a \(\lambda\)-dependent normalization factor, \(\rho_0(\lambda,b)\) and \(\Delta_0(\lambda,b)\) are analytic in a region \[\begin{align} \Omega_{\Lambda,\varepsilon}:=\Set{z\in\mathbb{C}|\Lambda<\left|z\right|\quad{\rm and}\quad\left|\arg\left(z\right)\right|<\frac{\pi}{2}-\varepsilon}\,. \end{align}\] contained within the open right half plane. Here \(\varepsilon>0\) is a fixed arbitrarily small parameter and \(\Lambda>0\) is chosen sufficiently large after a finite number of conditions to be specified below. Further, we show that the above functions are bounded from above on \(\Omega_{\Lambda,\varepsilon}\) by \(\lambda\mapsto\left|\lambda\right|^{k}\exp(C b \left|\lambda\right|)\) for some universal \(k,C\).

  • Fix some \(\lambda_\star\in \Omega_{\Lambda,\varepsilon}\cap\mathbb{R}\). Then, by lower bounds of hopping coefficients and the splitting in non-magnetic systems, [4][6], we have strictly positive lower bounds on \(|\rho_0(\lambda_\star,b=0)|\) and \(|\Delta_0(\lambda_\star,b=0)|\). Therefore, by continuity, we have strictly positive lower bounds on \(|\rho_0(\lambda_\star,b)|\) and \(|\Delta_0(\lambda_\star,b)|\) for all \(b\in(0,b_\star)\) with \(b_\star\) sufficiently small (dependent on the choice of \(\lambda_\star\)).

  • Given (1) and (2) we apply the following complex analysis lemma (see 21 below), together with bounds on the normalization factor for real \(\lambda\), to establish that for fixed \(b\in(0,b_\star)\), \(|\rho_0(\lambda,b)|\) and \(|\Delta_0(\lambda,b)|\) satisfy the desired lower bounds for all real \(\lambda\in\Omega_{\Lambda,\varepsilon}\cap\mathbb{R}\) except possibly for \(\lambda\) in an exceptional set of density zero.

    4 (Complex analysis lemma). Let \(\alpha\in(0,1]\) and \[\begin{align} \Gamma_\alpha := \Set{z\in\mathbb{C}:-\alpha\pi/2<\operatorname{Arg}(z)<\alpha\pi/2}\,. \end{align}\] Here \(\operatorname{Arg}(z)\) is the principal value, taking values \(-\pi <\operatorname{Arg}(z)\le \pi\). Let \(F:\Gamma_\alpha\to\mathbb{C}\) be analytic such that for some given \(\beta\in(0,\infty)\) we have \[\begin{align} \left|F(1)\right|\geq\operatorname{e}^{-\beta} \end{align}\] and such that for some analytic nowhere-zero* function \(U:\Gamma_\alpha\to\mathbb{C}\) we have \[\begin{align} \left|F(z)\right| \leq \left|U(z)\right|\qquad(z\in\Gamma_\alpha)\,. \end{align}\]*

    Then there is constant \(C<\infty\) (independent of \(\alpha,F\) and \(\beta\)) such that for all \(R>2^\alpha\), \[\begin{align} \frac{1}{R}\int_{t=R}^{2 R}-\log\left(\left|F(t)\right|\right)\operatorname{d}{t}&\leq C\alpha 2^{1/\alpha}\left(\beta+\log\left(\left|U(1)\right|\right)\right) R^{1/\alpha}+\\ &\qquad+\frac{1}{R}\int_{t=R}^{2R}-\log\left(\left|U(t)\right|\right)\operatorname{d}{t}\,. \end{align}\] as well as \[\begin{align} \frac{1}{R}\int_{t=R}^{2R}\left|-\log\left(\left|F(t)\right|\right)+\log\left(\left|U(t)\right|\right)-t^{1/\alpha}\mu_0\right|\operatorname{d}{t} \overset{R\to\infty}{=}o\left(R^{1/\alpha}\right) \end{align}\] for some \(\mu_0\geq0\).

  • Hence the proof of 1 boils down to establishing analytic continuation properties of \(\rho_0(\lambda)\) and \(\Delta_0(\lambda)\) to \(\Omega_{\Lambda,\varepsilon}\), as well as upper bounds.

  • An obstruction to analyticity? We first observe that for real \(\lambda\) large, the ground state of \(h_\lambda\), \(\varphi_\lambda\), is well-approximated by the normalized ground state, \(\varphi_\lambda^{\rm MHO}\), of the magnetic harmonic oscillator Hamiltonian. Therefore, for all \(\lambda\) real and sufficiently large, \(\varphi_\lambda\), the ground state of \(h_\lambda\) is given by a Riesz projection: a contour integral of \(\zeta\mapsto \big(h_\lambda-\zeta\mathbb{1}\big)^{-1} \varphi_\lambda^{\rm MHO}\) (up to normalization). In the contour integral, \(\zeta\) varies over a circle centered at \(e_\lambda\) of radius say half the distance to the second eigenvalue of \(h_\lambda\).

    Now, while \(\lambda \mapsto \varphi_\lambda^{\rm MHO}\) has an analytic continuation for \(\lambda\in\Omega_{\Lambda,\varepsilon}\), the mapping \(\lambda\mapsto \big(h_\lambda-\zeta\mathbb{1}\big)^{-1} \in\mathcal{B}(L^2(\mathbb{R}^2))\), does not. Indeed, \(h_\lambda\) is a relatively compact perturbation of \(H^{\rm Landau}_\lambda\), and the resolvent of the latter does not have an analytic continuation off the real axis; see [12] and the discussion in 29.

  • The remedy: We note that the above Riesz projection representation of \(\varphi_\lambda\), up to normalization, works just as well if we replace \(\varphi^{\rm MHO}_\lambda\) by \(\chi_B\varphi^{\rm MHO}_\lambda\), where \(\chi_B\) denotes the indicator to any compact \(B\subseteq\mathbb{R}^2\), just as long as the resulting vector is not perpendicular to \(\varphi_\lambda\). Due to the explicit Gaussian form of \(\varphi_\lambda^{\rm MHO}\), non-orthogonality is guaranteed as long as \(B\) contains any small disc centered at the origin. In this representation, the resolvent of \(h_\lambda\) acts on a function with compact support. Analyticity of \(\varphi_\lambda\) (up to normalization) then follows from a lemma in which we prove that the mapping \[\begin{align} \Omega_{\Lambda,\varepsilon}\cap\mathbb{R}\ni\lambda\mapsto \big(h_\lambda-\zeta\mathbb{1}\big)^{-1}\chi_B\in\mathcal{B}(\chi_B L^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2)) \end{align}\] continues to an analytic function on \(\Omega_{\Lambda,\varepsilon}\) with exponential upper bounds.

1.2 Consequences and outlook.↩︎

As stated in 1, for fixed \(b>0\) sufficiently small and all \(\lambda\) outside a set of density zero, we obtain the pointwise lower bounds ?? ?? and their averages ?? ?? ; the sparsity estimate ?? excludes persistent exact cancellations. Together with 24 , this shows that, on the real axis and away from a discrete set, \(\Delta_0(\lambda)\) and \(|\rho_0(\lambda)|\) are never zero.

We mention some natural questions to consider: (i) Can our smallness assumption on the magnetic parameter, \(b\), be relaxed? (ii) Can the exponent in our main theorem: \(1+\varepsilon\), for any \(\varepsilon>0\), be sharpened to \(1\)? With such an improvement, could one then extend the work of [13] on the tight binding reduction in strongly bound and strongly magnetic systems to generic double wells? (iii) What is the precise dependence of the lower bounds of \(\Delta_0\) and \(\rho_0\) on the well-separation parameter, \(d_1\), and what is the leading term in their asymptotics in the generic case? (iv) Our results concern the splitting of the lowest two eigenvalues of the magnetic double well Hamiltonian. These eigenvalues perturb from and lie below the first Landau level. Do analogous results hold for higher Landau levels? (v) Can our results be extended to non-compactly supported single wells and systems with weak disorder, and three dimensions? Can the regularity assumptions on \(v\) be relaxed?

1.3 Organization of this paper.↩︎

2 develops the analytic setup for the hopping coefficient \(\rho_0\) and the splitting \(\Delta_0\), proves analyticity on wedge-type regions in \(\mathbb{C}\), and reduces the double–well problem to a question concerning a \(2\times 2\) matrix. 3 develops a general complex-analytic result, culminating in 21, which facilitates the generic lower bounds of 1. 4 deals with the mesoscopic annuli construction used for the parametrix presented in 2. Background on pseudodifferential operators is presented in 5, and the partition-of-unity statements are in 6. The Landau resolvent for complex magnetic fields and the obstruction to a global analytic continuation are treated in 7. Finally an independent appendix, contributed by Tal Shpigel, 8 establishes resolvent analyticity and off–diagonal decay for the anisotropic magnetic harmonic oscillator needed throughout.

1.4 Notation and conventions.↩︎

  1. \(\chi_B\) denotes the indicator function of the set \(B\subseteq\mathbb{R}^2\). \(\chi_B(X)\) is the projection operator on \(L^2(\mathbb{R}^2)\) onto the subspace of functions supported within \(B\).

  2. \({\cal B}(X)\) is the space of bounded linear operators \(X\to X\) for a Banach space \(X\), and \(\mathcal{B}(X\to Y)\) denotes the space of bounded linear operators \(X\to Y\).

  3. \(h_{\lambda,b}=h_\lambda\), the single-well magnetic Hamiltonian; see 2 .

  4. \(H_{\lambda,b}=H_\lambda\), the double-well magnetic Hamiltonian; see 3 .

  5. \(\rho_0(\lambda)=\rho(\lambda)\), the magnetic hopping coefficient; see 4 .

  6. \(\Delta_0(\lambda) = \Delta(\lambda) = E_1(\lambda)-E_0(\lambda)\), the magnetic double-well eigenvalue splitting.

  7. If \((x,p)\mapsto a(x,p)\) is a smooth symbol, we write \(\operatorname{Op}\left(a\right)\) for the corresponding pseudo-differential operator.

  8. \(\mathbb{S}^1\equiv\Set{z\in\mathbb{C}|\left|z\right|=1}\).

  9. Throughout, \(\Lambda>0\) is a minimal sufficiently large threshold that insures that for any \(\left|\lambda\right|\geq\Lambda\) our standing hypotheses hold. \(\Lambda\) is chosen after finitely many constraints and is thus some finite constant dependent on \(v\) and the constants in our assumptions. \(b>0\) is an independent parameter that encodes the relative strength of the magnetic field compared to the potential well depth. We are generally assuming that \(b>0\) is less than a small enough constant, but is independent of \(\Lambda\) (and of \(\lambda\) of course). In particular, we assume no lower bound on \(b>0\).

    As such, an expression like \(\exp\left(C b \left|\lambda\right|\right)\) may well be of order \(1\) and so may not dominate polynomial factors in \(\left|\lambda\right|\). Hence in principle one would have to keep track of all polynomial powers of \(\left|\lambda\right|\) in addition to exponential expressions, if they include in the exponent a constant proportional to \(b\) (most of our upper bounds do).

    Instead of keeping explicit track of explicit polynomial powers of \(\left|\lambda\right|\) throughout, we write \[\begin{align} A \lesssim \left|\lambda\right|^{\sharp}\exp\left(C b \left|\lambda\right|\right) \end{align}\] to indicate \[\begin{align} A \leq \left|\lambda\right|^k \exp\left(C b \left|\lambda\right|\right) \end{align}\] where \(k\) is a universal constant and \(C\) depends only on the potential \(v\). In different occurrences, \(k\) and \(C\) may denote different constants. For instance, \[\begin{align} A \lesssim \left|\lambda\right|^{\sharp}\exp\left(C b \left|\lambda\right|\right) \land B \lesssim \left|\lambda\right|^{\sharp}\exp\left(C b \left|\lambda\right|\right) \Longrightarrow AB \lesssim \left|\lambda\right|^{\sharp}\exp\left(C b \left|\lambda\right|\right)\,. \end{align}\]We follow the same convention when estimates involve \(\Lambda\) instead of \(\left|\lambda\right|\).

Acknowledgements↩︎

CF was supported in part by NSF grant DMS-1700180. JS was supported in part by NSF grant DMS-2510207. MIW was supported in part by NSF grants DMS-1908657, DMS-1937254, DMS-2510769 and Simons Foundation Math + X Investigator Award # 376319 (MIW). Part of this research was carried out during the 2023-24 academic year, when MIW was a Visiting Member in the School of Mathematics - Institute of Advanced Study, Princeton, supported by the Charles Simonyi Endowment, and a Visiting Fellow in the Department of Mathematics at Princeton University. The authors wish to thank Antonio Cordoba and David Huse for stimulating discussions. We thank P.A. Deift and J. Lu for their careful reading of the [1] manuscript, and insightful comments and questions.

2 Proof of the main theorem, 1↩︎

2.1 The analyticity of the hopping coefficient \(\lambda\mapsto\rho_0(\lambda)\)↩︎

In order to lighten up the notation, from this point forward we shall drop all zero subscripts from objects (which in the introduction denoted an object’s association with ground states) unless we need to make a distinction. Thus, we make the replacements \(\rho_0(\lambda)\mapsto\rho(\lambda),\varphi_{0,\lambda}\mapsto\varphi_\lambda\) etc. We also suppress the \(b\) dependence from our notation for all objects.

To prove the main theorem, we shall invoke the complex analytic 21 below, whose main inputs, beyond analyticity in a wedge, are a lower bound at a single point as well as a global exponential upper bound.

Let \(\varepsilon\in(0,\frac{\pi}{2})\) and \(\Lambda\in(0,\infty)\) be given and consider the intermediate region \[\begin{align} \label{eq:Omega-annulus} \Omega_{\Lambda,2\Lambda,\varepsilon}:=\Set{z\in\mathbb{C}|\Lambda<\left|z\right|<2\Lambda\quad{\rm and}\quad\left|\arg\left(z\right)\right|<\frac{\pi}{2}-\varepsilon} \end{align}\tag{6}\] as well as \[\begin{align} \Omega_{\Lambda,\varepsilon}:=\Set{z\in\mathbb{C}|\Lambda<\left|z\right|\quad{\rm and}\quad\left|\arg\left(z\right)\right|<\frac{\pi}{2}-\varepsilon}\,. \end{align}\]

Our main goal now is to show that the map \[\begin{align} \Omega_{\Lambda,\varepsilon}\cap\mathbb{R}\ni \lambda \mapsto \rho(\lambda) \in \mathbb{C} \end{align}\] has an analytic continuation to the domain \(\Omega_{\Lambda,\varepsilon}\). Due to the complex conjugation in the expression 4 for \(\rho_0(\lambda)\), we introduce an equivalent expression which agrees 4 for real \(\lambda\) and is natural for seeking an analytic extension of \(\rho_0(\lambda)\) to complex \(\lambda\): \[\begin{align} \rho(\lambda) &:=\langle \widehat{R}^{-d}\varphi_{_{\color{red}\overline{\lambda}\normalcolor}}, \left(H_\lambda-e_{\lambda}\mathbb{1}\right)\widehat{R}^{d}\varphi_{\lambda} \rangle\\ &= \lambda^2\int_{x\in\mathbb{R}^2} \overline{\varphi_{_{\color{red}\overline{\lambda}\normalcolor}}(x+d)}v(x+d) \exp\left(\operatorname{i}b\lambda d_1 x_2\right)\varphi_{\lambda}(x-d)\operatorname{d}{x}\,. \end{align}\] To prove analyticity of \(\rho(\lambda)\) on \(\Omega_{\Lambda,\varepsilon}\), it clearly suffices to show that the map \[\begin{align} \Omega_{\Lambda,\varepsilon}\cap\mathbb{R}\ni \lambda \mapsto \varphi_{\lambda} \in L^2(\mathbb{R}^2) \end{align}\] continues analytically to \(\Omega_{\Lambda,\varepsilon}\).

Our general strategy is as follows. Let \(\Phi\in L^2(\mathbb{R}^2)\) be any trial function which is selected so that it is not perpendicular to \(\varphi_{\lambda}\) and introduce the normalization factor \[C_\lambda := \langle \varphi_\lambda, \Phi \rangle,\quad \lambda>\Lambda.\] Let \(\xi\in\mathbb{C} \mapsto z_\lambda(\xi)\) sweep out circle within which \(e_\lambda\) is the only eigenvalue of \(h_\lambda\) and which is of distance \(\lambda\) from the second eigenvalue of \(h_\lambda\), uniformly in large \(\lambda\); see 10 below. For real and large \(\lambda\), we have the following expression for the \(L^2(\mathbb{R})^2\) normalized ground state of \(h_\lambda\): \[\begin{align} \label{eq:Riesz32projection} \varphi_{\lambda} &= \frac{1}{C_\lambda} \left(\frac{\operatorname{i}}{2\pi}\oint_{\xi\in\mathbb{S}^1}\left(h_\lambda-z_\lambda(\xi)\mathbb{1}\right)^{-1}z_\lambda'(\xi)\operatorname{d}{\xi}\right) \Phi\, , \end{align}\tag{7}\]

We make no claims about the analytic extension properties of \(\lambda\mapsto C_\lambda\) to \(\lambda\notin\mathbb{R}\), although we obtain bounds on it for \(\lambda\in\mathbb{R}\) and large. We choose \(\Phi=\Phi_\lambda\) so that for large real \(\lambda\), \[\Phi\approx \varphi_\lambda\quad \textrm{in L^2(\mathbb{R}^2)}\;.\] It follows, since the contour integral in 7 is a projection operator, that this contour integral itself is approximately normalized. And since \(\varphi_\lambda\) is normalized, \(|C_\lambda- 1|\ll1\); a quantitative bound is given in 23 below.

The function \[\begin{align} \lambda\mapsto C_\lambda \varphi_\lambda\in L^2(\mathbb{R}^2) \end{align}\] will be studied as a complex analytic function in \(\Omega_{\Lambda,\varepsilon}\) leading to a generic lower bound on \(\Omega_{\Lambda,\varepsilon}\) for the function \[\begin{align} \lambda &\mapsto \overline{C_{\overline{\lambda}}}C_\lambda\rho(\lambda)=\lambda^2\int_{x\in\mathbb{R}^2} \overline{C_{\overline{\lambda}}\varphi_{\overline{\lambda}}(x+d)}v(x+d) \exp\left(\operatorname{i}b\lambda d_1 x_2\right)C_\lambda\varphi_{\lambda}(x-d)\operatorname{d}{x}\, \nonumber \\ & \label{eq:C942rho} \end{align}\tag{8}\] using a result of the type stated in 4; see 3. Concluding a lower bound on \(\rho(\lambda)\) itself for \(\lambda\in\mathbb{R}\cap\Omega_{\Lambda,\varepsilon}\) outside a set of density zero follows from \(C_\lambda\approx1\) for real \(\lambda\).

2.1.0.1 The choice of \(\mathbb{S}^1\ni\xi \mapsto z_\lambda(\xi)\in\mathbb{C}\) and \(\Phi_\lambda\).

To proceed, we use the assumption that \(v\) has a unique non-degenerate minimum, to invoke the results of [14].

In particular, \[\begin{align} v\left(x\right) = -1+\frac{1}{2}\left\langle x,\left(\nabla\otimes\nabla^\ast v\right)(0)x\right\rangle +\mathcal{O}_{x\to 0}\left(\left\lVert x\right\rVert^{3}\right)\,, \end{align}\] where \(\left(\nabla\otimes\nabla^\ast v\right)\) is the Hessian of \(v\) and we assume \(\left(\nabla\otimes\nabla^\ast v\right)(0)>0\). As a result, the following model will be of interest to us: \[\begin{align} h_{\lambda}^{\text{MHO}}:=\left(P-\frac{1}{2}b\lambda X^{\perp}\right)^{2}+\frac{1}{2}\lambda^{2}\left\langle X,\left(\nabla\otimes\nabla^\ast v\right)(0)X\right\rangle\,. \end{align}\] Introduce the dilation \(\left(\mathfrak{U}_{\alpha}f\right)(x)\equiv\alpha f(\alpha x)\), which is unitary in \(L^2(\mathbb{R}^2)\) for \(\alpha\in\mathbb{R}\); see also 60 . Then, \[\begin{align} \mathfrak{U}_{\sqrt{\lambda}}^{\ast}\;h_{\lambda}^{\text{MHO}}\;\mathfrak{U}_{\sqrt{\lambda}}=\lambda h_1^{\text{MHO}} := \lambda h^{\text{MHO}}. \end{align}\] Denote the eigenvalues of \(h^{\text{MHO}}\), in ascending order, by \(e_j^{\text{MHO}}\), \(j=0,1,2,\dots\). A consequence of [14] is that for \(\lambda\) real and and \(\lambda\ge\Lambda>0\) sufficiently large, we have \[\begin{align} \label{eq:one-well32eigenvalues}e_{\lambda,j}=-\lambda^{2}+e_{j}^{\text{MHO}}\lambda+O\left(\lambda^{\frac{1}{2}}\right)\, ,\quad j=0,1. \end{align}\tag{9}\] Below, we may make (finitely many) further restrictions on the positive number \(\Lambda\).

For \(\lambda\ge\Lambda\), if in 7 we choose \(z_\lambda(\xi)\)as \[\begin{align} \label{eq:spectral32parameter32for32Riesz} z_\lambda(\xi) := -\lambda^{2}+e_{0}^{\text{MHO}}\lambda+\frac{1}{2}\left(e_{1}^{\text{MHO}}-e_{0}^{\text{MHO}}\right)\xi\lambda \qquad(\xi\in\mathbb{S}^1)\;, \end{align}\tag{10}\] then there is exactly one simple eigenvalue of \(h_\lambda\), \(e_\lambda\), encircled by our contour, which is at a distance of order \(\lambda\) from the rest of the spectrum. We note that for fixed \(\xi\in\mathbb{S}^1\), \(\lambda\mapsto z_\lambda(\xi)\) is entire.

Further, by the approximation of \(\varphi_\lambda\) by \(\varphi_\lambda^{\rm MHO}\) (see 45) we have that \(\|\varphi_\lambda-\varphi_\lambda^{\rm MHO}\|\lesssim \lambda^{-1/2}\) and therefore \(\|\varphi_\lambda-\chi_{B_a(0)}\varphi_\lambda^{\rm MHO} \|\lesssim \lambda^{-1/2}\). Hence, as our trial function in the Riesz projection representation of \(\varphi_\lambda\), 7 , we shall choose \[\label{eq:Phi-def} \Phi_\lambda(x) := \chi_{B_a(0)}(x)\;\varphi_\lambda^{\rm MHO}(x)\,.\tag{11}\]

2.1.0.2 Rationale for extending the resolvent.

As mentioned in 1.1, a major hurdle arises from \(h_\lambda\) being a relatively compact perturbation of \(H^{\mathrm{Landau}}_\lambda\), the Landau Hamiltonian 1 , and not of \(h_{\lambda}^{\text{MHO}}\). \(H^{\mathrm{Landau}}_\lambda\) is ill-behaved for non-real values of \(\lambda\). Indeed, for the Landau gauge, it was shown in [12] that as soon as \(\lambda\) gains an imaginary component the spectrum of \(H^{\mathrm{Landau}}_\lambda\) is the whole complex plane. While [12] does not cover our present case of the symmetric gauge (for complex \(\lambda\) the two are not related by a unitary transformation and hence may not be isospectral) we show below in 29 that also in the symmetric gauge, the resolvents of \(H^{\mathrm{Landau}}_\lambda\) and of \(h_\lambda\) do not extend to the complex plane. This is in sharp contrast to the resolvent of \(h_{\lambda}^{\text{MHO}}\) which does indeed analytically extend with good bounds; we study this below in 30.

Recall that \(\operatorname{supp}(v)\subseteq B_a(0)\). Let \(Q\) be the orthogonal projection in \(L^2(\mathbb{R}^2)\) onto \(B_a(0)\), i.e., \(Q := \chi_{B_a(0)}(X)\). For the choice \(\Phi=\Phi_\lambda\) given by 11 , the resolvent acts on a function which is supported in \(B_a(0)\). It is when acting on such compactly supported functions, that we shall define an analytic extension of the resolvent. Specifically, our goal is to define an analytic map \[\begin{align} \Omega_{\Lambda,\varepsilon} \ni \lambda \mapsto A_\lambda \in \mathcal{B}(L^2(\mathbb{R}^2)), \end{align}\] which extends the resolvent acting on functions supported in \(B_a(0)\), i.e., \[\begin{align} A_\lambda\;= \left(h_\lambda-z_\lambda\mathbb{1}\right)^{-1}Q\quad \textrm{for}\quad \lambda\in \Omega_{\Lambda,\varepsilon}\cap \mathbb{R}, \end{align}\] where \(z_\lambda=z_\lambda(\xi)\) is given by 10 . (In place of \(Q\), one may use \(\chi_B(X)\) for any compact \(B\subseteq\mathbb{R}^2\), although our particular proof below uses the fact \(\operatorname{supp}(v)\subseteq B_a(0)\)). A consequence of the construction of \(A_\lambda\) will be that \(\mathbb{R}_{\geq\Lambda}\ni\lambda\mapsto C_\lambda\varphi_\lambda\in L^2(\mathbb{R}^2)\) extends analytically to \(\Omega_{\Lambda,\varepsilon}\).

Note that \(z_\lambda\), and therefore \(A_\lambda\), depends on \(\xi\in\mathbb{S}^1\); we suppress this dependence, since all statements below hold uniformly for \(\xi\in\mathbb{S}^1\).

2.1.1 The cut-off Hamiltonian, \(h_\lambda^\theta\), and the analytic extension of its resolvent↩︎

As an intermediate step, we consider the Landau Hamiltonian with a cut-off vector potential. Let \(\theta:\mathbb{R}^2\to[0,1]\) be a smooth cut-off function with compact support such that \(\theta=1\) on a generous neighborhood (to be specified below) of \(B_a(0)\), which contains the support of \(v\); \({\rm supp}(v)\subset B_a(0)\subset\subset {\rm supp}{(\theta)}\). Introduce the cut-off Landau Hamiltonian: \[\begin{align} \label{eq:cut-off32Landau32def} H^{\mathrm{Landau},\theta}_\lambda := \left(P-\frac{1}{2}b\lambda \theta(X)X^{\perp}\right)^{2}\,. \end{align}\tag{12}\] Since \(\theta\) has compact support, \(H^{\mathrm{Landau},\theta}_\lambda\) is a relatively compact perturbation of the free Laplacian \(P^2\), and so we expect much better behavior from its resolvent as \(\lambda\) varies off the real axis into to the complex plane. Further, we introduce \(h_\lambda^\theta\), the one-well Hamiltonian with cut-off vector potential: \[\begin{align} h_\lambda^\theta := H^{\mathrm{Landau},\theta}_\lambda + \lambda^2v(X)\,. \end{align}\] We begin by extending the resolvent of \(h_\lambda^\theta\), initially defined for real coupling constant, \(\lambda\), to a well-defined operator for \(\lambda\) varying in a complex region \(\Omega_{\Lambda,2\Lambda,\varepsilon}\); see 6 .

5. Fix \(\varepsilon\in(0,\pi/2)\) and \(\Lambda\) sufficiently large. The map \[\begin{align} \Omega_{\Lambda,2\Lambda,\varepsilon}\cap\mathbb{R}\ni \lambda\mapsto\left(h_\lambda^\theta-z_\lambda\mathbb{1}\right)^{-1}\in \mathcal{B}(L^2(\mathbb{R}^2)) \end{align}\] extends to a map \[\begin{align} A^\theta_\lambda:\Omega_{\Lambda,2\Lambda,\varepsilon}\to\mathcal{B}(L^2(\mathbb{R}^2)) \end{align}\] which satisfies the following properties:

  1. \(\left(h_\lambda^\theta-z_\lambda\mathbb{1}\right)A^\theta_\lambda = \mathbb{1}\) for all \(\lambda\in\Omega_{\Lambda,2\Lambda,\varepsilon}\).

  2. \(\lambda\mapsto A_\lambda^\theta\) is analytic on \(\Omega_{\Lambda,2\Lambda,\varepsilon}\).

  3. For some \(\eta>0\), sufficiently small and independent of \(\Lambda\), we have the bound \[\begin{align} \label{eq:estimate32on32analytic32continuation32of32resolvent32of32cut32off32one32well32Hamiltonian}\left\lVert A_\lambda^\theta\right\rVert\lesssim \Lambda^{-\eta}\,, \end{align}\qquad{(6)}\] for all \(\lambda\in\Omega_{\Lambda,2\Lambda,\varepsilon}\).

Proof of 5. Let us introduce a partition of unity \[\begin{align} \label{eq:partition32of32unity32for32h32theta32lambda}\Set{\chi_\nu}_{\nu=0}^{N_\Lambda}\, \end{align}\tag{13}\] where \(N_\Lambda<\infty\) is to be specified below. We pick the partition as follows. For any \(\nu\in\Set{0,\cdots,N_\Lambda}\), \(\chi_\nu\in C^\infty(\mathbb{R}^2\to[0,1])\) and \(1=\sum_{\nu=0}^{N_\Lambda}\chi_\nu\). We divide the members of the partition into three categories:

  1. \(\nu=0\): \(\chi_0\) is centered at the origin and has support of diameter of order \(\delta\to0\) as \(\Lambda\to\infty\), for some \(\delta\) to be chosen below. To be concrete, we choose \(\chi_0\) to equal \(1\) on \(B_{C \delta}(0)\) for some sufficiently large order \(1\) constant \(C\).

  2. \(\nu=N_\Lambda\): \(\chi_{N_\Lambda}\) is supported in the complement of a sufficiently large disc of radius \(R\) of order \(1\) (in \(\Lambda\)) chosen so that the disc entirely covers \(\operatorname{supp}(\theta)\).

  3. \(\nu=1,\cdots,N_\Lambda-1\): \(\chi_\nu\) is supported in an annulus with radii between \(2^{\nu-1} \delta\) to \(2^{\nu+1} \delta\). Hence we choose \[\begin{align} N_\Lambda := \lceil\log_2(R/\delta)\rceil\;. \end{align}\]

The construction of this partition is presented below in 6.

In addition to \(\Set{\chi_\nu}_\nu\), we introduce a slightly more generous collection \(\Set{\psi_\nu}_\nu\) such that \(\psi_\nu=1\) on \(\operatorname{supp}(\chi_\nu)\) and such that for any \(x\in\mathbb{R}^2\), no more than, say, four values of \(\nu\) have \(x\in\operatorname{supp}(\psi_\nu)\). We shall also make use of open subsets \(U_\nu\) of \(\mathbb{R}^2\) below, each defined so it contains the support of \(\psi_\nu\). We shall take \[\begin{align} U_\nu \subseteq \Set{ 2^{\nu-3}\delta<\left\lVert x\right\rVert< 2^{\nu+3}\delta}\,. \end{align}\]

We then write a putative expression for the analytic continuation of \(\left(h_\lambda^\theta-z_\lambda\mathbb{1}\right)^{-1}\) as \[\begin{align} \label{eq:putative32expression32for32the32inverse32of32h95lambdatheta} \widetilde{A^\theta_\lambda} := \psi_0 \left(h_{\lambda}^{\text{MHO}}-\left(z_\lambda+\lambda^2\right)\mathbb{1}\right)^{-1}\chi_0 + \sum_{\nu=1}^{N_\Lambda-1}T_{\lambda,\nu}+\psi_{N_\Lambda} \left(P^2-z_\lambda\mathbb{1}\right)^{-1}\chi_{N_\Lambda}\,.\nonumber\\ \end{align}\tag{14}\] The operators \(T_{\lambda,\nu} \in \mathcal{B}(L^2(\mathbb{R}^2))\) should roughly be considered as being given by \[\begin{align} T_{\lambda,\nu} "=" \psi_\nu \left(h^\theta_\lambda-z_\lambda\mathbb{1}\right)^{-1}\chi_\nu\, , \end{align}\] where \(z_\lambda=z_\lambda(\xi)\) is given 10 . The issue is that we do not know a-priori that \(h^\theta_\lambda-z_\lambda\mathbb{1}\) is invertible for \(\lambda\in\Omega_{\Lambda,\varepsilon}\) (indeed, that’s precisely what we’re trying to prove) so we cannot write down such an expression, even if it’s restricted between \(\chi_\nu\) and \(\psi_\nu\). To deal with this problem, we use the formalism of pseudo-differential operators (see 5 below). Using this formalism, \(T_{\lambda,\nu}\in\mathcal{B}(L^2(\mathbb{R}^2))\) is constructed as follows. We work with the symbol \(s_\lambda^\theta\) associated with \(h_\lambda^\theta-z_\lambda\mathbb{1}\), but consider it as a symbol where the position variable ranges over \(U_\nu\) rather than the whole of \(\mathbb{R}^2\). If we can show ellipticity of the operator associated with this symbol, general pseudo-differential arguments (26 below, applied to a rescaling of \(s_\lambda^\theta\)) guarantee the existence of an approximate analytic inverse \(T_{\lambda,\nu}\) with appropriate bounds, in particular, we will derive \[\begin{align} \label{eq:estimate32on32approximate32resolvent32in32mesoscopic32annuli} \left\lVert T_{\lambda,\nu}\right\rVert_{\mathcal{B}(L^2(U_\nu))} \lesssim \frac{1}{\Lambda^2 2^{2\nu} \delta^2} \end{align}\tag{15}\] and \[\begin{align} \label{eq:estimate32on32error32term32in32approximate32resolvent32in32mesoscopic32annuli} \left\lVert\left(h_\lambda^\theta-z_\lambda\mathbb{1}\right)T_{\lambda,\nu}-\chi_\nu\right\rVert_{\mathcal{B}(L^2(U_\nu))} \lesssim \frac{1}{\Lambda 2^{2\nu} \delta^2}\,. \end{align}\tag{16}\] This prompts us to choose \(\delta\) so that \[\begin{align} \label{eq:constraint32on32delta} \lim_{\Lambda\to\infty}\Lambda\delta^2 = \infty\,. \end{align}\tag{17}\] Indeed, we take \[\begin{align} \label{eq:the32choice32of32delta}\delta = \Lambda^{\eta-1/2} \end{align}\tag{18}\] for some small \(\eta>0\). Let \[r_{\lambda,\nu}(z_\lambda) := \begin{cases} \left(h_{\lambda}^{\text{MHO}}-\left(z_\lambda+\lambda^2\right)\mathbb{1}\right)^{-1} & \nu=0 \\ T_{\lambda,\nu} & \nu \in \Set{1,\cdots,N_\Lambda-1}\\ \left(P^2-z_\lambda\mathbb{1}\right)^{-1} & \nu=N_\Lambda \end{cases}\] We calculate \(\left(h_\lambda^\theta-z_\lambda\mathbb{1}\right)\widetilde{A^\theta_\lambda}\), where \(\widetilde{A^\theta_\lambda}\) is given by 14 : \[\begin{align} \left(h_\lambda^\theta-z_\lambda\mathbb{1}\right)\widetilde{A^\theta_\lambda} &= \sum_{\nu=0,N_\Lambda} \left(h_\lambda^\theta-z_\lambda\mathbb{1}\right) \psi_\nu r_{\lambda,\nu}(z_\lambda) \chi_\nu+\sum_{\nu=1,\cdots,N_\Lambda-1} \left(h_\lambda^\theta-z_\lambda\mathbb{1}\right) T_{\lambda,\nu}\\ &=: \mathbb{1}+K_\lambda^\theta\;. \end{align}\] The error term is explicitly given by: \[\begin{align} \label{eq:error32term32for32theta-resolvent} K_\lambda^\theta &:= \left[h_\lambda^\theta ,\psi_0\right] r_{\lambda}^{\mathrm{MHO}}(z_\lambda) \chi_0 + \psi_0 \left(h_\lambda^\theta+\lambda^2\mathbb{1}-h_\lambda^{\mathrm{MHO}}\right)r_{\lambda}^{\mathrm{MHO}}(z_\lambda) \chi_0+\\ &+\sum_{\nu=1}^{N_\Lambda-1} \left(\left(h_\lambda^\theta-z_\lambda\mathbb{1}\right) T_{\lambda,\nu}-\chi_\nu\right)+\left[h_\lambda^\theta ,\psi_{N_\Lambda}\right] \left(P^2-z_\lambda\mathbb{1}\right)^{-1} \chi_{N_\Lambda}\nonumber \end{align}\tag{19}\]

We will show that \(\Omega_{\Lambda,\varepsilon}\ni\lambda\mapsto K_\lambda^\theta\) is analytic and moreover, with the choice 18 , \[\begin{align} \left\lVert K_\lambda^\theta\right\rVert_{\mathcal{B}(L^2(\mathbb{R}^2))} \lesssim N_\lambda\Lambda^{-\eta} \sim \log\left(\Lambda\right)\Lambda^{-\eta} \end{align}\] so that the Neumann series may be inverted to yield the sought after analytic inverse \[\begin{align} \boxed{A_\lambda^\theta := \widetilde{A^\theta_\lambda} \left(\mathbb{1}+K_\lambda^\theta\right)^{-1}}\,. \end{align}\]

We note that it suffices to bound the norm of each summand within \(K_\lambda\) separately since there are only \(N_\Lambda\sim\log(\Lambda)\) terms, each of which decays at least like \(\Lambda^{-\eta}\).

2.1.1.1 The \(\nu=0\) term: the MHO.

We deal with the two terms in 19 separately. For the commutator, \[\begin{align} \left[h_\lambda^\theta ,\psi_0\right] r_{\lambda}^{\mathrm{MHO}}(z_\lambda) \chi_0 = \left[H_\lambda^{\mathrm{Landau},\theta} ,\psi_0\right] r_{\lambda}^{\mathrm{MHO}}(z_\lambda) \chi_0\,. \end{align}\] Since by 12 , we have \(H_\lambda^{\mathrm{Landau},\theta} \equiv \left(P-\frac{1}{2}b\lambda \theta(X)X^{\perp}\right)^{2}\) we learn that \[\begin{align} \left[H_\lambda^{\mathrm{Landau},\theta} ,\psi_0\right] = \left[P^2,\psi_0\right] - b \lambda \theta(X) X \wedge \left[P, \psi_0\right] = -\left(\Delta \psi_0\right) -2 \operatorname{i}\left(\nabla \psi_0\right) \cdot P + \operatorname{i}b \lambda \theta(X) X \wedge \left(\nabla \psi_0\right)\,. \end{align}\]

Now, thanks to 30, all terms are indeed analytic in \(\lambda\in\Omega_{\Lambda,\varepsilon}\). Moreover, since \(\psi_0\) is equal to \(1\) on a somewhat enlarged neighborhood containing \(\operatorname{supp}(\chi_0)\), we have \[\begin{align} \mathrm{dist}(\operatorname{supp}(\chi_0),\operatorname{supp}(\partial_i\psi_0)) \gtrsim c\delta\,. \end{align}\]

But now we invoke the estimate proven in 30 \[\begin{align} \left\lVert\chi_S(X) P_j^\alpha r_{\lambda}^{\mathrm{MHO}}(z_\lambda)\chi_T(X)\right\rVert_{\mathcal{B}(L^2(\mathbb{R}^2))} \lesssim \exp\left(-c \Lambda\mathrm{dist}(S,T)^2\right)\qquad(\lambda\in\Omega_{\Lambda,\varepsilon}\text{ and } S,T\subseteq\mathbb{R}^2\nonumber\\j=1,2,\alpha=0,1)\nonumber\\ \end{align}\] which holds as soon as \(\mathrm{dist}(S,T)>\Lambda^{-1/2}\).

Thanks to 18 we may conclude \(\left\lVert\left[h_\lambda^\theta ,\psi_0\right] r_{\lambda}^{\mathrm{MHO}}(z_\lambda) \chi_0\right\rVert\lesssim\exp\left(-c \Lambda^{\eta}\right)=o(1)\).

For the second term, \[\begin{align} \psi_0 \left(h_\lambda^\theta+\lambda^2\mathbb{1}-h_\lambda^{\mathrm{MHO}}\right)r_{\lambda}^{\mathrm{MHO}}(z_\lambda) \chi_0 \end{align}\] we have, using the fact that \(\theta=1\) on \(\operatorname{supp}(\psi_0)\), \[\begin{align} \psi_0\left(h_\lambda^\theta+\lambda^2\mathbb{1}-h_\lambda^{\mathrm{MHO}}\right) &= \psi_0\left(\lambda^2\left(v(X)+1\right) - \frac{1}{2}\lambda^2\langle X, \left(\mathbb{H} v\right)(0)X \rangle\right)\,. \end{align}\] We recall \(\delta\equiv\delta_\Lambda\) was the support radius of \(\psi_0\). Below in 30 we prove the estimate \[\begin{align} \left\lVert r_{\lambda}^{\mathrm{MHO}}(z_\lambda) \right\rVert_{\mathcal{B}(L^2(\mathbb{R}^2))} \lesssim \Lambda^{-1} \end{align}\] so that all together we estimate \[\begin{align} \left\lVert\psi_0 \left(h_\lambda^\theta-h_\lambda^{\mathrm{MHO}}\right)r_{\lambda}^{\mathrm{MHO}}(z_\lambda) \chi_0\right\rVert \lesssim \Lambda \delta^3\,. \end{align}\] The bound depends also on the third derivatives of \(v\).

We see that if we pick \(\delta\) smaller than \(\Lambda^{-1/3}\) we can make this term arbitrarily small; this is compatible with 18 .

2.1.1.2 The term \(\nu=N_\Lambda\): the free Laplacian.

Here the support of \(\chi_\nu\) has no intersection with \(\operatorname{supp}(\theta)\). Since \(\operatorname{supp}(\theta)\supseteq\operatorname{supp}(v)\), this means that in that region, our operator agrees with the free Laplacian \(P^2\), which is why we approximate its resolvent by \(\left(P^2-z_\lambda\mathbb{1}\right)^{-1}\).

We shall use freely the trivial estimate \[\begin{align} \label{eq:upper32bound32on32free32resolvent} \left\lVert\left(P^2-z_\lambda\mathbb{1}\right)^{-1}\right\rVert &= \frac{1}{\inf_{E\in[0,\infty)}|E-z_\lambda|}\lesssim \frac{1}{\sin(\varepsilon)\Lambda^2}\,. \end{align}\tag{20}\] Moreover, we also have the Combes-Thomas estimate: For any \(S,T\subseteq\mathbb{R}^2\), \(j=1,2\) and \(\alpha=0,1\), \[\begin{align} \left\lVert\chi_S P_j^\alpha \left(P^2-z_\lambda\mathbb{1}\right)^{-1} \chi_T\right\rVert \lesssim \exp\left(-\sqrt{\sin(\varepsilon)\Lambda^2}\mathrm{dist}(S,T)\right)\,. \end{align}\]

As a result, we see the commutator term \[\begin{align} \left[h_\lambda^\theta ,\psi_{N_\Lambda}\right] \left(P^2-z_\lambda\mathbb{1}\right)^{-1} \chi_{N_\Lambda} \end{align}\] has exponentially decaying norm. The distance between \(\operatorname{supp}(\left[h_\lambda^\theta ,\psi_{N_\Lambda}\right])\) and \(\operatorname{supp}(\chi_{N_\Lambda})\) is of order \(1\).

2.1.1.3 The terms \(\nu=1,\cdots,N_\Lambda-1\).

We postpone the construction of \(T_{\lambda,\nu}\) which obey the estimates 15 16 to 4 below.

The proof of 5 is now complete. ◻

Below we will also need the following

6. We have \[\begin{align} \label{eq:derivative32of32approximate32inverse} \left\lVert P_j^\alpha A_\lambda^\theta\right\rVert\lesssim \Lambda^{-1/2+\eta}\qquad(\alpha=0,1;j=1,2) \end{align}\qquad{(7)}\]

Proof. If \(\alpha=0\) the claim is covered by the analysis above (collecting all the various estimates on the terms in \(\widetilde{A_\lambda^\theta}\) yields \(\left\lVert A_\lambda^\theta\right\rVert\lesssim \Lambda^{-1}\)).

Next, thanks to \[\begin{align} \left\lVert P_j A_\lambda^\theta\right\rVert&=\left\lVert P_j\widetilde{A_\lambda^\theta}\left(\mathbb{1}+K_\lambda^\theta\right)^{-1}\right\rVert\leq \left\lVert P_j \widetilde{A_\lambda^\theta}\right\rVert\left\lVert\left(\mathbb{1}+K_\lambda^\theta\right)^{-1}\right\rVert \end{align}\] it suffices to bound \(P_j\) acting on each individual term in 14 . To that end, we proceed in much the same fashion as we have above.

For \(\nu=0\) or \(\nu=N_\Lambda\), we first take care of the commutator term \([P_j,\psi_\nu] r_{\lambda,\nu}(z_\lambda)\chi_\nu\), which boils down to the boundedness of the resolvent of either the MHO or the free Laplacian. Next, \(P_j r_{\lambda,\nu}(z_\lambda)\) is also bounded: for the MHO this is proven below in 30 and for the free Laplacian it is standard.

Finally for \(\nu=1,\cdots,N_{\Lambda-1}\), 26 below yields also the estimates \[\begin{align} \left\lVert P_j T_{\lambda,\nu}\right\rVert_{\mathcal{B}(L^2(U_\nu))} \lesssim \frac{1}{\Lambda^2 2^{2\nu} \delta^3} \end{align}\] and hence the result. ◻

2.1.2 Removing the cut-off to get from \(h_\lambda^\theta\) to \(h_\lambda\)↩︎

As we explained, we cannot hope to analytically continue \(\left(h_\lambda-z_\lambda\mathbb{1}\right)^{-1}\) as an operator on \(L^2(\mathbb{R}^2)\). So we merely try to construct an analytic extension of \(\left(h_\lambda-z_\lambda\mathbb{1}\right)^{-1}Q\).

7. The one-well resolvent \[\begin{align} \mathbb{R}_{\geq \Lambda} \ni \lambda \mapsto \left(h_\lambda-z_\lambda\mathbb{1}\right)^{-1}Q \in \mathcal{B}(QL^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2)) \end{align}\] extends to a function \[\begin{align} \Omega_{\Lambda,\varepsilon} \ni \lambda \mapsto A_\lambda \in \mathcal{B}(QL^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2)) \end{align}\] such that

  1. \(\left(h_\lambda-z_\lambda\mathbb{1}\right)A_\lambda = Q\) for all \(\lambda\in\Omega_{\Lambda,\varepsilon}\).

  2. \(\Omega_{\Lambda,\varepsilon}\ni\lambda\mapsto A_\lambda\in\mathcal{B}(QL^2(\mathbb{R}^2))\) is analytic.

  3. We have the bound \[\begin{align} \label{eq:bound32on32analytic32continuation32of32resolvent32of32single32well32Hamiltonian}\left\lVert A_\lambda\right\rVert_{\mathcal{B}(QL^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2))}\lesssim \left|\lambda\right|^{\sharp}\exp\left(Cb\left|\lambda\right|\right)\,, \end{align}\qquad{(8)}\] for all \(\lambda\in\Omega_{\Lambda,\varepsilon}\).

  4. \(A_\lambda\) and its derivatives exhibit off-diagonal exponential decay in the sense that, for all \(j=1,2\) and \(\alpha=0,1\), \[\begin{align} \label{eq:off-diagonal32exp32decay32of32resolvent} \left\lVert\chi_S P_j^\alpha A_\lambda \right\rVert_{\mathcal{B}(QL^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2))} \lesssim \exp\left(-c \left|\lambda\right| \mathrm{dist}(S,B_{2a}(0))\right)\qquad(S\subseteq\mathbb{R}^2)\,.\nonumber\\ \end{align}\qquad{(9)}\]

Proof of 7. Let \(\chi\in C^\infty(\mathbb{R}^2\to[0,1])\) be some cut-off function to be determined below. We assume \(\chi=1\) on \(B_a(0)\), so \(\chi Q=Q\), and moreover, that \(\theta=1\) on \(\operatorname{supp}(\chi)\).

We begin by calculating \[\begin{align} \left(h_\lambda-z_\lambda\mathbb{1}\right)\chi A_\lambda^\theta Q &= \left[\left(h_\lambda-z_\lambda\mathbb{1}\right),\chi\right]A_\lambda^\theta Q+\chi \left(h_\lambda-h_\lambda^\theta\right)A_\lambda^\theta Q+Q \\ &= \left[h_\lambda,\chi\right]A_\lambda^\theta Q+Q \,. \end{align}\] Now we would like to argue that the first term is small so that we can find a right inverse on \(QL^2(\mathbb{R}^2)\). However, the problem is the commutator \(\left[h_\lambda,\chi\right]\) "leaks" outside of \(Q\), i.e., \[\begin{align} \left[h_\lambda,\chi\right]A_\lambda^\theta Q = Q\left[h_\lambda,\chi\right]A_\lambda^\theta Q+Q^\perp \left[h_\lambda,\chi\right]A_\lambda^\theta Q \end{align}\] and \(Q^\perp \left[h_\lambda,\chi\right]A_\lambda^\theta Q\neq 0\).

To deal with this issue, we apply the Landau resolvent on the left and rewrite it as \[\begin{align} \left[h_\lambda,\chi\right]A_\lambda^\theta Q &= \left(h_\lambda-z_\lambda\mathbb{1}\right)R^{\mathrm{Landau}}_\lambda(z_\lambda) \left[h_\lambda,\chi\right]A_\lambda^\theta Q-\lambda^2v(X)R^{\mathrm{Landau}}_\lambda(z_\lambda) \left[h_\lambda,\chi\right]A_\lambda^\theta Q \,. \end{align}\] This makes sense, even though \(\lambda\) may not be real, thanks to 28 down below, which yields an extension of \(R^{\mathrm{Landau}}_\lambda(z_\lambda)\) when acting on functions with (fixed) compact support; \(\left[h_\lambda,\chi\right]\) is an operator of the form \(f(X)+g(X)P\) where both \(f,g\) have compact support within \(\operatorname{supp}(\partial_j \chi)\).

Re-arranging and using the fact that \(Q v(X) = v(X)\) we find \[\begin{align} \left(h_\lambda-z_\lambda\mathbb{1}\right) \widetilde{A_\lambda} &= Q + K_\lambda \end{align}\] with \[\begin{align} \widetilde{A_\lambda} := \left(\chi-R^{\mathrm{Landau}}_\lambda(z_\lambda) \left[h_\lambda,\chi\right]\right) A_\lambda^\theta Q \end{align}\] and \[\begin{align} K_\lambda := -\lambda^2 Q v(X)R^{\mathrm{Landau}}_\lambda(z_\lambda)\left[h_\lambda,\chi\right]A_\lambda^\theta Q\,. \end{align}\] We remark that \(K_\lambda\) is now an operator \(QL^2\to QL^2\) whereas \(A_\lambda:QL^2\to L^2\).

Hence if we can show that \(\left\lVert K_\lambda\right\rVert<1\) we would be finished via \[\begin{align} \boxed{A_\lambda := \widetilde{A_\lambda} \left(\mathbb{1}+K_\lambda\right)^{-1}}\,. \end{align}\] To do so we will use two basic facts: ?? and ?? . The latter, which is applicable thanks to our small \(b\) assumption, means we have exponential decay in \(\Lambda\) since \(\mathrm{dist}(\operatorname{supp}(v),\partial_j\chi)\gtrsim O(1)\), but the former means there can’t be any term in \(P_j A_\lambda^\theta\) which explodes faster (in fact the norm of this term decays too). Hence \(\left\lVert K_\lambda\right\rVert\) is indeed arbitrarily small for large \(\lambda\).

Finally, we tend to establishing ?? . Let \(S\subseteq\mathbb{R}^2\) be such that \(\mathrm{dist}(S,\operatorname{supp}(\chi))>0\). Then \[\begin{align} \label{eq:estimate32on32continuation32of32resolvent} \left\lVert\chi_S P_j^\alpha A_\lambda \right\rVert &= \left\lVert\chi_S P_j^\alpha \left(\chi-R^{\mathrm{Landau}}_\lambda(z_\lambda) \left[h_\lambda,\chi\right]\right) A_\lambda^\theta Q \left(\mathbb{1}+K_\lambda\right)^{-1} \right\rVert \\ &\leq \left\lVert\chi_S P_j^\alpha R^{\mathrm{Landau}}_\lambda(z_\lambda) \left[h_\lambda,\chi\right] \right\rVert\left\lVert A_\lambda^\theta \right\rVert\frac{1}{1-\left\lVert K_\lambda\right\rVert} \end{align}\tag{21}\] and we then invoke ?? again. We now choose \(\chi\) to have support within \(B_{2a}(0)\) to get the statement.

2.1.2.1 Intermediate conclusion.

So far we managed to define an operator \(A_\lambda\in\mathcal{B}(QL^2(\mathbb{R}^2))\) such that

  1. \(\left(h_\lambda-z_\lambda\mathbb{1}\right)A_\lambda = Q\) for all \(\lambda\in\Omega_{\Lambda,2\Lambda,\varepsilon}\).

  2. \(\Omega_{\Lambda,2\Lambda,\varepsilon}\ni\lambda\mapsto A_\lambda\in\mathcal{B}(QL^2(\mathbb{R}^2))\) is analytic.

  3. We have the bound \(\left\lVert A_\lambda\right\rVert_{\mathcal{B}(QL^2(\mathbb{R}^2))}\lesssim \Lambda^{\sharp}\exp\left(Cb\Lambda\right)\) for some \(C\in\mathbb{R}\), for all \(\lambda\in\Omega_{\Lambda,2\Lambda,\varepsilon}\).

  4. We have off-diagonal exponential decay in the sense that \[\begin{align} \left\lVert\chi_S A_\lambda \right\rVert_{\mathcal{B}(QL^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2))} \lesssim \exp\left(-c \left|\lambda\right| \mathrm{dist}(S,B_{2a}(0))\right)\qquad(S\subseteq\mathbb{R}^2) \end{align}\] for some \(c>0\), for all \(\lambda\in\Omega_{\Lambda,2\Lambda,\varepsilon}\).

2.1.2.2 Patching different regions in \(\Omega_{\Lambda,\varepsilon}\).

Fix a number \(r\in(1,2)\) and set \[\Lambda_k:=r^k\Lambda,\qquad \mathcal{D}_k:=\Omega_{\Lambda_k,2\Lambda_k,\varepsilon} =\bigl\{z\in\mathbb{C}:\Lambda_k<|z|<2\Lambda_k,\;\;|\arg z|<\tfrac{\pi}{2}-\varepsilon\bigr\}.\] Then \(\bigcup_{k\ge0}\mathcal{D}_k=\Omega_{\Lambda,\varepsilon}\) and consecutive domains have a nontrivial overlap: \[\mathcal{D}_k\cap\mathcal{D}_{k+1} =\bigl\{z:\Lambda_{k+1}<|z|<2\Lambda_k,\;\;|\arg z|<\tfrac{\pi}{2}-\varepsilon\bigr\}\neq\varnothing\] because \(r<2\).

For each \(k\) the construction above produces an analytic map \[\mathcal{D}_k\ni\lambda\mapsto A^{(k)}_\lambda\in \mathcal{B}(QL^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2))\] and satisfies \[\bigl(h_\lambda-z_\lambda\mathbb{1}\bigr)A^{(k)}_\lambda=Q \qquad(\lambda\in\mathcal{D}_k),\] and obeys \(\|A^{(k)}_\lambda\|\lesssim \Lambda_k^{\sharp}\exp(Cb\Lambda_k)\) as well as \(\left\lVert\chi_S A_\lambda \right\rVert_{\mathcal{B}(QL^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2))} \lesssim \exp\left(-c \Lambda_k \mathrm{dist}(S,B_{2a}(0))\right)\) (all bounds uniform in \(\xi\in\partial B_1(0)\)).

Fix \(k\) and consider \(\lambda\in\mathcal{D}_k\cap\mathcal{D}_{k+1}\) with \(\lambda>0\) real. Then by construction \(z_\lambda(\xi)\in\rho(h_\lambda)\) (the resolvent set) for all \(\xi\in\partial B_1(0)\); hence \(\bigl(h_\lambda-z_\lambda\mathbb{1}\bigr)^{-1}\) exists as a bounded operator on \(L^2(\mathbb{R}^2)\). Since both \(A^{(k)}_\lambda\) and \(A^{(k+1)}_\lambda\) are right inverses on \(QL^2\), \[\bigl(h_\lambda-z_\lambda\mathbb{1}\bigr)A^{(k)}_\lambda =\bigl(h_\lambda-z_\lambda\mathbb{1}\bigr)A^{(k+1)}_\lambda =Q,\] and the true inverse on \(L^2\) is unique, we must have \[A^{(k)}_\lambda=\bigl(h_\lambda-z_\lambda\mathbb{1}\bigr)^{-1}Q =A^{(k+1)}_\lambda \qquad(\lambda\in(\Lambda_{k+1},2\Lambda_k)\subset\mathbb{R}).\] Thus the two analytic \(\mathcal{B}(QL^2)\)-valued maps \(A^{(k)}\) and \(A^{(k+1)}\) agree on the real interval \((\Lambda_{k+1},2\Lambda_k)\), which has accumulation points in the overlap \(\mathcal{D}_k\cap\mathcal{D}_{k+1}\). By the identity theorem for Banach–valued holomorphic functions, they coincide on all of \(\mathcal{D}_k\cap\mathcal{D}_{k+1}\).

Define \(A_\lambda\) on \(\Omega_{\Lambda,\varepsilon}\) by choosing any \(k\) with \(\lambda\in\mathcal{D}_k\) and setting \(A_\lambda:=A^{(k)}_\lambda\). The overlap consistency shows this is well defined. The resulting map \[\Omega_{\Lambda,\varepsilon}\ni\lambda\longmapsto A_\lambda\in\mathcal{B}(QL^2(\mathbb{R}^2))\] is analytic, and for \(\lambda\in\mathcal{D}_k\) the bounds \[\|A_\lambda\|=\|A^{(k)}_\lambda\|\;\lesssim\Lambda_k^\sharp\;\exp\!\bigl(Cb\,\Lambda_k\bigr) \;\le\left|\lambda\right|^\sharp\;\exp\!\bigl(Cb\,|\lambda|\bigr)\] as well as \[\begin{align} \left\lVert\chi_S A_\lambda \right\rVert = \left\lVert\chi_S A^k_\lambda \right\rVert\lesssim \exp\left(-c \Lambda_k \mathrm{dist}(S,B_{2a}(0))\right)\leq \exp\left(-\tilde{c} \left|\lambda\right| \mathrm{dist}(S,B_{2a}(0))\right) \end{align}\] hold because \(|\lambda|\in(\Lambda_k,2\Lambda_k)\).

If one repeats the construction on \(\mathcal{D}_k\) with different auxiliary data \((\theta,\chi,\delta,\{\chi_\nu\},\{\psi_\nu\})\), the two resulting analytic right inverses agree for all real \(\lambda\in(\Lambda_k,2\Lambda_k)\) (both equal \((h_\lambda-z_\lambda\mathbb{1})^{-1}Q\)), hence agree on \(\mathcal{D}_k\) by the identity theorem. Therefore the global \(A_\lambda\) is canonical and independent of these choices.

The proof of 7 is now complete. ◻

2.2 From the analyticity of \(\Omega_{\Lambda,\varepsilon}\ni\lambda\mapsto C_\lambda\varphi_\lambda\) to a lower bound on \(\rho_0\).↩︎

We next tie together the previous results in order to apply 21. So far we have established that \[\begin{align} \Omega_{\Lambda,\varepsilon}\ni\lambda\mapsto \overline{C_{\overline{\lambda}}}C_\lambda\rho(\lambda) \in \mathbb{C} \end{align}\] is analytic.

To apply 21 we need lower bound on \(\left| \overline{C_{\overline{\lambda}}}C_\lambda\rho(\lambda)\right|\) at a single point of \(\Omega_{\Lambda,\varepsilon}\) and global upper bounds on all \(\Omega_{\Lambda,\varepsilon}\).

2.2.0.1 The global upper bound.

For the upper bound, we begin by estimating \[\begin{align} \left|\overline{C_{\overline{\lambda}}}C_\lambda\rho(\lambda)\right| &\leq \frac{1}{\left(2\pi\right)^2}\left|\lambda\right|^4\int_{x\in B_a(0)}\exp\left(b\left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right| d_1 x_2\right)\left\lVert A_\lambda\right\rVert^2\left\lVert\Phi\right\rVert^2\operatorname{d}{x} \\ &\lesssim \left|\lambda\right|^\sharp \exp\left(C b\left|\lambda\right|\right)\,. \end{align}\]

Moreover, recalling the exact ground state of the magnetic harmonic oscillator is of the form \[\begin{align} \label{eq:exact32ground32state32of32MHO} \varphi_\lambda^{\rm MHO}(x) := C \sqrt{\lambda}\exp\left(-\lambda \langle x, S x \rangle\right)\qquad(x\in\mathbb{R}^2) \end{align}\tag{22}\] for some \(2\times 2\) matrix \(S>0\), and constant \(C>0\), both dependent on the Hessian of \(v\) at the origin, we take \(\Phi\) of the form \[\begin{align} \Phi = Q \varphi_\lambda^{\rm MHO}\,. \end{align}\]

In particular, \(\left\lVert\Phi\right\rVert^2-1 = \left\lVert Q^\perp \varphi_\lambda^{\rm MHO}\right\rVert^2\approx \exp\left(-c \left|\lambda\right| a^2\right)\).

Now that we’ve finally chosen \(\Phi\) we can bound \(C_\lambda\) for real \(\lambda\). Indeed, by 45 below, if \(P_\lambda := \varphi_\lambda\otimes\varphi_\lambda^\ast\), then, with \(P_\lambda^\perp\equiv\mathbb{1}-P_\lambda\), \[\begin{align} \left\lVert P_\lambda^\perp \varphi_\lambda^{\rm MHO}\right\rVert_{L^2} \lesssim \lambda^{-1/2}\qquad(\lambda\in\mathbb{R})\,. \end{align}\]

By definition, we have \(C_\lambda =\langle \varphi_\lambda, \Phi \rangle\) so that \[\begin{align} \left|\left|C_\lambda\right|^2-1\right| = 1-\left|\langle \varphi_\lambda, \Phi \rangle\right|^2 = 1-\left\lVert\Phi\right\rVert^2+\left\lVert P_\lambda^\perp \Phi\right\rVert^2 \approx \exp\left(-c \lambda a^2\right) + \left\lVert P_\lambda^\perp \Phi\right\rVert^2\nonumber\\ \end{align}\] and \(\left\lVert P_\lambda^\perp \Phi\right\rVert \leq \left\lVert P_\lambda^\perp \varphi_\lambda^{\rm MHO}\right\rVert + \left\lVert P_\lambda^\perp Q^\perp \varphi_\lambda^{\rm MHO}\right\rVert\lesssim \lambda^{-1/2}\) so we learn \[\begin{align} \label{eq:bounds32on32the32constant32C95lambda} \left|\left|C_\lambda\right|^2-1\right| \lesssim \lambda^{-1}\qquad(\lambda\in\mathbb{R})\,. \end{align}\tag{23}\]

2.2.0.2 The lower bound at a point.

In this section we shall take \(b\) sufficiently small, and hence make explicit the dependence of \(\rho_0\) on \(b\) as well; we write \(\rho_0(\lambda,b)\).

For \(b=0\), let \(\lambda_\star\geq2\Lambda\) be some value of such that \[\begin{align} \left|\rho_0(\lambda_\star,b=0)\right| \geq C \lambda_\star^2 \exp\left(-2 c d_1 \lambda_\star\right) \end{align}\] which follows, for example, from the analysis in [6]. Without any quantitative bounds on \(b_\star\), we know that there exists some \(b_\star>0\) such that if \(b\in(0,b_\star)\) then \[\begin{align} \left|\rho_0(\lambda_\star,b)\right|\geq \frac{1}{2}\left|\rho_0(\lambda_\star,b=0)\right| \end{align}\]

In particular this also means that for such \(b\), \[\begin{align} \left|C_{\lambda_\star}\right|^2\left|\rho_0(\lambda_\star,b)\right| \gtrsim \frac{1}{2}\left(1-\frac{C}{\lambda_\star}\right) C\lambda_\star^2\exp\left(-2 c d_1\lambda_\star\right)\,. \end{align}\]

2.2.0.3 Invoking 21.

We are now prepared to invoke our main complex analytic result. We use the replacement \[\begin{align} \Set{z\in\mathbb{C}:-\alpha\pi/2<\operatorname{Arg}(z)<\alpha\pi/2}\ni z\mapsto \left(\lambda_\star-\Lambda\right) z +\Lambda=:\lambda\in\Omega_{\Lambda,\varepsilon} \end{align}\] with \(\alpha \equiv 1-\frac{2\varepsilon}{\pi}\). In terms of this replacement, our lower bound at \(z=1\) is \[\begin{align} \left|C\right|^2\left|\rho_0\right| \geq \exp\left(\log\left(\frac{1}{2}\left(1-\frac{1}{\lambda_\star}\right)C \lambda_\star^2\right)-2c d_1\lambda_\star\right) \end{align}\] i.e., \[\begin{align} \beta := 2c d_1\lambda_\star - \log\left(\frac{1}{2}\left(1-\frac{1}{\lambda_\star}\right)C \lambda_\star^2\right)\,. \end{align}\]

The global upper bound is \[\begin{align} \left|C\right|^2\left|\rho_0\right| \leq \left|\lambda\right|^\sharp\exp\left(C b \left|\lambda\right|\right) = \left|\left(\lambda_\star-\Lambda\right)z+\Lambda\right|^\sharp\exp\left(C b \left|\left(\lambda_\star-\Lambda\right)z+\Lambda\right|\right)=:\left|U(z)\right|\,. \end{align}\]

21 thus yields, \[\begin{align} \frac{1}{R}\int_{t=R}^{2R}-\log\left(\left|C_{(\lambda_\star-\Lambda)t+\Lambda}\right|^2 \left|\rho_0((\lambda_\star-\Lambda)t+\Lambda)\right| \right)\operatorname{d}{t} &\leq C\alpha 2^{1/\alpha}\left(\beta+\log\left(\left|U(1)\right|\right)\right) R^{1/\alpha}+\frac{3}{2}c b R\,. \end{align}\]

Now we have \[\begin{align} \frac{1}{R}\int_{t=R}^{2R}-\log\left(\left|C_{(\lambda_\star-\Lambda)t+\Lambda}\right|^2 \right)\operatorname{d}{t} &\lesssim \frac{1}{R}\int_{t=R}^{2R}-\log\left(1-\frac{1}{(\lambda_\star-\Lambda)t+\Lambda} \right)\operatorname{d}{t}\lesssim \frac{1}{R}\,. \end{align}\]

Hence, the highest order upper bound on \(\frac{1}{R}\int_{t=R}^{2R}-\log\left( \left|\rho_0((\lambda_\star-\Lambda)t+\Lambda)\right| \right)\operatorname{d}{t}\) is indeed the one claimed in ?? .

2.3 The analyticity of the splitting \(\lambda\mapsto\gamma_\lambda^2\Delta_0(\lambda)^2\)↩︎

2.3.0.1 Motivation for the proof.

For real \(\lambda\), if we have good lower bounds on \(\rho_0(\lambda)\) (see below) then we may prove \[\begin{align} \label{eq:relationship32between32rho32and32Delta} \lim_{\lambda\to\infty}\frac{\Delta_0(\lambda)}{2\left|\rho_0(\lambda)\right|}=1 \end{align}\tag{24}\] (see e.g. [15]). Hence one could have hoped that for such \(\lambda\in\mathbb{R}\) at which we have established ?? we could pass directly to ?? via 24 . Unfortunately this is doomed to fail since in the proof of 24 a lower bound of the form \[\begin{align} \left|\rho_0(\lambda)\right|\geq \lambda^{-\sharp}\exp\left(-c \lambda d_1^2\right) \end{align}\] is necessary and we have something markedly worse; this lower bound then has to compete with error terms which have upper bounds of the form \[\begin{align} \left|\rm{error}\right|\leq \lambda^{\sharp}\exp\left(-c \lambda d_2^2\right) \end{align}\] with \(d_2>d_1\) which allows one to proceed. But now we have \(\lambda^{1+\varepsilon}\) competing with \(\lambda\) so that argument is doomed to fail.

Moreover, there is also the problem that even if we succeeded in doing that, we might have obtained a lower bound on \(\Delta_0\), but we wouldn’t have obtained ?? .

Instead, we show the analyticity of \(\Delta_0\) directly, applying the complex analytic lemma to obtain an average lower bound.

8. There exists a function \(\lambda\mapsto\gamma_\lambda\) such that \[\begin{align} \mathbb{R}_{\geq\Lambda}\ni\lambda\mapsto\gamma_\lambda^2\Delta_0(\lambda)^2 \end{align}\] extends to a function \[\begin{align} \Omega_{\Lambda,\varepsilon}\ni\lambda\mapsto \Sigma_\lambda \in \mathbb{C} \end{align}\]

  1. \(\lambda\mapsto \Sigma_\lambda\) is analytic.

  2. We have the bound \(\left|\Sigma_\lambda\right|\lesssim \exp\left(c\left|\lambda\right| b\right)\).

  3. For real \(\lambda\), \[\begin{align} \left|1-\gamma_\lambda^2\right|\lesssim\lambda^{-1/2}\,. \end{align}\]

This lemma now yields the claimed lower bound in ?? . Indeed, given the lemma above the rest of the proof proceeds identically as above for \(\rho\), and in particular, for \(b\) sufficiently small, there exists some \(\lambda_\star\) so that there is a lower bound on \(\Delta_0(\lambda_\star)\) via the lower bound on \(\rho_0(\lambda_\star)\) and the usual connection between \(\rho_0\) and \(\Delta_0\) for real \(\lambda\), i.e., 24 .

2.3.0.2 Proof outline for 8.

We proceed in the following steps:

  1. For the same reasons explained above, we cannot hope to analytically continue the double-well resolvent \[\begin{align} \label{eq:resolvent32of32double32well32Hamiltonian}\lambda\mapsto R_\lambda(z)\equiv \left(\left(P-\frac{1}{2}b\lambda X^\perp\right)^2+\lambda^2 v(X+d)+\lambda^2 v(X-d)-z\mathbb{1}\right)^{-1}\nonumber\\ \end{align}\tag{25}\] to \(\lambda\in\Omega_{\Lambda,\varepsilon}\). Instead, we let \(Q_{\pm d}:=\chi_{B_{a}(\pm d)}(X)\) and \(Q_{-d,d}:=Q_{-d}+Q_d\) (also a projection); we shall analytically continue \[\begin{align} R_\lambda(z)Q_{-d,d}\,. \end{align}\]

  2. To do so, we cannot directly use the proof above, but a perturbative argument shall suffice to pass from \(A_\lambda = \left(h_\lambda-z_\lambda\mathbb{1}\right)^{-1} Q\) to the existence of \(R_\lambda(z)Q_{-d,d}\).

  3. For real \(\lambda\), let \(\mathcal{V}_\lambda\subseteq L^2(\mathbb{R}^2)\) be the two-dimensional eigenspace of \(H_\lambda\) associated with its two lowest eigenvalues if they are each simple, or its lowest eigenvalue if it is doubly degenerate. The results of Matsumoto [14] establish that in the vicinity of 10 , there are exactly two eigenvalues for \(H_\lambda\) when \(\lambda\in\mathbb{R}\) and sufficiently large. As a result, using \(R_\lambda(z)Q_{-d,d}\), at real values of \(\lambda\), a contour integral with \(z_\lambda\) as in 10 , i.e., \[\begin{align} \Pi_\lambda Q_{-d,d}=\frac{\operatorname{i}}{2\pi}\oint_{\xi\in\partial B_1(0)}R_\lambda(z_\lambda)Q_{-d,d}z_\lambda'(\xi)\operatorname{d}{\xi} \end{align}\] yields the spectral projection \(\Pi_\lambda\) onto \(\mathcal{V}_\lambda\) after projection with \(Q_{-d,d}\).

    If we now apply this operator to two trial functions, call them \(\Phi_{\pm d}\), which are assumed to be in the range of \(Q_{\pm d}\) respectively to get \(\psi_{\pm_d} := \Pi_\lambda\Phi_{\pm d}\) then, if we can establish that \(\psi_{\pm d}\) are non-zero and linearly independent, we would find that \[\begin{align} \operatorname{span}\left(\Set{\psi_{-d},\psi_d}\right)=\mathcal{V}_\lambda\,. \end{align}\] We note that our choices will not yield \(\Set{\psi_{-d},\psi_d}\) as an orthonormal set but it will nearly be so for \(\lambda\in\mathbb{R}\). The maps \[\begin{align} \Omega_{\Lambda,\varepsilon}\ni\lambda\mapsto \psi_{\pm d} \in L^2(\mathbb{R}^2) \end{align}\] are manifestly analytic, but if we orthonormalized the set we might spoil that property.

  4. We consider now the \(2\times 2\) matrices \[\begin{align} \label{eq:Gramian32and32two32by32two32matrix} M_\lambda := \Set{\langle \psi_{\alpha,\color{red}\overline{\lambda}\color{black}}, H_\lambda \psi_{\beta,\lambda} \rangle}_{\alpha,\beta=\pm d} \qquad G_\lambda := \Set{\langle \psi_{\alpha,\color{red}\overline{\lambda}\color{black}}, \psi_{\beta,\lambda} \rangle}_{\alpha,\beta=\pm d}\,. \end{align}\tag{26}\] These two matrices clearly have elements which are analytic functions of \(\lambda\) by the considerations above.

    Routine linear algebra (see below) shows that, when \(\lambda\in\mathbb{R}\), with \(E_1(\lambda),E_0(\lambda)\) the two eigenvalues of \(H_\lambda\) within \(\mathcal{V}_\lambda\), \[\begin{align} \det(G_\lambda)^2 \left(E_1(\lambda)-E_0(\lambda)\right)^2 = \operatorname{tr}\left(\operatorname{adj}(G_\lambda) M_\lambda\right)^2 - 4 \det(G_\lambda) \det(M_\lambda)\nonumber\\ \end{align}\] with \[\begin{align} \operatorname{adj}(M) \equiv \begin{bmatrix} m_{22} & - m_{12} \\ -m_{21} & m_{11} \end{bmatrix}\qquad(M \in \operatorname{Mat}_{2\times 2}(\mathbb{C}))\,. \end{align}\] I.e., we find \[\begin{align} \label{eq:splitting32via32232by32232matrix} \det(G_\lambda)^2 \Delta_0(\lambda)^2 = \operatorname{tr}\left(\operatorname{adj}(G_\lambda) M_\lambda\right)^2 - 4 \det(G_\lambda) \det(M_\lambda) \qquad(\lambda\in\mathbb{R})\nonumber\\ \end{align}\tag{27}\] and so clearly the map \[\begin{align} \mathbb{R}_{\geq\Lambda} \ni \lambda \mapsto \det(G_\lambda)^2 \Delta_0(\lambda)^2 \in \mathbb{C} \end{align}\] continues to an analytic function \[\begin{align} \Omega_{\Lambda,\varepsilon} \ni \Sigma_\lambda \in \mathbb{C} \end{align}\] via the RHS of 27 . Bounding the matrix elements yields an upper bound on the splitting.

2.3.1 Construction of \(R_\lambda(z)Q_{-d,d}\)↩︎

The argument above for analytically continuing \(\left(h_\lambda-z_\lambda\mathbb{1}\right)^{-1}Q\) relied on the origin being centered at the minimum of \(v\), where it is quadratic. To deal with the double-well system, we would have to adapt that argument to allow for two centers.

9. For the spectral parameter \(z_\lambda\) as in 10 , if the resolvent of the double-well Hamiltonian is given in 25 , then \(\mathbb{R}\ni\lambda\mapsto R_\lambda(z_\lambda)Q_{-d,d}\) extends to an analytic function \[\begin{align} \Omega_{\Lambda,\varepsilon}\ni\lambda\mapsto A_\lambda^{-d,d} \in \mathcal{B}(Q_{-d,d}L^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2)) \end{align}\] with the bound \[\begin{align} \label{eq:estimates32on32the32two-well32resolvent} \left\lVert P_j^\alpha A_\lambda^{-d,d}\right\rVert_{\mathcal{B}(Q_{-d,d}L^2(\mathbb{R}^2))} \lesssim \left|\lambda\right|^{\sharp} \exp\left(C b \left|\lambda\right|\right)\qquad(j=1,2;\alpha=0,1,2) \,. \end{align}\qquad{(10)}\]

Proof. We shall use the magnetic translation operators given in 5 , here factorized as \[\begin{align} \widehat{R}^z =\exp\left(-\operatorname{i}z\cdot P\right)\exp\left(-\operatorname{i}\frac{1}{2}b\lambda z\cdot X^\perp\right)\qquad(z\in\mathbb{R}^2)\,. \end{align}\] These operators are unitary if \(\lambda\in\mathbb{R}\) and otherwise generally not even bounded; in factorized form the two exponentials commute. \(\widehat{R}^z\) commutes with the magnetic kinetic energy \(H^{\rm Landau}_{b,\lambda}\) and obeys \[\begin{align} \label{eq:magnetic32translations32shift32potential} \widehat{R}^{\pm d} v(X) \widehat{R}^{\mp d} = v(X\mp d) \end{align}\tag{28}\] so we have the relation \[\begin{align} \label{eq:magnetic32translations32shift32Hamiltonian} \widehat{R}^{\pm d} \left(H^{\rm Landau}_{b,\lambda} + \lambda^2v(X)\right) \widehat{R}^{\mp d} = H^{\rm Landau}_{b,\lambda} + \lambda^2v(X\mp d)\,. \end{align}\tag{29}\]

Consequently, via the analytic extension of \(\left(h_\lambda-z_\lambda\mathbb{1}\right)^{-1}Q\), \(A_\lambda\), constructed above, we now have right inverse of the translates of the one-well Hamiltonians too: \[\begin{align} \left(H^{\rm Landau}_{b,\lambda} + \lambda^2v(X\mp d)-z_\lambda\mathbb{1}\right) \widehat{R}^{\pm d} A_\lambda \widehat{R}^{\mp d} = Q_{\pm d} \,. \end{align}\] It is clear that the map \[\begin{align} \Omega_{\Lambda,\varepsilon} \ni \lambda \mapsto A_\lambda^{\pm d}:=\widehat{R}^{\pm d} A_\lambda \widehat{R}^{\mp d} \in \mathcal{B}(Q_{\pm d}L^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2)) \end{align}\] is also analytic, but if \(\lambda\) is not real, due to the magnetic translations not being unitary, we have a deteriorated bound. First note that in the magnetic translations, for complex \(\lambda\), \(\exp\left(-\operatorname{i}z\cdot P\right)\) is still unitary and commutes with the other term, so it becomes irrelevant in the operator norm. We thus only keep the factor \(\exp\left(-\operatorname{i}\frac{1}{2}b\lambda z \cdot X^\perp\right)\): \[\begin{align} \left\lVert A_\lambda^{\pm d}\right\rVert &= \left\lVert\exp\left(\mp\operatorname{i}\frac{1}{2}b\lambda d\cdot X^\perp\right)A_\lambda \exp\left(\pm\operatorname{i}\frac{1}{2}b\lambda d\cdot X^\perp\right)\right\rVert_{\mathcal{B}(Q_{\pm d}L^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2))} \\ &\leq \left\lVert\exp\left(\mp\operatorname{i}\frac{1}{2}b\lambda d\cdot X^\perp\right) \left(\chi_{B_{3a}(0)}(X)+\chi_{B_{3a}(0)}(X)^\perp\right) A_\lambda \right\rVert \exp\left(\frac{b \left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right|}{2} \left\lVert d\right\rVert a\right) \\ &\leq \exp\left(3\frac{b \left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right|}{2} \left\lVert d\right\rVert a\right)\left\lVert A_\lambda \right\rVert \exp\left(\frac{b \left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right|}{2} \left\lVert d\right\rVert a\right) + \\ &+ \left\lVert\exp\left(\mp\operatorname{i}\frac{1}{2}b\lambda d\cdot X^\perp\right) \chi_{B_{3a}(0)}(X)^\perp A_\lambda \right\rVert \exp\left(\frac{b \left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right|}{2} \left\lVert d\right\rVert a\right)\,. \end{align}\] Now using ?? controls the first term. To deal with the second term we rewrite \[\begin{align} B_{3a}(0)^c = \bigsqcup_{n=0}^\infty \Set{x\in\mathbb{R}^2 | 3a + n \leq \left\lVert x\right\rVert < 3a + n + 1} \end{align}\] so that, invoking ?? , we get \[\begin{align} \left\lVert\exp\left(\mp\operatorname{i}\frac{1}{2}b\lambda d\cdot X^\perp\right) \chi_{B_{3a}(0)}(X)^\perp A_\lambda \right\rVert &\leq \sum_{n=0}^\infty \exp\left(\frac{b \left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right|}{2} \left\lVert d\right\rVert\left(3a+n+1\right)-c \left|\lambda\right| \left(a+n\right)\right) \end{align}\] so that invoking again the assumption that \(b\) is sufficiently small, we find \[\begin{align} \left\lVert A_\lambda^{\pm d}\right\rVert \lesssim \left|\lambda\right|^{\sharp } \exp\left(C b \left|\lambda\right|\right) \end{align}\] indeed.

Using \(A_\lambda^{\pm d}\), we construct an approximate \(R_\lambda(z_\lambda)Q_{-d,d}\) as \[\begin{align} \widetilde{A_{\lambda}^{-d,d}} := A_\lambda^{d} Q_d + A_\lambda^{-d} Q_{-d}\,. \end{align}\]

Then \[\begin{align} \left(H_\lambda -z_\lambda\mathbb{1}\right)\widetilde{A_{\lambda}^{-d,d}} = Q_{-d,d}+\lambda^2 v(X+d) A_\lambda^{d} Q_d + \lambda^2 v(X-d) A_\lambda^{-d} Q_{-d}\,. \end{align}\] The correction terms \[\begin{align} \lambda^2 v(X+d) A_\lambda^{d} Q_d + \lambda^2 v(X-d) A_\lambda^{-d} Q_{-d} \end{align}\] can be made arbitrarily small thanks to ?? as \(v(X+d)\) is supported within \(Q_{-d}\). Hence the desired operator \[\begin{align} A_\lambda^{-d,d} := \widetilde{A_{\lambda}^{-d,d}}\left(Q_{-d,d}+\lambda^2 v(X+d) A_\lambda^{d} Q_d + \lambda^2 v(X-d) A_\lambda^{-d} Q_{-d}\right)^{-1} \end{align}\] exists and is analytic.

The bound on its derivatives is obtained from the \(\alpha>0\) case of ?? . ◻

2.3.2 Spanning the two dimensional space \(\mathcal{V}_\lambda\)↩︎

We define our two trial functions \[\begin{align} \Phi_{\pm d} := Q_{\pm d} \widehat{R}^{\pm d}\chi(X)\varphi_\lambda^{\rm MHO} \end{align}\] with \(\varphi_\lambda^{\rm MHO}\) as in 22 and the magnetic translations defined in 5 . Here \(\chi\in C^\infty(\mathbb{R}^2\to[0,1])\) is some cut-off function which equals \(1\) on, say \(B_{a/2 }(0)\) and zero on \(B_{3a/4 }(0)^c\) so that the projection onto \(Q_{\pm d}\) is actually redundant. We use \(\chi\) so that \(\Phi_{\pm d}\) would remain smooth even with its compact support (with \(Q_{\pm d}\) alone this would of course not be the case).

With the quasimodes \(\Phi_{\pm d}\) we now define our basis for \(\mathcal{V}_\lambda\) as \[\begin{align} \psi_{\pm d} := \Pi_\lambda Q_{-d,d} \Phi_{\pm d} \end{align}\] These are two vectors within \(\mathcal{V}_\lambda\) that are not orthonormal.

10. For \(\lambda\in\Omega_{\Lambda,\varepsilon}\cap\mathbb{R}\), \(\psi_{\pm d}\) are linearly independent and nearly orthonormal. In particular, \[\begin{align} \left|\langle \psi_{\alpha}, \psi_{\beta} \rangle-\delta_{\alpha,\beta}\right|\lesssim \lambda^{-1/2}\qquad(\alpha,\beta=\pm d)\,. \end{align}\]

Proof. For simplicity we ignore \(\chi\) in the definition of \(\Phi_{\pm d}\), since it is obvious how to correct for it. Using 46 below we see that for real \(\lambda\), \[\begin{align} \left\lVert\Pi_\lambda^\perp \widehat{R}^{\pm d}\varphi_\lambda^{\rm MHO}\right\rVert \lesssim \lambda^{-1/2}\,. \end{align}\] Hence \[\begin{align} \left\lVert\Pi_\lambda^\perp \Phi_{\pm d}\right\rVert \lesssim \lambda^{-1/2} + \left\lVert\Pi_\lambda^\perp Q_{\pm d}^\perp\widehat{R}^{\pm d}\varphi_\lambda^{\rm MHO}\right\rVert\lesssim \lambda^{-1/2}\,. \end{align}\]

We thus learn that \[\begin{align} \left|1-\left\lVert\psi_{\pm d}\right\rVert^2\right| \lesssim \lambda^{-1/2}\,. \end{align}\]

Moreover, \[\begin{align} \left|\langle \psi_{-d}, \psi_{d} \rangle\right| &= \left|\langle \Phi_{-d}, \Pi_\lambda \Phi_{d} \rangle\right| \\ &= \left|\langle Q_{-d} \widehat{R}^{- d}\varphi_\lambda^{\rm MHO}, \Pi_\lambda Q_{d} \widehat{R}^{ d}\varphi_\lambda^{\rm MHO} \rangle\right| \\ &= \left|\langle Q_{-d} \widehat{R}^{- d}\varphi_\lambda^{\rm MHO}, \Pi_\lambda^\perp Q_{d} \widehat{R}^{ d}\varphi_\lambda^{\rm MHO} \rangle\right| \\ &\lesssim \lambda^{-1/2}\,. \end{align}\] ◻

11. The matrix \(G\) defined above in 26 obeys, for large real \(\lambda\), \[\begin{align} \left\lVert G-\mathbb{1}\right\rVert\lesssim \lambda^{-1/2}\,. \end{align}\]

2.3.3 Obtaining the splitting↩︎

Consider the Gramian \(2\times2\) matrix \(G\) defined in 26 . Since \(G>0\), we know that \(G^{-1/2}\) orthonormalizes our basis \(\psi_{\pm d}\), so that \(G^{-1/2} M G^{-1/2}\) yields the restriction of \(\Pi_\lambda H_\lambda \Pi_\lambda\) in the orthonormal basis associated to \(\psi_{\pm d}\), and thus by the usual formula for a \(2\times 2\) matrix, \[\begin{align} \left(E_1-E_0\right)^2 = \left(\operatorname{tr}\left(G^{-1/2} M G^{-1/2}\right)\right)^2-4\det\left(G^{-1/2} M G^{-1/2}\right)\,. \end{align}\] As we explained this formula is inconvenient for our purposes since it is not manifestly analytic.

Thus, we multiply this equation by \(\left(\det G\right)^2\) and use \(\operatorname{adj}\left(G\right)=\det\left(G\right) G^{-1}\) to get \[\begin{align} \label{eq:analytic32continuation32of32the32quqnatity32of32interest} \gamma_\lambda^2\left(E_1-E_0\right)^2 = \left(\operatorname{tr}\left(\operatorname{adj}(G) M \right)\right)^2-4\left(\det G\right) \det M \end{align}\tag{30}\] with \(\gamma_\lambda:=\det G\). This holds as long as \(\lambda\in\Omega_{\Lambda,\varepsilon}\cap\mathbb{R}\) and we take it as the definition of the analytic continuation of the LHS for \(\lambda\in\Omega_{\Lambda,\varepsilon}\). From 11 we have \[\begin{align} \label{eq:bound32on32gamma32lambda} \left|\gamma_\lambda^2-1\right| \lesssim \lambda^{-1/2}\qquad(\lambda\in\Omega_{\Lambda,\varepsilon}\cap\mathbb{R})\,. \end{align}\tag{31}\]

We see that the RHS of 30 is a polynomial in the matrix elements of \(G\) and \(M\), each of which is an analytic function of \(\lambda\) since \(\psi_{\pm d}\) manifestly is, so we are left with establishing the bounds on these matrix elements of \(G\) and \(M\) for \(\lambda \in \Omega_{\Lambda,\varepsilon}\).

The appearance of the magnetic translations with complex \(\lambda\) deteriorates any bound to an exponentially diverging one: \[\begin{align} \left\lVert\psi_d\right\rVert \leq \left\lVert\Pi_\lambda Q_{-d,d}\right\rVert\left\lVert\widehat{R}^d Q\varphi_{\lambda}^{\rm MHO}\right\rVert \end{align}\] and both terms have upper bounds of the form \(\lambda^\sharp\exp\left(C b \left|\lambda\right|\right)\).

To bound the matrix elements of \(M\), we note that the existence of the cut off \(\chi\) in the definition of \(\Phi_{\pm d}\) guarantees the latter is smooth. Moreover, using ?? with \(\alpha=0,1,2\) we get \[\begin{align} \label{eq:derivatives32of32quasimodes32also32bounded} \left\lVert P^\alpha_j \psi_{\pm d}\right\rVert \lesssim \left|\lambda\right|^{\sharp}\exp\left(C b \left|\lambda\right|\right)\qquad(j=1,2;\,\alpha=0,1,2)\,. \end{align}\tag{32}\] Indeed, for \(\alpha=1,2\) the action of \(P\) on \(\psi_{\pm d}\) follows the Leibniz rule. Since \(\chi\) has support within \(B_{a/2}(0)\) the projections \(Q_{\pm d}\) are in fact redundant. When \(P_j\) hits \(\Pi_\lambda\) we use the Riesz representation to estimate \(P A_\lambda^{-d,d}\) and then use ?? .

With 32 , the matrix elements of \(M\) indeed have the necessary upper bound. The proof of 8 is now complete.

3 Lower bounds on analytic functions↩︎

In this section we shall derive lower bounds on functions which are analytic in a region of the complex plane, in the case where we have upper bounds throughout a region and a lower bound at at a single point. Denote the open unit disc and open right half plane by \[\mathbb{D}\equiv \Set{z\in\mathbb{C}:\left|z\right|<1}\quad {\rm and}\quad \mathbb{H}\equiv \Set{z\in\mathbb{C}:\operatorname{\mathbb{R}\mathbb{e}}\left\{z\right\}>0}.\] Our main result is the following:

12. Let \(F:\mathbb{H}\to\mathbb{D}\) (hence \(\sup_{z\in\mathbb{H}}|F(z)|\le1\)) be an analytic function such that for a given \(\beta>0\), \[\begin{align} \label{eq:lower32bound32on32analytic32function32at32a32single32point}\left|F(1)\right|\geq\operatorname{e}^{-\beta}\,. \end{align}\qquad{(11)}\] Then there exists a constant \(C<\infty\) (independent of \(F\) and \(\beta\)) such that for all \(\delta\in(0,1/4)\), \[\begin{align} \frac{1}{\delta}\int_{t=\delta}^{2\delta}-\log\left(\left|F(t)\right|\right)\operatorname{d}{t} \leq C\frac{\beta}{\delta} \end{align}\] and moreover, there exists a constant \(\mu_0\geq0\) such that as \(\delta\to0^+\) we also have \[\begin{align} \frac{1}{\delta}\int_{t=\delta}^{2\delta}\left|-\log\left(\left|F(t)\right|\right)-\frac{1}{t}\mu_0\right|\operatorname{d}{t} = o\left(\frac{1}{\delta}\right)\,. \end{align}\]

A key tool in the proof of 12 is the Blashcke factorization theorem [16] or [17]. While the theorem is typically stated for functions defined on the unit disc, for our purposes it is convenient to state it in the half-plane.

13 (Blaschke factorization theorem). Let \[\begin{align} F:\mathbb{H}\to \mathbb{D} \end{align}\] be analytic such that \(F(1)\neq0\). Further, let \(\Set{a_\nu}_{\nu\in\mathbb{N}}\subseteq\mathbb{H}\) denote its zeros, listed with multiplicity. Then the following hold:

  1. The sum \[\quad \sum_{\nu=1}^{\infty}-\log\left(\left|\frac{1-a_\nu}{1+\overline{a_\nu}}\right|\right)\quad\] converges.

  2. Let phases \(\operatorname{e}^{\operatorname{i}\theta_\nu}\in\mathbb{S}^1\) be chosen so that \[\begin{align} \operatorname{e}^{\operatorname{i}\theta_\nu}\frac{1-a_\nu}{1+\overline{a_\nu}} > 0\,. \end{align}\] Then the product \(\prod_{\nu\ge1}\operatorname{e}^{\operatorname{i}\theta_\nu}\frac{z-a_\nu}{z+\overline{a_\nu}}\) converges uniformly as \(z\) varies in compact subsets of \(\mathbb{H}\). Hence we have an analytic function \(B:\mathbb{H}\to\mathbb{H}\) given by \[\begin{align} \label{eq:Bprod} B(z) := \prod_{\nu\ge 1}\operatorname{e}^{\operatorname{i}\theta_\nu}\frac{z-a_\nu}{z+\overline{a_\nu}} \qquad(z\in\mathbb{H})\,. \end{align}\qquad{(12)}\]

  3. There exists an analytic function \(G:\mathbb{H}\to\mathbb{H}\) such that \(F\) has the factorization \[\begin{align} \label{eq:Blaschke32factorization}F = B\operatorname{e}^{-G}\,. \end{align}\qquad{(13)}\] Moreover, \(\mathbb{H}\ni z\mapsto\operatorname{\mathbb{R}\mathbb{e}}\left\{G(z)\right\}\) is non-negative and harmonic.

14. We remark that: (a) \(B\) vanishes precisely at the points \(\{a_\nu\}_{\nu\ge1}\subseteq\mathbb{H}\), with the same multiplicities as the zeros of \(F\), (b) \(B\) satisfies the bound \(|B(z)|<1\) for \(z\in\mathbb{H}\) (unless \(F\) is a constant function of absolute value \(1\)), and (c) \(|B(z)|\to1\) as \(z\in\mathbb{H}\) as \(z\in\operatorname{i}\mathbb{R}\) a.e. and non-tangentially.

For 12 we seek lower bounds on \(|F|\). By 13, this question is equivalent to upper bounds for the positive expressions: \[-\log|F| = -\log|B| + \operatorname{\mathbb{R}\mathbb{e}}\left\{G\right\}.\] We divide our task into a derivation of, separately, upper bounds for \(-\log|B|\), and for the non-negative harmonic function \(\operatorname{\mathbb{R}\mathbb{e}}\left\{G\right\}\).

Further, in 12 we assume a lower bound at one point, \(|F(1)|\ge \operatorname{e}^{-\beta}\). Hence, using the properties of \(B\) and \(G\) in 13, we have the following a priori information: \[\begin{align} \label{eq:stronger32estimate32due32to32lower32bound-1}\sum_{\nu=1}^{\infty}-\log\left(\left|\frac{1-a_\nu}{1+\overline{a_\nu}}\right|\right)\leq\beta\quad {\rm and}\quad \operatorname{\mathbb{R}\mathbb{e}}\left\{G(1)\right\}\leq\beta\,. \end{align}\tag{33}\] We now embark on the proof of 12. The bounds 33 play a central role.

3.1 Estimates on \(B\)↩︎

In this section we shall prove the following

15 (Blaschke product estimates). Let \(\Set{a_\nu}_{\nu\in\mathbb{N}}\subseteq\mathbb{H}\) be a sequence of points such that for some given \(\beta\in(0,\infty)\), \[\begin{align} \label{eq:assumptions32about32convergence32of32zeros32of32Blaschke32product} \begin{aligned} \sum_{\nu\in\mathbb{N}:\left|a_\nu\right|<1}\operatorname{\mathbb{R}\mathbb{e}}\left\{a_\nu\right\} &< \beta\\ \sum_{\nu\in\mathbb{N}:\left|a_\nu\right|\geq 1}\operatorname{\mathbb{R}\mathbb{e}}\left\{\frac{1}{a_\nu}\right\} &< \beta\,. \end{aligned} \end{align}\qquad{(14)}\] Then the (convergent by ?? ) Blaschke product \[\begin{align} B(z) := \prod_{\nu\in\mathbb{N}} \operatorname{e}^{\operatorname{i}\theta_\nu}\frac{z-a_\nu}{z+\overline{a_\nu}}\qquad(z\in\mathbb{H}) . \end{align}\] obeys the estimate \[\begin{align} \label{eq:B-av} \frac{1}{\delta}\int_{t=\delta}^{2\delta}-\log\left(\left|B(t)\right|\right)\operatorname{d}{t} &\leq C\frac{\beta}{\delta},\quad (\delta\in(0,\frac{1}{4})) \end{align}\qquad{(15)}\] for some universal constant \(C\) (independent of \(\Set{a_\nu}_\nu,\beta\) and \(\delta\)). Moreover, \[\begin{align} \label{eq:small32delta32bound32on32B}\frac{1}{\delta}\int_{t=\delta}^{2\delta}-\log\left(\left|B(t)\right|\right)\operatorname{d}{t} = o\left(\frac{1}{\delta}\right)\, \textrm{as \delta\to 0^+ }. \end{align}\qquad{(16)}\]

16. We shall see below that the summability conditions ?? are a consequence of the first bound in 33 .

The remainder of this subsection is devoted to the proof of 15. The proof will be divided into two parts, based on a decomposition into Blaschke subproducts associated with the zeros of \(B\) which are "small" in magnitude and those which are "large". We let \[\begin{align} \mathcal{S}:= \Set{\nu\in\mathbb{N}: \left|a_\nu\right|<1}\,,\qquad \mathcal{B}:=\mathbb{N}\setminus \mathcal{S}=\Set{\nu\in\mathbb{N}: \left|a_\nu\right|\ge 1}\,. \end{align}\] For convenience we denote the single Blaschke factor (without phases), which vanishes at \(z=a\), by \[\begin{align} \label{eq:basic32Blaschke32factor32on32the32half-plane}B_a(z) := \frac{z-a}{z+\overline{a}}\qquad(a,z\in\mathbb{H}), \end{align}\tag{34}\] and set \[\begin{align} B_\mathcal{S}:= \prod_{\nu\in\mathcal{S}} \operatorname{e}^{i\theta_\nu}B_{a_\nu}, \quad B_{\mathcal{B}} := \prod_{\nu\in\mathcal{B}} \operatorname{e}^{i\theta_\nu} B_{a_\nu}. \end{align}\] Then, the Blaschke product may be written as \[B = B_\mathcal{S}\;B_\mathcal{B}.\]

Note that for fixed \(a\in\mathbb{H}\), \(B_a:\mathbb{H}\to\mathbb{D}\) is a conformal mapping which vanishes only at \(z=a\) and which maps \(\partial \mathbb{H}\) to \(\partial \mathbb{D}\). Hence \(\mathbb{H}\ni z\mapsto-\log\left(\left|B(z)\right|\right)\) is non-negative and a finite upper bound on it implies a strictly positive exponential lower bound on \(|B(z)|\).

To prove 15 we establish ?? and ?? separately for \(B_\mathcal{S}\) and \(B_\mathcal{B}\).

3.1.1 The "small" Blaschke product, \(B_\mathcal{S}\)↩︎

To study the product \(B_\mathcal{S}\) it will be convenient to have some elementary estimates on the single factors.

17 (Estimate on a single Blaschke factor). Let \(t>0\) and \(a\in\mathbb{H}\). Then

  1. We have \[\begin{align} \label{eq:el32est321}-\log\left(\left|B_a(t)\right|\right)\leq-\log\left(\left|B_{\operatorname{\mathbb{R}\mathbb{e}}\left\{a\right\}}(t)\right|\right)\,. \end{align}\qquad{(17)}\]

  2. Assume that \[\textrm{either}\qquad 0<\frac{\operatorname{\mathbb{R}\mathbb{e}}\left\{a\right\}}{t}<\frac{1}{2}\quad {\rm or} \quad 2< \frac{\operatorname{\mathbb{R}\mathbb{e}}\left\{a\right\}}{t}<\infty.\] Then, \[\begin{align} \label{eq:intermediate32x32m32func32estimate}-\log\left(\left|B_a(t)\right|\right)\leq 4 \min\left(\Set{\frac{\operatorname{\mathbb{R}\mathbb{e}}\left\{a\right\}}{t}, \frac{t}{\operatorname{\mathbb{R}\mathbb{e}}\left\{a\right\}}}\right)\,. \end{align}\qquad{(18)}\]

Proof. It is convenient to introduce, for \(x>0\), the shorthand: \[\begin{align} \mathfrak{m}\left(x\right) := \min\Set{x,\frac{1}{x}}= x\; \chi_{(0,1)}(x) + \frac{1}{x}\; \chi_{[1,\infty)}(x)\;. \end{align}\] Let us write \(a =: \alpha+\operatorname{i}\beta\) with \(\alpha>0\), since \(a\in\mathbb{H}\). Then \[\begin{align} \label{eq:the32equation32before32EE1}1-\left|B_a(t)\right|^2 = \frac{4\alpha t}{(t+\alpha)^2+\beta^2}\leq\frac{4\alpha t}{(t+\alpha )^2 }= 1-\left|B_\alpha(t)\right|^2 \end{align}\tag{35}\] from which ?? follows. To prove ?? , we first observe a scaling property of \(B_x(t)\):
\[\begin{align} \textrm{For x>0},\quad \left|B_x(t)\right| =\left|\frac{t-x}{t+x}\right| = \left|\frac{1-x/t}{1+x/t}\right|= \left|B_{\frac{x}{t}}(1)\right|.\label{eq:scaling32property32of32B} \end{align}\tag{36}\] Therefore, to prove the bound ?? it suffices to bound \(-\log\left(B_x\right)\) for \(x=\operatorname{\mathbb{R}\mathbb{e}}\left\{a\right\}/t\).

First let \(x\in(0,\frac{1}{2})\). Then, \(\left|B_x(1)\right| = \frac{1-x}{1+x}\). Since over this range of \(x\), \(\log(1+x)\le x\) and \(-\log(1-x)=\int_0^x(1-s)^{-1}\operatorname{d}{s}\le x(1-x)^{-1}=-1+ (1-x)^{-1}\), we have \[\begin{align} -\log\left(\left|B_x(1)\right|\right)=\log\left(1+x\right)-\log\left(1-x\right)\leq x -1+\frac{1}{1-x}=\frac{x(2-x)}{1-x}\leq 2x(2-x)\leq 4x\,. \end{align}\]

The case \(x>2\) follows at once from the case \(x<1/2\) since \(B_x(1) = B_{1/x}(1)\). ◻

We now turn to the lower bound on \(B_\mathcal{S}\). Recall the notation \(\alpha_\nu := \operatorname{\mathbb{R}\mathbb{e}}\left\{a_\nu\right\}\). By ?? , \(-\log\left(\left|B_\mathcal{S}(t)\right|\right) \le \sum_{\nu\in\mathcal{S}}-\log\left(\left|B_{\alpha_\nu}(t)\right|\right)\). Next, we further decompose this upper bound as follows. For any \(t>0\), \[\begin{align} -\log\left(\left|B_\mathcal{S}(t)\right|\right) &\le \sum_{\substack{\nu\in\mathcal{S}\nonumber\\ t/\alpha_{\nu}\in \mathbb{R}^+\setminus[1/2,2]}}-\log\left(\left|B_{\alpha_\nu}(t)\right|\right)+\sum_{\substack{\nu\in\mathcal{S}\\ t/\alpha_{\nu}\in[1/2,2]}}-\log\left(\left|B_{\alpha_\nu}(t)\right|\right)\\ &=:\quad {\rm SUM}_{\mathcal{S},\mathrm{out}}(t) + {\rm SUM}_{\mathcal{S},\mathrm{in}}(t) \label{eq:decomp32of32B} \end{align}\tag{37}\] Note that by analyticity of \(z\mapsto B_\mathcal{S}(z)\) on \(\mathbb{H}\), \({\rm SUM}_{\mathcal{S},\mathrm{in}}(t)\) is a finite sum, whereas \({\rm SUM}_{\mathcal{S},\mathrm{out}}(t)\) may be an infinite sum.

We’ll now average the bound 37 over some interval \(t\in[\delta,2\delta]\) of length \(\delta>0\). For the first term on the RHS of 37 , we apply ?? and average over an interval \([\delta,2\delta]\) to obtain \[\frac{1}{\delta} \int_\delta ^{2\delta} {\rm SUM}_{\mathcal{S},\mathrm{out}}(t)\operatorname{d}{t} \le 4 \sum_{\substack{\nu\in\mathcal{S}\\ t/\alpha_{\nu}\in \mathbb{R}^+\setminus[1/2,2]}} \frac{1}{\delta} \int_\delta ^{2\delta} \mathfrak{m}\left(t/\alpha_\nu\right)\operatorname{d}{t}.\] We shall apply the following

18. For any \(\alpha>0\), \(\delta>0\) we have \[\begin{align} \label{eq:av-mfun-bound} \frac{1}{\delta}\int_{t=\delta}^{2\delta}\mathfrak{m}\left(t/\alpha\right)\operatorname{d}{t} \leq \frac{3}{2}\mathfrak{m}\left(\delta/\alpha\right)\,. \end{align}\qquad{(19)}\]

Proof. First we note that \[\begin{align} \label{eq:mfun32decomp} \mathfrak{m}\left(t/\alpha\right) \equiv \min\Big\{\frac{t}{\alpha},\frac{\alpha}{t}\Big\} = \frac{1}{\alpha}\;t\; \chi_{(0,\alpha]}(t) + \alpha\;\frac{1}{t}\; \chi_{(\alpha,\infty)}(t)\;. \end{align}\tag{38}\] For a fixed \(\delta>0\), consider the three cases: (i) \(\alpha<\delta\), (ii) \(\alpha> 2\delta\) and (iii) \(\delta \le \alpha\le 2\delta\).

For the first case, when \(\alpha<\delta\le t\le 2\delta\), \(\mathfrak{m}\left(t/\alpha\right)=\alpha/t\) and we get \[\begin{align} \frac{1}{\delta}\int_{t=\delta}^{2\delta}\mathfrak{m}\left(t/\alpha\right)\operatorname{d}{t} &= \frac{\alpha}{\delta} \left[\log(2\delta)-\log(\delta)\right] = \log(2)\frac{\alpha}{\delta} {=} \log 2 \;\mathfrak{m}\left(\delta/\alpha\right). \end{align}\]

For the second case, when \(\delta\le t \le 2\delta<\alpha\), \(\mathfrak{m}\left(t/\alpha\right)=t/\alpha\) and we get \[\begin{align} \frac{1}{\delta}\int_{t=\delta}^{2\delta}\mathfrak{m}\left(t/\alpha\right)\operatorname{d}{t} &= \frac{1}{\delta\alpha} \frac{1}{2}\left((2\delta)^2-\delta^2\right) = \frac{3}{2}\frac{\delta}{\alpha} =\frac{3}{2}\;\mathfrak{m}\left(\delta/\alpha\right)\,. \end{align}\]

Finally, let \(\delta\le \alpha\le 2\delta\). Then, we get: \[\begin{align} \frac{1}{\delta}\int_{\delta}^{2\delta}\mathfrak{m}\left(t/\alpha\right)\operatorname{d}{t} &= \frac{1}{\delta}\int_{\delta}^{\alpha} \frac{t}{\alpha}\operatorname{d}{t} + \frac{1}{\delta}\int_{\alpha}^{2\delta} \frac{\alpha}{t} \operatorname{d}{t} \\ &= \frac{1}{2\delta\alpha}(\alpha^2-\delta^2)+\frac{\alpha}{\delta}\log\left(\frac{2\delta}{\alpha}\right)\\ &\leq 2-\frac{1}{2}\left(\frac{\alpha}{\delta}+\frac{\delta}{\alpha}\right)\\ &\leq \frac{3}{2}\frac{\delta}{\alpha}=\frac{3}{2}\mathfrak{m}\left(\delta/\alpha\right)\,. \end{align}\] The bounds over regions (i), (ii) and (iii) imply ?? . ◻

Applying 18 we have \[\label{eq:SUM95out-bd} \frac{1}{\delta} \int_\delta ^{2\delta} {\rm SUM}_{\mathcal{S},\mathrm{out}}(t)\operatorname{d}{t} \le 6\;\sum_{\nu\in\mathcal{S}}\mathfrak{m}\left(\delta/\alpha_\nu\right) .\tag{39}\] Next, averaging the second term in 37 , we prefer to convert the characteristic function of \(t/\alpha_\nu\in[1/2,2]\) into one which does not depend on \(t\) but rather only on \(\delta\). The characteristic function is equivalent to the requirement that \(\alpha\in t[1/2,2]\). But \(t\in[\delta,2\delta]\) already, so \(t[1/2,2]\subseteq \delta[1/2,4]\). Once we get rid of the \(t\) dependence in the characteristic function we are left with evaluating the integral. We find \[\begin{align} \frac{1}{\delta}\int_\delta^{2\delta} {\rm SUM}_{\mathcal{S},\mathrm{in}}(t)\operatorname{d}{t} &= \frac{1}{\delta}\int_\delta^{2\delta}\;\sum_{\nu\in\mathcal{S}} \chi_{ [1/2,2]}(t/\alpha_{\nu})\;\left(-\log\Big|\frac{t-\alpha_\nu}{t+\alpha_\nu} \Big|\;\right)\operatorname{d}{t}\\ &\le \sum_{\nu\in\mathcal{S}} \chi_{[1/4,4](\frac{\alpha_{\nu}}{\delta})}\frac{1}{\delta} \int_\delta^{2\delta}\;\left(-\log\Big|\frac{t-\alpha_\nu}{t+\alpha_\nu} \Big|\;\right)\operatorname{d}{t}\,. \end{align}\] Note that \[\frac{1}{\delta} \int_\delta^{2\delta}\;\left(-\log\Big|\frac{t-\alpha_\nu}{t+\alpha_\nu} \Big|\;\right)\operatorname{d}{t} = \int_1^{2}\;\left(-\log\Big|\frac{s-\frac{\alpha_\nu}{\delta}}{s+\frac{\alpha_\nu}{\delta}} \Big|\;\right)\operatorname{d}{s} \le C_{\mathrm{in}},\] where \[C_{\mathrm{in}}:= \sup_{y\in[1/4, 4]} \int_1^{2}\;\left(-\log\Big|\frac{s-y}{s+y} \Big|\;\right)\operatorname{d}{s} \leq 3\,.\] This last estimate is obtained, for instance by numerical integration.

Thus, \[\begin{align} \label{eq:SUM95in-bound} \frac{1}{\delta}\int_\delta^{2\delta} {\rm SUM}_{\mathcal{S},\mathrm{in}}(t)\operatorname{d}{t} &\le 3 \sum_{\nu\in\mathcal{S}\,:\,\alpha_\nu\in [\delta/4,4\delta]} \;1 \end{align}\tag{40}\] which is finite by analyticity of \(B_\mathcal{S}\).

Combining 40 together with 39 we find \[\begin{align} \frac{1}{\delta}\int_{t=\delta}^{2\delta}-\log\left(\left|B_\mathcal{S}(t)\right|\right) \operatorname{d}{t} &\leq 6 \sum_{\nu\in\mathcal{S}}\mathfrak{m}\left(\delta/\alpha_\nu\right)+3\sum_{\nu\in\mathcal{S},\;\alpha_\nu\in [\delta/4,4\delta]} \;1. \end{align}\] We next re-express the last sum in terms of \(\mathfrak{m}\). Note that if \(\delta/4\le \alpha\le 4\delta\), then \(1/4\le \mathfrak{m}\left(\alpha/\delta\right)\le 4\) and hence \(1\leq 4\mathfrak{m}\left(\delta/\alpha\right)\). Therefore, \[\begin{align} \label{eq:penult-small-avg} \frac{1}{\delta}\int_{t=\delta}^{2\delta}-\log\left(\left|B_\mathcal{S}(t)\right|\right) \operatorname{d}{t}\leq \left(6 + 12\right)\;\sum_{\nu\in\mathcal{S}}\mathfrak{m}\left(\delta/\alpha_\nu\right). \end{align}\tag{41}\]

To prove the bound ?? for the “small Blaschke product", \(B_\mathcal{S}\), we use \(\mathfrak{m}\left(x\right)\le x^{-1}\), to obtain from 41 \[\begin{align} \label{eq:Bs-crude-bd} \frac{1}{\delta}\int_{t=\delta}^{2\delta}-\log\left(\left|B_\mathcal{S}(t)\right|\right) \operatorname{d}{t}\leq 18\delta^{-1}\;\sum_{\nu\in\mathcal{S}}\alpha_\nu\le 18\frac{\beta}{\delta}, \end{align}\tag{42}\] where in the last step we used the summability hypothesis ?? .

Let us now do a more refined analysis of the upper bound 41 to prove ?? for \(B_\mathcal{S}\). For any \(\varepsilon>0\), we will show that there exists a \(\delta\) such that \[\begin{align} \sum_{\nu\in\mathcal{S}}\mathfrak{m}\left(\delta/\alpha_\nu\right)\leq \frac{\varepsilon}{\delta} \end{align}\] and hence the result. Fix some \(\xi<1\). We then divide \(\mathcal{S}\) further into two sets: \[\begin{align} \mathcal{S}= \mathcal{S}_\xi\sqcup\left(\mathcal{S}\setminus\mathcal{S}_\xi\right)\,,\qquad\mathcal{S}_\xi := \Set{\nu\in\mathbb{N}:\alpha_\nu<\delta^\xi}\,. \end{align}\]

On \(\mathcal{S}_\xi\): The sequence \(\Set{\chi_{(0,\delta^\xi)}(\alpha_\nu)\alpha_\nu}_{\delta>0}\) converges to zero as \(\delta\to0^+\) for fixed \(\nu\). Moreover, it is summable at \(\delta=\infty\) thanks to ?? . If a series converges, then as \(n\to\infty\), the sum of all terms past term \(n\) tends to zero. Hence,\[\begin{align} \lim_{\delta\to 0^+}\sum_{\nu\in\mathcal{S}}\chi_{(0,\delta^\xi)}(\alpha_\nu)\alpha_\nu = 0\,. \end{align}\]

On the set \(\mathcal{S}\setminus\mathcal{S}_\xi\), we have \(\alpha_\nu\geq\delta^\xi>\delta\) so \(\mathfrak{m}\left(\delta/\alpha_\nu\right)=\frac{\delta}{\alpha_\nu}\leq\frac{\alpha_\nu}{\delta^{2\xi-1}}\) and so \[\begin{align} \sum_{\nu\in\mathcal{S}\setminus\mathcal{S}_\xi}\mathfrak{m}\left(\alpha_\nu/\delta\right)\leq\sum_{\nu\in\mathcal{S}}\frac{\alpha_\nu}{\delta^{2\xi-1}}\leq\frac{\beta}{\delta^{2\xi-1}}\,. \end{align}\]

Combining these two together we find that for any \(\varepsilon>0\) there is some \(\delta_\varepsilon>0\) such that if \(\delta<\delta_\varepsilon\) then \[\begin{align} \sum_{\nu\in\mathcal{S}}\mathfrak{m}\left(\delta/\alpha_\nu\right) &\leq \sum_{\nu\in\mathcal{S}_\xi}\mathfrak{m}\left(\delta/\alpha_\nu\right) + \sum_{\nu\in\mathcal{S}\setminus\mathcal{S}_\xi}\mathfrak{m}\left(\delta/\alpha_\nu\right) \\ &\leq \frac{1}{\delta}\sum_{\nu\in\mathcal{S}_\xi}\alpha_\nu + \frac{\beta}{\delta^{2\xi-1}} \\ &\leq \frac{\varepsilon}{\delta} + \frac{\beta}{\delta^{2\xi-1}}=\frac{1}{\delta}\left(\varepsilon+\beta\delta^{2\left(1-\xi\right)}\right)\,. \end{align}\]

Since \(\varepsilon\) was arbitrary and \(\xi< 1\) we obtain the result.

3.1.2 The "big" Blaschke product, \(B_\mathcal{B}\)↩︎

Finally we tend to bounding \(B_\mathcal{B}\), where \(\mathcal{B}\equiv \Set{\nu\in\mathbb{N}:\left|a_\nu\right|\geq1}\). Note that due to the scaling property 36 we have \[\begin{align} -\log\left(\left|B_\mathcal{B}(t)\right|\right)=\sum_{\nu\in\mathcal{B}}-\log\left(\left|B_{a_\nu}(t)\right|\right) = \sum_{\nu\in\mathcal{B}}-\log\left(\left| B_{a_\nu^{-1}}(t^{-1})\right|\right). \end{align}\] Since \(z\mapsto z^{-1}\) maps \(\mathbb{R}^+\) to \(\mathbb{R}^+\), and \(\mathbb{H}\) to \(\mathbb{H}\), we apply part 2 of 17 and deduce that \[\textrm{if 0<t \operatorname{\mathbb{R}\mathbb{e}}\left\{\frac{1}{a_\nu}\right\}<1/2,\quad then }\quad -\log\left(\left| B_{a_\nu^{-1}}(t^{-1})\right|\right)\le 4 \mathfrak{m}\left(t\operatorname{\mathbb{R}\mathbb{e}}\left\{\frac{1}{a_\nu}\right\}\right)= 4t\operatorname{\mathbb{R}\mathbb{e}}\left\{\frac{1}{a_\nu}\right\}.\] The above condition holds for \(0<t<1/2\) and \(|a_\nu|\ge1\) since \[0<t\operatorname{\mathbb{R}\mathbb{e}}\left\{\frac{1}{a_\nu}\right\}= t\frac{\alpha_\nu}{|a_\nu|^2}\le t<1/2.\] Therefore, using the assumed summability of \(\operatorname{\mathbb{R}\mathbb{e}}\left\{a_\nu^{-1}\right\}\) in ?? , we have \[\begin{align} -\log\left(\left|B_\mathcal{B}(t)\right|\right)\le 4t \sum_{\nu\in\mathcal{B}}\operatorname{\mathbb{R}\mathbb{e}}\left\{\frac{1}{a_\nu}\right\}<4t\beta\;. \end{align}\] Finally, we average the previous bound over the interval \([\delta,2\delta]\) and obtain \[\begin{align} \frac{1}{\delta}\int_{t=\delta}^{2\delta}-\log\left(\left|B_\mathcal{B}(t)\right|\right)\operatorname{d}{t} \leq 6\beta\delta\,. \end{align}\]

The proof of 15 is now complete.

3.2 Bounds on \(\operatorname{\mathbb{R}\mathbb{e}}\left\{G\right\}\)↩︎

Recall from 13 that \(F=e^{-G}\;B\), where \(B\) is a Blaschke product and \(G:\mathbb{H}\to\mathbb{H}\) analytic with \(\operatorname{\mathbb{R}\mathbb{e}}\left\{G\right\}\ge0\). And therefore, to bound on \(|F|\) from below on \(\mathbb{H}\), we need upper bounds on \(-\log |B|\) and on \(\operatorname{\mathbb{R}\mathbb{e}}\left\{G\right\}\) on \(\mathbb{H}\). Upper bounds (on average) for \(-\log |B|\) were proved in the previous section. We now turn to upper bounds on \(G_R:=\operatorname{\mathbb{R}\mathbb{e}}\left\{G\right\}\).

Since \(G_R:\mathbb{H}\to[0,\infty)\) is harmonic it has a representation as a Poisson integral with respect to a finite non-negative measure \(\mu\) and some constant \(A\geq 0\) (see e.g. [18]): For any \(x+\operatorname{i}y\in \mathbb{H}\), \[\begin{align} \label{eq:Herglotz32rep}G_R(x+\operatorname{i}y) = Ax+\int_{\psi\in\mathbb{R}}\frac{x}{\left(y-\psi\right)^2+x^2}\operatorname{d}{\mu(\psi)}. \end{align}\tag{43}\] We note that \[\begin{align} \label{eq:GR1-bd} 0< G_R(1) = A+\int_{\psi\in\mathbb{R}}\frac{1}{\psi^2+1}\operatorname{d}{\mu(\psi)}\leq\beta, \end{align}\tag{44}\] by the second bound in 33 .

We shall make use of the following

19. Suppose that \(\mu\) is a positive measure on \(\mathbb{R}\) such that there exists \(\beta\in(0,\infty)\) such that \[\begin{align} \label{eq:assumption32on32Poisson32measure32to32get32estimate}\int_{\psi\in\mathbb{R}}\frac{1}{\psi^2+1}\operatorname{d}{\mu(\psi)} < \beta\,. \end{align}\qquad{(20)}\] Define \(u:\mathbb{H}\to[0,\infty)\) via \[\begin{align} \label{eq:u-Poisson} u(t+\operatorname{i}y) := \int_{\psi\in\mathbb{R}}\frac{t}{\left(y-\psi\right)^2+t^2}\operatorname{d}{\mu(\psi)}\qquad(t+\operatorname{i}y\in\mathbb{H})\,. \end{align}\qquad{(21)}\] Then, for \(0<t<1\): \[\begin{align} \label{eq:u-bd} 0\leq u(t)\leq \frac{\beta}{t}\,. \end{align}\qquad{(22)}\]

Furthermore, for any \(\varepsilon>0\), if \(t>0\) is sufficiently small, then \[\begin{align} \label{eq:u-mu-term-bd} u(t) - \frac{1}{t}\mu(\Set{0}) \leq \frac{\varepsilon}{t}\,. \end{align}\qquad{(23)}\]

Proof. Using the elementary bound \[\begin{align} \label{eq:id32for32Poisson32kernel} \frac{t}{t^2+\psi^2}\leq \frac{1}{t} \frac{1}{1+\psi^2},\qquad\textrm{for 0<t<1,} \end{align}\tag{45}\] we obtain ?? as follows: For \(0<t<1\), \[\begin{align} u(t) &\equiv \int_{\psi\in\mathbb{R}}\frac{t}{t^2+\psi^2}\operatorname{d}{\mu(\psi)} \le \frac{1}{t}\int_{\psi\in\mathbb{R}}\frac{1}{1+\psi^2}\operatorname{d}{\mu(\psi)} \leq \frac{\beta}{t}\,. \end{align}\]

We next turn the proof of ?? . Let \(\eta>0\) be given. Then we decompose \[\begin{align} \mathbb{R}= \Set{0} \sqcup \left([-\eta,\eta]\setminus\Set{0}\right) \sqcup \left(\mathbb{R}\setminus[-\eta,\eta]\right)\,. \end{align}\] and, correspondingly, in the Poisson integral ?? defining \(u\). We obtain, for \(0<t<1\): \[\begin{align} u(t) \leq \frac{1}{t}\mu(\Set{0})+\frac{1}{t}\int_{0<|\psi|\le\eta}\frac{1}{1+\psi^2}\operatorname{d}{\mu(\psi)}+\frac{t(1+\eta^2)}{t^2+\eta^2}\beta\;. \end{align}\] For the second term we used 45 and for the third term we used \[\begin{align} \frac{t(1+\psi^2)}{t^2+\psi^2}\leq \frac{t(1+\eta^2)}{t^2+\eta^2}\Longleftrightarrow \left(1-t^2\right)\left(\eta^2-\psi^2\right)\leq 0,\quad \textrm{for \left|\psi\right|\geq\eta and 0<t<1}\,. \end{align}\] Next, given any \(\varepsilon>0\), we can pick \(\eta_\varepsilon>0\) sufficiently small so that \[\begin{align} \int_{0<|\psi|\le\eta_\varepsilon}\frac{1}{1+\psi^2}\operatorname{d}{\mu(\psi)}\leq \varepsilon/2\,. \end{align}\] Fixing \(\eta_\varepsilon\), we now choose \(t>0\) sufficiently small, so that \(\frac{t(1+\eta_\varepsilon^2)}{t^2+\eta_\varepsilon^2}\beta\leq\varepsilon/2\). Hence, for all \(t>0\) sufficiently small, \(0\leq u(t) - t^{-1}\mu(\Set{0})\;\leq\; \varepsilon t^{-1}\). The proof of 19 is now complete. ◻

3.3 Proof of 12; lower bound on \(|F|\) for \(F:\mathbb{H}\to\mathbb{D}\) analytic.↩︎

In this section we combine the results of the two preceding sections, 15 and 19 to give a

Proof of 12. Recall that

  1. By 13, \(F\) factors into a Blaschke product, \(B\), and a non-vanishing analytic function, \(\operatorname{e}^{-G}\), both analytic on \(\mathbb{H}\): \[\begin{align} F(z) = \operatorname{e}^{-G(z)}\prod_{\nu\ge 1}B_{a_\nu}(z) = \operatorname{e}^{-G(z)}B(z), \end{align}\] where \(\Set{a_\nu}_{\nu\in\mathbb{N}}\subseteq\mathbb{H}\) are the zeros of \(F\) in \(\mathbb{H}\) (with multiplicity listed).

  2. The assumed lower bound ?? , \(|F(1)|\ge \operatorname{e}^{-\beta}\), implies the upper bounds 33 : \[\begin{align} -\log\left(\left|B_a(1)\right|\right) &= \sum_{\nu=1}^{\infty}-\log\left(\left|B_{a_\nu}(1)\right|\right)<\beta,\; \textrm{and} \tag{46} \\ 0< \operatorname{\mathbb{R}\mathbb{e}}\left\{G(1)\right\} &= G_R(1)<\beta \tag{47} \end{align}\]

We first show that 46 implies the summability ?? . Write \(a_\nu=:\alpha_\nu+\operatorname{i}\beta_\nu\). Using ?? and the bound \(-\log y^2\ge 1-y^2\) and 35 for \(t=1\), i.e. that \(1-|B_a(1)|^2= 4\alpha/[(1+\alpha)^2+\beta^2]\), \[\begin{align} \nonumber \beta &> \frac{1}{2}\sum_{\nu=1}^{\infty}-\log\left(\left|B_{a_\nu}(1)^2\right|\right) \ge \frac{1}{2}\sum_{\nu=1}^{\infty}\left(1-|B_{a_\nu}(1)|^2\right)\\ \label{eq:beta-sum} &\ge \frac{1}{2}\sum_{|a_\nu|\le 1}\left(1-|B_{a_\nu}(1)|^2\right)=\sum_{|a_\nu|\le 1} \frac{2\operatorname{\mathbb{R}\mathbb{e}}\left\{a_\nu\right\}}{(1+\operatorname{\mathbb{R}\mathbb{e}}\left\{a_\nu\right\})^2+\operatorname{\mathbb{I}\mathbb{m}}\left\{a_\nu\right\}^2}\ge \frac{1}{2}\;\sum_{|a_\nu|\le 1} \operatorname{\mathbb{R}\mathbb{e}}\left\{a_\nu\right\}\;. \nonumber\\ \end{align}\tag{48}\] Here, we used that \[\begin{align} \label{eq:z-ratio} \frac{2\operatorname{\mathbb{R}\mathbb{e}}\left\{z\right\}}{(1+\operatorname{\mathbb{R}\mathbb{e}}\left\{z\right\})^2+\operatorname{\mathbb{I}\mathbb{m}}\left\{z\right\}^2}\ge \frac{1}{2}\;\operatorname{\mathbb{R}\mathbb{e}}\left\{z\right\}, \quad\textrm{if |z|^2\le 1 and \operatorname{\mathbb{R}\mathbb{e}}\left\{z\right\}>0.} \end{align}\tag{49}\] This proves the first summability bound in ?? .

Next, using the first line of 48 and the scaling property \(|B_a(1)|=|B_{1/a}(1)|\), we have \[\begin{align} \label{eq:1-over-a-sum}\beta> \frac{1}{2}\sum_{\nu=1}^{\infty}-\log\left(\left|B_{a_\nu}(1)^2\right|\right) & \ge \frac{1}{2}\sum_{|a_\nu|\ge 1}\left(1-|B_{a_\nu}(1)|^2\right)\; =\;\frac{1}{2}\sum_{|1/a_\nu|\le 1}\left(1-|B_{1/a_\nu}(1)|^2\right)\;. \end{align}\tag{50}\] We may now apply the bound 48 , with \(a_\nu\) replaced by \(1/a_\nu\), to 50 and we obtain \[\frac{1}{2}\;\sum_{|a_\nu|\geq1} \operatorname{\mathbb{R}\mathbb{e}}\left\{\frac{1}{a_\nu}\right\} \le \beta.\] This proves the second summability bound in ?? .

Thus, we may apply the bounds: ?? , ?? , and ?? , ?? . Recall \(-\log|F|=G_R-\log|B|\). Using ?? and ?? we have, for \(\delta\in(0,1/4)\), \[\begin{align} \frac{1}{\delta}\int_{t=\delta}^{2\delta}-\log\left(\left|F(t)\right|\right)\operatorname{d}{t} &= \frac{1}{\delta}\int_{t=\delta}^{2\delta}G_R(t)\operatorname{d}{t} + \frac{1}{\delta}\int_{t=\delta}^{2\delta}-\log\left(\left|B(t)\right|\right)\operatorname{d}{t} \\ &\leq \frac{1}{\delta}\int_{t=\delta}^{2\delta}\left(\beta t+\frac{\beta}{t}\right)\operatorname{d}{t} + 18 \frac{\beta}{\delta} = (18+\log(2)+\frac{3}{2}\delta^2)\frac{\beta}{\delta}, \end{align}\] where the term \(\beta t\) comes from \(Ax\) in 43 . This is the first conclusion of 12. The second conclusion of 12 is obtained from ?? and ?? as follows: , \[\begin{align} \frac{1}{\delta}\int_{t=\delta}^{2\delta}\left|-\log\left(\left|F(t)\right|\right)-\frac{1}{t}\mu(\Set{0})\right|\operatorname{d}{t} &= \frac{1}{\delta}\int_{t=\delta}^{2\delta}\left|-\log\left(\left|B(t)\right|\right)+G_R(t)-\frac{1}{t}\mu(\Set{0})\right|\operatorname{d}{t} \\ &\leq \frac{1}{\delta}\int_{t=\delta}^{2\delta}-\log\left(\left|B(t)\right|\right)\operatorname{d}{t} + \frac{1}{\delta}\int_{t=\delta}^{2\delta}\left(G_R(t)-\frac{1}{t}\mu(\Set{0})\right)\operatorname{d}{t} \\ &= o\left(\frac{1}{\delta}\right),\quad \textrm{as \delta\to 0^+}. \end{align}\] This completes the proof of 12. ◻

3.4 Passing from \(\mathbb{H}\) to a wedge↩︎

Define the wedge in \(\Gamma_\alpha\subset\overline{\mathbb{H}}\): \[\begin{align} \Gamma_\alpha := \Set{z\in\mathbb{C}:-\alpha\pi/2<\operatorname{Arg}(z)<\alpha\pi/2},\quad 0<\alpha\le 1. \end{align}\] Here \(\operatorname{Arg}(z)\) is the principal value, taking values \(-\pi <\operatorname{Arg}(z)\le \pi\). The mapping \(\mathbb{H}\ni z\mapsto z^{-\alpha}\in\Gamma_\alpha\)is a conformal equivalence (to define its inverse we use the principal branch of the logarithm), so given an analytic mapping \(\Gamma_\alpha\to\mathbb{D}\), we may precompose it with the map \(\left(z\mapsto z^{-\alpha}\right):\mathbb{H}\to\Gamma_\alpha\) to apply our earlier results on analytic maps \(\mathbb{H}\to\mathbb{D}\). So, two things are happening here: (i) the lower bounds now apply to analytic functions on a wedge and (ii) the lower bounds apply to large magnitudes within the wedge, since \(t\to0^+\) is mapped to a neighborhood of infinity (which better suits our applications outside this section).

We obtain

20 (Lower bounds on analytic functions in a wedge \(\Gamma_\alpha\)). Let \(F:\Gamma_\alpha\to\mathbb{D}\) be analytic and suppose further that for some given \(\beta\in(0,\infty)\) we have \[\begin{align} \left|F(1)\right|\geq\operatorname{e}^{-\beta}\,. \end{align}\]

Then there is some constant \(C<\infty\) (independent of \(\alpha,F\) and \(\beta\)) such that \[\begin{align} \label{eq:lower-bd1} \frac{1}{R}\int_{s=R}^{2 R}-\log\left(\left|F(t)\right|\right)\operatorname{d}{t} \leq C \alpha\beta 2^{1/\alpha} R^{1/\alpha}\qquad (R>2^\alpha)\,. \end{align}\qquad{(24)}\] Furthermore, \[\begin{align} \label{eq:lower-bd2} \frac{1}{R}\int_{s=R}^{2 R}\left|-\log\left(\left|F(s)\right|\right)-s^{1/\alpha}\mu_0\right|\operatorname{d}{s} \overset{R\to\infty}{=} o\left(R^{1/\alpha}\right) \end{align}\qquad{(25)}\] for some \(\mu_0\geq0\).

Proof. Given \(F:\Gamma_\alpha\to\mathbb{D}\) analytic, introduce its composition with \(\mathbb{H}\ni z\mapsto z^{-\alpha}\in\Gamma_\alpha\): \[\begin{align} \widetilde{F} (z) := F(z^{-\alpha})\qquad(z\in\mathbb{H})\, , \end{align}\] yielding an analytic function \(\widetilde{F}:\mathbb{H}\to\mathbb{D}\) satisfying \(\left|\widetilde{F}(1)\right|= \left|F(1)\right|\geq \operatorname{e}^{-\beta}\). We may apply 12 to \(\widetilde{F}\) to obtain an upper bound for the average of \(-\log\left(\left|\widetilde{F}\right|\right)\) over small \(t-\) intervals in \(\mathbb{H}\): \[\begin{align} 20\frac{\beta}{\delta}\ge \frac{1}{\delta}\int_{t=\delta}^{2\delta}-\log\left(\left|\widetilde{F}(t)\right|\right)\operatorname{d}{t},\quad \textrm{for 0<\delta<1/4.} \end{align}\] We then convert the average of \(\widetilde{F}\) to one over appropriate large real intervals in \(\Gamma_\alpha\) via the change of variables \(s:=t^{-\alpha}\): \[\begin{align} \frac{1}{\delta}\int_{\delta}^{2\delta}-\log\left(\left|\widetilde{F}(t)\right|\right)\operatorname{d}{t} &= \frac{1}{\delta}\int_{\delta}^{2\delta}-\log\left(\left|F(t^{-\alpha})\right|\right)\operatorname{d}{t}\\ &= \frac{1}{\alpha\delta}\int_{(2\delta)^{-\alpha}}^{\delta^{-\alpha}}-\log\left(\left|F(s)\right|\right)s^{-1-1/\alpha}\operatorname{d}{s} \\ &\geq \frac{2^{\alpha+1}}{\alpha}\delta^\alpha\int_{(2\delta)^{-\alpha}}^{\delta^{-\alpha}}-\log\left(\left|F(s)\right|\right)\operatorname{d}{s}\,. \end{align}\] Hence, \[\begin{align} \frac{2}{\alpha} (2\delta)^\alpha\int_{(2\delta)^{-\alpha}}^{\delta^{-\alpha}}-\log\left(\left|F(s)\right|\right)\operatorname{d}{s} \leq 20\frac{\beta}{\delta}\, ,\quad \textrm{for 0<\delta<1/4}. \end{align}\]

Set \(R:=(2\delta)^{-\alpha}\) (\(R^{-1}=(2\delta)^\alpha\)) and correspondingly we take \(R>2^\alpha\). Then, \[\begin{align} \frac{1}{(2^\alpha-1)R}\int_{R}^{2^\alpha R}-\log\left(\left|F(t)\right|\right)\operatorname{d}{t} \leq 20 \frac{\alpha\;\beta}{2^{\alpha}-1}R^{1/\alpha}\, ,\quad R>2^\alpha. \end{align}\]

Since \(\alpha\leq 1\), we may cover \([R,2 R]\) by \(m:=\lceil \frac{1}{\alpha} \rceil\) segments, i.e., \([R,2R] = \bigcup_{j=0}^{m-1}[2^{\alpha j}R,2^{\alpha \left(j+1\right)}R]\) and so we immediately get the bound, valid for all \(R>2^\alpha\), \[\begin{align} \frac{1}{R}\int_{s=R}^{2 R}-\log\left(\left|F(t)\right|\right)\operatorname{d}{t} \leq 80\alpha\beta 2^{1/\alpha}R^{1/\alpha}\,. \end{align}\] This completes the proof of ?? .

Finally, let \(\widetilde{\mu}\) denote the positive measure associated with \(z\mapsto\widetilde{G}_R(z)\equiv \operatorname{\mathbb{R}\mathbb{e}}\left\{G(z^{-\alpha})\right\}\), which is non-negative and harmonic on \(\mathbb{H}\). Then, via the above change of variables, \(s=t^{-\alpha}\), we get \[\begin{align} \frac{1}{\delta}\int_{\delta}^{2\delta}\left|-\log\left(\left|\widetilde{F}(t)\right|\right)-\frac{1}{t}\widetilde{\mu}\left(\Set{0}\right)\right|\operatorname{d}{t} &= \frac{1}{\alpha\delta}\int_{(2\delta)^{-\alpha}}^{\delta^{-\alpha}}\left|-\log\left(\left|F(s)\right|\right)-s^{1/\alpha}\widetilde{\mu}\left(\Set{0}\right)\right|s^{-1-1/\alpha}\operatorname{d}{s} \\ &\geq \frac{2}{\alpha} (2\delta)^\alpha\int_{(2\delta)^{-\alpha}}^{\delta^{-\alpha}}\left|-\log\left(\left|F(s)\right|\right)-s^{1/\alpha}\widetilde{\mu}\left(\Set{0}\right)\right|\operatorname{d}{s} \end{align}\] and the proof of ?? is completed using the above relation between \(\delta\) and \(R\).

The proof of 20 is now complete. ◻

21. The statement above may be generalized as follows. Let \(F:\Gamma_\alpha\to\mathbb{C}\) be analytic such that for some given \(\beta\in(0,\infty)\) we have \[\begin{align} \left|F(1)\right|\geq\operatorname{e}^{-\beta} \end{align}\] and such that for some analytic nowhere-zero* function \(U:\Gamma_\alpha\to\mathbb{C}\) we have \[\begin{align} \left|F(z)\right| \leq \left|U(z)\right|\qquad(z\in\Gamma_\alpha)\,. \end{align}\]*

Then there is constant \(C<\infty\) (independent of \(\alpha,F\) and \(\beta\)) such that for all \(R>2^\alpha\), \[\begin{align} \frac{1}{R}\int_{t=R}^{2 R}-\log\left(\left|F(t)\right|\right)\operatorname{d}{t}&\leq C\alpha 2^{1/\alpha}\left(\beta+\log\left(\left|U(1)\right|\right)\right) R^{1/\alpha}+\\ &\qquad+\frac{1}{R}\int_{t=R}^{2R}-\log\left(\left|U(t)\right|\right)\operatorname{d}{t}\,. \end{align}\] as well as \[\begin{align} \frac{1}{R}\int_{t=R}^{2R}\left|-\log\left(\left|F(t)\right|\right)+\log\left(\left|U(t)\right|\right)-t^{1/\alpha}\mu_0\right|\operatorname{d}{t} \overset{R\to\infty}{=}o\left(R^{1/\alpha}\right) \end{align}\] for some \(\mu_0\geq0\).

Outside of this appendix we mainly use this corollary with the function \[\begin{align} U(z) = \exp\left(A z\right)\qquad(z\in\Gamma_\alpha) \end{align}\] where \(A>0\) is some constant.

Proof. We apply 20 on the function \(\widetilde{F}(z) := F(z) / U(z)\) which clearly obeys \(\left|\widetilde{F}(z)\right|\leq 1\) for all \(z\in\Gamma_\alpha\). The lower bound becomes \[\begin{align} \left|\widetilde{F}(1)\right|\geq \operatorname{e}^{-\left(\beta+\log\left(\left|U(1)\right|\right)\right)}\,. \end{align}\] Then \[\begin{align} 80 \alpha 2^{1/\alpha}\left(\beta+\log\left(\left|U(1)\right|\right)\right) R^{1/\alpha} &\geq \frac{1}{R}\int_{t=R}^{2 R}-\log\left(\left|\widetilde{F}(t)\right|\right)\operatorname{d}{t}\\ &= \frac{1}{R}\int_{t=R}^{2 R}-\log\left(\left|F(t)\right|\right)\operatorname{d}{t}-\frac{1}{R}\int_{t=R}^{2 R}-\log\left(\left|U(t)\right|\right)\operatorname{d}{t} \,. \end{align}\] ◻

4 Mesoscopic annuli↩︎

Our goal here is to construct the operators \(T_{\lambda,\nu}\) as in 2, establish bounds on their norms as well as on how well they approximate inverses of \(h_\lambda^\theta-z_\lambda\mathbb{1}\).

We work on the annuli \[\begin{align} U_\nu:=\Set{x\in\mathbb{R}^2 | 2^{\nu-3} \delta < \left\lVert x\right\rVert< 2^{\nu+3}\delta} \end{align}\] where \(\nu=0,\cdots,\lceil\log_2(R/\delta)\rceil\) and \(R\) is some order \(1\) parameter. Recall that these open sets are chosen so as to contain \[\begin{align} \Set{x | 2^{\nu-2}\delta \leq \left\lVert x\right\rVert\leq 2^{\nu+2}\delta}\supseteq \operatorname{supp}(\psi_\nu)\,. \end{align}\]

The symbol of \(h_\lambda^\theta-z_\lambda\mathbb{1}\) in \(U_\nu\) is given by \[\begin{align} \label{eq:symbol32in32mesoscopic32annulus} U_\nu\times\mathbb{R}^2\ni(x,p)\mapsto s_\lambda^\theta(x,p) &:= \left\lVert p\right\rVert^2+\frac{1}{4} b^2\lambda^2\theta(x)^2\left\lVert x\right\rVert^2-b\lambda\theta(x)p\cdot x^\perp +\frac{\operatorname{i}}{2}b\lambda \left(\nabla \theta\right)(x)\cdot x^\perp+ \nonumber\\ &\qquad+\lambda^2 \left(v(x)+1\right)-\mu\lambda \end{align}\tag{51}\] for some order \(1\) complex number \(\mu\). Hence \(\operatorname{Op}\left(s^\theta_\lambda\right) = h_\lambda^\theta-z_\lambda\mathbb{1}\) when restricted to \(L^2(U_\nu)\).

Before we proceed, we must recast the problem. Indeed, since our goal is to apply 26, both the domain of the our symbol as well as the symbol itself depend on an asymptotic parameter \(\left|\lambda\right|\). As such, it is convenient to rescale space so as to apply 26 on a symbol is defined on a domain of diameter of order \(1\), so as to make the asymptotic dependence on the estimates explicit. To that end, with \(\alpha := 2^\nu \delta\), \(U := \frac{1}{\alpha} U_\nu\) is the fixed annulus \(\Set{\frac{1}{8}<\left\lVert x\right\rVert<8}\). Using 61 , consider the symbol \[\begin{align} U\times\mathbb{R}^2\ni(x,p)\mapsto \widetilde{s_\lambda^\theta}(x,p) &:= \alpha^2 s_\lambda^\theta(\alpha x,\frac{1}{\alpha}p) \\&= \left(p-\frac{1}{2} b \alpha^2 \lambda \theta(\alpha x) x^\perp\right)^2 +\frac{\operatorname{i}}{2}b\alpha^3\lambda\left(\nabla \theta\right)(\alpha x)\cdot x^\perp\\&\qquad+ \alpha^4\lambda^2 \left(\frac{v(\alpha x)+1}{\alpha^2}\right)-\mu\alpha^2\lambda \end{align}\]

We begin with a basic estimate about the size of \(v\). In principle its size could vary both radially and azimuthally within \(U_\nu\), but we are only interested in bounding the radial variations which cannot vanish or rise too quickly. Within \(U_\nu\), since \(v\) is smooth with a unique non-degenerate minimum at \(0\), we know that \[\begin{align} c_v 2^{2\nu}\delta^2 \leq v(x)+1 \leq C_v 2^{2\nu}\delta^2\qquad(x\in U_\nu) \end{align}\] for \(C_v,c_v\in(0,\infty)\) dependent on \(v\). As a result, \[\begin{align} \frac{1}{16}c_v \leq w(x) \leq 16 C_v \qquad(x\in U) \end{align}\] for \[\begin{align} w(x) := \frac{v(\alpha x)+1}{\alpha^2}\,. \end{align}\]

Let \(M_\nu := \alpha^2 \Lambda\). According to the choice of \(\delta\) in 18 , this implies \(M_\nu = 2^{2\nu} \Lambda^{2\eta}\gg1\) for all \(\nu=1,\cdots,\lceil\log_2(R/\delta)\rceil\).

We aim to prove that the symbol \(\widetilde{s_\lambda^\theta}(x,p)\) is elliptic in \(U\) in the sense of 25. This boils down to two ingredients. The first is an upper bound on the derivatives of the form \[\begin{align} \label{eq:upper32bound32on32symbol} \left|\partial_x^\alpha \partial_p^\beta \widetilde{s_\lambda^\theta}(x,p)\right| \leq {\rm const.}\left(M_\nu+ \left\lVert p\right\rVert\right)^{2-\left|\beta\right|}\qquad(x\in U,p\in\mathbb{R}^2,\alpha,\beta\in\mathbb{N}^2)\,. \end{align}\tag{52}\] The proof of 52 is clear.

Next, we require a lower bound of the form \[\begin{align} \label{eq:ellipticity32lower32bound} \left|\widetilde{s_\lambda^\theta}(x,p)\right| \geq {\rm const.}\left(M_\nu+ \left\lVert p\right\rVert\right)^{2}\qquad(x\in U,p\in\mathbb{R}^2)\,. \end{align}\tag{53}\]

Towards 53 , we claim that \[\begin{align} \left|\left\lVert p\right\rVert^2+\alpha^4\lambda^2 w(x)\right| \geq \frac{c_v \sin(2\varepsilon)}{1+2C_v} \left(\left\lVert p\right\rVert^2+M_\nu^2\right)\,. \end{align}\] Indeed, if \(\left\lVert p\right\rVert^2\geq 2C_v M_\nu^2\), \[\begin{align} \left|\left\lVert p\right\rVert^2+\alpha^4\lambda^2 w(x)\right| \geq \left\lVert p\right\rVert^2 - C_v M_\nu^2 \geq \frac{1}{2}\left\lVert p\right\rVert^2\geq\frac{C_v}{1+2C_v}\left(\left\lVert p\right\rVert^2+M_\nu^2\right) \end{align}\] Next, note that we always have, from the fact that \(\left|\arg(\lambda)\right|<\pi/2-\varepsilon\), \[\begin{align} \left|\left\lVert p\right\rVert^2+\alpha^4\lambda^2 w(x)\right| \geq \sin(2\varepsilon) \alpha^2\left|\lambda\right|^2 \left(v(\alpha x)+1\right) \geq \frac{c_v}{16}\sin(2\varepsilon)M_\nu^2\,. \end{align}\] As a result, if we now assume \(\left\lVert p\right\rVert^2< 2C_vM_\nu^2\), \[\begin{align} \left|\left\lVert p\right\rVert^2+\alpha^4\lambda^2 w(x)\right| \geq c_v\sin(2\varepsilon)M_\nu^2 \geq \frac{c_v\sin(2\varepsilon)}{1+2C_v}\left(\left\lVert p\right\rVert^2+M_\nu^2\right) \end{align}\]

We now return to 53 . We have \[\begin{align} \label{eq:final32ellipticity32estimate} \left|\widetilde{s_\lambda^\theta}(x,p)\right| &\geq \left|\left\lVert p\right\rVert^2+\alpha^4\lambda^2 w(x)\right| -\frac{1}{4} b^2 \alpha^4\left|\lambda\right|^2 \left\lVert x\right\rVert^2 - b \alpha^2\left|\lambda\right| \left\lVert x\right\rVert\left\lVert p\right\rVert-\left|\mu\right|\alpha^2\left|\lambda\right|-\frac{1}{2}b\left|\lambda\right|\alpha^3\left\lVert\nabla\theta(\alpha x)\right\rVert\left\lVert x\right\rVert \nonumber\\ &\geq \frac{c_v \sin(2\varepsilon)}{1+2C_v} \left(\left\lVert p\right\rVert^2+M_\nu^2\right)-16 b^2 M_\nu^2- 4 b \left(M_\nu^2+\left\lVert p\right\rVert^2\right)-\left|\mu\right|M_\nu-4 b M_\nu \alpha \left\lVert\nabla \theta\right\rVert_\infty \end{align}\tag{54}\] so that if \(b>0\) is sufficiently small and \(M_\nu\) is sufficiently large, clearly we get 53 .

As a result, we may invoke 26 on the symbol \[\begin{align} U\times\mathbb{R}^2\ni(x,p)\mapsto \widetilde{s_\lambda^\theta}(x,p)\,. \end{align}\] We invoke it with the choice \(\widetilde{\chi}_\nu := \mathfrak{U}_\alpha \chi_\nu \mathfrak{U}_\alpha^\ast\) with \(\mathfrak{U}_\alpha\) as in 60 , so it is supported in a proper relatively compact subset \(V\) of \(U\).

In particular it yields some operator, say \(\widetilde{T}_{\lambda,\nu}\in\mathcal{B}(L^2(U))\), \[\begin{align} \left\lVert\operatorname{Op}\left(\widetilde{s_\lambda^\theta}\right)\widetilde{T}_{\lambda,\nu}-\widetilde{\chi}_\nu\right\rVert_{\mathcal{B}(L^2(U))} \leq \frac{C}{M_\nu} \end{align}\] and \[\begin{align} \left\lVert\widetilde{T}_{\lambda,\nu}\right\rVert_{\mathcal{B}(L^2(U))} \leq \frac{C}{M_\nu^2}\,. \end{align}\]

We define then \(T_{\lambda,\nu} := \alpha^2 \mathfrak{U}_{\alpha}^\ast \widetilde{T}_{\lambda,\nu} \mathfrak{U}_\alpha\in\mathcal{B}(L^2(U_\nu)\) with \(\mathfrak{U}_\alpha\) as in 60 . By unitarity we have \[\begin{align} \left\lVert T_{\lambda,\nu}\right\rVert_{\mathcal{B}(L^2(U_\nu))} \leq \frac{\alpha^2C}{ M_\nu^2}\lesssim \Lambda^{-2\eta-1}\,. \end{align}\] and \[\begin{align} \left\lVert\frac{1}{\alpha^2}\mathfrak{U}_\alpha^\ast\operatorname{Op}\left(\widetilde{s_\lambda^\theta}\right)\mathfrak{U}_\alpha T_{\lambda,\nu}-\chi_\nu\right\rVert_{\mathcal{B}(L^2(U_\nu))} \leq \frac{C}{M_\nu} \lesssim \Lambda^{-2\eta} \end{align}\] but now we invoke 61 to obtain \[\begin{align} \mathfrak{U}_\alpha^\ast\operatorname{Op}\left(\widetilde{s_\lambda^\theta}\right)\mathfrak{U}_\alpha = \alpha^2 \operatorname{Op}\left(s_\lambda^\theta\right) \end{align}\] so that all together we have \[\begin{align} \left\lVert\left(h_\lambda^\theta-z_\lambda\mathbb{1}\right) T_{\lambda,\nu}-\chi_\nu\right\rVert_{\mathcal{B}(L^2(U_\nu))} \lesssim \Lambda^{-2\eta} \end{align}\]

5 Review of pseudodifferential operators↩︎

Here we recount some facts about pseudodifferential operators. These will mainly be used in order to establish analyticity and bounds of resolvents. In this section, \(X\) is the position operator on \(L^2\) and \(P\equiv-\operatorname{i}\nabla\) is the momentum operator on it. With lower case these symbols denote the corresponding real variables: by our convention, under the Fourier transform, \(P\) becomes a multiplication by the function \(p\mapsto p\). Also, for the sake of clarity here the space dimension is \(n\in\mathbb{N}\) although in the rest of the paper we make use of it with \(n=2\).

Let \(M\geq1\), \(m\in\mathbb{Z}\) and \(U\in\mathrm{Open}(\mathbb{R}^n)\). We study phase space symbols \(a\in C^\infty(U\times\mathbb{R}^n\to\mathbb{C})\) and their regularity classes. To that end, for any multi-indices \(\alpha,\beta\in\mathbb{N}_{\geq0}^n\), we define a seminorm \[\begin{align} C^m_{M,\alpha\beta}(a) := \sup_{x\in U,p\in\mathbb{R}^n}\frac{\left|\partial_x^\alpha\partial_p^\beta a(x,p)\right|}{\left(M+\left\lVert p\right\rVert\right)^{m-|\beta|}} \end{align}\] and define the class \(S^m_M\) using these seminorms \[\begin{align} \label{eq:def32of32S94m95M} S^m_M(U) := \Set{a\in C^\infty(U\times \mathbb{R}^n_p) | C^m_{M,\alpha\beta}(a)<\infty\qquad\forall\alpha,\beta\in\left(\mathbb{N}_{\geq 0}\right)^n}\, . \end{align}\tag{55}\] This family of seminorms is separating, so this induces a metric on the space of symbols \(S^m_M(U)\) which makes it into a complete locally convex metric vector space. We write \(S^m_M\equiv S^m_M(\mathbb{R}^n)\).

To each phase space symbol we associate a pseudodifferential operator \(\operatorname{Op}\left(a\right)\), its (Kohn–Nirenberg) quantization. Even if the \(x\) variable of the symbol \(a\) is only defined on \(U\), we let \(\operatorname{Op}\left(a\right)\) be an operator on \(L^2(\mathbb{R}^n)\) for convenience. That operator acts on (a dense subspace of) the Hilbert space \(L^2(\mathbb{R}^n)\)), i.e., we construct a linear map \[\begin{align} \operatorname{Op}:S^m_M(U) \to \mathcal{L}(C^\infty_c(\mathbb{R}^n)\to C^\infty(U)) \end{align}\] and eventually extend the domain of the operator appropriately. Its action on \(u\in C^\infty_c(\mathbb{R}^n)\) is prescribed as \[\begin{align} \label{eq:action32of32pseudo-diff32op} \left(\operatorname{Op}\left(a\right) u\right)(x) := \frac{1}{\left(2\pi\right)^n}\int_{p\in\mathbb{R}^n}\operatorname{e}^{\operatorname{i}p\cdot x}a(x,p) \widehat{u}(p)\operatorname{d}{p}\\\nonumber\qquad(x\in U) \end{align}\tag{56}\] where \(\widehat{u}\) is the Fourier transform of u: \[\begin{align} \widehat{ u}(p) \equiv \int_{x\in \mathbb{R}^n}\operatorname{e}^{-\operatorname{i}p\cdot x}u(x)\operatorname{d}{x} \end{align}\] and formally the integral kernel of \(\operatorname{Op}\left(a\right)\) is given by \[\begin{align} U\times \mathbb{R}^n \ni (x,y) \mapsto \operatorname{Op}\left(a\right)(x,y) = \frac{1}{\left(2\pi\right)^n}\int_{p\in\mathbb{R}^n}\operatorname{e}^{\operatorname{i}\left(x-y\right)\cdot p}a(x,p)\operatorname{d}{p}\,. \end{align}\]

Our main interest in pseudodifferential operators is through the fact that for \(a\in S^2_M(U)\) with \(\frac{1}{a}\in S^{-2}_M(U)\) we think of \(\operatorname{Op}\left(a\right)\) as an operator which to some extent behaves very much like the free Laplacian at spectral parameter \(M^2\), i.e., \[-\Delta+M^2\mathbb{1}\] and, formally restricted to act in \(L^2(U)\). This is made precise below in 26.

In common abuse of notation, if the risk of confusion is low, when dealing with an explicit formula \(f(x,p)\) for a symbol \(f\), we shall write \[\begin{align} \operatorname{Op}\left(f(x,p)\right) \end{align}\] instead of the more cumbersome \[\begin{align} \operatorname{Op}\left(\left(x,p\right)\mapsto f(x,p)\right) \end{align}\] and similarly with the seminorms.

A few facts may be readily verified:

22. We have

  1. If \(b\in C^\infty(U)\) then \(\operatorname{Op}\left(b(x)\right) = b(X)\) where \(X\) is the position operator.

  2. If \(m\in\mathbb{N}_{\geq0}\) and \(b_\alpha:U\to\mathbb{C}\) are smooth functions then \[\begin{align} \operatorname{Op}\left(\sum_{|\alpha|\leq m }b_\alpha(x) p^\alpha\right) = \sum_{|\alpha|\leq m} b_\alpha(X) P^\alpha \end{align}\] where \(P_j\equiv-\operatorname{i}\partial_{x_j}\) is the momentum operator in the \(j\)th direction, \(j=1,\dots,n\).

  3. If \(b\in\mathbb{C}^\infty(U)\) then \[\begin{align} \label{eq:degree32of32product32of32two32symbols32where32one32is32diagonal} b(X) \operatorname{Op}\left(a\right) = \operatorname{Op}\left(b(x)a(x,p)\right)\,. \end{align}\qquad{(26)}\]

  4. If \(a\in S^m_M\) and \(b\in S^{m'}_M\) then \(ba\in S^{m+m'}_M\). Moreover, we have \[\begin{align} C^{m+m'}_{M,\alpha\beta}(ba) \leq \sum_{\alpha'\leq\alpha,\beta'\leq\beta}\begin{pmatrix} \alpha \\ \alpha' \end{pmatrix}\begin{pmatrix} \beta \\ \beta' \end{pmatrix}C^{m'}_{M,\alpha'\beta'}(b) C^{m}_{M,\alpha-\alpha',\beta-\beta'}(a)\,. \end{align}\]

  5. If \(a\in S^m_M\) then \[\begin{align} \label{eq:momentum32acting32on32PDO} P_j \operatorname{Op}\left(a\right) = \operatorname{Op}\left( p_j a(x,p) -\operatorname{i}(\partial_{x_j}a)(x,p)\right) \end{align}\qquad{(27)}\] with the first term in \(S^{m+1}_M\) and the second term in \(S^m_M\). We have \[\begin{align} C^{m+1}_{M,\alpha\beta}( p_j a(x,p)) \leq C(m,n)\sup_{\beta'\leq\beta}C^{m}_{M,\alpha,\beta-\beta'}(a) \end{align}\] and \[\begin{align} C^{m}_{M,\alpha\beta}(-\operatorname{i}\partial_{x_j}a) = C^{m}_{M,\alpha+e_j,\beta}(a)\,. \end{align}\]

  6. Repeatedly applying the above, if \(l\) is a symbol of a differential* operator such that \(l\in S^{m'}_M\) and \(a\in S^m_M\) then the product of the associated pseudodifferential operators may be decomposed according to the order as follows: \[\begin{align} \label{eq:decomposition32of32product32of32two32pdos32into32highest32degree32and32remainder} \operatorname{Op}\left(l\right) \operatorname{Op}\left(a\right) = \operatorname{Op}\left(la\right) + \operatorname{Op}\left(\varepsilon\right) \end{align}\tag{57}\] where \(\varepsilon\in S^{m+m'-1}_M\). Moreover, the \(S^{m+m'-1}_M\)-seminorms of \(\varepsilon\) are controlled by the \(S^m_M\) seminorms of \(a\) and the \(S^{m'}_M\) seminorms of \(l\).*

  7. If \(a\in S^m_M\) depends on analytically on a parameter \(\lambda\in\Omega\subseteq\mathbb{C}\) for some open \(\Omega\), and \(\Omega\ni\lambda\mapsto C^{m}_{M,\alpha\beta}(a)\) are uniformly bounded, then \(\Omega\ni\lambda\mapsto \operatorname{Op}\left(a\right)\) is an analytic function.

The proof of these facts is standard and is thus omitted.

A standard property of pseudodifferential operators is that

23. Let \(a\in S^0_M(U)\). Let \(V\subseteq U\) be open and relatively compact. Then there exists \(N\in\mathbb{N}\) with \(2N>n\) and a constant \(C_{n,N}(U,V)<\infty\) such that \[\left\lVert\operatorname{Op}\left(a\right)\right\rVert_{\mathcal{B}(L^2(\mathbb{R}^n)\to L^2(V))} \;\le\; C_{n,N}(U,V)\,\Big(\sum_{|\alpha|,|\beta|\le 2N} C^{\,0}_{M,\alpha\beta}(a)\Big).\]

Proof. Let \(\chi\in C^\infty_c(U\to[0,1])\) with \(\chi=1\) on \(V\).

We then apply [19] on the symbol \(\mathbb{R}^n\times\mathbb{R}^n\ni (x,p)\mapsto a(x,p)\chi(x)\). ◻

24. Let \(a\in S^{-m}_M(U)\) for \(m\geq0\) and \(V\subseteq U\) be open and relatively compact. Then there exists \(N\in\mathbb{N}\) with \(2N>n\) and a constant \(C_{n,N}(U,V)\) such that\[\begin{align} \nonumber \left\lVert P^\alpha \operatorname{Op}\left(a\right)\right\rVert_{\mathcal{B}(L^2(\mathbb{R}^n)\to L^2(V))} \leq C_{n,N}(U,V)\sum_{|\tilde{\alpha}|,|\beta|\leq 2N}C_{M,\tilde{\alpha}\beta}^0((x,p)\mapsto M^{m-|\alpha|}p^\alpha a) M^{|\alpha|-m}\nonumber\\ \qquad(\alpha\in\mathbb{Z}^n:|\alpha|\leq m)\,.\nonumber\\ \end{align}\]

Proof. Fix \(\alpha\in\mathbb{N}^n\) with \(|\alpha|\le m\). By iterating the commutation rule \[P_j \operatorname{Op}\left(a\right) = \operatorname{Op}\left(p_j a(x,p)\right) - \operatorname{i}\,\operatorname{Op}\left((\partial_{x_j}a)(x,p)\right) }\] we obtain an expansion \[\label{eq:Palpha-expansion} P^\alpha \operatorname{Op}\left(a\right) \;=\; \operatorname{Op}\left(p^\alpha a(x,p)\right) \;+\; \sum_{0\neq\gamma\le \alpha} c_{\alpha,\gamma}\,\operatorname{Op}\left(p^{\alpha-\gamma}\,\partial_x^\gamma a(x,p)\right),\tag{58}\] for suitable combinatorial constants \(c_{\alpha,\gamma}\in\mathbb{C}\).

Set \[b_0(x,p):=p^\alpha a(x,p),\qquad b_\gamma(x,p):=p^{\alpha-\gamma}\,\partial_x^\gamma a(x,p)\quad(0\neq\gamma\le\alpha).\] Since \(a\in S^{-m}_M(U)\), we have \[b_0\in S^{|\alpha|-m}_M(U),\qquad b_\gamma\in S^{|\alpha|-|\gamma|-m}_M(U)\subset S^{-1}_M(U)\quad(0\neq\gamma\le\alpha),\] and because \(|\alpha|\le m\) these orders are \(\le 0\). In particular, \[b_0,\;b_\gamma\in S^0_M(U)\qquad(\gamma\le\alpha).\]

Define the zero-order symbol \[\tilde{a}_\alpha(x,p)\;:=\;M^{m-|\alpha|}\,p^\alpha a(x,p)\in S^0_M(U).\] Then \(b_0 = M^{|\alpha|-m}\tilde{a}_\alpha\), and the symbol estimates in 22 (Leibniz rule and the bounds for multiplication by \(p\) and differentiation in \(x\)) imply that, for all multi-indices \(|\tilde{\alpha}|,|\beta|\le 2N\), \[C^{\,0}_{M,\tilde{\alpha}\beta}(b_\gamma) \;\le\; C_{\alpha,m,N}\,M^{|\alpha|-m} \sum_{|\tilde{\alpha}'|,|\beta'|\le 2N} C^{\,0}_{M,\tilde{\alpha}'\beta'}(\tilde{a}_\alpha), \qquad 0\le\gamma\le\alpha,\] for some constant \(C_{\alpha,m,N}\) depending only on \(\alpha,m,N,n\) (but not on \(a\)).

Apply 23 to each term in 58 . Using that \(V\subseteq U\) and the triangle inequality, we get \[\begin{align} \left\lVert P^\alpha \operatorname{Op}\left(a\right)\right\rVert_{\mathcal{B}(L^2(\mathbb{R}^n)\to L^2(V))} &\le \sum_{\gamma\le\alpha} |c_{\alpha,\gamma}|\, \left\lVert\operatorname{Op}\left(b_\gamma\right)\right\rVert_{\mathcal{B}(L^2(\mathbb{R}^n)\to L^2(V))}\\[1mm] &\le C_{n,N}(U,V)\! \sum_{\gamma\le\alpha} |c_{\alpha,\gamma}| \sum_{|\tilde{\alpha}|,|\beta|\le 2N} C^{\,0}_{M,\tilde{\alpha}\beta}(b_\gamma)\\[1mm] &\le C_{n,N}(U,V)\,M^{|\alpha|-m} \sum_{|\tilde{\alpha}|,|\beta|\le 2N} C^{\,0}_{M,\tilde{\alpha}\beta}(\tilde{a}_\alpha), \end{align}\] after enlarging \(C_{n,N}(U,V)\) by a factor depending only on \(\alpha,m,N,n\) (which we absorb into the notation).

Recalling that \(\tilde{a}_\alpha(x,p)=M^{m-|\alpha|}p^\alpha a(x,p)\) gives the stated estimate. ◻

5.1 Elliptic second order operators↩︎

Let \(M\geq1\) and \(U\subseteq\mathbb{R}^n\) open be given. We study the symbol \[\begin{align} l(x,p) =\left\lVert p\right\rVert^2 + \gamma_1(x)\cdot p + \gamma_0(x)\qquad(x\in U,p\in\mathbb{R}^n) \end{align}\] where \(\gamma_{1,1},\dots,\gamma_{1,n},\gamma_0\) are complex-valued functions on \(U\), and \(\gamma_1(x)\cdot p \equiv \sum_{j=1}^n \gamma_{1,j}(x)p_j\). We denote the associated pseudodifferential operator \(\mathcal{L}\equiv \operatorname{Op}\left(l\right)\).

25. We say that \(\mathcal{L}\) is elliptic in \(S^2_M(U)\) iff \[\begin{align} l\in S^2_M(U)\qquad \land\qquad \frac{1}{l}\in S^{-2}_M(U)\,. \end{align}\] The \(S^2_M(U)\) seminorms of \(l\) and the \(S^{-2}_M(U)\) seminorms of \(\frac{1}{l}\) (there are only finitely many relevant ones) are called the elliptic \(S^2_M(U)\) constants of \(\mathcal{L}\).

In the following result, we exhibit a local resolvent to \(\mathcal{L}\) via its elliptic property.

26 (Local elliptic lemma). Let \(U,V\subseteq\mathbb{R}^n\) be two open subset with \(V\subseteq U\) relatively compact. Let \(\mathcal{L}\) be elliptic in \(S^2_M(U)\). Let \(\chi\in C^\infty(\mathbb{R}^n)\) be supported in \(V\). Then there exist linear operators \(A:L^2(\mathbb{R}^n)\to H^2(\mathbb{R}^n)\) and \(\mathcal{E}:L^2(\mathbb{R}^n)\to H^1(\mathbb{R}^n)\) with the following properties:

  1. \(\mathcal{L}A -\mathcal{E}= \chi\) as operators on \(L^2(\mathbb{R}^n)\). We interpret \(A\) as a "local" resolvent of \(\mathcal{L}\) within \(V\) up to the error \(\mathcal{E}\).

  2. \(A,\mathcal{E}\) map \(L^2(\mathbb{R}^n)\) into \(L^2(V)\), i.e., \(\operatorname{supp}Af, \operatorname{supp}\mathcal{E}f\subseteq V\) for all \(f\in L^2(\mathbb{R}^n)\).

  3. \(\left\lVert\partial^\alpha A f\right\rVert_{L^2(\mathbb{R}^n)} \leq C M^{|\alpha|-2}\left\lVert f\right\rVert_{L^2(\mathbb{R}^n)}\) for \(|\alpha|\leq 2,f\in L^2(\mathbb{R}^n)\).

  4. \(\left\lVert\partial^\alpha \mathcal{E}f\right\rVert_{L^2(\mathbb{R}^n)}\leq C M^{|\alpha|-1}\left\lVert f\right\rVert_{L^2(\mathbb{R}^n)}\) for \(|\alpha|\leq 1,f\in L^2(\mathbb{R}^n)\).

Here, the constant \(C\) may be taken to depend only on the elliptic \(S^2_M(U)\) constants of \(\mathcal{L}\) and the \(C^\infty\) seminorms of \(\chi\). Moreover, if the coefficients of \(\mathcal{L}\) depend analytically on a parameter \(\lambda\in\mathbb{C}\), then the operators \(A\) and \(\mathcal{E}\) may be taken to depend analytically on \(\lambda\).

Proof. Let \(l\) be the symbol associated to \(\mathcal{L}\equiv \operatorname{Op}\left(l\right)\). Define the symbol \[\begin{align} a(x,p) := \frac{\chi(x)}{l(x,p)}\qquad(x\in U,p\in\mathbb{R}^n) \end{align}\] and the associated operator \(A:=\operatorname{Op}\left(a\right)\). First, we note \(a\in S^{-2}_M(\mathbb{R}^n)\) thanks to the ellipticity of \(\mathcal{L}\). Moreover, 56 implies that for any \(f\in L^2(\mathbb{R}^n)\), \(Af\) will be supported within \(V\) since \(x\mapsto a(x,p)\) is supported there, by its construction.

Next, let \(\tilde{\chi}\in C_0^\infty(U)\) satisfy \(\tilde{\chi} =1\) on \(V\). Clearly \(\tilde{\chi}\in S^0_M(U)\), and so, thanks to ?? , \(\tilde{\chi}l\) is in \(S^0_M(U)\). Applying the decomposition 57 on the product of symbols \(\tilde{\chi}l\) and \(a\) we find there must exist some symbol \(\varepsilon\in S^{-1}_M(U)\) which obeys \[\begin{align} \tilde{\chi}(X) \mathcal{L}A = \operatorname{Op}\left(\tilde{\chi} l a\right)+\operatorname{Op}\left(\varepsilon\right) \end{align}\] with \(\varepsilon\) the associated symbol, which must be in \(S^{-1}_M\) as the first term is in the top degree. By construction, \(\tilde{\chi} l a = \tilde{\chi}\chi=\chi\), so we get \[\begin{align} \label{eq:definition32of32remainder32term} \tilde{\chi}(X) \mathcal{L}A = \chi(X) +\operatorname{Op}\left(\varepsilon\right)\,. \end{align}\tag{59}\] Let \(\mathcal{E}:= \operatorname{Op}\left(\varepsilon\right)\).

Since \(\mathcal{L}\) acts by differentiation and multiplication with smooth coefficient functions, its application does not change the support of a function it acts on. This implies that \(\operatorname{supp}(\mathcal{L}Af)\subseteq V\) for any \(f\in L^2(\mathbb{R}^n)\) and \(\tilde{\chi} \mathcal{L}A f = \mathcal{L}A f\). Then 59 implies that \(\mathcal{E}f\) is also supported within \(V\).

Applying 24 on \(A\) and \(\mathcal{E}\) implies their co-domains are \(H^2\) and \(H^1\) respectively, with the stated estimates.

Next, the definition of \(A,\mathcal{E}\) via the symbols, implies that if \(l\) depends analytically on a parameter \(\lambda\), then so do the symbols \(a,\varepsilon\) and hence so do the operators \(A,\mathcal{E}\). ◻

5.2 Dilations↩︎

For any \(\alpha>0\) and \(S\subseteq\mathbb{R}^n\), we write \[\begin{align} \alpha S \equiv \Set{\alpha x\in \mathbb{R}^n | x\in S}\,. \end{align}\] We then have a unitary dilation operator \(\mathfrak{U}_\alpha\) on \(L^2(\mathbb{R}^n)\) given by \[\begin{align} \label{eq:dilation32operators} \left(\mathfrak{U}_\alpha \psi\right)(x) \equiv \alpha^{n/2}\psi(\alpha x)\qquad(x\in\mathbb{R}^n;\psi\in L^2(\mathbb{R}^n)) \end{align}\tag{60}\] and locally \(\mathfrak{U}_\alpha : L^2(\alpha S)\to L^2(S)\) by the same formula. Then, \[\begin{align} \mathfrak{U}_\alpha^\ast X \mathfrak{U}_\alpha = \frac{1}{\alpha} X\quad {\rm and}\quad \mathfrak{U}_\alpha^\ast P \mathfrak{U}_\alpha = \alpha P\,. \end{align}\] Further, let \(a \in S^m_M(U)\). Then, with \[\begin{align} \alpha U\times\mathbb{R}^n\ni(x,p)\mapsto\widetilde{a}_\alpha(x,p) := a(x/\alpha,\alpha p) \end{align}\] we have \(\widetilde{a}_\alpha\in S^m_M(\alpha U)\) and \[\begin{align} \label{eq:scalings32of32PDO} \mathfrak{U}_\alpha^\ast \operatorname{Op}\left( a\right)\mathfrak{U}_\alpha=\operatorname{Op}\left(\widetilde{a}_\alpha\right) \end{align}\tag{61}\] as well as \[\begin{align} C_{M,\alpha\beta}^m\left(\widetilde{a}_\alpha\right) \leq \alpha^{|\beta|-|\alpha|}\max\left(\Set{1,\alpha}\right)^{m-|\beta|}C_{M,\alpha\beta}^m\left(a\right)\,. \end{align}\]

6 A partition of unity↩︎

In this section \(\Lambda>0\) is a large asymptotic parameter and all other parameters depend on it.

27. Let \(R>0\) be of order \(1\) and set \(N_\Lambda := \lceil\log_2(R/\delta)\rceil\), \(\delta := \Lambda^{-1/2+\eta}\) for some \(\eta>0\) small, of order \(1\). We also use \(\delta_\nu := 2^{\nu}\delta\).

There exists a partition of unity, i.e., a sequence \(\Set{\chi_\nu}_{\nu=0}^{N_\Lambda}\) where each \(\chi_\nu:\mathbb{R}^2\to[0,1]\) is smooth and such that \[\begin{align} 1 = \sum_{\nu=0}^{N_\Lambda} \chi_\nu\,, \end{align}\] with the following properties:

  1. For \(\nu=0\), \(\chi_0\) is equal to \(1\) on \(B_{C \delta}(0)\) for some sufficiently large order \(1\) constant \(C\) and is supported on \(B_{2C\delta}(0)\).

  2. \(\nu=N_\Lambda\): \(\chi_{N_\Lambda}\) is supported in the complement a disc of radius \(R\).

  3. \(\nu=1,\cdots,N_\Lambda-1\): \(\chi_\nu\) is supported in an annulus with radii between \(2^{\nu-1} \delta\) to \(2^{\nu+1} \delta\).

  4. For each \(\nu\), there exists some \(C_\alpha<\infty\) such that \[\begin{align} \left\lVert\partial^\alpha\chi_\nu\right\rVert_\infty\leq C_\alpha\delta_\nu^{-|\alpha|} \end{align}\] where \(\alpha\in\mathbb{N}^2_{\geq0}\) is any multi-index.

  5. There exists another sequence \(\Set{\psi_\nu}_\nu\) of smooth functions such that \(\psi_\nu=1\) on \(\operatorname{supp}(\chi_\nu)\), obeying \[\begin{align} \left\lVert\partial^\alpha \psi_\nu\right\rVert_\infty \leq C_\alpha \delta_\nu^{-|\alpha|} \end{align}\] and such that for any \(x\in\mathbb{R}^2\), no more than, say, four* values of \(\nu\) have \(x\in\operatorname{supp}(\psi_\nu)\). We shall also use subsets \(U_\nu\in\mathrm{Open}(\mathbb{R}^2)\) below, each defined so it contains the support of \(\psi_\nu\). We shall take \[\begin{align} U_\nu \subseteq \Set{ 2^{\nu-3}\delta<\left\lVert x\right\rVert< 2^{\nu+3}\delta}\qquad(\nu=1,\cdots,N_{\Lambda}-1) \end{align}\] as well as \(U_0 := B_{2^3\delta}(0)\) and \(U_{N}:=\overline{B_{2^{N-3}\delta}(0)}^c\).*

Proof of Lemma 27. Choose a nonincreasing \(\vartheta\in C^\infty([0,\infty)\to[0,1])\) such that \[\vartheta(s)= \begin{cases} 1,& 0\le s\le 1,\\ 0,& s\ge 2, \end{cases} \qquad\text{and}\qquad \vartheta \text{ decreases on } (1,2).\] We also pick smooth companions \(\sigma_0,\sigma,\sigma_\infty\in C^\infty([0,\infty)\to[0,1])\) with \[\sigma_0\equiv 1 \text{ on }[0,2],\;\;\operatorname{supp}\sigma_0\subset[0,3];\qquad \sigma\equiv 1 \text{ on }[1/2,2],\;\;\operatorname{supp}\sigma\subset[1/3,3];\] and \[\begin{align} \sigma_\infty\equiv 0 \text{ on }[0,1/2],\;\;\sigma_\infty\equiv 1 \text{ on }[1,\infty). \end{align}\]

With \(r:=\left\lVert x\right\rVert\), set \[\chi_0(x):=\vartheta\!\left(\frac{r}{\delta}\right),\qquad \chi_\nu(x):=\vartheta\!\left(\frac{r}{2^\nu\delta}\right)-\vartheta\!\left(\frac{r}{2^{\nu-1}\delta}\right)\quad(1\le \nu\le N-1),\] \[\chi_N(x):=1-\vartheta\!\left(\frac{r}{2^N\delta}\right).\] Then for any \(x\) (writing \(t:=r/\delta\)) we have the telescoping identity \[\sum_{\nu=0}^{N}\chi_\nu =\vartheta(t) + \sum_{\nu=1}^{N-1}\big(\vartheta(2^{-\nu}t)-\vartheta(2^{-(\nu-1)}t)\big) +\big(1-\vartheta(2^{-N}t)\big)=1,\] so \(\{\chi_\nu\}\) is a partition of unity with \(0\le \chi_\nu\le 1\).

  • For \(\nu=0\), \(\chi_0\equiv 1\) on \(B_\delta(0)\) and \(\operatorname{supp}\chi_0\subset B_{2\delta}(0)\). If one wishes the radii to be \(C\delta\) and \(2C\delta\) (with \(C\gg1\) fixed), simply replace \(\chi_0(x)\) by \(\vartheta(r/(C\delta))\).

  • For \(1\le \nu\le N-1\), since \(\chi_\nu(x)=\vartheta(s)-\vartheta(2s)\) with \(s:=r/(2^\nu\delta)\), we have \(\operatorname{supp}\chi_\nu\subset\{\,s\in(1/2,2)\,\}\), i.e. \[\operatorname{supp}\chi_\nu\subset\big\{\,2^{\nu-1}\delta<\left\lVert x\right\rVert<2^{\nu+1}\delta\,\big\}.\]

  • For \(\nu=N\), \(\chi_N\equiv 0\) on \(B_{2^N\delta}(0)\) and hence \(\operatorname{supp}\chi_N\subset\{\,\left\lVert x\right\rVert>2^N\delta\,\}\). Since \(2^N\delta\ge R\), this is contained in the complement of the disc of radius \(R\).

By the chain rule and scaling, for any multi-index \(\alpha\) there exists \(C_\alpha<\infty\) such that \[\|\partial^\alpha \vartheta(r/a)\|_{L^\infty(\mathbb{R}^2)}\le C_\alpha\,a^{-|\alpha|}.\] Therefore, for \(1\le \nu\le N-1\), \[\|\partial^\alpha \chi_\nu\|_\infty \le \|\partial^\alpha \vartheta(r/\delta_\nu)\|_\infty + \|\partial^\alpha \vartheta(r/\delta_{\nu-1})\|_\infty \le C_\alpha\,\delta_\nu^{-|\alpha|},\] and the same bound holds for \(\nu=0,N\).

Define \[\psi_0(x):=\sigma_0\!\left(\frac{r}{\delta}\right),\qquad \psi_\nu(x):=\sigma\!\left(\frac{r}{2^\nu\delta}\right)\;\;(1\le \nu\le N-1),\qquad \psi_N(x):=\sigma_\infty\!\left(\frac{r}{2^N\delta}\right).\] By construction, \(\psi_\nu\equiv 1\) on \(\operatorname{supp}\chi_\nu\) for every \(\nu\).

To bound the overlap, fix \(x\) with \(t:=r/\delta>0\). For \(1\le\nu\le N-1\), \[x\in\operatorname{supp}\psi_\nu \iff 2^{-\nu}t\in[1/3,3] \iff \nu\in\big[\log_2 t-\log_2 3,\;\log_2 t+\log_2 3\big],\] an interval of length \(2\log_2 3<3.2\), hence containing at most \(4\) integers. Moreover, \(\psi_0\) can only be nonzero when \(r\lesssim \delta\) and \(\psi_N\) only when \(r\gtrsim 2^N\delta\); in those regimes the other indices contribute none or at most a couple more, so at any \(x\) there are no more than four indices \(\nu\) with \(x\in\operatorname{supp}\psi_\nu\).

For \(1\le \nu\le N-1\) set \[U_\nu:=\big\{\,2^{\nu-3}\delta<\left\lVert x\right\rVert<2^{\nu+3}\delta\,\big\},\] which are open and satisfy \(\operatorname{supp}\psi_\nu\subset U_\nu\) by the choice of supports of \(\sigma\). For the edge indices, take \[U_0:=\{\,\left\lVert x\right\rVert<2^3\delta\,\},\qquad U_N:=\{\,\left\lVert x\right\rVert>2^{N-3}\delta\,\}.\] These choices match the inclusion required in the statement. ◻

7 The Landau resolvent for complex magnetic fields↩︎

In this section we want to study the resolvent of the Landau Hamiltonian \[\begin{align} H^{\mathrm{Landau}}_{B} := (P-\frac{1}{2} B X^\perp)^2 \end{align}\] where \(B>0\) is the magnetic field strength (eventually we’ll allow \(B\in\mathbb{C}\)).

Since \(H^{\mathrm{Landau}}_{B}\) is quadratic in both \(X\) and \(P\) it may be explicitly diagonalized. An easy route is to write the heat kernel [20]: For \(x,y\in\mathbb{R}^2\) and \(t>0\), \[\exp\left(-t H^{\rm Landau}_B\right)(x,y) = \frac{B}{4\pi\sinh\left(Bt\right)}\exp\left(-\frac{B}{4}\coth\left(Bt\right)\left\lVert x-y\right\rVert^{2}-\operatorname{i}\frac{B}{2}x\wedge y\right)\;.\] Its Laplace transform yields the following expression for the resolvent kernel at at spectral parameter \(z\in\mathbb{C}\), such that \(\operatorname{\mathbb{R}\mathbb{e}}\left\{z\right\}<B\) [21]: \[\begin{align} \left(H^{\mathrm{Landau}}_B-z\mathbb{1}\right)^{-1}(x,y) &= \int_{t=0}^\infty\operatorname{e}^{tz}\exp\left(-tH^{\mathrm{Landau}}_B\right)\left(x,y\right)\operatorname{d}{t}\nonumber \\ &= \frac{1}{4\pi}\Gamma\left(\frac{1}{2}-\frac{z}{2B}\right)U\left(\frac{1}{2}-\frac{z}{2B},1,\frac{B}{2}\left\lVert x-y\right\rVert^2\right)\times \nonumber \\ &\qquad\qquad\times\exp\left(-\operatorname{i}\frac{B}{2}x\wedge y -\frac{1}{4} B \left\lVert x-y\right\rVert^2\right)\,. \label{eq:landau-res-kernel} \end{align}\tag{62}\] Here \(U\) is Tricomi’s confluent hypergeometric function [22]: \[\begin{align} U(a,1,z) := \frac{1}{\Gamma(a)}\int_{t=0}^\infty \operatorname{e}^{-tz}t^{a-1}\left(1+t\right)^{-a}\operatorname{d}{t}\qquad(a,z\in\mathbb{C}:\operatorname{\mathbb{R}\mathbb{e}}\left\{a\right\}>0,\operatorname{\mathbb{R}\mathbb{e}}\left\{z\right\}>0)\,. \end{align}\] Since \(z\mapsto\Gamma(z)\) is meromorphic with simple poles on \(\mathbb{Z}_{\leq0}\) and \(U(a,1,z)\) is entire in \(a\in\mathbb{C}\) and analytic for \(z\in\mathbb{C}\setminus(-\infty,0]\) [23], we see that \(\left(H^{\mathrm{Landau}}_B-z\mathbb{1}\right)^{-1}(x,y)\) itself is meromorphic with poles at \(z\in B\left(2\mathbb{N}_{\geq 0}+1\right)\).

We are interested in setting \(B:=\lambda b\) where \(b>0\) and \(\lambda\in\mathbb{C}\) with \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}>0\), and choosing a spectral parameter of the form \(z_\lambda:=-\lambda^2+\mu\lambda\) for some \(\mu\in\mathbb{C}\). We are seeking an analytic continuation (from \(\lambda\in\mathbb{R}\) to complex values of \(\lambda\)) of the integral kernel operator \[\begin{align} \mathbb{R}^2\times\mathbb{R}^2\setminus{\rm diagonal}\ni(x,y)\mapsto\left(H^{\mathrm{Landau}}_{\lambda b}-z_\lambda\mathbb{1}\right)^{-1}(x,y) \end{align}\] as given explicitly above. The \(\Gamma\) factor has infinitely many poles at \(\lambda\in\mu-b\left(2\mathbb{N}_{\geq 0}+1\right)\) so that if \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}>\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}-b\) we avoid all these poles. The \(U\) factor is entire in its first argument, and has a branch cut \((-\infty,0]\) in its last argument [23]. Hence for \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}>\max\left(\Set{0,\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}-b}\right)\) there are no poles or branch cuts of this integral kernel as a function of \(\lambda\). However, it does not continue to a bounded linear operator \(L^2\to L^2\); indeed, see 29 below.

To remedy this situation, let \(K\subseteq\mathbb{R}^2\) be compact and \(Q:=\chi_K(X)\). We use the integral kernel above to define an operator which deserves to be denoted by \(R^{\rm Landau}_{\lambda b}(z_\lambda)Q\) even for complex \(\lambda\) since it analytically continues \(R^{\rm Landau}_{\lambda b}(z_\lambda)Q\) for real \(\lambda\). This operator’s domain, however, is not \(L^2(\mathbb{R}^2)\) but rather \(QL^2(\mathbb{R}^2)\). For \(f\in QL^2(\mathbb{R}^2)\) and \(\lambda\in\mathbb{C}\) with \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}>\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}-b\), it is given as follows. For all \(x\in\mathbb{R}^2\), we have by 62 : \[\begin{align} \label{eq:analytic32continuation32of32Landau32resolvent32for32complex32magnetic32fields} (R^{\rm Landau}_{B}(z) f)(x) :=\int_{y\in K}\operatorname{d}{y}\;K_{B,z}(\left\lVert x-y\right\rVert)\operatorname{e}^{-\operatorname{i}\frac{B}{2}x\wedge y } f(y)\,. \end{align}\tag{63}\] with \[\begin{align} \label{eq:kernel32of32Landau32resolvent32without32phase} K_{B,z}(r) := \frac{1}{4\pi}\Gamma\left(\frac{1}{2}-\frac{z}{2B}\right) U\left(\frac{1}{2}-\frac{z}{2B},1,\frac{B}{2}r^2\right)\operatorname{e}^{ -\frac{1}{4} B r^2}\qquad(r>0)\,. \end{align}\tag{64}\]

28. Let \(K\subseteq\mathbb{R}^2\) be compact and \(Q=\chi_K(X)\). Let \(b,\nu>0\) and \(\lambda,\mu\in\mathbb{C}\) be such that \(\nu\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}>\max\left(\Set{0,\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}-b}\right)\), \(B:=\lambda b\), \(z_\lambda=-\nu\lambda^2+\mu \lambda\).

Then, the integral operator 63 is a bounded linear operator \(QL^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2)\) obeying the bound \[\begin{align} \left\lVert R^{\rm Landau}_{\lambda b}(z_\lambda)Q\right\rVert_{\mathcal{B}(QL^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2))} & \lesssim \left|\lambda\right|^\sharp \exp\left(\frac{\left(\frac{1}{2}b\left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right|D\right)^2}{b \operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\right) \nonumber \\ & \label{eq:Landau32boundedness} \end{align}\qquad{(28)}\] where \(D:= D_K = \sup_{y\in K}\left\lVert y\right\rVert\).

Moreover, if \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\) is sufficiently large, then for all \(S\subseteq \mathbb{R}^2\), we have the off-diagonal bound: for any \(j=1,2\) and \(\alpha=0,1\), \[\begin{align} &\left\lVert\chi_S(X) P_j^\alpha R^{\rm Landau}_{\lambda b}(z_\lambda)Q\right\rVert_{\mathcal{B}(QL^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2))}\leq\nonumber\\ &\qquad \leq \widetilde{C} \exp\left( -\frac{1}{2}\left(\sqrt{\nu}\left(\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}-1\right)-bD\left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right|\right)\mathrm{dist}(S,K)\right) \nonumber\\ & \label{eq:Landau32off32diagonal32decay} \end{align}\qquad{(29)}\] where \(Q\equiv\chi_{K}(X)\) and \(\widetilde{C}\) is explicit and polynomial in the parameters.

Proof. Set \(A := 1/2-z_\lambda/ (2\lambda b)\in\mathbb{C}\) with \(\operatorname{\mathbb{R}\mathbb{e}}\left\{A\right\}>0\) and \(w := \frac{1}{2}\lambda b\left\lVert x-y\right\rVert^2\) with \(\operatorname{\mathbb{R}\mathbb{e}}\left\{w\right\}>0\) (assuming \(x\neq y\) for the moment). Then \[\begin{align} \left|\Gamma(A) U(A,1,w)\right| &= \left|\int_{t=0}^{\infty}\exp\left(-t w\right)t^{A-1}(1+t)^{-A}\operatorname{d}{t}\right| \\ &\leq \int_{t=0}^{\infty}\exp\left(-t \operatorname{\mathbb{R}\mathbb{e}}\left\{w\right\}\right)t^{\operatorname{\mathbb{R}\mathbb{e}}\left\{A\right\}-1}(1+t)^{-\operatorname{\mathbb{R}\mathbb{e}}\left\{A\right\}}\operatorname{d}{t} \\ &\leq \int_{t=0}^{1}t^{\operatorname{\mathbb{R}\mathbb{e}}\left\{A\right\}-1}\operatorname{d}{t} + \int_{t=1}^{\infty}\exp\left(-t \operatorname{\mathbb{R}\mathbb{e}}\left\{w\right\}\right)t^{-1}\operatorname{d}{t} \\ &\leq \frac{1}{\operatorname{\mathbb{R}\mathbb{e}}\left\{A\right\}} + \int_{t=1}^{1/\operatorname{\mathbb{R}\mathbb{e}}\left\{w\right\}}t^{-1}\operatorname{d}{t} + \int_{t=1/\operatorname{\mathbb{R}\mathbb{e}}\left\{w\right\}}^{\infty}\exp\left(-t \operatorname{\mathbb{R}\mathbb{e}}\left\{w\right\}\right)t^{-1}\operatorname{d}{t} \\ &\leq \frac{1}{\operatorname{\mathbb{R}\mathbb{e}}\left\{A\right\}} + \left|\log\left(\operatorname{\mathbb{R}\mathbb{e}}\left\{w\right\}\right)\right| + 1\\ &\leq \left(1+\frac{1}{\operatorname{\mathbb{R}\mathbb{e}}\left\{A\right\}}\right)\left(1+\left|\log\left(\operatorname{\mathbb{R}\mathbb{e}}\left\{w\right\}\right)\right|\right)\,. \end{align}\]

Moreover, we also have \[\begin{align} \left|\exp\left(-\operatorname{i}\frac{\lambda b}{2}x\wedge y \right)\right| = \exp\left(\frac{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\} b}{2}x\wedge y\right)\,. \end{align}\] Now if \(y\in K\) then, defining \[D:=\;D_K\;=\;\sup_{y\in K}\left\lVert y\right\rVert,\] and using that \(\left|x\wedge y\right| = \left|\left(x-y\right)\wedge y\right| \leq D \left\lVert x-y\right\rVert\) we find that the whole kernel is upper bounded by \[\begin{align} \left|\left(H^{\mathrm{Landau}}_{\lambda b}-z_\lambda\mathbb{1}\right)^{-1}(x,y)\right| &\leq \frac{1+\frac{1}{\operatorname{\mathbb{R}\mathbb{e}}\left\{A\right\}}}{4\pi}\left(1+\left|\log\left(\frac{1}{2}\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\} b\left\lVert x-y\right\rVert^2\right)\right|\right) \times \\ &\qquad \times \exp\left(-\frac{1}{4} b \operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\left\lVert x-y\right\rVert^2 + \frac{1}{2} b \left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right|D\left\lVert x-y\right\rVert\right) \,. \end{align}\]

At this point it is convenient to "forget" the fact that \(y\) only ranges in \(K\) (as an upper bound) to simplify the invocation of Schur’s test \[\begin{align} \left\lVert G\right\rVert^2 \leq \left(\sup_x \int_{y} \left|G(x,y)\right|\operatorname{d}{y}\right)\left(\sup_y \int_{x}\left|G(x,y)\right|\operatorname{d}{x}\right) \end{align}\] to \[\begin{align} \left\lVert R^{\rm Landau}_{\lambda b}(z_\lambda)Q\right\rVert_{\mathcal{B}(QL^2(\mathbb{R}^2)\to L^2(\mathbb{R}^2))} &\leq \frac{1+\frac{1}{\operatorname{\mathbb{R}\mathbb{e}}\left\{A\right\}}}{4\pi}\int_{x\in\mathbb{R}^2}\operatorname{d}{x}\left(1+\left|\log\left(\frac{1}{2}\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\} b\left\lVert x\right\rVert^2\right)\right|\right) \times \\ &\qquad \times \exp\left(-\frac{1}{4} b \operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\left\lVert x\right\rVert^2 + \frac{1}{2} b \left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right|D\left\lVert x\right\rVert\right)\,. \end{align}\] Now using \[\begin{align} \int_{r=0}^\infty r\left(1+\left|\log\left(\alpha r^2\right)\right|\right)\exp\left(-\frac{1}{2}\alpha r^2 + \beta r \right)\operatorname{d}{r} &\leq \int_{r=0}^\infty r\left(1+2\sqrt{\alpha} r + \frac{2}{\sqrt{\alpha} r}\right)\exp\left(-\frac{1}{2}\alpha r^2 + \beta r \right) \operatorname{d}{r} \\ &= \frac{\beta +1}{\alpha }+\frac{\sqrt{2\pi} \left(\alpha +\beta ^2+\beta +1\right) \operatorname{e}^{\frac{\beta ^2}{2 \alpha } } }{\alpha ^{3/2}} \end{align}\] we find the estimate ?? .

To get the rate of off-diagonal decay, we return to the integral expression for \(\left|\Gamma(A) U(A,1,w)\right|\). Now \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\) is a large parameter: \(A = \frac{1}{2}-\frac{-\nu\lambda^2+\mu\lambda}{2\lambda b} = \frac{\nu\lambda+b-\mu}{2b}\) so \(2b\operatorname{\mathbb{R}\mathbb{e}}\left\{A\right\} = \nu\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}+b-\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}\) and then, with \(\gamma:=\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\), \(r := \left\lVert x-y\right\rVert\), \(w := \frac{1}{2}\lambda b\left\lVert x-y\right\rVert^2\), we get, \[\begin{align} \left|\Gamma(A) U(A,1,w)\right| &\leq \int_{t=0}^{\infty}\frac{\left(1+\frac{1}{t}\right)^{-\frac{1}{2}+\frac{\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}}{2b}}}{t}\exp\left(-\gamma\left(\frac{1}{2} b t r^2+\frac{\nu}{2b}\log\left(1+\frac{1}{t}\right)\right)\right)\operatorname{d}{t}\\ &\leq \int_{t=0}^{\infty}\frac{\left(1+\frac{1}{t}\right)^{-\frac{1}{2}+\frac{\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}}{2b}}}{t}\exp\left(-\left(\frac{1}{2} b t r^2+\frac{\nu}{2b}\log\left(1+\frac{1}{t}\right)\right)\right)\operatorname{d}{t}\times \\ &\times \exp\left(-\left(\gamma-1\right) \left(\frac{1}{4} r \sqrt{b^2 r^2+4\nu}+\frac{\nu\log \left(\frac{\frac{1}{2} b r \left(\sqrt{b^2 r^2+4\nu}+b r\right)}{2\nu}+1\right)}{2 b}-\frac{b r^2}{4}\right)\right)\,. \end{align}\] Here we have calculated the minimal value of the function (of \(t\)) in the exponential and pulled it out of the integral, akin to a Laplace asymptotic calculation. Now since the logarithm term within the exponential is positive and \(\sqrt{b^2 r^2 + 4\nu}\geq2\sqrt{\nu}\) we see that \[\begin{align} \left|\left(H^{\mathrm{Landau}}_{\lambda b}-z_\lambda\mathbb{1}\right)^{-1}(x,y)\right| &\leq \left(1+\frac{2b}{\nu+b-\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}}\right)\left(1+\left|\log\left(\frac{1}{2} b \left\lVert x-y\right\rVert^2\right)\right|\right) \times \\ &\times \exp\left(-\frac{\sqrt{\nu}}{2}\left(\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}-1\right) \left\lVert x-y\right\rVert +\frac{1}{2} b \left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right| D\left\lVert x-y\right\rVert \right) \end{align}\] but now \(\left\lVert x-y\right\rVert\geq \mathrm{dist}(S,K)\) so Schur’s test again yields the claimed bound.

For the case \(\alpha\neq0\), we use \[\begin{align} \left(P_j^\alpha R^{\rm Landau}_{\lambda b}(z_\lambda)\right)(x,y) &= -\operatorname{i}\partial_{x_j} R^{\rm Landau}_{\lambda b}(z_\lambda)(x,y) \\ &= -\operatorname{i}\partial_{x_j} K_{\lambda b,z_\lambda}\left(\left\lVert x-y\right\rVert\right)\exp\left(-\operatorname{i}\frac{\lambda b}{2}x\wedge y \right) \\ &= -\operatorname{i}\left(\frac{x_j-y_j}{\left\lVert x_j-y_j\right\rVert}K'_{\lambda b, z_\lambda}(\left\lVert x-y\right\rVert)-\operatorname{i}\frac{\lambda b}{2}\varepsilon_{ji}y_jK_{\lambda b,z_\lambda}\left(\left\lVert x-y\right\rVert\right)\right)\exp\left(-\operatorname{i}\frac{\lambda b}{2}x\wedge y \right)\,. \end{align}\] The second term is dealt with in the same manner as before, so we only study \(K'\): \[\begin{align} \label{eq:derivative32of32Landau32positive32kernel} K'_{B, z}(r) &= -\frac{B r}{4\pi}\Gamma\left(\frac{1}{2}-\frac{z}{2B}\right)\operatorname{e}^{-\frac{1}{4} B r^2}\left(\left(\frac{1}{2}-\frac{z}{2B}\right)U\left(\frac{3}{2}-\frac{z}{2B},2,\frac{1}{2} B r^2\right) + \frac{1}{2} U\left(\frac{1}{2}-\frac{z}{2B},1,\frac{B}{2}r^2\right) \right)\,. \end{align}\tag{65}\] The second term is identical to what was studied above, hence we only need to study the term involving \(U\left(\frac{3}{2}-\frac{z}{2B},2,\frac{1}{2} B r^2\right)\): \[\begin{align} \Gamma\left(A\right)U\left(1+A,2,w\right) = \frac{1}{A}\int_{t=0}^\infty\operatorname{e}^{-w t}t^{A}\left(1+t\right)^{-A}\operatorname{d}{t} \end{align}\] and we see that this leads to the same asymptotics of the integral as above, for the large parameter \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\). ◻

To motivate our analysis throughout the paper, we show that we have no hope to continue the Landau resolvent without restricting to a compact set. In fact, we will even allow a relatively compact perturbation of the Landau Hamiltonian.

29. Let \(v:\mathbb{R}^2\to\mathbb{C}\) be bounded and of compact support.

Then for \(\nu>0,\mu\in\mathbb{C}\) fixed, \(\lambda\in\mathbb{C}\setminus\mathbb{R}\) with \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}>0\), and setting \(z_\lambda := -\nu \lambda^2+\mu\lambda\), \[\begin{align} H^{\rm Landau}_{b \lambda}+\lambda^2 v(X)-z_\lambda\mathbb{1} \end{align}\] is not* invertible for all \(\lambda\) and \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\) sufficiently large.*

Proof. We shall invoke the Weyl criterion for the spectrum, i.e., we shall show that for any \(\delta>0\) there exists some \(\psi_\delta\in L^2(\mathbb{R}^2)\) such that \[\begin{align} \left\lVert\left(H^{\rm Landau}_{b \lambda}+\lambda^2 v(X)-z_\lambda\mathbb{1}\right)\psi_\delta\right\rVert\leq\delta\left\lVert\psi_\delta\right\rVert\,. \end{align}\]

The plan will be to choose define a smooth bump function, \(\widetilde{\psi_\delta}\), supported at a large distance from the support of \(v(x)\), in such a way that the magnitude of the phase appearing in the Landau resolvent kernel, \(\exp\left(\frac{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\} b}{2}x\wedge y\right)\) can be made arbitrarily large on the support of \(\widetilde{\psi_\delta}\). Then, \(\psi_\delta := R_{\lambda b}^{\rm Landau}(z_\lambda)\widetilde{\psi_\delta}\), which by 28 is well-defined for complex \(\lambda\) since \(\widetilde{\psi_\delta}\) is supported on a compact set, will be large.

On the other hand, \[\begin{align} \left(H^{\rm Landau}_{b \lambda}+\lambda^2 v(X)-z_\lambda\mathbb{1}\right)\psi_\delta = \widetilde{\psi_\delta} + \lambda^2 v(X) R_{\lambda b}^{\rm Landau}(z_\lambda)\widetilde{\psi_\delta} \end{align}\] will be bounded, thanks to the off-diagonal decay bound on \(R_{\lambda b}^{\rm Landau}(z_\lambda)\), ?? .

Let \(\xi\in\mathbb{R}^2\) be chosen below with \(\left\lVert\xi\right\rVert\gg 1\). Let \(\widetilde{\psi_\delta}\geq0\) be a smooth bump function supported within \(K:=B_{\beta \left|\lambda\right|^{-1}\left\lVert\xi\right\rVert^{-1}}(\xi)\) for some \(\beta>0\) and obeying \(\int_{\mathbb{R}^2}\widetilde{\psi_\delta} = 1\) so that \(\left\lVert\widetilde{\psi_\delta}\right\rVert_2\lesssim \beta^{-1}\left|\lambda\right|\left\lVert\xi\right\rVert\). We find, by the off-diagonal bound ?? , for sufficiently large \(\left|\lambda\right|\). : \[\begin{align} \left\lVert\left(H^{\rm Landau}_{b \lambda}+\lambda^2 v(X)-z\mathbb{1}\right)\psi_\delta\right\rVert &\leq C \beta^{-1}\left|\lambda\right|\left\lVert\xi\right\rVert\;. \end{align}\]

To obtain a lower bound on \(\left\lVert\psi_\delta\right\rVert\), we shall require \(U\subseteq\mathbb{R}^2\) to be a subset on which the Landau phase factor is large, i.e., for some \(c>0\) \[\begin{align} \label{eq:Landau32phase32is32large}\left|\exp\left(-\operatorname{i}\frac{\lambda b}{2}x\wedge \xi\right)\right| \geq \exp\left(\frac{1}{2}c \left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right|\left\lVert\xi\right\rVert\right). \end{align}\tag{66}\] Then \[\begin{align} \left\lVert\psi_\delta\right\rVert^2 & = \int_{x\in \mathbb{R}^2}\left|\psi_\delta(x)\right|^2\operatorname{d}{x} \\ &\geq \int_{x\in U}\left|\left(R_{\lambda b}^{\rm Landau}(z_\lambda)\widetilde{\psi_\delta}\right)(x)\right|^2\operatorname{d}{x} \\ &\geq \exp\left(c \left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right|\left\lVert\xi\right\rVert\right) \int_{x\in U}\left|\exp\left(\operatorname{i}\frac{\lambda b}{2}x\wedge\xi\right)\left(R_{\lambda b}^{\rm Landau}(z_\lambda)\widetilde{\psi_\delta}\right)(x)\right|^2\operatorname{d}{x}\,. \end{align}\] We claim we can choose the set \(U\) such that both 66 holds and the latter integral over \(U\) satisfies a lower bound which is independent of \(\xi\). We make the following choice: \[\begin{align} U := \Set{x \in \mathbb{R}^2 | C < \left\lVert x-\xi\right\rVert < C' } \cap \Set{x \in \mathbb{R}^2 | \operatorname{sgn}(\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\})\;( x\wedge \xi) \geq c \left\lVert\xi\right\rVert} \end{align}\] The set \(U\) has an area, which is strictly positive and uniformly bounded away from zero, independently of \(|\lambda|\) and \(\xi\in\mathbb{R}^2\).

We then rewrite, via 63 and abusing \(K(x-y)\equiv K(\left\lVert x-y\right\rVert)\), \[\begin{align} \exp\left(\operatorname{i}\frac{\lambda b}{2}x\wedge\xi\right)\left(R_{\lambda b}^{\rm Landau}(z_\lambda)\widetilde{\psi_\delta}\right)(x) &= \int_{y\in K} K_{B,z}(x-y)\operatorname{e}^{-\operatorname{i}\frac{B}{2}x\wedge \left(y-\xi\right) }\widetilde{\psi_\delta}(y)\operatorname{d}{y} \\ &= \int_{y\in K} K_{B,z}(x-\xi)\widetilde{\psi_\delta}(y)\operatorname{d}{y} +\\ &+\int_{y\in K} \left(K_{B,z}(x-y)\operatorname{e}^{-\operatorname{i}\frac{B}{2}x\wedge \left(y-\xi\right) }-K_{B,z}(x-\xi)\right)\widetilde{\psi_\delta}(y)\operatorname{d}{y} \\ &= K_{B,z}(x-\xi)+\\&+\int_{y\in K} \left(K_{B,z}(x-y)\operatorname{e}^{-\operatorname{i}\frac{B}{2}x\wedge \left(y-\xi\right) }-K_{B,z}(x-\xi)\right)\widetilde{\psi_\delta}(y)\operatorname{d}{y}\,. \end{align}\]

Now we may establish, via 65 and the lines below it, that \[\begin{align} \left|K_{B,z}(\left\lVert x\right\rVert)-K_{B,z}(\left\lVert y\right\rVert)\right| \leq C \left|B\right|\left\lVert x\right\rVert\left\lVert x-y\right\rVert\left|K_{B,z}(\left\lVert x\right\rVert)\right| \end{align}\] for all \(\left\lVert x-y\right\rVert\leq c \left|B\right|^{-1}\left\lVert x\right\rVert^{-1}\). Using these estimates one may prove \[\begin{align} \left|\left(K_{B,z}(\left\lVert x-y\right\rVert)\operatorname{e}^{-\operatorname{i}\frac{B}{2}x\wedge \left(y-\xi\right) }-K_{B,z}(\left\lVert x-\xi\right\rVert)\right)\right| &\leq C \beta \left|K_{B,z}(\left\lVert x-\xi\right\rVert)\right| \end{align}\] and hence we have the desired bound \[\begin{align} \left\lVert\psi_\delta\right\rVert^2 \gtrsim \exp\left(c \left|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}\right|\left\lVert\xi\right\rVert\right) C_\lambda \end{align}\] for some constant \(C_\lambda\) independent of \(\xi\). By choosing \(\xi\) sufficiently large we get our result. ◻

8 Anisotropic Magnetic Harmonic Oscillator an Appendix by Tal Shpigel↩︎

Recall our definition of the magnetic harmonic oscillator (MHO) \[\begin{align} h_{\lambda}^{\rm MHO }:=\left(P-\frac{1}{2}b\lambda X^{\perp}\right)^{2}+\frac{1}{2}\lambda^{2}\left\langle X,\left(\nabla\otimes\nabla^\ast v\right)(0)X\right\rangle \end{align}\] where \(b>0\), \(\lambda\in\mathbb{R}\) and \(\left(\nabla\otimes\nabla^\ast v\right)(0)\) is some strictly positive \(2\times 2\) matrix.

Let \(h^{\rm MHO}:=h^{\rm MHO}_1\) and label its eigenvalues \(\Set{e_j^{\rm MHO}}_{j=0,1,2,\cdots}\).

In this section, we shall prove

30. Set \(z_\lambda := -\lambda^{2}+e_{0}^{{\rm MHO}}\lambda+\frac{1}{2}\left(e_{1}^{{\rm MHO}}-e_{0}^{{\rm MHO}}\right)\xi\lambda\) where \(\xi\in\mathbb{S}^1\). Hence \(z = -\lambda^2+\mu\lambda\) with \[\begin{align} \mu = e_{0}^{{\rm MHO}}+\frac{1}{2}\left(e_{1}^{{\rm MHO}}-e_{0}^{{\rm MHO}}\right)\xi\qquad(\xi\in\mathbb{S}^1)\,. \end{align}\] This choice guarantees that for \(\lambda\in\mathbb{R}\), \(z_\lambda\) is at distance order \(\lambda\) away from the eigenvalues of \(h_\lambda^{\rm MHO}\).

Fix \(\varepsilon\in(0,\frac{\pi}{2})\), \(\Lambda>0\) sufficiently large and consider the wedge \[\begin{align} \Omega_{\Lambda,\varepsilon} := \Set{z\in\mathbb{C}| \left|z\right|>\Lambda\quad\rm{ and }\quad\left|\arg(z)\right|<\frac{\pi}{2}-\varepsilon}\,. \end{align}\]

Then there exists some \(b_{\rm max}(\varepsilon) > 0\) such that for all \(b\in(0,b_{\rm max}(\varepsilon))\), \[\begin{align} (0,\infty)\in\lambda \mapsto r_{\lambda}^{\rm MHO }(z_\lambda) \equiv \left(h_{\lambda}^{\rm MHO }-z_\lambda\mathbb{1}\right)^{-1} \in \mathcal{B}(L^2(\mathbb{R}^2)) \end{align}\] continues to an analytic function \(\Omega_\varepsilon\ni\lambda\mapsto r_{\lambda}^{\rm MHO }(z_\lambda) \in \mathcal{B}(L^2(\mathbb{R}^2))\) obeying the following bounds \[\begin{align} \left\lVert r_{\lambda}^{\mathrm{MHO}}(z_\lambda) \right\rVert_{\mathcal{B}(L^2(\mathbb{R}^2))} \lesssim \left|\lambda\right|^{-1}\qquad(\lambda\in\Omega_\varepsilon) \end{align}\] and \[\begin{align} \left\lVert\chi_S(X) P_j^\alpha r_{\lambda}^{\mathrm{MHO}}(z_\lambda)\chi_T(X)\right\rVert_{\mathcal{B}(L^2(\mathbb{R}^2))} \lesssim \exp\left(-c \left|\lambda\right|\mathrm{dist}(S,T)^2\right)\qquad(\lambda\in\Omega_\varepsilon\land S,T\subseteq\mathbb{R}^2\nonumber\\j=1,2,\alpha=0,1)\nonumber\\ \end{align}\] which holds as soon as \(\mathrm{dist}(S,T)>\left|\lambda\right|^{-1/2}\).

8.1 The Setup↩︎

We consider a 2-dimensional anisotropic harmonic oscillator subject to a uniform magnetic field. We start by quoting the Hamiltonian from [24]: \[\label{eq:matsumoto95hamiltonian} H = \frac{1}{2}\sum_{j=1}^2\left(i\frac{\partial}{\partial x_j} - \theta_j\right)^2 + \frac{1}{2}(k_1^2x_1^2 + k_2^2x_2^2),\tag{67}\] where \(\theta_1 = \frac{B}{2}x_2\) and \(\theta_2 = -\frac{B}{2}x_1\). Here, \(k_1\neq k_2\) both positive, \(B\in\mathbb{R}\) and \(x=(x_1,x_2)\in\mathbb{R}^2\). The fundamental solution of the heat equation for this Hamiltonian is given explicitly as \(q(t,x,y)\) in prop 2.1 of [24] as \[q(x,y,t) = \frac{1}{2\pi}\sqrt{\text{det}\left(\frac{\partial^2\tilde{S}_{cl}(t,x,y)}{\partial x\partial y}\right)}\exp(-\tilde{S}_{cl}(t,x,y)),\] where the exact expression of \(\tilde{S}_{cl}(x,y,t)\) is given in [24]. We will use this to prove bounds on the Green’s function of \(H\) modified to remove the effect of the ground state. However, there is a small mistake in the expression of the Hamiltonian in 67 . For \(q(t,x,y)\) as presented in [24] to be the fundamental solution of the heat equation, the Hamiltonian should have the signs of \(\theta_1\) and \(\theta_2\) flipped: \(\theta_1=-\frac{B}{2}x_2\) and \(\theta_2=\frac{B}{2}x_1\). We will work with the Hamiltonian with the correct signs.

Next, we perform change of notations and variables to make the expressions more convenient for our goal. The full change of notation is as follows: \[\begin{align} &k_i \to \lambda k_i, \notag\\ &B \to 2\lambda B, \notag\\ &\lambda t \to s \in \mathbb{R}, \notag\\ &q(x,y,t) \to q(x,y,s), \notag\\ &\tilde{S}_{cl}(x,y,t) \to \phi(x,y,s), \end{align}\] where, at first, \(\lambda\) is a large positive number, and \(s=\lambda t\in\mathbb{R}\).

After the change of notation and variables, the Hamiltonian becomes \[H = \frac{1}{2} \left[-\nabla^2 + 2i\lambda B(x_2\partial_{x_1}-x_1\partial_{x_2}) + \lambda^2\left(k_1^2+B^2\right)x_1^2 + \lambda^2\left(k_2^2+B^2\right)x_2^2\right],\] where \(\nabla^2 = \sum_{i}\partial_{x_i}^2\) is the laplacian operator and \(k_{i=1,2}>0\), \(B\in\mathbb{R}\) and \(x=(x_1,x_2)\in\mathbb{R}^2\).

We look at the heat equation for the Hamiltonian \(H\): \[\label{eq:heat95equation} (\lambda\partial_s + H)q(x,y,s) = 0,\tag{68}\] where \(q(x,y,s)\) is the heat kernel. The initial condition is given for \(y\in\mathbb{R}^2\) such that \(q(x, y, 0) = \delta(x-y)\), where \(\delta(x-y)\) is the Dirac delta function.

The heat kernel, in this work’s notation and after the change of variables, is given explicitly by \[\label{eq:heat95kernel} q(x,y,s) = \lambda P(s)\exp(-\phi(x,y,s)),\tag{69}\] where the prefactor and the term in the exponent are given by \[\begin{align} P(s) &= \frac{f_+f_-}{2\pi}\sqrt{\frac{2k_1k_2}{K(s)}},\tag{70}\\ \phi(x,y,s) &= \frac{\lambda f_+f_- \alpha_{12}(s)}{2K(s)}(x_1^2+y_1^2) + \frac{\lambda f_+f_- \beta_{12}(s)}{K(s)}x_1y_1\notag \\ &+ \frac{\lambda f_+f_- \alpha_{21}(s)}{2K(s)}(x_2^2+y_2^2) + \frac{\lambda f_+f_- \beta_{21}(s)}{K(s)}x_2y_2\notag \\ &+i\frac{\lambda B \gamma_1(s)}{K(s)}(x_1x_2-y_1y_2) - i\frac{\lambda B \gamma_2(s)}{K(s)}(x_1y_2-x_2y_1), \tag{71} \end{align}\] and \[\begin{align} \label{eq:heat95kernel95parameters} &f_\pm = \sqrt{(k_1\pm k_2)^2 + 4B^2}\notag \\ &K(s) = f_-^2(k_1+k_2)^2(\cosh(f_+s)-1)-f_+^2(k_1-k_2)^2(\cosh(f_-s)-1),\notag \\ &\alpha_{ij}(s) = k_i\big[f_-(k_1+k_2)\sinh(f_+s) + f_+(k_j-k_i)\sinh(f_-s)\big],\notag \\ &\beta_{ij}(s) = k_i\bigg[\Big(f_+(k_i-k_j)+f_-(k_1+k_2)\Big)\sinh\left(\frac{f_--f_+}{2}s\right) \notag\\ &\qquad\qquad + \Big(f_+(k_i-k_j)-f_-(k_1+k_2)\Big)\sinh\left(\frac{f_-+f_+}{2}s\right)\bigg],\notag\\ &\gamma_1(s) = (k_1^2-k_2^2)\big(f_+^2(\cosh(f_- s)-1) -f_-^2(\cosh(f_+ s)-1) \big),\notag\\ &\gamma_2(s) = 8f_+f_-k_1k_2\sinh\left(\frac{f_+}{2}s\right)\sinh\left(\frac{f_-}{2}s\right). \end{align}\tag{72}\]

The ground state eigenfunction of \(H\) is given by \[\label{eq:ground95state95eigenfunction} \psi_0(x, \lambda) = \left(\frac{\lambda^2\eta\zeta}{\pi^2}\right)^{1/4}\exp\left(-\frac{\lambda}{2}\left(\eta x_1^2 + \zeta x_2^2 - i\xi x_1x_2\right)\right),\tag{73}\] where \[\begin{align} \label{eq:ground95state95parameters} \eta &= \frac{f_+k_1}{k_1+k_2}\notag\\ \zeta &= \frac{f_+k_2}{k_1+k_2}\notag\\ \xi &= \frac{2B(k_1-k_2)}{k_1+k_2}. \end{align}\tag{74}\] The reader should note that there is a small mistake in the expression of the ground state eigenfunction of \(H\) in [24], where the cross term is missing. The eigenvalue corresponding to the ground state is given defined by \(H\psi_0 = E_0\psi_0\), where \(E_0\) is the ground state energy and given as \[\label{eq:ground95state95energy} E_0 = \frac{\lambda f_+}{2}.\tag{75}\]

Once we have these formulas we extend the definitions to \(\lambda\in\mathbb{C}\) by analytic continuation, as described in [sec:first_main_thm] [sec:second_main_thm].

8.2 Controlled Constants↩︎

We are given basic constants \(c_\lambda\), which will be used to control \(|\text{Arg}(\lambda)|\) and \(k_1,k_2\) which specify the harmonic oscillator. Constants that are determined by the basic constants are called controlled constants and are denoted by \(c, C, C',\) etc. These symbols may denote different constants in different occurrences. We write \(X=\mathcal{O}(Y)\) to indicate that \(|X|\leq CY\) for a constant \(C\).

8.3 First Main theorem↩︎

We set \((x,y,\lambda,\mu)\in\mathbb{R}^2\times\mathbb{R}^2\times\Omega\times\mathbb{C}\) with \(x\neq y\) and \(Re(\mu)<\frac{f_+}{2}+c_\mu\) (small enough \(c_\mu\)), where \(\Omega=\{\lambda\in\mathbb{C}:|\lambda|>C_\lambda,|\mathrm{arg}(\lambda)|<\frac{\pi}{2}-c_\lambda\}\) with \(C_\lambda\) large enough. We define the modified Green’s function as \[\label{eq:resolvent95definition} \tilde{G}(x,y,\lambda,\mu) = \int_0^\infty \frac{1}{\lambda}e^{\mu s}\left[q(x,y,s) - e^{-E_0 s}\psi_0(x, \lambda)\psi_0^*(y, \lambda^*)\right]ds,\tag{76}\] where \(q(s,x,y)\) is the heat kernel defined above in 69 when all the parameters are real, \(E_0\) is the ground state energy 75 , and \(\psi_0(x)\) is the ground state eigenfunction 73 . \(\psi_0^*\) denotes the complex conjugate of \(\psi_0\). Our purpose is to estimate \(\tilde{G}(x,y,\lambda,\mu)\).

We also introduce the function: \[\label{eq:D95function95definition} D(s) = \begin{cases} C\log\left(\frac{C}{s}\right), & \text{if }0<s<1\\ C'\exp(-cs), & \text{if } s\geq1, \end{cases}\tag{77}\] with \(C, C'\) large enough and \(c\) small enough, taken so that \(D(s)\) is continuous.

Our first main theorem controls the size of \(\tilde{G}(x,y,\lambda,\mu)\):

31. For \((x,y,\lambda,\mu)\in\mathbb{R}^2\times\mathbb{R}^2\times\Omega\times\{ \mu\in\mathbb{C}:\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}<\frac{f_+}{2}+c_\mu\}\) with \(x\neq y\) and \(|B|\) less than a small enough constant \(c_B\), we have \[\label{eq:first95main95thm} |\tilde{G}(x,y,\lambda,\mu)| \leq CD(c|\lambda|\;|x-y|(|x|+|y|)).\qquad{(30)}\]

8.4 Proof of the First Main theorem↩︎

We will establish the stronger inequality \[\label{eq:main95inequality} \int_0^\infty \Big|e^{\mu s}\big[q(x,y,s) - e^{-E_0 s}\psi_0(x)\psi_0^*(y)\big]\Big| ds \leq CD(c|\lambda|\;|x-y|(|x|+|y|)),\tag{78}\] for \(x\neq y\), \(\lambda\in\Omega\), and \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}<\frac{\lambda f_+}{2}+c_\mu\), for small enough \(c_\mu\).

To prove 78 , we partition the set of all \(s>0\) into the following six subsets:

  • Region 1: \(0 < s < c_1\), \(s\geq\frac{|x-y|}{|x|+|y|}\), and \(|\lambda|\left(|x|^2+|y|^2\right)s\geq1\).

  • Region 2: \(0 < s < c_1\), \(s\geq\frac{|x-y|}{|x|+|y|}\), and \(|\lambda|\left(|x|^2+|y|^2\right)s<1\).

  • Region 3: \(0 < s < c_1\), and \(s<\frac{|x-y|}{|x|+|y|}\).

  • Region 4: \(c_1 < s < C_1\).

  • Region 5: \(s > C_1\), and \(|\lambda|\left(|x|^2+|y|^2\right)\leq\exp(c^\sharp s)\).

  • Region 6: \(s > C_1\), and \(|\lambda|\left(|x|^2+|y|^2\right)>\exp(c^\sharp s)\).

We will estimate the integral over each of these regions separately. Here, \(c_1\) and \(c^\sharp\) are small constants, and \(C_1\) is a large constant. These constants will be picked later.

The following props will be useful for the estimates in all regions:

32. Suppose \(a,b>0\) with \(ab>c\). Then \[\int_b^\infty \frac{1}{s}\exp(-as) ds \leq C\exp(-a b).\]

33. Suppose \(a,b>0\). Then \[\int_0^b \frac{1}{s}\exp(-a/s) ds \leq CD(a/b).\]

The proofs of these two propositions are left to the reader.

34. For \(\lambda\in\Omega\), \(|B|<c_B\), and \(\psi_0(x,\lambda)\) defined as in 73 , we have \[\bigg|\frac{1}{\lambda}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\bigg| \leq C\exp(-c|\lambda|s(|x|^2+|y|^2)).\]

Proof. \[\begin{align} &\bigg|\frac{1}{\lambda}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\bigg| = \sqrt{\frac{\eta\zeta}{\pi^2}} \Bigg|\exp\left( -\frac{\lambda}{2}(\eta x_1^2+\zeta x_2^2-i\xi x_1x_2)-\frac{\lambda}{2}(\eta y_1^2+\zeta y_2^2+i\xi y_1y_2)\right)\Bigg|\notag\\ &= \sqrt{\frac{\eta\zeta}{\pi^2}} \exp\left( -\frac{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}{2}\Big(\eta (x_1^2 + y_1^2)+\zeta (x_2^2 + y_2^2)\Big) + \frac{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda \right\}\xi}{2}\Big(x_1x_2-y_1y_2\Big)\right)\notag\\ &\leq C\exp\Big(-c\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\big(|x|^2+|y|^2\big) - c'|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}| |B|\big(|x_1x_2|+|y_1y_2|\big)\Big). \end{align}\] Now by Cauchy-Schwarz, \[|x_1x_2|+|y_1y_2|\leq 2\sqrt{(x_1^2+y_1^2)(x_2^2+y_2^2)} \leq |x|^2+|y|^2.\] Thus, for \(|B|<c_B\) small enough, we have \[|\psi_0(x,\lambda)\psi_0^*(y,\lambda)| \leq \exp\left(-c(\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}-|B||\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}|)(|x|^2+|y|^2) \right) \leq C\exp(-c|\lambda|(|x|^2+|y|^2)),\] provided \(|B|<c_B\) is small enough. ◻

8.4.1 Regions 1, 2, and 3↩︎

The following lem will be useful for the estimates in these regions:

35. For \(|B|<c_B\) small enough, \(\lambda\in\Omega\), and \(0<s<c_1\), we have \[\begin{align} \operatorname{\mathbb{R}\mathbb{e}}\left\{\phi(x,y,s)\right\} &\geq c|\lambda| s (|x|^2+|y|^2) +\frac{c|\lambda|}{s}|x-y|^2,\;\text{and}\notag\\ |P(s)| &\leq \frac{C'}{s}. \end{align}\]

Proof. We first move to \(w\) coordinates defined by \[\begin{align} w_1 &= x_1 - y_1, \qquad w_2 = x_2 - y_2,\notag\\ w_3 &= x_1 + y_1, \qquad w_4 = x_2 + y_2. \end{align}\] The function \(\phi(x,y,s)\) can be rewritten as \[\begin{align} \label{eq:phi95w95coordinates} \phi(w,s) &= \frac{\lambda f_+f_- a_{12}(s)}{2K(s)}w_1^2 + \frac{\lambda f_+f_- a_{21}(s)}{2K(s)}w_2^2 \notag\\ &+ \frac{\lambda f_+f_- b_{12}(s)}{2K(s)}w_3^2 + \frac{\lambda f_+f_- b_{21}(s)}{2K(s)}w_4^2 \notag\\ &+ \frac{i\lambda B g_-(s)}{2K(s)}w_1w_4 +\frac{i\lambda B g_+(s)}{2K(s)}w_2w_3, \end{align}\tag{79}\] where \(K(s),f_\pm\) are defined as in 72 and \[\begin{align} a_{ij}(s) &= k_i\left[\cosh\left(\frac{f_+s}{2}\right) + \cosh\left(\frac{f_-s}{2}\right)\right]\notag\\ &\qquad\qquad \times\left[f_-(k_1+k_2)\sinh\left(\frac{f_+s}{2}\right)+ f_+(k_j-k_i)\sinh\left(\frac{f_-s}{2}\right)\right],\notag\\ b_{ij}(s) &= k_i\left[\cosh\left(\frac{f_+s}{2}\right) - \cosh\left(\frac{f_-s}{2}\right)\right]\notag\\ &\qquad\qquad \times\left[f_-(k_1+k_2)\sinh\left(\frac{f_+s}{2}\right)- f_+(k_j-k_i)\sinh\left(\frac{f_-s}{2}\right)\right],\notag\\ g_\pm(s) &= (k_1^2-k_2^2)\left[f_+^2(\cosh(f_-s)-1)-f_-^2(\cosh(f_+s)-1)\right]\notag\\ &\qquad\qquad \pm 8f_+f_-k_1k_2\sinh\left(\frac{f_+s}{2}\right)\sinh\left(\frac{f_-s}{2}\right). \end{align}\] Let us factor out the leading order behavior in small \(s\): \[\begin{align} \label{eq:small95s95factors} a_{ij}(s) &= \frac{f_+f_-k_is}{2}\left[\cosh\left(\frac{f_+s}{2}\right)+ \cosh\left(\frac{f_-s}{2}\right)\right]\notag\\ &\qquad\qquad \times\left[(k_1+k_2)\frac{\sinh(f_+s/2)}{f_+s/2}+(k_j-k_i)\frac{\sinh(f_-s/2)}{f_-s/2}\right]=s\cdot \hat{a}_{ij}(s),\notag\\ b_{ij}(s) &= \frac{f_+f_-k_is^3}{2}\bigg[\frac{\cosh(f_+s/2)-\cosh(f_-s/2)}{s^2}\bigg]\notag\\ &\qquad\qquad \times\bigg[(k_1+k_2)\frac{\sinh(f_+s/2)}{f_+s/2}+(k_j-k_i)\frac{\sinh(f_-s/2)}{f_-s/2}\bigg]=s^3\cdot \hat{b}_{ij}(s),\notag\\ g_\pm(s) &= f_+^2f_-^2(k_1^2-k_2^2) s^2 \bigg[\frac{\cosh(f_-s)-1}{f_-^2s^2} - \frac{\cosh(f_+s)-1}{f_+^2s^2}\notag \\ &\qquad\qquad \pm 2k_1k_2\frac{\sinh(f_+s/2)}{f_+s/2}\frac{\sinh(f_-s/2)}{f_-s/2}\bigg]=s^2\cdot \hat{g}_\pm(s),\notag\\ K(s) &= f_+^2f_-^2s^2\left[(k_1+k_2)^2\left(\frac{\cosh(f_+s)-1}{f_+^2s^2}\right)-(k_1-k_2)^2\left(\frac{\cosh(f_-s)-1}{f_-^2s^2}\right)\right]= s^2\cdot \hat{K}(s), \end{align}\tag{80}\] and the real part of \(\phi\) is \[\begin{align} \operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}(w,s) &= \frac{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda \right\}f_+f_-}{2}\left[\frac{a_{12}(s)}{K(s)}w_1^2 + \frac{a_{21}(s)}{K(s)}w_2^2 + \frac{b_{12}(s)}{K(s)}w_3^2 + \frac{b_{21}(s)}{K(s)}w_4^2\right]\notag\\ &+\frac{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda \right\}B}{2}\left[\frac{g_-(s)}{K(s)}w_1w_4 + \frac{g_+(s)}{K(s)}w_2w_3\right]. \end{align}\]

First note that \(f_\pm\) are positive constants and \(f_+ > f_-\) by definition. Also, \(\hat{a}_{ij}(s), \hat{b}_{ij}(s)\) and \(\hat{K}(s)\) are positive and finite for small \(s>0\). Indeed, \(\cosh(f_+s/2)\pm\cosh(f_-s/2)\geq0\), and \[\begin{align} &\frac{\sinh(f_\pm s/2)}{f_\pm s/2},\; \frac{\cosh(f_\pm s/2)-1}{f_\pm^2 s^2},\;\text{and } \frac{\cosh(f_+s/2)-\cosh(f_-s/2)}{s^2}\;\text{are finite and positive},\notag\\ &\frac{\sinh(f_+ s/2)}{f_+ s/2}\geq \frac{\sinh(f_- s/2)}{f_- s/2},\qquad \frac{\cosh(f_+ s)-1}{f_+^2 s^2}\geq \frac{\cosh(f_- s)-1}{f_-^2 s^2},\;\text{and }\notag\\ &k_1+k_2 > k_i-k_j\;(i,j=1,2), \end{align}\] for all \(s\geq0\), where we define \(\sinh(x)/x=1\) and \(\frac{\cosh(x)-1}{x^2}=1/2\) for \(x=0\).

Therefore, \(\hat{a}_{ij}(s), \hat{b}_{ij}(s)\) and \(\hat{K}(s)\) are uniformly continuous in \((s,B)\) and positive on the compact set \(\{s\in[0,c_1]\}\times \{|B|\leq c_B\}\) and thus attain a positive minimum, so that \(a_{ij}(s)/K(s)\geq c/s\) and \(b_{ij}(s)/K(s)\geq cs\). Similarly, \(\hat{g}_\pm(s)\) is finite for small \(s>0\) and uniformly continuous in \((s,B)\) on \(\{s\in[0,c_1]\}\times \{|B|\leq c_B\}\), so that \(|g_\pm(s)/K(s)| \leq \hat{C}\).

Therefore, we have \[\begin{align} &\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi \right\}\geq \operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\left[\frac{c}{s}(w_1^2+w_2^2)+cs(w_3^2+w_4^2)\right]-\frac{|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}||B|}{2}\Big[C'|w_1w_4| + C'|w_2w_3|\Big]\notag\\ &\geq \tilde{c}\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\left[\frac{w_1^2+w_2^2}{s}+s(w_3^2+w_4^2)\right]-\hat{C}|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}||B|\Big[|w_1w_4| + |w_2w_3|\Big]. \end{align}\] Now by Cauchy-Schwarz, \[|w_1w_4| + |w_2w_3| \leq \sqrt{(w_1^2+w_2^2)(w_3^2+w_4^2)}\leq 2\sqrt{(w_1^2+w_2^2)(w_3^2+w_4^2)},\] and for any two positive numbers \(N,M\), we have \(2\sqrt{NM}\leq N+M\). Thus, for \(N=\frac{w_1^2+w_2^2}{s}\) and \(M=s(w_3^2+w_4^2)\), we have \[\label{eq:cauchy95schwarz95application} |w_1w_4| + |w_2w_3| \leq \frac{w_1^2+w_2^2}{s} + s(w_3^2+w_4^2).\tag{81}\] Putting everything together, we have \[\begin{align} \operatorname{\mathbb{R}\mathbb{e}}\left\{\phi \right\}&\geq \left(\tilde{c}\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda \right\}- \hat{C}|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}||B|\right)\left[\frac{w_1^2+w_2^2}{s} + s(w_3^2+w_4^2)\right]\notag\\ &\geq c''|\lambda|\left[\frac{w_1^2+w_2^2}{s} + s (w_3^2+w_4^2)\right] = c''|\lambda|\left[\frac{|x-y|^2}{s} + s|x+y|^2\right]\notag\\ &= c''|\lambda|\left[2s(|x|^2+|y|^2)+\left(\frac{1}{s}-s\right)|x-y|^2\right] \geq c|\lambda|\left(s(|x|^2+|y|^2)+\frac{|x-y|^2}{s} \right), \end{align}\] since \(\frac{1}{s}-s\geq\frac{1}{2s}\) for \(0<s<1/2\), so \(c_1\) is chosen small enough. This holds provided \(|B|<c_B\), for a small enough controlled constant \(c_B\).

Moving to the prefactor, we saw above that \(\hat{K}(s)\) attains a positive minimum on \(\{s\in[0,c_1]\}\times \{|B|\leq c_B\}\), so that \(|K(s)|\geq c''s^2\). Remembering \(P(s)=\frac{f_+f_-}{2\pi}\sqrt{\frac{2k_1k_2}{K(s)}}\), we get \(|P(s)|\leq C'/s\). The proof of the lem is thus complete. ◻

8.4.1.1 Region 1

35 applies in this region, and moreover \[c_1\geq s\geq \max\left(\frac{|x-y|}{|x|+|y|},\frac{1}{|\lambda|(|x|^2+|y|^2)}\right).\] Therefore, in Region 1 we have \[\bigg|\frac{e^{\mu s}}{\lambda}q(x,y,s)\bigg| \leq \frac{C}{s}\exp\left(-cs|\lambda| (|x|^2+|y|^2)\right),\] and also by 34, \[\label{eq:counterterm95region951} \bigg|\frac{e^{\mu s}}{\lambda}\big[-e^{E_0s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*) \big]\bigg| \leq C \exp\left(-c|\lambda|(|x|^2+|y|^2)\right).\tag{82}\] These estimates and 32 tell us that \[\begin{align} &\int_\text{Region 1}\Big|\frac{e^{\mu s}}{\lambda}\big[q(x,y,s) - e^{-E_0 s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\big]\Big| ds \notag\\ &\leq \int_{\max\left(\frac{|x-y|}{|x|+|y|},\frac{1}{|\lambda|(|x|^2+|y|^2)}\right)}^\infty \frac{C}{s}\exp\left(-cs|\lambda| (|x|^2+|y|^2)\right) ds \notag\\ &\leq C\exp\left(-c|\lambda| (|x|^2+|y|^2)\cdot \max\left(\frac{|x-y|}{|x|+|y|},\frac{1}{|\lambda|(|x|^2+|y|^2)}\right)\right)\notag \\ &\leq C \exp\left(-c|\lambda|(|x|^2+|y|^2)\cdot \frac{|x-y|}{|x|+|y|}\right) \notag \\ &\leq C' \exp\left(-c'|\lambda||x-y|\cdot (|x|+|y|)\right) \leq C'' D\left(c|\lambda||x-y|\cdot (|x|+|y|)\right). \end{align}\] This controls the integral over Region 1.

8.4.1.2 Region 2

Again, 35 applies in this region, and we have \[\label{eq:region95295bounds95on95s} \frac{|x-y|}{|x|+|y|} \leq s \leq \frac{1}{|\lambda|(|x|^2+|y|^2)},\tag{83}\] hence \(|\lambda|(|x|^2+|y|^2)s\lesssim1\), so that \[D(\lambda||x-y|(|x|+|y|)) = C \log\left(\frac{C}{|\lambda||x-y|(|x|+|y|)}\right).\] Also \(s<c_1\) in this region. Then thanks to 35 and 83 , we have \[\begin{align} \label{eq:region95295estimate95on95q} &\int_\text{Region 2}\bigg|\frac{e^{\mu s}}{\lambda}q(x,y,s) \bigg|ds \leq C \int_{\frac{|x-y|}{|x|+|y|}}^{|\lambda|^{-1}(|x|^2+|y|^2)^{-1}}\frac{1}{s}ds \leq C\log\left(\frac{|x|+|y|}{\lambda|x-y|(|x|^2+|y|^2)}\right)\notag \\ &\leq C'\log\left(\frac{C}{|\lambda||x-y|(|x|+|y|)}\right) \leq C'' D\left(c|\lambda||x-y|(|x|+|y|)\right). \end{align}\tag{84}\] Also, using 34, we have \[\begin{align} \label{eq:counterterm95region952} &\int_\text{Region 2} \bigg|\frac{e^{\mu s}}{\lambda}[-e^{-E_0 s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)]\bigg| ds \leq C \int_0^{c_1} \big|\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\big|ds \notag \\ &\leq C^\sharp \exp\left(-c|\lambda|(|x|^2+|y|^2)\right)\leq C''D\left(c|\lambda||x-y|(|x|+|y|)\right). \end{align}\tag{85}\] From 84 and 85 , we see that \[\int_\text{Region 2}\bigg|\frac{e^{\mu s}}{\lambda}\big[q(x,y,s) - e^{-E_0 s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\big]\bigg|ds \leq CD\left(c|\lambda||x-y|(|x|+|y|)\right).\] This controls the relevant integral over Region 2.

8.4.1.3 Region 3

In this region 35 applies, and \(0<s<\frac{|x-y|}{|x|+|y|}\); also \(0<s<c_1\). So \[\begin{align} &\int_\text{Region 3}\bigg|\frac{e^{\mu s}}{\lambda} q(x,y,s) \bigg|ds \leq \int_0^{\frac{|x-y|}{|x|+|y|}} \frac{C}{s}\exp\left(-\frac{c}{s}|\lambda| |x-y|^2\right) ds \notag\\ &\leq C D\left(\frac{c|\lambda||x-y|^2}{\frac{|x-y|}{|x|+|y|}}\right) = CD\left(c|\lambda||x-y|(|x|+|y|)\right). \end{align}\] Also, using 34, we have \[\begin{align} \label{eq:counterterm95region953} &\int_\text{Region 3} \bigg|\frac{e^{\mu s}}{\lambda}[-e^{-E_0 s}\psi_0(x,\lambda )\psi_0^*(y,\lambda^*)]\bigg| ds \leq C\big|\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\big|\notag\\ &\leq C\exp\left(-c|\lambda|(|x|^2+|y|^2)\right) \leq C'D\left(c|\lambda||x-y|(|x|+|y|)\right). \end{align}\tag{86}\] From these two estimates, we see that \[\int_\text{Region 3}\bigg|\frac{e^{\mu s}}{\lambda}\big[q(x,y,s) - e^{-E_0 s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\big]\bigg|ds \leq C''D\left(c|\lambda||x-y|(|x|+|y|)\right).\] This controls the relevant integral over Region 3.

8.4.2 Region 4↩︎

In this region we have \(c_1<s<C_1\). The following lem will be useful for the estimates in this region:

36. For \(c_1\leq s\leq C_1\), and \(|B|<c_B\) small enough, we have \[\text{Re}(\phi(x,y,s))\geq c|\lambda| \left(|x|^2+|y|^2\right),\quad \text{and}\quad |P(s)| \leq C.\]

Proof. We first set \(B=0\). In this case, we have \[\begin{align} \phi_{B=0}(w,s) &= \frac{\lambda k_1}{4}\coth\left(\frac{k_1s}{2}\right)w_1^2 + \frac{\lambda k_2}{4}\coth\left(\frac{k_2s}{2}\right)w_2^2 \notag\\ &+ \frac{\lambda k_1}{4}\tanh\left(\frac{k_1s}{2}\right)w_3^2 + \frac{\lambda k_2}{4}\tanh\left(\frac{k_2s}{2}\right)w_4^2. \end{align}\] For \(c_1<s<C_1\), \(\coth\) and \(\tanh\) are continuous and bounded from below by a positive constant, so that \[\text{Re}(\phi_{B=0}(x,y,s))\geq c'|\lambda|\left(w_1^2+w_2^2+w_3^2+w_4^2 \right) = 2c'|\lambda| \left(|x|^2+|y|^2\right).\] Now we move to \(|B|\) small. We remind the reader that \(f_\pm=\sqrt{(k_1\pm k_2)^2+4B^2}\to|k_1\pm k_2|\) as \(B\to0\), and \(a_{ij},b_{ij},g_\pm,K\) depend on \(B\) only through \(f_\pm\). Specifically, \[\begin{align} K(s)|_{B=0} &= (k_1^2-k_2^2)^2\big[\cosh\big((k_1+k_2)s\big)-\cosh\big((k_1-k_2)s\big)\big] \notag\\ &= 2(k_1^2-k_2^2)^2 \sinh(k_1s)\sinh(k_2s) > 0, \end{align}\] for \(c_1\leq s\leq C_1\). By uniform continuity in \((s,B)\) on the compact set \([c_1,C_1]\times\{|B|\leq c_B\}\), there exists \(\delta>0\) such that whenever \(|B|<\delta\), we have, for some \(c\), \[\label{eq:uniform95bound95on95K} K(s) \geq c > 0,\tag{87}\] uniformly for \(c_1\leq s\leq C_1\). We now reduce \(c_B\) so that \(c_B <\delta\). Hence 87 holds for \((s,B)\in[c_1,C_1]\times\{|B|\leq c_B\}\), so no singularities arise in the denominators. Therefore, we have uniform continuity in \((s,B)\) on the compact set \([c_1,C_1]\times\{|B|\leq C_B\}\) for the following quantities: \[\frac{f_+f_-a_{ij}(s)}{2K(s)},\;\frac{f_+f_-b_{ij}(s)}{2K(s)},\;\frac{Bg_\pm(s)}{2K(s)},\] and in particular, they are all uniformly bounded.

Thus, there exists \(\tilde{c}>0\) such that for \(|B|<\tilde{c}\), we have \[|\phi(w,s) - \phi_{B=0}(w,s)| \leq \frac{c'}{2}|\lambda| (w_1^2+w_2^2+w_3^2+w_4^2),\] so that \[\begin{align} \text{Re}(\phi(w,s)) &\geq \text{Re}(\phi_{B=0}(w,s)) - |\phi(w,s) - \phi_{B=0}(w,s)| \notag\\ &\geq \frac{c'}{2}|\lambda| (w_1^2+w_2^2+w_3^2+w_4^2) = c'|\lambda|(|x|^2+|y|^2). \end{align}\] We again reduce \(c_B\) so that \(c_B < \tilde{c}\).

We now move to the prefactor \(P(s)\). Since \(K(s)\) is bounded away from zero for \(c_1\leq s\leq C_1\) and \(|B|<c_B\), we have \(|P(s)|\leq C\) for some constant \(C>0\). This completes the proof of the lem. ◻

We now apply 36, so \[\begin{align} \label{eq:region95495estimate95on95q} &\int_\text{Region 4}\bigg|\frac{e^{\mu s}}{\lambda} q(x,y,s) \bigg|ds \leq C\int_{c_1}^{C_1}|e^{-\mu s}|\exp(-c|\lambda|(|x|^2+|y|^2)) ds \notag\\ &\leq C' \exp(-c|\lambda|(|x|^2+|y|^2)) \leq C'\exp(-c''|\lambda||x-y|(|x|+|y|)) \notag\\ &\leq C'' D(c|\lambda||x-y|(|x|+|y|)). \end{align}\tag{88}\] Moreover by 34, \[\begin{align} \label{eq:region95495estimate95on95ground95state} &\int_\text{Region 4} \bigg|\frac{e^{\mu s}}{\lambda}[-e^{-E_0 s}\psi_0(x,\lambda )\psi_0^*(y,\lambda^*)]\bigg| ds \leq C\bigg|\frac{1}{\lambda}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\bigg|\notag\\ &\leq C\exp\left(-c|\lambda|(|x|^2+|y|^2)\right) \leq C'D\left(c|\lambda||x-y|(|x|+|y|)\right). \end{align}\tag{89}\] From 88 and 89 , we see that \[\int_\text{Region 4}\bigg|\frac{e^{\mu s}}{\lambda}\big[q(x,y,s) - e^{-E_0 s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\big]\bigg|ds \leq C''D\left(c|\lambda||x-y|(|x|+|y|)\right).\] This controls the relevant integral over Region 4.

8.4.3 Region 5↩︎

In this region we have \(s>C_1\) and \(|\lambda|\left(|x|^2+|y|^2\right)\leq\exp(c^\sharp s)\), where \(c^\sharp\) will be picked below. The following lem will be useful for the estimates in this region:

37. For \(\lambda\in\Omega,\;|B|<c_B\) and \(s>C_1\), we write \[\begin{align} &\phi(x,y,s,\lambda) = \lim_{s\to\infty}\phi(x,y,s,\lambda) + \text{ERROR}_1(x,y,s,\lambda)\notag\\ &P(s) = C_P\exp(-E_0 s)\big(1+\text{ERROR}_2(s)\big), \end{align}\] where \(C_P\) is the same prefactor that appears in the counterterm \(e^{-E_0s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\), and \[\begin{align} |\text{ERROR}_1(x,y,s,\lambda)| &\leq C \exp(-c s)|\lambda|\left(|x|^2+|y|^2\right),\;\text{and}\notag\\ |\text{ERROR}_2(s)| &\leq C \exp(-c s), \end{align}\] for \(s\geq C_1\) large enough, and some constants \(C,c>0\). The reader should note that \(\phi_\infty(x,y,\lambda):=\lim_{s\to\infty}\phi(x,y,s,\lambda)\) is the exponent in the ground state \(\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\).

Proof. For the first estimate, we write the explicit expression for the limit of \(\phi(s,x,y)\) as \(s\to\infty\): \[\lim_{s\to\infty}\phi(s,x,y) = \frac{\lambda f_+k_1}{2(k_1+k_2)}(x_1^2+y_1^2) + \frac{\lambda f_+k_2}{2(k_1+k_2)}(x_2^2+y_2^2) - \frac{i\lambda B (k_1-k_2)}{k_1+k_2}(x_1x_2-y_1y_2).\] Then we have \[\text{ERROR}_1=\lambda[M_1(x_1^2+y_1^2) + M_2x_1y_1 + M_3(x_2^2+y_2^2) + M_4x_2y_2+M_5(x_1x_2-y_1y_2) + M_6(x_1y_2-x_2y_1)]\] for \(M_i=M_i(B,k_1,k_2)\).

We want to show that \[\label{eq:matrix95size95region955} |M_i|\leq C \exp(-c s),\tag{90}\] for some constants \(C,c>0\) and large enough \(s\). Indeed, if so, then \[|\text{ERROR}_1| \leq |\lambda|C\exp(-c s)(|x|^2+|y|^2 + |x_1y_1| + |x_2y_2| + |x_1x_2| + |y_1y_2| + |x_1y_2| + |x_2y_1|).\] By Cauchy-Schwarz, we have \[\begin{align} |x_1y_1| + |x_2y_2| &\leq 2\sqrt{|x|^2+|y|^2} \leq |x|^2+|y|^2,\notag\\ |x_1y_2| + |x_2y_1| &\leq 2\sqrt{|x|^2+|y|^2} \leq |x|^2+|y|^2, \notag\\ |x_1x_2| + |y_1y_2| &\leq 2\sqrt{(x_1^2+y_1^2)(x_2^2+y_2^2)} \leq |x|^2+|y|^2, \end{align}\] and we get the desired result \[|\text{ERROR}_1| \leq C'|\lambda|\exp(-c s)(|x|^2+|y|^2).\]

By definition we have \(f_+>f_->0\). Then \[\begin{align} \sinh(f_+s) &= \frac{1}{2}e^{f_+s}\left(1-e^{-2f_+s}\right),\notag\\ |\sinh(f_-s)| &\leq e^{f_-s} = \frac{1}{2}e^{f_+s}\left(2e^{(f_+-f_-)s}\right). \end{align}\] Therefore, for large enough \(s\), we have \[\alpha_{ij}(s) = k_if_-(k_1+k_2)\frac{1}{2}e^{f_+s}\left(1+\mathcal{O}(e^{-(f_+-f_-)s})\right).\] Similarly, for large enough \(s\), we have \[\begin{align} \sinh\left(\frac{f_-+f_+}{2}s\right) &= \frac{1}{2}e^{f_+s}\left[e^{-(f_+-f_-)s/2}-e^{-(3f_++f_-)s/2}\right] = e^{f_+s}\mathcal{O}\left(e^{-(f_+-f_-)s/2}\right),\notag\\ \sinh\left(\frac{f_--f_+}{2}s\right) &= \frac{1}{2}e^{f_+s}\left[e^{-(3f_+-f_-)s/2}-e^{-(f_++f_-)s/2}\right] = e^{f_+s}\mathcal{O}\left(e^{-(f_++f_-)s/2}\right). \end{align}\] Then, \[\beta_{ij}(s) = e^{f_+s}\mathcal{O}(e^{-(f_+-f_-)s/2}).\] Also, \[\begin{align} \cosh(f_+s)-1 &= \frac{1}{2}e^{f_+s}\left(1-e^{-f_+s}\right)^2,\notag\\ \cosh(f_-s)-1 &= e^{f_+s}\mathcal{O}(e^{-(f_+-f_-)s}). \end{align}\] Then, \[\begin{align} \gamma_1(s) &= (k_1^2-k_2^2)\left[f_+^2e^{f_+s}\mathcal{O}\left(e^{-(f_+-f_-)s}\right) - f_-^2\frac{1}{2}e^{f_+s}\left(1-e^{-f_+s}\right)^2\right] ,\notag\\ &= e^{f_+s}\left[-\frac{f_-^2(k_1^2-k_2^2)}{2}+\mathcal{O}\left(e^{-(f_+-f_-)s}\right)\right],\notag\\ K(s) &= f_-^2(k_1+k_2)^2\frac{1}{2}e^{f_+s}\left(1+\mathcal{O}(e^{-(f_+-f_-)s})\right) -f_+^2(k_1-k_2)^2e^{f_+s}\mathcal{O}(e^{(f_+-f_-)s})\notag\\ &= e^{f_+s}\left[\frac{f_-^2(k_1+k_2)^2}{2} + \mathcal{O}(e^{-(f_+-f_-)s})\right]. \end{align}\] And finally, \[\begin{align} \sinh\left(\frac{f_+s}{2}\right)\sinh\left(\frac{f_-s}{2}\right) &= \frac{1}{4}e^{f_+s}\left[e^{-(f_+-f_-)s/2}-e^{-(f_++f_-)s/2}-e^{-(3f_+-f_-)s/2}+e^{-(3f_++f_-)s/2}\right]\notag\\ &= e^{f_+s}\mathcal{O}\left(e^{-(f_+-f_-)s/2}\right), \end{align}\] so that we have \[\gamma_2(s) = e^{f_+s}\mathcal{O}\left(e^{-(f_+-f_-)s/2}\right).\]

For the \(x_1^2+y_1^2\) term, we have \[\begin{align} |M_1| &= \bigg|\frac{f_+f_- \alpha_{12}(s)}{2K(s)} - \frac{f_+k_1}{2(k_1+k_2)}\bigg|\\ &= \bigg|\frac{f_+f_-}{2} \frac{k_1f_-(k_1+k_2)}{f_-^2(k_1+k_2)^2}\frac{1+\mathcal{O}(e^{-(f_+-f_-)s})}{1 + \mathcal{O}(e^{-(f_+-f_-)s})} - \frac{f_+k_1}{2(k_1+k_2)}\bigg|\\ &= \bigg|\frac{f_+k_1}{2(k_1+k_2)}\left(1 + \mathcal{O}(e^{-(f_+-f_-)s})\right) - \frac{f_+k_1}{2(k_1+k_2)}\bigg| \notag\\ &= |\mathcal{O}(e^{-(f_+-f_-)s})|\leq C\exp(-c s). \end{align}\] The same result applies for \(M_3\) (the \(x_1y_1\) term), since they are defined in the same way as \(M_1\), but with \(k_1\) and \(k_2\) interchanged.

For the \(x_2^2+y_2^2\) term, we have \[\begin{align} |M_2| &= \bigg|\frac{f_+f_- \beta_{12}(s)}{K(s)}\bigg| = \Bigg|\frac{f_+f_- e^{f_+s}\mathcal{O}(e^{-(f_+-f_-)s})}{e^{f_+s}\left[\frac{f_-^2(k_1+k_2)^2}{2} + \mathcal{O}(e^{-(f_+-f_-)s})\right]}\Bigg| \notag\\ &= \bigg|\mathcal{O}(e^{-(f_+-f_-)s}) \bigg| \leq C\exp(-c s). \end{align}\] The same result applies for \(M_4\) (the \(x_2y_2\) term), since they are defined in the same way as \(M_2\), but with \(k_1\) and \(k_2\) interchanged.

Next is the cross term \(x_1x_2-y_1y_2\). For this case we have \[\begin{align} |M_5| &= \bigg|\frac{iB \gamma_1(s)}{K(s)} + \frac{iB (k_1-k_2)}{k_1+k_2}\bigg| = |B|\Bigg| \frac{e^{f_+s}\left[-\frac{f_-^2(k_1^2-k_2^2)}{2}+\mathcal{O}\left(e^{-(f_+-f_-)s}\right)\right]}{e^{f_+s}\left[\frac{f_-^2(k_1+k_2)^2}{2} + \mathcal{O}(e^{-(f_+-f_-)s})\right]} + \frac{k_1-k_2}{k_1+k_2}\Bigg|\notag\\ &= |B| \Bigg| \frac{-f_-^2(k_1^2-k_2^2)}{f_-^2(k_1+k_2)^2} \frac{1+\mathcal{O}(e^{-(f_+-f_-)s})}{1+\mathcal{O}(e^{-(f_+-f_-)s})} + \frac{k_1-k_2}{k_1+k_2} \Bigg|\notag\\ &= |B| \Bigg|-\frac{k_1-k_2}{k_1+k_2}\left(1 + \mathcal{O}(e^{-(f_+-f_-)s})\right) + \frac{k_1-k_2}{k_1+k_2}\Bigg|\notag\\ &= |B||\mathcal{O}(e^{-(f_+-f_-)s})| \leq C\exp(-c s), \end{align}\] provided \(|B|\) is bounded.

Finally, we have the last cross term \(x_1y_2-x_2y_1\). For this case we have \[\begin{align} |M_6| &= \bigg|-\frac{iB \gamma_2(s)}{K(s)}\bigg| = |B| \Bigg| \frac{e^{f_+s}\mathcal{O}\left(e^{-(f_+-f_-)s/2}\right)}{e^{f_+s}\left[\frac{f_-^2(k_1+k_2)^2}{2} + \mathcal{O}(e^{-(f_+-f_-)s})\right]} \Bigg|\notag\\ &= |B| \big|\mathcal{O}\left(e^{-(f_+-f_-)s/2}\right) \big| \leq C\exp(-c s), \end{align}\] again provided \(|B|\) is bounded. This completes the proof of 90 .

For the prefactor error estimate, we use the above asymptotics for \(K(s)\) to see that \[\begin{align} P(s) &= \frac{f_+f_-}{2\pi}\sqrt{\frac{2k_1k_2}{K(s)}} = \frac{f_+f_-}{2\pi}\sqrt{\frac{2k_1k_2}{e^{f_+s}\left[\frac{f_-^2(k_1+k_2)^2}{2} + \mathcal{O}(e^{-(f_+-f_-)s})\right]}}\notag\\ &= \frac{f_+f_-}{2\pi}\sqrt{\frac{4k_1k_2}{f_-^2(k_1+k_2)^2}}e^{-f_+s/2}\left(1+\mathcal{O}(e^{-(f_+-f_-)s})\right)\notag\\ &= C_P\exp(-E_0 s)\big(1+\text{ERROR}_2(s)\big), \end{align}\] where one checks the \(C_P\) is the same prefactor that appears in the counterterm \[e^{-E_0s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*).\] This completes the proof of the lem. ◻

Remember that in region 5 we have \(|\lambda|(|x|^2+|y|^2)\leq\exp(c^\sharp s)\). Therefore, by 37 and picking \(c^\sharp\) small enough, we have \[|\text{ERROR}_1(x,y,s,\lambda)| \leq Ce^{-cs} \exp(c^\sharp s)\leq C\exp(-c's).\] Then \[\begin{align} &P(s)e^{-\phi(x,y,s)} = C_Pe^{-E_0s}[1+\text{ERROR}_2(s)]e^{-\phi_\infty(x,y,s)-\text{ERROR}_1(x,y,s,\lambda)}\notag\\ &= C_Pe^{-E_0s}[1+\text{ERROR}_2(s)]e^{-\phi_\infty(x,y,s)}e^{-\text{ERROR}_1(x,y,s,\lambda)}\notag\\ &= C_Pe^{-E_0s}e^{-\phi_\infty(x,y,s)}\big[1+\text{ERROR}_3\big], \end{align}\] with \(|\text{ERROR}_3|\leq C\exp(-c's)\). On the other hand, we have \[\frac{1}{\lambda}e^{-E_0s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*) = C_Pe^{-E_0s}e^{-\phi_\infty(x,y,s)}.\]

We now apply 37. We have \[\begin{align} &\int_\text{Region 5}\bigg|\frac{e^{\mu s}}{\lambda}\big[q(x,y,s) - e^{-E_0 s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\big]\bigg|ds \notag \\ &\qquad\qquad\leq \int_{C_1}^\infty C\big|e^{\mu-E_0-c'} \big| \bigg|\frac{1}{\lambda}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\bigg| ds \notag\\ &\qquad\qquad\leq C' \bigg|\frac{1}{\lambda}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\bigg|, \end{align}\] provided we pick \(c_\mu\) small enough in our hypothesis \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}<E_0+c_\mu\). Continuing with the estimates, and applying 34, we get \[\begin{align} &\int_\text{Region 5}\Big|e^{\mu s}\big[q(x,y,s) - e^{-E_0 s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\big]\Big|ds \leq C' \exp(-c|\lambda|(|x|^2+|y|^2))\notag\\ &\leq C'' D(c|\lambda||x-y|(|x|+|y|)). \end{align}\] This controls the relevant integral over Region 5.

8.4.4 Region 6↩︎

In this region we have \(s>C_1\) and \(|\lambda|\left(|x|^2+|y|^2\right)>\exp(c^\sharp s)\). The following lem will be useful for the estimates in this region:

38. Let \(s>C_1\) (large enough) and \(|\lambda|\left(|x|^2+|y|^2\right)>\exp(c^\sharp s)\), then \[\begin{align} \text{Re}\big(\phi(x,y,s)\big) &\geq c|\lambda|(|x|^2+|y|^2) \geq \frac{1}{2}c|\lambda|(|x|^2+|y|^2) + \frac{1}{2}c\exp(c^\sharp s), \notag\\ |P(s)| &\leq Ce^{-E_0 s}. \end{align}\]

Proof. First note that \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_\infty(x,y,s) \geq c|\lambda|(|x|^2+|y|^2)\). Indeed, \[\begin{align} &\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_\infty(x,y,s) = \operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\big[\eta(x_1^2+y_1^2)+\zeta(x_2^2+y_2^2)\big]-\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda \right\}\xi(x_1x_2-y_1y_2)\notag\\ &\geq c''\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}(|x|^2+|y|^2) - |\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}||B|C'(|x_1x_2|+|y_1y_2|)\notag\\ &= c^\sharp(\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda \right\}- C|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}||B|)(|x|^2+|y|^2) \geq c|\lambda|(|x|^2+|y|^2), \end{align}\] provided \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}|<C'|\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}|\) and \(|B|\) is small enough (remember \(\eta,\zeta>0\)). Now, by 37, we have \[\begin{align} &\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}(x,y,s) = \operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_\infty(x,y,s) + \operatorname{\mathbb{R}\mathbb{e}}\left\{\text{ERROR}\right\}_1(x,y,s,\lambda) \notag\\ &\geq c|\lambda|(|x|^2+|y|^2) - |\text{ERROR}_1(x,y,s,\lambda)| \notag\\ &\geq c|\lambda|(|x|^2+|y|^2) \geq \frac{1}{2}c|\lambda|(|x|^2+|y|^2) + \frac{1}{2}c\exp(c^\sharp s), \end{align}\]

where we used the region 6 hypothesis \(|\lambda|(|x|^2+|y|^2)>\exp(c^\sharp s)\). Picking \(c^\sharp<c\), we have the desired result.

For the prefactor estimate, we have shown in 37 that \[P(s) = C_P\exp(-E_0 s)\big(1+\text{ERROR}_2(s)\big),\;\text{with}\;|\text{ERROR}_2(s)|\leq C''\exp(-c s),\] and it follows that \(|P(s)|\leq Ce^{-E_0 s}\). The proof of the lem is complete. ◻

We now apply the above 38: \[\begin{align} \label{eq:region95695estimate95on95q} &\int_\text{Region 6}\bigg|\frac{e^{\mu s}}{\lambda} q(x,y,s) \bigg|ds \leq \int_{C_1}^\infty |e^{(\mu -E_0)s}|e^{-\frac{c|\lambda|}{2}(|x|^2+|y|^2)}e^{-\frac{c}{2}\exp(c^\sharp s)} ds \notag\\ &\leq C\exp\left(-\frac{c|\lambda|}{2}(|x|^2+|y|^2)\right) \leq C'D\big(c|\lambda||x-y|(|x|+|y|)\big). \end{align}\tag{91}\] Moreover, by 34, we have in region 6 that \[\begin{align} \bigg|\frac{e^{\mu s}}{\lambda}[-e^{-E_0 s}\psi_0(x,\lambda )\psi_0^*(y,\lambda^*)]\bigg| &= \big| e^{(\mu-E_0)s}\big|\bigg|\frac{1}{\lambda}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\bigg|\notag\\ &\leq c\big|e^{(\mu-E_0)s}\big|\exp\left(-c|\lambda|(|x|^2+|y|^2)\right)\notag\\ &\leq c\big|e^{(\mu-E_0)s}\big| \exp\left(-\frac{c}{2}|\lambda|(|x|^2+|y|^2) - \frac{c}{2}\exp(c^\sharp s)\right), \end{align}\] so that \[\begin{align} \label{eq:region95695estimate95on95ground95state} &\int_\text{Region 6}\Big|e^{\mu s}\big[- \frac{e^{-E_0 s}}{\lambda}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\big]\Big|ds\notag\\ &\leq C \int_{C_1}^\infty \big|e^{(\mu -E_0)s}\big| \exp\left(-\frac{c}{2}\exp(c^\sharp s) \right)ds \cdot \exp\left(-\frac{c|\lambda|}{2}(|x|^2+|y|^2) \right)\notag\\ &= C' \exp\left(-\frac{c|\lambda|}{2}(|x|^2+|y|^2)\right) \leq C''D\big(c|\lambda||x-y|(|x|+|y|)\big). \end{align}\tag{92}\] From 91 and 92 , we see that \[\int_\text{Region 6}\bigg|\frac{e^{\mu s}}{\lambda}\big[q(x,y,s) - e^{-E_0 s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\big]\bigg|ds \leq C''D\big(c|\lambda||x-y|(|x|+|y|)\big).\] This controls the relevant integral over Region 6.

We have controlled the integral over all the regions \(1,\cdots,6\) of the integral in ?? . All those integrals have been shown to be at most \(C D(c|\lambda||x-y|(|x|+|y|))\). Then ?? holds. The proof of the first main theorem is now complete.

8.5 Second Main theorem↩︎

For the second main theorem, the basic constants are simply \(k_1,k_2\) and \(C_B\) which will play a role in a moment. As before, controlled constants, \(c,c'\) etc., are constants that depend only on the basic constants. Here we set \(\lambda\in\Omega'\), where \(\Omega'=\{\lambda\in\mathbb{C}:\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda \right\}\geq C_\lambda, |\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}|\leq c_\lambda\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\}\), where \(C_\lambda\) is large enough controlled constant and \(c_\lambda\) is a small enough controlled constant. We now suppose that \(B\in\Lambda\), where \(\Lambda=\{B\in\mathbb{C}:|\operatorname{\mathbb{R}\mathbb{e}}\left\{B\right\}|\leq C_B, |\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}|\leq c_B\}\), for a small enough controlled constant \(c_B\).

39. For \((x,y,\lambda,B,\mu)\in\mathbb{R}^2\times\mathbb{R}^2\times\Omega'\times\Lambda\times\{ \mu\in\mathbb{C}:\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}<\frac{\operatorname{\mathbb{R}\mathbb{e}}\left\{f\right\}_+}{2}+c_\mu\}\) with \(x\neq y\), we have \[\label{eq:second95main95thm} |\tilde{G}(x,y,\lambda,\mu)| = \bigg|\int_0^\infty \frac{e^{\mu s}}{\lambda}\big[q(x,y,s) - e^{-E_0 s}\psi_0(x)\psi_0^*(y)\big] ds\bigg| \leq CD(c|\lambda|\;|x-y|(|x|+|y|)),\qquad{(31)}\] For \(\tilde{G}(x,y,\lambda,\mu)\) defined in 76 , and \(D(\cdot)\) defined in 77 . Here \(C,c,\hat{c}\) are controlled constants.

8.6 Proof of the Second Main theorem↩︎

The proof follows similar lines to the first main theorem. We will again prove the stronger inequality \[\int_0^\infty \bigg|\frac{e^{\mu s}}{\lambda}\big[q(x,y,s) - e^{-E_0 s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\big]\bigg| ds \leq CD(c|\lambda||x-y|(|x|+|y|)),\] by splitting the integral into the same six regions as in 8.4 and showing that the above inequality holds in each region.

8.6.1 Regions 1, 2, and 3↩︎

The only work needed here is proving the following lem:

40. For \(\lambda\in\Omega',B\in\Lambda\), and \(0<s<c_1\) small enough, we have \[\text{Re}(\phi(x,y,s)) \geq c|\lambda|s(|x|^2+|y|^2) + \frac{c|\lambda|}{s}|x-y|^2,\quad \text{and } \quad |P(s)|\leq \frac{C'}{s},\] for some controlled constants \(c,C'>0\).

Proof. We again move to \(w\) coordinates. In this case, we write \[\begin{align} \label{eq:phi95second95thm95w95coords} \phi(w,s) &= \operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda \right\}\bigg[\frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\frac{f_+f_- a_{12}(s)}{2K(s)}w_1^2 +\frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}} \frac{f_+f_- a_{21}(s)}{2K(s)}w_2^2 \notag\\ &+ \frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\frac{f_+f_- b_{12}(s)}{2K(s)}w_3^2 + \frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\frac{f_+f_- b_{21}(s)}{2K(s)}w_4^2 \notag\\ &+ i\frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\frac{B g_-(s)}{2K(s)}w_1w_4 +i\frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\frac{B g_+(s)}{2K(s)}w_2w_3\bigg]. \end{align}\tag{93}\] We define the three expressions \[\begin{align} \label{eq:phi95195295395second95thm} \phi_{1ij}(s)=\frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\frac{f_+f_- a_{ij}(s)}{2K(s)},\quad \phi_{2ij}(s)=\frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\frac{f_+f_- b_{ij}(s)}{2K(s)},\quad \phi_{3\pm}(s)=\frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\frac{B g_\pm(s)}{2K(s)}, \end{align}\tag{94}\] and we will prove estimates for each of these. Starting with \(\phi_{1ij}(s)\), we have \[\phi_{1ij}(s) = \frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\frac{f_+f_-}{2}\frac{\hat{a}_{ij}(s)}{\hat{K}(s)}\frac{1}{s}=\varphi_{1ij}(s,\lambda,B)\frac{1}{s},\] where \(\hat{a}_{ij}, \hat{K}(s)\) are defined as in 80 . Notice that \(\hat{a}_{ij}(s)/\hat{K}(s)\) uniformly continuous for \((s,B)\) on the compact set \([0,c_1]\times\Lambda\). Indeed, we saw in 8.4.1 that \(\hat{a}_{ij}(s)/\hat{K}(s)\) is uniformly continuous for \(s\in[0,c_1]\). Furthermore, notice that the only dependence on \(B\) is through \(f_\pm=\sqrt{(k_1\pm k_2)^2+4B^2}\). In particular, \(\hat{K}(s)\) is never zero for any \(B\in\Lambda\). Therefore, \(\hat{a}_{ij}(s)/\hat{K}(s)\) is analytic in \(B\) and we get the uniform continuity.

Thus, we get that \(\varphi_{1ij}(s,\lambda,B)\) is uniformly continuous for \((s,\lambda/\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\},B)\in[0,c_1]\times\{\text{The set of } \lambda/\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\;\text{as in } \eqref{eq:lambda95over95re95lambda}\}\times\Lambda\). Indeed, \(f_+f_-\) is analytic in \(B\) and one can write \[\label{eq:lambda95over95re95lambda} \frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}} = 1 + i\frac{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}},\quad \text{where } \quad \left|\frac{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\right|\leq c_\lambda,\tag{95}\] because \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}| \leq c_\lambda|\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}|\) for \(\lambda\in\Omega'\), and this is a closed and bounded set.

Next, we see that when \(\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0\), we have for \(s\in(0,c_1)\), \[\label{eq:phi951ij95re} \operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_{1ij}(s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} = \phi_{1ij}(s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} = \frac{f_+f_-}{2}\frac{\hat{a}_{ij}(s)}{\hat{K}(s)}\frac{1}{s} \geq \frac{c}{s} > 0.\tag{96}\] This is because the argument in 8.4.1 shows that \(\hat{a}_{ij}(s)/\hat{K}(s)\geq c\) for \(s\in[0,c_1]\) and \(B\in[-C_B,C_B]\). Therefore, by uniform continuity, there exists a \(\delta>0\) such that whenever \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}|<\delta\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\) and \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}|<\delta\) we have \[|\phi_{1ij}(s)-\phi_{1ij}(s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| < \frac{c}{2s},\] with \(c\) as in 96 , and therefore \[\begin{align} &\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_{1ij}(s) \geq \operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_{1ij}(s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} - |\phi_{1ij}(s)-\phi_{1ij}(s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| \notag\\ &\geq \frac{c}{s} - \frac{c}{2s} = \frac{c'}{s} > 0. \end{align}\]

We continue to \(\phi_{2ij}(s)\): \[\phi_{2ij}(s) = \frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\frac{f_+f_-}{2}\frac{\hat{b}_{ij}(s)}{\hat{K}(s)}s=\varphi_{2ij}(s,\lambda,B)s,\] where \(\hat{b}_{ij}(s)\) is defined as in 80 . By the same arguments as for \(\phi_{1ij}(s)\), we see that \(\varphi_{2ij}(s,\lambda,B)\) is uniformly continuous for \[(s,\lambda/\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\},B)\in[0,c_1]\times\{\text{The set of } \lambda/\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\;\text{as in } \eqref{eq:lambda95over95re95lambda}\}\times\Lambda\]. Furthermore, when \(\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0\), we have \[\label{eq:phi952ij95re} \operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_{2ij}(s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} = \phi_{2ij}(s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} = \frac{f_+f_-}{2}\frac{\hat{b}_{ij}(s)}{\hat{K}(s)}s \geq c s > 0,\tag{97}\] for \(s\in(0,c_1)\), because \(\hat{b}_{ij}(s)/\hat{K}(s)\geq c\) for \(s\in[0,c_1]\) and \(B\in[-C_B,C_B]\). Therefore, by uniform continuity, there exists a \(\delta>0\) such that whenever \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}|<\delta\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\) and \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}|<\delta\) we have \[|\phi_{2ij}(s)-\phi_{2ij}(s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| < \frac{c}{2}s,\] with \(c\) as in 97 , and therefore \[\begin{align} &\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_{2ij}(s) \geq \operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_{2ij}(s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} - |\phi_{2ij}(s)-\phi_{2ij}(s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| \notag\\ &\geq c s - \frac{c}{2}s = c's > 0. \end{align}\]

Finally, we consider \(\phi_{3\pm}(s)\): \[\phi_{3\pm}(s) = i\frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\frac{B}{2}\frac{\hat{g}_\pm(s)}{\hat{K}(s)} = \varphi_{3\pm}(s,\lambda,B),\] where \(\hat{g}_\pm(s)\) is defined as in 80 . By the same arguments as for \(\phi_{1\pm}(s)\), we see that \(\varphi_{3\pm}(s,\lambda,B)\) is uniformly continuous for \[(s,\lambda/\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\},B)\in[0,c_1]\times\{\text{The set of } \lambda/\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\;\text{as in } \eqref{eq:lambda95over95re95lambda}\}\times\Lambda\]. Furthermore, when \(\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0\), we have \[\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_{3\pm}(s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} = 0,\] for \(s\in(0,c_1)\), because \(\hat{g}_\pm(s)/\hat{K}(s)\) is bounded for \(s\in[0,c_1]\) and \(B\in[-C_B,C_B]\) and everything is real. Therefore, by uniform continuity, for every \(\varepsilon>0\) there exists a \(\delta>0\) such that whenever \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}|<\delta\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\) and \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}|<\delta\) we have \[|\phi_{3\pm}(s)-\phi_{3\pm}(s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| < \varepsilon,\] and therefore \[\begin{align} &\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_{3\pm}(s) \leq |\phi_{3\pm}(s)| < \varepsilon + |\phi_{3\pm}(s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| = \varepsilon. \end{align}\]

Putting everything together, we have \[\begin{align} &\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}(w,s) \geq \operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\bigg[\frac{c'_1}{s}(w_1^2+w_2^2) + c'_2s(w_3^2+w_4^2) - (\varepsilon|w_1w_4|+\varepsilon|w_2w_3|)\bigg]\notag\\ &\geq c''\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\bigg[\frac{1}{s}(w_1^2+w_2^2)+s(w_3^2+w_4^2)\bigg]\geq c|\lambda|s(|x|^2+|y|^2) + \frac{c|\lambda|}{s}|x-y|^2,\nonumber\\ \end{align}\] provided \(\varepsilon\) is small enough. We now fix \(c_\lambda, c_B\) smaller than the above \(\delta\)’s. In moving from the first to the second line, we used the usual Cauchy-Schwarz application 81 . The proof of the first part of the lem is complete.

For the prefactor estimate, we have \[P(s) = \frac{f_+f_-}{2\pi}\sqrt{\frac{2k_1k_2}{K(s)}} = \frac{f_+f_-}{2\pi}\sqrt{\frac{2k_1k_2}{\hat{K}(s)}}\frac{1}{s} = \hat{p}(s,B)\frac{1}{s}.\] As seen above, \(\hat{K}(s)\) is uniformly continuous for \((s,B)\in[0,c_1]\times\Lambda\). Therefore, \(\hat{p}(s,B)\) is uniformly continuous for \((s,B)\in[0,c_1]\times\Lambda\). Now for \(\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0\), we have \[|\hat{p}(s,B)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| = \frac{f_+f_-}{2\pi}\sqrt{\frac{2k_1k_2}{\hat{K}(s)}} \leq C,\] for \(s\in[0,c_1]\) and \(B\in[-C_B,C_B]\) from our work in 8.4.1. Therefore, by uniform continuity, there exists a \(\delta>0\) such that whenever \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}|<\delta\) we have \[|\hat{p}(s,B)-\hat{p}(s,B)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| < C,\] and therefore \[|\hat{p}(s,B)| \leq |\hat{p}(s,B)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| + |\hat{p}(s,B)-\hat{p}(s,B)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| \leq C + C = C',\] for sufficiently small \(c_1, c_\lambda, c_B\) (in particular, we reduce \(c_B\) to be less than \(\delta\)). This completes the proof of the lem. ◻

40 allows us to repeat the estimates in 8.4.1 exactly, so that we get the desired estimates for regions 1, 2 and 3.

8.6.2 Region 4↩︎

Similarly as for regions 1, 2 and 3, a modified version of 36 is needed:

41. For \(\lambda\in\Omega',B\in\Lambda\), and \(c_1\leq s\leq C_1\), we have \[\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}(x,y,s) \geq c|\lambda|(|x|^2+|y|^2),\quad \text{and } \quad |P(s)|\leq C,\] for some controlled constants \(c,C>0\).

Proof. Still working in \(w\) coordinates, we first set \(\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0\). Then, from 93 and 94 , we have \[\label{eq:phi95second95thm95w95coords95re} \operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}(w,s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} = \lambda [ \phi_{112}(s)w_1^2 + \phi_{121}(s)w_2^2 + \phi_{212}(s)w_3^2 + \phi_{221}(s)w_4^2],\tag{98}\] for \(s\in[c_1,C_1]\) and \(B\in[-C_B,C_B]\). From 80 , we see that the coefficients \[\phi_{112},\phi_{121},\phi_{212},\phi_{221}\] are bounded below by a constant \(c\). Therefore, for \(s\in[c_1,C_1]\) and \(B\in[-C_B,C_B]\), we have \[\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}(w,s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} \geq c|\lambda|(|w_1|^2+|w_2|^2+|w_3|^2+|w_4|^2) = c|\lambda|(|x|^2+|y|^2).\]

As seen in the proof of the previous 40, combined with the fact that \(s\) in this region is bounded away from \(0\), we have that the \(\phi\)’s appearing in 98 are uniformly continuous for \((s,\lambda/\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\},B)\in[c_1,C_1]\times\{\text{The set of } \lambda/\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\;\text{as in } \eqref{eq:lambda95over95re95lambda}\}\times\Lambda\). Therefore, there exists a \(\delta>0\) such that whenever \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}|<\delta\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\) and \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}|<\delta\) we have \[|\phi(w,s)-\phi(w,s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| < \frac{c}{2}|\lambda||w|^2,\] which gives \[\begin{align} &\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}(w,s) \geq \operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}(w,s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} - |\phi(w,s)-\phi(w,s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| \notag\\ &\geq c|\lambda||w|^2 - \frac{c}{2}|\lambda||w|^2 = \frac{c'}{2}|\lambda||w|^2 = c'|\lambda|(|x|^2+|y|^2), \end{align}\] for sufficiently small \(c_\lambda, c_B\) (again, we reduce \(c_\lambda,c_B\) so they are less than \(\delta\)). This completes the proof of the first part of the lem.

For the prefactor estimate, again combined with the fact that \(s\) in this region is bounded away from \(0\), we see that \(P(s)\) is uniformly continuous for \((s,B)\in[c_1,C_1]\times\Lambda\). Indeed, by an argument similar to that in the proof of the 40, \(\hat{K}(s)\) is uniformly continuous for \((s,B)\in[c_1,C_1]\times\Lambda\) and bounded away from zero. More explicitly, we have \[P(s) = \frac{f_+f_-}{2\pi}\sqrt{\frac{2k_1k_2}{K(s)}} = \frac{f_+f_-}{2\pi}\sqrt{\frac{2k_1k_2}{\hat{K}(s)}}\frac{1}{s},\] where \(\hat{K}(s)\) is defined as in 80 . Therefore, \(P(s)\) is uniformly continuous for \((s,B)\in[c_1,C_1]\times\Lambda\) and consequently bounded. This completes the proof of the lem. ◻

With 41, we can now analyze region 4 using the same arguments as in 8.4.2. The estimates go through exactly as before, and we get the desired estimates for region 4.

8.6.3 Region 5↩︎

We prove a modified version of 37:

42. For \(\lambda\in\Omega',B\in\Lambda\), and \(s>C_1\), we have \[\begin{align} &\phi(x,y,s,\lambda) = \lim_{s\to\infty}\phi(x,y,s,\lambda) + \text{ERROR}_1(x,y,s,\lambda)\notag\\ &P(s) = C_P\exp(-E_0 s)\big(1+\text{ERROR}_2(s)\big), \end{align}\] where \[\begin{align} C_P &= \frac{f_+f_-}{2\pi}\sqrt{\frac{4k_1k_2}{f_-^2(k_1+k_2)^2}},\notag \\ |\text{ERROR}_1(x,y,s,\lambda)| &\leq C \exp(-c s)|\lambda|\left(|x|^2+|y|^2\right),\;\text{and}\notag\\ |\text{ERROR}_2(s)| &\leq C \exp(-c s), \end{align}\] for some controlled constants \(c,C,c',C'>0\).

Proof. We start by writing again \[\begin{align} \phi(x,y,s) = \lambda &\bigg[\frac{f_+f_- \alpha_{12}(s)}{2K(s)}(x_1^2+y_1^2) +\frac{f_+f_- \beta_{12}(s)}{K(s)}x_1y_1 \notag\\ &+ \frac{f_+f_- \alpha_{21}(s)}{2K(s)}(x_2^2+y_2^2) + \frac{f_+f_- \beta_{21}(s)}{K(s)}x_2y_2\notag\\ &+ i\frac{B \gamma_1(s)}{K(s)}(x_1x_2-y_1y_2) -i\frac{B \gamma_2(s)}{K(s)}(x_1y_2-x_2y_1)\bigg], \end{align}\] and \(\phi_\infty(x,y,s):=\lim_{s\to\infty}\phi(x,y,s)\) as \[\phi_\infty(x,y,s) = \lambda\bigg[ \frac{\eta(B)}{2}(x_1^2+y_1^2) + \frac{\zeta(B)}{2}(x_2^2+y_2^2) - i\frac{\xi(B)}{2}(x_1x_2-y_1y_2) \bigg],\] where \(\eta(B),\zeta(B),\xi(B)\) are defined as in 74 .

With \(\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0\), we have \(f_+>f_->0\). Therefore, by continuity of the square root, we have that for \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}|<\delta\) small enough, \[\begin{align} &\operatorname{\mathbb{R}\mathbb{e}}\left\{f\right\}_\pm > \frac{1}{2}f_\pm|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} > 0,\quad \text{and likewise}\notag\\ &\operatorname{\mathbb{R}\mathbb{e}}\left\{(\right\}f_+-f_-) > \frac{1}{2}(f_+|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} - f_-|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}) > 0. \end{align}\] Thus, for the exponential functions we have \[|e^{\pm f_\pm s}| = e^{\pm\operatorname{\mathbb{R}\mathbb{e}}\left\{f\right\}_\pm s},\] and the same arguments goes exactly as in the proof of 37 but with the change \(f_\pm \to \operatorname{\mathbb{R}\mathbb{e}}\left\{f\right\}_\pm\). In particular, we get the result for \(\text{ERROR}_1(x,y,s,\lambda)\). ◻

With 42, we can now analyze region 5 using the same arguments as in 8.4.3. The estimates go through exactly as before, and we get the desired estimates for region 5. Note the corresponding change \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu \right\}< E_0 + c_\mu\) to \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu \right\}< \operatorname{\mathbb{R}\mathbb{e}}\left\{f\right\}_+/2 + c_\mu\).

8.6.4 Region 6↩︎

We prove a modified version of 38:

43. For \(\lambda\in\Omega',B\in\Lambda\), and \(s>C_1\) with \(|\lambda|(|x|^2+|y|^2)>\exp(c^\sharp s)\), we have \[\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}(x,y,s) \geq c|\lambda|(|x|^2+|y|^2) + c\exp(c^\sharp s),\quad \text{and } \quad |P(s)|\leq Ce^{-\frac{\operatorname{\mathbb{R}\mathbb{e}}\left\{f\right\}_+}{2} s},\] for some controlled constants \(c,C,c'>0\).

Proof. First we show that \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_\infty(x,y,s) \geq c|\lambda|(|x|^2+|y|^2)\) for some controlled constant \(c>0\). For the case where \(\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0\), the argument in 38 again applies here to show that \[\label{eq:phi95infty95re} \phi_\infty(x,y,s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} \geq c|\lambda|(|x|^2+|y|^2).\tag{99}\] In particular, \(\eta(B),\zeta(B)\) are real, positive and bounded by \(|B|\), and \(\xi(B)\) is real and bounded by \(|B|\). Also, \(|B||\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}|<c\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\) where \(c\) is a small constant. Now write \(\phi_\infty(x,y,s)\) as \[\phi_\infty(x,y,s) = \frac{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}{2}\bigg[ \frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\eta(B)(x_1^2+y_1^2) + \frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\zeta(B)(x_2^2+y_2^2) - i\frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\xi(B)(x_1x_2-y_1y_2) \bigg],\] where \(\eta(B),\zeta(B),\xi(B)\) are defined as in 74 and analytic in \(B\) for \(B\in\Lambda\). Therefore, the expressions \(\frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\eta(B), \frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\zeta(B), \frac{\lambda}{\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}}\xi(B)\) are uniformly continuous for \[(\lambda/\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\},B)\in\{\text{The set of } \lambda/\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\;\text{as in } \eqref{eq:lambda95over95re95lambda}\}\times\Lambda.\] Then, there exists a \(\delta>0\) such that whenever \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}|<\delta\operatorname{\mathbb{R}\mathbb{e}}\left\{\lambda\right\}\) and \(|\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}|<\delta\) we have \[|\phi_\infty(x,y,s)-\phi_\infty(x,y,s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| < \frac{c|\lambda|}{2}(|x|^2+|y|^2),\] with \(c\) as in 99 . Therefore, \[\begin{align} &\operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_\infty(x,y,s) \geq \operatorname{\mathbb{R}\mathbb{e}}\left\{\phi\right\}_\infty(x,y,s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0} - |\phi_\infty(x,y,s)-\phi_\infty(x,y,s)|_{\operatorname{\mathbb{I}\mathbb{m}}\left\{\lambda\right\}=\operatorname{\mathbb{I}\mathbb{m}}\left\{B\right\}=0}| \notag\\ &\geq c|\lambda|(|x|^2+|y|^2) - \frac{c|\lambda|}{2}(|x|^2+|y|^2) = \frac{c}{2}|\lambda|(|x|^2+|y|^2), \end{align}\] for sufficiently small \(c_\lambda, c_B\). This completes the proof of the first part of the lem.

For the prefactor estimate, we have shown in 42 that \(|P(s)|= Ce^{-\operatorname{\mathbb{R}\mathbb{e}}\left\{E\right\}_0 s}(1+\text{ERROR}_2)\) with \(|\text{ERROR}_2|\leq C\exp(-cs)\) for \(s>C_1\). Then it clearly follows that \(|P(s)|\leq C'e^{-\operatorname{\mathbb{R}\mathbb{e}}\left\{E\right\}_0 s}\) for some controlled constant \(C'>0\). This completes the proof of the lem. ◻

With 43, we can now analyze region 6 using the same arguments as in 8.4.4. The estimates go through exactly as before, and we get the desired estimates for region 6. Note the corresponding change \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu \right\}< E_0 + \hat{c}\) to \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu \right\}< \operatorname{\mathbb{R}\mathbb{e}}\left\{E\right\}_0 + c_\mu\).

We have controlled the integral over all the regions \(1,\cdots,6\) of the integral in ?? . All those integrals have been shown to be at most \(C D(c|\lambda||x-y|(|x|+|y|))\). Then ?? holds. The proof of the second main theorem is now complete.

8.7 Analyticity of the Resolvent↩︎

In this section we use the first and second main theorems to prove that the resolvent \(\tilde{G}(x,y,\lambda,\mu)\) is analytic in \(\lambda\) and \(B\) in the regions \(\Omega, \Omega'\) and \(\Lambda\) defined above.

44. Let \((x,y,\lambda,\mu)\in\mho\), where \(\mho=\{(x,y,\lambda,\mu)\in\mathbb{R}^2\times\mathbb{R}^2\times\Omega\times\mathbb{C}:x\neq y, \operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}<E_0+c_\mu\}\) for small enough \(c_\mu>0\). Then the integral \[\tilde{G}(x,y,\lambda,\mu) = \int_0^\infty \frac{e^{\mu s}}{\lambda}\big[q(x,y,s) - e^{-E_0 s}\psi_0(x,\lambda)\psi_0^*(y,\lambda^*)\big] ds\] converges for \((x,y,\lambda,\mu)\in\mho\); the function \(\tilde{G}(x,y,\lambda,\mu)\) is continuous on \(\mho\) and analytic in \((\lambda,\mu)\) for fixed \((x,y)\). For \(\lambda\in\Omega', B\in\Lambda\) and with \(\operatorname{\mathbb{R}\mathbb{e}}\left\{\mu\right\}<\operatorname{\mathbb{R}\mathbb{e}}\left\{E\right\}_0+c_\mu\), the theorem also holds and, moreover, \(\tilde{G}(x,y,s,\lambda,\mu)\) is analytic in \(B\).

Proof. We first define \[G_N(x,y,\lambda,\mu) = \int_{1/N}^N \frac{e^{\mu s}}{\lambda}\left[q(x,y,s) - e^{-E_0 s}\psi_0(x, \lambda)\psi_0^*(y, \lambda^*)\right]ds,\] and will show that \(\lim_{N\to\infty}G_N(x,y,\lambda,\mu) = G(x,y,\lambda,\mu)\) uniformly in \((x,y,\lambda,\mu)\) varying in any compact subset of \(\mho\). This will give the desired result, since \(G_N(x,y,\lambda,\mu)\) is analytic in \((\lambda,\mu)\) for fixed \((x,y)\) and continuous in \((x,y,\lambda,\mu)\).

To show the uniform convergence, we need to show that for any \(\epsilon>0\) and any compact subset \(K\subset\mho\), there exists an \(N_0>0\) such that for all \(N>N_0\) and all \((x,y,\lambda,\mu)\in K\) we have \[\begin{align} \label{eq:analyticity95uniform95convergence} |G(x,y,\lambda,\mu) - G_N(x,y,\lambda,\mu)|&\notag\\ &\leq \int_0^{1/N}\Big|e^{\mu s}\left[q(x,y,s) - e^{-E_0 s}\psi_0(x, \lambda)\psi_0^*(y, \lambda^*)\right]\Big| \notag\\ &+ \int_N^\infty \Big|e^{\mu s}\left[q(x,y,s) - e^{-E_0 s}\psi_0(x, \lambda)\psi_0^*(y, \lambda^*)\right]\Big| \notag\\ &< \epsilon. \end{align}\tag{100}\] To prove 100 , we fix \(x_0,y_0,\lambda_0,\mu_0\in\mho\). Then for small \(\delta>0\) depending on \(x_0,y_0,\lambda_0,\mu_0\), we prove both statements: \[\begin{align} &\lim_{\tau\to0}\int_0^\tau \Big|e^{\mu s}\left[q(x,y,s) - e^{-E_0 s}\psi_0(x, \lambda)\psi_0^*(y, \lambda^*)\right]\Big| ds = 0,\quad \text{and}\notag\\ &\lim_{T\to\infty}\int_T^\infty \Big|e^{\mu s}\left[q(x,y,s) - e^{-E_0 s}\psi_0(x, \lambda)\psi_0^*(y, \lambda^*)\right]\Big| ds = 0, \end{align}\] uniformly for \((x,y,\lambda,\mu)\) satisfying \[\label{eq:uniform95convergence95conditions} |x-x_0|,|y-y_0|,|\lambda-\lambda_0|,|\mu-\mu_0|<\delta.\tag{101}\] This will establish and complete the proof of the theorem.

Since \(x_0\neq y_0\) for \((x_0,y_0,\lambda_0,\mu_0)\in\mho\), 101 implies that \[|x-y| > \frac{|x_0-y_0|}{2} > 0, \quad \text{and}\quad |x^2|+|y^2| < 2(|x_0|^2+|y_0|^2),\] provided \(\delta\) is small enough in 101 . Therefore, we can use the first and second main theorems, specifically 35 40, and estimates 82 , 85 , 86 to estimate the first integral: \[\begin{align} &\int_0^\tau \Big|e^{\mu s}\left[q(x,y,s) - e^{-E_0 s}\psi_0(x, \lambda)\psi_0^*(y, \lambda^*)\right]\Big| ds \notag\\ &\leq \int_0^\tau \frac{C}{s}\exp\left(-c|\lambda|\left[s(|x|^2+|y|^2)+\frac{|x-y|^2}{s}\right]\right)ds + \int_0^\tau C\exp\left(-c|\lambda|(|x|^2+|y|^2)\right) ds \notag\\ &\leq \int_0^\tau \frac{C}{s}\exp\left(-c|\lambda|\frac{|x_0-y_0|^2}{s}\right)ds + \int_0^\tau C\exp\left(-c|\lambda|(|x_0|^2+|y_0|^2)\right) ds \to 0 \quad \text{as } \tau\to0, \end{align}\] uniformly for \((x,y,\lambda,\mu)\) satisfying 101 .

For the second integral, we use the analysis of regions 5 and 6 in the proof of the first and second main theorems, 37 38, to prove that \[\int_T^\infty \Big|e^{\mu s}\left[q(x,y,s) - e^{-E_0 s}\psi_0(x, \lambda)\psi_0^*(y, \lambda^*)\right]\Big| ds \to 0 \quad \text{as } T\to\infty,\] uniformly for \((x,y,\lambda,\mu)\) satisfying 101 . This completes the proof of the theorem. ◻

8.8 The boundedness of the derivative of the resolvent↩︎

We want to estimate \[r_\lambda^{\mathrm{MHO}}(z_\lambda)f(x_0) \qquad\text{and}\qquad \partial_j\, r_\lambda^{\mathrm{MHO}}(z_\lambda)f(x_0)\] when \(\|f\|_{L^2}\le 1\), \(\operatorname{supp} f \subset B(0,2\Lambda^{-1/2+\eta})\), and \(3\Lambda^{-1/2+\eta}\le |x_0|\le 4\Lambda^{-1/2+\eta}\).

Let \(u=r_\lambda^{\mathrm{MHO}}(z_\lambda)f\). From 31 we obtain that \[|u|\le \exp(-c\,\Lambda^\eta)\qquad\text{on }B(x_0,\Lambda^{-1}). \] In particular, \[|u(x_0)|\le \exp(-c\,\Lambda^\eta). \]

To estimate \(\nabla u(x_0)\), note that \[\bigl[-\Delta_x + \tfrac{\lambda^2}{4}|x|^2 - i\lambda\,x^\perp\!\cdot\nabla_x + \lambda^2 v^{\mathrm{MHO}}(x) + E \bigr]u = 0 \quad\text{on } B(x_0,\Lambda^{-1}), \] since \(f=0\) there. (Here \(v^{\mathrm{MHO}}(x)=\langle x,Sx\rangle\) and \(|E|\le C\Lambda\).)

Rescale from \(B(x_0,\Lambda^{-1})\) to the unit disc by setting \[\tilde{u}(z)=u\bigl(x_0+\Lambda^{-1}z\bigr), \qquad z\in B(0,1).\] Then (3) can be rewritten in the form \[\Bigl[-\Delta_z - i\frac{\lambda}{\Lambda}\bigl(x_0^\perp+\Lambda^{-1}z^\perp\bigr)\!\cdot\nabla_z\Bigr]\tilde{u} = -\frac{\lambda^2}{\Lambda^2}\Bigl[\tfrac14\bigl|x_0+\Lambda^{-1}z\bigr|^2 + v^{\mathrm{MHO}}\!\bigl(x_0+\Lambda^{-1}z\bigr) + \tfrac{E}{\lambda^2}\Bigr]\tilde{u} \;\equiv\; g(z). \]

From (1) we learn that \(\|g\|_{L^\infty(B(0,1))}\le \exp(-c\,\Lambda^\eta)\), while (4) implies (by standard elliptic theory; see e.g. [25], [26]) that \[|\nabla_z \tilde{u}(0)| \le C\Bigl(\|g\|_{L^\infty(B(0,1))} + \|\tilde{u}\|_{L^\infty(B(0,1))}\Bigr).\] Therefore, \[|\nabla_z \tilde{u}(0)| \le C'\exp(-c'\Lambda^\eta),\] and consequently \[|\nabla_x u(x_0)| \le \exp(-c''\Lambda^\eta). \]

From (1) and (5) we obtain the desired estimates: \[\bigl| r_\lambda^{\mathrm{MHO}}(z_\lambda)f(x) \bigr| \;\le\; \exp(-c\,\Lambda^\eta)\,\|f\|_{L^2},\] and \[\bigl| \nabla_x r_\lambda^{\mathrm{MHO}}(z_\lambda)f(x) \bigr| \;\le\; \exp(-c\,\Lambda^\eta)\,\|f\|_{L^2},\] for \(\operatorname{supp} f \subset B(0,2\Lambda^{-1/2+\eta})\) and \(3\Lambda^{-1/2+\eta}\le |x|\le 4\Lambda^{-1/2+\eta}\).

9 Approximations with the MHO↩︎

Consider the Landau Hamiltonian \[\begin{align} H^{\mathrm{Landau}}_\lambda := \left(P-\frac{1}{2}b\lambda X^{\perp}\right)^{2} \end{align}\] with \(b,\lambda>0\) and on it the magnetic harmonic oscillator \[\begin{align} h_{\lambda}^{\rm MHO }:=H^{\mathrm{Landau}}_\lambda+\frac{1}{2}\lambda^{2}\left\langle x,\left(\nabla\otimes\nabla^\ast v\right)\left(0\right)x\right\rangle\,. \end{align}\] Here \(\left(\nabla\otimes\nabla^\ast v\right)\left(0\right)>0\) is some \(2\times 2\) matrix.

Note that by scaling, \[\begin{align} \mathfrak{U}_{\sqrt{\lambda}}^{\ast}h_{\lambda}^{\rm MHO }\mathfrak{U}_{\sqrt{\lambda}}=\lambda h^{\rm MHO } \end{align}\] for a dilation operator \(\mathfrak{U}_{\sqrt{\lambda}}\) (only unitary if \(\lambda\) is real) defined in 60 below, and with \(h^{\rm MHO } := h^{\rm MHO }_1\). Let us denote the eigenvalues of \(h^{\rm MHO }\) as \(e_j^{\rm MHO }\), \(j=0,1,\cdots\) in ascending order.

We also have our one-well Hamiltonian \[\begin{align} h_\lambda = H^{\mathrm{Landau}}_\lambda + \lambda^2 v(X) \end{align}\] with \(v\) having a unique non-degenerate minimum at zero. In particular, In particular, \[\begin{align} v\left(x\right)\stackrel{x\to 0}{=}-1+\frac{1}{2}\left\langle x,\left(\nabla\otimes\nabla^\ast v\right)\left(0\right)x\right\rangle +\mathcal{O}\left(\left\lVert x\right\rVert^{3}\right) \end{align}\] and where \(\left(\nabla\otimes\nabla^\ast v\right)\) is the Hessian of \(v\) and we assume \(\left(\nabla\otimes\nabla^\ast v\right)\left(0\right)>0\).

Then the analysis in [14] implies that for large real \(\lambda\), if \(e_{\lambda,j}\) are the eigenvalues of \(h_\lambda\), \[\begin{align} \label{zumfsgwl}e_{\lambda,j}=-\lambda^{2}+e_{j}^{\rm MHO }\lambda+O\left(\lambda^{\frac{1}{2}}\right)\,. \end{align}\tag{102}\]

Even though [14] does not perform an asymptotic expansion of the eigenvectors, the ideas presented in the non-magnetic [27] can most likely be generalized to the magnetic case. We don’t need such precision here and present a self-contained proof for the following

45. If \(\varphi_\lambda\) is the ground state of \(h_\lambda\) and \(\varphi_\lambda^{\rm MHO}\) is the ground state of \(h_\lambda^{\rm MHO}\) then for all \(\lambda\) real and sufficiently large, \[\begin{align} \left\lVert\left(\mathbb{1}-\varphi_\lambda\otimes\varphi_\lambda^\ast\right) \varphi_\lambda^{\rm MHO}\right\rVert\lesssim \lambda^{-1/2}\,. \end{align}\]

Proof. Through the proof we write \(e_\lambda\) and \(e_\lambda^{\rm MHO}\) for the ground state eigenvalues of \(h_\lambda\) and \(h_\lambda^{\rm MHO}\) respectively.

Let \[\begin{align} v_{\rm err}(x) := v(x) - \left(-1+\frac{1}{2}\left\langle x,\left(\nabla\otimes\nabla^\ast v\right)\left(0\right)x\right\rangle\right)\,. \end{align}\] Then as we remarked, \(\left|v_{\rm err}(x)\right|=O(\left\lVert x\right\rVert^3)\) as \(x\to0\). Hence \[\begin{align} \label{eq:MHO32quasimode} \left\lVert\left(h_\lambda - \left(-\lambda^2+e_\lambda^{\rm MHO}\right)\mathbb{1}\right)\varphi_\lambda^{\rm MHO}\right\rVert = \lambda^2 \left\lVert v_{\rm err}(X)\varphi_\lambda^{\rm MHO}\right\rVert\,. \end{align}\tag{103}\]

We recall the exact ground state of the magnetic harmonic oscillator is of the form \[\begin{align} \label{kbafntcj} \varphi_\lambda^{\rm MHO}(x) := C \sqrt{\lambda}\exp\left(-\lambda \langle x, S x \rangle\right)\qquad(x\in\mathbb{R}^2) \end{align}\tag{104}\] for some \(2\times 2\) matrix \(S>0\), and constant \(C<\infty\), both dependent on the Hessian of \(v\) at the origin. Using this, we can estimate \[\begin{align} \label{eq:potential32remainder32on32MHO32ground32state} \lambda^2 \left\lVert v_{\rm err}(X)\varphi_\lambda^{\rm MHO}\right\rVert \lesssim \lambda^{1/2} + \operatorname{e}^{-c\lambda }\lesssim \lambda^{1/2}\,. \end{align}\tag{105}\]

Now, for any \(\psi\in L^2(\mathbb{R}^2)\) such that \(\psi\perp \varphi_\lambda\), \[\begin{align} \left\lVert\left(h_\lambda - e_\lambda\mathbb{1}\right)\psi\right\rVert \geq \frac{1}{\left\lVert\psi\right\rVert}\langle \psi, \left(h_\lambda-e_\lambda\mathbb{1}\right)\psi \rangle \geq c_{\rm gap} \left\lVert\psi\right\rVert \end{align}\] where, by 9 , \(c_{\rm gap} = \left(e_1^{\rm MHO} - e_0^{\rm MHO}\right)\lambda+O(\lambda^{1/2})\). Thus, if \(P:=\varphi_\lambda\otimes\varphi_\lambda^\ast\), then \[\begin{align} \left\lVert P^\perp\psi\right\rVert \leq \frac{1}{c_{\rm gap}}\left\lVert\left(h_\lambda - e_\lambda\mathbb{1}\right)\psi\right\rVert \qquad(\psi\in L^2(\mathbb{R}^2))\,. \end{align}\] Applying this with \(\varphi_\lambda^{\rm MHO}\) and using 103 , 105 as well as 9 again, we find \[\begin{align} \left\lVert P^\perp\varphi_\lambda^{\rm MHO}\right\rVert \lesssim \lambda^{-1/2}\,. \end{align}\] ◻

Next, we deal with the double-well Hamiltonian, \[\begin{align} H_\lambda \equiv H^{\mathrm{Landau}}_\lambda+\lambda^2 v(X+d)+\lambda^2 v(X-d)\,. \end{align}\] By the same assumptions on \(v\) as above and [14], if the eigenstates of \(H_\lambda\) are given by \(E_{j,\lambda}\), then, a-priori, \[\begin{align} E_{0,\lambda} \approx E_{1,\lambda} \approx -\lambda^2 + e_0^{\rm MHO}\lambda + O(\lambda^{1/2}) \end{align}\] and the next eigenvalue is at distance \(c_{\rm gap}\) (as above) away. Let \(\mathcal{V}_\lambda\) be the eigenspace of \(H_\lambda\) associated to both eigenvalues \(E_{0,\lambda}, E_{1,\lambda}\) and \(\Pi_\lambda\) the associated self-adjoint projection.

Recall the magnetic translation operators given in 5 . These operators are unitary if \(\lambda\in\mathbb{R}\) and otherwise generally not even bounded; in factorized form the two exponentials commute. \(\widehat{R}^z\) commutes with the magnetic kinetic energy \(H^{\rm Landau}_{\lambda}\) and obeys 28 as well as 29 .

Then we also have

46. For all \(\lambda\) real and sufficiently large, \[\begin{align} \left\lVert\Pi_\lambda^\perp \widehat{R}^{\pm d}\varphi_\lambda^{\rm MHO}\right\rVert\lesssim \lambda^{-1/2}\,. \end{align}\]

Proof. We have \[\begin{align} \left(H_\lambda - \left(-\lambda^2+e_\lambda^{\rm MHO}\right)\mathbb{1}\right)\widehat{R}^{ d}\varphi_\lambda^{\rm MHO} &= \widehat{R}^{ d} \left(h_\lambda - \left(-\lambda^2+e_\lambda^{\rm MHO}\right)\mathbb{1}\right)\varphi_\lambda^{\rm MHO}+\widehat{R}^{ d}\lambda^2v(X-2d)\varphi_\lambda^{\rm MHO} \end{align}\] so by the proof of 105 , we have \[\begin{align} \left\lVert\left(H_\lambda - \left(-\lambda^2+e_\lambda^{\rm MHO}\right)\mathbb{1}\right)\widehat{R}^{ d}\varphi_\lambda^{\rm MHO}\right\rVert \lesssim \lambda^{1/2} + \exp\left(-c\lambda 2d\right) \lesssim \lambda^{1/2}\,. \end{align}\]

Otherwise the proof proceeds as in 105 and we get the same result. ◻

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