Privalo's Theorem

August Peter Brdalen Sonne

September 17, 2016

1 Holomorphic extension
Suppose that M is a real (n+m)-dimensional manifold which is embedded in
Cn . We have seen that under certain conditions on the local graph function
h : Rl Cm we may nd an open neighborhood UP P containing the
origin so that for all (c, w) UP there exists a function g(c, w) : S 1 Rl
which solves the Bishop equation with parameters c and w. Furthermore,
each such solution denes a unique analytic disk G(c, w) : D Cn which is
holomorphic on D. Suppose now that UP is a subset of the parameter
space so that the Bishop equation has locally unique solutions in . We
shall refer to such a set as a local family of analytic disks and in this case
we have a natural map F : D Cn dened by F (z, p) = G(c, w)(z)
where F (z, p)(S 1 ) M which we shall refer to as the lift from to M . In
this section we study this function in order to show a result on holomorphic
extension from certain subsets of M .

Denition 1. Let X, Y, Z be normed vector spaces, let UXY X Y be

an open set and let f : UXY Z be a function. We say that f is of Frchet
class C q,s (UXY ) if
a) The function f has continuous partial derivatives with respect to its
rst variable of all orders 1 j q and continuous partial derivatives
with respect to its second variable of all orders 1 j s.
b) All partial derivatives are independent of the order of dierentiation.
If in addition f and its partial derivatives are all Hlder continuous for some
then we say that f is of Frchet class C q,s, (UXY ).

0 < 1,

Theorem 1.1. Let be a local family of analytic disks corresponding to a

solution to the Bishop equation with Hlder constant 0 < < 1, and let
F : D Cn be the lift of to M . If h is of Frchet class C q+s+1 for
some s 1. Then F is of Frchet class C q,s and for any p the map
G(p) : D Cn given by G(p)(z) = F (z, p) is of class O(D) Cnq, (D). If in
addition h is of Frchet class C q+s+1,1 , then F is of Frchet class C q,s, .
1

In fact we can nd similar smoothness results for the lift F : D C

for both real analytic as well as C solutions to the Bishop equation which
imply that our next theorem holds in much more generality than it might
seem.

Theorem 1.2. Let be a path connected local family of analytic disks which
contains a degenerate disk p0 = (c, 0) and suppose that is simply connected.
Then the restriction map : O(F (D )) O(F (S 1 )) given by (f ) =
f |S 1 is an isomorphism. In other words any function in the holomorphic
germ O(F (S 1 )) has a unique extension to a holomorphic function in
O(F (D )).
Proof. Let F (S 1 ) be an open connected set. We wish to show

that there exists an open connected neighborhood which contains and

F (D ) so that all holomorphic functions f : Cn admit a holomorphic
extension f: Cn . Since is connected the extension will be unique.
We then show that this implies that the restriction map : O() O()
is a homeomorphism. Since this holds for all sets we will then have that
the restriction map : O(F (D )) O(F (S 1 ) ) is a homeomorphism.
(

First we show that if z F D , then there exists an open connected

neighborhood (z) of z , so that (z) and so that all holomorphic functions f : Cn admit a holomorphic extension f: (z) Cn . Without
loss of generality we may suppose that both the degenerate disk p0 as
well as its lift to Cn are at the origin. Now pick a point p so that
z F (D {p}). Since is path connected we may nd a path : [0, 1]
n
from the degenerate
disk to
) p. Now dene the function : [0, 1] C given
(
by (t) = F D ([0, t]) and note that by the continuity of the lift F , this
is in fact a continuous function. Dene T to be the collection of t [0, 1] for
which there exists an open connected set (t) (t) so that all holomorphic
functions f : Cn admit a holomorphic extension f: (t) Cn . Note
that since the lift of the degenerate disk p to Cn is contained in F (S 1 ) we
may choose (0) = and so T must be non-empty. Note also that if t T ,
then for any t t we have that t T since we may choose (t ) = (t). It
is therefore clear that if we could show that T = [0, 1], then we would have
our open connected set (z), we proceed by showing that T is both open
and closed.
Suppose that t T , then there exists an open connected set (t) which
contains (t) , so that all holomorphic functions f : Cn admit an
extension f: (t) Cn . Now note that (t) is compact and so the inclusion
(t) (t) must be strict. By continuity of it is then clear that there exists some > 0 so that for any |t t | < we have the inclusion (t ) (t).
This implies that t T and so T must be open. To show that T is closed,
2

suppose that {tn }nN T is a sequence converging to some t [0, 1]. We

wish to show that t T . By our earlier remarks it is clear that if we for some
n N had tn t, then t T . We may therefore suppose that the sequence
satises tn < t for all n N. By picking out a monotone subsequence we
may therefore assume that the sequence is monotone. In this case it is clear
that we may also suppose that the associated sequence of open connected
sets {(tn )}nN is monotone
increasing. We now have an obvious candidate
for (t), namely 0 (t) = nN (tn ). It is clear that 0 (t) is open, and
since (t1 ) (tn ) for any n N it is also clear that the set is connected.
Suppose now that f : Cn , we wish to show that the function admits
an extension to 0 (t). For any z 0 (t) we know that z (tN ) for all
suciently large choices of N N. We may therefore nd a holomorphic
extension fN : (tN ) Cn . Dene f(z) = fN (z) then it is easy to see that
the function f: 0 (t) Cn is well-dened and a holomorphic extension of
f . We also have that (t ) 0 (t) for any t < t but it is also clear that
we can not guarantee that (t) 0 (t) and so we must alter our set 0 (t)
slightly.
By the continuity of it( is clear that
) it suces to nd an open connected neighborhood U of F D {(t)} so that all holomorphic functions
f : 0 (t) C admit an extension f: 0 (t) ( U C. )We construct such
a neighborhood by showing that if w F D {(t)} then there exists
an open ball B(, r) containing w so that the power series expansion of any
holomorphic function f : 0 (t) C around converges normally on B(, r).
A compactness argument
will then give us an open connected neighborhood

on the form U = N
B(
n , rn ).
n=1
(

Let therefore w F D {(t)} , let g : D Cn be an analytic disk

corresponding to the
( parameter
)(t) and let K be a connected compact
1
neighborhood of F S {(t)} and dene
d = inf sup {l > 0 | (z, l) } ,
zK

(1)

where (z, l) denotes the polydisk centered at z with polyradius (l, . . . , l).
By continuity of F there exists some > 0 so that whenever tt < implies
that F (S 1 {(t )}) K . Pick an analytic disk h : D Cn corresponding
to such a t . We now note that the function g h is holomorphic on D and
that it extends continuously to the boundary. It follows by the maximum
principle that g hL (S 1 ) = g hL (D) . Since g(S 1 ), h(S 1 ) K it
( )
follows that we may nd a point h D so that w (, d). Now let
f : 0 Cn then clearly f is holomorphic on . By another application of
the maximum principle we see that
f ()Cn f hL (D) = f hL (S 1 ) f L (K) .

(2)

 (t) . Now
It follows that is an element in the holomorphically convex hull K
0
for any suciently large 0 < R < d we have some polydisk K (z , R).
Applying the Cauchy estimates on the polydisk we see that for any z K ,
and any multi-index we have




D f (z)

Cn

f L ((z ,R)) 1 ! . . . || !
R||

(3)

(t)
Now D f : 0 (t) Cn is clearly holomorphic and so, using that K
0
we see that




D f ()

Cn

D f

L (K)

f L ((z ,R)) 1 ! . . . || !
R||

(4)

But then the power series expansion of f at is bounded from above by a

geometric power series which converges normally on (, d). Recalling that
z (, z) we see that f extends to be holomorphic on a neighborhood of
z which is what we wanted to show.
We see that for any w F (D (t)) there exists some open connected
neighborhood U (z) of z so that all holomorphic functions f : 0 (t) Cn
extend to a holomorphic function f: 0 U (z) C. By compactness
we may cover F (D (t)) by a nite amount of such sets and so we see
that t T . It follows that T is both open and closed, hence equal to
[0, 1]. This implies that there exists some open connected neighborhood
(z) of z so that all holomorphic
functions on extend to be holo
morphic on (z). Letting = zF (D) (z), recalling that is simply
connected and arguing as in the proof of the monodromy theorem we then
get a global extension of any holomorphic function f : Cn to a holomorphic function f : Cn . We may then dene the obvious restriction
: O() O(). This is clearly a continuous bijection between Banach
spaces, hence an isomorphism
function
theorem. Now dene
(
)by the (inverse
)
1
the restriction : O(F D O S and dene its inverse by the
following commutative diagram


O() 
O

/ O(F (D ))
O

O() 

/ O(F (S 1 )).

Since is an isomorphism for each choice of it follows that is an

isomorphism.