9

Invent. math.
82, 307-347 (1985)

! l l ue~l tio~l e$
mathematicae
9 Springer-Verlag 1985
Pseudo holomorphic curves in symplectic manifolds

M. Gromov
Institut des Hautes Etudes Scientifiques, 35, route de Chartres, F-91440 Bures-sur-Yvene, France
wO. Introduction
Consider a smooth manifold V with an almost complex structure J, that is a

C~ of complex linear structures in the tangent spaces T~(V), v e V. For
example, if d i m V = 2 , then (V,J) is called a Riemann surface. A smooth map
between two such manifolds, say f: (V', J')~(V, J), is called (pseudo) holomorphic
if the differential ~ s : T ( V ' ) ~ T ( V ) is a complex linear map for the structures J'
and J.
Definitions. A parametrized (pseudo holomorphic) J-curve in an almost complex
manifold (IS, J) is a holomorphic map of a Riemann surface into Is, say f : (S, J3
~(V, J). The image C=f(S)C V is called a (non-parametrized) J-curve in V. A
curve C C V is called closed if it can be (holomorphically !) parametrized by a closed
surface S. We call C regular if there is a parametrization f : S ~ V which is a smooth
proper embedding. A curve is called rational if one can choose S diffeomorphic to
the sphere S 2.
0.1. Example. Let (V, J) be the product of two Riemann surfaces, (V, J)
= (S 1 X $ 2 , J1 ~)J2)" Then graphs of holomorphic maps ($1, J1)'-*(S2, J2) clearly
are regular J-curves in V. Conversely, every regular J-curve C in V whose
projection to Sa is a proper map of degree one (for the orientations induced by the
structures J on C and J1 on C1) is the graph of a holomorphic map S~ ~$2, as a
simple argument shows. If, for instance, S x and $2 are diffeomorphic to S 2, then the
existence of a holomorphic diffeomorphism (S 2, J 1 ) ~ ( S 2, J2) is insured by the
Riemann mapping theorem for spheres. This is expressed in our language as the
existence of a regular rational curve C C V = (S 2 S 2, J1 OJ2) which is homologous
to the diagonal in S 2 S 2 (i.e. the projections of C to both factors have degree one).
0.2. Curves in tame manifolds

The goal of this paper is an extension of basic facts on curves in complex manifolds
to the almost complex case. Our main results concern the existence of such curves
in the presence of an auxiliary symplectic structure on (Is, J).
308 M. G r o m o v
Definitions. An anti-symmetric N-bilinear form 090 on ~ " is called positive if it is

positive on every complex line in II2", that is 0)(x,]/-S l x ) > 0 for all non-zero
vectors x ell2 2. Next, an exterior differential 2-form 0) on an almost complex
manifold (V, J) is called J-positive if 0) is positive on every tangent space T~(V),
v e V, for the implied complex linear structure JI To(V). Such a form clearly is
positive on every J-curve C in V.
Examples. (a) If dim R V = 2 then positive forms on V are those area forms whose
orientations agree with the orientation induced by J.
(b) Let 0)1 and 0)2 be positive forms on Riemann surfaces ($1, Ja) and ($2, J2)
correspondingly and let 051 and 052 be their pull-backs to V=S1 x $2 (for the
projections V ~ S 1 and V ~ S 2 ) . Then the form 0) = 051 + 052 clef0)1 (~)0)2 o n V clearly
is J-positive for J =J1 (~J2"
We say that J is tamed by a 2-form o9 on V if 0) is closed (i.e. d~o = 0) and
J-positive on V.
Remark. Ira 2-form 0) on Vis J-positive, then, obviously, the top exterior power 09"
for 2n = dim V nowhere vanishes on V. Closed 2-forms on V with nonvanishing m"
are called symplectic forms (or structures) on V.
0.2.A. A generalization of Riemann' s mapping theorem to non-split almost complex
structures on $1 x $2. Let $1 and $2 be closed connected surfaces with area forms
o91 and co2 of total areas AI = ~ 0)1 and A2---- ~ 092 and denote by 0) the
St $2
(symplectict) form 0)1 (~)O)2 o n V = S 1 X S 2. Let J be a C~ almost complex
structure on V tamed by to.
Theorem. (See 2.4.C.). I f $1 is diffeomorphic to the sphere S z and if A 2 = kA 1 for an
integer k > 1, then there is a unique regular rational J-curve C = CoC V which
contains a 9iven point v ~ V and which is homologous to the sphere $1 s C V, s ~ $2.
Furthermore, let Sz also be diffeomorphic to S 2, and let A z = A 1. Then there exists a
connected regular J-curve C in V which represents the homology class p[ S 1] + q[ S:]
H 2( V, 7/.)for arbitrary non-negative integers p and q, and which has genus(C) =pq
- p - q + 2. In fact, these curves C form a smooth manifold M = Mpo(J) of dimension
2(pq + p + q).
Remark. Our version of Riemann's mapping theorem is similar to the one
discovered by Schapiro [Sch] in 1941 for mappings in the plane which satisfy a
quasi linear system of two elliptic equations. Schapiro's theorem has been greatly
generalized since (see [Lav, Be, B-H, Gil, Wen]).
0.2.A'. Let us generalize 1.2.A. by considering a closed manifold V2 of dimension
2 ( n - 1 ) > 2 with a symplectic form 0)2, such that ~ 0)2 = kA1 for every smoothly
S2
mapped sphere $ 2 ~ V, for some integer k = k ( S 2 ~ V), and for the area A1 of the
surface (S 2, 091) of 0.2.A.
Theorem. (See 2.3.C.). Let J be a C~ almost complex structure on
V = S 2 x V2 tamed by the (symplectict. ) form 0)1 03092. Then there exists a (possibly
singular and non-unique) rational J-curve C = C~ C V which contains a given point
v ~ V and which is homolooous to the sphere S 2 x v2 C V, v2 ~ 1/'2.
Pseudo holomorphiccurves in symplecticmanifolds 309
0.2.B. Now, let V = ~ P " with the standard symplectic form co (which is uniquely
characterized up to a scalar factor by being invariant under the obvious U(n + 1)-
action on the complex projective space ~P") and let J be a C~~ almost
complex structure on V tamed by co.
Theorem. Any two points vl and v2 in V lie on some (possibly non-unique and
singular) rational J-curve C C V which is homologous to the projective line
~p1 CtFP" ~ V. Moreover, let dim V = 4 (i.e. n =2). Then the curve C= C(v 1, v2) is
non-singular and it is unique for v 14=v2. Further, any five points in general position
(i.e. no three of them lie on one of the above curves C) in V lie on a unique
nonsingular rational curve homologous to 2CP 1, and any nine generic point lie on a
unique regular curve of genus one which is homologous to 3CPt," in general, any
k-point in general position for k - d(d 2+ 3) lie on a unique regular curve of degree d
d2-3d+2
(i.e. homologous to dff~P~) and of genus 2
This is shown in N2.3.C., 2.4.B~. with a precised notion of the "general

position".
0.2.B'. Example. (Pointed out by M. Berger.) Let g be an arbitrary C~
Riemannian metric o n ~ p 2 and let co = coobe a non-zero harmonic 2-form o n ([~p2
for this metric. Then clearly, this co is self dual (i.e. *co = co) as rankHz(CP 2) = 1. If
cov=colT,(CP2)~:0 for some y E l P 2, then, since dimT~=4, there is a unique
complex linear structure on T~ for which
e)v(x, ~ 1y) = Ilco~[I2 g,(x, y) (*)
for all vectors x and y in T~. Now, let us assume the form co to be nowhere zero on V
and thus get an almost complex structure, say Jo, on C P 2 which is tamed by co and
which satisfies the (K/ihler) identity co(x, ~ 1y) = g'(x, y) for the conformal metric
g ' = 11co11z g. With this one easily observes (see 2.3.E~.) that every Jo-curve in V is a
minimal surface for the metric g'. Moreover every closed J0-curve is absolutely
g'-area minimizing in its homology class.
In order to apply the above theorem we additionally assume the existence of a
homotopy of metrics, say g, for 0 < t < l , which joins 9 = g l with the (U(3)-
invariant) Fubini-Studi metric go on II2P2 and such that the harmonic form coo,
does not vanish on II2P2 for all t s [0, 1]. Then, by a theorem of Moser (see [Mo,
Wei, Gr03]), there is a self-diffeomorphism oflFP 2 which sends the form cog to the
(standard!) form co = C%o.Now, our theorem provides a huge family of absolutely
minimizing surfaces for the conformal metric g' on II~P2.
Corollary. (See [Gr02], compare [Ber].) If g is C~%close to go then there is a
smoothly embedded sphere S 2 C ~ P 2 homologous to the projective line C P ~c ~ P 2
such that
2 _~2 {Volgq~P2~
(AreagS
AreagoCP* J < \ ~ ] "
310 M. Gromov
Remark. Every closed surface S C I ~ P 2 homologous to dCP 1 satisfies the opposite

inequality for the metric g'
( Areag, S )2>d2(Volo,l~P2" ~
AreagoCp1 = \VOlaol~P2/],
with the equality for Jo,-holomorphic curves in C P 2.
0.3. Global invariants of symplectic manifolds
Let us use the results of 0.2. to distinguish symplectic manifolds, for example, open
subsets in R 2n with the symplectic form e~o -- ~ dx i ^ dy i.
i=1
0.3.A. Theorem. Let V' be an open subset in the manifold V = S 2 V2 of 0.2.A'. and
let J" be a C~ almost complex structure on V" which is tamed by the form
co'=co[V' for co=O~x~co2 (see 0.2.A'.). Then, for every point v" ~ V', there is a
connected proper J'-curve ("proper" means that C" is closed in V' as a point-set and
that d i m ~ C ' = 2 ) ~vhich contains v' and such that S co'<-_Al = ~ cor
C" S2
Proof. The structure J' can be easily extended (with a slight perturbation near the
boundary t?V'C 10 to a smooth structure J on V tamed by co. The Theorem 0.2.A'.
provides a J-holomorphic curve C = Cv, C Vthrough v'for which ~ co = ~ col. Then
C S2
one takes the connected component of v' in the intersection C c~V' for C'. (See 2.3.E.
for details.)
Corollary. Consider a symplectic diffeomorphism of the open round ball B( R ) C R 2"
onto an open subset V ' C R 2" which is contained in the e-neighborhood of the
subspace 1t2"-2C 112~ spanned by the vectors xi, yi for i = 1..... n - 1 . Then the
/
radius R satisfies the inequality R<e. ( A diffeomorphism f : B ~ V " is called

\
symplectic if f*(coo) = coo for 090 = ~ dx~ ^ dyi. ~

i=1 /
Proof. The subset V', can be symplecticly embedded into (S 2 x T'-2, co~9 co2) for
n-1
some form 091 on S 2 with A 1 = ~ 091 =~ze2 and for the form N~ze2 ~-~ dx i A dyi on
S2 i=1
the torus T"-2=Fx2n-E/Z2n-2 for a large integer N. This insures a J-curve of
coo-area < fie 2 through the center of the ball B = B(R) (as B is symplectomorphic to
V') for any structure J on B tamed by coo- On the other hand, for the standard
complex structure on ~ = R 2n, every holomorphic curve through the center has
area > 7~R2 (see 2.3.E2.). Hence R ~ e. Q.E.D.
Remarks. The (linear) symplectic diffeomorphism (xi, Yi)-* (6xi, 6- l yi) sends every
ball to an arbitrarily small e-neighborhood of the subspace R ' C ~ 2 , spanned by
Yl ..... y~, provided 6 > 0 is sufficiently small.
Pseudo holomorphic curves in symplectic manifolds 311
The above corollary gives an upper bound on the radius of a symplectic

manifold V, which by definition is the upper bound of the radii of the balls
B(R) C R 2n which admit symplectic imbeddings into V. For example, the product
of open disks, V=D(R1)x D(R/) for D(R)C(~ a, dx, ^ dy) has by the above,
Rad V = min(R 1, R2).
Therefore, the existence of a symplectic diffeomorphism between two such

products, say between V(R 1, RE) and V(R'I, R'2) with Rx < R2 and R~ < R~, implies
the equality RI=R" 1 and, hence, the equality RE=R'2 as VolV=n2R2R 2 is
symplectictly invariant. A finer argument (see [Gr02]) gives a similar result for
products of n disks for all n = 2, 3 .....
0.3.B. Packing inequalities. Let V1 and V2 be disjoint images of symplectic
diffeomorphisms of the balls B(R1) and B(RE) into B(R)CR 2~. Then, arguing as
earlier with 0.2.B. in place of 0.1.A'. one gets the inequality
R21+R22< R2 .
Similarly, for disjoint symplectic images Im B(Rj)C B(R), j = 1, ..., 5, one gets now
for n = 2 only,
5
Y~ R/2 < 2R 2 .
i=1
0.3.C. Symplectic diffeomorphisms of 4-dimensional manifolds. Let V=(S 2 S 2,

091|
Theorem. If S 091 = ~ 092 then the group of symplectic diffeomorphisms of V
S2 S2
contracts onto the subgroup of isometries of S 2 S 2 for the standard Kiihler metric
on S 2 S 2 (this subgroup is the obvious Z/2Z extension of S0(3) S0(3)).
This is easily seen with the J-curves provided by 0.2.A. for all almost complex
structures J tamed by the symplectic form co = 09~| on V. The actual argument
(see 2.4.A~.) is similar to the usual proof of the contractibility of DiffS 2 onto 0(3)
based on the Riemann mapping theorem for spheres.
Warning. The homotopy type of the symplectic diffeomorphism group of(S 2 S 2,
091| becomes more complicated (and interesting) if one allows ~ 091 4: S 092
(see 2.4.C2.). s2 s2
Remark. The proof indicated above also applies to C P 2 with the standard
symplectic form coo and shows the group of symplectic diffeomorphisms of~]P 2 to
be contractible onto the subgroup of isometries (see 2.4.B~.). A similar argument
(see 2.4.A~.) yields the following
Theorem. Let an open manifold (V, co) be symplectically diffeomorphic to (N 4, 090
=dxlAdyl+dx2/xdy2) at infinity. If the Hurewicz homomorphism nE(V )
--*H2(V; ~x) vanishes, then (V, co) is symplectically diffeomorphic to (R 4, COo). (A
"diffeomorphism at infinity" means a diffeomorphism between the complements of
compact subsets in the manifolds in question.)
312 M. G romov
0.4. Pseudo holomorphic curves with boundaries
Let W be a totally real submanifold in an almost complex manifold V, that is dim W

= 89 and the subbundle T(W)CT(V) contains no complex line for the
implied complex structure in T(V). Our existence theorems for closed curves in V
(see w0.2.) generalize to holomorphic maps f : S ~ V, where S is a compact Riemann
surface with a boundary and f(OS)C W.
Definitions. (a) An almost complex manifold V is called convex at infinity if there is
an exhaustion of V by relatively compact subsets 1:1 C 1:2 C ... VkC ... C V, such that
every holomorphic map f : D 2 ~ V with f(aD2)CVk has f(Dz)C Vk+l for all
k = 1, 2 .... , where 0 2 is the unit disk, D2= {z Er [[zl[_-<I}.
(b) Asubmanifoldinasymplecticmanifold, say WC(V, co), is called Lagrange if
dim W = 1dim V and the form col W is everywhere zero on W.
(b') Example. Consider the product of e-disks in R2,,
DZ"={xl,Yl ..... x,,yn[x2+y2<_<_e2, i = 1 ..... n}.

This product contains the product of n e-circles {x 2 + y~ = e2}, which clearly is
Lagrange for the form COo= ~ dx~ A dy~ on R 2".
i=1
(c) Consider a closed totally real submanifold WC(V,J) and let
F : Wo x D 2 ~ V, for some manifold Wo, be a smooth map with the following five
properties.
(i) F diffeomorphically maps Wo x S 1 onto W for S 1 = dD 2.
(ii) The map F~=FIWoxS ~ for S~={ze~lllz[l=e}CO 2 is a totally real
embedding for 0 < e __<1, that is W~= F(Wo S~) is a totally real submanifold in V.
(iii) There exists a symplectic form co~ on V for every e e [0, 1] which tames J
and such that W~ is a Lagrange submanifold for ~o~. We do not require the
continuity of CO~in e but rather the following integrality condition.
(iv) Fix a point w 0 e Wo, let D 2 = Wo x D 2 C Wo D 2, for some w0 ~ Wo be the
e-disk { Ilzll < e 2} mapped to V by F and denote by (CO~,D 2) the integral of ~0~over
D~, that is S F*(CO~).Then we insist, for every smoothly mapped disk D in V with
ok
the boundary OD in W~, on the relation
(CO~,D) = k(CO. D~) (,)

for some integer k=k(e). (This (*) automatically holds true, for instance, if
rankH2(V, W) __<1.)
(v) There exists a symplectic form COoon V taming J for which the embeddings
F~ symplecticly split for the small e <__eo > 0. Namely, there is a split neighborhood
U = U' x R 2 C V, such that COo[ U = CO~03 co~ for some symplectic forms on U' and
on R 2 respectively. Furthermore, there exist embeddings F~: Wo-+U' and
F~' : S~ ~ R 2 such that F~ = F~ F~' for 0 < e < e0.
0.4.A. Theorem (see 2.3.D.). Let (V, J) be an almost complex manifold convex at
infinity and let W C V be a closed totally real submanifold which admits a map
F: Wo x DZ ~ v with the properties (i)-(v). I f the integral (CO,D2o) is positive then
there exists a J-holomorphic map f : D 2 --~V with f ( 0 D 2) C W, which is homotopic (as

the map between pairs of spaces, (D 2, 0D2)-~(V, W)) to the disk D E= Dz~=I ~ V .
0.4.Ar Examples, remarks, and corollaries. Our theorem applies to the images
W = ~ ( T " ) C ~ " of the torus {z t ..... z,[ Ilzil[ = 1, i = 1..... n } c ~ " under arbitrary
symplectic diffeomorphisms c~: (I12",~Oo)~(IE", COo) for mo = ~ dxi/x dyi, where
i=1
z i = x i + ]/7--l y v Thus we obtain non-constant holomorphic maps (DZ,#D 2)
~(IE", W), (compare [Bi , We, B-G]). In fact our proof (see 2.3.B.) delivers the
following more general
0.4.A 2. Theorem. For an arbitrary closed C~ Lagrange submanifold WCIE"
there exists a non-constant holomorphic map f : (D z, OD2) --*(~", W). It follows, that
the relative class [COo]E H2(C ", W; R) is non-zero.
Remark. This theorem partially solves Bennequin's conjecture on the existence of
a holomorphic curve in ~2 whose boundary lies in a given totally real torus
T z Q c 2.
0.4.A~. Corollary. There exists a symplectic structure o9 on R2, for all n > 2 which
admits no symplectic embedding into (F-~2"= C", COo).
Indeed, one easily produces a structure ~ on R2, such that 0=[e~]
H 2 ( R 2", W, R), where W is some Lagrange submanifold for this ~o (see 2.3.B5. for
details).
We shall also exhibit (see 2.4.D~.) contact structures on R 2"+1 for all n > 1
which do not embed into the standard structure on Fx2n+ 1. Such examples for n = 1
are due to Bennequin [Ben] and Eliashberg [E12].
0.4.A 3. We shall use Theorem 0.4.A. in 2.3.B 4. to study intersection points
between Lagrange submanifolds and thus to prove new fixed point theorems for
exact symplectic diffeomorphisms. (Compare the geometric method developed by
Eliashberg for surfaces [EI~] and the new variational approach discovered by
Conley and Zehnder, [C-Z]).
The existence theorem for holomorphic maps f : (D 2, 0D2)-~,(~ n, W) that
0 . 4 . A 4.
0T
are solutions to the equation ff~- = 0 generalize to the non-homogeneous equation
0~ = g for C~-maps g:D z ~ C " and for certain non-compact Lagrange submani-
folds WCIE" (see 2.3.B.). However, if W is compact, then the equation
0T
O~ = const e ~" is unsolvable if const is large compared to Diam W (see 2.3.B 1.). In
fact, one has a "Fredholm alternative" for this equation: Either there is a non-
. Of
constant solution o f ~ f = 0, or the equaUon ~ - = g is solvable for all g, provided
the Lagrange submanifold W C C" in question is sufficiently regular at infinity (see
2.3.B.).
314 M. Gromov
0.4.A 5. The classical Riemann mapping theorem for holomorphic maps

D2--*D'CIE concerns holomorphic disks in I13z with boundaries in the Lagrange (!)
torus 0D 2 ~D'Cff2 z. We shall refine (see 2.4.E.) 0.4.A. for n = 2 (compare 0.2.A.) in
order to include Riemanns theorem into our framework.
0.5. Historical remarks and references
The existence of global symplectic geometry was first (to authors' knowledge)
conjectured by Arnold in the sixties. However, the evidence coming from
subsequent results on symplectic immersions and embeddings (see [Grol, Gro2]
and references therein) seemed to indicate a "symplectic flexibility" with no room
for non-trivial geometry. The dilemma was resolved (in favour of geometry) in
seventies by Eliashberg who proved every C 1-diffeomorphism, which is a C~ of
symplectic diffeomorphisms, to be symplectic, (see [E12]). In fact, this limit theorem
is only a tip of the iceberg of(yet unpublished) Eliashberg's symplectic theory. Next
crucial step was made by Bennequin who developed a beautiful geometry of
Leoendre curves in contact 3-manifolds (see [Ben]). Both theories (worked out
independently by Eliashberg and by Bennequin) employ a direct (and quite
complicated) geometric analysis of the standard symplectic and contact structures.
A different approach, based on the calculus of variations, was used by Conley and
Zehnder [C-Z] in their astounding solution to Arnold's fixed point problem for
the symplectic 2n-torus (this was solved earlier for surfaces by Eliashberg [Ell]).
Their method has been further developed in [Ch, Si, F1, H, F-W] (see [Wei, D-D,
Ren] for different aspects of the symplectic geometry).
Our study of pseudo-holomorphic curves extends (a small portion of) the Bers-
Vekua theory of pseudo-analytic functions to quasi-linear equations. The basic
non-linear ingredient is the vanishing cycle phenomenon for pseudo-holomorphic
curves (see 1.5.) that was discovered for minimal surfaces by Sacks and Uhlenbeck
IS-U]. Besides, the present paper implicitly uses some considerations pertaining to
rudimentary theory of plane algebraic curves (these were patiently explained to me
by Pierre Deligne) as well as ideas on calibrated geometries (see 2.3.C~.)
communicated to me by Blaine Lawson.
1. Compactness properties of holomorphic curves
1.1. A bound on the curvature of a holomorphic curve
Start with a regular holomorphic curve Co C~" through the origin 0 ~ ~", take the
tangent and the normal space to Co at 0 ~ Co, say T CI12"and N = ~" O T C112"and
let f : T - o N be the map whose graph in 112"= T @ N equals Co near the origin. Since
Co is holomorphic, the map f also is holomorphic and, in particular, it is a
harmonic map. Since the differential ~ r vanishes at 0 e Co the mean curvature of Co
satisfies at 0 ~ Co,
M Curv(Co, O) = Af(O) = O. (1)
1.1.A. Corollary. Let J be a Cl-smooth almost complex structure on Is, let # be a

C2-smooth Riemannian metric and let C C V be a regular J-curve in V through a point
v o ~ F. Then the mean curvature of C with respect to # satisfies
IlTraceflI~(C, Vo)II --<const -- const (J, #, v0) (2)

where # = # + J# and II is the second fundamental form.
Proof. The curvature of C changes by a finite amount with the change of #
according to the chain rule formula for the second derivatives. Thus we may
assume that (F, Vo) = (~", 0), 2n = dim V, and that the structure J on To(~ ") equals
the standard complex structure of ~". Then, by the chain rule again, there is a
holomorphic curve Co CII~~ tangent to C at the origin whose curvature differs from
that of C by a finite amount <const(J). Q.E.D.
1.1.B. A bound on the Gauss curvature of CC(F, J). If V is compact then the Gauss
curvature of the induced metric in C satisfies
G Curv(# IC) < const = const(J, #) (3)

for all Riemannian C2-metrics on V and for all regular J-curves C in V.
Proof. Use (2) and Gauss' theorema egregium
1.2. The Schwarz lemma for conformal maps
Let V be a surface with a Riemannian metric # and let (Vo, #o) be a surface which is
rotationally symmetric around a fixed point Vo~ Vo, such that Area(Vo,#o)
>Area(V,#) and such that for any relatively compact domain V ' C V the ball
VdC Vo around Vo of Area = Area V' satisfies
length OVd< length ~ V'. (4)
Let f : D 2 ~ V be an injective conformal map and let fo : D Z ~ Vo be a conformal

homeomorphism of the unit disk D 2 C ~ onto a ball in Vo around Voe Vo, such that
the center of D 2 goes to Vo e Vo and such that Areafo(D2)=Areaf(DZ).
1.2.A. The areas of the images of the concentric disks D~C D 1 = D 2 satisfy for all
~e[O, I],
Area f(D,) < Areafo(D~). (5)
In particular, the differentials of the maps f and fo at the center 0 ~ D 2 satisfy
II~sll (0)=< II~soll (0). (50)

Proof. Since f is conformal,
0
~e Areaf(D~)= o~. Ir~III2--> (2roe)-1 (o~ Il~If] )2 = (2r~e)- 1 (length f(~?D~))2
316 M. G romov
while the map fo obviously satisfies
1
~Areafo(D )=(2rte) (lengthfo(0D~)) 2.
Now, we apply (4) to V'(e)=f(~3D,)C V and integrate over [5, 1]. Q.E.D.
As a corollary we get the ordinary Schwarz lemma,
1.2.A'. If the Gauss curvature of (V,#) satisfies G C u r v ( V , p ) < - l , then
II~fll (0)<2 for all conformal maps f : D2 ~ V.
Proof. The hyperbolic plane Vo satisfies (4) by a well known isoperimetric
inequality (see [B-Z] and references therein). In fact (4) holds true for multiple
domains in V, which allows non-injective maps f. Q.E.D.
Our applications of 1.2.A. need another simple inequality.
1.2.B. (See ['B-Z].) Let G Curv(V, g) < C for C > O, let S z be the sphere of constant
curvature C and let B be a round ball in S z. Then every simply connected relatively
compact domain V" C V with area V' = areaB satisfies
length 0 V'> length OB. (6)
With this we obtain the following generalization of 1.2.A.
1.2.B'. Corollary. Every bijeetive conformal map f : B ~ V' satisfies at the center
b~B, liD:It (b)~ 1, (6')
unless B = S 2.
Remark. The inequality (6') holds true for all conformal maps B ~ V ' as the
conformal maps f : B ~ V' which maximize L[9:11 (b) are bijective anyway, since V'
is simply connected.
1.3. Gradient bounds for pseudo-holomorphic curves
We want to give an a priori bound for the norm of the differential of a parametrized
J-curve f : S--*(V, J) with respect to the given Riemannian metrics Po on S and p on
V. We assume here the metric # and/~0 to be Hermitian for the implied complex
structures in T(S) and T(V). In this case the map f of S on its image is conformal
for the induced metric I~lf(S). The notion of conformality can be made precise at
the singular points of f where the differential 9 : vanishes. But we do not need it
here, as every map f can be slightly perturbed in an ambient manifold (V', J')
3(V, J) to a non-singular J'-holomorphic map f ' : S ~ V ' . Thus, in all estimates
below we may assume the map f to be an immersion.
1.3.A. Let V and S be compact and let J be tamed by an exact 2-form ~o= dl. Then
every J-holomorphie map f : S--* V satisfies
11~:[[ (s) _-<const (dist(s, OS))- 1, (7)
for all s ~ S and for const--const(V, S).

Proof. Every compact J-curve S'd V with boundary satisfies
AreaS'<C1 S co=C1 ~ l<C21engthOS'. (8)

S' OS'
The induced metric in S also satisfies (6) since the curvature is bounded from above
(see 1.1.B.). Now, we assume without loss of generality S = D 2 and apply Schwarz'
lemma (see 1.2.A., 1.2.B'.) to the composed map f = f o c~ : D 2 ~ V where cq is a
conformal automorphism of D 2 sending the center 0 e D 2 to s ~ D 2. This yields
tl~Is II (0) < const (V, co), (9)

which is equivalent to (7). Q.E.D.
1.3.A'. Corollary. Remove an interior point so~S and let f o : S \ s o - - , V be a
J-holomorphic map. Then the estimate (7) holds true for all s ~ So. In particular, fo
extends to a Lipschitz map f : S ~ V.
Proof. Take the Poincar6 metric/~ on S which has a cusp at So, that i s / ~ = dr 2
+ e-r d6~2 near Vo, for r ~ [ro, oo) and for the cyclic parameter 69 e [0, 2n]. Then, by
1.3.A. the map fo is Lipschitz with respect to #5. Therefore length f o ( ~ ) ~ 0 as
~ ~ for the circles 0Q = {r = Q} (these are, in the metric #o, slightly perturbed small
circles around So). Since f ( S \ s o ) has bounded mean curvature (see 1.1.A.) and
since V is compact this implies the existence of the limit Vo= lim fo(s). Now, we
S~so
must sharpen the inequality (7) for a surface S' in a small ball in V around Vo ~ V,
where S' is non-singular and J-holomorphic outside Vo. We may assume without
loss of generality that the symplectic form co on Too(V) equals the imaginary part of
the metric/a, that is co(Zl,Z2)=It(Zl,[//~-i z2) for all vectors zl and z 2 in T~o(V).
Recall that by Wirtinger's inequality any pair of orthonormal vectors in T~o(V) = C"
satisfies ~o(zl, rE) ~ 1 (10)
where the equality holds if and only if z 2 = ~ - - 1 z 1.

1.3.B. Lemma. Let S' lie in the e-ball B~ C V around v o and let S" be another oriented
surface in B~ with 0S"= aS'. Then
AreaS" __>(1 + Ce) AreaS' (11)
for some constant C = C(V).

Proof. By the above
( 1 - C l ~ ) A r e a S ' < S co= ~ o9<(1 +Cle)AreaS".
S' S"
1.3.B'. Corollary. The surface S" satisfies
AreaS'< (4re)- 1 (1 + C'e) (length 0S') z (12)

Moreover,
AreaS'< (4n)- ~ (1 + C'6) (length ~$3 z (12')
for 6 = min(e, length aS').

318 M. Gromov
Proof. Indeed, (12) obviously holds for minimal surfaces S" with dS" = 8S' and then
(11) yields (12) for S'. Next, every surface S' whose subdomains satisfy (12) clearly
lies in a 6'-neighborhood of OS' for 6'=const length dS' which implies (123.
Now we show II~sll (s)<const for s4:so by assuming (S,s)=(D2,O) and by
applying the proof of 1.2.A. to the continuous map f which is conformal on
D2\so . Q.E.D.
Remark. The above argument (unlike the proof of 1.2.B'.) applies to any Hflder
continuous almost complex structure J on 11.
1.3.C. Estimates at the boundary. Let W be a totally real submanifold in (Is',J).
The above estimates easily extend to holomorphic maps (S, dS)~(V, W) as
follows. First we assume the taming form e~ to be equal on T ( V ) I W to the
imaginary part of the metric # and we require ~0 to vanish on IV. Then every
holomorphic curve (S', dS')C (IS, W) obviously is normal to W. Next, we require W
to be totally geodesic for #. Then ~S' also is a geodesic in S' for the induced metric.
Notice that the above choice of ~oand # is always possible in a small neighborhood
U C 1I of every point w ~ W. Now, one can estimate the gradient of a holomorphic
map f : S ~ S ' ( V by using the doubles of S and S' and then by applying the earlier
estimates for (closed !) doubled surfaces. Alternatively, one can repeat word for
word the argument used for the interior points. Thus one obtains
1.3.C'. Lemma. Fix an arc in the boundary of S, say ~"C dS and let f : S \ s o ~ V be a
holomorphic map for an interior point So EtT, such that f(d'\So) C W. I f ~o is exact
then
II~iII (s) < const (dist (s, dS\8'))- 1, (13)
for all s ~ S \ s o and for const = const (V, S, d'), where (compare 1.3.A.) l," and S are
assumed compact and where the boundary 8S may have corners at the ends of ~'.
1.4. Jets of pseudo-holomorphic maps and sections
Take an almost complex manifold (Is, J) and let P = PV denote the manifold of
J-complex lines in T(V). Let tgC T(P) be the 2n-dimensional subbundle for
2n = dim V whose fiber Op at a line p E P equals the inverse image of this line
p ~ T(V) under the differential of the projection rc : P ~ V. The bundle O carries a
natural complex linear structure, say jr with the following properties
(i) The differential ~ , : T ( P ) ~ T(V) is complex linear on 0.
(ii) The induced complex structure on each fiber re- X(v)~IEP"- 1, v ~ V, equals
the standard structure on IEP"-1.
(iii) The tangential lift C C P of every regular J-holomorphic curve C C V is
-holomorphic.
This makes sense as d is everywhere tangent to t9 by the very definition of O.
The existence of aro is obvious for the standard complex structure Jo on C".
Next, for a fixed Co C V we identify a small neighborhood U C V of some point
Vo~ Co with a small neighborhood in IE", such that Jo ]T~o(V)= J lTvo(V) and such
that the curve Co becomes Jo-holomorphic as well as J-holomorphic. Now, the
space of 2-jets of J-curves C C V tangent to Co at vo equals, by the differentiation

rules, to that of Jo-curves tangent to Co. Hence, the structure Jo also serves as aVon
Op for p = T~o(Co)-
The structure J extends (non-uniquely) to complex linear structure on T(P),
say J' on P. This J' can be chosen C'-1-smooth for a Cr-smooth structure J.
1.4.A. Consider an almost complex manifold X fibered over a surface S. A section
S ~ X is called holomorphic if its image is a holomorphic curve in X. The space of
differentials of holomorphic sections, called X(I)~ S, naturally embeds into P X as
an open subset.
Now, we apply the above construction to P X and restrict the resulting almost
complex structure to X u) CPX. For this structure, say J' on X "), the differential
~ ' S - - ~ X (1) for ~Ir T~(S)--*T~(V), v=f(s), is a J'-holomorphic
section for every holomorphic section S ~ X . Then, by induction, we have a
structure on Xtr)=(X t~- ~))") for which the rth-differential ~ : S ~ X ~') is holo-
morphic. An important special case is that of X = ( S , J)| Jo), where holo-
morphic sections correspond to parametrized J-curves in V.
Thus the rth-order differentials r = 1, 2,..., of holomorphic maps f are holo-
morphic for some almost complex structure on Xr therefore, one can estimate all
order differentials of f by using the estimates on [[~:[] given in w167
1.2. and 1.3.
1.4.B. Example. A continuous extension ofa holomorphic map S \ s o ~ V to S (see
1.3.A'.) is C~ and hence, holomorphic on S.
Proof. Consider the fiber F o ~C", 2n = dim V, of the fibration X U ) ~ X = (S V) at
the point (So,f(so))~ X. Take a relatively compact open subset Uo CF0 whose
small neighborhoods U~ CX u) contain the ~)o-images of small neighborhoods in
S\so around So (such an U0 does exist as H~:o[[<const by 1.3.A'.). Then the
standard symplectic form coo on ~" ~ Fo obviously extends to an exact form on U~
which tames J' on U~. Now, we apply 1.3.A'. to the (J'-holomorphic!) map
~ o "S\so --*X(I~ and thus continuously extend the differential offo to S. Then, by
induction, we get the differentials ~ on S for r = 2, 3,.... Q.E.D.
1.4.C. On the equation J f =9. Denote by Ytl)--*S x V the bundle of homomor-
phisms T~(S)~Tv(V). If S and V are given almost complex structures, then we
distinguish the subbundle X")C Y") which consists of complex linear homomor-
phisms and we denote X u ) ~ S V the quotient bundle Y")/X u). Now, we assign
to each C 1-map f : S ~ V the section ~-f of the bundle X ~u over the graph Ff C S x V
by composing the differential o f f with the quotient homomorphism Y ~ ) ~ X ~1).If
g : S x V--.X is a smooth section we write J f = g for the equation Jf=g[F:.
The following obvious fact brings this equation into the framework of
holomorphic maps.
1.4.C'. There exists a unique almost complex structure Jg on S V (which also
depends on the given structures in S and in V), such that the (germs of)
Jo-holomorphie sections f : S ~ S x V are exactly and only the solutions of the
equation J f =g. Furthermore, the fibers s x V CS x V are Jo-holomorphic (i.e. the
subbundles T(s x V) C T(S x V) are Jo-complex) and the structure Jo[s V equals
the original structure on V= s x V.
320 M. G r o m o v
1.4.D. Remarks on curvature equations. Many geometrically significant second

order elliptic systems on surfaces can be expressed by ~ = 0 with auxiliary almost
complex structures.
Examples. 1.4.D 1. Let S be a surface with a metric 9 of positive curvature and let
X - ~ S be the bundle whose fiber X~, s e X, consists of quadratic forms h on T~(S),
such that
Discriminant oh = Curvs(V, g). (*)
The relation (*) is satisfied by the second fundamental forms h of isometric

immersions (V, g ) ~ R 3. These forms h also satisfy the Codazzi equations which
can be equivalently expressed with an almost complex structure Jg on X, such that
holomorphic sections S--,X are exactly solutions to the Codazzi (as well as Gauss)
equations.
1.4.D2. Consider a Riemannian manifold V and let G = Gr2V be the bundle of
oriented 2-planes in T(V). Then we define as earlier a subbundle @ C T(G) of
dimension 2 m - 2 for m = dim V, such that the tangential lift SC G of every surface
S C V is everywhere tangent to O. Take the canonical ( m - 2)-dimensional bundle
B-*G and pick a section # : G ~ B .
1.4.D'2. There is a unique complex linear structure Ju in 0 such that the lift gC G is
J~-holomorphic if and only if the mean curvature vector M of the underlying surface
S C V satisfies
Ms(S)= ~(T~(S))
for all s 9 S.
The proof is straightforward.
1.4.D 3. The cotangent bundle and the twistor bundle ofa Riemannian manifold V
carry natural almost complex structure. See [Law2, E-S] for a geometric
discussion on the corresponding holomorphic curves.
1.5. Weak limits of holomorphic curves
In the course of a deformation the topology of a holomorphic curve C C V may

jump. For example the quadrics xZ+ y2= e degenerate to a pair of lines for e~0.
Similarly, graphs C C S 2 x S 2 of conformal diffeomorphisms $ 2 ~ S 2 degenerate to
pairs of fibers, Slx S z u S 2 x s2. Let us describe how such degeneration happens for
general pseudo-holomorphic curves.
1.5.A. Cusp-curves. Take a system of disjoint simple closed curves 7i in a closed
k
surface S for i = 1.... , k, and denote by S Othe surface obtained from S \ U ~i by the
i=1
k
one-point compactification at every end of S \ U 7~- Denote by $- the space
i=1
obtained from S by shrinking every yi to a single point and observe the obvious
map a : S~~ Sgluing pairs of points s~ and s~' in S ~ such that ~ = a(s~) = ~(s~') e Sare
the singular (or cuspidal) points in S.
P s e u d o h o l o m o r p h i c c u r v e s in s y m p l e c t i c m a n i f o l d s 321
An almost complex structure in Sby definition is that in S ~ A continuous map

fl : S ~ V is called a (parametrized J-holomorphic) cusp-curve in V if the composed
map fl o e" S o ~ V is holomorphic.
1.5.A'. Weak convergence. A sequence of closed J-curves CjC V is said to weakly
converge to a cusp-curve CC V if the following four conditions are satisfied
(i) all curves Cj are parametrized by a fixed surface S whose almost complex
structure depends on j, say C j = f i ( S ) for some holomorphic maps
fj: (s, Jj)--,(v, J).

(ii) There are disjoint simple closed curves 7ieS, i = 1..... k, such that
C = f ( S ) for a map f : S ~ V which is holomorphic for some almost complex
structure i on S.
(iii) The structures Jj uniformly C~ to Y on compact subsets in
k
s\ Uvi.
i=l
k
(iv) The maps fj. uniformly C~-converge to f on compact subsets in S \ 0 7i.
i=1
Moreover, fj uniformly C~ on entire S to the composed map S--*S f , V.
Furthermore,
Area,fj(S)~Areauf(S ) for O~ov,
where p is a Riemannian metric in V and where the area is counted with the
geometric multiplicity
1.5.B. Compactness theorem. Let Cj be a sequence of closed J-curves of a fixed
genus in a compact manifold (V, J, #). If the areas of Cj are uniformly bounded,
Area u C j < A , j=l,2 .....
then some subsequence weakly converges to a cusp-curve C in V.

Proof. We may assume as earlier the curves Cj to be regular and first we study
induced metrics pj in Cj. We apply (12') to small concentric balls B~C (C j, #j) for
0 < e < eo and conclude by the standard argument to the inequality
AreaB~>e 2, for e<eo, (14)
provided the positive number eo =co(V, J, #) is sufficiently small. Using this we

easily find an e-net FjC(Cj,#j) containing N points for a fixed integer
N = N(V, J, #), such that every topological annulus C' C C j - Fj satisfies
Diamu C' < 10 lengthu OC'. (15)
Furthermore, let C'be conformally equivalent to the cylinder S 1 [-0, l] where S 1 is

the circle of unit length, and let S,~C C' be the curve in C' corresponding to the circle
S 1 t for t ~ [0,/]. Then obviously
b
S (length S~)2 dt < Area C' < A, (16)
a
322 M. G r o m o v
for all [a, b] C [0,/]. Hence, the annulus C~C C' between the curves S] and S~-t
satisfies
diam, C;< 20(A/t) 1/2, (17)
for all t s [0, l].
Now, let /~.* 3
be a metric of constant curvature - 1 in Cj\Fj conformally
equivalent to /~j. Then for every /~*-ball B~ in Cj-F of radius Q< 0.1. there
obviously exists an annulus C'C Cj\Fj, such that C;3 B e for t = 0.01 ]log~]. (In fact,
such C' exists for every complete surface whose Gauss curvature G satisfies ]G[ < 1.)
This implies with (17) the uniform continuity of the (inclusion) maps (C~\Fi, #,)
~(V, #), and hence (see 1.3. and 1.4.) a uniform bound on the r th order differentials
for every r = 1,2 .....
Next, by the standard (and obvious) properties of hyperbolic surfaces there is a
subsequence, which is still denoted by C j, such that
(a) There exist k closed geodesics, say
7!C(Cj\Fj, I~*, i=1 ..... k, j = l , 2 . . . . .

whose #*-length converges to zero as j--.oe, where k is a fixed integer.
(b) There exist k closed curves in a fixed surface, say 7j_in S, and an almost
complex structure J o n the corresponding (singular) surface S, such that the almost
complex structures Jr on C j \ F j induced from (V, J) C~ to Y outside
k
U 7j- Namely, there exist continuous maps gi : C~--.Swhich are homeomorphisms
j=l
outside the geodesics 7i, which pinch these geodesics to the corresponding singular
points of S (that are the images of 73 and which send Fj to a fixed subset F in the
non-singular locus orS. Now, the convergence J j ~ Y i s understood as the uniform
C~~ gJ,(Jj)~f on the compact subsets in the non-singular locus of
k
which is identified with S \ U 7i.
i=1
The limit cusp-curve C C V, that is a holomorphic map f : S ~ V, is constructed
by first taking the maps
k
fi=(gJ)-l:s\ iU
=1
~i-,v.
The previous discussion shows the differentials of these maps to be uniformly
bounded. Hence, some subsequence, still called fj, converges outside the finite
subset F C S and the limiting map extends by 1.3.A'. to the required holomorphic
map f. Finally one slightly perturbes the maps fj and then extends them in an
obvious way to maps f~:S~Cj~ V satisfying the properties (ii)-(iv) in 1.5.A.
1.5.C. Remark. A similar compactness theorem for minimal surfaces is due to
Sacks and Uhlenbeck I-S-U].
1.5.D~. Generalizations. Theorem l.5.B, immediately generalizes to maps
fj : S ~ Vjfor convergentsequences of almost complex manifolds. Typically (see 2.3.)
one starts with a fibration over a base X--*B with a smooth family of almost
complex structures Jb in the (compact) fibers Xb and one applies the compactness
theorem to maps fj: S-~Xbj for bj~b as j--,oc.
1.5.D 2. Take a totally real submanifold W c ( E J) and consider compact holo-

morphic curves C C V with boundaries, such that dC C W. Limits of these are cusp-
curves with boundaries, (C, 0C)C(V,W), which are, topologically speaking,
obtained by shrinking to points some (short) closed loops in C and also some
(short) segments in C between boundary points. This is seen by looki g on the
double C U C.
OC
Corollaries 1.5.E 1. Take a holomorphie fibration of a compact manifold over a

closed surface, ( X , J ) ~ ( S , Jo) and let f j : S ~ X , j = 1,2 . . . . . be a sequence of
holomorphic sections which diverges in the C~-topology and such that Areafj(S)
< C o n s t < c ~ . Then there is a non-empty finite subset FCS, such that some
subsequence of f j uniformly C~-converges on compact subsets in S \ F and the limit
holomorphicly extends to a section f o~" S ~ X . Furthermore, each fiber Xr C X, ~ ~ F
contains a non-constant rational curve C~ C Xr which meets the image fo~(S) at f~o(7)-
Proof. Take the limit cusp-curve C C X and take the projections of the cuspidal
points in C for the points 7 e F.
1.5.E 2. Call a homotopy class a of maps S2~(V, J) J-simple if every holomorphic
cusp-map f : S 2---,V, which pinches some curves 7i C S 2 to points and which is
holomorphic on S 2 \ U ?i for an appropriate complex structure on this comple-
ment, is non-constant on at most one component of S 2 \ ~ 7~. For example, e is

i
l
simple if it admits no decomposition ~ = Z ~j for l =>2, (and for some choice of the
i=1
base point in V) where every ei can be realized by a non-constant rational J-curve
in V. Take a metric ~t in V fix a constant A __>0 and consider the space of C~~
f : S 2 ~ V in a J-simple homotopy class ~, such that
(i) A r e a f ( S 2) __<A, where the area is counted with the geometric multiplicity.
(ii) dist(f(s~), f(s~)) >=6 for a fixed triple of points si e S 2, i = 1, 2, 3, for a fixed
6 > 0 and for i # j .
(iii) J f = g for a C~~ g of the bundle Ym/X(I~ over S x V (see 1.4.C.).
Observe that in the presence of a taming form co, the bound (i) is automatic,
A r e a f ( S 2) < a(llgll, [ f ] ) ,
where Ilgll is the C~ of g and I f ] eH2(V,N. ) is the homology class o f f .

1.5.E'2. There exists an e > O, such that the C-bound Ilg II, ~ e for some r (in fact, one
may take r = 1) implies the compactness of the above space of maps f : S2 ~ V.
Proof. The bounds on Areaf(A) and on Ilgll give a bound on the areas of the
graphs C s C S x V of the maps f. We express the equation ~ f = g with the almost
complex structures J9 on S x V indicated in 1.4.C. and then apply 1.5.C. to the
J_0-curves C I C S x V. If the compactness fails for a given g, we get cusp-curves
Cs(g) C S x V, and then with e ~ 0 we get a cusp curve C = C(g = O) C (S, J o ) 9 (V, J).
Since the homotopy class of the maps f : s a ~ V is J-simple, the curve C may have
at most two components, say C = CouC1, where C o is the graph of a constant map
324 M. Gromov
S z-~ V. This map is the uniform limit of our maps f on compact subsets outside a
fixed point 7 e S 2 (see 1.5.Ev). Hence, these f bring arbitrarily close together two
out of three points si, and the proof is concluded by contradiction.
2. The index computations for pseudo-holomorphic curves
2.1. The reduced operator
Fix a C~ connection in T(V) compatible with a given complex linear

structure J on T(V) and denote by//(vl, vz) the corresponding parallel transport
TvI(V)--*Tv2(V) along the shortest geodesic arc between vl and v2 for a fixed
Riemannian metric in V. This (complex linear!) map//(v~, v2) is well defined and
C~~ in vl and vz if the points vl and Vz in V are sufficiently close. Next we
take a J-curve f o : S ~ V and we denote by Yo~S the vector bundle
HomR(T(S), f*(T(V)) and let Xo = Homc(T(S), f*(T(V))). In other words, Yo
and Xo are the restrictions of the bundles yo) and X (1) over S x V (see h4.C.) to the
graph of S in S x V. Put J(o = Yo/Xo and define the operator ~-o from the space of
maps f : S ~ V which are C~ to fo to the space of sections S ~ J f o by
Jo f(s) = I I J f , where /7 = H(f(s), fo(s))

is the obvious extension o f / / t o the bundle Y(I)/X(I) over S x V. This ~-o is a non-
linear (in fact, quasi-linear) C| first order differential operator. Fur-
thermore, 0-o is elliptic. Indeed, the linearization of ~Yoat every f has, pointwise, the
same principal symbol as the ordinary Cauchy-Riemann operator J. For example,
the linearization of 0-o at fo, say L j o , sends sections of the bundle f~'(T(V)) to
those of X"o.
2.1.A. Let c denote the (first) Chern number of f~ ( T(V)), and let q = genus S. Then
the index of LoJo is,
I n d L j o = 2 ( c + n ( 1 - q ) ) for 2 n = d i m ~ V .
Proof. Apply Atiyah-Singer index theorem. Alternatively, use the classical
Riemann-Roch theorem and the homotopy invariance of the index.
2.1.A 1. Examples. Let (V,J)=(S, Jo)(~(V',J" ) and let fo be an isomorphism
S ~ S x v'C S x V'. Then c = 2 - 2q and so Index = (2n + 4) (1 - q). Observe that the
space of holomorphic maps f : S--, V homotopic to fo has dimension d = 2n + a - 2,
where a is the dimension of the automorphism group of S, that is
6 for q=0
a=aq=
t 2
0
for
for
q=l
q>2.
Thus Index = d for q =0. That is the value g = 0 is regular for the (non-linear)
operator ~-o in this case, as holomorphic maps are the solutions to the equation
0-of = 0. We express this by saying that the virtual dimension of the space of curves
which is predicted by the index equals the actual dimension.
2.1.Az. Take a regular algebraic curve of degree 6 > 0 in ~p2. Then
c=36, and q= 89
Hence,
Index = 26(6 - 6).
On the other hand, the dimension d' of all curves of degree 6 is 6(6 + 3), and the
dimension d for a 9eneric curve C is d'-d'~+aq where d q = 6 q - 6 + ~ r q is the
dimension of the moduli space of curves of the genus q, and so the virtual
dimension equals the dimension for generic curves of all genera q.
2.1.B. The operator Jv for regular curves Co C V. The space of non-parametrized
J-curves which are Cl-close to Co can be identified with a subspace of sections of
the normal bundle N = T(V)/T(Co). One concocts in an obvious way a non-linear
operator Jr, such that the solutions f to ~-~f= 0 are (non-parametrized) J-curves
near Co. Then the linearization of ~ has
Index = 2(c~ + ( n - 1) (1 - q))
where c~ = c + 2(q - 1) is the normal Chern number of C C V. This index for regular
curves of degree 6 in ff~pz equals 2(6z+ 1 - q ) = 6 ( 6 + 3 ) which is the actual
dimension of the space of curves. The operator 8v is harder to define for non-
regular curves, but the above formula for the index with c + 2q - 2 for c~ still gives
the right value for the virtual dimension d' of the non-parametrized curves.
Indeed,
d' = Ind Lo Jo + 6q - 6 = 2(c + n(1 - q ) ) + 6 q - 6

= 2(c~- 2q + 2 + n(1 - q)) + 6 q - 6 = 2(c~ + ( n - 1) (1 - q)).
(see [Gro2] for further discussion on ~-~ for non-regular curves).

2.1.C. Regular curves in 4-dimensional manifolds. The linearization L~ of the
operator ~-v at a curve CC V acts on the bundle N = T(V)/T(C)~C, such that the
solutions to the equation Lvf=O are holomorphic sections f : C ~ N for some
almost complex structure on N. The adjoint operator, s a y / g acts on the dual
bundle, N * = H o m c ( N , T(C)), and again the equation / g 9 = 0 distinguishes
holomorphic sections for an appropriate almost complex structure.
2.1.Ca. I f the Chern number c * = c ( N * ) = 2 ( 1 - q ) - c v is negative, and if
dim~N = 2, then dim Ker/_~ = 0. Therefore dim K e r L , = IndL,.
Proof. Assume the contrary and let 9: C ~ N * be a non-zero solution to ~ 9 =0.
Since c* <0, the index of the intersection of 9(C)CN with the zero section is
negative. But this is well known (see [-Be]) to be impossible.
2.1.C2. Remark. Consider two closed connected J-curves, say C1 and Cz in (V, J).
Then their intersection is finite, unless C1 = C2. Furthermore, if dim V = 4, then the
326 M. Gromov
intersection number Int at every intersection point is positive. Moreover, if C1 is

non-regular at an intersection point c ~ ClnC2 then Into is at least two. In fact,
Into = 1 if and only if both curves are regular at c and transversally meet at c.
The above facts are obvious for transversal intersection points and any
intersection point can be made transversal by a small local perturbation of the
curves in question. The existence of"sufficiently many" local holomorphic curves
to make such a perturbation possible is immediate in the real analytic case by the
Cauchy-Kovalevskaya theorem. (In fact, for Ca"-curves, one can study the
intersection by a direct infinitesimal computation.) If the manifolds and curves in
question are C ~ one gets the above perturbation using rudimentary elliptic theory,
which applies to C-manifolds for r > 1 (see IN-W]). However, one can easily
construct two J-curves in a 4-manifold with a continuous structure J, which meet at
a single point with zero intersection number.
2.1.C'2. Let (V,J) be an n-dimensional C~-manifold for n > 4 and let V' be a
complex submanifold in V O.e. T(V3 is a J-complex subbundle in T(V)) which is
closed in V as a subset. Then one sees with the above argument that every J-curve
C C V meets V' at at most finitely many points unless some component of C is
contained in V'. Furthermore, if codim V'= 2, then the intersection number at
every point v~. V ' n C is positive. Moreover, this intersection number is at least 2
unless C is regular at v and meets V' transversally. (It is unclear if any two complex
submanifolds in (Is, J) of complementary dimensions have positive intersection
numbers at isolated intersection points.)
2.1.D. Holomorphic curves with boundaries. Let W be a totally real submanifold
(see 0.4.) in (V, J). Then the general elliptic theory applies to compact J-curves in V
whose boundaries lie in W. In fact, if the structure J is integrable near W a n d if Wis
a Ca"-submanifold, then one can reduce the local study of C to that of the doubled
curve C U C with the canonical anti-holomorphic involution I : U ~ U of a small
ec
neighborhood U C V of W. In fact, any structure J on V can be e-perturbed near W,
in order to acquire such an involution and in most geometrically interesting cases
one can work with the perturbed structure J~. One may return to J by letting e ~ 0
and by applying the estimates in 1.3.
The index of the pertinent operators for curves with boundaries can be
computed as earlier with the general index theorem for manifolds with an
involution. We only need in this paper the case of discs f : ( D 2, ~D 2) ~(V, W). The
induced tangent bundle f*(T(V)) on D 2 doubles to a bundle over $2= D 2 U D 2,
OD 2
whose first Chern number is denoted by c'. Then the linearised operator ~-o has
index = c ' + n and the operator ~-~ for regular discs has index = c ' + n - 3 .
Example. Let V = ~ " , and let ~t denote the manifold of linear totally real subspaces
in ~". This ~t is homotopy equivalent to GL,C/GL,R and Hl(~t)= Z. Moreover,
there is a distinguished generator, say ~ e Hl(~t), such that ~(fl) = 2 for the 1-cycle fl
in ~t coming from the oriented (!) circle S~= U(1)C GLnffL
Now, to every map f : (D 2, dD2)~(IE n, W) one assigns a map S 1 = a D 2 ~ t by
s~--~Tsts~(W), s E S ~, and then one observes that c' equals the value of~ on this circle
S ~---,~t. For instance, the embedded d i s c D 2 ~ C has c'=2.
2.1.D". The normal operator 8, is especially useful for 2n = dim V = 4 , because the
index computation gives the actual dimension of the space of discs in question,
provided c ' > l . This follows from 2.1.C1. which applies to the sphere
S 2 : D 2 ~ D 2.
0D 2
2.2. Globalization of
Denote by G the space of Coo-smooth almost complex structures on S x V for

which the projection to (S, J0) is holomorphic and whose restrictions to the fibers
s VC S x V, s e S, equal a given structure J on K Let F be the space of C~176
f:S~S V and let H be the space of pairs ( f , g ) e F for which f is
g-holomorphic which is equivalent to the equation J f = g (see 1.4.C.). Denote by
A : H ~ G and 9 : H ~ F the projections and observe that 9 has a natural structure
of a locally trivial fibration whose structure group is as follows. Denote by A the
group of Coo-smooth automorphisms of the bundle (T(V),J), that are dif-
feomorphisms of V lifted to complex linear automorphisms of T(V). Next, let A(S)
be the group of C~ S ~ A that is the group of complex linear automorphism
of the vertical tangent bundle of the fibration S V ~ S . The group A(S) acts on the
spaces F, G and H in an obvious way and these actions are transitive. Denote by
A o = AIo(S)CA(S ) the stabilizer of some f0 e F, consider the principal fibration
P: A ( S ) ~ A ( S ) / A o = F with the structure group A o and observe that the fibration
is naturally associated to P.
Now, fix a point v ~ V and consider the fibration Pv : A ~ V for Pv(a) = a(v) e V.
This Pv has a natural class of local sections. Indeed, the action of A on V factors
through the action of DiffV on K The fibration DiffV-~ V for diff~--~diff(v) has an
obvious class of local sections which then lift to A with the operators ll(v, v3 of 2.1.
Finally, with local sections V ~ A we get local sections F - . A ( S ) which give the
desired local splittings of the fibration # : H - ~ F . With these we get a natural
infinite dimensional manifold structure on the space H.
2.2.A. Lemma. The map A : H ~ G is Fredholm for the obvious infinite dimensional
manifold structure in G.
Proof. Indeed ther kernel and the cokernel of the differential of A at ho = (fo, 9o)
are canonically isomorphic to those of the linearization Lo3-oof ~-o. Since Lo~-ois an
elliptic operator it is Fredholm.
2.2.A'. Remarks. (1) The only purpose of these H, P etc. is to match the current
"infinite dimensional manifolds" terminology.
(2) In order to apply to A the standard properties of Fredholm maps we need
an appropriate scale of norms (or Banach manifold structures) on H and on F. One
can use here, as usual, either the H61der norms C r'~ on G and C r+ 1,, on F for some
~ e [0, 1] and r--0, 1, 2 .... , or, alternatively, the Sobolev scales H r and H '+1
respectively (see [Nir] for an exposition of the subject).
2.2.B. The above discussion reduces the study of solutions f of 3-f = 9 to that of
the pull-back A -1(#)C H. If 9 is a regular value of A, which is the case for generic
328 M. Gromov
structures 9, then A - l(g) is a finite dimensional submanifold in H. Furthermore, if

the map A is proper, then the ~Ez-homology class of [A-19] ~H~(H, 7Z,2) for
i = I n d e x L ~ o is independent of g, as the space G is path-connected. (More
interesting cobordism invariant of A-I(g) are considered in [Groz].) The
properness of A over G, or over some subspace in G amounts to the compactness of
families of g-holomorphic curves in (S V, 9) for g running over a compact subset
in G. Now, we have the following recipe for solving the equation J f = g: start with a
regular value go for A such that [A -lgo] =l=0 and then deform go to g such that A is
proper over a neighborhood of the path between go and g.
We shall be using this recipe in various situations in an informal way without
specifying each time the spaces and maps in question, since the only meaningful
objects are holomorphic curves which are unsensible to a choice of the infinite
dimensional phraseology.
2.3. The existence theorems for holomorphic curves
In what follows (V, J) is a 2n-dimensional almost complex C~ without

boundary tamed by some symplectic form co on V.
2.3.A. Let V be compact and contain no non-constant rational J-curves. (This is
obviously so, for instance, if the Hurewitz homomorphism rr2(V)~H2(V;R )
vanishes.) Then the equation ~f = 9 is solvable with a contractible C~-map f : S 2 ~ V
for all C~ g : S 2 x V--*X (1) (compare 1.4.C.). Moreover, there exists a
solution f, such that f(s) = v for given points s e S 2 and v ~ V.
Proof. The index of the pertinent operator 0 here equals 2n and g = 0 is a regular
value for A (compare 2.2.B.), as the space of solutions { f I ~ f = O } = A - I ( O ) E H
consists of the constant maps f : S2~V. The 7lz-homology class [A-l(0)] goes
onto the fundamental class IV] (H2,(V, Z2), for the projection f~--~f(s)~ V for a
given s ~ S 2. Next, the map A is proper according to 1.5.E1., since V contains no
rational curves, and since the areas of g-holomorphic sections f : $2~($2 x V, 9)
are bounded by const 1191L.This bound is obtained with the symplectic forms
(Ccoo)@co o n S 2 X V which tame g, where COois the area form o n S 2 and C = C(g) is
a sufficiently large positive constant. Now, with the recipe in 2.2.B., the class
[A - 1(9)] goes to IV] for all generic 9 and so the map f~--~f(s) e V sends A - 1(9)
onto V for all (generic or not) 9. Q.E.D.
2.3.A'. The above argument applies to non-compact manifolds V in-so-far as we
can control the "size" of the image f(S). For example, let p be a complete
Riemannian metric on V such that the form COis uniformly positive with respect to #.
That is CO(z,]/cZ-1 ~) > e > 0 for all #-unit vectors 9 e T(V). Then every contractible
map f : S ~ V obviously has
A r e a j ( S ) < Const = const (l[~-f JR)
where the C~ Jl~-fJf is measured with respect to/~. Now, let us assume the
injectivity radius of/~ to be bounded away from zero, Rad,(V, #) > e > 0 for all v e V
and let the sectional curvature of # to be bounded from above, K(V,#)

< const < ~ . Then one immediately sees that
Diam, f(S) < const' Areau f(S)
for const =const(llJII), and so
Diam~f(S) < const'(ll 8 f II)-
Now, assuming the existence of the above # we conclude:

I f a C~176 g" S 2 V ~ X ~1) is bounded on S 2 V with the norm measured by
p and a fixed metric in S 2, then the equation ~ f = g is solvable with a Coo-map
f : S 2 ~ V homotopic to zero and such that f (s) = v for given points s ~ S 2 and v ~ V,
where we assume as earlier the non-existence of rational J-curves in (V, J).
2.3.B. Let V, J, p, e~, and g be as above and let WC V ba an o~-Lagrangian
properly embedded (i.e. without boundary and closed in V as a subset)
Coo-submanifold. We are interested in Coo-maps f : D 2 ~ V which send the
boundary circle 0D 2 into W and which satisfy the equation 8f = g. If the map
f : (D 2, 0D2)~(V, W) is contractible, then the index of the corresponding operator
L~-equals n and the value g = 0 is regular for the map A. To apply the previous
argument we again need a bound on Diamf(D2). This is achieved with the
following condition on W: the second fundamental form of WC (V, #) is bounded,
[III(W)II _-<const < ~ and, moreover, there exists positive numbers e > 0 and C > 0,
such that every two points wl and w2 in Wfor which distv(wl, w2) < e can be joined
by a path in W of length < C~. This condition on W insures the desired bound on
D i a m f ( D 2) which gives us the following
Theorem. (Compare 2.3.D.) I f every J-holomorphic map (D 2, 0D2)~(V, W) is
constant (as well as every rational curve in V) then there is a contractible Coo-map
f : (D2,0D2)---~(V, W) which satisfies ~ f = g for a given (bounded. t) Coo-section
D 2 V ~ X ~1) and such that f ( s ) = w for given points s ~ OD2 and w ~ W.
Example. Let V = C " and let W be obtained from N~CIE ~ by a symplectic
diffeomorphism ~ : II2",i ~ dxi ^ dy~ ~ , such that the norms of the differentials D~
and D2 ~ are bounded on 112~ and the norm of the second differential of e also is
bounded. Then the assumptions of the theorem are met by the equation ~ = g for
an arbitrary Coo-map g : D 2 -*I12~; hence, this equation is solvable with a Coo-map
f : D 2--*II;~ which sends the boundary circle OD2 into W and such that f ( s ) = w for
given points s e 0D 2 and w e W.
2.3.B~. Let W be a closed Lagrange submanifold in I12n and let go e IE~ be a non-
of
zero vector. Since every solution f to the equation ~ - = go is harmonic, it satisfies
I[g0l[ ~ const, Diamf(0D2),

and so there is no solution f : (D 2, OD2)--,(IE ~, W ) to this equations for large IIg011.
Hence, by the above theorem there must exist a non-constant holomorphic map
330 M. Gromov
(D2, OD2)'--~(I~n, W).

In fact, this argument applies to closed quasi-Lagrange
submanifolds W C C" which by definition are those totally real submanifolds in C"
which are Lagrange for some symplectic form co on C" which tames (i.e. is positive
on) the complex structure of C". Notice, that the quasi-Lagrange submanifolds
form an open subset in the space of all submanifolds in IE" and this subset is
invariant under holomorphic automorphisms of 112".Thus we obtain the following
2.3.B 1. Theorem. Every closed quasi-Lagrange submanifold W (112" admits a (non-
constant?) holomorphic disk (D 2, ~D2)~(IE ", W).
2.3.B 2. Corollary. The class [co] ~ H2(112", W; R ) is non-zero.
This may be expressed by saying that 112"contains no closed exact Lagrange
submanifolds W.
2.3.B 3. Let us generalize the above to closed Lagrange submanifolds WC V
=(V',o)')@(ll2,dx ^ dy), where the form co' either tames an almost complex
structure d' on V" which is convex at infinity or there is another structure on V' also
called J ' which satisfies the conditions in 2.3.B. with some metric #' on V'. Denote
by Jo the standard complex structure on R 2 = I E and consider C~~
f : (D E, aDE)--*(V, W), whose projections f ' : D 2 ~ V' are J'-holomorphic and the
~fo = g0 for a constant 9o s ~- If Igol is
projections f : D 2 ~ satisfy the equation -~-
9
large, no such map f exists; therefore, we obtain as earlier either a non-constant

holomorphic disk(D z, BDZ)~(V, W) or a non-constant rational curve $2-~ V'. It
follows that no W is weakly exact in (V, ~o=co'+dx ^ dy) which, by definition
means the existence of a C~ (D 2, ~DE)--*(V, W), such that
S ,-+0.
D2
2.3.B'3. Consider an isotopy of Lagrange submanifolds in V' given by a C ~

F': W ' x [0, 1]---, V' and let c3' be the pull-back of the form co' to W ' [0, 1]. The
form ~3' clearly is exact, (3'= d/", where the 1-form r' on W ' [0, 1] is closed on
every submanifold W' t for t ~ [0, 1]. Recall that F'is called an exact isotopy if the
class [l"l W' x q ~ H I ( W ' = W' t; R) is constant in t ~ [0, 1].
Theorem. Let W" be a closed manifold, let F' be an exact isotopy and let the
submanifolds Wt'= F'(W" x t)c(V', o93, t E [0, 1], be weakly exact. Then the inter-
section Wdn W; is non-empty.
Proof. Fix a positive e < 1 and take a C~~ 0 : S ~~ [0, 1], where the circle S 1 is
parametrized by O E [ - I, + 1], such that the e-neighborhood Io of 0 E S 1 goes to
0 ~ [0, 1] and the e-neighborhood I1 of + 1 ~ S 1 goes to 1 ~ [0, 1]. Let r* be the pull-
back of the form i' to W ' x S 1 under the map (w', O)~-~(w', Q(O)) and assume
without loss of generality the form l'* to vanish on W' x (IowlO. Then the form
i ' 1 W ' x O is exact for all O ~ S ~ and so i"*= d7j + q) dO for some C~ 7/
and ~0 on W ' x S ~ where q~ may be assumed zero on W ' x (IowlO.
Next, consider a map a of the annulus S 1 [q~_, q~+] into IR2, where ~o_ and
~o+ are the lower and the upper bound of the function q~correspondingly, such that
(i) The pull-back under ~ of the form dx ^ dy on R 2 equals - dq~ ^ dO.
(ii) The map e is bijective on I x [q~_, ~o+] where I C S 1 is some closed subset,
such that I u l o u I 1 = S 1; furthermore, the origin 0 e N-2 is a unique double point of
the map e on S 1 x 0, that is
0-- ~(0, O) = ~( ___1, 0),
and ~ is injective on S 1 = S 1 0 minus {0, _+ 1}.

(iii) The curve S~ = ~(S 1 x O) C N-2 "bounds" zero area in N-z, that is ~ x dy = O,
for the 1-form x dy on N-2. s~
Now, let F* : W' x S ~ - ' V ' x N-2 be given by (w', O ) ~ ( F ' ( w , O(t)), ~(q), 0)).
Then
(i)' The pull-back under F* of the form co=og'+dxAdy equals
dF*-d~o /xdO=O on W' x S 1.
(ii)' The set of double points of F* is W6n IV; C V' = V' x 0 C V" x N-2.
(iii)' If F* has no double point then the Lagrange submanifold
W = F*(W' x S ~) C (V' x N. z, o9'+ dx/x dy) is weakly exact if and only if W~C V' is
such.
Finally, according to 2.3.B3., the manifold W cannot be weakly exact; therefore
the intersection Won W1 is non-empty. Q.E.D.
2.3.B 4. Fixed points of symplectic diffeomorphisms. Let 6:(V, og)-'(V, og) be a
symplectic diffeomorphism, that is 6*(o9)= o9 and let F~ be the graph of 6 in the
symplectic manifold (V, co)| (V, - to). Then F~is Lagrange and the fixed points of 6
correspond to the intersection points of F~with the diagonal A C V x V. Call 6 exact
if the graph F~C V x V can be brought to A by an exact isotopy of Lagrange
submanifolds in V x V.
Now, we see with 2.3.B 3.
2.3.B'4. Let (V, to) be a closed symplectic manifold such that the class [o9] ~ H2(V, N-)
vanishes on the image of the Hurewicz homomorphisms rc2(V)~ H2(V ). Then every
exact symplectic diffeomorphism of V has a fixed point. (Compare [C-Z, Ch, F-W,
F 1, H, L-S, Si]. We shall sharpen our techniques in [Gro2] in order to remove the
condition [oglrcz(V)] = 0 and to give a lower bound on the number of the fixed
points.)
2.3.B~. Consider the cotangent bundle V' = T*(Wg) of a smooth manifold Wd, let l'
be the canonical 1-form of V' and let W' C V' be a closed Lagrange submanifold for
the symplectic form o9'= dl'.
Theorem. I f the (necessarily closed) form l'[ W" is exact, then W" intersects the zero
section Wd % V.
Proof. The manifold V'= T*(Wg) has a canonical diffeotopy v'~tv" for all
cotangent vector v' E T*(Wd) and for t e [0, oe]. The induced isotopy on W' clearly
is Lagrange; it is exact if and only if the form l'[ W' is exact. If W' misses the zero
section, then the isotoped manifolds W~' are disjoint from W' for t - ' o e (as well as
for t-,0). Next, we take an almost complex structure J ' on V' which is tamed by o9'
and such that J ' is invariant under the diffeomorphism v'F-'2v' outside some
neighborhood U'CV" of the zero section W~CV'. Such a J' satisfies the
332 M. G r o m o v
assumptions of 2.3.B 3. with some metric #' on V' with the similar invariance
property outside U' and then 2.3.B 3. yields the theorem. (See [Ch] and I-HI for a
lower bound on ~ ( W ' n Wo')for submanifolds W' which are obtained from W~ by
exact Lagrange isotopies.)
Example. (Compare [C-Z, Ch, F-W].) Let (V, ~o) be a closed symplectic manifold,
let (V',~3=(V, oo)G(V,-o9) and let ~ " ~ V ' be the covering of V' whose
fundamental group equals the fundamental group of the diagonal, ~I(A)C nl(V').
Consider a symplectic diffeomorphism ~o:V~V which is homotopic to the
identity. Then the graph F~ C V x V lifts to a (..closed!) submanifold, say W' in V'
which is Lagrange for the lifted form 05' on V'. If the class It0] vanishes on the
image of fez(V) in H2(V), then the form o3' is exact, 05'=dr', let us assume the
(closed!) form /"1W' to be exact. This is so for instance, if ~0 admits an exact
symplectic diffeotopy to the identity.
Now, if there is a symplectic diffeomorphism of the cotangent bundle T*(A)
onto V' which brings the zero section of T*(A) onto the lift A of A to ~" (e.g.
V= T zn =~-~2n/7~,2n) then the above theorem insures a fixed point of ~o. More
generally, the proof of the theorem insures a fixed point of ~p if there exists a
diffeotopy 6, of ~" for t e [0, 1], such that
(1) 61 = I d and for t ~ 0 the diffeotopy fit C~ es to a map ~"~A.
(2) the diffeomorphism St is conformally symplectic, that is 6,(05') = const,05' for
all t e [0, 1].
Such a diffeotopy is easier to produce in some cases than the symplectic
diffeomorphism T*(A)~ ~".
2.3.B5. Let us produce a symplectic structure on R2, which does not embed into
the standard structure. Start with the manifold 1/1 = T" F,." and then "kill" the
generators of nl(T") ~ Z" by attaching n 2-handles D z x R 2 , - 2 to V1. The resulting
manifold, say V2, can be easily equipped with a symplectic form ~oz, such that ~oz
vanishes on 7" as well as on the axes Dz 0 of the handles. The manifold V2embeds
into R z" and the form coz can be extended to a symplectic form co on R z , by the
h-principle for symplectic forms on open manifolds (see [GrOl, Gro3]). Thus we get
an exact Lagrange torus T" C ( ~ 2 n (D) (for which the class [~o] 9 H2(~-~ 2n, T";N)
vanishes)ands~176176176176176 " I = 1
2.3.C. Let the symplectic structure on V split, (V, ~o) = (CP r, o90@(V2, co2), where
co~ is the standard structure on the complex projective space C U , r > 1, and where
the form ~o2 satisfies the following condition (compare 0.2.A.).
(*) The integral of co2 over any smoothly mapped sphere $ 2 ~ V2 equals
k ~ ~oI for the projective line II~P~cIUP ~ and for some integer
cp ~
k=k(S2-'~V2).
Next, take three distinct points s~9 S 2, i = 1,2, 3 and three properly embedded
disjoint submanifolds Si in V, which transversally intersect C U v2 C V for a fixed
point v2 9 1/2, such that S i n C P ' x v2 consists of a single point for i = 1 and i = 2,
while the submanifold 2 ; 3 n ~ P ~ v2 has codimension two in ~ P ' x v2 = C U and it
is not homologous to zero in H2,-2(CP'; Z2).
Finally, we assume the existence of a metric/~ on V, which has (relative to the

structures J and co on V) the properties indicated in 2.3.A'. (If V2 is compact, any
metric/~ will do.)
2.3.C. Theorem. There exists a holomorphic map f : S E ~ V homotopic to the
embedding S 2 ,,~II;P t C C P r = lISP~ x v 2 C V such that f ( s 3 E S i for i = 2 and 3 while
f ( s l ) = a 1 for a given point a 1 ~$1.
Proof. Start with a simple algebraic
2.3.Cv Lemma. The space of linear complex structures on N2n which are tamed by
a given 2-form on R z" is contractible.
Proof. Let f2 = GLznR/S p 12~ be the space of non-singular anti-symmetric bilinear
forms on ~2,, (where Sp 12, C GL2.11 is the automorphism group of the standard
form ~ xi ^ Yi on 1112")and let J = GLz,N/GL,IE be the space of complex linear
i=1
structures on R2. that are linear automorphisms J : R 2 " ~ N 2", such that j2 = _ 1.
Let ~- consist of the pairs (co,J) C f2 x J where co tames J and let J - ' C J- be
distinguished by the condition co(Jx, Jy) = co(x, y) for all x and y in ~2.. Clearly
J - ' = GLznN,/U(n). The natural projections of ~-- and ~ ' to J are fibrations with
convex fibers. Hence, the inclusion 3 - ' ~ ~-- is a homotopy equivalence. Since the
inclusion U(n)C Splz, is a homotopy equivalence, the projection J - ' ~ f 2 also is
such. It follows that the projection J - ~ f 2 is a homotopy equivalence, and since it is
a fibration, the fibers are contractible.
2.3.C~. Corollary. The space of almost complex structures on V tamed by a fixed
form co is contractible. In particular this space is connected.
2.3.C~. Remark. A form co is said to calibrate J if (co,J ) C g - ' and this definition
obviously extends to forms and almost complex structures on manifolds. For
example, the 2-form of a K/ihler manifold does calibrate the underlying complex
structure. In fact, choosing an almost complex structure J which calibrates co on V
is equivalent to a reduction of the structure group Spl2, of(T(V), o9) to U(n). Thus
we get with these co and J a Riemannian metric on V, namely/l(v, v') = co(v,~ z'),
which has the following remarkable (though obvious) property:
Every J-curve C C V is absolutely p-area minimizing in its homology class.
See [H-L] for amazing examples of calibrated geometries beyond dimension
two.
Now, we prove the theorem as follows. We start with a split structure Jo on
V = I I ; P ' x V2 and we study the equation J f = g which for g = 0 gives us
Jo-holomorphic maps f : S 2---~g.
The index of the pertinent operator here is 2(n + r + 1). Furthermore, the value
g = 0 is regular for A (compare 2.2.B.) but the manifold A- 1(0), which consists of
holomorphic maps o r s 2 to the fibers S 2 x v2, v2 E V2, is by no means compact as it
properly contains the conformal automorphism group of each sphere S 2 x v2. Yet,
we regain the compactness by restricting to the subspace F'C F of those maps
f:S2--*V which send si--*S,i for i:--1,2,3, then by taking H ' = ~ - I ( F ' ) C H
(compare 2.2.A'.) and by letting A ' = A I H ' : H ' ~ F ' . We assume, by slightly
334 M. Gromov
perturbing the submanifolds 2;i if necessary, the value g = 0 to be regular for A'.
Then (A~- 1 (0) C H' is a 2(n - r) dimensional submanifold which is compact if and
only if Vz (and hence each of Zi) is compact. In the compact case the homology class
[(A')-I(0)] en2tn_r)(H';J~2)goes to I-Sl-[ell2(. r)(Z'l;2) under the map
f~--~f(sO. Now, the integrality condition on 092 makes the homotopy class of the
maps S 2--* V in question simple (see 1.5.E2.) for any almost complex structure on V.
Therefore, for each small g, the space of solutions to the equation ~-f = g is compact
by 1.5.E~. Hence, the class [(A')-1 (g)] goes onto [21] for all small regular 9 and
this property is preserved under any homotopy which brings J0 to J via almost
complex structures Jr tamed by o) with J1 = J, where the existence of Jt is insured
by 2.3.C~. Thus the map (A')- 1 (g)--'SI is surjective for small generic g and Jt = J
and hence, it is surjective for g = 0 as well. This concludes the proof for compact
manifolds V and the non-compact case follows with the discussion in 2.3.A'.
2.3.C 3. Remarks and corollaries. (a) The Theorems 0.2.A'. and 0.2.B. immediately
follow from 2.3.C1., except for finer statements for n = 4; these are discussed in 2.4.
(b) The projective lines in II~Pr could be replaced in the above proof by any
family of curves in a given (almost) complex manifold 1"1,in-so-far as the index
consideration gives an adequate description of the actual properties of the family
in question. We shall study further examples (and counter examples) of such
families in [Gro2].
2.3.D. The proof of 0.4.A. The isotopy of submanifolds F(Wo x S~)cV for
s e ]0, 1] can be followed by a homotopy of almost complex structures, J~ on V for
J1 = J such that
(1) F(Wo x S~) is totally real for J, for all e e l 0 , 1];
(2) there is a compact subset in V outside which J~ = J for all s e ]0, 1];
(3) the structure J, is split on U for S<eo (compare (v) in 0.4.) that is (U,J~)
t t 2 /t
= ( U xJD@IIIR ,JD-
Next, we take three disjoint submanifolds SiC W~= Wo x S~ which have non-
zero intersection indices mod2 with S 1 = Wo x S ~C V and we look at the space of
maps f : (D z, ~?DZ)--*(V, W~) such that f(si) e F(Si), i = 1, 2, 3 for some fixed distinct
points si e OD2. We look at the equation J f = g~ with small g~ which is zero for
s < So. The convexity at infinity of V keeps the solutions within a fixed compact
subset in V and so the homology class of the space of solution, say
[A - lg,] e H,_ I(H; 7/.2)is invariant under the homotopy. As this class is non-zero
for ~ < So it is non-zero for ~ = 1 as well and so, as earlier, we obtain a holomorphic
map f : (D z, OD2)~(V, W) in the required homotopy class, such that f(si) e Si for
i = 1,2 and f(s3) -- w for a given point w ~ W.
2.3.D'. Remark. The above proof equally applies to non-compact properly
embedded Lagrange submanifolds W and to proper maps F : WoxD2~V,
provided there exist metrics #~ on V as in 2.3.A'. such that the submanifotds
F(W~) C V, s e ]0, 1], satisfy the conditions of 2.3.B. for the forms o)~. In fact, the
existence of/z~ makes the convexity at infinity unnecessary.
2.3.E. J-curves in open manifolds. Consider an open subset V' in a symplectic
manifold (V, ~o), let A~C V' i = 1, ..., k be compact subsets and let J' be an almost
complex structure on V' which is tamed by the form ~ol V'. Then one easily obtains
with 2.3.Cz. a sequence of almost complex structures on V tamed by 09, say J j,

j = 1 , 2 ..... such that for any compact subset A CV' the structures Jr for
J >Jo =Jo(A) satisfy Jjl A = J']A.
2.3.E 1. Let f j : S j ~ V , j = 1,2 .... be proper JFcurves, such that the ima9 e fj(Sj)
intersects A i for all i and j and such that ~ fj*(c~) < Co for some constant Co < ~ .
Sj
Then there exists a proper J'-curve f : S ~ V" with the same properties: f ( S ) n A i 4: O,
i = 1..... k and ~ f*(o3) < Co. (Here a curve is called proper if it is a proper non-
s
constant map on every component of the underlying Riemann surface S.)
The proof is immediate with the compactness theorems in 1.5.
2.3.E~. Corollary. Let V be a compact split manifold as in 2.3.C. Namely (K 09)

= (ll~P', 090G(V2,092) where o92 satisfies the integrality condition (*) in 2.3.C. Let
A1 consist of a single point, let A 2 support a (2n--2r)-dimensional cycle with non-
zero mod2 intersection with ~P" = C P r x v 2 C V and let A a contain a ( 2 n - 2)-cycle
whose intersection with ~Pr is non-zero in H2~- 2({~Pr, ~2). Then there is a proper
J'-curve f : S ~ V" which meets Ai for i= 1,2, 3, and such that S f*(09)N ~ 091.
S CP 1
2.3.E~. Remark. The existence of the curves C'C V' claimed in 0.3. is obvious with
2.3.E'1.
2.3.E 2. One can produce using 2.3.E~. symplectic manifolds (V', 09') which do not
symplecticly embed into the above (V, 09). For this one must exhibit a particular
almost complex structure J' on V' tamed by 09', for which the integral ~ 09' can be
c
estimated from below for all J'-curves C in V' which intersect given subsets A i in
V'. There are the following methods to obtain such estimates.
2.3.E'2. Let the form 09' calibrate (see 2.3.C~.) a structure J'. Then all J'-curves C in
V' are minimal surfaces for the metric 09'(z, ~ z) and area(C) = ~ 09'. Now, there
C
are various lower bounds on the areas of minimal surfaces in particular
Riemannian manifolds (see [Law1]). For example, every minimal surface C ( ~ 2 n
which passes through the origin and whose boundary lies in the sphere of radius R
has area(C) > ~cR2. (This has been used in 0.3. to rule out symplectic embeddings of
the R-ball B(R) C 2n into the product D(e) Px2n- 2 for the e-disk D(e) ( R E with
e<R.)
2.3.E~. Let V'= V\Vo, where 1/ is a complex analytic manifold and Vo is a
complex submanifold in V. Then the closure of every holomorphic curve C ' ( 1/' of
finite area in V is a one-dimensional complex analytic subvariety, say C ( V by
Bishop-Stoll Theorem (see [Bi, St]). Thus, in case 1/"is K~ihler with the form 09, we
can bound the integral ~ 09 from below by ~ ~.
C' C
Example. Let V split into the product of closed Riemann surfaces,
(V, J, 09) = ($1, J 1 , 0 9 1 ) (~)-. .(So, Jn, (-On)"

336 M. G romov
Then, obviously
~ 0 9 > m i n ~ t o i for i = 1 ..... n.

C i Si
Hence, the same bound holds for proper curves C' in any Zariski open subset
V'C V. It follows that there is no symplectic embedding of V' into the product
O(e) x R 2"- 2 for e < min S toi (compare 0.3.).
i= 1 ..... n S i
2.4. J-curves in 4-manifolds
The J-curves insured by the existence theorems in 2.3. are often unique and regular
for 2n = dim V = 4.
2.4.A. Examples. Let an almost complex structure J on ff~pa be tamed by the
standard symplectic form co on C P 2. Then, according to 2.3.C1., there is a rational
J-curve C C IEP 2 through two given points v and v' in [~p2 which is homologous to
the projective line IEP 1 CIEP 2. Since the algebraic intersection number between
two such curves equals one, any two of them, say C and C' in ~ p 2 , necessarily meet
at a single point, say at v ~ CnC', unless C = C' (see 2.1.C2.). Furthermore, the
curves C and C' are regular at v and meet transversaUy. Hence, C is regular at all
points v ~ C and it is uniquely determined by v and v'4: v. Moreover, the curve
C = C(v, v') smoothly depends on (v, v').
2.4.A'. Take a variety ~g of J-curves C in some 4-manifold and let dC be some
measure on cg. Then one defines a (possibly singular) 2-form (or current) to' on V,
whose integral S 09' is defined for all surfaces S C V by S co'= ~ Int(S, C)dC, where
S S
Int stands for the intersection number. This 09' clearly is J-non-negative; if the
curves C ~ cg are closed then to' is closed. Now, if the family cg is "sufficiently large",
like the one formed by the curves C = C(v, v')C ~p2, and if the measure dC is
chosen smooth and positive, then co' is an actual smooth J-positive form on V.
Therefore the presence of a taming symplectic structure on (V, J) is necessary for
the existence of "many" closed J-curves in V for dim V = 4. (In fact, the form 09'
built with the above curves C(v, v') necessarily is isomorphic to the standard form
on ~p2, (compare 2.4.A]. below).
2.4.A1. Let (V, to)=(S2,too)@(S2,too) for some area form 09o on S 2. Then, as
earlier, every structure J on V tamed by to defines two transversal fibrations of V
into rational J-curves and these fibrations continuously (even smoothly) depend
on J. Take one of the two curves through a fixed point v0 = (So, So) ~ V, So ~ S 2, say
Ca in V and choose a J-holomorphic diffeomorphism al = al(J[Cl, to[CO of C 1
onto S 2, such that al(vo) = So. We construct such an al by some (there are many of
these) procedure which is canonical modulo rotations of S z around So ~ S 2, and we
insist on the map al to be an isometry (i.e. a~'(to0)=091C0 in case the curve
(C1, JI C1, o91C1) is isometric to the standard sphere (S 2, Jo, too). A similar map a2
is constructed for the second curve C2 e V through Vo. Then the pair (al, az) defines
with the above fibrations of V by spheres a continuous (as our "canonical", by

definition, means continuous in parameters) map ~ of the space j of almost
complex structures J on V tamed by 09 into the s p a c e / ) = Diffo V/SO(2) x SO(2),
where Diffo consists of those diffeomorphisms d of V for which d(vo) = Vo and which
fix HE(V ). Observe that for every representative d 9 Diffo V of a(J) 9 the induced
form d*(to) is J-positive and so the form tto + (1 - t ) d * ( t o ) is non-singular for all
t 9 [0, 1]. Then, by Moser's theorem (see [Mo]) there is a symplectic diffeomor-
phism of V, co), say d e Diffo, which continuously depends on d*(to), and such that
d = d if d is symplectic to start with. Thus we get a map of J to 6ao = 6eo/S0(2)
x S0(2) say fl : or o for the group 5CoC Diffo V of symplectic diffeomorphisms.
Now, if J = J 0 | for the canonical complex structure on S 2 then, by the above
construction the induced structure a*(J) on V satisfies for all a 9 6eo,
fl(o-*(J)) = a modS0(2) x SO(2).
Since the space j is contractible, (see 2.3.C~.), we now conclude that 5~o is
contractible. Hence, (compare 0.3.C.) the group of symplectic diffeomorphisms
contracts to the subgroup of isometries.
2.4.A'~. Let us give a criterion for a closed manifold (V, to) to split as
(S 2, eOo)@(S2, COo). We assume the existence of two embedded spheres $1 and $2
with trivial normal bundles in V, such that the form to does not vanish on $1 and on
$2 and such that $1 and $2 have a single intersection point where they meet
transversally with the intersection number + 1 for the orientations induced by
colS1 and t o l S 2.
I f every smoothly mapped sphere S ~ V has S to = k ~ to = k ~ to for some integer
S $1 $2
k = k ( S ~ V), then the manifold (V, to) splits, (V, to) = (S 2, too)O(S 2, COo).
Proof. Take an to-tame almost complex structure J on V for which S1 and $2 are
J-holomorphic. Then Sx as well as $2 includes into a family of rational J-curves
which give a topological splitting V = S 2 x S 2 with J-holomorphic fibers S 2 x s and
s S 2 for all s 9 S 2. Take any area form too for which S too = ~ to = S to and
S2 Sl S2
observe the form to0Otoo to be J-positive. This insures a linear symplectic
homotopy between to and tootoo on V and then Moser's Theorem yields a
symplectic diffeomorphism (V, co)~--~(V,r Q.E.D.
2.4.A~. Remark. Suppose the form to has been already split near SIwS2CV.
Then the above argument allows an extension of this splitting to V. Since the
complement V~(S~ wS2) is symplectomorphic to the product of two disks in R a,
this shows the standard structure on ~x4 to be uniquely determined by its
behaviour at infinity (compare 0.3.C.).
2.4.B. Let f : S~(V, J) be a non-constant J-curve. Then at every point s o 9 S there
is an integer m = 0 , 1.... such that the i-th differential ~ vanishes at s o for
i = l, 2 . . . . . m while ~ + 1(So)~e 0. This is obvious in the real analytic case (which
suffices for most geometric applications) and the C~ is not much harder (see
[Gro2]).
338 M. Gromov
2.4.B 1. Lemma. Let the map f : S ~ V be injective and let a small holomorphic
perturbation f ' : S--* V have D),(s) =i=0 for all s close to s o. Then, for dim V= 4, the
map f " has at least m = m(So) double points near So.
This is seen by looking at the local branched covering of order m + 1 of V
around a generic regular J-curve in V through the point Vo= f(So) ~ V (see [Groa]
for details).
2.4.B~. Corollary. Let a sequence of complex structures J~. on a closed connected
surface S C~ to a structure J" and let the structures J ~on V C~176 to
J. Let fj: ( S , J ~ ) ~ ( V , J ) be regular curves which converge to a curve f : (S, Jr)
~ ( V , J ) for j ~ o o . I f d i m V = 4 , then either the curve f is regular or all points
f ( s ) E V are multiple points of f.
This corollary implies the regularity of rational curves in the manifolds S 2 $2
(see 0.2.A.) where the existence of these curves is insured by 2.3.C v Moreover, this
corollary shows in many cases the space of regular J-curves in 4-manifolds to be
compact, which allows us to work with the normal operator ~v (see 2.1.C.).
2.4.B'~. Example. Let V , ~ ] P 2 and let the structure J be tamed by the standard
symplectic form co on UP 2. Then the virtual dimension (predicted by the index of
the linearized 0v) of regular rational curves C of degree 2 (i.e. homologous to
2Cp1 Q~p2) passing through 5 given points in ~]p2 equals zero. Moreover, the
value zero is regular for ~-v (see 2.1.B.) which makes such a curve stable under
deformations of J as long as it does not degenerate to a cusp curve (compare 2.2.B.).
One can show that the only possible cusp-curves here are pairs of curves of degree
one, which insures a unique regular curve C provided that not three points lie on a
degree one curve. (See [Gro2] for details.) A similar argument applies to regular
curves of degree d through d(d+ 3)/2 generic points in V. Here the genericity
condition, which insures the existence of a curve, is essentially the same as earlier:
the points should not lie on a cusp-curve of degree d. However, one needs (even for
the standard ~]p2) an additional genericity to rule out non-regular values of the
pertinent operator (see [Gro2] ).
2.4.B 2. Consider a regular rational curve Co in a 4-dimensional manifold (V, J)
and let the normal Chern number be zero. If V is compact and if the class [Co] is
J-simple (see 1.5.E2.) then one obtains with 1.5.E~. and 2.4.B'1. a unique maximal
neighborhood U C V of Co which is foliated (or rather fibrated) by holomorphic
"translates" of C o, such that the curve Cu through u e U has AreaCu~oo for
u-~aU C V. In particular, if the structure J is tamed by some co, then V is fibrated
into rational curves through all points v ~ V.
2.4.B'2. Example. Let (V, co) be a closed symplectic 4-manifolds and let S 2 C V be
an embedded sphere on which the form co does not vanish. Then there exists an
almost complex structure J on V tamed by co for which this sphere is
J-holomorphic. Now, the J-simplidty of [S 2] can be insured by some topological
condition. For instance, let the class IS 2] ~ H2(V; ) generate the image of the
Hurewicz homomorphism. Then V is foliated by symplectic "translates" of S 2. (See
[Gr02] for further topological obstructions on 4-dimensional symplectic mani-
P s e u d o h o l o m o r p h i c curves in symplectic m a n i f o l d s 339
folds which contain symplectic surfaces S with sufficiently positive (depending on

genus S) normal bundles.)
2.4.B3. The above discussion extends up to certain degree to closed symplectic
manifolds V of dimension 2n>6. For example, let (V, co) admit a symplectic
embedding of the space ( ~ P " - 1, 09o) for 2n = dim V, such that the normal bundle of
C P " - 1 C V is trivial. Consider a co-tame almost complex structure J on V whose
restriction to ~ P " - 1 equals the standard structure on ~ P " - 1. Then, if the class of
[-~p1] is J-simple, the family of the projective lines in C P " - 1 extends to all of V,
thus imposing certain restriction on the topology of V. For instance, every map of
such a V into an aspherical manifold sends the fundamental class I-V] ~ Hzn(V) to
zero. (See EGroz] for the proofs and for further examples.)
2.4.B'3. The above extension of J-curves from VoC V to V for codim Vo= 2 can be
played in reverse order. For example, take a closed symplectic submanifold V of
dimension 2 n - 2 in the standard space (CP", coo) such that V is homologous to
C P n-1CCP". The space II~P" has "many" J-curves for every almost complex
structure J tamed by coo. In particular this is true for the structures J which make
the submanifold V J-complex. Every rational J-curve in CP" homologous to
[~p1] meets such a Vat no more than one point as it follows from 2.1.C~. Thus, we
obtain with 2.3.Cp a rational curve in V through every two points in V. If dim V = 4
one then easily shows with these curves (compare 2.4.A].) that V is diffeomorphic
to ~p2 and that the induced (symplectic !) form cool V is isomorphic to the standard
one. (See [Gro2] for the proofs and further examples.)
2.4.C. Let (V, co) =(S 2, col)O(S 2, co2). If ~ col = ~ co2 then J-curves in Vfor every
S2 S2
co-tame structure J display essentially the same properties as Jo-curves for a split
structure J o = J i O J 2 , as seen by an argument similar to that in 2.4. But if
S col 9 ~ co2, then one needs an additional genericity assumption on J to insure a
S2 S2
proper behaviour of J-curves. If, for instance ~ col > k f co2, then the homology
S2 S2
class ~ of IS 2 So] - k[so S 2] can be realized by an embedded sphere S C V which
is the graph of a map S 2~ S 2 of degree - k , such that the form coIS does not vanish.
This sphere is J-holomorphic for certain e~-tame structures J, which form by the
discussion in 2.1. a 2k-codimensional subvariety in the space of all structures. If
such a sphere S is J-holomorphic, then the class pES 2 So] + q[s o S 2] contains no
regular J-curves unless q - pk ~=0 as it follows from 2.1.C2. In particular, the sphere
S 2 x s o in V admits no J-holomorphic realization. It is not hard to show however
(see [Gro2] that this sphere can be realized by a J-holomorphic curve for a generic
co-tame structure. Moreover, the same remains true for an arbitrary (possibly non-
split) symplectic form co' on V which can be joined with co by a homotopy of
symplectic forms cot on V.
2.4.C1. The "generic" existence theorem generalizes to 2n-manifolds V for all
n ~=2. This gives some control over deformations of periods of symplectic forms on
V. For example, if(V, e~o)is fibrated (or ruled) by 2-spheres, such that coo restricts to
a non-vanishing (area) form on each fiber S 2 C V, then every symplectic form co on
V homotopic to coo has S co 4=0 (see [Gro2], [-McD]).
$2
340 M. Gromov
Denote by J ' = f(o91, ('02) the space of those almost complex structures J
2 . 4 . C 2.
on V tamed by o9=o91@o9z for which both spheres so 2 and SZxso are
realizable by rational J-curves in V. Then, the argument in 2.4.A1. shows this J ' to
be weakly homotopy equivalent to the space 5e/S0(3)x SO(3) for the group
5~=5e(o91, o92) of symplectic diffeomorphisms of V.----($2, o91)(~($2, o92). If
S oga + S o92, then the complement J \ J ' contains a closed codimension two
S2 S2
subvariety 2 ; C J which linked to a circle S 1CJ', whose class [S 1] e H l ( f ; ~.)
does not vanish. It follows that the group 5e is not contractible to SO(3) x S0(3).
(See [Gro2] for further information.)
2.4.D. Let (V, J) be a smooth almost complex manifold with boundary 0V of V.
This boundary is called strictly J-convex if no holomorphic disk D in V with
boundary ODCIntV intersects 0V and if this property is stable under small
CZ-perturbations of J. Thid is equivalent to the usual pseudoconvexity for
complex analytic manifolds. In fact one can cast the above definition into analytic
language by first defining strictly J-convex (corresponding to strictly plurisub-
harmonic) functions f : V--*~ by requiring the 2-form d(~--1 dO to be positive
and then by calling OV J-convex in case there is a J-convex function in a small
collar neighborhood a V x [ 0 , 1 ] C V for OV such that f l O V = l ,
f l 0V x 1 = 0 and df nowhere vanishes.
Next, we take a totally real submanifold W ( 0V and we study J-holomorphic
curves CC V whose boundaries lie in W. Since dV is convex no J-holomorphic
deformation of C ever reaches the boundary at the interior points c 9 C. Hence, the
existence theorems 0.4.A. and 2.3.D. insure in the present case holomorphic
disks(D2, OD2)~(V, W). Furthermore, if dim V=4, then regular J-curves are
closed in the space of all curves (like closed curves in 2.4.B~.). That is a limit
f : (S, ~S)~( V, W) of regular J-curves f j : (S, ~S)~( V, W) is regular unless the map
f is nowhere one-to-one on some connected component of S. This can be
immediately derived from 2.4.B]. in case the structure J is complex near W and W
is real analytic. Indeed, V lies in a slightly greater manifold V + 3 V, such that a
small neighborhood U+CV + of W admits an anti-holomorphic involution
I : U + ~ U +. Since OVis J-convex, the intersection VnI(U +n V) equals W. Thus a
small analytic extension of every curve (C, OC)s to V + by
C + =CuI(CnU+)C V + is regular in-so-far as C is regular. Now, by 2.4.B1. the
limit curve may acquire no singularity in an interior point and the above extension
turns the boundary points of C to interior points of C +. (This argument
generalizes to all manifolds V, see [Gro/]. But the special case we have treated
suffices in most geometrically interesting cases.)
2.4.D~. Contact structures. Consider a one-codimensional subbundle O C T(X)
for a (2n-1)-dimensional manifold X. Assume the complementary bundle
T(X)/O to be orientable and let I be a 1-form on X whose kernel equals O. Then
the subbundle O is called contact (or a contact structure on X) if the differential dO
is non-singular on O, that is the (2n-2)-form (dO)"-~ does not vanish on O.
Next, let (V, J) be an almost complex manifold with a strictly J-convex
boundary C=OV. Then the subbundle O = T ( X ) c ~ - - I T(X)c T(X) clearly is
contact. Furthermore, if 2n = dim V = 4, then every totally real submanifold W C X

= OVC V is everywhere transversal to O. Moreover, for all n > 2 the boundary
OC C ~ V = X of every regular J-curve (C, 0C)C (V, OV) is everywhere transversal to
O. In particular, if n = 2, then the boundaries of regular J-curves (C, OC) C (V, W)
give us closed transversals to the line field O n T(W) for every totally real surface
WC3V.
2.4.D'1. Example. Let V be the unit ball in 1124 with OV=S 3 CI124 and let W be the
intersection o r s 3 with the real hyperplane Imz2 = 0 for the coordinates zt and Zz in
r This W is not totally real. In fact, there are exactly two points in W with
complex tangents, namely the points (z 1= 0, z2 = _+ 1). Furthermore, there is a one-
parameter family of holomorphic disks in V with boundaries in W: these are
{Rez2=t, Imz2=O} for te]-l,l[.
Let V' be obtained from V by removing the two complex tangency points from
W C V and let W' = Wc~ V' C V'. This W' clearly is totally real in V'. Moreover, one
easily constructs a symplectic form co' on V' which tames the complex structure of
V', for which W' is Lagrange and such that oY satisfies the conditions of 2.3.B. with
some metric/~' on V'. Now, the above family of disks fits into our framework. In
particular, this family is stable under deformations of the almost complex structure
on V which do not change the geometry near the two complex tangency points,
which keep ~ V convex and W totally real outside these points and which are tamed
by some symplectic forms on V'. In fact, one may even allow deformations which
do change geometry near the complex points but yet keep the complex tangency
elliptic in the following sense. An isolated complex tangency point WoE W C OV C V
is called elliptic if it is focal for the line field O n T(W) on W\{wo}. That is for some
choice of the orientation of this field all orbits of the resulting vector field on W
asymptotically approach Wo; moreover, this should remain true for all C2-small
perturbations W' of W and (or) of the almost complex structure on V. Namely,
every such perturbation is required to have a unique complex tangency point w; in
a fixed small neighborhood of Wo, and this w; must have the same "focal"
behaviour as Wo.
2.4.D2. Let (V, J) be an almost complex 4-manifold with a J-convex boundary and
let W C OV be a smoothly embedded 2-sphere with two elliptic complex tangency
points Wo and Wl on S 2 and with no complex tangency besides these points.
Theorem. If the manifold ( V, J) contains no non-constant rational curve and if J can
be tamed by some symplectic form co on V, then there exists a unique smooth family of
embedded J-holomorphic discs
(D2, OD2)C(V, W \ {w o, w,})
for t ~ ]0, 1[, for which the resultin9 map F : D 2 X ] 0 , 1 [--* V is a smooth embeddin9,
such that F(x, t)--*w o for t~O and F(x, t)~Wl for t ~ l .
Proof. Let us assume for the sake of simplicity the geometry near the points Woand
w l to be as for the standard sphere $2C $3C B*CI122. Then we do have our disks
near the points Wo and wl. Next, by 2.1.D. and by 1.5.D2. this local family of disks
342 M, Gromov
admits the desired global extension, since the areas of the disks are a priori
bounded by const area W and since the transversality of dD2C W to O n T ( W )
prevents the disks from degeneration to cusp-curves (see [Gr02] for more general
results).
2.4.D'2. Examples and corollaries. (a) The above theorem applies to the image
WCS3CB4CI~ 2 of the standard sphere S 2 Q S 3 under an arbitrary contact
transformation of S 3 (compare [B-G]).
(b) According to 2.4.D 2. the field O n T ( W ) has not closed orbits, as the curves
OD2 ( W cover W\{w o, wl} and they are everywhere transversal to O n T(W). In
fact, the above proof applies to an embedded closed disk WCOV with a unique
interior elliptic complex tangency point Wo~ Int W. This shows the existence of a
regular holomorphic disk (D 2, dD 2) C (V, W) whose boundary ~D 2 C W is tangent
to the boundary 0W at some point w'e OW. Hence, the boundary ~W cannot be a
periodic orbit of the field O n T ( W ) on W. This conclusion for disks W in the
standard sphere S 3 C IE4 is due to Eliashberg [El2] and to Bennequin [-Ben]. In fact,
Bennequin's analysis of the structure of complex points of surfaces in S 3 C 1122is by
far more precise and general.
(c) The above results generalizes to submanifolds W of dimension n in those
(2n - 1)-dimensional contact manifolds X which appear as J-convex boundaries of
almost complex 2n-dimensionals manifolds (V, J), where J can be tamed by a
symplectic form on V. The submanifolds W C X = ~ V in question are quite special:
The space OnTw(W) must be of dimension n - 1 for all w e W outside a
codimension two submanifold WoC W and the hyperplane field O n T ( W ) on
W\Wo must be integrable. One shows in certain cases (see [Gr02] the existence of
"sufficiently many" J-holomorphic disks (D 2, OD2)~(V, W\Wo). This imposes a
non-trivial global condition on the geometry of the foliation on W \ Wo tangent to
the field O n T(W) on W \ I4/0. Then one easily produces examples of submanifolds
W in some contact manifolds X diffeomorphic to 112,- 1 where this condition is
not met; this prevents any contact embedding of such an X into R 2"- ~ with the
n-1
standard contact structure (given by the form Y'. xi dyi + dz).
i=l
2.4.E. General elliptic equations for surfaces in W 4. Recall that the tangent space
T~(G) of the Grassmann manifold G = Gr2114 of oriented planes in R 4 is naturally
isomorphic, for all x e G, to the space of linear maps Gx~114/Gx for the plane
Gx C 114 corresponding to x e G. This defines a unique conformal structure on G
whose quadratic form h has signature (+ + - - ) and whose zero locus
{z e T~(G)Ih(z, z) = 0} consists of singular maps Gx---*~x4/Gx. A smooth connected
closed embedded surface E 0 C G is called elliptic if the form h is definite on
Te(Eo) C Te(G) for all e e Eo. For example, the projective line l~P 1C Gr2(114 = IF2) is
elliptic.
IfEo is elliptic, then, obviously, every line in 114 is contained in a unique plane
belonging to Eo. It follows (see [G-W] that Eo can be brought to II;P 1 or to ~--pl by
an isotopy of elliptic surfaces in Gr2114, where I~P 1 denotes the set of complex lines
in 114=1122 with the reversed orientations.
Next, let E be a smooth 6-dimensional submanifold in the Grassmann bundle
Gr2 V of a 4-manifold V. Such an E is called elliptic if it transversally meets every
fiber Gr2rv(V)=Gr2 ~4, v e V, in an elliptic surface, say E v = E n G r T v ( V ). A

smoothly embedded surface C C V is called an E-curve if the tangential lift C C Gr2 V
of C lies in E. Fix an E-curve Co C V and consider infinitesimal deformations of C O
which are given by sections of the normal bundle N = N(C 0 C V). Among these, we
distinguish deformations which (infinitesimally) keep (70 in E. Then there is an
(obviously constructed) linear differential operator, say Je on sections f : C 0 ~ N,
such that the (germs of) solutions to the equation ~-Ef = 0 are exactly and only the
distinguished deformations. Furthermore, the operator UE is (easily seen to be)
elliptic for all elliptic submanifolds E C Gr2 V. (In fact, the ellipticity of E and that of
fit are equivalent.) Moreover, there is a unique almost complex structure J = J(E)
on the space N, such that (the l-jets of) J-holomorphic sections f : Co-~,N are
exactly and only (the 1-jets of) solutions to JEf-=O. This is well known and the
proof is an exercise in linear algebra. In fact, J can be seen geometrically by
observing for every elliptic surface E CGr2 R4 and for every point e EE the
existence of a complex linear structure on N 4 for which the corresponding
projective line I~P 1 C Gr2~. 4 contains e and has Te(~P l) = Te(E).
Indeed, the natural action of the group G L 4 R on the space of tangent planes
z C T(Gr2R 4) has precisely two open orbits corresponding to the type (definite or
indefinite) of the form h lz. This affinity between E and the Cauchy-Riemann
equation insures the Schwarz Lemma of 1.2. for E-curves. Namely, one fixes a
Riemannian metric/1 and then the argument in 1.2. provides a bound on I[~sll for
conformal embeddings f : S C V whose images C = f(S) are E-curves and where S is
any Riemann surface. From this point on all facts on J-curves proven in the
present paper extend to E-curves with an obvious change of terminology. Here are
instances of that.
Non-linear Riemann mappin 9 theorem. A symplectic form co on V is said to tame an
elliptic submanifold E C Gr2 V if co is positive on all planes r C T(V) which belong to
E.
2.4.E 1. Let (V, co)=(S2,coo)(~(S2,coo) and let E be tamed by co. Then there is a
unique C~-splittin9 V = $1 x $2, such that the fibers $1 x s 2 and s 1 x $2 are regular
E-curves in V for all (sl, s2) e $1 x $2. Furthermore, if no two out of three given
points v 1, v2 and v 3 in V are contained in one of these fibers, then there is a unique
regular E-curve C C $1 x $2 whose projections to $1 and to $2 are diffeomorphisms.
Proof. The group of symplectic automorphisms of the bundle (T(V), co) obviously
acts on elliptic submanifolds E C G2 V tamed by 09. This provides a homotopy Et of
m-tame submanifolds in Gr2V, such that E~ = E and such that the fibers SZx s,
S 2 x s, s e S 2 of the original splitting of V are Eo-curves. Now use the homotopy of
Et-curves homologous to S 2 x s as in 2.3.C. Thus one obtains for t = 1 the fibers
$1 x s2 and also the fibers sl x $2. Finally, to construct C = C(vl, vz, v3) we start
with some Eo which does admit a Eo-curve Co homologous to the diagonal in
S2x S 2. Then we take three distinct points vi(0)e C, i = 1,2, 3, and let vi(t)~ V,
t e [-0, 1], be a homotopy, such that vi(1) = v~and such that the triple {v~(t)} satisfies
the "no two points on a E~-fiber" condition for a homotopy Et of Eo to E~ = E. Then
we obtain as earlier a homotopy of.Et-curves C~= C(E~, vi(t)), where C~ is the
required curve C.
344 M. G r o m o v
2.4.E 2. An involution I of a manifold V with a given ECGr2V is called a

conjugation if I(f)E E for all planes z ~ E where f denotes the plane with the
reversed orientation. F o r example, if V is a complex algebraic manifold defined
over ll, then the Galois involution is a conjugation for the submanifold of complex
lines in Gr 2V.
Now, we return to V = S 2 x S 2 with the E-curves Sl(v) and S2(v) in V passing
through all v~ V and with C(vx,Vz, V3) through vl, v2 and v 3. Let the map
1 : (sl, s2)~-*(gl, s2) be a conjugation where s~-.g denotes the reflection of S 2 in the
equator S x C S 2. Observe that the fixed point set of this I is the torus W = S ~ x S 1
and that W necessarily is totally real in (V, E), that is no tangent plane to W belongs
to E.
2.4.E'2. I f v~ W, then the E-curves Sl(V) and S2(v) are I-invariant and their
intersections with W are simple closed (1-dimensional) curves which are homologous
in W to the circles S 1 x s and s x S ~, s ~ S 1, correspondingly. Furthermore, every
E-curve C = C(vl, v2, v3) for vi~ W, i = 1,2, 3 also is I-invariant and the intersection
C n W is a simple closed curve in W.
Proof. Choose the homotopy E t such that the (fixed) involution I conjugates E t for
all t e [0, 1]. Then I acts on the space of Et-curves by an involution and this action
is C~-stable in t like any other smooth action of a compact group on a manifold.
Now, the desired property of I for t = 1 follows from that for t = 0 as earlier.
An alternative argument consists in observing that the curve I(C) with the
reversed orientation is an E-curve for every E-curve C in E. If v e W, then the
E-curves S1(v ) and I(Sl(v)) meet at v (as I(v)= v), and hence, Sl(v ) = I(Sl(v)). The
rest of the proof is obvious.
2.4.E3. Consider a compact manifold V with a boundary and call this boundary
E-convex for a given E C Gr2 V if every connected E-curve C C V whose boundary
OC lies in the interior Int V never meets the boundary 0 V. If this convexity is stable
under small C2-perturbations of E, then 0V is called strictly E-convex.
Since E is elliptic, each tangent space Tv(OV), v ~ 0Vcontains a unique plane
ByC T~(OV) which belongs to E (regardless of the convexity of E) and every totally
real submanifold WCOV is everywhere transversal to the subbundle
0 = U OvC T(OV). Hence, every closed connected component of W is a 2-torus.
veV
Next, let co be a symplectic structure on V which tames E and let W C OV be a
Lagrange torus. Moreover, assume the existence of a symplectic embedding
Fo : (D 2, coo)O(D 2, c%)--. (V, co), where D 2 is the unit disk in ~ 2 with COo= d x ^ dy,
such that the torus OD2 x OD2 goes onto W, and let every smoothly mapped disk
(D, OD)--*(V, W) have S co=k S coo =krc, for some integer k=k(O2-~V).
D D2
2.4.E'3. Let the boundary OV be strictly E-convex. Then there exists an embedding
F : D 2 x D 2--* V, such that
(i) F(OD 2 x OD2) = W and the map F is homotopic to F 0 by a homotopy of maps
(O 2 x D 2, OD2 x 0D2)--*(V, W);
(ii) the images F(s x D 2) and F(O 2 x s) are E-curves in V for all s ~ D 2.
Furthermore, the image F(D 2 x D 2) Q V is uniquely determined by the conditions

(i) and (ii).
Proof. Start with the construction of the E-curves F(D 2 s) Q V, s ~ OD 2, with
boundaries F(OD 2 x s) in W. This is done as in 2.4.Er with a homotopy Et orE = E1
to an elliptic submanifold E0 for which the original disks Fo(D z s) are Eo-curves
and such that the boundary 0V is strictly Erconvex for all t e [-0, 1]. The only
remaining point is to check the regularity of the pertinent Er-disks (obtained by a
homotopy of the disks Fo(D 2 s)) at their boundary points. This is especially easy
(compare 2.1.D.) under the following assumption on E over a small neighborhood
U ( V of the torus W.
(*) There exists an extension of EI U to a C~-smooth elliptic submanifold
E' C Gr2 U" for some manifold U' containing U as an open subset, U C U', such that
U' admits a E'-conjugation I : U ' ~ U ' , which keeps W fixed and for which
I ( O ) n U -- W.
If (*) is satisfied, then every E-disk (D2, OD2)C(V, W) extends across the
boundary to an U-disk in W ' = Vu U'. Thus the boundary regularity reduces to
the interior regularity of the extended disk. Finally, one achieves (*) for every E by
applying a small perturbation to E] U, and thus one obtains (with some extra
work) embeddings of D 2 x 0 D 2 and of t~O 2 x O 2 in V which send the disks 0 2 X S
and s x D E, for all s e t~D2, to E-disks in V. Now, these embeddings extend to the
required map F : 0 2 D E ~ V as follows. Start with an extension F1 : D 2 x D 2--~ V
which satisfies (i) (but may violate (ii) outside the boundary 0(0 2 2)
=D2xt')DEuOD2xD 2) and consider the pull-back EI=F*(E)CGr2(DExD2).
Then use the standard embedding D 2 x O 2 QS 2 X S 2 and extend E1 to an elliptic
submanifold E~ C Gr2(S 2 82). If E satisfies (*), then choose an E] which admits a
conjugation I: S 2 x S 2 ~ S 2 x S 2 which keeps the torus F~-x(W)C S z x S 2 fixed and
such that (DE x D 2 ) n I ( D E Now, the E-curves F ( s 2) for
s e IntD 2 are obtained by first taking E'-curves in S 2 x S 2 homologous to s S 2,
then by intersecting these with D E x D 2 and finally by bringing the intersections to
V by the map F 1. The conclusion of the proof under the assumption (*) is obvious
at this point and a simple approximation argument yields the proof in the general
case.
2.4.E~. Take three (generic) points w l, w 2 and w 3 in W such that neither the circle
F(s~ x D 2) C W nor F(t~D 2 x s2) C W contains more than one of these points for all sj
and s 2 in OD2. Then there exists a unique E-disk D =D(w 1, w2, w3) in V, such that
(i) D is contained in the image F(D 2 x D 2) ( V and D is transversal to the disks
F(s x D 2) and F(D2x s) for all s e D2;
(ii) the boundary OD is contained in W and it contains the points w a, w 2 and w 3.
Proof. Repeat the argument used in 2.4.Er to produce the E-sphere
C = C(v~, v2, v3). Alternatively, recall the above E] (Gr2(S2x S z) and take the
intersection of the E'l-sphere C(vl, v2, v3) for vi = F - l(wi), i = 1,2, 3, with D 2 x D 2
(brought back to V by the map F~) for D.
Remark. This theorem is due to Lavrentyev [Lav] who assumes the existence of an
E-splitting of D2x D 2 to start with 'and who puts the emphasis on the map
f : D 2 ~ D 2 rather than on the graph I ' f Q D Z x D z that is our E-disk D.
346 M. Gromov
Acknowledgements. I am deeply grateful to Dusa McDuffwho has painstakingly read the first draft of
the paper and located a multitude of inconsistences and errors. I thank Pierre Pansu and Jean-Claude
Sikorav for pointing out mistakes in my original treatment of surfaces.
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Invent. math.

82, 307-347 (1985)

Pseudo holomorphic curves in symplectic manifolds

Consider a smooth manifold V with an almost complex structure J, that is a

0.2. Curves in tame manifolds

Definitions. An anti-symmetric N-bilinear form 090 on ~ " is called positive if it is

This is shown in N2.3.C., 2.4.B~. with a precised notion of the "general

e)v(x, ~ 1y) = Ilco~[I2 g,(x, y) (*)

Remark. Every closed surface S C I ~ P 2 homologous to dCP 1 satisfies the opposite

with the equality for Jo,-holomorphic curves in C P 2.

0.3. Global invariants of symplectic manifolds

radius R satisfies the inequality R<e. ( A diffeomorphism f : B ~ V " is called

symplectic if f*(coo) = coo for 090 = ~ dx~ ^ dyi. ~

The above corollary gives an upper bound on the radius of a symplectic

Rad V = min(R 1, R2).

Therefore, the existence of a symplectic diffeomorphism between two such

0.3.C. Symplectic diffeomorphisms of 4-dimensional manifolds. Let V=(S 2 S 2,

0.4. Pseudo holomorphic curves with boundaries

Let W be a totally real submanifold in an almost complex manifold V, that is dim W

DZ"={xl,Yl ..... x,,yn[x2+y2<_<_e2, i = 1 ..... n}.

(CO~,D) = k(CO. D~) (,)

there exists a J-holomorphic map f : D 2 --~V with f ( 0 D 2) C W, which is homotopic (as

0.4.A 5. The classical Riemann mapping theorem for holomorphic maps

0.5. Historical remarks and references

1. Compactness properties of holomorphic curves

1.1. A bound on the curvature of a holomorphic curve

1.1.A. Corollary. Let J be a Cl-smooth almost complex structure on Is, let # be a

IlTraceflI~(C, Vo)II --<const -- const (J, #, v0) (2)

G Curv(# IC) < const = const(J, #) (3)

1.2. The Schwarz lemma for conformal maps

length OVd< length ~ V'. (4)

Let f : D 2 ~ V be an injective conformal map and let fo : D Z ~ Vo be a conformal

II~sll (0)=< II~soll (0). (50)

while the map fo obviously satisfies

1.3. Gradient bounds for pseudo-holomorphic curves

for all s ~ S and for const--const(V, S).

Proof. Every compact J-curve S'd V with boundary satisfies

AreaS'<C1 S co=C1 ~ l<C21engthOS'. (8)

tl~Is II (0) < const (V, co), (9)

where the equality holds if and only if z 2 = ~ - - 1 z 1.

AreaS" __>(1 + Ce) AreaS' (11)

for some constant C = C(V).

1.3.B'. Corollary. The surface S" satisfies

AreaS'< (4re)- 1 (1 + C'e) (length 0S') z (12)

for 6 = min(e, length aS').

1.4. Jets of pseudo-holomorphic maps and sections

space of 2-jets of J-curves C C V tangent to Co at vo equals, by the differentiation

1.4.D. Remarks on curvature equations. Many geometrically significant second

The relation (*) is satisfied by the second fundamental forms h of isometric

1.5. Weak limits of holomorphic curves

In the course of a deformation the topology of a holomorphic curve C C V may

An almost complex structure in Sby definition is that in S ~ A continuous map

fj: (s, Jj)--,(v, J).

Area u C j < A , j=l,2 .....

then some subsequence weakly converges to a cusp-curve C in V.

AreaB~>e 2, for e<eo, (14)

provided the positive number eo =co(V, J, #) is sufficiently small. Using this we

Diamu C' < 10 lengthu OC'. (15)

Furthermore, let C'be conformally equivalent to the cylinder S 1 [-0, l] where S 1 is

7!C(Cj\Fj, I~*, i=1 ..... k, j = l , 2 . . . . .

1.5.D 2. Take a totally real submanifold W c ( E J) and consider compact holo-

Corollaries 1.5.E 1. Take a holomorphie fibration of a compact manifold over a

ment, is non-constant on at most one component of S 2 \ ~ 7~. For example, e is