Abstract
This paper is motivated by the characterization of the optimal symmetry breaking region in Caffarelli-Kohn-Nirenberg inequalities. As a consequence, optimal functions and sharp constants are computed in the symmetry region. The result solves a longstanding conjecture on the optimal symmetry range. As a byproduct of our method we obtain sharp estimates for the principal eigenvalue of Schrödinger operators on some non-flat non-compact manifolds, which to the best of our knowledge are new. The method relies on generalized entropy functionals for nonlinear diffusion equations. It opens a new area of research for approaches related to carré du champ methods on non-compact manifolds. However, key estimates depend as much on curvature properties as on purely nonlinear effects. The method is well adapted to functional inequalities involving simple weights and also applies to general cylinders. Beyond results on symmetry and symmetry breaking, and on optimal constants in functional inequalities, rigidity theorems for nonlinear elliptic equations can be deduced in rather general settings.
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Acknowledgments
This work has been partially supported by the Projects STAB and Kibord (J.D.) of the French National Research Agency (ANR). M.L. has been partially supported by the NSF Grant DMS-1301555. The authors thank the referees for their careful reading of the paper.
\(\copyright \) 2016 by the authors. This paper may be reproduced, in its entirety, for non-commercial purposes.
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Appendix: Regularity and decay estimates
Appendix: Regularity and decay estimates
We denote by \('\) and \(\nabla \) the differentiation with respect to s and \(\omega \) respectively. We work in the general setting and do not assume that \(\mathfrak M={\mathbb {S}}^{d-1}\).
Proposition 8.1
Any positive solution \(\varphi \in {\mathrm {H}}^1({\mathcal {C}})\) of (1.7) with \(p\in (2, 2^*)\) is uniformly bounded and smooth. Moreover there are two positive constants, \(C_1\) and \(C_2\) such that, for all \((s,\omega )\in {\mathcal {C}}\),
Proof
A similar result was proved in [13]. Here we work in a more general setting when \(\mathfrak M\ne {\mathbb {S}}^{d-1}\). For sake of completeness, we sketch the main steps of the proof.
Step 1. The solution is bounded, smooth and \(\lim _{|s|\rightarrow +\infty }\varphi (s,\omega )=0\) for any \(\omega \in \mathfrak M\). Boundedness is obtained by a Moser iteration scheme. The \(C^\infty \) regularity follows by a localized boot-strap argument based on, e.g., [32, Corollary 7.11, Theorem 8.10, and Corollary 8.11]. If \(s\mapsto \chi (s)\) is a smooth truncation function such that \(0\le \chi \le 1\), \(\chi \equiv 1\) if \(|s|\le 1\) and \(\chi \equiv 0\) if \(|s|\ge 2\), then \(\varphi _\varepsilon (s,\omega ):=\varphi (s,\omega )\,\big (1-\chi (\varepsilon \,s)\big )\) has an arbitrary small norm in \({\mathrm {H}}^1({\mathcal {C}})\) and \(\lim _{\varepsilon \rightarrow 0_+}\Vert {\varphi _\varepsilon }\Vert _{{\mathrm {L}}^{\infty }({\mathcal {C}})}=0\), again by a Moser iteration scheme.
Step 2. Exponential decay of \(\varphi \) in |s|. For any \(\mu \in (0,\sqrt{\Lambda })\), let \(h(s):=e^{-\mu \,|s|}\) and define
By the Strong Maximum Principle applied to the function \((h-\varphi )\) which solves
for \(|s| \ge s_\mu \), we get the estimate
Step 3. Optimal exponential decay of \(\varphi \) in |s|. The function \(h_1(s,\omega ):=e^{-\sqrt{\Lambda }\,|s|}\) satisfies the equation \(-\,\Delta \,h_1+\Lambda \,h_1=0\) on \({\mathcal {C}}\cap \{|s|>1\}\). Hence, by the Strong Maximum Principle, we have
From Step 2 we know that for some positive M and \(\bar{s}\), we have
while the function \(h_2(s,\omega ):=e^{-\sqrt{\Lambda }\,|s|}\,e^{\frac{\lambda }{|s|}}\) satisfies
By taking \(\lambda <-\frac{M}{2\sqrt{\Lambda }}\) and applying the Strong Maximum Principle for \(S>0\) large enough, we obtain
Step 4. Optimal exponential decay in |s| for \(\nabla \varphi \), \(\Delta \,\varphi \). Using local charts and [32, Theorem 8.32, p. 210] on local \(C^{1,\alpha }\) estimates, all first derivatives of \(\varphi \) converge to 0 with rate \(e^{-\sqrt{\Lambda }\,|s|}\) as \(|s|\rightarrow +\infty \). [32, Theorem 8.10, p. 186] provides local \({\mathrm {W}}^{k+2,2}\) estimates of the order \(e^{-\sqrt{\Lambda }\,|s|}\) for |s| large enough. The result follows from [32, Corollary 7.11, Theorem 8.10, and Corollary 8.11] if k is taken large enough. \(\square \)
Next we rephrase the results of Proposition 8.1 in the language of the pressure function \({\mathsf {p}}\) of Sect. 4 using (6.1) and establish the estimates needed in Lemmas 4.3 and 6.1.
Proposition 8.2
Let \(m=1-1/n\) and \(\varphi \in {\mathrm {H}}^1({\mathcal {C}})\) be a positive solution of (1.9) with \(p\in (2, 2^*)\). Then the functions \({\mathsf {p}}\) associated with \(\varphi \) according to (6.1) are such that \({\mathsf {p}}''\), \({\mathsf {p}}'/r\), \({\mathsf {p}}/r^2\), \(\nabla {\mathsf {p}}'/r\), \(\nabla {\mathsf {p}}/r^2\) and \(\Delta {\mathsf {p}}/r^2\) are bounded as \(r\rightarrow +\infty \) and of class \(C^\infty \) on \((0,\infty )\times \mathfrak M\). Moreover, if \(\alpha \le \alpha _\mathrm{FS}\), as \(r\rightarrow 0_+\), we have
-
(i)
\(\int _{\mathfrak M}{|{\mathsf {p}}'(r,\omega )|^2}\,dv_g\le O(1)\),
-
(ii)
\(\int _{\mathfrak M}{|\nabla {\mathsf {p}}(r,\omega )|^2}\,dv_g\le O(r^2)\),
-
(iii)
\(\int _{\mathfrak M}{|{\mathsf {p}}''(r,\omega )|^2}\,dv_g\le O(1/r^2)\),
-
(iv)
\(\int _{\mathfrak M}{\left| \nabla {\mathsf {p}}'(r,\omega )-\tfrac{1}{r}\,\nabla {\mathsf {p}}(r,\omega )\right| ^2}\,dv_g\le O(1)\),
-
(v)
\(\int _{\mathfrak M}{\left| \Delta {\mathsf {p}}(r,\omega )\right| ^2}\,dv_g\le O(1/r^2)\).
Moreover, with the notations defined by (4.8) and (6.3),
and
Proof
We say that \(f(s,\omega )\sim g(s,\omega )\) as \(s\rightarrow +\infty \) (resp. \(s\rightarrow -\infty \)) if the ratio f / g is bounded from above and from below by positive constants, independent of \(\omega \), and for s (resp. \(-s\)) large enough.
There are some easy consequences of the change of variables (6.1) and of Proposition 8.1: since \(\varphi (s,\omega )\sim e^{\sqrt{\Lambda }\,s}\) as \(s\rightarrow -\infty \), \(\varphi (-\log r/\alpha ,\omega )\sim r^{-2/(p-2)}\) as \(r\rightarrow +\infty \) and it is straightforward to check that \({\mathsf {p}}''\), \({\mathsf {p}}'/r\), \({\mathsf {p}}/r^2\), \(\nabla {\mathsf {p}}'/r\) and \(\nabla {\mathsf {p}}/r^2\) are bounded as \(r\rightarrow +\infty \). As a consequence, we obtain that
because, by assumption, we know that \(n>d\ge 2\).
To complete the proof, one has to establish that \(\lim _{r\rightarrow 0_+}{\mathsf {b}}(r)=\lim _{r\rightarrow 0_+}{\mathsf {c}}(r)=0\). A convenient method for that relies on the Kelvin transformation. Let
with \(R=1/r\). It is a remarkable fact to observe that \(\widetilde{u}\) solves the same equation as u, which can be easily seen after applying the Emden-Fowler transformation \(w(r,\omega )=r^{2-n}\,\widetilde{w}(R,\omega )\) to the function w such that \(u(r,\omega )=|w(r,\omega )|^\frac{2\,n}{n-2}\). With evident notations if \(\varphi \) and \(\widetilde{\varphi }\) are given in terms of w and \(\widetilde{w}\) by (1.5), then \(\widetilde{\varphi }(s,\omega )=\varphi (-s,\omega )\) for any \((s,\omega )\in {\mathbb {R}}\times \mathfrak M\) and it is clear that Eq. (1.9) is invariant under the transformation \(s\mapsto -\,s\).
According to Proposition 8.1, \({\mathsf {p}}(r,\omega )=r^2\,\widetilde{{\mathsf {p}}}(1/r,\omega )\) is bounded away from 0 and from infinity, and, uniformly in \(\omega \),
which are of order at most 1 / r. Moreover, also uniformly in \(\omega \),
which are of order at most \(1/r^2\). This shows that \(|{\mathsf {b}}(r)|\), \({\mathsf {c}}(r)\le O(r^{n-4})\) and concludes the proof if \(4\le d<n\). When \(d=2\) or 3 and \(p>4\), i.e., \(n<4\), more detailed estimates are needed. We will actually prove Properties (i)–(v) as \(r\rightarrow 0_+\). Using the fact that \(\widetilde{\varphi }\) and \(\varphi \) solve the same equation, this amounts to prove that
-
(i)
\(\int _{\mathfrak M}{\left| \frac{\varphi '(s,\omega )}{\varphi (s,\omega )}-\sqrt{\Lambda }\right| ^2}\,dv_g\le O(e^{2\alpha s})\),
-
(ii)
\(\int _{\mathfrak M}{\left| \frac{\nabla \varphi (s,\omega )}{\varphi (s,\omega )}\right| ^2}\,dv_g\le O(e^{2\alpha s})\),
-
(iii)
\(\int _{\mathfrak M}{\left| \frac{\varphi ''(s,\omega )}{\varphi (s,\omega )}-\,\frac{p}{2}\,\frac{|\varphi '(s,\omega )|^2}{|\varphi (s,\omega )|^2}+\,\alpha \,\frac{\varphi '(s,\omega )}{\varphi (s,\omega )}\right| ^2}\,dv_g\le O(e^{2\alpha s})\),
-
(iv)
\(\int _{\mathfrak M}{\left| \frac{p}{2}\,\frac{\varphi '(s,\omega )\,\nabla \varphi (s,\omega )}{|\varphi (s,\omega )|^2}-\frac{\nabla \varphi '(s,\omega )}{\varphi (s,\omega )}\right| ^2}\,dv_g\le O(e^{2\alpha s})\),
-
(v)
\(\int _{\mathfrak M}{\left| \frac{\Delta \varphi (s,\omega )}{\varphi (s,\omega )}-\,\frac{p}{2}\,\frac{|\nabla \varphi (s,\omega )|^2}{|\varphi (s,\omega )|^2}\right| ^2}\,dv_g\le O(e^{2\alpha s})\),
as \(s\rightarrow -\infty \).
Proof of (i). Let us consider a positive solution \(\varphi \) to (1.9) and define on \({\mathbb {R}}\) the function
By integrating (1.9) on \(\mathfrak M\), we know that \(\varphi _0\) solves
From the integral representation
we deduce that \(\varphi _0(s)\sim e^{\sqrt{\Lambda }s}\sim \varphi (s,\omega )\) as \(s\rightarrow -\infty \) and
If we define \(\psi (s,\omega ):=e^{\sqrt{\Lambda }\,|s|}\,\big (\varphi (s,\omega )-\varphi _0(s)\big )\), we may observe that it is bounded and solves the equation
and
We recall that \(e^{-\sqrt{\Lambda }\,s}\,\varphi (s,\omega )\) is bounded from above and from below by positive constants as \(s\rightarrow -\infty \), and \(|e^{-\sqrt{\Lambda }\,s}\,\partial _s\varphi (s,\omega )|\) is bounded above. As a consequence, we know that \(\partial _s H=O(e^{2\alpha s})\) as \(s\rightarrow -\infty \). Hence we know that
where C is a constant.
We differentiate (8.1) with respect to s. The function \(\partial _s\psi \) solves
with
Let us define
multiply (8.2) by \(\partial _s\psi \) and integrate over \(\mathfrak M\). Using
and
we obtain that the nonnegative function \(\chi _1\) solves
where the Poincaré inequality
holds because \(\int _{\mathfrak M}{\partial _s\psi }\,dv_g=0\) for any \(s\in {\mathbb {R}}\), by definition of \(\psi \), and where
From the Cauchy-Schwarz inequality, we deduce that
that is,
and inserting this estimate in (8.3) we obtain
Let \(\zeta _1=\sqrt{\chi _1}\) and observe that it solves
By Cauchy-Schwarz inequality, for \(s\rightarrow -\infty \),
Using once more an integral representation of the solution, with \(\mu :=\sqrt{\Lambda +\lambda _1}\), it is easy to check that
which is enough to deduce that \(\zeta _1(s)\le O\big (e^{\alpha s}\big )\) as \(s\rightarrow -\infty \). Note that the condition that
is equivalent to the inequality \(\alpha \le \alpha _\mathrm{FS}\). Hence we have shown that for \(\alpha \le \alpha _\mathrm{FS}\),
This ends the proof of (i).
Proof of (ii). By differentiating (1.9) with respect to \(\omega \), we obtain
We proceed as in case (i). With similar notations, by defining
after multiplying the equation by \(\nabla \varphi \) and using the fact that
as, e.g., in [25, Lemma 7] and the Cauchy-Schwarz inequality, we obtain
with \(h_2 := (p-1)\,\int _{\mathfrak M}{\varphi ^{p-2} |\nabla \varphi |^2}\,dv_g = O\big (e^{-\,p\,\sqrt{\Lambda }\,|s|}\big )\). The function \(\zeta _2=\sqrt{\chi _2}\) satisfies
By the Cauchy-Schwarz inequality, \(h_2/\zeta _2 = O\big (e^{-\,(p-1)\,\sqrt{\Lambda }\,|s|}\big )\). We easily deduce that
Indeed, we observe that \(\sqrt{\Lambda +\lambda _1}-\sqrt{\Lambda }\ge \alpha \) for any \(\Lambda \in (0,\Lambda _{\,{\mathrm{FS}}})\) and \(\varphi (s,\omega )\sim e^{\sqrt{\Lambda }\,s}\) as \(s\rightarrow -\infty \), which ends the proof of (ii).
Proof of (iii). With \(\psi =e^{-\sqrt{\Lambda }s}\,(\varphi -\varphi _0)\) and \(\varphi _0(s)=\int _{\mathfrak M}{\varphi (s,\omega )}\,dv_g\) as in case (i), we can check that
Because according to Proposition 8.1 \(\partial _s\psi \) and \(\frac{\partial _s\varphi }{\varphi }\) are bounded as \(s\rightarrow -\infty \), and taking into account (8.4), it remains to prove that
is of order \(O(e^{2\alpha s})\). We differentiate (8.1) twice with respect to s. After multiplying the equation by \(\partial _s^2\psi \) and using the fact that
because \(\int _{\mathfrak M}{\partial _s^2\psi }\,dv_g=0\), we obtain
with \( h_3:=\int _{\mathfrak M}{\partial ^2_sH\,\partial ^2_s\psi }\,dv_g. \) With the same arguments as in case (i), we deduce that
This ends the proof of (iii).
Proof of (iv). The term \(\frac{\varphi '(s,\omega )\,\nabla \varphi (s,\omega )}{|\varphi (s,\omega )|^2}\) is easily bounded after integrating with respect to \(\omega \) because \(\frac{\partial _s\,\varphi }{\varphi }\) is bounded according to Proposition 8.1 and by (ii). As for the term \(\frac{\nabla \varphi '(s,\omega )}{\varphi (s,\omega )}\), we proceed like in case (ii). By applying the operator \(\nabla \partial _s\) to (1.9), we obtain
With similar notations, by defining
after multiplying the equation by \(\nabla \partial _s\varphi \) and using the Poincaré inequality
we obtain
with \(h_4:=\int _{\mathfrak M}{\partial _s \nabla H\,\partial _s \nabla \varphi }\,dv_g\). With the same arguments, we deduce that
We end the proof of (iv) by observing that \(\varphi (s,\omega )\sim e^{\sqrt{\Lambda }\,s}\) as \(s\rightarrow -\infty \).
Proof of (v). By applying the Laplace-Beltrami operator to (1.9), we obtain
We proceed as in case (ii). With similar notations, by defining
after multiplying the equation by \(\Delta \varphi \) and using the fact that
we obtain
with \(h_5:= \int _{\mathfrak M}{\Delta H \, \Delta \varphi }\,dv_g\). With the same arguments, we deduce that
using again the fact that \(\sqrt{\Lambda +\lambda _1}-\sqrt{\Lambda }\ge \alpha \) for any \(\Lambda \in (0,\Lambda _{\,{\mathrm{FS}}})\) and \(\varphi (s,\omega )\sim e^{\sqrt{\Lambda }\,s}\) as \(s\rightarrow -\infty \). The estimate for the other term follows from (ii).
This ends the proof of (v). \(\square \)
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Dolbeault, J., Esteban, M.J. & Loss, M. Rigidity versus symmetry breaking via nonlinear flows on cylinders and Euclidean spaces. Invent. math. 206, 397–440 (2016). https://doi.org/10.1007/s00222-016-0656-6
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DOI: https://doi.org/10.1007/s00222-016-0656-6