Hofer Etal03 PDF

Annals of Mathematics
Finite Energy Foliations of Tight Three-Spheres and Hamiltonian Dynamics

Author(s): H. Hofer, K. Wysocki, E. Zehnder
Source: The Annals of Mathematics, Second Series, Vol. 157, No. 1 (Jan., 2003), pp. 125-255
Published by: Annals of Mathematics
Stable URL: http://www.jstor.org/stable/3597166
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Annals of Mathematics, 157 (2003), 125-255
Finite energy foliations of tight

three-spheres and Hamiltonian dynamics
By H. HOFER, K. WYSOCKI, and E. ZEHNDER*
Abstract
Surfaces of sections are a classical tool in the study of 3-dimensional dy-

namical systems. Their use goes back to the work of Poincare and Birkhoff.
In the present paper we give a natural generalization of this concept by con-
structing a system of transversal sections in the complement of finitely many
distinguished periodic solutions. Such a system is established for nondegener-
ate Reeb flows on the tight 3-sphere by means of pseudoholomorphic curves.
The applications cover the nondegenerate geodesic flows on T1S2 - RP3 via
its double covering S3, and also nondegenerate Hamiltonian systems in IR4
restricted to sphere-like energy surfaces of contact type.
Contents
1. Introduction
1.1. Concepts from contact geometry and Reeb flows
1.2. Finite energy spheres in S3
1.3. Finite energy foliations
1.4. Stable finite energy foliations, the main result
1.5. Outline of the proof
1.6. Application to dynamical systems
2. The main construction
2.1. The problem (M)
2.2. Gluing almost complex half cylinders over contract boundaries
2.3. Embeddings into CP2, the problems (V) and (W)
2.4. Pseudoholomorphic spheres in CP2
*The research of the first author was partially supported by an NSF grant, a Clay scholarship
and the Wolfensohn Foundation. The research of the second author was partially supported by an
Australian Research Council grant. The research of the third author was partially supported by
TH-project.
126 H. HOFER, K. WYSOCKI, AND E. ZEHNDER
3. Stretching the neck

4. The bubbling off tree
5. Properties of bubbling off trees
5.1. Fredholm indices
5.2. Analysis of bubbling off trees
6. Construction of a stable finite energy foliation
6.1. Construction of a dense set of leaves
6.2. Bubbling off as mk -> m
6.3. The stable finite energy foliation
7. Consequences for the Reeb dynamics
7.1. Proof of Theorem 1.9 and its corollaries
7.2. Weakly convex contact forms
8. Appendix
8.1. The Conley-Zehnder index
8.2. Asymptotics of a finite energy surface near a nondegenerate puncture
References
1. Introduction
Pseudoholomorphic curves, in symplectic geometry introduced by Gromov

[23], are smooth maps from Riemann surfaces into almost complex manifolds
solving a system of partial differential equations of Cauchy-Riemann type. The
use of such solutions in dynamical systems was demonstrated in the proofs of
the V. I. Arnold conjectures in [15], [17] and [16] concerning forced oscilla-
tions of Hamiltonian systems on compact symplectic manifolds. The proofs
are based on the structure of pseudoholomorphic cylinders having bounded
energies and hence connecting periodic orbits. In his proof [24] of the A. We-
instein conjecture about existence of periodic orbits for Reeb flows, H. Hofer
designed a theory of pseudoholomorphic curves for contact manifolds. This
theory was extended in [35] in order to establish a global surface of section for
special Reeb flows on tight three spheres. These flows include, in particular,
Hamiltonian flows on strictly convex three-dimensional energy surfaces. In the
following we consider a larger class of Reeb flows on the tight three sphere
which do not necessarily admit a global surface of section. The aim is to con-
struct an intrinsic global system of transversal sections bounded by finitely
many very special periodic orbits of the Reeb flow. For this purpose we shall
establish a smooth foliation F of R x S3 in the nondegenerate case. The leaves
are embedded pseudoholomorphic punctured spheres having finite energies. In
order to formulate the main result and some consequences for dynamical sys-
tems we first recall the concepts from contact geometry and from the theory
of pseudoholomorphic curves in symplectizations from [32], [30] and [36].
u: D Msatisfying u(e2Xit/T) = (O)
T f T (x z(t), where
TM ((z(0)
7r:) I4z(0): D is (x(O)
the closed unit disc in (C.
FINITE ENERGY FOLIATIONS 127
1.1. Conceptsfrom contactgeometryand Reebfiows. We considera com-

pact orientedthree-manifoldM equippedwith the contact form A. This is a
one-formhavingthe propertythat A AdAis a volumeformon M. The contact
form determinesthe plane field distribution( = kernel(A) c Tllff, called the
associatedcontact structure. It also determinesthe so-calledReeb vector field
X = X on M by
(1.1) ixA= 1 and iXdA= O
The tangent bundle
(1.2) TM-IR X@(
splits into a line bundlehavingthe sectionX and the contactbundle( carrying
the symplecticstructurefiberwisedefinedby dA. By
we denotethe projectionalongthe Reeb vectorfieldX. Sincethe contactform

A is invariantunderthe flow (pt of the Reeb vector field, the restrictionsof the
tangent maps onto the contact planes,
TXDt(m)
lEm (m 3 (t (m)
are symplecticmaps.
In the following,periodicorbits (x, T) of the Reeb vectorfield X will play
a crucialrole. They are solutionsof x(t) = X(x(t)) satisfyingx(O)= x(T) for
some T > O. If T is the minimalperiod of x(t), the periodic solution (x,T)
will be called simply covered. A periodicorbit (x, T) is called nondegenerate,
if the self map
does not contain 1 in its spectrum. If all the periodic solutions of Xx are
nondegenerate,the contact form is called nondegenerate. Such forms occur
in abundance,as the followingpropositionfrom [35]indicates. Later on, the
contact formsunderconsiderationwill all be nondegenerate.
PROPOSITION 1.1. Fix a contactform A on the closed3-manifoldM and
considerthe subset 6)1 C C°°(M, (O,oo)) consisting of those f for which f A
is nondegenerate.Let 6)2 consist of all those f C C91s?>chthat, in addition,
the stable and anstablemanifoldsof hyperbolicperiodicorbitsof Xf>, intersect
transversally.Then 6il and e92 are Baire subsets of C°°(M, (O,oo)).
Nondegenerateperiodic orbits (x,T) of X are distinguished by their
,u-indices,sometimescalledConley-Zehnder indices,and their self-linkingnum-
bers sl(x, T). These integersare definedas follows. We take a smoothdisc map
Then we choose a symplectic trivialization d3: u*v -- D x R2 and consider the

arc : [0, T] - Sp (1) of symplectic matrices 4(t) in R2, defined by
() (t) = (e23it/T) ot 0-1(1)
The arcs start at the identity b(0) = Id and end at a symplectic matrix <J(T)
which does not contain 1 in its spectrum. To every such arc one associates
the integer ,u(4) C Z, recalled in Appendix 8.1. It describes how often nearby
solutions wind around the periodic orbit with respect to a natural framing.
The index of the periodic solution is then defined by
pjx,T, [u]) = () E Z.
This integer depends only on the homotopy class [u] of the chosen disc map
keeping the boundaries fixed. If, as in our study later on, M - S3, the index
is independent of all choices and will be denoted by
i(x, T) E 2.
To define the self-linking numbers sl(x, T) we take a disc map u as before and
a nowhere-vanishing section Z of the bundle u*~ -+ D. Then we push the loop
t ~-+x(Tt) for 0 < t < 1 in the direction of Z to obtain a new oriented loop y(t).
The oriented intersection number of u and y is, by definition, the self-linking
number of x. This integer will be useful later on in the investigation of the
minimality of the periods.
1.2. Finite energy spheres in S3. We recall the concept of a finite energy
sphere, choosing the special manifold M = S3 dealt with later on. Here S3
is the standard sphere S3 = {z C C2 | ll = 1}, where z = (Zl,Z2) = (ql +
ipl, q2 + ip2) with zj c C and qj, pj c R. Recalling the standard contact form
on S3,
2
1
AO= 2 3(qjdpj - pjdqj) S3
j'=
we choose a nondegenerate contact form A = fAo on S3 and denote its Reeb

vector field by X and the contact structure by t. Now we choose a smooth
complex multiplication J : --+, on the contact planes satisfying
dA(h, Jh) > 0 for all h CE \ {O}
and abbreviate by J the set of these admissible complex multiplications. With

J E J we associate a distinguished R-invariant almost complex structure J on
R x S3 by extending J onto R x IR. X by 1 -> X H-> -1, in formulas,
(1.3) J(a, k) = (-A(k), J7rk + aX),

for (a, k) E T(R x S3), where r : TS3 -+ ~ is the projection along the Reeb
vector field X. The important property of J is the invariance along the fibers R.
Denote by E the set of all smooth functions S : R -> [0,1] satisfying S' > 0.
Definition 1.2 (Finite energy sphere). A (nontrivial) finite energy sphere

for (S3, A, J) is a pair (F, i) consisting of a finite subset F of the Riemann
sphere S2 and a smooth map
: S2 \F- R x S3
solving the partial differential equation

(1.4) Tu o j=J Tu on S2\r
and satisfying the energy condition
0 < E(i) < oo,
where
(1.5) E(i) = supj u*d(oA),
WEE 2\r
with the one-form soAon R x S3 defined by (soA)(a,m)[a, k] = (a) . A(m)[k].

We call i a finite energy plane if F = {oo}. A finite energy sphere will be called
an embedding if i is an embedding.
We note that for a solution i of equation (1.4) the integrand of the energy
(1.5) is nonnegative. The condition E(u) > 0 implies that i is not a constant
map.
A special example of a finite energy sphere is an orbit cylinder over a
periodic solution (x, T) of X. It is parametrized by the map i : C \ {0}
Rx S3,
(1.6) ii(e2(s+it)) - (Ts, x(Tt) E R x S3.
Its energy agrees with the period T = E(i) while its dA-energy vanishes,
IX\Ou*dA = 0.
c\{0}
The punctures are Fr = {0, oo}, where S2 = C U {oo}. Orbit cylinders govern
the asymptotic behavior of finite energy spheres near the punctures F as we
recall next from [24], [32] and [30].
We begin with the distinction between positive and negative punctures.
PROPOSITION 1.3. Let (F, ii) be a finite energy sphere and zo rF. Then
one of the following mutually exclusive cases holds, where u =- (a, u) RIRx S3.
* positive puncture: limz-z+0 a(z) = +oc;
* negative puncture: limz-Z0 a(z) = -oc;
* removable puncture: limz+zo a(z) = a(zo) exists in R.
H. HOFER, K. WYSOCKI, AND E. ZEHNDER
130
In the third case one can show that ii (U(zo) \ {zo})
is bounded for a
suitable neighborhoodU(zo) and moreover,employing
Gromov'sremovable
singularitytheorem from [23] one can extend u smoothly
over zo. For this
reasonwe considerlater on only positiveand negative
punctures:r = r+ ur-.
We note that r 7&0 since a finite energy surface
definedon S2 is necessarily
constant. Indeed, from Stokes' theorem it follows that E(ii)
= O. There is
alwaysat least one positive punctllre.
In order to describethe asymptotic behaariornear the
puncture zo E r
we introduce holomorphicpolar coordinates. We take
a holomorphicchart
h: L) c C > U C S2 aroundzo satisfying h(O)= zo
and define v: [O,x) x
S1 > U \ {zo} by
(1.7) ff (s, t) = h (e-2tr(s+it) )
so that zo-limSO<, v(s, t). In these coordinatesthe
energy surfacenear zo
becomesthe positive half cylinder
v = (b,v) := u ° 5: [O,oo)x S1 > R x S3.
Themap v satisfiesthe Cauchy-Riemannequation
Vs+ J(W)vt= 0
andhas boundedenergyE(v) < E(u) < oo. Becauseof
this energybound the
followinglimit exists in 1R,
(1.8) m(u, zo) := 51m Js1v(s, ) >.

Thereal numberm = m(u7zo) is called the chargeof
the puncture zo E r.
Itis positive if zo is positive and negative for a
negativepuncture. Moreover,
m= Oif the punctureis removable.The behaviorof
the spherenear zo is now
determined by periodic solutions of the Reeb vector field X
having period
T= {m(u,zo)i. Every sequences, > oo possesses a
subsequencedenoted by
thesame letters such that
lim v(sk, t) = z(mt) in C°°(S1)
koo
for
an orbit x(t) of the Reeb vector field x(t) = X(x(t)).
Herem is the charge
of
zo. If m + O,the solutionx is a periodicorbit of X
havingperiodT-tml.
If
this periodicorbit is nondegeneratethen
(1.9) lim v(s, t) = x(mt) in C°°(S1)
and
(1.10) lirn b(s,t) = m in C°°(S1).
Hence
in the nondegeneratecase there is a uniqueperiodic
orbit (x, T) associ-
ated
with the puncturezo It has periodT = smland is called
the asymptotic
limit of zo. In the nondegenerate case, the finite energy surface v approaches
the special orbit cylinder voo(s,t) = (sm, x(mt)) in RIx S3 as s -> oo in an
exponential way. The asymptotic formula is recalled in the appendix. We
visualize a finite energy sphere u in Rt x S3 by Figure 1.
. IRx P
Figure 1. The figure shows a finite energy sphere with one positive
and two negative punctures.
We next introduce the main concept.
1.3. Finite energy foliations. We consider the three-manifold M equipped

with the contact form A, choose an admissible J C J and denote the associated
R-invariant almost complex structure on IR x M by J.
Definition 1.4. A spherical finite energy foliation for (M, A, J) is, by def-
inition, a 2-dimensional smooth foliation Y of R x M having the following
properties:
* There exists a universal constant c > 0 such that for every leaf F E F
there exists an embedded finite energy sphere ii: S2 \F -> R x M for
(M, A, J) satisfying
F=U(S2\F) and E(u) < c.
* The translation along the fiber JRof R x M,
Tr(F) :=r + F= {(r + a,m) (a,m) F},
F E Y and r C IR, defines an R-action T: IR x F - T. Hence, in

particular, Tr(F) c f if F E .F, and either Tr(F1) F2 = 0 or Tr(Fi) = F2
for any two leaves in F.
limit of all the finite energyplanes.Indeed,b ((e27r(S+it),c)) (rs, (e27rit: O))
We illustrate the concept with an explicit example for (s3,Ao7i) The

Reeb vector field X on S3 C ¢2 iS for the standardcontact form So given by
X(z) = 2iZ, Z E S3.
The contactplane(z, z E S3, agreeswith the complexline in Tz53 As complex

multiplicationwe choose J-il and denote by J the associated D;t-;nvariant
almost complexstructureon IEtx S3. Then the inverseof the diffeomorphism
(t, z) | > e2tz from Dix S3 onto 2 \ {0} iS given by
@:C2\{0} >Xs3, z (21nizl, Izl).
It satisfies
Tb ° i= J ° Tb
and hence is biholomorphic.Considerthe planes
(¢ x {c}) for all c E ¢ \ {O}
and the special cylinder
Fo = @((¢ \ t0}) x {O})
in Etx S3. The union F of these sets constitutes a smooth foliationof 11tx S3
consistingof finite energyplanes and the finite energycylinderFo. The action
of D;tis representedby Tr(b(¢ x {c})) = 4>(¢ x {e2rc}) if c 7&0 while
TsFo = Fo for errerys E 11t. Clearly, TrFn F - 0 for every r + O and
F + Fo. Consequently,the only fixed point of the R-action is the cylinder
Fo. It is the orbit cylinderof the special solution xo(t) = (e2it, O)of X on S3
havingperiod xr.The map i: C \ {O} > R x S3 parametrizingFo is given by
4) ((e27r(S+it),
O)) = (7rs,(e2Xit,O)). The periodicorbit (xo:7r)is the asymptotic
as s ) oo, for every c + O. Let now
p: Rx S3 S3
be the projectionmap. Then p(Fo) = xo(lR)and for every F 7&Fo) the subset
p(F) is an embeddedplane transversalto the Reeb vector field X. Moreover,
if F1 and F2 E F do not belong to the same orbit of the lll-action, then
p(Fl) n p(F2) = 0. Therefore,the projectionp(S) = S is a singularfoliationof
S3. It is a smooth foliationof S3 \ Xo(R) = p(F\ {Fo}) into planestransversal
to X and asymptoticto xo. Hencethe periodicorbit xo is the bindingorbit of
an open book decompositionof S3 illustratedby Figure 2.
Figure 2. The figure illustrates a section through an open book

decomposition of S3 viewed as R3 U {oo}. The two black dots
represent the periodic orbit perpendicular to the plane. The curves
represent pages of an open book decomposition.
Although this example is not nondegenerate, the fact that a finite energy
foliation on JRx M leads to a geometric decomposition of the manifold M is
of quite general nature as we shall see below where we strengthen the concept
of finite energy foliation. We should remark that there are other finite energy
foliations for (S3, Ao, i). For example, the collection of all cylinders JR x P,
where P runs over all Hopf circles on S3. Here a small perturbation, taking
the contact form f Ao for f close to the constant function equal to one will
destroy most periodic orbits so that this second foliation is rather unstable.
1.4. Stable finite energy foliations, the main result. Let M = S3 be the
standard sphere equipped with the nondegenerate contact form A = f Ao and
consider an embedded finite energy sphere u =- (a, u) : S2 \ F -, R x S3 for
(S3, A, J). The punctures F split into the positive and the negative punctures,
r - F+ U r-. With every zo c F we associate the index ,/(zo) of its asymptotic
limit, which is a nondegenerate periodic orbit of the Reeb vector field X.
Following [30] we can associate with the sphere i the integer
(u)= E (z)- E .(z).

zEF+ zer-
Ifii(S2 \) =:F, we set

u(F) = ,u(ii) E z.
The definition does not depend on the choices involved. Finally, we define the
index of the embedded finite energy sphere F by
(1.11) Ind(F) := ,(F) -x(S2) + 4F,
where #F = #F is the number of the punctures and X(S2) = 2 is the Euler

characteristic of the two-sphere. The integer Ind(F) will be important in the
analysis later on. It has an interpretation as the Fredholm index describing
the dimension of the moduli space of nearby embedded finite energy spheres
having the same topological type and the same number of punctures which are
allowed to move on S2; see [36]. The following definition is crucial.
Definition 1.5 (Stable finite energy foliation). Assume the contact form
A = fAo to be nondegenerate. Let F be a spherical finite energy foliation for
(S3, A, J). We call F stable if it has the following properties:
* Every leaf of F is the image of an embedded finite energy sphere.
* For every leaf the asymptotic limits are simply covered, their Conley-
Zehnder indices are contained in {1, 2, 3} and their self-linking numbers
are equal to -1.
* Every leaf has precisely one positive puncture but an arbitrary number
of negative punctures. For every leaf F CE which is not a fixed point of
the IR-action,Ind(F) E {1, 2}.
We deduce some immediate consequences from this definition. Consider

a leaf F E Y which is not a fixed point of the R-action. Its punctures are
F = F+ U F- F+ U Fi U F2 U F3, where Fr are the punctures having pu-
index equal to j, and where #F+ = 1. Denoting by /+ the index of the unique
positive puncture we have, recalling (1.11),
Ind(F) = +- r3- 2r2- - 2 + 1 + r Fr2-
+ + F3
=- i,u+--2F3 - F2.
Since, by definition of Y, Ind(F) > 1 we find 21F3 + #F2 <_ +-2 from which
we conclude,
,u+E{2,3}, -F3= , Fr2< 1.
There is no restriction on HF1. In order to represent different types of leaves
F E Y which are not fixed points of the R-action on Y we introduce the vectors
a= -
(/t+ i,/I N)
Here N is the number of negative punctures of F, /+ the Conley-Zehnder index
of its unique positive puncture and/u- the indices of the negative punctures
orderedso that ,uX> ,uj-+l. The leaves F E :Fwith Ind(F) E {1, 2} and N
negativepuncturesare of the followingtypes
ae-(3, 11,. . ., 1N)) Ind(F) = 2
ot= (3, 2,11, , 1N-1), Ind(F) = 1
oe= (2,11, , 1N): Ind(F) = 1.
The numberN of negativepuncturescan, of course,be zero. If this happens,
the first and the third case representfinite energy planes. The second type
representsfor N = 1 a finite energy cylinder connectinga periodic orbit of
index 3 (f.e. elliptic) with a periodicorbit of index 2 (hyperbolic).
Postponingthe nontrivialconsequencesof the definitionof a stable finite
energyfoliationwe first formulateour main existenceresult.
THEOREM1.6 (Existenceof a stable firliteenergy foliation). For every
choiceof f E 691,thereexists a Baire set of admissiblecomplexmultiplications
J admittinga stablefinite energyfoliation n of (S3, f So, J) containinga finite
energyplane.
Since, by hypothesis,the energiesE(u) are uniformlyboundedand since
the periods of the asymptotic limits are boundedby the energy we conclude
fromthe nondegeneracyof A, that the numberof all asymptoticlimits appear-
ing in F is finite. It followsfromFfedholmtheory that a leaf F E n satisfying
Ind(F) = 2 belongs to a 2-parameterfamily of leaves all having the same
asymptoticlimits. One parameteris definedby li-action on F. The image of
the 2-parameterfamily underthe projectionmap
p R X S3 - ) S3
wherethe Et-actionis dividedout, is a l-parameterfamily of embeddedpunc-

tured Riemann spheres. In contrast, a leaf F E S satisfying Ind(F) = 1
belongs to a l-parameterfamily, namely the orbit of F under the Di-action.
The projectionof this orbit into S3 iS an isolatedembeddedpuncturedsphere,
in the followingcalled a rigid surface. Clearly,if F is an orbit cylinder, its
projectionin S3 agreeswith its asymptoticlimit.
The stable finite energy foliation F of Etx S3 gives rise to the following
geometricdecompositionof S3.
PROPOSITION1.7. The stable finite
energyfoliation ZF establishedin
Theorem1.6 has the followingproperties:
* If Tr(F) = F for sorner 740 and F E fF, then Ts(F) = F for all s E R
andF-Etx P is an orbitcylinder.Hencethefixedpoints of the R-action
on f are orbit cylinders.
* If two leaves F and G C F do not belong to the same orbit of the action,
then p(F) n p(G) =0.
* If F E F is not a fixed point of the R-action, the projection p(F) is a

smooth embeddedpunctured two-sphere in S3 which is transversal to the
Reeb vector field X and which converges at the punctures to the asymp-
totic limits of F.
* Denote by P the finite set of asymptotic limits of F. Then the projection

p(F) is a singular foliation of S3 having the singularities P. Moreover,
p(F \ { fixed points of the R-action }) is a smooth foliation of S3 \ {P}.
The leaves of the foliation are embeddedpunctured spheres transversal to
X and at the punctures asymptotic to elements in P.
Important for our applications to the Reeb flows is the global system of
transversal sections of the Reeb vector field which is an immediate consequence
of Theorem 1.6 and Proposition 1.7.
COROLLARY 1.8 (Global system of transversal sections). If f\Ao is a
nondegenerate contact form on the standard sphere S3 with associated Reeb
vector field X, then there exists a nonempty set P consisting of finitely many
distinguished periodic orbits of X which are simply covered, have self-linking
number -1 and tp-indices in the set {1, 2, 3} so that the complement
S3 \ P
is smoothlyfoliated into leaves which are embeddedpunctured Riemann spheres,

transversal to the Reeb vector field X and converging at the punctures to peri-
odic orbits in P9.
We illustrate the situation in Figure 3 which sketches the projection of a

stable finite energy foliation into S3.
The 3-sphere is viewed as R3 U {oo}. The figure shows the trace of the
projection p(F) in a 2-dimensional plane. There are three distinguished asymp-
totic limits P = {Pi, P2, P3}, two of them P1 and P3 have index 3 (elliptic)
and P2 with index 2 (hyperbolic). There are four rigid leaves in S3, namely
two cylinders connecting the elliptic periodic orbit with the hyperbolic orbit,
and two planes asymptotic to the hyperbolic orbit. The nonrigid leaves are
two 1-parameter families of planes.
1.5. Outline of the proof. The origin of the foliation lies in the structure
of Gromov's pseudoholomorphic spheres homologous to CP1 in the compact
symplectic manifold (CP2, w) represented as CP2 = C2 U CP1 and equipped
with a compatible almost complex structure. It will be recalled in Section 2.4
below. Our contact manifold (S3, f /Ao)can be identified with (M, Ao) where
Figure 3. Stable finite energy foliation of S3.
M C C2 is a star-like hypersurface defined by the function f. Denoting by

co = dA0 the standard symplectic structure in C2, the hypersurface M is of
contact type, and an open neighborhood of the region bounded by M in C2
can be symplectically embedded into CP2 \ CPl to obtain the decomposition
Cp2 = M
into the inside W of M whose closure has M as convex contact boundary
and the outside V of M, containing CP1, whose closure has M as concave
contact boundary. Adding, for N > 1, the necks [-N, N] x M in the comple-
ment of the sphere at infinity, we obtain a sequence of symplectic manifolds
(AN, wN) which are symplectomorphic to (CP2, w) and which have compatible
almost complex structures JN agreeing on the necks with the distinguished
IR-invariantstructure J. Given a point (0, m) E [-N, N] x M C AN there ex-
ists a unique JN-holomorphic sphere CN homologous to CP1 and containing
the two points (0, m) and oo, CP1 in AN. The spheres CN are embedded
and automatically generic. Two such spheres are either identical or intersect
transversally at the point ooo having intersection numbers equal to 1. In the
limit as N -* oc singularities show up and the spheres CN disintegrate into a
tree of different types of punctured finite energy spheres in the target spaces
W, R x M and V. In particular, one obtains leaves Cmk of the desired foli-
ation in R x M through a dense set of points (0, ink) E M which are in the
complement of the periodic orbits of the Reeb vector field on M. The leaves
are embedded and either identical or disjoint. The limit procedure as N -+ oo
of a secondrourldof bubblingoff analysis wefind, as mkrn, leaves through

138
is based on a technicalbubblingoff analysisand uses
our Fredholmtheory for
symplectifiedcontact manifoldsand Gromov-McDuff's
intersectiontheory of
pseudoholomorphiccurves in 4-dimensionalsymplecticmanifolds. By
means
everypoint (O,n) E Etx M and translatingthese leavesby
the Di-actionestab-
lishesthe desiredfoliationof Etx M into pseudoholomorphic
puncturedspheres
of uniformlyboundedenergies.
1.6. Applicationto dynamicalsystems. The system of

transversalsec-
tions establishedis a naturalgeneralizationof the concept
of a global surface
of section. Recall that a global surface of section for
a vector field X on
a 3-dimensionalmanifoldM is an embeddedcompact
surfaceS c M whose
boundarycomponentsareperiodicorbitsof X, whoseinterior
intE is transver-
sal to X and has the propertythat every orbit of X
other than the boundary
componentsintersects intE in forwardand backwardtime.
The flow ft of
X induces a diffeomorphism: intE > intS, the so
called Poincaresection
map.It is definedby followinga point p E intE along its
solution ft(p) until
thefirst time it hits intE again. This way the study of
the solutionsof X is
reducedto the study of the section map f and its iterates.
THEOREM1.9. Let f be a stablefinite energyfoliation for (S3,A,J)

establishedin Theorem1.6. Assume )\ = fAo with f E 02
as specifiedin
Propositzon 1. 1. If n has preczselyone fixed point of the
R-action, then the
Reebvectorfield X) possesses a globalsurfaceof section of
disc type. If fF has
atleast two fixedpoints, then X;vK
possesses a hyperbolicperiodicorbit and an
orbithomoclinicto this periodicorbit.
The dynamicalconsequencesof the first alternativeare the

following.The
singular foliation on S3 obtairledby F in this case is an open book
decom-
positioninto pages of disc type all having the distinguished
periodicorbit P
(ofthe fixed point of the R-action) as asymptotic
limit. The index of this
periodic solutionis ju(P) = 3. Therefore,by the argumentsin [35],
every page
isa globalsurfaceof section. Moreover,the section map
f is conjugatedto an
area-preserving diffeomorphismf of the open unit disc. Since the area of the
discis finite we concludeby means of Brouwer's
translationtheoremthat w
possesses a fixed point p. It is the initial conditionto a periodic
solutionof the
Reeb vector field Xx whichis differentfromP. If X has another
periodicpoint
diSerent from the fixed point p alreadyestablished,then by the
remarkable
theorem of John Franksin [20],the map f has infinitelymany
periodicpoints,
sothat Xx has infinitelymany periodicsolutions.
Summarizing,if there is a
globalsurfaceof section, the Reeb vector field possesseseither 2 or
oo many
periodicorbits.
Assumenow that n has morethan one fixedpoint of the lli-action.In this

case the Reeb vector field Xx possessesnecessarilya hyperbolicperiodicorbit
of index ,u(P)-2 and an orbit homoclinicto this periodicorbit. The stable
and unstableinvariantmanifoldsof the hyperbolicorbit intersecttransversally
giving rise to a Bernoulli-systemand hence, in particular,to infinitelymany
periodicsolutions. Therefore,we concludefrom Theorem1.9 the following:
COROLLARY 1.10. For every contact form A = fAo on S3 satisfying
f E92 the associatedReeb vectorfield Xvi possesses either two or infinitely
manyperiodicsolations.
An interestingclass of contact formsis the so-calledclass of dynamically
convexcontact forms.
Definition1.11. The contact formA = fAo with f E (91is called dynam-
ically convexif ,u(P) > 3 for all periodic solutions P of the associated Reeb
vector field X>.
It turns out that the finite energy foliation for (S3, fAo, J) in case of a
dynamicallyconvexcontact formhas preciselyone fixed point of the lR-action,
and we concludefromTheorem1.9 the followingcorollary.
COROLLARY 1.12. The Reebvectorfield XvKassociatedwith a nondegen-
erate and dynarnicallyconvexcontactfortn A = fAo possesses a globalsurface
of section.
It is shownin [35]that the statementholds true without the nondegener-
acy conditionon the periodicorbits replacingin the definitionof dynamically
convex the requirement,u(P) > 3 by ,i(P) > 3 for the generalizedindex ,u
introducedin [35].
The constructionsand results are applicableto Hamiltoniansystems on
(R4,£0) restrictedto sphere-likeenergysurfaces.Herego denotesthe standard
symplecticformzo = dSo with the LiouvilleformSo = 2 S1=1(qjdP)-PjdQj).
We shall use the complexnotation z = (zl, Z2)= (ql + ipl, q2+ ip2) E C2 _ R4
Considera regularenergy surfaceE = {z E (C2I H(z) = constant} for the
Hamiltonianvector field XH definedby TXHSO =-dH. If E iS star-like,i.e., if
E {ZiSl zES }
for some E E C°°(S3, R+), then the restrictionof the Hamiltonianflowon E is
equivalentto the Reeb flowon S3 associatedwith the contactformA = fSO. If
E boundsa strictlyconvexdomainin C2, then A = fAo is a dynamicallyconvex
contact form, providedthat periodicorbits on E are nondegenerate;see [35].
We concludefrom Corollary1.12 that a Hamiltonianflow on a strictly convex
energysurfacein R4 possessesa globalsurfaceof section in the nondegenerate

case. Again, the nondegeneracyrequirementon the periodicsolutionscan be
dropped,see [35].
Theorem1.9 is also applicableto the geodesicproblemof a Riemannian
metricg on S2. The geodesicflowrestrictedto the unit spherebundleT1S2
IIRP3is a Reeb flow. The unit spherebundlehas the doublecoveringS3 and it
can be shownthat the double coveredgeodesicflow is equivalentto the Reeb
flowon S3 associatedwith a tight contact formA = fAo. The flow is invariant
underthe symmetryz -z on S3.
By the classicalresult due to Lyusternikand Schnirelmannthere are at
least three geometricallydistinct closedgeodesicson S2 so that the associated
Reeb flow on S3 possessesat least three distinct periodicorbits. We therefore
conclude from Corollary1.10 that there are oo marlyclosed geodesics for a
genericmetric g on S2. The result is, of course,not new and even holds tru
for everyRiemannianmetricg as provedby V. Bangertand J. Franks[2], [20].
The new aspect in the genericcase lies in the proof which shows that either
there is a disc-likesurfaceof section (for the doubly coveredgeodesicflow) or
there exists a hyperbolicperiodicorbit haaringorientablestable and unstable
manifoldsintersectingtransversallyin a homoclinicorbit.
Conjecture 1.13. A tight Reeb flow on S3 has either precisely two or
infinitelymany geometricallydistinct periodicorbits.
As alreadymentioned,the conjectureis true for dynamicallyconvexcon-
tact forms, u SOfor f constitutingan open subset of C(S3, (0)oo)), and also
for every genericf E Cy2,in view of Corollary1.10.
2. The main construction
We shall identify the contact manifold (S3XfAo)with (M,AOIM)where

M c ¢:2 iS a star-likehypersurfacedefinedby means of the function f. The
hypersurfaceM is of contact-typein (S2equippedwith the standardsymplectic
structurego and an open neighborhoodof the domain boundedby M in ¢:2
willbe symplecticallyembeddedin ¢Sp2away from its sphereat infinity SOO
Addingthe neck [-N, N] X M to the embeddedhypersurfacewe shall obtain
a compact manifold (AN,WN)7symplectomorphicto ((SP27g)?which has a
specialcompatible almost complex structure JN which in particularagrees
onthe neck with the li-invariantstructure J. We then show that there is a
uniqueJN-holomorphicspherein AN containingthe two given points (0, rn) E
[-N, N] x M and oOO E SOOThe sphereis embeddedand generic. The desired
finiteenergy foliation on R x M will be the result of a limit procedureas
N > oo carriedout in Chapters3-6.
on 11t structures
complex J: T(R
x M. The Frechet X M)C°°
space T(Rconsists
X M)of the
of all
form
smoothmapsm Y(m),

For later referencewe shall first collect in Section2*1some
resultson finite
energy spheres in Dix M in the generic situation. The
manifolds(AN,GN))
N > 1, will be constructedin Sections2.2 and 2.3. For the
corl+7enience
of the
reader,Gromov'stheory of pseudoholomorphic curvesin Cp2, homologousto
Upl, will be outlined in Section 2.4.
2.1. Theproblern(M). In the followingM is a closed
3-manifoldequipped
with the contact form A which is assumedto be
nondegeneratein the sense of
Proposition1.1. The aim of this section is to collect some
informationabout
finiteenergyspheresin Etx M. In orderto formulatethe
genericpropertiesof
suchmaps we first recall Floer'sC-space.
We choose a compatiblecomplexmultiplicationJ°: ( > (
of the contact
planesand denote by J° the associatedDR-invariant almost complexstructure
wherem E M, and
Y(m) E Homl2((m)
satisfying
(2(1) Y(m) ° J°(m) + J°(m) ° Y(m)-O
Themap Y(m) has the followingproperty:
(2.2) d)<(Y(m)h, k) + dA(h: y(m)1c) = O

forh, k E &,m Indeed,if h y£Owe set k = tyh+bJ°(m)h
and obtain from (2.1)
(sincedA(, J°(m) ) is an inner producton (m)
d>(Y(m)h, 1X) = tydA(Y(m)h,h) + dd>(Y(m)h, J°(m)h)

= - ydA(h,Y(m)h) + ddA(h,J°(m)Y(m)h)
= -tydA(h, Y(m)h)-AdA (h, Y(m) J° (m)h)

- -dA(h, Y(m)k)
IfE = (Ek) iS a sequenceof positive numbersconverging
to Owe denote by C£
thesubspaceof C°° consistingof Y satisfying (2.1) and
such that
oO
(2.3) {lYtl,= £k|lYllck < oc.

-o
If(Ek) converges sufficiently fast to 0, the subset CE

is dense in C;
seeA. Floer [16]. For d > O we denote by Ua the set of
Et-invariantalmost
(2.4) J(a)
m) (^/,k) = (->(m) (k), J(m) Trk+ tyX(m)),
where
J E the
THEOREM
thefollowing
set2.1.
c UaThere
holds.
is as exists
defined
If u: aS2
inBaire
\Theorem
>subset
R 2.1
x M
r C
below,
isMa
as?lch
somewhere
that injective
for every
where
J(rn) = J (m) exp [-J° (m)Y (m)],
with Y C CSsatisfying IIYIlS< d. The map Y > J E Udconstitutesthe global

chart for lAladefininga separableBanachmanifoldstructure.
We considerfinite energy spheres in Dix M for generic J, i.e., J E ,
a:S2\rRxM,
(2.5) Tu ° i= J o Tu,
O< E(u) < Oo.
Later on we shall referto this nonlinearproblemas problem(M). FromFied-
holmtheoryin [36]we recallthat the finite energyspheresin the neighborhood
of an embeddedfinite energysphereu are describedby a nonlinearFredholm
equation having the F}edholmindex Ind(u) = ,u(u)-2 + The index is
Vr.
computedfor unparametrizedspheres. This means that the positions of the

punctures are allowedto vary and the group of Mobiustransformationsis
r
divided out. Due to the Di-action,the kernelof the linearizedFredholmop-

erator is at least one-dimensionalunless the image of u is a cylinderover a
periodicorbit, in which case gTo Tu = O. If J is genericwe have the following
result, provedfor embeddedfinite energy surfacesin [36],and for somewhere
injectivesurfacesin [7J.
finite energyspherefor J, then

Ind(ti) - ,u(u)- 2 + gr >
provadedr o Tu does not vanish identically.

The number1 on the right-handside of the estimate stems from the Di-
invarianceof J. Theorem2.1 has the followingconsequencealreadymentioned
in the introduction.
COROLLARY 2.2. Assume J C _. Let u = (a, u): S2 \ 3 2 X M be r
a somewhereinjectivefinite energyspherewithpreciselyone positivepuncture

and an arbitrarynvbmber of negativepunctures. If all the occurringConley-
Zehnderindicesfor the asymptoticlimits of the punctures(computedwith re-
spect to a saitable symplectictrivializationof u*() are containedin {1, 2,3}
and if Fr Tu i£ O, then
o
r2<l.
Here is the set of those punctureswhose asymptoticlimits have Conley-
r2
Zehnderindices equalto 2.
Proof. Denote by F the set of negative punctures whose asymptotic lim-

its have index j E {1, 2, 3}. By assumption, ~F = 1 + 1r7 + ~r2 + F3r. From
Theorem 2.1 we deduce, using the definition of /(ii),
1 < I+- ~--2+ t
= ,+ - r - - 3r3~ - 2 + r
2r2
= [,+ - 1] - Pr2 - 2r3~.
Consequently,
- r- + 2~r- < + - 2,
which leads to the following conclusions:
1. /+ e {2,3}.
2. If ,/+ = 2, then all the negative punctures have index 1.
3. If /+ = 3, then there is at most one negative puncture with index 2 and

all other negative punctures have index 1. D
COROLLARY 2.3. Assume J and ii: S2 F - R x M meet the hypotheses

of Corollary 2.2. Then the Fredholm index of ii satisfies
Ind(u) {1, 2}.
More precisely, the following situations are possible, where IA+is the Conley-
Zehnder index of the positive puncture:
* /t+ = 2 and every negative puncture has Conley-Zehnder index equal to 1.
In this case Ind(i) = 1.
* IL+ = 3 and there is one negative puncture with index equal to 2 while all
other negative punctures have index equal to 1. In this case Ind(i) = 1.
* ,u+ = 3 and all negative punctures have indices equal to 1. In this case
Ind(i) = 2.
Proof. The statement is an immediate consequence of the conclusions 1, 2,

3 above and the formula Ind(Si) = /+--F 2+ for the Fredholm index. O
The nature of the punctures strongly influences the geometry of the finite
energy sphere. In this context it is useful to recall Proposition 4.1 in [30].
PROPOSITION 2.4. If i = (a, u) : S2 \ r - IRx M is a finite energy
sphere, the section 7r o Tu of the bundle
r), i*) S2 \ r
Homc(T(S2\
the map
THEOREM
COROLLARY r2.6.
u: S2\2.7. MLet
is Assume
an
J eembeddiJng
beu generic \ r to
= (a, transversal
u):
and
S2ass1lme
R the
xu M
:=Reeb \ rX.>
is(a,a vectorfield
finite
u): S2 energy
either vanishesidenticallyor has only a finite numberof zeros. Everyzero has

a positive index.
Denote by wind(u) the number of zeros (counting multiplicities) of
X ° Tu. This integer is related to the asymptotic data of the puncturesand
we recall Theorem5.8 in [30].
THEOREM 2.5. If u = (a, u): S2 \ r ,R x M is a finite energysphere
satisfyingr o Tu 7&O, then
2wind(u) < ,u(u)-2X(S ) + 2treven+ rodd
Herereven is the subsetof r consistingof punctureswith even Conley-Zehnder
index and rodd the subset of punctureswith odd Conley-Zehnderindex, com-
puted with respectto u*(. Moreover,p(u) is the difSerencebetweenthe sum
of the indices associatedwith positive puncturesand the sum of the indices
belongingto the negativepunctures
Theorem2.5 is very useful whenevermore informationabout the nature
of puncturesis availableas the followingcorollaryshows.
spheresatisfyingTro Tu + O. If Ind(u) < 2 and greven < 1, then

7roTu(z)740
for everypoint Z E S2 \ r.
Proof. We compute,using Theorem2.5,
2 wind(u) < ,u(u)-4 + 24reven+ tFodd
= (u(u)-2 + gr)-2-gr + 2treven+ rodd
= Ind(u)-2 + treven< 2-2 + 1 = 1.
Hence wind1r(u)= Oimplyingthe desiredresult. Cl
We make use of the corollaryin the proof of the followingresult.
11t
x M is an embedded
finite energyspherewithsimplycoveredasyrnptoticlimits
and X o Tu not vanishingidentically. If Ind(u) E {l, 2} and #reven
< 1rthen
Moreover,the image of u does not intersectthe periodicorbits associatedwith

the puncturesr.
Proof. By the resultsin [36],the givensphereu lies in an Ind(u)-dimensional
family of embeddedfinite energyspheres. A memberof this familycan be de-
scribedby means of a graphof a section of the normalbundle of u in 1Rx M
v = h o0ar(s,t)
where : RA x S1 JR2has the
O uniformly in following
t E S1 forasymptotic
all derivatives
representation:
as s > oo and
satisfyinga Monge-Ampere-typeequation. Clearly,a zero of the section is an

intersectionpoint with u. The linearizationat the zero-se-ctionis a Cauchy-
Riemanntype operatorL. Our first aim is to show that the family consists of
mutuallydisjointspheres. Sincethe asymptoticlimits are, by assumption,sim-
ply covered,it is sufFicientto provethat the nontrivialelementsin the kernelof
L do not admit any zero. Indeed,due to the special asymptoticbehaviornear
a puncture,a neighboringspherecan be homotopedto an elementin the kernel
without introducingzerosnear the punctures.Since r 7&0, the normalbundle
of u is trivial and hence can be identifiedwith R2. So, let h: S2 \ r ) 2
be a nontrivialelement in the kernel of L. The crucial observationnow is,
that as a solution of the perturbedCauchy-RiemannoperatorL, the map h
admits only isolated zeros having, in addition, positive indices. Denoting the
sum of the local indicesby t it remainsto show that /-0. In orderto do so,
we make use of the asymptoticbehaviorof h near every puncturein r which
is similar to the z-part studied in [32] [36]. This follows since the asymp-
totic operatorsnear the puncturesare, in suitable coordinates,the same as
those describingthe sphere u near the punctures. Let l) be a holomorphic
disc centered at a positiarepuncture correspondingto z = O and introduce
holomorphicpolar coordinatesa: Et+x S1 >D \ {0} by z = e-21r(s+it). Then
v(s t) eSSo
A+(T)dT (e+(t)+ r(s t)]
where A+(s) convergesto a negative eigenvalueA+ of the asymptotic self-

adjointoperator
(2.6) -J°dt-Soo (t) on L2(S1R2)
associatedwith the periodicsolution of the puncture. The periodic function

e+(t + 1) = e+(t) is an eigenvectorbelongingto A+. Since it does not vanish
anywhereit possessesa windingnumber wind(e+) C E. For the behaviorof h
near a negative puncturethere is an analogousformula,where s -oo and
A-(s) > A- for a positive eigenvalueA- of (2.6) with associatedeigenvector
e- and windingnumber wind(e-). Clearly,
(2.7) 1= E wind(e+)-E wind(e- ) .
r+ r-
The windingnumbers wind(e) are related to the normalConley-Zehnderin-
dices UN computedwith respectto the abovetrivializationof the normalbun-
dle. Recall fromTheorem3.10 in [30]the formula
(2.8) HN = 2 + p.
U: S2 \ r Mis an injective immersiontransversal to X and so, by the
Herep E {0,1} and oeis the maximalwindingnumberof eigenvectorsbelong-

ing to the negative eigenvaluesof the asymptotic operator (2.6). Since the
winding numbersare monotone increasingwith the eigenvalueswe conclude
for a positive puncture2 wind(e+) < 2N if HN iS even and < UN-1 if pN iS
odd, while for a negativepuncture2 wind(e-) > ,UN for MN even and > UN +
for UN odd. Therefore,in view of (2.7),
(2.9) 2T < E (AN-1) + E HN- E (8N + 1) - E pN
r+dd r+ rOdd r-
- (8N hN) (#rodd + trodd)

= HN(U)-#rodd
The relationshipbetween the normal Conley-Zehnderindex pN(u) and the

usual index ,u(u) computedwith respect to a trivializationof u*( is, by Theo-
rem I.8 in [36],given by the formula
1>(2)= UN(U)+ 4-2gr.

In view of Theorem2.1,
Ind(u) = ,u(ii)- 2 + gr.
We can estimate, using (2.9),

Ind(ii) - ,UN + 2 - tr
> 2/ + 2-tr + Vrodd
- 2/ + 2-#reven
By our assumptions,#reAen< 1 and Ind(u) < 2, so that 2 > Ind(ii) > 2t + 1.

Consequently,/ < Oand hence f = O,as we set out to prove.
Summingup, we concludethat the spheresnearu in the Ind(u)-dimensional
family are mutually disjoint. As shown in the FYedholmtheory [36], the
D;t-action
accounts for one dimensionin this family. The Di-actionis defined
by uc(z) := (a(z) + c, a(z)). Hence, for O< {cl small the intersectionnumber
irlt(u,uc) is well definedand 0. If c 740 the intersectionset of u and uc is com-
pactin view of the asymptoticbehaviornear the punctures,and by homotopy
invariancewe conclude
int(u, uc) = O, c + O.
Inview of the positivityof intersectionsof pseudoholomorphiccurveswe deduce
that the images of u and uc for c 74 0 are disjoint. This implies that ? is
injective.Since,by Corollary2.6, the sectionr ° Tu does not vanishanywhere,
asymptoticbehaviornear the punctures,the map u must be an embedding.

splitssymplectic
the into a line
form
bundle
dAl. with
Wedenote
section
byX: and
TBthe
( the
plane
projection
bundle( along
B having
the
Moreover,an intersectionpoint of u with an asymptotic limit would have to

be transversal,and hencewouldimply a self intersectionof u contradictingthe
injectivity of u. Therefore,the image of u does not intersect the asymptotic
limits of the puncturesr and the proof of Theorem2.7 is complete. 12
2.2. Gl?lingaltnost cornplexhalf cylindersover contact boundaries.Let
(A, ) be a compact4-dimensionalsymplecticmanifoldwith boundaryAA 741t,
in the followingdenoted by
B := AA.
We assumethe boundaryto be of contact type. This requiresthe existenceof
a one-formA on B satisfying
(2.10) dA= AJlB) >t dA= volumeform on B.
In particular,A is a contact form on the 3-manifoldB and determineson B
the contact structure( by (-ker A and the Reeb vector field X by A(X) = 1
and dA(X, ) = O,so that the tangent space
TpB = EX(p) @(p, p E B,
Reeb vector field. The one-formA on B can be extendedto a one-formon an

open neighborhoodU of B in such a way that still dA-glu, wherewe denote
the extension by A again; see, for example, [40]. On U we define the vector
field r1by
ing = A.
Then iS = 0 and, in view of Cartan'sformulaL71= d o ir}+ irB d for the Lie

o
derivativeof the vector field, we have L>Bg-S and LrS = )A.Consequently,

the flow Wt of Wsatisfieson its domainof definitionin U,
ft*g = etg, ft*> = etA
The vector field r}is transversalto B,

TpA= Rry@ TpB, p E B c A,
since otherwiser7E TpB, leading to the contradiction0 = dA(17, X) = A(X)
= 1. Conversely,of course,a vectorfield71on U transversalto B and satisfying
Lt7 = , defines the one-formA = i meeting the properties(2.10). The
boundaryB splits into two parts
B = B+ U B-,
wherethe vectorfieldr7points outwardon B+, and inwardon B-. (Oneof the
parts might, of course,be empty.) We shall use the flow ft in orderto define
H. HOFER, K. WYSOCKI, AND E.
118 ZEHNDER
usefulcollarsof Bi. If E > Ois sufficiently
by smallwe definethe embeddings
bi
(2.11) b+: [-s,0] x B+ > A, (t,b+) | > (Rt(b+)

if-E _ t < Oandb+ E B+;
(2.12) b-:[O,e,]xB-A, (t,b-)ft(b-)
if O< t < E and b- E B-o This waya
neighborhood
of B C A is foliatedby
conformally symplectomorphic
leaves
B+-T(B+), -E < T < O,
withB+ = B+, andanalogously forBf . If f E C°°(Di,Et),the two-form
onEtx B evaluatedat the tangent d((pA)
vectors(ot,a) and (,b) E T(SP)(EZ x B)
results
in
(213) d((p>)t((, a), (, b)] =
(p'(s)i(w)$b)-t3>(a)]+ (p(s)d>(a,b)
= '(s) abl-pal] + 9(s)dA(a2, b2)
Wehave used the representations a - a1X(p) + a2
according to the splittingTpB = RX(p) @(p. Wesee and b - blX(p) + b2
form if f > Oand ' > Oon R. In particular, that d(fA) is a symplectic
and d(eSA)is symplecticon R x B,
a computation showsthat
(2
.14) (q>+
)*Lv-d(eS$
on[-,0] x B+, resp.on [0,£] X B-.
Recallthat an almostcomplexstructureJ on
*
g1t
P A is calledcompatiblewith
gi{h, k):-w(h, Jk)

isRiemannian
a metricon A. Theset of compatiblealmost
and contractible.This is, of course,well complexstructures
isnonempty
to
[40]. knownand we refer
Definition2.8. Thealmostcomplexstructure
ifisitcompatiblewithU andif, in J on A is calledadmissible
addition,
(2.15) T@+° J = J ° T@+ on [-,0] x B+
T@- ° J = J ° T@- on [O,] x
B-,
whereJ is the standardR-invariant
almostcomplexstructureon Dix B,
(2.16) J(s) p)[h, k] = FL-A(p)k,
J(p)7rk+ hX(p)],
[h,
k]E T(svp(Rx B). HereJ: ( > ( is
contact
planes.
an almost complex struCture on the
andequip the manifolds[-, 99+oo)
: [-67x B+X)and(0,(1,( x,1))),s] x B- with the lR-invariant
(-,£]
If ,oE C(Dt, 1R)satisfiesqo> Oand Sn'> O,the almost complexstructure

J is compatiblewith the symplecticform d(oA) on 1Rx B. Indeed,by (2.13),
d(p>) |(, a), J(:7 b)] = 9'(s) tap + alblj + W(s)dA(a2,

Jb2)
and dA(as,Jb2) is a symmetricand positive definitebilinearform on (.
It will be importantfor our considerationslater on that an admissibleJ
be compatiblenot only with S but with a variety of other symplectic forms.
To see this, introducethe collectionsSi of smooth functions(,oi satisfying
d9i(s) >0,
f Jr(sj= e if s E [-6, 6/2]

q0-(s) = eS if s E [6/2, £]*
Denote by E the collectionof pairs ,o = (o+, Sn-) with ioi X Si. With
SoE Swe associatethe following2-formwS>on A:
9 = ca on A \ (@+([-6/2t 0] x B+) U ?- ([0,£/2] X B- )),
(@+)*wf= d(ep+A) on b+ ([-s/2, O]x B+),
(@-)*gf = d(ip->) on @- ([O, s/2] x B-).
In view of (2.14) the 2-formcs,A,
is a smooth symplecticformon A. Assume
now that J is admissible;then
> (T@+u,JT@+v)-gso (T@+u)T@+Jv) = d((p+A)(u, Jv),
and similarlyfor b. Since J is compatiblewith d(npi)i)we have proved:

LEMMA2.9. An admissiblealmostcomplexstructureJ on A is compatible
with everysymplecticstruct?lreztp, SoE S.
We next definethe rloncompactalmost complexmanifold
(A, J)
haaringno boundary. It will be constructedfrornA, equippedwith an ad-
missiblestructureJ, by gluing cylindersto the collarsof the boundariesBi.
Recallingthe symplecticembeddingsfrom (2e11)and (2*12)we introducethe
compactmanifold
A = A \ (@+([-6/2, O]x B+) U b- ([o7 s/2] x B-))
structureJ in (2.16). Identifying[-,-s/2] x B+ with its image in A under

150
b+, and [£/2, £] X B- with its image under b- we
obtain the manifoldA as
the disjointunion
A U ([-6, oo) x B+ U (-oo, s] x B-)

with the pointwiseidentifications:
@ ([-£:-6/2] X B+) - [-£,-E/2] X B+,

@ ([£/2, £] X B ) - [£/2, £] X B
In view of the compatibilityconditions (2.15) we can
equip A with an almost
complexstructureJ by choosingon A an admissiblestructure
and on the two
cylindricalends the correspondingstandardstructureJ. \Ve
denotethe almost
complexmanifoldobtainedthis way by (A, J).
(-oo,6) x B-
(-6,) x B+
t- W
V
V
B- ' A 3 B+
Figure 4. Constructionof the almost complexmanifold(A,

J).
We define for f C E the closed 2-form, on A by the requirements
(2.17) IA = ) Lsflendi= d(qg A)
wherewe abbreviated end+ = [-, oo) x B+ and end- =
(-oo, s] x B- . In
viewof the compatibilitycondition (2.14), this defines a
smooth symplectic
formon A which, moreover,is compatiblewith J. This
provesthe first part
of
the followinglemma.
LEMMA2.10. If f E , then the mapX, ° (Id xJ) definesa Riemannian
metric
on A. If, in addition,
lim +(s) = 1 and lim -(s) = 1,
soo
s-00
then
(A,u,p) is symplectomorphicto (int(A),) by means of a symplecticdif-
feomorphisminducingthe identity on A.
holomorphic
1R+
p-(s)-s
satisfies
Moreover,
xPROPOSITION
A S1
general
if
Uusing
\parametrization
{zo}.
dsl3+finite
£/2 2.the
><1O
flow
The
1.
S energy
and
<Consider
composition
+(s)-s
E(ptand
sphere
:of12+
a:-(s)
r1if-E
general
xwe
inS1
vdefine
(A,
<O
=Dsfinite
as
uJ)
\<-s/2
o{O}
st:
isv:-oo.
energy
[-,
aby
1R+
and
smooth
(s,
oo)
Let
xyB+(s)
sphere
S1
t)xmap
bo
B+
A
= u
solves
O
intA
=
u::as
(,o+,-)
S2at rA
s\ the
e-2T(S+it)oo.
the
Proof. In orderto provethe secondpart of the lemmawe observethat, by

assumption,io+(s) = e:+(5),wherethe smoothfunction,B+: [-s, oo) 3 [-g, 0)
Similarly-: (-oo,] > :11t

has the form -(s) = e (-5)with dsl3- > Oand
and definethe diffeomorphismt: (A,s,p) >( int A,) by setting tIA = Id.
positive end by t(s,m) = ,B+(8)(m). Then

t* = d((o+>)
Similarly,taking @(s,m) = ,B-(S)(m) at the negative end, the statement
follows. g
solving the partial differentialequation

Tu ° t-J(u) ° Tu
and satisfyingthe energyrequirement
O< E(u) < oo,
where
WESJs2\r f
In order to describe the behaviorof u near a puncture zo e r we ob-
serve that a suitable neighborhoodU c S2 of zo looks biholomorphicallylike
the closed unit disc D C C, i.e., U = (D) and zo = (0). Introducethe
and parametrizeU \ {zo} by the holomorphicparametrizationff- ,o o :
Cauchy-Riemannequationon Di+x S1 and has finite energy,
Asv+ J(v)0tv = 0, E(v) < oo.
U \ {zo} of the punctureszo E r. Thenfor v

in the neighborhood = Xb o C:
Et+x S1 > A one of the followingthreealternativesholds:
1. Thereexists a compactK c A such that v(R+ x S1) c K.
2. The image of v is ?lnbounded

and there exists R > O such that
v([R, oo) x sl) c R+ x B+.

for
aon
thesequence
B+.
ssecond
> In
O.the
Define
case
third
Sk there
the
90 a(Rk,
a(Rk,t)
case
such
smooth
exist
t)
there
that
--oo,
function
a >-oo,
exist
sequence
vg+(Rk,t)
aVB-
V(Sk,O)H:
sequence
Rk
[O,
(Rk,
= oooo)
>t)
and
x(Tt),
Rk
xx(Tt),
(ak,mk) aoo
S1positive
and
Di+by
E aXnegative
B+
number
and number
Tak > XO
3. The image of v is unboundedand there exists R > O such that
V([R,°°) X Sl) C R- x B-.
Moreover,in the first case the solutzonu has a smooth extensionover zo. In
such that v(s, t)-(a(s, t), VB (S, t)) E R-+x B+ sattsfes
in C°°(S1), wherex ts a T-periodicsolation of the Reebvectorfield x = X(x)
T < O such that
for a {Tl-periodicsolution of X on B-.

Deh:nition2.12. The puncturezo E r is called removablein the first case,
positivein the second and negativein the third case.
Proof. In order to estimate the derivativesof the finite energy cylinder
v: [O,oo) x S1 > A it is convenientto embed A in some Dix Rm SO that the
cylindricalends havethe form(-oo, O]x B- and [O,oo) x B'7. Usingthe metric
inducedfromthe Euclideaninnerproductwe firstnote that the gradientand all
higherorderderivativesare uniformlybounded. This is provedby means of a
standardbubblingoff argumentpreciselyas in [24]. If the imageof v is bounded
hence containedin the compactdomainQ, we can take a symplecticformw,p
restrictedto Q and apply Gromov'sremovablesingularitytheoremfrom [23]
in order to concludethat v can be extended smoothly over the puncturezo.
Assume next the image of v to be unboundedand assume that there exists
We claim that v([R, oo) x S1) c R+ x B+ for some R > O. Indeed, arguing
indirectly we find asequence Sk satisfying v(s,k,O)G A and, going over to
subsequences,we can assume
Sk < Sk < Sk+l < Sk+l
Take a smooth functionr: It > Disatisfyingr(s)-O if s < Oand r"(s) > O
H(svt)-f (a(s, t)) if v(s, t)-(a(s, t), w(svt)) E R+ x B+

H(s, t)-O if v(s, t) f Et+x B+ .
A straightforwardcalculationshows that
tH(s,) >O
B | d)\1 = gIB and A1= A + dh for h: B JR}. Weshall showthat the equiv-
on 1R+x sl. Using;the uniformgradientbounds for v we have, however)
max {supH(sk, t), supH(sk+1,t)} < iSnlfH(sk, t)
This contradictsthe maximumprincipleand proves the claim. Turningto

the remainir1galternativethere is a sequence s, > oo such that v(sk, O) =
(a1C,mk) E R- x B- and ak -oo. Again the maximumprincipleshowsthat
v([R, oo) x S1) c R- x B- for some R > O. Since in the unboundedcases, the
images v([R, oo) x S1) are completelycontainedin almost complex cylinders
equippedwith the lll-invariantstandardstructureJ, the remainingstatements
of the propositionare provedin [24]. C1
Remar1z2.13 (Uniquenessof the foliation). If A and A1 are two contact
formson B satisfyingdA= dAl = gIB, then d(S-A1) = O,so that A-A1 de-
fines a cohomologyclass in H1(B, Et). We call A and A1equivalentif this class
vanishesand denote by [A]the equivalenceclass [A]= {A1= contact form on
alenceclass [A]determinesthe foliationnear B up to a Hamiltoniandiffeomor-

phism of A preservingthe leaves.
PROPOSITION
2.14. Assume that bi and @+ are two conformallysym-
plectic foliations near B associatedwith the equivalentcontactforms A and
)\1. Then there exist an open neighborhood U c A of B and a Hamiltonian
difSeomorphism t!: A ) A wElichpreservesthe leaves of the foliation in U:
@: Ot(r x Bi) > bi(r x B ),
for T E [-£, 0] resp. T E [O,£].
Proof. We first prove the statement locally near one of the connected
componentsof the boundarywhich we assume to be a negative one (for A)
and which we call B. The equivalentcontact form A1 = A + dh satisfies
dAl-d>v = gIB. If X is the Reeb vectorfield of A then IE&Xis the kernelof gIB
and hence A1(X) > Oon B. Therefore,As := A + sdh, O< s < 1, is an arc of
contactformsconnectingSo-A with A1. The associatedReebvectorfieldsare
denotedby Xs Introducethe s-dependentvectorfieldYs :=-hXs and denote
by fs its flow, satisfying dSfS = Ys(fs) and fo = id. Then dS(S*>s) = ° and
hencefS As = So for O< s < 1. Definingthe familyof one-formsAson [O,s] x B
by
As(r, m) [ot,a] = e>s (m)[a]:
O < s < 1, we conclude for the induced diffeomorphismsfs: [0,£] X B >
[0,] x B, definedby ?,DS(r,m)-(7,fS(m)), that
fS>S= >07 0<S<1.

o o
Next we extend the family As of one-forms on B to the family As = A + sdh

of one-forms on a neighborhood U of B, still satisfying dAs =- on U. Define
the family of vector fields rs on U transversal to B by
w(Q,)-=As, 0 < s < 1,
and denote their flows by g~ so that ~dg = s(pt)

- and g =- id. As before,
the foliations near B are introduced by means of the maps
[0, ] x B -> U, (Tr, ) (Tn),
O< s < 1. Using (f8)*As = etAS one verifies that IAs8= A,. Consequently,
the composition Ts := <Is s (o1 : U -3 U satisfies
(2.18) *As = Ao, O < s< 1.

Since dAs = dA = w on U, the maps are symplectic, T*w = w. By construction,
T : bo(r x B) -b (r x B)
for -r E [0, c] and 0 < s < 1. Note that 1o - id so that Ts is the flow of the
s-dependent vector field Zs on U,
Z()- =(+ d(x),s) its x E U.
Differentiating (2.18) we obtain
0
=( ds SAs) (Lz As + dh)
T=t(iz, + d(iz5 A) + dh).
Hence izgw - -dHs, so that Zs is a time-dependent Hamiltonian vector
field. The time-one map T1 is the desired local Hamiltonian diffeomorphism
on U. Carrying out the above construction near every boundary component
and extending these local Hamiltonians to a function on A we obtain a time-
dependent Hamiltonian vector field whose time-one map T is the desired dif-
feomorphism. D
2.3. Embeddings into CP2, the problems (V) and (W). We consider a
hypersurface M C R4 which is star-like with respect to the origin. In complex
notation C2 -= R4 it is represented by
M-z f({z)IzES3},
for a positive smooth function f : S3 -> R, with the sphere S3 = {z c C2 I
Izl - 1}. Recall the standard symplectic form w0 on C2 (viewed as a real vector
space):
2
go = E dqj A dpj.
j=1
Then wo = dA0o,with the Liouville form
Ao = 2 E (qjdpj -pjdqj)
j=l
The star-like hypersurface M bounds the compact domain W C C2. The
boundary aW = M of the symplectic manifold (W, wo) is of contact type, the
contact form on OW is Aolow. Viewed from the inside, the boundary is convex.
Indeed, the Liouville vector field rjoon C2, defined by inowo= AO,is equal to
rlo(z) = z/2 and satisfies L7o0wO= co. Moreover, j0ois transversal to OW where
it points to the outside of W.
The Hamiltonian flow on M is equivalent to the Reeb flow on S3 defined
by the tight contact form A = fAOS3. Indeed, the diffeomorphism
: S3 -> M
defined by o(z) = zVf(z) satisfies
*
-
(AOM) = fAoIs3
and hence induces an isomorphism between kerwoIMand ker d[fAoIs3]. There-
fore, the Hamiltonian flow on M is equivalent (up to reparametrization of the
orbits) to the flow of the Reeb vector field X determined by the contact form
f AoS3. Multiplying f by a positive constant only changes the parametrization
of the orbits and hence does not change the structure of the flow and we may
assume that 0 < f < 1/4. Hence W C DI/2(0), the closed Euclidean ball of
radius 1/2 in C2.
In the following the complex projective space CP2 will be equipped with
the standard symplectic structure u related to the Fubini-Study metric. There
is a symplectic diffeomorphism
IQ: (Bi (0) wo) -(Cp2 \CPl ),
where B1 (O) C C2 is the open unit ball and where CP1 is the sphere at oo
so that CP2 = C2 U CP1. In homogeneous coordinates of CP2 the map I is
given by
'I(Zl,Z2) = [Zl1Z21 - Iz12 - 1Z212]
We shall denote the sphere at infinity by S60; in the homogeneous coordinates

above it corresponds to [Zl, Z2, 0]. Identifying for convenience the symplecto-
morphic manifolds under consideration (by means of I) we have the following
inclusions
M = OW c W cDi (0) cB(0) c CP2
2
Introduce now V C CP2,
(2.19) V=CP2\ int(W).

The compact symplectic manifold (V, c) has a concave contact type boundary
aV = M. Moreover,
(2.20) V n W=M, V U W - CP2, S C int(V).
In view of the symplectic embedding 4 we have on an open neighborhood U

of M in CP2, a distinguished one-form A and a vector field r transversal to M
satisfying dA = w and ir1W= A. We use the flow ft of the transversal vector
field qrto define for E sufficiently small the embedding
(2.21) : [-s,6] x M -- U C CP2
by setting 1I(t,m) = (t(m), and denote its restrictions by

: [-6,0] x M-W and :[0,] x M -V.
In the notation of Section 2.2,

- M.
[0V]+ [OW]- -0 and [0W]+ - [OV]-
We observe that AlM is a contact form on M satisfying d(AlM) = WIM.

Since M is diffeomorphic to S3 we conclude [r] = [AlM],for every contact form
r on M satisfying dr = WM.
Recalling the construction in Section 2.2 we shall glue half-cylinders over
the boundaries of V and W and define the associated compatible almost com-
plex structures. Identifying (M, A01M)with (S3, fAoIs3) we first fix an almost
complex structure J: ~ --> on the contact bundle defined by A on M. We
choose J so that the associated R-invariant almost complex structure J on
R x M is generic, i.e., J E E (Section 2.1).
We first glue a cylinder over the boundary M of W in order to obtain a
symplectic noncompact manifold (W, w.) without boundary. Set W := W \
()+ ((-s/2, 0] x M), take the disjoint union
WU ([-6, c) x M)
and identify the points as follows:
(+ [-,-6/2] X M) [-6,- /2] x M.
On W we choose an admissible, almost complex structure J which agrees on

the cylindrical end [-E, oo) x M with the R-invariant structure J. Recall the
set E+ from Section 2.2. Then the closed two-form cw, on W, defined by (2.17)
in Section 2.2 (with W replacing A), is a symplectic form. If, in addition
lim _oos(s) = 1, then
(2.22) (W, w,) and (W \W, )

U: S2 J
\ r W( resp. V)
are symplectomorphicby Lemma2.10 in Section2.2. Similarly,a half cylinder

is glued over the boundaryM of V in orderto obtain the symplecticmanifold
(Vq2) Here V := V \ -([0, s/2) x M) and in the disjointunion
V U (-oov £] X M
the points are identifiedby means of d>-([E/2,] x M)-[E/2,6] x M. The
symplecticforms<,Oon V for ,o E S- are definedas above. If limS_OObo(s)
= 1, then
(2.23) (V, gso) and (V \ AV,)

are symplectomorphic.
Later on we shall study in detail generalizedfinite energy spheresin W
and V referredto as problem(W) and problem(V). By definition,a generalized
finite energyspherein W, (respectivelyV), is a smooth map
solving the equation

Tu ° i= J ° Tu
and satisfyingthe estimate
E(u) := sup
fES+
A S2\r a*Sw < X
(resp. f E -).
sOO
_ w {E}xM
_
, {E/2} X M
@([-E,E] X M) t t n 1 1 1
4 _ > {-£/2} xM
I - > {-E}xM
Figure 5. Constructionof the compactsymplecticmanifold(AR,cs,p).

In order to change the almost complex structure in an open neighborhood

of M C CP2 we add a neck to M in CP2 and define the compact symplectic
manifold (AR, w,) as follows. We take
V u W = cp2 \ ((-E/2, E/2) x M)
and identify in the disjoint union (V U W) U [-R - e, R + e] x M the points as

follows:
(2.24) u -= (s, m) (s
(- R, m) if (s, m) E [-e, -e/2] x M,
u = (s, m) - (s + R, m) if (s, m) E [E/2, E] x M.
On AR we take the almost complex structure JR defined by JR = J on
- , R + E] x M and JR = J on V U W. These structures are compatible
[-R
in view of the identification (2.24).
If R > 0, the set ER consists of all smooth functions ': [-R -, R +] -E
(0, oo) satisfying
p'(s) > 0
and
es+R if s E [-R - 6,-R - E/2]
s - l
es-R if sE[R+
s e/2, R + ].
By CR we shall abbreviate the set of all closed two-forms wg on AR, with

' E ER, defined by
cw =- on CP2(I(-E/2,
\ E/2) x M),
wP = d((pA) on [-R -6 , R + E] x M.
If f E ER has a positive derivative, the two-form wu,is a symplectic form on

AR compatible with JR and the symplectic manifolds
(2.25) (AR,wW) and (CP2, )

are symplectomorphic. Indeed, observe that p(s) = e(s) with a function
3 [-R - e, R + E] -> [-e, ] satisfying f3' > 0 and 0(s) = s + R if s E
[-R- 6, -R- /2] and 3(s) =s- - R if E [R + /2, R + E]. Define the map
4 : [-fR-6, R +] x M -_ CP2 by c1(s,m) = o(s)(m), where S0t is the flow of
the transversal vector field r1. Then 1*w = d(\A). Hence setting vuo=- id,
the map ' : AR -> CP2 is the desired diffeomorphism.
The energy of a JR-holomorphic sphere u: S2 -+ AR is defined by
E(U) := sup / U*wu

%oIR S2
and satisfies
E(u) = Is*O
sphere i: S2 ARbecomes
forevery,oE as is readilyverified.Lateron it will be convenientthat the

ER
energycan be computedforthe specialfunctions,azzdefinedas follows.Pick

a smoothfunction
90 [-E) £] > R
satisfying
( eS if s E [-£,-£/2]
fo(s) = < 1 if s C [-E/4,/4]
t es if s[E/2,]
and
* 90(s)>0.
If R > O,the functionfR iS definedby

( 'Po(s+R) if s E [-R-E,-R]
fR(S)-< 1 if S E [-R,R]
t (RO(S
- R) if s e [R,R+E]
We associatewith everyR > Othe closedtwo-formSR on Ar whichis
definedas aboveby:
(2R26) UR-LD onVUW,
We = d(fR>) on [-R-6, R + E]x M
The two-formSR iS compatiblewith JR. The energyof a JR-holomorphic
Js2
2.4. Pseudoholornorphic
spheresin In this sectionwe recallsome Cp2
wellknownresultsaboutpseudoholomorphic spheresin referring

to [23], Cp2,
[41],[43],[44],[52],[53]for moredetails.Weconsider equippedwith its Cp2
standardsymplecticform relatedto the Flubini-Study

S metric. The almost
complexstructuresJ on considered
arecompatible
Cp2 withS and,moreover,
equalto i in a neighborhood of ¢Spl C We considerJ-holomorphic Cp2.
spheresu: 52 > whichare homologous

Cp2 to Cpl C Theirvirtual Cp2.
genusis definedby - -
9(u) = 1 + 2 [C C - C(u)],
whereC = u(S2),andC C is the self-intersection
numberof the sphere.The
latteris equalto 1. Moreover,c(u) = c1(u*(T¢P2,J))[S2]is the firstChern
numberwhichis equalto 3. As a specialcase of the adjunctionformulafor
pseudoholmomorphic curvesin symplectic4-manifolds
we have
g(u) > genus(S2) = O
R - f
-|2 4 4 2ft
-R - F -R R R+6
Figure6. The functions po and gR.
with equality if and only if u is an embedding; see [43]. In our case, g(u) = 0,
so that the pseudoholomorphic spheres homologous to CP1 are all embedded.
Hence neighboring (unpararnetrized) pseudoholomorphic spheres S2 -* CP2
can be viewed as sections of the complex normal bundle of u(S2) satisfying a
nonlinear first order elliptic system, whose linearization Lu at the zero section is
a Cauchy-Riemann-type operator. Its Fredholm index is, by the Atiyah-Singer
index theorem, equal to
Ind(Lu) = 2 + 2cN(u),
with the Chern number cN(u) of the normal bundle. The total Chern number
c(u) is the sum of the normal Chern number and the Chern number of the
tangent bundle of u(S2). Since the latter is equal to 2 we have c(u) = 3 =
2 + CN(u) and hence CN(u) = 1. Consequently,
(2.27) Ind(Lu) = 4.
The results in [27] imply that the Fredholm operator Lu is surjective so that for
every J we have genericity automatically. In the parametrized description the
family of pseudoholomorphic curves is 10-dimensional since the reparametriza-
tion group of S2 is the (real) 6-dimensional M6bius group. We also note that u
defines a generator of H2(CP2) = Z. The space of unparametrized pseudoholo-
morphic spheres homologous to CP1 is compact. This follows from the fact
that bubbling off is not possible since there is no smaller class with positive
c-area other than CP1. Moreover, any two pseudoholomorphic spheres homol-
ogous to CP1 are either identical or have precisely one transversal intersection
point. Indeed, they are homotopic and thereforetheir intersectionnumber

is equal to the self-intersectionnumberwhich is equal to 1. Recall that the
intersectionnumberis alwayspositive.
In view of (2.27) and the surjectivitythe Cauchy-Riemanntype operator,
Lu has a 4-dimensionalkernel K. Considera nonvanishingsection h E K.
By the similarityprinciplethe zeros of h are isolated and of positive index.
The sum of the indices has to be the ChernnumberCN(u)= 1 of the normal
bundle of u(S2). Consequently,a nontrivialsection of the normalbundle in
K ;S transversalto the zero section and has one positive intersectionwith
the zero section of the normal bundle. Let h;7 1 < j < 4 be a basis of the
kernel K. Take two differentpoints zo and zl of S2, and define the map
@: R4 > NU(Z1) 3 NU(Z2) by
@(A1, , A4)= (E, A;hj(ZO),

SA;hj(Z1))
The map b is injectivesince otherwisewe would have a nontrivialsection in

K with two zeros, which in view of the positivity of the index contradictsthe
fact that the intersectionindex is equal to 1.
Given two diSerentpoints p and q C ¢Sp2 there exists at most one curve
passing through these points. Indeed, if there were two such curves, their
intersectionnumberwouldbe greaterthan or equal to 2. Assumenow a given
curvepassesthroughthe pointsp and q, p 7&q. Then we obtain curvespassing
through nearby points p' and q' by means of the implicit function theorem
using the propertythat the map b is an isomorphism.Fix now p + q in Cp2
and take a homotopy J(s) from i to J through admissiblealmost complex
structures.For the structurei there is a uniquecurve¢SP] connectingp with
q. Now changingthe parameterone obtains a l-parameter family of J(s)-
pseudoholomorphic sphereshomologousto Cpl and passingthroughp and q,
by means of the implicit function theorem. For s fixed the curve is unique;
moreover,it dependssmoothly on p and q.
If two J-holomorphiccurves homologousto (12P1have a tangential in-
tersection they must agree, since otherwisethey would have an intersection
numbergreaterthan or equal to 2. From this it follows that a point q and
a complex line in Tq(CP2)determinea unique pseudoholomorphiccurve ho-
mologousto (Upl through the point q whose tangent space agrees with the
complexline.
We apply these results to the symplectic manifolds(AN,GN) which are
symplectomorphicto (p2,) and which are equippedwith the compatible
almost complex structure JN introducedin the previous section. We de-
note by MN = MJ the space of unparametrizedJN-holomorphicspheres
162 H. HOFE:R,K. WYSOCKI, AND E. ZEHNDER
in AN--Cp2 homologousto (Upl. We may identify an elementof MN with

the image of a representativewhich is an embeddedJN-pseudoholomorphic
sphere. Summingup part of the above discussionwe have:
THEOREM2.15. AssumeN E N is fixedandconsiderAN GivenC1 and
C2 itl MN, ettherC1= C2or C1andC2haveonepointof intersection, andthe
intersectionindexis equalto 1. In particular,the intersectionis transversal.
In addition,giventwo diJSerentpointsql andq2 in AN, thereexistsprecisely
one curvein MN containingql andq2
3. Stretching the neck
We denote by MN = MJ the moduli space of unparametrizedJN-

holomorphicspheres in AN - CP2 homologousto ¢Spl c ¢Sp2 We may
identify an element of MN with the image of a representativewhich is an
embeddedJN-holomorphicsphere. We shall abbreviateby SOOthe sphere at
infinity. It is also JN-holomorphic;recall that near the sphere at infinity all
the almost complexstructuresunderconsiderationcoincideand are equalto i.
We now fix a point o>OE SOO on the sphereat infinity,and denote by JWNthe
subset of all elements in MN consistingof spheres diSerent from SO<D which
intersect SOOat the point oOO.E[encethe elements °f MN intersect SOOin
preciselyone point, namely oOO.The intersectionindex is equal to 1.
The mainpart of the desiredfiniteenergyfoliationfor M will be the result
of a bubblingoff analysis appliedto M° in a limitingprocessas N > oc.
We choose (r,m) E D;tx M and denote, for N > [rl, by CN the unique
spherein MN containingthe point (r, rn). In the followingwe shall describethe
decompositionof a suitablesubsequenceof (CN)into solutionsof the Problems
(M), (V) and (W).
If C = (CN)is the abovedistinguishedsequencein M° and if W:N -o N is
injectiveand monotonewe shall abbreviateby (:9 the subsequence(C,P(J));EN.
Let WN: S2 > AN be a JN-holomorphicparametrizationof CN =
Wy(52). Setting S2 = ¢: U {oo} we normalizethe parametrizationas follows.
We requirethat
(3.1) Wy(oo)-°Oo:
and either WN(O) EW7or the point WN(O) belongs to [N, N] X M and has
the lowest possibleEt-value.In addition,we require,denotingby D the closed
unit disc in (S, that
(3.2) A WNWN = 7r 7,
D
and assume
isfying Rj:-ITw,p(j)(zj)l
that there
mint
exists
00 for
lrj-9 ao converging
(i)
some
l, injective
grj +sequence
f o monotonic
+(i)zjl zo
} 9°
function
for zo , (70.
D sat-
We
with the closedtwo-formGN introducedin (2.26) andwith a number0 < 7 < gr.
Recall that, the spherebeing homologousto Cpl C ¢Sp2,
X WNWN=J =7
The numbera is chosenas follows. It is smallerthan everyperiodT of periodic
solutions of the Reeb vector field Xx on M. Moreover,a is smallerthan the
minimumof all numbers{T-T'l, whereT and Tt aremutuallydifferentperiods
of periodicorbitsof Xx, the periodsnot exceedingr. Finally,tyis smallerthan
the area of a compactJN-holomorphiccurvethrougha point in SOO havingits
boundaryoutside of a fixed open neighborhoodU of SOO.This neighborhood
U is assumedto be so small that it does not intersectthe imageof the map b
definedin (2.21). We observethat on U the almost complexstructureJN is
independentof N if U is small enough. The existence of such an area bound
is guaranteedby Gromov'sisoperimetricinequality;see [23].
We choose a Riemannianmetricgy on AN whichis independentof N on
the piece V U W and which is translationinvarianton [-N, N] X M inducing
on every {c} x M-M the same metricg. On S2 we choosethe F>ubini-Study
metric. Let Da denote the closed disc centeredat the originin (: of radiusd.
LEMMA3.1. For any d > 1 there exists a constantCa such that
|TWN(Z)I <Ca
for everyZ E S2 \Dd and N > Irl. Moreover,for any znjectivemonotonicmap

p: N > N and a sequence(zj) c S2 such that ITwtp(j)(zj)l > °° andfor every
O
liminf t w(j)C)f(j) > .
Proof. In orderto prove the first part of Lemma3.1 we argue indirectly
choose a sequencepj - > 0 such that still

tTW9(j) (zj) lpj ) w.
By the argumentsin [24, Lemma26] we can assumethat, in addition,

Tw,p(j)(z) )< 2|TWP(j) (Zj) I if Lz- zyl < pj,
after replacing z; by a sequence still convergingto zo and replacingPj by
anothersequenceconvergingto 0. We have to distinguishthe followingthree
cases:
1. There exists a subsequencesuch that
wfO9(j)(Z+(j))= (rJ:mj) E [-(p o ?k(j))(p ° (j)] x M and
that Rjdj oo. Abbreviate
Rj-ITiij(zj)l
ej = min{pj,dj}.
oo and Rjej
The mappings
-> oo, Uj = (aj, Uj) :
164 H. HOFER, Kz WYSOCKI, AND E. ZEHNDER
2. There exist a subsequenceand R > Osuch that

w,pov(j)(Zf,(j)) E W U ( [-s-9 o ?f(j ), R-tp o 14(j )] x M) .
3. There exist a subsequenceand R > Osuch that

w,f>On(j)(zg(j))
E V U ([,o o (j)-R:6 + (p o 14(j)]x M)
Simplifyingthe notation we set u;(z) - w<OOg(j)(z) and z; = Zf,(j), and

w; = W,f,
On(;). Consideringfirst the case 1 we recall the standardbubblingoff
analysisfrom[24]. In a smallneighborhoodof z; we haveu; = (aj, Uj) E 1Rx M.
Introduce
dj = inf{d > O| there exists (y with l(:j-zil = 6 and ay((j) = + o f(j)}
Note that if dj < pj, then
lai(4i) ai(zj)l = laj(4i) ril < X lvai(T4i + (1-Tizivldr lsi - zil

< 2RjAj
Sincethe left side is equalto either jrj-qDo (i) l or Irj+ f o 8n(.g)
1we conclude
D£j (Zj) >R X M solve the equations

asuj + J(ui)0tui = O on D,Sj(z;),
where J is the lli-invariantalmost complexstructureon Dix M and z = s + it.
Moreover,
Zj ZO
ITuj(z)l < 2|Tuj(zy)l if [z-zil <6j

Rescalingthe sequencein increasinglysmallerneighborhoodsof Zj we define
for z E DRJ£)the mappings
vj (z) = (bj(z): vj(z)) = (aj (Zi + Rj ) ( j) )
Since J is R-invariant,the sequenceVj has the properties

t3SwJ
+ J(vj)0tvj = O,
ITvy(z)l< 2 on DRjEV, |Tvj(O)|= 1.
In view of these gradientbounds we conclude,by the Arzela-Ascolitheorem,
that
t.? yV inC1Oc(¢S,RxM)
for a nonvanishingmapv = (a, v): (12 :R x Msolrring
asv + J(v)0tv = O on (C.

Fromthe definitionof the energyE(uj) it followsimmediatelythat
E(v) < 7r
Hence the map v is a nontr;vialfinite energy plane in ERx M. In order to
estimate its dA-energywe note that it was obtainedby rescalingmaps defined
on small discs with area not exceedingty (this followsfrom the normalization
condition(3.2) and the fact that zo M D). Hence
| C v*dA< y.
Sincev is nontrivial,the M-part v is asymptoticto a periodicorbit with period

O< T < ty. This, however,contradictsthe definitionof a being smallerthan
any period T of Xx and shows that the first case cannot occur.
Next we considerthe secondcase. Identifying[-E-N, R-N] with [-£, R]
we representthe map Uj by uX= (aj,uj) wheneveruj(Z) E 1Rx M. Define
dj = inf{o$> Ot there exists (j with lj-zjl = J and a;((j) = f o f(j)} and
set £j = min{pj, dj}. Then the sequenceof mappingsUj: D£j (Zy) > W U
([-s, f ° (j)] x M) solves the equations
J(?ij) ° Tuj = Ttij ° i on Dy;(Zj).
Moreover,
Zj ZO,
Rj=lTuj(zj)l > and Rj£j- >x,

gTu;
(z)8< 2iTiij(zj)
I if [z - Zil < gi
Rescalingthe sequenceu; we definethe mappings
Vj (Z) = Uj (Zj + Rj )
for z E DRj * At any point z E DRJEjsatisfyingv;(z) E [-£) oo) x M,
vj(z)= (bi(Z)"vi(z)) ( i ( i Rj) ( RV))
The sequenceVj has the followingpropertieson DRSES:
J(vj ) ° Tvj = Tvj ° , lTvj(Z)l < 2, iSvy(O)[-1.

Since vj(O) E W U ([-6, R] X M), the sequencevj is, in view of the gradient
bounds,uniformlyboundedon compactsubsets of (C.By applyingthe Arzela-
obtain
morphic
in map
thisv:case a nonconstant
S2 W U ([-£, L] xgeneralized
M). Wewillfinite
showenergy
that v plane
is constant
v: C Vin
=

166
Ascoli theorem we obtain a nonconstantgeneralizedfinite
energy plane v:
C > W = W U ([-£, 00) X M)
rj >v in C1oc((S,W U ([-6, oo) x M))

If v(¢:) c W U ([-, L) x M) for some L > O, then
the puncture at oo is
removable.In this case v can be extendedsmoothlyoveroo to
the pseudoholo-
this case, contradictingITv(O)l= 1. Indeed,,p is exact on
W U ([-, L] x M)
and therefore
f v*Uf-O
Js2
implyingthat v = constant, contradictingITv(O)}= 1.
The contradiction
showsthat the punctureat oo is not removable.Arguingas
in Proposition2.11
(Section2.2) we have
v(z) [O,oo) x M
e
forlZl large. Since its energyis finite, v is asymptoticto
a T- periodicsolution
ofXx implying
(3-3) X v*Sw = lim | v(e2T(5+it))*> = T

forevery f E S+ satisfying limsOO(s) = 1.
However,the bubbling off
analysisand the normalizationshow that the first term in
(3.3) is bounded
aboveby ny.HenceT < ty. This contradictsthe definitionof
a and shows that
thesecond case cannot occur either.
Next we exclude case 3. Identifying [-R + N, £ + N]
with [-R, s] we
VU ((-oo, s] x M), wherethe points in [£/2, E] X M are
identifiedwith points
inV via the map b-. As a consequenceof the
bubblingoff analysistogether
withthe normalizationconditionwe againfind for the
energyof v the estimate
(3.4) 0< j v*,A,<<y
for
every f E S- satisfyinglims_OO(,o(s)= 1. If the puncture
x was remov-
able,
the map v wouldcompactifyto a nonconstant
holomorphicsphere. This
wouldimply that the above integralwould have a value of at least
7rwhich is
notpossible. Consequentlyv has a nonremovablepunctureat oo,
which has
to
be negative,since V has a concaveboundary.By
Proposition2.11,
(3.5) v(z) E (-oo, O]x M
for
lZl large. If v(C) does rlotirltersectthe
sphereSOO
it belongsto the comple-
mentof Soc)in V. Note that the symplecticformsgsQare exact
on V \ SOO.By
Stokes' theorem we obtain, in view of (3.5) and using the asymptotic behavior
described in Proposition 2.11,
Jj*W -=-IT1,
contradicting (3.4). So, v(C) must intersect the sphere at infinity. The inter-
section number cannot exceed 1, since all the intersection numbers of CN with
this sphere are equal to 1. In view of (3.5) we therefore conclude from the last
property of -y that
>
IC*wj > ,
in contradiction to (3.4). This finishes the proof of the first part of Lemma 3.1.
Next we proof the second part of the lemma. We again carry out a bub-
bling off analysis for the three different cases. This time zj -. zo E D because
of the first part. In case 1 we obtain a finite energy plane in 1Rx M. In the sec-
ond case we obtain a generalized finite energy plane in W and V respectively.
The energies of these planes are, in view of the asymptotic behavior and the
property - < T, estimated as follows:
In the first case: j *dA > y.
In the second case: X w > -y.
In the third case: v V > 7.
Here, wui = w,: for every poE S+ satisfying lims-o (s) = 1 and u: = w,ofor
EE S- satisfying limW-o s(s) = 1. The desired estimates in the lemma now
follow, unwinding the scaling in the bubbling off analysis from the estimates
(in the short notation from above, for j sufficiently large)
i/tw37 < ;U/ W

y^i= s 3w < WW
v.j.
'D3R D ij IB3 / (zj) JB(z) 3
The left hand side converges to the energy of the corresponding finite energy
plane as j -4 oc and then as R -> oo. The proof of Lemma 3.1 is complete. El
A point zo E S2 is called a bubbling off point of the sequence w~,(j) of map-
pings if there exists a converging sequence zj -. zo satisfying ITwo(j)(zj)\ - oc
as j -* oo. The proof of the previous lemma shows that a sequence admits at
most finitely many bubbling off points.
for
converge
iAssume
every
= 1, to.N..now
oo.,Ifasm
that
w:
with
N S2
oo.the
zAN
Nevertheless
zOis
sequence
foraj smooth
- > oo,
gradient
Wj: map
where
S2 and
the
bounds
AS P
has
zO
G are
S2,
the
imply
mutually
then
finite
C°c-bounds
W(P) r in-
different,
setE W\0W
168 H. EIOFER,K. WYSOCKI, AND E. ZEHNDER
LEMMA3.2. Assurnethat (p: 15 - > N is an injecttwenzonotonicmap.

Assume that w,p(X):S2 >A,,,(S)is J,p(j)-holomorphicand homologousto ¢Spl,
so that it parametrizesan elementin M,,o(j).Supposethereexist sequences(z;)
so that ITw,f(j)(z1)} ->oo. Then the followingestzmateholds:

rn * a < xr.
Proof. A bubblingoff analysisshows that every bubblingoff point takes

a certainamountof energyaway. This is dA-energyin case 1, wV-energyin the
second and zW-energyin the third case. All these energiesexceed . Choose
£ > Osuchthat s-discs aroundthe points z0 are disjoint. Then forj sufficiently
large
r m
IS2 9(i) '°(j)-E tD (ZZ)wn4(j)a'R(g)*
Takingthe liminf as j > oo, the right-handside is, by Lemma3.1, greateror

equal to mtyhence provingthe lemma. g
V\terecallfrom [24]that on a compactalmost complexmanifold,gradient

bounds of a solution of our elliptic system imply C°°-bounds. In the case at
hand the target manifoldsAN depend on a parameterand their diameters
our case also since the metricsgy are, by construction,quite special. In order
to estimate the derivativeswe embed V, W into some Rm and M into Rm-l
for m sufficientlylargein such a way that [-N, N] XM lies in Etx itm-l = t!im
or w(p) C V \ EJVor w(p) C (-E-N, £ + N) x M. Using chartswe may assume

that a neighborhoodof p is mappedinto Rm and we can apply the differential
operatorsDa = d3s1at 2: wheres + it are suitableholomorphiccoordinatesnear
pE s2*
Using these particularembeddings,the higherorder(> 1) derivativesof a

sequenceWj near a point are understoodin the usual sense. Since our system
is elliptic we concludefromLemma3.1, in particular:
LEMMA3.3. Given any b > 1, the derivativesof orderat least 1 of the
sequenceWy: S2 > ANare uniforrnlyboundedon S2 \ Da.
{z1,...,zm} of bubblingoffpoints. Then, inviewofLemma3.3, r c D. In

the complementof everyopen neighborhoodof r c s2 we have C°° bounds. If
z X r then Wj(z) , w for all j sufficientlylarge. Indeed,arguingby contradic-
tion we assumethat w,(j)(Z)E w. We find a path in SS connectingz with oo
and avoidingthe points in r. Since the gradientsare uniformlybounded,the
of LEMMA
disttf>(j)((rvm)o<O)
the metric
3.5. disty((r,
Thegeneralized
oom),
as oOO)
j oo-
finite
ooThis
asenergy
Ncontradiction
> oo.
sphere
This wOC,: r v asser-
contradiction
proves
S2 \ the proves
is not
imagesof the path underthe mappingsW,a,(j) must have a uniformlybounded

length. By assumptionWs,,(j) (oo) = oOo for all j. The distancebetweenW,p(j) (z)
and oOO must exceed the distance between (r,m) and oO,,,and by the choice
our claim that Wj(Z) X W if z M r for largej. Since Wj(OO) = Ooo e V we can
identify [-j, j] x M with [-2j, 0 x M and concludefor a subsequence
W9(j) >W in C10C(S2
\ r, v).
In particular,wOO(oo) = oOO.The map wOO:S2 \ r > v is a generalizedfinite
energy sphere and our next aim is to show that it is not constant. We first
observethat the set r of bubblingoff points of the sequencewtf,(y)
is not empty.
LEMMA
3.4. The set r C S2 contains0.
Proof. Assume O f r, then we find a path in S2 connectingO with oo
and avoiding the points in r. The image of the path under the mapping
W9(j) must have a uniformlyboundedlength, since the gradientsare uniformly
bounded. By assumption,w,,a,(^)(O)
is eitherin W or has an li-componentlower
than r. We see that diste,O(j)(w,,O(j)(O),oOO)
> dist,O(j)((r,m),oOO).However,
tion. CH
Up to this point we have found a subsequenceCi° = (CAp(j)) of C, suit-
able parametrizationsW9(j): S2 > A(j) of C9(j) with a nonemptyset r of
bubblingoff points contairlingOsuch that W9(j) ) Wczo in ClC°c(s2
\ r, v) and
wO>,(oo)= oOO.Moreover,for E > Osufficientlysmall and z G r
(3.6) Vco JDE(Z) P(i)
in view of Lernma3.1.
constant.
Proof. Arguingby contradictionwe assumewOO(z) = p for all z E S2 \ r.
We choose E > 0 so small that the closed £-discs aroundthe points in r are
mutually disjoint. Let z E r and recall the estimate (3.6) on D(z). On the
boundary S(z) -AlDS(z), the map w2(;)convergesto the constant map p
in C°°. Hence we can extend W9(j)lDe(z) to a smooth map ez)j: S2 >
satisfying
JS2\D (Z) eZ j£9(j) <
and aj ) 0. ¢j
For j large the spheresez,j have the positive area
t2 eZ>jf (j) > °1

that
SQ we can
LEMMA glueThe
3.6. it to WoolDe(z) r of
punctures andwOS2 \ armap
obtain v are
ej: nonremovable.
S2 A(j) with
H. HOFER, K. WYSOCKI, AND

E. ZEHNDER
170
in view of (3.6). This impliesthat
this irltegralhas a value which is a
integermultipleof . Consequently7 positive
|S2 W(j) W(J) - E XD ( W9(j)g9(j)
ZE tS2 Z,j9(2) Er XS2\D (z)ez)jw9(j)
> #r1r-tr5;.
Therefore,tr < l if wOC,
is constant, and so r = {o} by
quently,W,A,(j) Lemma3.4. Conse-
convergesin C°° on S2 \ D1/2 to the
constant map p E V. By
normalizatiorl:
'Y JS2 \D W( j ) W ( j)
Takingthe limit as } - > oo we find a = O.
This contradictsthe definitionof a
andLemma3.5 is proved.
C1
ThereeacistsE > Osuch that
W5o (D£(F) \ r) C - XM
Proof. In view of Propositiorl2.11 it is
enoughto showthat the punctures
are
not removable.Since wDO g constant we know that^
( )
Js2\r °° V
Given
d > Owe find so = so(6)
and an integerj(d, £o) so that
JS2\DE
(r) 9(j) 9(j) /S2\ OOWV y
provided that E E (O,so) and j > j(d, so).

Assumethat the bubblingoff point
z rE is a removable
punctureof wOO and hence that wOOis definedorl D(z)*
Weknow from (3.6) that
,;
r
liminf | Wso(j)gf
(i) > 7,
for
every sufficientlysmall E > O.
Moreover,for a given ff and E > O small
enough
j
W* W < ff
For
j largewe may slightly deformW9(j)
near the boundary(in C) of D(z)
fs2 e^w,(j) having the value exceeding y - 2a. Hence the value of fs2 ejw~(j)
must be at least 7r. This shows that
lim w*(j),(j)
W/
> Xr
j-.oo J(z)
for every sufficiently small e > 0. Hence
= '2W(j)W,(j=) S2S\D () 9(j)9(j) + IDej(e)

> W*W'- ]-
-z)+IDE(Z) w
W(
S2\r (V --
Therefore, passing to the limit as j -> oo, we have
7r i> W*Q0
wi~
- a + X.
2\r
This holds true for every 6 > 0. Hence
W*\rwo = 0,
contradicting (3.7). Therefore, the punctures are nonremovable. Since the

map woo admits negative punctures only, the second statement of the lemma
follows from the asymptotics near the negative punctures. The proof of the
lemma is complete. l
V region
R x M region
-i L-----J L-----
Figure 7. The finite energy sphere woo. In this figure there are
three negative punctures.
integral
We
Taking
also the
see
LEMMAconverges
limit
that nxE(zo)
3.8. Ifj as
wOO:
-> joois
oo
S2and r v isE 0+
decreasing
to
\ then the
as in
Eabove
0+, whichallows usfintte
generalized energy
to define:
172 H.HOPER, K. WYSOCKI, AND E. ZEHNDER
We next introducethe mass m(OO:zo) of a puncturezo E r. For £ > 0
smallenoughwe first set

Z£(ZO)=l1m JD ( ) WS;(j)WO(j)*
Inorderto show that this limit does exist for E small we note that the closed
two-formSN is exact on AN \ SOO.In addition, ON = dAy for a one-form
satisfyingAN = > on [-N, N] X M viewing A as a formon R x M. Moreover,
the restrictionof AN onto W U (V \ S) does not depend on N. Identifying
[-2N, O]x 1U with [-N, N] x 1Wwe concludefromLemma3.6 for sufficiently
smallE > Oand j > j(£) that
9(j)( £(Z0)) C [ W(j), f(j)] X .
Therefore,
JD (Z ) W9(j) 9(j) A0DE(ZO) W(i) W(j) J0DE(ZO)
On AD(zo) the maps W9(j) convergein CX to the map w so that the last
J ADe(zo) W OS = mE(ZO)
Definitzon3.7. zo E r is the realnumber

Themass of w, at the pqbncture
( w) °) of E( o) '
In view of the estimate in Lemma3.3 we have limj<O SD (zo) W9(J9g9(i)

><y,andso,
a < m(wOO7 ZO) < T-
A52 \U ,Er DE(Z) t4( ) ) E ID (Z) W(j) W(j)
and recallingthe definitionswe obtain the followingformulafor the energy.
sphere,
7r= / wOOgv+E m(wX,z).
The next lemma describesmore preciselywhich part of AN a full neigh-

borhood of bubbling off points is mapped into under the mappingsW9(j):
S2 _ > A9(j),
sequence (j Zt satisfying w(j)((j) E V. For the embeddedspheres C9(j)
V region
\<J R x M region
V X U t
Figure8. Nearthe puncturesin r the imagesof wSO(7)
are contained
in W U ([-9(j), (p(j)] x M)
LEMMA3.9. If zt E r, thenfor everyE > O small andj > j(E),
W<z,(j)
(D,(zi)) c W U ([-(p(j), (p(j)] x M) .
Proof. We fix the bubblingoff point zt E r c s2 of the sequenceof J,o(j)-

holomorphicspheres W9(j): S2 + A(j). Arguingby contradictionwe find
(possiblygoing over to a subsequencedenotedby the old letters) a converging
.
we now choose differentholomorphicparametrizationsand define the maps

Vj: S2 - > A(j) by
Vj (Z) = W9(j) (j (Z) ),
where the Mobius transformationsrj: S2 > S2 are chosen such that the
followingnormalizationconditionsare met
(3.8) Vj(S2) = C9(j), Vj(0) = W9(j)((j),
Vj(OC)) = °X7 JD VjUC(j) PY-
In particular,rj (O)-(j . Carryingout a bubblingoff analysisfor the sequence

Vj we denote by rt C S2 the finite set of its bubblingoff points. Then r c
S2 \ int(D) in view of the last conditionin (3.8). In particular,Of rt. Away
fromr! we have uniformgradientbounds. We use them in orderto show that
Vj(z) X W if z , rt providedthat j is sufficientlylarge. Indeed,we can connect
z with Oby a path avoidingrt so that the lengthsof its imagesunderthe maps
Wsg>(j) are uniformlybounded. However,underthe assumptionv;(O)E V, this
the
ergy
r^-](z)
contradicts
existence
sphere
> oo
vOO: rX v is
distso(j)(rj(°):rj(Z))
converge
ofS2a \ sequence
rjuniformly
vOOnot
z;inoo
constant
ClXC(S2
toon
> ooooS2
asas
and r,has
satisfying
j\ joo ifv).
oo aas
v;(z)
positive
ygTvy(zj)l
>Eoo.
W.gV-energy.
Consequently,
This
oo.follows
Hence
Its
a subsequenceconverges,
In particular,vOO(O)C V. We next show that rt + 0 by provingthat oo E r.

We recallfor the circlesS£(Zi) = aDe(zi) aroundzi E r that
W9(j)(S£(Z)) C [-f (j), w(j)] x M

for every E > O small and j > j(E). Identifying [-bo(j),(p(j)] x M with
[-29(j),0] x M we know in view of Lemma 3.6 that given R > O we can
choose £ > Osmall enough so that the R-componentof w9(j)l56(zi)is smaller
than-R for j > j(E). Since rj(oo) -oo, rj(O)-(j, and (j > zi we de-
duce from the fact that the mass at zt exceeds eythat the circles rj-l(S(zi))
fromthe fourthconditionin (3.8). Since, dependingon , the IEt-componentof

vJl_l(5 (zi)) in V becomes arbitrarilynegative and rj(oo) = oOO
we conclude
X E rt as claimed,and by the argumentsof Lemma3.4 (with OE r replaced

by oo E rt and with the differentparametrization), the generalizedfinite en-
puncturesr are all negative.

Assume now that vOO hits SOO.This intersectioncannot be isolated since
otherwiseCtp(j) would have (togetherwith oo E S2) at least two intersections
for y sufficientlylarge. Consequently)by the similarityprinciple(see [1]) the
image of vOO: denoted by C, is contained in SOO.In this case all punctures
are removableso that C is equalto SOO with finitely many points removed.In
particular,C has gV-energyequalto 1r.However,the massof everypunctureis
at least a > 0 and in view of Lemma3.8 the gV-energyof C is strictly smaller
than 7r.This contradictionshows that vOO does not intersectSOO.The closure
of its image lies in the complementof SOOin V. If all the puncturesrt are
removablewe can compactifyvOO to a spherein V \ SOO of positive gV-energy.
On thc other hand, the two-formeuVis exact in the complementof SOO; hence
the wV-energyvanishes. This contradictionshows that not all the punctures
are removable.
The nonremovablepunctures, still denoted by r, are all negative. So,
we obtain by Stokes' theorem using the asymptotic behaviorof vOO near the
puncturesas describedin Proposition2.11 (Section 2.2),
0< / v* w =-E Tz < 0

sequence
to
Consider
a nonconstant
wtp(j): E r energy
the JN-holomorphic
(finite
zwGp(j) ifwOO limzj
Clooc(S2
parametrization
z in
= sphere and r,WN:
S2 v) r v passing
WOO\ {Tw/9(j)(zj)l
\ S2-C U {00}
x asCN
through
j sat-
oo)
HereTz > Ois the periodof the periodicsolutionof X>,on M associated

withthe puncturesz E rt. Withthis contradiction
the proofof Lemma3.9 is
complete. a
Wesummarize
the resultsof the limitprocedurereachedso far.
THEOREM 3.10. Choose a point (r,m) E [ NO,NO]X M C ANO De-
note by CN, for N > No, the anique tunparametrizedJN-holomorphicsphere
homologousto (Upl in AN and containingthe two points (r, m) and °OCD
E SCDO
isfying the appropriatenormalizationconditions,in particularWN(oo)= oO¢;,.

Then there exists a subsequencewtp(;)of mappingshavingthe followingprop-
erties:
There exists a nonemptyfinite set r c s2 of babblingoJSpoints of the
small, thenfor all j > j(E) and z G r,

Moreover,if E > O is sufWciently
W9(j)(De(Z)) C W U ([-9(g), W(j)] x M).
When[-N7 N] XM is identifiedwith [-2N, O]x M the seqllencew#(j) converpes
wOO(oo) = having the nonremovablenegativepunct?lresr, and the pos-

oOO)
itive wV-energydeterminedby the formlbla
XS2\r W0°V + E m(wOO,

z).
The mass of the puncturez E r satisfies ey< mOO(wOO) z) < lr. The behavior
near the pancturesis as follows. Thereexists an £ > O such that
\ r)c 1R-X M C V
WOO(D£(r)
and if (p: D C (S > U c S2 are holomorphiccoordinatesnear z E r satisfying
,o(O)= z, then in holomorphicpolar coordinates
wOO
((p(e 27r(s+it))) = (aDO(s,t), uOO(st))
for s larpe,and as s >x
aoo(s,t) -°°
voo(Svt) > x(-Tzt)
in C°°(R). Herex is a periodicsolution of Xpion M havingthe periodTz > O.
4. The bubbling off tree
In Section 3 we introduced the sequence w,(j) of maps converging to the

generalized finite energy sphere woo in V:
w(j) -WX in Cl oc(S2\ r, ).
The nonempty finite set F C D of bubbling off points of the sequence wv,(j)
consists of the negative punctures of the maps woo. In this section we shall
look more closely at these punctures by carefully rescaling the maps w(,(j) near
F. Proceeding inductively we shall produce generalized finite energy spheres in
R x M as well as in W. As it will turn out, it will be convenient to describe the
combinatorial structure of all the finite energy spheres produced by means of a
graph whose vertices (dots in the figures 9 and 10) have different colors. A black
dot will represent a finite energy sphere in V, a gray dot a finite energy sphere
in R x M and a white dot a finite energy plane in W. We shall draw an edge
between two such dots, if the sphere represented by "dot no. 1" has a negative
puncture zo whose negative asymptotic limit is the periodic solution of (xo, To)
and the "dot no. 2" has a positive puncture z1 with the same asymptotic limit
(Xi, Ti) = (xo, To). Figure 9 illustrates a possible configuration. Of course,
our construction so far only justifies the configuration illustrated by Figure 10
below.
V region
R x M region
W region
Figure 9. An a priori possible graph. All finite energy spheres

in JRx M have either nonzero dA-energy or at least two negative
punctures.
V region
zI / z2 z3 z4
/ x/ M region
v-)'
W region
Figure 10. There are four negative punctures but the finer structure
near these points is not yet known.
We start our procedure by first collecting more information about the
behavior of the sequence w,,(j) of maps near the punctures F. We fix zi E F
and choose co > 0 so small that Do (zi) n DEO(zk)= 0 for zk E F with k 4 i.
From Lemma 3.9 we recall
W((j)(Dr0(z)) C WU M)
([-(j),i(j)] X
if e0 is sufficiently small and j > jo(Eo) large. We now choose the points 7j C
DEo(zi) in the following way: if w(j) (De(Zi)) W 7 0, then w(j)(7j) c W
and if w(j) (D0o(zi)) C [-o(j), o(j)] x M, then w,()(7j) has the smallest
R-component among the points in w(j) (Do0(Zi)) ([-p(j), (j)] M)x
X .
LEMMA4.1. The sequence (7yj) converges to zi.
Proof. The asymptotic behavior of woo S2 \ F -, V near the negative

puncture zi c F is, according to Proposition 2.11 (Section 2.2), described by
Woo(zi e2(sit)) - (Tis + d, x(Tit)) C R- x M
as s -4 -oo, where (xi, Ti) is the associated periodic solution of Xx on M.
Identifying [-N, N] x M with [-2N, 0] x M we deduce that the R-component
a(j) of WU(j) can be made arbitrarily negative by chosing e > 0 small and j
large. But away from zi the sequence (a,(j)) is bounded, so that 7yj - zi as
claimed. E]
Fix a number ao E (0, -7). Then the following lemma is obvious.
LEMMA 4.2. There exists a sequence 8j - 0 satisfying
- m(w3, zi) o.
ID6 () W(j))w(j)
Next we define the subsets Qj C C by
Qj := {z E C + jz E D(z)}
Then DR C Qj for j > j(R) since yj - zi and 8j -O 0. With the help of the
distinguished parameters 7j and 6j we define the rescaled maps vj Qj - A()
by
(4.1) j (z) =w (j) Eyj +8jz).

These maps meet the normalization condition
(4.2) ID w(j) D ) W(J)0(j) -= m(wx, ) - o0.
Given R > 1 and cr > 0 we estimate, using 6j -* 0 and j zi,
Vj w(j)
JDR\D DR6 (Wj) W(j) -D(j) UW(j)
-= I W(J)Wc() - m(wo, zi) + go
< - m(wo, zi) + -o0

ID(i) W(j)W%(j)
if j is sufficiently large. Consequently,
limssup -
jW (j) M
< m(woo, zi) m(wo, zi) + go.
j-+oo R\D
The estimate holds true for every ac > 0 so that
(4.3) limsup
j-o
/JR\D\ JcW(j) < c0
for every R > 1. Since co < 7 we conclude that there cannot exist a sequence
- zo, Izol > 1, satisfying
Zj
lim sup ITvj(zj)l - oo.
Indeed, by rescaling, such a sequence would allow the construction of a non-

trivial finite energy plane for problem (M) or (W) whose energy would be
smaller than ro < 7yin view of (4.3). However, the energy of a finite energy
plane is equal to the period T of a periodic solution and T > 7yby definition
of 7. This contradiction shows that we have gradient bounds for the sequence
(vj) on DR \ Dr for R > r > 1. From these gradient bounds we obtain the
following uniform bounds for the higher order derivatives, in the metrics gN
on AN.
LEMMA4.3. Every subsequence of (vj) has uniformly boundedderivatives

of order at least 1 on DR \ Dr for every R > r > 1.
(4.5)
(4.6) vj(2)
w+(j)
= (rj, vOO
mj) Ein[-(p(j),
C1oc(¢9(j)]\ xri,
MandW).
trj + bo(i) l oo.
Fixing the point 2 C ¢::we considernext the sequencevj(2). By Lemma

3.9 we know that vj (2) E W U ([-(p(j), (j)] x M) . We distinguishthe two
cases:
1. There exists R > Osuch that a subsequenceof (vj(2)) satisfies
(4 4) vj(2) E W U ([-(p(j): - f (j) + R] x M)

2. For j large we have
We begin with case 1. We denote by ri the finite set of bubbling off

points of the sequencev. Then rz c D in view of Lemma4.3. The notation
ri refersto the study of the originalsequenceWtp(j)
in a neighborhoodOfzi E r.
Identifying[-N, N] x M with [O,2N] x M we find a subsequencev ;,(;)of v;
satisfying
Note that vv(;)has the form

V+(j) = W(WO
o /Q(j) ° Tj )
whererj is a sequenceof Mobiustransformationskeepingoo fixed.

LEMMA : { \ ri > w
4.4. Consideringcase 1 in (4.4), we denote by vOO
the generalizedfinite energyspheredefinedby (4.6). Then ri-0 so that the
only punctureis the one at oo. The rnapvOO:C > W is a nonconstant
generalizedfinite energyplane in W.
We shall prove later on that the asymptoticlimit of vOO
at the puncture
oo coincideswith the asymptoticlimit of wOOat its puncturezi E r.
wOO 0 V region
j \ Iltx M region
Figure 11. The figuredepicts the situation in case 1.

for
function
all Proof.
j large.
f: By
R+
Ifconstruction,
there
R+ satisfying
exists avf,(;)
pointvOO
zo EinD C1oc((:
suchthat\ gTvV,(j)(zy)l
Fi, W). Takeooa smooth
for
H. HOFER, K. WYSOCKI, AND

E. ZEHNDER
180
f-1 on[O,1], ft'(s) >O on(l,oo).

_/
DefineH: W +1R+by
H-1 on W, H(r,rn) = f(r) on Di+x M,

andintroducethe functionsCxj:D2 ->
1R,
aj (z) = H ° v(y) (z)
Sincert c D, the sequencevf,(;)
convergeson the circle S2(0) of radius 2 to
themap vOO.Hencethere exists a
constant c > Osuch that
aej(z)< c for all lZl = 2 and j large.
Atthe point z such that
v+(j)(z)-(aj,vj)(Z) E [-Sn o (j): ,o ° (j)] x M)
whichwe identifywith [O,29 ° t(j)] x M,
we calculate
(Aaj ) (Z) = (fU (aj ) * [(0sAi )2 + (@taj )2] + f/ (aj ) tAi]

> f'(aj) l0svj 12 > O.
If
v(j)(z) E W, then Sagj(z) = O. Hencethe
maximumprincipleimplies
SUp (>jlD2 < C
some sequencez; ->zorthen a bubblingoff

analysisproducesa nontrivialfinite
energyplanein WU ([O,c]x M). Its punctureat
and we obtain a nontrivialholomorphic infinityis thereforeremovable
sphere. This is not possiblesince zw
isexacton W U ([O,c] x M). Thus
ri = 0 and the lemma is proved.
g
We next considercase 2 in (4.5). The
situationis illustratedby Figure12.
Lateron we shall prove that the negative
and asymptotic limit of at Zt E r
the positive asymptoticlimit of vOO at oo match up.
w>o
LEMMA4.5. Considercase 2 in (4.5)

Then Iry-(i)l > oo as j > oo.
Moreover,thereexist a subsequencer(j) and a
such sequence C1g,(;)
E Iltof constants
that
r(j) Jr CV,(j)> vOO in Cloc(C\ ri, R x M).
The
generalizedenergyspherevx: ¢:\ ri > R x M
oriCprovidedri 7&0 The point at oo is not constant. Moreover,
is a nonremovablepuncture.
Wo>
o a V region
/
zi
,V0 iV0 R x M region
? ?
Figure 12. The figure depicts the situation in case 2.
Proof. We first note that under the assumption of this case vj(z) ~ W
if z 0 ri provided that j is sufficiently large. Here ri stands for the set of
bubbling off points of the sequence vj. Indeed, away from rF we have uniform
gradient bounds. We can connect z with 2 by a path avoiding Pi so that the
lengths of its images under the maps Vj are uniformly bounded. However, in
view of the fact thatrj + p(j) -- oo, this contradicts -z
dist,(j) (ij(2), vj(z))
oo as j - oo if vj(z) E W. Next we prove the first statement. We argue by
contradiction and assume (for a subsequence) that
r - p(j) - roo E R.
This implies, after we identify [-N, N] x M with [-2N, 0] x M and perhaps

take a subsequence, that
V4,(j) v-- in Clo(C \ , R x M).
Since ri C D we have, in particular,
= (ro, moo).
V,(j) (2) -> Vo (2)
Because of Lemma 3.9 and our assumption,
V(C \ ri) C (-oo 0] x M.

This implies that the finite energy sphere VOohas no positive puncture. This
is impossible unless Voois constant, because it would imply that the energy is
strictly negative. Hence Voois a constant so that the mass at every puncture
in fi is equal to 0. The sequence v,(j) does not permit any gradient blow
up on D, because such a blow up would produce a puncture for Voowith a
positive mass. Consequently, ri = 0 and vf(j) - Voo in Clo(C, R- x M)
where rz::= ¢0,Et-
IfvOO we xcan
wV,(j)
Mis
take
avOO
constant
theinlimit
Cloc(C
Iri-(p(j) map.
j Ioo
\ °°
We
ri,
inconclude
the
1R xnormalization
M).
using (4.2)conditior
182 HOFER, K. WYSOCKI, AND E. ZEHNDER

EI.
zi)-a°
O< m(wOO, - JD v+(j)Sf O+(j)
= lim % ,(j),R Of,(j)= 90 = O.

voodA
IIerewe viewed d)vas a 2-formon Dix M. In fact, frequentlywe will write A
or d>vfor the obviousformsinducedon 1Rx M. The abovecontradictionshows
that indeed
Recall now that vf,(j)(2) = (rg,m) and assume (rj) to be bounded, so

that a subsequenceconverges,
(rj,mj) ) mOO)
> (rOO
Hence
By construction,tf,(j)(O)is either in W or has the smallest li-component in

[-9 o f(j),9 o f(j)] x M. We shall show that O E ri if ri + 0. Argu-
ing indirectly,we assume that ri 74 0 and O f ri. We can connect O by
a path in ¢: to the point 2 avoidingthe points in ri. Along this path the
gradientsare uniformlyboundedso that vf,(j)(O)stays within a boundeddis-
tance to (rOO,nzOO). Therefore,vOOhas no negative puncturesand, moreover,
v+(j)(D2)c [-R, o f(j)] x M for some R > O. Setting vf,(;) = (aj,uj) on
D2 the functionsaJl9D2 are uniformlyboundedin view of Lemma4.3. Since
Aai = l0Sujl2 ' °
on D2, the maximumprinciplegives a uniformbound for ajlD2. Hence the

puncturesin rz cannot be positive either. So, the puncturesbeing neither
positivenor negativeare all removableimplyingas beforethat ri = 0 contrary
to our assumption.We have provedthat ri 7&0 impliesthat OE ri.
(4.2) to obtain
X Zo<,dA zi) _ v0 > O.
= m(wOO)
Hence vOOis not constant. If Fi 7&0, then O is a nonremovablepunctureso

is nonconstantin this case also.
that vOO
Finally,if (rj) is not boundedthen still
1im min{|rj-(p(j)|, [rj + bo(j)|} = oC,

Fix R > Oandff > O. Since Aj Oandoy; > zt wefind for j sufficiently large,
and by a slight modificationof the previousargument,namelyaddingsuitable

constantsto the Et-components, we find a subsequencev<OQ}(;) + Cf,(j)
converg-
ing to vOOin C1oc(¢:\ri,1Rx M); moreover,vOO has the desiredproperties.The
proof of the lemma is complete. O
Recall the definitionof the mass m(wOOS
zi) Ofthe spherewOO at its punc-
ture zi E r. We shall define the masses m(vOO, zil) Ofthe sphere vOOat its
punctures zil E ri if ri 78 0 similarly. We take our convergingsequence
vf,(j) > vOO ot maps, set
n
m6(vO<,zil):= llm JD ( il)V+(j)USO°+(j)
for E > Osmall, and define

m(vOo,Zil) := 1imO me(vOo,zil) .
.
Recallingrt C D we deduce from the normalizationcondition (4.2), the defi-

nition of tyand the bubblingoff analysis,the estimate
ty< m(v:>O:zil) < m(w zi)
. .
for all ztl E r.

4.6. If vOO
PROPOSITION is a solation of problern(W) (recallthat ri _ 0
in this case), then
( , jc X w
If vOOis a solution of problern(M), then
m(wOO,
zi) = | v* d>v+ E m(vDo,z).
Proof. Consideringthe second case we take zi E r and assume ri e£ 0.
IDR\DE(ri) +(j)f +(j) E JD(Z)V+(j)W9O(j)

=J V+(j)W9O(j)
=J WFO
(j)gF
O
+(j)
<J WF
of(;)WF
O
f(j,
nence, as 1 ' °°,
TT '
J
DR\De (ri)
vOO
dA+ ,
zEri
mE(vOO
Xz) < m<,(wOO
nzi ) .
n R wh
H. HOFER, K.
WYSOCKI, AND E. ZEHNDER
184
Since this holds true for every
cr> O,£ > 0, and R > 1, we deduce
jf:\ri vXdA + 5£ m(vX, z) < m(wOOzi)
Similarly,if vOO
is a solution of problem(W), which impliesri =
0, then
J ww < m(wX, zi)-
Itremainsto provethe
reversedinequalities.
Denote by A(r, R) the annulusr
from(4.3) the estimates < lZl < R in ¢:. Since ¢o <
tywe deduce
A
V*,'S9(j) < a
forall 1 < r < R and j

sufficientlylarge. Recalling the
constantty,for largej the maps Vj definitionof the
meet the hypothesesof the
from[31],illustratedby Figure 13. followinglemma
Ss
,
11' !'' ' i
V r+h
.V )
1 'I =D
r
l
Figure 13. An arbitraryfinite

energy cylinder defined on
interval[r,R] x S1, with bounds some
on the energyand small
maps [r Jr h, R-h] x S1 almost dA-energy,
onto some cylinderover a
periodicorbit. suitable
LEMMA4.7. Assurnethere exist constantsc >

all
periodic
orbits of X having periodsT O and a > O such that
< c are isolated
number)
and, moreover,ry is strictly (hence finite in
ofdifferent
two smaller than the di;gerencesIT2
periodsin (O,c] and strictly Tll
contractible smaller than the period of every
periodic orbit. Then there exists
constant
h > O sqbchthat the for every < a (O,y) a
following holds trzue.If a (large)
J-holomorphicrnap
(b
u
of
Uk = (a)
pairs
Vk):
= ?1):
7(r7¢,
subsequence.
that
periodic orbits
Its
(ak[-k/2) k/2]
R)
U) limit
[r7 R]
with
[rk, Rk]
xxvperiod
with S1
=xR1C
S1 S1
Dix<rk
xM
cx>
(b,v):lEt
Et R M
sattsf
2Ac,
bysatisfying
are
M es
xisolatedS
SL
andDia xsequence
that
Mis vaconverges
pseudoholomorphic
of J-holomorphic
as s ioo maps
FINITE ENERGY
FOLIATIONS
185
r
j u*d>vAa7 E(u)<c,
[r,R]x S1 rCh<R-h,
then
t tu*dA< s
J [rCh,R-h] x S1
Proof.Arguingby contradiction
we find a nurnberO< E< oy,a sequence
as t3t
[rh,Rk]xSt
and,in addition,
(4.8) r
1 ukdA> £,
J[rxacAkeR-h] XS1
for
all 1¢ IJsingthe
Di-invariancein s) we
middle of the cylinder so that rk may assurne that s-O is in the
= R. We define the sequence vk
=
(49)
vk(st)-(ak(s+r+k,t)-a(r,+k:O):uk(s+r,+k?t))
Clearly
vk is J-holomorphicand
satisfiesthe estimates .
E(vk)<c and j vkdA<ty

[k/2,k/2] x Sl
We
claim that there are constants
cl and c< independentof k)
such that
IVvk(s,)l < c1 on [_ k + 1v k2-1]
and X
|Dav(s,t)| < ca
on [_k + 2) k-2] x s1.
Indeed,
otherwisea bubblingoff analysisas
that
the energies E(vk) < c are in [24]proves7fromthe
assumption
plane bounded) the existence of a finite
having an asymptoticlimit of
period T < ny:from (4 7). This, energy
contradicts
the definitionof the nuinber
tyXTherefore)vk has a Cloc however)
converging
cylinder
satisfying
(4.10) E(v) < c and X v*dA < ty.
SxSl
Ifnot
v isconstant) we
conclude ixl view of the results in
[32] and the fact
Taking
the limit
for (s,t) E 1 vk
xas
sl.
(O,
u,
1zTherefore,
t)oo,
(Rk-,
= we
uk obtain
(rk
t)setting
+constant
1z,
a contradiction
t)s O
constant
in in C(S1).
(4.9),
intoC°°(S1
we
the
find
definition
) . of oy.

186 ZEHNDER
to periodic orbits xi having periods
Ti bounded by c. Consequently,with
Ti = Azi v*A,
I + I JRxSl - a
By assumption,ryis smallerthan the
differencesbetweentwo differentperiods
in (O,c]; hence T+ = T_ and
J v*dA = O.
SxSl
Thisand the assumptionthat v is not
constantimply by Theorem6.11 in [30]
that v is a cylinderover a periodicorbit.
Consequently,x_ _ x =: z_, and
v(s: t)-(T_s + c, z_ (T_t + d))
Vk(0, t) = Uk (rk + k, t) 3 z_ (T_t) in CX (S1)

ask ) oo.
In the case that v is constant,
Thesame argumentsshow that either
uk (R1C-1c,t)
) z+ (T+t) in C°°(S1)
for
a periodicsolution z+ haaringperiod
T+ or
Using
Stokes'theorem,(4.7) and (4.8), we can
estimate
7, J ukd>=| vk(rk+, ) >-J Vk(Rk-, ) >£
[r+k,Rk-k: xs1 s1 s1
This
contradictionprovesLemma4 7.
0
We continuewith the proofof
Proposition4.6 applyingLemma4.7. Fixing
£O>sufficientlysmall we find for every
,B> Oa constant h > Osuch that for
gsufficiently
large
JA(eh: e-h (E/6 ) J 9(J) < $.

This
impliesthat
(4.11) J rj W9(j) JD h J W(i /A(eh,e (bj))
JDeh\D-(ri) S W(J) JD(ri) J W(J) + -

as R
ryj
from
Taking
positive
s>The
-oo in
(4.11)
oo inC9°(TR),
zithe
punctures
puncture
and
limit
taking
C°(Et),rwe
dj Oroothe
Othe
of
for
we
obtain
limit
the
asymptotic
obtain
a Ti-periodic
sphere
generalized
j oo,
in vOO:
the
lirnit
¢: rt energy
W-case
finite
solution
\being
R the
xi(t)
x MTQO-periodic
(resp.
sphere
of XxVV)
wO<)
onwe
M.
S2 \ rthe
solution
have,
At inv
Here r > Ois sufficientlysmall. Unwindingthe scaling of wSO(?)

and recalling
lim
ioo
J De-h e
vx w40(j)=
i
lim J De-h£(7j)
Wwo(jvws9(i)=me-hz5(woonzi)
In the notation S = gw in the W-case, and S-dA in the M-case we obtain
me-hE(tooaz)<JDh\D(ri) °° ZL
(4.12) me--h(woo) Z ) < JD X W
and in the M-case

(4.13) me-h(woo,zi) < t v* dA+ E m(vOO,z)+:
Deh\rt zerz
< J vN,d)v
+ E m(veO)
z) + 13
C\ri zert
Since m(wOO) z) zi) and since we find for every ,B> Oa constant
< me-hS(w>O)
h so that the estirnates(4.12) and (4.13) hold, we conclude

m(wOO1
Z) < J\ i voodA
+ , m(vcC,
z)
in the M-case, and

m(woo z)< Jl t(A)w
in the W-case. This finishesthe proof of Proposition4.6.
are all negative. Associatedwith the puncturesare periodicsolutions of the

Reeb vector field on M. For z near zi E r we know that wOO(z)E Et- x M
and when wOO(z) = (aOO(z),uOO(z)),the asylnptoticbehaviorof the projection
u of wOO into M is as follows:
U (zi + e2?r(stit)) W xi(Tit)
the notation vx, = (boonv>O):

vOO
(Re ) zoo(Toot)
of z0<,
Since
Taking
from
Consider
which
eyj
thethe
zi limit
we
and
sequence
obtain,
djR>ocO,v;
we
using
the
vx;
deduce
circles
Stokes'
thenusing
for
tyjtheorem,
large
+Proposition
djRoe2tit,
j, in the
t4.6
e limit
IR, are
j contained
oo and then
in
188 H.HOFER,
K.WYSOCKI,
ANDE. ZEHNDER
PROPOSITION 4.8. The asymptoticlimit of wOOat the negativepuncture

zt E coincideswith the asymptoticlirnitof vOOat its positivepunctureoo.
r
Proof. Consideringthe M-case we representvOO:C \ > R x M by ri
vOO = (aOO) vC). In the followingwe abbreviatethe mass of wOO

at the puncture
zi E by m(zi)-m(wOo, zi)
r
Fix E > Oand choose 7 > Oso small that

m71(z) < m(zi) + 2
This impliesfor j large enough
(4.14) JD ( i) w$5(j)Wso(j)< m(z ) + E
J DR
V2W9(j) = J DR\D,5(ri)
vSdA+ J D£(ri)
vj*dA
E ) O,
Jsl vo°(Re ) > = J vCx,dA
+ E m(veo)z)
m(zi)- lim /; vOO(Re2Xi')*>
With E > Oas above we choose Ro > 1 so large that
m(z ) > Jsl V(Oe2Ti ) ,\ > m(zi) _ £/2
This implies
(4.15) JSlvi(ROe27ri) >m(zi)-E
for j large enough. Setting W9(j)-(aj,uj) we conclude,recallingthat v; is

the M-part of Vj and is given by v(z) = Uj(7j + that ajZ):
j Uj (j + ;Roe2Xi) A > m(zi)-E
the ball D(zi) if j is large enough. Fix 71'E (°, 71) If j is large enough,
A vi(aj +a'e2Xi ) > j < uj(Zi + e2Xi-) > < m(zi) +E:
in view of (4.14). Hence, again, if j is large enough
J vj (7 e2xi /aj) A< m(zi) + £
FINITE ENERGY
FOLIATIONS
189
Since i > Ro for j large, we
deduce,using (4.15),
(4.16) m(zi) _ 6 < j vj (Re27i) A < m(zi) + E if R E [Ro,71'/bj].
This implies
(4.17) | vdA < 2E.

A(Ro arB'
/6j )
Tosummarize,for every £
> 0 there exist a
asmall constant ry'= r//(£) large constant Ro = Ro(£)
such that the estimate (4.17) and
j > jo(£). It followsthat holds true for every
(418)
/ soodA< 2£.
A(Ro (£))00)
Observingthat all the E-energiesunder

E(vj) < 1rand E(roo) < gr,we considerationare bounded by lr, in
particular
vOO
meet the assumptionsof the see that the maps Vj for
largej and
followingcruciallemma.
LEMMA4.9. Let d > O and
an let c and zy be as in
S1-invariantneighborhood Lemrna4.7. Choose
W (in the loop space of M)
loops
correspondingto the contractible of the distinguished
having periodic solutions x(Tt), O < t < 1,
periodsT < c. Choose,also, W
periodic so small that it separates
orbits. Thenfor any E E (O,^y) loopsof these
for
everyJ-holomorphicmap u: there exists a constanta > O
A(r, R) > Edx M satisfying such that
E(u) < c, t u*dA< ,

A(r,R)
j >
tl*(pe2ti )> 6 for p E [r,R], rea < Re-
the
followingholds:
8(pe2ti ) C W
for p E [rea,Re-a].
Hence
these loops are all contained
in the neighborhood
taining
the loop of one of the componentof W con-
distinguishedperiodicorbits.
Proof. We work in
holomorphicpolar coordinates.
dictionwefindans E (0,/y), asequence Arguing by contra-
(rk,Rk)
sequence
of pseudoholomorphic withRk-rk > 2k, anda
maps uk-(ak,uk):
satisfying [rk,Rk] X S1 > Etx M
E(uk) < C: j
ukdA < £
[rk ,Rk] x S1
t1 uk(P, ) A > d for p E [rk,Rk] and Xbk(Sk, ) f W

converges
that= (bk,
vk Sk =in 0 ClOc
Uk):so[rk,
V (,7/e-he2Xit/,ij)that
to aRkg
rk
pseudoholomorphic
S1-oo
=X>Uj and
+ M
(7jR X by
Rksetting
cylinder
oo. Define
77'e-he2Xit) UOOv-(b,
(Zt the
+ v):sequence
11t x S1of
7}'e-he2tit) 11tmaps
x M
for some sequencesk E [rk + k, Rk-k]. Usingthe DR-invariance

we may assume
Vk(S, t)- (ak(s, t)-ak(O, O),Uk(S, t)).

In view of the gradientbounds of Vk,the sequencehas a subsequencewhich
which satisfies
E(v) < c, X v*dA< E
SxSl
and
/ v(p, )*S > a for p E .
In particular,v is nonconstant. As s > ioo, the maps v(s, ) convergeto
periodicorbits xi havingperiodsTi boundedby c. ApplyingStokes'theorem
we find
IT+ -T l= X
v*dA< < a.
SxSl
E
In view of the definitionof tywe deduce T_ = T+-: T and :R.xs1v*dA= O.
Hence x+ = x+ =: z and arguingas irl Lemma4.7 we concludethat v is the
cylinderoverthe periodicorbit z given by v(s, t) = (Ts+c, z(Tt+d)). Setting
s = Owe obtain
uZz(O,
) v(O, ) = Z(T +d) in C°°(S1).
This leads to the contradictionthat uk(O,) f W for all k, but z E W. The
proofof the lemma is complete. Cl
Continuingwith the proof of Proposition 4.8 we conclude from (4.16),
(4.17) and (4.18) taking 2£ = go as in Lemma4.9 that
Vj(Re27ri- ) E W
if R E [Roeh,e-hr1'/dj]for every h > O sufficientlylarge if j > jo(h) and

moreover,
Voo (Roehe2Xi ) E W
forevery h > Osufficientlylarge. Now, as j > oo
Vj(Roehe2Xit
) >VOO(Roehe27Tit)
inC0°(R). Weconcludeforeveryh sufficientlylargethat the loopsvOO

(Roehe2Xi)
anduoO(zi+ r1'e-he2Xi
) belong to the closure of the Sl-neighborhoodof the
as
Since
in hthe
oo, limit
in C°°(IRL).
vOO(Re2Xit) R OO, xi(Tit)
that
Consequently,
v as(Roehe2Xit)
R > oo
the
inloops
C°°(1R),
z xi(Ti
(T in
t)) view
andzoo(Too
of Proposition
) also belong
4.8,
same periodicorbit x(T ). By the asymptoticbehaviornear the punctures,
u (zi r1'Roe-he21rit) >xi(Tit),
to the closure of the Sl-neighborhoodof x(T ). Since the neighborhoodW

separatesperiodicorbits we conclude
xi(Tit) = zoo(Toot+ d), t E 11t
for some phase a E 1R.In particular,Ti = Too. This completesthe proof of
Proposition4.8 in the (M) case. The (W) case is provedthe same way.
PROPOSITION
4.10. The finite energy sphere vOO:¢: \ ri , 1Rx M
producedabovehas the followingproperty:
Either X woodA
> vo
C\ri
or ( voodA= O and gri > 2.
Proof. If rt 740 then OE ri by Lemma4.5. Assumeri = 0 or ri = {O}.

Fromthe normalizationcondition(4.2) for Vj we obtain in the limit } > oo,
X vOO(e2Xi ) A = rn(wOO, zi)-50.
and since Ti = rn(wOO:

zi), we concludefrom
v/ v* dA= / v (Re27ri) *.-X v (e2Ti ) *\
| Wood>=0>O.
C\D
We see that the dA-energyof vOO

is positivein the cases of one punctureand no
punctures. Consequently,#ri > 2 if the dA-energyof vOO vanishes,as claimed
in the proposition. g
In view of Proposition 4.10 we might have J\ri voodS = O provided

Vrt> 2. From the classificationof finite energy surfacesin Etx M having
vanishingdA-energywe know that in this case the image of vOOis necessar-
ily a multiply coveredcylinderover a periodicorbit of X; see the appendix
of [30]. Since we have only one positive puncture, namely oc, the associated
asymptotic limit in M is I-fold covered,
r
n=l
where In 1 < n _< ri, are the covering numbers of the negative limits. Clearly,
I > 2. In the following we call such a generalized finite energy surface a
connector.
Definition 4.11. A connector is a generalized finite energy surface u =

(a, u) : S \ F -+ R x M having precisely one positive puncture and at least two
negative punctures and satisfying
S u*dA = 0.
We summarize our construction so far. We used the sequence w,(j) to

produce in the limit the generalized finite energy sphere woo : S2 \ F V.
The nonempty finite set F {z1, ... , zk} of punctures is contained in D c S2.
These punctures are all negative. For the puncture zi C F we constructed a
rescaled subsequence ij = w,(j) o rj converging either to a generalized finite
energy plane
: S2 \ {oc} - c -
or, after adding a sequence of numbers to the R-component, to a generalized
finite energy sphere
oc: C \Fr= 2 \ (r U {o}) -R x M.
In the first case the puncture oo of voo is positive. In the second case oo
is also a positive puncture, while all the punctures in Fr are negative provided
Fi 7 0. In both cases, the asymptotic limit of the positive puncture oo of voo
agrees, because of Proposition 4.8, with the asymptotic limit associated with
the negative puncture zi C F of woo.
Now we proceed inductively. If voo constructed in the above first step does
not have punctures, i.e., Fi = 0, so that it is either a finite energy plane in W
or a finite energy plane in R x M, the induction for the puncture zt is already
finished. If Fi 7~ 0, then for the negative punctures Fi - {zil,... ik} C D of
,
vQOwe defined the masses m(vo, zil) satisfying
a < m(v :,zil < m woo zi)
for all 1 < 1<< i. For the negative puncture zil E Fi we proceed as before
and find by rescaling the sequence Vj near zil precisely as we did above, a
subsequence converging either to a finite energy plane C - W or to a finite
energy sphere C\Fil - R I x M having the only positive puncture oo and a finite,
possibly empty, set Fil C D of negative punctures. Moreover, the asymptotic
limit associated with the positive puncture oo agrees with the asymptotic limit
of the negative puncture zil. We continue in this way. At every step either a
certain amount of energy is used or one obtains a connector, where because of
Proposition 4.6 the sum of the masses of the negative punctures is equal to the
mass of the corresponding puncture of the previous step. At every step the new
masses showing up are larger than 7ybut smaller than the corresponding mass
of the previous step. In case of a connector, there are at least two negative
punctures. The sum of their masses is the mass of the previous step. Due to
the lack of further punctures the inductive procedure necessarily terminates
after finitely many steps. In the last step a finite energy plane either in W
or in JRx M is produced. The asymptotic limit of its positive puncture oo
agrees with the limit of the negative puncture under consideration. All surfaces
produced, except of course the initial surface woo, have precisely one positive
puncture and a finite, possibly empty, set of negative punctures. The whole
inductive procedure and its resulting configuration can be described with the
help of a graph whose vertices can have three different colors, black, gray and
white. A black vertex occurs only once. It is a solution of the problem (V) and
represents the image of wo, in V. The gray vertex represents the image of a
solution of type (M) and a white vertex a solution of type (W). A white vertex
is always a plane. We draw an edge between two vertices if the asymptotic
limits match up. Following the inductive procedure we represent the graph as
a tree, where we do not exclude the possibility that different vertices in the
graph correspond to the same finite energy sphere. Figure 14 illustrates the
idea with an example.
r= {1,z2,z3}
z1
r3 = {z3",1
z3,2}
Irl=0 \z32
3,1 0
r3,2= 0
r2 = {z2,14} r2,1 =
Figure 14. The evolution of a graph during the inductive construction.

puted in trivializations of the bundles u*(, whereu: D Mare disc maps
5. Properties of bubbling off trees
5.1. Fredholrnindices. In orderto analyzethe propertiesof the bubbling

off tree we first recall some facts about the Fredholmindex needed later on.
We abbreviatethe Riemannsphere by S = S2 and considerthe finite energy
spheres
W s=s2\r- > A
constructedin the previoussection, where A stands for V or 1Rx M or W,

and where 7& If A = V, then puncturesare all negative,
r 0* while
r = r-,
r = for A = W. If w is an embedding,its Fredholmindex is, accordingto

r+
[36],given by the formula

(5.1) Ir1d(w)= ,uN(w)+ x(S2)-#r
for A = W and A = Etx M. Here N denotes a normalbundleto the tangent

bundle of the embeddedspherew(S) c A so that TA = Tw(S) @ N. More-
over, N agreeswith ( in a neighborhoodof the punctures. The normalindex
Hy(W) = 8+-HN E 2 iS computed in a trivializationof N as explainedin
Appendix 8.1. If A = V we imposedthe conditionw(oo) = oOO.Therefore,
the Fredholmindex decreasedby 2 so that
(5.2) Ind(w) = UN(W) + X(52) - gr - 2

for A = V. In this case UN(W)--Hy(W) since all the puncturesare negative.
Recallingthat M is diffeomorphicto S3 we also have a total Conley-Zehnder
index
H(w) = H+ (w)-H- (w),
which, for every periodicorbit x(t) associatedwith the punctures r, is com-
spanningthe orbits so that x(Tt) = u(e2Xit).

In orderto establishthe relationbetweenpN and p we definea new index
pF as follows. We choosea complexline bundleE over S whichis a subbundle
of w*TA coincidingwith (:X near the punctures,whereX is the Reeb vector
field. In addition,we choose E SQ that it admits a nowherevanishingsection
whichnearthe puncturescoincideswith X. Let now F be a complexsubbundle
which near the puncturescoincideswith ( and which complementsE so that
w*TA = E @ F.
Then F is also a symplecticvector bundleof real dimension2. Therefore,we
can computethe total Conley-Zehnderindex UF(W) C 2 using a trivialization
of the bundleF.
asymptoticproperties near r the mapw has a smoothextension w: 3 R x M
Concerningthe computatiorlsof indices and windingnumbersbelow it is

usefulto recallfrom [32]and [30]the specialcompactificationof the punctured
sphere S = S \ r to a compact surface3 with boundaries.We definethis by
adding a circle for every puncturein r, taking polar coordinatescenteredat
the punctureand distinguishingpositiveand negativepunctures.In view of its
for which the added circles parametrizethe periodic orbits associated with
the punctures. The vector bundles over S under considerationhave unique
continuousextensions to bundles over the compact surface with boundary.
The followingformulaholds true:
PROPOSITION
5.1.
HN(W) = UF(W)-2 [X(S)-Wr] .
Proof. By construction,
Tw(S) N = w*TA = E@F.
Choose nowherevanishingsections t of Tw(S) and n of N. Denote by e a
nowherevanishingsection of E which near the puncturesagreeswith X and
denote by f a nowherevanishingsection of F. Then (t(z),n(z)) is, in the
complexbasis (e(z), f (z)) representedby
t(z) = ot(z)e(z) + I3(z)S(Z),
n(z) - 7(z) e(z) + 6(Z)z (z)
Near the puncturesr, the matrix
a(Z) (Z)
a(z) a(z) ) z E S,
is diagonal. The sum of the windingnumbersof the complexdeterminantat the

positive puncturesequals the sum at the negative punctures. The sum of the
windingnumbersof oeat the positive puncturesminusthe sum at the negative
puncturesis equal to x(S)-ur. This implies that the sum of the winding
numbersof d at the positivepuncturesminusthe sum at the negativepunctures
is equal to Vr-x(S). Consequently,by means of the Maslov-compatibility
propertyof the Conley-Zehnderindex in Theorem8.1, we concludethat pN =
2[gr-X(S)] + SUF.This completesthe proof of the proposition. O
We point out that the crucial propertyof the bundle E lies in the fact
that it admits a nowherevanishingsection which near the puncturesagrees
with X. Given any other complexsubbundleof dimension1, also admitting
a nowherevanishingsection which is X near the punctures,it is isotopic to
E through complex subbundlesof w*TA, the bundles being fixed near the
punctures during the deformation. All these constructions hold true under
homotopies of i as long as the behavior near the punctures is preserved. We
shall use these remarks in the proof of the next proposition.
PROPOSITION5.2.
* IFF(W)-=-(w) if A = W or A = R x M.
* pF(W) p= g(W) + 6 if A = V, provided that the embeddedfinite energy

sphere : S --+ V satisfies i(oo) = ooo and the intersection number with
the sphere Soo at infinity is equal to 1.
Proof. If A = R x M we can choose E to be the complex span of X so

that F can be chosen to be j. Then, clearly, pF =- . If A = W, then we
can homotope W into some curve in R+ x M keeping the behavior near the
punctures fixed. The same arguments apply. Assume now that A = V and
assume that it intersects the sphere at infinity precisely once transversally so
that the intersection number is equal to 1. Choose the bundles E and F as
described above and assume that they coincide near the punctures with CX
and ( respectively. Now choose a smooth map : T --+ W which is defined
on a punctured Riemann sphere T and which near the punctures parametrizes
half-cylinders over periodic orbits. The periodic orbits in question are those
of w. Gluing this Riemann sphere to S along the periodic orbits we obtain
a map b from a surface S into W U ([-R,R] x M) U V = CP2 for some R
sufficiently large. The map b has the intersection number 1 with the sphere at
infinity. Moreover, it is homologous to CP1. Therefore, cl(b*TCP2)[E] = 3. If
we choose complex line subbundles E' and F' over the part belonging to T, so
that E' admits a nonvanishing section which is X near the punctures, and so
that F' is ~ near the punctures, then E' and E can be glued along the periodic
orbits to a complex line bundle E over E admitting a global nowhere vanishing
section. Moreover, F and F' can be glued to a complex line bundle F over E,
so that
E F- b*(TCP2).
Since cl (E) = Owe deduce
3 = c (b*TCP2)([E)
= cl (E)([S]) + cl (F)([S])
l (F) ([S]).
Consequently, AF + /F' = 2 3 = 6. By construction, tpF =AI = ~

(w)
=--,(w) and the proposition follows. D
argumentfrom Fredholmtheory. Wetake smooth disc mapsvx: intDz W
In view of Proposition5.1 and Proposition5.2 we find the followingfor-

mulas for the EWedholm
index, using the fact that x(S)-2:
(5.3) Ind(w) = ,u(w)- 2 + #r,

_
if A=WorA=lRxM,and
(5.4) Ind(w) = H(w)+ 2 + #r
for our special surfacesin A = V.

We note that formula(5.4) can heuristicallybe explainedby the following
whichparametrizeneartheir boundarieshalf cylindersoverthe periodicorbits

Px associatedwith the puncturesA E r. Gluing these maps to w along the
periodicorbits we obtain a map w: (Uxvx): S2 > AN for sufficientlylarge N,
which is homologousto (Upl and which intersectsthe sphereat infinityin the
point oOOwith intersectionindex I. Hence,in view of (2.27), Ind(w#(Uavx))-
4 - 2 = 2. By the gluing propertiesof IiYedholm maps,
Ind(w#Uz v>) = Ind(w) + E Ind(v<)

r
and so,
Ind(w) = 2-E Ind(v>)
r
Now, Ind(v) = ,(Px)-1, by Theorem 2.8 in [36]. Therefore,Ind(w) =
2 + #r-E iErH(P,) = 2 + #r+ /j(w),which agrees with (5.4). Figure 15
illustrates schematicallythe construction. So far we have assumedthat w is
an embedding. This howeveris not needed. For a proof of this fact and also
for the proof of the followinggenericitystatement we referto [7].
/ ' \
Figure 15. Constructionof the map wt Uxux.

1. For every somewhereinjective fiinite energy sphere w: S Wwith

198
THEOREM5.3. Fix a pozntoOOon the sphere¢Spl at
infinity in Cp2.
Then there exists a compatiblealmost complexstruct?lreJ
on V and on W
which on b([-,] x M) coincides with J, which in a neighborhoodof
in V coincides with the standardcomplexstructure, (Upl
so that the following
propertieshold trve:
respectto J,
Ind(w) = ,u(w)- 2 + jr > o.
2. For everyfinite energyspherew: S - > V with
respectto J, satisfying
w(oo) = and intersectingthe sphere at infiinityonce with the inter-
oOO
section numbereq?lalto 1,
Ind(w) = ,(w) + 2 + gr > o.
Here,u(w)is the total Conley-Zehnder index computedwith respectto M.

Notethat in the first case ,u(w)= ju+(w),so that
,+(w) > 2 - gr
fora finite energysphere in W, while ,(w) =-,Ll-(W)
in the second case, so
that
,u-(w) < 2+gr
forthe distinguishedfinite energyspheresin V.
5.2. Analysis of bubblingoff trees. In Section 4 we
constructeda tree of
generalized finite energy spheres of type (W), (V) and (M). We shall
show
nextthat the asymptoticlimits occurringhave their
Conley-Zehnderindices
inthe set {1,2,3}, in the generic case. The
Conley-Zehnderor y-index is
computedwith respect to a symplectic trivializationof the
plane bundle (
overa natural disc spannedby the periodicorbit under
consideration.Since
inour case M = S3, the index neitherdependson the
trivializationnor on the
choiceof the disc. Recall that we always considera generic
structureJ on (
anda genericalmost complexstructureJ on W and V
which coincidesnear
theboundarieswith the R-invariantstructureJ
determinedby J.
PROPOSITION 5.4. Considerthe babblingoJXtree constructedin the
pre-
vioussection. The bottornwhite dots representinggeneralized
finite energy
planesin W have at oo asyrnptoticlimits whose
Conley-Zehnderindices are
at
least 1.
Proof. The generalizedfinite energy plane u . (S > W
factorsthrough a
somewhere
injectivefinite energyplane v: C > W so that
u=v ° p
for a polynomial map p : C -+ C; see Proposition 6.2 in [30]. Since J is

generic on W we know from Theorem 5.3 that i(vi) > 2 - HF. In the case
at hand, (F = 1 and M/(v)= ,u+(i) and hence ,u+(v) > 1. Since a positive
/,u-indexcannot decrease under iteration (see Proposition 8.2 in the appendix)
we conclude + (ui) > ,u+(v) > 1 as claimed. nI
If the plane is contained in R x M we have the following estimate from [30].
PROPOSITION 5.5. Let u : C -> IR x M be a J-finite energy plane, then

,(ii) > 2.
From the Fredholm theory in Theorem 2.1, we recall:
PROPOSITION5.6. If ii : S2 \ F -* R x M is a somewhere injective finite

energy sphere for J, then its Fredholm index satisfies
Ind(ii) = p(ii(u)- 2 + r > I

provided ir o Tu 4 0.
We shall use the above information in order to prove:
PROPOSITION 5.7. Assume that J and J are generic. Then the finite
energy spheres occurring in the bubblingoff tree have asymptotic limits whose
indices belong to the set {1, 2, 3}.
Proof. In order to show first that the indices are all > 1 we proceed
by induction starting at the bottom of the tree and working all the way up
to wo. The white dots and the gray dots at the bottom represent finite energy
planes in W and R x M respectively. Here we know from Proposition 5.4
and Proposition 5.5 that the positive puncture has index > 1. We now delete
all these dots from the graph and attach the Conley-Zehnder indices > 1 to
the free edges. If there are no gray dots left with a free edge we are done.
Otherwise we look at a gray dot having one or several free edges. It represents
-r R x M of type (M). We have to
a finite energy sphere u = (a, u) : S2 \ F
distinguish between the cases ir o Tu ~ 0 and 7r o Tu = 0.
Consider the case 7r o Tu 6 0 and denote by v the underlying somewhere
injective sphere in R x M satisfying i = v o p. The polynomial p : C U {oc} -
C U {oo} maps the punctures r onto the punctures F' of v. Since J is generic
we conclude from Proposition 5.6 that
(5.5) Ind(v) = ,u(v) - 2 + rF' > 1.

Here ,u(vi) = u+(v) - /-(v). For the computation of the indices we take a
trivialization of { over the disc spanning the positive limit in M which is
defined by gluing to the image of v in M suitable discs spanning the negative
limits of the previous generalized finite energy planes whose indices as we know
we
obtain, in view of ,u(wOO)= (wOO)the estimate

200 ZEHNDER
alreadyare > 1. Since a periodicorbit with
index at most Owill have iterated
indiceswith value at most 0, it followsthat v
has negativelimits whoseindices
are > 1. This impliesthat the index
,u+(v) of the positive punctureof v is at
least 2. Indeed,in view of (5.5) we can
estimate
,u+(v) > y-(v) + 2 + 1 - gr'
> (tr'-l)+3-grt=2.
Consequently,y+(ii) > ju+(v) > 2 in case
deg(p) = 1 and ,ll+(U) > 4 if
deg(p) > 2
Next considerthe case 7ro Tu = O;then u
is a connectorand hence has at
least two negative punctures;see
Definition4.11. The map can be written as
u = v op with a polynomialp as above
and with V (e2gT(sfit)) = (Ts + c, x(Tt))
fora simplycoveredT-periodicsolution
x(t) of Xx on M. Hencethe punctures
ofu have asymptoticlimits of the form
(x, kjT). Denote by
gr-
ko = E kj
J-1
thecoveringnumberof the positive
punctureof u. Then ko > 2. Since the
negativepunctureshave indices at least 1,
the positive puncturealso has an
indexat least 1. Indeed,by Proposition
8.2 if Xu(x,
kjT) > 1, then a(x, T) > 1
sothat ,u(x,koT) > 1. To summarize,
the positive punctureof a finite energy
sphere u in 11tx M has an index
,u+(u) > 1.
Sincethe asymptoticlimits of the positive
toticlimits of the negative puncturesof puncturesagreewith the asymp-
the next generationup the tree we
conclude, iteratingour procedureall the way up, that
It remainsto prove that the indices all indicesare > 1.
are < 4. Arguingby contradiction
weassumethat a finite energy sphere in the
bubblingoff tree has a negative
puncture whose asymptoticlimit has an index > 4.
the We alreadyknowthat all
other negative puncturesof this sphere
haareindices > 1. Hence arguing
as
above we concludethat the positive
punctureof this spherehas index > 4.
Iteratively
workingup the tree we concludethat wOO
has at least one negative
puncture with index > 4 while all the other
>1.Recallingthe Ffedholm
negative punctureshave indices
index formula(5.4)
Ind(wOc) - 2(wOO) + #r + 2
= ,u(woo)
-2+#r+4
Ind(wOO) < -4 - (:F - 1) - 2 + gr+ 4 = -1.

This,
however,contradictsthe fact that Ind(wOO) > Oforour genericJ. Having
shown
that all indicesin the bubblingoff tree
are < 4 the proofof Proposition
5.7
is complete.
O
Proof. Assumei: S2 \ r R x Mis a finite energysphere obtained
FromProposition5.7 we deduce,usingFredholmtheory,the following

proposltlon.
5.8. Underthe genericityassumptions

PROPOSITION specifiedabove,all
soltbtions
of type(A/1)occurring
in thebubbling
of treearesomewhere
injective,
providedX o Tu 7& O.
throughthe bubblingoff analysisand satisfyingX o Tu 7&O. Arguingby

contradictionwe assumethat u is not somewhere injective.Thenthereexista
somewhere injectivefiniteenergyspherev: S2 \ rt > R x M anda polynomial
map p with deg(p) > 2 satisfyingu = v o p and p(r) = rt. Sincev is
somewhere injectivewe knowfromProposition5.6 that the Fredholm indexof
v is estimatedby
Ind(v)= ju(v)- 2 + r' > 1.
FromProposition5.7 we deducethat the indicesof the negativepuncturesof
v are > 1. Therefore,the positivepuncturehas an index,u+(v)> (trt-1) +
3 - #r'-2 and hence,u+(ii)> 4 in view of deg(p)> 2. This contradicts
,u+(u)< 4 andprovesProposition5.8. g
Anotherconsequence
of Proposition5.7 is the following:
PROPOSITION 5.9. Assumethe solutionu = (a,u): S2 \ r , R x M of
type(M)produced throughthe bubbling
off analysissatisfies o Tu 7£O. Then
7r
windlr(u)= O,andeverypuncturez E r has the asymptoticwindingnumber

windOo(z)
= 1.
Proof.From[30,Prop.5.6],we recallthe formula

(5.6) wind(u)- - 2 + gr,
windOc(u)
where,splittingthe puncturesr-r+ u r- intopositiveandnegativesones,
(5*7) windOO
(u)- E windOO
(z)- E windO<,
(z).
zerf zer-
If the asymptoticlimits of the punctureshavetheir indicesin {1,2,3} the

inequalitiesgivenin (84) in [30]become
(5.8) windOO(z)
<1 if z G r+,
windOO(z)
>1 if z E r-.
Thisimpliesforthe caseat hand,in whichr+ = {0O},
< 1 - (:r - 1) = 2 - tr.
windOO(u)
From wind (ii) > 0 we conclude
windoo(i) > 2 - rF.
Consequently, windoo(i) =2 - F and hence wind, (i) = 0. Therefore, in

view of (5.7),
windoo(oo)- 1 -
windoo(z)- - E (windo,(z)-1).
-
zCr- zer-
Recalling (5.8), we conclude windo(z) - 1 for every z C F. D
In order to establish the crucial property of the bubbling off tree we need
a result about self-linking numbers. Recalling the gluing construction in Sec-
tion 2.2 we consider a compact symplectic 4-manifold A with a convex contact
type boundary OA - B+, in the following denoted by B = B+. Gluing 1iR+ xB
over the boundary to A we obtain the almost complex manifold (A, J). On
R+ x B the almost complex structure J agrees with the R- invariant structure
J determined by the contact form A on B as defined in (2.16).
THEOREM5.10. Consider the compact symplectic 4-manifold A with a

convex contact type boundary OA = B. Let (A, J) be the associated almost
complex manifold. Assume that u: (D, ) -> (A, J) is an embedded almost
complex disc-map satisfying ii(D) C {r} x B for some r > 0. Moreover,
assume that u(OD) c B is transversal to the contact structure ~, where i(z) =
(a(z),u(z)) if u(z) c R+ x B. Assume, in addition, that : D --+ A is
homotopic (with boundaryfixed) to a map w = (r, w) : D --+ {r} x B so that
i(z) = (r,w(z)) for z E OD. Then the self-linking number of w(OD) with
respect to the disc w is sl(w, w(OD)) - -1.
Proof. Since i is almost complex, the symplectic vector bundle ii*(TA)

-+ D admits a splitting into two complex line bundles
a (TA) - T ((D)) e N,
where T(u(D)) is the complex tangent bundle of u(D) and where N is a com-
plex line bundle isomorphic to the normal bundle i*(TA)/T(u(D)) and equal
to { over the boundary OD. Abbreviate x(t) - u(e27rit) and consider the split-
ting
u* (TA) - Yc. D Zc
defined by a nowhere vanishing section Y of 5*(TA) satisfying Y(e27it) = x(t)

at the boundary OD of D, and a nowhere vanishing section Z of i*(TA)
belonging to ~ over OD, and which together with Y spans *(TA) over C.
If now C is a nowhere vanishing section of N and H is a nowhere vanishing
section of T(u(D)) -> D we have Y(z) - a(z)H(z) + b(z)C(z) and Z(z) =
c(z)H(z) + d(z)C(z) for z E D. Hence we can define the map ': D _- gC(C2)
by
a(z) b(z)
c(z) d(z)
If z E OD, then b(z) = c(z) = 0. Since () is a disc-map, the winding number
of z i-, det((z) = a(z) d(z) E C \ {0} over &D necessarily vanishes. At the
boundary OD we have Y(z) = a(z)H(z) and Y = x; moreover H extends to
a trivialization of the tangent bundle of the embedded disc i(D). Therefore,
the winding number of a: OD -> C \ {0} is equal to 1 and hence the winding
number of d: 9D -* C\ {0} is equal to -1.
Next we push the disc ) = u(D) in the direction of Z to obtain the new
disc V'. By assumption, AD C {r} x B and since ZQla C ~ we may also assume
that PD'C {r} x B. Clearly, AD n OD' = 0 and we claim that
(5.9) aDnP' = 0 and DP' D = 0.

To prove this we shall show by means of the maximum principle that the
interiors of P and D' lie below the level set {r} x B, i.e., in A U([0,r) x B).
Take a smooth function f: A -- IRsatisfying
f-0 onA
f(s,b)-(p(s) on R+ xB
where -= 0 near s = 0, and 9"(s) > 0 otherwise. Consider the composition
a -f o u: D -+R.
If i(z) = (a(z), u(z)) at the points z where u(z) C R+ x B, we conclude from
our assumptions that
a (z) = f o u(z) = (p(r) if z E OD.
Moreover, for z E D near OD we have a(z) = f o u(z) -=(a(z)). Since u is a

J-holomorphic disc satisfying i(OD) C IR+x B and since J =- J on R+ x B,
the computations in Lemma 4.4 show that
Ao > 0.
Since i is an embedding, the function a: D -* IRis not constant. We therefore

conclude by means of the strong maximum principle that
ac(z) < i(r) for z E int(D),
aa for z E D.
(z) > 0
Consequently, int u(D) = int(D) C A U([0, r) x B) as claimed. In view of
(5.9) the intersection number int(D,V') is well-defined and we claim that
(5.10) int(P, D') = -1.
In order to prove this we introduce new complex coordinates in which D =

D x {0} C C x C and H(z) - (0,1) E C x C for z E OD. Now D' =
{(z,Z(z)) I z E D} with Z: D -+ C. By the above discussion the winding
number of Z along OD is equal to -1 so that Z is homotopic to ; (0, 1) over
OD. Consequently, deg(Z, D, 0) --1 and the claim (5.10) follows.
Now we add a piece to the disc D' above the level {r} x B to obtain the new
disc 9' as illustrated in Figure 16. Clearly, int(, D') = int(D, ') since the
points of intersection remain the same. Recalling that u(D) is homotopic (with
boundary fixed) to i(D) we obtain, moving the boundary of AD' sufficiently
high up, that int(D, D') = int(iw, ') = -1. By assumptions, w(D) C {r} x B.
Hence, by homotopy and the excision, denoting by I C R+ an open interval
containing r E I we obtain:
(5.11) -1 - int(D, ') = int(/, ') int(w,i ')
- int(w, I x &D') = int(i, R x 09') = int({r} x w, R x 0V')
= int(w, 0D').
Recall now that Z is a section of ~ over OD. Therefore, the last integer in
(5.11) is, by definition , equal to the self-linking number sl(w,w(OD)) if we
show that the section Z1&9Dadmits a nonvanishing extension over w*<.
' 1R+
/I -
w(D) i iD
xB
ii(D) =
Figure 16. Schematic construction of the disc D' in the proof of

Theorem 5.10.
In order to see this we use a sequence of homotopy arguments. First ob-
serve that along the homotopy of ii into w the pair of linearly independent
sections Y and Z of u*(TA) can be homotoped to a pair Y and Z of point-
wise linearly independent sections of w* (TA) where during the homotopy the
sections over the boundary OD remain the same. We now have two pointwise
linearly independent sections Y and Z of aw*(TA)-= *T(R* x B). The loop x
is contained in the level set {r} x B where x is transversal to ~ such that x(t)
and the Reeb vector field X(w(e2rit)) point in the same direction. Therefore,
Y can be homotoped as a nowhere vanishing section into the section X(w(z))
for z E D. During this homotopy we can homotope Z in such a way that at any
moment we have two pointwise linearly independent sections and, moreover,
the section Z is fixed at the boundary. The newly obtained section Z is now
equal to Z over the boundary OD, and linearly independent of X(w(z)). Since
T(R x B) = C X E~, the section Z can be homotoped to a nowhere vanishing
section of ~ when it is fixed over the boundary. This finishes the proof of the
theorem. ED
We shall make use of Theorem 5.10 in the proof of the following crucial
property of the bubbling off tree.
PROPOSITION5.11. Assume u = (a, u): C \ F' -> R x M is a solution of
type (M) obtained through the bubblingoff analysis satisfying wro Tu = 0. De-
note the asymptotic limit associated with the puncture z E F' by (xo, To). Then
To is the minimal period of xo and the loop xo(R) has self-linking number -1.
Proof. We first consider a positive puncture z c F'. By the bubbling off

analysis, there exists a sequence of M6bius transformations rj such that
Uj=w (j) rj -*U= (a, u) in Cloc(c \ r, RxM),

where the R-components of ij are suitably shifted. For sufficiently large R,
the loop U(SR) C M is embedded. Indeed, if the cylindrical end is not em-
bedded one concludes by the asymptotic behavior of u near its limit that the
surface is multiply covered contradicting the fact established in Proposition
5.8, that the surface is somewhere injective. Moreover, near the limit the loop
U(SR) is transversal to ~. Set ik(z) = (ak(z), uk(z)) and consider the loops
{uk(z)| ak(z) ==a}. Then for k and a sufficiently large, the loop is transversal
to ~ and by construction bounds an embedded pseudoholomorphic disc satis-
fying the hypotheses of Theorem 5.10. By the invariance of the self-linking
number under deformations of loops transversal to ~, we conclude from Theo-
rem 5.10 that the self-linking number of u(SR) is equal to -1 if R is sufficiently
large.
Recall that windoo(oc) = 1 in view of Proposition 5.9. We now work in
the local coordinates near the asymptotic limit as described in the appendix
and use the asymptotic formula for u. Then up to a small isotopy irrelevant
for our arguments we may assume that
(5.12) u(s, t) - (t, eAse(t)) C R x C.

Here k is the asymptotic covering number and A < 0. Moreover, we can find
local coordinates such that the loop e(t) E C \ {0} has winding number equal
to 1. Note that the first component in (5.12) is to be understood mod Z.

If so is large, the self-linking number sl(y) of the loop y(t) = u(so, t) as a loop
in S3 is equal to
(5.13) sl() =- -1
as we have just concluded from Theorem 5.10. Recall that the self-linking
number is computed by shifting y in the direction of Z(y(t)) into the loop y'
disjoint from y. Here Z is a nowhere vanishing section of q*<,where q : D -> M
is a disc map which at the boundary OD satisfies
q(e2rit) = y(t).
Then sl(y) is the intersection number between q and the shifted loop y'. We
extend q to another disc map q' by adding the closure of u([s, oo) x S1) to
the disc q. This way we obtain a disc map whose boundary parametrizes the
asymptotic limit (xo, To) of u. By definition of the self linking number of y',
(5.14) sl(y) - int(q, y') = int(q', y) - int(u(so, oco) x S1), y)

and we claim that
(5.15) int(U([so,oo) x S1),') - 1.
This will follow from the representation (5.12) for u. The loop y' may be given
by (kt, eAoe(t) + E) for some E 5 0 small. Hence the intersection points of
u([so, oo) x S1) with y' are the solutions of the equations
eAsoe(t + j/k) - eAse(t) + E = 0
for j = 0,1,..., (k - 1). The degree of the map is the difference between the
winding numbers for s large and s = so. Since the winding number of e(t) is
equal to 1, we obtain that the mapping degree is equal to 1 if j = 0 and equal
to 0 if j - 1,..., (k - 1), hence proving the claim (5.15). Next we claim that
(5.16) int(q', y') - sl(xo, To) + k.

Indeed, choose si > so. Then
int(q', y') = int(q'/,y) = int(q', u(so,)) = int(q' U(Si, ))
= int(q,u(si, )) +int(u([so,oo) x S),u(s, .)).
Shifting xo to x4 = (kt, 5) for some d -= 0 small we obtain, by the definition of

the self-linking number of (xo, To),
sl(xo, To) -= int(q, x) = int(q, xo) + int u([so, oo) x $l), xo)
Since si > so, a homotopy avoiding the boundary of q shows that
int q, u(s, )) = int(q, x).
Hence
sl(xo, To) = int(q,u(s, )) + int(u([so, oo) x S1), x).
Consequently,
int(q',y') -sl(xo, To) = int(u([so, oo) x S1), u(si, ))

- int(u([so, oo) x S1),xo)
- -int(u([so,oo) x S1), X).
We have used that since the cylinder is embedded, the first term
int(u([so, oc) x S1), u(si, .)) vanishes. Indeed, by shifting the loop u(si, .) nor-
mal to the cylinder we obtain a loop disjoint from the cylinder. It remains to
show that
(5.17) int(u([so, oo) x Sl), x = -k.

The intersection points are solutions of
eASe(t + j/k) -6=0,
for j = 0,1,... , (k - 1). Since the winding number of e(t) is equal to 1 we

obtain for every j that the mapping degree is equal to -1 hence proving (5.17).
The claim (5.16) is proved. Summarizing we conclude from (5.13), (5.15) and
(5.16),
-1 = sl(y) = sl(xo, To) -1 + k
so that sl(xo, To) = -k. On the other hand, with To = kT, we obtain
sl(xo, To) sl(xo, kT) = k2sl(xo, T). Combining this with our calculation
sl(xo, To) =-k we deduce the equality
k2sl(xo, T) = -k
which implies that k = 1 and sl(xo, T) = -1. In particular, To = T so that

To is the minimal period of xo. The same arguments apply to the negative
punctures and the proof of Proposition 5.11 is complete. CD
Since its asymptotic limits are simply covered, the surface i constructed in
Proposition 5.11 is an embedding near the boundary. Since it is by construction
the limit of embedded curves, i must be an embedding by the results of McDuff
in [43]. Moreover, this i satisfies the hypotheses of Corollary 2.3 and Theorem
2.7. Using these results we can summarize the properties of i in the following
theorem.
THEOREM 5.12. A solution u = (a, u): C \ F' --> R x M of type (M) ob-
tained through our bubblingoff analysis satisfying ir o Tu 7y0 has the following
properties:
1. u is a proper embedding.
2. The asymptotic limits associated with the punctures F' are simply covered
and have self-linking numbers equal to -1.
3. The Conley-Zehnder index of the positive puncture is equal to 2 or to 3.

The indices of the negative punctures belong to the set {1, 2}.
4. The Fredholm index of u satisfies Ind(i) E {1, 2}.
5. The map u : C \ F' -+ M is an embeddingtransversal to the Reeb vector

field and converging at the punctures F' to the asymptotic limits of F.
According to Corollary 2.2 the possible configurations projected into M

are illustrated in Figure 17.
/+ =2
1 1 1 2 1 1 1 1 1
Ind(u) = 1 Ind(u) = 1 Ind(u) = 2
Figure 17. Possible configurations of finite energy spheres projected

into M.
We point out that there are no connectors in the bubbling off tree "below"
a surface of type (M) satisfying r o Tu ~ 0. Indeed, a connector u : C \ F' --
IRx M satisfies 7ro Tu = 0 and hence has at least 2 negative punctures because
of Proposition 4.10. Hence the asymptotic limit of the positive puncture of a
connector is always multiply covered. Therefore, it cannot be the limit of
a negative puncture of an (M)-type surface satisfying 7r o Tu 7 0 which by
Theorem 5.12 is simply covered.
6. Construction of a stable finite energy foliation
We shall use the results from the previous sections in order to establish a
stable finite energy foliation.
DN
(6.1)
[-2N,
O inO]order
W,/g(N)
x M. Consequently,
to define
wO,,thein(N
rescaled
zi1
C1oc(S2
formaps\VNr,
by v).
a bubblingoS point zi1 E r. Next,
6.1. Constr?lctionof a dense set of leaves. We first recallour earlierbub-

bling off construction. Choose m E M and consider, for the given point
(O,m) E AN, the sequence of finite energy spheres CN C M° uniquely
determinedby (O,m) E CN. Choose the JN-holomorphicparametrization
WN: S2 , AN used in the bubblingoff analysisof Section 3 satisfying
WN(S2)-CN WN(OO)-Ooo: | WNUN X a
D
In addition, WN(O)either lies in W or, in case WN(S2)n W = 0, belongs to
[-N, N] x M and has the lowestpossibleEt-value.We constructedan injective
monotonicmap +: N ) N satisfying
We can assumethat f is alreadythe subsequencefor whichall reparametrized

maps occurringduringthe inductivebubblingoff analysisdo converge.Define
the sequence(N E S2 by
W+(N)
((N) = (O,m) E AN
For the limit constructionin (6.1) we have identified[-N,N] x M with
consideringthis puncturezi1 we constructedspecial sequencesPYN > Zi1and
VN(Z)= WIlS(N)(7N
+ ANZ);
see (4.1). Definethe new sequenceZNE (: by
VN(ZN)= (O,m) e AN
Then, by Lemma4.4 and Lemma4.5, the sequenceVNconvergesto vOO either
in C1oc(¢)W) or, modulo adding suitable constants to the Et-components,in
Cl°°c(¢ \ ril, R x M). In the first case we identified[-N, N] x M with [O,2N] x
M so that IZNI ---E
oo.We concludethat (O,m) lies on the cylinderof the
distinguishedperiodic orbit which is the asymptotic limit of vOOassociated
with the punctureoo. In the second case we have three alternatives. Either
IZNI > oo, or the sequence(ZN)remainsboundedbut stays awayfromril for
large N, or has a subsequenceconvergingto a bubblingoff point in ri1. If the
firstalternativeholds,then again (O,rn)lies on the cylinderof the periodicorbit
associatedwith the punctureoo. If the second alternativeholds we conclude
that (O,m) E irnage(vO<)) c 1Rx M. Finally,if the third alternativeholds,then
we continuewith the bubblingoff analysis as beforeand again have the three
alternatives.
as N oo in order to have a parametrization of Ck . Moreover,(O,mk) G

210
The bubblingoff analysisterminatesafter finitely many
steps due to the
lack of negativepunctures.Therefore,after finitelymany
steps either the first
or the second alternativeholds. Consequently,if m does
not lie on a periodic
orbit, then there exists a sequenceof Mobius
transformationsTNsatisfying
TN(OO) = oo suchthat the maps9N := W+(N) o TNhavethe following
properties.
The sequence9N convergesin c1Oc(¢:\U',lltx M) to a finite
energysphereg
containingthe point (O,m) in its image. Moreover,by Theorem
5.12 the finite
energysphereis an embedding,its asymptoticlimits are simply
covered,have
self-linkingnumbersequal to -1 and indices belonging to the
set {1,2,3}.
Moreover,the F5redholm index Ind(g) belongsto the set {1, 2}.
Now, since A is nondegeneratewe can choose a dense
sequencemk E M
so that no point in this sequencelies on a periodicorbit.
For every k we take
theuniquelydeterminedpseudoholomorphic sphereCk in MN containingthe
point (0,mk). Then we find a sequencek: N ) N consisting of injective
monotonicmaps, and finite energyspheres
Ck C R X M
suchthat for suitable parametrizationswk of C+k(X) we can
pass to the limit
Ck. We know that each Ck is embedded, has simply covered
asymptotic
limitswhose self-linkingnumbersare equal to-1. We also
knowthat there is
preciselyone positivepuncturebut an arbitrarynumberof negative
punctures.
Further, the asymptoticlimits have indices in {1, 2, 3} and Ind(Ck)
E {1, 2}.
Inaddition, by the positivity of intersectionsof
pseudoholomorphiccurves,
twosurfacesCt and CJ are either identicalor disjoint.
Indeed, if two such
surfacesintersectbut are not identical,therzthey have an isolated
intersection.
Thisimplies, assumingi < j, that C4,j(N) and CZ/,(N)intersectfor large N in
apoint diSerent*om oOO: whichis not possible. We have provedthe following
result.
THEOREM6.1. Considera nondegenerate contactformA = fAo on S3,

agenericadmissiblemultiplicationJ: ( > ( and a densesequencemk on
S3suchthatm1¢ doesnot lie on a periodicorbit. Thenthere
exista constant
c >Oandfor everypoint(O,mk) a finite energysphereCk C
1Rx M having
the
followingproperties:
1. Thepoint(O,ms¢)belongsto cfic andE(CS¢)< c.
2. Ck is properlyembedded and has preciselyone positivep?lnctv:re.The

asymptoticlimitsaresimplycovered,haveself-linkingnumbersequalto
-1 and Conley-Zehnder indicesin the set {1, 2, 3}.
deducesfor a subsequencethat rSc r with #rk = :,r, and uk --> iO, in
3. Ind(Ck)= ,u(C) - 2 + #rE {1,2}.
4. If ci n cj 74(0,then Ct = Ci.
To distinguishthe types of finite energysphereswe introducethe vectors

where N is the numberof negative punctures,p+ the
0e = (8+, 81, . . . vpN)
Conley-Zehnderindex of the positive puncture, and ,uXthe index of the jth
negative punctureorderedso that uX > jb+1. In view of Corollary2.3, the
followingvectors are the only possibilities(see Figure 17):
oe = (3, 11, 12, ***, 1N))

oe = (3, 2, 11,12, , 1N-1),
Ol = (2, 11112,. . ., 1N)
In the first case Ind(C) = 2 while Ind(C) = 1 in the secondand the third case.
The numbers N, respectively N-1, of negative punctures having indices
equal to 1 can, of course, be zero. If this happens, the first and the third
case correspondto finite energyplanes,while the secondcase correspondsto a
cylinderconnectinga periodicorbit of index 3 with a periodicorbit of index 2.
We next find a dense set mk for which only the first possibilityoccurs.
PROPOSITION 6.2. Assume that A and J are generic as in Theorem6.1.

Consader,for a gaven c > O the set of embeddedfinite energy spheres
U: S2 \ > R X S3 havingone positivepunctureand an arbitrarynnumber
r
of
negativepanctures,satisfying 7r o Tu y£ O and E(u) < c, having simply cov-
eredasymptoticlimits whoseindacesbelongto the set {1, 2, 3} and Ind(u) = 1.
Then this set is, moduloreparametrizations and R-action,finate.
Proof. Arguing by contradictionwe find a sequence tlk: S2 \ > rk
DRx S3 of embeddingsall either of type Ol = (3,2,11,...,1N) or of type

oe = (2,11, . . ., 1N) and having the same fixed, simply covered asymptotic
limits. From the complete bubbling off analysis as carried out below, one
cloc(s2\r:ax S3). Moreover,the limit uOO is an embeddedfinite energy

surfaceof type Ol = (3, 2, 11, . . ., 1N) resp. of type oe= (2, 11, . . ., 1N) having
the same fixed asymptotic limits as u,. Hence Ind(uOO) = 1. However,this
contradictsthe fact that, for genericJ, such an iiOO is (up to the lli-actionand
reparametrization), isolated in view of the implicit function theorem in [36],
provingthe proposition. C:
We now delete all the points mj in Theorem6.1 for which (O,mj) lies on a
surfaceas describedin Proposition6.2. The remainingsequenceis, of course,
still dense. The new sequencewe denote by mj again. With Ci we denote
the finite energy surface in R x S3 guaranteed by Theorem 6.1 which contains

(0, mj). The associated vectors are now all of the form
a = (3,11,12,..., IN),
where N = 0 indicates a finite energy plane. We note that the bound E(C3) < c
for the energies implies the bound T < c for the periods of the asymptotic
limits.
6.2. Bubbling off as mk -+ m. First we introduce the c-spectrum urc(A)of

the nondegenerate contact form A. It consists of all strictly positive numbers
of the form
N
(6.2) T- Tk, N > 0,
k=l
where T and Tk are periods of periodic orbits of the Reeb vector field X\
which are bounded above by the constant c. Since A is nondegenerate, the
c-spectrum of A is a finite set. In the following co > 0 denotes a number which
is strictly smaller than the minimum of ac(A). In particular, o0 is smaller than
the minimum of all periods bounded by c.
Now, fix m E S3 and choose an injective monotonic map T : N -+ N
satisfying
(6.3) mT(j) >m on S3.
To simplify the notation we shall abbreviate Ci - C(j) for the associated

embedded surfaces. In view of Proposition 6.2 we can assume that all these
surfaces are of type a = (3, .i,..., 1N). In order to control the behavior of
the surfaces as j -- oc we have to impose suitable normalizations for the
J-holomorphic embeddings
(6.4) ij = (aj, Wj) : C \ Fj -+ R x S3
parametrizing C =- Wj(C \ Fj). Note that the set of punctures is Fj U {oo}.

Since the energies are uniformly bounded we have jFj < K < oo independently
of j. The normalization is as follows.
If Fj = 0, we assume that the RI-component of ij (0) has the smallest
value. If ~Fj = 1, we assume Fj = {0}. In both cases we require, in addition,
the normalization condition
-
Co
(6.5) wJdA
\D 2
for r-o> as introduced above, with D being the closed unit disc.
Vwj (zj) lEj °°
FINITE ENERGY FOLIATIONS

213
If gRj> 2 we assumethat OE rj and require,in addition,
(6.6) t\rj J tD\rj 2 2

so that again most of the energy lies in D. The first
consequencesof these
normalizationsare the followinggradientbounds.
LEMMA6.3. For every£ > O there exists a constantC = C(£)
such that
for all j
SUp { lVw; (Z) [ | Z E C \ intDl+£ and dist(z, rj ) > £} < C.
Proof. Arguingby contradictionwe find an E > O,a sequenceof

positive
numbersej > Oand a sequencezXC (: \ (D1+£/2U B/2(r))
satisfying
IVwy(z)l< 2lVwj(z3)l for {z-zjl < ej.

Herewe made use of Lemma 26 in [24]. AbbreviatingRj =
IVwj(zj)l we
introducethe rescaledmaps
vj(z) := (aj (Zj+ z/Rj)-aj(z;), w;(z; + z/Rj))

definedon the £jRj-balls. In these balls we have gradientbounds
from which
weconcludethat a subsequenceconvergesto a nonconstantfinite
energyplane
v; > v g constant in Cloc(¢:Edx S3).
GivenR > O,the disc DR/Rj (Zj) lies outsideof D and awayfromthe
punctures
rj, providedthat j is sufficientlylarge. Hence, if j is large we
can estimate,
usingthe normalization(6.6),
t v3dA-X wdA < / wJdA= °.

DS DR/Rj (zj) \(DUrj) 2
Consequently,
as j > oo,
j v*dA<-.
DR 2
Thisholds true for every R > Oand we obtain for the energythe
estimate
| v*dA< 2°
However, the energyof a nonconstantfiniteenergyplaneagreeswith the
period
ofits asymptoticlimit at oo which (by definitionof vo) is larger
than ¢o. This
contradictionprovesthe assertion. C:
As anotherconsequenceof the normalizationconditionwe shall
see that
the
sets rj c (: of puncturesare uniformlybounded.
LEMMA 6.4. There exists a boundedset B c C such that
Fj C B for all j.
Proof. If Fj =- 1, the assertion is part of the required normalization. So

we assume that ~Fj > 2 for all j. Arguing indirectly we find a subsequence,
denoted again by Fj, containing zj C Fj and satisfying zj -- oc. We may
assume that
jl max Irj -oo.
Furthermore, going over to a subsequence we may assume that the asymptotic

limit (xoo,Too) associated with the positive puncture oo stays the same for
all j. Define now the rescaled maps
ivj(z) - bj(z), vj(z))= (aj(zjz) - aj(2zj) wj(zjz)) on C \ j,
where Fj = j. Then
Fj cD and 0, 1 Fj.
Clearly,
I / vI
dZ\ Id = w*dA.
JD/1 I\rj D\r,
Using (6.6) we deduce therefore
(6.7) f vdA- fd A+
d+ 2
.
J\r', JD/IJ I\Fj
In other words, most of the dA-energy of vj lies in D1/lzjl \ Fj. Now by an

argument as in Lemma 6.3 and the fact that Izjl -> oc we conclude that there
exists a finite set of bubbling off points F c D containing 0 and 1 so that
Vj --+v inCl'o(C \r, Rx S3).

Denoting the period of the positive asymptotic limit by Too we deduce from
the normalization condition (6.7) that for R > 0 large enough
To- -o < jA v v *A.

SR SR
Hence v is not constant. In order to estimate the energy we use the normal-
ization condition (6.6) and compute
ID i v1' U \ =
j wd IdA I w;dA - wdA
IDR\(DUr) DZj wR\(DUrj) DlzlR\Fj D\rj
< ( w \-dA I wjdA= 0-.

\rj D\rj i 2
asj 0O. In addition to the puncturesrj, the sequenceWjmight posses a

215
Consequently,as j > x,
j - v*dA< °
DR\r 2
and so
(6.8) X v*dA < °.
\r 2
The set r consists of negative punctures and contains 0 and
1. Moreover,
in view of the energy estimate (6.6) and Lemma4.9, the
asymptoticlimit of
the positive punctureat oo is the periodicsolution (zoo:Too):
which is simply
covered. If the energy on the left-hand side vanishes, the
unique positive
puncturewouldbe at least two-foldcoveredsince we have at least
two negative
punctures. This follows from the classificationof such surfacesin
[30]. We
concludethat the dA-energyof v is positive. By Stokes'theoremit
belongsto
the c-spectrumof A and thereforehas to exceed ¢o. This
contradictionproves
the assertion.
C1
Considernow the sequenceWj = Wr(j) of the normalized
parametrizations
ofC3. Recall that the set of periods is finite by the
hypothesesof nondegen-
eracy.Passingto a subsequencewe may thereforeassumethat
the asymptotic
limitsassociatedwith the puncturesFj of Wj are the same for
all y. We list
themas
(69) (XDO,
TOO))(x1,T1), , (XN,TN),
where(xOO:
Too)is the asymptoticlimit of the punctureoo.
We may also assume that the cardinalityof puncturesin rj
having the
sameasymptotic limit is independentof y. In view of Lemma
6.4 we find a
subsequence
satisfying
(6.10) rj >r c C
finiteset H of bubblingoff points disjointfromr. By Lemma

6.3, 9 c D. We
deduce the convergenceof a subsequence
(6.11) W3 >w=(a,w) inC1Oc(C\(ru@))
If
Fj + 0, then 0 E Fj; hence 0 C r. We claim that r consistsof
nonremovable
punctures.Indeed,take tyC r and so > 0 so that BEo(ty)n sEO(Yt) = 0 for all
E r \ {a}. Then there exists a sequencez; E
rj satisfyingz; > ty, and we
find,
using Stokes'theorem:
j ABso(?) wA>t wA>5o

ABe,(zj )
216 ZEHNDER
if j is large and £t iS sufficientlysmall.
Consequently,
X w*A>5o
ABe(a)
for every £ > 0, provingthe claim. The
puncturesr u 0 of w are all negative.
There is a unique positive puncture,
namely oo, whose asymptotic limit is
the periodic solution (zoovToo) As in
Section 4 this is a consequenceof the
energyestimatesof Wj outside of D and of
Lemma4.9. In particular,w is not
constant.
LEMMA6.5. The finite energy sllrface w
= (a,w): (: \ (r u @) ,
R X S3 is an embedding.The unique
positivepanctureX has the asymptotic
limit (xOO:ToD)
whtchis szmplycovered. The asymptotic
negativepuncturesryE r u e are simply limits (x<,T) of the
covered.The dA-energyis positive:
/ w*dA> O.
z\(rue)
Proof. We first show that the energyof w

is positive. If r u e = 0, then
wis a nonconstantfinite energyplane
whose energyis equal to Too.If r + 0,
thenO E r. Moreover,if r = 0 and H 74
0, then O E (9. Assume now that
:(rU @)-1, then w is a cylinderhaving
the two puncturesoo and 0, and we
deducefromthe normalization(6.6) that
X wdA= °.
C\D 2
Consequerltly,
/ w*dA> °.
\{°} 2
Finally,if t(rU@) > 2, then the energycannot
limit vanishsincethe asymptotic
of the unique positive punctureoo is
simply covered. We have proved
that
the dA-energyof w is positive.
It followsthat r o Tw + Oand so, w
is not a connector. In view of the
asymptotics, w is somewhereinjective. Moreover,r
° Tw(z) + O for every
z C¢: \ (F U (3). Indeed, a zero zo
of lr o Tw(zo) = O is, in view of the
similarity
principle,isolatedand has positive index.
the
sections 7r o Twj also possesszeros,whichby Consequently,for j large,
Hencew is an immersion.Becausea Proposition5.9 is not the case.
self-intersectionhas a positiveintersection
number,w cannot have any self-intersections
either. Consequently,w must be
an
embedding.
Arguingas in Section5 one sees that the
asymptoticlimits of w are simply
covered.
Indeed,take the orbit cylinderoveran
back asymptoticlimit (x, T). Going
to the origin of our constructionwe
find a sequenceof long stretched
spheres
S2 in AN (Sp2 approachinglocally
the cylinderin C1oc If we cut
t £X0 wj dA
g +Be wj (0)dA.
the cylinderhorizontally,the preimagesare simply closed curveson S2. Take

the lowerparts, whose images do not contain the point oOOin Cp2. This way
we find a sequenceof disc maps whose boundariesapproachthe asymptotic
limit. Using the argumentsof Theorem5.10 and Proposition5.11 we conclude
that (x, T) has self-linkingnumber-1 and minimal period T. The proof of
the lemma is complete. O
The same argumentsshow that all the asymptotic limits showingup in
the bubblingoff analysis below are simply covered. In orderto carryout the
bubblingoff analysis for the subsequencew-j we start introducingthe masses
of the punctureseyE r u @ of w.
If 0 E (3 we define,as before,
(6.12) m(0) = limme(l}), m(W) = lim X wgdA.
If ryE r then its mass m(y) is definedas follows
(6.13) m(ty)= limms(ty), my(a)- lim A wjdA.

£X0 2 Be (?)\rj
The limit exists by Stokes' theorem and by the C7-convergence. For j

large and E small,
j w*dA - X w*> lim E X w*>

Be(a)\rj 2 dBe(a) ZEriSBe(a) ABE/(Z)
= X ABe;(a)wj A zErj
E nBE (7)
Tz
Here TZ E {T1,...,TN} is the period of the asymptoticlimit associatedwith

the puncturez C rj. Going over to a subsequence,we see that the last term
is independentof j, and hence
(6.14) m(a) = Ta - E Tz,
zerjnBe(a)
whereTa is the period of the periodicorbit (xa, T) associatedwith the punc-

ture a E r
In orderto evaluatethe energyof w we first note that by Stokes'theorem,
Too-ETz=4 wjdA
zerj c\rj
for every j. Going over to a subsequence,we see that the left-handside, by

construction,does not depend on j. The right-handside is, for j large, equal
to
C\BE(ru@) BE(ruf3)
\rj
Taking the limit as j -+ oc and E -> 0 we obtain
(6.15) Too - E Z
\(
jFUE)
c\(rue)
w*dA+ E m(y).
z.j EQ
Assume 37- 0 and take the bubbling off point 0 E 60. Then m(QO)> oO.
The bubbling off analysis for a bubbling off point is the same as in [36] and
will be merely sketched. We choose E > 0 so small that De(W) n De(y) = 0
for all 7y7 eE F U 3. Then choose a sequence zj having the property that
ij(zj) has the smallest R-component on D,(ti), and choose a sequence 6j > 0
satisfying
(6.16) / ivdA = m(d) - 2
Thus zj -* 9 and 8j -> 0 and we define the rescaled maps
-
j (z) :=(aj (zj + 6jz) aj(zj), wj (j + 6jz))
for z C De/6j. There exists a finite, possible empty set O1 c D of bubbling off
points for the sequence vj so that a subsequence converges,
vj - v in C (C \ e1, R x S3)
to a finite energy surface iv having positive energy satisfying
rm(o)= i
vdA + E m(91,v )
with m(il) > ro. The punctures 01 are all negative. The asymptotic limit of
the unique positive puncture oc agrees with the asymptotic limit of the negative
puncture d of w we started with. Moreover, the surface is embedded and its
asymptotic limits are simply covered. If 031 :/ 0 we iterate the procedure with
the punctures 9i E 01 of vT. The iteration necessarily stops after finitely many
steps due to the lack of masses and we arrive at a bubbling off tree originating
from 0 consisting of embedded finite energy surfaces all having precisely one
positive puncture oo, whose asymptotic limits are simply covered and whose
energies are positive. The surfaces at the bottom of the tree are finite energy
planes closing off the tree as in Figure 18. We would like to point out that our
pictures are schematic representations of the actual situation. In particular,
the directions of the approach of two surfaces to a common asymptotic limit
are linearly independent. So the surfaces near a common asymptotic limit
should be visualized as in Figure 19.
(zx,TT), 0 e
p(xa) > 2
(x01,Ti1)
Figure 18. For a generic J the Conley-Zehnder index of the periodic

orbit (xa, To) at the top of the tree is > 2.
Figure 19. Two surfaces in the tree approach an asymptotic limit

in linearly independent directions.
If J is generic, the Fredholm indices of all surfaces C in the tree are > 1.
Indeed, Ind(C) = + - - 2+
(#F- + 1) > 1, by Proposition 5.6. Recall
that the Conley-Zehnder index of the asymptotic limit of a finite energy plane
is > 2, by Proposition 5.5. Consequently, checking successively the Fredholm
indices of all the surfaces in the tree generated by P from the bottom to the top
we deduce for the periodic orbit (xa, Ta) at the top of the tree the estimate
/u(xo) > 2. Moreover, /t(xa) = 2 if and only if the tree consists of a finite
energy plane whose asymptotic limit is (xO, Ta) as illustrated in Figure 20.
Consider next a puncture y7 Fr, and denote the associated asymptotic
limit by (xa, Ty). It is simply covered, by Lemma 6.5. Then either m(7y) = 0
or m(a-) > (o since a positive m(7y) belongs to the c-spectrum. Assume first
m(y) > 0. Define
rj = {cj e rjF|
/ [X~,1), v e D
(X) = 2
Figure 20. The tree consists of a finite energy plane whose asymp-
totic limit is (xe, To) if and only if ,u(xi, To) = 2.
and take a sequence zj c Fj. Then there exists a sequence 8j -> 0 satisfying
wd-w - .
~ dA=m(y)
D6j(zj)\Frj
Choose Eo > 0 so small that the discs Do0(-y), y CEF U O, are disjoint, and
define the rescaled maps
j(z) = (aj(zj + 6jz) - aj(zj + 26j), wj(zj + 6jz))
for z ECj Deo \ Fr, having the punctures
rj=
- (rj zj)
and satisfying the normalization condition
- jdA=md ()- 2
Using the fact that m,() -> m(y), and choosing D,0 (-) sufficiently small, we
deduce the estimates
/.( <o
^vydx
dA 0o,
Deo\D)\j
for j large. It follows as in Lemma 6.3 that the gradients of Vj are uniformly
bounded away from D and the punctures Fj. Moreover, as in Lemma 6.4, the
punctures Fj lie in a bounded set independent of j. Here we use the fact that
the asymptotic limit (xa, T,) is simply covered. Hence we find a subsequence
satisfying
Vj --> v in Clooc(C \ (Il U e1)), rj --> r1,
where 61 c D is a finite, possibly empty set of bubbling off points for the
sequence v;. The punctures Fr U O1 of v? are all negative. The unique positive
puncture oo has the periodic orbit (x., Ty) as asymptotic limit. Moreover,
m( /)= J *i5 dA\+ E m(,T,;J).

(/
-\(rFuei) ^rEl'Uel
jDenoting
x, so that
rj z;
= {(j
= OEfor
rj all
f (j j }and
wethe
maynew
assume
puncture
that Eis> Oy
O is= O.
so Define
small that
now
The energyof va is positive and hence belongsto the c-spectrum.Indeed,if it

vanishes,then "(rl U@1) < 1 since the limit ofthe uniquepositive puncture
of v? is simply covered. Consequently,rl = {O} and G)1= 0 so that va is a
cylinderoverthe periodicorbit havingthe negativepuncture0. It followsthat
its mass rn(O,v) vanishesso that m(ty)= O,in contradictionto m(<y)> O.
In the case that m(a) = Owe argueas follows. We findE > Osmall enough
so that m£(ty)< vo/4. Hence for y large
4 w*dS < °.
Be (a)\rj 2 2
Be \ rj = Be \ rj. We first claim that grjn Be(a) = 1 for j large. Indeed, if

rj n s£ has morethan one point, we pick a point z; E rj n Be(a) and let z; be
a point in rj n B£(a) with maximaldistance to z;. Then we take a sequence
(7j) of Mobiustransformationssatisfying
rj (zj) = O, rj (zj) = 1, tj (oo) = oo
and define
vj (z)-(ai (7j(z))-ai (7j(2)), wj(7j(z))) .
Perhaps,after passingto a subsequencewe may assumethat
J-l(rj) >r C D,
wherer contains{0,1}. Moreover,for evey R > Oand j large we have
DRCT1-1(B£(a)).
Hencewe may assume (moduloli-action) that
Vj yvOO inc1OC(C\r,rXs3).
Weobservethat vOO has at least two negativepunctures,namelyOand 1. The
dA-energysatisfiesthe estimate
/ voodA< °,
c\r 2
so that vOOhas to be a connector. But this contradictsthe fact that the
positiveasymptotic limit is simply covered. Hence B£(a) n rj {za} and
wemay assume that at the puncturesZj the surfaceswa are asymptotic to
thesame limit, say (x,m,T,).We arrangereparametrizationsby a sequencer
ofMobiustransformationskeepingoo fixed and convergingto the identity as
therescaledmaps
Vj(Z)= Wj(6jZ), for z E (: \ ,Slirj,

6asO£ such
O wethat Wjvj(je2Xit)
conclude,v =from
(b, eestimate
v)WinforC1Oc((:
all(6.17)
g .\ {0},
Recalling
and Et
Lemma
x S3).
that
4.9 w(Ee27it)
arguing asx(t)
in
for a positive sequencedj > Ospecializedlater on. From
| vjdA = | wjdA < | vjdA = m£(a)+ ri,

A(d;,£/6j ) A(6j2
,£) BE(O)
whererj > Oas j > oo, we deduce
(6.17) lim | VjdA < £ (a)

SX A(6j ,£/6j )
for every £. Since m(ry)= o, bubblingofffor the sequencev; is not possiblein

: \ {O}. Therefore,we concludefor a subsequence7
From (6.17) we deducefor the limit v, with rn(a)-O, that
j v*dA= O.
C\{°}
We claim that v is not constant. From

| v*S-j w*S-j w*A- j w*dA
S1(°) S6;(O) SE(O) A(6j,£)
we obtain
lim | vj*S= | w A-m£(<y)
S Sl(O) s(o)
Consequently,
| v*S = Ta,
s]
provingthe claim. Hence v is a nonconstantcylinderover a periodicsolution

x havingperiod T. Choosenow an S1-invariantneighborhoodW in the loop
space separatingthe loops of the periodicsolutions of periods < c from each
other. For fixed j we know that wj(£e2Xit) > xk(t) as E ->O. We choose
Section 4, that x(t) = xk(t + c) = xa(t+ d), so that v is a cylinderover x.

If the mass of a puncture E Fl in (6.16) is positive and if 61; 0 we
ey
repeat the process. It necessarilystops after finitely many iterationswhen we

reach punctureswith zero mass or run out of bubblingoff points. We obtain
a tree of embeddedfinite energy surfaceshaving a unique positive puncture
whose asymptoticlimit agreeswith the correspondingasymptoticlimit of the
negativepuncturebelongingto the previousgeneration.The asymptoticlimits
of the surfacesare simply coveredand their energiesbelongto the c-spectrum.
At the bottom of the tree we find finite energy planes from branchesof the
tree originatingfrombubblingoff points, and the periodicsolutions (xj, Tj) in
the list (6.9) originatingfrompunctures.This is illustratedin Figure 21.
(x,, T), 7er
7i e r 0i E e1
(X-a T1) (xi, T i)
Xl X2
Figure 21. Possible tree originating from a puncture having a pos-

itive mass.
Since the periodic orbits at the bottom of the tree have all ,u-indicesequal
to 1 and since the asymptotic limits of finite energy planes have ,u-indices > 2
we deduce from the estimates Ind(C) > 1 for the surfaces C in the generic
case the inequality ,/(xX) > 2 for the asymptotic limit (xa, T,) at the top of
the tree where we started.
Carrying out the bubbling off analysis for every puncture EyE F U e of
w we find that their asymptotic limits all have ,u-indices > 1. Recalling that
/u(xo,) = 3, the Fredholm index satisfies
-
Ind(w) = 3 ~-(w) 2 + (ir- + 1) > 1
for generic J, by Theorem 2.1. If Nj denotes the number of negative punctures
-
whose asymptotic limits have ,/-indices equal to j, then (,(w) = E-1 j Nj
and rF- = j=l Nj so that the inequality Ind(w >_ 1 becomes
(J-1) Nj< 1,
j-1
implying N2 < 1 and N3 = N4 = ... N1 = 0. Therefore, w is necessarily
=
either of type ac (3, 2,1,..., 1) or of type c =- (3,1,1,..., 1). In particular,
w allows at most one negative puncture whose index is equal to 2. Hence the
complete bubbling off analysis of the sequence 7j : C \ F-
Pj R x S3 results in
a bubbling off tree which belongs to one of the following three simple types.
I. The tree consists of only one surface C of type a = (3, 1i,... , 1N) having
the asymptotic limits listed in (6.9). Here rF = N and E9= 0. Moreover,
Ind(C) = 2. We illustrate the situation for N = 4 in Figure 22.
3 (xoo0 Too)
m(y) =, e
(xl, T1) (x2, T2) (x3,T3) (x4,T4)
Figure 22. An example of a bubbling off tree of type I.
II. The tree consists of two surfaces, namely C1 of type a =

(3,2, li,.., I1N-k) and C2 of type a = (2, N-k+, .. ., 1N). Here Fr< N
and -= 0. Moreover, Ind(Cj) = 1. This is visualized in Figure 23.
r= 1 tF= 2 r= 3
3 x0o 3 xao 3 xoo
X,y
XI X2 X3 X2 X3 X4 X3 X4
Figure 23. Possible bubbling off trees of type II.
III. The tree consists of two surfaces, namely C1 of type a =

(3, 2, 11,..., 1N) and the finite energy plane C2 of type a = (2, 0). Here F1=- N
and O =- 1. Moreover, Ind(Cj) = 1. See Figure 24.
In the special case of a sequence Wj : C -+ IRx S3 of finite energy planes

of type a = (3, 0) we have two types of bubbling off trees as illustrated in
Figure 25.
x , v E
xl x2 x3 x4 J m() = 0, ye F
m(Fu)= Te
Figure 24. An exampleof a bubblingoff tree of type III.
I. (for N =0) III. (for N = 0)

3
3
C D
Figure 25. Bubbling off trees in the special case of finite energy
planes of type a ==(3, 0).
Recall that m E S3 is given and mj -+ m, where (0, mj) E C7(i). We shall

show that parametrizations of a subsequence converge in Clocto a parametriza-
tion of an embedded finite energy sphere C0 containing (0, m). More precisely,
using the above bubbling off analysis we shall prove the following result.
THEOREM6.6. When (0, mj) -> (0, m), there exists a subsequence of Ci,
(0, mj) E Cj and parametrizations uj of Ci satisfying
uii(0)=(0,Omi) and j -+ (
so that the set of punctures and bubblingoff points of ij stay away from ( and,
moreover, near ( the maps uj converge in Co(7(C\ F) to a parametrized surface
u : C \ F -+ R x S3 so that
i(() = lim ui((j) = (O,m).

j-oo
The map u is an embeddinghaving simply covered asymptotic limits. Denote

the surface obtained this way by
cm - i(C \ r), (O.m) c c.

Then Cm is either one of the two finite energy surfaces obtained through the
bubblingoff analysis or a cylinder over an asymptotic limit belonging to one of
the two surfaces obtained by the bubblingoff analysis.
Proof. Take the normalized parametrizations Wj : C \ 1j -- R x S3 of Cj

introduced in the bubbling off analysis above and define the points Cj E C by
j(() = (0omj)-
Either (j stays away from F U e U {0o} and hence a subsequence converges,
~j -- ( i r u E u {o}
or, there is a subsequence
- ( E r u e u {oo}.
In the first case we conclude from w;j-- w in Cloc(C \ (r U E)) that
w(C)- lim
j--oo
wj((j)-(0,m) ew (c \(rU ))
proving the theorem in the first case. In the second case we first study the
situation
-4 - oo.
Reparametrizing by a sequence of Mobius transformations we define the new

sequence
j(z) := wj((jz), z cEc\ I r
so that
iij(1)- j(j) - (O,mj).
We claim for a subsequence that ij - > i in Co(C \ {0}, R x S3), where i is
the cylinder over the asymptotic limit (xoo,To) of the puncture oo. It then
follows that
(l)-= lim ij(l) = (O,m) e (c \ {o})
proving the theorem in this case. In order to prove the claim we first observe
that due to the normalization (6.6) of Wj,
=wd\dA + ~(,T
J\ dj d- \rj 2
rj =r Wj(6)
Recalling
Mobius
Thenuj(l)
transformations
for aUj
=subsequence,
usatisfying
(0, inmj),
ClOc(C
andry
we
(j\ Id
see
{O},
O.we
In
that
arrange
11R
view
the
xofS3).
that
punctures
the z;
fact <;lirj
= Othat
for m(a)
allofj,=uso
O,
ENERGY FOLIATIONS
FINITE 227
have
we
tlt\(Dur ) w:7 dA< 2
to Oand obtain fromthe above energyestimates

shrink
f < 5°
u^dA
are so small that
every E ? Oprovidedj is sufficientlylarge. The energies
for
from 0. We deduce
thesequenceu; does not admit bubblingoff points away
theconvergenceof a subsequence
and the
Moreover,using the above energyestimate, the behaviorof Wj at oo,
of ¢o, we concludethat the limit u = (a, u) satisfies
definition
X u*dA< ° and lim A u*S = T.
(C\{O} 2 ROO SR
Hence,arguingas in Lemma4.9 we obtain

X u*dA= O,
C\{°}
(x:To<D)* Since the
sothat ii is a nonconstantcylinderover a periodic orbit
of j, equal to
asymptoticlimit of the puncture oo of w; is, independent
the case
Too)we find (x, Too)-(xOO)Too)as claimed. We next consider
(xOO,
(=aer and m(^y)=O.
limyOOz; = ty
Inthis case we find a sequenceof puncturesz; E rj satisfying
asymptotic limits
and B(a) n rj = {Zj}for some E > O. In addition, the
a of w are all
associatedwith the puncturesZj of wj and with the puncture
by sequencerj of
a
equalto the fixed periodicorbit (Xk,Tk). Reparametrizing
that the new punctureis ey= O. Definethe parametrization

uj(Z) = Wj((jZ), for z E ( \ (ljrj.
bubblingoffpoints
one verifiesthat the smallenergiespreventthe occurrenceof
Fj \ {O} ) oo.
of iij in (: \ {O}. Moreover,since rj , r and OE r, we haare
>:tj
Hencea subsequenceconverges
inC1Oc((C\{0}:xs )
UjU
to the cylinderover the periodicorbit (Xk,Tk) and

u(l)- lim uj(l) = lim (O,mj) = (O,rn), ,oo
oo
Here
Fj
satisfying
, If
Fl,
z;IZil
the
Euj(1)
°°,
punctures
xyj rej)zland
=satisfies
we
(O,introduceZjrjtij
the
oymove
and
uparametrization
into
djCloC(¢
{O}
O. The
as
\ {O},
jsequence
oo.lltItx follows
S3),
Vj is where
normalized
that
u isfor
theby
a

228
provingthe theoremin the case considered.In the case of
positive mass,
(-aGr and m(ty)>O
we denote the associated asymptotic limit by (x:T).
As a result of our
bubblingoff analysisthere are no bubblingoff points 0 for the
sequenceWj.
Takethe rescaledsequencev; of the secondroundin the
bubblingoff analysis,
definedby
Vj(Z) = Wj(Zj + bjZ).
(6.16). Recalling(j ) ( =ty we defineZj by

Zj + djZj = (j
wherewj((j) = (O,mj). We know that the sequencev; has
no bubblingoff
poirlts(31. We also know that a subsequenceconverges,
Vj )V inc10C(C\rl,rXs3).
Ifz; stays away from rl and {oo}, then a subsequence
convergesto a point
z G (: \ F1. Consequently,v (z) = limjOOVj
(Zj )-limjOO Wj ((j ) = (O, m) . We
seethat (O,m) belongs to the finite energy surfacev
obtained in the second
roundof the bubblingoff analysis.
Uj(Z)= Uj(ZjZ)= Wj(Zj+ jZjZ), z E C \ 1 rj, rj = , (rj - Zj).

Itsatisfies uj(1) = (O,mj). Proceeding as in the first
case one verifies by
estimating the dA-energiesof u; that there is no bubblingoff in ¢:\ {O}.
Since
subsequence,
U; )U inCl°°c(¢:\{0},liXs3),
where u is an orbit cylinderover the asymptotic limit (xa,T).

It contains
u(l)-limjOo uj (1)-(O, m)
Finally, assume that zj > 71 E Fl. By the bubbling off
analysis we
know that m(<yl,v) = O. Hence the argumentsalready used in
the case
m(ty)= O for all ty E r show that there exist
reparametrizationsu; of v;
cylinder over the orbit (xl,Tl) associatedwith the masslesspuncture
ty1Ofv.
Again, u(1)-limjOO ii;(1) = (O,m). The remainingcase, namely6 - > ( G (3
if(37&0, is treated similarlyand we omit the details. This
completesthe proof
of
Theorem6.6.
O
The possible positions of the given m in the projectionof a
bubblingoff
treeof the sequenceWj into S3 iS illustratedby Figure 26.
mand any
generic
multiplication
injective map
J: ( : ( Nwith
1S we
associated
constructed
almost
another
complex
such
structure
map+:JNon>

229
(xOO7 Too)
Z lw
(xa,Ta) / <
g , m(7)_ O
(xj,Tj)
Figure 26. Possible positions of a given point nz in the
projection
of a bubblingoff tree.
The uniquenessquestionrelatedto our constructionwill now
be answered
by once more using the intersectiontheory of
pseudoholomorphiccurves in
dimension4 due to McDuff [43] and Micallefand White [46]. We
recall our
construction.Givenany injectivemonotonicmap r: N > N satisfying
rn
N and parametrizationsof the surfacesC7of os6(i)which convergein Cl°°C to
aparametrizationof a surface C containingthe point
(O,rn). Assume now
thatwe start with a different' still satisfying m(r'(j)) -
> m. Then for
every(1n/there exist +' and parametrizationsof Ct °i° °f (i)
convergingto a
parametrization of a surfaceCt also containing(O,n). HenceC n c' + 0,
and
weshall show that C = C'. If C and C' are not identical
they have, in view of
theasymptoticbehaviorand the similarityprinciple,an
isolated intersection
which,by the positivity of intersectionshas a positive local
intersectionindex.
Italso followsthat Ct °9 Of (i) and Cr °9 °f (j ) have an
isolatedintersectionfor
jand j' large. However,this contradictsthe fact, Theorem
6.1, that these two
surfaces are either identicalor disjoint, so that indeed C= C'.
Assume that
m-mk belorlgsto the dense sequenceof Theorem6.1 so that
(O,mk)E cmk,
andm(j) - > m,; then there exist parametrizatiorlsof
ctofof(i) converging
toa parametrizationof a surfaceC containing(O,m). The
same argumentas
above shc)wsthat C = Cmk. We have verifiedthat the surfaceCm
through a
givenpoint (O,m) is uniquelydefirledby our construction.
Summarizingthis section, we have provedthe followingexistence
result.
THEOREM6.7. Given a nondegeneratecontactform A =
fAo on S3, a
x
R S3, then there exists for every m E S3 an embeddedfinite
energysphere
cmC R X S3 containingthe point (O,m) and havingthe followingproperties.
1. There exists a constant c > 0 such that E(Cm) < c for every m E S3.
2. Two surfaces Cm and Cm' are either disjoint or identical.
3. Every Cm has precisely one positive puncture and a finite set of negative
punctures whose cardinality is boundedin terms of the c-spectrum.
4. The asymptotic limits of C't are simply covered and have p-indices in
{1, 2, 3}, and self-linking numbers are equal to -1.
5. If Ct is not a cylinder over the asymptotic limit, then Ind(Cm) =
tu(Cm) - 2 + #{punctures of CTm} belongs to the set {1, 2}. In addition,
the projection of Cm into S3 is an embeddedsurface, transversal to the
Reeb vector field and converging at the punctures to the asymptotic limits
of Cm.
6.3. The stable finite energy foliation. We shall use the JR-invarianceof the
structure J on R x S3 in order to extend the family {Cm m E S3} of surfaces
by means of translation in the R-direction. Let u = (a, u) : C \ F -r R x S3 be
a finite energy surface and r e JR;then the translated map
Ur(z) = (a(z) + r,u(z))

is also a finite energy surface. We can define, for every pair (r, m) E R x S3,
the set
C(rm) ={(r + s,x) E R x cm
I (s,x)E C}.
Then C(r,m) is an embedded finite energy surface parametrized by ir if i is a
parametrization of Cm. Clearly,
(r, m) C C(r,m) and C(om) = CM.
Hence through every point in R x S3 we have an embedded finite energy surface
having the properties of CTmlisted in Theorem 6.7. We abbreviate this family
of surfaces by
- {C(r,m) (r, m) E R x S3}
There is a natural action T: R x F -F of R defined by the translation
Tr (C(Sm)) = C(r+s,m).
The fixed points of this R-action are the cylinders over periodic solutions be-
longing to XF,as we shall see next.
LEMMA 6.8. 1. If F e F and r $ 0, then either
Tr(F) nF 0
or: Tr(F) = F and then Ts(F) - F for all s C R and F = R x P, where P is
a periodic orbit of the Reeb vector field.
2. If F E F is not a fixed point of the R-action, then its projection p(F)

is a smooth embeddedsurface in S3 transversal to the Reeb vector field.
Here p : R x S3 -5 S3 denotes the projection onto the second factor.
Proof. Assume that F e F is not a cylinder over a periodic orbit and let
i = (a, u) be a parametrization of F. If Tr(F) n F : 0, there exist two points
zi and z2 solving (a(z1) + r, u(z1)) - (a(z2), u(z2)). By Theorem 6.7, u is an
embedding; hence zl = Z2 and r = 0. If on the other hand F is a cylinder over
a periodic orbit, then clearly Ts(F) = F for every s proving the first statement.
The second statement follows in view of Theorem 6.7. ]
LEMMA6.9. Any two surfaces C(r,m) E F are either disjoint or identical.

Proof. Assume that F1, F2 E F satisfy F1 n F2 ~: 0 and F1 # F2. Since
F1 -= Tr, (Cm) and F2 = Tr2(Cm2) we conclude that Cml # T,(Cm2), where
r = r2 - rl. We may assume that r > 0. In view of the asymptotic behavior
of the surfaces there is an isolated intersection having a positive intersection
index. Hence Cm0 and Ts(Cm2) have an isolated intersection for all s > 0.
Consequently, Cm' n CM2 ~ 0 and Cm' ~ Cr2. This contradicts the fact
(Theorem 6.7) that Cm1 and Cm2 are either disjoint or identical, and the
lemma is proved. ]
Clearly, p(Fi) = p(F2) if F1 and F2 belong to the same orbit of the IR-
action.
LEMMA6.10. Assume F1 and F2 C F do not belong to the same orbit of
the R-action. Then p(F1) n p(F2) = 0.
Proof. Assume Ts(Fl) :A F2 for all s e R, and p(Fl) np(F2) 7: 0. If ii

and u2 are parametrizations of F1 and F2 we find two points z1 and Z2 solving
u(zl) = u(z2). So, (a(zi) + r, u(zi)) = (a2(z2), U2(Z2)) for r = a2 (Z2)-al (Z1)
and hence Tr(Fl) n F2 7= 0. Since, by assumption, Tr(Fi) = F2 we have a
contradiction to Lemma 6.9. D
Finally, we shall show that the family F defines a foliation of JRx S3.
Recall that there is a leaf F E F through every point. It remains to show that
locally the leaves form a 2-dimensional family of 2-dimensional surfaces.
Assume (ro,mo) E Fo and Fo is of type a = (3,1,1,...,1) so that
Ind(Fo) = 2. Using the R-action we can assume that r0o 0. In view of
the implicit function theorem, Theorem 1.6 in [36], Fo belongs to a smooth
2-parameter family Fb of finite energy spheres having the same asymptotic
limits as Fo. Moreover, one parameter accounts for the JR-actionand So is
a foliation near Fo. Note that Theorem 1.6 in [36] is stated merely for the
special case of an embedded plane. However, its proof also applies for the case
at hand if we observe that for type ac = (3,1,1,..., 1) surfaces u =- (a, u) we
analysis. Indeed, take mkmoand abbreviate Ck = Cmk. Thenthere are
have 7r ° Tu(z) 7&0 for all z E S2 \ r, by Corollary2.6. It is sufficientto

show that Cm E o for m near mo. This is a consequenceof our bubblingoff
parametrizationsof a subsequenceC+(i) convergingin Cl°°C to the parametriza-

tion of a surfaceC containing(O,mo). Consequently,C n Fo 7&0 and hence
C = Fo e n because otherwise we would find an isolated intersectionand
wouldconcludeby the positivity of the intersectionindex, that Fo n c+(i) + 0
and Fo 7&C+(j) for j large, in contradictionto Theorem6.7. Since C = Fo
we are in case I of our bubbling off analysis and conclude that there is no
bifurcationso that all the surfacesC+(i) have the same asymptotic limits as
Fo. Therefore,by the completenesstheorem, Theorem7.1 in [36],we deduce
that indeedC+(j) E S0. Thereare only finitelymany (modulolR-action)leaves
F e F satisfyingInd(F) = 1 or F = DR x P. Consequently,every piece of such
an F fits smoothlyinto the 2-parameterfamiliesnearby,whenwe use, as above,
the ClOcconvergenceand the positivity of the intersections.Havingshownthat
f is a foliation,the proof of our main result, Theorem1.6, is complete.
The followingthree Figures 27-29 visualize examplesof foliationsof S3.
Figure 27. An example of a foliation by disk-likeand annuli-like

surfaces. The pair of white dots representsa hyperbolicorbit of
index 2, and pairsof blackdots representperiodicorbitsof index 3.
There are two familiesof disk-likesurfacesasymptoticto periodic
orbit of index 3. These families are representedby thin curves.
The bold curves representrigid surfaces. There are two rigid sur-
faces of annuli-typewhich connect periodicorbits of index 3 with
the hyperbolicorbit, and two disk-likesurfacesasymptotic to the
hyperbolicorbit.
The 3-sphere is viewed as R3U{oo}. The figures show the traces of the foliations
cut out by the plane R2 c R3. Periodic orbits are represented by dots. Two
dots of the same color belong to the same periodic orbit, and the periodic orbits
are perpendicular to the page. In these figures black dots represent periodic
orbits of index 3, white dots represent hyperbolic orbits of index 2, and grey
dots represent periodic orbits of index 1. The rigid surfaces are indicated by
bold curves, while the families of surfaces are indicated by thin curves. The
arrows indicate the Reeb flow lines.
Figure 28. Here the pair of grey dots represents a periodic orbit of
index 1. The periodic orbit of index 3 is indicated by the pair of
black dots, and the hyperbolic orbit of index 2 by the pair of white
dots. The dotted lines represent a family of annuli-like surfaces
connecting the periodic orbit of index 3 with the periodic orbit of
index 1. The thin curves constitute a family of disk-like surfaces
asymptotic to periodic orbit of index 3. The rigid surfaces, bold
curves, are of two types: the annuli-type surfaces either connecting
the periodic orbit of index 3 with the periodic orbit of index 2 or
connecting the periodic orbit of index 2 with the periodic orbit
of index 1, and of disk-type asymptotic to the periodic orbit of
index 2.
Figure 29. In this example there are two families of annuli-like sur-
faces connecting periodic orbits of index 2 with periodic orbits of
index 1. They are represented by dotted and dashed thin curves.
There are also two families of disk-like surfaces asymptotic to pe-
riodic orbits of index 3. The two rigid surfaces of disk-type are
asymptotic to periodic orbits of index 2. The remaining rigid sur-
faces are of annuli-type. They either connect periodic orbits of
index 3 with the periodic orbits of index 2 or connect the periodic
orbits of index 2 with the periodic orbit of index 1.
7. Consequences for the Reeb dynamics
7.1. Proof of Theorem 1.9 and its corollaries. We first observe that the
foliation T constructed contains a finite energy plane.
PROPOSITION7.1. The foliation T contains a finite energy plane whose

asymptotic limit P has index ,u(P) E {2, 3}.
Proof. For the following it is useful to recall that the foliation T is inde-
pendent of the choice of the dense sequence (0, ink) used in the construction,
as long as mk does not belong to a periodic orbit and the finite energy sur-
face containing (0, ink) has Ind(Ck) = 2. This follows from the positivity of
the intersection index as in the proofs of Theorems 6.1 and 6.7. In order to
find the finite energy plane we take a sequence of points (0, Pk), Pk E M, such
pseudoholomorphicmapvOO:(: \ r R x M. In view of the normalization
that the unique JNk-holomorphic sphereCNk in ANk passingthroughoOO and

(°, Pk) has in the part [-Nk, N] the lowestpossiblelR-value
equalto 0. Choose
JNk-holomorphic parametrizationsWk:-WNk: S2 > ANk satisfying
(7.1) wk(°°) = °co, Wk(°) = (°,Pk), tWkgNk = 7
Then, in view of the maximumprinciple,we find a sequenceR, > oo such

that DRk C {Z E C | ak(Z) < Nk} Define a sequencevk := WklDRk DRk >
R x M, still satisfyingv,c(O)= (°,Pk) and convergingin C1octo a nonconstant
in (7.1) the set of puncturesr lies outside of D SO that vOO(O) = (O,p),where

p = limpk E M. The puncturesr are necessarilynegative. Since O is the
minimumof the IRL-component of v,m,we deducethat r = @and vOO(: > 11t xM
is the desiredfinite energyplane. In view of the positivity of the intersections,
this plane belongsto the foliationF. The index ,u(P) of a finite energyplane
is always > 2; hence ju(P) E {2, 3} as claimed. C1
PROPOSITION 7.2. AssurnefF contains a finite energyplane of index

p(P) = 3. Then either F has preciselyone fixed point of the R-action or n
containsalso a finite energyplane of index2. In thefirst case the projectionof
F into M is an open bookdecompositioninto planes havingthe periodicorbit
of the fixedpoint as bindingorbit.
Proof. By the argumentsin [35], the finite energy plane of index 3 is

containedin a maximal1-parameterfamilyof such planes all havingthe same
asymptoticlimit P. By the uniquenessargumentsin Theorems6.1 and 6.7 all
these planes belong to the foliation F. The family is parametrizedeither by
an open intervalI in the noncompactcase or by the circle S1 in the compact
case. As shown in [35], in the compact case the projectionof the S1-family
of planes into M constitutes an open book decompositionof M into planes
having P as bindingorbit. Therefore,F possessespreciselyone fixed point of
the lR-action,whose projectioninto M is the bindingorbit of the open book
decomposition.If, however)the family of planes, is parametrizedby an open
interval,the projectedsurfacesdegeneratetowardsthe ends giving rise to a
periodicorbit Q having index ,u(Q) = 2. More precisely,by our bubblingoff
analysis,the planesconvergeto a brokentrajectoryconsistingof rigidsurfaces
(C-, C+), namely a cylinderC- connectingthe positive limit P having index
,u(P) = 3 with the negative limit Q having index ,u(Q) = 2. This periodic
orbit is also the positive limit of a finite energyplane whose projectioninto M
is the rigid surfaceC+. This finishesthe proof of Proposition7.2. 1:1
The situation is illustrated in Figure 30.
C- C
P Q
Figure 30. The figure illustrates the second case of Proposition 7.2.
The consequences of the open book decomposition of S3 for the flow ot of

the Reeb vector field X associated with A are described in [35]. We recall that
every plane, compactified in a natural way, is a global surface of section D of
disc type whose boundary OD is the binding orbit P. The Poincare section
map : intD -* intD is an area-preserving diffeomorphism, the area element
being dA. The total area of intD is equal to the period T of the periodic orbit
P and hence finite. Consequently, Brouwer's translation theorem guarantees
a fixed point p C intD of the map 0. It is the initial condition of a periodic
orbit of X different from the boundary orbit P. In addition, by a theorem of J.
Franks in [20], the map 0 possesses infinitely many periodic orbits, provided 4'
has at least one periodic orbit different from the fixed point p. We have proved
the following proposition.
PROPOSITION 7.3. If the foliation F has precisely one fixed point of the
R- action, the Reeb vector field X on M possesses either two or infinitely many
periodic orbits.
It remains to study the dynamics of the Reeb vector field in the case where
the foliation F contains a fixed point of the R-action whose associated periodic
orbit P has index ,u(P) = 2. Such a periodic orbit is necessarily hyperbolic and,
therefore, lies in the intersection of its oriented stable manifold W+(P) and
its oriented unstable manifold W- (P). We shall first describe the positions of
the local invariant manifolds Wlic(P) near P, with respect to the rigid surfaces
having P as positive and negative limit.
The tangent spaces of W+(P) along the periodic solution P = (x,T)
having minimal period T are spanned by the Reeb vector field X(x(t)) and
vector fields v+(t) belonging to the contact planes ((x(t)). In the symplectic
trivialization of the bundle ~ over P, as used in asymptotic formula for the rigid
surfaces approaching P (see the appendix), the vectors v+(t) are the solutions
of the following boundary value problem
(7.2) -iv+ (t) = A(t)v+ (t), v+ (T) - v (0), v (T) = 3v- (0)
for some d > 1. Here A(t) = A(t + T) is real and symmetric.We shall abbre-
viate in the followingthe fundamentalsolution by b(t) = dS°t(z(O))lt(x(o))
so
that vi(t) = d>(t)vi(O).Let e(t) be the asymptoticdirectionof a (necessarily
rigid) surface having P as positive or negative limit. The vector e appears
in the asymptoticformula;see the appendix. Then e is an eigenvectorof the
eigenvalueproblem
(7 3) -ie = A(t)e+ Se, e(O)= e(T)
Moreover,A = A < O if P is the positive limit and A = A- > O if P is the

negative limit. Since the windingnumbersof the asymptoticdirectionse are
all equal, namely windO,,(e)= 1 accordingto Proposition 5.9, the Conley-
Zehnderindex ,u(P) = 2 impliesthat A+ < Ois the largestnegativeeigenvalue
and A- > Ois the smallest positive eigenvalueof (7.3). In addition,the corre-
spondingeigenspacesare l-dimensional.We concludethat there are precisely
two directionsie+ for positive surfacesand two directionszie- for negative
surfaces.SinceLFis a foliationit followsfromthe asymptoticformulain IRt x S3
that P is the asymptoticlimit of at most four rigid leaves of F. Figure 31 il-
lustrates the situation. The vectors e+(t) and e-(t) constitute a basis of the
corltactplanes((x(t)) = ¢ and hence definefouropen quadrantsin ¢: depend-
ing on t and denoted by I, II, III and IV. See Figure 32. The positions of
the local invariantmanifoldsWlic(P) and WlOc(P)with respect to the rigid
surfacesare describedby the followingproposition.
PROPOSITION
7.4. V (t) E I orIII and v+(t) E II or IV.
-e+< X
_ =< e 3 \
2S-_ \
3 x /
2 XXX ,
Figure31. A hyperbolicperiodicorbit may be an asymptoticlimit

of at most four rigid surfacesof F.
II
III
IV
Figure 32. The vectors e+ and e- define four quadrants in C.
Proof. Consider a solution h(t) of -ih = A(t)h. Assume h(r) = e+(r)

for some r. If e+(t) is the solution of (7.3) belonging to A+ < 0 we compute,
abbreviating e+ = e and A+ = A,
d(he) = h-e+he
- i(Ah) e- ih (Ae) - iA(he) = B(h, e) - iA(he),
where B(h, e) = B(e, h). We conclude that h(t) enters I for t > and IV for
T,
t < r. Similarly, assuming h(T) = e-(r) we see that h(t) enters I for t > -r
and II for t < r. This is illustrated in Figure 33. Hence, the solution h(t)
starting at h(0) = e+(O) satisfies h(t) C I for all t > 0 and h(t) E IV for all
t < 0. Representing this solution in the basis v+(t) and v-(t) and recalling
1(t + nT) = 4b(t)4(T)n for all n c Z and t E R, we find
+ v- (t) c I
lim h(t nT)
n-cx) \h(t+nT)\ \v-(t) I
v+ (t
lim h(t-nT) IV.
n-oo \h(t-nT)- lv+(t)l
A similar argument applies if the solution h(t) starts at h(O) = -e+(O). This
finishes the proof of the proposition. D
II
e-(t)
I
III
IV
Figure 33.
The sets Wi(P) are images of injective immersionsof a cylinder. The

transversalfoliationin the complementof the bindingorbit allows the study
of their global behavior.
PROPOSITION 7.5. Asstzmethe foliation fF possesses a spanningorbit of
index /u(P)-2. Then its u/nstableinvariant manifoldW-(P) intersects the
stable invariantmanifoldW+(Q) for a possiblydifferentspanningorbit Q of
F havingindex 1l(Q)-2.
Proof. In view of our bubblingoff analysis a binding orbit P satisfying

u(P) = 2 is the positive limit of a rigid surface C+ E X and the negative
limit of a rigid surfaceC- E F. Moreover,there is a uniquefamilyof surfaces
CT parametrizedover the interval (-1, 1) so that as T ) -1, the surfaces
decomposeinto the brokentrajectory (C+, C-). Figure 34 visualizessuch a
situation, when projectedinto S3 and cut by a plane.
w-<
Figure 34. A family of surfacesCr decomposesas r >1 into the
brokentrajectory (C+, C-).
On S3 we take a smooth tubularneighborhoodU of the periodicorbit P

equippedwith a metrichavingthe propertythat the distanced(So-t(w),P) for
w E W1Oc(P) n U strictly decreaseswith increasingtime t. Here ft iS the flow
of the Reeb vector field X. We choose U so small that DUn W1Oc(P) are two
smoothly embeddedcircleson dU.
LEMMA7.6. The cylinderW1oc(P)c?ltsout a smoothembeddedcircleSf
on the projectedsurfacep(C), for T close to the left end of the interval:
ST= WIOC
(P) n p(C),
wherep: R x S3 > S3 is theprojection.
Proof. Let S+ be a smooth circle AU n WCoc(P)contained in the family

p(Cr), r (-1, 1), and denote by B the cylinder obtained by the backward
flow starting at S+,
B = {t(b) b E S+,t < 0}.
We shall show that B n p(Cr) = ST is a smoothly embedded circle for r close
to -1. Recall the bubbling off analysis leading to the broken trajectories. The
surface Cr is parametrized by a map Ui = (at, u-), in appropriate coordinates
given by a cylinder
U : Zr = [-RT, Rr] x S'1 - R x M,
with RT -> oc as T -+ -1. The loops ur({-Rr} x Sl) and ur({Rr} x S5) are
close to p(C-) and p(C+) and near the limit P. In view of the choice of the
metric and Proposition 7.4 one deduces that the algebraic intersection number
is equal to
int(b R-, ur(Zr)) - 1
if T is close to -1 and b E S1. Since the local intersection indices of the
pseudoholomorphic curves (s, t'(b)) and ur are equal to 1, there is precisely
one intersection point b.R- np(C-) for every b c S1. The flow being transversal
to p(CT) defines a diffeomorphism of the smooth circle S+ onto the intersection
set W1oc(P)n p(C) hence proving the lemma. O
In view of the above lemma, the flow gt for t > 0 defines a family of
smooth embedded circles ST C p(Cr) for all -1 < T < 1. We shall show that
these moving loops hit the stable manifold W+(Q) of a hyperbolic spanning
orbit Q of index ,/(Q) = 2.
Arguing indirectly we assume that this never happens. Then as r -> -1,
the family C0 decomposes along a binding orbit P1 into two rigid surfaces
(C+, C-) and the loop cut out by the unstable manifold W-(P) has to sit
entirely on one of the two rigid surfaces p(C+), p(C~-). Recall from Lemma
5.2 in [35] in case of an odd index 1/(Pi), that the solutions nearby make a full
turn around the binding orbit PI in a short interval of time. On the other side
of the rigid surface hit, the foliation continues again by a 1-dimensional family
and moving the loops along the transversal flow we can argue as before. There
are only a finite number of rigid surfaces and 1-dimensional families. Therefore,
we find a rigid surface R of the foliation hit infinitely often in forward time.
By the uniqueness of the initial value problem, the loops Sj cut out on R by
the unstable manifold W-(P) are mutually disjoint. Since the Reeb vector
field X lies in the kernel of dA, the A integral over such a loop Sj is the same,
namely equal to
T=- A.
sJS
The 2-form dA induces on the surface R an area form for which the total area
is finite, in view of the energy estimates leading to the following contradiction.
Every circle Sj on R encloses an area on R of value fsj A minus the sum of the
periods of the enclosed punctures of R.
Since there are only finitely many punctures the total sum of the disjoint
areas enclosed by the circles Sj on R must be infinite. This contradiction shows
that W-(P) necessarily intersects W+(Q) for a hyperbolic spanning orbit of
index /(Q) = 2, hence proving the proposition. See Figure 35.
Sj
Figure 35.
PROPOSITION7.7. Assume A = f)Ao is generic, i.e., f

E 62. If F has
more than one fixed point of the R-action, there exists a hyperbolic binding
orbit Po whose stable and unstable invariant manifolds intersect each other
transversally, W+(Po) n W- (Po) = {x}, in a homoclinic orbit x ^ P.
Proof. By Proposition 7.5, there exists a hyperbolic binding orbit P whose

unstable invariant manifold intersects the stable invariant manifold of a hy-
perbolic binding orbit P1, also having index A(Pl) = 2. If P1 = P we are
done. Otherwise we find by repeating the construction of Proposition 7.5 a
heteroclinic chain between hyperbolic binding orbits P, P1, P2, ..., all hav-
ing index equal to 2. There are only finitely many binding orbits and we
deduce a hyperbolic orbit Po possessing a heteroclinic loop. Since the intersec-
tions are transversal, Po possesses a nontrivial transversal homoclinic orbit, as
claimed. D
It is well known that the existence of a generic homoclinic orbit compli-

cates the orbit structure of X considerably; see for example [47]. It allows,
in particular, the construction of an embedded Bernoulli-shift for an associ-
ated local Poincare section map. Its infinitely many periodic points are the
initial conditions for infinitely many periodic solutions of the vector field X.
Consequently, if in the generic case, the foliation F is not an open book decom-
position, then the Reeb vector field X on S3 possesses infinitely many periodic
orbits. This completes the proof of Theorem 1.9 and its corollaries.
7.2. Weaklyconvexcontactforms. The foliationy has a simple descrip-

tion if there are no spanningorbitsof index 1. We recallfrom [35]the following
definition.
Definition 7.8. A nondegeneratecontact form A on S3 iS called dynarna-
cally conveac
if for everyperiodicorbit (x, T) of the associatedReeb vectorfield
the inequalityy(x, T) > 3 holds.
The spanningorbitsof n in the case of a tight dynamicallyconvexcontact
form A-fAo have indices all equal to 3. Apart from the fixed points of the
ER-action, the leavesthereforeappearin 1-dimensionalfamiliesof finite energy
planes. Such a family is necessarilyparametrizedby s1. Indeed, otherwise
at the ends of the parameterintervalthe family necessarilysplits into 2 rigid
surfacesgiving rise to a spanningorbit of index 2, which is excluded. Hence,
arguingas above,we see that the foliationy possessespreciselyone spanning
orbit of index 3 and the projectionof LFonto S3 is an open book decomposition
into planes. Moreover,if compactifiedby the spanningorbit P, it is a global
surfaceof section of disc type for the Reeb vector field. Studyingthe Poirlcare
sectionmap we deduceby meansof the area-preserving characteras beforethe
followingresult for the Reeb flow.
THEOREM7.9. The ReebfZowof a dynamicallyconvex contact form
A-f So possesses eitherprecaselytwo or infinitelymany periodzcorbits.
An interestingexampleis the Hamiltonianflowon a strictly convexenergy

surfacein 4. As shown in [35], such a flow is conjugatedto the Reeb flow
on S3 definedby a dynamicallyconvextight contact form A = fAo, and hence
possesses,in the genericcase eithertwo or infinitelymanyperiodicorbits. The
result actually holds true without the assumptionof genericity,as shown in
[35]. We next introducea new concept.
Definition 7.10. A nondegeneratecontact formA on S3 iS called wea1zly
convex
if for every periodicorbit (x, T) of the associatedReeb vector field the
inequality8(X7 T) > 2 holds.
If A = fAo is weaklyconvexthe foliationF consistsof finitely many fixed
points of the Di-action,finitely many rigid cylindershavingtheir origin in the
spanningorbitsof index 2, and the complementis filledwith a finite numberof
1-parameterfamiliesof finite energy planes, parametrizedover intervals. We
describethe projectionof F into S3 more precisely: Every spanningorbit P
of index 2 is the boundaryof preciselytwo disjoint rigid planes Ci. Their
union C- U P U C+ is a smoothly embedded2-sphereS2 in S3 whose equator
is P. One of the hemispheres,C+, is the entranceset for the Reeb flow, the
other hernisphere,C-, is the exit set of the 2-sphere. Moreover,inside the
ball and in the complement of the ball there exist binding orbits of index 3
connected with the equator P by rigid cylinders. Inside of the ball there is
possibly another rigid cylinder connecting the index 3 binding orbit with an
index 2 binding orbit inside the sphere, which again is the equator of a smaller
rigid 2-sphere inside the larger sphere already described. Proceeding this way
we end up after finitely many steps with a smallest rigid sphere containing no
further rigid spheres. The smallest sphere contains precisely one binding orbit
of index 3 connected by a rigid cylinder with the equator of the sphere and
is filled with a 1-parameter family of planes, whose boundaries agree with the
index 3 binding orbit. The dynamical consequences of such a family are not
yet worked out. We visualize the projection of T in S3 by Figure 36. In the
figure the white dots represent periodic orbits with index 2 and the black dots
periodic orbits with index 3.
Figure 36. An example of a foliation for a weakly convex contact

form. The figure shows the foliation by disk-like and annuli-like
surfaces projected onto S3 and the trace of a foliation cut by a
plane. The white dots represent periodic orbits of index 2 and the
black dots periodic orbits of index 3. They are perpendicular to
the page and two dots belong to the same periodic orbit. The rigid
surfaces are represented by bold curves. The arrows indicate the
Reeb flow. The 3-sphere is viewed as R3 U {oo}.
Maslov
trivialization
S*(1) =compatibility:
{@: [O,,B:T]u*t
Sp(l)
If- >L:
jDb(0)-Id
[O,
xH22:T]and
Sp(l)
and
*(1)consider
b(T)
zis aEloop,
the
Sp(l)*},
arc
i.e.,
b: where
[O,
L(O)-L(T)
T]Sp(l)*
Sp(l)and
of=
8. Appendix
8.1. The Conley-Ze7?nder index. Forthe readers'conveniencewe shall col-

lect some facts about the index of a nondegeneratecontractibleperiodicorbit
of the ReebvectorfieldXx on M. Assume(x, T) is a T-periodicsolution,which
is nondegenerateand contractible.The linearized map
Tft(x(O)):
TX(o)M
TX(t)Mmaps the contact plane (z(o) onto (z(t) and is, moreover,symplectic
with respect to dA. We choose a smooth disc map u: D > M satisfying
u(e21rit/T)= x(t), where D = {z E ¢: t lZI < 1}. Then we choose a symplectic
symplecticmatrices4>(t)in 2 definedby
b(t) :-,(S (e2lrit/T)OT>pl

f O,(-1 (1)
The arc starts at the identity @(0) = Id and ends at b(T). The integer 1 is
not arl eigenvalueof b(T) if and only if (x, T) is nondegenerate.With every
such arc we shall associate an integer ju(<>)and then define the index of the
periodicsolution (x, T) by
H(x,T, [u])= 1>(4?)

This index will only dependon the homotopyclass [u]of the chosendisc map
having the boundaryfixed. If, as in our applications,M = S3, the index is
independentof the disc map chosen.
In orderto defineu(4>)we abbreviatethe set of arcsunderconsiderationby
{A E Sp(l) f det(A - Id) + O}. We recall that the eigenvaluesof A - Sp(l)*

occurin pairs,namely (A,A) E S1 \ {1} or (A,A-1) C Di2\ {(1) 1)} and A > O,or
(A:A-1) E 122and A < O. Accordingto the spectrumof the end point d>(T)we
thereforedistinguishelliptic, (+)-hyperbolicarld (-)-hyperbolic arcs 4>. The
characterizationof the integeru(<>)is as follows.
THEOREM8.1. The Conley-Zehnderindex is the uniquemap
characterizedby the followingfo1lrproperties:
Homotopy invariance: If bt is a homotopyof arcs in S*(1), then y(b7)

does not dependon r.
+ E S*(1), then
H(L b) = 2 mas10v(L)+ ,u(b).

Invertibility: Withb-1(t) = b(t)-l,

H(b) _ _8(@-1
Normalization: If @ 1(t) := etit/T,
8(@2) = 1
In addition,the rrtap,u:S*(1) >z is s?>rjective.

For a proof we referto [26]. There are severalways to presentthe integer
u(b) and we recall first the geometricconstructionfrom [26]. We consider
a differentiablearc @(t). It is the resolventof a linear Hamiltonianequation
b(t) = JA(t)q>(t)starting at 4>(O)= Id. Let z E C \ {0} and choose for the
solution z(t) = b(t)z a continuousargument
e27riw(t)
= Z(tl, 0 < t < T,
introducethe windingnumberof 4>(t)zby -
(z) = So(T)- io(O)E Et,

and definethe windingintervalof the arc b by
I(@)= {A(Z)| ZE \{°}}*
The length of this intervalis strictly smallerthan 1/2. Indeed, for two solu-
tions z(t) and w(t), we define the curve zl(t) = z(t)w(t) in ¢: and observe
that A(Z1) = i\(z)-A(w). Assume that lA(zl)l > 1/2. Then we find
to E [O,T] satisfying Z1(to) E 11R
\ {O} implying z(to) = fw(to) for some r E
Et\ {O}. Consequently,z(t)-tw(t) for all t E [O,T] and hence A(z) = A (w)
in contradictionto lA(z)-A(w)l > 1/2. VVehave provedthat [I(4>)l< 1/2.
The windingintervaleither lies between two consecutiveintegersor contains
preciselyone integerand we can define
H(@)= { 2k+ 1 lf I(@) C (k:k + 1)
for some integer k E 2. It is proved in [26] that ,u(b) satisfies all required
propertiesin Theorem8.1.
Clearly,the windingnumberA(zo) is an integerif and only if b(T)zo = Azo
and A > O. Hence (+)-hyperbolicarcs are characterizedby even indices. For
a (-)-hyperbolic arc we have an eigenvectorb(T)zo =-Azo, A > O,so that
A(zo)= k + 1/2 for an integerk and hence u(q>)= 2k + 1 is odd. The elliptic
arcs also necessarilyhave odd indices.
246 H. HOFER, K. WYSOCKI7AND E. ZEHNDER
Observenow that the difEerentiable arc <>(t)coming from the periodic

solution (x, T) is definedfor all t E 11tand satisfies,moreover,
¢(t + T) = b(t)@(T), t E Et.

This allowsus to definethe indices ,u(b(n))for the iterated periodicsolutions
assumingthat 4?(n)are all nondegenerate.Here ¢?(n)is the arc b(t) for O <
t < nT, n > 1. If z E ¢::\ {O}, the windingnumbercan be written as the sum
(8.1) A(Z)<>(n))
= A(z)+ A(b(T)z) + + (@((n-l)T)z).
If b is a (+)-hyperbolicarc there is an eigenvector4>(T)zo= Azowith A > O.
Hence k-A(zo) = A(b(T)zo) = = l\(@((n-l)T)zo) and we deducefrom
(8.1)that
(8.2) Ru(<I)(n))-np(@),for all n > 1.
The same iteration formulaholds for a (-)-hyperbolic arc. The iterationsof
elliptic arcs is moresubtle. However,in the ellipticcase we concludefrom (8.1)
the estimates
n[/>(b)-1] + J;< 8(@(n))< n[H(@)
+ 1]-1.
We made use in prearioussections of the followingmonotonicitypropertyof
the index, which followsimmediatelyfrom (8.1) and (8.2).
8.2.
PROPOSITION
Either ,u(@(n))
= O for alln > 1
or O< y(@)< p(b( )) < p(bt )) < ...
Or O> y(b) > p(@( )) > (4?( )) > ....
In previous sections we also used the fact that ju(b) > 2 implies
,u(b(2)) > 4. This is proved as follows. If,u(@) = 2k, Sc> 1, then by (8.2)
,u(<>(2))= 4k > 4. If ,u(<>)-2n + 1 is odd and n > 1, then I(<>)c (n, n + 1)
and hence by (8.1) I(b(2)) C (k,k + 1) for some k > 2n. Consequently,
u(@(2))= 2k+1 > 4n+1 > 5.
We next recall that the index ,u(@)is related to the rotation of 4>(t)in
Sp(1). There is a uniquedecomposition
@(t)= O(t) P(t)
intoan orthogonalmatrix O(t) C Sp(1) and a symmetricand positive definite
matrixP(t) = eA(t)E Sp(1). Sinceb(O) = Id, we concludefromthe uniqueness
ofthe decompositionthat O(O)= Id and P(O) = Id. Hencewith O(t) = e2Xi(t)
weobtain for the windingnumberA(z) of z E (: \ tO} the representation
/\(z) = A0 + A( arg[P(t)z]) =: Ao + '5(Z)

t: Id ( ) > b(T) Id.eao(T)
where So = oe(T) is the rotation of the arc O(t), for O < t < T, in Sp(l).
Fiom (P(t)z,z) > Owe deducethe estimate l6(Z)l < 1/2. This implies for an
eigenvectorP(J)zo = Azoand A > Othat o$(zo)-O. Hence So E I(q>).
We deform the arc > within S*(1) by prolongingthe endpoint b(T),
keepingthe spectrumof 4>(T)fixed. Note that afterconjugationwith a suitable
orthogonalmatrix u we have,
'>(T) -1 ( cos27riN0 -sin27r,'\0 ) ( .\ O ) >O
and the eigenvalues,u E a(@(T)) are
8+= 2 (> + )K)cos 27r\0 + 0/4 (> + i) cos221rSo- 1.

Assume at first that b(T) is (+)-hyperbolic. Then
cos 27rY\o> ° and 1 (S + 1 ) cos227ri\o-1 > O.

In particular,So E (k-1/4, k + 1/4) for some integerk. Denote by R(s) the
rotationwith angle 27rs.We prolongd>(T)= O(T)eA(T)keepingthe spectrum
fixed by the arc
0(T)R(£(s))eAs (T)
( CoS21r(0+£(8)) -sin27(A0+E(S)) % ( A5 0 A
\ sin27r(So + £(S)) COS 2gr(So+ £(S)) 2 V ° 1/>5 J
for 0 < s < £*. Here s(s) = [ sign(k-So)]s and s* = 1k-/\ol Adding this
piece of arc we homotope4>(t),0 < t < T, within S*(l) into the arc @ E S*(1),
In view of the homotopyinvariancein Theorem8.1 we conclude,u(@)= ,u(b).

The rotationof t in Sp(l) is clearlyan integerA := So+[ sign(k-So)]£* = k
so that ,u(@)= ,u(@)= 2S and ,(@n) = 2nA. Similarly,in the (-)-hyperbolic
case we continuethe endpointd>(T)keepingthe spectrumfixed to the matrix
-Id eA°(T).This way we homotopethe arc b(t), O< t < T, within S*(l) to
the arc @ E S*(l) given by
t: Id ( ) >b(T) -Id .eA0(T)
This time the rotationof @is equal to A = So + A= k + l/2 for an integerk.

Using the hotnotopyinvariancewe conclude,u(4>)-,u(@) = 2k + 1 = 2S, and
,(@n) = 2nA. Finally,if b(T) is elliptic, then
1 (> + 1 ) cos22rAo-1 < O

t: Id O(t) @: IdO(T)
( ) b(T)
>O(t)O(T) O(T) R(E)
> o(T92 . .
andthereis a uniquefunctions(s), O< s < 1, satisfyings(0) = O,s(1) = £,

and ls(s)l < 1/4 andsuchthat the arc
O (T) R(E (S) )eAs (T) Cos 27 (t o + 6 (S) ¢ -sin 2wtS + E( ) ) \

\ sln21r(So+ £(S) COS 2orSo + £(S)) /
( s+(l-s)S 1° )
O s+(l-s)>
has the samespectrumas O(T) eA(T). Prolongingb(T) by addingthis piece
of arcwe homotopeb(t), O< t < T7in S*(1) to the arc@ E S*(1) givenby
andhenceendingat a nontrivialrotation.Sincethe arcis elliptic,the rotation

A = So + E satisfiesk < A < k + 1 foran integerk. Therefore,by homotopy
invariance,
,u(4>)
= ,(@) = 2Zz + 1 andhence
,u(b)= 2S + rl, Irll< 1.
Inorderto determinethe index,u(b(n))of the iteratedarcb(t), O< t < nT, in
theellipticcaseswerecallthat v(@(T)i) E S1\ {1} forall iteratesj > 1. Using
the aboveprolongation of d>(T)in Sp*(l) we homotopeb(t), O< t < nT, in
S*(1)to the arc@ of rotations,
(8.3) O(t)O(T)n-l o(T)rl (O(T)R(6(T))) (O(T) Rt ))4

whereO < t < T and O < r < 1. The deformationbs of @ is definedas
follows.We set dis(t)= O(t)eSA(t) for O < t < T and O< s < 1, and add
successivelythe arcsbs(t)¢s (T)j forj-1, 2, . . ., (n-1), whereO< t < T,
andfinallyprolongthe endpointin Sp*(1)by the arc(0(T)R(£(t))esA(T))n for
s < t < 1. From(8.3) we computeforthe rotationof @ in Sp(1)the number
nSo + ne = nA. By the homotopyinvariance, ,u(<>(n))-,u(@). Therefore,
we
obtainthe followingiterationformulaforthe indexin the ellipticcase
(8.4) 8,(b(n))-2nS + rn, |rnl < 1.
Notethat the rotationnumberA E Etis uniquelydeterminedby @(t),for
O< t < T. It splitsinto two partsA = So + do,whereSo-oe(T)-oe(O) is
determined by the orthogonalpartof b(t)-O(t) P(t) oarerO< t < T and
dois determined by the spectrllm(4>(T)) of the endpoint. The numberA is
irrational
in the ellipticcase,whileA-k C z for a (+)-hyperbolicarc and
A-k + 1/2 fora (-)-hyperbolicarc. To summarize the index,u(x,T) = ju(<>)
ofa periodicsolutionof a Reebvectorfieldon S3 hasthe followingproperties:
THEOREM 8.3. Assume that the periodic orbit (x,T) and its iterates
(x, nT), n > 1, are nondegenerate.
1. If (x, T) as (+)-hyperbolic,then
/1(X,nT) = n/u(x,T), n> 1
and 1l(x, T) = 2k is even.
2. If (x,T) is (-)-hyperbolac,then
/1(X,nT) = n/>(x,T), n> 1
and y(x, T) = 2k + 1 is odd.
3. If (x, T) is an ellipticperiodicsolqbtion,
then
,lb(X, nT) = 2nS + rn) Irnl < 1
with p(x, T) = 2k 1 odd. The real number/\

Jr E (k, k + 1) is srrational
and uniquelydeterminedby (x,T).
Crucialfor the geometry of finite energy surfacesnear the puncturesis

the characterizationof the index ,u(b) in terms of spectral propertiesof the
asymptotic linear operator. The differentiablearcs d>: 11t > Sp(1) satisfying
d>(t+ T) = b(t)b(T) and b(0) = Id are in one-to-onecorrespondencewith the
linearHamiltonianvector fields JA(t) = b(t)<>-l(t), whereA(t+T) = A(t) is
periodicin time and a symmetricmatrix in (R2). Definethe linearoperator
LA in L2(Sl, 1i2) by
LA = - Jdt - A(t)
on the domainHl 2(S1,1i2), whereS1 = ER/TE.The operatorLA is self-adjoint

and its spectrumC(LA) consistsof countablymany isolatedeigenvaluesand is
unboundedfromabove and frombelow. Moreover,kerLA = f O} if and only if
b E S*(1)
An eigenfunctionv + Oin L2 belongingto the eigenvalueA E C(LA) solves
the first orderboundaryvalue problem
-Jv(t)-A(t)v(t) _ Av(t), v(0) = v(T).
Consequently,v(t) 7&0 for all t and hence v definesa continuousmap from S1
into ¢: \ {0} which has a windingnumber,denoted by w(v, A) E 2. One easily
verifies that two linearly independenteigenfunctiorlsbelonging to the same
eigenvalueA haarethe same windingnumber,so that with every A E C(LA) we
can associate the windingnumberw(A,A) E 2. For every integerk E z there
are preciselytwo eigenvalues(countedwith multiplicities)A1and >2 E C(LA)
satisfying k = w(A1,A) = w(A2,A); see [30)Lemma3.6]. If there exists only
the
and
occurs
asymptotic
p(A)twice
1. Since
inbehavior
the asymptotic
5(LA) Moreover,
of the surface,
behavior
the mapof
we
A w(A,
asee A)from
finite
that energy
the C(LA)
map
surface
u:onto zr isM
S \near a
one such eigenvalue,its multiplicityis 2. In this sense every windingnumber
monotonic,see [30]. Define now two integersa(A)E z and p(A)E {0,1} as

follows: c>(A)
is the maximumof the winding numbersw(A,A) belongingto
the eigenvaluesA < 0 of the operatorLA, and p(A)= (1+ (-l)b)/2, where
b is the numberof eigenvalues(countedwith multiplicity)strictly less than 0
which have windingnumbersequal to ol(A).
THEOREM8.4. If b E S*(1),
H(4?)= 20l(A)+ p(A).
The proof is given in [30, Theorem 3.10g. The arc <) is (+)-hyperbolic
if and only if p(A) = 0. We observethat ju(@)= 3 if and only if oe(A)= 1
punctureis governedby an eigenvectorof the asymptoticoperatorLA we can

gain inforrnationabout the geometryof the surfacefromthe knowledgeof the
index ,u(z,T) of the asymptoticlimits, see [30].
Considera finite energysurfaceu-(a, u): S \ r - > R x M with the punc-
tures r = r+ u r- and assumethe asymptoticlimits are nondegenerate.Since
the surfaceconvergesto finitely many periodicorbits we can define an index
y(u) as follows. We compactifythe puncturesurfaces = s \ r by adding a
circlefor everypuncturedistinguishingpositive and negativepunctures.Using
can be extended to a smooth map u: 3 > M such that the boundarycircles

of S parametrizethe periodicorbits associatedwith the punctures. Choose a
sympiectictrivialization@ of u*( -) 3. Then the Conley-Zehnderindex ,uz
forthe periodicsolution associatedwith the puncturez 6 r can be computed
with respect to the trivializationas above and we define the index ,u(u) E z
by
H(u) = E Hz - E Hz E E-
zer+ zer-
Thisinteger ,u(Xi)does not depend on the choicesinvolved,in contrastto the
integersvuzwhich dependon the choiceof the trivialisation@, [30, Prop. 5.5].
Wepoint out that the integer,u(Xi)enters the formulafor the Fredholmindex
Ind(u)= 8(u)-X(S) + gr; see [36]
8.2.Asyrnptotics
ofafiniteenergy
surface
neara nondegenerate
puncture.
From[35]and [32]we recallthe behaviorof a nonconstantpseudoholomorphic
curvenear one of its punctures,assumingthe energy to be boundedand the
contactform to be nondegenerate. In the following,M is a three manifold
equippedwith the contact form A determiningthe contact bundle ( and the
Reebvector field X. Choosinga complexmultiplicationJ on ( we denote by
Namely,
: U C S every
aroundsequence
zo satisfying
u(sk, t)
possesses
x(mt)
Sk oo h(O) = zo and
ainsubsequence?
define
C (S1 ff ) . [O,
still oo)denoted
x S1 U\{zo}
by sk
J the associateddistinguishedlR-inarariant
almost comples structureon 1Rx M
and considerthe finite energysurface
u=(a,u):S\S -->2xM
with the nonempty finite set r of punctures. Near the puncture zo E r we
introduceholomorphicpolarcoordinates.Wetake a holomorphiccharth: D c
by
v(s,t) = h(e-27r(s+it))
Then zo-limSOO v(s, t). In these coordinates,u becomes,near zo: the pos;-
tive half cylinder
v= (Ii,v) =u ° 5: [O,oo)x sl Ex M.
The map v solves the C:auchy-Riemann
equation
VS+ J(W)vt= °
and has boundedenergy E(v) < E(ii) < oo. Becauseof the energybound the
followinglimit exists:
m(u,zo)- lim t v(s, )*>
Indeed?by Stokes'theorern?
Alv(s, A= XSlv'o, J[os]xsl
2 I[Os]XSlLI7TVSIJ
+ 17rvtlJjdSdt
so that the map s > Aslv(s, )*S is monotonicand bounded. The real number
m = m(u, zo) is called the chargeof the puncturezo. It is positive if zo is a
positive punctureand negative for a negative puncture. Moreover,m = Oif
the punctureis removable.The behaariorof the surfacenear zo is determined
by periodic solutions of the Reeb vector field having periods T-Im(u,zo)|.
such that
for an orbit x(t) of the Reeb vector field x(t) = X(x(t)). Herem is the charge
of zo. If m + O the solution is necessarilya periodic orbit of X having the
period T = tml. If the periodic orbit is nondegenerate,hence?in particular,
isolated amongperiodicorbits having periodsclose to iml, then
Slm v(s?t) = x(Tm) in C° (S1)
and
in
The
t,The
smooth
while
energy
W:
function
[O,oo)
surface
xf: 11t
v Uapproaches,
(O,oo)
11t satisfies
hasinthe
the
W(s,t
properties
nondegenerate
+ 1) -W(s,t)
f(W,O,O)
case
+ k. as
The
= rs last
and
oo,
lim b(s,t) _ m in C°°(S1).

soo s
In this case we call the uniquelydeterminedperiodicsolution(x, T) with period

T = Irnlthe asymptoticlimit of the puncturezo.
the orbit cylinder vOO(s,t)= (sm,x(mt)) in Et x M in an exponentialway.

In order to describethis in detail we represerltthe contact structure A in a
tubularneighborhoodof the asymptoticlimit (x, T) in a normalform. In the
followinglemmawe denote by
Ao= dW+ xdy
the contact formon S1 x ER2with coordinates(W,x, y).
LEMMA8.5. Let M be a three-dirnensional manifold equippedwith a
-contactform A and let (x, T) be a periodicsolution of the Reebvectorfield X.
Denote by r the minimalperiod of x so that T = kT for an integerk. Then
there exist open neighborhoodsU of S1 x {0} c S1 x R2 and V c M of
P = x(R) C M, and a difeomorphism: U ) V mappangS1 x {0} onto P
and satisfying
(p >\=fAo
d>(0, O, O) = O for all d E Sl.
Workingin the coveringspace 1Rof S1, the curve v is, in the coordinates
of the lemma, representedas a map
(8.5) v = (b,v):[O,oo)xRR4,
v(s: t) = (b(s, t), 0(s, t), z(s, t)),
wherethe functionsb: [O,oo)x R >R and z: [O,oo)x Di ) TR2
are l-periodic
factor R2 in (8.5) is in the contact plane along the asymptotic limit in these
coordinates.
THEOREM8.6 (Asymptotics).Let zo E r be a nonremovable
p?lnctureof a
finite energysqjrfaceu: s\r - > R x M whosecharpeis m(u, zo) = m and whose
nondegenerateasymptoticlimit is (x: T), whereT = {ml= kT withthe mznimal
periodr. Introducenear zo the cylindricalcoordinates[O,oo) x S1 and near
the asymptoticlimit the normalform coordinatesof the lemma. In these local
coordinates,thefinite energysurfacehas theform v = (b(s, t), W(s,t), z(s, t)) E
ETX DRX Di2, where
b(s,t) = ms + c + b(s,t), W(s,t)--t + d + W(s,t)

and either z(s, t) 0 for all (s, t) E [0, oc) x R with s > 0, or
Z(s, t) = efo5 "()di [e(t) + r(s, t)].
Here, c and d are two real constants, and
'r(s, t)
-O 0 as s -*- oo
uniformly in t C R and for all derivatives a = (a1, a2). In addition, there are
constants Ma > 0 and /3 > 0 such that
9ab(s, t), 9 (8, t) < Mae-^
for s > 0 and all derivatives a. Moreover, the smooth function 7y: [0, oo) -->IR
converges, 7(s) -->+as s -- oo. The limit / is a negative eigenvalue of a self-
adjoint operator Aoo in L2(S1, jR2) if m > 0, while -, is a positive eigenvalue
if m < 0. The function e(t) = e(t + 1) ~=0 represents an eigenvector belonging
to /t resp. -p. The operator Aoo is related to the linearized flow of the Reeb
vector field X restricted to the invariant contact bundle along the periodic orbit
(x, T).
The proofs of these statements can be found in [1], [25], [24], [32], [36],
and [38]. Also, note that the above asymptotic formula is used in the Fredholm
theory [36] for embedded finite energy surfaces. It also plays an important role
in the geometric description of finite energy surfaces in [35], [30], [31], [33].
SCIENCES,NEW YORK UNIVERSITY,NEW YORK, NY

COURANTINSTITUTEOF MATHEMATICAL
E-mail address: hofer(cims.nyu.edu
UNIVERSITYOF MELBOURNE, VICTORIA,AUSTRALIA
E-mail address: wysocki@ms.unimelb.edu.au
ETH ZiURICH,ZYURICH,
SWITZERLAND
E-mail address: zehnder@math.ethz.ch
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(Received February 28, 2000)

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Annals of Mathematics

Finite Energy Foliations of Tight Three-Spheres and Hamiltonian Dynamics

Finite energy foliations of tight

Surfaces of sections are a classical tool in the study of 3-dimensional dy-

3. Stretching the neck

Pseudoholomorphic curves, in symplectic geometry introduced by Gromov

FINITE ENERGY FOLIATIONS 127

1.1. Conceptsfrom contactgeometryand Reebfiows. We considera com-

we denotethe projectionalongthe Reeb vectorfieldX. Sincethe contactform

Then we choose a symplectic trivialization d3: u*v -- D x R2 and consider the

() (t) = (e23it/T) ot 0-1(1)

we choose a nondegenerate contact form A = fAo on S3 and denote its Reeb

dA(h, Jh) > 0 for all h CE \ {O}

and abbreviate by J the set of these admissible complex multiplications. With

(1.3) J(a, k) = (-A(k), J7rk + aX),

Definition 1.2 (Finite energy sphere). A (nontrivial) finite energy sphere

solving the partial differential equation

with the one-form soAon R x S3 defined by (soA)(a,m)[a, k] = (a) . A(m)[k].

(1.8) m(u, zo) := 51m Js1v(s, ) >.

We next introduce the main concept.

1.3. Finite energy foliations. We consider the three-manifold M equipped

F=U(S2\F) and E(u) < c.

* The translation along the fiber JRof R x M,

Tr(F) :=r + F= {(r + a,m) (a,m) F},

F E Y and r C IR, defines an R-action T: IR x F - T. Hence, in

132 H. HOFER, K. WYSOCKI, AND E. ZEHNDER

We illustrate the concept with an explicit example for (s3,Ao7i) The

X(z) = 2iZ, Z E S3.

The contactplane(z, z E S3, agreeswith the complexline in Tz53 As complex

@:C2\{0} >Xs3, z (21nizl, Izl).

and hence is biholomorphic.Considerthe planes

(¢ x {c}) for all c E ¢ \ {O}

and the special cylinder

Fo = @((¢ \ t0}) x {O})

as s ) oo, for every c + O. Let now

Figure 2. The figure illustrates a section through an open book

(u)= E (z)- E .(z).

Ifii(S2 \) =:F, we set

(1.11) Ind(F) := ,(F) -x(S2) + 4F,

where #F = #F is the number of the punctures and X(S2) = 2 is the Euler

We deduce some immediate consequences from this definition. Consider

wherethe Et-actionis dividedout, is a l-parameterfamily of embeddedpunc-

* If F E F is not a fixed point of the R-action, the projection p(F) is a

* Denote by P the finite set of asymptotic limits of F. Then the projection

is smoothlyfoliated into leaves which are embeddedpunctured Riemann spheres,

We illustrate the situation in Figure 3 which sketches the projection of a

Figure 3. Stable finite energy foliation of S3.

M C C2 is a star-like hypersurface defined by the function f. Denoting by

H. HOFER, K. WYSOCKI, AND E. ZEHNDER

1.6. Applicationto dynamicalsystems. The system of

THEOREM1.9. Let f be a stablefinite energyfoliation for (S3,A,J)

The dynamicalconsequencesof the first alternativeare the

Assumenow that n has morethan one fixedpoint of the lli-action.In this

energysurfacein R4 possessesa globalsurfaceof section in the nondegenerate

2. The main construction

We shall identify the contact manifold (S3XfAo)with (M,AOIM)where

FINITE ENERGY FOLIATIONS 141

(2.2) d)<(Y(m)h, k) + dA(h: y(m)1c) = O

d>(Y(m)h, 1X) = tydA(Y(m)h,h) + dd>(Y(m)h, J°(m)h)

= -tydA(h, Y(m)h)-AdA (h, Y(m) J° (m)h)

(2.3) {lYtl,= £k|lYllck < oc.

If(Ek) converges sufficiently fast to 0, the subset CE

142 H. HOFER, K. WYSOCKI, AND E. ZEHNDER

ftg = etg, ft> = etA