11 Upper Bound Resonances Anosov Flows

Commun. Math. Phys.
308, 325–364 (2011)

Communications in
Digital Object Identifier (DOI) 10.1007/s00220-011-1349-z
Mathematical
Physics
Upper Bound on the Density of Ruelle Resonances

for Anosov Flows
Frédéric Faure1 , Johannes Sjöstrand2
1 Institut Fourier, UMR 5582, 100 rue des Maths, BP 74, 38402 St Martin d’Hères, France.
E-mail: frederic.faure@ujf-grenoble.fr
2 IMB, UMR 5584, Université de Bourgogne, 9, Avenue Alain Savary, BP 47870, 21078 Dijon Cedex, France.
E-mail: Johannes.Sjostrand@u-bourgogne.fr
Received: 9 March 2010 / Accepted: 1 July 2011

Published online: 13 October 2011 – © Springer-Verlag 2011
Abstract: Using a semiclassical approach we show that the spectrum of a smooth Ano-
sov vector field V on a compact manifold is discrete (in suitable anisotropic Sobolev
spaces) and then we provide an upper bound for the density of eigenvalues of the operator
(−i)V , called Ruelle resonances, close to the real axis and for large real parts.
Résumé: Par une approche semiclassique on montre que le spectre d’un champ de vec-
teur d’Anosov V sur une variété compacte est discret (dans des espaces de Sobolev
anisotropes adaptés). On montre ensuite une majoration de la densité de valeurs pro-
pres de l’opérateur (−i)V , appelées résonances de Ruelle, près de l’axe réel et pour les
grandes parties réelles.
Contents
1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
1.1 The main results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327
2. Proof of Lemma 1.2 on the Escape Function . . . . . . . . . . . . . . . . 335
3. Proof of Theorem 1.4 about the Discrete Spectrum of Resonances . . . . . 340
3.1 Conjugation by the escape function and unique closed extension of P on
L 2 (X ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
3.2 P has empty spectrum for (z) large enough . . . . . . . . . . . . . 342
3.3 The spectrum of P is discrete on (z) ≥ − (Cm − C) with some C ≥ 0
independent of m . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343
4. Proof of Theorem 1.5 that the Eigenvalues are Intrinsic to the Anosov Vector
Field V . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
5. Proof of Theorem 1.8 for the Upper Bound on the Density of Resonances . 346
5.1 Semiclassical symbols . . . . . . . . . . . . . . . . . . . . . . . . . 346
5.2 The symbol of the conjugated operator . . . . . . . . . . . . . . . . . 346
5.3 Main idea of the proof . . . . . . . . . . . . . . . . . . . . . . . . . . 349
326 F. Faure, J. Sjöstrand
5.4 Proof of Theorem 1.8 . . . . . . . . . . . . . . . . . . . . . . . . . . 350

A. Some Results in Operator Theory . . . . . . . . . . . . . . . . . . . . . . 358
A.1 On minimal and maximal extensions . . . . . . . . . . . . . . . . . . 358
A.2 The sharp Gårding inequality . . . . . . . . . . . . . . . . . . . . . . 359
A.3 Quadratic partition of unity on phase space . . . . . . . . . . . . . . . 359
A.4 FBI transform and Toeplitz operators . . . . . . . . . . . . . . . . . . 362
1. Introduction
Chaotic behavior of certain dynamical systems is due to hyperbolicity of the trajecto-
ries. This means that the individual trajectories are unstable under small perturbations
of the initial point [9,29] and have a complicated and unpredictable behavior. However,
the evolution of a cloud of points seems to be simpler: it will spread and equidistribute
according to an invariant measure, called an equilibrium measure (or S.R.B. measure).
Also from the physical point of view, such a cloud reflects the unavoidable lack of knowl-
edge about the initial point. Following this idea, D. Ruelle [40,41], has shown in the
70’s that instead of considering individual trajectories, it is much more natural to study
the evolution of densities under a linear operator called the Ruelle transfer operator or
the Perron-Frobenius operator.
For dynamical systems with strong chaotic properties, such as uniformly expanding
maps or uniformly hyperbolic maps, Ruelle, Bowen, Fried, Rugh and others, using sym-
bolic dynamics techniques (Markov partitions), have shown that the transfer operator has
a discrete spectrum of eigenvalues. This spectral description has an important meaning
for the dynamics since each eigenvector corresponds to an invariant distribution (up to a
time factor). From this spectral characterization of the transfer operator, one can derive
other specific properties of the dynamics such as decay of time correlation functions,
central limit theorem, mixing, etc. In particular a spectral gap implies exponential decay
of correlations.
This spectral approach has recently (2002–2005) been improved by M. Blank,
S. Gouëzel, G. Keller, C. Liverani [6,10,22,32], V. Baladi and M. Tsujii [3,4] (see [4]
for some historical remarks) and in [17], through the construction of functional spaces
adapted to the dynamics, independent of every symbolic dynamics.
The case of flows i.e. dynamical systems with continuous time is more delicate (see
[18] for historical remarks). This is due to the direction of time flow which is neutral
(i.e. two nearby points on the same trajectory will not diverge from one another). In
1998 Dolgopyat [13,14] showed the exponential decay of correlation functions for cer-
tain Anosov flows, using techniques of oscillatory integrals and symbolic dynamics.
In 2004 Liverani [31] adapted Dolgopyat’s ideas to his functional analytic approach,
to treat the case of contact Anosov flows. In 2005 M. Tsujii [50] obtained an explicit
estimate for the spectral gap for the suspension of an expanding map and in 2008 [51,52]
he obtained such an estimate in the case of contact Anosov flows.
Microlocal approach to transfer operators. It also appeared recently [15–17] that for
hyperbolic dynamics on a manifold X , the transfer operators are Fourier integral opera-
tors and using standard tools of microlocal analysis, some of their spectral properties can
be obtained from the study of “the associated classical symplectic dynamics”, namely
the initial hyperbolic dynamics on X lifted to the cotangent space T ∗ X (the phase space).
The simple idea behind this, crudely speaking, is that a transfer operator transports
a “wave packet” associated to a point in phase space into another wave packet corre-
sponding to the image point under the symplectic dynamics.
Upper Bound on Density of Ruelle Resonances for Anosov Flows 327
Following this approach, we studied hyperbolic diffeomorphisms in [16,17]. The

aim of the present paper is to show that microlocal analysis in the semi-classical limit is
also well adapted to hyperbolic systems with a neutral direction and with the inverse of
the Fourier component in the neutral direction being a natural semi-classical parameter.
In the paper [15] one of us has considered a partially expanding map and showed that
a spectral gap develops in the limit of large oscillations in the neutral direction (which
is a semiclassical limit). In this paper we consider a hyperbolic flow on a manifold X ,
generated by a vector field V .
In this paper as well as in [17], one aim is to make more precise the connection
between the spectral study of Ruelle resonances and the spectral study in quantum chaos
[35,55], in particular to emphasize the importance of the symplectic properties of the
dynamics in the cotangent space T ∗ X on the spectral properties of the transfer operator,
and long time behavior of the dynamics.
1.1. The main results. The results of this paper will concern the following situation. Let
X be an n-dimensional smooth compact connected Riemannian manifold, with n ≥ 3.
Let φt be the flow on X generated by a smooth vector field V ∈ C ∞ (X ; T X ):
d
V (x) = (φt (x))/t=0 ∈ Tx X, x ∈ X. (1.1)
dt
We assume that the flow φt is Anosov.
Let us first review some facts about Anosov flows and the dynamics induced on the
cotangent space T ∗ X .
1.1.1. Anosov flows. We recall the definition (see [29] p. 545, or [37] p. 8). See Fig. 1.
Definition 1.1. On a smooth Riemannian manifold (X, g), a vector field V generates an
Anosov flow (φt )t∈R (or uniformly hyperbolic flow) if:
• For each x ∈ X , there exists a decomposition
Tx X = E u (x) ⊕ E s (x) ⊕ E 0 (x), (1.2)
where E 0 (x) is the one dimensional subspace generated by V (x).
• The decomposition (1.1) is invariant by φt for every t:
∀x ∈ X, (Dx φt )(E u (x)) = E u (φt (x)) and (Dx φt )(E s (x)) = E s (φt (x)).
• There exist constants c > 0, θ > 0 such that for every x ∈ X ,
|Dx φt (vs )|g ≤ ce−θt |vs |g , ∀vs ∈ E s (x), t ≥ 0
−θ|t|
(1.3)
|Dx φt (vu )|g ≤ ce |vu |g , ∀vu ∈ E u (x), t ≤ 0,
meaning that E s is the stable distribution and E u the unstable distribution for positive
time.
Let us recall some facts:
• Standard examples of Anosov flows are suspensions of Anosov diffeomorphisms
(see [37] p. 8), or geodesic flows on manifolds M with sectional negative curva-
ture (see [37] p. 9, or [29] p. 549, p. 551). Notice that in this case, the geodesic flow
is Anosov on the unit cotangent bundle X = T1∗ M.
Fig. 1. Picture of an Anosov flow in X and instability of trajectories
• The global hyperbolic structure of Anosov flows or Anosov diffeomorphisms is a

very strong geometric property, so that manifolds carrying such dynamics satisfy
strong topological conditions and the list of known examples is not so long. See [7]
for a detailed discussion and references on that question.
• Let
du = dim E u (x), ds = dim E s (x),
(they are independent of x ∈ X ). Equation (1.2) implies du + ds + 1 = dim X = n.
For every du , ds ≥ 1 one may construct an example of an Anosov flow: one con-
siders a suspension of a hyperbolic diffeomorphism of S L n−1 (Z) on Tn−1 , with
n = du + ds + 1, such that there are ds eigenvalues with modulus |λ| < 1, and du
eigenvalues with modulus |λ| > 1.
Anosov one form α and regularity of the distributions E u (x), E s (x). The distribution
E 0 (x) is smooth since V (x) is assumed to be smooth. The distributions E u (x), E s (x)
and E u (x) ⊕ E s (x) are only Hölder continuous in general (see [37] p. 15, [21] p. 211).
The above hypothesis on the flow implies that there is a particular continuous 1-form
on X , denoted α called the Anosov 1-form and defined by
ker(α(x)) = E u (x) ⊕ E s (x), (α(x))(V (x)) = 1, ∀x ∈ X. (1.4)
Since E u and E s are invariant by the flow, then α is invariant as well and (in the sense
of distributions)
LV (α) = 0, (1.5)
where LV denotes the Lie derivative.
We discuss now some known results about the smoothness of the distributions
E u (x), E s (x) in some special cases.
• In the case of a geodesic flow on a smooth negatively curved Riemannian manifold
M (with X = T1∗ M), the Anosov one form α is the smooth canonical Liouville one

form α = nj=1 ξ j d x j on T ∗ X and restricted to T1∗ M. We have used here local
coordinates x j on X and related coordinates ξ j on Tx∗ X . Therefore E u (x) ⊕ E s (x)
is C ∞ . The distributions E u (x), E s (x) are C 1 individually (see [20] p. 252).
• The previous example is a special case of a contact flow: the flow φt is a contact
flow (or Reeb vector field, see [34] p. 106, [42, p. 55]) if the associated one form α
defined in Eq. (1.4) is C ∞ and if
dα | (E u ⊕E s ) is non degenerate (i.e. symplectic) (1.6)
meaning that α is a contact one form. Equivalently, d x := α ∧ (dα)d is a volume

form on X with d := dim(E u ) = dim(E s ). Notice that (1.5) implies that the volume
form is invariant by the flow:
LV (d x) = 0. (1.7)
In that case, E u (x) ⊕ E s (x) = ker(α) is C ∞ and α determines V by dα(V ) = 0 and

α(V ) = 1.
Anosov flow lifted on the cotangent space T ∗ X . We first review how one can lift the
vector field V and its flow to the cotangent bundle.
n We may view V as a 1st order dif-
ferential operator, in local coordinates, V = j=1 V j (x) ∂∂x j , where V j are smooth and

real-valued. The operator H := −i V takes the form H= V j (x)Dx j , Dx j = 1 ∂ i ∂x j
∞ ∗
principal symbol H0 (x, ξ ) = V (ξ ) ∈ C (T X ). In local
and it has the real-valued
coordinates H0 (x, ξ ) = V j (x)ξ j .
Let
∂ H0 ∂ ∂ H0 ∂
X= − (1.8)
∂ξ j ∂ x j ∂ x j ∂ξ j
be the Hamilton field of H0 and let φt = exp t V : X → X and Mt = exp tX : T ∗ X →

T ∗ X be the flows generated by the vector fields V and X, well defined for t ∈ R. Then
Mt is a lift of φt in the sense that π ◦ Mt = φt ◦ π , where π : T ∗ X → X denotes
the natural
projection. Mt is a symplectic map in the sense that Mt∗ ω = ω, where
ω = j dξ j ∧ d x j is the symplectic 2-form. In fact Mt is the map naturally induced on
T ∗ X by φt : we have
Mt (x, ξ ) = (φt (x), ((Dφt (x))t )−1 (ξ )). (1.9)
Let
Tx∗ X = E u∗ (x) ⊕ E s∗ (x) ⊕ E 0∗ (x) (1.10)
be the decomposition dual to (1.2) in the sense that
(E 0∗ (x))(E u (x) ⊕ E s (x)) = 0,

(1.11)
(E u∗ (x))(E u (x) ⊕ E 0 (x)) = 0, (E s∗ (x))(E s (x) ⊕ E 0 (x)) = 0.
Here E 0∗ (x) is dual to E 0 (x) spanned by α (x), while E u∗ (x) and E s∗ (x) are dual to E s (x)
and E u (x) respectively, so that
dim E 0∗ (x) = dim E 0 (x) = 1,

dim E u∗ (x) = dim E s (x) = ds , (1.12)
dim E s∗ (x) = dim E u (x) = du .
Fig. 2. Picture of Tx∗ X for a given x ∈ X , and a given energy E ∈ R
From (1.9) it follows that Mt (x, ξ ) is linear in ξ and combining (1.9) with (1.3) we see
that with the notation ρ = (ρx , ρξ ) to denote a point ρ in the cotangent bundle,
|Mt (ρ)ξ | ≤ Ce−θt |ρξ |, ρ ∈ E s∗ , t ≥ 0,

(1.13)
|Mt (ρ)ξ | ≤ Ce−θ|t| |ρξ |, ρ ∈ E u∗ , t ≤ 0.
Here | · | denotes the natural dual norm on the fibers of the cotangent bundle.
We remark that for every E ∈ R, the energy shell
E := H0−1 (E) (1.14)
is invariant under the flow Mt (since H0 is invariant under its own Hamilton flow). In
each fiber T ∗ X, E is of the form1
E (x) := E ∩ Tx∗ X = Eα(x) + E s∗ (x) ⊕ E u∗ (x), (1.15)
where α is the Anosov 1 form in (1.4). The set
K E := E ∩ E 0∗ = {Eα(x); x ∈ X } (1.16)
is the trapped set for the flow Mt restricted to E in the sense that if ρ ∈ E then
{Mt (ρ); t ∈ R} is bounded if and only if ρ ∈ K E . See Fig. 2.
The operator H = −i V , defined in the sense of distributions as an unbounded oper-
ator on L 2 (X ), is the generator of the group of Ruelle transfer operators M t , given
by Mt u = u ◦ φ−t , t ∈ R. We remark that M t is also a Fourier integral operator that
quantizes the canonical transformation Mt [28].

1 Since E E ∗ ⊕ E ∗ = 0, V ∈ E and H (x, ξ ) = V (ξ ), then H E ∗ ⊕ E ∗ = 0. Also H (α (x)) = 1,
0 u s 0 0 0 0 u s 0
then H0 (Eα (x)) = E.
1.1.2. Anisotropic Sobolev spaces. The escape function in our approach is provided by
the following lemma that will be proved in Sect. 2 using very much the contraction
and expansion properties (1.13). Roughly speaking, an escape function on phase space
T ∗ X should decrease along the flow Mt outside the trapped set (1.16). Escape functions
are used in order to establish existence of resonances in specific Sobolev spaces and
have been introduced by B. Helffer and J. Sjöstrand [25] and used in many situations
[43,45–47]. In [24], the authors consider the geodesic flow associated to Schottky groups
and provide an upper bound for the density of Ruelle resonances, see also [8].
Lemma 1.2. Let u, n 0 , s ∈ R with u < n 0 < s and u < 0 < s. Let N0 be an arbitrarily
small conic neighborhood in T ∗ X \0 of the neutral direction E 0∗ . There exists a smooth
function m(x, ξ ) ∈ C ∞ (T ∗ X ) called an order function, taking values in the interval
[u, s], and an escape function on T ∗ X defined by:

G m (x, ξ ) := m(x, ξ ) log 1 + ( f (x, ξ ))2 , (1.17)
where f ∈ C ∞ (T ∗ X ) and for |ξ | ≥ 1, f > 0 is positively homogeneous of degree 1 in

ξ (i.e. f (x, λξ ) = λ f (x, ξ ) for λ ≥ 1). f (x, ξ ) = |ξ | in a conical neighborhood of E u∗
and E s∗ . f (x, ξ ) = |H0 (x, ξ )| in a conical neighborhood of E 0∗ , such that:
1. For |ξ | ≥ 1, m(x, ξ ) depends only on the direction |ξξ | ∈ Sx∗ X and takes the value u
(respect. n 0 , s) in a small neighborhood of E u∗ (respect. E 0∗ , E s∗ ). See Fig. 3(a).
2. G m decreases strictly and uniformly along the trajectories of the flow Mt in the
cotangent space, except in a conical vicinity N0 of the neutral direction E 0∗ and for
small |ξ |: there exists R > 0 such that
∀ (x, ξ ) ∈ T ∗ X, if |ξ | ≥ R, ξ ∈
/ N0 then X(G m )(x, ξ ) < −Cm < 0,
(1.18)
with
Cm := c min(|u|, s) (1.19)
and c > 0 independent of u, n 0 , s.

3. More generally
∀ (x, ξ ) ∈ T ∗ X with |ξ | ≥ R, X(G m )(x, ξ ) ≤ 0. (1.20)
See Fig. 3(b).
The order function m(x, ξ ) belongs to the classical symbol space S 0 = S10 (T ∗ X )
in the sense that for every choice of coordinates x1 , . . . , xn that identifies an open set
U ⊂ X with an open set U ⊂ Rn and for the corresponding dual coordinates ξ1 , . . . , ξn ,
we have for all multi-indices α, β ∈ Nn ,

∂ξα ∂xβ m(x, ξ ) = O(1)ξ −|α| , with ξ := 1 + |ξ |2
.
uniformly on K × Rn for every K U
(a) (b)

Fig. 3. (a) The induced flow M t on the cosphere bundle S ∗ X := T ∗ X \ {0} /R+ which is the bundle of
∗
directions of cotangent vectors ξ/ |ξ |. (Here the picture is restricted to a fiber Sx X ). (b) Picture in the cotangent
space Tx∗ X which shows in grey the sets outside of which the escape estimate (1.18) holds
Definition 1.3. Let m(x, ξ ) ∈ S 0 be a real-valued and let and 21 < ρ ≤ 1. A function
m(x,ξ )
p ∈ C ∞ (T ∗ X ) belongs to the class Sρ of variable order if for every choice of coor-
dinates x1 , . . . , xn that identifies an open set U ⊂ X with an open set U ⊂ Rn and for
the corresponding dual coordinates ξ1 , . . . , ξn , we have for all multi-indices α, β ∈ Nn ,
|∂ξα ∂xβ p(x, ξ )| ≤ O(1)ξ m(x,ξ )−ρ|α|+(1−ρ)|β| (1.21)
.
We refer to [17, Sect. A.2.2] for a precise description of theorems related to symbols
with variable orders.
With m as in Lemma 1.2, we see that the symbol Am = exp G m belongs to the
symbol space S1−0 m := m
1>ρ>1/2 Sρ . As explained in the Appendix in the paper
[17, Lem. 6], we can associate to this symbol a pseudodifferential operator A m :
D (X ) → D (X ), C ∞ (X ) → C ∞ (X ) whose distribution kernel is smooth outside
the diagonal and such that if κ : X ⊃U →U ⊂ Rn is a local coordinate chart, then

the operator B̂ : C0∞ (U) u → A m (u ◦ κ) ◦ κ −1 ∈ C ∞ (U ) is a pseudodifferential
operator which up to a smoothing operator is given by Weyl quantization2 [49, (14.5)
p. 60]:
2 In this paper we choose Weyl quantization because it has some well known interesting properties. First
a real symbol pW ∈ S μ ,μ ∈ R, is quantized in a formally self-adjoint operator P̂ = Op ( pW ). Secondly, a
change of coordinate systems preserving the volume form changes the symbol at a subleading order S μ−2
only. In other words, on a manifold with a fixed smooth density d x, the Weyl symbol pW of a given pseudo-
differential operator P̂ is well defined modulo terms in S μ−2 .
The Weyl symbol of the operator Ĥ = −i V considered in this paper is
i
div (V ) .
HW (x, ξ ) = V (ξ ) + (1.22)
2

Indeed from [49, (14.7) p. 60], in a given chart where V = V j (x) ∂ j ≡ V (x) ∂x ,
∂x

i i i
HW (x, ξ ) = exp ∂x ∂ξ (V (x) .ξ ) = V (x) .ξ + ∂x V = V (ξ ) + div (V )
2 2 2
and div (V ) depends only on the choice of the volume form, see [48, p. 125]. Notice that this symbol does not
depend on the choice of coordinates systems provided the volume form is expressed by d x = d x1 . . . d x˙ n .
The first term H0 (x, ξ ) = V (ξ ) in (1.22) belongs to S 1 and is called the principal symbol of Ĥ . The second
term 2i div (V ) in (1.22) belongs to S 0 and is called the subprincipal symbol of Ĥ .

1 x+y
B̂u(x) = Op (b) u (x) := ei(x−y)·ξ b( , ξ )u(y)dydξ, (1.23)
(2π )n 2
where the Weyl symbol b ∈ S1−0 m (T ∗ X ) (if we identify T ∗ X
|U × Rn in the
| U with U
m−1+0 m−1+
natural way) and coincides with Am modulo a symbol of class S1−0 := >0 S1−ε .

In addition, as we have seen in [17], the quantization Am can be chosen to be essentially
self-adjoint and bijective with an inverse A−1
m which is the quantization of the symbol
1/Am in a similar way. We define the anisotropic Sobolev space H m (X ) of variable
order m by
−1
H m (X ) := A m (L (X )),
2
(1.24)
and equip it with the natural norm
m u,
u H m = A
where we follow the convention that all norms are in L 2 if nothing else is specified.
Some basic properties of the space H m , such as embedding properties, are given in
[17, Sect. 3.2].
1.1.3. The theorems. Let V be a smooth Anosov vector field on a smooth compact man-
ifold X (we do not assume that the Anosov one form α is contact nor that it is smooth).
The first two results are very close to the results already obtained by [10, Thm. 1] (with
the slight difference that the authors use Banach spaces). The novelty here is to show
that this resonance spectrum fits with the general theory of semiclassical resonances
developed by B. Helffer and J. Sjöstrand [25] and initiated by Aguilar, Baslev, Combes
[1,5].
Theorem 1.4. “Discrete spectrum”. Let m be a function which satisfies the hypothesis
of Lemma 1.2 p. 9. The generator H = −i V defines a maximal closed unbounded
operator on the anisotropic Sobolev space H m ,
: Hm → Hm
H
in the sense of distributions with domain given by
) := {ϕ ∈ H m , H
D( H ϕ ∈ H m }.
It coincides with the closure of (−i V ) : C ∞ → C ∞ in the graph norm for operators.
For z ∈ C such that (z) > −(Cm − C) with Cm defined in (1.19) and some C inde-
pendent of m, the operator ( H − z) : D( H) ∩ H m → H m is a Fredholm operator with
index 0 depending analytically on z. Consequently the operator H has a discrete spec-
trum in the domain (z) > −(Cm − C), consisting of eigenvalues λi of finite algebraic
multiplicity. Recall that if |u| , s are chosen large then Cm is large. See Fig. 4.
Concerning Fredholm operators we refer to [12, p.122] or [25, App. A p. 220]. The
proof of Theorem 1.4 is given in Sect. 3.
Remarks.
of
• In Proposition 3.1 we shall see that the space H m is invariant under the operator C
complex conjugation. Since H and C anti-commute it follows that the set of Ruelle
resonances is invariant under reflection in the imaginary axis.

Fig. 4. Spectrum resonances of H = −i V . From Theorem 1.8 the number of eigenvalues in the
of Ruelle
rectangle is o E n−1/2 for E → ∞
• We
recall
a simple and well known result (which follows from the property that
Mt = 1), that there is no eigenvalue in the upper half plane (z) > 0 and no
∞
Jordan block on the real axis. See [10, Thm. 1][17].
The next theorem shows that the spectrum is intrinsic.
Theorem 1.5. “Thediscrete spectrum is intrinsic to the Anosov vector field”. Let
,
m m = m
f,G log 1 + f 2 be another set of functions as in Lemma 1.2 so that Theorem

1.4 applies and H : H → H m
m has discrete spectrum in the set (z) > −(C m
− C).
Then in the set (z) > − min((Cm − C), (Cm
− C)) the eigenvalues of H : H → H
m m
counted with their multiplicity and their respective eigenspaces coincide with those of
H : Hm → Hm .
The eigenvalues λi are called the Ruelle Resonances and we denote the set by
). The resolvent (z − H
Res( H )−1 viewed as an operator C ∞ (X ) → D (X ) has a
meromorphic extension from (z) 1 to C. The poles of this extension are the Ruelle
resonances.
The proof of Theorem 1.5 is given in Sect. 4. The next theorem describes the wave-
front set of the eigenfunctions associated to λi . The wavefront set of a distribution has
been introduced by Hörmander. The wavefront set corresponds to the directions in T ∗ X
where the distribution is not C ∞ (i.e. the local Fourier transform is not rapidly decreas-
ing). The wavefront set of a PDO is the directions in T ∗ X where the symbol is not
rapidly decreasing:
Definition 1.6 ([23, p. 77, 49, p. 27]). If (x0 ,ξ0 ) ∈ T ∗ X \0, we say that A ∈ S m is
non characteristic (or elliptic) at (x0 , ξ0 ) if A (x, ξ )−1 ≤ C |ξ |−m for (x, ξ ) in a
small conic neighborhood of (x0 , ξ0 ) and |ξ | large. If u ∈ D (X ) is a distribution, we
say that u is C ∞ at (x0 , ξ0 ) ∈ T ∗ X \0 if there exists A ∈ S m non characteristic (or ellip-
tic) at (x0 , ξ0 ) such that Op (A) u ∈ C ∞ (X ). The wavefront set of the distribution u
is WF (u) := {(x0 , ξ0 ) ∈ T ∗ X \0, u is not C ∞ at (x0 , ξ0 )}. The wavefront set of the
operator Op (A) is the smallest closed cone ⊂ T ∗ X \0 such that A/ ∈ S −∞ .
is
Theorem 1.7. The wavefront set of the associated generalized eigenfunctions of H
contained in the unstable direction E u∗ .
Proof. Let us consider an eigen-distribution ϕ ∈ H m of H . In Lemma 1.2, if we let

n 0 , s → +∞, the order function m (x, ξ ) can be made arbitrarily large for |ξ | ≥ 1, in
every direction outside a small vicinity of E u∗ . As a result ϕ (which remains unchanged)
is smooth in every direction except E u∗ . From the definition of the wave-front set of a
distribution this means that the wave-front set of ϕ is contained in the unstable direction
E u∗ . Theorem 1.7 follows.
The following theorem is the main result of this paper:
Theorem 1.8. “Upper bound for the density of resonances”. For every β > 0, in the
limit E → +∞ we have
√
), |(λ) − E| ≤ E, (λ) > −β} ≤ o(E n−1/2 ),
{λ ∈ Res( H (1.25)
with n = dim X .
Remarks.
• Since the spectrum is symmetric with respect to the imaginary axis, the estimates
(1.25) also hold for E → −∞.
• The upper bound given in (1.25) results
from our method and choice of escape func-
tion A (x, ξ ). In the proof, o E n−1/2 comes from an estimate of a V ⊂ T ∗ X which
contains the trapped set E and whose symplectic volume is of order Vol (V)
δ E −1/2 , with δ arbitrarily small. Using Weyl inequalities we obtain an upper bound
of order E n Vol (V) δ E n−1/2 in (1.25). It is expected that a better choice of the
escape function G m could improve this upper bound. This is a work in preparation
by the authors. For specific models, e.g. geodesic flows on a surface with constant
n
negative curvature, it is observed from zeta functions that the upper bound is O E 2
(see [30]). We reasonably expect this in general.
• From the upper bound (1.25), one can deduce upper bounds in larger spectral
domains. For example: for every β > 0, in the semiclassical limit E → +∞ we
have

λ ∈ Res H , (λ) ∈ [−E, E] , (λ) > −β ≤ o E n ,
with n = dim X .
2. Proof of Lemma 1.2 on the Escape Function

In this section we construct a smooth function G m on the cotangent space T ∗ X called
the escape function and prove Lemma 1.2. We will denote, |ξξ | the direction of a cotan-
gent vector ξ and S ∗ X := (T ∗ X \ {0}) /R+ the cosphere bundle which is the bun-
dle of directions of cotangent vectors ξ/ |ξ |. S ∗ X is a compact space. The images of
E u∗ , E s∗ , E 0∗ , N0 ⊂ T ∗ X by the projection T ∗ X \ {0} → S ∗ X are denoted respectively
u∗ , E
E s∗ , E∗ , N 0 ⊂ S ∗ X , see Fig. 3(a) in Subsect. 1.1.2.
0
Remarks on Lemma 1.2.

• It is important to notice that we can choose m such that the value of Cm is arbitrarily
large (by making s, |u| → ∞) and that the neighborhood N 0 is arbitrarily small.
• The value of n 0 could be chosen to be n 0 = 0 for simplicity but it is interesting to
observe that letting n 0 , s → +∞, the order function m (x, ξ ) can be made arbitrarily
large for |ξ | ≥ 1, outside a small vicinity of E u∗ . We will use this in the proof of The-
orem 1.7 in order to show that the wavefront of the eigen-distributions are included
in E u∗ .
Fig. 5. Illustration for the proof of Lemma 2.1. The horizontal axis is a schematic picture of M and this shows
the construction and properties of the sets Vu , Vs and Wu , Ws
• Inspection of the proof shows that with an adapted norm |ξ | obtained by averaging,
c can be chosen arbitrarily close to θ , defined in (1.13).
• The constancy of m in the vicinity of the stable/unstable/neutral directions allows
us to have a smooth escape function G m despite the fact that the distributions
E s∗ (x) , E u∗ (x) , E 0∗ (x) have only Hölder regularity in general.
We first define a function m (x, ξ ) called the order function following closely [17]
Sect. 3.1 (and [19] p. 196).
The function m. The following lemma is useful for the construction of escape functions.
Let M be a compact manifold and let v be a smooth vector field on M. We denote
exp (tv) : M → M the flow at time t generated by v. Let u , s be compact disjoint
subsets of M such that
dist (exp (tv) (ρ), s ) → 0, t → +∞ when ρ ∈ M \ u ,

dist (exp (tv) (ρ), u ) → 0, t → −∞ when ρ ∈ M \ s .
Lemma 2.1. Let Vu , Vs ⊂ M be open neighborhoods of u and s respectively and

let ε > 0. Then there exist Wu ⊂ Vu , Ws ⊂ Vs , m ∈ C ∞ (M; [0, 1]), η > 0 such that
v(m) ≥ 0 on M, v(m) > η > 0 on M \ (Wu ∪ Ws ) , m (ρ) > 1 − ε for ρ ∈ Ws and
m (ρ) < ε for ρ ∈ Wu .
Proof. After shrinking Vu , Vs we may assume that Vu ∩ Vs = ∅ and
t ≥ 0 ⇒ exp (tv) (Vs ) ⊂ Vs , and t ≤ 0 ⇒ exp (tv) (Vu ) ⊂ Vu . (2.1)
Let T > 0 and let Ws := M\exp (T v) (Vu ) = exp (T v) (M\Vu ) and Wu :=

M\exp (−T v) (Vs ) = exp (−T v) (M\Vs ). See Fig. 5.
If T is large enough one has Wu ⊂ Vu , Ws ⊂ Vs and Ws ∩ Wu = ∅. Let m 0 ∈
C ∞ (M; [0, 1]) be equal to 1 on Vs and equal to 0 on Vu . Put
T
1
m= m 0 ◦ exp (tv) dt. (2.2)
2T −T
Then
1
v(m)(ρ) = (m 0 (exp (T v) (ρ)) − m 0 (exp (−T v) (ρ))) . (2.3)
2T
• Let ρ ∈ M \ (Wu ∪ Ws ). From (2.3) we see that v (m) (ρ) = 1

2T (1 − 0)) = 1
2T > 0.
For ρ ∈ M let
I (ρ) := {t ∈ R, exp (tv) (ρ) ∈ M\ (Vu ∪ Vs )} .
This is a closed connected interval by (2.1) and moreover its length is uniformly bounded:
∃τ > 0, ∀ρ ∈ M, |max (I (ρ)) − min (I (ρ))| ≤ τ.
In other words, τ is an upper bound for the travel Time in the domain M\ (Vu ∪ Vs ).
To prove the lemma, we have to consider two more cases:
• Let ρ ∈ Wu . If t ≤ T − τ then m 0 (exp (tv) (ρ)) = 0 and
⎛ ⎞
T −τ T
1 ⎜ ⎟ τ
m (ρ) = ⎝ m 0 (exp (tv) ρ) dt + m 0 (exp (tv) ρ) dt ⎠ ≤ < ε,
2T −T T −τ 2T
=0 ≤1
where the last inequality holds if one chooses T large enough. One has m 0 (exp (−T v)
(ρ)) = 0 therefore (2.3) implies that v(m)(ρ) ≥ 0.
• Let ρ ∈ Ws . One shows similarly that
⎛ ⎞
−T +τ T
1 ⎜ ⎟ 2T − τ
m (ρ) = ⎝ m 0 (exp (tv) ρ) dt + m 0 (exp (tv) ρ) dt ⎠ ≥
2T −T −T +τ 2T
≥0 =1
> 1 − ε,
for T large enough, and v(m)(ρ) ≥ 0.

We now apply Lemma 2.1 to the case when M = S ∗ X and v is the image
X on S ∗ X of
our Hamilton field X. See Fig. 6.
• We first take u = u1 = E s∗ and let s = s1 ⊂ M be the set of limit points
lim j→+∞ exp t j v(ρ), where ρ ∈ M \ u1 and t j → +∞. s1 is the union of E ∗ , E
u∗
0
and all trajectories exp(Rv)(ρ), where ρ has the property that exp tv(ρ) converges to
∗ when t → −∞ and to E
E u∗ when t → +∞. Equivalently, s1 is the image E ∗
u ⊕ E0
∗
0
∗ ∗ ∗ ∞
in S X of E u ⊕ E 0 . Applying the lemma, we get m 1 = m ∈ C (M; [0, 1]) such
that m 1 < ε outside an arbitrarily small neighborhood Wu1 of u1 = E s∗ , m 1 > 1 − ε
outside an arbitrarily small neighborhood Ws1 of s1 = E ∗ ∗
u ⊕ E 0 and X(m 1 ) ≥ 0
everywhere with strict inequality X(m 1 ) > η > 0 outside Ws ∪ Wu1 .
1
• Similarly, we can find m 2 = m ∈ C ∞ (M; [0, 1]), such that m 2 < ε outside an
arbitrarily small neighborhood Wu2 of u2 = E ∗
s ⊕ E 0 , m 2 > 1 − ε outside an arbi-
∗
trarily small neighborhood Ws of s = E u and X(m 2 ) ≥ 0 everywhere with strict
2 2
inequality X(m 2 ) > η > 0 outside Ws2 ∪ Wu2 .

Let u < n 0 < s and put
m := s + (n 0 − s) m 1 + (u − n 0 ) m 2 ,

Ns := Wu1 ∩ Wu2 , N 0 := Ws1 ∩ Wu2 , N u := Ws1 ∩ Ws2 .
Fig. 6. Representation of different sets on S ∗ X used in the proof
Then

• on S ∗ X \ N s ∪ N
0 ∪ N u = S ∗ X \ Wu1 ∪ Ws1 ∪ S ∗ X \ Wu2 ∪ Ws2 we have

X (m 1 ) > η or
X (m 2 ) > η, therefore
X (m ) = (n 0 − s)
X (m 1 ) + (u − n 0 )
X (m 2 )
< −η min (|n 0 − s| , |u − n 0 |) . (2.4)

• on Ns = Wu ∩ Wu we have m 1 < ε and m 2 < ε therefore
1 2
> s + (n 0 − s) ε + (u − n 0 ) ε
m
s
= s (1 − ε) + uε > , (2.5)
2
where the last inequality holds if ε is chosen small enough.
u = Ws1 ∩ Ws2 we have m 1 > 1 − ε and m 2 > 1 − ε therefore
• on N
< s + (n 0 − s) (1 − ε) + (u − n 0 ) (1 − ε)
m
u
= εs + u (1 − ε) < , (2.6)
2
where the last inequality holds if ε is chosen small enough.
• on S ∗ X we have
m ) = (n 0 − s)
X ( X (m 1 ) + (u − n 0 )
X (m 2 ) ≤ 0. (2.7)
We construct a smooth function m on T∗M
satisfying

ξ
m (x, ξ ) = m
, if |ξ | ≥ 1,
|ξ |
=0 if |ξ | ≤ 1/2.
The symbol G m . Let

G m (x, ξ ) := m (x, ξ ) log 1 + ( f (x, ξ ))2
with f ∈ C ∞ (T ∗ X ) such that for |ξ | ≥ 1, f > 0 is positively homogeneous of degree
1 in ξ , and
ξ u ∪ N s ⇒ f (x, ξ ) := |ξ | ,
∈N
|ξ |
ξ 0 ⇒ f (x, ξ ) := |H0 (x, ξ )| .
∈N
|ξ |
The consequences of these choices are:

ξ 0 .
• Since X (H0 ) = 0 then X log 1 + ( f (x, ξ ))2 = 0 for |ξ | ∈N
• Since E s∗ is the stable direction and E u∗ the unstable one,
ξ s ⇒ X (log ξ ) < −C, ξ u ⇒ X (log ξ ) > C.

∃C > 0, ∈N ∈N
|ξ | |ξ |
(2.8)

• In general X log 1 + f 2 is bounded:

∃C2 > 0, ∀ξ ∈ T ∗ X, X log 1 + ( f (x, ξ ))2 < C2 .
We will show now the uniform escape estimate Eq.(1.18), in Lemma 1.2. One has

X (G m ) = X (m) log 1 + f 2 + mX log 1 + f 2 . (2.9)
We will first consider each term separately assuming |ξ | ≥ 1.

• If
ξ ∈ S∗ X \ N s ∪ N 0 then using (2.4) and the fact that X log 1 + f 2
u ∪ N
and m are bounded, there exists R > 0 large enough such that for |ξ | ≥ R,
X (G m ) (x, ξ ) < −c min (s, |u|)
with c > 0 independent of u, n 0 , s.

• If
ξ∈N u then from (2.8) and (2.6) there exists c > 0 such that
X (G m ) = X (m) log ξ +

m X (log ξ ) < −c |u| < 0.

≤0 ≥0 < u2 >C
• If s then from (2.8) and (2.5) there exists c > 0 such that
ξ∈N
X (G m ) = X (m) log ξ +

m X (log ξ ) < −cs < 0.

≤0 ≥0 > 2s <−C
We have obtained the uniform escape estimate Eq. (1.18), Lemma 1.2. Finally for

ξ∈N0 , we have

X (G m ) = X (m) log 1 + f 2 +m X log 1 + f 2 ≤ 0,

≤0
≥0
=0
and we deduce (1.20), Lemma 1.2. We have finished the proof of Lemma 1.2.
3. Proof of Theorem 1.4 about the Discrete Spectrum of Resonances
Here are the different steps that we will follow in the proof.
2
1. The operator H on the Sobolev space H m = A −1
m L (X ) is unitarily equivalent to
the operator P := Am HA−1 2
m on L (X ). We will show that P is a pseudo-differential

operator. We will compute the symbol P (x, ξ ) of P in Lemma 3.2. The important
fact is that the derivative of the escape function appears in the imaginary part of the
symbol P (x, ξ ).
2. For (z) 1, using the Gårding inequality, we will show that P − z is invertible
and therefore that P has no spectrum in the domain (z) 1.
3. Using the Gårding inequality again for a modified operator and analytic Fredholm
theory we will show that P − z is invertible for (z) > − (Cm − C) for some
constant C independent of m, except for a discrete set of points z = λi that are
eigenvalues of finite multiplicity.
We begin by the following proposition which is a very simple observation.
Proposition 3.1. “Symmetry”. The conjugation operator C defined by Ĉϕ = ϕ

∞
on C (X ) and extended to D (X ) by duality, leaves the space H m invariant. If
Hψ = λψ, ψ ∈ H m then ψ := Cψ ∈ H m is also an eigenfunction with eigenvalue

λ = −λ. The spectrum of Ruelle resonances is therefore symmetric under reflexion in
the imaginary axis.
Proof. Observe that if B̂ is a pseudo-differential operator with symbol b (x, ξ ) then from
(1.23) Ĉ B̂ Ĉ is a pseudo-differential operator with symbol b (x, −ξ ). From its construc-
tion the symbol Am (x, ξ ) is real and Am (x, −ξ ) = Am (x, ξ ). Therefore C A C
= A.
−1
Since Ĉ = AC A is an isometry on L (X ) we conclude that Ĉ is an isometry on the
2
space H m (X ) = A −1 L 2 (X ) . We have the following relation:
C
H + C
H = 0. (3.1)
Indeed since the vector field V is real, for every ϕ ∈ C ∞ (X ) one has H Cϕ
=
−i V (ϕ) = i V (ϕ) = −(−i V (ϕ)) = −C Hϕ. Then using (3.1), one has H
ψ =
HCψ
= −C Hψ = −λψ .
on L 2 (X ).
3.1. Conjugation by the escape function and unique closed extension of P
Let us define
:= A
P m H
A−1
m . (3.2)
Then the operator P on L 2 (X ) is unitarily equivalent to H on H m . Recall that a smooth

μ
function p(x, ξ ) on T X belongs to the classical symbol space S μ = S1 (T ∗ X ) if for
∗
every choice of coordinates x1 , . . . , xn that identifies an open set U ⊂ X with an open
⊂ Rn and for the corresponding dual coordinates ξ1 , . . . , ξn , we have
set U

∂ξα ∂xβ p(x, ξ ) = O(1)ξ μ−|α| , with ξ := 1 + |ξ |2
.
m(x,ξ )
The symbol classes with variable order Sρ have been given in Definition 1.3.
In the following lemma, the notation Om S −1+0 means that the term is a symbol in
S −1+0 . We add the index m to emphasize that it depends on the escape function m
whereas O S 0 means that the term is a symbol in S 0 which does not depend on m.

Lemma 3.2. The operator P defined in (3.2) is a PDO in Op S 1 . With respect to every
given system of coordinates its symbol is equal to

P (x, ξ ) = H (x, ξ ) + i (X (G m )) (x, ξ ) + Om S −1+0 , (3.3)
:
where H (x, ξ ) is the symbol of H

H (x, ξ ) = V (ξ ) + O S 0 ,
with principal symbol V (ξ ) ∈ S 1 and X (G m ) ∈ S +0 . X is the Hamiltonian vector field

of H defined in (1.8).
Proof. The proof consists in making the following two lines precise and rigorous:
−1
= A
P HA
−1 = Op e G m H
Op e G m
(1 − Op (G m ) + . . .)
(1 + Op (G m ) + . . .) H

= H + Op (G m ) , H +. . . = Op (H − i {G m , H } + . . .) = Op (H + iX (G m ) + . . .) .
In order to avoid to work with exponentials of operators, let us define

m,t := Op et G m = Op e G tm = A
A tm , 0 ≤ t ≤ 1,
and
m,t := A
H m,t H
A−1
m,t

= H
which interpolates between H m,0 and P
= H m,1 . We have Op (G m ) ∈ Op S +0 ,
−1
A m,t ∈ Op S −tm(x,ξ )+0 , H
m,t ∈ Op S tm(x,ξ )+0 , A ∈ Op S 1 . We deduce that3
1+0
m,t ∈ Op S
H . Then
m,t
dA
= Op G m et G m = Op (G m ) Op et G m + Op Om S tm−1+0
dt !

−1
d Am,t −1 dA
m,t
Am,t = − A
m,t
= Op G m + rm,t
dt dt
3 From the theorem of composition of pseudodifferential operators (PDO), see [49, Prop. (3.3) p. 11], if
m m
A ∈ Sρ 1 and B ∈ Sρ 2 then

m +m −(2ρ−1)
Op ( A) Op (B) = Op (AB) + O Op(Sρ 1 2 ) ,
m +m 2 m +m 2 −(2ρ−1)
i.e. the symbol of Op (A) Op (B) is the product AB and belongs to Sρ 1 modulo terms in Sρ 1 .
with rm,t ∈ S −1+0 and4

!
d d Am,t −1 −1 −1 −1
dA
Hm,t = Am,t Am,t H Am,t + Am,t H Am,t m,t
A
m,t
dt dt dt

= Op G m + rm,t , Hm,t ∈ Op S +0 .
"
m,t − H
Therefore H = t d m,s ds ∈ Op S +0 and
H
0 ds
d
Hm,t = Op (G m ) , H + Op G m + rm,t , H
+ Op rm,t , H
m,t − H
dt

+ Om Op S −1+0 .
= Op (G m ) , H
We deduce that

1 d
= H
P + Hm,t dt + Op (G m ) , H
=H + Om Op S −1+0 .
0 dt
Since

= Op i (X (G m )) (x, ξ ) + Om S −1+0 ,
Op (G m ) , H
we get

= H
P + Op i (X (G m )) (x, ξ ) + Om S −1+0 .

= Op V (ξ ) + O S 0 with a remainder in S 0 which is independent
Finally since H
of the escape function m, we get (3.3).

We have shown that P is a unbounded PDO of order 1 that we may first equip with the
domain C ∞ (X ) which is dense in L 2 (X ). Lemma A.1, Sect. A.1 shows that P has a
unique closed extension as an unbounded operator P on L 2 (X ). The adjoint P
∗ is also
a PDO of order 1 and it is the unique closed extension from C ∞ (X ).
has empty spectrum for (z) large enough. Let us write

3.2. P
= P
P 2
1 + i P
∗
1 := 1 P
with P + P∗ , P 2 := i P −P formally self-adjoint. From (3.3) and (1.20),
2 2
the symbol of the operator P 2 is

P2 (x, ξ ) = X (G m ) (x, ξ ) + O S 0 + Om S −1+0 (3.4)
which belongs to S +0 and satisfies

∃C0 , ∀ (x, ξ ) , (P2 (x, ξ )) ≤ C0 .

4 From [49, Eqs. (3.24) (3.25) p. 13], if A ∈ S m 1 and B ∈ S m 2 then the symbol of Op (A) , Op (B) is
ρ ρ
m +m −2(2ρ−1) m +m −(2ρ−1)
the Poisson bracket −i {A, B} modulo Sρ 1 2 , which belongs to Sρ 1 2 . We also recall
[48, (10.8) p. 43] that {A, B} = −X B (A) where X B is the Hamiltonian vector field generated by B.
with order μ = 1 (since2

From the sharp Gårding inequality (A.2), Sect. A.2 applied here
2 u|u ≤ (C0 + C) u
P2 ∈ S +0 ⊂ S 1 ) we deduce that there exists C > 0 such that P
which is written:

2 − (C0 + C) u|u ≤ 0.
P (3.5)
Notice that C and C0 depend on m a priori.
Lemma 3.3. From the inequality (3.5) we deduce that for every z ∈ C, (z) > C + C0 ,

the resolvent P − z −1 exists (as a bounded operator on L 2 (X )). Therefore P
has
empty spectrum for (z) > C + C0 .
Proof. Let ε = (z) − (C0 + C) > 0. Then for u ∈ C ∞ (X ),

P − z u|u = P 2 − (C0 + C) u|u − ( (z) − (C0 + C)) u2 ≤ −ε u2 .
By Cauchy-Schwarz inequality,

P − z u u ≥ P − z u|u ≥ ε u2 .
− z u|u ≥ P
Hence for u ∈ C ∞ (X ),

P − z u ≥ ε u . (3.6)

By density this extends to all u ∈ D P and it follows that P − z is injective with

closed range R P − z .
The same argument for the adjoint P ∗ = P 1 − i P
2 gives
∗ ∗
P − z u ≥ ε u , ∀u ∈ D P , (3.7)

so P∗ −z is also injective. If u ∈ L 2 (X ) is orthogonal to R P − z then u belongs to the

∗
kernel of P − z which is 0. Hence R P − z = L (X ) and P 2 − z : D P → L 2 (X )
is bijective with bounded inverse.
3.3. The spectrum of P is discrete on (z) ≥ − (Cm − C) with some C ≥ 0 indepen-

dent of m. As usual [39, p. 113], in order to obtain a discrete spectrum for the operator
to construct a relatively compact perturbation χ of the operator such that
P, it suffices

− iχ
P has no spectrum on (z) ≥ − (Cm − C).
Let χ0 : T ∗ X → R+ be a smooth non negative function with χ0 (x, ξ ) = Cm > 0
for (x, ξ ) ∈ N0 and χ0 (x, ξ ) = 0 outside a neighborhood of N0 where N0 is defined in
Eq. (1.18), Lemma 1.2. See also Fig. 3(b). We can assume that χ0 ∈ S 0 .
Let χ0 := Op (χ0 ). We can assume that χ 0 is self-adjoint. From Eq. (1.18), for every
(x, ξ ) ∈ T ∗ X, |ξ | ≥ R,
(X (G m ) (x, ξ ) − χ0 (x, ξ )) ≤ −Cm ,
hence (3.4) gives for every (x, ξ ) ∈ T ∗ X :

P2 (x, ξ ) − χ0 (x, ξ ) ≤ −Cm + C + Om S −1+0 , (3.8)

with some C ∈ R independent of m, coming from the O S 0 term in (3.4). Notice that
−1+0
the remainder term Om S can be bounded by a constant but which depends on m.
Since P2 ∈ S μ , ∀μ, 0 < μ < 1, the sharp Gårding inequality (A.2) implies that for
every u ∈ C ∞ (X ) there exists Cμ > 0 (Cμ depends on m a priori) such that

2 − χ
P 0 + (Cm − C) u|u ≤ Cμ u2 μ−1 .
H 2
5
applied the Calderon Vaillancourt theorem2 to the remainder
We have also term A ∈
Om S −1+0 in (3.8) to see that |(Op (A) u|u)| ≤ C A u −1+0 ≤ C A u2 μ−1 (since
H 2 # $H 2
μ−1 μ−1
μ
−1+0
2 < 2 ). The right hand side can be written C μ u2
μ−1 = C ξ u|u =
H 2
1 = Op (χ1 ) , χ1 = Cμ ξ μ−1 ∈ S μ−1 and can be absorbed on the left
χ1 u|u) with χ
(
by defining
χ := χ0 + χ1 , χ
:= Op (χ ) .
We can assume that χ

is self-adjoint. We obtain:

2 − χ
P + (Cm − C) u|u ≤ 0.
As in the proof of Lemma 3.3, Sect. 3.2, we obtain that the resolvent
−1
− iχ
P − z : L 2 (X ) → L 2 (X ) is bounded for (z) > − (Cm − C) . (3.9)
The following lemma is the central observation in the proof of Theorem 1.4.
Lemma 3.4. For every z ∈ C such that (z) > − (Cm − C), the operator
−1
χ
P − iχ
− z : L 2 (X ) → L 2 (X ) is compact.
Proof.
Let z ∈ C such that (z) > − (Cm − C). On the cone N0 , the operator
− iχ
P − z is elliptic of order 1. We can therefore invert it micro-locally on N0 (that is
its principal symbol V (ξ ) is non vanishing away from zero, see for instance [23, Chaps.
6,7]), namely construct E ∈ S −1 and R1 , R2 ∈ S 0 such that

− iχ
P − z E = 1+ R 1 , P
E − iχ− z = 1 + R 2 ,

∀ j = 1, 2, WF R j ∩ N0 = ∅. (3.10)
(The wavefront
set of a PDO has been defined in Subsect. 1.1.3). In particular
WF χ Rj = ∅, therefore χ R2 is a compact operator. Also E is a compact operator
−1
(since E ∈ S ). Then from (3.10), we write:
−1
− iχ − z −1 = E
P − R 2 P − iχ
− z ,
−1 −1
χ
P − iχ
− z = χ − χ
E R P − iχ χ
− z ,
2
bounded compact compact bounded
−1
and deduce that χ
P − iχ
− z is a compact operator.

The following lemma finishes the proof of Theorem 1.4.

5 If A ∈ S μ then there exists C > 0 such that ∀u ∈ C ∞ (X ) , |(Op (A) u|u)| ≤ C
μ

A A Op ξ u|u =
C A u μ .
H2
Lemma 3.5. P has discrete spectrum with locally finite multiplicity on (z) >
− (Cm − C).
Proof.
For every
z ∈ C, with (z) > − (Cm − C), we have obtained in (3.9) that
− iχ
P − z is invertible. We write:
−1
− z = 1 + iχ
P P − iχ
− z − iχ
P − z .

Here P − iχ
− z : D P → L 2 (X ) is bijective with bounded inverse and hence
−1
Fredholm of index 0. Similarly 1 + i χ
P − iχ
− z : L 2 (X ) → L 2 (X ) is Fred-
holm of index 0 by Lemma 3.4. Thus

− z : D P
P → L 2 (X ) , (z) > Cm − C,
is a holomorphic family of Fredholm operators (of index 0) invertible for (z) 0.
It then suffices to apply the analytic Fredholm theorem ([38, p. 201, case (b)], see also
[25, p. 220 App. A]).
4. Proof of Theorem 1.5 that the Eigenvalues are Intrinsic to the Anosov Vector
Field V
Let m and G m be as in Lemma 1.2. Let m = f (m), where f ∈ C ∞ (R) , f (t) ≥

max (0, t) , f ≥ 0, f (t) = 0 for t ≤ u/2 and f (t) = t for t ≥ s/2. H viewed as

a closed unbounded operator in H has no spectrum in the half plane (z) ≥ C1 for
m
C1 0. The same holds for H : L 2 → L 2 . Since m ≥ 0 we have H m ⊂ L 2 so if

v ∈ H then R L 2 (z) v = R H m (z) v for (z) ≥ C1 , where R L 2 denotes the resolvent
m
of H : L 2 → L 2 and similarly for R H m .
≥ m we also have H m ⊂ H m , and hence R
Since m Hm (z) v = R H m (z) v for
(z) ≥ C1 , v ∈ H . Especially when v ∈ C ∞ , we get R L 2 (z) v = R H m (z) v, (z) ≥

m
C1 . Applying Theorem 1.4, we conclude that R L 2 (z), viewed as an operator C ∞ → D
has a meromorphic extension R (z) from the half plane (z) ≥ C1 to the half plane
(z) > − (Cm − C) and this extension coincides with R H m restricted to C ∞ .
If γ is a simple positively oriented closed curve in the half plane (z) > − (Cm − C)
which avoids the eigenvalues of H : H m → H m , then the spectral projection, associated
to the spectrum of H inside γ , is given by

m 1
πγH = R H m (z) dz.
2πi γ
For v ∈ C ∞ , we have

m 1
πγH v = πγ v := R (z) dz v.
2πi γ
Now C ∞ is dense in H m and πγH is of finite rank, hence its range is equal to the
m
image πγ (C ∞ ) of C ∞ . The latter space is independent of the choice of H m . More

,
precisely if m f are as in Theorem 1.4 and we choose γ as above, now in the half plane
(z) > − min ((Cm − C) , (Cm : Hm → Hm
− C)) and avoiding the spectra of H

and H : Hm → Hm , then the spectral projections π H and π H have the same range.
γ
m
γ
m
Theorem 1.5 follows.

5. Proof of Theorem 1.8 for the Upper Bound on the Density of Resonances
The asymptotic regime (z) 1 which is considered in Theorem 1.8 is a semiclassical
regime in the sense that it involves large values of H (ξ ) = V (ξ ) 1, hence large
values of |ξ | in the cotangent space T ∗ X .
For convenience, we will switch to h-semiclassical analysis. Let 0 < h # 1 be a
small parameter (we will set E = 1/ h in Theorem 1.8). In h-semiclassical analysis a
symbol a (x, ξ ) is quantized according to
O ph (a (x, ξ )) = Op (a (x, hξ )) , (5.1)
where Op has been defined in (1.23).
In this section we first recall the definition of symbols in h-semiclassical analysis. In
Lemma 5.3 we derive the symbol of the operator P with respect to this new calculus. In
Sect. 5.3 we give the main idea of the proof and the next sections give the details.
5.1. Semiclassical symbols. We first define the symbol classes we will need in h-semi-
classical analysis. We will use calligraphic symbols S to distinguish these from the
symbols of the homogeneous theory S defined in (1.21).
μ
Definition 5.1. The symbol class h −k Sρ with 1/2 < ρ ≤ 1, order μ ∈ R and k ∈ R
consists of C ∞ functions p (x, ξ ; h) on T ∗ X , indexed by 0 < h # 1 such that in every
trivialization (x, ξ ) : T ∗ X |U → R2n , for every compact K ⊂ U ,

∀α, β, ∂ξα ∂xβ p ≤ C K ,α,β h −k+(ρ−1)(|α|+|β|) ξ μ−ρ|α|+(1−ρ)|β| . (5.2)
μ μ
For short we will write Sρ instead of h −k Sρ when k = 0, and write S μ instead of
μ
Sρ when ρ = 1.
For symbols of variable orders we have:
Definition 5.2. Let m (x, ξ ) ∈ S 0 , 21 < ρ ≤ 1 and k ∈ R. A family of
∞ ∗
p (x, ξ ; h) ∈ C (T X ) indexed by 0 < h # 1, belongs to the
functions
)
class h −k Sρ of variable order if in every trivialization (x, ξ ) : T ∗ X |U → R2n ,
m(x,ξ
for every compact K ⊂ U and all multi-indices α, β ∈ Nn , there is a constant C K ,α,β

such that

α β
∂ξ ∂x p (x, ξ ) ≤ C K ,α,β h −k−(1−ρ)(|α|+|β|) ξ m(x,ξ )−ρ|α|+(1−ρ)|β| , (5.3)
for every (x, ξ ) ∈ T ∗ X |U .
5.2. The symbol

of the conjugated operator. In the 1-quantization we have seen in (1.22)
that Ĥ = Op V (ξ ) + 2i div (V ) . We rescale the spectral domain z ∈ C by defining:
z h := hz, h := h H
H . (5.4)
From (5.1) we get

i
Hh = Op V (hξ ) + h div (V )
2

= Oph V (ξ ) + O h S 0 ∈ Oph S 1 .
From now on we will work with these new variables and we will often drop the indices
h for short.
We will take again the escape function to be G m (x, ξ ) := m (x, ξ ) log 1 + ( f (x, ξ ))2
as in (1.17) but quantized by the h-quantization giving the h-PDO Oph (G m ) with h-
semiclassical symbol G m ∈ S +0 . Also
m := Oph (exp (G m ))
A
m(x,ξ ) m is automatic if h is small
is a h-PDO with symbol Am ∈ S1−0 (the invertibility of A
enough). Notice that the Sobolev space defined now by
−1 2
Hhm := A −1
m L 2 (X ) = Oph (Am ) L (X )
is identical6 to (1.24) as a linear space. However the norm in Hhm depends on h.

In the following lemma, we will use again the notation Om h 2 S −1+0 which means
that the term is a symbol in h 2 S −1+0 . We add
the subscript m to emphasize that it depends
on the escape function m whereas O hS 0 means that the term is a symbol in hS 0 which
does not depend on m.
Lemma 5.3. We define

:= A
P m H
A−1
m ,
as in (3.2). Its symbol P ∈ S 1 is

P (x, ξ ) = V (ξ ) + i hX (G m ) (x, ξ ) + O hS 0 + Om h 2 S −1+0 . (5.5)
Proof. The proof is very similar to the proof of Lemma 3.2. Let us define

m,t := Oph et G m = Oph e G tm = A
A tm , 0≤t ≤1
and
H m,t H
m,t := A A−1
m,t ,

which interpolates between H= Hm,0 and P = H m,1 . We have7 A
m,t ∈ Oph S tm+0 ,
−tm+0
−1
A m,t ∈ Oph S ,H ∈ Oph S 1 , therefore H m,t ∈ Oph S 1+0 . Then

d d −1
Am,t A −1
m,t = −
A m,t A m,t = Oph G m + rm,t
dt dt

6 Let us show that the space H m := Op (A ) −1 L 2 (X ) using h-quantization does not depend on
h h m

h and is therefore identical to (1.24) obtained with h = 1. We have Oph (Am ) ∈ Op Sρm (symbol class
−1
without h). Therefore B̂ := Oph (Am ) Oph=1 (Am ) ∈ Op S 0 is invertible on L 2 with continuous
−1 2 −1 2
inverse: B̂ L 2 = L 2 . Hence Hhm := Oph ( Am ) B̂ L (X ) = Oph=1 ( Am ) L (X ) = Hh=1 m .
7 The theorem of composition of h-semiclassical PDO [17] says that if A ∈ S m 1 and B ∈ S m 2 , then the
ρ ρ
m +m m +m −(2ρ−1)
symbol of Oph (A) Oph (B) is the product AB and belongs to Sρ 1 2 modulo hSρ 1 2 .
with rm,t ∈ hS −1+0 and

d
m,t .
Hm,t = Oph G m + rm,t , H
dt
"
d m,t − H = t m,s ds
We deduce that dt Hm,t ∈ Oph hS +0 , therefore H 0
d
ds H ∈

Oph hS +0 also and
d
Hm,t = Oph (G m ) , H + Oph G m + rm,t , H
+ Oph rm,t , H m,t − H

dt

+ Om Oph h 2 S −1+0 .
= Oph (G m ) , H
We deduce that

1 d
= H
P + Hm,t dt + Oph (G m ) , H
=H + Om Oph h 2 S −1+0 .
0 dt
Since8

= Oph i h (X (G m )) (x, ξ ) + Om h 2 S −1+0 ,
Op (G m ) , H
we get

= H
P + Oph i h (X (G m )) (x, ξ ) + Om h 2 S −1+0 .

= Oph V (ξ ) + O hS 0 with a remainder in hS 0 which is inde-
Finally, since H
pendent of the escape function m, we get (5.5).

We recall the main properties of the different terms in (5.5). First V (ξ ) ∈ S 1 is

real. In each fiber Tx∗ X, V (ξ ) is linear in ξ and for every E ∈ R the characteristic set
E := {(x, ξ ) , V (ξ ) − E = 0} is the energy shell defined in (1.14) and transverse
to E 0∗ .
The second term i hX (G m ) ∈ hS +0 is purely imaginary and we recall some properties
of X (G m ) obtained in Lemma 1.2:
⎧
⎪
⎨≤ 0 for |ξ | ≥ R
X (G m ) (x, ξ ) is ≤ Om (1) for |ξ | < R (5.6)
⎪
⎩≤ −C ,
m Cm > 0, for (x, ξ ) ∈
/ (D R ∪ N0 ) ,
where D R = {ξ, |ξ | ≤ R} and N0 is defined in Lemma 1.2. With a convenient choice

of the order function m (x, ξ ) we have:
)
N0 arbitrarily small conical vicinity of E 0∗ ,
(5.7)
Cm > 0 arbitrarily large.

8 If A ∈ S m 1 and B ∈ S m 2 , then the symbol of Op ( A) , Op (B) is the Poisson bracket −i h {A, B} =
ρ ρ h h
m +m −(2ρ−1) m +m −2(2ρ−1)
i hX B (A) and belongs to hSρ 1 2 modulo h 2 Sρ 1 2 . Here X B is the Hamiltonian vector
field generated by B.
Fig. 7. The objective is to bound from above the number of eigenvalues λi in the domain Zβ . For that purpose,
we will bound the number of resonances in the disk of radius 1 + bh and center z E = E + i
5.3. Main idea of the proof. Before giving the details of the proof we give here the main
arguments that we will use in order to prove (1.25).
Let us consider the following complex valued function p (x, ξ ) ∈ S 1 made from the
first two leading terms of the symbol (5.5):

p (x, ξ ) := V (ξ ) + i hX (G m ) . (5.8)
Let E > 0, h # 1 and β > 0. We define the spectral domain Z ⊂ C by:

* +
Z := λ ∈ C, | (λ) − E| ≤ βh, (λ) ≥ −βh . (5.9)
See Fig. 7. Let

VZ := (x, ξ ) ∈ T ∗ X,
p (x, ξ ) ∈ Z . (5.10)
We have from (5.8), (5.6) and assuming Cm > β,

) )
|V (ξ ) − E|2 ≤ βh (x, ξ ) ∈ [ E−√βh,E+√βh ]
(x, ξ ) ∈ VZ ⇔ ⇒ ,
hX (G m ) (x, ξ ) ≥ −βh (x, ξ ) ∈ (D R ∪ N0 )
(5.11)
,
where [ E−√βh,E+√βh ] := √
|E −E|≤ βh E is a union of energy shells (1.14). We
deduce that the symplectic volume of VZ is
√
Vol (VZ ) ≤ C Vol (N0 ∩ E ) h, (5.12)
with some constant C > 0 (independent of E and m). See Fig. 8. (Notice that
Vol (N0 ∩ E ) is a “Liouville volume” inherited from the symplectic volume on T ∗ X
and the energy function
H ). We suppose that E > R and that h is small enough so that
[ E−√βh,E+√βh ] D R = ∅.
Using a max-min formula and Weyl inequalities we will obtain an upper bound for
the number of eigenvalues in terms of this upper bound (and choosing Cm > 4β):
Cm Vol (VZ )
{λi ∈ Z} ≤ = Cm C Vol (X ) Vol (N0 ∩ E ) h 1/2−n .
hn
Fig. 8. Picture in Tx∗ X with x ∈ X , of the volume V Z which supports micro-locally the eigenvalues λi ∈ Z
of Fig. 7
Using that Vol (N0 ∩ E ) can be chosen arbitrarily small, from Eq. (5.7), we deduce
that

{λi ∈ Z} ≤ o h 1/2−n ,
which is precisely (1.25) with α = 1/ h.

The proof below follows these ideas but is not so simple because P (x, ξ ) in Eq. (5.5)
is a symbol and not simply a function (symbols belong to a non commutative algebra of
star product) and because the term hX (G m ) is subprincipal. We will have to decompose
the phase space T ∗ X in different parts in order to separate the different contributions
√ in (5.11). Another technical difficulty is that the width of the volume VZ is of order
as
h. We will
√ use FBI quantization which is convenient for a control on phase space at
the scale h.
5.4. Proof of Theorem 1.8. We present in reverse order the main steps we will follow in
the proof.
Steps of the proof:

of the operator P
• Our purpose is to bound the cardinal of the spectrum σ P in the
rectangular domain Zβ given by (5.9). But as suggested by Fig. 7 and confirmed by
Lemma 5.4 below, it suffices to bound the number of eigenvalues of P in the disk
D (z E , 1 + bh) := {z ∈ C, |z − z E | ≤ (1 + bh)} , b > 0,
with radius (1 + bh) and center:
z E := E + i ∈ C.
Lemma 5.4. If b ≥ 2β and h small enough then

-
σ P Zβ ⊂ D (z E , 1 + bh) .

Proof. We know that z ∈ σ P ⇒ (z) ≤ 0. Also, the Pythagoras Theorem in the
√ 2
corner of Z gives the condition (1 + bh)2 ≥ (1 + βh)2 + βh which is fulfilled
if b ≥ 2β and h small enough.
• In order to bound the number of eigenvalues of P in the disk D (z E , 1 + bh), we will
use Weyl inequalities in Corollary
5.9 and a bound for
the number
of small singular
values of the operator P − z E (i.e. eigenvalues of P − zE ∗ P − z E ) obtained
in Lemma 5.8.
• In order to get this bound on singular values, we will bound from below the expres-
2 ∗

sions P − z E u = P − z E
P − z E u|u . From symbolic calculus (see
footnote 7) we can compute the symbol of this operator and get:

− zE ∗ P
P − z E = Op |V (ξ ) − E|2 + |1 − hX (G m )|2 (5.13)

+Op O hS 1 + Om h 2 S +0 (5.14)

= Op |V (ξ ) − E|2 + 1 − 2hX (G m ) + O hS 1

+Om h 2 S +0 .
However it is not possible to

deduce
directly estimates
from this symbol because for
large |ξ | the remainders O hS 1 and Om h 2 S +0 may dominate the important term
2hX (G m ) ∈ hS +0 . Therefore we first have to perform a partition of unity on phase
space.
Partition of unity on phase space. Let K 0 ⊂ T ∗ X be a compact subset (independent

of h) such that VZ ⊂ K 0 with VZ defined in (5.10). See Fig. 8. Lemma A.3 associ-
ates a “quadratic partition of unity of PDO” to the compact set K 0 : there exist symbols
χ0 ∈ S −∞ and χ1 ∈ S 0 of self-adjoint operators χ0 , χ
1 such that

χ 12 = 1 + Op h ∞ S −∞
02 + χ (5.15)
supp (χ0 ) is compact and the compact set K 0 , χ0 = 1 + O (h ∞ ) , χ1 = O (h ∞ ). Then

from Lemma A.4 called the “IMS localization formula” we have: for every u ∈ L 2 (X ),
2 2
P − z E u 2 = P − zE χ0 u + P − zE χ 1 u + O h 2 u2 .
(5.16)
Notice that the remainder is of order h 2 , that is of order one higher than one would
expect at first sight. We will now study the different terms of (5.16) separately.
Informal remark.. In order to show that Lemma 5.5 below is expected, let us give an
informal remark (not necessary for the proof). Using the function p (x, ξ ) := V (ξ ) +
i hX (G m ), as in (5.8), which is the dominant term of the symbol P (x, ξ ), we write:
|
p (x, ξ ) − z E |2 = |V (ξ ) − E|2 + |1 − hX (G m )|2 (5.17)

= |V (ξ ) − E|2 + 1 − 2hX (G m ) + O h 2 S +0 . (5.18)
Fig. 9. Picture in Tx∗ X with x ∈ X , which shows the partition of unity of phase space used in the proof of
Lemma 5.5. The h-essential support of χ1 is outside the set K 0
If (x, ξ ) ∈
/ K 0 there are two cases, according to (5.6):
1. X (G m ) (x, ξ ) ≤ −Cm . Then
|
p (x, ξ ) − z E |2 ≥ 1 + 2hCm .
2. |V (ξ ) − E|2 ≥ C0 > 0 and X (G m ) ≤ O (1) from (5.6). Then
|
p (x, ξ ) − z E |2 ≥ 1 + C0 + O (h) .
In both cases we have
|
p (x, ξ ) − z E |2 ≥ 1 + 2hCm . (5.19)
Since χ1 is negligible on K 0 , the following Lemma 5.5 is not surprising in the light
of property (5.19). It gives a lower bound for the second term in the right side of (5.16).
Lemma 5.5. For every u ∈ L 2 (X ),
2
P − zE χ 1 u ≥ (1 + 2h (Cm − C))
χ1 u2 − O h ∞ u2 . (5.20)
Proof. In order to prove (5.20) we have to consider a partition of unity in order to take
into account two contributions as in the discussion after (5.17). Let 0 ∈ S 0 which
has its support inside the region where χ1 = 1 and we set 0 = 1 away from a con-
ical neighborhood of the energy shell E , Eq. (1.14), which is the characteristic set
V (ξ ) − E = 0. See Fig. 9.
Since (V (ξ ) − E) is the principal symbol of (P (x,
ξ ) − E) ∈ S and is non van-
1
∈ Op S −1 such that
ishing on the support of 0 , there exists Q

P
Q − E = 0 + R, ∈ Op h ∞ S −∞ .
R
is continuous in L 2 (X ), there exists C0 > 0 such that for every v ∈ L 2 (X ) ,
Since Q
2
v ≥ C10 Qv
2 , hence for every u ∈ L 2 (X ),
2 1 2 1 2
P− E χ1 u ≥ Q P − E χ 1 u = χ
0 + R 1 u
C0 C0
1

2 ∞
≥ 1 u − O h u2 .
0 χ (5.21)
2C0
= P
Writing P 1 + i P
2 with P
i self-adjoint, we have
2
P − zE χ1 u = − E ∗ + i
P − E − i χ
P 1 u|
χ1 u
2
= P − E χ1 u + 2 χ
χ1 u2 − 2 P 1 u|
χ1 u . (5.22)
Using (5.21) in (5.22) we get for every a > 0:

2 2 2
P − zE χ1 u = (1 − ah) P − E χ 1 u + ah P − E χ 1 u + χ1 u2

− 2P 2 χ
1 u|
χ1 u
2
≥ (1 − ah) P − E χ 1 u + 2 χ
χ1 u2 − 2 P 1 u|χ1 u
ah

2
+ 0 χ1 u − O h ∞ u2
2C0
2
= (1 − ah) P − E χ 1 u + χ1 u2

ah ∗
+
−2 P2 +
0 χ χ1 u − O h ∞ u2 .
1 u|
2C0 0
(5.23)
Recall from (5.5) that

2 = Op hX (G m ) + O hS 0 ∈ Op hS +0 .
P
Therefore

2 + ah
−2 P ∗0 ∈ Op hS +0 .
2C0 0
Assume a ≥ 4C0 (Cm − C). Then from (5.6) and the hypothesis on 0 , for every
(x, ξ ) ∈ supp (χ1 ) we have

ah ∗ ah
−2P2 + 0 0 (x, ξ ) ≥ min 2h (Cm − C) , ≥ 2h (Cm − C) .
2C0 2C0
1 ∈
a symbol 1 ∈ S positive, which∗vanishes on supp (χ1 ) so that 1 χ
We 0
∞can−∞
add
Op h S and such that for every (x, ξ ) ∈ T X we have

ah ∗ ah
−2P2 + 0 + 1 (x, ξ ) ≥ min 2h (Cm − C) , ≥ 2h (Cm − C) .
2C0 0 2C0
The semiclassical sharp Gårding inequality implies that:

ah ∗
∀u ∈ L (X ) ,
2
−2 P2 +
0 0 χ χ1 u ≥ 2h (Cm −C)−O h 2
1 u| χ1 u2
2C0

−O h ∞ u2 ,

where the remainder term O (h ∞ ) u2 comes from 1 χ
1 u|
χ1 u . With (5.23) we get:
2 2
P − zE χ1 u ≥ (1 − ah) P− E χ 1 u +
χ1 u2

+ 2h (Cm − C) − O h 2 χ1 u2 − O h ∞ u2

≥ 1 + 2h (Cm − C) − O h 2 χ1 u2 − O h ∞ u2 .

The term O h 2
χ1 u2 can be absorbed in the constant C.

Lemma 5.6. We have

2
P − zE χ0 u ≥ (1 − O (h))
χ0 u2 − O h ∞ u2 , (5.24)
where the term O (h) does not depend on m. There exists a family of trace class operators

Bh (depending on h) such that

Bh Tr ≤ O (1) Cm Vol (N0 ∩ E ) h 1/2−n ,
Bh ≥ 0, (5.25)
(where the constant O (1) does not depend on the escape function m) and for every
u ∈ L 2 (X ),
2
P − zE χ0 u + h χ0 u2 − O h ∞ u2 .
Bh u|u ≥ (1 + 2h (Cm − O (1)))
(5.26)
Remarks. Lemma 5.6 concerns the first term of the right hand side of (5.16). In order
to obtain (5.26), which is similar to (5.20), it has been necessary to add a new term
which involves a trace class operator Bh to gain positivity in the domain VZ (5.11).
Equation (5.24) shows that without this term the lower bound is smaller.
Proof. The construction is based on ideas around Anti-Wick quantization, Berezin quan-
tization, FBI transforms, Bargmann-Segal transforms, Gabor frames and Toeplitz oper-
ators, see e.g. [26]. We review some definitions in Appendix A.4. We will use the
following properties for an operator obtained by Toeplitz quantization of a function
A (x, ξ ; h) (such that the following expression makes sense). Let

OpT (A) := A (x, ξ ; h)
πx,ξ d xdξ.
Then for u ∈ C ∞

A (x, ξ ) ≥ 0 ⇒ OpT (A) u|u ≥ 0, (5.27)
also if A ∈ L 1 ,

O (1)
Tr OpT (A) = A (x, ξ ) d xdξ, (5.28)
hn
and

(∀ (x, ξ ) , A (x, ξ ) ≥ 0) ⇒ Op (A) = Tr Op (A) . (5.29)
T Tr T
∈ Oph (S m ) is a PDO with principal symbol a0 (modulo hS m−1 ), then there exists
If A
a ∈ S m such that
= OpT (a) + R,
A

∈ Op h ∞ S
where R −∞
is negligible and a = a0 mod hS m−1 .
From (5.13) we have

χ
0 P − zE ∗ P − zE χ 0
0 = χ
χ0 + R,
S (5.30)

∈ Op h ∞ S
with R −∞ and

S = OpT (S) ,
with the Toeplitz symbol

S (x, ξ ; h) = |V (ξ ) − E|2 + 1 − 2hX (G m ) (x, ξ ) + O h S −∞ + Om h 2 S −∞
(the remainders are in S −∞ since χ0 has compact support in (5.30). Since X (G m ) ≤ 0

from (5.6), we deduce (5.24) using Gårding’s inequality (5.27).
In order to get (5.26), let 0 ≤ Bh ∈ C0∞ (T ∗ X ) be such that
(x, ξ ) ∈ VZ ⇒ Bh (x, ξ ) ≥ 2Cm . (5.31)
In view of (5.12) Bh can be chosen such that

√
Bh (x, ξ ) d xdξ ≤ O (1) Cm Vol (VZ ) = O (1) Cm Vol (X ) Vol (N0 ∩ E ) h.
T∗X
(5.32)
Let
Bh := OpT (Bh ). From (5.29), (5.28) and (5.32) we deduce (5.25). Recall that from
(5.11) we have
/ VZ ⇒ |V (ξ ) − E|2 ≥ hCm or − hX (G m ) ≥ hCm .

(x, ξ ) ∈
Therefore in view of (5.31) for every (x, ξ ) ∈ T ∗ X we have
S (x, ξ ; h) + h Bh (x, ξ ) = |V (ξ ) − E|2 + 1 − 2hX (G m ) + h Bh (x, ξ )

+O h S −∞ + Om h 2 S −∞

≥ 1 + 2hCm + O hS −∞ + Om h 2 S −∞ .

After multiplying both sides by χ 0
0 , using χ 0 =
Bh χ Bh + Op h ∞ S −∞ and Gårding’s
inequality we deduce that

∀u ∈ L 2 (X ) , χ 0 χ0 u|u + h
S Bh u|u ≥ (( χ0 (1 + 2h (Cm − O (1))) χ
0 ) u|u)
∞
+O h u . 2
Replacing the first term by (5.30) this gives (5.26).

Equation (5.16) with (5.20), (5.26), (5.15) gives:

Corollary 5.7. We have

∀u ∈ L 2 (X ) , P − z E u 2 + h
Bh u|u ≥ (1 + 2 (Cm − O (1)) h) u2 ,
(5.33)
where O (1) does not depend on m. Moreover

∀u ∈ L 2 (X ) , P − z E u 2 ≥ (1 − O (h)) u2 . (5.34)
Here we have used (5.24) to get (5.34).
Let us show that these
last relations
imply
an upper bound for the number of eigen-
values of the operator P − zE ∗ P − z E smaller than (1 + 2 (Cm − O (1)) h).

Lemma 5.8. Let s1 ≤ s2 ≤ · · · be the singular values P − z E sorted from below.
More precisely, s12 ≤ s22 ≤ · · · are the eigenvalues of the positive self-adjoint operator

:= P
A − zE ∗ P − z E below the infimum of the essential spectrum of A, possibly
completed with an infinite repetition of that infimum if there are only finitely many such
eigenvalues. Then the first eigenvalue is
s1 ≥ 1 − O (h) (5.35)
and
1
if j > O (1) Cm Vol (N0 ∩ E ) h 2 −n then s j ≥ 1 + (Cm − O (1)) h, (5.36)
where O (1) means some constant independent of m. In other words the number of sin-

gular values of P − z E below 1 + (Cm − O (1)) h is O (1) Cm Vol (N0 ∩ E ) h 21 −n .
Proof. Equation (5.35) is a direct consequence of (5.34). We use the “max-min formula”
for self-adjoint operators [39, p. 78] and Eq. (5.33). Put λm := Cm − O (1). We have
for every j,

s 2j = max min
u, Au
U ⊆L 2 (X ), codim(U )≤ j−1 u∈U,u=1

≥ 1 + 2λm h + max min − h
Bh u|u
U ⊆L 2 (X ), codim(U )≤ j−1 u∈U,u=1

= 1 + 2λm h − h min max
Bh u|u
U ⊆L 2 (X ), codim(U )≤ j−1 u∈U,u=1
= 1 + 2λm h − hb j ,
where U varies in the set of closed subspaces of L 2 (X ) and b1 ≥ b2 ≥ . . . denote the
eigenvalues of
Bh (possibly completed with an infinite repetition of 0 if there are only
finitely many such eigenvalues). We have

Bh Tr = Tr Bh = b1 + b2 + . . . .
Equation (5.25) implies that for every ε0 > 0, if b j ≥ ε0 then

jε0 ≤ Tr
1
Bh ≤ O (1) Cm Vol (N0 ∩ E ) h 2 −n .
1
Equivalently if j > ε10 O (1) Cm Vol (N0 ∩ E ) h 2 −n , then b j < ε0 and s 2j ≥ 1+2λm h −
hb j ≥ 1 + 2 (λm − ε0 ) h. Taking the square root we get (5.36).

We deduce now an upper bound for the number of eigenvalues of P.
Corollary 5.9. We have
.
/
Cm

1
σ P ∩ D zE, 1 + h ≤ O (1) Cm Vol (N0 ∩ E ) h 2 −n . (5.37)
2

sorted such that j → λ j − z E
Proof. Let λ1 , λ2 , λ3 . . . denote the eigenvalues of P
is increasing. The Weyl inequalities (see [43, (a.8), p. 38] for a proof) give
0
N 0
N

sj ≤ λ j − z E , ∀N , (5.38)
j=1 j=1

where s j j are the singular values defined in Lemma 5.8 above. Let
. / .
/
Cm Cm

N := λ j : λ j − z E ≤ 1 + h = σ (P) ∩ D z E , 1 + h
2 2
and let
:= O (1) Cm Vol (N0 ∩ E ) h 2 −n
1
M
be the term which appears in (5.36). We want to show the bound:

≤ 2+O 1
N M (5.39)
Cm
for Cm 1. If N≤ M then (5.39) is true. Conversely let us suppose that N
≥ M.

Using (5.38) we have
⎛ ⎞⎛ ⎞

0
M
0
N

⎝ Cm N
sj⎠ ⎝ sj⎠ ≤ 1 + h .
2
j=1
j= M+1
Then using (5.35) and (5.36) we have

N

− M Cm
(1 − O (h)) (1 + (Cm − O (1)) h)
M N
≤ 1+ h .
2
We take the logarithm and since h # 1 we get:

(h) + N
− MO − M Cm h
(Cm − O (1)) h ≤ N

2
C m (Cm + O (1)) .
⇔N − O (1) ≤ M
2
Now since Cm 1,

1 + O C1m

≤ M
⇔N 2+O 1
= M ,
1
+ O 1 Cm
2 Cm
so we have obtained (5.39). This implies (5.37).

From Lemma 5.4 with b = C2m and β = C4m we deduce that the upper bound (5.37)
implies an upper bound:
) 1 2
C C
λi ∈ σ P , | (λi − E)| ≤ m
h, (λi ) ≥ −
m
h
4 4
1
= O (1) Cm Vol (N0 ∩ E ) h 2 −n .
Here we take E = 1 and h1 1 and return to the original spectral variable z =
zh
h after the scaling (5.4). From (5.7) we can choose the escape

function m such that
Cm 1 is arbitrarily large and Vol (N0 ∩ E ) < o Cm is arbitrarily small so that
1
1
1
O (1) Cm Vol (N0 ∩ E ) h 2 −n = o h 2 −n . Since the spectrum does not depend on the
escape function m, we get (1.25) with E = h1 . We have finished the proof of Theorem 1.8.
Acknowledgements. This work has been supported by “Agence Nationale de la Recherche” under the grants
JC05_52556 and ANR-08-BLAN-0228-01. The authors thank the referee for the very detailed and accurate
review.
A. Some Results in Operator Theory

A.1. On minimal and maximal extensions. We show here that the pseudodifferential
operator P defined in Eq.(3.2), has a unique closed extension on L 2 (X ). This is well
known for elliptic PDO [53, Chap.13, p.125]. The fact that P has order 1 (since it is
defined from a vector field on X ) is important in the present non elliptic case.
The domain of the minimal closed extension P min of the operator P with domain
∞
C (X ) is
* +
Dmin := u ∈ L 2 (X ) , u j ∈ C ∞ (X ) → u in L 2 (X ) and Pu j → v ∈ L 2 (X ) .
(A.1)
max has domain
The maximal closed extension P
* +
∈ L 2 (X ) .
Dmax := u ∈ L 2 (X ) , Pu
is defined a priori on C ∞ (X ) and D (X )).

(Recall that P

Lemma A.1. For a PDO P of order 1 (i.e P
∈ Op S 1 ), the minimal and maximal

extensions coincide: D P := Dmin = Dmax , i.e. there is a unique closed extension of
the operator P in L 2 (X ).
Proof. Dmin ⊂ Dmax is clear. Let us check that Dmax ⊂ Dmin . Let u ∈ Dmax , i.e.
∈ L 2 (X ). We will construct a sequence u h ∈ C ∞ (X ) with
u ∈ L 2 (X ) , v := Pu
h → v in L 2 .
h → 0, such that u h → u in L 2 (X ) and show that Pu
∗ ∞
Let χ : T X → R be a C function such that χ (x, ξ ) = 1 for |ξ | ≤ 1, and
+
χ (x, ξ ) = 0 for |ξ | ≥ 2. For h > 0, let the function χh on T ∗ X be defined by
χh (x, ξ ) = χ (x, hξ ). Let the truncation operator be:
χ
h := Op (χh ) .
Notice that χh is a smoothing operator which truncates large components in ξ (larger
than 1/ h), χ
h is similar to a convolution in x coordinates.
Let
u h := χ
h u.
It is clear that u h → u in L 2 (X ) as h → 0. We have

h = P
Pu χh u = χ + P,
h Pu χ
h u.
→ v = Pu
as h → 0. The principal symbol of the PDO
term converges χ
The first h Pu

P, χ
h is
1 1
{P, χh } = ∂ξ P∂x χh − ∂x P∂ξ χh .
i i
Now we use the fact that P ∈ S 1 has order 1. In the first term, ∂ξ P ∈ S 0 is bounded
and ∂x χh is non-zero only on a large ring h1 ≤ |ξ | ≤ h2 . In the second term ∂x P ∈ S 1
has order 1 but ∂ξ χh = h∂ξ χ (x, hξ ) is non-zero on the same largering and therefore
of order (−1) (since h |ξ |−1 on the ring). Therefore the PDO P, χh converges

strongly to zero in L 2 (X ) as h → 0. Hence P, χ
h u → 0 as h → 0. We deduce that
h → v = Pu,
Pu and that u ∈ Dmin .
A.2. The sharp Gårding inequality. References: [23, p. 52] or (A.8), [33, p. 99],
[54, p. 1157] for a short proof using Toeplitz quantization.
is a PDO with symbol P ∈ S μ , μ ∈ R, (P) ≥ 0, then there
Proposition A.2. If P
exists C > 0 such that

∀u ∈ C ∞ (X ) , Pu|u ≥ −C u2 μ−1 , (A.2)
H 2
# $μ # $μ
where u2H μ := ξ u|
ξ u L 2 (X ) denotes the norm in the Sobolev space H μ .
:= Oph (A) for a

A.3. Quadratic partition of unity on phase space. We denote A
symbol A.
Lemma A.3. Let K 0 ⊂ T ∗ X compact. There exist symbols χ0 ∈ S −∞ and χ1 ∈ S 0 of

self-adjoint operators χ
0 , χ
1 such that
χ
02 + χ
12 = 1 + R.

The symbol R ∈ h ∞ S −∞ is negligible, supp (χ0 ) is compact and on K 0 , χ1 (x, ξ ) =
O (h ) , χ0 (x, ξ ) = 1 + O (h ∞ ).
∞
Proof. Let K 0 ⊂ T ∗ X be compact. We can find symbols 0 ≤ χ0 ∈ C0∞ (T ∗ X ) (with

compact support) and 0 ≤ χ1 ∈ C ∞ (T ∗ X ) such that
)
0 on K 0
χ1 =
1 for |ξ | 1
and
)
>0 everywhere
A := χ02 + χ12 is
=1 for |ξ | 1.
We replace χ0 , χ1 respectively by χ0 A−1/2 , χ1 A−1/2

. We obtain 1 = χ02 + χ12 .
:= χ
Let R 02 + χ ∈ Oph hS −∞ . We write R = hr0 (x, ξ ) + h 2 . . ..
12 − 1. Then R
We replace χ j , j = 0, 1 by

χ r0 )−1/4 χ
j := (1 + h r0 )−1/4 ,
j (1 + h
which is also self-adjoint. We obtain

χ
02 + χ
12 = (1 − h 02 + (1 − h
r0 ) χ 12 + O Oph h 2 S −∞
r1 ) χ

= 1 + O Oph h 2 S −∞ .
If we iterate this algorithm, we obtain the lemma.

A.3.1. I.M.S. localization formula. The following lemma is similar to the “I.M.S locali-
zation formula” given in [11, p. 27]. It uses the quadratic partition of phase space obtained
in Lemma A.3 above.
Lemma A.4. Suppose that P ∈ Oph (S μ ) for some μ ∈ R and that (P − P ∗ ) ∈
μ
Oph (hS ). Then for every u ∈ L 2 (X ) , z ∈ C,
2 2
P − z u 2 = P − z χ 0 u + P − z χ1 u + O h 2 u2 . (A.3)
Proof. For simplicity, we suppose z = iβ with β ∈ R, i.e. (z) = 0 (this is equivalent

− (z) by some operator P
to replacing P ). We use (5.15) and write
2
P − iβ u 2 = P − iβ ∗ P − iβ u|u = − iβ ∗ χ
P k P − iβ u|u
k=0,1
(A.4)
∞

+O h u .
2
(A.5)
The aim is to move the operators χk outside. One has for k = 0, 1:
∗ 2
− iβ χ
P k P − iβ − χ k P − iβ ∗ P − iβ χ k
∗ ∗
=χ
k P − iβ χ
k P − iβ + P , χ k χk P − iβ − χ k P − iβ ∗ P − iβ χk
∗ ∗
= P ,χ k χk P − iβ − χ k P − iβ χ
P, k
⎛ ⎞ ⎛ ⎞
⎜ ∗
− χ

∗ P, χ
⎟ ⎜ ∗
χ
⎟
=⎝ P k χ
,χ k P k P k ⎠ − iβ ⎝ P k χ
,χ k + χ
k P, k ⎠ . (A.6)

Ik IIk
First remark that for every PDO A ∈ Oph (S μ ) with some μ ∈ R, then

χ
A, k ∈ Oph hS −∞ .

∈ Oph S −∞ and for k = 1 this is because
This is obvious for k = 0 since χ
−∞ 0
χ1 − 1) ∈ Oph S
( 1 = 0. We have assumed that
and A,

∗ − P
P ∈ Oph hS μ ,
therefore

∗ − P,
P χk ∈ Oph h 2 S −∞ .
Also

χ
P, k ∈ Oph hS −∞ .
The first term of (A.6) is

∗
Ik = P ,χk χ − χ
k P ∗ P,
k P χ
k

= P, χk χ − χ
k P P,
k P χ
k + O Oph h 2 S −∞

= P, χk , χ + O Oph h 2 S −∞
k P

= O Oph h 2 S −∞ .
The second term of (A.6) is

∗
IIk = P ,χ
k χ k + χ
k P, χ
k

χ
= P, k χ k + χk P, χk + O Oph h 2 S −∞
3 4
χ
= P, k2 + O Oph h 2 S −∞ .
Therefore using (5.15),

3 4
II0 + II1 = P, χ 12 + O Oph h 2 S −∞
02 + χ

= O Oph h 2 S −∞ .
We have shown that

∗
− iβ
P χ
k2 P − iβ = χ
k P − iβ ∗ P − iβ χk + O Oph h 2 S −∞ .
k=0,1 k=0,1
Coming back to (A.4) we get (A.3).

A.4. FBI transform and Toeplitz operators. References: [33,54].

The manifold X is equipped with a smooth Riemannian metric so that we have a
well-defined exponential map expx : Tx X → X which is a diffeomorphism from a
neighborhood of 0 ∈ Tx X onto a neighborhood of x ∈ X . Define the coherent state at
point (x, ξ ) ∈ T ∗ X to be the function of y ∈ X :

i −1 1
ex,ξ (y) := χ (x, y) exp ξ expx (y) − ξ dist (x, y) ,
2
ξ := (1 + |ξ |)1/2 ,
h 2h
where χ ∈ C ∞ (X × X ) is a standard cutoff to a small neighborhood of the diagonal.

In the Euclidean case X = Rn , the cutoff is often superfluous and we get the complex
Gaussian “wave packet”

i 1
ex,ξ (y) = exp ξ. (y − αx ) − ξ |y − x| .
2
h 2h
We have the following known facts [26,44]:

3n
• There exists a0 (x, ξ ; h) ∈ h − 2 S n/2 elliptic and a0 > 0 such that

u=
πx,ξ u d xdξ + Ru, ∀u ∈ L 2 (X ) (A.7)
T∗X
with

πx,ξ := a0 (x, ξ ; h) ex,ξ ex,ξ |.

∈ Oph h ∞ S −∞ negligible. d x is the Riemannian volume on X . Equation
and R
(A.7) is called resolution of identity.
• We can define the FBI-transform of u ∈ C ∞ (X ) by

(T u) (x, ξ ; h) := a0 (x, ξ ; h) ex,ξ |u = a0 (x, ξ ; h) ex,ξ (y)u (y) dy,
X
which is asymptotically isometric from (A.7):

T u L 2 (T ∗ X ) = u L 2 (X ) + u| R̂u = u L 2 (X ) + O h ∞ .
•
πx,ξ ≥ 0 and
2
πx,ξ tr = Tr πx,ξ = a0 (x, ξ ; h) ex,ξ = O (1) h −n .
• If
B ∈ Oph (S m ) is a PDO with principal symbol b0 (modulo hS m−1 ), then

B= b (x, ξ ; h)
πx,ξ d xdξ + R,
T∗X

is negligible as above, b ∈ S m and b = b0 mod hS m−1 .
where R
• For a function A (x, ξ ; h) (such that the following expression makes sense), we define
the Toeplitz quantization of A by

OpT (A) := A (x, ξ ; h)
πx,ξ d xdξ,
then the previous results imply a “Gårding’s inequality”:

A (x, ξ ) ≥ 0 ⇒ OpT (A) u|u ≥ 0 (A.8)
and

O (1)
Tr OpT (A) = A (x, ξ ) d xdξ.
hn
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Communicated by S. Zelditch

11 Upper Bound Resonances Anosov Flows

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Commun. Math. Phys.

308, 325–364 (2011)

Upper Bound on the Density of Ruelle Resonances

Received: 9 March 2010 / Accepted: 1 July 2011

5.4 Proof of Theorem 1.8 . . . . . . . . . . . . . . . . . . . . . . . . . . 350

Following this approach, we studied hyperbolic diffeomorphisms in [16,17]. The

Fig. 1. Picture of an Anosov flow in X and instability of trajectories

• The global hyperbolic structure of Anosov flows or Anosov diffeomorphisms is a

dα | (E u ⊕E s ) is non degenerate (i.e. symplectic) (1.6)

meaning that α is a contact one form. Equivalently, d x := α ∧ (dα)d is a volume

In that case, E u (x) ⊕ E s (x) = ker(α) is C ∞ and α determines V by dα(V ) = 0 and

be the Hamilton field of H0 and let φt = exp t V : X → X and Mt = exp tX : T ∗ X →

Mt (x, ξ ) = (φt (x), ((Dφt (x))t )−1 (ξ )). (1.9)

Tx∗ X = E u∗ (x) ⊕ E s∗ (x) ⊕ E 0∗ (x) (1.10)

be the decomposition dual to (1.2) in the sense that

(E 0∗ (x))(E u (x) ⊕ E s (x)) = 0,

dim E 0∗ (x) = dim E 0 (x) = 1,

Fig. 2. Picture of Tx∗ X for a given x ∈ X , and a given energy E ∈ R

|Mt (ρ)ξ | ≤ Ce−θt |ρξ |, ρ ∈ E s∗ , t ≥ 0,

E := H0−1 (E) (1.14)

E (x) := E ∩ Tx∗ X = Eα(x) + E s∗ (x) ⊕ E u∗ (x), (1.15)

where α is the Anosov 1 form in (1.4). The set

where f ∈ C ∞ (T ∗ X ) and for |ξ | ≥ 1, f > 0 is positively homogeneous of degree 1 in

and c > 0 independent of u, n 0 , s.

∀ (x, ξ ) ∈ T ∗ X with |ξ | ≥ R, X(G m )(x, ξ ) ≤ 0. (1.20)

See Fig. 3(b).

The next theorem shows that the spectrum is intrinsic.

Proof. Let us consider an eigen-distribution ϕ ∈ H m of H . In Lemma 1.2, if we let

2. Proof of Lemma 1.2 on the Escape Function

Remarks on Lemma 1.2.

dist (exp (tv) (ρ), s ) → 0, t → +∞ when ρ ∈ M \ u ,

Lemma 2.1. Let Vu , Vs ⊂ M be open neighborhoods of u and s respectively and

Proof. After shrinking Vu , Vs we may assume that Vu ∩ Vs = ∅ and

t ≥ 0 ⇒ exp (tv) (Vs ) ⊂ Vs , and t ≤ 0 ⇒ exp (tv) (Vu ) ⊂ Vu . (2.1)

Let T > 0 and let Ws := M\exp (T v) (Vu ) = exp (T v) (M\Vu ) and Wu :=

• Let ρ ∈ M \ (Wu ∪ Ws ). From (2.3) we see that v (m) (ρ) = 1

I (ρ) := {t ∈ R, exp (tv) (ρ) ∈ M\ (Vu ∪ Vs )} .

∃τ > 0, ∀ρ ∈ M, |max (I (ρ)) − min (I (ρ))| ≤ τ.

for T large enough, and v(m)(ρ) ≥ 0. 

inequality X(m 2 ) > η > 0 outside Ws2 ∪ Wu2 .

Fig. 6. Representation of different sets on S ∗ X used in the proof

The consequences of these choices are:

ξ s ⇒ X (log ξ ) < −C, ξ u ⇒ X (log ξ ) > C.

We will first consider each term separately assuming |ξ | ≥ 1.

X (G m ) (x, ξ ) < −c min (s, |u|)

with c > 0 independent of u, n 0 , s.

X (G m ) = X (m) log ξ  + 

X (G m ) = X (m) log ξ  + 

3. Proof of Theorem 1.4 about the Discrete Spectrum of Resonances

Proposition 3.1. “Symmetry”. The conjugation operator C defined by Ĉϕ = ϕ

Then the operator P on L 2 (X ) is unitarily equivalent to H on H m . Recall that a smooth

with principal symbol V (ξ ) ∈ S 1 and X (G m ) ∈ S +0 . X is the Hamiltonian vector field

In order to avoid to work with exponentials of operators, let us define

with rm,t ∈ S −1+0 and4

has empty spectrum for (z) large enough. Let us write

which belongs to S +0 and satisfies

 with order μ = 1 (since2

3.3. The spectrum of P is discrete on (z) ≥ − (Cm − C) with some C ≥ 0 indepen-

We can assume that χ

The following lemma finishes the proof of Theorem 1.4.

image πγ (C ∞ ) of C ∞ . The latter space is independent of the choice of H m . More

Theorem 1.5 follows.

for every compact K ⊂ U and all multi-indices α, β ∈ Nn , there is a constant C K ,α,β

for T large enough, and v(m)(ρ) ≥ 0.

inequality X(m 2 ) > η > 0 outside Ws2 ∪ Wu2 .

ξ s ⇒ X (log ξ ) < −C, ξ u ⇒ X (log ξ ) > C.

X (G m ) = X (m) log ξ +

X (G m ) = X (m) log ξ +

with order μ = 1 (since2

is identical6 to (1.24) as a linear space. However the norm in Hhm depends on h.

Replacing the first term by (5.30) this gives (5.26).

so we have obtained (5.39). This implies (5.37).

is defined a priori on C ∞ (X ) and D (X )).

We replace χ0 , χ1 respectively by χ0 A−1/2 , χ1 A−1/2

If we iterate this algorithm, we obtain the lemma.

Proof. For simplicity, we suppose z = iβ with β ∈ R, i.e. (z) = 0 (this is equivalent

Coming back to (A.4) we get (A.3).