Pluripotential Theory: Giorgio Patrizio Zbigniew Błocki François Berteloot Jean-Pierre Demailly

Lecture Notes in Mathematics 2075
CIME Foundation Subseries
Giorgio Patrizio
Zbigniew Błocki
François Berteloot
Jean-Pierre Demailly
Pluripotential
Theory
Cetraro, Italy 2011
Editors: Filippo Bracci,
John Erik Fornæss
Lecture Notes in Mathematics 2075
Editors:
J.-M. Morel, Cachan
B. Teissier, Paris
For further volumes:

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Giorgio Patrizio Zbigniew Błocki
François Berteloot Jean-Pierre Demailly
Pluripotential Theory
Cetraro, Italy 2011
Editors:
Filippo Bracci
John Erik Fornæss
123
Giorgio Patrizio Zbigniew Błocki
Dipartimento di Matematica “U.Dini” Institute of Mathematics
Università di Firenze Jagiellonian University
Firenze, Italy Krakow, Poland
François Berteloot Jean-Pierre Demailly

Institut de Mathématiques de Toulouse Institut Fourier, Laboratoire de
Université Paul Sabatier Mathématiques
Toulouse, France University of Grenoble I
Saint-Martin d’Hères, France
ISBN 978-3-642-36420-4 ISBN 978-3-642-36421-1 (eBook)

DOI 10.1007/978-3-642-36421-1
Springer Heidelberg New York Dordrecht London
Lecture Notes in Mathematics ISSN print edition: 0075-8434

ISSN electronic edition: 1617-9692
Library of Congress Control Number: 2013936248
Mathematics Subject Classification (2010): 32U99, 14-XX, 32-XX, 31-XX
c Springer-Verlag Berlin Heidelberg 2013

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Preface
Pluripotential theory is a very powerful tool in geometry, complex analysis and

dynamics. The principal subjects of investigation in pluripotential theory are
plurisubharmonic functions, namely, those functions which remain subharmonic
under holomorphic changes of coordinates. Plurisubharmonic functions are objects
rather easy to handle and to be constructed; therefore, they are very useful and
important tools in complex analysis, geometry (such as geometry of Kähler–
Einstein manifolds, hyperbolicity, Green–Griffiths conjecture) and holomorphic
dynamics. Among those, maximal plurisubharmonic functions and their associated
Monge–Ampère equations play a fundamental role in modern mathematics. Many
problems related to manifolds endowed with particular geometric structure, such
as symplectic, Kählerian, iperkählerian, quaternionial-Kählerian, algebraic spinorial
and Calabi–Yau manifolds and their generalizations, can be rephrased in terms of
several types of complex Monge–Ampère equations about the existence of metric
with constant curvature on algebraic manifolds. In particular, pluripotential theory
plays a very basic role in the study of the equations associated with the existence
of Einstein metrics of constant scalar curvature and extremal “a là Calabi”, both in
the static version and in the parabolic one (Ricci’s flows and Calabi) which recently
allowed to solve the Poincaré and Thurston’s conjectures.
A complete and deep theory has been developed in order to characterize maximal
plurisubhharmonic functions by Bedford, Taylor, Demailly, Kiselman, Siciak,
Błocki and others. Indeed, maximal plurisubharmonic functions are essentially
solutions of homogeneous complex Monge–Ampère equations. Special solutions to
such equations are the pluricomplex Green function and the pluri-complex Poisson
measures, introduced and used in reproducing formulas for plurisubharmonic func-
tions by Klimek, Demailly, Lempert and others. Such a pluricomplex Green function
turned out also to be strictly related to the Kobayashi distance and to hyperconvexity
and other geometrical properties of domains in Cn . Pluripotential theory has also a
number of very important applications in algebraic geometry, in particular related
to jets bundles and the solution of some of the leading conjectures in the area
such as Green–Griffiths and Kobayashis conjectures. Other applications to complex
dynamics in higher dimensions are also available, both in the realm of discrete
dynamics and in that of holomorphic foliations. On another side, pluripotential
v
vi Preface
theory and complex Monge–Ampère equations are used to characterize complex

manifolds (the so-called parabolic complex manifolds and Grauert tubes).
The CIME session in Cetraro on Pluripotential theory was a great and unique
occasion to present a few courses on topics of high interest in the area and to join
both experts and young mathematicians in a nice environment. The school, from
which these notes are taken, was aimed to provide courses on pluripotential theory
and Monge–Ampère equation and applications to algebraic geometry, complex
dynamics and differential geometry. The program with its wide range of topics
brought together mathematicians and young researchers with different background:
complex analysis and geometry, differential geometry, dynamics, and differential
equations.
The courses and the notes taken from them which constitute the chapters of this
volume are briefly described hereafter.
In his lectures, François Berteloot gives a synthetic and self-contained exposition
of the theory of bifurcation currents in holomorphic families of rational maps, giving
applications of pluripotential theory to complex dynamics. He constructs the Green
measure (the maximal entropy measure) for a fixed rational map and discusses
its dynamical properties and proves an approximation formula for its Lyapunov
exponent. He presents some concrete holomorphic families of examples and proves
the Branner–Hubbard result about the compactness of the connectedness locus and
introduces the hypersurfaces Pern .w/ whose distribution turns out to shape the
bifurcation locus. He also describes the moduli space Mod2 of degree two rational
maps. Next, he studies the bifurcation current Tbif and gives a proof of DeMarco’s
fundamental results which precisely relates the Lyapunov exponent to the Green
function evaluated on the critical points. He then studies how the asymptotic
distribution of dynamically defined hypersurfaces is governed by the bifurcation
k
current. Finally, he examines the higher exterior powers Tbif of the bifurcation
current. He concentrates on the highest power and shows that the support of such a
measure is the seat of the strongest bifurcations.
Zbigniew Błocki ’s lectures present two situations where the complex Monge–
Ampère equation appears in Kähler geometry: the Calabi conjecture and geodesics
in the space of Kähler metrics. In the first case the problem is to construct, in
a given Kähler class, a metric with prescribed Ricci curvature. It turns out that
this is equivalent to finding a metric with prescribed volume form and thus to
solving nondegenerate complex Monge–Ampère equation on a manifold with no
boundary. In the second case to find a geodesic in a Kähler class one has to solve
a homogeneous complex Monge–Ampère equation on a manifold with boundary.
In his self-contained lecture notes, Błocki discusses both the geometric aspects
and the PDE part, mostly a priori estimates, starting from a very elementary
introduction to Kähler geometry. He introduces the Calabi conjecture and its
equivalence to complex Monge–Ampère equation. Later he gives basic properties of
the Riemannian structure of the space of Kähler metrics, the Aubin–Yau functional
and the Mabuchi K-energy as well as relation to constant scalar curvature metrics.
The Lempert–Vivas example is also described. The notes contain also fundamental
results on complex Monge–Ampère equations such as the basic uniqueness results
as well as the comparison principle. Among other things, the continuity method,
Preface vii
used to prove existence of solutions, is described and Yau’s proof of the L1 -

estimate using Moser’s iteration is presented.
Pluripotential theory is a powerful and strong tool also in algebraic geometry as
shown in Jean–Pierre Demailly ’s lectures note. In his lectures, he describes the main
techniques involved in the proof of holomorphic Morse inequalities which relate
certain curvature integrals to the asymptotic cohomology of large tensor powers of
line or vector bundles bring a useful complement to the Riemann–Roch formula.
He also describes their link with Monge–Ampère operators and intersection theory.
Finally, he provides applications to the study of asymptotic cohomology functionals
and the Green–Griffiths–Lang conjecture. The latter conjecture asserts that every
entire curve drawn on a projective variety of general type should satisfy a global
algebraic equation; via a probabilistic curvature calculation, holomorphic Morse
inequalities imply that entire curves must at least satisfy a global algebraic
differential equation.
Giorgio Patrizio ’s lectures in the CIME session were based on the lecture notes
by himself and Andrea Spiro, included in this volume. In these notes the authors
discuss the link between pluripotential theory and Monge–Ampère foliations. The
latter turned out to have many applications in complex geometry, and the selection
of a good candidate for the associated Monge–Ampère foliation is always the first
step in the construction of well-behaved solutions of the complex homogeneous
Monge–Ampère equation. After reviewing some basic notions on Monge–Ampère
foliations, the authors concentrate on two main topics. They discuss the construction
of (complete) modular data for a large family of complex manifolds, which carry
regular pluricomplex Green functions. This class of manifolds naturally includes
all smoothly bounded, strictly linearly convex domains and all smoothly bounded,
strongly pseudoconvex circular domains of Cn . Then they report on the problem
of defining pluricomplex Green functions in the almost complex setting, providing
sufficient conditions on almost complex structures, which ensure existence of almost
complex Green pluripotentials and equality between the notions of stationary disks
and of Kobayashi extremal disks, and allow extensions of known results to the case
of non-integrable complex structures.
It is a real great pleasure to thank the speakers for their very interesting lectures
and all the authors for the nice lectures notes they have carefully prepared for this
volume. We also want to warmly thank all the participants to the CIME session for
their enthusiasm and interest in the subject and for having created a very friendly
environment which made possible to experience such a great scientific atmosphere.
Last but not least, we want to thank the CIME organization for giving us the
opportunity to organize and financing this school and the GNSAGA of INDAM for
support. Our special gratitude also to Pietro Zecca and Elvira Mascolo.
Also, a special thanks to Mrs. Ute McCrory at Springer for her assistance in
preparing the volume.
Rome, Italy Filippo Bracci

Ann Arbor, MI John Erik Fornæss
Contents
Bifurcation Currents in Holomorphic Families of Rational Maps . . . . . . . . . 1

François Berteloot
The Complex Monge–Ampère Equation in Kähler Geometry .. . . . . . . . . . . . . 95
Zbigniew Błocki
Applications of Pluripotential Theory to Algebraic Geometry . . . . . . . . . . . . . 143
Pluripotential Theory and Monge–Ampère Foliations.. .. . . . . . . . . . . . . . . . . . . . 265
G. Patrizio and A. Spiro
ix
Bifurcation Currents in Holomorphic Families
of Rational Maps
François Berteloot
Je dédie ce texte à mes parents ainsi qu’à la mémoire de mon

ami Giovanni Bassanelli.
Abstract These lectures are devoted to the study of bifurcations within holomor-
phic families of rational maps or polynomials by mean of ergodic and potential
theoretic tools. After giving a general overview of the subject, we consider rational
functions as ergodic dynamical systems and introduce the Green measure of a
rational map and study the properties of its Lyapunov exponent. Next we consider
Holomorphic families and introduce the class of hypersurfaces (Pern(w)) in the
parameter space of a holomorphic family and study the connectedness locus
in polynomial families. Then we introduce the bifurcation current and discuss
equidistribution towards the bifurcation current and the self-intersection of the
bifurcation current.
1 Introduction
In these lectures we will study bifurcations within holomorphic families of polyno-

mials or rational maps by mean of ergodic and pluripotential theoretic tools.
A family of rational maps .f /2M , whose parameter space M is a complex
manifold, is called a holomorphic family if the map .; z/ 7! f .z/ is holomorphic
on M P1 and if the degree of f is constant on M . The simplest example is the
quadratic polynomial family .z2 C /2C . The space of all rational maps of the same
degree may also be considered as such a family.
F. Berteloot ()
C.I.M.E Course, Cetraro, Italy
e-mail: berteloo@picard.ups-tlse.fr
G. Patrizio et al., Pluripotential Theory, Lecture Notes in Mathematics 2075, 1

DOI 10.1007/978-3-642-36421-1 1, © Springer-Verlag Berlin Heidelberg 2013
2 F. Berteloot
The interest for bifurcations within holomorphic families of rational maps started
in the eighties with the seminal works of Mañé–Sad–Sullivan [42], Lyubich [41],
and Douady–Hubbard [24, 25]. At the end of this decade, McMullen used Mañé–
Sad–Sullivan ideas and Thurston’s theory in his fundamental work on iterative root-
finding algorithms [45].
In any holomorphic family, the stability locus is the maximal open subset of the
parameter space on which the Julia set moves continuously with the parameter. Its
complement is called the bifurcation locus. In the quadratic polynomial family, the
bifurcation locus is nothing but the boundary of the Mandelbrot set.
Mañé, Sad and Sullivan have shown that the stability locus is dense and
their results also enlighted the (still open) question of the density of hyperbolic
parameters. McMullen proved that any stable algebraic stable family of rational
maps is either trivial or affine (i.e. consists of Lattès examples), his classification of
generally convergent algorithms follows from this central result.
Potential theory has been introduced in the dynamical study of polynomials by
Brolin in 1965. These tools and, more precisely the pluripotential theory developed
after the fundamental works of Bedford–Taylor, turned out to be extremely powerful
to study holomorphic dynamical systems depending on several complex variables.
In this context, the compactness properties of closed positive currents somehow sup-
ply to the lack of suitable normality criterions for holomorphic mappings. We refer
to the lecture notes [23, 58] by Sibony and Dinh–Sibony for these aspects. As we
shall see, these potential-theoretic tools are well adapted for studying bifurcations
in one-dimensional holomorphic dynamical systems. The underlying reason for this
unity of methods is certainly that holomorphic families are actually holomorphic
dynamical systems of the form M P1 3 .; z/ 7! .; f .z// 2 M P1 .
The use of potential theory in the study of parameter spaces actually started rather
soon. Indeed, as revealed by the work of Douady–Hubbard [26] and Sibony [57]
around 1980, the Green function of .z2 C / evaluated at the critical value plays a
crucial role in the study of the Mandelbrot set. The relation between this quantity
and the Lyapunov exponent was also known and Przytycki explicitly raised the
problem to “understand the connections between Lyapunov exponent characteristic
and potential theory for rational mappings” [54]. Let us also mention that Mañé
proved that the Lyapunov exponent of a rational map and the Hausdorff dimension
of its maximal entropy measure are closely related: their product is equal to the
logarithm of the degree of the map [43].
Around 2000, a decisive achievement was made by DeMarco. She generalized
Przytycki’s formula and proved that, in any holomorphic family of rational maps,
the bifurcation locus is the support of a .1; 1/ closed positive current admitting the
Lyapunov exponent function as a global potential [19, 20]. This current, denoted
Tbif , is now called the bifurcation current.
In the recent years, several authors [2–4, 13, 14, 27, 29, 33, 53] have investigated
the geometry of the bifurcation locus using the current Tbif and its exterior powers
k
Tbif WD Tbif ^ Tbif ^ ^ Tbif . We shall present here most of the results obtained
in these papers. They go from laminarity statements for certain regions of the
bifurcation locus to Hausdorff dimension estimates and include precise density (or
Bifurcation Currents in Holomorphic Families of Rational Maps 3
equidistribution) properties relative to various classes of specific parameters. Let us

k
stress that a common feature of these papers is to use the supports of the Tbif to
enlight a certain stratification of the bifurcation locus.
We have not discussed bifurcation theory for families of endomorphisms of
higher dimensional complex projective spaces but have mentioned, among the
techniques presented in these notes, those which also work in this more general
context. These aspects have been considered by Bassanelli, Dupont, Molino and the
author [2, 8], by Pham [53] and also appear in Dinh–Sibony’s survey [23]. Let us
mention that Deroin and Dujardin [21] have recently extended these methods for
studying bifurcations in the context of Kleinian groups.
Let us now describe the contents of these notes more precisely. Section 2 mainly
deals with the construction of the Green measure (the maximal entropy measure)
for a fixed rational map. We show that this measure enjoys good ergodic properties
and prove a very important approximation formula for its Lyapunov exponent. This
formula, which roughly says that the Lyapunov exponent can be computed on cycles
of big period, will be crucial for investigating the structure of the bifurcation current.
The classical results presented in this section are essentially due to Lyubich. The
approximation formula (and its generalization to higher dimensional rational maps)
is due to Dupont, Molino and the author.
Section 3 has a double purpose. One is to present some concrete holomorphic
families on which we shall often work, the other is to introduce the hypersurfaces
Pern .w/ whose distribution turns out to shape the bifurcation locus. We study
polynomial families and prove an important result due to Branner–Hubbard about
the compactness of the connectedness locus. As a by-product, we obtain some
informations which will later be decisive to control the global behaviour of the
bifurcation current in such families. We also study the moduli space Mod2 of degree
two rational maps, that is the space of holomorphic conjugacy classes of degree
two rational maps. To some extent, this space can be considered as a holomorphic
family and presents some common features with the family of cubic polynomials.
Following Milnor, we show that Mod2 can be identified in a dynamically natural
way to C2 .
In a fixed holomorphic family, Per n .w/ is defined as the set of parameters for
which the corresponding map has a cycle of multiplier w and exact period n.
We show that the Pern .w/ are complex hypersurfaces (co-dimension one complex
analytic subsets) in the parameter space and give some precise global defining
functions for them. This will be an important tool to study the equidistribution of
the bifurcation current by the hypersurfaces Per n .w/.
The core of Sect. 4 is devoted to the definition of the bifurcation current Tbif . It
starts with a brief survey of Mañé–Sad–Sullivan work and a motivated introduction
of Tbif . We then formally define the bifurcation current, we also introduce the
activity currents of marked critical points and relate them to Tbif . Most of the section
is devoted to DeMarco’s fundamental results. We prove that Tbif is supported by the
bifurcation locus and admits both the Lyapunov exponent function and the sum of
the Green function evaluated on critical points as a global potential. We end the
4 F. Berteloot
section with a proof of DeMarco’s formula which precisely relates the Lyapunov
exponent with the Green function evaluated on the critical points. Our presentation
of these results only relies on computations with closed positive currents. It is due
to Bassanelli and the author who also generalized it to higher dimensional rational
maps.
In Sect. 5, we study how the asymptotic distribution of dynamically defined
hypersurfaces is governed by the bifurcation current. Most of the results presented
here are valid in polynomial families and in Mod2 but some are actually true in
any holomorphic family. We are mainly interested by the hypersurfaces Per n .w/
(for jwj 1) and the hypersurfaces Per.c; k; n/ defined by the pre-periodicity of
a critical point c (i.e. f n .c/ D f k .c/). We prove that, conveniently weighted,
these hypersurfaces equidistribute the bifurcation current. The results concerning
Per.c; k; n/ are due to Dujardin and Favre while those concerning Pern .w/ are due
to Bassanelli and the author, we have tried here to unify their presentation. These
results yield a precise description of the laminated structure of the bifurcation locus
in large regions of Mod2 . More precise laminarity results, due to Dujardin, are
presented at the end of the section.
k
In Sect. 6, we investigate the higher exterior powers Tbif of the bifurcation
current. Although we prove some general results which indicate that the supports
k
of Tbif induce a dynamically meaningful stratification of the bifurcation locus,
we concentrate our attention on the highest power, a measure, denoted bif and
called the bifurcation measure. Our main goal is to show that the support of bif
is the seat of the strongest bifurcations. To this purpose we first prove that this
support is simultaneously approximated by extremely stable parameters (hyper-
bolic) and highly unstable ones (Shishikura, Misiurewicz). The approximation
by hyperbolic or Shishikura parameters is due to Bassanelli and the author, the
approximation by Misiurewicz parameters is due to Dujardin and Favre. We then
characterize the support of bif as being the closure of the sets of Shishikura
or Misiurewicz parameters. The proof of this result, which is due to Buff and
Epstein, requires to introduce new ideas based on transversality techniques. These
methods have recently been extended by Gauthier for proving that the support of
the bifurcation measure, in the moduli space of degree d rational maps, has full
Hausdorff dimension. We end this last section with a presentation of Gauthier’s
proof.
We have tried to give a synthetic and self-contained presentation of the subject.
In most cases, we have given complete and detailed proofs and, sometimes have
substantially simplify those available in the literature. Although basics on ergodic
theory are discussed in the first section, we have not included any element of
pluripotential theory. For this we refer the reader to the appendix of Sibony’s [58]
and Dinh–Sibony’s [23] lecture notes or to the book of Demailly [18]. We finally
would like to recommend the recent survey of Dujardin [28] on bifurcation currents
and equidistribution in parameter space.
2 Rational Maps as Ergodic Dynamical Systems
Among ergodic properties of rational maps we present those which will be used in
our study. A particularly important result of this first section is an approximation
formula for the Lyapunov exponent of a rational map with respect to its maximal
entropy measure.
2.1 Potential Theoretic Aspects
2.1.1 The Fatou–Julia Dichotomy
A rational function f is a holomorphic map of the Riemann sphere to itself and may
be represented as the ratio of two polynomials
a0 C a1 z C a2 z2 C C ad zd
f D
b0 C b1 z C b2 z2 C C bd zd
where at least one of the coefficients ad and bd is not zero. The number d is
the algebraic degree of f . In the sequel we shall more likely speak of rational
map. Such a map may also be considered as a holomorphic ramified self-cover
of the Riemann sphere whose topological degree is equal to d . Among these
maps, polynomials are exactly those for which 1 is totally invariant: f 1 f1g D
f f1g D 1.
It may also be convenient to identify the Riemann sphere with the one-
dimensional complex projective space P1 that is the quotient of C2 n f0g by the
action z 7! u z of C . Let us recall that the Fubini-Study form ! on P1 satisfies
.!/ D ddc ln k k where the norm is the Euclidean one on C2 .
In this setting, the map f can be seen as induced on P1 by a non-degenerate and
d -homogenous map of C2

F .z1 ; z2 / WD a0 zd2 C a1 z1 zd2 1 C C ad zd1 ; b0 zd2 C b1 z1 zd2 1 C C bd zd1
through the canonical projection W C2 n f0g ! P1 .

The homogeneous map F is called a lift of f ; all other lifts are proportional to F .
A point around which a rational map f does not induce a local biholomorphism
is called critical. The image of such a point is called a critical value. A degree
d rational map has exactly .2d 2/ critical points counted with multiplicity. The
critical set of f is the collection of all critical points and is denoted Cf .
As for any self-map, we may study the dynamics of rational ones, that is trying
to understand the behaviour of the sequence of iterates
f n WD f ı ı f:
6 F. Berteloot
The Fatou–Julia dynamical dichotomy consists in a splitting of P1 into two

disjoint subsets on which the dynamics of f is radically different. The Julia set
of a rational map f is the subset of P1 on which the dynamics of f may drastically
change under a small perturbation of initial conditions while the Fatou set is the
complement of the Julia set.
Definition 1. The Julia set Jf and the Fatou set Ff of a rational map f are
respectively defined by:
Jf WD fz 2 P1 = .f n /n is not equicontinuous near zg

Ff WD P1 n Jf :

Both the Julia
and
the Fatou
set
are totally invariant: Jf D f Jf D f 1 Jf
and Ff D f Ff D f 1 Ff . In particular, f induces two distinct dynamical
systems on Jf and Ff .
The dynamical system f W Jf ! Jf is chaotical. However, as it results from the
Sullivan non-wandering theorem and the Fatou–Cremer classification, the dynamics
of a rational map is, in some sense, totally predictable on its Fatou set.
The periodic orbits are called cycles and play a very important role in the
understanding of the global dynamical behaviour of a map f .
Definition 2. A n-cycle is a set of n distinct points z0 ; z1 ; ; zn1 such that f .zi / D
zi C1 for 0 i n 2 and f .zn1 / D z0 . One says that n is the exact period of the
cycle.
Each point zi is fixed by f n . The multiplier of the cycleis the derivative
of f
n
1 0
at some point zi of the cycle and computed in a local chart: ı f ı n
..zi //.
It is easy to see that this number depends only on the cycle and neither on the point
zi or the chart . By abuse we shall denote it .f n /0 .zi /.
The local dynamic of f near a cycle is governed by the multiplier m. This leads
to the following
Definition 3. The multiplier of a n-cycle is a complex number m which is equal to
the derivative of f n computed in any local chart at any point of the cycle.
When jmj > 1 the cycle is called repelling
when jmj < 1 the cycle is called attracting
when jmj D 1 the cycle is called neutral.
Repelling cycles belongs to the Julia set and attracting ones to the Fatou set. For
neutral cycles this depends in a very delicate way on the diophantine properties of
the argument of m.
The first fundamental result about Julia sets is the following.
Theorem 4. Repelling cycles are dense in the Julia set.
It is possible to give an elementary proof of that result using the Brody–Zalcman

renormalization technique (see [9]). We shall see later that repelling cycles actually
equidistribute a measure whose support is exactly the Julia set.
2.1.2 The Green Measure of a Rational Map
Our goal is to endow the dynamical system f W Jf ! Jf with an ergodic

structure capturing most of its chaotical nature. This is done by exhibiting an
invariant measure f on Jf which is of constant Jacobian. Such a measure was
first constructed by Lyubich [40]. For our purpose it will be extremely important
to use a potential-theoretic approach which goes back to Brolin [12] for the case
of polynomials. We follow here the presentation given by Dinh and Sibony in their
survey [23] which also covers mutatis mutandis the construction of Green currents
for holomorphic endomorphisms of Pk .
The following Lemma is the key of the construction. It relies on the fundamental
fact that
d 1 f ? ! D ! C ddc v
for some smooth function v on P1 . This follows from a standard cohomology
argument or may be seen concretely by setting v WD d 1 ln kF .z/k
kzkd
for some lift
F of f .
Lemma 5. Up to some additive constant, there exists a unique continuous function
g on P1 such that d n f n? ! ddc g C ! for any positive measure which is given
by D ! C ddc u where u is continuous.
Proof. Let us set gn WD v C C d nC1 v ı f n1 . One sees by induction that

d n f n? D ! C ddc gn C ddc .d n u ı f n /. As the sequence .gn /n is clearly
uniformly converging, the conclusion follows by setting g WD limn gn . t
u
It might be useful to see how the function g can be obtained by using lifts.
Lemma 6. Let f be a degree d rational map. For any lift F of f , the sequence
d n ln kF n .z/k converges uniformly on compact subsets of C2 n f0g to a function
GF which satisfies the following invariance and homogeneity properties:
(i) GF ı F D dGF
(ii) GF .tz/ D GF .z/ C lnjtj, 8t 2 C.
Moreover, GF ln k k D g ı where g is a function given by Lemma 5.
Proof. Let us set Gn .z/ WD d n ln kF n .z/k. As F is homogeneous and non-
degenerate there exists a constant M > 1 such that
1
kzkd kF .z/k M kzkd :
M
8 F. Berteloot
Thus M1 kF n .z/kd kF nC1 .z/k M kF n .z/kd which, taking logarithms and

dividing by d nC1 yields jGnC1 .z/ Gn .z/j dlnnC1M
. This shows that Gn is uniformly
converging to GF . The properties (i) and (ii) follows immediately from the definition
of GF .
According to the proof of Lemma 5, g D limn v C C d nC1 v ı f n1 where
a possible choice of v is v ı D d 1 ln kF .z/k
kzkd
. To get the last assertion, it suffices
to observe that d k v ı f k ı D GkC1 Gk . t
u
The two above lemmas lead us to coin the following
Definition 7. Let F be a lift of a degree d rational map f . The Green function GF
of F on C2 is defined by
GF WD lim d n ln kF n .z/k:
n
The Green function gF of f on P1 is defined by
GF ln k k D gF ı :
We will often commit the abuse to denote gf any function which is equal to gF up
to some additive constant and to call it the Green function of f .
The function GF is p:s:h on C2 with a unique pole at the origin.
It is worth emphasize that both gF and GF are uniform limits of smooth
functions. In particular, these functions are continuous. One may actually prove
more (see [23, Proposition 1.2.3] or [2, Proposition 1.2]):
Proposition 8. The Green functions GF .z/ and gF .z/ are Hölder continuous in F
and z.
We are now ready to define the Green measure f and verify its first properties.
Theorem 9. Let f be a degree d 2 rational map and g be the Green function
of f . Let f WD ! C ddc g. Then f is a f -invariant probability measure whose
support is equal to Jf . Moreover f has constant Jacobian: f ? f D df .
Proof.R That f is a probability measure follows immediately from Stokes theorem
since P1 ! D 1.
We shall use Lemma 5 for showing that f ? f D df . By construction v C
d 1 g ı f D limn v C d 1 gn ı f D limn gnC1 D g and thus d 1 f ? f D ! C
ddc v C d 1 ddc .g ı f / D ! C ddc .v C d 1 g ı f / D f .
The invariance property f? f D f follows immediately from f ? f D df
by using the fact that f? f ? D d Id .
Let us show that the support of f is equal to Jf . If U R Ff is open then
f n? ! is uniformly bounded on U and therefore f .U / D lim U d n f n? ! D 0,
this shows
that Supp f Jf . Conversely the identity f ? f D df implies
c
that Supp f is invariant by f which, by Picard–Montel’s theorem, implies
c
that Supp f Ff . One should first observe that, since f has continuous
potentials, Supp f certainly contains more than three points. t
u
It is sometimes useful to use the Green function GF for defining local potentials
of f .
Proposition 10. Let f be a rational map and F be a lift. For any section of the
canonical projection defined on some open subset U of P1 , the function GF ı is
a potential for f on U .
Proof. On U one has ddc GF ı D ddc gF Cddc ln kk D ddc gF C ddc ln k k D
ddc gF C . ı / ! D ddc gF C ! D f . t
u
Let us underline that, by construction, the measure f has continuous local

potentials and in particular cannot give mass to points.
The measure f can also be obtained as the image by the canonical projection
W C2 n f0g ! P1 of a Monge–Ampère measure associated to the positive part
GFC WD max .GF ; 0/ of the Green function GF .
Proposition 11. Let F be a lift of a degree d rational map f and GF be the Green
function of F . The measure F WD ddc GFC ^ ddc GFC is supported on the compact
set fGF D 0g and satisfies F ? F D d 2 F and ? F D f .
This construction will be used only once in this text and we therefore skip its
proof. Observe that the support of F is contained in the boundary of the compact
set KF WD fGF 0g which is precisely the set of points z with bounded forward
orbits by F .
The case of polynomials presents very interesting features, in particular the
Green measure coincides with the harmonic measure of the filled-in Julia set.
Proposition 12. Let P be a degree d 2 polynomial on C. The Green function
gC;P of P is the subharmonic function defined on the complex plane by
gC;P WD lim d n lnC jP n j:

n
The Green measure of P is compactly supported in the complex plane and admits
gC;P as a global potential there.

Proof. We may take F WD zd2 P . zz12 /; zd2 as a lift of P . Then F n WD
d n n z1 d n
z2 P . z2 /; z2 and
1
GF .z1 ; 1/ D lim d n ln 1 C jP n .z1 /j2 D lim d n lnC jP n .z1 /j:
2 n n
The conclusion then follows from Proposition 10. t

u
10 F. Berteloot
2.2 Ergodic Aspects
2.2.1 Mixing, Equidistribution Towards the Green Measure
Definition 13. Let .X; f; / be a dynamical system. One says that the measure
is mixing if and only if
Z Z Z
lim .' ı f n / D '
n X X X
for any test functions ' and .

This means that the events ff n .x/ 2 Ag and fx 2 Bg are asymptotically
independents for any pair of Borel sets A; B.
As we shall see, the constant Jacobian property implies that Green measures are
mixing and therefore ergodic.
Theorem 14. The Green measure f of any degree d rational map f is mixing.
R R
Proof. Let us set c' WD ' f and c WD f where ' and are two test
functions. We may assume that c' D 1.
Since f and 'f are two probability measures, there exists a smooth function
u' on P1 such that:
'f D f C u' : (1)
On the other hand, by the constant Jacobian property f f D df we have:

d n f n .' c' /f D ' ı f n c' f : (2)
Now, combining (1) and (2) we get:

Z Z Z Z

.' ı f / n
f ' f f D .' ı f n / f c' c D
Z Z

' ı f c' f D
n
d n f n .' c' /f
Z
n n
D d f .' 1/ f D
Z Z Z

d n fn u' D d n f n .u' / D d n .u' ı f n /
Z
n
Dd .u' ı f n / :
R
As .u' ı f n / is bounded, this leads to the desired conclusion. t
u
It is not hard to show that a mixing measure is also ergodic.

Definition 15. Let .X; f; / be a dynamical system. One says that the measure
is ergodic if and only if all integrable f -invariant functions are constants.
In particular this allows to use the classical Birkhoff ergodic theorem which says
that time-averages along typical orbits coincide with the spatial-average:
Theorem 16. Let .X; f; / be an ergodic dynamical system and ' 2 L1 ./. Then
Z
1X
n1
lim '.f k .x// D '
n n X
kD0
for almost every x in X .

The measure-theoretic counterpart of Fatou–Julia Theorem 4 is the following
equidistribution result which has been first proved by Lyubich [40]. The content of
Sect. 2.3.2 will provide another proof which exploits the mixing property.
Theorem 17. Let f be a rational map of P degree d . Let Rn? denote the set of all
n
n-periodic repelling points of f . Then d Rn? ız is weakly converging to f .
Let us finally mention another classical equidistribution result. We refer to [23]

for a potential theoretic proof.
Theorem 18. Let f be a degree d rational map. Then
X
lim d n ız D f
n
ff n .z/Dag
for any a 2 P1 which is not exceptional for f .

We recall that a map f has no exceptional point unless f is a polynomial or a
map of the form z˙d . A map of the form z˙d has two exceptional points: 0 and 1.
For polynomials other than zd , the only exceptional point is 1.
Although this will not be used in this text, we mention that the Green measure f
of any degree d rational map f is the unique measure of maximal entropy for f .
This means that the entropy of f is maximal and, according to the variational
principle, equals ln d which is the value of the topological entropy of f .
2.2.2 Natural Extension and Iterated Inverse Branches
To any ergodic dynamical system, it is possible to associate a new system which

is invertible and contains all the information of the original one. It is basically
obtained by considering the set of all complete orbits on which is acting a shift.
This general construction is the so-called natural extension of a dynamical system;
here is a formal definition.
12 F. Berteloot
Definition 19. The natural extension of a dynamical system .X; f; / is the

dynamical system XO ; fO; O where
XO WD fxO WD .xn /n2Z = xn 2 X; f .xn / D xnC1 g
fO.x/
O WD .xnC1 /n2Z
O n / s.t. x0 2 Bg D .B/:
f.x
The canonical projection 0 W XO ! X is given by 0 .x/

O D x0 . One sets for
.fO/1 .
Let us stress that 0 ı fO D f ı 0 and .0 / ./
O D . The measure O inherits
most of the ergodic properties of .
Proposition 20. The measure O is ergodic (resp. mixing) if and only if is ergodic
(resp. mixing).
We refer the reader to the Chap. 10 of [15] for this construction and its properties.
A powerful way to control the behaviour of inverse branches along typical
orbits of the system Jf ; f; f is to apply standard ergodic theory to its natural
extension. This is what we shall do now. The first point is to observe that one may
work with orbits avoiding the critical set of f . To this purpose one considers
XO reg D fxO 2 JOf = xn … Cf I 8n 2 Zg:
As O f is fO-invariant and f does not give mass to points, one sees that
O f .XO reg/ D 1.
Definition 21. Let xO 2 XOreg and p 2 Z. The injective map induced by f on
some neighbourhood of xp is denoted fxp . The inverse of fxp is defined on some
neighbourhood of xpC1 and is denoted fx1
p
. We then set
fxOn WD fx1
n
ı ı fx1
1
:
The map fxOn is called iterated inverse branch of f along xO and of depth n.
It will be good to keep in mind that fxOn .x0 / D xn and that fxO1 D fx11
.
The following Proposition yields a control of the disc on which fx1 k1
is defined.
Proposition 22. For any sufficiently small and strictly positive , there exists a
function ˛ W XO reg ! 0; 1Œ such that
O e ˛ .x/
˛ . .x// O and
fx1
k1
is defined on D.xk ; ˛ . k
O
.x///
for O f -a.e. xO 2 XOreg and every k 2 Z.

The function ˛ is a so-called slow function. The interest of such a function relies
on the fact that its decreasing might be negligible with respect to other datas. For
instance, in some circumstances, Proposition 22 will tell us that the local inverses
fx1
k
are defined on discs whose radii may essentially be considered as constant
O
along the orbit x.
Proof. We need the following quantitative version of the inverse mapping theorem
(see [11, Lemme 2]).
Lemma 23. Let .x/ WD jf 0 .x/j , r.x/ WD .x/2 . There exists 0 > 0 and, for
2 0; 0 , 0 < C1 . /; C2 . / such that for every x 2 Jf :
1. f is one-to-one on D .x; C1 . / .x//,
2. D.f .x/; C2 . /r.x// f ŒD .x; C1 . / .x// ,
3. Lip fx1 e 3 .x/1 on D.f .x/; C2 . /r.x//.
O WD Min .1; C2 . /r.x1 //. According to the two first assertions
Let us set ˇ .x/
of the above Lemma, fx1 1
D fxO1 is defined on D.x0 ; ˇ .x// O and, similarly,
1 1
fxk1 D f k .x/
O
is defined on D.xk ; ˇ . k
. O
x///. All we need is to find a function

˛ such that 0 < ˛ < ˇ and ˛ . .x// O e ˛ .x/. O
As f admits continuous local potentials,
R the function ln ˇ is O f -integrable.
1 Pn
Then, by Birkhoff ergodic theorem 16, XO ln ˇ O f D limjnj!C1 jnj kD1 ln
O and, in particular
ˇ . k .x//
1
lim O D 0 for O f -a.e. xO 2 XO :
ln ˇ . n .x//
jnj!C1 jnj
In other words, for O f -a.e. xO 2 XO reg there exists n0 . ; x/O 2 N such that
O e jnj for jnj n0 . ; x/.
ˇ . n .x// O Setting then V WD infjnjn0 . ;x/ n
O
O ˇ . .x//

e jnj O
we obtain a measurable function V W Xreg ! 0; 1 such that: ˇ . .x// n
O
O for O f -a.e. xO 2 XO reg and every n 2 Z. It suffices to take ˛ .x/
e jnj V .x/ O WD
O jnj g.
Infn2Z fˇ . n .x//e t
u
2.3 The Lyapunov Exponent
2.3.1 Definition, Formulas and Some Properties

Let us consider the ergodic dynamical system Jf ; f; f which has been con-
structed in the last section. As the measure f has continuous local potentials, the
function ln jf 0 j belongs to L1 .f / for any choice of a metric j j on P1 . We may
therefore apply the Birkhoff ergodic theorem 16 to get:
Z
1X
n1
1
lim ln j.f n /0 .z/j D lim ln jf 0 .f k .z//j D ln jf 0 j f ; f -a.e. (3)
n n n n P1
kD0
14 F. Berteloot
R
This identity shows that the integral P1 ln jf 0 j f does not depend on the choice
of the metric j j and leads to the following definition.
Definition 24. The Lyapunov exponent of the ergodic dynamical system
.Jf ; f; f / is the number
Z
L.f / D ln jf 0 j f :
P1
For simplicity we shall say that L.f / is the Lyapunov exponent of f .

As the identity (3) shows, the Lyapunov exponent L.f / is the exponential rate
of growth of j.f n /0 .z/j for a typical z 2 Jf .
Remark 25. Using the invariance property f f D f one immediately sees that
L.f n / D nL.f /.
We shall need an expression of L.f / which uses the formalism of line bundles.
In order to prove it, we first compare the Lyapunov exponents of f with the sum of
Lyapunov exponents of one of its lifts F .
Proposition 26. Let F be a lift of some rational map f of degree d .RThen the sum of
Lyapunov exponents of F with respect to F is given by L.F / WD ln j det F 0 j F
and is equal to L.f / C ln d .
Proof. Let F be a polynomial lift of f . We shall compute the Lyapunov exponent

using the spherical metric j js . Exploiting the fact that f ! D jf 0 j2s !, it is not
difficult to check that
1 kzk2 ˇˇ ˇ
jf 0 . /js D det F 0 .z/ˇ
d kF .z/k2
for any z such that .z/ D . We thus have
1 1 kzk2 1 ˇ ˇ
ln j.f n /0 . /js C ln d D ln C ln ˇdet.F n /0 .z/ˇ :
n n kF .z/k
n 2 n
Then the conclusion follows by Birkhoff theorem 16 since kF n .z/k stays away
from 0 and C1 when z is in the support of F and ? F D f . t
u
For any integer D the line bundle OP1 .D/ over P1 is the quotient of .C2 nf0g/C
by the action of C defined by .z; x/ 7! .uz; uD x/. We denote by Œz; x the elements
of this quotient.
The canonical metric on OP1 .D/ may be written
kŒz; x k0 D e D ln kzk jxj:

The homogeneity property of GF allows us to define another metric on OP1 .D/ by

setting
kŒz; x kGF D e DGF .z/ jxj:
Let us underline that, according to Definition 7, k kGF D e DgF k k0 .
The expression given in the following Lemma will allow us to perform integra-
tion by parts and get some fundamental formulas. This will turn out to be extremely
useful when we shall relate the Lyapunov exponent with bifurcations in Sect. 4.
Lemma 27. Let f be a rational map of degree d 2 and F be one of its lifts. Let
D WD 2.d 1/ and JacF be the holomorphic section of OP1 .D/ induced by det F 0 .
Then Z
L.f / C ln d D ln kJacF kGF f :
P1
Proof. The section JacF is defined by JacF ..z// WD Œz; det F 0 for any z 2 C2 nf0g.
Using Proposition 26, the fact that GF vanishes on the support of F and F D
f we get
Z Z
L.f / C ln d D ln j det F 0 j F D ln j det F 0 j F
C2 fGF D0g
Z Z

D ln e DGF .z/ j det F 0 j F D ln kJacF ı kGF F
fGF D0g C2
Z
D ln kJacF kGF f : t
u
P1
It is an important and not obvious fact that L.f / is strictly positive. It actually
follows from the Margulis–Ruelle inequality that L.f / 12 ln d where d is the
degree of f . We will present later a simple argument which shows that this bound is
equal to ln d for polynomials (see Theorem 77). Zdunik [63] and Mayer [44] have
proved that the bound 12 ln d is taken if and only if the map f is a Lattès example.
Let us summarize these results in the following statement.
Theorem 28. The Lyapunov exponent of a degree d rational map is always greater
than 12 ln d and the equality occurs if and only if the map is a Lattès example.
We recall that a Lattès map is, by definition, induced on the Riemann sphere from
an expanding map on a complex torus by mean of some elliptic function. We refer
to the survey paper of Milnor [50] for a detailed discussion of these maps.
A remarkable consequence of the positivity of L.f / is that the iterated inverse
branch fxOn (see Definition 21) are approximately e nL -Lipschiptz and are defined
on a disc whose size only depends on x. O
Proposition 29. There exists 0 > 0 and, for 2 0; 0 , two measurable functions
W XOreg ! 0; 1 and S W XO reg ! 1; C1 such that the maps fxOn are defined on
16 F. Berteloot
O n.L / for O f -a.e. xO 2 XOreg and for every

O and Lip fxOn S .x/e
D.x0 ; .x//
n 2 N.
Proof. We may assume that 0 < 0 < L3 . Since fxOn P
D fx1
n
ı ı fx1
1
, the third
assertion of Lemma 23 yields ln Lip fxOn n 3 nkD1 ln .xk /. By Birkhoff
ergodic theorem we thus have
1
lim sup ln Lip fxOn L C for O f -a.e. xO 2 XO :
n 3
O such that Lip fxOn e n.L / for n n0 .x/

Then there exists n0 .x/ O and it suffices
n.L / n

to set S WD max0nn0.x/ O e Lip fxO
to get the estimate
Lip fxOn S .x/e

O n.L /
for every n 2 N and O f -a.e. xO 2 XO reg :
We now set WD ˛
S
where ˛ is the given by Proposition 22. Let us check by
O for O f -a.e. xO 2 XO and
induction on n 2 N that fxOn is defined on D.x0 ; .x//
every n 2 N. Here we will use the fact that the function ˛ is slow: ˛ . .x// O
e ˛ .x/.
O
Assume that fxOn is defined on D x0 ; .x/
O . Then, by our estimate on Lip fxOn ,
we have
fxOn D x0 ; .x/
O D xn ; e n.L / ˛ .x/
O :
On the other hand, by Proposition 22, the branch fx1 is defined on the disc

n1
O
D xn ; ˛ . nC1 .x// which, as ˛ is slow, contains D xn ; e .nC1/ ˛ .x/
O . Now,
.nC1/
since 0 < 0 < L3 one has e .nC1/ e n.L / and thus fxO D fx1 ı fxOn is
n1
O .
defined on D x0 ; .x/ t
u
2.3.2 Lyapunov Exponent and Multipliers of Repelling Cycles
The following approximation property will play an important role in our study
of bifurcation currents. We would like to mention that Deroin and Dujardin have
recently used similar ideas to study the bifurcation in the context of Kleinian groups
(see [21]).
Theorem 30. Let f W P1 ! P1 be a rational map of degree d 2 and L the
Lyapunov exponent of f with respect to its Green measure. Then:
X 1
L D lim d n ln j.f n /0 .p/j
n

n
p2Rn
where Rn WD fp 2 P1 = p has exact period n and j.f n /0 .p/j > 1g.
Observe that the Lyapunov exponent limk k1 ln j.f k /0 .p/j of f along the orbit
of a point p is precisely equal to n1 ln j.f n /0 .p/j when p is n periodic. The above
Theorem thus shows that the Lyapunov exponent L of f is the limit, when n !
C1, of the averages of Lyapunov exponents of repelling n-cycles.
To establish the above Theorem, we will prove that the repelling cycles equidis-
tribute the Green measure f in a somewhat constructive way and control the
multipliers of the cycles which appear. For this purpose, we follow the approach
used by Briend–Duval [11] where the positivity of the Lyapunov exponent plays a
crucial role and which also works for endomorphisms of Pk . This strategy actually
yields to a version of Theorem 30 for endomorphisms of Pk ; this has been done
in [8]. Okuyama has given a different proof of Theorem 30 in [51, 52], his proof
actually does not use the positivity of the Lyapunov exponent. The proof we present
here is that of [7] with a few more details.
Proof. For the simplicity of notations we consider polynomials and therefore work
on C with the Euclidean metric. We shall denote D.x; r/ the open disc centered at
x 2 C and radius r > 0. From now on, f is a degree d 2 polynomial whose Julia
set is denoted J and whose Green measure is denoted . t
u
We shall use the natural extension (see Sect. 2.2.2) and exploit the positivity of
L through Proposition 29. Let us add a few notations to those already introduced in
Propositions 22 and 29. Let 0 < 0 be given by Proposition 22.
For 0 < 0 and n; N 2 N we set:
1
XO N WD fxO 2 XO = .x/
O O Ng
and S .x/
N
O N WD 1XO O
N
N WD 0? O N :
For 0 < L and n; N 2 N we set:
Rn WD fp 2 C = f n .p/ D p and j.f n /0 .p/j e n.L / g

X
n WD d n ıp
Rn
Rn WD RnL D fp 2 C = f .p/ D p and j.f n /0 .p/j 1g

n
X
n
n WD L
n Dd ıp :
Rn
The following lemma reduces the problem to some estimates on Radon–

Nikodym derivatives.
18 F. Berteloot

Lemma 31. If any weak limit of n n for 2 0;
satisfies d0 1 for some
0Œ
dN
0 d n P n 0
> 0 and every N 2 N then L
n ! and L D limn n Rn ln j.f / .p/j.
We start by showing that n ! for any 2 0; L . Let be a weak limit

Proof.
of n n . Since all the n are probability measures, it suffices to show that D .
0
Assume first that 0 < < 0 . By assumption d 0 1 and therefore N for
dN
every N 2 N. Letting N ! C1 one gets . This actually implies that D
since
dn C 1
.J / lim sup n .J / lim D 1 D .J /:
n n dn
We have shown that n ! for 0 < < 0 . Let us now assume that 20 DW 1 .
As n n1 and n1 ! , one gets . Just as before this implies that
D .
n P
n 0
We now want to show that L D limn d n Rn ln j.f / .p/j. Let us set 'n .p/ WD
n 0
n ln j.f / .p/j. For M > 0 one has
1
X X Z
n .J /.L / d n 'n .p/ d n 'n .p/ D ln jf 0 jn
Rn Rn J
Z

Max ln jf 0 j; M n
J
since n ! and n D L
n ! we get
X X
.L / lim inf d n 'n .p/ lim sup d n 'n .p/
Rn Rn
Z

Max ln jf 0 j; M :
J
n
P
To obtain lim d Rn 'n .p/ D L it suffices to make first M ! C1 and then
! 0.
n
Since there are less than 2nd 2 periodic points whose period strictly divides n,
one may replace Rn by Rn WD fp 2 P1 = p has exact period n and j.f n /0 .p/j
1g. t
u
Let us now finish the proof of Theorem 30. We assume here that 0 < < 20 . Let
aO 2 XON and a WD .a/. O For every r > 0 we denote by Dr the closed disc centered
at a of radius r. According to Lemma 31, it suffices to show that any weak limit
of 2n n satisfies
1
.Dr 0 / N .Dr 0 /; for any integer N and all 0 < r 0 < : (4)
N
Let us pick r 0 < r < 1

N . We set DO r WD 1 .Dr / and:
CO n WD fxO 2 DO r \ XOreg N = fxOn .Dr / \ Dr 0 ¤ ;g:
Let also consider the collection Sn of sets of the form fxOn .Dr / where xO runs in CO n .
As fxOn is an inverse branch on Dr of the ramified cover f n , one sees that the sets
of the collection Sn are mutually disjoint.
Let us momentarily admit the two following estimates:

d n Card Sn 2n .Dr / for n big enough (5)

d n Card Sn .Dr / O fOn .DO r \ XO reg N / \ DO r 0 : (6)
Combining (5) and (6) yields:

O fOn .DO r \ XO reg N / \ DO r 0 .Dr /2n .Dr /
O implies
which, by the mixing property of ,
O DO r \ XO reg N /.
N .Dr /.Dr 0 / D . O DO r 0 / .Dr /.Dr /
since .Dr 0 / > 0, one gets (4) by making r ! r 0 .

Let us now prove the2 estimate (5). We have to show that Dr contains at least
Card Sn elements of Rn when n is big enough. Here we shall use Proposition 29.
For every xO 2 CO n XO reg N one has .x/ O N1 and S .x/ O N and thus the
map fxO is defined on Dr (r < N ) and Diam fxO .Dr / 2r Lip fxOn
n 1 n
2rS .x/eO n.L / 2rNe n.L / .

As moreover fxOn .Dr / meets Dr 0 , there exists n0 , which depends only on , r
and r 0 , such that fxOn .Dr / Dr for every xO 2 CO n and n n0 . Thus, by Brouwer
theorem, fxOn has a fixed point pn 2 fxOn .Dr / for every xO 2 CO n and n n0 . Since

the elements of Sn are mutually disjoint sets, we have produced Card Sn fixed
points of f n in Dr for n n0 . It remains to check that these fixed points belong to
Rn2 . This actually follows immediately from the estimates on Lip fxOn . Indeed:
1
j.f n /0 .pn /j D j.fxOn /0 .pn /j1 Lip fxOn N 1 e n.L / e n.L2 /
for n big enough.

Finally we prove the estimate (6). Let us first observe that
[
fOn .DO r \ XO reg N \ DO r 0 fxOn .Dr /: (7)
O COn
x2
20 F. Berteloot
This can be easily seen: if uO 2 fOn .DO r \ XO reg N / \ DO r 0 then u0 D .Ou/ 2 Dr 0 \

fxOn .Dr / where xO WD fOn .Ou/ 2 DO r \ XO reg N :

By the constant Jacobian property we have fxOn .Dr / D d n .Dr / and,
since the sets fxOn .Dr / of the collection Sn are mutually disjoint, we obtain
[ n
fxO .Dr / D Card Sn d n .Dr /: (8)
O COn
x2
Combining (7) with (8) yields 6:

Card Sn d n .Dr / fOn .DO r \ XOreg N \ DO r 0

D O 1 ı fOn .DO r \ XO reg N \ DO r 0

O fOn .DO r \ XO reg N \ DO r 0 : t
u
3 Holomorphic Families
We introduce here the main spaces in which we shall work in the next sections and
present some of their structural properties.
3.1 Generalities
3.1.1 Holomorphic Families and the Space Ratd
Let us start with a formal definition.

Definition 32. Let M be a complex manifold. A holomorphic map
f W M P1 ! P1
such that all rational maps f WD f .; / W P1 ! P1 have the same degree d 2 is
called holomorphic family of degree d rational maps parametrized by M . For short,
any such family will be denoted .f /2M .
Any degree d rational map f WD abd zzd CCa

d
1 zCa0
is totally defined by the point
d CCb1 zCb0
2d C1
Œad W W a0 W bd W W b0 in the projective space P . This allows to identify the
space Ratd of degree d rational maps with a Zariski dense open subset of P2d C1 .
We can be more precise by looking at the space of homogeneous polynomial
maps of C2 which is identified to C2d C2 by the correspondence
!
X
d X
d
.ad ; ; a0 ; bd ; ; b0 / 7! ai zi1 zd2 i ; bi zi1 zd2 i :
i D1 i D1
Indeed, Ratd is precisely the image by the canonical projection W C2d C2 ! P2d C1
of the subspace Hd of C2d C2 consisting of non-degenerate polynomials. As Hd is
2d C2
the complement Pin C of the projective variety
defined by the vanishing of the
i d i
Pd i d i
resultant Res. d
i D1 ai z1 z2 ; i D1 bi z1 z2 , one sees that Ratd D P2d C1 n †d
where †d is an (irreducible) algebraic hypersurface of P2d C1 .
From now on, we will always consider Ratd as a quasi-projective manifold. We
may therefore also see any holomorphic family of degree d rational maps with
parameter space M as a holomorphic map f from M to Ratd . In particular, we
may take for M any submanifold of Ratd ; this is especially interesting when M is
dynamically defined as are, for instance, the hypersurfaces Pern .w/ which will be
defined in the next section.
The simplest example of holomorphic family is the family of quadratic polyno-
mials. Up to affine conjugation, any degree 2 polynomial is of the form z2 C a. To
understand
2 quadratic polynomials it is therefore sufficient to work with the family
z C a a2C .
In most cases, when considering a holomorphic family .f /2M , we shall make
the two following mild assumptions.
Assumptions 33. Let .f /2M be any holomorphic family of degree d rational
maps.
A1 The marked critical points assumption means that the critical set C of f is
given by 2d 2 graphs: C D [12d 2 fci ./g where the maps M 3 7!
ci ./ 2 P1 are holomorphic.
A2 The no persistent neutral cycles assumption means that if f0 has a neutral
cycle then this cycle becomes attracting or repelling under a suitable small
perturbation of 0 .
Using a ramified cover of the parameter space M one may actually always make
sure that the assumption A2 is satisfied.
The group of Möbius transformations, which is isomorphic to PSL.2; C/, acts by
conjugation on the space Ratd of degree d rational maps. The dynamical properties
of two conjugated rational maps are clearly equivalent and it is therefore natural to
work within the quotient of Ratd resulting from this action.
The moduli space Modd is, by definition, the quotient of Ratd under the action
of PSL.2; C/ by conjugation. We shall denote as follows the canonical projection:
… W Ratd ! Modd
f 7! fN
22 F. Berteloot
We shall usually commit the abuse of language which consists in considering an

element of Modd as a rational map. For instance, “fN has a n-cycle of multiplier
w” means that every element of fN possesses such a cycle. We shall also sometimes
write f instead of fN.
Although the action of PSL.2; C/ is not free, it may be proven that Modd is a
normal quasi-projective variety [59].
Remark 34. The following property is helpful for working in Modd . Every element
f of Ratd belongs to a local submanifold Tf whose dimension equals 2d 2 and
which is transversal to the orbit of f under the action of PSL.2; C/. Moreover, Tf
of the stabilizer Aut.f / of f which is a finite subgroup
is invariant under the action
of PSL.2; C/. Finally, … Tf is a neighborhood N
of f in Modd and … induces a
biholomorphism between Tf =Aut.f / and … Tf .
3.1.2 The Space of Degree d Polynomials
As for quadratic polynomials, there exists a nice parametrization of the space of

degree d polynomials.
Let Pd be the space of polynomials of degree d 2 with d 1 marked critical
points up to conjugacy by affine transformations. Although this space has a natural
structure of affine variety of dimension d 1, we may actually work with a specific
parametrization of Pd which we shall now present.
For every .c; a/ WD .c1 ; c2 ; ; cd 2 ; a/ 2 Cd 1 we denote by Pc;a the polynomial
of degree d whose critical points are .0; c1 ; ; cd 2 / and such that Pc;a .0/ D ad .
This polynomial is explicitly given by:
d 1
1 d X .1/d j
Pc;a WD z C d j .c/zj C ad
d 2
j
where i .c/ is the symmetric polynomial of degree i in .c1 ; ; cd 2 /. For

convenience we shall set c0 WD 0.
Thus, when considering degree d polynomials, instead of working in Pd we may
consider the holomorphic family

Pc;a .c;a/2Cd 1
whose parameter space M is simply Cd 1 . Using this parametrization, one may

exhibit a finite ramified cover W Cd 1 ! Pd (see [29, Proposition 5.1]).
It will be crucial to consider the projective compactification Pd 1 of Cd 1 D M .
This is why we wanted the expression of Pc;a to be homogeneous in .c; a/ and
have used the parameter ad instead of a. In this context, we shall denote by P1 the
projective space at infinity: P1 WD fŒc W a W 0 I .c; a/ 2 Cd 1 n f0gg.
3.1.3 The Moduli Space of Degree Two Rational Maps
In his paper [48], Milnor has given a particularly nice description of Mod2 which
we will now present. The reader may also consult the fourth chapter of book of
Silverman [59].
Any f 2 Rat2 has three fixed points (counted with multiplicities) whose
multipliers may be denoted 1 ; 2 ; 3 . Let us observe that i D 1 if and only if
one of the fixed point is not simple. The symmetric functions
1 WD 1 C 2 C 3 ; 2 WD 1 2 C 1 3 C 2 3 ; 3 WD 1 2 3
are clearly
P well defined on Mod2 . It follows from the holomorphic fixed point
1i D 1 (see [49, Lecture 12]), applied in the generic case of three
1
formula
distinct fixed points, that
3 1 C 2 D 0: (9)
The above identity is the crucial point. It shows that the set of three multipliers
f1 ; 2 ; 3 g is entirely determined by .1 ; 2 /. More precisely, f1 ; 2 ; 3 g is the
set of roots of the polynomial X 3 1 X 2 C 2 X .1 2/.
Let us mention some further useful facts.
Lemma 35. The multipliers 1 ; 2 ; 3 satisfy the following identities
.1 1/2 D .1 2 1/.1 3 1/

.2 1/2 D .2 1 1/.2 3 1/
.3 1/2 D .3 1 1/.3 2 1/:
In particular, if two fixed points are distinct and have multipliers i ,j then
i j ¤ 1 and the multiplier k of the remaining fixed point is given by k D
2i j
1i j
.
Proof. The three identities are deduced from .X 1/2 .X Y 1/.XZ 1/ D

X.X C Y C Z 2 X Y Z/ taking 1 2 3 .1 C 2 C 3 / C 2 D 0 (see (9))
into account.
If two fixed points are distinct then one of them must be simple and thus i ¤ 1.
Then i j ¤ 1 follows from one of the previous identities. The expression of k
is then obtained using 1 2 3 .1 C 2 C 3 / C 2 D 0. t
u
Milnor has actually shown that .1 ; 2 / induces a good parametrization of

Mod2 [48].
Theorem 36. The map M W Mod2 ! C2 defined by fN !
7 .1 ; 2 / is one-to-one
and onto.
24 F. Berteloot
Proof. Let us denote by m the map which associates to any WD .1 ; 2 / 2 C2 the
set f1 ; 2 ; 3 g of roots of the polynomial X 3 1 X 2 C 2 X .1 2/. It is clear
that m./ ¤ f1; 1; 1g if and only if ¤ .3; 3/.
Let 2 C2 n f.3; 3/g. Let us show that M.fN/ D uniquely determines fN 2
Mod2 . Set f1 ; 2 ; 3 g D m./. At least one of the i does not equal 1 and thus
the map f has at least two distinct fixed points whose multipliers are, say, 1 ¤ 1
and 2 . After conjugation we may assume that these fixed points are 0 and 1 and
that
˛z C ˇ
f z with ˛ ¤ 0 and ˛ ˇ ¤ 0:
ız C 1
After conjugating by z 7! ˛ 1 z one gets
z C ˇ0
f z with 1 ˇ 0 0 ¤ 0
ı0z C 1
but, since ˇ 0 and ı 0 are obviously respectively equal to 1 and 2 one actually has
f z zC 1
2 zC1
with 1 2 ¤ 1. We have shown that f g z zC 1
2 zC1
as soon as
N
M.f / D M.g/. N
Let us now assume that M.fN/ D .3; 3/. In that case the multipliers of the
fixed points of f are all equal to 1 and f has actually only one fixed point. After
conjugation, we may assume that this fixed point is 1 and that f 1 f1g D f0; 1g.
p.z/ 2
Then f but, since f .z/ z D p.z/z does not vanish on the complex plane,
z z p
we must have p.z/ D z2 C c and f z C cz . After conjugating by z 7! cz we get
f z C 1z .
We have shown that M is one-to-one. It clearly follows from the above
computations that M is also onto. t
u
Remark 37. The proof of the above Theorem shows that the expression z zC i
j zC1
can
be used as a normal form where i j ¤ 1.
It will be extremely useful to consider the projective compactification of Mod2
obtained through the above Theorem:
Mod2 3 fN 7! Œ1 W 2 W 1 2 P2
whose corresponding line at infinity will be denoted by L
L WD fŒ1 W 2 W 0 I .1 ; 2 / 2 C2 n f0gg:
It is important to stress that this compactification is actually natural in the sense

that the “behaviour near L” captures a lot of dynamically meaningful informations.
This will be discussed in Sect. 3.3.3. Let us now simply mention that the line at
infinity L may somehow be parametrized by the limits of 23 .
Proposition 38. If Œ1 W 2 W 1 converges to P 2 L then the point P is of the form

Œ1 W C 1 W 0 where C 1 is a limit of 23 D 11 C 12 C 13 in P1 . Moreover,
¤ 0; 1 if and only if two of the multipliers j stay bounded as Œ1 W 2 W 1
approaches P .
Proof. Since .1 ; 2 / tends to 1 then at least one of the i ’s tends to 1 too. Let
us assume that 3 ! 1. We first look at the case where both 1 and 2 stay
bounded. The third identity in Lemma 35 shows that 1 2 ! 1. Thus 3 ! 1 and
1 C2
3 D .1 2 /3 C 1 2 ! 1. As Œ1 W 2 W 1 D Œ 3 W 3 W 3 converges to P 2 L
1 1 1 2 1
one sees that 23 must converge in P1 and that P is of the required form.
Let us now consider the case where 2 ! 1. The first identity of Lemma 35
implies that 1 ! 0. Thus 2 2 3 and therefore 23 ! 1 and 12 ! 1. In that
case P D Œ0 W 1 W 0 which is again the announced form. t
u
3.2 The Connectedness Locus in Polynomial Families
3.2.1 Connected and Disconnected Julia Sets of Polynomials
Among rational functions, polynomials are characterized by the fact that 1 is a

totally invariant critical point. For any polynomial P the super-attractive fixed point
1 determines a basin of attraction
BP .1/ WD fz 2 C s.t. lim P n .z/ D 1g:

n
This basin is always connected and its boundary is precisely the Julia set JP
of P . The complement of BP .1/ is called the filled-in Julia set of P .
As we already saw, another nice feature of polynomials is the possibility to
define a Green function gC;P The Green function gC;P is a subharmonic function
on the complex plane which vanishes exactly on the filled-in Julia set of P (see
Proposition 12).
Any degree d polynomial P is locally conjugated at infinity with the polyno-
mial zd . This means that there exists a local change of coordinates 'P (which is
called Böttcher function) such that 'P ı P D .'P /d on a neighbourhood of 1. It is
important to stress the following relation between the Böttcher and Green functions:
ln j'P j D gC;P :
The only obstruction to the extension of the Böttcher function 'P to the full basin
BP .1/ is the presence of other critical points than 1 in BP .1/. This leads to the
following important result:
Theorem 39. For any polynomial P of degree d 2 the following conditions are
equivalent:
26 F. Berteloot
(i) BP .1/ is simply connected

(ii) JP is connected
(iii) CP \ BP .1/ D f1g
(iv) P is conformally conjugated to zd on BP .1/.
The above theorem gives a nice characterization of polynomials having a
connected Julia set. Let us apply it to the quadratic family z2 C a a2C . The Julia
set Ja of Pa WD z2 C a is connected if and only if the orbit of the critical point 0
is bounded. In other words, the set of parameters a for which Ja is connected is the
famous Mandelbrot set.
Definition 40 (Mandelbrot set). Let Pa denote the quadratic polynomial z2 C a.
The Mandelbrot set M is defined by
M WD fa 2 C s.t. sup jPan .0/j < 1g:

n
The Mandelbrot set is thus the connectedness locus of the quadratic family. It is not
difficult to show that M is compact. The compacity of the connectedness locus in
the polynomial families of degree d 3 is a much more delicate question which
has been solved by Branner and Hubbard [10]. We shall treat it in the two next
subsections and also present a somewhat more precise result which will turn out to
be very useful later.
3.2.2 Polynomials with a Bounded Critical Orbit

We work here with the parametrization Pc;a .c;a/2Cd 1 of Pd and will use the
projective compactification Pd 1 introduced in the Sect. 3.1.2.
We aim to show that the subset of parameters .c; a/ for which the polynomial Pc;a
has at least one bounded critical orbit can only cluster on certain hypersurfaces of
P1 . The ideas here are essentially those used by Branner and Hubbard for proving
the compactness of the connectedness locus (see [10, Chap. 1, Sect. 3]) but we also
borrow from the paper [29] of Dujardin and Favre.
We shall use the following
Definition 41. The notations are those introduced in Sect. 3.1.2. For every 0 i
d 2, the hypersurface i of P1 is defined by:
i WD fŒc W a W 0 = ˛i .c; a/ D 0g
where ˛i is the homogeneous polynomial given by:
d 1
1 d X .1/d j j
˛i .c; a/ WD Pc;a .ci / D c C d j .c/ci C ad :
d i j D2
j
We denote by Bi the set of parameters .c; a/ for which the critical point ci of Pc;a
has a bounded forward orbit (recall that c0 D 0):
Bi WD f.c; a/ 2 Cd 1 s.t. sup jPc;a

n
.ci /j < 1g:
n
A crucial observation about the intersections of hypersurfaces i is given by the

next Lemma.
Lemma 42. The intersection 0 \ 1 \ \ d 2 is empty and i1 \ \ ik has
codimension k in P1 if 0 i1 < < ik d 2.
Proof. A simple degree argument shows that Pc;a .0/ D Pc;a .c1 / D D
Pc;a .cd 2 / D 0 implies that c1 D D cd 2 D a D 0. Thus 0 \1 \\d 2 D ;.
Then the conclusion follows from Bezout’s theorem. t
u
Since the connectedness locus coincides with \0i d 2 Bi , the announced result
can be stated as follows.
Theorem 43. For every 0 i d 2, the cluster set of Bi in P1 is contained in
i . In particular, the connectedness locus is compact in Cd 1 .
As the Green function gc;a of the polynomial Pc;a is defined by
gc;a .z/ WD lim d n lnC jPc;a

n
.z/j
n
one sees that

Bi D f.c; a/ 2 Cd 1 s.t. gc;a .ci / D 0g:
This is why the proof of Theorem 43 will rely on estimates on the Green functions
and, more precisely, on the following result.
Proposition 44. Let gc;a be the Green function of Pc;a and G be the function
Pd 2
defined on Cd 1 by: G.c; a/ WD maxfgc;a .ck /I 0 k d 2g. Let ı WD kD0 ck
d 1 .
Then the following estimates occur:
(1) G.c; a/ ln maxfjaj; jck jg C O.1/ if maxfjaj; jck jg 1
(2) maxfgc;a .z/; G.c; a/g ln jz ıj ln 4.
Let us first see how Theorem 43 may be deduced from Proposition 44.
Proof of
Theorem 43. Let k.c; a/k1 WD maxfjaj; jck jg. We simply have to check
.c;a/
that ˛i k.c;a/k 1
tends to 0 when gc;a .ci / stays equal to 0 and k.c; a/k1 tends to
C1. As Pc;a .ci / D ˛i .c; a/ and gc;a .ci / D 0, the estimates given by Proposition 44
yield:

ln k.c; a/k1 C O.1/ max dgc;a .ci /; G.c; a/ D maxfgc;a ı Pc;a .ci /; G.c; a/g
1
ln j˛i .c; a/ ıj
4
28 F. Berteloot
since ˛i is d -homogeneous we then get:
1 .c; a/ ı
.1 d / ln k.c; a/k1 C O.1/ ln j˛i j
4 k.c; a/k1 k.c; a/kd1
and the conclusion follows since ı

k.c;a/kd1
tends to 0 when k.c; a/k1 tends to C1.
t
u
Let us end this subsection by giving a
Proof of Proposition 44.. The first estimate is a standard consequence of the uni-
form growth of Pc;a at infinity. Let us however prove it with care. We will set
A WD k.c; a/k1 and MA .z/ WD maxfA; jzjg. From
1 d jd j .c/j jajd

jPc;a .z/j jzj 1 C d maxf ; g
d j jzjd j jzjd
we get jPc;a .z/j Cd jzjd for jzj A where the constant Cd only depends on d .
We may assume that Cd 1. By the maximum modulus principle this yields
jPc;a .z/j Cd MA .z/d :
It is easy to check that
MA .C z/ CMA .z/ if C 1

MA MA .z/N D MA .z/N if A 1:
From now on we shall assume that A 1. By induction one gets
.z/j Cd1Cd CCd

n1 n
jPc;a
n
MA .z/d
which implies
ln Cd
gc;a .z/ C ln maxfk.c; a/k1 ; jzjg if k.c; a/k1 1
d 1
and in particular
ln Cd
G.c; a/ C ln k.c; a/k1 if k.c; a/k1 1:
d 1
The second estimate is really more subtle. It exploits the fact that the Green
function gC;P coincides with the log-modulus of the Böttcher coordinate function
'P and relies on a sharp control of the distortions of this holomorphic function.
The Böttcher coordinate function 'c;a W fgc;a > G.c; a/g ! C is a univalent
function such that 'c;a ı Pc;a D 'c;a
d
. It is easy to check that ln j'c;a jPD gc;a where
it makes sense and that 'c;a .z/ D z ı C O. 1z / where ı WD d11
.c/
D ck .
G.c;a/ d 1
One thus sees that 'c;a W fgc;a > G.c; a/g ! C n D 0; e is a univalent
map whose inverse c;a satisfies c;a .z/ D z C ı C O. 1z / at infinity. We shall now
apply the following result, which is a version of the Koebe 14 -theorem (see [10,
Corollary 3.3]), to c;a .
O n Dr ! C
Theorem 45. If F W C O is holomorphic and injective and
1
X an
F .z/ D z C ; z 2 C n Dr
nD1
zn

then C n D 2r F C n D r :

Pick z 2 C and set r WD 2 maxfe gc;a .z/ ; e G.c;a/ g. Then z … c;a C n D r since
otherwise we would have e gc;a .z/ D j'c;a .z/j > r 2e gc;a .z/.
Thus, according to the above distortion theorem, z … CnD ı; 2r . In other words
jz ıj 2r D 4 maxfe gc;a .z/ ; e G.c;a/ g and the desired estimate follows by taking
logarithms. t
u
3.3 The Hypersurfaces Pern .w/
We will consider here some dynamically defined subsets of the parameter space
which will play a central role in our study.
3.3.1 Defining the Pern .w/ Using Dynatomic Polynomials
For any holomorphic family of rational maps, the following result describes
precisely the set of maps having a cycle of given period and multiplier.
Theorem 46. Let f W M P1 ! P1 be a holomorphic family of degree d 2
rational maps. Then for every integer n 2 N there exists a holomorphic function
pn on M C which is polynomial on C and such that:
1. For any w 2 C n f1g, the function pn .; w/ vanishes if and only if f has a cycle
of exact period n and multiplier w.
2. pn .; 1/ D 0 if and only if f has a cycle of exact period n and multiplier 1 or
a cycle of exact period m whose multiplier is a primitive r t h root of unity with
r 2 and n D mr.
3. For every 2 M , the degree Nd .n/ of pn .; / satisfies d n Nd .n/ n1 .
This leads to the following
30 F. Berteloot
Definition 47. Under the assumptions and notations of Theorem 46, one sets
Pern .w/ WD f 2 M= pn .; w/ D 0g
for any integer n and any complex number w.

According to Theorem 46, Pern .w/ is (at least when w ¤ 1) the set of parameters
for which f has a cycle of exact period n and multiplier w. Moreover, Pern .w/
is an hypersurface in the parameter space M or coincides with M . We also stress
that the estimate on the degree Nd .n/ of pn .; / will be important in some of our
applications.
We now start to explain the construction of the functions pn . It clearly suffices
to treat the case of the family Ratd and then set pn .; w/ WD pn .f ; w/ for any
holomorphic family M 3 7! f 2 Ratd . Our presentation is essentially based on
the fourth chapter of the book of Silverman [59] and also borrows to the paper [48]
of Milnor.
We will consider polynomial families; to deal with the general case one may
adapt the proof by using lifts to C2 . According to the discussion we had in
Sect. 3.1.2, any degree d polynomial ' will be identified to a point in Cd 1 .
The key point is to associate to any integer n and any polynomial ' of degree
d 2 a polynomial ˆ';n whose roots, for a generic ', are precisely the periodic
points of ' with exact period n. Such polynomials are called dynatomic since they
generalize cyclotomic ones, they are defined as follows.
Definition 48. For a degree d polynomial ' and an integer n one sets
ˆ';n .z/ WD ' n .z/ z:
The associated dynatomic polynomials are then defined by setting

Y . n /
ˆ';n .z/ WD ˆ';k .z/ k
kjn
where W N ! f1; 0; 1g is the classical Möbius function.

It is clear that ˆ';n is a polynomial whose roots are all periodic points of ' with
exact period dividing n, and that ˆ';n is a fraction whose roots and poles belong to
the same set. Actually ˆ';n is still a polynomial but this is not at all obvious! To
P
prove it, one will systematically exploits the fact that the sum kjn . kn / vanishes
if n > 1 and computes the valuation of ˆ';n at any m-periodic point of ' for mjn.
We then obtain a precise description of the roots of ˆ';n :
Theorem 49. Let ' be a polynomial of degree d 2. Then ˆ';n is a polynomial
whose roots are the periodic points of ' with exact period m dividing n and
multiplier w satisfying wr D 1 when 2 r WD mn . The degree d .n/ of ˆ';n is
equivalent to d n .
The proof of the above Theorem will be given in the next subsection, for the
moment we admit it and prove Theorem 46. Let us note that the degree d .n/ of ˆ';n
P
is given by d .n/ D kjn d k . kn / and is clearly equivalent to d n since jj 2 f0; 1g
and .1/ D 1. We may also observe that .' n /0 .z/ D 1 for any root z of ˆ';n whose
period strictly divides n.
The construction of pn .'; w/ requires to understand the structure of the zero set
Pern of .'; z/ 7! ˆ';n .z/. We recall that ' is seen as a point in Cd 1 . Here are the
informations we need.
Proposition 50. The set Pern WD f.'; z/ = ˆ';n .z/ D 0g is an algebraic subset of
Cd 1 C. The roots of ˆ';n are simple and have exact period n when ' 2 Cd 1 nXn
for some proper algebraic subset Xn of Cd 1 .
Proof. One sees on Definition 48 that ˆ';n .z/ is rational in '. On the other hand,
ˆ';n .z/ is locally bounded as it follows from the description of its roots given by
Theorem 49. Thus ˆ';n .z/ is actually polynomial in '.
Q
Let us set .'/ WD i ¤j ˛i .'/ ˛j .'/ where the ˛i are the roots of ˆ';n
counted with multiplicity. This is a well defined function which vanishes exactly
when ˆ';n has a multiple root. This function is holomorphic outside its zero set and
therefore everywhere by Rado’s theorem. Then f D 0g is an analytic subset of
Cd 1 which is proper since '0 WD zd … f D 0g.
Let Yn be the projection of Per n \ f.' n /0 .z/ D 1g onto Cd 1 . By Remmert
mapping theorem Yn is an analytic subset of Cd 1 . Using '0 again one sees that
Yn ¤ Cd 1 . Since .' n /0 .z/ D 1 when z belongs to a cycle of ' whose period
strictly divides n, one may take Xn WD f D 0g [ Yn . t
u
Let Z.ˆ';n / be the set of roots of ˆ';n taken with multiplicity. If z 2 Z.ˆ';n / has
exact period m with n D mr, we denote by wn .z/ the r-th power of the multiplier
of z (that is .' n /0 .z/). As Theorem 49 tells us:
a point z is periodic of exact period n and wn .z/ ¤ 1 if and only if

z 2 Z.ˆ';n / and wn .z/ ¤ 1:
Let us now consider the sets
ƒn .'/ WD fwn .z/I z 2 Z.ˆ';n /g
.n/
and let us denote by i .'/, 1 i d .n/, the associated symmetric functions.
.n/
The symmetric functions i are globally defined and continuous on Cd 1 and,
according to Proposition 50, are holomorphic outside Xn . These functions are
therefore holomorphic on Cd 1 . We set
Y
d .n/
.n/
qn .'; w/ WD i .'/.w/d .n/i :
i D0
32 F. Berteloot
By construction qn .'; w/ D 0 if and only if w 2 ƒn .'/ and qn is holomorphic

in .'; w/ and polynomial in w. As Proposition 50 shows, the elements of Z.ˆ';n /
are cycles of exact period n and therefore each element of ƒn .'/ is repeated n
times when ' … Xn . This means that there exists a polynomial pn .'; / such that
qn .'; / D .pn .'; //n when ' … Xn . As pn .'; w/ is holomorphic where it does not
vanish, one sees that pn extends holomorphically to all Cd 1 C. In other words,
pn may be defined by
Y
d .n/
.n/
.pn .'; w//n WD qn .'; w/ D i .'/.w/d .n/i :
i D0
P
The degree Nd .n/ of pn .; / is equal to n1 d .n/ D 1
n kjn . kn /d k . In particular
n
Nd .n/ dn . t
u
3.3.2 The Construction of Dynatomic Polynomials
We aim here to prove Theorem 49. For this purpose, let us recall that the Möbius
function W N ! f1; 0; 1g enjoys the following fundamental property:
X n
D 0 for any n 2 N : (10)
k
kjn

Let us also adopt a few more notations. The valuation of ˆ';n resp. ˆ';n at

some point z will be denoted az .'; n/ resp. az .'; n/ . The set of m-periodic points
of ' will be denoted Per.'; m/.
The following Lemma summarizes elementary facts.
0
Lemma 51. Let be a polynomial and z 2 Per. ; 1/. Let WD .z/, then for
q 2 one has:
(i) q ¤ 1 ) az . ; q/ D az . ; 1/ D 1
(ii) ¤ 1 and q D 1 ) az . ; q/ > az . ; 1/ D 1
(iii) D 1 ) az . ; q/ D az . ; 1/ 2.
Proof. We may assume z D 0 and set D X C ˛X e C o.X e /. Then ˆ ;q is equal
to .q 1/ X C o.X / and to q˛X e C o.X e / if D 1. The assertions .i / to .iii/
then follow immediately. t
u
We have to compute az .'; n/ for z 2 Pern .'; m/ and mjn. We denote by the
multiplier of z (i.e. D .' m /0 .z/) and set N WD mn . When is a root of unity
we denote by r its order. Clearly, Theorem 49 will be proved if we establish the
following three facts:
F1: N D 1 ) az .'; n/ > 0

F2: N 2 and N ¤ 1 or D 1 ) az .'; n/ D 0
F3: N 2; N D 1 and ¤ 1 ) az .'; n/ 0 and az .'; n/ > 0 iff r D N:
Besides definitions, the following computation is based on the obvious facts that
az .'; k/ D 0 when k ¤ q m for some q 2 N and that ' qm D .' q /m :
X n X
n
az .'; n/ D az .'; k/ D az .'; q m/
k qm
kjn qmjn
X X
N N
D az .'; q m/ D az .' m ; q/:
q q
qjN qjN
We now proceed Fact by Fact, always starting with the above identity.
(F1) az .'; n/ D .1/az .' n ; 1/ > 0.
(F2) Since q ¤ 1 when qjN although D 1, the assertions (i) and (iii)

tell us that az .' ; q/ D az .' ; 1/. Then az .'; n/ D
m m
of
PLemma 51
N
qjN q az .' m ; 1/ which, according to (10), equals 0.
(F3) When r is not dividing q then q ¤ 1 and, by the assertion (i) of Lemma 51
we have az .' m ; q/ D az .' m ; 1/. We may therefore write
0 1
X X
N A N
az .'; n/ D @ az .' m ; 1/ C Œaz .' m ; q/ az .' m ; 1/ :
q q
qjN qjN; rjq
By (10), the first term in the above expression vanishes and we get
X
N=r
az .'; n/ D Œaz .' m ; rk/ az .' m ; 1/
k
kj Nr
X
N=r
D Œaz .' mr ; k/ az .' m ; 1/
k
kj Nr
N X N=r
D az .' mr ; / az .' m ; 1/ :
r N
k
kj r
We finally consider two subcases.

P
If N ¤ r then, by (10), kj N N=r k
D 0 and thus az .'; n/ D az .' mr ; Nr /.
r
Since z is a fixed point of ' mr whose multiplier equals r D 1, Fact F2 shows that
az .' mr ; Nr / D 0.
34 F. Berteloot
If N D r we get
az .'; n/ D az .' mr ; 1/az .' m ; 1/ D az .' mr ; 1/az .' m ; 1/ D az .' m ; r/az .' m ; 1/:
Since z is a fixed point of ' m whose multiplier satisfies r D N D 1 and ¤ 1,

the assertion (ii) of Lemma 51 shows that this quantity is strictly positive. t
u
Remark 52. It follows easily from the above construction that the growth of
pn .; w/ is polynomial in when 2 Cd 1 . This shows that pn .; w/ is actually a
polynomial function on Cd 1 C.
3.3.3 On the Geometry of the Pern .w/ in Particular Families
In this subsection we will describe some geometric properties of the hypersurfaces

Pern .w/ in specific families of rational maps. We are mainly interested in the
behaviour at infinity in the projective compactifications of the polynomial families
and the moduli space of degree two rational maps.
We start with the polynomial family of degree d polynomials (see Sect. 3.1.2).
The following result is a consequence of our investigations of Sect. 3.2.2. We recall
that, according to Remark 52, the sets Perm ./ may be seen as algebraic subsets of
the projective space Pd 1 .
Proposition 53. If 1 k d 1, m1 < m2 < < mk and sup1i k ji j < 1
then Perm1 .1 / \ \ Permk .k / is an algebraic subset of codimension k whose
intersection with Cd 1 is not empty.
Proof. By Bezout’s theorem, Perm1 .1 / \ \ Permk .k / is a non-empty algebraic
subset of Pd 1 whose dimension is bigger than .d 1 k/.
Any cycle of attracting basins capture a critical orbit. Therefore, Theorem 43
implies that the intersection of P1 with Perm1 .1 / \ \ Permk .k / is contained
in some i1 \ \ ik since the mi are mutually distinct and the ji j strictly
smaller than 1. Then, according to Lemma 42, P1 \ Perm1 .1 / \ \ Permk .k /
has codimension k in P1 . The conclusion now follows from obvious dimension
considerations. t
u
We now consider the space Mod2 . As it has been discussed in Sect. 3.1.3, this
space can be identified to C2 and has a natural projective compactification which is
given by
Mod2 3 fN 7! Œ1 W 2 W 1 2 P2
where 1 ,2 ,3 are the symmetric functions of the three multipliers f1 ; 2 ; 3 g of
the fixed points (we recall that 3 D 1 2, see (9)).
The line at infinity L D fŒ1 W 2 W 0 I .1 ; 2 / 2 C2 n f0gg enjoys an interesting
dynamical parametrization (see Proposition 38).
Using this identification, the defining functions pn .; w/ of Pern .w/ are poly-
nomials on C2 C. Any Per n .w/ may be seen as a curve in P2 . Understanding
the behaviour of these curves at infinity is crucial to investigate the structure of the
bifurcation locus in Mod2 . The following facts have been proved by Milnor [48].
Proposition 54. (1) For all w 2 C the curve Per 1 .w/ is actually a line whose
equation in C2 is .w2 C 1/1 w2 .w3 C 2/ D 0 and whose point at infinity
is Œw W w2 C 1 W 0 . In particular, Per1 .0/ D f1 D 2g is the line of quadratic
polynomials, its point at infinity is Œ0 W 1 W 0 .
(2) For n > 1 and w 2 C the points at infinity of the curves Pern .w/ are of the form
Œu W u2 C 1 W 0 with uq D 1 and q n.
Proof. (1) This is a straightforward computation using the fact that the multipliers
of the fixed points f1 ; 2 ; 3 g are the roots of the polynomial X 3 1 X 2 C
2 X .1 2/.
(2) Let P 2 Pern .w/ \ L. Let N WD Œ1 W 2 W 1 2 Pern .w/ such that
N ! P . We denote by j the multipliers of the fixed points of N . According
to Proposition 38 we may write P D Œ1 W C 1 W 0 where is a limit of
1
1
C 12 C 13 .
We first consider the case where ¤ 0; 1. Then we may assume that 3 ! 1,
2 ! and 1 ! 1 (recall that 1 2 must tend to 1 as it follows from the
identities of Lemma 35). By Remark 37 we may use the normal form
z C i
f D fN WD z :
j z C 1
Let us set ı WD 1 1 2 and l.z/ WD 2 z C 1. An easy computation yields
f .z/ ı
2 D1 (11)
z l.z/
and
ı
2 f 0 .z/ D 1 : (12)
l.z/2
For jıj < 1, we set:

2 2 1 1
D WD fjlj < jıj 3 g; A WD fjıj 3 jlj < jıj 3 g; C WD fjlj jıj 3 g:
We thus have a decomposition of the Riemann sphere into three distinct regions:
P1 D D [ A [ C:
Observe that the disc D [ A degenerates to the point f 1

g as
N ! P.
36 F. Berteloot
Using the identities (11) and (12) one gets the following estimates
f .z/ 1 1
D C O jıj 3 on A [ C (13)
z 2
1
jf 0 .z/j jıj
on D3 (14)
1 1

f 0 .z/ D C O jıj 3 on C: (15)
2
Let O WD fz0 ; f .z0 /; ; f n1 .z0 /g be the orbit of some n-periodic point zo
of f D fN whose multiplier equals w (recall that N 2 Per n .w/). We assume
here that N is very close to P . Then it is impossible that O D [ C with
O \ D ¤ ; since otherwise, by the estimates (13) and (15), we would have
Q 1
jwj D n10 jf 0 f j .z0 / j C jıj 3 . Thus, either O A [ C or O \ D ¤ ; and
O \ A ¤ ;.
If O A [ C then, using the estimate (14), we get
Y f j C1 .z0 / 1 1 n
n1
f n .z0 /
1D D D 1 C O jıj 3
z0 0
f j .z0 / n2
which implies that n D 1 since 2 ! and ı ! 0 when N ! P .

If O \ D ¤ ; and 0 \ A ¤ ;, we may assume that z0 2 A, f q .z0 / 2 D and
fz0 ; ; f q1 .z0 /g A [ C . Then
Y f j C1 .z0 / 1 1 q
q1
f q .z0 /
D D q 1 C O jıj 3
z0 0
f j .z0 / 2
which implies that q D 1 since 2 ! and both z0 and f q .z0 / belong to A [ D

which tends to f 1

g when N ! P .
When D 0 or D 1 the proof is similar but slightly more subtle. We refer
the reader to the paper [48] for details. t
u
The following Proposition, also due to Milnor (see Theorem 4.2 in [48]), implies
that the curves Pern .w/ D fpn .; w/ D 0g have no multiplicity.
Proposition 55. Let N2 .n/ WD Card .Pern .0/ \ Per 1 .0// be the number of hyper-
bolic components of period n in the Mandelbrot set. ThenP N2 .n/ D 22.n/ where
2 .n/ is defined inductively by 2 .1/ D 2 and 2 D n
kjn 2 .k/. Moreover,
for any w 2 and any 2 we have Deg pn .; w/ D N2 .n/ D
Card .Per n .w/ \ Per1 .// :
Epstein [31] has obtained some far advanced generalizations of the above result
and, in particular, has proved the boundedness of certain hyperbolic components of
Mod2 :
Theorem 56. Let H be a hyperbolic component of Mod2 whose elements admit

two distinct attracting cycles. If neither attractor is a fixed point then H is relatively
compact in Mod2 .
4 The Bifurcation Current
In this section, we consider an arbitrary holomorphic family .f /2M of degree d

rational maps with marked critical points (see (33)). Our first aim is to describe
necessary and sufficient conditions for the Julia set J of f to move holomor-
phically with the parameter . The parameters around which such a motion does
exist are called stable. We will show that the set of stable parameters is dense in
the parameter space, to this purpose we will relate the stability of J with the
stability of the dynamics on the critical set C of f ; this is the essence of the Mañé–
Sad–Sullivan theory. We will then exhibit a closed positive .1; 1/-current on the
parameter space whose support is precisely the complement of the stability locus;
this is the bifurcation current.
4.1 Stability Versus Bifurcation
4.1.1 Motion of Repelling Cycles and Julia Sets
As Julia sets coincide with the closure of the sets of repelling cycles (see Theorems 4
and 17), it is natural to investigate how J varies with through the parametriza-
tions of such cycles.
Assume that f0 has a repelling n-cycle fz0 ; f0 .z0 /; ; fn1
0
.z0 /g. Then, by the
implicit function theorem applied to the equation fn .z/ z D 0 at .0 ; z0 /, there
exists a neighbourhood U0 of 0 in M and a holomorphic map
U0 3 7! h .z0 / 2 P1
such that h0 .z0 / D z0 and h .z0 / is a n-periodic repelling point of f for all 2 U0 .
Moreover, h ./ can be extended to the full cycle so that
f ı h D h ı f0 :
This lead us to say that every repelling n-cycle of f0 moves holomorphically on
some neighbourhood of 0 and to set the following formal definition.
Definition 57. Let us denote by R;n the set of repelling n-cycles of f . Let be
a neighbourhood of 0 in M . One says that R0 ;n moves holomorphically on if
there exists a map
38 F. Berteloot
h W R0 ;n 3 .; z/ 7! h .z/ 2 R; n
which depends holomorphically on and satisfies h0 D Id , f ı h D h ı f0 .

More generally, the holomorphic motion of an arbitrary subset of the Riemann
sphere is defined in the following way.
Definition 58. Let E be subset of the Riemann sphere and be a complex
manifold. Let 0 2 . An holomorphic motion of E over and centered at 0
is a map
O
h W E 3 .; z/ 7! h .z/ 2 C
which satisfies the following properties:
(i) h0 D Id jE
(ii) E 3 z 7! h .z/ is one-to-one for every 2
(iii) 3 7! h .z/ is holomorphic for every z 2 E.
The interest of holomorphic motions relies on the fact that any holomorphic
motion of a set E extends to the closure of E. This is a quite simple consequence of
Picard–Montel theorem.
Lemma 59 (basic -lemma). Let E C O be a subset of the Riemann sphere and
O
W E 3 .z; / 7! .z; / 2 C be a holomorphic motion of E over . Then
extends to a holomorphic motion Q of E over . Moreover Q is continuous on
E .
As J is the closure of the set of repelling cycles of f , this Lemma implies
that the Julia set J0 moves holomorphically over a neighbourhood V0 of 0 in
M as soon as all repelling cycles of f0 move holomorphically on V0 . Moreover,
the holomorphic motion obtained in this way clearly conjugates the dynamics:
h .J0 / D J and f ı h D h ı f0 on J0 .
Our observations may now be gathered in the following basic Lemma.
Lemma 60. If there exists a neighbourhood of 0 in the parameter space M
such that R0 ;n moves holomorphically on for all sufficiently big n, then there
exists a holomorphic motion h W J0 ! J which conjugates the dynamics.
Let us mention here that there exists a much stronger version of the -lemma,
which is due to Slodkowski and shows that the holomorphic motion actually extends
as a quasi-conformal transformation of the full Riemann sphere (see Theorem 110).
In particular, under the assumption of the above Lemma, f and f0 are quasi-
conformally conjugated when 2 .
We may now define the set of stable parameters and its complement; the
bifurcation locus.
Definition 61. Let .f /2M be a holomorphic family of degree d rational maps.
The stable set S is the set of parameters 0 2 M for which there exists a
neighbourhood of 0 and a holomorphic motion h of J0 over , centered at
0 , and such that f ı h D h ı f0 on J0 .
The bifurcation locus B if is the complement M n S.

By definition, S is an open subset of M but it is however not yet clear that it
is not empty. We shall actually show that S is dense in M . To this purpose we will
prove that the stability is characterized by the stability of the critical orbits. The next
subsection will be devoted to this simple but remarkable fact.
4.1.2 Stability of Critical Orbits
Let us start by explaining why bifurcations are related with the instability of critical
orbits.
As Lemma 60 shows, a parameter 0 belongs to the bifurcation locus if for any
neighbourhood of 0 in the parameter space M there exists n0 0 for which
R0 ;n0 does not move holomorphically on .
It is not very difficult to see that this forces one of the repelling n0 -cycles of f0 ,
say R0 , to become neutral and then attracting for a certain value 1 2 . Now
comes the crucial point. A classical result asserts that the basin of attraction of any
attracting cycle of a rational map contains a critical point (see [9, Théorème II.5]).
Thus, one of the critical orbits fk .ci .// is uniformly converging to R on a
neighbourhood of 1 . Then the sequence fk .ci .// cannot be normal on since
otherwise, by Hurwitz lemma, it should converge uniformly to R which is repelling
for close to 0 . This arguments show that the bifurcation locus is contained in the
set of parameters around which the post-critical set does not move continuously.
This is an extremely important observation because it will allow us to detect
bifurcations by considering only the critical orbits. It leads to the following
definitions.
Definition 62. Let .f /2M be a holomorphic family of degree d rational maps. A
marked critical point c./ is said to be passive at 0 if the sequence fn .c.// n
is normal on some neighbourhood of 0 . If c./ is not passive at 0 one says that it
is active. The activity locus of c./ is the set of parameters at which c./ is active.
The key result may now be given.
Lemma 63. In a holomorphic family with marked critical points the bifurcation
locus coincides with the union of the activity loci of the critical points.
Proof. According to our previous arguments, the bifurcation locus is contained
in the union of the activity
loci. It remains
to show that, for any marked critical
point c./, the sequence fn .c.// n is normal on S. Assume that 0 2 S. As
J0 is a perfect compact set, we may find three distinct points a1 ; a2 ; a3 on J0
which are avoided by the orbit of c.0 / . Since the holomorphic motion h of J0
conjugates the dynamics, the orbit of c./ avoids fh .aj /I 1 j 3g for all
in a small neighbourhood of 0 . The conclusion then follows from Picard–Montel’s
Theorem. t
u
40 F. Berteloot
The following Lemma is quite useful.

Lemma 64. If 0 belongs to the activity locus of some marked critical point c./
then there exists a sequence of parameters k ! 0 such that c.k / belongs to
some super-attracting cycle of fk or is strictly preperiodic to some repelling cycle
of fk .
Proof. To simplify we will assume that all critical points are marked. Since
c./ is active at 0 the critical point c.0 / cannot be periodic. In particular,
its pre-history cannot stay in the critical set. Then, after maybe replacing c.0 /
by another critical point, we may assume that there exist holomorphic maps
c2 ./; c1 ./ near 0 such that f .c2 .// D c1 ./, f .c1 .// D c./ and
n fc2 ./;
Card c1 ./; c./g D 3. Now, by Picard–Montel Theorem, the sequence
f .c.// n cannot avoid the set fc2 ./; c1 ./; c./g on any neighbourhood
of 0 .
A similar argument, using Picard–Montel Theorem and a repelling cycle of
period n0 3, shows that c./ becomes strictly preperiodic for arbitrarily close
to 0 . t
u
We are now ready to state and prove Mañé–Sad–Sullivan theorem.
Theorem 65. Let .f /2M be a holomorphic family of degree d rational maps with
marked critical points fc1 ./; ; c2d 2 ./g.
A parameter 0 is stable if one of the following equivalent conditions is
satisfied.
(1) J0 moves holomorphically around 0 (see Definition 61)
(2) the critical points are passive at 0 (see Definition 62)
(3) f has no unpersistent neutral cycles for sufficiently close to 0 .
The set S of stable parameters is dense in M .
Proof. The equivalence between (1) and (2) is given by Lemma 63. Similar
arguments may allow to show that (3) is an equivalent statement (we will give an
alternative proof of that later). It remains to show that S is dense in M . According
to Lemma 64 we may perturb 0 and assume that f0 has a superattracting cycle
of period bigger than 3 which persists, as an attracting cycle, for close enough
to 0 . If 0 is still active, Picard–Montel’s theorem shows that a new perturbation
guarantees that a critical point falls in the attracting cycle and, therefore, becomes
passive. Since the number of critical points is finite, we may make all critical points
passive after a finite number of perturbations. t
u
Example 66. In the quadratic polynomial family, the bifurcation locus is the
boundary of the connectivity locus (or the Mandelbrot set). Indeed, it follows
immediately from the Definition 40 of the Mandelbrot set that its boundary is the
activity locus.

Example 67. The situation is more complicated in the family Pc;a .c;a/2Cd 1 of
degree d polynomials when d 3 (see Sect. 3.1.2). Indeed, Theorem 43 shows
that the bifurcation (i.e. activity) locus is not bounded since it coincides with the
boundary of [0i d 2 Bi (where Bi is the set of parameters for which the orbit
of the critical point ci is bounded) while the connectedness locus \0i d 2 Bi is
bounded.
Although we shall not use it, we end this section by quoting a very interesting
classification of the activity situations which is due to Dujardin and Favre (see [29,
Theorem 4]).
Theorem 68. Let .f /2M be a holomorphic family of degree d rational maps with
a marked critical point c./. If c is passive on some connected open subset U of M
then exactly one of the following cases holds:
(1) c is never preperiodic in U and the closure of its orbits move holomorphically
on U .
(2) c is persistently preperiodic on U .
(3) The set of parameters for which c is preperiodic is a closed subvariety in
U . Moreover, either there exists a persistently attracting cycle attracting c
throughout U , or c lies in the interior of a linearization domain associated
to a persistent irrationally neutral periodic point.
It is worth emphasize that the proof of that result relies on purely local, and
subtle, arguments.
4.1.3 Some Remarkable Parameters
• As we already mentioned, the basin of any attracting cycle of a rational map

contains a critical point. As a consequence, any rational map of degree d has at
most 2d 2 attracting cycles. Then, using perturbation arguments, Fatou and
Julia proved that the number of non-repelling cycles is bounded by 6d 6.
The precise bound has been obtained by Shishikura [55] using quasiconformal
surgery, Epstein has given a more algebraic proof based on quadratic differentials
(see [30]).
Theorem 69. A rational map of degree d has at most 2d 2 non-repelling cycles.
In particular, any degree d rational map cannot have more than 2d 2 neutral
cycles. Shishikura has also shown that the bound 2d 2 is sharp (we will give
another proof, using bifurcation currents, in Sect. 6.2.2). Let us mention that the
Julia set of a degree d map having 2d 2 Cremer cycles coincides with the full
Riemann sphere. These results motivate the following definition.
Definition 70. The set S hi of degree d Shishikura rational maps is defined by
S hi D ff 2 Ratd = f has 2d 2 neutral cyclesg:
In a holomorphic family .f /2M we shall denote by S hi.M / the set of parameters
for which f is Shishikura.
42 F. Berteloot
According to Theorem 65, one has S hi B if. In the last section, we will obtain
some informations on the geometry of the set S hi and, in particular, reprove that it
is not empty.
• Any repelling cycle of f 2 Ratd is an invariant (compact) set on which f
is uniformly expanding. Some rational map may be uniformly expanding on
much bigger compact sets. Such sets are called hyperbolic and are necessarily
contained in the Julia set. A rational map which is uniformly expanding on its
Julia set is said to be hyperbolic. Let us give a precise definition.
Definition 71. Let f be a rational map. A compact set K of the Riemann sphere is
said to be hyperbolic for f if it is invariant (f .K/ K) and if there exists C > 0
and M > 1 such that
j.f n /0 .z/js CM n I 8z 2 K; 8n 0:
One says that f is uniformly expanding on K (recall that j js is the spherical metric).
It may happen that a critical orbit is captured by some hyperbolic set and, in
particular, by a repelling cycle. Such rational maps play a very important role since
they allow to define transfer maps carrying informations from the dynamical plane
to the parameter space. A particular attention will be devoted to those having all
critical orbits captured by a hyperbolic set.
Definition 72. The set M is of degree d Misiurewicz rational maps is defined by
M is D ff 2 Ratd = all critical orbits of f are captured by a compact

hyperbolic setg:
When the hyperbolic set is an union of repelling cycles the map is said to be strongly
Misiurewicz and the set of such maps is denoted M iss. In a holomorphic family
.f /2M we shall denote by M is.M / (resp. M iss.M /) the set of parameters for
which f is Misiurewicz (resp. strongly Misiurewicz).
Within a holomorphic family .f /2M , one may show that a critical point whose
orbit is captured by a hyperbolic set and leaves this set under a small perturbation is
active. In particular, we have the following inclusion: M is B if. To prove this, one
first has to construct a holomorphic motion of the hyperbolic set and then linearize
along its orbits (see [33]). When the hyperbolic set is a cycle, the motion is given by
the implicit function theorem and the linearizability is a well known fact.
Lemma 73. Let .f /2M be a holomorphic family of degree d rational maps with
a marked critical point c./. Assume that f has a repelling n-cycle R./ WD
fz ; f .z /; ; fn1 .z /g for 2 U . If fk .c./ 2 R./ for D 0 2 U but
not for all 2 U then c./ is active at 0 .
Proof. We may assume that n D 1 which means that z is fixed by f . Shrinking

U and linearizing we get a a family of local biholomorphisms which depends
holomorphically on and such that .0/ D z and f ı .u/ D .m u/ (see
[9, Théorème II.1 and Remarque II.2]). As z is repelling, one has jm j > 1. Let
us set u./ WD 1 .fk .c.//, then f .c / D f . .u./// D ..m /p u.//
pCk p
pCk
which shows that f .c / is not normal at 0 since, by assumption, u.0 / D 0 but
u does not vanish identically on U . t
u
• As we already mentioned, a rational map which is uniformly expanding on its
Julia set is called hyperbolic. The dynamical study of such maps turns out to be
much easier.
Definition 74. The set H yp of degree d hyperbolic rational maps is defined by
H yp D ff 2 Ratd = f is uniformly expanding on its Julia setg:
In a holomorphic family .f /2M we shall denote by H yp.M / the set of parameters
for which f is hyperbolic.
There are several characterizations of hyperbolicity. One may show that a rational
map f is hyperbolic if and only if its postcritical set does not contaminate its
Julia set:
f is hyperbolic , [n0 f n .Cf / \ Jf D ;:
As a consequence, in any holomorphic family .f /2M , hyperbolic parameters
are stable: H yp.M / S. This characterization also implies that a hyperbolic map
has only attracting or repelling cycles.
The Fatou’s conjecture asserts that the hyperbolic parameters are dense in
any holomorphic family, it is an open problem even for quadratic polynomials.
According to Mañé–Sad–Sullivan Theorem it can be rephrased as follows
Fatou’s conjecture 75. H yp.M / D S for any holomorphic family .f /2M .
Let us also mention that Mañé, Sad and Sullivan have shown that hyperbolic
and non-hyperbolic parameters cannot coexist in the same stable component (i.e.
connected component of S). A given stable component is therefore either hyperbolic
(if all parameters in the component are hyperbolic) or non-hyperbolic (when the
component does not contain any hyperbolic parameter). Fatou’s conjecture thus
claims that non-hyperbolic components do not exist.
Although the bifurcation locus of the quadratic polynomial family is clearly
accumulated by hyperbolic parameters, this is far from being clear in other families
and seems to be an interesting question. In the last section we will show that param-
eters which, in some sense, produce the strongest bifurcations, are accumulated by
hyperbolic parameters.
44 F. Berteloot
4.2 Potential Theoretic Approach
4.2.1 Lyapunov Exponent and Bifurcations
We wish here to explain why the current ddc L./, where L./ is the Lyapunov
exponent of f , is a natural candidate for being a bifurcation current in any
holomorphic family .f /2M .
To support this idea we will first use the material discussed in Sects. 2.3.2
and 3.3.1 and relate the Lyapunov exponent with the distribution of hypersurfaces
Pern .e i / in M .
According to the Mañé–Sad–Sullivan Theorem 65, the bifurcation locus is the
closure of the union of all such hypersurfaces:
B if D [n [ Pern .e i /:
1
R 2 i
One may thus expect that the sequence of currents 2 0 ŒPern .e / , correctly
weighted, converges to some current supported by B if. As we shall see, the
approximation formula 30 actually implies that the following convergence occurs
in the sense of currents:
Z
d n 2
ŒPern .e i / d ! Tbif :
2 0
We will now briefly prove this, more details and a generalization will be provided
by Theorem 101.
Let us denote pn .; e i / the canonical defining functions for the hypersurfaces
Pern .e i / given by Theorem 46. We have to show that the sequence of p:s:h
functions Z
d n 2
Ln ./ WD ln jpn .; e i /j d:
2 0
converges to L in L1loc .M /.
Writing
Y
Nd .n/

pn .; e i / DW e i wn;j ./
i D1
C
R 2
and using the fact that ln jaj D 1
2 0 ln ja e i jd yields
Z 2 Y X
1
Ln ./ D ln je i wn;j ./jd D d n lnC jwn;j ./j: (16)
2d n 0 j j
Using the fact that d n Nd .n/ n1 (see Theorem 46) one sees that the sequence Ln
is locally bounded from above and it thus remains to see that it converges pointwise
to L.
According to Theorem 46, the set fwn;j ./ = wn;j ./ ¤ 1g coincides with the
set of multipliers of cycles of exact period n (counted with multiplicity) from which
the cycles of multiplier 1 are deleted.
Since f has a finite number of non-repelling cycles (Fatou’s theorem), all cycles
appearing in (16) are repelling for n big enough. The conclusion then follows from
Theorem 30. t
u
As a second evidence, we will relate ddc L with the instability of the critical
dynamics. Mañé–Sad–Sullivan Theorem 65 also revealed that the bifurcations are
due to the activity of one (or more) critical point. It is not very difficult to check
that the activity locus of a marked critical point c./ is exactly supported by the
current ddc g .c.// where g is the Green function of f . A bifurcation current
could therefore also be defined by
X
ddc g .c.//
j
where the sum is taken over the critical points.

Remark 76. It seems that the quantity g .c.// appeared for the first time in [57]
where it was used to study the bifurcations in the quadratic polynomial family.
P
It turns out that the currents ddc j g .c.// and ddc L do coincide. We will
justify this for a polynomial family and, to this purpose, will establish a fundamental
formula which relates the Lyapunov exponent (see Definition 24) of a polynomial
with its critical points.
Theorem 77 (Przytycki’s formula). Let P be a unitary degree d polynomial,
L.P / its Lyapunov exponent and gC;P its Green function. Then
X
L.P / D ln d C gC;P .c/
where the sum is taken over the critical points of P counted with multiplicity.
Proof. Let us write c1 ; c2 ; ; cd 1 the critical points of P . Then
Z Z 1
dY d 1 Z
X
0
L.P / D ln jP j P D ln jd .z cj /j P D ln d C ln jz cj j P :
C C j D1 j D1 C
Now, since P D ddc gC;P , the formula immediately follows by an integration by

parts. t
u
Remark 78. As the Green function gC;P of a polynomial P is positive (see
Proposition 12) the above formula implies that L.P / ln d .
Most of the remaining of this section will be devoted to extend these ideas to
families of rational maps.
46 F. Berteloot
4.2.2 Przytycki’s Generalized Formula
The proof of Przytycki’s formula relies on a simple integration by parts. It is more

delicate to perform such an integration by part in the case of a rational map f . To
this purpose we will work in the line bundle OP1 .D/ for D WD 2.d 1/ which
we endow with two metrics, the flat one kŒz; x k0 and the Green metric kŒz; x kGF
whose potential is the Green function GF of some lift F of f (see Sect. 2.3.1).
In this general situation the integration by part yields the following formula. We
refer to Definition 7 for the definitions and notations related to the Green functions.
Proposition 79. Let f be a rational map of degree d 2 and F be one of its lifts.
Let D WD 2.d 1/ and JacF be the holomorphic section of OP1 .D/ induced by
det F 0 . Let gF be the Green function of f on P1 and f be the Green measure of f .
Then
Z Z Z
L.f / C ln d D gF ŒCf 2.d 1/ gF .f C !/ C ln kJacF k0 !:
P1 P1 P1
Proof. Let us recall that k kG D e DgF k k0 . According to Lemma 27 we have:

Z Z Z
L.f / C ln d D ln kJacF kGF f D ln kJacF kGF dd c gF C ln kJacF kGF !
P1 P1 P1
which, after integrating by parts, yields

Z Z
L.f / C ln d D gF .ddc ln kJacF kGF / C ln kJacF kGF !
P1 P1
and by Poincaré–Lelong formula:

Z Z

L.f / C ln d D gF ŒCf Df C .ln kJacF k0 DgF / !: (17)
P1 P1
t
u
When working with a holomorphic family of polynomials .P /M , Przytycki’s
formula says that the Lyapunov function L.P / and the sum of values of the Green
function on critical points differ from a constant. In particular, L.P / is a p:s:h
function on M and these two functions induce the same .1; 1/ current on M . It is
then rather clear, using Mañé–Sad–Sullivan Theorem 65, that this current is exactly
supported by the bifurcation locus.
We aim to generalize this to holomorphic families of rational maps and will
therefore compute the ddc of the left part of formula (17). The following formula
has been established in [2].
Theorem 80. Let .f /M be a holomorphic family of degree d rational maps which
admits a holomorphic family of lifts .F /M . Let pM (resp pP1 ) be the canonical
projection from M P1 onto M (resp.P1 ). Then

ddc L./ D .pM /? .ddc;z g .z/ C !/
O ^ ŒC (18)
where C WD f.; z/ 2 M P1 = z 2 C g, g WD gF is the Green function of f on

P1 , L./ the Lyapunov exponentR of f and !O WD pP?1 !.
Moreover, the function 7! P1 g . C !/ is pluriharmonic on M .
Proof. We may work locally and define a holomorphic section Jac of OP1 .D/
f
induced by det F0 . Then Jac.; Œz / WD .; Jac .Œz // is a holomorphic section of
the line bundle M OP1 .D/ over M P1 .
Let us rewrite RProposition 79 Ron the form L./ C ln d D R H./ D B./
where H./ WD P1 g ŒC C P1 ln kJac k0 !, B./ WD P1 g . C !/ and
D WD 2.d 1/.
We first compute ddc H . Let ˆ denote a .m 1; m 1/ test R form where
R m is the
dimension
R of MR. Then hdd c
H; î D I 1 C I 2 where I 1 WD M dd c
ˆ P 1 g ŒC and
I2 WD M ddc ˆ P1 ln kJac k0 !.
Slicing and then integrating by parts, we get
Z Z Z
I1 D ddc ˆ .gŒC / D .pM /? .ddc ˆ/ ^ .gŒC /
M P1 M P1
Z
D .pM /? ˆ ^ ddc g ^ ŒC :
M P1
Performing the same computation and then using the Poincaré–Lelong identity
f 0 D ŒC D !O one gets
ddc ln kJack
Z Z

I2 D ddc ˆ f 0 !O
ln kJack
M P1
Z
D f 0 !O D
.pM /? .ddc ˆ/ ^ ln kJack
M P1
Z Z
D ? f 0 ^ !O D
.pM / ˆ ^ dd ln kJack c
.pM /? ˆ ^ !O ^ ŒC :
M P1 M P1

This shows that ddc H D .pM /? .ddc;z g .z/ C !/
O ^ ŒC .
It remains to show that ddc B D 0. It seems very difficult to prove this by
calculus, we will use a trick which
exploits
the dynamical situation. If one replace
the family .f /M by the family f2 M then L becomes 2L and ddc H becomes
2ddc H while B is unchanged. Thus, applying Proposition 79 to.f/M and taking
ddc yields ddc L D ddc H 2.d 1/ddc B but, with the family f2 M , this yields
2ddc L D 2ddc H 2.d 2 1/ddc B. By comparison one obtains ddc B D 0. t
u
48 F. Berteloot
Remark 81. The paper [2] actually covers the case of holomorphic families of
endomorphisms of Pk . In this setting, the formula (18) becomes

ddc L./ D .pM /? .ddc;z g .z/ C !/
O k ^ ŒC
where L./ is now the sum of Lyapunov exponents of f with respect to the Green
measure .
In [22], Dinh and Sibony established that L./ is a p:s:h function in the more
general setting of polynomial-like mappings.
4.2.3 Activity Currents and the Bifurcation Current
We have seen with Mañé–Sad–Sullivan Theorem 65 that the bifurcations, within a

holomorphic family of degree d rational maps .f /2M , are due to the activity of the
critical points (see in particular Lemma 63). We will use this and the formula given
by Theorem 80, to define a closed positive .1; 1/-current Tbif on M whose support
is the bifurcation locus and which admits the Lyapunov function as global potential.
Besides, we will also introduce a collection of 2d 2 closed positive .1; 1/-currents
which detect the activity of each critical point and see that the bifurcation current
Tbif is the sum of these currents. Here are the formal definitions.
Definition 82. Let .f /2M be any holomorphic family of degree d rational maps
with marked critical points fci ./I 1 i 2d 2g. The bifurcation current Tbif is
defined by
Tbif WD ddc L./
where L./ is the Lyapunov exponent of f with respect to its Green measure.
The activity current Ti of the marked critical point ci is defined by

Ti WD .pM /? .ddc;z g .z/ C !/
O ^ ŒCi
where Ci is the graph f.; ci ./I 2 M g in M P1 and g WD gF is the Green

function of f on P1 for some (local) holomorphic family of lifts .F /.
Let us observe that the current ddc;z g .z/ C !O somehow interpolates the Green
measures of f and is actually dynamically obtained. Indeed, one may consider
the map fO W M P1 ! M P1 defined by fO.; z/ WD .; f .z// and then get it by
taking the limit of the sequence of currents d n .fO/n .!/
O in M P1 . To establish the
convergence one proceeds like in Lemma 5. The activity current Ti is the projection
on M of the restriction of this current to the hypersurface Ci .
We now give local potentials for the activity currents.
Lemma 83. Let F be a local holomorphic family of lifts of f and G be the Green
function of F on C2 . Let cOi ./ be a local lift of ci ./. Then G .cOi .// is a local
potential of Ti .
Proof. This is a straightforward computation using the fact that, for any local
section of the canonical projection W C2 n f0g ! P1 , the function G ..z//
is a local potential of ddc;z g .z/ C !O (see Proposition 6). t
u
The following result has been originally proved by DeMarco in [19, 20].
Theorem 84. Let .f /2M be any holomorphic family of degree d rational maps
with marked critical points fci ./I 1 i 2d 2g. The support of the activity
current Ti is the activity locus of the marked critical point ci .
The support of the bifurcation current Tbif is the bifurcation locus of the family
P 2
.f /2M and Tbif D 2d 1 Ti .
Proof. Let us first show that ci is passive on the complement of Supp Ti . If Ti D
0 on a small ball B M then, by Lemma 83, G .cOi .// is pluriharmonic and
therefore equal to ln jhi ./j for some non-vanishing holomorphic function hi on B.
Replacing cOi ./ by hcOii ./
./ one gets, thanks to the homogeneity property of G (see
Proposition 6), G .cOi .// D 0. This implies that
fFn .cOi .// = n 1; 2 Bg [2B G1 f0g
1
where, after reducing B, the set [2B G
f0g is a relatively
n compact
in C2 . Montel’s
theorem then tells us that F .cOi .// n and, thus, f .ci .// n are normal on B.
n
nLet us now show that Ti vanishes where ci is passive. Assume that a subsequence
f k .ci .// k is uniformly converging on a small ball B M . Then we may find a
local section of W C2 n f0g ! P1 such that Fnk .cOi .// D hnk ./ ı fnk .ci .//
where hnk is a non-vanishing holomorphic function on B. As G ı F D dG (see
Proposition 6), this yields

G .cOi .// D d nk ln jhnk ./j C G ı ı fnk .ci .//
Pmaking k ! C1, implies that Ti vanishes on B.

which, after taking ddc and
That ddc L D Tbif D 12d 2 Ti follows immediately from Theorem 80. Then,
Mañé–Sad–Sullivan Theorem 65 implies that the support of Tbif is the bifurcation
locus. t
u
Remark 85. As proved by Mañé, the product of the Lyapunov exponent of a degree
d rational map and the Hausdorff dimension of its Green measure is equal to ln d
[43]. This suggest that for bifurcation investigations it could be more natural to study
the Borelian support of the measure than its topological support.
P
It is important to stress here that the identity ddc L D Tbif D 12d 2 Ti may be
seen as a potential-theoretic expression of Mañé–Sad–Sullivan theory. In practice,
the expression Tbif D ddc L willP2dbe used to investigate the set of parameters S hi
2
while the expression Tbif D 1 T i will be used for the parameters M is (see
Sect. 4.1.3).
50 F. Berteloot
In the next sections, we will deeply use the fact that the Lyapunov function is
a potential of Tbif , together with the approximation formula 30, to analyse how the
hypersurfaces Per n .w/ may shape the bifurcation locus.
The continuity of the Lyapunov function L will turn out to be decisive for
this study. Mañé was the first to establish the continuity of L (see [43]), using
Theorem 80 and Lemma 83 one may see that this function is actually Hölder
continuous.
Theorem 86. The Lyapunov function of any holomorphic family of degree d
rational maps is p:s:h and Hölder continuous.
P
Proof. According to Theorem 80 and Lemma 83 the functions L and G .cOi .//
differ from a pluriharmonic function. The conclusion follows from the fact that
G .z/ is Hölder continuous in .; z/ (see [2, Proposition 1.2]). t
u
4.2.4 DeMarco’s Formula
Using Theorem 80 we will get an explicit version of the formula given by

Proposition 79. This result was first obtained by DeMarco who used a completely
different method. We refer to the paper of Okuyama
R [51] foryet another proof.
The key will be to compute the integral P1 gF f C ! which appears in the
formula given by Proposition 79. To this purpose we shall use the resultant of a
homogeneous polynomial map F of degree d on C2 . The space of such maps can
be identified with C2d C2 . The resultant Res F of F polynomially depends on F
and vanishes if and only if F is degenerate. Moreover Res .zd1 ; zd2 / D 1 and Res is
2d -homogeneous: Res aF D a2d Res F .
R
Lemma 87. P1 gF f C ! D d.d11/ ln jRes F j 12 .
R
Proof. The function B.F / WD P1 gF f C ! is well defined on C2d C2 n† where
† is the hypersurface where Res vanishes. Moreover, according to Theorem 80, B
is pluriharmonic. As B is locally bounded from above, it extends to some p:s:h
function through †. Then, by Siu’s theorem, there exists some positive constant
c such that ddc B.F / D c ddc ln jResF j which means that B c ln jResF j is
pluriharmonic on C2d C2 .
Let ' be a non-vanishing holomorphic function on C2d C2 such that
B c ln jResF j D ln j'j:
Using the homogeneity of Res and the fact that B.aF / D 2

d 1 ln jaj C B.F / (one
easily checks that gaF D d 1
1
ln jaj C gF ) one gets:
2
j'.aF/j D jaj d 1 2cd
Making a ! 0 one sees that c D d.d11/ and ' is constant. To compute this constant
one essentially tests the formula on F0 WD .zd1 ; zd2 / (see [2, Proposition 4.10]). t
u
We are now ready to prove the main result of this subsection.

Theorem 88. Let f be a rational map of degree d 2 and F be one of its lifts.
Let GF be the Green function of F on C2 and Res F be the resultant of F . Then
X
2d 2
2
L.f / C ln d D GF .cOj / ln jRes F j
j D1
d
Q2d 2
where cO1 ; cO2 ; ; cO2d 2 are chosen so that detF 0 .z/ D j D1 cOj ^ z.
Proof. Taking Lemma 87 into account, the formula given by Proposition 79

becomes
Z
1 1
L.f / C ln d D gF ŒCf 2.d 1/ ln jRes F j
P1 d.d 1/ 2
Z
C ln kJacF k0 !:
P1
2
Observe that ! D ? m where m WD ddc lnC k k is the normalized Lebesgue
measure on the Euclidean unit sphere of C2 . Then
Z Z
0
ln jdetF j m D ln e Dkk jdetF 0 j m
C2 C2
Z Z
D ln kJF ı k0 m D ln kJacF k0 !:
C2 P1

Let us pick Uj in the unitary group of C2 such that Uj1 .cOj / D kcOj k; 0 . Then
R
Uj .z/ ^ cOj D z2 kcOj k and, since C2 ln jz2 j m D 12 one gets
Z Z XZ X
0
ln kJacF k0 ! D ln jdetF j m D ln jUj .z/^ cOj j D kcOj k.d 1/:
P1 C2 j C2 j
R P P P
On the other hand, P1 gF ŒCf D j gF ı .cOi / D j GF .cOj / j ln kcOj k and
the conclusion follows. t
u
5 Equidistribution Towards the Bifurcation Current
In this section we study how the bifurcation current may be approximated by

various weighted hypersurfaces which are dynamically defined. As an application,
we construct holomorphic motions and describe the laminated structure of the
bifurcation locus in certain regions of the moduli space Mod2 .
52 F. Berteloot
5.1 A General Method
We will present a general method which may be used to prove that a sequence of
currents Tn WD dd c hn , which admit global p:s:h potentials hn on the parameter
space Ck of some holomorphic family f Ck , is converging to the bifurcation
current Tbif .
The method itself only relies on standard potential-theoretic arguments but
dynamical informations are then necessary to apply it. More specifically, one needs
to control the bifurcation current near infinity, this is why the method works well in
polynomial families but seems difficult to handle in more general families.
In Sect. 5.2 we shall use it to study the distribution of critically periodic
parameters and in Sect. 5.3.3 to study the distribution of the hypersurfaces Pern .e i /.
We have to prove that .hn /n converges in L1loc to L and, for this, will use a well
known compactness principle for subharmonic functions:
Theorem 89. Let .'j / be a sequence of subharmonic functions which is locally
uniformly bounded from above on some domain Rn . If .'j / does not converge
to 1 then a subsequence .'jk / converges in L1loc ./ to some subharmonic
function '. In particular, .'j / converges in L1loc ./ to some subharmonic function
' if it converges pointwise to '.
We thus first need to check that .hn /n is locally bounded from above and does
not converge to 1, the following result may be used to check this last property.
Lemma 90 (Hartogs). Let .'j / be a sequence of subharmonic functions and g be
a continuous function defined on some domain Rn . If lim supj 'j .x/ g.x/
for every x 2 then, for any compact K and every > 0 one has 'j .x/
g.x/ C on K for j big enough.
Then one has to show that L is the unique limit value of .hn /n for the L1loc
topology. To this purpose, we shall apply the following generalized maximum
principle to some limit value ' of .hn /n and to D L.
Lemma 91. Two p:s:h functions '; on Ck coincide if the following conditions
are satisfied:
(i) is continuous
(ii) '
(iii) Supp .ddc '/ Supp .ddc /
(iv) ' D on Supp .ddc /
(v) for any 0 2 Ck there exists a complex
line L through
0 such that ' D on
the unbounded component of L n L \ Supp .dd c / .
Proof. Because of (iv), we only have to show that '.0 / D .0 / when 0 lies in
the complement of Supp .ddc /. According to (v), we may find a complex line L
in Ck containing
0 and such that
and ' coincide on the unbounded component
1 of L n L \ Supp .ddc / . We may therefore assume that 0 … 1 . By
(i), (iii) and (iv) 'jL coincides with the continuous function jL on Supp 'jL
which, by the continuity principle,

implies that 'j L is continuous. Let 0 be the
(bounded) component
of L n L \ Supp .dd c
/ containing 0 . The continuous
function ' jL vanishes on b0 (see (iv)), is harmonic on 0 (see (iii)) and
negative (see (ii)). The maximum principle now implies that '.0 / D .0 /. t
u
It is worth emphasize that quite precise informations about the behaviour of the
bifurcation locus at infinity are required to apply the above Lemma to our problems.
5.2 Distribution of Critically Periodic Parameters

in Polynomial Families
The aim of this section is to present a result due to Dujardin and Favre (see [29])
concerning the asymptotic distribution of degree d polynomials which have a pre-
periodic critical point. We will work in the context of polynomial families, this will
allow us to modify the original proof and significantly simplify it. We refer to the
paper of Dujardin–Favre for results dealing with general holomorphic families of
rational maps.
We work here in the family Pc;a .c;a/2Cd 1 of degree d polynomials which has
been introduced in the Sect. 3.1.2. Let us recall that Pc;a is the polynomial of degree
d whose critical set is f0 D c0 ; c1 ; ; cd 2 g and such that Pc;a .0/ D ad .
For 0 i d 2 and 0 k < n, we denote by Per.i; n; k/ the hypersurface of
Cd 1 defined by
Per.i; n; k/ WD f.c; a/ 2 Cd 1 = Pc;a

n
.ci / D Pc;a
k
.ci /g:
The result we want to establish, which has been first proved by Dujardin and
Favre in [29], is the following.
Theorem 92. In the family of degreePd2 polynomials, for any sequence of integers
.kn /n such that 0 kn < n one has di D0 limn d n ŒPer.i; n; kn / D Tbif .
To simplify, we shall write the parameters .c; a/ 2 Cd 1 . We follow the
strategy described in the previous subsection. P 2 c
The bifurcation current Tbif is given by Tbif D di D0 dd g .ci / (see Lemma 83)
where g is the Green function of P (see the Sect. 3.2.1). It thus suffices to show
that for any fixed 0 i d 2 the following sequence of potentials
hn ./ WD d n ln jPn .ci / Pkn .ci /j
converges in L1loc to g .ci /.

To this purpose we shall compare these potentials with the functions

gn ./ WD d n ln max 1; jPn .ci /j
which do converge locally uniformly to g .ci /.

54 F. Berteloot
The first point is to check that the sequence .hn /n is locally uniformly bounded
from above. We shall actually prove a little bit more.
Lemma 93. For any compact K Cd 1 and any > 0 there exists an integer n0
such that hn jK gn jK C for n n0 .
Proof. It is not difficult to see that there exists R 1 such that

n n
.1 /jzjd jPn .z/j .1 C /jzjd (19)
for every 2 K, every n 2 N and every jzj R.

We now proceed by contradiction and assume that there exists p 2 K and
np ! C1 such that hnp .p / gnp .p / C . This means that
n kn d np
n
jPpp .ci / Pp p .ci /j e max 1; jPpp .ci /j : (20)
kn
Let us set Bp WD Pp p .ci /. By (20) we have limp jBp j D C1 and thus jBp j R
for p big enough. Then, using (19), one may write
n np knp np knp
Ppp .ci / D Pp .Bp / D .up Bp /d
where .1 / jup j .1 C / and the estimate (20) becomes

np knp np knp
d np
j.up Bp /d Bp j e jup Bp jd :
This is clearly impossible when p ! C1. t

u
We now have to check that .hn /n does not converge to 1. The following
technical Lemma deals with that and will also play an important role in the
remaining of the proof.
Lemma 94. If ci belongs to some attracting basin of P0 then there exists a
neighbourhood V0 of 0 such that supn supV0 hn gn 0.
Proof. If V0 is a sufficiently small neighbourhood of 0 then Pn .ci / ! a where

a is an attracting cycle of P for every 2 V0 . We will assume that P .a / D a .
Let us now proceed by contradiction and suppose that there exists > 0 such
that

jPn .ci / Pkn .ci /j e dn
max 1; jPn .ci /j ; 8 2 V0 ; 8n: (21)
Since Pn .ci / ! a , (21) would imply
jPn .ci / Pkn .ci /j C e dn

; 8 2 V0 ; 8n: (22)
The estimate (22) implies that a is a super-attracting fixed point for any 2 V0
which, in turn, implies that a D 1 for all 2 V0 . But in that case we would have
jPkn .ci /j 12 jPn .ci /j for n big enough and the estimate (21) would be violated. u
t
We finally have to show that g WD g .ci / D lim gn is the only limit value of the
sequence .hn /n for the L1loc convergence. Assume that (after taking a subsequence!)
hn is converging in L1loc to h. To prove that the functions h and g coincide we shall
check that they satisfy the assumptions of Lemma 91.
Our modification of the original proof essentially stays in the third step.
First step: h g.
Let B0 be a ball of radius r centered at 0 and let > 0. By the mean value
property we have Z Z
1 1
h.0 / h D lim hn
jB0 j B0 n jB0 j B
0
but, according to Lemma 93, hn gn C on B0 for n big enough and thus

Z Z
1 1
h.0 / C lim gn D C g:
n jB0 j B0 jB0 j B0
As g is continuous, the conclusion follows by making r ! 0 and then ! 0.

Second step: h D g on Supp ddc g.
Combining Lemma 94 and the result of step one we will first establish the
following
Fact .h g/ vanishes when ci is captured by an attracting basin:
Suppose to the contrary that ci is captured by an attracting cycle of P0 and

.h g/.0 / < 0. As the function .h g/ is upper semi-continuous, we may shrink
V0 so that .h g/ < 0 on V0 . Now, as ci is passive on V0 , the function
.h g/ is p:s:h on V0 and, after shrinking V0 again, Hartogs Lemma 90 implies that
.hn gn / 2 on V0 for n big enough. This contradicts Lemma 94.
Now, if 0 2 Supp ddc g then 0 D limk k where k is a parameter for which
ci is captured by some attracting cycle (see Lemma 64). As .h g/ is upper semi-
continuous we get .h g/.0 / lim sup.h g/.k / D 0 and, by the first step,
.h g/.0 / D 0.
Third step: Supp ddc h Supp ddc g.
Let be a connected component of Cd 1 n Supp ddc g. We have to show that h
is pluriharmonic on . We proceed by contradiction. If ddc h does not vanish on
then there exists some n0 for which some irreducible component H of
k
fPn0 .ci / P n0 .ci / D 0g
k
meets . When 2 H then ci is captured by a cycle since P n0 .ci / DW z./ satisfies
kn kn
Pm0 .z.// D Pm0 ı P 0 .ci / D P 0 .ci / D z./ for m0 WD n0 kn0 > 0.
56 F. Berteloot
Let us show that z./ is a neutral periodic point. We first observe 0 that
the
vanishing of ddc g on forces z./ to be non-repelling and thus j Pm0 z./ j 1
on H \ .
Let us now see why z./ cannot be attracting. If this would be the case then, by
the above Fact, we would have h.0 / D g.0 / for a certain 0 2 H \ . As .h g/
is negative and p:s:h on this implies, via the maximum principle, that h D g
c
on . This is impossible
m0 0 sincedd h isi supposed to be non vanishing on .
We thus have P z./ D e 0 on H \ and therefore z./ belongs to
a neutral cycle whose period p0 divides m0 and whose multiplier is a q0 -root of
e i 0 where m0 D p0 q0 . In other words, H \ is contained in a finite union of
hypersurfaces of the form Pern .e i /. This implies that
H Pern0 .e i0 /:
for some integer n0 and some real number 0 .

Finally, using a global argument, we will see that this is impossible. Let us recall
the following dynamical fact.
Lemma 95. Every polynomial which has a neutral cycle also has a bounded, non-
preperiodic, critical orbit.
Thus, when 2 H, the polynomial P has two distinct bounded critical orbits;
the orbit of ci which is preperiodic and the orbit of some other critical point
which is given by the above Lemma. This shows that H cannot meet the line
fc0 D c1 D D cd 2 D 0g WD Md since the corresponding polynomials (which
are given by d1 zd C ad were a 2 C) have only one critical orbit. We will now work
in the projective compactification of Cd 1 introduced in Sect. 3.1.2. By Theorem 43,
H and Md cannot meet at infinity. This contradicts Bezout’s theorem.
Fourth step: for any 0 2 Cd 1 there exists a complex line Lthrough 0 such that
h D g on the unbounded component of L n L \ Supp.ddc g/ .
Here one uses again Theorem 43 to pick a line L through 0 which meets infinity
point 0 …c Supp
c
at some dd g. Then, for any in the unbounded component of
L n L \ Supp .dd g/ the critical point ci belongs to the super-attracting basin of
1 and thus, as we saw in second step, h./ D g./. t
u
The general result obtained by Dujardin and Favre may be stated as follows.
Theorem 96. Let .f /M be a holomorphic family of degree d rational maps with
a marked critical point c which is not stably preperiodic. Let Per.n; k/ be the
hypersurface in M defined by:
Per.n; k/ WD f 2 M = fn .c / D fk .c /g:
Assume that the following assumption is satisfied:
.H / For every 0 2 M there exists a curve M passing through 0 such that

f 2 = c is attracted by a cycleg has a relatively compact complement in :
Then, for any sequence of integers .kn /n such that 0 kn < n one has
lim d n.1e/kn ŒPer.n; kn / D Tc

n
where Tc is the activity current of the marked critical point c and e the cardinal of
the exceptional set of f for a generic .
It would be interesting to remove the assumption .H / which seems to be a
technical one. Observe however that the above Theorem covers the case of the
moduli space Mod2 .
5.3 Distribution of Rational Maps with Cycles of a Given

Multiplier
Let f W M P1 ! P1 be an arbitrary holomorphic family of degree d 2 rational

maps.
We want to investigate the asymptotic distribution of the hypersurfaces Per n .w/
in M when jwj < 1. Concretely, we will consider the current of integration ŒPern .w/
or, more precisely, the currents
ŒPern .w/ WD ddc ln jpn .; w/j
where pn .; w/ are the canonical defining functions for the hypersurfaces Pern .w/
constructed in Sect. 3.3 by mean of dynatomic polynomials. We ask if the following
convergence occurs:
1
lim n ŒPern .w/ D Tbif :
n d
The question is easy to handle when jwj < 1, more delicate when jwj D 1 and
widely open when jwj > 1.
5.3.1 The Case of Attracting Cycles
We aim to prove the following general result (see [3]).

Theorem 97. For any holomorphic family of degree d rational maps f 2M one
has d n ŒPern .w/ ! Tbif when jwj < 1.
Let us have a look to the case w D 0. Comparing Pern .0/ with the hypersurfaces
Per.n; 0/ considered in the the last section, one sees that the above result may be
derived from the Theorem 96 of Dujardin and Favre but that we do not need any
special assumption. Moreover, for the quadratic polynomial family one obtains the
equidistribution of centers of hyperbolic components of the Mandelbrot set. This
was first proved by Levin [39].
58 F. Berteloot
Using arithmetical methods, Favre and Rivera-Letelier [32] have estimated the
equidistribution speed of d n ŒPern .0/ for unicritical families .zd C c/.
Proof. Let us set
Ln .; w/ WD d n ln jpn .; w/j:
Since, by definition, Tbif D ddc L./ where L./ be the Lyapunov exponent of
.P1 ; f ; / and is the Green measure of f , all we have to show is that Ln
converges to L in L1loc .M /. Here again we shall use the compactness principle for
subharmonic functions (see Theorem 89).
The situation is purely local and therefore, taking charts, we may assume that
M D Ck . We write the polynomials pn as follows:
Y
Nd .n/

pn .; w/ DW w wn;j ./ :
i D1
Using the fact that d n Nd .n/ n1 (see Theorem 46) one sees that the sequence Ln
is locally uniformly bounded from above.
According to Theorem 46, the set fwn;j ./ = wn;j ./ ¤ 1g coincides with the
set of multipliers of cycles of exact period n (counted with multiplicity) from which
the cycles of multiplier 1 are deleted. We thus have
X
Nd .n/
1 X
lnC jwn;j ./j D ln j.fn /0 .p/j (23)
n
j D1 p2Rn ./
where Rn ./ WD fp 2 P1 = p has exact period n and j.fn /0 .p/j > 1g. Since f
has a finite number of non-repelling cycles (Fatou’s theorem), one sees that there
exists n./ 2 N such that
n n./ ) jwn;j ./j > 1; for any 1 j Nd .n/: (24)
By (23) and (24), one gets
NX NX
d .n/ d .n/
d n X
Ln .; 0/ D d n ln jwn;j ./j D d n lnC jwn;j ./j D ln j.fn /0 .p/j
n
j D1 j D1 Rn ./
for n n./ which, by Theorem 30, yields:
lim Ln .; 0/ D L./; 8 2 M: (25)

n
P
If now jwj < 1, it follows from (24) that Ln .; w/ Ln .; 0/ D d n j
jw ./wj jwn;j ./wj
n;j
ln jw n;j ./j
and ln.1 jwj/ ln jwn;j ./j
ln.1 C jwj/ for 1 j Nd .n/
and n n./ . We thus get
d n Nd .n/ ln.1 jwj/ jLn .; w/ Ln .; 0/j d n Nd .n/ ln.1 C jwj/
for n n./. Using (25) and the fact that d n Nd .n/ n1 we obtain limn Ln .; w/ D
L./ for any .; w/ 2 M . The L1loc convergence of Ln .; w/ now follows
immediately from Theorem 89. t
u
Remark 98. We have proved that Ln .; w/ WD d n ln jpn .; w/j converges point-
wise to L./ on M when jwj < 1.
The above discussion shows that the pointwise convergence of Ln .; w/ to L
(and therefore the convergence d n ŒPern .w/ ! Tbif ) is quite a straightforward
consequence of Theorem 30 when jwj < 1. However, when Pjwj 1 and is a
non-hyperbolic parameter, the control of Ln .; w/ D d n ln jw wn;j ./j is
very delicate because f may have many cycles whose multipliers are close to w.
This is why we introduce the p:s:h functions LC n which both coincide with Ln
on the hyperbolic components and are rather easily seen to converge nicely. These
functions will be extremely helpful later.
Definition 99. The p:s:h functions LC
n are defined by:
X
Nd .n/
LC
n .; w/ WD d n
lnC jw wn;j ./j
j D1
QNd .n/
where pn .; w/ DW j D1 .w wn;j .// are the polynomials associated to the
family .f /2M by Theorem 46.
The interest of considering these functions stays in the next Lemma.
Lemma 100. The sequence LC n converges pointwise and in Lloc to L on M C.
1
C
For every w 2 C the sequence Ln .; w/ converges in Lloc to L on M .
1
Proof. We will show that LC n .; w/ converges pointwise to L on M for every w 2 C.

As .LC n / n is locally uniformly bounded, this implies the convergence of LCn .; w/ in
Lloc .M / (Theorem 89) and the convergence of LC
1
n in L1
loc .M C/ then follows by
Lebesgue’s theorem.
As Ln .; 0/ ! L./ (see Remark 98), we have to estimate LC n .; w/
Ln .; 0/ DW n .; w/ on M . Let us fix 2 M , w 2 C and pick R > jwj. Since
f has a finite number of non-repelling cycles (Fatou’s theorem), one sees that there
exists n./ 2 N such that
n n./ ) jwn;j ./j > 1; for any 1 j Nd .n/:
We may then decompose n .; w/ in the following way:

60 F. Berteloot
X X jwn;j ./ wj
n .; w/ D d n lnC jwn;j ./ wj C d n ln
jwn;j ./j
1jwn;j ./j<RC1 jwn;j ./jRC1
X
d n ln jwn;j ./j:
1jwn;j ./j<RC1
We may write this decomposition as n .; w/ DW n;1 .; w/ C n;2 .; w/

n;1 .; 0/:
Clearly, 0 n;1 .; w/ d n Nd .n/ ln 2R C 1 and thus limn n;1 .; w/ D 0.
Similarly, limn n;2 .; w/ D 0 follows from the fact that one has:
R jwn;j ./j R jwn;j ./ wj

ln.1 / ln ln
RC1 jwn;j ./j jwn;j ./j
jwn;j ./j C R R
ln ln.1 C /:
jwn;j ./j RC1
for jwn;j ./j > R C 1 > jwj C 1. t

u
As the functions LC n and Ln coincide on hyperbolic components, the above
Lemma would easily yield the convergence of d n ŒPern .w/ towards Tbif for any
w 2 C if the density of hyperbolic parameters in M was known. The remaining of
this section is, in some sense, devoted to overcome this difficulty. We shall first do
this in a general setting by averaging the multipliers. Then we will restrict ourself to
polynomial families and, using the nice distribution of hyperbolic parameters near
infinity, will show that d n ŒPern .e i / converges towards Tbif .
5.3.2 Averaging the Multipliers
Although the convergence of limn d1n ŒPern .w/ to Tbif is not clear when jwj 1, one
easily obtains the convergence by averaging over the argument of the multiplier w.
The following result is due to Bassanelli and the author [3].

Theorem 101. For any holomorphic family of degree d rational maps f 2M one
n R 2
has d2 0 ŒPern .re i / d ! Tbif ; when r 0.
Proof. One essentially has to investigate the following sequences of p:s:h functions
Z
d n 2
Lrn ./ WD ln jpn .; re i /j d:
2 0
We will see that Lrn ./ C lnnr where C only depends on the family and that Lrn
converges to L in L1loc .M /.
For that, we essentially will compare Lrn with Ln .; 0/ D L0n by using the
R 2
formula ln max.jaj; r/ D 2
1
0 ln ja re jd. Indeed, writing
i
Y
Nd .n/

pn .; w/ DW w wn;j ./
i D1
this formula yields

Z 2 Y X
1
Lrn ./ D ln jre i wn;j ./jd D d n ln max.jwn;j ./j; r/:
2d n 0 j j
(26)
According to Theorem 46, the set fwn;j ./ = wn;j ./ ¤ 1g coincides with
the set of multipliers of cycles of exact period n (counted with multiplicity) from
which the cycles of multiplier 1 are deleted. Using the fact that d n Nd .n/ 1
n
r
(see Theorem 46) one sees that the sequence Ln ./ is locally bounded from above
and is uniformly bounded from below by C lnnr . Since f has a finite number of
non-repelling cycles (Fatou’s theorem), there exists n./ 2 N such that
n n./ ) jwn;j ./j > 1; for any 1 j Nd .n/:
Now we deduce from (26) that for n n./:

X X r
Lrn ./ D d n ln jwn;j ./j C d n ln
j
jwn;j ./j
1jwn;j ./j<r
X r
D Ln .; 0/ C d n ln
jwn;j ./j
1jwn;j ./j<r
and thus
X r
0 Lrn ./ Ln .; 0/ D d n ln d n Nd .n/ lnC r:
jwn;j ./j
1jwn;j ./j<r
Recalling that d n Nd .n/ n and Ln .; 0/ ! L./ (see Remark 98), this
1
implies that Ln converges pointwise to L and, by Theorem 89, that .Lrn /n converges
r
to L in L1loc .M /.
Now, to get the conclusion, one has to justify the following identity:
Z
d n 2
dd c
Lrn D ŒPer n .re i / d:
2 0
62 F. Berteloot
Going back to definitions and taking ddc ln jpn .; re i /j D ŒPer n .re i / into
account, one sees that this is a consequence of Fubini’s theorem if one checks that
ln jpn .; re i /j is locally integrable. Let K be a compact subset of M and cn be
an upper bound for ln jpn .; re i /j on K Œ0; 2 . Then, the negative function
ln jpn .; e i /j cn is indeed integrable on K Œ0; 2 as it follows from the fact
that Lrn ./ C lnnr :
Z Z Z Z
2
ln jpn .; re i /j cn d dV D 2d n Lrn dV 2cn dV
K 0 K K
Z
n ln r
d C cn 2 dV:
n K
t
u
n Z 2
d
Remark 102. We have proved that Lrn ./ WD ln jpn .; re i /j d is
2 0
pointwise converging to L./ on M .
The following result is essentially a potential-theoretic consequence of the
former one. It implicitly contains some information about the convergence of
d n ŒPern .w/ for arbitrary choices of w but seems hard to improve without furtherly
use dynamical properties (see [4]).

Theorem 103. For any family of degree d rational maps f 2M one has
d n ddc.;w/ ln jpn .; w/j ! ddc L./
where pn .; w/ are the canonical defining functions for the hypersurfaces Pern .w/
given by Theorem 46.
Proof. Let us set

Ln .; w/ WD d n ln jpn .; w/j:
As we have seen in the two last subsections (see Remarks 98 and 102)
Ln .; 0/ ! L./
Z
d n 2
Lrn ./ WD ln jpn .; re i /j d ! L./ for any r 0:
2 0
Let us also recall that the function L is continuous on M (see Theorem 86).
As the functions Ln are p:s:h and the sequence .Ln /n is locally uniformly
bounded from above, we shall again use the compacity properties of p:s:h functions
given by Theorem 89. Since Ln .; 0/ converges to L./, the sequence .Ln /n does
not converge to 1 and it therefore suffices to show that, among p:s:h functions
on M C, the function L is the only possible limit for .Ln /n in L1loc .M C/.
Let ' be a p:s:h function on M C and .Lnj /j a subsequence of .Ln /n which

converges to ' in L1loc .M C/. Pick .0 ; w0 / 2 M C. We have to prove that
'.0 ; w0 / D L.0 /.
Let us first observe that '.0 ; w0 / L.0 /. Take a ball B of radius and
centered at .0 ; w0 / 2 M C. By the submean value property and the L1loc -
convergence of LC n (see Lemma 100) we have:
Z Z
1 1
'.0 ; w0 / ' dm D lim Lnj dm
jB j B j jB j B
Z Z
1 1
lim LC
nj dm D L dm
j jB j B jB j B
making then ! 0, one obtains '.0 ; w0 / L.0 / since L is continuous.

Let us now check that lim supj Lnj .0 ; w0 e i / D L.0 / for almost all 2
Œ0; 2 . Let r0 WD jw0 j. By Lemma 100, the sequence LC n converges pointwise
to L and therefore:
lim sup Lnj .0 ; w0 e i / lim sup LC

nj .0 ; w0 e / D L.0 /:
i
j j
On the other hand, by pointwise convergence of Lrn0 to L and Fatou’s lemma we

have:
Z 2
1
L.0 / D lim Lrn0 .0 / D lim sup Lnj .0 ; r0 e i /d
n j 2 0
Z 2
1
lim sup Lnj .0 ; r0 e i /d
2 0 j
and the desired property follows immediately.

To end the proof we argue by contradiction and assume that '.0 ; w0 / < L.0 /.
As ' is upper semi-continuous and L continuous, there exists a neighbourhood V0
of .0 ; w0 / and > 0 such that
' L on V0 :
Pick a small ball B0 centered at 0 and a small disc w0 centered at w0 such that
B0 WD B0 w0 is relatively compact in V0 . Then, according to Hartogs Lemma 90,
we have:
lim sup sup.Lnj L/ sup.' L/ :
j B0 B0
before, we may find .0 ; r0 e / 2 B0 such

i0
This is impossible
since, as we have seen
that lim supj Lnj .0 ; r0 e / L.0 / D 0.
i0
t
u
64 F. Berteloot
Remark 104. Using standard techniques, one may deduce from the above Theorem
that the set of multipliers w for which the bifurcation current Tbif is not a limit of the
sequence d n ŒPern .w/ is contained in a polar subset of the complex plane.
5.3.3 The Case of Neutral Cycles in Polynomial Families

We return to the family Pc;a .c;a/2Cd 1 of degree d polynomials. Recall that Pc;a is
the polynomial of degree d whose critical set is f0 D c0 ; c1 ; ; cd 2 g and such that
Pc;a .0/ D ad (see Sect. 3.1.2).
We want to prove that, in this family, limn d n ŒPern .w/ D Tbif for jwj 1.
Taking the results of the previous subsection into account (see Theorem 97), it
remains to treat the case jwj D 1 and prove the following result due to Bassanelli
and the author (see [4]).
Theorem 105. In the family of degree d polynomials limn d n ŒPern .e i / D Tbif
for any 2 Œ0; 2 .
We will follow the strategy described in Sect. 5.1. As we shall see, the proof
would be rather simple if we would know that the bifurcation locus is accumulated
by hyperbolic parameters. This is however unknown when d 3 and is a source of
technical difficulties (see the fourth step).
Proof. We denote by the parameter in Cd 1 (i.e. WD .c; a/) and set
Ln ./ WD d n ln jpn .; e i /j
where the polynomials pn .; w/ are those given by Theorem 46. We have to show
that the sequence .Ln /n converges to L in L1loc .
We have already seen that .Ln /n is a uniformly locally bounded sequence of
p:s:h functions on Cd 1 . Since the family fPc;a g.c;a/2Cd 1 contains hyperbolic
parameters, on which the Ln ./ D LC i
n .; e /, it follows from Lemma 100 that
the sequence .Ln /n does not converge to 1. Thus, according to Theorem 89,
we have to show that L is the only limit value of the sequence .Ln /n for the L1loc
convergence.
Assume that (after taking a subsequence!) .Ln /n is converging in L1loc to '. To
prove that the p:s:h functions ' and L coincide we shall check that they satisfy the
assumptions of Lemma 91.
First step: ' L.
Since LC n .; e / converges to L in Lloc (see Lemma 100) and Ln ./
i 1
ŁCn .; e i
/ we get
Z Z
1 1
'.0 / ' dm L dm
jB j B jB j B
for any small ball B centered at 0 . The desired inequality then follows by making
! 0 since the function L is continuous (see Theorem 86).
Second step: Supp ddc ' Supp ddc L.
Since there are no persistent neutral cycles in the family Pc;a .c;a/2Cd 1 , the
hypersurfaces Pern .e i / are contained in the bifurcation locus. This means that the
functions Ln are pluriharmonic on Cd 1 n Supp ddc L. The same is thus true for
the limit '.
Third step: for any 0 2 Cd 1 there exists a complex line L through
0 such that
' D L on the unbounded component of L n L \ Supp.ddc L/ .
By Theorem 43 we may pick a line L through 0 which meets infinity far
from the cluster set of [i Bi in P1 . This means that for any in the unbounded
component of L n L \ Supp .ddc L/ all critical points ci belong to the super-
attracting basin of 1 and thus, is a hyperbolic parameter. This implies that
Ln ./ D LC n .; e / and that, by Lemma 100, './ D L./.
i
Fourth step: ' D L on Supp ddc L.

This is the most delicate part of the proof, it somehow proceeds by induction
on d . To simplify the exposition, we will only treat the cases d D 2 and d D 3.
When d D 2 the parameter space is C and the bifurcation locus isc the boundary
bM of the Mandelbrot set. The unbounded stable component M is hyperbolic
and thus, as we saw in the last step, .' L/ D 0 there. Since .' L/ is negative
and u:s:c, this implies that ' D L on bM D Supp ddc L.
Let us stress that this ends the proof when d D 2; the complex line L of the third
step is the parameter space itself in that case !
We now assume that d D 3, the parameter space is then C2 . Let us consider the
sets Uk of parameters which do admit an attracting k-cycle:
[
Uk WD Perk .w/:
jwj<1
We have to show that .' L/ vanishes on the bifurcation locus. Since the
bifurcation locus is accumulated by curves of the form Per k .0/ (by Theorem 97
limk d k ŒPerk .0/ D Tbif ), and the function .' L/ is negative and upper semi-
continuous, it suffices to prove that
.' L/ D 0 on all sets Uk :
Let us first treat the problem on a curve C WD Perk ./ for jj < 1 and show that
.?/ the sequence Ln jC converges uniformly to LjC on the stable components:
We may assume that C is irreducible and desingularize it. This gives a one-
dimensional holomorphic family .P.u/ /u2M . Keeping in mind that the elements of
this family are degree 3 polynomials which do admit an attracting basin of period k
and using the fact that the connectedness locus in C2 is compact (see Theorem 43),
66 F. Berteloot
one sees that the family .P.u/ /u2M enjoys the same properties than the quadratic
polynomial family:
1. The bifurcation locus is contained in the closure of hyperbolic parameters.
2. The set of non-hyperbolic parameters is compact in M .
Exactly as for the quadratic polynomial family this implies that the sequence
Ln jC converges in L1loc to LjC and the convergence is locally uniform on stable
components since, as we already observed, the functions Ln are pluriharmonic there.
We now want to show that ' D L on any open subset Uk . Again, as the stable
parameters are dense and .' L/ is u:s:c and negative, it suffices to show that
' D L on any stable component of Uk . On such a component the functions Ln are
pluriharmonic and thus actually converge locally uniformly to '. Then, (?) clearly
implies that ' D L on . t
u
Remark 106. The relatively simple behaviour of the bifurcation locus near infinity
within polynomials families is crucial in the above proof. It is an open problem
to show that limn d n ŒPern .e i / D Tbif in general families of rational maps. The
first reasonable case to study would be that of the moduli space Mod2 for which
precise informations concerning the bifurcation locus at infinity have been obtained
by Epstein [31].
5.4 Laminated Structures in Bifurcation Loci
5.4.1 Holomorphic Motion of the Mandelbrot Set in Mod2
We work here in the moduli space Mod2 of degree two rational maps which, as we
saw in Sect. 3.1.3, can be identified to C2 . Our aim is to show that the bifurcation
locus in the region
U1 WD f 2 C2 =f has an attracting fixed pointg
can be obtained by holomorphically moving the boundary bM of the Mandelbrot

set. We remind that bM is the bifurcation locus of Per1 .0/ which is a complex line
contained in U1 and can be identified to the family of quadratic polynomials.
We will see simultaneously that the bifurcation current is uniformly laminar in
the region U1 . Let us first recall some basic facts about holomorphic motions.
Definition 107. Let M be a complex manifold and E M be any subset. A
holomorphic motion of E in M is a map
W E 3 .z; u/ 7! .z; u/ DW u .z/ 2 M
which satisfies the following properties:

(i) 0 D Id jE
(ii) E 3 z 7! u .z/ 2 M is one-to-one for every u 2
(iii) 3 u 7! u .z/ 2 M is holomorphic for every z 2 E.
When the family of holomorphic discs in M enjoys good compactness properties,
any holomorphic motion extends to the closure. In particular, when M is the
Riemann sphere C, O the Picard–Montel theorem combined with Hurwitz lemma
easily leads to some famous extension statement which is usually called -lemma
since the “time” parameter is denoted rather than u (see Lemma 59).
The main result of this subsection is the following. It was first proved by
Goldberg and Keene (see [34]). The proof we present here exploits the formalism of
bifurcation currents and is due to Bassanelli and the author (see [3]), this approach
turns out to be much simpler and also provides some information on the laminarity
of the bifurcation currents.
Theorem 108. Let hyp be the union of all hyperbolic components of the Mandel-
brot set M and ~ the main cardioid. Let B if1 be the bifurcation locus in U1 and
Tbif jU1 be the associated bifurcation current. Let 1 be the harmonic measure of M.
There exists a continuous holomorphic motion

W hyp n ~ [ bM ! U1
such that
Z
.bM / D B if1 and Tbif jU1 D Œ.z; / 1 :
Per1 .0/
In particular, B if1 is a lamination

1 as transverse measure. Moreover, the
with
map is holomorphic on hyp n ~ and preserves the curves Pern .w/ for
n 2 and jwj 1.

Proof. First step: Holomorphic motion of hyp n ~ .
The curve Per1 .0/ is actually the complex line 1 D 2. We will write .2; 2 / DW z
the points of this line.
Let us consider Un WD f 2 C2 =f has an attracting
S cycle of period ng and
n WD Un \ Per1 .0/. We recall that hyp WD ~ [ n2 n .
Let us also set Un;1 WD Un \ U1 . By the Fatou–Shishikura inequality, a quadratic

rational map has at most two non-repelling cycles. Thus Un;1 \ Um;1 D ; when
n ¤ m and there exists a well defined holomorphic map
n W Un;1 !
which associates to every 2 Un;1 the pair .wn ./; w1 .// where wn ./ is the
multiplier of the attracting n-cycle of and w1 ./ the multiplier of its attracting
fixed point.
68 F. Berteloot
The cornerstone is the following transversality statement due to Douady and

Hubbard (see also [2]):
Lemma 109. The map induces a biholomorphism
n;j W Un;1;j !
on each connected component Un;1;j of Un;1 .

By the above Lemma, the connected components n;j of n coincides with
Un;1;j \Per 1 .0/ and one clearly obtains a holomorphic motion W hyp n~ !
U1 by setting:
.z; t/ WD . n;j /1 wn .z/; t
for any z 2 n;j .
Second step: extension of to bM.
The key point here is that .z; t/ DW .˛.z; t/; ˇ.z; t// belongs to the complex line
Per1 .t/ which, according to Proposition 54, is given by the equation
.t 2 C 1/1 t2 .t 3 C 2/ D 0:
Thus .z; t/ is completely determined by ˇ.z; t/:
1
˛.z; t/ D tˇ.z; t/ C t 3
C 2 ; 8t 2 : (27)
1 C t2
O
We will now identify Per1 .0/ with the deleted Riemann
sphere C nf1g and set
ˇ.1; t/ D 1 for all t 2 . Then, the map ˇ W f1g [ hyp n ~ ! C O
is
clearly a holomorphic motion which, by Lemma 59, extends to the closure of
hyp n ~ . We thus obtain a continuous holomorphic motion

O
ˇ W f1g [ hyp n ~ [ bM ! C:
As, by construction, ˇ.z; t/ ¤ 1 when z ¤ 1, the identity (27) shows that

.z;
t/ D .˛.z;
t/; ˇ.z; t// extends to a continuous holomorphic motion of hyp n
~ [ bM .
Third step: laminarity properties.R
Let us show that Tbif jU1 D Per1 .0/ Œ.z; / 1 : According to the approximation
formula given by Theorem 97 and applied on Per1 .0/ we have:
X
1 D lim 2m ı .z;0/ : (28)
m
z2Per1 .0/\Perm .0/
R
Let us set T WD Per1 .0/ Œ.z; / 1 . We have to check that T D Tbif jU1 . Let be
a .1; 1/-test form in U1 . As the holomorphic motion is continuous, the function
z 7! hŒ.z; / ; i is continuous as well. Then, using (28) one gets
X
hT; i D lim 2m hŒ.z; / ; i D lim 2m hŒPer m .0/ ; i (29)
m m
z2Per1 .0/\Perm .0/
where the last equality uses the fact that, according to Proposition 55, the curves
Perm .0/ have no multiplicity in U1 . Now the conclusion follows by using (29) and
the approximation formula of Theorem 97 in U1 .
By construction, the map is holomorphic on hyp n ~ and preserves the
curves Pern .w/ for n 2 and jwj < 1. This extends to jwj D 1 by continuity.
Using the continuity of , one R easily sees that bM; is closed in U1 and
therefore contains the support of Per1 .0/ Œ.z; / 1 . By the above formula we thus
have
B if1 D Supp Tbif jU1 bM; :
The inclusion easily follows from the construction of : any point in
opposite
bM; is a limit of zm 2 Per1 .0/ \ Perm .0/ where m ! C1. t
u
Instead of using the basic -Lemma we could have use its far advanced
generalization due to Slodkowski and get a motion on the full line Per1 .0/.
Theorem 110 (Slodkowski -lemma). Let E C O be a subset of the Riemann
sphere and W E 3 .z; t/ 7! .z; t/ 2 CO be a holomorphic motion. Then
O Moreover Q is continuous on E and
extends to a holomorphic motion Q of C.
j
z 7! .z;
Q t/ is a K-quasi-conformal homeomorphism for K WD 1Cjt 1jt j
.
Our reference for quasi-conformal maps is the book [36] where one can also find
a nice proof of Slodkowski theorem due to Chirka and Rosay.
Using Slodkowski Theorem one may obtain further informations on the motion
given by Theorem 108. We refer to our paper [3] for a proof.

Theorem 111. Let W hyp n ~ [ bM ! U1 be the holomorphic
motion given by Theorem 108. Then extends to a continuous holomorphic motion
Q W Per1 .0/ ! U1 which is onto. All stable components in U1 are of
the form Q .! / for some stable component ! in Per1 .0/. Moreover, the map
z 7! .z;
Q t/ isa quasi-conformal homeomorphism for each t and Q is one-to-one on
Per1 .0/ n ~ where ~ is the main cardioid.
Theorem 111 shows that non-hyperbolic components exist in U1 if and only

if such components exist within the quadratic polynomial family Per1 .0/. Let us
underline that, in relation with Fatou’s problem on the density of hyperbolic rational
maps, it is conjectured that such components do not exist.
It might be useful to note that holomorphic motions enjoy good Hölder regularity
properties. We will end this subsection by giving a basic result in this direction.
Lemma 112. Let h W B.0; r/E ! P1 be a holomorphic motion of some E P1
parametrized by a ball in Ck . Then, for any z0 2 E we may find 0 < r1 r and
> 0 such that the following estimates hold for 0 < r 0 < r1 , 2 B.0; r 0 / and
z; z0 2 D.z0 ; / \ E:
70 F. Berteloot
r1 Ckk r1 kk
C 0 .r 0 /jz z0 j r1 kk jh.; z/ h.; z0 /j C.r 0 /jz z0 j r1 Ckk
where C.r 0 /; C 0 .r 0 / are strictly positive constants.

Proof. Let z0 2 E. As h is continuous, one finds 0 < < 1 and 0 < r1 r such
that
jh.; z/ h.; z0 /j < 1
for any 2 B.0; r1 / and any z 2 D.z0 ; / \ E. Let us now pick two distinct points
z; z0 in D.z0 ; / \ E, a parameter in B.0; r1 / n f0g and set
jh.r1 t kk

; z/ h.r1 t kk

; z0 /j
0 .t/ WD log ; t 2 D:

gz;z
2
Since z ¤ z0 and z; z0 2 D.z0 ; / \ E one has
0
0 < jh.r1 t ; z/ h.r1 t ; z /j < 2
kk kk
for any t 2 and therefore gz;z

0 is a positive harmonic function on the unit disc .
Harnack inequalities yield
1 jtj 1 C jtj
g 0 .0/ gz;z

0 .t/ g 0 .0/
1 C jtj z;z 1 jtj z;z
for any t 2 D, which means that
1Cjt j 1jt j
jz z0 j 1jt j jh.rt kk

; z/ h.rt kk

; z0 /j jz z0 j 1Cjt j

2 2 2
for t 2 D. Taking t D kk=r1 we get
r1 Ckk r1 kk
jz z0 j r1 kk jh.; z/ h.; z0 /j jz z0 j r1 Ckk
:
2 2 2
2r 0 2r 0
The conclusion follows by setting C.r 0 / WD 2 r1 Cr 0 and C 0 .r 0 / WD 2 r1 r 0 for 0 <
r 0 < r1 . u
t
5.4.2 Further Laminarity Statements for Tbif
The following result is an analogue of Theorem 108 in the regions
Un WD f 2 Mod2 =f has an attracting cycle of period ng:

It shows, in particular, that the bifurcation current in Mod2 is uniformly laminar

in the regions Un . It has been established by Bassanelli and the author in [3].
Theorem 113. Let B ifn be the bifurcation locus in Un and Tbif jUn be the associated
bifurcation current. Let B ifnc be the bifurcation locus in the central curve Pern .0/
and cn be the associated bifurcation measure. Then, there exists a map
W B ifnc ! B ifn
.; t/ 7! .; t/
such that:

(1) B ifnc D B ifn ,
(2) is continuous, .; / is one-to-one and holomorphic for each 2 B ifnc ,
(3) pn ..; t/; t/ D 0I 8 2 B ifnc ; 8t 2 ,
(4) the discs ..; //2Bifnc are mutually disjoint.
Moreover the bifurcation current in Un is given by
Z
Tbif jUn D Œ .; / cn
Bifnc
and, in particular, B ifn is a lamination with cn as transverse measure.

The proof is similar to that of Theorem 113 but requires a special treatment for
the extension problems since there is no -lemmaavailable. The key is to use the
fact that, by construction, the starting motion W [m¤n .Um \ Un / ! Un
satisfies the following property:
pn ..; t/; t/ D 0I 8 2 B ifnc ; 8t 2 :
Such a motion is what we call a pn -guided holomorphic motion. Using Zalcman

rescaling lemma, one proves the following compactness property for guided holo-
morphic motions. We stress that here, an holomorphic motion G is seen as a family
of disjoints holomorphic discs and Gt0 is the set of points .t0 /.
Theorem 114. Let p.; w/ be a polynomial on C2 C such that the degree of
p.; w/ does not depend on w 2 . Let G be a p-guided holomorphic motion in
C2 such that any component of the algebraic curve fp.; t/ D 0g contains at least
three points of Gt for every t 2 . Then, for any F G such that Ft0 is relatively
compact in C2 for some t0 2 , there exists a continuous p-guided holomorphic
motion FO in C2 such that F FO and FO t0 D Ft0 :
The above Theorem plays the role of the -lemma in the proof of Theorem 113.
We refer to the paper [3] for details.
We will now end this section by presenting some more precise laminarity result
for Tbif which is due to Dujardin (see [27])
72 F. Berteloot
Theorem 115. Within the polynomial family of degree 3, the bifurcation current
is laminar on every open set where one critical point is passive and, in particular,
outside the connectedness locus.
We refer to Sect. 3.2 for the discussion of the connectedness locus within
polynomial families.
A few comments on the concept of laminar currents are necessary here. We
restrict ourself to the case of a positive .1; 1/-current T on a complex manifold M .
One says that T is locally uniformly laminar on M if any point of the support of T
admits a neighbourhood on which T is of the form
Z
T D Œt .t/
where t is a lamination by holomorphic discs with a transverse measure .

With this terminology, Theorem 113 says that Tbif is uniformly laminar on the
open sets of Mod2 where an attracting basin of given period exists. In particular,
Tbif is locally uniformly laminar on any open set of Mod2 where a critical point is
attracted by a cycle.
One says that T is laminar on M if there exists a sequence of open sets i M
and a sequence of currents Ti which are locally uniformly laminar on i and such
that the sequence .Ti /i increasingly converges to T . This is actually equivalent to
say that Z
T D Œa .a/
A
where .a /a2A is a family of compatible (in the sense of analytic continuation)
holomorphic discs parametrized by an abstract set A and is a measure on A.
The methods used in Mod2 for proving Theorem 113 work also in the cubic
polynomial family (the situation is actually technically simpler) and thus, for this
family too, the bifurcation current is locally uniformly laminar on the open subsets
where a critical point is attracted by a cycle. As it is not hard to see, this would
imply Theorem 115 if the hyperbolicity conjecture was known to hold in the cubic
polynomial family. To overcome this difficulty, one uses more sophisticated tools
on laminar currents. Precisely, the proof of theorem 115 is based on a laminarity
criterion due to De Thelin [17] which says that a current T WD limn d1n ŒCn , where
ŒCn is a sequence of integration currents on curves in C2 , is laminar if genus .Cn / D
O.dn /.
6 The Bifurcation Measure
The powers .Tbif /k of the bifurcation current detect stronger bifurcations and allow
to define a very interesting stratification of the bifurcation locus. Among them,
the highest power is a measure whose support should be the seat of the strongest
bifurcations. In this section, we will survey the basic properties of this measure
and then describe its support as the closure of some sets of remarkable parameters.
Although some results about the intermediate powers of Tbif can be easily deduced
from our exposition, we will not discuss explicitly these currents here and refer the
reader to the survey of Dujardin [28] for more details on this topic.
6.1 A Monge–Ampère Mass Related with Strong Bifurcations
6.1.1 Basic Properties
Since the bifurcation current Tbif of any holomorphic family .f /2M of degree d
rational maps has a continuous potential L (see Definition 82 and Theorem 86), one
may define the powers .Tbif /k WD Tbif ^ Tbif ^ ^ Tbif for any k m WD dimM.
We recall that for any closed positive current T , the product ddc L ^ T is defined by
ddc L ^ T WD ddc .LT /. In particular, .Tbif /m is a positive measure on M which is
equal to the Monge–Ampère mass of the Lyapunov function L.
Definition 116. Let .f /2M be a holomorphic family of degree d rational maps
parametrized by a complex manifold M of dimension m. The bifurcation measure
bif of the family is the positive measure on M defined by
1 1
bif D .Tbif /m D .ddc L/m
mŠ mŠ
where Tbif is the bifurcation current and L the Lyapunov function of the family.
The following proposition is a direct consequence of the definition and the fact
that bif has locally bounded potentials.
Proposition 117. The support of bif is contained in the bifurcation locus and bif
does not charge pluripolar sets.
It is actually possible to define the bifurcation measure in the moduli space Modd
of degree d rational maps and show that this measure has strictly positive and finite
mass (see [2, Proposition 6.6]). Although all the results we will present here are true
in Modd , we will restrict ourself to the technically simpler situation of holomorphic
families. The example we have in mind are the polynomial families and the moduli
space Mod2 which, in some sense, can be treated as a holomorphic family (see
Theorem 36).
In arbitrary holomorphic families, the measure bif can identically vanish.
Moreover, when bif > 0, it is usually quite involved to prove it. Note however
that this will follow from standard arguments in polynomial families. The following
simple observation already shows that bif > 0 in Mod2 (and more generally
Modd ), it has also its own interest.
74 F. Berteloot
Proposition 118. In any holomorphic family, all rigid Lattès examples belong to
the support of bif .
Proof. The parameters corresponding to rigid Lattès examples are isolated. Thus,
as Theorem 28 shows, the Lyapunov function L takes the value ln2d and has a
strict minimum at any such parameter. Applying the comparison principle to L and
some constant function ln2d C , one sees that the Monge–Ampère measure .ddc L/m
cannot vanish around a strict minimum of L. This yields the conclusion. t
u
Using pluripotential theory, it is possible to show that any Lattès example in

Modd lies in the support of .Tbif /2d 3 . Buff and Gauthier have recently shown that
such maps actually belong to the support of bif (see [14]). Their proof requires
transversality statements and uses the quadratic differentials techniques.
Theorem 119. In Modd , Lattès examples belong to the support of the bifurcation
measure.
We end this subsection by showing that the activity currents have no self-
intersection. This is a useful geometric information which, in particular, shows that
the activity of all critical points is a necessary condition for a parameter to be in
the support of the bifurcation measure. It was first proved by Dujardin–Favre in the
context of polynomial families (see [29, Proposition 6.9]), we present here a general
argument due to Gauthier [33].
Theorem 120. Let .f /2M be any holomorphic family of degree d rational maps
with marked critical points. The activity currents Ti satisfy Ti ^Ti D 0. In particular,
when m WD dim M D 2d 2 (or m D d 1 for polynomial families) then
bif D T1 ^ T2 ^ ^ Tm
and the support of bif is contained in the intersection of the activity loci of the
critical points.
The proof is very close to that of a density statement which will be presented
in the next section, it combines the following potential-theoretic Lemma with a
dynamical observation.
Lemma 121. Let u be a continuous p:s:h function on some open subset in C2 .
Let be the union of all analytic subsets of on which u is harmonic. If the support
of ddc u is contained in then ddc u ^ ddc u vanishes on .
Proof. Let us set WD ddc u ^ ddc u. Let Br bean open

ball of radius r whose
closure is contained in , we have to show that B r2 D 0.
Denote by h the solution of the Dirichlet–Monge–Ampère problem with data u
on bBr :
h D u on the boundary of Br
dd h ^ dd h D 0 on Br .i.e. h is maximal on Br /:
c c
The function h is p:s:h and continuous on Br (see [5]). As h is p:s:h maximal

and coincides with the p:s:h function u on bBr , we have u h on Br . For any > 0
we define
D WD f 2 B r2 = 0 h./ u./ g:
We will see that our assumption implies that
Supp \ B r2 D for all > 0: (30)
Indeed, if is a complex curve in on which u is harmonic then, the maximum

modulus principle, applied to .h u/ on \ Br implies that h D u on . Then, as
.h u/ is continuous on Br and Supp Supp ddc u , we get Supp \ Br
fh D ug.
Now, a result due to Briend–Duval (see [11] or [23, Théorème A.10.2]) says that
.D / C (31)
C only depends on u and Br . From (30) and (31) we deduce that

where
B r2 D 0. t
u
We may now end the proof of Theorem 120.

Proof. We onlyP have to show that Ti ^ Ti D 0, the remaining then follows from the
identity Tbif D i Ti (see Theorem 84).
The statement is local and we may therefore assume that M D Ck . Moreover,
an elementary slicing argument allows to reduce the dimension to k D 2. We apply
the above Lemma with u D G .cOi .// (see Lemma 83). We have to show that
the support of ddc u D Ti is accumulated by curves on which the critical point ci
is passive. These curves are of the form ffn .ci ./ D ci ./g and their existence
follows from Lemma 64. t.
u
Remark 122. An example, due to A. Douady, shows that the activity of all critical
points is not sufficient for a parameter to be in the support of the bifurcation
measure. We will present this example in the next subsection (see Example 125).
6.1.2 Some Concrete Families
We first discuss the case of the polynomial families introduced in Sect. 3.1.2. We
follow here the paper [29] by Dujardin and Favre.
Proposition
123. The bifurcation measure bif of the degree d polynomial family
Pc;a .c;a/2Cd 1 is a probability measure supported on the connectedness locus C. It
coincides with the pluricomplex equilibrium measure of the compact set C and its
support is the Shilov boundary of C.
76 F. Berteloot
Proof. Let us recall that the Green function of the polynomial Pc;a is denoted gc;a .
The connectedness locus C is a compact subset of Cd 1 which coincides with the
intersection \0i d 2 Bi where Bi is the set of parameters for which the orbit of the
critical point ci is bounded (see Theorem 43). As the support of the activity current
Ti is contained in bBi we deduce that Supp bif C from Theorem 120. All the
remaining follows from the fact that
bif D .ddc G/d 1
where
G WD supfu p:s:h = u lnC maxfjaj; jck jg O.1/; u 0 on Cg:
is the pluricomplex Green function of C with pole at infinity. An identity which we

shall now prove.
Let us first establish that bif D .ddc G/d 1 where G WD maxfg0 ; g1 ; ; gd 2 g
and gi WD gc;a .ci /. We show by induction that T0 ^ T1 ^ ^ Tl D .ddc Gl /lC1 for
0 l d 2 where Gl WD maxfg0 ; g1 ; ; gl g. This comes from the following
computation:

T0 ^ T1 ^ ^ Tl1 ^ Tl D dd c gl .ddc Gl1 /l D ddc Gl .ddc Gl1 /l

D ddc Gl1 .ddc Gl1 /l1 ^ ddc Gl

D ddc Gl .ddc Gl1 /l1 ^ ddc Gl D .ddc Gl /lC1
the second equality follows from gl D Gl on the support of .ddc Gl1 /l and the
fourth from Gl D Gl1 on the support of ddc Gl , the last equality is obtained by
repeating the same arguments l 1 times.
It remains to show that G D G. The proof is standard and relies on the estimate
given by Proposition 44 and the fact that G is maximal outside C. We refer to the
paper [29, Proposition 6.14] for more details. t
u
Remark 124. The above result shows that the support of the bifurcation measure is
topologically much smaller than the bifurcation locus. Indeed, the Shilov boundary
is usuallya tiny part
of the full boundary. For instance, the boundary of the bidisc
is S 1 [ S 1 while its Shilov boundary is the real torus S 1 S 1 .
We will now present the example mentioned at the end of last subsection.
Example 125. In the holomorphic family of degree 3 polynomials

1
.1 C ˛1 /z C . C ˛2 /z2 C z3
2 ˛2V0
where V0 is a neighbourhood of the origin in C2 the critical points are both active at
the origin .0; 0/ but .0; 0/ … Supp bif .
This family is a deformation of the polynomial P0 WD z C 12 z2 C z3 . If V0 is

small enough we have two marked critical points c1 .˛/ and c2 .˛/. The origin 0 is
a parabolic fixed point for P0 and we may assume that P˛ has two fixed points
counted with multiplicity near 0 for all ˛ 2 V0 . As P is real, its critical points are
complex conjugate and both of them are attracted by the parabolic fixed point at 0,
moreover their orbits are not stationary.
We first show that .0; 0/ … Supp bif . When the fixed points of P˛ are distinct,
we denote by m1 .˛/ and m2 .˛/ their multipliers. When this is the case, it turns out
that either jm1 .˛/j < 1 or jm2 .˛/j < 1 and thus one of the fixed points attracts a
critical point. This can be seen by using the holomorphic fixed point formula (see
[49, Lecture 12]).
By Theorem 120, this implies that ˛ … Supp bif . We thus see that bif is
supported on the subvariety of parameters ˛ for which the fixed point is double. By
Proposition 117 this implies that bif vanishes near .0; 0/.
Let us now see that both critical points are active. We may assume that the family
is parametrized by a disc D in C such that P˛ has two distinct fixed points when
˛ ¤ 0. Assume to the contrary that a critical point c.˛/ is passive. Then, after taking
a subsequence, the sequence un .˛/ WD P˛n .c.˛// is uniformly converging to u.˛/.
Since the polynomial P0 is real, its critical points are complex conjugate and must
therefore both be attracted by the parabolic fixed point 0. Thus un .0/ converges to
0 and never belongs to the analytic set Z WD f.˛; z/ 2 D P1 = P˛ .z/ D zg.
If un .˛/ 2 Z for ˛ ¤ 0 then the orbit of c.˛/ is captured by a fixed point which,
since c.˛/ is passive, must be attracting. In that case the curve .˛; u.˛// is contained
in Z. If un .˛/ never belongs to Z then, by Hurwitz lemma, the curve .˛; u.˛// is
also contained in Z. This is impossible since, for some ˛ close to 0, the critical orbit
should be attracted by a repelling fixed point. t
u
The situation in the moduli space Mod2 is more complicated. We recall that Mod2
can be identified to C2 . Using the results which will be obtained in the last section
of this section and the holomorphic motions constructed in Sect. 5.4, it is possible
to show that the support of the bifurcation locus is not bounded.
6.2 Density Statements
Our aim here is to explain why the support of the bifurcation measure may be
considered as the locus of the strongest bifurcations. To this purpose we will
show that the remarkable parameters introduced in Sect. 4.1.3 accumulate the
support of the bifurcation measure. These informations will be obtained through
equidistribution arguments for the bifurcation current and its powers.
Let us mention that, using further techniques, some of the above mentioned
remarkable parameters will be shown to belong to the support of the bifurcation
measure in the next section.
78 F. Berteloot
6.2.1 Strongly Misiurewicz Parameters
The results given in this subsection are essentially due to Dujardin and Favre. We
present them in the setting of polynomial families and refer the reader to the original
paper [29] for a greater generality.

Theorem 126. In the degree d polynomial family Pc;a .c;a/2Cd 1 let us define a
sequence of analytic sets by:
n k.n /
Wn0 ;;nl WD \lj D0 fPc;aj .cj / D Pc;a j .cj /g
where l d 2 and k.nj / < nj . Then
1
lim lim ŒWn0 ;;nd 2 D bif
nd 2 !1 n0 !1 d nd 2 C C d n0
and Wn0 ;;nd 2 is finite.
Proof. We treat the case d D 3 which is actually not very different from the general
case.
Let us first observe that Wn0 ;n1 has codimension at least two and is contained
in the connectedness locus which is compact (see Theorem 43). Thus Wn0 ;n1 is a
finite set.
Applying a version of Theorem 92 suitably adapted to the family Wn0 yields
lim d n1 ŒWn0 ;n1 D T1 ^ ŒWn0

n1 !1
where T1 is the activity current of the critical point c1 . By the same Theorem one
has limn0 !1 d n0 ŒWn0 D T0 where T0 is the activity current of c0 and this, since T1
has continuous potentials, gives
lim T1 ^ d n0 ŒWn0 D T1 ^ T0 :
n0 !1
The conclusion follows immediately since, according to Theorem 120, bif D

T0 ^ T1 . t
u
An important consequence of the above result is that the support of the bifurca-
tion measure is accumulated by strongly Misiurewicz polynomials. An alternative
proof of that fact will be given in the next subsection for arbitrary families. We refer
to Definition 72 for a definition of Misiurewicz parameters.
Corollary 127. In polynomial families, the support of the bifurcation measure is
contained in the closure of strongly Misiurewicz parameters: Supp bif M iss.
Proof. By the above Theorem

1 n n 1
lim lim Œ\d 2 fPc;aj .cj / D Pc;aj .cj /g D bif : (32)
nd 2 !1 n0 !1 d nd 2 C C d n0 0
Let us observe that

n n 1
Hj WD fPc;aj .cj / D Pc;aj .cj /g D Prepernj [ Fixj
where, for parameters in Prepernj the critical point cj is strictly preperiodic to a

(necessarily) repelling fixed point while cj is fixed for parameters in Fixj .
Now Theorem 92 may be rewritten as
1 ˛nj
lim ŒPrepernj C nj ŒFixj D Tj (33)
nj !1 d nj d
˛nj
but, as Tj cannot charge the hypersurface Fixj , we must have d nj
! 0. Thus
limnj !1 d 1nj ŒPreperj D Tj and (32) yields
1
lim lim Œ\d 2 Prepernj D bif :
nd 2 !1 n0 !1 d nd 2 C C d n0 j D0
2
The conclusion follows immediately since \dj D0 Prepernj M iss. t
u
6.2.2 Shishikura or Hyperbolic Parameters
We aim here to show that the support of the bifurcation measure in Modd is simul-
taneously accumulated by Shishikura and hyperbolic parameters (see Sect. 4.1.3 for
definitions):
Supp bif S hi \ H yp:
It is worth emphasize that both statements will be deduced in the same way from
the following generalized version of Theorem 101. The results discussed in this
subsection and the next one are due to Bassanelli and the author [2, 3].
Theorem 128. Let bif be the bifurcation measure of a holomorphic family
.f /2M of rational maps. Let m denote the complex dimension of M . Let 0 <
r 1. Then there exists increasing sequences of integers k2 .n/; : : : ; km .n/ such
that:
d .nCk2 .n/CCkm.n//
bif D lim
n mŠ.2/m
Z ^
m
ŒPern .re i1 / ^ ŒPer kj .n/ .re ij / d1 dm :
Œ0;2 m
j D2
Moreover, we may assume that kj .n/ ¤ ki .n/ when i ¤ j .

80 F. Berteloot
We will derive that result from Theorem 101 by simple calculus arguments with
currents.
Proof. For any fixed variety Perp .re ip /, the set of 2 Œ0; 2 for which
Perp .re ip / shares a non trivial component with Perm .re i / for some m 2 N is
at most countable. This follows from Fatou’s theorem on the finiteness of the set of
non-repelling cycles. Thus, the wedge products ŒPer n .re i1 / ^ ŒPerk2 .n/ .re i2 /
^ŒPer km .n/ .re im / make sense for almost every .1 ; ; m / 2 Œ0; 2 m and the
integrals
Z ^
m
ŒPern .re i1 / ^ ŒPer kj .n/ .re ij / d1 dm
Œ0;2 m
j D2
are well defined.

Next, we need the following formula which has been justified for q D 1 at the
end of the proof of Theorem 101. The proof is similar for q > 1 and we shall omit
n R 2
it. Recall that Lrn ./ WD d2 0 ln jpn .; re i /j d.
Z ^
q
d .n1 CCnq /
dd c
Lrn1 ^ ^ dd c
Lrnq D ŒPernk .re ik / d1 dq :
.2/q Œ0;2 q
kD1
To prove the convergence, we may replace M by Cm since the problem is local.

The conclusion is obtained by using Theorem 101, the above formula and the next
Lemma inductively.
Lemma 129. If Sn ! .ddc L/p for some sequence .Sn /n of closed, positive .p; p/-
currents on M then ddc Lrk.n/ ^ Sn ! .ddc L/pC1 for some increasing sequence of
integers k.n/.
Let us briefly justify Lemma 129. Let us denote by sn the trace measure of Sn , as
M has been identified with Cm this measure is given by sn WD Sn ^ .ddc jzj2 /mp .
Since Sn is positive, sn is positive as well. Let us consider the sequence .uk /k
defined by uk WD Lrk L. We know that .uk /k converges pointwise to 0 (see
Remark 102) and is locally uniformly bounded (the function L is continuous).
The positive current Sn may be considered as a .p; p/ form whose coefficients are
measures which are dominated by the trace measure sn . Thus, by the dominated
convergence theorem, .Lrk L/Sn D uk Sn tends to 0 as k ! 1 and n is fixed. On
the other hand, LSn converges to LS because L is continuous. It follows that some
subsequence Lrk.n/ Sn converges to LS . t
u
Corollary 130. In the moduli space Modd the support of the bifurcation measure
bif is contained in S hi \ H yp.
Proof. Use Remark 34 to work with families and then apply Theorem 128. For
0 < r < 1 one gets Supp bif H yp and for r D 1 Supp bif S hi. t
u
We also stress that the above result yields a rather simple proof of the existence
of Shishikura maps, the original one was based on quasi-conformal surgery.
Corollary 131. In the moduli space Modd one may find maps having 2d 2 neutral
cycles.
Proof. Combine Corollary 130 with the fact that bif > 0 (see Proposition 118). u
t
Let us end this subsection with a final remark.
Theorem 128 remains true, with the same proof, if one replace the integrals by
Z ^
m
ŒPer n .r1 e i1 / ^ ŒPer kj .n/ .rj e ij / d1 dm
Œ0;2 m
j D2
where 0 < rj 1 for 1 j m. As a consequence, if ˛ C D m and P˛; is

the set of parameters such that f has ˛ distinct attracting cycles and distinct
neutral cycles then Supp bif is contained in the closure of P˛; .
6.2.3 Shishikura or Hyperbolic Parameters with Chosen Multipliers
As Theorem 105 shows, polynomial with a neutral cycle of a given multiplier are
dense in the support of the bifurcation current. We believe that a similar property is
still true for the bifurcation measure which means that Shishikura parameters with
arbitrarily fixed multipliers should be dense in the support bif . The following result
goes in this direction.
Theorem 132. Denote by p.f / (resp. s.f /, c.f /) the number of distinct parabolic
(resp. Siegel, Cremer) cycles of f 2 Modd . Then
Supp bif ff 2 Modd = p.f / D p; s.f / D s and c.f / D cg
for any triple of integers p, s and c such that p C s C c D 2d 2.

The proof is essentially based on Lemma 121 and Mañé–Sad–Sullivan theorem.
More precisely we will use the following
Lemma 133. Let E be a dense subset of Œ0; 2 . Then for any holomorphic family
of degree d rational map .f /M the set
[n [ 2E Pern .e i /
is dense in the bifurcation locus.

Proof. Use Mañé–Sad–Sullivan theorem or Theorem 101 with r D 1. t
u
Let us now prove Theorem 132. We restrict ourself to Mod2 . The general case
requires to use a slicing argument, we refer to [2] for details.
82 F. Berteloot
Proof. Let E1 and E2 be two dense subsets of Œ0; 2 . Let 0 be a point in the
support of bif and U0 be an arbitrarily small neighbourhood of 0 . By Lemma 133,
the support of the bifurcation current ddc L is accumulated by holomorphic discs
contained in [n [ 2E1 Pern .e i /. Among such discs, let us consider those which
go through U0 and pick one disc 1 on which the Lyapunov function L is not
harmonic. Such a disc exists since otherwise, according to Lemma 121, the measure
bif would vanish on U0 . The bifurcation locus of .f /1 is not empty and thus, to
get a Shishikura parameter in U0 with multipliers e i1 and e i2 where j 2 Ej , it
suffices to apply again Lemma 133 with the dense set E2 to the family .f /1 . u t
Using Theorem 97 instead Theorem 101 one may prove, with exactly the
same arguments as above, that the support of bif is accumulated by hyperbolic
parameters with attracting cycles of given multipliers.
Theorem 134. Let w1 ; w2 ; ; w2d 2 be complex numbers belonging to the open
unit disc. Then any 0 2 Supp bif is accumulated by maps f 2 Modd having
2d 2 attracting cycles whose respective multipliers are the wi .
6.3 The Support of the Bifurcation Measure
We will establish that the inclusions obtained in the former section are actually
equalities. This will give a precise meaning to our interpretation of the support of
the bifurcation measure in Modd as a strong-bifurcation locus.
6.3.1 A Transversality Result
Transversality statements play a very important role for understanding the structure
of parameter spaces. We have already encounter such results like for instance
Lemma 109 or the Fatou–Shishikura inequality. We refer to the fundamental work
of Epstein [30] for a general and synthetic treatment of transversality problems in
holomorphic dynamics.
All the results presented here are true in Ratd or in the moduli spaces Modd . For
simplicity we shall restrict ourself to the moduli space Mod2 which will be treated as
a holomorphic family .f /2C2 (see Theorem 36). We shall also assume, to simplify,
to have two marked critical points cj ./ j D 1; 2. Our exposition also covers the
case of the family of cubic polynomials.
Assume that f0 2 Mod2 is strongly Misiurewicz. This means that there exists
two repelling cycles
n 1
Cj .0/ WD fzj .0/; ; f0 j .zj .0//g
and an integer k0 1 such that

f0k0 .cj .0// D zj .0/ but cj .0/ … Cj .0/
for j D 1; 2.
By the implicit function theorem, we may follow the cycles Cj on a small ball
n 1
B.0; r/ centered at the origin. Writing Cj ./ WD fzj ./; ; f j .zj .//g the
cycles corresponding to the parameter 2 B.0; r/, we may define an important
tool for studying the parameter space near f0 .
Definition 135. The map W B.0; r/ ! C2 defined by

7! fk0 .cj .// zj ./
j D1;2
is called activity map near the strongly Misiurewicz parameter f0 .

The activity map measures the difference between two natural holomorphic
motions of the point zj .0/. One as a repelling periodic point and the other as a
post-critical point. The definition of implicitly uses local charts of P1 near zj .0/.
As we shall see later, the activity map will allow to transfer informations from
the dynamical space of f0 to the parameter space. For this, the next result will be
essential.
Theorem 136. The activity map near a strongly Misiurewicz parameter f0 is
locally invertible.
This Theorem was proved by Buff and Epstein (see [13]) in the general setting
of Ratd . In that case one has to assume that f0 is not a flexible Lattès map (such
maps do not exist in degree two). The proof of Buff and Epstein uses quadratic
differentials techniques. We shall prove here a weaker statement which is due to
Gauthier [33] and is sufficient for the applications we have in mind.
Theorem 137. The activity map near a strongly Misiurewicz parameter f0 is
locally proper.
The proof of that result is based on more classical arguments going back to
Sullivan (see also [62] or [1]). The key point relies on the following Lemma.
Lemma 138. Any holomorphic curve contained in M iss must consist of flexible
Lattès maps.
Proof. Assume that .f /2D is a holomorphic family parametrized by some one-
dimensional disc D and that all f are strongly Misiurewicz parameters when
2 D. It actually suffices to show that f1 is Lattès for some 1 2 D.
Since all f are strongly Misiurewicz, the Julia set of f coincides with P1 for
all 2 D. Moreover, by Lemma 64, the family .f /2D is stable. According to
a Theorem of Mañé–Sad–Sullivan (see [42, Theorem B]), the stability of .f /2D
implies the existence of a quasiconformal holomorphic motion ˆ W D P1 ! P1
which conjugates f to f0 on P1 . Let us denote by the Beltrami form satisfying
84 F. Berteloot
@ˆ @ˆ
D :
@Nz @z
There exists 1 2 D nf0g for which the support of 1 has strictly positive Lebesgue
measure. Indeed, if this would not be the case, f would be holomorphically
conjugated to f0 for all 2 D. Then the Julia set of f1 carries an invariant line
field and thus f1 is a flexible Lattès map. This last argument uses the fact that
the conical set of a strongly Misiurewicz map coincides with its Julia set (see [9,
Theorem VII.22] and [46, Corollary 3.18]). t
u
We may now easily prove Theorem 137.
Proof. Let us first establish that at least one critical point must be active. Assume
to the contrary that both critical points are passive around f0 . Then, according to
Lemma 73, f is strongly Misiurewicz for all 2 B.0; r/ after maybe reducing r.
Cutting B.0; r/ by a disc D passing through the origin we obtain, by Lemma 138,
a disc of flexible Lattès maps. Since this is impossible in Mod2 (and by assumption
in other cases) we have reached a contradiction and proved that at least one critical
point, say c1 , is active at f0 .
The activity of c1 means that 1 1 .0/ has codimension one. The conclusion is
obtained by repeating the argument on the hypersurface 1 1 .0/. t
u
6.3.2 The Bifurcation Measure and Strong-Bifurcation Loci
We want to establish that the inclusion Supp bif S hi \ M iss obtained in

Sect. 6.2.2 is actually an equality. This is the reason for which we shall consider the
support of the bifurcation measure as a strong-bifurcation locus. This is essentially
a consequence of the following result due to Buff and Epstein [13].
Theorem 139. In the moduli space Modd the set of strongly Misiurewicz parame-
ters is contained in the support of the bifurcation measure: M iss Supp bif .
Corollary 140. In the moduli space Modd one has Supp bif D S hi D M iss.
Proof.
To simplify the presentation we will work in the degree 3 polynomial family
Pc;a .c;a/2C2 . As usual we write the parameter .c; a/ and c1 ./, c2 ./ the marked
critical points, the fact that in this setting c1 D 0 does not play any role here.
Assume that p0 is a strongly Misiurewicz polynomial. By definition, there exists
an integer k0 such that p0k0 .cj .0// DW zj .0/ is a repelling periodic point for j D 1; 2.
To get lighter notations we shall assume that the zj .0/ are fixed repelling points.
We denote by zj ./ the repelling fixed points which are obtained by holomor-
phically moving zj .0/ on some neighbourhood of the origin and by wj ./ the
corresponding multipliers. Observe that jwj ./j a > 1 on a sufficiently small
neighbourhood of 0.
The activity map (see Definition 135) may be written: D .1 ; 2 / where

j ./ D pk0 cj ./ zj ./:
We will use here Theorem 136 and assume that is locally invertible at the
origin. It is possible to adapt the proof for using the weaker transversality statement
given by Theorem 137. For this one uses the fact that the sets obtained by rescaling
the ramification locus of are not charged by the measure bif and, thanks to some
Besicovitch covering argument, reduces the problem to some estimate similar to
those which we will now perform in the invertible case. We refer to the papers
[13, 33] for details.
Let us denote by D 2 .0; / the bidisc centered at the origin and of multiradius
. ; / in C2 . For small enough we may define a sequence of rescaling
ın W D 2 .0; / ! n

by setting ın .x/ WD 1 .w1x.0//
1
n;
x2
.w2 .0//n . To prove the Theorem, it suffices to
show that bif .n / > 0 for all n. The crucial point of the proof is revealed by the
following computations.
Z Z Z
2bif .n / D 2
Tbif D ın? .T1 C T2 /2 ın? .T1 ^ T2 / D
n D 2 .0; / D 2 .0; /
Z
D ın? Œdd c g .c1 .// ^ ddc g .c2 .//
D 2 .0; /
using the homogeneity property of the Green function

g cj ./ D 3.k0 Cn/ g pk0 Cn .cj .//
one thus gets
2 3.k0 Cn/ bif .n /

Z h i
ın? ddc g ı pk0 Cn .c1 .// ^ ddc g ı pk0 Cn .c2 .// D
D 2 .0; /
Z
Cn Cn
D ddc gın .x/ ı pıkn0.x/ .c1 .ın .x/// ^ ddc gın .x/ ı pıkn0.x/ .c2 .ın .x///:
D 2 .0; /
Cn
Let us express the quantities pıkn0.x/ .cj .ın .x/// by using the activity map . By
k0 Cn
definition we have p .cj .// D p zj ./ C j ./ and thus
n

Cn xj
pıkn0.x/ .cj .ın .x/// D pınn .x/ zj .ın .x// C :
wj .0/n
To conclude, we momentarily admit the following

86 F. Berteloot

xj
Claim. pınn .x/ zj .ın .x// C wj .0/n is uniformly converging to some local biholo-
morphism j W C;0 ! P ;zj .0/ .
1
As the Green function g .z/ is continuous in .; z/, theClaim clearly

implies that
Cn
gın .x/ ıpıkn0.x/ .c2 .ın .x/// uniformly converges towards g0 0 .xj / and our estimate
yields
Z
lim inf bif .n / ddc g0 . 1 .x1 // ^ ddc g0 . 2 .x2 // D
n D 2 .0; /
Z Z
D c
dd g0 ddc g0 >0
1 .D.0; // 2 .D.0; //
where the positivity of the last term follows from the fact that the repelling fixed
points zj .0/ D j .0/ belong to the Julia set of p0 .
It remains to justify the Claim. Let us write wj ./ on the form wj .0/ 1 C j ./ .
n
As kın .x/k C a1n one sees that 1 C j .ın .x// is uniformly converging to 1.
Then

xj xj n
pınn .x/ zj .ın .x// C n
D pınn .x/ zj .ın .x// C n
1 C j .ın .x//
wj .0/ wj .ın .x//
h i
x
behaves like pınn .x/ zj .ın .x// C wj .ınj.x//n .
Now let us linearize p near the repelling fixed points zj ./. The linearization
holomorphically depends on the parameter and one gets local biholomorphisms
j; such that j; .0/ D zj ./ and
p ı j; .z/ D j; .w./z/ on B.0; /:

jw./j
Then the local biholomorphism j of the Claim is simply j;0 . t

u
Remark 141. By Theorem 120, .T1 C T2 /2 D 2T1 ^ T2 and therefore the estimate
in the proof of Theorem 139 becomes an equality:
2 3.k0 Cn/ bif .n /

Z
Cn Cn
D ddc gın .x/ ı pıkn0.x/ .c1 .ın .x/// ^ ddc gın .x/ ı pıkn0.x/ .c2 .ın .x///:
D 2 .0; /
This allows to estimate the pointwise Hausdorff dimension of bif at strongly

Misiurewicz parameters.
Let us recall that, for polynomial families, Theorem 139 was first proved by
Dujardin and Favre in [29]. Their proof is based on a totally different approach,
which consists in comparing the measure bif with a landing measure for a family
of external rays and uses some deep result due to Bielefeld et al. [37] and Kiwi [38].
This approach has the advantage to yield to a generalization in any degree of
some results due to Graczyk and Swiatek [35] and Smirnov [60]. They prove the
following.
Theorem 142. A bif generic polynomial has the topological Collet–Eckman
property. In particular the following properties are satisfied for bif -almost all
parameters:
(i) All cycles are repelling.
(ii) The Julia set and the filled-in Julia set coincide and their Hausdorff dimension
is strictly less than 2.
(iii) Each critical point has a dense forward orbit in the Julia set.
Let us end this subsection with a generalization of Buff–Epstein’s theorem. It
is actually true that all Misiurewicz parameters and not only strongly ones (see
Definition 72 for definitions) belong to the support of the bifurcation measure. This
has been proved by Gauthier in [33], his result can be stated as follows:
Theorem 143. In the moduli space Modd one has M is D Supp bif .
The proof is conceptually similar to that of Theorem 139 but is technically
more involved. Let us stress the main new difficulties. To define the activity map
one has to construct a natural holomorphic motion for hyperbolic invariant set,
this has been done by de Melo-van Strien [16, Theorem 2.3, page 225]. The
transversality statement concerning is a weaker one but, as we explained in the
last subsection, one may overcome this by using the flexibility of positive currents.
The final argument requires to linearize the maps along repelling orbits contained in
hyperbolic sets.
Using the transversality map associated to Misiurewicz parameters it is
possible to construct a “transfer map” which copies hyperbolic sets in the parameter
space with a precise control of distortion. This allows to estimate the dimension of
Supp bif from below and is particularly useful when dealing with hyperbolic sets
of big Hausdorf dimension. This is what we shall discuss in the last subsection.
6.3.3 Hausdorff Dimension Estimates
Our aim here is to present the following result obtained by T. Gauthier in his thesis
(see [33]).
Theorem 144. The strong-bifurcation locus in Mod d is homogeneous and has full
Hausdorff dimension.
Let us recall that a subset E of any metric space is said to be homogeneous if its
Hausdorff dimension coincides with that of any non-empty intersection U \ E with
an open set U .
88 F. Berteloot
For the quadratic polynomial family, the strong-bifurcation locus coincides with
the usual one. In that case, Gauthier’s theorem restates a celebrated result of
Shishikura [56] which says that the boundary of the Mandelbrot set is of Hausdorff
dimension 2. More generally, Tan Lei [61] has proved that the boundary of the
connectedness locus of the degree d polynomial family has maximal Hausdorff
dimension. As Remark 124 shows, Gauthiers’s result asserts that, for polynomial
families, the full dimension is actually concentrated on a tiny part of the boundary
of the connectedness locus.
The approach of Gauthier exploits his former result (Theorem 143) and the trans-
fer techniques elaborated by Shishikura and Tan-Lei which he slightly simplifies.
We shall explain this below.
Combining Theorems 144 and 132 yields the
Corollary 145. Denote by p.f / (resp. s.f /, c.f /) the number of distinct
parabolic (resp. Siegel, Cremer) cycles of f 2 Ratd . Let p, s and c be three
integers such that p C s C c D 2d 2. Then the set
ff 2 Ratd = p.f / D p; s.f / D s and c.f / D cg
is homogeneous and has maximal Hausdorff dimension 2.2d C 1/.

Let us now sketch the proof of Theorem 144 in the moduli space Mod2 of
quadratic rational maps which we again will consider as a holomorphic family
parametrized by C2 with marked critical points.
We recall that the hyperbolic dimension dimhyp .f / of a map f is the supremum
of the dimensions of all compact f -invariant hyperbolic homogeneous sets. We
shall actually prove the following basic dimension estimate:
Proposition 146. For f 2 M is one has dimH .M is \ / 2 dimhyp .f / for any
neighborhood of Œf in Mod2 .
It is absolutely not trivial to deduce Theorem 144 from the above proposition.
Adapting some ideas of McMullen [47], one may show that the hyperbolic
dimension of a Misiurewicz map equals the Hausdorff dimension of its Julia set
which is the Riemann sphere. Then Proposition 146 actually gives dimH .Mi s / D 4
and the Theorem 144 follows since, by Theorem 143, M is Supp bif .
Let us now prove Proposition 146. Let f be Misiurewicz (and not a flexible
Lattès map) and be a neighbourhood of f in Mod2 . Let Ef be a compact
f -hyperbolic set such that
dimH .Ef \ U / dimhyp .f /
for any open set U intersecting Ef . Note that the critical orbits of f are captured
by some hyperbolic set which, a priori, is different from that set Ef . The proof uses
two technical tools which are certainly of independent interest. The first one allows
to make all critical orbits fall into some big hyperbolic set, which is a deformation
of Ef , by an arbitrarily small perturbation of f . More specifically one shows the
following:
Fact 147. One may find a Misiurewicz map g 2 whose critical points eventually
fall into Eg (i.e. g N .ci / 2 Eg for i D 1; 2) where Eg is a compact g-hyperbolic set
such that
dimH .Eg \ Ui / dimhyp .f / 3
for any open neighbourhood Ui of g N .ci /.
The second is a construction of a transfer map with good regularity properties:
Fact 148. Let g be a Misiurewicz map with associated g-hyperbolic set Eg (i.e.
g N .ci / 2 Eg for i D 1; 2). For any neighbourhood
of g in Mod2 there exists a
neighbourhood U1 U2 of g N .c1 /; g N .c2 / in P1 P1 and a transfer map T

T W .Eg \ U1 / .Eg \ U2 / ! M is \
such that: 1C
kT .z1 ; z2 / T .z01 ; z02 /k C k.z1 ; z2 / .z01 ; z02 /k 1
for 0 < < 0 and .z1 ; z2 /; .z01 ; z02 / 2 U1 U2 .
Let us stress that the proofs of both Facts require transversality (Theorem 137)
and uses the Hölder continuity properties of holomorphic motions (Lemma 112).
We shall prove them later and right now see how they easily lead to the desired
dimension estimate.
Let g 2 be the Misiurewicz map given by Fact 147. Consider the transfer map
T associated to g and given by Fact 148. Then, by construction, we have:

dimH .M is \ / dimH T .Eg \ U1 / .Eg \ U2 / :
The estimate of Fact 148 then gives:

dimH .Mi s \ / 1
1C dimH .Eg \ U1 / .Eg \ U2 /

1
1C dimH .Eg \ U1 / C dimH .Eg \ U2 / :
But the choice of the map g (see Fact 147) gives
dimH .Mi s \ W / 1
1C
2.dimhyp .f / 3 /:
and the conclusion follows making ! 0.

We now prove the two Facts.
Proof of Fact 147. One may construct a holomorphic motion
[
h W B.0; / Ef [ f n .Cf / ! P1
nk0
90 F. Berteloot
such that f ı h D h ı f0 on Ef . Here B.0; / is a ball in C2 centered at f0 WD f .

As in Definition 135, one may associate to this motion an activity map defined on
a neighbourhood of 0 by

W 7! fk0 .cj .// h .f0k0 .cj .0/// :
j D1;2
The transversality Theorem 137 being also valid in this context, the hypersur-
faces 1 1
1 f0g and 2 f0g intersect properly and, therefore, the critical point c2 is
1
active in 1 f0g. This will allow us to drastically change the orbit of c2 by a small
perturbation of in 1 1 f0g.
Let z1 , z2 and z3 be three distinct points of Ef . By Montel’s Theorem, there exists
1 i 3, a parameter 1 2 1 1 f0g which is arbitrarily close to 0 and an integer
N1 1 such that fN1 1 .c2 .1 // D h1 .zi /. When f1 is sufficiently close to f (i.e.
1 close to 0) one has
dimH .h1 .Ef / \ U / dimhyp .f / 2
for any small enough neighborhood U of zi . This follows from the Hölder regularity
of holomorphic motions.
It turns out, since 1 has been taken in 1 1 f0g, that the map f1 is again
Misiurewicz with critical orbits captured by E WD h1 .Ef /. We may therefore
define a new activity map (still denoted ) near 1 and repeat the above procedure
working this time in the family 1 2 f0g. This yields a map g WD f2 which is
arbitrarily close to f and an integer N 1 such that
fN2 .Cf2 / h2 .E/ and dimH .h2 .E/ \ U / dimhyp .f / 3
for any neighborhood U P1 of any ci .2 /.

Proof of Fact 148. As in the proof of Fact 147, one may construct a holomorphic
motion
h W B.0; / Eg ! P1
such that g ı h D h ı g0 on Eg . Here B.0; / is a ball in C2 centered at g0 WD g.
By a Theorem of Bers and Royden (see [6]), this motion extends to a holomor-
phic motion
h W B.0; =3/ P1 ! P1 :
Set
X W B.0; =3/ .P1 /2 ! .P1 /2

.; .z1 ; z2 // 7! gN .c1 .// h .z1 /; gN .c2 .// h .z2 / :
For thesake of simplicity, we assume that the activity map of g, which coincides
with X ; .g N .c1 /; g N .c2 // , is locally invertible at g. Then, since X is continuous,

a Rouché-like Theorem shows that the map X ; .z1 ; z2 / is locally invertible at g
for .z1 ; z2 / close enough to .g N .c1 /; g N .c2 //.
This allows to define the transfer map T by
T .z1 ; z2 / WD X.; .z1 ; z2 //1 f.0; 0/g;
for .z1 ; z2 / 2 U1 U2 , where Ui are small enough neighborhood of g N .ci /. By

construction T .z1 ; z2 / is a Misiurewicz map when .z1 ; z2 / 2 .Eg \ U1 / .Eg \ U2 /
and thus, shrinking Ui one has

T .Eg \ U1 / .Eg \ U2 / M is \ :
The estimate is obtained by exploiting the fact that the holomorphic motion
h.; z/ is Hölder continuous in z and holomorphic in . t
u
Acknowledgements It is my pleasure to thank my colleagues Charles Favre, Thomas Gauthier

and Nessim Sibony for their useful comments on the first draft of these notes. I also would like
to thank the anonymous referee for having carefully read the manuscript and having helped me to
improve it.
References
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0804.1106
2. G. Bassanelli, F. Berteloot, Bifurcation currents in holomorphic dynamics on P k . J. Reine
Angew. Math. 608, 201–235 (2007)
3. G. Bassanelli, F. Berteloot, Lyapunov exponents, bifurcation currents and laminations in
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The Complex Monge–Ampère Equation
in Kähler Geometry
Zbigniew Błocki
Course given at CIME Summer School in Pluripotential Theory

Cetraro, Italy, July 11-16, 2011
Abstract We will discuss two main cases where the complex Monge–Ampère
equation (CMA) is used in Käehler geometry: the Calabi–Yau theorem which boils
down to solving nondegenerate CMA on a compact manifold without boundary
and Donaldson’s problem of existence of geodesics in Mabuchi’s space of Käehler
metrics which is equivalent to solving homogeneous CMA on a manifold with
boundary. At first, we will introduce basic notions of Käehler geometry, then derive
the equations corresponding to geometric problems, discuss the continuity method
which reduces solving such an equation to a priori estimates, and present some of
those estimates. We shall also briefly discuss such geometric problems as Käehler–
Einstein metrics and more general metrics of constant scalar curvature.
1 Introduction
We present two situations where the complex Monge–Ampère equation (CMA)

appears in Kähler geometry: the Calabi conjecture and geodesics in the space of
Kähler metrics. In the first case the problem is to construct, in a given Kähler class,
a metric with prescribed Ricci curvature. It turns out that this is equivalent to finding
a metric with prescribed volume form, and thus to solving nondegenerate CMA on
a manifold with no boundary. This was eventually done by Yau [47], building up on
earlier work by Calabi, Nirenberg and Aubin. On the other hand, to find a geodesic
in a Kähler class (the problem was posed by Donaldson [20]) one has to solve a
homogeneous CMA on a manifold with boundary (this was observed independently
by Semmes [39] and Donaldson [20]). Existence of weak geodesics was proved
Z. Błocki ()
Jagiellonian University, Institute of Mathematics, Łojasiewicza 6, 30-348 Kraków, Poland
e-mail: Zbigniew.Blocki@im.uj.edu.pl; umblocki@cyf-kr.edu.pl

96 Z. Błocki
by Chen [18] but Lempert and Vivas [33] showed recently that these geodesics do
not have to be smooth. Their partial regularity is nevertheless of interest from the
geometric point of view.
In Sects. 2–6 we discuss mostly geometric aspects, whereas Sects. 7–13 concen-
trate on the PDE part, mostly a priori estimates. We start with a very elementary
introduction to Kähler geometry in Sect. 2, assuming the reader is familiar with
Riemannian geometry. The Calabi conjecture and its equivalence to CMA are
presented in Sect. 3, where the problem of extremal metrics is also briefly discussed.
Basic properties of the Riemannian structure of the space of Kähler metrics
(introduced independently by Mabuchi [35] and Donaldson [20]) are presented in
Sect. 4. The Aubin–Yau functional and the Mabuchi K-energy as well as relation to
constant scalar curvature metrics are discussed there as well. The Lempert–Vivas
example is described in Sect. 5. Assuming Sects. 7–13, where appropriate results on
CMA are shown, in Sect. 6 we present a theorem due to Chen [18] that a Kähler
class with the distance defined by this Riemannian structure is a metric space.
The fundamental results on CMA are formulated in Sect. 7, where also basic
uniqueness results as well as the comparison principle are showed. The continuity
method, used to prove existence of solutions, is described in Sect. 8. It reduces
the problem to a priori estimates. Yau’s proof of the L1 -estimate using Moser’s
iteration is presented in Sect. 9, whereas Sects. 10–12 deal with the first and second
order estimates (Sects. 11–12 are not needed in the empty boundary case, that is
in the proof of the Calabi conjecture). Higher order estimates then follow from the
general, completely real Evans–Krylov theory, this is explained in Sect. 13. A slight
novelty of this approach in the proof of Yau’s theorem is the use of Theorem 25
below which enables us to use directly this real Evans–Krylov theory, instead of
proving its complex version (compare with [10, 40] or [13]).
The author would like to thank the organizers of the CIME school in Pluripo-
tential Theory, Filippo Bracci and John Erik Fornæss, for the invitation and a very
good time he had in Cetraro in July 2011.
2 Basic Notions of Kähler Geometry
Let M be a complex manifold of dimension n and by J W TM ! TM denote its

complex structure. We start with a Hermitian metric h on M and set
hX; Y i WD Re h.X; Y /; !.X; Y / WD Im h.X; Y /; X; Y 2 TM:
Then h; i is a Riemannian metric on M , ! a real 2-form on M and
hJX; Y i D !.X; Y /; hJX; J Y i D hX; Y i: (1)
The Riemannian metric h; i determines unique Levi–Civita connection r.

The Complex Monge–Ampère Equation in Kähler Geometry 97
By TC M denote the complexification of TM (treated as a real space) and extend

J , h; i, !, and r to TC M in a C-linear way. In local coordinates zj D x j C iy j
the vector fields @=@x j , @=@y j span TM over R. We also have
J.@=@xj / D @=@yj ; J.@=@yj / D @=@xj :
The vector fields

@ @
@j WD ; @jN WD j ;
@zj @Nz
span TC M over C and
J.@j / D i @j ; J.@jN / D i @jN :
Set
gj kN WD h@j ; @kN i D h@kN ; @j i :
Then gj kN D gk jN and by (1)
h@j ; @k i D h@jN ; @kN i D 0:
If X D X j @j C XN j @jN then X 2 TM and it follows that
jX j2 D 2gj kN X j XN k ;
thus .gj kN / > 0. By (1)

! D igj kN d zj ^ d zNk (2)
(we see in particular that ! is a form of type .1; 1/).
Proposition 1. For a Hermitian metric h the following are equivalent

(i) rJ D 0;
(ii) d! D 0;
N locally for some smooth real-valued function g.
(iii) ! D i @@g
Proof. (i))(ii) By (1)
3 d!.X; Y; Z/ D X!.Y; Z/ C Y !.Z; X / C Z!.X; Y /

!.ŒX; Y ; Z/ !.ŒY; Z ; X / !.ŒZ; X ; Y /
D h.rX J /Y; Zi C h.rY J /Z; X i C h.rZ J /X; Y i:
(ii))(i) Similarly one can show that
3 d!.X; Y; Z/ 3 d!.X; J Y; J Z/ D 2 h.rX J /Y; Zi C hX; N.Y; J Z/i;

98 Z. Błocki
where
N.X; Y / D ŒX; Y C J ŒJX; Y C J ŒX; J Y ŒJX; J Y
is the Nijenhuis tensor (in our case it vanishes, because J is integrable).
(ii))(iii) Locally we can find a real 1-form such that ! D d . We may write
D ˇN C ˇ, where ˇ is a .0; 1/-form. Then, since d D @ C @,
! D @ˇN C @ˇ C @N ˇN C @ˇ:
N
N D 0, because ! is a .1; 1/-form. Therefore we can find (locally) a

It follows that @ˇ
complex-valued, smooth function f with ˇ D @f and
! D @ˇ C @N ˇN D 2i @@.Im
N f /:
We can thus take g D 2Im f .

(iii))(ii) is obvious. t
u
The metric satisfying equivalent conditions in Proposition 1 is called Kähler. It is

thus a Hermitian metric on a complex manifold for which the Riemannian structure
is compatible with the complex structure. The corresponding form ! is also called
Kähler, it is characterized by the following properties: ! is a smooth, real, positive,
closed .1; 1/-form.
From now on we will use the lower indices to denote partial differentiation
w.r.t. zj and zNk , so that for example @2 g=@zj @Nzk D gj kN and (2) is compatible with
N
! D i @@g.
Volume form. Since h@j ; @kN i D gj kN and h@j ; @k i D 0, we can easily deduce that
˝ @ @ ˛ ˝ @ @ ˛ ˝ @ @ ˛ ˝ @ @ ˛
j
; k D j
; k D 2Re gj kN ; j
; k D k ; j D 2Im gj kN :
@x @x @y @y @x @y @x @y
From this, using the notation x j Cn D y n ,

r
˝ @ @ ˛
det j
; k 1j;k2n D 2n det.gj kN /:
@x @x
It follows that the volume form on M is given by
!n
2n det.gj kN / d D ;
nŠ
where d is the Euclidean volume form and ! n D ! ^ ^ !. In the Kähler case

it will be however convenient to get rid of the constant and define the volume as
dV WD ! n :
Christoffel symbols. From now on we assume that ! is a Kähler form on M and

h; i is the associated metric. Write
N N
r@j @k D jl k @l C jl k @lN; r@jN @k D jlNk @l C jlNk @lN:
Since rJ D 0, we have for example i r@j @k D r@j .J @k / D J r@j @k and it follows

N N
that jl k D 0. Similarly we show that jlNk D jlNk D 0, so the only non-vanishing
N
Christoffel symbols are jl k D jlNkN . Denoting further gj D @g=@zj , gkN D @g=@Nzk
(which by Proposition 1(iii) is consistent with the previous notation) we have
p
gj klN D @l h@l ; @kN i D lj gpqN ;
which means that

N
jl k D jlNkN D g l qN gj qk
N ; (3)
where g pqN is determined by

g j qN gk qN D ıj k : (4)
Riemannian curvature. Recall that it is defined by
R.X; Y / D rX rY rY rX rŒX;Y
(we extend it to TC M ) and
R.X; Y; Z; W / D hR.X; Y /Z; W i: (5)
The classical properties are
R.Y; X / D R.X; Y /;
R.X; Y; Z; W / D R.Y; X; Z; W / D R.X; Y; W; Z/ D R.Z; W; X; Y /; (6)
R.X; Y /Z C R.Y;Z/X C R.Z; X /Y D 0
(the latter is the first Bianchi identity). From rJ D 0 it follows that
R.X; Y /J D JR.X; Y /
and from (6) we infer
R.X; Y; Z; W / D R.X; Y; J Z; J W / D R.JX; J Y; Z; W /:
It follows that
R.JX; J Y / D R.X; Y /;
100 Z. Błocki
thus
R.@j ; @k / D R.@jN ; @kN / D 0:
We have
R.@j ; @kN /@p D r@kN r@j @p D @kN .jp
l
/@l
and
R.@j ; @kN /@qN D r@j r@kN @qN D @j .kq
l
/@lN:
Therefore, if we write
N
R.@j ; @kN /@p D Rjl kp
N @l ; R.@j ; @kN /@qN D Rj kNqN @lN;
l
then
N l tN
N D Rk jNpN D .g gj tNp /kN :
Rjl kp l
The relevant coefficients for (5) are
N qN WD R.@j ; @kN ; @p ; @qN / D gl qN Rj kp

l
Rj kp N
by (3). Applying a first-order differential operator (with constant coefficients) D to

both sides of (4) we get
Dg pqN D g ptNg s qN Dgs tN (7)
and thus
s tN
N qN D gj kp
Rj kp N qN C g gj tNp gs kNqN :
Ricci curvature. Recall that the Ricci curvature is defined by
Ric.X; Y / WD t r.Z 7! R.Z; X /Y /:
We extend it to TC M . If we write Z D Z p @p C ZQ q @qN then
N
R.Z; @j /@k D ZQ q Rjl qk
N @l ; R.Z; @jN /@kN D Z RpjNkN @lN;
p l
N
R.Z; @j /@kN D ZQ q Rjl qk
N @lN; R.Z; @kN /@j D Z Rpkj
p l
N @l :
It follows that
Ric.@j ; @k / D Ric.@jN ; @kN / D 0
and
Ricj kN WD Ric.@j ; @kN / D RpjNk D .g pqN gpqN kN /j :
p
Since
D det.gpqN / D M pqN DgpqN ;
where .M pqN / D det.gs tN /.g pqN / is the adjoint matrix to .gpqN /, we have

D log det.gpqN / D g pqN DgpqN : (8)
Therefore
Ricj kN D .log det.gpqN //j kN : (9)
From the proceeding calculations we infer in particular
Ric.JX; J Y / D Ric.X; Y /:
The associated Ricci 2-form is defined by
Ric! .X; Y / WD Ric.JX; Y /
(since Ric is symmetric, Ric! is antisymmetric). We then have
N
Ric! D iRicj kN d zj ^ d zNk D i @@.log det.gpqN //:
An important consequence of this formula is the following: if !Q is another Kähler

form on M then
!Q n
Ric! Ric!Q D i @@N log n : (10)
!
N
In particular, Ric! and Ric!Q are @@-cohomologous.
Scalar curvature. It is the trace of the mapping Ric W TC M ! TC M defined by
the relation
hRic X; Y i D Ric.X; Y /:
Since
Ric @j D g pqN Ricj qN @p ;
we will obtain
Ric! ^ ! n1
S D 2g pqN RicpqN D 2n :
!n
Bisectional curvature. It is defined by
.X; Y / D R.X; JX; Y; J Y / D R.X; Y; X; Y / C R.X; J Y; X; J Y /;
where the last equality is a consequence of the first Bianchi identity. If we write
X D X j @j C XQ k @kN , Y D Y p @p C YQ q @qN , then
.X; Y / D 2iX j XQ k R.@j ; @kN ; Y; J Y / D 4Rj kp j Qk p Q q

N qN X X Y Y :
An upper bound for the bisectional curvature is a positive constant C > 0 satisfying
.X; Y / C jX j2 jY j2 ; X; Y 2 TM: (11)

102 Z. Błocki
Since jX j @j C XN k @kN j2 D 2gj kN X j XN k , it follows that (11) is equivalent to
j k p Nq
Rj kp N b b C gj kN aj aN k gpqN b p bN q ; a; b 2 Cn :
N qN a a (12)
Similarly we can define a lower bound.

Gradient. For a real-valued function ' on M its gradient r' is defined by the
relation
hr'; X i D X':
Therefore
N
r' D g j k .'kN @j C 'j @kN /
and
N
jr'j2 D 2g j k 'j 'kN :
Laplacian. It is given by
' WD t r.X 7! rX r'/:
For X D X j @j C XQ k @kN we have

rX r' D X j .g pqN 'qN /j @p C g pqN 'qN jp
k
@k C .g pqN 'p /j @qN

C XQ k .g pqN 'qN /kN @p C .g pqN 'p /kN @qN C g pqN 'p kq @jN :
j
From (3) and (7) we will get
N
' D 2g j k 'j kN :
Lichnerowicz operator. For a real-valued function ' we can write
r' D r 0 ' C r 0 ';
where
N
r 0 ' D g j k 'kN @j 2 T 1;0 M:
The Lichnerowicz operator is defined by

N 0 ' D g j kN ' N @j ˝ d zNq ;
L' WD @r k qN
so that r' is a holomorphic vector field iff L' D 0.

N C hrS; r'i.
Proposition 2. L L' D 2 ' C hRic! ; i @@'i
Proof. Since
N
jL'j2 D 4g pqN gj tN g j k 'kN qN g s tN's p
and
g pqN det.gj kN / p
D0
for every q, it follows that

N
s tN

L L' D 4Re g g pqN gj tN g j k 'kN qN :
p s
We can compute that

N N
g pqN gj tN g j k 'kN qN D .g pqN 'pqN /tN g pqN .g ak gaNt qN /p 'kN
p
and thus
1 N N
L L' D g s tN.g pqN 'pqN /s tN g s tN g pqN .g ak gaNt qN /p 's kN Re g s tN g pqN .g ak gaNt qN /p s 'kN :
4
One can check that
N N
g s tN g pqN .g ak gaNt qN /p D g s qN g pk RicpqN
N 1 N
g s tN g pqN .g ak gaNt qN /p s D g j k Sj
2
and the result follows. t
u
Poisson bracket. It is defined by the relation
f'; g! n D n d' ^ d ^ ! n1
or, in local coordinates,

N
f'; g D ig j k .'kN j 'j kN /:
If one of '; ; has a compact support then

Z Z
f'; g ! n D 'f ; g! n :
M M
d c -operator. It is useful to introduce the operator d c WD 2i .@N @/. It is real (in the
sense that it maps real forms to real forms) and dd c D i @@. N One can easily show
that
1
dd c ' ^ ! n1 D ' ! n
2n
and
1
d' ^ d c ^ ! n1 D hr'; r i! n :
2n
104 Z. Błocki
The operator d c clearly depends only on the complex structure. In the Kähler case
we have however the formula
1
d c ' D ir' ! (13)
2
(where iX !.Y / D !.X; Y /).

Normal coordinates. Near a fixed point we can holomorphically change coor-
dinates in such a way that gj pN D ıj k and gj klN D gj klm N D 0. By a linear
transformation we can obtain the first condition. Then consider the mapping
1 1
F m .z/ WD zm C ajmk zj zk C bjmkl zj zk zl
2 6
(the origin being our fixed point), where ajmk is symmetric in j; k and bjmkl symmetric
in j; k; l. Then for gQ D g ı F we have
N .0/ D gj kl
gQ j kl N .0/ C aj l
k
p
gQ j klm
N .0/ D gj klm
N .0/ C 3gj kp
N .0/alm C bj lm
k
and we can choose the coefficients of F in such a way that the left-hand sides vanish.
3 Calabi Conjecture and Extremal Metrics
A complex manifold is called Kähler if it admits a Kähler metric. We will be

particularly interested in compact Kähler manifolds. If ! is a Kähler form on a
compact complex manifold M then the .p; p/-form ! p is not exact, because if
! p D d˛ for some ˛, then
Z Z
!n D d.˛ ^ ! p / D 0
M M
which is a contradiction. Since ! p is a real closed 2p-form, it follows that for

compact Kähler manifolds H 2p .M; R/ ¤ 0.
Example. Hopf surface M WD .C2 n f0g/=f2n W n 2 Zg is a compact complex

surface, topologically equivalent to S 1 S 3 . Therefore H 2 .M; R/ D 0 and thus M
is not Kähler. t
u
dd c -lemma. It follows from (10) that for two Kähler forms !; !Q on M the
.1; 1/-forms Ric! , Ric!Q are dd c -cohomologous, in particular d -cohomologous. The
following result, called a dd c -lemma, shows that these two notions are in fact
equivalent for .1; 1/-forms on a compact manifold:
Theorem 3. If a (1,1)-form on a compact Kähler manifold is d -exact then it is

dd c -exact.
We will follow the proof from [44]. Theorem 3 will be an easy consequence of
the following:
Lemma 4. Assume that ˇ is a (0,1)-form on a compact Kähler manifold such that
N D 0. Then @ˇ D @@f
@ˇ N for some f 2 C 1 .M; C/.
Proof. Let ! be a Kähler form on M . Since

Z Z Z
@ˇ ^ ! n1 D dˇ ^ ! n1 D d.ˇ ^ ! n1 / D 0;
M M M
we can find f 2 C 1 .M; C/ solving
N ^ ! n1 D @ˇ ^ ! n1 :
@@f
N , we have to show that @ D 0. Since @

Set WD ˇ @f N D 0,
Z Z
@ ^ @ ^ ! n2 D d. ^ d ^ ! n2 / D 0:
M M
Locally we may write

D kN d zNk
and
@ D kj
N dz ^ dz
j
Nk :
One can then show that
1 j kN pqN ˇ j kN ˇ2 n
@ ^ @ ^ ! n2 D g g kp ˇ
N jNq g kjN
ˇ ! :
n.n 1/
N
Now @ ^ ! n1 D 0 means that g j k kj
N D 0 and it follows that k jN D 0. t
u
Proof of Theorem 3. Write ˛ D ˇ1 C ˇ2 , where ˇ1 is a .1; 0/, and ˇ2 a .0; 1/-form.

Then
d˛ D @ˇ1 C @ˇ2 C @ˇN 1 C @ˇN 2:
Since d˛ is of type (1,1), it follows that @N ˇN1 D @ˇ

N 2 D 0. By Lemma 4 we have
N N N 1
@ˇ1 D @@f1 and @ˇ2 D @@f2 for some f1 ; f2 2 C .M; C/. Therefore
N 1 D @@.f
d˛ D @ˇ2 C @ˇ N 2 fN1 /: t
u
From now on we assume that M is a compact Kähler manifold. For a Kähler

form ! on M by c1 .M / we denote the cohomology class fRic! g. By (10) it is
independent of the choice of !; in fact c1 .M / D c1 .M /R =2, where c1 .M /R is the
first Chern class.
106 Z. Błocki
Calabi conjecture ([17]). Let RQ be a (1,1)-form on M cohomologous to Ric! (we

write R Ric! ). Then we ask whether there exists another, unique Kähler form
!Q ! on M such that RQ D Ric!Q . In other words, the question is whether the
mapping
f!g 3 !Q 7! Ric!Q 2 c1 .M /
is bijective.
Derivation of the Monge–Ampère equation. By dd c -lemma we have Ric! D
RQ C dd c for some 2 C 1 .M /. We are thus looking for ' 2 C 1 .M / such that
!' WD ! C dd c ' > 0 and
!'n
dd c log n D 0;
!
that is
!'n
log D c;
!n
a constant. This means that
!'n D e cC ! n :
Since !'n ! n is exact, from the Stokes theorem we infer
Z Z
!'n D ! n DW V:
M M
Therefore the constant c is uniquely determined. It follows that to solve the

Calabi conjecture is equivalent to solve the following Dirichlet problem for the
Rcomplex Monge–Ampère operator on M : for f 2 C 1 .M /, f > 0, satisfying
M f ! n
D V , there exists, unique up to an additive constant, ' 2 C 1 .M / such
that ! C dd c ' > 0 and
.! C dd c '/n D f ! n : (14)
This problem was solved by Yau [47], the proof will be given in Sects. 7–13.
The solution of Calabi conjecture has many important consequences (see e.g. [48]).
The one which is particularly interesting in algebraic geometry is that for a compact
Kähler manifold M with c1 .M / D 0 there exists a Kähler metric with vanishing
Ricci curvature. Except for the torus Cn =ƒ such a metric can never be written down
explicitly.
Kähler–Einstein metrics. A Kähler form ! is called Kähler–Einstein if Ric! D
! for some 2 R. A necessary condition for M is thus that c1 .M / is definite
which means that it contains a definite representative. There are three possibilities:
c1 .M / D 0, c1 .M / < 0 and c1 .M / > 0. Assume that it is the case, we can then
find a Kähler metric ! with ! 2 c1 .M /, that is Ric! D ! C dd c for some
2 C 1 .M /. We are looking for ' 2 C 1 .M / such that Ric!' D !' which,
similarly as before, is equivalent to
.! C dd c '/n D e 'CCc ! n : (15)
If c1 .M / D 0 then D 0 and (15) is covered by (14). If c1 .M / < 0 one can solve

(15) in a similar way as (14). It was done by Aubin [1] and Yau [47], in fact, the
L1 -estimate in this case is very simple.
The case c1 .M / > 0 (such manifolds are called Fano) is the most difficult.
The first obstruction to the existence of Kähler–Einstein metrics is a result of
Matsushima [36] which says that in this case the Lie algebra of holomorphic vector
fields must be reductive (that is it must be a complexification of a compact real
subalgebra). By the result of Tian [41] this is the only obstruction in dimension 2 but
in [43] he constructed a 3-dimensional Fano manifold with no holomorphic vector
fields and no Kähler–Einstein metric. In fact, the Fano surfaces can be classified:
they are exactly P2 , P1 P1 or P2 blown up at k points in general position, where
1 k 8. Among those only P2 blown up at one or two points have non-reductive
algebras of holomorphic vector fields, and thus all the other surfaces admit Kähler–
Einstein metrics—see [43] or a recent exposition of Tosatti [45].
Uniqueness of Kähler–Einstein metrics in a given Kähler class f!g (satisfying
the necessary condition f!g c1 .M /) for c1 .M / D 0 and c1 .M / < 0
follows quite easily from the equation (15). In the Fano case c1 .M / > 0 it holds
up to a biholomorphism—it was proved by Bando and Mabuchi [3] (see also
[6, 7]).
Constant scalar curvature metrics. Given a compact Kähler manifold .M; !/

we are interested in a metric in f!g with constant scalar curvature (csc). With the
notation S' D S!' we are thus looking for ' satisfying S' D SN , where SN is a
constant. First of all we note that SN is uniquely determined by the Kähler class:
Z Z Z Z
SN !n D S' !'n D 2n Ric' ^ !'n1 D 2n Ric! ^ ! n1 : (16)
M M M M
Secondly, the csc problem is more general than the Kähler–Einstein problem. For if
f!g c1 .M /, that is Ric! D ! C dd c for some 2 C 1 .M /, and !' is a csc
metric then SN D 2n and Ric' ^ !'n1 D !'n . But since
!'n
Ric' !' D dd c Œ log ' ;
!n
it follows that Ric' D !' .

The equation S' D SN is of order 4 and therefore very difficult to handle directly.
The question of uniqueness of csc metrics was treated in [19]. A general conjecture
links existence of csc metrics with stability in the sense of geometric invariant
theory. So far it has been fully answered only in the case of toric surfaces (Donaldson
[21]). See [37] for an extensive survey on csc metrics.
108 Z. Błocki
4 The Space of Kähler Metrics
We consider the class of Kähler potentials w.r.t. a Kähler form !:
H WD f' 2 C 1 .M / W !' > 0g:
It is an open subset of C 1 .M / and thus has a structure of an infinite dimensional

differential manifold (its differential structure is determined by the relation
C 1 .U; C 1 .M // D C 1 .M U /
for any region U in Rm ). For ' 2 H the tangent space T' H may be thus identified
with C 1 .M /. On T' H, following Mabuchi [M], we define a scalar product:
Z
1
hh ; ii WD !'n ; ; 2 T' H:
V M
Also by ' D '.t/ denote a smooth curve Œa; b ! H (which is an element

of C 1 .M Œa; b /). For a vector field on ' (which we may also treat as an
element of C 1 .M Œa; b /) we want to define a connection r'P (where we denote
'P D d'=dt), so that
d
hh ; ii D hhr'P ; ii C hh ; r'P ii (17)
dt
(where is another vector field on '). Since
d n 1
!' D ndd c 'P ^ !'n1 D 'P !'n ; (18)
dt 2
where denotes the Laplacian w.r.t. !' , we have
Z
d 1 1
hh ; ii D PC P C 'P !'n
dt V M 2
Z
1 PC 1
D P hr. /; r 'i
P !'n
V M 2
Z
1 P 1 hr ; r 'i 1
D P C P hr; r 'i
P !'n :
V M 2 2
This shows that the right way to define a connection on H is
1
r'P WD P hr ; r 'i;
P
2
where r on the right-hand side denotes the gradient w.r.t. !' . A curve ' in H is
therefore a geodesic if r'P 'P D 0, that is
1
'R jr 'j
P 2 D 0: (19)
2
Curvature.
Theorem 5 (Mabuchi [35], Donaldson [20]). We have the following formula for
the curvature of hh; ii
1
R. ; / D ff ; g; g; ; ; 2 T' H; ' 2 H:
4
In particular, the sectional curvature is given by
1
K. ; / D jjf ; gjj2 0:
4
Proof. Without loss of generality we may evaluate the curvature at 0 2 H. Let
' 2 C 1 .Œ0; 1 Œ0; 1 ; H/ be such that '.0; 0/ D 0 and at s D t D 0 we have
's .D d'=ds/ D , 't D . Take 2 C 1 .Œ0; 1 2 ; C 1 .M // D C 1 .M Œ0; 1 2 /.
We have
1 1
r's r't r't r's D r's t hr't ; r i r't s hr's ; r i
2 2
1 d 1 1
D hr't ; r i hr's ; rt i C hr's ; rhr't ; r ii
2 ds 2 4
1 d 1 1
C hr's ; r i C hr't ; rs i hr't ; rhr's ; r ii:
2 dt 2 4
Denoting u D g C ' we get
d d h j kN i
hr's ; r i D u j 's kN C kN 'sj
dt dt
1 N N C i @ ^ @N i C hr's ; rt i C hr'st ; r i
D hi @@; i @ ^ @
4
where in the last line we have evaluated at s D t D 0. Therefore at s D t D 0 we
have
1 1
r's r't r't r's D hr ; rhr; r ii hr; rhr ; r ii
4 4
1
C hi @@N ; i @ ^ @
N C i @ ^ @i
N
8
1 N i @ ^ @ N C i @ ^ @N i:
hi @@;
8
110 Z. Błocki
We can now show, using for example normal coordinates, that the right-hand side is
equal to 14 ff ; g; g. t
u
Derivation of the homogeneous complex Monge–Ampère equation. Writing

locally u D g C ', since g is independent of t, we can rewrite (19) as
uR upqN uP p uP qN D 0:
Multiplying both sides by det.uj kN / (which is non-vanishing) we arrive at the

equation
0 1
u1t
B :: C
B : C
det B .uj kN / C D 0:
@ unt A
ut 1N : : : ut nN ut t
This suggests to complexify the variable t, either simply by adding an imaginary
variable, or introducing the new one .D znC1 / 2 C , so that t D log jj. Then for
v./ D u.log jj/ we have v D uP =2 and v N D uR =4jj2. We have thus obtained the
following characterization of geodesics in H:
Proposition 6 ((Semmes [39], Donaldson [20])). For '0 ; '1 2 H existence of a

geodesic in H joining '0 and '1 is equivalent to solving the following Dirichlet
problem for the homogeneous complex Monge–Ampère equation:
8
ˆ
ˆ ' 2 C 1 .M fe 0 jj e 1 g/
ˆ
ˆ
<! C dd c '.; / > 0; e 0 jj e 1
ˆ
ˆ.! C dd '/
ˆ D0
c nC1
:̂
'.; / D 'j ; jj D e j ; j D 0; 1:
t
u
Although ! is a degenerate form on M C, it is not a problem: write
! C dd c ' D !Q C dd c .' jj2 /; (20)
where !Q D ! C dd c jj2 is a Kähler form on M C, and consider the related

problem.
The existence of geodesic is thus equivalent to solving the homogeneous
Monge–Ampère equation on a compact Kähler manifold with boundary. From the
uniqueness of this equation (see e.g. the next section) it follows in particular that
given two potentials in H there exists at most one geodesic joining them.
As shown recently by Lempert and Vivas [33], it is not always possible to join
two metrics by a smooth geodesic (see Sect. 6). However, for " > 0 we can introduce
a notion of an "-geodesic: instead of (19) it solves
1
'R jr 'j
P 2 !'n D "! n
2
which is equivalent to the following non-degenerate complex Monge–Ampère
equation:
"
.! C dd c '/nC1 D .! C dd c jj2 /nC1 : (21)
4jj2
As shown by Chen [18] (see also [15]), smooth "-geodesics always exist (see
Theorem 19 below) and they approximate weak geodesics. Existence of "-geodesics
will be used in Sect. 6 below to show that H with a distance defined by its
Riemannian structure is a metric space (this result is due to Chen [18], see also [15]).
Normalization, Aubin–Yau functional. The Riemannian structure on H will
induce such a structure on the Kähler class f!g D H=R, which is independent
of the choice of !. For this we need a good normalization on H. The right tool for
this purpose is the Aubin–Yau functional (see e.g. [2])
I WH!R
which is characterized by the following properties

Z
1
I.0/ D 0; d' I: D !'n ; ' 2 H; 2 C 1 .M /: (22)
V M
This means that we are looking for I with dI D ˛, where the 1-form ˛ is given by
Z
1
˛.'/: D !'n : (23)
V M
Such an I exists provided that ˛ is closed. But by (18)

Z
n
d˛.'/:. ; Q / D d' .˛.'/: /: Q d' .˛.'/: Q /: D . Q Q / !'n D 0
V M
and it follows that there is I satisfying (22).

For any curve 'Q in H joining 0 with ' we have
Z 1 Z
1
I.'/ D 'PQ !'nQ dt:
0 V M
Q D t', since (with some abuse of notation)

Taking '.t/
d .! C t dd c '/nC1 ! nC1
D .! C t dd c '/n D !tn' ;
dt .n C 1/ dd c '
we obtain the formula

112 Z. Błocki
Z
1 X 1
n
I.'/ D ' !'p ^ ! np :
n C 1 pD0 V M
We also get
I.' C c/ D I.'/ C c
for any constant c.
Now for any curve ' in H by (22) and (17) we have
2
d d
I.'/ D hh';
P 1ii D hhr'P ';
P 1ii
dt dt
and it follows that I is affine along geodesics. Moreover, if ' is a geodesic then so is
' I.'/. Therefore, by uniqueness of geodesics, H0 WD I 1 .0/ is a totally geodesic
subspace of H. The bijective mapping
H0 3 ' 7! !' 2 f!g
induces the Riemannian structure on f!g. By (22) we have

Z
1
T' H0 D f 2 C .M / W !'n D 0g:
M
One can easily show that this Riemannian structure on f!g is independent of the
choice of !.
Mabuchi K-energy [34]. It is defined by the condition
Z
1
K.0/ D 0; d' K: D .S' SN /!'n ; (24)
V M
where SN is the average of scalar curvature S' (it is given by (16)). We are thus
looking for K satisfying dK D ˇ C SN ˛, where ˛ is given by (23) and
Z Z
1 2n
ˇ.'/: D S' !'n D Ric' ^ !'n1 ;
V M V M
we have to show that dˇ D 0. We compute
!'n 1
d' .Ric' /: D d' Ric! dd c log n : D dd c (25)
! 2
and thus
Z
1 1
d' .ˇ.'/: /: Q D 2 Q !'n 2n.n 1/dd c Q ^ Ric' ^ !'n2 :
V M 2
It is clear that the latter expression is symmetric in and Q and therefore dˇ D 0.

To get a precise formula for K take as before 'Q D t'. Similarly we have
d !tn' ! n
D !tn1
'
dt n dd c '
and
d !'nQ !'nQ
log n !'nQ D n 1 C log n dd c 'PQ ^ !'n1
Q :
dt ! !
Using this we will easily get (see also [37, 42])
2 3
Z X
n1
2 !'n n
K.'/ D 4 log ! ' Ric! ^ !'p ^ ! np1 5 C SN I.'/:
V M !n ' pD0
The usefulness of the K-energy in some geometric problems becomes clear in

view of the following two results:
Proposition 7 (Mabuchi [35], Donaldson [20]). For any smooth curve ' in H we
have
Z Z
d 2 1 1
K.'/ D P ' SN /!'n C
r'P '.S jL'j
P 2 !'n :
dt V M 2V M
In particular, the K-energy is convex along geodesics.
Proof. We have
d
P S' SN ii;
K.'/ D hh';
dt
therefore 2
d
P S' SN ii hh';
K.'/ D hhr'P '; P r'P S' ii:
dt
Moreover Z
1 1 d
h';
P r'P S' i D 'P hrS' ; r 'i
P S' !'n :
V M 2 dt
Write u D g C '. Then

S' D 2upqN log det.uj kN / pqN
and, since gP D 0,
114 Z. Błocki
d N
S' D 2uptNus qN log det.uj kN / pqN 'Ps tN 2upqN uj k 'Pj kN pqN
dt
1 1
D hRic' ; r 2 'iP 2 ': P
2 2
The result now follows from Proposition 2. t
u
Proposition 8 (Donaldson [20]). Let !'0 and !'1 be csc metrics. Assume more-
over that '0 and '1 can be joined by a smooth geodesic. Then there exists a
biholomorphism F of M such that !'0 D F !'1 .
Proof. Let ' be this geodesic and set h WD K.'/. Then, since S'0 D S'1 D SN , we
P
have h.0/ P
D h.1/ D 0 and by Proposition 7 h is convex. Therefore hR D 0 and, again
by Proposition 7, L'P D 0, that is r 'P is a flow of holomorphic vector fields. By F
denote the flow of biholomorphisms generated by 12 r 'P (so that FP D 12 r 'P ı F ,
F jt D0 D id ).
We have to check that !'0 D F !' , it will be enough to show that dt
d
F !' D 0.
We compute
d 1
F !' D F L 1 r 'P !' C dd c 'P D F d irf !' C d c 'P D 0
dt 2 2
by (13) (where LX D iX ı d C d ı iX is the Lie derivative). (This argument from

symplectic geometry is called a Moser’s trick.) t
u
In view of the Lempert–Vivas counterexample Proposition 8 is not sufficient to

prove the uniqueness of csc metrics. For a more direct approach to this problem
see [19].
5 Lempert–Vivas Example
It is well known that in general one cannot expect C 1 -regularity of solutions of the
homogeneous Monge–Ampère equation. The simplest example is due to Gamelin
and Sibony [25]: the function
2
u.z; w/ WD maxf0; jzj2 1=2; jwj2 1=2g
satisfies dd c u 0, .dd c u/2 D 0 in the unit ball B of C2 ,

2 2
u.z; w/ D jzj2 1=2 D jwj2 1=2 2 C 1 .@B/;
but u … C 2 .B/.
For some time it was however an open problem whether there exists a smooth
geodesic connecting arbitrary two elements in H. In the special case of toric Kähler
manifolds it was in fact shown in [28] that it is indeed the case. This suggests that
a possible counterexample would have to be more complicated, as the Gamelin–
Sibony example from the flat case is toric.
The counterexample to the geodesic problem was found recently by Lempert
and Vivas [33]. It works on Kähler manifolds with a holomorphic isometry h W
M ! M satisfying h2 D id and having an isolated fixed point. We will consider
the simplest situation, that is the Riemann sphere P with the Fubini-Study metric
! D dd c .log.1 C jzj2 // and h.z/ D z. The key is the following result:
Lemma 9 (Lempert–Vivas [33]). Take ' 2 H with
'.z/ D '.z/ (26)
Assume that there is a geodesic of class C 3 joining 0 with '. Then either 1C'zNz .0/ D
j1 'zz .0/j or j'zz.0/j j'zNz .0/j, in particular
j'zz .0/j 2 C 'zNz .0/: (27)
Proof. By 'Q denote the geodesic joining 0 with '. We can assume that it is a C 3
function defined on P SN , where S D f0 < Im w < 1g, and such that
Q w C / D '.z;
'.z; Q w/; 2 R:
Moreover, by uniqueness of the Dirichlet problem (see Theorem 21 below) by (26)

we have
Q
'.z; w/ D '.z;
Q w/:
On C SN set u WD g C '.
Q Then u 2 C 3 .C SN /,
uzNz uwwN juzwN j2 D 0;
uzNz > 0, u is independent of D Re w, u.; 0/ D g, u.; i / D g C '.

Since .uj kN / is of maximal rank, it is well known (see e.g. [4]) that there is a C 1
foliation of C SN by holomorphic discs (with boundary) which are tangent to dd c u.
This foliation is also invariant under the mapping .z; w/ 7! .z; w/ and thus f0g SN
is one of the leaves. The neighboring leaves are graphs of functions defined on SN :
there exists f 2 C 1 .U SN /, where U is a neighborhood of 0, f .z; / holomorphic
in S and f.f .z; w/; w/ W w 2 SN g is the leaf passing through .z; 0/. Since this leaf is
tangent to dd c u, it follows that
uzNz .f .z; w/; w/fw .z; w/ C uzwN .f .z; w/; w/ D 0
which is equivalent to the fact that uz .f .z; w/; w/ is holomorphic in w. Set

116 Z. Błocki
ˇ
d ˇˇ
ˆ.w/ WD f .t; w/
dt ˇt D0
and
ˇ
d ˇˇ
‰.w/ WD uz .f .t; w/; w/ D uzz .0; w/ˆ.w/ C uzNz .0; w/ˆ.w/:
dt ˇt D0
Then ˆ; ‰ are holomorphic in S , ˆ is C 1 on SN , and ‰ is continuous on SN .

Since u is independent of Re w, we can write
(
ˆ.w/; Im w D 0
‰.w/ D
P ˆ.w/ C Q ˆ.w/; Im w D 1;
where P D gzNz .0/ C 'zNz .0/ D 1 C 'zNz .0/ > 0 and Q D gzz .0/ C 'zz .0/ D 'zz .0/.
Since ‰wN D 0,
uzzwN .0; w/ˆ.w/ C uzNzwN .0; w/ˆ.w/ C uzNz .0; w/ˆ0 .w/ D 0:
On fIm w D 0g we thus have

(
ˆ0 ./ D Aˆ./ C Bˆ./
ˆ.0/ D 1;
where
A D uzNzw .0; 0/; B D uzNzNw .0; 0/:
Therefore ˆ on fIm w D 0g is of the form
N
ˆ./ D xe C ye
N ;
where
AB x x
D
BN AN y y
and x C yN D 1. Note that A 2 i R (because u D 0), and thus either 2 R or
2 i R.
By the Schwarz reflection principle and analytic continuation we obtain
N
N w ; w 2 SN :
ˆ.w/ D xe w C ye
Similarly, since
N
‰./ D ˆ./ D xe
N C ye ;
we infer
N
N w C ye w ; w 2 SN :
‰.w/ D xe
Therefore, using the fact that ‰.w/ D P ˆ.w/ C Q ˆ.w/ on fIm w D 1g, we get

N N N
N . Ci / C ye . Ci / D P xe
xe N . i / C ye . i / C Q xe . Ci / C ye
N . Ci / :
We have to consider two cases. If 2 R then
e i D P e i C Qe i :
This means that

P D e 2i .1 Q/;
in particular
P D j1 Qj:
If D i 2 i R then we will get
(
xe N C Qye
N D P xe N
ye D P ye C Qxe :
Rewrite this as
2
N 2
x e P D yQe
N 2
yN e N 2 :
P D xN Qe
Since at least one of x; y does not vanish, we will obtain
jQj2 D .e 2 P /.e 2 P / .1 P /2 : t

u
If ' is a smooth compactly supported function in C then ' 2 H provided that

gzNz C 'zNz > 0. The following lemma shows that there are such functions satisfying
(26) but not (27):
Lemma 10. For every real a and " > 0 there exists smooth ' with support in the
unit disc, satisfying (26), and such that 'zz .0/ D a, 'zNz .0/ D 0, j'zNzj " in C.
Proof. We may assume that a > 0. The function we seek will be of the form
'.z/ D Re .z2 /.jzj2 /;
where 2 C 1 .RC / is supported in the interval .0; 1/ and constant near 0. Then
'zz .0/ D .0/, 'zNz .0/ D 0 and

'zNz D Re .z2 / 30 .jzj2 / C jzj2 00 .jzj2 / :
118 Z. Błocki
We are looking for of the form
.t/ D f . log t/;
where f 2 C 1 .RC / is supported in .1; 1/ and equal to a near 1. We have, with

t D jzj2 ,
ˇ ˇ ˇ ˇ
j'zNz j t ˇ30 .t/ C t00 .t/ˇ D ˇ 2f 0 . log t/ C f 00 . log t/ˇ:
We can now easily arrange f in such a way that jf 0 j and jf 00 j are arbitrarily small.
t
u
6 Metric Structure of H
Although smooth geodesics in H do not always exist, one can make a geometric use
of existence of "-geodesics. The Riemannian structure gives a distance on H:
d.'0 ; '1 / D inffl.'/ W ' 2 C 1 .Œ0; 1 ; H/; '.0/ D '0 ; '.1/ D '1 g; '0 ; '1 2 H;
where
Z Z s Z
1 1
1
l.'/ D j'jdt
P D 'P 2 !'n dt
0 0 V M
(note that the family in the definition of d is always nonempty, for example '.t/ D
.1 t/'0 C t'1 is a smooth curve in H connecting '0 with '1 ). We will show the
following result of Chen [18] (see also [15]):
Theorem 11. .H; d / is a metric space.
The only problem with this result is to show that d.'0 ; '1 / > 0 if '0 ¤ '1 .
The main tool in the proof will be existence of "-geodesics. In fact, making use of
results proved in Sects. 7–13 and the standard elliptic theory, we have the following
existence result for "-geodesics:
Theorem 12. For '0 ; '1 2 H and " > 0 there exists a unique "-geodesic '
connecting '0 with '1 . Moreover, it depends smoothly on '0 ; '1 , i.e. if '0 ; '1 2
C 1 .Œ0; 1 ; H/ then there exists unique ' 2 C 1 .Œ0; 1 Œ0; 1 ; H/ such that
'.0; / D '0 , '.1; / D '1 , and '.; t/ is an "-geodesic for every t 2 Œ0; 1 . In
addition,
'; jr 'j;
P 'R C; (28)
(here and r are taken w.r.t. !) where C is independent of " (if " is small).
We start with the following lemma:
Lemma 13. For an "-geodesic ' connecting '0 ; '1 2 H we have
Z
1
'P 2 !'n E.'0 ; '1 / 2" sup jj'jj;
P
V M Œ0;1
where
Z Z
˚1 1
E.'0 ; '1 / WD max .'0 '1 /2 !'n0 ; .'1 '0 /2 !'n1 :
V f'0 >'1 g V f'1 >'0 g
In particular,
l.'/2 E.'0 ; '1 / 2" sup jj'jj:
P
Œ0;1
Proof. For Z
1
E WD 'P 2 !'n
V M
we have
Z Z Z
1 1 2 1 2"
EP D .2'P 'R C 'P 2 '/!
P 'n D P 'R jr 'j
'. P 2 /!'n D P n:
'!
V M 2 V M 2 V M
P 2" supŒ0;1 jj'jj

Thus jEj P which implies that
E.t/ maxfE.0/; E.1/g 2" sup jj'jj:

P
Œ0;1
Since 'R 0,
P
'.0/ '.1/ '.0/ '.1/:
P
For z 2 M with '1 .z/ > '0 .z/ we thus have '.z;
P 1/2 .'1 .z/ '0 .z//2 . Therefore
Z
1
E.1/ .'1 '0 /2 !'n1 :
V f'1 >'0 g
Similarly Z
1
E.0/ .'0 '1 /2 !'n0
V f'0 >'1 g
and the desired estimate follows. t

u
Theorem 14. Suppose 2 C 1 .Œ0; 1 ; H/ and Q 2 H n .Œ0; 1 /. For " > 0 by
' denote an element of C 1 .Œ0; 1 Œ0; 1 ; H/ uniquely determined by the following
property: '.; t/ is an "-geodesic connecting Q with .t/. Then for " sufficiently
small
l.'.; 0// l. / C l.'.; 1// C C ";
where C > 0 is independent of ".
Proof. Without loss of generality we may assume that V D 1. Set
120 Z. Błocki
Z t
l1 .t/ WD jj P jjd tQ; l2 .t/ WD l.'.; t//:
0
It is enough to show that l10 C l20 C " on Œ0; 1 . We clearly have

sZ
l10 D jj P jj D P 2!n :
M
On the other hand, Z 1 p

l2 .t/ D E.s; t/ ds;
0
where Z
ED 's2 !'n
M
(using the notation 's D @'=@s). We have

Z Z
Es D 2 's r's 's !'n D 2" 's ! n
M M
and
Z
1
Et D 2's 'st C 's2 't !'n
M 2
Z
1
D2 's 'st hr's ; r't i !'n
M 2
Z
D2 's r's 't !'n
M
Z
@
D 2 hh's ; 't ii 2 't r's 's !'n
@s M
Z Z
@
D2 's 't !'n 2" 't ! n :
@s M M
Therefore
Z 1
1
l20 D E 1=2 Et ds
2 0
Z 1 Z Z 1 Z
@
D E 1=2 's 't !'n ds " E 1=2 't ! n ds;
0 @s M 0 M
and the first term is equal to

Z sD1 Z 1 Z
1
E 1=2 's 't !'n C E 3=2 Es 's 't !'n ds
M sD0 2 0 M
Z 1=2 Z Z 1 Z Z
D 2
!'n P !'n " E 3=2
's ! n
's 't !'n ds;
M M 0 M M
where D 's .1; /; we have used that 't .0; / D 0, 't .1; / D P , and
Z
E.1; / D 2 !'n :
M
From the Schwarz inequality it now follows that l10 C l20 R, where
Z 1 Z Z 1 Z Z
1=2 3=2
RD" E 't ! ds C "
n
E 's ! n
's 't !'n ds:
0 M 0 M M
By Lemma 13
E.s; t/ E. Q ; .t// 2" sup jj's .; t/jj:
Œ0;1
Since E. Q ; .t// is continuous and positive for t 2 Œ0; 1 , it follows that for "
sufficiently small
Ec>0
and thus R C ". t
u
We are now in position to show that the geodesic distance is the same as d :
Theorem 15. Let ' " be an "-geodesic connecting '0 ; '1 2 H. Then
d.'0 ; '1 / D lim l.' " /:

"!0C
Proof. Let 2 C 1 .Œ0; 1 ; H/ be an arbitrary curve connecting '0 ; '1 2 H. We

have to show that
lim l.' " / l. /:
"!0C
Without loss of generality we may assume that '1 … .Œ0; 1//. Extend ' " to a
function from C 1 .Œ0; 1 Œ0; 1/; H/ in such a way that ' " .0; / '1 , ' " .1; /
on Œ0; 1/ and ' " .; t/ is an "-geodesic for t 2 Œ0; 1/. By Theorem 14 for t 2 Œ0; 1/
we have
l.' " .; 0// l. jŒ0;t / C l.' " .; t// C C.t/":
Since clearly
lim l. jŒ0;t / D l. /;
t !1
it remains to show that

122 Z. Błocki
lim lim l.' " .; t// D 0:

t !1 "!0C
But it follows immediately from the following:

Lemma 16. For an "-geodesic ' connecting '0 ; '1 2 H we have
p "
l.'/ V jj'0 '1 jjL1 .M / C n ;
2
where > 0 is such that !'0 !, !'1 !.
Proof. Since 'R 0,
P
'.0/ 'P '.1/:
P
So to estimate j'j
P we need to bound '.0/
P P
from below and '.1/ from above. The
function
v./ D 2b log2 jj C .a 2b/ log jj a
satisfies v N D bjj2 , v D a on jj D 1, and v D 0 on jj D e. We want to
choose a; b so that '1 C v ' on MQ WD M f1 jj eg.
On one hand, if a WD jj'0 '1 jjL1 .M / then '1 C v ' on @MQ . On the other
one we have (if b > 0)
b nC1 bn
.! C dd c .'1 C v//nC1 ! C 2 dd c jj2 D .! C dd c jj2 /nC1 :
jj jj2
Therefore, by (21) if b WD "=4n we will get !'nC1

1 Cv
!'nC1 and '1 C v ' on MQ
by comparison principle. We will obtain
d ˇ "
P
'.1/ .2bt 2 C .a 2b/t a/ˇt D1 D jj'0 '1 jjL1 .M / C n :
dt 2
P
Similarly we can show the lower bound for '.0/ and the estimate follows from the
definition of l.'/. t
u
Combining Theorem 14 with Lemma 13 we get the following quantitative
estimate from which Theorem 11 follows:
Theorem 17. For '0 ; '1 2 H we have
s Z Z
˚
d.'0 ; '1 / max .'0 '1 /2 !'n0 ; .'1 '0 /2 !'n1 : t
u
f'0 >'1 g f'1 >'0 g
7 Monge–Ampère Equation, Uniqueness
We assume that M is a compact complex manifold with smooth boundary (which

may be empty) with a Kähler form !. Our goal will be to prove the following two
results:
Theorem 18 (Yau R[47]). Assume that M has no boundary. Then for f 2 C 1 .M /,

f > 0 such that M f ! n D V there exists, unique up to an additive constant,
' 2 C 1 .M / with ! C dd c ' > 0 satisfying the complex Monge–Ampère equation
.! C dd c '/n D f ! n : (29)
Theorem 19. Assume that M has smooth nonempty boundary. Take f 2 C 1 .M /,

f > 0, and let 2 C 1 .M / be such that ! Cdd c > 0 and .! Cdd c /n f ! n .
Then there exists ' 2 C 1 .M /, ! C dd c ' > 0, satisfying (29) and ' D on @M .
Theorem 19 can be rephrased as follows: the Dirichlet problem
8
ˆ
ˆ' 2 C 1 .M /
ˆ
ˆ
<! C dd c ' > 0
ˆ
ˆ.! C dd '/ D f !
ˆ c n n
:̂
' D on @M
has a solution provided that it has a smooth subsolution. It is a combination of the

results proved in several papers [1, 15, 16, 18, 27, 47].
We will give a proof of Theorem 19 under additional assumption that the
boundary of M is flat, that is near every boundary point, after a holomorphic change
of coordinates, the boundary is of the form fRe zn D 0g. We will use this assumption
only for the boundary estimate for second derivatives (see Theorem 27 below), but
the result is also true without it (see [27]).
This extra assumption is satisfied in the geodesic equation case, then M is of
the form M 0 D, N where M 0 is a manifold without boundary and D is a bounded
domain in C with smooth boundary. This will immediately give existence of smooth
"-geodesics. (Note that by (20) the geodesic equation is covered here.)
The uniqueness in Theorems 18 and 19 is in fact very simple: if '; 'Q are the
solutions then
0 D !'n !'nQ D dd c .' '/
Q ^ T;
where
X
n1
np1
T D !'p ^ !'Q :
pD0
Since T > 0, we will get ''Q D const in the first case and ' D 'Q in the second one.
This argument does not work anymore if we allow the solutions to be degenerate,
that is assuming only that !' 0, !'Q 0. In fact, much more general results hold
here. We will allow continuous solutions given by the Bedford Taylor theory [5]
(see also [8]) – then !'n is a measure.
Theorem 20 ([12]). Assume that M has no boundary. If '; 'Q 2 C.M / are such
that !' 0, !'Q 0 and !'n D !'nQ then ' 'Q D const.
124 Z. Błocki
Proof. Assume n D 2, the general case is similar, for details see [12]. Write
0 D !'2 !'2Q D dd c ^ .!' C !'Q /;
where D ' '.

Q Therefore
Z Z
0D dd c ^ .!' C !'Q / D d ^ d c ^ .!' C !'Q /;
M M
and thus
d ^ d c ^ !' D d ^ d c ^ !'Q D 0: (30)
We have to show that
d ^ d c ^ ! D 0: (31)
By (30)
Z Z
d ^d c
^! D d ^ d c ^ dd c '
M M
Z Z
D d ^ d c ' ^ dd c D d ^ d c ' ^ .!' !'Q /:
M M
By the Schwarz inequality and (30) again

ˇZ ˇ2 Z Z
ˇ ˇ
ˇ d ^ d c
' ^ ! ˇ d ^ d c
^ ! d' ^ d c ' ^ !' D 0:
ˇ 'ˇ '
M M M
Similarly we show that Z

d ^ d c ' ^ !'Q D 0
M
and (31) follows. t
u
Theorem 21 ([15]). Let M have nonempty boundary. Assume that '; 'Q 2 C.M /
are such that !' 0, !'Q 0, !'n !'nQ and ' 'Q on @M . Then ' 'Q in M .
Proof. For " > 0 set '" WD maxf' "; 'g,Q so that '" D 'Q near @M . Since for
continuous plurisubharmonic functions we have
.dd c maxfu; vg/n fuvg .dd c u/n C fu<vg .dd c v/n
(it is a very simple consequence of the continuity of the Monge–Ampère operator,

see e.g. Theorem 3.8 in [8]), it follows that !'n" !'nQ . Therefore, without loss of
generality, we may assume that ' 'Q in M , ' D 'Q near @M , and we have to show
that ' D 'Q in M .
Assume again n D 2. Then, since WD ' 'Q vanishes near @M , we have
Z Z
0 .!'2 !'2Q / D d ^ d c ^ .!' C !'Q /:
M M
We thus get (30) and the rest of the proof is the same as that of Theorem 20. t
u
Assuming Theorem 19 and estimates proved in Sects. 8–13, we get Theorem 12.
From the comparison principle it follows that "-geodesics converge uniformly to a
weak geodesic which is almost C 1;1 (that is it satisfies (28)). It is an open problem
if it has to be fully C 1;1 (it was shown in [15] in case the bisectional curvature is
nonnegative).
8 Continuity Method
In order to prove existence in Theorems 18 and 19 we fix an integer k 2 and ˛ 2

.0; 1/. Let f0 denote the r.h.s. of the equation for which we already know the solu-
tion: f0 D 1 in the first case and f0 D ! n =! n in the second one. For t 2 Œ0; 1 set
ft WD .1 t/f0 C tf:
By S denote the set of those t 2 Œ0; 1 for which the problem

8
ˆ
ˆ 't 2 C kC2;˛ .M /
ˆ
ˆ
<! C dd c ' > 0
t
ˆ
ˆR.! C dd 't / D ft !
ˆ c n n
:̂
M 't ! D 0;
n
resp. 8
ˆ
ˆ 't 2 C kC2;˛ .M /
ˆ
ˆ
<! C dd c ' > 0
t
ˆ
ˆ.! C dd 't / D ft !
ˆ c n n
:̂
't D on @M
has a solution (by the previous section it has to be unique). We clearly have 0 2 S
and we have to show that 1 2 S . For this it will be enough to prove that S is open
and closed.
Openness. The Monge–Ampère operator we treat as the mapping
!'n
M W A 3 ' 7! 2 B;
!n
where Z
A WD f' 2 C kC2;˛
.M / W !' > 0; ' ! n D 0g
M
Z Z
B WD ffQ 2 C k;˛ .M / W fQ! n D ! n g;
M M
126 Z. Błocki
resp.
A WD f' 2 C kC2;˛ .M / W !' > 0; ' D on @M g
B WD C k;˛ .M /:
Then A is an open subset of the Banach space
Z
E WD f 2 C kC2;˛ .M / W ! n D 0g;
M
resp. a hyperplane in the Banach space C kC2;˛ .M / with the tangent space
E WD f 2 C kC2;˛ .M / W ' D 0 on @M g:
On the other hand, B is a hyperplane of the Banach space C k;˛ .M / with the tangent
space Z
F WD ffQ 2 C k;˛ .M / W fQ! n D 0g;
M
resp. B is a Banach space itself and F WD B. We would like to show that for every
' 2 A the differential
d' M W E ! F
is an isomorphism. But since
1
d' M: D ;
2
where the Laplacian is taken w.r.t. !' , it follows from the standard theory of the
Laplace equation on Riemannian manifolds. Therefore M is locally invertible, in
particular M.A/ is open in B and thus S is open in Œ0; 1 .
Closedness. Assume that we knew that
jj't jjkC2;˛ C; t 2 S; (32)
for some uniform constant C , where jj jjk;˛ D jj jjC k;˛ .M / . Then by the Arzela–
Ascoli theorem every sequence in f't W t 2 S g would contain a subsequence whose
derivatives of order at most k C 1 converged uniformly.
The proof of existence of solutions in Theorems 18 and 19 is therefore reduced to
(32) for all k big enough. The first step (but historically the latest in the Calabi–Yau
case) is the L1 -estimate, this is done in Sect. 9. The gradient and second derivative
estimates are presented in Sects. 10–12. They are all very specific for the complex
Monge–Ampère equation and most of them (except for Theorem 25) are applicable
also in the degenerate case, that is they do not depend on a lower positive bound
for f . Finally, in Sect. 13, we make use of the general Evans–Krylov theory for
nonlinear elliptic equations of second order (see e.g. [26], in the boundary case it is
due to Caffarelli et al. [16]). This gives a C 2;˛ bound and then higher order estimates
follow from the standard Schauder theory of linear elliptic equations of second order
with variable coefficients.
9 L1 -Estimate
If @M ¤ ; then by the comparison principle, Theorem 21, for any ' 2 C.M / with
!' 0, !'n ! n , ' D on @M , we have
' max ;
@M
so we immediately get the L1 -estimate in the second case. The case @M D ;

is more difficult and historically turned out to be the main obstacle in proving the
Calabi conjecture. Its proof making use of Moser’s iteration was in fact the main
contribution of Yau [47] (see also [31] for some simplifications).
Theorem 22. Assume @M D ;. Take ' 2 C.M / with !' 0, satisfying the
Monge–Ampère equation !'n D f ! n . Then
osc ' C.M; !; jjf jj1 /:

R
Proof. It will be convenient to assume that V D M ! n D1 and that maxM 'D 1,
so that jj'jjp jj'jjq for p q (we use the notation jj jjp D jj jjLp .M / ). Write
.f 1/! n D dd c ' ^ T;
where
X
n1
T D !'p ^ ! np1 :
pD0
Note that T ! n1 . Then for p 2

Z Z
.'/p1 .f 1/! n D .'/p1 dd c ' ^ T
M M
Z
D d.'/p1 ^ d c ' ^ T
M
Z
D .p 1/ .'/p2 d' ^ d c ' ^ T
M
Z (33)
.p 1/ .'/p2 d' ^ d c ' ^ ! n1
M
Z
4.p 1/
D d.'/p=2 ^ d c .'/p=2 ^ ! n1
p2 M
cn
jjr..'//p=2 jj22 :
p
128 Z. Błocki
By the Sobolev inequality
p=2
jj'jjpn=.n1/ D jj.'/p=2 jj2n=.n1/ C.M / jj.'/p=2 jj2 C jjr..'/p=2 /jj2 :
Combining this with (33) we will get
jj'jjpn=.n1/ .Cp/1=p jj'jjp :
Setting
p0 WD 2; pkC1 D npk =.n 1/; k D 1; 2; : : : ;
we will get
jj'jj1 D lim jj'jjpk CQ jj'jj2
k!1
and it remains to use the following elementary estimate:

Proposition 23. Assume that @M D ; and let ' 2 C.M / be such that !' 0,
max' M D 0. Then for any p < 1
jj'jjp C.M; p/:
Proof. It will easily follow from local properties of plurisubharmonic functions. For
p D 1 we can use the following result: if u is a negative subharmonic function in
the ball B.0; 3R/ in Cn then
jjujjL1 .B.0;R// C.n; R/ inf .u/:

B.0;R/
After covering M with finite number of balls of radius R, a simple procedure

starting at the point where ' D 0 will give us the required estimate for jj'jj1 . The
case p > 1 is now an immediate consequence of the following fact: if u is a negative
plurisubharmonic function in B.0; 2R/ then
jjujjLp .B.0;R// C.n; p; R/ jjujjL1.B.0;2R// : t

u
10 Interior Second Derivative Estimate
It turns out that in case of Theorem 18 one can bypass the gradient estimate. The
interior estimate for the second derivative which will be needed in the proofs of
both cases was shown independently by Aubin [1] and Yau [47]. We will show the
following version from [14]:
Theorem 24. Assume that ' 2 C 4 .M / satisfies !' > 0 and !'n D f ! n . Then
' C; (34)
where C depends only on n, on upper bounds for f , the scalar curvature of M ,

osc ' and sup@M ' (if @M D ; then this is void), and on lower bounds for
f 1=.n1/ .logf / and the bisectional curvature of M .
Proof. By C1 ; C2 ; : : : we will denote constants depending only on the required

quantities. Set
˛ WD log.' C 2n/ A'
(note that ' > 2n), where A under control will be specified later. We may
assume that ˛ attains maximum at y in the interior of M , otherwise we are done.
Let g be a local potential for ! near y and set u WD g C '. We choose normal
coordinates at y (so that gj kN D ıj k , gj klN D 0 at y), so that in addition the matrix
.uj kN / is diagonal at y. Then at y
.u/ppN j.u/p j2
˛ppN D C A AuppN
u .u/2
X
.u/p D 2 uj jNp
j
X X
./ppN D 2 uj jNppN C 2 Rj jNppN uj jN :
j j
(by (9)). The equation !'n D f ! n now reads
det.upqN / D f det.gpqN /: (35)
Differentiating w.r.t. zj and zNj we get
upqN upqj pqN

N D .log f /j C g gpqj
N (36)
and
ptN s qN ptN s qN
upqN upqj
N jN D .log f /j jN C u u upqj
pqN
N us tNjN C g gpqj
N jN g g gpqj N gs tNjN : (37)
Therefore at y
X uj jNppN X jupqj
N j
2 X
D .log f /j jN C Rj jNppN
p
uppN p;q
uppN uq qN p
and, since ˛ppN 0,

130 Z. Błocki
0 1
X ˛ppN 1 @ X jupqj N j 2 X R N u N
j j ppN j j A
0 D .log f / C 2 S C2
p
uppN u j;p;q
u p N
p u q N
q j;p
uppN
P
4 Xj j uj jNp j2 X 1
CA An:
.u/2 p uppN p
uppN
By the Schwarz inequality
ˇX ˇ2 u X juq qp
N j
2
ˇ u ˇ
j jNp
j
2 q uq qN
and therefore we can get rid of the terms with third derivatives. We also have
C1
.log f / 1=.n1/
;
f
X Rj jNppN uj jN X 1
2 C2 u
j;p
uppN p
uppN
(by (12)), and

!1=.n1/
X 1 X uppN u 1=.n1/
.n 1/
p
uppN p
u11N : : : unnN f
(we may assume n 2). Therefore, choosing A WD C2 C 1, at y we get

1=.n1/
C1 S u
C C3 0:
f 1=.n1/ u u f
Multiplying by f 1=.n1/ u we will get at y
.u/n=.n1/ C4 u C5 0;
and thus
u.y/ C6 :
Therefore ˛ ˛.y/ C7 and we get (34). t
u
An upper bound for ' for functions satisfying !' 0 easily gives a bound
mixed complex derivatives of '
j'j kN j C:
However, it does not imply the full estimate for the second derivative of ':
Example. Set S WD fre i t W 0 r 1; =4 t 3=4g and
Z
2
u.z/ WD log jz jd./:
S
Then uzNz D S 2 L1 .C/, and thus u 2 Wloc .C/ for every p < 1 (which implies
2;p
that u 2 C 1;˛ .C/ for every ˛ < 1 by Morrey’s embedding theorem). However
Z Z Z
2 y 2 x2 1 3=4
sin2 t cos2 t
uxx .0/ D d.z/ D 4 dt dr D 1;
S .x 2 C y 2 /2 0 =4 r2
2;1
and u … Wloc .C/ D C 1;1 .C/.
The following estimate will enable to apply the real Evans–Krylov theory (see
Sect. 13) directly, without reproving its complex version.
Theorem 25 ([15]). Assume that ' 2 C 4 .M /, !' > 0, !'n D f ! n . Then
jr 2 'j C; (38)
where C depends on n, on upper bounds for jRj, jrRj, jj'jjC 0;1 .M / , ',
sup@M jr 2 'j, jjf jjC 1;1 .M / and a lower (positive) bound for f on M .
Proof. We have to estimate the eigenvalues of the mapping X 7! rX r'. Since

their sum is under control from below (by 2n), it will be enough to get an upper
bound. The maximal eigenvalue is given by
hrX r'; X i
ˇD max :
X 2TM nf0g jX j2
This is a continuous function on M (but not necessarily smooth). Locally we have
r@j r' D @j .g pqN 'p /@qN C @j .g pqN 'qN /@p C g pqN 'qN jp
s
@s
D g pqN 'j qN @p C .g pqN 'p /j @qN :
Therefore for a real vector field X D X j @j C XN k @kN

hrX r'; X i D 2Re X j XN k 'j kN C X l gl qN .g pqN 'p /j

D DX2 ' C 2Re X j X l g pqN gj ql
N 'p ;
where DX denotes Euclidean directional derivative in direction X .

132 Z. Błocki
Set
1
˛ WD ˇ C jr'j2 :
2
We may assume that ˛ attains maximum y in the interior of M . Near y we choose
normal coordinates (gj kN D ıj k , gj kl N D gj klm
N D 0 at y) so that in addition the
matrix .'j kN / is diagonal at y. Take fixed X D .X 1 ; : : : ; X N / 2 CN such that at y
one has jX j2 .D 2gj kN X j XN k / D 1. Near y define
hrX r'; X i
ˇQ WD
jX j2
and
˛Q WD ˇQ C jr'j2 :
Then ˇQ ˇ, ˇ.y/
Q D ˇ.y/ and ˛Q ˛ ˛.y/ D ˛.y/,
Q so that ˛Q (which is defined
locally) also has a maximum at y, the same as that of ˛. The advantage of ˛Q is that
Q
it is smooth (this argument goes back to [11]). It remains to estimate ˇ.y/ from
above.
The function u WD ' C g solves (35). Similarly as with (37) we will get at y
X D 2 'ppN X X D 2 gppN
X
DX2 .log f / C DX2 gppN X
:
p
uppN p p
uppN
Since f is under control from below, we have DX2 .log f / C1 and by
Theorem 24
1
uppN C3 :
C2
This, together with the fact that jRj is under control, implies that
X D 2 'ppN
X
C4 : (39)
p
uppN
Using the fact that jX j D 1 and .jX j2 /p D 0 at y, combined with (36), at y we

will get
X
ˇQppN D DX2 'ppN C 2Re X j X k gj lk N 'l
N pp
l
X
j Nk
C 2Re N pN 'lp X X
X j X k gj lk gj kp 2
N pN DX ' (40)
l
Q
DX2 'ppN C5 C6 ˇ;
where we used in addition that jrRj is under control.

Near y we have
1 N N N
.jr'j2 /p D .g j k /p 'j 'kN C g j k 'jp 'kN C g j k 'j 'pkN :
2
Therefore at y
1 X X X
.jr'j2 /ppN D N pN 'j 'kN C 2Re
Rj kp 'jppN 'jN C j'jp j2 C 'p2 pN :
2 j j
j;k
Since X 'jppN 'jN X

2Re D 2Re .log f /j 'jN C7
j;p
uppN j
and
X j'jp j2 1 Q2
ˇ C9 ;
j;p
uppN C8
from (39), (40) it follows that at y

X ˛ppN 1 Q2
0 ˇ C10 ˇQ C11 : t
u
p
uppN C8
Since the estimate depends on a lower bound for f , Theorem 25 cannot be

used in the degenerate case. It is an open problem if one can get rid of this
dependence, this would in particular imply full C 1;1 -regularity of weak geodesics
obtained by Chen [18]. This was shown only under additional assumption that M
has nonnegative bisectional curvature, see [15].
11 Gradient Estimate
If @M D ; then Theorem 24 gives an a priori estimate for the Laplacian, and

thus also for the gradient. However, if @M ¤ ; then a direct gradient estimate
is necessary because the boundary estimates from Sect. 12 depend on it.
The estimate for jr'j on @M follows easily from the comparison principle: if
h 2 C 1 .M / is harmonic in the interior of M with h D on @M then
'h
in M . Therefore on @M we have
jr'j maxfjr j; jrhjg:
We have the following interior gradient bound from [14] (see also [29, 30]).
134 Z. Błocki
Theorem 26. Let ' 2 C 3 .M / be such that !' > 0 and !'n D f ! n . Then
jr'j C; (41)
where C depends on n, on upper bounds for osc ', sup@M jr'j, f , jr.f 1=n /j and
on a lower bound for the bisectional curvature of M .
Proof. We may assume that infM ' D 0 and C0 WD supM ' D osc '. Set
1
ˇD jr'j2
2
and
˛ WD log ˇ ı ';
where 2 C 1 .Œ0; C0 / with 0 0 will be determined later. We may assume that
attains maximum at y in the interior of M . Near y write u D ' C g, where g
is a local potential for !. Similarly as before, we may assume that at y we have
gj kN D ıj kN , gj klN D 0 and .uj kN / is diagonal.
At y we will get
X
ˇD j'j j2
j
X
ˇp D 'jp 'jN C 'p .uppN 1/
j
X X X
ˇppN D N pN 'j 'kN C 2Re
Rj kp N 'jN C
uppj j'jp j2 C 'p2 pN :
j;k j j
and
ˇppN 0 2
˛ppN D . / C 00 j'p j2 0 'ppN ;
ˇ
where for simplicity we denote 0 ı ' just by 0 (and similarly for 00 ). By (36)
X uppj
N
D .log f /j :
p
uppN
Since
1 X Rj kp
N pN 'j 'kN X 1
C1
ˇ uppN p
uppN
j;k;p
and (we may assume that ˇ.y/ 1)

2 X C2 X 1
Re .log f /j 'jN 2jr.log f /j 1=n C2 ;
ˇ j
f p
uppN
we will obtain at y
X ˛ppN X 1 1 X j'jp j2 X j'p j2

0 . 0 C3 / C Œ. 0 /2 C 00 n 0 :
p
uppN p
u ppN ˇ j;p
u ppN p
u ppN
We have to estimate the term
1 X j'jp j2
ˇ j;p uppN
from below. For this we will use that fact that ˛p D 0 at y. Therefore ˇp D 0 ˇ'p ,
that is
X
'jp 'jN D . 0 ˇ uppN C 1/'p :
j
By the Schwarz inequality
ˇX ˇ2 X
ˇ 'jp 'jN ˇ ˇ j'jp j2 ;
j j
hence
1 X j'jp j2 1 X . 0 ˇ C 1 uppN /2 j'p j2 X j'p j2 2

2 . 0 /2 2 0 :
ˇ j;p uppN ˇ p uppN p
u ppN ˇ
This gives
X 1 X j'p j2 2
0 . 0 C3 / 00 .n C 2/ 0 :
p
uppN p
uppN ˇ
We now set .t/ D t 2 =2 C .C0 C C3 C 1/t, so that 00 D 1 and 0 1 in Œ0; C0 .

We will get
X 1 X j'p j2
C C5 :
p
uppN p
uppN
Therefore uppN C6 and ˇ C7 at y, and we easily arrive at (41). t

u
136 Z. Błocki
12 Boundary Second Derivative Estimate
In this section we want to show the a priori estimate
jr 2 'j C
on @M . It is due to Caffarelli et al. [16] if the boundary is strongly pseudoconvex

and to B. Guan [27] in the general case. We will prove the following local result
which is applicable to the case of flat boundary:
Theorem 27. Write BR D B.0; R/ and BR D BR \ fx n 0g. Let u; v 2 C 3 .BR /

be such that .uj kN / > 0, .vj kN / .ıj k / for some > 0,
det.uj kN / D f det.vj kN /:
Assume moreover that u v on BR and u D v on fx n D 0g. Then
jD 2 u.0/j C;
where C depends on n, on upper bounds for jjvjjC 2;1 .BR / , jjf 1=n jjC 0;1 .BR / ,
jjujjC 0;1.BR / , and on lower bounds for , R.
Proof. If s; t are tangential directions to fx n D 0g then ust .0/ D vst .0/, so just .0/j
is under control. The main step in the proof is to estimate the tangential-normal
derivative utx n .0/. Set r WD R=2 and
wQ WD .u v/ C 2A1 x n .r C x n /;
where A1 > 0 under control will be determined later. We have wQ 0 in Br and
N N
X N
uj k wQ j kN D n C uj k vj kN C A1 unnN n C uj j C A1 unnN :
P j jN P
By 1 n denote the eigenvalues of .uj kN /. Then u D 1=j
nnN
and u 1=n . Since 1 : : : n D f , by the inequality between geometric and
arithmetic means we will obtain
N X j jN X 1 A1
uj k wQ j kN n C u C C
2 2 j n
X j jN n.=2/11=n A1
1=n
n C u C
2 f 1=n
X N
.1 C uj j / (42)
2
for A1 sufficiently large.

Further define
1
w WD ˙.u v/t C .u v/2y n A2 jzj2 C A3 w;
Q
2
where positive A2 ; A3 under control will be determined later. Since .u v/t D

.u v/y n D 0 on fx n D 0g, we have w 0 on fx n D 0g. We also have
ˇ ˇ
ˇ ˇ
ˇ˙.u v/t C 1 .u v/2 n ˇ C1
ˇ 2 y ˇ
and thus for A2 sufficiently large w 0 on @Br \ fx n 0g. By (36)
N 1 N
uj k ˙ .u v/t C .u v/2y n j kN D ˙.log f /t uj k vtj kN C .u v/y n .log f /y n
2
N
C uj k .u v/y n j .u v/y n kN
X N
C2 .1 C uj j /;
where the last inequality follows from
1 X j jN
f 1=n u :
n
Therefore, from (42) we get

N
uj k wj kN 0
if A3 is chosen sufficiently large. Now from the maximum principle we obtain w 0

in Br and thus

j.u v/tx n .0/j A3 .u v/x n .0/ C 2A1 r ;
so
jutx n .0/j C3 :
It remains to estimate the normal-normal derivative ux n x n .0/. At the origin we
can now write
f D det.uj kN / D unnN det.uj kN /j;kn1 C R D unnN det.vj kN /j;kn1 C R;
where jRj is under control. Therefore

138 Z. Błocki
C4
0 unnN .0/
n1
and the normal-normal estimate follows. t
u
13 Higher Order Estimates
We will make use of a general (real) theory of nonlinear elliptic equations of second
order. They are of the form
F .D 2 u; Du; u; x/ D 0; (43)
where
2
F W Rm Rm R ! R
( is a domain in Rm ) satisfies two basic assumptions:
F is concave in D 2 u (44)
and elliptic, that is

@F s t
jj2 ; 2 Rm ; (45)
@uxs xt
for some > 0.
If by MC we denote the set of Hermitian positive matrices then, as one can show
(see e.g. [13, 24]),
1
.det A/1=n D infftrace .AB/ W B 2 MC ; det B D 1g; A 2 MC :
n
Moreover, one can also easily prove the following formula for the minimal
eigenvalue of .uj kN / > 0
!
@ det.uj kN / det.uj kN /
min D ;
@uxs xt 4max .uj kN /
(see e.g. [9]). (Here xs denote real variables in Cn , s D 1; : : : ; 2n.)

By Theorem 24 we can assume that
1 2
jj uj kN j N k C jj2 ; 2 Cn : (46)
C
Therefore, if we define F as
F .D 2 u; z/ WD .det.uj kN //1=n f .z/
for functions (or rather matrices) satisfying (46) and extend it in a right way to the
set of all symmetric real 2n 2n-matrices, then F satisfies (44) and (45).
Theorem 28 ([22, 23, 32, 38, 46]). Assume that u 2 C 3 ./ solves (43), where F is
C 2 and satisfies (44) and (45). Then for 0 b there exists ˛ 2 .0; 1/ depending
only on upper bounds for jjujjC 1;1./ , jjF jjC 1;1 ./ and a lower bound for , and C
depending in addition on a lower bound for dist .0 ; @/, such that
jjujjC 2;˛ .0 / C:
Theorem 29 ([16, 32]). Assume that u, defined in BRC WD B.0; R/ \ fx m 0g,

solves (43) with F satisfying (44) and (45) and u D on B.0; R/ \ fx m D 0g.
Then there exists ˛ 2 .0; 1/ and C , depending only on m, , R, jjujjC 1;1 , jjF jjC 1;1
and jj jjC 3;1 , such that
jjujjC 2;˛ .B C / C:
R=2
Now the standard Schauder theory applied to (the linearization of) F gives the
required a priori estimate (32).
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Applications of Pluripotential Theory
to Algebraic Geometry
Abstract These lectures are devoted to the study of various contemporary problems
of algebraic geometry, using fundamental tools from complex potential theory,
namely plurisubharmonic functions, positive currents and Monge-Ampère opera-
tors. Since their inception by Oka and Lelong in the mid 1940s, plurisubharmonic
functions have been used extensively in many areas of algebraic and analytic
geometry, as they are the function theoretic counterpart of pseudoconvexity, the
complexified version of convexity. One such application is the theory of L2 esti-
mates via the Bochner-Kodaira-Hörmander technique, which provides very strong
existence theorems for sections of holomorphic vector bundles with positive curva-
ture. One can mention here the foundational work achieved by Bochner, Kodaira,
Nakano, Morrey, Kohn, Andreotti-Vesentini, Grauert, Hörmander, Bombieri, Skoda
and Ohsawa-Takegoshi in the course of more than four decades. Another develop-
ment is the theory of holomorphic Morse inequalities (1985), which relate certain
curvature integrals with the asymptotic cohomology of large tensor powers of line
or vector bundles, and bring a useful complement to the Riemann-Roch formula.
We describe here the main techniques involved in the proof of holomorphic
Morse inequalities (Sect. 1) and their link with Monge-Ampère operators and inter-
section theory. Section 2, especially, gives a fundamental approximation theorem for
closed .1; 1/-currents, using a Bergman kernel technique in combination with the
Ohsawa-Takegoshi theorem. As an application, we study the geometric properties
of positives cones of an algebraic variety (nef and pseudo-effective cone), and
derive from there some results about asymptotic cohomology functionals in Sect. 3.
The last Sect. 4 provides an application to the study of the Green-Griffiths-Lang
conjecture. The latter conjecture asserts that every entire curve drawn on a projective
variety of general type should satisfy a global algebraic equation; via a probabilistic
J.-P. Demailly ()

Université de Grenoble I, Institut Fourier, BP74, 100 rue des Maths, 38402 Saint-Martin d’Hères,
France
e-mail: demailly@fourier.ujf-grenoble.fr

144 J.-P. Demailly
curvature estimate, holomorphic Morse inequalities imply that entire curves must at
least satisfy a global algebraic differential equation.
1 Holomorphic Morse Inequalities
Holomorphic Morse inequalities provide asymptotic bounds for the cohomology

of tensor powers of holomorphic line bundles. They are a very useful complement
to the Riemann–Roch formula in many circumstances. They were first introduced
in [25], and were largely motivated by Siu’s solution [85, 86] of the Grauert–
Riemenschneider conjecture, which we reprove here as a special case of a stronger
statement. The basic tool is a spectral theorem which describes the eigenvalue
distribution of complex Laplace–Beltrami operators. The original proof of [25] was
based partly on Siu’s techniques and partly on an extension of Witten’s analytic
proof of standard Morse inequalities [102]. Somewhat later Bismut [8] and Getzler
[49] gave new proofs, both relying on an analysis of the heat kernel in the spirit
of the Atiyah–Bott–Patodi proof of the Atiyah–Singer index theorem [1]. Although
the basic idea is simple, Bismut used deep results arising from probability theory
(the Malliavin calculus), while Getzler relied on his supersymmetric symbolic
calculus for spin pseudodifferential operators [48].
We present here a slightly more elementary and self-contained proof which was
suggested to us by Mohan Ramachandran on the occasion of a visit to Chicago
in 1989. The reader is referred to [25, 27] for more details.
1.1 Introduction
1.1.1 Real Morse Inequalities
Let M be a compact C 1 manifold, dimR M D m, and h a Morse function, i.e. a

function such that all critical points are non degenerate. The standard (real) Morse
q
inequalities relate the Betti numbers bq D dim HDR .M; R/ and the numbers
sq D # critical points of index q ;
where the index of a critical point is the number of negative eigenvalues of the
Hessian form .@2 h=@xi @xj /. Specifically, the following “strong Morse inequalities”
hold:
bq bq1 C C .1/q b0 sq sq1 C C .1/q s0 (1)
for each integer q 0. As a consequence, one recovers the “weak Morse
inequalities” bq sq and the expression of the Euler–Poincaré characteristic
.M / D b0 b1 C C .1/m bm D s0 s1 C C .1/m sm : (2)

Applications of Pluripotential Theory to Algebraic Geometry 145
These results are purely topological. They are obtained by showing that M can be
reconstructed from the structure of the Morse function by attaching cells according
to the index of the critical points; real Morse inequalities are then obtained as a
consequence of the Mayer–Vietoris exact sequence (see [74]).
1.1.2 Dolbeault Cohomology
Instead of looking at De Rham cohomology, we want to investigate here Dolbeault

cohomology, i.e. cohomology of the @-complex. Let X be a compact complex
manifold, n D dimC X and E be a holomorphic vector bundle over X with
rank E D r. Let us recall that there is a canonical @-operator
@ W C 1 .X; p;q TX ˝ E/ ! C 1 .X; p;qC1 TX ˝ E/ (3)
acting on spaces of .p; q/-forms with values in E. By the Dolbeault isomorphism

theorem, there is an isomorphism
H@ .X; E/ WD H@ .C 1 .X; p; TX ˝ E// ' H q .X; ˝X ˝ O.E//

p;q q p
(4)
from the cohomology of the @-complex onto the cohomology of the sheaf of
holomorphic p-forms with values in E. In particular, we have
0;q
H@ .X; E/ ' H q .X; O.E//; (5)
and we will denote as usual hq .X; E/ D dim H q .X; O.E//.
1.1.3 Connections and Curvature
Let us consider first a C 1 complex vector bundle E ! M on a real differential

manifold M (without necessarily any holomorphic structure at this point). A con-
nection D on E is a linear differential operator
D W C 1 .M; q TM ˝ E/ ! C 1 .M; qC1 TM ˝ E/ (6)
satisfying the Leibniz rule
D.f ^ s/ D df ^ s C .1/deg f f ^ Ds (7)
for all forms f 2 C 1 .X; p TM /, s 2 C 1 .X; q TM ˝E/. On an open set U M
where E is trivial, EjU ' U Cr , the Leibniz rule shows that a connection D can
be written in a unique way
Ds ' ds C ^ s (8)
146 J.-P. Demailly
where 2 C 1 .U; 1 TM ˝ Hom.Cr ; Cr // is an arbitrary r r matrix of 1-forms

and d acts componentwise. It is then easy to check that
D 2 s ' .d C ^ / ^ s on U: (9)
Therefore D 2 s D D ^ s for some global 2-form D 2 C 1 .M; 2 TM ˝

Hom.E; E//, given by D ' dU C U ^ U on any trivializing open set U with
a connection matrix U .
Definition 1. The (normalized) curvature tensor of D is defined to be D D i
,
2 D
in other words
i
D 2 s D D ^ s
2
for any section s 2 C 1 .M; q TM ˝ E/.
i
The main reason for the introduction of the factor 2 is the well known formula
for the expression of the Chern classes in the ring of differential forms of even
degree: one has
det.Id CD / D 1 C 1 .D/ C 2 2 .D/ C : : : C r r .D/;
where j .D/ is a d -closed differential form of degree 2j . Moreover, j .D/ has

integral periods, i.e. the De Rham cohomology class fj .D/g 2 H 2j .M; R/ is the
image of an integral class, namely the j -th Chern class cj .E/ 2 H 2j .M; Z/.
1.1.4 Hermitian Connections
Assume now that the fibers of E are endowed with a C 1 Hermitian metric h, and
that the isomorphism EjU ' U Cr is given by a C 1 frame .e /. Then we have a
canonical sesquilinear pairing
C 1 .M; p TM ˝ E/ C 1 .M; q TM ˝ E/ ! C 1 .M; pCq TM /

.u; v/ 7! fu; vgh
given by
X X X
fu; vgh D u ^ v he ; e ih for u D u ˝ e ; v D v ˝ e :
;
The connection D is said to be Hermitian (or compatible with the Hermitian

metric h) if it satisfies the additional property
d fu; vgh D fDu; vgh C .1/deg u fu; Dvgh : (10)

Assuming that .e / is h-orthonormal, one easily checks that D is Hermitian if and
only if the associated connection matrix is skew-symmetric, i.e. D . In
this case D D d C ^ also satisfies D D D , thus
i
D D D 2 C 1 .M; 2 TM ˝ Herm.E; E//: (11)
2
Special case 2. For a bundle E of rank r D 1, the connection matrix of a
Hermitian connection D can be more conveniently written D iA where A
is a real 1-form. Then we have
i 1
D D d D dA:
2 2
Frequently, especially in physics, the real 2-form B D dA D 2D 2 C 1
.M; 2 TM / is referred to as the magnetic field, and the 1-form A as its potential.
A phase change sQ .x/ D s.x/e i ˛.x/ in the isomorphism EjU ' U C replaces A
with the new connection form AQ D A C d˛.
1.1.5 Connections on a Hermitian Holomorphic Vector Bundle
If M D X is a complex manifold, every connection D can be split in a unique way

as the sum D D D 0 C D 00 of a .1; 0/-connection D 0 and a .0; 1/-connection D 00 :
D 0 W C 1 .M; p;q TX ˝ E/ ! C 1 .M; pC1;q TX ˝ E/;

D 00 W C 1 .M; p;q TX ˝ E/ ! C 1 .M; p;qC1 TX ˝ E/:
In a local trivialization given by a C 1 frame, one can write
D0u D d 0u C 0 ^ u ;
D 00 u D d 00 u C 00 ^ u ;
with D 0 C 00 and d 0 D @, d 00 D @. If .E; h/ is a C 1 Hermitian structure, the

connection is Hermitian if and only if 0 D . 00 / in any h-orthonormal frame.
Thus there exists a unique Hermitian connection corresponding to a prescribed .0; 1/
part D 00 .
Assume now that the Hermitian bundle .E; h/ has a holomorphic structure. The
unique Hermitian connection D for which D 00 D @ is called the Chern connection
of .E; h/. In a local holomorphic frame .e / of EjU , the metric h is given by some
Hermitian matrix H D .h / where h D he ; e ih . Standard computations yield
the expression of the Chern connection:
148 J.-P. Demailly
8
1
ˆ
< D 0 s D @s C H @H ^ s;
D 00 s D @s;
:̂ ^ s D D 2 s D .D 0 D 00 C D 00 D 0 /s D @.H 1 @H / ^ s:
D
Definition 3. The Chern curvature tensor of .E; h/ is the curvature tensor of its
Chern connection, denoted
1
E;h D D 0 D 00 C D 00 D 0 D @.H @H /:
In the special case of a rank 1 bundle E, the matrix H is simply a positive function,
and it is convenient to introduce its weight ' such that H D .e ' / where ' 2
C 1 .U; R/ depends on the given trivialization EjU ' U C. We have in this case
i i
E;h D E;h D @@' on U; (12)
2 2
and therefore E;h is a closed real .1; 1/-form.
1.1.6 Fundamental Facts of Hodge Theory

P
Assume here that M is a Riemannian manifold with metric g D gij dxi ˝ dxj .
Given q-forms u, v on M with values in E, we consider the global L2 norm and
inner product
Z Z
kuk2 D ju.x/j2 d.x/; hhu; vii D hu.x/; v.x/i d.x/; (13)
M M
where juj is the pointwise Hermitian norm and d the Riemannian volume form.
The Laplace Beltrami operator associated with the connection D is
D DD C D D;
acting on any of the spaces C 1 .M; q TM ˝ E/; here
D W C 1 .M; q TM ˝ E/ ! C 1 .M; q1 TM ˝ E/ (14)
is the (formal) L2 adjoint of D. The complex Laplace operators 0 D D 0 D 0 C

D 0 D 0 and 00 D D 00 D 00 C D 00 D 00 are defined similarly when M D X is
a complex manifold. In degree 0 we simply have D D D. A well-known
calculation shows that the principal symbol of is .x; / D j j2 Id (while
0 .x; / D 00 .x; / D 12 j j2 Id). As a consequence , 0 , 00 are always
elliptic operators.
When M is compact, the operator acting on any of the spaces of the complex
C 1 .M; TM ˝ E/ has a discrete spectrum
1 2 j
and corresponding eigenfunctions j 2 C 1 .M; q TM ˝ E/, depending of course

on q.
Our main goal is to obtain asymptotic formulas for the eigenvalues. For this, we
will make an essential use of the heat operator e t . In the above setting, the heat
operator is the bounded Hermitian operator associated to the heat kernel
C1
X
Kt .x; y/ D e t .x/ ˝
.y/; (15)
D1
i.e. Z
t
hhu; e vii D hu.x/; Kt .x; y/ v.y/i d.x/ d.y/:
M M
Standard results of the theory of elliptic operators show that
Kt 2 C 1 . 0; C1Œ M M; Hom.E; E//
and that Kt .x; y/ is the solution of the differential equation
@
Kt .x; y/ D x Kt .x; y/; lim Kt .x; y/ D ıy .x/ (Dirac at y); (16)
@t t !0C
as follows formally from the fact that @t@ e t D e t and e 0 D Id. The
asymptotic distribution of eigenvalues can be recovered from the straightforward
formula
C1
X Z
t
e D trE Kt .x; x/d.x/ : (17)
D1 M
In the sequel, we are especially interested in the 0-eigenspace:

Definition 4. The space of -harmonic forms is defined to be
˚
H .M; E/ D Ker D u 2 C 1 .M; q TM ˝ E/ I u D 0 :
q
When M is compact, an integration by part shows that
hhu; uii D kDuk2 C kD uk2 ;
hence u is -harmonic if and only if Du D D u D 0. Moreover, as is a self-adjoint

operator, standard elliptic theory implies that
C 1 .M; q TM ˝ E/ D Ker ˚ Im D H .M; E/ ˚ Im ;

q
(18)
150 J.-P. Demailly
q
and Ker D H .M; E/, Im are orthogonal with respect to the L2 inner product.
Clearly Im Im D C Im D , and both images Im D, Im D are orthogonal to
the space of harmonic forms by what we have just seen. As a consequence, we have
Im D Im D C Im D : (19)
Hodge isomorphism theorem 5. Assume that M is compact and that D is an

integrable connection, i.e. D 2 D 0 (or D D 0). Then D defines on spaces
of sections C 1 .M; q TM ˝ E/ a differential complex which can be seen as a
generalization of the De Rham complex. The condition D 2 D 0 immediately
implies that Im D ? Im D and we conclude from the above discussion that there
is an orthogonal direct sum
C 1 .M; q TM ˝ E/ D H .M; E/ ˚ Im D ˚ Im D :

q
(20)
If we put u D hCDvCD w according to this decomposition, then Du D DD w D

0 if and only if kD wk D hhDD w; wii D 0, thus
q
Ker D D H .M; E/ ˚ Im D:
This implies the Hodge isomorphism theorem

q q
HDR .M; E/ WD Ker D= Im D ' H .M; E/: (21)
In case M D X is a compact complex manifold, .E; h/ a Hermitian holomorphic

vector bundle and D D D 0 C D 00 the Chern connection, the integrability condition
D 002 D @2 D 0 is always satisfied. Thus we get an analogous isomorphism
0;q 0;q
H q .X; O.E// ' H@ .X; E/ ' H00 .M; E/; .22/0;q
and more generally

p p;q p;q
H q .X; ˝X ˝ O.E// ' H@ .X; E/ ' H00 .M; E/; .22/p;q
where H00 .M; E/ is the space of 00 -harmonic forms of type .p; q/ with values
p;q
in E.
Corollary 6 (Hodge decomposition theorem). If .X; !/ is a compact Kähler
2
manifold and .E; h/ is a flat Hermitian vector bundle over X .i.e. DE;h D 0/,
then there is an isomorphism
M p;q
k
HDR .M; E/ ' H@ .X; E/:
pCqDk
In fact, under the condition that ! is Kähler, i.e. d! D 0, well-known identities of

Kähler geometry imply 0 D 00 D 12 , and as a consequence
M p;q
Hk .M; E/ D H00 .X; E/:
pCqDk
1.2 Holomorphic Morse Inequalities
1.2.1 Main Statements
Let X be a compact complex n-dimensional manifold, L ! X a holomorphic line

bundle and E ! X a holomorphic vector bundle of rank r D rank E. We assume
that L is equipped with a smooth Hermitian metric h and denote accordingly L;h
its curvature form; by definition this is a closed real .1; 1/-form and its cohomology
class c1 .L/R D fL;h g 2 HDR 2
.X; R/ is the first Chern class of L.
q-index sets 7. We define the q-index sets and f qg-index sets of .L; h/ to be

q negative eigenvalues
X.L; h; q/ D x 2 X I L;h .x/ has
n q positive eigenvalues
[
X.L; h; q/ D X.L; h; j / :
1j q
Clearly X.L; h; q/ and X.L;Sh; q/ are open subsets of X , and we have a partition
into “chambers” X D S [ 0qn X.L; h; q/ where S D fx 2 X I L;h .x/ D 0g
is the degeneration set. The following theorem was first proved in [25].
Main Theorem 8. The cohomology groups of tensor powers E ˝ Lk satisfy the
following asymptotic estimates as k ! C1 W
(8)WM Weak Morse inequalities W
Z
kn
hq .X; E ˝ Lk / r .1/q L;h
n
C o.k n / :
nŠ X.L;h;q/
(8)SM Strong Morse inequalities W

X Z
kn
.1/qj hj .X; E ˝ Lk / r .1/q L;h
n
C o.k n / :
0j q
nŠ X.L;h;q/
(8)RR Asymptotic Riemann–Roch formula W

X Z
kn
.X; E ˝ Lk / WD .1/j hj .X; E ˝ Lk / D r n
L;h C o.k n / :
0j n
nŠ X
152 J.-P. Demailly
The weak Morse form (8)WM follows from strong Morse (8)SM by adding
consecutive inequalities for the indices q 1 and q, since the signs .1/qj and
.1/q1j are opposite. Also, (8)RR is just a weaker formulation of the existence of
the Hilbert polynomial, and as such, is a consequence of the Hirzebruch–Riemann–
Roch formula; it follows formally from (8)SM with q D n and q D n C 1, since
hnC1 D 0 identically and the signs are reversed. Now, by adding (8)SM for the
indices of opposite parity q C 1 and q 2, we find
Z
kn
hqC1 .X; E ˝ Lk / hq .: : :/ C hq1 .: : :/ r .1/qC1 L;h
n
C o.k n /;
nŠ X.L;h;fq1;q;qC1g/
where X.L; h; fq 1; q; q C 1g/ is meant for the union of chambers of indices q 1,

q, q C 1. As a consequence, we get lower bounds for the cohomology groups:
Z
kn
hq .X; E ˝Lk / hq hqC1 hq1 r .1/q L;h
n
o.k n /: (23)
nŠ X.L;h;fq1;q;qC1g/
Another important special case is (8)SM for q D 1, which yields the lower bound
Z
kn
h .X; E ˝ L / h h r
0 k 0 1 n
L;h o.k n /: (24)
nŠ X.L;h;1/
As we will see later in the applications, this lower bound provides a very useful
criterion to prove the existence of sections of large tensor powers of a line bundle.
t
u
1.2.2 Heat Kernel and Eigenvalue Distribution
We introduce here a basic heat equation technique, from which all asymptotic
eigenvalue estimates can be derived via an explicit formula, known as Mehler’s
formula.
We start with a compact Riemannian manifold .M; g/ with dimR M D m, and
denote by d its Riemannian volume form. Let .L; hL / (resp. .E; hE /) be a
Hermitian complex line (resp. vector bundle) on M , equipped with a Hermitian
connection DL (resp. DE ).
We denote by Dk D DE˝Lk the associated connection on E ˝ Lk , and by
k D Dk Dk the Laplace–Beltrami operator acting on sections of E˝Lk (i.e. forms
of degree 0). As in Case 2, we introduce the (local) connection form L D iA of
L and the corresponding (global) curvature 2-form B D dA 2 C 1 .M; 2 TM /,
i.e. the “magnetic field” (E and the corresponding curvature tensor E of DE
will not play a significant role here). Finally, we assume that an additional section
V 2 C 1 .M; Herm.E; E// is given (“electric field”); for simplicity of notation, we
still denote by V the operator V ˝ IdLk acting on E ˝ Lk .
If ˝ M is a smoothly bounded open subset of M , we consider for u in the

Sobolev space W01 .˝; E ˝ Lk / the quadratic form
Z
1
Qk;˝ .u/ D jDk uj2 hV u; ui: (25)
˝ k
Here W01 .˝; E ˝ Lk / is the closure of the space of smooth sections with compact
support in ˝, taken in the Hilbert space Wloc 1
.M; E ˝ Lk / of sections that have L2loc
coefficients as well as their first derivatives. In other words, we consider the densely
defined self adjoint operator
1
k D D Dk V (26)
k k
acting in the Hilbert space W01 .˝; E ˝ Lk /, i.e. with Dirichlet boundary conditions.
Again, k acting on W01 .˝; E ˝ Lk / has a discrete spectrum whenever ˝ is
relatively compact (and also sometimes when ˝ is unbounded, according to the
behavior of B and V at infinity; except otherwise stated, we will assume that we are
in this case later on). Then, there is an associated “localized” heat kernel
C1
X
Kt;k;˝ .x; y/ D e ;k;˝ t ;k;˝ .x/ ˝
;k;˝ .y/ (27)
D1
where ;k;˝ 2 W01 .˝; E ˝Lk / are the eigenfunctions and ;k;˝ their eigenvalues.
We want to study the asymptotic eigenvalue distribution of k as k ! C1, and
more precisely get an asymptotic formula for the corresponding heat kernel e t k .
The basic idea is to decompose the proof in three steps:
.˛/ Convince ourselves that the asymptotic estimates can be “localized”, up to
lower order error terms.
.ˇ/ Show that the local estimates can be obtained by freezing the coefficients of the
operators involved at any given point.
. / Compute explicitly the heat kernel in the case of connections with constant
curvature, assuming moreover that ˝ ' Rm with the flat Euclidean metric.
.˛/ In order to see that the situation can be localized, we fix a partition of unity . j /
P 2
relative to an arbitrarily fine finite covering .˝j / of ˝, such that j D 1 near ˝.
We consider the continuous injection
M
I˝;˝j W W01 .˝; E ˝ Lk / ! W01 .˝ \ ˝j ; E ˝ Lk /; u 7! . j u/j ;
j
P P
the inverse of which is .uj / 7! u D j uj . As jd j D 0 on ˝, we find
X Z X 1
1
Qk;˝j . j u/ Qk;˝ .u/ D jd jj
2
juj2 O juj2 : (28)
j
k ˝ k
154 J.-P. Demailly
L
By the minimax principle, it follows that the eigenvalues of Qk;˝j j Im I˝;˝j and
those of Qk;˝ differ by at most O.1=k/ as k ! C1. This explains why a
localization process is possible, at least as far as the eigenvalue distribution is
concerned. For the related heat kernels on small geodesic balls, one can use the
following localization principle.
Proposition 9. Let ˝ D B.x 0 ; / be a geodesic ball of .M; g/ of radius where
< injectivity radius. Then there exist constants C1 and "1 > 0 such that for all
t 2 0; min.k"1 ; k 2 =2m/ and every x0 2 M we have
ˇ ˇ m=2 k 2
ˇKt;k;M .x 0 ; x 0 / Kt;k;˝ .x 0 ; x 0 /ˇ C1 k exp C 2t sup kV k :
t 4t ˝
A proof of this technical result is given in Thierry Bouche’s PhD thesis (cf. [17]).
It relies on a use of Kato’s inequality (cf. [54]), which amounts to say that we get
an upper bound of Kt;k;M in the case when the curvature is trivial; one can then use
the calculations given below to get the explicit bound, see e.g. (290 ).
.ˇ/ Now, let x 0 2 M be a given point. We choose coordinates .x1 ; : : : ; xm /
centered at x 0 such that .@=@x1 ; : : : ; @=@xm / is orthonormal at x 0 with respect to
the Riemannian metric g. By changing the orthonormal frame of L as in Case 2,
we can adjust theP connection form L D iA of L to be given by any local
potential A.x/ D j Aj .x/ dxj such that B D dA, and we can therefore arrange
that A.x 0 / D 0. Similarly, we can fix a unitary frame of E such that E .x 0 / D 0.
Set x 0 D 0 for simplicity. The first term of our Laplace operator k D k1 Dk Dk V
is the square of the first order operator

k 1=2 Dk u.x/ D k 1=2 du.x/ C k IdE ˝L .x/ u.x/ C IdLk ˝E .x/ u.x/
X @u
D k 1=2 ik 1=2 Aj .x/u.x/ dxj C k 1=2 IdLk ˝E .x/ u.x/:
@xj
j
If we use a rescaling x D k 1=2 xQ and set uQ .x/

Q D u.x/ D u.k 1=2 x/,
Q this operator
takes the form
X @Qu
DQ k uQ .x/
Q D i k 1=2 Aj .k 1=2 x/ Q dxj C O.k 1=2 jxj/
Q uQ .x/ Q uQ .x/
Q dx:
j
@xQ j
As Aj .0/ D 0, the term k 1=2 Aj .k 1=2 x/Q converges modulo O.k 1=2 jxj Q 2 / terms
P @Aj
to the linearized part AQj .x/
Q D Q i . Observe also that the connection
i;j @xi .0/ x
form E of E only contributes for terms of the form O.k 1=2 jxj/ Q (and thus will be
negligible in the end, together with the quadratic terms of Aj ). Our initial operator
k D k1 Dk Dk V becomes
Q k D DQ k DQ k VQ

where VQ .x/Q D V .k 1=2P Q and where the adjoint is computed

x/ P with respect to the
Q
rescaled metric g.x/ D gij .k 1=2 x/
Q d xQ j d xQ j ; here gQ ! .d xQ j /2 as k ! C1
thanks to the assumption that gij .0/ D ıij . Modulo lower order terms O.k 1=2 jxj Q 2 /,
DQ k is given by a linear connection form
X
Q x/
A. Q D Bij xQ i d xQ j
P
associated with the constant magnetic field B.x 0 / D i;j Bij dxi ^ dxj frozen
at x D 0. We can moreover choose orthonormal coordinates so that B.x 0 / takes
0
the standard form

X
s
B.x 0 / D Bj dxj ^ dxj Cs
j D1
where 2s m is the rank of the alternate 2-form B.x 0 / and Bj the curvature
eigenvalues with respect to g.x 0 /. The corresponding linearized potential is
X
s
Q x/
A. Q D Bj xQ j dxQ j Cs :
j D1
The intuition from Physics is that the eigenfunctions represent “waves” of heat
propagation of a certain typical wave length in the coordinates x, Q and of a
corresponding (much shorter) wave length k 1=2 in the original coordinates.
At that scale, our space behaves as if the metrics were flat and the curvature constant.
. / Let us consider the operators obtained by “freezing” the coefficients at any
point x 0 , as explained at step .ˇ/, although we will not perform the rescaling here.
More specifically, we assume that
Ps
• L has constant curvature B D j D1 Bj dxj ^ dxj Cs . Then there is a local
trivialization in which
X
s
DL u D du iA ^ u; AD Bj xj dxj Cs :
j D1
P
• ˝ ' Rm and the metric g is flat: g D dxj ˝ dxj .
• E ' ˝ Cr is a trivial (flat) Hermitian bundle.
• the Hermitian form V is constant. We choose an orthonormal frame of E in
which V is diagonal, i.e.
X
hV u; ui D V ju j2 :
1r
156 J.-P. Demailly
In this ideal situation, the connection Dk on E ˝ Lk can be written Dk u D du

ikA ^ u and the quadratic form Qk;˝ is given by
0 1
Z !
ˇ ˇ
1 B X ˇ @u ˇ2 ˇ @u ˇ ˇ ˇ
X ˇ du ˇ2 Cˇ
ˇ2
Qk;˝ .u/ D @ ˇ ˇ Cˇ ikBj xj u ˇ C ˇ ˇA
Rm k 1j s
@xj @xj Cs j >2s
dxj
1r 1r
X
V ju j2 :
1r
In this situation, Qk;˝ is a direct sum of quadratic forms acting on each component
u and the computation of e t k is reduced to the following model cases (29), (30)
in dimension 1 or 2 :
Z ˇ ˇ2
ˇ df ˇ d 2f
Q.f / D ˇ ˇ ; f D 2 (29)
R dx dx
As is well known (and although the spectrum is not discrete in that case) the kernel
of the “elementary” heat operator e t is given by
1
e .xy/ =4t ;
2
Kt;R .x; y/ D p (290 )
4 t
as follows from solving equation (16). The second model case is :

Z ˇ df ˇ2 ˇ df ˇ2
ˇ ˇ ˇ ˇ
Q.f / D ˇ ˇ Cˇ iax1 f ˇ : (30)
R2 dx1 dx2
R
A partial Fourier transform fO.x1 ; 2 / D p1
2 R f .x1 ; x2 / e ix2 2 dx2 gives
Z ˇ dfO ˇ2
ˇ ˇ 2 2 O
Q.f / D ˇ .x1 ; 2 /ˇ C a2 x1 jf .x1 ; 2 /j2
R2 dx1 a
and the change of variables x10 D x1 2 =a, x20 D 2 leads (after dropping the
second variable x20 ) to the so called “harmonic oscillator” energy functional
Z ˇ ˇ2
ˇ dg ˇ d2
q.g/ D ˇ ˇ C a2 x 2 jgj2 ; D C a2 x 2 : (31)
R dx dx2
The heat kernel of this operator is given by Mehler’s formula :

r a
a
kt;R .x; y/ D exp .coth 2at/.x y/2 a.tanh at/xy ;
2 sinh 2at 2
(310 )
which actually reduces to (290 ) when a ! 0. One way of obtaining this relation is
to observe that the unitary eigenfunctions of are
r 1=2
p
p
2 pŠ ˚p . ax/; p D 0; 1; 2; : : : ;
a
with associated eigenvalues .2p C 1/a, where .˚p / is the sequence of functions
associated with Hermite polynomials:
2 =2 d p x 2
˚p .x/ D e x .e /:
dxp
2 =2
In fact, for a D 1, easy calculations bearing on derivatives of e x show that
d2
2
C x 2 ˚p .x/
dx
2 =2 d pC2 x 2 x 2 =2 d
pC1
x 2 x 2 =2 d
p
x 2
D e x pC2
.e / 2x e pC1
.e / e p .e /:
dx dx dx
pC1
2 x 2
pC1 .2x e
d
We can now replace the first term by e x =2 dx / and use the Leibniz
formula for the differentiation of the product to see that ˚p .x/ D .2p C 1/˚p .x/.
Therefore
r C1
a a.x 2 Cy 2 /=2 X e .2pC1/at d p ax 2 d p ay 2
kt;R .x; y/ D e .e / p .e /:
pD0
2p pŠap dxp dy
PC1
The above summation ˙.x; y/ D pD0 : : : can be computed via its Fourier
transform
X 1 e 2at p
C1
O ; / D 1 e at
˙. .i /p .i/p e
2 =4a
e
2 =4a
2a pD0
pŠ 2a
1 at 1
D e exp . 2
C 2 C 2 e 2at / ;
2a 4a
thus
e at a
2at
˙.x; y/ D p exp .x 2
C y 2
2 e xy/ :
1 e 4at 1 e 4at
158 J.-P. Demailly
and Mehler’s formula (310 ) follows. Through our change of variables, the heat
operator of Q is given by
Z
1f .x ;
K t;R2 1 2/ D

kt;R x1
2
a
; y1
2
a

fO.y1 ; 2 /dy1 :
R
By an inverse partial Fourier transform left to the reader, we obtain the desired heat
kernel expression
a a
Kt;R2 .x1 ; x2 I y1 ; y2 / D exp .coth at/ .x1 y1 /2 C .x2 y2 /2
4 sinh at 4
i
exp a.x1 C y1 /.x2 y2 / : (300 )
2
The heat kernel associated with a sum of (pairwise commuting) operators
1 ; : : : ; m acting on disjoint sets of variables is the product of the corresponding
heat kernels e t j . Let Kt;k;˝

be the heat kernel of the component of Qk;˝ acting
on each single entry u . The factor in the heat kernel corresponding to each pair of
variables .xj ; xj Cs /, 1 j s, is obtained by substituting kBj to a and t=k to t
(the latter rescaling comes from the initial factor k1 in the expression of Qk;˝ ). For
the other coordinates j > 2s where B has no coefficients, the kernel falls back to
the “elementary” heat kernel (290 ). Finally, the constant term V ju j2 contributes
to multiplying the heat kernel by e tV . Therefore we get for the global heat kernel
on ˝ D Rn the explicit formula
Y
s
kBj kB
j
Kt;k;R n .x; y/ D exp .coth Bj t/ .x2j 1 y2j 1 /2 C.x2j y2j /2
4 sinh Bj t 4
j D1
i
C kBj .x2j 1 C y2j 1 /.x2j y2j /
2
1 X
e tV m2s
exp k .xj yj /2 =4t : (32)
.4 t=k/ =2
j >2s
On the diagonal of Rn Rn , the global heat kernel Kt;k;Rn is thus given by the rather
simple (Herm.E/ ˝ IdLk )-valued tensor depending only on B, V and t=k :
k m=2 Y s
Bj t
Kt;k;Rn .x; x/ D e tV : (33)
4 t j D1
sinh Bj t
Theorem 10. Consider the general .variable coefficient/ case. For ı > 0 small,
the heat kernel of k over M admits an asymptotic estimate
k m=2 Y s
Bj .x/ t
Kt;k;M .x; x/ D e tV .x/ 1 C O.k 1=2Cı /
4 t j D1
sinh Bj .x/ t
as k ! C1, where O.k 1=2Cı / is uniform with respect to x 2 M and t in a

bounded interval 0; T 0; C1Œ .moreover, for every open set ˝ M , a similar
estimate is valid for Kt;k;˝ on relatively compact subsets of ˝/.
Qs Bj .x/ t
Proof. Notice first that .t; x/ 7! j D1 sinh Bj .x/ t extends as a smooth positive
function on Œ0; C1Œ M , equal to 1 when t D 0 : this is in fact the inverse of
the square root of the determinant of the positive definite symmetric matrix
C1
X t 2p .b.x/2 /p
sin.tb.x//
D Id;
tb.x/ pD0
.2p C 1/Š
where b.x/ is the antisymmetric endomorphism of TM associated with the alternate

2-form B.x/ and b.x/2 D b.x/ b.x/ 0.
The only thing one has still to get convinced of is that the kernel of e t k e t k
0
is .k=t/m=2 O.k 1=2Cı / uniformly along the diagonal at any point .x 0 ; x 0 / 2 M M ,

where 0k is the operator k “freezed” at x 0 . We can do this in a canonical way by
using normal coordinates from the Riemannian exponential mapping
expx 0 W Rm ' TM;x 0 ! M;
and trivializations of E and L produced by parallel transport along geodesics from

x 0 to any point x 2 B.x 0 ; 0 /, where 0 D injectivity radius of M . In this way,
we actually get automatically that L .x 0 / D E .x 0 / D 0. When Supp u ˝ WD
B.x 0 ; /, a Taylor expansion yields Dk u Dk0 u D O.jxj C kjxj2 / u and we get
the estimates
Z
1
Qk;˝ .u/ 0
Qk;˝ .u/ D jDk uj2 jDk0 uj2 h.V V 0 /u; ui
M k
Z 1
DO . C k 2 /jDk0 ujjuj C . C k 2 /2 juj2 C juj2
M k
Z " . C k 2 /2
DO jDk0 uj2 C C juj2 ;
M k k"
. C k 2 /2
D O " Qk;˝0
.u/ C C C " juj2
k"
. Ck 2 /2
whenever " < 1, hence there is a constant C ;k;" DO k" C C " such that
.1 "/Qk;˝
0
.u/ C ;k;" juj
2
Qk;˝ .u/ .1 C "/Qk;˝
0
.u/ C C ;k;" juj
2
:
160 J.-P. Demailly
From this, we conclude that e t k is squeezed (as a positive bounded self-adjoint

operator) between e C ;k;" t e t .1C"/k and e C ;k;" t e t .1"/k . By definition of the heat
0 0
kernel we have
Z
Kt;k;˝ .x 0 ; x 0 / D lim Kt;k;˝ .x; y/u .x/u .y/ d.x/ d.y/
!C1 ˝ ˝
D lim hhe t k u ; u ii
!C1
when u!ıx 0 (Dirac measure), thus

L1
e C ;k;" T 0
K.1C"/t;k;˝ .x 0 ; x 0 / Kt;k;˝
0
.x 0 ; x 0 /
Kt;k;˝ .x 0 ; x 0 / Kt;k;˝
0
.x 0 ; x 0 /
eC ;k;" T 0
K.1"/t;k;˝ .x 0 ; x 0 / Kt;k;˝
0
.x 0 ; x 0 /:
We take here D " D k 1=2Cı , so that C ;k;" D O.k 1=2Cı /. The expected uniform
bounds are then obtained by an application of Proposition 9, where the choice D
k 1=2Cı k 1=2 ensures that the relative errors
Kt;k;M Kt;k;˝ 0
and Kt;k;R m Kt;k;˝
0
are very small, namely of the order of magnitude O.exp.k ı =4T //. t
u
As a consequence, we obtain the following estimate for the eigenvalues:

Corollary 11. The eigenvalues ;k;˝ of Qk;˝ satisfy for every t > 0 the estimate
C1
X k m=2 Z Y s
Bj .x/ t
e t ;k;˝ D .1 C O.k 1=2 // tr.e tV .x// d.x/:
D1
4 t ˝ j D1
sinh Bj .x/ t
This result can be also interpreted in terms of the counting function
Nk;˝ ./ D #f I ;k;˝ g
and of the spectral density measure (a sum of Dirac measures on the real line)
d
k;˝ D k m=2 Nk;˝ ./:
d
Notice that the measures k;˝ are all supported in the fixed interval Œv0 ; C1Œ,
where v0 is an upper bound for the eigenvalues of V .x/, x 2 M . In these notations,
Corollary 11 can be restated:
Z C1 Z Y
s
1 Bj .x/ t
lim e t dk;˝ ./ D tr.e tV .x// d.x/:
k!C1 1 .4 t/m=2 ˝ j D1
sinh Bj .x/ t
We thus see that the sequence of measures k;˝ converges weakly to a measure ˝
whose Laplace transform is given by the right hand side. Inverting the formula, one
obtains:
Corollary 12. For almost all 2 R
Z X
r
lim k m=2 Nk;˝ ./ D ˝ . 1; / D B.x/ .Vj .x/ C /d.x/ (34)
k!C1 ˝ j D1
where B.x/ ./ is the function on M R defined by
2sm m=2 X h X i m2 s
B ./ D B1 Bs .2pj C 1/Bj : (35)
. m2 s C 1/ C
.p1 ;:::;ps /2Ns
Proof. We leave as an exercise to the reader to check that the Laplace transform
Z C1 Z C1
e t dB .v C / D e t v e t dB ./
1 1
is actually equal to
et v Y s
Bj .x/ t
: t
u
.4 t/m=2 j D1 sinh Bj .x/ t
1.2.3 Proof of the Holomorphic Morse Inequalities
Let X be a compact complex manifold, L and E holomorphic Hermitian vector

bundles of rank 1 and r over X . If X is endowed with a Hermitian metric !,
Hodge theory shows that the Dolbeault cohomology group H q .X; E ˝ Lk / can
be identified with the space of harmonic .0; q/-forms with respect to the Laplace–

Beltrami operator 00k D @k @k C @k @k acting on E ˝ Lk . We thus have to estimate
00
the zero-eigenspace of k .
In order to apply Corollary 12, we first have to compute 00k in terms of the
Hermitian connection rk on E ˝Lk ˝0;q TX deduced from the Chern connections
of L; E; TX . What plays now the role of E is the (non holomorphic) bundle E ˝
0;q TX .
The relation between 00k and rk is most easily obtained by means of the
Bochner–Kodaira–Nakano identity. In order to simplify the exposition, we assume
here that the metric ! on X is Kähler. For any Hermitian holomorphic line bundle
162 J.-P. Demailly
G on X , the operators 0 and 00 associated with the Chern connection D D DG

are related by the B-K-N identity (cf. [2, 10, 61, 76])
00 D 0 C ŒiG ; (36)
where G D DG2 2 C 1 .X; 1;1 TX ˝ Hom.G; G// is the curvature tensor and
D L is the adjoint of the Lefschetz operator Lu D ! ^ u.
The Leibniz rule implies E˝Lk D kL ˝IdE CE ˝IdLk (omitting the Hermitian
metrics for simplicity of notation), thus
00k D 0k C kŒiL ; C ŒiE ; :
At a given point z0 2 X , we can find a coordinate system .z1 ; : : : ; zn / such that

.@=@zj / is an orthonormal basis of TX diagonalizing iL .z0 /, in such a way that
i X i X
!.z0 / D dzj ^ d zj ; iL .z0 / D ˛j dzj ^ d zj
2 1j n 2 1j n
where ˛1 ; : : : ; ˛n are the curvature eigenvalues of iL .z0 /. A standard formula gives
the expression
P of the curvature term ŒiL ; u for any .p; q/-form u. In fact, for
u D uI;J; dzI ^ d zJ ˝ e , we have
X
hŒiL ; u; ui D .˛J ˛{I /juI;J; j2
I;J;
P P
where ˛J D j 2J ˛j . In the case of a .0; q/-form u D uJ; d zJ ˝ e we simply
have 0k u D Dk0 Dk0 u D rk0 rk0 u and
00k D rk0 rk0 kV 0 C ŒiE ; ; (370 )

X
hV 0 u; ui D ˛{J juJ; j2 (here I D ;/:
J;
This is not yet what was needed, since only the .1; 0/ part rk0 appears. To get the
.0; 1/ component, we consider u as a .n; q/ form with values in E ˝ Lk ˝ n TX .
We then get 0k u D Dk0 Dk0 u where
X
Dk0 u D cj ^ dzn ^ d zJ ˝ e
@uI;J; =@zj dz1 ^ dz
in normal coordinates. Thus 0k u D rk00 rk00 u and
00k D rk00 rk00 C kV 00 C ŒiE˝n TX ; ; (3700 )

X
hV 00 u; ui D ˛J juJ; j2 (here I D f1; : : : ; ng/:
J;
If the metric ! is non Kähler, we get additional torsion terms, but these terms are
independent of k. A combination of (370 ) and (3700 ) yields
2 00 1 1
k D rk rk V C W (38)
k k k
where W is a Hermitian form independent of k and

X
hV u; ui D .˛{J ˛J /juJ; j2 :
J;
Now apply Theorem 10 and observe that W does not give any significant contribu-
tion to the heat kernel as k ! C1. We write here zj D xj C iyj and the “magnetic
field” X
B D iL D ˛j dxj ^ dyj :
1j n
The curvature eigenvalues are given by Bj D j˛j j. We denote s D s.x/ the rank of
B.x/ and order the eigenvalues so that
j˛1 j j˛s j > 0 D ˛sC1 D D ˛n :
The eigenvalues of V acting on E ˝ n TX are the coefficients ˛{J ˛J , counted

with multiplicity r. Therefore
2t 00
Theorem 13. The heat kernel associated with e k k in bidegree .0; q/ satisfies
P
k n
r jJ jDq e t .˛{J .x/˛J .x// Y s
j˛j .x/j
Kt .x; x/ k
.4/n t ns j D1
sinh j˛j .x/jt
are the eigenvalues of k1 00k in

k;q k;q
as k ! C1. In particular, if 1 2
bidegree .0; q/, we have
C1
X k;q X Z e t .˛{J .x/˛J .x// Y s
j˛j .x/j
2t n
e rk
X .4/ n t ns
j D1
sinh j˛j .x/jt
D1 jJ jDq
for every t > 0.

At this point, the main idea is to use the eigenspaces to construct a finite dimen-
sional subcomplex of the Dolbeault complex possessing the same cohomology
groups. This was already the basic idea in Witten’s analytic proof of the standard
Morse inequalities [102]. We denote by
k;q k;q
H ; resp. H
164 J.-P. Demailly
the -eigenspace of k1 00k acting on C 1 .X; 0;q TX ˝ E ˝ Lk /, resp. the direct sum
of eigenspaces corresponding to all eigenvalues . As @k and 00k commute, we see
k;q k;qC1
that @.H / H , thus Hk; and Hk;
are finite dimensional subcomplexes
of the Dolbeault complex
@ W C 1 .X; 0; TX E ˝ Lk /:

Since @k @k C @k @k D 00k D k Id on Hk; , we see that Hk; has trivial
cohomology for ¤ 0. Since H0k; is the space of harmonic forms, we see that
k;
H has the same cohomology as the Dolbeault complex for > 0. We will call
this complex the Witten @-complex. We need an elementary lemma of linear algebra.
q
Lemma 14. Set hk D dim H q .X; E ˝ Lk /. Then for every t > 0
X
q C1
X k;`
e t j :
q q1
hk hk C C .1/q h0k .1/q`
`D0 j D1
Proof. The left hand side is the contribution of the 0 eigenvalues in the right hand
side. All we have to check is that the contribution of the other eigenvalues is 0.
The contribution of the eigenvalues such that k;`
j D > 0 is
X
q
e t .1/q` dim Hk;` :
`D0
As Hk; is exact, one easily sees that the last sum is equal to the dimension of
k;q k;qC1
@H H , hence 0. u
t
Combining Theorem 13 with Lemma 14, we get
q q1
hk hk C C .1/q h0k
Q P
X
q
X Z j˛j j e t .˛{J ˛J j˛j j/
j s
o.k / C rk
n n
.1/ q`
Q :
`D0 jJ jD`
X 22ns n t ns j s .1 e 2t j˛j j /
Pis valid for any t > 0, so we can let t tend to C1. It is clear that
This inequality
˛{J ˛J j˛j j is always 0, thus the integrandPtends to 0 at every point
where s < n. When s D n, we have ˛{J .x/ ˛J x/ j˛j .x/j D 0 if and only
if ˛j .x/ > 0 for every j 2 {J and ˛j .x/ < 0 for every j 2 J . This implies
x 2 X.L; h; `/ ; in this case there is only one multi-index J satisfying the above
conditions and the limit is
.2/n j˛1 ˛n j D .2/n j.iL;h /n j D jL;h

n
j;
as L;h D 2i L;h by definition. By the monotone convergence theorem, our sum of
integrals converges to
X
q Z Z
1
.1/q` .2/n j˛1 ˛n jd D .1/q L;h
n
:
X.L;h;`/ nŠ X.L;h;q/
`D0
The Main Theorem 8 follows. t

u
1.3 Applications to Algebraic Geometry
1.3.1 Solution of the Grauert–Riemenschneider Conjecture
Let L be a holomorphic line bundle over a compact connected complex manifold

X of dimension n and Vk D H 0 .X; Lk /. Denote by Z.Vk / the set of common
zeroes of all sections in Vk , and fix a basis .0 ; : : : ; N / of Vk . There is a canonical
holomorphic map
˚kL W X X Z.Vk / ! P.Vk /; x 7! Œ0 .x/ W : : : W N .x/ (39)

P
sending a point x 2 X X PZ.Vk / to the hyperplane H Vk of sections D j j 2
Vk such that .x/ D j j .x/ D 0; it is therefore given by x 7! Œ0 .x/ W : : : W

N .x/ in projective coordinates on P.Vk / ' PN . The pull-back ˚kL O.d / can be
identified with the restriction of L to X X Z.Vk /; indeed, to any homogeneous
kd
polynomial P .w0 ; : : : ; wN / 2 H 0 .PN ; O.d // of degree d , one can associate a

section
s D P .0 ; : : : ; N / 2 H 0 .X; Lkd /: (40)
When L possesses a smooth Hermitian metric h with L;h > 0, one can construct
many sections of high tensor powers Lk (e.g. by Hörmander’s L2 estimates [56], [4]
for @). For k k0 large enough, the “base locus” Z.Vk / is empty, the sections in Vk
separate any two points of X and generate all 1-jets at any point. Then ˚kL gives an
embedding of X in some projective space PN , for N D N.k/ and k k0 . In this
way, the theory of L2 estimates implies the Kodaira embedding theorem : a compact
complex manifold X is projective algebraic if and only if X possesses a Hermitian
line bundle .L; h/ with C 1 positive curvature.
The Grauert–Riemenschneider conjecture [50] is an attempt to characterize the
more general class of Moishezon varieties in terms of semi-positive line bundles. Let
us first recall a few definitions. The algebraic dimension a.X / is the transcendence
degree of the field M .X / of meromorphic functions on X . A well-known theorem
of Siegel [83] asserts that 0 a.X / n (see Corollary 17 below). A compact
manifold or variety X is said to be Moishezon if a.X / D n.
166 J.-P. Demailly
By definition, the Kodaira dimension #.L/ is the supremum of the dimension of

the images Yk D ˚kL .X X Z.Vk // P.Vk / for all integers k > 0 [one defines
#.L/ D 1 when Vk D 0 for all k, in which case we always have Yk D ;].
Since the field of meromorphic functions on X obtained by restriction of rational
functions of P.Vk / to Yk has transcendence degree at least equal to dim Yk , we infer
that
1 #.L/ D sup dim Yk a.X / n: (41)
Definition 15. The line bundle L ! X is said to be big if #.L/ is maximal, i.e.
#.L/ D n D dim X .
The following standard lemma is needed (cf. [80, 83]).
Lemma 16 (Serre–Siegel). For every line bundle L ! X , there exist constants
C c > 0 and k0 2 N such that
dim H 0 .X; Lk / C k #.L/ for all k 1;

dim H 0 .X; Lk / c k #.L/ for all k 1 multiple of k0 :
Proof. The lower bound is obtained by taking k0 such that p WD dim Yk0 D #.L/.
Then, by the rank theorem, there exists a point x0 2 X X Z.Vk0 / and a basis
.0 ; : : : ; N / of H 0 .X; Lk0 / such that 0 .x0 / ¤ 0 and

d.1 =0 / ^ : : : ^ d.p =0 / .x0 / ¤ 0:
Then by taking s D P .0 ; : : : ; p ; 0; : : : ; 0/ in (40), we obtain an injection of the

space of homogeneous polynomials of degree d in pC1 variables into H 0 .X; Lk0 d /,
whence !
d Cp
h .X; L /
0 k0 d
d p =pŠ:
p
The proof of the upper bound proceeds as follows: select a Hermitian metric
h, on L and a finite family of coordinate balls Bj D B.zj ; rj / such that Bj0 D
B.zj ; rj =2/ cover X , and LjBj is trivial for each j . By moving a little bit the points
zj , we may assume that ˚kL has maximal rank at all points zj for all k (the bad
set is at most a countable union of analytic sets, so it is nowhere dense). If Lk has
many sections, one can solve a linear system in many unknowns to get a section s
vanishing at a high order m at all centers zj . Then the Schwarz lemma gives
kskh;1 D sup kskh;Bj0 2m C.h/k sup kskh;Bj 2m C.h/k kskh;1
j j
where C.h/ is a bound for the oscillation of the metric h on Bj , which we may
assume to be finite after possibly shrinking Bj . Thus m k log C.h/= log 2
if s ¤ 0. Since the sections of Lk are constant along the fibers of ˚kL , only
mdim Yk #fzj g equations transversally to the fibers are needed to make s vanish at
order m. Therefore we can choose m .h0 .X; Lk /=#fzj g/1= dim Yk and still get a
non zero section, so that
h0 .X; Lk / #fzj g mdim Yk C k #.L/ : t

u
Corollary 17 (Siegel). For every compact complex manifold X
a.X / WD tr degC M .X / n:
Proof. Fix s algebraically independent elements f1 ; : : : ; fs 2 M .X / and let D

be the sup of the pole divisors of the fj ’s. To every polynomial P .f1 ; : : : ; fs /
of degree k corresponds injectively a section P D P .f1 ; : : : ; fs / 2
H 0 .X; O.kD//. A dimension count implies
!
ks kCs
C k #.O.D// C k n
sŠ s
by Lemma 16. Therefore s n. t

u
Now, the Grauert–Riemenschneider conjecture [50] can be stated as follows.
Grauert-Riemenschneider conjecture 18. A compact complex variety Y is
Moishezon if and only if there is a proper non singular modification X ! Y
and a Hermitian line bundle .L; h/ over X such that the curvature form L;h is > 0
on a dense open subset of X .
Proof. When Y is Moishezon, it is well known that there exists a projective

algebraic modification X ; therefore we can even take L to be ample and then there
exists h such that L;h > 0 everywhere on X .
The converse statement was proved by Siu in [85, 86], assuming only L;h 0
everywhere and L;h > 0 in at least one point. Morse inequalities provide in fact a
much stronger criterion, requiring only the positivity of some curvature integral:
Theorem 19. If a Hermitian line bundle .L; h/ on X satisfies the integral condition
Z
.L;h /n > 0;
X.L;h;1/
then #.L/ D n, in particular X is Moishezon.

In fact, the lower bound (24) applied with E D OX implies immediately that
h0 .X; Lk / c k n , hence #.L/ D n. Now, if X is a modification of Y , we have
M .Y / ' M .X /, so a.X / D a.Y /, and Y has to be Moishezon. t
u
168 J.-P. Demailly
1.3.2 Cohomology Estimates for nef Line Bundles
On a projective algebraic manifold X , a line bundle L is said to be nef if L C 0

for every algebraic curve C X . If ! is a given Kähler or Hermitian .1; 1/-form
on X , it can be shown (cf. [26]) that L is nef if and only if for every " > 0 there
exists a smooth Hermitian metric h" such that L;h" "! on X ; in fact, the latter
property clearly implies
Z Z
LC D L;h" " ! H) L C 0
C C
for every curve C . Conversely, if L C 0 for every curve C , the well-known

Kleiman criterion (cf. [53]) implies that kL C A is ample for every ample divisor A.
Hence there exists a smooth Hermitian metric hk on L such that
1
kLCA D kL;hk C A;hA > 0 H) L;hk !; where ! D A;hA > 0:
k
Therefore, one can introduce the following definition of nefness on an arbitrary
compact complex manifold.
Definition 20. Let X be a compact complex manifold and ! a given smooth
positive .1; 1/-form on X . A line bundle L ! X is said to be nef if for every
" > 0 there exists a smooth Hermitian metric h" on L such that L;h" "!
everywhere on X .
A consequence of holomorphic Morse inequalities 21. If X is compact Kähler
and L is nef, for every holomorphic vector bundle E on X one has
hq .X; O.E/ ˝ O.kL// D o.k n / for all q 1:
Proof. Let ! be a Kähler metric. The nefness of L implies that there exists a smooth
Hermitian metric h" on L such that L;h" "!. On X.L; h" ; 1/ we have exactly
1 negative eigenvalue 1 which is belongs to Œ"; 0Œ and the Q other ones j (j 2)
are positive. The product 1 n satisfies j1 n j " j 2 .j C "/, hence
1 ˇˇ n ˇˇ 1
L;h" "! ^ .L;h" C "!/n1 on X.L; h" ; 1/.
nŠ .n 1/Š
By integrating, we find
Z Z
n
L;h"
n" ! ^ .c1 .L/ C "!/n1
X.L;h" ;1/ X
and the result follows. t

u
Note 22. When X is non Kähler, D. Popovici [79] has announced bounds for the
Monge–Ampère masses of L;h" which still imply the result, but the proof is much
harder in that case. On the other hand, when X is projective algebraic, an elementary
hyperplane section argument and an induction on dimension easily implies the
stronger upper bounds
hq .X; O.E/ ˝ O.kL// D O.k nq / for all q 0: (42)
Hint. By Serre duality, it is enough to show that
hq .X; O.F / ˝ O.kL// D O.k q / for every q 0
and every holomorphic vector bundle F . Choose a very ample line bundle A so big
that F 0 D F ˝ O.A/ is Nakano positive, and apply the Nakano vanishing theorem
and Serre duality to see that H q .X; O.F / ˝ O.A/ ˝ O.kL// D 0 for all k and
q 1. Use the exact sequence 0 ! OX .A/ ! OX ! OA ! 0, take the tensor
product with O.F / ˝ O.kL/ and apply induction. t
u
It is unknown whether the accurate bound (42) holds true on a general compact
complex manifold, even when X is assumed to be Kähler.
1.3.3 Distortion Inequalities for Asymptotic Fubini–Study Metrics
Another application of the heat kernel estimates is a generalization of G. Kempf’s

distortion inequalities [58, 60] to all projective algebraic manifolds. In this gener-
ality, the result was obtained by Th. Bouche [17], and in less generality (but with
somewhat stronger estimates) by G. Tian [98].
Let L be a positive Hermitian line bundle over a projective manifold X , equipped
with a Hermitian metric !. Then Vk D H 0 .X; Lk / has a natural Hermitian metric
given by the global L2 norm of sections. For k k0 large enough, ˚kL is an
embedding and Lk can be identified to the pull-back ˚k O.1/. We want to compare
the original metric j j of L and the metric j jFS induced by the Fubini–Study metric
of O.1/.
Let .s1 ; : : : ; sN / be an orthonormal basis of H 0 .X; Lk /. It is not difficult to check
that
j j2
j j2FS D for 2 Lkx ;
js1 .x/j C C jsN .x/j2
2
P
thus all that we need is to get an estimate of jsj .x/j2 . However, this sum is the
contribution of the 0 eigenvalue in the heat kernel
C1
X k
Ktk .x; x/ D e 2t j j j .x/j
2
j D1
170 J.-P. Demailly
associated to k2 00k in bidegree .0; 0/. We observe that non zero eigenvalues kj
are also eigenvalues in bidegree .0; 1/, since @ is injective
q on the corresponding
eigenspaces. The associated eigenfunctions are @ j= kkj , for
k@ jk
2
D hh00k j; j ii D kkj :
Thus the summation

C1
X k
e 2t j j@ j .x/j
2
j D1
is bounded by the heat kernel in bidegree

P .0; 1/, which is itself bounded by k n e ct
with c > 0 (note that ˛{J ˛J j˛j j < 0 on X for jJ j D 1). Taking t D k "
with " small, one can check that all estimates remain uniformly valid and that the
contribution of the non zero eigenfunctions in Ktk .x; x/ becomes negligible in C 0
norm. Then Theorem 13 shows that
X
jsj .x/j2 Ktk .x; x/ k n .2/n j˛1 .x/ ˛n .x/j
as t D k " ! C1. For 2 Lkx we get therefore the C 0 uniform estimate
j j2 k n
j˛1 .x/ ˛n .x/j as k ! C1: (43)
j j2FS 2
As a consequence, the Fubini–Study metric on L induced by ˚kL converges

uniformly to the original metric. G. Tian [98] proved that this last convergence
statement holds in norm C 4 . It is now known that there is in fact an asymptotic
expansion in 1=k, and therefore C 1 convergence; this holds true even in the almost
complex setting, see [15, 82].
1.3.4 Algebraic Counterparts of the Holomorphic Morse Inequalities
One difficulty in the application of the analytic form of the inequalities is that
the curvature integral is in general quite uneasy to compute, since it is neither
a topological nor an algebraic invariant. However, the Morse inequalities can be
reformulated in a more algebraic setting in which only algebraic invariants are
involved. We give here two such reformulations—after they were found via analysis
in [30], F. Angelini [5] gave a purely algebraic proof (see also [88, 100] for related
ideas).
Theorem 23. Let L D F G be a holomorphic line bundle over a compact Kähler
manifold X , where F and G are numerically effective line bundles. Then for every
q D 0; 1; : : : ; n D dim X , there is an asymptotic strong Morse inequality
!
X kn X qj n
.1/ qj
h .X; kL/
j
.1/ F nj G j C o.k n /:
0j q
nŠ 0j q j
Proof. By adding " times a Kähler metric ! to the curvature forms of F and G,
" > 0 one can write L D Q F;" Q G;" where Q F;" D 2 i
F C "! and Q G;" D
Q
2 G C "! are positive definite. Let 1 n > 0 be the eigenvalues of G;"
i
Q i Q
with respect to F;" . Then the eigenvalues of 2 L with respect to F;" are the real
numbers 1 j and the set X.L; h; q/ is the set fqC1 < 1g of points x 2 X
such that qC1 .x/ < 1. The strong Morse inequalities yield
X Z Y
kn
.1/qj hj .X; kL/ .1/q .1 j /Q F;"
n
C o.k n /:
0j q
nŠ fqC1 <1g 1j n
On the other hand we have

!
n Q nj
F;" ^ Q G;" D nj ./ Q F;"
j n
;
j
j
where n ./ is the j -th elementary symmetric function in 1 ; : : : ; n , hence
! Z X
X n
.1/ qj
F nj G j D lim .1/qj nj ./ Q F;"
n
:
0j q
j "!0 X
0j q
Thus, to prove the lemma, we only have to check that

X Y
.1/qj nj ./ fqC1 <1g .1/q .1 j / 0
0j n 1j n
for all 1 n 0, where f:::g denotes the characteristic function of a set.

This is easily done by induction on n (just split apart the parameter n and write
j j j 1
n ./ D n1 ./ C n1 ./ n ). t
u
In the case q D 1, we get an especially interesting lower bound (this bound has
been observed and used by S. Trapani [100] in a similar context).
n
Consequence 24. h0 .X; kL/ h1 .X; kL/ knŠ .F n nF n1 G/ o.k n/. Therefore
some multiple kL has a section as soon as F n nF n1 G > 0.
Remark 25. The weaker inequality
kn n
h0 .X; kL/ .F nF n1 G/ o.k n /
nŠ
172 J.-P. Demailly
is easy to prove if X is projective algebraic. Indeed, by adding a small ample

Q-divisor to F and G, we may assume that F , G are ample. Let m0 G be very ample
and let k 0 be the smallest integer k=m0 . Then h0 .X; kL/ h0 .X; kF k 0 m0 G/.
We select k 0 smooth members Gj , 1 j k 0 in the linear system jm0 Gj and use
the exact sequence
X M
0 ! H 0 .X; kF Gj / ! H 0 .X; kF/ ! H 0 .Gj ; kFjGj /:
Kodaira’s vanishing theorem yields H q .X; kF/ D 0 and H q .Gj ; kFjGj / D 0 for
q 1 and k k0 . By the exact sequence combined with Riemann–Roch, we get
X
h0 .X; kL/ h0 .X; kF Gj /
kn n X k n1
F O.k n1 / F n1 Gj O.k n2 /
nŠ .n 1/Š
n 0
k k m0 n1
Fn n F G O.k n1 /
nŠ k
n
k
F n n F n1 G O.k n1 /:
nŠ
(This simple proof is due to F. Catanese.) t
u
Corollary 26. Suppose that F and G are nef and that F is big. Some multiple of
mF G has a section as soon as
F n1 G
m>n :
Fn
In the last condition, the factor n is sharp: this is easily seen by taking X D
Pn1 and F D O.a; : : : ;P a/ and G D O.b1 ; : : : ; bn / over Pn1 ; the condition of the
corollary is then m > bj =a, whereas k.mF G/ has a section if and only if
m sup bj =a; this shows that we cannot replace n by n.1 "/.
1.4 Morse Inequalities on q-Convex Varieties
Thierry Bouche [16] has obtained an extension of holomorphic Morse inequalities

to the case of strongly q-convex manifolds. We explain here the main ideas involved.
A complex (non compact) manifold X of dimension n is strongly q-convex in
the sense of Andreotti and Grauert [3] if there exists a C 1 exhaustion function
on X such that i @@ has at least n q C 1 positive eigenvalues outside a compact
subset of X . In this case, the Andreotti–Grauert theorem shows that all cohomology
groups H m .X; F / with values in a coherent analytic sheaf are finite dimensional
for m q.
Theorem 27. Let L, E be holomorphic vector bundles over X with rank L D 1,

rank E D r. Assume that X is strongly q-convex and that L has a Hermitian metric
h for which L;h has at least n p C 1 nonnegative eigenvalues outside a compact
subset K X . Then for all m p C q 1 the following strong Morse inequalities
hold:
X
n Z
kn
.1/`m dim H ` .X; E ˝ Lk / r .1/m L;h
n
C o.k n /:
nŠ X.L;h;m/
`Dm
Proof. For every c 2 R, we consider the sublevel sets
Xc D fx 2 X I .x/ < cg:
Select c0 such that i @@ has n q C 1 positive eigenvalues on X X Xc . One can

choose a Hermitian metric !0 on X in such a way that the eigenvalues 10 n0
of i @@ with respect to !0 satisfy
1
10 q1
0
1 and q0 D D n0 D 1 on X X Xc0 I (44)
n
this can be achieved by taking !0 equal to i @@ on a C 1 subbundle of TX of

rank n q C 1 on which i @@ is positive, and !0 very large on the orthogonal
complement. We set ! D e !0 where is a function increasing so fast at infinity
that ! will be complete.
More important, we multiply the metric of L by a weight e ı where is a
convex increasing function. The resulting Hermitian line bundle is denoted .L ; h /.
For any .0; m/ form u with values in E ˝ Lk , viewed as an .n; m/ form with values
in E ˝ Lk ˝ n TX , the Bochner–Kodaira–Nakano formula implies an inequality
Z
hh00k u; uii khŒiL ;h /; u; ui C hW u; ui
X
where W depends only on the curvature of E ˝ n TX and the torsion of !. By the

formulas of Sect. 1.2.3, we have
hŒiL ;h /; u; ui .˛1 C C ˛m /juj2
where ˛1 ˛n are the eigenvalues of
iL ;h D iL;h C i @@. ı / iL;h C .0 ı /i @@ :
If ˇ is the lowest eigenvalue of iL;h with respect to !, we find
˛j ˇ C .0 ı /j0 =e ;
˛1 C C ˛m mˇ C .0 ı /.10 C C m0 /=e ;

174 J.-P. Demailly
and by (44) we get for all m q :

1 0
˛1 C C ˛m mˇ C e ı on X X Xc0 :
n
It follows that one can choose increasing very fast in such a way that the Bochner
inequality becomes
Z Z
h00k u; ui k A.x/ju.x/j2 C1 ju.x/j2 (45)
X XXc0 X
where A 1 is a function tending to C1 at infinity on X and C1 0. Now,

Rellich’s lemma easily shows that 00k has a compact resolvent. Hence the spectrum
of 00k is discrete and its eigenspaces are finite dimensional. Standard arguments also
show the following:
Lemma 28. When increases sufficiently fast at infinity, the space H m .X; Lk ˝
E/ of L2 -harmonic forms of bidegree .0; m/ for 00k is isomorphic to the cohomology
group H m .X; E ˝ Lk / for all k 2 N and m q.
For a domain ˝ X , we consider the quadratic form
Z
k;m 1
Q˝ .u/ D j@k uj2 C j@k uj2
k ˝
k;m
with Dirichlet boundary conditions on @˝. We denote by H;˝ the direct sum of
k;m
all eigenspaces of Q˝ corresponding to eigenvalues (i.e. k for 00k ).
Lemma 29. For every 0 and " > 0, there exists a domain ˝ X and an
integer k0 such that
k;m k;m k;m
dim H;˝ dim H;X dim HC";˝ for k k0 :
Proof. The left hand inequality is a straightforward consequence of the minimax

k;m
principle, because the domain of the global quadratic form Q˝ is contained in the
k;m
domain of QX .
k;m
For the other inequality, let u 2 H;X . Then (45) gives
Z Z Z
k Ajuj2 C1 juj2 k juj2 :
X XXc0 Xc0 X
Choose c2 > c1 > c0 so that A.x/ a on X X Xc1 and a cut-off function ' with
compact support in Xc2 such that 0 ' 1 and ' D 1 on Xc1 . Then we find
Z Z
C1 C k
juj
2
juj2 :
X XXc1 ka X
R
For a large enough, we get X XXc1 juj2 "kuk2 . Set ˝ D Xc2 . Then
Z
k;m 1
Q˝ .'u/ D j@' ^ u C '@k uj2 C j'@k u @' uj2
k ˝
k;m C2 1 2
.1 C "/QX .u/ C 1C kuk
k "
C2
.1 C "/. C /kuk2 :
k"
R
As k'uk2 Xc1 juj2 .1 "/kuk2 , we infer
k;m 1 C " C2
Q˝ .'u/ C k'uk2 :
1" k"
If " is replaced by a suitable smaller number and k taken large enough, we obtain
k;m k;m
Q˝ .v/ . C "/kvk2 for all v 2 'H;X . Then the right hand inequality in
Lemma 29 follows by the minimax principle. t
u
Now, Corollary 12 easily computes the counting function N˝k;m for the eigen-
values:
Z i n
r
lim lim k n N˝k;m ./ D .1/m L ;h / :
!0C k!C1 nŠ X.L ;h ;m/ 2
k;
Applying this to the Witten complex H;X , we easily infer the inequality of
Theorem 27, except that c.L/ is replaced by c.L /. However, up to now, the
inequality is valid for all m q. Take the convex function equal to 0 on 1; c0 .
Then
i i
L ;h D L ;h D L;h C @@. ı /
2 2
coincides with L;h on Xc0 and has at most .p 1/C.q 1/ negative eigenvalues on
X X Xc0 . Hence X.L ; h ; m/ D X.L; h; m/ for m p C q 1 and L ;h D L;h
on these sets. Theorem 27 is proved. t
u
As a corollary, one obtains a general a priori estimate for the Monge–Ampère
operator .i @@/n on q-convex manifolds.
Corollary: calculus inequalities 30. Let X be a strongly q-convex manifold and
' a C 1 function on X , weakly p-convex outside a compact subset of X . For ` D
0; 1; : : : ; n, let G` be the open set of points where i @@' is non degenerate and admits
` negative eigenvalues. Then for all m p D q 1
n Z
X
.i @@'/m has the sign of .1/m :
`Dm G`
176 J.-P. Demailly
This result has been first obtained by Y.T. Siu [87] for q-convex domains in
a Stein manifold. At that time, the q-convex case of the inequalities was not yet
available and Siu had to rely on a rather sophisticated approximation argument
of Stein manifolds by algebraic varieties; the proof could then be reduced to the
compact case.
The general statement given above is in fact a direct consequence of Theorem 27:
take for L the trivial bundle L D OX equipped with the metric defined by the weight
e ' and E D OX . Since H m .X; Lk / D H m .X; OX / is independent of k and finite
dimensional, Theorem 27 implies
n Z
X
k n
.1/m .i @@'/n constant o.k n /
`Dm G`
for all k k0 and m p C q 1, whence the result. t

u
2 Approximation of Currents and Intersection Theory
2.1 Introduction
Many concepts described in this section (e.g. pseudo-effectivity) are quite general
and make sense on an arbitrary compact complex manifold X —no projective or
Kähler assumption is needed. In this general context, it is better to work with
@@-cohomology classes instead of De Rham cohomology classes: we define the
Bott–Chern cohomology of X to be
p;q ˚ ˚
HBC .X; C/ D d -closed .p; q/-formsg= @@-exact .p; q/-formsg: (46)
It is easily shown that these cohomology groups are finite dimensional and can
be computed either with spaces of smooth forms or with currents ; in fact, they
can be computed by certain complexes of sheaves of forms or currents that both
provide fine resolutions of the same sheaves of holomorphic or anti-holomorphic
forms. Our statement therefore follows formally from general results of sheaf theory.
Also, finiteness can be obtained by the usual Cartan–Serre proof based on Montel’s
p;q
theorem for Čech cohomology. In both cases, the quotient topology of HBC .X; C/
induced by the Fréchet topology of smooth forms or by the weak topology of
currents is Hausdorff. Clearly, HBC .X; C/ is a bigraded algebra, and it is trivial
by definition that there are always canonical morphisms
p;q p;q
M p;q
HBC .X; C/ ! H@ .X; C/; HBC .X; C/ ! HDR
k
.X; C/: (47)
pCqDk
By Hodge decomposition and by the well-known @@-lemma of Kähler geometry,

these morphisms are isomorphisms when X is Kähler; especially, we get a canonical
algebra isomorphism
M p;q
HDR .X; C/ ' H@ .X; C/ if X is Kähler: (48)
p;q
We will see in paragraph 5 (Remark 63) that this is true more generally if X is in
the Fujiki class C , i.e., the class of manifolds bimeromorphic to Kähler manifolds.
2.2 Pseudo-Effective Line Bundles and Singular Hermitian

Metrics
Let L be a holomorphic line bundle on a compact complex manifold X . It is

important for many applications to allow singular Hermitian metrics.
Definition 31. A singular Hermitian metric h on L is a Hermitian metric such that,
for any trivialisation LjU ' U C, the metric is given by h D e ' , ' 2 L1loc .U /.
The curvature tensor
i i
L;h D @@' D @@ log h (49)
2 2
can then be computed in the sense of distributions, and defines in this way a
(global) closed .1; 1/-current on X . It defines a (real) cohomology class fL;h g 2
1;1
HBC .X; C/ which is mapped to the first Chern class c1 .L/ by the canonical
morphisms (2). We will therefore still denote this Bott–Chern class by c1 .L/. The
positive case is of special interest.
1;1
Definition 32. We say that L pseudo-effective if c1 .L/ 2 HBC .X; C/ is the
cohomology class of some closed positive current T , i.e. if L can be equipped with
a singular Hermitian metric h with T D L;h 0 as a current, in other words, if
the weight functions ' can be chosen to be plurisubharmonic on each trivialization
open set U .
The locus where h has singularities turns out to be extremely important. One way
is to introduce multiplier ideal sheaves following A. Nadel [75]. The main idea
actually goes back to the fundamental works of Bombieri [12] and H. Skoda [94].
Definition 33. Let ' be a psh .plurisubharmonic/ function on an open subset
˝ X . To ' we associate the ideal subsheaf I .'/ O˝ of germs of holomorphic
functions f 2 O˝;x such that jf j2 e ' is integrable with respect to the Lebesgue
measure in some local coordinates near x.
178 J.-P. Demailly
The zero variety V .I .'// is thus the set of points in a neighborhood of which
e ' is non integrable. The following result implies that this is always an analytic set.
Proposition 34 ([75]). For any psh function ' on ˝ X , the sheaf I .'/ is
a coherent sheaf of ideals over ˝. Moreover, if ˝ is a bounded Stein open set,
the sheaf I .'/ is generated by any Hilbert
R basis of the L2 space H 2 .˝; '/ of
2 '
holomorphic functions f on ˝ such that ˝ jf j e d < C1.
Proof. Since the result is local, we may assume that ˝ is a bounded pseudoconvex
open set in Cn . By the strong Noetherian property of coherent sheaves, the family
of sheaves generated by finite subsets of H 2 .˝; '/ has a maximal element on each
compact subset of ˝, hence H 2 .˝; '/ generates a coherent ideal sheaf J O˝ .
It is clear that J I .'/; in order to prove the equality, we need only check that
Jx C I .'/x \ msC1 ˝;x D I .'/x for every integer s, in view of the Krull lemma.
Let f 2 I .'/x be defined in a neighborhood V of x and let be a cut-off function
with support in V such that D 1 in a neighborhood of x. We solve the equation
@u D g WD @.f / by means of Hörmander’s L2 estimates [4, 56], applied with the
strictly psh weight
Q D '.z/ C .n C s/ log jz xj2 C jzj2 :

'.z/
R
We get a solution u such that ˝ juj2 e ' jz xj2.nCs/ d < 1, thus F D f u
is holomorphic, F 2 H 2 .˝; '/ and fx Fx D ux 2 I .'/x \ msC1 ˝;x . This proves
the coherence. Now, J is generated by any Hilbert basis of H 2 .˝; '/, because it
is well-known that the space of sections of any coherent sheaf is a Fréchet space,
therefore closed under local L2 convergence. t
u
Another important way of measuring singularities is via Lelong numbers—a

natural generalization of the concept of multiplicity to psh functions. Recall that
the Lelong number of a function ' 2 Psh.˝/ at a point x0 is defined to be
'.z/ supB.x0 ;r/ '
.'; x0 / D lim inf D lim : (50)
z!x0 log jz x0 j r!0C log r
In particular, if ' D log jf j with f 2 O.˝/, then .'; x0 / is equal to the vanishing
order
ordx0 .f / D supfk 2 N I D ˛ f .x0 / D 0; 8j˛j < kg:
The link with multiplier ideal sheaves is provided by the following standard result
due to Skoda [94].
Lemma 35. Let ' be a psh function on an open set ˝ and let x 2 ˝.
(a) If .'; x/ < 2, then e ' is Lebesgue integrable on a neighborhood of x, in
particular I .'/x D O˝;x .
(b) More generally, if .'; x/ 2.n C s/ for some integer s 0, then
e ' cjz xj2n2s ; c>0

in a neighborhood of x, and I .'/x msC1 ˝;x , where m˝;x is the maximal ideal
of O˝;x . In particular e ' is non integrable at x if .'; x/ 2n.
(c) The zero variety V .I .'// of I .'/ satisfies
V2n .'/ V .I .'// E2 .'/
where Ec .'/ D fx 2 X I .'; x/ cg is the c-upperlevel set of Lelong

numbers of '.
The only non trivial part is Lemma 35(a); the proof relies on the Bochner–
Martinelli representation formula for T D i @@' (see [94]). One should observe
that Lemma 35(a) (resp. (b)) is optimal, as one can see by taking '.z/ D log jz1 j,
resp. '.z/ D log jzj, on ˝ D Cn .
2.3 Hermitian Metrics with Minimal Singularities

and Analytic Zariski Decomposition
We show here by a general “abstract” method that a pseudo-effective line bundle

always has a Hermitian metric hmin with minimal singularities among those with
nonnegative curvature L;h 0 in the sense of currents. The following definition
was introduced in [44].
Definition 36. Let L be a pseudo-effective line bundle on a compact complex
manifold X . Consider two Hermitian metrics h1 , h2 on L with curvature L;hj 0
in the sense of currents.
(a) We will write h1 4 h2 , and say that h1 is less singular than h2 , if there exists a
constant C > 0 such that h1 C h2 .
(b) We will write h1 h2 , and say that h1 , h2 are equivalent with respect to
singularities, if there exists a constant C > 0 such that C 1 h2 h1 C h2 .
Of course h1 4 h2 if and only if the associated weights in suitable trivializations
locally satisfy '2 '1 C C . This implies in particular .'1 ; x/ .'2 ; x/ at each
point. The above definition is motivated by the following observation.
Theorem 37. For every pseudo-effective line bundle L over a compact complex
manifold X , there exists up to equivalence of singularities a unique class of
Hermitian metrics h with minimal singularities such that L;h 0.
Proof. The proof is almost trivial. We fix once for all a smooth metric h1 (whose
curvature is of random sign and signature), and we write singular metrics of L under
the form h D h1 e . The condition L;h 0 is equivalent to 2 i
@@ u where
u D L;h1 . This condition implies that is plurisubharmonic up to the addition
of the weight '1 of h1 , and therefore locally bounded from above. Since we are
180 J.-P. Demailly
concerned with metrics only up to equivalence of singularities, it is always possible

to adjust by a constant in such a way that supX D 0. We now set
hmin D h1 e min
; min .x/ D sup .x/
where the supremum is extended to all functions such that supX D 0 and
i
2
@@ u. By standard results on plurisubharmonic functions (see Lelong
i
[69]), min still satisfies 2 @@ min u (i.e. the weight '1 C min of hmin
is plurisubharmonic), and hmin is obviously the metric with minimal singularities
that we were looking for. [In principle one should take the upper semicontinuous

regularization min of min to really get a plurisubharmonic weight, but since min

also participates to the upper envelope, we obtain here min D min automatically].
t
u
Remark 38. In general, the supremum D supj 2I j of a locally dominated
family of plurisubharmonic functions j is not plurisubharmonic strictly speak-
ing, but its “upper semi-continuous regularization” .z/ D lim sup!z ./
is plurisubharmonic and coincides almost everywhere with , with .
However, in the context of (41), still satisfies 0 and 2 i
@@ u, hence

participates to the upper envelope. As a consequence, we have and thus
D is indeed plurisubharmonic. Under a strict positivity assumption, namely
if L is a big line bundle (i.e. the curvature can be taken to be strictly positive in
the sense of currents, see Definition 42(d) and Theorem 43(b), then hmin can be
shown to possess some regularity properties. The reader may consult [7] for a rather
general (but certainly non trivial) proof that min possesses locally bounded second
derivatives @2 min =@zj @zk outside an analytic set Z X ; in other words, L;hmin
has locally bounded coefficients on X X Z. t
u
Definition 39. Let L be a pseudo-effective line bundle. If h is a singular Hermitian

metric such that L;h 0 and
H 0 .X; mL ˝ I .h˝m // ' H 0 .X; mL/ for all m 0;
we say that h is an analytic Zariski decomposition of L.

In other words, we require that h has singularities so mild that the vanishing
conditions prescribed by the multiplier ideal sheaves I .h˝m / do not kill any
sections of L and its multiples.
Exercise 40. A special case is when there is an isomorphism pL D A C E where
A and E are effective divisors such that H 0 .X; mpL/ D H 0 .X; mA/ for all m and
O.A/ is generated by sections. Then A possesses a smooth Hermitian metric hA , and
this metric defines a singular Hermitian metric h on L with poles p1 E and curvature
p A;hA C p ŒE . Show that this metric h is an analytic Zariski decomposition.
1 1
Note: When X projective and there is a decomposition pL D A C E with A nef

(see Definition 20), E effective and H 0 .X; mpL/ D H 0 .X; mA/ for all m, one says
that the Q-divisor equality L D p1 A C p1 E is an algebraic Zariski decomposition

of L. It can be shown that Zariski decompositions exist in dimension 2, but in higher
dimension they do not exist in general. t
u
Theorem 41. The metric hmin with minimal singularities provides an analytic
Zariski decomposition.
It follows that an analytic Zariski decomposition always exists (while algebraic
decompositions do not exist in general, especially in dimension 3 and more).
Proof. Let 2 H 0 .X; mL/ be any section. Then we get a singular metric h on L by
putting j jh D j =.x/1=m j for 2 Lx , and it is clear that jjhm D 1 for this metric.
Hence 2 H 0 .X; mL˝I .h˝m //, and a fortiori 2 H 0 .X; mL˝I .h˝m min // since
hmin is less singular than h. t
u
2.4 Description of Positive Cones (Kähler and Projective

Cases)
Let us recall that an integral cohomology class in H 2 .X; Z/ is the first Chern class
of a holomorphic (or algebraic) line bundle if and only if it lies in the Neron–Severi
group
NS.X / D Ker H 2 .X; Z/ ! H 2 .X; OX / (51)
(this fact is just an elementary consequence of the exponential exact sequence 0 !
Z ! O ! O ! 0). If X is compact Kähler, as we will suppose from now on in
this section, this is the same as saying that the class is of type .1; 1/ with respect to
Hodge decomposition.
Let us consider the real vector space NSR .X / D NS.X / ˝Z R, which can be
viewed as a subspace of the space H 1;1 .X; R/ of real .1; 1/ cohomology classes. Its
dimension is by definition the Picard number
.X / D rankZ NS.X / D dimR NSR .X /: (52)
We thus have 0 .X / h1;1 .X /, and the example of complex tori shows that all
intermediate values can occur when n D dim X 2.
The positivity concepts for line bundles considered in Sects. 1.3.2 and 2.2 possess
in fact natural generalizations to .1; 1/ classes which are not necessarily integral
or rational—and this works at least in the category of compact Kähler manifolds
(in fact, by using Bott–Chern cohomology, one could even extend these concepts to
arbitrary compact complex manifolds).
Definition 42. Let .X; !/ be a compact Kähler manifold.
(a) The Kähler cone is the set K H 1;1 .X; R/ of cohomology classes f!g of
Kähler forms. This is an open convex cone.
182 J.-P. Demailly
= Kahler
¨ cone in H 1 1(X R) [open]
= nef cone in H 1 1(X R) [closure of ]
= pseudo-effective cone in H 1 1(X R) [closed]
◦ = big cone in H 1 1(X R) [interior of ]
Fig. 1 Positive cones in a compact Kähler manifold
(b) The closure K of the Kähler cone consists of classes f˛g 2 H 1;1 .X; R/ such
that for every " > 0 the sum f˛ C"!g is Kähler, or equivalently, for every " > 0,
there exists a smooth function '" on X such that ˛ C i @@'" "!. We say that
K is the cone of nef .1; 1/-classes.
(c) The pseudo-effective cone is the set E H 1;1 .X; R/ of cohomology classes
fT g of closed positive currents of type .1; 1/. This is a closed convex cone.
(d) The interior E ı of E consists of classes which still contain a closed positive
current after one subtracts "f!g for " > 0 small, in other words, they are classes
of closed .1; 1/-currents T such that T "!. Such a current will be called a
Kähler current, and we say that fT g 2 H 1;1 .X; R/ is a big .1; 1/-class.
The openness of K is clear by definition, and the closedness of E is a
consequence of the fact that bounded sets of currents are weakly compact (as follows
from the similar weak compactness property for bounded sets of positive measures).
It is then clear that K E .
In spite of the fact that cohomology groups can be defined either in terms of
forms or currents, it turns out that the cones K and E are in general R different.
To see this, it is enough to observe that a Kähler class f˛g satisfies Y ˛ p > 0 for
every p-dimensional analytic set. On the other hand, if X is the surface obtained by
blowing-up P2 in one R point, then the exceptional divisor E ' P1 has a cohomology
class f˛g such that E ˛ D E D 1, hence f˛g … K , although f˛g D fŒE g 2 E .
2
In case X is projective, all Chern classes c1 .L/ of line P

bundles lie by definition
in NS.X /, and likewise, all classes of real divisors D D cj Dj , cj 2 R, lie in
NSR .X /. In order to deal with such algebraic classes, we therefore introduce the
intersections
KNS D K \ NSR .X /; ENS D E \ NSR .X /;
and refer to classes of H 1;1 .X; R/ not contained in NSR .X / as transcendental

classes.
ı
A very important fact is that all four cones KNS , ENS , K NS , ENS have simple
algebraic interpretations.
Fig. 2 Positive algebraic

classes in a projective
NSR(X )
manifold
NS
NS
Theorem 43. Let X be a projective manifold. Then

(a) KNS is equal to the open cone Amp.X / generated by classes of ample .or very
ample/ divisors A .recall that a divisor A is said to be very ample if the linear
system H 0 .X; O.A// provides an embedding of X in projective space/.
ı
(b) The interior ENS is the cone Big.X / generated by classes of big divisors, namely
divisors D such that h0 .X; O.kD// c k dim X for k large.
(c) ENS is the closure P
Eff.X / of the cone generated by classes of effective divisors,
i.e. divisors D D cj Dj , cj 2 RC .
(d) The closed cone K NS consists of the closure Nef.X / of the cone generated by
nef divisors D .or nef line bundles L/, namely effective integral divisors D such
that D C 0 for every curve C , also equal to Amp.X /.
In other words, the terminology “nef”, “big”, “pseudo-effective” used for classes of
the full transcendental cones appear to be a natural extrapolation of the algebraic
case.
Proof. First notice that since all of our cones C have non empty interior in NSR .X /
(which is a rational vector space in terms of a basis of elements in H 2 .X; Q/), the
rational points CQ WD C \ NSQ .X /, NSQ .X / D NS.X / ˝Z Q, are dense in each of
them. (a) is therefore just Kodaira’s embedding theorem when we look at rational
points, and properties (b) and (d) are obtained easily by passing to the closure of
the open cones. We will now give details of the proof only for (b) which is possibly
slightly more involved.
By looking at points of EQı D E ı \ NSQ .X / and multiplying by a denominator,
it is enough to check that a line bundle L such that c1 .L/ 2 E ı is big. However,
this means that L possesses a singular Hermitian metric hL such that L;hL "!
for some Kähler metric !. For some integer p0 > 0, we can then produce a
singular Hermitian metric with positive curvature and with a given logarithmic
pole hL0 e .z/ log jzx0 j in a neighborhood of every point x0 2 X (here is a
p 2
smooth cut-off function supported on a neighborhood of x0 ). Then Hörmander’s

L2 existence theorem [4, 56] can be used to produce sections of Lk which generate
all jets of order .k=p0 / n at points x0 , so that L is big.
184 J.-P. Demailly
Conversely, if L is big and A is a (smooth) very ample divisor, the exact sequence
0 ! OX .kL A/ ! OX .kL/ ! OA .kLA / ! 0 and the estimates
h0 .X; OX .kL// ck n ; h0 .A; OA .kLA // D O.k n1 /
imply that OX .kL A/ has a section for k large, thus kL A E for some effective
divisor E. This means that there exists a singular metric hL on L such that
1 1
L;hL D A;hA C ŒE !
k k
where ! D A;hA , hence c1 .L/ 2 E ı . t

u
Corollary 44. If L is nef, then L is big .i.e. #.L/ D n/ if and only if Ln > 0.
Moreover, if L is nef and big, then for every ı > 0, L has a singular metric h D e '
such that maxx2X .'; x/ ı and iL;h " ! for some " > 0. The metric h can
be chosen to be smooth on the complement of a fixed divisor E, with logarithmic
poles along E.
Proof. By holomorphic Morse inequalities 21 and the Riemann–Roch formula,
we have
h0 .X; kL/ D .X; kL/ C o.k n / D k n Ln =nŠ C o.k n /;
whence the first statement. By the proof of Theorem 43(b), there exists a singular
metric h1 on L such that
i 1 i 1 i
L;h1 D A;hA C ŒE !; !D A;hA :
2 k 2 k 2
i
Now, for every " > 0, there is a smooth metric h" on L such that 2 L;h" "!.
0
The convex combination of metrics h" D h1 h"
k" 1k"
is a singular metric with poles
along E which satisfies
i
L;h0" ".! C ŒE / .1 k"/"! k"2 !:
2
Its Lelong numbers are ".E; x/ and they can be made smaller than ı by choosing
" > 0 small. t
u
We still need a few elementary facts about the numerical dimension of nef line
bundles.
Definition 45. Let L be a nef line bundle on a compact Kähler manifold .X; !/.
One defines the numerical dimension of L to be
˚
nd.L/ D max k D 0; : : : ; n I c1 .L/k ¤ 0 in H 2k .X; R/ :
Notice that if L is nef, each power c1 .L/k can be represented by a closed positive
current k 2 c1 .L/k obtained as a weak limit of powers of smooth positive forms
1 k
k D lim ˛ C ! C @@'m ; ˛ 2 c1 .L/:
m!C1 m
R k
Such a weak limit exists since X ˛ C m1 ! C @@'m ^ ! nk is uniformly bounded
as m ! C1. Then we see that
Z Z
c1 .L/ ^ !
k nk
D k ^ ! nk > 0 ” k ¤ 0 ” c1 .L/k ¤ 0:
X X
By Corollary 44, we have #.L/ D n if and only if nd.L/ D n. In general, we merely

have an inequality.
Proposition 46. If L is a nef line bundle on a compact Kähler manifold .X; !/,
then #.L/ nd.L/.
Proof. We consider arbitrary irreducible analytic subsets Z X and prove by
induction on p D dim Z that #.LjZ / nd.L R jZ / where nd.LjZ / is the supremum
of all integers k such that c1 .LjZ /k ¤ 0, i.e. X ŒZ ^ c1 .L/k ^ ! pk > 0. This will
prove our statement when Z D X , p D n. The statement is trivial if p D 0, so we
suppose now that p > 0. We can also assume that r D #.LjZ / > 0, otherwise there
is nothing to prove. This implies that a sufficient large multiple m0 L has at least
two independent sections 0 , 1 on Z. Consider the linear system ja0 0 C a1 1 j,
a D Œa0 W a1 2 P1C , and take Y D Ya Z to be an irreducible component of the
divisor of a WD a0 0 C a1 1 which is not a fixed component when a varies. For m
sufficiently divisible, ˚mLjZ has rank r at a generic (smooth) point of Z, hence the
rank of .˚mLjZ /jY is r 0 WD min.r; p 1/ if a 2 P1C is itself generic. A fortiori
rank.˚mLjY / r 0 (we may even have sections on Y which do not extend to Z).
By the induction hypothesis we find
Z
0 0
ŒY ^ c1 .L/r ^ ! p1r > 0:
X
Now, we use the fact that ŒZ ^ c1 .m0 L/ ŒY can be represented by an effective

cycle (the sum of all components ¤ Y in the divisor of our generic section a ).
This implies
Z Z
0 0 1 0 0
ŒZ ^ c1 .L/r C1 ^ ! p1r ŒY ^ c1 .L/r ^ ! p1r > 0:
X m 0 X
If r D p, we have r 0 D p 1, hence r 0 C 1 D r and we are done. If r < p, we have

r 0 D r and then we use the obvious inequality ˛ C0 ! for some representative
˛ 2 c1 .L/ and some C0 > 0 to conclude that
Z Z
1
ŒZ ^ c1 .L/ ^ !
r pr
ŒZ ^ c1 .L/rC1 ^ ! p1r > 0: t
u
X C0 X
186 J.-P. Demailly
Remark 47. It may happen that #.L/ < nd.L/: take e.g.
L ! X D X1 X2
equal to the total tensor product of an ample line bundle L1 on a projective

manifold X1 and of a unitary flat line bundle L2 on an elliptic curve X2 given
by a representation 1 .X2 / ! U.1/ such that no multiple kL2 with k ¤ 0 is
trivial. Then H 0 .X; kL/ D H 0 .X1 ; kL1 / ˝ H 0 .X2 ; kL2 / D 0 for k > 0, and
thus #.L/ D 1. However c1 .L/ D pr1 c1 .L1 / has numerical dimension equal
to dim X1 . The same example shows that the Kodaira dimension may increase by
restriction to a subvariety (if Y D X1 fpointg, then #.LY / D dim Y ).
2.5 Approximation of Plurisubharmonic Functions via

Bergman Kernels
We prove here, as an application of the Ohsawa–Takegoshi L2 extension

theorem [78], that every psh function on a pseudoconvex open set ˝ Cn can
be approximated very accurately by functions of the form c log jf j, where c > 0
and f is a holomorphic function. The main idea is taken from [28]. For other
applications to algebraic geometry, see [29] and Demailly–Kollár [38]. We first
recall the statement of the generalized L2 extension theorem; its proof relies on a
subtle enhancement of the Bochner–Kodaira technique, and we refer to the literature
for details.
Theorem 48 (Ohsawa–Takegoshi [78], Manivel [70]). Let X be a complex
n-dimensional manifold possessing a smooth plurisubharmonic exhaustion function
.“weakly pseudoconvex” or “weakly 1-convex” manifold/, and a Kähler metric
!. Let L .resp. E/ be a Hermitian holomorphic line bundle .resp. a Hermitian
holomorphic vector bundle of rank r over X /, and s a global holomorphic section
of E. Assume that s is generically transverse to the zero section, and let
˚
Y D x 2 X I s.x/ D 0; r ds.x/ 6D 0 ; p D dim Y D n r:
Finally, let ' be an arbitrary plurisubharmonic function on X . Assume that the

.1; 1/-form L Cr 2i
@@.log jsj2 C'/ is semi-positive and that there is a continuous
function ˛ 1 such that the following two inequalities hold everywhere on X W
i fE s; sg
(a) L C r @@.log jsj2 C '/ ˛ 1 ;
2 jsj2
˛
(b) jsj e .
ThenRfor every holomorphic section fY of the line bundle n TX ˝ L over Y such
that Y jfY j2 e ' jr .ds/j2 dV! < C1, there exists a holomorphic extension fX
of fY over X such that
Z Z
jfX j2 e ' jfY j2 e '
dVX;! Cr dVY;! ;
X jsj2r . log jsj/2 Y jr .ds/j2
where Cr is a numerical constant depending only on r.

Theorem 49. Let ' be a plurisubharmonic function on a bounded pseudoconvex
open set ˝ Cn . For every m > 0, Rlet H˝ .m'/ be the Hilbert space of
holomorphic functions f on ˝ such that ˝ jf j2 e 2m' d < C1 and let 'm D
P
1
2m
log j` j2 where .` / is an orthonormal basis of H˝ .m'/. Then there are
constants C1 ; C2 > 0 independent of m such that
C1 1 C2
(a) '.z/ 'm .z/ sup './ C log n for every z 2 ˝ and r <
m jzj<r m r
d.z; @˝/. In particular, 'm converges to ' pointwise and in L1loc topology on ˝
when m ! C1 and
n
(b) .'; z/ .'m ; z/ .'; z/ for every z 2 ˝.
m
P
Proof. (a) Note that j` .z/j2 is the square of the norm of the evaluation linear
form evz W f 7! f .z/ on H˝ .m'/, since ` .z/ D evz .` / is the `-th coordinate
of evz in the orthonormal basis .` /. In other words, we have
X
j` .z/j2 D sup jf .z/j2
f 2B.1/
where B.1/ is the unit ball of H˝ .m'/ (The sum is called the Bergman kernel
associated with H˝ .m'/). As ' is locally bounded from above, the L2 topology
is actually stronger than the topologyPof uniform convergence on compact
subsets of ˝. It follows that the series j` j2 converges uniformly on ˝ and
that its sum is real analytic. Moreover, by what we just explained, we have
1
'm .z/ D sup log jf .z/j:
f 2B.1/ m
For z0 2 ˝ and r < d.z0 ; @˝/, the mean value inequality applied to the psh
function jf j2 implies
Z
1
jf .z0 /j2 n 2n jf .z/j2 d.z/
r =nŠ jzz0j<r
1 Z
n 2n exp 2m sup '.z/ jf j2 e 2m' d:
r =nŠ jzz0 j<r ˝
If we take the supremum over all f 2 B.1/ we get
1 1
'm .z0 / sup '.z/ C log n 2n
jzz0 j<r 2m r =nŠ
188 J.-P. Demailly
and the second inequality in (a) is proved—as we see, this is an easy conse-
quence of the mean value inequality. Conversely, the Ohsawa–Takegoshi L2
extension Theorem 48 applied to the 0-dimensional subvariety fz0 g ˝ and to
the trivial bundles L D ˝ C and E D ˝ Cn , with the section s.z/ D z z0
of E, shows that for any a 2 C there is a holomorphic function f on ˝ such
that f .z0 / D a and
Z
jf j2 e 2m' d C3 jaj2 e 2m'.z0 / ;
˝
where C3 only depends on n and diam ˝. We fix a such that the right hand side
is 1. Then kf k 1 and so we get
1 1 log C3
'm .z0 / log jf .z0 /j D log jaj D '.z/ :
m m 2m
The inequalities given in (a) are thus proved. Taking r D 1=m, we find that
lim sup './ D '.z/

m!C1 jzj<1=m
by the upper semicontinuity of ', and so lim 'm .z/ D '.z/, since
lim m1 log.C2 mn / D 0.
(b) The above estimates imply
C1 1 C2
sup '.z/ sup 'm .z/ sup '.z/ C log n :
jzz0 j<r m jzz0 j<r jzz0 j<2r m r
After dividing by log r < 0 when r ! 0, we infer
supjzz0 j<2r '.z/ C 1

log Cr n2 supjzz0 j<r 'm .z/ supjzz0 j<r '.z/ C1
m
m
;
log r log r log r
and from this and definition (50), it follows immediately that

n
.'; x/ .'m; z/ .'; z/: t
u
m
Theorem 49 implies in a straightforward manner the deep result of [84] on the
analyticity of the Lelong number upperlevel sets.
Corollary 50 ([84]). Let ' be a plurisubharmonic function on a complex mani-
fold X . Then, for every c > 0, the Lelong number upperlevel set
˚
Ec .'/ D z 2 X I .'; z/ c
is an analytic subset of X .
Proof. Since analyticity is a local property, it is enough to consider the case of a

psh function ' on a pseudoconvex open set ˝ Cn . The inequalities obtained in
Theorem 49(b) imply that
\
Ec .'/ D Ecn=m .'m /:
mm0
.˛/
Now, it is clear that Ec .'m / is the analytic set defined by the equations ` .z/ D 0
for all multi-indices ˛ such that j˛j < mc. Thus Ec .'/ is analytic as a (countable)
intersection of analytic sets. t
u
Remark 51. It can be easily shown that the Lelong numbers of any closed positive
.p; p/-current coincide (at least locally) with the Lelong numbers of a suitable
plurisubharmonic potential ' (see [94]). Hence Siu’s theorem also holds true for
the Lelong number upperlevel sets Ec .T / of any closed positive .p; p/-current T .
Theorem 49 motivates the following definition.
Definition 52. A plurisubharmonic function ' on a complex manifold X is said to
have analytic singularities if it can be written locally near every point x0 2 X as
X
'.z/ D c log jgj .z/j2 C O.1/; i.e. up to equivalence of singularities;
1j N
with a family of holomorphic functions .gj / defined near x0 and c > 0. Also,
a closed positive .1; 1/ current T is said to have analytic singularities if its
plurisubharmonic potential has analytic singularities. We also refer to this situation
by saying that ' or T have logarithmic poles. When X is algebraic, we say that the
singularities are algebraic if c 2 QC and the .gj / are sections of some algebraic
line bundle O.D/, x0 … Supp D.
P
Notice that by Noetherianity, a convergent series log j 2N jgj j2 can be replaced by
a finite sum up to equivalence of singularities, thus Theorem 49 always produces
plurisubharmonic functions 'm with analytic singularities.
2.6 Global Approximation of Closed (1,1)-Currents

on a Compact Complex Manifold
We take here X to be an arbitrary compact complex manifold (no Kähler assumption

is needed). Now, let T be a closed .1; 1/-current on X . We assume that T is quasi-
positive, i.e. that there exists a .1; 1/-form with continuous coefficients such
that T ; the case of positive currents ( D 0) is of course the most important.
190 J.-P. Demailly
Lemma 53. There exists a smooth closed .1; 1/-form ˛ representing the same @@-
cohomology class as T and a quasi-psh function ' on X such that T D ˛ C i @@'.
.We say that a function ' is quasi-psh if its complex Hessian is bounded below by a
.1; 1/-form with locally bounded coefficients, that is, if i @@' is quasi-positive/.
Proof. Select an open covering .Uj / of X by coordinate
P balls such that T D i @@'j
over Uj , and construct a global function ' D j 'j by means of a partition of
unity fj g subordinate to Uj . Now, we observe that ' 'k is smooth on Uk because
all differences 'j 'k are smooth in the intersections Uj \ Uk , and we have the
P
equality ' 'k D j .'j 'k /. Therefore ˛ WD T i @@' is smooth. t
u
By replacing T with T ˛ and with ˛, we can assume without loss of
generality that fT g D 0, i.e. that T D i @@' with a quasi-psh function ' on X such
that i @@' .
Our goal is to approximate T in the weak topology by currents Tm D i @@'m
such their potentials 'm have analytic singularities in the sense of Definition 52,
more precisely, defined
P on a neighborhood Vx0 of any point x0 2 X in the form
'm .z/ D cm log j jj;m j2 C O.1/, where cm > 0 and the j;m are holomorphic
functions on Vx0 .
We select a finite covering .W / of X with open coordinate charts, and shrink
them a little to be on the safe side. Given ı > 0, we take in each W a maximal family
of points with (coordinate) distance to the boundary 3ı and mutual distance
ı=2. In this way, we get for ı > 0 small a finite covering of X by open balls Uj0
of radius ı (actually every point is even at distance ı=2 of one of the centers,
otherwise the family of points would not be maximal), such that the concentric
ball Uj of radius 2ı is relatively compact in the corresponding chart W . Let j W
Uj ! B.aj ; 2ı/ be the isomorphism given by the coordinates of W ; by taking
ı > 0 small enough, we can assume that the coordinates of Uj extend to Uj [ Uk
whenever Uj \ Uk ¤ ;. Let ".ı/ be a modulus of continuity for on the sets Uj ,
such that limı!0 ".ı/ D 0 and x x 0 12 ".ı/ !x for all x; x 0 2 Uj . We denote by
j the .1; 1/-form with constant coefficients on B.aj ; 2ı/ such that j j coincides
with ".ı/ ! at j1 .aj /. Then we have

0 j j 2".ı/ ! on Uj (53)
for ı > 0 small. We set 'j D ' ı j1 on B.aj ; 2ı/ and let qj be the homogeneous
quadratic function in z aj such that i @@qj D j on B.aj ; 2ı/. Then 'j qj is
plurisubharmonic on B.aj ; 2ı/ since
i
@@..'j qj / ı j/ DT j j j j 0: (54)

We let Uj0 Uj00 Uj be the concentric balls of radii ı, 1:5 ı, 2ı respectively.

On each open set Uj the function j WD ' qj ı j D .'j qj / ı j is
plurisubharmonic, so Theorem 49 applied with ˝ D Uj ' B.aj ; 2ı/ produces
functions
1 X
j;m D log jj;` j2 ; .j;` / D basis of HUj .m j /: (55)
2m
`
The functions j;m C qj ı j on Uj then have to be glued together by a partition of

unity technique. For this, we rely on the following “discrepancy” lemma, estimating
the variation of the approximating functions on overlapping balls.
Lemma 54. There is a constant C independent of m and ı such that the quasi-psh
functions wj;m D 2m. j;m C qj ı j /, i.e.
Xˇ ˇ
wj;m .x/ D 2m qj ı j .x/ C log ˇj;` .x/ˇ2 ; x 2 Uj00 ;
`
satisfy
jwj;m wk;m j C log ı 1 C m".ı/ı 2 on Uj00 \ Uk00 :
Proof. The details will be left as an exercise to the reader. The main idea is the
following: for any holomorphic function fj 2 HUj .m j /, a @ equation @u D
@.fj / can be solved on Uk , where is a cut-off function with support in Uj00 \ Uk00 ,
on a ball of radius < ı=4, equal to 1 on the ball of radius ı=8 centered at a given
point x0 2 Uj00 \ Uk00 , with j@j D O.ı 1 /. We apply the L2 estimate with respect
to the weight .n C 1/ log jx x0 j2 C 2m k , where the first term is picked up so
as to force the solution u to vanish at x0 , in such a way that Fk D u fj is
holomorphic and Fk .x0 / D fj .x0 /. The discrepancy between the weights on Uj00
and Uk00 is given by
j k D qj ı j qk ı k :
By re-centering the quadratic functions at j .x0 /, resp. k .x0 /, we can write
qj ı j qk ı k D Re Gj k C Rj k
where Gj k is holomorphic on Uj [ Uk [equal to a difference of linear forms in the

coordinates of B.aj ; 2ı/ and B.ak ; 2ı/], Gj k .x0 / D qj ı j .x0 / qk ı k .x0 / and
Rj k D O.".ı/ı 2 / is a remainder term coming from the change of coordinates and
the slight discrepancy between @@.qj ı j / and @@.qk ı k / at the common point x0 ,
with Rj k .x0 / D 0. In this way, we get
je mGj k j2 e m k
D e m j 2mRj k
;
so that we have a uniform control of the L2 norm of the solution fk D e mGj k Fk D

e mGj k .u fj / of the form
Z Z
jfk j2 e 2m C ı 2n4 e mO.".ı/ı jfj j2 e 2m j :
2/
k
Uk Uj
192 J.-P. Demailly
The required estimate follows, using the equality

X
e 2m j;m .x/ D jj;` .x/j2 D sup jf .x/j2 on Uj ;
` f 2HUj .m j /; kf k1
and the analogous equality on Uk . t

u
Now, the actual gluing of our quasi-psh functions is performed using the
following elementary partition of unity calculation.
Lemma 55. Let Uj0 Uj00 be locally finite open coverings of a complex manifold
X by relatively compact open sets, and let j be smooth nonnegative functions with
support in Uj00 , such that j 1 on Uj00 and j D 1 on Uj0 . Let Aj 0 be such that
i.j @@j @j ^ @j / Aj ! on Uj00 X Uj0
for some positive .1; 1/-form !. Finally, let wj be quasi-psh functions on Uj with the
property that i @@wj for some real .1; 1/-form on M , and let Cj be constants
such that
wj .x/ Cj C sup wk .x/ on Uj00 X Uj0 :
k¤j; Uk0 3x
P
Then the function w D log j2 e wj is quasi-psh and satisfies
X
i @@w 2 Uj00 XUj0 Aj e Cj !:
j
Proof. If we set ˛j D j @wj C 2@j , a straightforward computation shows that

P 2 P
.j @wj C 2j @j /e wj j e w j ˛ j
@w D P 2 w D P 2 w ;
j e j j e j
P P
˛j ^ ˛ j Cj2 @@wj C2j @@j 2@j ^@j e wj j;k j e k e ˛j ^˛ k
wj wk
@@w D P 2 w P 2
j e j 2 e wj j
P ˇ ˇ2 w w P 2 w P
ˇ ˇ j k
j <k j ˛k k ˛j e e j e j @@wj 2j @@j 2@j ^@j e wj
D P 2 w 2 C P C P
j e j j2 e wj j2 e wj
by using the Legendre identity. The first term in the last line is nonnegative and the
second one is . In the third term, if x is in the support of j @@j @j ^ @j ,
then x 2 Uj00 X Uj0 and so wj .x/ Cj C wk .x/ for some k ¤ j with Uk0 3 x and
k .x/ D 1. This gives
P
2j @@j 2@j ^ @j e wj X
i P 2 w 2 Uj00 XUj0 e Cj Aj !:
j e j
j
The expected lower bound follows. t

u
We apply Lemma 55 to functions wQ j;m which are just slight modifications of the
functions wj;m D 2m. j;m C qj ı j / occurring in Lemma 54:
C
1
wQ j;m .x/ D wj;m .x/ C 2m C C3 ".ı/.ı 2 =2 j j .x/j2 /
m
C1
D 2m j;m .x/ C qj ı j .x/ C C C3 ".ı/.ı 2 =2 j j .x/j2 /
m
where x 7! z D j .x/ is a local coordinate identifying Uj to B.0; 2ı/, C1 is the

constant occurring in Lemma 54 and C3 is a sufficiently large constant. It is easy to
see that we can take Aj D C4 ı 2 in Lemma 55. We have
C3
Q j;m wj;m C 2C1 C m
w ".ı/ı 2 on B.xj ; ı=2/ Uj0 ;
2
since j j .x/j ı=2 on B.xj ; ı=2/, while
wQ j;m wj;m C 2C1 mC3 ".ı/ı 2 on Uj00 X Uj0 :
For m m0 .ı/ D .log ı 1 =.".ı/ı 2 /, Lemma 54 implies jwj;m wk;m j C5 m".ı/ı 2

on Uj00 \ Uk00 . Hence, for C3 large enough, we get
wQ j;m .x/ sup wk;m .x/ sup wk;m .x/ on Uj00 X Uj0 ;
k¤j; B.xk ;ı=2/3x k¤j; Uk0 3x
and we can
Ptake Cj D 0 in the hypotheses of Lemma 55. The associated function
w D log j2 e wQ j;m is given by
X C1
w D log j2 exp 2m j;m C qj ı j C C C3 ".ı/.ı 2 =2 j j j2 / :
j
m
If we define 'm D 1
2m w, we get
1 C1 C3
'm .x/ WD w.x/ j;m .x/ C qj ı j .x/ C C ".ı/ı 2 > '.x/
2m m 4
in view of Lemma 54, by picking an index j such that x 2 B.xj ; ı=2/. In the
opposite direction, the maximum number N of overlapping balls Uj does not
depend on ı, and we thus get
˚ C1 C3
w log N C 2m max j;m .x/ C qj ı j .x/ C C ".ı/ı 2 :
j m 2
194 J.-P. Demailly
By definition of j we have supjxj<r j ./ supjxj<r './ qj ı j .x/ C C5 r

thanks to the uniform Lipschitz continuity of qj ı j , thus by Lemma 54 again we
find
log N C1 1 C2 C3
'm .x/ C sup './ C C log n C ".ı/ı 2 C C5 r:
2m jxj<r m m r 2
By taking for instance r D 1=m and ı D ım ! 0, we see that 'm converges to '.
On the other hand (53) implies i @@qj ı j .x/ D j j 2".ı/!, thus
i
@@wQ j;m 2m C6 ".ı/! :

Lemma 55 then produces the lower bound
i
@@w 2m C6 ".ı/! C7 ı 2 !;

whence
i
@@'m C8 ".ı/!

for m m0 .ı/ D .log ı 1 /=.".ı/ı 2 /. We can fix ı D ım to be the smallest value
of ı > 0 such that m0 .ı/ m, then ım ! 0 and we have obtained a sequence of
quasi-psh functions 'm satisfying the following properties.
Theorem 56. Let ' be a quasi-psh function on a compact complex manifold X
such that i @@' for some continuous .1; 1/-form . Then there is a sequence
of quasi-psh functions 'm such that 'm has the same singularities as a logarithm
of a sum of squares of holomorphic functions and a decreasing sequence "m > 0
converging to 0 such that
j log rj
(a) '.x/ < 'm .x/ sup './ C C C r C "m
jxj<r m
with respect to coordinate open sets covering X . In particular, 'm converges to
' pointwise and in L1 .X / and
n
(b) .'; x/ .'m ; x/ .'; x/ for every x 2 X I
m
i
(c) @@'m "m !.

In particular, we can apply this to an arbitrary positive or quasi-positive closed
.1; 1/-current T D ˛ C i @@'.
Corollary 57. Let T be a quasi-positive closed .1; 1/-current on a compact
complex manifold X such that T for some continuous .1; 1/-form . Then there
is a sequence of currents Tm whose local potentials have the same singularities
as 1=m times a logarithm of a sum of squares of holomorphic functions and a

decreasing sequence "m > 0 converging to 0 such that
(a) Tm converges weakly to T ,
n
(b) .T; x/ .Tm ; x/ .T; x/ for every x 2 X ;
m
(c) Tm "m !.
We say that our currents Tm are approximations of T with logarithmic poles.
By using blow-ups of X , the structure of the currents Tm can be better understood.
In fact, consider the coherent ideals Jm generated locally by the holomorphic
.k/
functions .j;m / on Uk in the local approximations
1 X .k/
'k;m D log jj;m j2 C O.1/
2m j
of the potential ' of T on Uk . These ideals are in fact globally defined, because
.k/ .k/
the local ideals Jm D .j;m / are integrally closed, and they coincide on the
intersections Uk \ U` as they have the same order of vanishing by the proof of
Lemma 54. By Hironaka [55], we can find a composition of blow-ups with smooth
centers m W XQm ! X such that m Jm is an invertible ideal sheaf associated with
a normal crossing divisor Em . Now, we can write
1
m 'k;m D 'k;m ı m D log jsEm j C 'Qk;m
m
where sEm is the canonical section of O.Em / and 'Qk;m is a smooth potential. This
implies
1
m Tm D ŒEm C ˇm (56)
m
where ŒEm is the current of integration over Em and ˇm is a smooth closed .1; 1/-
form which satisfies the lower bound ˇm m . "m !/. (Recall that the pull-back
of a closed .1; 1/-current by a holomorphic map f is always well-defined, by taking
a local plurisubharmonic potential ' such that T D i @@' and writing f T D
i @@.' ı f /). In the remainder of this section, we derive from this a rather important
geometric consequence, first appeared in [42]). We need two related definitions.
Definition 58. A Kähler current on a compact complex space X is a closed positive
current T of bidegree .1; 1/ which satisfies T "! for some " > 0 and some
smooth positive Hermitian form ! on X .
Definition 59. A compact complex manifold is said to be in the Fujiki class C
if it is bimeromorphic to a Kähler manifold .or equivalently, using Hironaka’s
desingularization theorem, if it admits a proper Kähler modification/.
Theorem 60. A compact complex manifold X is bimeromorphic to a Kähler mani-
fold .i.e. X 2 C / if and only if it admits a Kähler current.
196 J.-P. Demailly
Proof. If X is bimeromorphic to a Kähler manifold Y , Hironaka’s desingularization

theorem implies that there exists a blow-up YQ of Y (obtained by a sequence of
blow-ups with smooth centers) such that the bimeromorphic map from Y to X can
be resolved into a modification W YQ ! X . Then YQ is Kähler and the push-forward
T D !Q of a Kähler form !Q on YQ provides a Kähler current on X . In fact, if !
is a smooth Hermitian form on X , there is a constant C such that ! C !Q
(by compactness of YQ ), hence
T D !Q .C 1 !/ D C 1 !:
Conversely, assume that X admits a Kähler current T "!. By Corollary 57(c),

there exists a Kähler current TQ D Tm 2" ! (with m 1 so large that "m "=2)
in the same @@-cohomology class as T , possessing logarithmic poles. Observation
(56) implies the existence of a composition of blow-ups W XQ ! X such that
TQ D ŒEQ C ˇQ on XQ ;
where EQ is a Q-divisor with normal crossings and ˇQ a smooth closed .1; 1/-form
such that ˇQ 2" !. In particular ˇQ is positive outside the exceptional locus of .
This is not enough yet to produce a Kähler form on XQ , but we are not very far.
Suppose that XQ is obtained as a tower of blow-ups
XQ D XN ! XN 1 ! ! X1 ! X0 D X;
where Xj C1 is the blow-up of Xj along a smooth center Yj Xj . Denote by

Sj C1 Xj C1 the exceptional divisor, and let j W Xj C1 ! Xj be the blow-up
map. Now, we use the following simple
Lemma 61. For every Kähler current Tj on Xj , there exists "j C1 > 0 and a smooth
form uj C1 in the @@-cohomology class of ŒSj C1 such that
Tj C1 D j Tj "j C1uj C1
is a Kähler current on Xj C1 .
Proof. The line bundle O.Sj C1/jSj C1 is equal to OP .Nj / .1/ where Nj is the
normal bundle to Yj in Xj . Pick an arbitrary smooth Hermitian metric on Nj , use
this metric to get an induced Fubini–Study metric on OP .Nj / .1/, and finally extend
this metric as a smooth Hermitian metric on the line bundle O.Sj C1 /. Such a
metric has positive curvature along tangent vectors of Xj C1 which are tangent to
the fibers of Sj C1 D P .Nj / ! Yj . Assume furthermore that Tj ıj !j for some
Hermitian form !j on Xj and a suitable 0 < ıj 1. Then
j Tj "j C1 uj C1 ıj j !j "j C1 uj C1

where j !j is semi-positive on Xj C1 , positive definite on Xj C1 X Sj C1, and also

positive definite on tangent vectors of TXj C1 jSj C1 which are not tangent to the fibers
of Sj C1 ! Yj . The statement is then easily proved by taking "j C1 ıj and
by using an elementary compactness argument on the unit sphere bundle of TXj C1
associated with any given Hermitian metric. t
u
End of proof of Theorem 60. If uQ j is the pull-back of uj to the final blow-up XQ , we
P
conclude inductively that TQ "j uQ j is a Kähler current. Therefore the smooth
form X X
!Q WD ˇQ "j uQ j D TQ "j uQ j ŒEQ
is Kähler and we see that XQ is a Kähler manifold. t

u
Remark 62. A special case of Theorem 60 is the following characterization of
Moishezon varieties (i.e. manifolds which are bimeromorphic to projective alge-
braic varieties or, equivalently, whose algebraic dimension is equal to their complex
dimension): A compact complex manifold X is Moishezon if and only if X possesses
a Kähler current T such that the De Rham cohomology class fT g is rational, i.e.
fT g 2 H 2 .X; Q/. In fact, in the above proof, we get an integral current T if we take
the push forward T D !Q of an integral ample class f!g Q on Y , where W Y ! X
is a projective model of Y . Conversely, if fT g is rational, we can take the "j ’s to be
rational in Lemma 61. This produces at the end a Kähler metric !Q with rational De
Rham cohomology class on XQ . Therefore XQ is projective by the Kodaira embedding
theorem. This result was already observed in [59] (see also [13,14] and Sect. 3.7 for
a more general perspective based on a singular holomorphic Morse inequalities).
Remark 63. Hodge decomposition also holds true for manifolds X 2 C . In fact
let W XQ ! X be a modification such that XQ is Kähler. Then there are natural
morphisms
W H@ .X; C/ ! H@ .XQ ; C/; W H@ .XQ ; C/ ! H@ .X; C/

p;q p;q p;q p;q
induced respectively by the pull-back of smooth forms (resp. the direct image of
currents). Clearly, ı D Id, therefore is injective and surjective, and
similar results hold true for Bott–Chern cohomology or De Rham cohomology.
It follows easily from this that the @@-lemma still holds true for X 2 C , and that
there are isomorphisms
p;q p;q
M p;q
HBC .X; C/ ! H@ .X; C/; HBC .X; C/ ! HDR
k
.X; C/:
pCqDk
2.7 Zariski Decomposition and Mobile Intersections
Let X be compact Kähler and let ˛ 2 E ı be in the interior of the pseudo–effective

cone. In analogy with the algebraic context such a class ˛ is called “big”, and it
198 J.-P. Demailly
can then be represented by a Kähler current T , i.e. a closed positive .1; 1/-current
T such that T ı! for some smooth Hermitian metric ! and a constant ı 1.
We first need a variant of the approximation theorem proved in Paragraph 5.
Regularization theorem for currents 64. Let X be a compact complex manifold
equipped with a Hermitian metric !. Let T D ˛ C i @@' be a closed .1; 1/-current
on X , where ˛ is smooth and ' is a quasi-plurisubharmonic function. Assume that
T for some real .1; 1/-form on X with real coefficients. Then there exists a
sequence Tm D ˛ C i @@'m of closed .1; 1/-currents such that
(a) 'm .and thus Tm / is smooth on the complement X X Zm of an analytic set Zm ,
and the Zm ’s form an increasing sequence
Z0 Z1 Zm X:
(b) There is a uniform estimate Tm ım ! with lim # ım D 0 as m tends to

C1.
(c) The sequence .'m / is non increasing, and we have lim # 'm D '. As a
consequence, Tm converges weakly to T as m tends to C1.
(d) Near Zm , the potential 'm has logarithmic poles, namely, for P every x0 2 Zm ,
there is a neighborhood U of x0 such that 'm .z/ D m log ` jgm;` j2 C O.1/
for suitable holomorphic functions .gm;` / on U and m > 0. Moreover, there
is a .global/ proper modification m W XQm ! X of X , obtained as a sequence
of blow-ups with smooth centers, such that 'm ı m can be written locally on
XQ m as X
'm ı m .w/ D m n` log jgQ ` j2 C f .w/
where .gQ `PD 0/ are local generators of suitable .global/ divisors E` on XQm
such that E` has normal crossings, n` are positive integers, and the f ’s are
smooth functions on XQm .
Sketch of proof. We essentially repeat the proofs of Theorems 49 and 56 with
additional considerations. One fact that does not follow readily from these proofs
is the monotonicity of the sequence 'm (which we will not really need anyway—
it can be obtained by applying Theorem 49 with 2m instead of m, and by using
the Ohsawa–Takegoshi L2 extension theorem 48 for potentials 2m '.x/ C 2m '.y/
on the diagonal of X X , so that the restriction is 2mC1 '.x/ on the diagonal; we
refer e.g. to [44] for details). The map m is obtained by blowing-up the (global)
ideals Jm definedP by the2 holomorphic functions .gj;m / in the local approximations

j jgj;m j . By Hironaka [55], we can achieve that m Jm is an
1
'm 2m log
invertible ideal sheaf associated with a normal crossing divisor. t
u
Corollary 65. If T is a Kähler current, then one can write T D lim Tm for a
sequence of Kähler currents Tm which have logarithmic poles with coefficients in
m Z, i.e. there are modifications m W Xm ! X such that
1
m Tm D ŒEm C ˇm
NSR(Xm)
NS
NS
α α = μm∗ α = [Em] + βm
βm
[Em]
Fig. 3 Approximate Zariski decomposition
where Em is an effective Q-divisor on Xm with coefficients in mZ

1
.the “fixed part”/
and ˇm is a closed semi-positive form .the “mobile part”/.
Proof. We apply Theorem 64 with D "! and m so large that ım "=2. Then
Tm has analytic singularities and Tm 2" !, so we get a composition of blow-ups
m W Xm ! X such
m Tm D ŒEm C ˇm ;
where Em is an effective Q-divisor and ˇm 2" m !. In particular, ˇm is strictly
positive outside the exceptional divisors, by playing with the multiplicities of the
components of the exceptional divisors in Em , we could even achieve that ˇm is a
Kähler class on Xm . Notice also that by construction, m is obtained by blowing-up
the multiplier ideal sheaves I .mT / D I .m'/ associated to a potential ' of T .
t
u
The more familiar algebraic analogue would be to take ˛ D c1 .L/ with a big
line bundle L and to blow-up the base locus of jmLj, m 1, to get a Q-divisor
decomposition
m L Em C Dm ; Em effective; Dm base point free: (57)
(One says that Dm is base point free if H 0 .X; O.Dm / is generated by sections, in
other words if Dm is entirely “mobile” in the linear system jDm j). Such a blow-up
is usually referred to as a “log resolution” of the linear system jmLj, and we say
that Em C Dm is an approximate Zariski decomposition of L. We will also use this
terminology for Kähler currents with logarithmic poles.
Definition 66. We define the volume, or mobile self-intersection of a class ˛ 2
H 1;1 .X; R/ to be
Z Z
Vol.˛/ D sup T n D sup ˇ n > 0;
T 2˛ X XSing.T / T 2˛ XQ
200 J.-P. Demailly
where the supremum is taken over all Kähler currents T 2 ˛ with logarithmic
poles, and T D ŒE C ˇ with respect to some modification W XQ ! X .
Correspondingly, we set
Vol.˛/ D 0 if ˛ … E ı .
In the special case where ˛ D c1 .L/ is an integral class, we have the following
interpretation of the volume.
Theorem 67. If L is a big line bundle and m L Em C Dm is a log resolution
of jmLj, we have
nŠ 0
Vol.c1 .L// D n
lim Dm D lim h .X; mL/;
m!C1 m!C1 mn
Sketch of proof. Given a Kähler current T 2 c1 .L/ with logarithmic pole, we can
always take a blow-up W XQ ! X so that T D ŒE C ˇ where E is an effective
R-divisor and ˇ 0. By using a perturbation technique as in Lemma 61, we can
always assume that E is a Q-divisor and that ˇ is Kähler. Then fˇg D c1 .L/
fŒE g is a rational class and therefore ˇ is the first Chern class c1 .A/ of an ample
Q-divisor on XQ . When m is a multiple of a suitable denominator m0 and m D
q m0 C r, 0 r < m0 , we get by the elementary Riemann–Roch formula
h0 .X; mL/ h0 .XQ ; m L m0 Œm=m0 E/ D h0 .XQ ; m0 Œm=m0 A C r L/

Z
mn
ˇn ;
nŠ XQ
hence lim inf mnŠn h0 .X; mL/ Vol.c1 .L// by taking the supremum over all such
currents T . In the other direction, the inequality lim sup mnŠn h0 .X; mL/ Vol.c1 .L//
is obtained by subtracting a small rational multiple "A of an ample line bundle A.
One shows that multiples of L "A roughly have the same number of sections
as those of L by an exact sequence argument similar to what was done in the
proof of Theorem 43(b). By a result of Fujita [47] (cf. also [37]), the volume of
the base point free part Dm;" in a log resolution of jm.L "A/j approximates
lim sup mnŠn h0 .X; m.L "A//, so we get m;" L D Em;" C .Dm;" C "A/ where
Dm;" C A is ample. The positive .1; 1/-current Tm;" D .m;" / Dm;" C"A is a Kähler
current with logarithmic poles and its volume approaches lim sup mnŠn h0 .X; mL/
when " 1 and m is large. t
u
In these terms, we get the following statement.

Proposition 68. Let L be a big line bundle on the projective manifold X . Let " > 0.
Then there exists a modification W X" ! X and a decomposition .L/ D E C ˇ
with E an effective Q-divisor and ˇ a big and nef Q-divisor such that
Vol.L/ " Vol.ˇ/ Vol.L/:

It is very useful to observe that the supremum in Definition 66 is actually achieved

by a collection of currents whose singularities satisfy a filtering property. Namely,
if T1 D ˛ C i @@'1 and T2 D ˛ C i @@'2 are two Kähler currents with logarithmic
poles in the class of ˛, then
T D ˛ C i @@'; ' D max.'1 ; '2 / (58)
is again a Kähler current with weaker singularities than T1 and T2 . One could define
as well
1
T D ˛ C i @@'; 'D log.e 2m'1 C e 2m'2 /; (580 )
2m
where m D lcm.m1 ; m2 / is the lowest common multiple of the denominators

occurring in T1 , T2 . Now, take a simultaneous log-resolution m W Xm ! X for
which the singularities of T1 and T2 are resolved as Q-divisors E1 and E2 . Then
clearly the associated divisor in the decomposition
R m T D ŒE C ˇ is given by
E D min.E1 ; E2 /. By doing so, the volume Xm ˇ gets increased, as we shall see
n
in the proof of Theorem 69 below.

Theorem 69 (Boucksom [18]). Let X be a compact Kähler manifold. We denote
k;k
here by H0 .X / the cone of cohomology classes of type .k; k/ which have non-
negative intersection with all closed semi-positive smooth forms of bidegree .n
k; n k/.
(a) For each integer k D 1; 2; : : : ; n, there exists a canonical “mobile intersection
product”
k;k
E E ! H0 .X /; .˛1 ; : : : ; ˛k / 7! h˛1 ˛2 : :˛k1 ˛k i
such that Vol.˛/ D h˛ n i whenever ˛ is a big class.

(b) The product is increasing, homogeneous of degree 1 and superadditive in each
argument, i.e.
h˛1 .˛j0 C ˛j00 / ˛k i h˛1 ˛j0 ˛k i C h˛1 ˛j00 ˛k i:
It coincides with the ordinary intersection product when the ˛j 2 K are nef
classes.
(c) The mobile intersection product satisfies the Hovanskii–Teissier inequalities
[57, 96, 97]
h˛1 ˛2 : :˛n i .h˛1n i/1=n .h˛nn i/1=n .with h˛jn i D Vol.˛j //:
(d) For k D 1, the above “product” reduces to a .non linear/ projection operator
E ! E1 ; ˛ ! h˛i
202 J.-P. Demailly
onto a certain convex subcone E1 of E such that K E1 E . Moreover, there

is a “divisorial Zariski decomposition”
˛ D fN.˛/g C h˛i
where N.˛/ is a uniquely defined effective divisor which is called the “negative
divisorial part” of ˛. The map ˛ 7! N.˛/ is homogeneous and subadditive,
and N.˛/ D 0 if and only if ˛ 2 E1 .
(e) The components of N.˛/ always consist of divisors whose cohomology classes
are linearly independent, especially N.˛/ has at most D rankZ NS.X /
components.
Proof. We essentially repeat the arguments developed in [18], with some simplifi-
cations arising from the fact that X is supposed to be Kähler from the beginning.
(a) First assume that all classes ˛j are big, i.e. ˛j 2 E ı . Fix a smooth closed
.n k; n k/ semi-positive form u on X . We select Kähler currents Tj 2 ˛j
with logarithmic poles, and a simultaneous log-resolution W XQ ! X such that
Tj D ŒEj C ˇj :
We consider the direct image current .ˇ1 ^ ^ˇk / (which is a closed positive
current of bidegree .k; k/ on X ) and the corresponding integrals
Z
ˇ1 ^ ^ ˇk ^ u 0:
XQ
If we change the representative Tj with another current Tj0 , we may always

take a simultaneous log-resolution such that Tj0 D ŒEj0 C ˇj0 , and by using
(580 ) we can always assume that Ej0 Ej . Then Dj D Ej Ej0 is an
effective divisor and we find ŒEj C ˇj ŒEj0 C ˇj0 , hence ˇj0 ˇj C ŒDj .
A substitution in the integral implies
Z
ˇ10 ^ ˇ2 ^ ^ ˇk ^ u
XQ
Z Z
D ˇ1 ^ ˇ2 ^ ^ ˇk ^ u C ŒD1 ^ ˇ2 ^ ^ ˇk ^ u
XQ XQ
Z
ˇ1 ^ ˇ2 ^ ^ ˇk ^ u:
XQ
Similarly, we can replace successively all forms ˇj by the ˇj0 , and by doing so,
we find
Z Z
0 0 0
ˇ1 ^ ˇ2 ^ ^ ˇk ^ u ˇ1 ^ ˇ2 ^ ^ ˇk ^ u:
XQ XQ
We claim that the closed positive currents .ˇ1 ^ ^ ˇk / are uniformly

bounded in mass. In fact, if ! is a Kähler metric in X , there exists a constant
Cj 0 such that Cj f!g ˛j is a Kähler class. Hence Cj ! Tj j for some
Kähler form j on X . By pulling back with , we find Cj ! .ŒEj C ˇj /
j , hence
ˇj Cj ! .ŒEj C j /:
By performing again a substitution in the integrals, we find
Z Z Z

ˇ1 ^ ^ ˇk ^ u C1 Ck ! ^ u D C1 Ck
k
!k ^ u
XQ XQ X
and this is true especially for u D ! nk . We can now arrange that for each of the
integrals associated with a countable dense family of forms u, the supremum is
achieved by a sequence of currents .m / .ˇ1;m ^ ^ ˇk;m / obtained as direct
images by a suitable sequence of modifications m W XQ m ! X . By extracting a
subsequence, we can achieve that this sequence is weakly convergent and we set
h˛1 ˛2 : :˛k i D lim " f.m / .ˇ1;m ^ ˇ2;m ^ ^ ˇk;m /g

m!C1
(the monotonicity is not in terms of the currents themselves, but in terms of

the integrals obtained when we evaluate against a smooth closed semi-positive
form u). By evaluating against a basis of positive classes fug 2 H nk;nk .X /,
we infer by Serre duality that the class of h˛1 ˛2 : :˛k i is uniquely defined
(although, in general, the representing current is not unique).
(b) It is indeed clear from the definition that the mobile intersection product is
homogeneous, increasing and superadditive in each argument, at least when the
˛j ’s are in E ı . However, we can extend the product to the closed cone E by
monotonicity, by setting
h˛1 ˛2 ˛k i D lim #h.˛1 C ı!/ .˛2 C ı!/: :.˛k C ı!/i

ı#0
for arbitrary classes ˛j 2 E (again, monotonicity occurs only where we

evaluate against closed semi-positive forms u). By weak compactness, the
mobile intersection product can always be represented by a closed positive
current of bidegree .k; k/.
(c) The Hovanskii–Teissier inequalities are a direct consequence of the fact that
they hold true for nef classes, so we just have to apply them to the classes ˇj;m
on XQm and pass to the limit.
(d) When k D 1 and ˛ 2 E 0 , we have
˛D lim f.m / Tm g D lim .m / ŒEm C f.m / ˇm g

m!C1 m!C1
204 J.-P. Demailly
and h˛i D limm!C1 f.m / ˇm g by definition. However, the images Fm D

.m / Fm are effective Q-divisors in X , and the filtering property implies that
Fm is a decreasing sequence. It must therefore converge to a (uniquely defined)
limit F D lim Fm WD N.˛/ which is an effective R-divisor, and we get the
asserted decomposition in the limit.
Since N.˛/ D ˛ h˛i we easily see that N.˛/ is subadditive and that N.˛/ D 0
if ˛ is the class of a smooth semi-positive form. When ˛ is no longer a big class,
we define
h˛i D lim # h˛ C ı!i; N.˛/ D lim " N.˛ C ı!/

ı#0 ı#0
(the subadditivity of N implies N.˛ C .ı C "/!/ N.˛ C ı!/). The divisorial

Zariski decomposition follows except maybe for the fact that N.˛/ might be a
convergent countable sum of divisors. However, this will be ruled out when (e) is
proved. As N./ is subadditive and homogeneous, the set E1 D f˛ 2 E I N.˛/ D 0g
is a closed convex cone, and we find that ˛ 7! h˛i is a projection of E onto E1
(according to [18], E1 consists of those pseudo-effective classes which are “nef in
codimension 1”).
(e) Let ˛ 2 E ı , and assume that N.˛/ contains linearly dependent components Fj .
Then already all currents T 2 ˛ should be such that T D ŒE CP ˇ where
F D E contains those linearly dependent components. Write F D j Fj ,
j > 0 and assume that X
cj Fj 0
j 2J
for a certain non trivial linear combination. Then some of the coefficients cj
must be negative (and some other positive). Then E is numerically equivalent to
X
E 0 E C t j Fj ;
and by choosing t > 0 appropriate, we obtain an effective divisor E 0 which

has a zero coefficient on one of the components Fj0 . By replacing E with
min.E; E 0 / via (580 ), we eliminate the component Fj0 . This is a contradiction
since N.˛/ was supposed to contain Fj0 . t
u
Definition 70. For a class ˛ 2 H 1;1 .X; R/, we define the numerical dimension
nd.˛/ to be nd.˛/ D 1 if ˛ is not pseudo-effective, and
nd.˛/ D maxfp 2 N I h˛ p i ¤ 0g; nd.˛/ 2 f0; 1; : : : ; ng
if ˛ is pseudo-effective.
By the results of [42], a class is big (˛ 2 E ı ) if and only if nd.˛/ D n. Classes
of numerical dimension 0 can be described much more precisely, again following
Boucksom [18].
Theorem 71. Let X be a compact Kähler manifold. Then the subset D0 of

irreducible divisors D in X such that nd.D/ D 0 is countable, and these
divisors are rigid as well as their multiples. If ˛ 2 E is a pseudo-effective
class of numericalPdimension 0, then ˛ is numerically equivalent to an effective
R-divisor D D j 2J j Dj , for some finite subset .Dj /j 2J D0 such that
the cohomology classes fDj g are linearly independent and some j > 0. If such
a linear combination is of numerical dimension 0, then so is any other linear
combination of the same divisors.
Proof. It is immediate from the definition that a pseudo-effective class is of
P dimension 0 if and only if h˛i D 0, in other words if ˛ D N.˛/. Thus
numerical
˛ j Dj as described in Theorem 71, and since j hDj i h˛i, the divisors
Dj must themselves have numerical dimension 0. There is at most one such divisor
D in any given cohomology class in NS.X / \ E H 2 .X; Z/, otherwise two such
divisors D D 0 would yield a blow-up W XQ ! X resolving the intersection,
and by taking min. D; D 0 / via (580 ), we would find D E C ˇ, ˇ ¤ 0,
so that fDg would not be of numerical dimension 0. This implies that there are at
most countably many divisors of numerical dimension 0, and that these divisors are
rigid as well as their multiples. t
u
Remark 72. If L is an arbitrary holomorphic line bundle, we define its numerical

dimension to be nd.L/ D nd.c1 .L//. Using the canonical maps ˚jmLj and pulling-
back the Fubini–Study metric it is immediate to see that nd.L/ #.L/.
The above general concept of numerical dimension leads to a very natural formula-
tion of the abundance conjecture for Kähler varieties.
Generalized Abundance Conjecture 73. Let X be an arbitrary compact Kähler
manifold X .
(a) The Kodaira dimension of X should be equal to its numerical dimension:
#.KX / D nd.KX /.
(b) More generally, let be a Q-divisor which is klt .Kawamata log terminal, i.e.
such that cX ./ > 1/. Then #.KX C / D nd.KX C /.
Remark 74. It is obvious that abundance holds in the case nd.KX / D 1 (if L is
not pseudo-effective, no multiple of L can have sections), or in the case nd.KX / D
n which implies KX big (the latter property follows e.g. from the solution of the
Grauert–Riemenschneider conjecture in the form proven in [25], see also [42]).
P situation is the case when nd.KX / D 0.
In the remaining cases, the most tractable
In fact Theorem 71 then gives KX j Dj for some effective divisor with
numerically independent components, nd.Dj / D 0. It follows that the j are
rational and therefore
X
KX j Dj C F where j 2 QC ; nd.Dj / D 0 and F 2 Pic0 .X /: (*)
206 J.-P. Demailly
If we assume additionally that q.X / D h0;1 .X / is zero, then mKX is linearly

equivalent to an integral divisor for some multiple m, and it follows immediately that
#.X / D 0. The case of a general projective manifold with nd.KX / D 0 and positive
irregularity q.X / > 0 has been solved by Campana–Peternell [23], Proposition 46.
It would be interesting to understand the Kähler case as well.
2.8 The Orthogonality Estimate
The goal of this section is to show that, in an appropriate sense, approximate Zariski
decompositions are almost orthogonal.
ı
Theorem 75. Let X be a projective manifold, and let ˛ D fT g 2 ENS be a big class
represented by a Kähler current T . Consider an approximate Zariski decomposition
m Tm D ŒEm C ŒDm
Then
n1
.Dm Em /2 20 .C !/n Vol.˛/ Dm
n
where ! D c1 .H / is a Kähler form and C 0 is a constant such that ˙˛ is

dominated by C ! .i.e., C ! ˙ ˛ is nef /. In other words, Em and Dm become “more
n
and more orthogonal” as Dm approaches the volume.
Proof. For every t 2 Œ0; 1 , we have
Vol.˛/ D Vol.Em C Dm / Vol.tEm C Dm /:
Now, by our choice of C , we can write Em as a difference of two nef divisors
Em D ˛ Dm D m .˛ C C !/ .Dm C Cm !/: t

u
Lemma 76. For all nef R-divisors A, B we have
Vol.A B/ An nAn1 B
as soon as the right hand side is positive.

Proof. In case A and B are integral divisors, this is a consequence of holomorphic
Morse inequalities (cf. Consequence 24). If A and B are Q-divisors, we conclude
by the homogeneity of the volume. The general case of R-divisors follows by
approximation (actually, as it is defined to be a supremum, the volume function
can easily be shown to be lower semi-continuous, but it is in fact even continuous,
cf. [[18], 3.1.26]). t
u
Remark 77. We hope that Lemma 76 also holds true on an arbitrary Kähler
manifold for arbitrary nef (non necessarily integral) classes. This would follow from
Conjecture 95 generalizing holomorphic Morse inequalities to non integral classes,

exactly by the same proof as Theorem 23.
Lemma 78. Let ˇ1 ; : : : ; ˇn and ˇ10 ; : : : ; ˇn0 be nef classes on a compact Kähler
manifold XQ such that each difference ˇj0 ˇj is pseudo-effective. Then the n-th
intersection products satisfy
ˇ1 ˇn ˇ10 ˇn0 :
Proof. We can proceed step by step and replace just one ˇj by ˇ 0 j ˇj C Tj

where Tj is a closed positive .1; 1/-current and the other classes ˇk0 D ˇk , k ¤ j
are limits of Kähler forms. The inequality is then obvious. t
u
End of proof of Theorem 75. In order to exploit the lower bound of the volume, we
write
tEm C Dm D A B; A D Dm C tm .˛ C C !/; B D t.Dm C Cm !/:
By our choice of the constant C , both A and B are nef. Lemma 76 and the binomial
formula imply
Vol.tEm C Dm / An nAn1 B
!
X
n
n
D n
Dm C nt n1
Dm m .˛ C C !/ C t k nk
Dm m .˛ C C !/k
k
kD2
nt Dm n1
.Dm C Cm !/
!
X
n1
k1 n 1
nt 2
t n1k
Dm m .˛ C C !/k .Dm C Cm !/:
k
kD1
Now, we use the obvious inequalities
Dm m .C !/; m .˛ C C !/ 2m .C !/; Dm C Cm ! 2m .C !/
in which all members are nef (and where the inequality means that the difference
of classes is pseudo-effective). We use Lemma 78 to bound the last summation in
the estimate of the volume, and in this way we get
!
X
n1
kC1 k1 n 1
Vol.tEm C Dm / Dm C ntDm Em nt
n n1 2
2 t .C !/n :
k
kD1
We will always take t smaller than 1=10n so that the last summation is bounded by
4.n 1/.1 C 1=5n/n2 < 4ne 1=5 < 5n. This implies
Vol.tEm C Dm / Dm
n
C nt Dm
n1
Em 5n2 t 2 .C !/n :
208 J.-P. Demailly
Now, the choice t D 1 n1

10n .Dm Em /..C !/n /1 gives by substituting
n1
1 .Dm E m /2
Vol.Em C Dm / Dm
n
Vol.˛/ Dm
n
20 .C !/n
(and we have indeed t 10n 1

by Lemma 78), whence Theorem 75. Of course, the
constant 20 is certainly not optimal. u
t
Corollary 79. If ˛ 2 ENS , then the divisorial Zariski decomposition ˛ D N.˛/Ch˛i
is such that
h˛ n1 i N.˛/ D 0:
Proof. By replacing ˛ with ˛ C ıc1 .H /, one sees that it is sufficient to consider the
case where ˛ is big. Then the orthogonality estimate implies
n1
.m / .Dm / .m / Em D Dm
n1
.m / .m / Em
Dm
n1
Em C.Vol.˛/ Dm
n 1=2
/ :
Since h˛ n1 i D lim.m / .Dmn1

/, N.˛/ D lim.m / Em and lim Dm
n
D Vol.˛/,
we get the desired conclusion in the limit. t
u
2.9 Dual of the Pseudo-Effective Cone
We consider here the Serre duality pairing

Z
H 1;1
.X; R/ H n1;n1
.X; R/ ! R; .˛; ˇ/ 7! ˛ ˇ D ˛ ^ ˇ: (59)
X
When restricted to real vector subspaces generated by integral classes, it defines a

perfect pairing
NSR NSn1;n1
R .X / ! R (60)
where NSR H 1;1 .X; R/ and NSn1;n1
R .X / H n1;n1 .X; R/. Next, we intro-
duce the concept of mobile curves.
Definition 80. Let X be a smooth projective variety.
(a) One defines NE.X / NSn1;n1
R .X / to be the convex cone generated by
cohomology classes of all effective curves in H n1;n1 .X; R/.
(b) We say that C is aSmobile curve if C D Ct0 is a member of an analytic family
fCt gt 2S such that t 2S Ct D X and, as such, is a reduced irreducible 1-cycle.
We define the mobile cone ME.X /, to be the convex cone generated by all
mobile curves.
(c) If X is projective, we say that an effective 1-cycle C is a strongly mobile if we

have
C D .AQ1 \ \ AQn1 /
for suitable very ample divisors AQj on XQ , where W XQ ! X is a modification.
We let MEs .X / be the convex cone generated by all strongly mobile effective
1-cycles .notice that by taking AQj general enough these classes can be
represented by reduced irreducible curves; also, by Hironaka, one could just
restrict oneself to compositions of blow-ups with smooth centers/.
Clearly, we have
MEs .X / ME.X / NE.X / NSn1;n1

R .X /: (61)
Another simple observation is:

Proposition 81. One has ˛ C 0 whenever f˛g 2 E and fC g 2 ME.X /. In other
words ENS D E \ NSR .X / is contained in the dual cone .ME.X //_ .
Proof. If the class f˛g is represented by a closed positive current T and C D Ct0
belongs to a covering family .Ct /t 2S , it is easy to see that TjCt is locally well defined
and nonnegative as soon as Ct is not contained in the set of poles of a local potential
' of T . However, this occurs only when t belongs to a pluripolar set P S , hence
for t 2 S X P we have
Z
˛C D TjCt 0: t
u
Ct
The following statement was first proved in [19].

Theorem 82. If X is projective, the cones ENS D Eff.X / and MEs .X / are dual
with respect to Serre duality, and we have MEs .X / D ME.X /.
In other words, a line bundle L is pseudo-effective if (and only if) L C 0
for all mobile curves, i.e., L C 0 for every very generic curve C (not
contained in a countable union of algebraic subvarieties). In fact, by definition
of MEs .X /, it is enough to consider only those curves C which are images of
generic complete intersection of very ample divisors on some variety XQ , under a
modification W XQ ! X . By a standard blowing-up argument, it also follows that
a line bundle L on a normal Moishezon variety is pseudo-effective if and only if
L C 0 for every mobile curve C .
Proof. By Proposition 81 we have ENS .ME.X //_ and (61) implies .ME.X //_
.MEs .X //_ , therefore
ENS .MEs .X //_ : (62)
If we show that ENS D .MEs .X //_ , we get at the same time .MEs .X //_ D
.ME.X //_ , and therefore by biduality (Hahn–Banach theorem) we will infer
210 J.-P. Demailly
NS
ω NS
∨
α + δω
α Γ
α − εω ( NS )
∨
n−1
NSR (X) H 1 1 (X R ) H n−1 n−1 (X R) NNS (X)
Fig. 4 Duality theorem for positive cones
MEs .X / D ME.X /. Now, if the inclusion were strict in (62), there would be an
element ˛ 2 @ENS on the boundary of ENS which is in the interior of MEs .X /_ .
Let ! D c1 .H / be an ample class. Since ˛ 2 @ENS , the class ˛ C ı! is big for every
ı > 0, and since ˛ 2 ..MEs .X //_ /ı we still have ˛ "! 2 .MEs .X //_ for " > 0
small. Therefore
˛ "! (63)
for every strongly mobile curve , and therefore for every 2 MEs .X /. We are
going to contradict (63). Since ˛ C ı! is big, we have an approximate Zariski
decomposition
ı .˛ C ı!/ D Eı C Dı :
We pick D .ı / .Dın1 / 2 MEs .X /. By the Hovanskii–Teissier concavity
inequality
! .! n /1=n .Dın /.n1/=n :
On the other hand
˛ D ˛ .ı / .Dın1 /
D ı ˛ Dın1 ı .˛ C ı!/ Dın1
D .Eı C Dı / Dın1 D Dın C Dın1 Eı :
By the orthogonality estimate, we find

1=2
˛ D n C 20.C !/n.Vol.˛ C ı!/ Dın /
ı
! .! n /1=n .Dın /.n1/=n
.Vol.˛ C ı!/ Dın /1=2
C 0 .Dın /1=n C C 00 :
.Dın /.n1/=n
However, since ˛ 2 @ENS , the class ˛ cannot be big so
lim Dın D Vol.˛/ D 0:

ı!0
We can also take Dı to approximate Vol.˛ C ı!/ in such a way that .Vol.˛ C ı!/
Dın /1=2 tends to 0 much faster than Dın . Notice that Dın ı n ! n , so in fact it is
enough to take
Vol.˛ C ı!/ Dın ı 2n ;
which gives .˛ /=.! / .C 0 C C 00 /ı. This contradicts (63) for ı small. t
u
3 Asymptotic Cohomology Functionals and Monge–Ampère

Operators
The goal of this section is to show that there are strong relations between
certain Monge–Ampère integrals appearing in holomorphic Morse inequalities, and
asymptotic cohomology estimates for tensor powers of holomorphic line bundles.
Especially, we prove that these relations hold without restriction for projective
surfaces, and in the special case of the volume, i.e. of asymptotic 0-cohomology,
for all projective manifolds. These results can be seen as a partial converse to the
Andreotti–Grauert vanishing theorem.
3.1 Introduction and Main Definitions
Throughout this section, X denotes a compact complex manifold, n D dimC X its

complex dimension and L ! X a holomorphic line bundle. In order to estimate the
growth of cohomology groups, it is interesting to consider appropriate “asymptotic
cohomology functions”. Following partly notation and concepts introduced by
A. Küronya [46, 63], we introduce
Definition 83. Let X be a compact complex manifold and let L ! X be a
holomorphic line bundle.
(a) The q-th asymptotic cohomology functional is defined as
nŠ
hO q .X; L/ WD lim sup n hq .X; L˝k /:
k!C1 k
(b) The q-th asymptotic holomorphic Morse sum of L is
nŠ X
hO q .X; L/ WD lim sup n .1/qj hj .X; L˝k /:
k!C1 k 0j q
When the lim sup’s are limits, we have the obvious relation
X
hO q .X; L/ D .1/qj hO j .X; L/:
0j q
212 J.-P. Demailly
Clearly, Definition 83 can also be given for a Q-line bundle L or a Q-divisor D, and
in the case q D 0 one gets by Theorem 67 what is called the volume of L (see also
[18, 37, 67]):
nŠ
Vol.X; L/ WD hO 0 .X; L/ D lim sup n h0 .X; L˝k /: (64)
k!C1 k
3.2 Extension of the Functionals to Real Cohomology Classes
We are going to show that the hO q functional induces a continuous map
DNSR .X / 3 ˛ 7! hO DNS .X; ˛/;

q
(65)
1;1
which is defined on the “divisorial Néron–Severi space” DNSR .X / HBC .X; R/,
i.e. the vector space spanned by real linear combinations of classes of divisors in the
p;q
real Bott–Chern cohomology group of bidegree .1; 1/. Here HBC .X; C/ is defined
as the quotient of d -closed .p; q/-forms by @@-exact .p; q/-forms, and there is a
p;q q;p
natural conjugation HBC .X; C/ ! HBC .X; C/ which allows us to speak of real
p;q
classes when q D p. Notice that HBC .X; C/ coincides with the usual Dolbeault
cohomology group H p;q .X; C/ when X is Kähler, and that DNSR .X / coincides
with the usual Néron–Severi space

NSR .X / D R ˝Q H 2 .X; Q/ \ H 1;1 .X; C/ (66)
when X is projective (the inclusion can be strict in general, e.g. on complex 2-tori
which only have indefinite integral .1; 1/-classes, cf. [BL04]).
For ˛ 2 NSR .X / (resp. ˛ 2 DNSR .X /), we set
nŠ q
hO NS .X; ˛/ resp. hO DNS .X; ˛/ D
q q
lim sup h .X; L/
k!C1; k1 c1 .L/!˛ kn
nŠ q
D inf sup h .X; L/: (67)
">0; k0 >0
kk0 ;k k1 c1 .L/˛k" kn
when the pair .k; L/ runs over N Pic.X /, resp. over N PicD .X / where
PicD .X / Pic.X / is the subgroup generated by “divisorial line bundles”, i.e.
line bundles of the form OX .D/. Similar definitions can be given for the Morse
sum functionals hO NS .X; ˛/ and hO DNS .X; ˛/. Clearly hO DNS .X; ˛/ hO NS .X; ˛/ on
q q q q
DNSR .X /, but we do not know at this point whether this is always an equality. From
the very definition, hO NS , hO NS (and likewise hO DNS , hO DNS ) are upper semi-continuous
q q q q
functions which are positively homogeneous of degree n, namely

hO NS .X; ˛/ D n hO NS .X; ˛/

q q
(68)
for all ˛ 2 NSR .X / and all 0. Notice that hO NS .X; ˛/ and hO NS .X; ˛/ are always
q q
finite thanks to holomorphic Morse inequalities (see below).

Proposition 84.
(a) For L 2 PicD .X /, one has hO q .X; L/ D hO q .X; c1 .L//, hO q .X; L/ D
hO DNS .X; c1 .L//, in particular asymptotic cohomology depends only on the
q
numerical class of L.
(b) The map ˛ 7! hO DNS .X; ˛/ is .locally/ Lipschitz continuous on DNSR .X /.
q
(c) When q D 0, hO 0DNS .X; ˛/ and hO 0NS .X; ˛/ coincide on DNSR .X / and the limsups
are limits.
The proof is derived from arguments quite similar to those already P developed
in [63] (see also [34] for the non projective situation).
P If D D pj Dj is an
integral divisor, we define its norm to be kDk D jpj j Vol! .Dj /, where the
volume of an irreducible divisor is computed by means of a given Hermitian
metric ! on X ; in other words, this is precisely the mass of the current of
integration ŒD with respect to !. Clearly, since X is compact, we get equivalent
norms for all choices of Hermitian metrics ! on X . We can also use ! to fix a
1;1
normalized metric on HBC .X; R/. Elementary properties of potential theory show
that kc1 .O.D//k C kDk for some constant C > 0 (but the converse inequality
is of course wrong in most cases). Proposition 84 is a simple consequence of the
more precise cohomology estimates (1.9) which will be obtained below. The special
case q D 0 is easier, in fact, one can get non zero values for hO 0 .X; L/ only when
L is big, i.e. when X is Moishezon (so that we are always reduced to the divisorial
situation); the fact that limsups are limits was proved in Theorem 67. We postpone
the proof to Sect. 19, which will provide stronger results based on approximate
Zariski decomposition.
Lemma 85. Let X be a compact complex n-fold. Then for every coherent sheaf F
on X , there is a constant CF > 0 such that for every holomorphic line bundle L
on X we have
hq .X; F ˝ OX .L// CF .kc1 .L/k C 1/p
where p D dim Supp F .
Proof. We prove the result by induction on p ; it is indeed clear for p D 0 since we
then have cohomology only in degree 0 and the dimension of H 0 .X; F ˝ OX .L//
does not depend on L when F has finite support. Let us consider the support Y
of F and a resolution of singularity W YO ! Y of the corresponding (reduced)
analytic space. Then F is an OY -module for some non necessarily reduced complex
structure OY DpOX =J on Y . We can look at the reduced structure OY;red D
OX =I , I D J , and filter F by I k F , k 0. Since I k F =I kC1 F is a
coherent OY;red -module, we can easily reduce the situation to the case where Y is
reduced and F is an OY -module. In that case the cohomology
214 J.-P. Demailly
H q .X; F ˝ OX .L// D H q .Y; F ˝ OY .LjY //
just lives on the reduced space Y .

Now, we have an injective sheaf morphism F ! F whose cokernel G
has support in dimension < p. By induction on p, we conclude from the exact
sequence that
ˇ q ˇ
ˇh .X; F ˝ OX .L// hq .X; F ˝ OX .L//ˇ C1 .kc1 .L/k C 1/p1 :
The functorial morphisms
W H q .Y; F ˝ OY .LjY // ! H q .YO ; F ˝ OYO . L/jY /;

W H q .YO ; F ˝ OYO . L/jY / ! H q .Y; F ˝ OY .LjY //
yield a composition
ı W H q .Y; F ˝ OY .LjY // ! H q .Y; F ˝ OY .LjY //
induced by the natural injection F ! F . This implies
hq .Y; F ˝ OY .LjY // hq .YO ; F ˝ OYO . LjY // C C1 .kc1 .L/k C 1/p1 :
By taking a suitable modification 0 W Y 0 ! Y of the desingularization YO , we

can assume that .0 / F is locally free modulo torsion. Then we are reduced to
the case where F 0 D .0 / F is a locally free sheaf on a smooth manifold Y 0 ,
and L0 D .0 / LjY . In this case, we apply Morse inequalities to conclude that
hq .Y 0 ; F 0 ˝ OY 0 .L0 // C2 .kc1 .L0 /k C 1/p . Since kc1 .L0 /k C3 kc1 .L/k by
pulling-back, the statement follows easily. t
u
Corollary 86. For every irreducible divisor D on X , there exists a constant CD
such that
hq .D; OD .LjD // CD .kc1 .L/k C 1/n1
Proof. It is enough to apply Lemma 85 with F D .iD / OD where iD W D ! X is
the injection. t
u
Remark 87. It is very likely that one can get an “elementary” proof of Lemma 85
without invoking resolutions of singularities, e.g. by combining the Cartan–Serre
finiteness argument along with the standard Serre–Siegel proof based ultimately
on the Schwarz lemma. In this context, one would invoke L2 estimates to get
explicit bounds for the homotopy operators between Čech complexes relative to
two coverings U D .B.xj ; rj //, U 0 D .B.xj ; rj =2// of X by concentric balls.
By exercising enough care in the estimates, it is likely that one could reach an
explicit dependence CD C 0 kDk for the constant CD of Corollary 86. The proof
would of course become much more technical than the rather naive brute force
approach we have used.
Theorem 88. Let X be a compact complex manifold. Fix a finitely generated

subgroup of the group of Z-divisors on X . Then there are constants C , C 0
depending only on X , its Hermitian metric ! and the subgroup , satisfying the
following properties.
(a) Let L and L0 D L ˝ O.D/ be holomorphic line bundles on X , where D 2
is an integral divisor. Then
ˇ q ˇ
ˇh .X; L0 / hq .X; L/ˇ C.kc1 .L/k C kDk/n1 kDk:
(b) On the subspace DNSR .X /, the asymptotic q-cohomology function hO DNS

q
satisfies a global estimate

ˇ q ˇ
ˇhO hO DNS .X; ˛/ˇ C 0 .k˛k C kˇk/n1 kˇ ˛k:
q
DNS .X; ˇ/
In particular .without any further assumption on X /, hO DNS is locally Lipschitz

q
continuous on DNSR .X /.
Proof. (a) We want to compare the cohomology of L and L0 D L ˝ O.D/ on X .
For this we write D D DC D , and compare the cohomology of the pairs L
and L1 D L ˝ O.D / one hand, and of L0 and L1 D L0 ˝ O.DC / on the
other hand. Since kc1 .O.D//k C kDk by elementary potential theory, we see
that is enough to consider the case of a negative divisor, i.e. L0 D L ˝ O.D/,
D 0. If D is an irreducible divisor, we use the exact sequence
0 ! L ˝ O.D/ ! L ! OD ˝ LjD ! 0
and conclude by Corollary 86 that
ˇ q ˇ
ˇh .X; L ˝ O.D// hq .X; L/ˇ hq .D; OD ˝ LjD / C hq1 .D; OD ˝ LjD /
2CD .kc1 .L/k C 1/n1 :
P
For D D pj Dj 0, we easily get by induction
ˇ q ˇ X X n1
ˇh .X; L ˝ O.D// hq .X; L/ˇ 2 pj CDj kc1 .L/k C pk krk k C 1 :
j k
If we knew that CD C 0 kDk as expected in Remark 1.6, then the argument

would be complete without any restriction on D. The trouble disappears if we
fix D in a finitely generated subgroup of divisors, because only finitely many
irreducible components appear in that case, and so we have to deal with only
finitely many constants CDj . Property 9(a) is proved.
216 J.-P. Demailly
(b) Fix once for all a finite set of divisors .j /1j t providing a basis of
1;1
DNSR .X / HBC .X; R/. Take two elements ˛ and ˇ in P DNSR .X /, and fix
" > 0. Then ˇ ˛ can be "-approximated by a Q-divisor j Dj , j 2 Q,
and we can find a pair .k; L/ with k arbitrary large such that k1 c1 .L/ is "-close
P
to ˛ and nŠ=k n hq .X; L/ approaches hO DNS .X; ˛/ by ". Then k1 L C
q
j j
approaches ˇ as closely as we want. When approximating ˇ ˛, we can arrange
that kj is an integer by takingP k large enough. Then ˇ is approximated by
0 0
k
1
c1 .L / with L D L ˝ O. kj j /. Property (a) implies
X n1 X

hq .X; L0 / hq .X; L/ C kc1 .L/k C kj j kj j

C k n k˛k C " C kˇ ˛k C "/n1 .kˇ ˛k C "/:
We multiply the previous inequality by nŠ=k n and get in this way

nŠ q
h .X; L0 / hO DNS .X; ˛/ " C 0 k˛k C kˇk C "/n1 .kˇ ˛k C "/:
q
kn
By taking the limsup and letting " ! 0, we finally obtain

hODNS .X; ˇ/ hO DNS .X; ˛/ C 0 k˛k C kˇk/n1 kˇ ˛k:
q q
Property 9(b) follows by exchanging the roles of ˛ and ˇ. t

u
3.3 Transcendental Asymptotic Cohomology Functions
Our ambition is to extend the function hO NS in a natural way to the full cohomology
q
1;1
group HBC .X; R/. The main trouble, already when X is projective algebraic,
is that the Picard number .X / D dimR NSR .X / may be much smaller than
1;1
dimR HBC .X; R/, namely, there can be rather few integral classes of type .1; 1/
on X . It is well known for instance that .X / D 0 for a generic complex torus of
1;1
dimension n 2, while dimR HBC .X; R/ D n2 . However, if we look at the natural
morphism
1;1
HBC .X; R/ ! HDR 2
.X; R/ ' H 2 .X; R/
to de Rham cohomology, then H 2 .X; Q/ is dense in H 2 .X; R/. Therefore, given
1;1
a class ˛ 2 HBC .X; R/ and a smooth d -closed .1; 1/-form u in ˛, we can find
an infinite sequence k1 Lk (k 2 S N) of topological Q-line bundles, equipped
with Hermitian metrics hk and compatible connections rk such that the curvature
forms k1 rk converge to u. By using Kronecker’s approximation with respect to
the integral lattice H 2 .X; Z/=torsion H 2 .X; R/, we can even achieve a fast
diophantine approximation
krk kuk C k 1=b2 (69)

for a suitable infinite subset k 2 S N of multipliers. Then in particular
kr0;2k k D kr0;2k k u0;2 k C k 1=b2 ; (70)
and we see that .Lk ; hk ; rk / is a C 1 Hermitian line bundle which is extremely

close to being holomorphic, since .rk0;1 /2 D r0;2k is very small. We fix a Hermitian
metric ! on X and introduce the complex Laplace–Beltrami operator
k;q D .rk0;1 /.rk0;1 / C .rk0;1 / .rk0;1 / acting on L2 .X; 0;q TX ˝ Lk /.
We look at its eigenspaces with respect to the L2 metric induced by ! on X and

hk on Lk . In the holomorphic case, Hodge theory tells us that the 0-eigenspace
is isomorphic to H q .X; O.Lk //, but in the “almost holomorphic case” the
0-eigenvalues deviate from 0, essentially by a shift of the order of magnitude of
kr0;2k k k 1=b2 (see also the PhD thesis of L. Laeng [64, Chap. 4], for more
details). It is thus natural to introduce in this case
1;1
Definition 89. Let X be a compact complex manifold and ˛ 2 HBC .X; R/
an arbitrary Bott–Chern .1; 1/-class. We define the “transcendental” asymptotic
q-cohomology functions to be
nŠ
(a) hO tr .X; ˛/ D inf
q
lim sup N. k;q ; k"/
u2˛
"!0; k!C1; Lk ; hk ; rk ; k1 rk !u kn
nŠ X
(b) hO tr .X; ˛/ D inf
q
lim sup .1/qj N. k;j ;
u2˛
"!0; k!C1; Lk ; hk ; rk ; k1 rk !u k n 0j q
k"/
where the lim sup runs over all 5-tuples ."; k; Lk ; hk ; rk /, and where
N. k;q ; k"/ denotes the sum of dimensions of all eigenspaces of eigenvalues at
most equal to k" for the Laplace–Beltrami operator k;q on L2 .X; 0;q TX ˝
Lk / associated with .Lk ; hk ; rk / and the base Hermitian metric !.
The word “transcendental” refers here to the fact that we deal with classes ˛ of
type .1; 1/ which are not algebraic or even analytic. Of course, in the definition,
we could have restricted the limsup to families satisfying a better approximation
property k k1 rk uk C k 11=b2 for some large constant C (this would lead a
priori to a smaller limsup, but there is enough stability in the parameter dependence
of the spectrum for making such a change irrelevant). The minimax principle easily
shows that Definition 36 does not depend on !, as the eigenvalues are at most
multiplied or divided by constants under a change of base metric. When ˛ 2
NSR .X /, by restricting our families f."; k; Lk ; hk ; rk /g to the case of holomorphic
line bundles only, we get the obvious inequalities
hO NS .X; ˛/ hO tr .X; ˛/;

q q
8˛ 2 NSR .X /; (71)
hO NS .X; ˛/ hO tr .X; ˛/;

q q
8˛ 2 NSR .X /: (72)
218 J.-P. Demailly
It is natural to raise the question whether these inequalities are always equalities.
Hopefully, the calculation of the quantities limk!C1 knŠn N. k;q ; k"/ is a problem
of spectral theory which is completely understood thanks to Sect. 1 (see also
[25, 91]). In fact, by Corollary I (1.13), the above limit can be evaluated explicitly
for any value of " 2 R, except possibly for a countable number of values of " for
which jumps occur; one only has to take care that the non-integrability of @ due to
the diophantine approximation does not contribute asymptotically to the eigenvalue
distribution, a fact which follows immediately from (40) (cf. [64]).
Theorem 90. With the above notations and assumptions, let us introduce at each
point x in X the “spectral density function”, defined as a finite sum
nŠ .4/sn X X
s ns
u ./ D ju1 j : : : jus j .2pj C 1/juj j
.n s/Š j D1
C
.p1 ;:::;ps /2Ns
where s D s.x/ is the rank of the real .1; 1/-form u at x, and uj , 1 j s, its non
zero eigenvalues with respect to the base Hermitian metric !, and P usC1 D : : : D
un D 0. For each multi-index J f1; 2; : : : ; ng, let us set uJ D j 2J uj . Then the
asymptotic spectrum of k;q admits the estimate
Z X
nŠ
lim N. k;q ; k/ D u . C u{J uJ / dV!
k!C1 k n X
jJ jDq
except possibly for a countable number of values of which are discontinuities of

the right hand integral as an increasing integral of .
Corollary 91. We have .as a limit rather than just a lim sup / the spectral estimate
Z
nŠ
lim N. k;q ; k"/ D .1/q un :
"!0; k!C1; Lk ; hk ; rk ; k1 rk !u kn X.u;q/
Coming back to the transcendental asymptotic cohomology functions, we get the

following fundamental result, which gives in some sense an explicit formula for
hO tr .X; ˛/ and hO tr .X; ˛/ in terms of Monge–Ampère operators.
q q
Theorem 92. The lim sup’s defining hO tr .X; ˛/ and hO tr .X; ˛/ are limits, and we
q q
have
Z
O q
(a) htr .X; ˛/ D inf .1/q un .u smooth/:
u2˛ X.u;q/
Z
(b) hO tr .X; ˛/ D inf
q
.1/q un .u smooth/:
u2˛ X.u;q/
Now, if L ! X is a holomorphic line bundle, we have by definition

Z
O q O q O q
h .X; L/ hDNS .X; c1 .L// hNS .X; c1 .L// inf .1/q un (73)
u2c1 .L/ X.u;q/
(u smooth), where the last inequality is a consequence of holomorphic Morse

inequalities. We hope for the following conjecture which would imply that we
always have equalities.
Conjecture 93. For every holomorphic line bundle L ! X on a compact complex
manifold X , we have
Z
O
(a) h .X; L/ D inf
q
.1/q un ; u smooth;
u2˛ X.u;q/
Z
O q
(b) h .X; L/ D inf .1/q un ; u smooth:
u2˛ X.u;q/
1;1
Since the right hand side is easily seen to depend continuously on ˛ 2 HBC .X; C/,
one would get:
Corollary of the conjecture 94. If Conjecture 93 holds true, then
hO NS .X; ˛/ D hO tr .X; ˛/ hO NS .X; ˛/ D hO tr .X; ˛/

q q q q
.a/ and (b)
for all classes ˛ 2 NSR .X /.

In general, equalities 93(a, b) seem rather hard to prove. In some sense, they
would stand as an asymptotic converse of the Andreotti–Grauert theorem [3]:
under a suitable q-convexity assumption, the latter asserts the vanishing of related
cohomology groups in degree q; here, conversely, assuming a known growth of
these groups in degree q, we expect to be able to say something about the q-index
sets of suitable Hermitian metrics on the line bundles under consideration. The only
cases where we have a positive answer to Question 2.8 are when X is projective
and q D 0 or dim X 2 (see Theorems 97 and 98 below). In the general setting of
compact complex manifolds, we also hope for the following “transcendental” case
of holomorphic Morse inequalities.
Conjecture 95. Let X be a compact complex n-fold and ˛ an arbitrary cohomology
1;1
class in HBC .X; R/. Then the volume, defined as the supremum
Z
Vol.˛/ WD sup T n; (74)
0<T 2˛ X XSing.T /
extended to all Kähler currents T 2 ˛ with analytic singularities .see Definition

II (4.4)/, satisfies Z
Vol.˛/ sup un (75)
u2˛ X.u;0/[X.u;1/
where u runs over all smooth closed .1; 1/ forms. In particular, if the right hand side
is positive, then ˛ contains a Kähler current.
By the holomorphic Morse inequalities, Conjecture 95 holds true in case ˛ is an
integral class. Our hope is that the general case can be attained by the diophantine
approximation technique described earlier; there are however major hurdles, see
[64] for a few hints on these issues.
220 J.-P. Demailly
3.4 Invariance by Modification
We end this section by the observation that the asymptotic cohomology functions
are invariant by modification, namely that for every modification W XQ ! X and
every line bundle L we have e.g.
hO q .X; L/ D hO q .XQ ; L/: (76)
In fact the Leray spectral sequence provides an E2 term
D H p .X; Rq OXQ . L˝k // D H p .X; OX .L˝k / ˝ Rq OXQ /:

p;q
E2
Since Rq OXQ is equal to OX for q D 0 and is supported on a proper analytic

subset of X for q 1, one infers that hp .X; OX .L˝k ˝ Rq OXQ / D O.k n1 / for
all q 1. The spectral sequence implies that
hq .X; L˝k / hOq .XQ ; L˝k / D O.k n1 /:
We claim that the Morse integral infimums are also invariant by modification.
Proposition 96. Let .X; !/ be a compact Kähler manifold, ˛ 2 H 1;1 .X; R/ a real
cohomology class and W XQ ! X a modification. Then
Z Z
(a) inf .1/ u D inf
q n
.1/q v n ;
u2˛ X.u;q/ v2 ˛ X.v;q/
Z Z
(b) inf .1/q un D inf .1/q v n :
u2˛ X.u;q/ v2 ˛ X.v;q/
Proof. Given u 2 ˛ on X , we obtain Morse integrals with the same values by

taking v D u on XQ , hence the infimum on XQ is smaller or equal to what is on X .
Conversely, we have to show that given a smooth representative v 2 ˛ on XQ , one
can find a smooth representative u 2 X such that the Morse integrals do not differ
much. We can always assume that XQ itself is Kähler, since by Hironaka [55] any
modification XQ is dominated by a composition of blow-ups of X . Let us fix some
u0 2 ˛ and write
i i
v D u0 C dd c '; dc D .@ @/; dd c D @@;
4 2
where ' is a smooth function on XQ . We adjust ' by a constant in such a way that
' 1 on XQ . There exists an analytic set S X such that W XQ X1 .S / ! X XS
is a biholomorphism, and a quasi-psh function S which is smooth on X X S and
has 1 logarithmic poles on S (see e.g. [24]). We define
uQ D u0 Cdd c max"0 .' Cı S ı; 0/ D vCdd c max"0 .ı S ı; '/ (77)

where max"0 , 0 < "0 < 1, is a regularized max function and ı > 0 is very small.
By construction uQ coincides with u0 in a neighborhood of 1 .S / and therefore
uQ descends to a smooth closed .1; 1/-form u on X which coincides with u0 near S ,
so that uQ D u. Clearly uQ converges uniformly to v on every compact subset of
XQ X 1 .S / as ı ! 0, so we only have to show that the Morse integrals are small
(uniformly in ı) when restricted to a suitable small neighborhood of the exceptional
set E D 1 .S /. Take a sufficiently large Kähler metric !Q on XQ such that
1 1 1 1
!Q v !;
Q !Q dd c ' !;
Q !Q dd c S ı :
2 2 2 2
Then uQ !Q and uQ !Q C ı dd c S ı everywhere on XQ . As a consequence

n
jQun j !Q C ı.!Q C dd c S ı /
n1
!Q n C nı.!Q C dd c S ı / ^ !Q C ı.!Q C dd c S ı /
thanks to the inequality .a C b/n an C nb.a C b/n1 . For any neighborhood V

of 1 .S / this implies
Z Z Z
jQu j
n
!Q C nı.1 C ı/
n n1
!Q n
V V XQ
by Stokes formula. We thus see that the integrals are small if V and ı are small.
The reader may be concerned that Monge–Ampère integrals were used with an
unbounded potential S , but in fact, for any given ı, all the above formulas and
estimates are still valid when we replace S by max"0 . S ; .M C 2/=ı/ with
M D maxXQ ', especially formula (77) shows that the form uQ is unchanged.
Therefore our calculations can be handled by using merely smooth potentials. t
u
3.5 Proof of the Infimum Formula for the Volume
We prove here
Theorem 97. Let L ! X be a holomorphic line bundle on a projective algebraic
manifold X . Then Z
Vol.X; L/ D inf un :
u2c1 .L/ X.u;0/
It is enough to show the inequality

Z
inf un Vol.X; L/ (78)
u2c1 .L/ X.u;0/
222 J.-P. Demailly
and for this, we have to construct metrics approximating the volume. Let us first
assume that L is a big line bundle, i.e. that Vol.X; L/ > 0. We have seen
in Definition 66 andR Theorem 67 (cf. also [18]) that Vol.X;i L/ is obtained as
the supremum of X XSing.T / T n for Kähler currents T D 2 @@h with analytic
singularities in c1 .L/; this means that locally h D e ' where P ' is a strictly
plurisubharmonic function which has the same singularities as c log jgj j2 where
c > 0 and the gj are holomorphic functions. By [28], there exists a blow-up
W XQ ! X such that T D ŒE C ˇ where E is a normal crossing divisor
on XQ and ˇ 0 smooth. Moreover, by [19] we have the orthogonality estimate
Z
1=2
ŒE ˇ n1 D ˇ n1 C Vol.X; L/ ˇ n ; (79)
E
while Z Z
ˇn D ˇn D Tn approaches Vol.X; L/: (80)
XQ X XSing.T /
In other words, E and ˇ become “more and more orthogonal” as ˇ n approaches the
volume (these properties are summarized by saying that T D ŒE C ˇ defines
an approximate Zariski decomposition of c1 .L/, cf. also [47]). By subtracting to ˇ
a small linear combination of the exceptional divisors and increasing accordingly
the coefficients of E, we can achieve that the cohomology class fˇg contains a
positive definite form ˇ 0 on XQ (i.e. the fundamental form of a Kähler metric); we
refer e.g. to [42, proof of Lemma 29] for details. This means that we can replace T
by a cohomologous current such that the corresponding form ˇ is actually a Kähler
metric, and we will assume for simplicity of notation that this situation occurs right
away for T . Under this assumption, there exists a smooth closed .1; 1/-form v
belonging to the Bott–Chern cohomology class of ŒE , such that we have identically
.v ıˇ/ ^ ˇ n1 D 0 where
ŒE ˇ n1 1=2
ıD n
C 0 .Vol.X; L/ ˇ n (81)
ˇ
for some constant C 0 > 0. In fact, given an arbitrary smooth representative v0 2

fŒE g, the existence of v D v0 C i @@ amounts to solving a Laplace equation
D R f with respect to the Kähler metric ˇ, and the choice of ı ensures that we
have X f ˇ n D 0 and hence that the equation is solvable. Then uQ WD v C ˇ is
a smooth closed .1; 1/-form in the cohomology class c1 .L/, and its eigenvalues
with respect to ˇ are of the form 1 C j whereP j are the eigenvalues of v. The
Laplace equation is equivalent to the identity j D nı. Therefore
X 1=2
j C 00 .Vol.X; L/ ˇ n : (82)
1j n
The inequality between arithmetic means and geometric means implies

Y 1 X n 1=2
.1 C j / 1 C j 1 C C3 .Vol.X; L/ ˇ n
1j n
n 1j n
whenever all factors .1 C j / are nonnegative. By 2.2(i) we get

Z Z
inf un uQ n
u2c1 .L/ X.u;0/ XQ .Qu;0/
Z
1=2
ˇ n 1 C C3 .Vol.X; L/ ˇ n
XQ
1=2
Vol.X; L/ C C4 .Vol.X; L/ ˇ n :
As ˇ n approaches Vol.X; L/, this implies inequality (4.1).

We still have to treat the case when L is not big, i.e. Vol.X; L/ D 0. Let A
be an ample line bundle and let t0 0 be the infimum of real numbers such that
L C tA is a big Q-line bundle for t rational, t > t0 . The continuity of the volume
function implies that 0 < Vol.X; L C tA/ " for t > t0 sufficiently close to t0 .
RBy what nwe have just proved, there exists a smooth form ut 2 c1 .L C tA/ such that
X.ut ;0/ ut 2". Take a Kähler metric ! 2 c1 .A/ and define u D ut t!. Then
clearly Z Z
un unt 2";
X.u;0/ X.ut ;0/
hence Z
inf un D 0:
u2c1 .L/ X.u;0/
Inequality (4.1) is now proved in all cases. t

u
3.6 Estimate of the First Cohomology Group on a Projective

Surface
Our goal here is to show the following result.

Theorem 98. Let L ! X be a holomorphic line bundle on a complex projective
surface. Then both weak and strong inequalities (23)(i) and (23)(ii) are equalities
for q D 0; 1; 2, and the lim sup’s involved in hO q .X; L/ and hO q .X; L/ are limits.
We start with a projective non singular variety X of arbitrary dimension n, and
will later restrict ourselves to the case when X is a surface. The proof again consists
of using (approximate) Zariski decomposition, but now we try to compute more
explicitly the resulting curvature forms and Morse integrals; this will turn out to be
much easier on surfaces.
224 J.-P. Demailly
Assume first that L is a big line bundle on X . As in Sect. 3, we can find an

approximate Zariski decomposition, i.e. a blow-up W XQ ! X and a current T 2
c1 .L/ such T D ŒE C ˇ, where E an effective divisor and ˇ a Kähler metric on
XQ such that
Vol.X; L/ < ˇ n < Vol.X; L/; 1: (83)
(On a projective surface, one could even get exact Zariski decomposition, but we
want to remain general as long as possible). By blowing-up further, we may assume
that E is a normal crossing divisor. We select a Hermitian metric h on O.E/ and
take
i
u" D @@ log.jE j2h C "2 / C O.E/;h C ˇ 2 c1 .L/ (84)
2
where E 2 H 0 .XQ ; O.E// is the canonical section and O.E/;h the Chern curvature
form. Clearly, by the Lelong–Poincaré equation, u" converges to ŒE Cˇ in the weak
topology as " ! 0. Straightforward calculations yield
i "2 Dh1;0 E ^ Dh1;0 E "2

u" D C 2 E;h C ˇ:
2 ." C jE j /
2 2 2 " C jE j2
The first term converges to ŒE in the weak topology, while the second, which is
close to E;h near E, converges pointwise everywhere to 0 on XQ X E. A simple
asymptotic analysis shows that
i "2 D 1;0 ^ D 1;0 "2 p

E E p1
h h
C E;h ! ŒE ^ E;h
2 ."2 C jE j2 /2 "2 C jE j2
in the weak topology for p 1, hence

!
Xn
n p1
lim un" Dˇ C
n
ŒE ^ E;h ^ ˇ np : (85)
"!0
pD1
p
In arbitrary dimension, the signature of u" is hard to evaluate, and it is also non
trivial to decide the sign of the limiting measure lim un" . However, when n D 2,
we get the simpler formula
lim u2" D ˇ 2 C 2ŒE ^ ˇ C ŒE ^ E;h :

"!0
In this case, E can be assumed to be an exceptional divisor (otherwise some part

of it would be nef and could be removed from the poles of T ). Hence the matrix
.Ej Ek / is negative definite and we can find a smooth Hermitian metric h on O.E/
such that .E;h /jE < 0, i.e. E;h has one negative eigenvalue everywhere along E.
Lemma 99. One can adjust the metric h of O.E/ in such a way that E;h is
negative definite on a neighborhood of the support jEj of the exceptional divisor,
and E;h C ˇ has signature .1; 1/ there. .We do not care about the signature far
away from jEj/.
Proof. At a given point x0 2 X , let us fix coordinates and a positive quadratic

form q on C2 . If we put " .z/ D ".z/ log.1 C "1 q.z// with a suitable cut-off
function , then the Hessian form of " is equal to q at x0 and decays rapidly to
O." log "/jdzj2 away from x0 . In this way, after multiplying h with e ˙ " .z/ , we can
replace the curvature E;h .x0 / with E;h .x0 / ˙ q without substantially modifying
the form away from x0 . This allows to adjust E;h to be equal to (say) 14 ˇ.x0 /
at any singular point x0 2 Ej \ Ek in the support of jEj, while keeping E;h
negative definite along E. In order to adjust the curvature at smooth points x 2 jEj,
we replace the metric h with h0 .z/ D h.z/ exp.c.z/jE .z/j2 /. Then the curvature
form E;h is replaced by E;h0 .x/ D Eh .x/ C c.x/jdE j2 at x 2 jEj (notice that
dE .x/ D 0 if x 2 SingjEj), and we can always select a real function c so that
E;h0 is negative definite with one negative eigenvalue between 1=2 and 0 at any
point of jEj. Then E;h0 C ˇ has signature .1; 1/ near jEj. t
u
With this choice of the metric, we see that for " > 0 small, the sum
"2
E;h C ˇ
"2 C jE j2
is of signature .2; 0/ or .1; 1/ (or degenerate of signature .1; 0/), the non positive
definite points being concentrated in a neighborhood of E. In particular the index
set X.u" ; 2/ is empty, and also
i "2 Dh1;0 E ^ Dh1;0 E

u" Cˇ
2 ."2 C jE j2 /2
on a neighborhood V of jEj, while u" converges uniformly to ˇ on XQ X V . This

implies that
Z Z
ˇ 2 lim inf u2" lim sup u2" ˇ 2 C 2ˇ E:
"!0 X.u" ;0/ "!0 X.u" ;0/
R
Since XQ u2" D L2 D ˇ 2 C 2ˇ E C E 2 we conclude by taking the difference that
Z Z
E 2 2ˇ E lim inf u2" lim sup u2" E 2 :
"!0 X.u" ;1/ "!0 X.u" ;1/
Let us recall that ˇ E C.Vol.X; L/ ˇ 2 /1=2 D 0.1=2 / is small by (84) and the
orthogonality estimate. The asymptotic cohomology is given here by hO 2 .X; L/ D
0 since h2 .X; L˝k / D H 0 .X; KX ˝ L˝k / D 0 for k k0 , and we have by
Riemann–Roch
hO 1 .X; L/ D hO 0 .X; L/ L2 D Vol.X; L/ L2 D E 2 ˇ E C O./:

226 J.-P. Demailly
Here we use the fact that knŠn h0 .X; L˝k / converges to the volume when L is big.
All this shows that equality occurs in the Morse inequalities (67) when we pass to
the infimum. By taking limits in the Neron–Severi space NSR .X / H 1;1 .X; R/,
we further see that equality occurs as soon as L is pseudo-effective, and the same
is true if L is pseudo-effective by Serre duality. It remains to treat the case
when neither L nor L are pseudo-effective. Then hO 0 .X; L/ D hO 2 .X; L/ D 0,
and asymptotic cohomology appears only in degree 1, with hO 1 .X; L/ D L2 by
Riemann–Roch. Fix an ample line bundle A and let t0 > 0 be the infimum of real
numbers such that L C tA is big for t rational, t > t0 , resp. let t00 > 0 be the
infimum of real numbers t 0 such that L C t 0 A is big for t 0 > t00 . Then for t > t0
and t 0 > t00 , we can find a modification W XQ ! X and currents T 2 c1 .L C tA/,
T 0 2 c1 .L C t 0 A/ such that
T D ŒE C ˇ; T 0 D ŒF C
where ˇ, are Kähler forms and E, F normal crossing divisors. By taking a suitable
linear combination t 0 .L C tA/ t.L C t 0 A/ the ample divisor A disappears, and
we get
1 0 0

t ŒE C t ˇ tŒF t 2 c1 .L/:
t C t0
After replacing E, F , ˇ, by suitable multiples, we obtain an equality
ŒE ŒF C ˇ 2 c1 .L/:
We may further assume by subtracting that the divisors E, F have no common

components. The construction shows that ˇ 2 Vol.X; L C tA/ can be taken
arbitrarily small (as well of course as 2 ), and the orthogonality estimate implies
that we can assume ˇ E and F to be arbitrarily small. Let us introduce metrics
hE on O.E/ and hF on O.F / as in Lemma 99, and consider the forms
1;0 1;0
i "2 DhE E ^ DhE E "2
u" D C C 2 E;hE C ˇ
2 ." C jE j /
2 2 2 " C jE j2
2 1;0 1;0
i " DhF F ^ DhF F "2
2 F;hF 2 c1 .L/:
2 ." C jF j /
2 2 2 " C jF j2
Observe that u" converges uniformly to ˇ outside of every neighborhood of

jEj [ jF j. Assume that E;hE < 0 on VE D fjE j < "0 g and F;hF < 0 on
VF D fjF j < "0 g. On VE [ VF we have
1;0 1;0
i "2 DhE E ^ DhE E "2 "2 C
u" 2 F;hF C ˇ C 2 E;h
2 ." C jE j /
2 2 2 " C jF j 2 "0 E
C
where E;h E
is the positive part of E;hE with respect to ˇ. One sees immediately
that this term is negligible. The first term is the only one which is not uniformly
bounded, and actually it converges weakly to the current ŒE . By squaring, we find
Z Z
lim sup u2" .ˇ /2 C 2ˇ E:
"!0 X.u" ;0/ X.ˇ;0/
"2
Notice that the term "2 Cj j2 F;hF does not contribute to the limit as it converges
F
boundedly almost everywhere to 0, the exceptions being points of R jF j, but this set is
of measure zero with respect to the current ŒE . Clearly we have X.ˇ;0/ .ˇ /2
ˇ 2 and therefore Z
lim sup u2" ˇ 2 C 2ˇ E:
"!0 X.u" ;0/
Similarly, by looking at u" , we find

Z
lim sup u2" 2 C 2 F:
"!0 X.u" ;2/
These lim sup’s are small and we conclude that the essential part of the mass is
concentrated on the 1-index set, as desired. u
t
Remark 100. It is interesting to put these results in perspective with the algebraic
version Theorem 23 of holomorphic Morse inequalities. When X is projective, the
algebraic Morse inequalities used in combination with the birational invariance of
the Morse integrals imply the inequalities
Z !
n
(a) inf .1/q un inf F nq G q ;
u2c1 .L/ X.u;q/ .L/'O.F G/ q
Z !
X
qj n
(b) inf .1/ u inf
q n
.1/ F nj G j ;
u2c1 .L/ X.u;q/ .L/'O.F G/
0j q
j
where the infimums on the right hand side are taken over all modifications
W XQ ! X and all decompositions L D O.F G/ of L as a difference
of two nef Q-divisors F; G on XQ . Again, a natural question is to know
whether these infimums derived from algebraic intersection numbers are equal
to the asymptotic cohomology functionals hO q .X; L/ and hO q .X; L/. A positive
answer would of course automatically yield a positive answer to the equality
cases in 2.9(a) and (b). However, the Zariski decompositions involved in our
proofs of equality for q D 0 or n 2 produce certain effective exceptional
divisors which are not nef. It is unclear how to write those effective divisors as
a difference of nef divisors. This fact raises a lot of doubts upon the sufficiency
of taking merely differences of nef divisors in the infimums (a) and (b), and it
is likely that one needs a more subtle formula. t
u
228 J.-P. Demailly
3.7 Singular Holomorphic Morse Inequalities
The goal of this short section is to extend holomorphic Morse inequalities to the
case of singular Hermitian metrics, following Bonavero’s PhD thesis [13] (cf. also
[14]).We always assume that our Hermitian metrics h are given by quasi-psh
weights '. By Theorem 88, one can always approximate the weight by an arbitrary
close quasi-psh weight ' with analytic singularities, modulo smooth functions.
Theorem 101. Let .L; h/ be a holomorphic line bundle on a compact complex
n-fold X , and let E be an arbitrary holomorphic vector bundle of rank r. Assume
that locally h D e ' has analytic singularities, and that ' is quasi-psh of the form
X
h D c log jgj j2 mod C 1 ; c > 0;
in such a way that for a suitable modification W XQ ! X one has L;h D ŒD Cˇ

where D is an effective divisor and ˇ a smooth form on XQ . Let S D .Supp D/
be the singular set of h. Then we have the following asymptotic estimates for the
cohomology twisted by the appropriate multiplier ideal sheaves:
Z
kn
(a) h .X; E ˝ L ˝ I .h // r
q k k
.1/q L;h
n
C o.k n / :
nŠ X.L;h;q/XS Z
X kn
(b) .1/qj hj .X; E˝Lk ˝I .hk // r .1/q L;h
n
Co.k n / :
0j q
nŠ X.L;h;q/XS
Proof. For this, we observe that the Morse integrals are given by
Z
.1/q ˇ n ;
XQ .ˇ;q/
thanks to a change of variable z D .x/. In fact, by our assumption L;h is

smooth on X X S , and its pull-back L;h coincides with the smooth form ˇ
on the complement XQ X Supp D (and Supp D is a negligible set with respect to the
integration of the smooth .n; n/ form ˇ n on XQ .) Now, a straightforward L2 argument
in the change of variable (cf. [33]) yields the direct image formula

KX ˝ I .hk / D KXQ ˝ I . hk / : (86)
Let us introduce the relative canonical sheaf KX=X

Q D KXQ ˝ KX1 D O.div.Jac //
and let us put
LQ D L; hQ D h; EQ D E ˝ KX=X
Q :
Then hQ has divisorial singularities and therefore I .hQ k / D O.bkDc/ where b: : :c

means the integral part of a divisor. The projection formula for direct images yields

EQ ˝ LQ k ˝ I .hQ k / D E ˝ Lk ˝ I .hk /;

Rq EQ ˝ LQ k ˝ I .hQ k / D E ˝ Lk ˝ KX1 ˝ Rq KXQ ˝ I .hQ k / :
However, for k k0 large enough, the multiplicities of bkDc are all > 0 for each of
the components of D, hence I .hk / D O.bkDc/ is relatively ample with respect
to the morphism W XQ ! X . From this, e.g. by an application L
of Hörmander’s
2
estimates (see [13] for more details), we conclude that R KXQ ˝ I .hQ / D 0
q k
for k k0 . The Leray spectral sequence then implies

H q X; E ˝ Lk ˝ I .hk / ' H q XQ ; EQ ˝ LQ k ˝ I .hQ k / : (87)
This reduces the proof to the case of divisorial singularities. Let us next assume that
D is a Q-divisor. Let a be a denominator for D, and put k D a` C b, 0 b a 1.
Then
Q k ˝ I .hQ k / D EQ ˝ LQ a`Cb ˝ O.a`D bbDc/ D Fb ˝ G `

EQ ˝ L
where
Fb D EQ ˝ L
Q b ˝ O.bbDc/; G D LQ a ˝ O.aD/:
By construction, we get a smooth Hermitian metric hG on G such that G;hG D aˇ.
In this case, the proof is reduced to the standard case of holomorphic Morse
inequalities, applied to the smooth Hermitian line bundle .G; hG / on XQ and the
finite family of rank r vector bundles Fb , 0 b a 1. The result is true even
when D is a real divisor. In fact, we can then perturb the coefficients of D by small
"’s to get a rational divisor D" , and we then have to change the smooth part of L;
Q hQ
to ˇ" D ˇ C O."/ (again smooth); actually ˇ" ˇ can be taken to be a linear
combination by coefficients O."/ of given smooth forms representing the Chern
classes c1 .O.Dj // of the components of D. The Morse integrals are then perturbed
by O."/. On the other hand, Theorem 88 shows that the cohomology groups in the
right hand side of (87) are perturbed by "k n . The result follows as " ! 0, thanks to
the already settled rational case. t
u
4 Morse Inequalities and the Green–Griffiths–Lang

Conjecture
The goal of this section is to study the existence and properties of entire curves
f W C ! X drawn in a complex irreducible n-dimensional variety X , and more
specifically to show that they must satisfy certain global algebraic or differential
230 J.-P. Demailly
equations as soon as X is projective of general type. By means of holomorphic

Morse inequalities and a probabilistic analysis of the cohomology of jet spaces,
we are able to prove a significant step of a generalized version of the Green–
Griffiths–Lang conjecture on the algebraic degeneracy of entire curves.
4.1 Introduction
Let X be a complex n-dimensional manifold ; most of the time we will assume

that X is compact and even projective algebraic. By an “entire curve” we always
mean a non constant holomorphic map defined on the whole complex line C, and
we say that it is algebraically degenerate if its image is contained in a proper
algebraic subvariety of the ambient variety. If W XQ ! X is a modification and
f W C ! X is an entire curve whose image f .C/ is not contained in the image
.E/ of the exceptional locus, then f admits a unique lifting fQ W C ! XQ .
For this reason, the study of the algebraic degeneration of f is a birationally
invariant problem, and singularities do not play an essential role at this stage.
We will therefore assume that X is non singular, possibly after performing a suitable
composition of blow-ups. We are interested more generally in the situation where
the tangent bundle TX is equipped with a linear subspace V TX , that is,
an irreducible complex analytic subset of the total space of TX such that (0.1) all
fibers Vx WD V \ TX;x are vector subspaces of TX;x . Then the problem is to study
entire curves f W C ! X which are tangent to V , i.e. such that f TC V .
We will refer to a pair .X; V / as being a directed variety (or directed manifold).
A morphism of directed varieties ˚ W .X; V / ! .Y; W / is a holomorphic map
˚ W X ! Y such that ˚ V W ; by the irreducibility, it is enough to check this
condition over the dense open subset X X Sing.V / where V is actually a subbundle.
Here Sing.V / denotes the indeterminacy set of the associated meromorphic map
˛ W X > G .T / to the Grassmannian bundle of r-planes in T , r D rank V ;
r X X
we thus have VjX XSing.V / D ˛ S where S ! Gr .TX / is the tautological subbundle
of Gr .TX /. In that way, we get a category, and we will be mostly interested in the
subcategory whose objects .X; V / are projective algebraic manifolds equipped with
algebraic linear subspaces. Notice that an entire curve f W C ! X tangent to V is
just a morphism f W .C; TC / ! .X; V /.
The case where V D TX=S is the relative tangent space of some fibration X ! S
is of special interest, and so is the case of a foliated variety (this is the situation
where the sheaf of sections O.V / satisfies the Frobenius integrability condition
ŒO.V /; O.V / O.V /); however, it is very useful to allow as well non integrable
linear subspaces V . We refer to V D TX as being the absolute case. Our main
target is the following deep conjecture concerning the algebraic degeneracy of entire
curves, which generalizes similar statements made in [51] (see also [65, 66]).
Generalized Green-Griffiths-Lang conjecture 102. Let .X; V / be a projective
directed manifold such that the canonical sheaf KV is big .in the absolute case
V D TX , this means that X is a variety of general type, and in the relative case
we will say that .X; V / is of general type/. Then there should exist an algebraic
subvariety Y ¨ X such that every non constant entire curve f W C ! X tangent to
V is contained in Y .
The precise meaning of KV and of its bigness will be explained below—our
definition does not coincide with other frequently used definitions and is in our view
better suited to the study of entire curves of .X; V /. One says that .X; V / is Brody-
hyperbolic when there are no entire curves tangent to V . According to (generalized
versions of) conjectures of Kobayashi [Kob70, Kob76] the hyperbolicity of .X; V /
should imply that KV is big, and even possibly ample, in a suitable sense. It would
then follow from Conjecture 102 that .X; V / is hyperbolic if and only if for every
irreducible variety Y X , the linear subspace VYQ D TYQ XE \ 1 V TYQ has
a big canonical sheaf whenever W YQ ! Y is a desingularization and E is the
exceptional locus.
The most striking fact known at this date on the Green–Griffiths–Lang conjecture
is a recent result of Diverio et al. [41] in the absolute case, confirming the statement
when X PnC1 C is a generic non singular hypersurface of large degree d , with a
5
(non optimal) sufficient lower bound d 2n . Their proof is based in an essential
way on a strategy developed by Siu [90, 91], combined with techniques of [31].
Notice that if the Green–Griffiths–Lang conjecture holds true, a much stronger and
probably optimal result would be true, namely all smooth hypersurfaces of degree
d n C 3 would satisfy the expected algebraic degeneracy statement. Moreover,
by results of Clemens [21] and Voisin [101], a (very) generic hypersurface of
degree d 2n C 1 would in fact be hyperbolic for every n 2. Such a generic
hyperbolicity statement has been obtained unconditionally by McQuillan [71, 72]
when n D 2 and d 35, and by Demailly-El Goul [36] when n D 2 and d 21.
Recently Diverio–Trapani [45] proved the same result when n D 3 and d 593. By
definition, proving the algebraic degeneracy means finding a non zero polynomial P
on X such that all entire curves f W C ! X satisfy P .f / D 0. All known methods
of proof are based on establishing first the existence of certain algebraic differential
equations P .f I f 0 ; f 00 ; : : : ; f .k/ / D 0 of some order k, and then trying to find
enough such equations so that they cut out a proper algebraic locus Y ¨ X .
Let Jk V be the space of k-jets of curves f W .C; 0/ ! X tangent to V . One
GG
defines the sheaf O.Ek;m V / of jet differentials of order k and degree m to be
the sheaf of holomorphic functions P .zI 1 ; : : : k / on Jk V which are homogeneous
polynomials of degree m on the fibers of J k V ! X with respect to local coordinate
derivatives j D f .j / .0/ (see below in case V has singularities). The degree m
considered here is the weighted degree with respect to the natural C action on J k V
defined by f .t/ WD f .t/, i.e. by reparametrizing the curve with a homothetic
change of variable. Since . f /.j /.t/ D j f .j / .t/, the weighted action is given
in coordinates by
. 1; 2; : : : ; k/ D . 1 ; 2 2 ; : : : ; k k /: (88)
232 J.-P. Demailly
One of the major tool of the theory is the following result due to Green–Griffiths
[51] (see also [9, 31, 32, 89, 92, 93]).
Fundamental vanishing theorem 103. Let .X; V / be a directed projective variety
and f W .C; TC / ! .X; V / an entire curve tangent to V . Then for every global
GG
section P 2 H 0 .X; Ek;m V ˝ O.A// where A is an ample divisor of X , one has
0 00
P .f I f ; f ; : : : ; f / D 0.
.k/
Let us give the proof of vanishing Theorem 103 in a special case. We interpret
GG
here Ek;m V ˝ O.A/ as the bundle of differential operators whose coefficients
vanish along A. By a well-known theorem of Brody [20], for every entire curve
f W .C; TC / ! .X; V /, one can extract a convergent “renormalized” sequence
g D lim f ı h where h are suitable homographic functions, in such a way that
g is an entire curve with bounded derivative supt 2C kg 0 .t/k! < C1 (with respect
to any given Hermitian metric ! on X ); the image g.C/ is then contained in the
cluster set f .C/, but it is possible that g.C/ ¨ f .C/. Then Cauchy inequalities
imply that all derivatives g .j / are bounded, and therefore, by compactness of X ,
u D P .g I g 0 ; g 00 ; : : : ; g.k/ / is a bounded holomorphic function on C. However,
after raising P to a power, we may assume that A is very ample, and after moving
A 2 jAj, that Supp A intersects g.C/. Then u vanishes somewhere, hence u 0 by
Liouville’s theorem. The proof for the general case is more subtle and makes use of
Nevanlinna’s second main theorem (see the above references).
GG
It is expected that the global sections of H 0 .X; Ek;m V ˝ O.A// are precisely
those which ultimately define the algebraic locus Y ¨ X where the curve f should
lie. The problem is then reduced to the question of showing that there are many non
GG
zero sections of H 0 .X; Ek;m V ˝ O.A//, and further, understanding what is their
joint base locus. The first part of this program is the main result of this section.
Theorem 104. Let .X; V / be a directed projective variety such that KV is big
and let A be an ample divisor. Then for k 1 and ı 2 QC small enough,
GG
ı c.log k/=k, the number of sections h0 .X; Ek;m V ˝ O.mıA// has maximal
growth, i.e. is larger that ck mnCkr1 for some m mk , where c; ck > 0, n D dim X
and r D rank V . In particular, entire curves f W .C; TC / ! .X; V / satisfy .many/
algebraic differential equations.
The statement is very elementary to check when r D rank V D 1, and therefore
when n D dim X D 1. In higher dimensions n 2, only very partial results
were known at this point, concerning merely the absolute case V D TX . In
dimension 2, Theorem 104 is a consequence of the Riemann–Roch calculation
of Green–Griffiths [51], combined with a vanishing theorem due to Bogomolov
[11]—the latter actually only applies to the top cohomology group H n , and things
become much more delicate when estimates of intermediate cohomology groups are
needed. In higher dimensions, Diverio [39, 40] proved the existence of sections of
GG
H 0 .X; Ek;m V ˝ O.1// whenever X is a hypersurface of PnC1 C of high degree
d dn , assuming k n and m mn . More recently, Merker [73] was able to treat
the case of arbitrary hypersurfaces of general type, i.e. d nC3, assuming this time
k to be very large. The latter result is obtained through explicit algebraic calculations
of the spaces of sections, and the proof is computationally very intensive. Bérczi [6]
also obtained related results with a different approach based on residue formulas,
assuming d 27n log n .
All these approaches are algebraic in nature, and use only the algebraic version
of holomorphic Morse inequalities (Sect. 1.3.4). Here, however, our techniques are
based on more elaborate curvature estimates in the spirit of Cowen–Griffiths [22].
They require the stronger analytic form of holomorphic Morse inequalities (see
Sects. 1 and 3.7)—and we do not know how to translate our method in an algebraic
setting. Notice that holomorphic Morse inequalities are essentially insensitive to
singularities, as we can pass to non singular models and blow-up X as much as
we want: if W XQ ! X is a modification then OXQ D OX and Rq OXQ is
supported on a codimension 1 analytic subset (even codimension 2 if X is smooth).
As already observed in Sect. 3.4, it follows from the Leray spectral sequence that
the cohomology estimates for L on X or for LQ D L on XQ differ by negligible
terms, i.e.
Q LQ ˝m / hq .X; L˝m / D O.mn1 /:
hq .X;
Finally, singular holomorphic Morse inequalities (see Sect. 3.7) allow us to work
with singular Hermitian metrics h; this is the reason why we will only require to
have big line bundles rather than ample line bundles. In the case of linear subspaces
V TX , we introduce singular Hermitian metrics as follows.
Definition 105. A singular Hermitian metric on a linear subspace V TX is a
metric h on the fibers of V such that the function log h W 7! log j j2h is locally
integrable on the total space of V .
Such a metric can also be viewed as a singular Hermitian metric on the tauto-
logical line bundle OP .V / .1/ on the projectivized bundle P .V / D V X f0g=C,
and therefore its dual metric h defines a curvature current OP .V / .1/;h of type .1; 1/
on P .V / P .TX /, such that
i
p OP .V / .1/;h D @@ log h; where p W V X f0g ! P .V /:
2
If log h is quasi-plurisubharmonic .or quasi-psh, which means psh modulo addition

of a smooth function/ on V , then log h is indeed locally integrable, and we have
moreover
OP .V / .1/;h C ! (89)
for some smooth positive .1; 1/-form on P .V / and some constant C > 0; con-
versely, if (89) holds, then log h is quasi-psh.
Definition 106. We will say that a singular Hermitian metric h on V is admissible if
h can be written as h D e ' h0jV where h0 is a smooth positive definite Hermitian on
TX and ' is a quasi-psh weight with analytic singularities on X , as in Definition 105.
Then h can be seen as a singular Hermitian metric on OP .V / .1/, with the property
that it induces a smooth positive definite metric on a Zariski open set X 0 X X
234 J.-P. Demailly
Sing.V / I we will denote by Sing.h/ Sing.V / the complement of the largest such
Zariski open set X 0 .
If h is an admissible metric, we define Oh .V / to be the sheaf of germs of

holomorphic sections of VjX XSing.h/
which are h -bounded near Sing.h/; by the
assumption on the analytic singularities, this is a coherent sheaf (as the direct image
of some coherent sheaf on P .V /), and actually, since h D e ' h0 , it is a subsheaf
of the sheaf O.V / WD Oh0 .V / associated with a smooth positive definite metric
h0 on TX . If r is the generic rank of V and m a positive integer, we define similarly
˝m ˝m
m
KV;h to be sheaf of germs of holomorphic sections of .det VjX 0/ D .r VjX 0/

which are det h -bounded, and KV WD KV;h0 .
m m
If V is defined by ˛ W X > G .T /, there always exists a modification

r X
W X ! X such that the composition ˛ ı W XQ ! Gr . TX / becomes
Q
holomorphic, and then Vj1 .X XSing.V // extends as a locally trivial subbundle of
TX which we will simply denote by V . If h is an admissible metric on V , then
V can be equipped with the metric h D e 'ı h0 where h0 is smooth and
positive definite. We may assume that ' ı has divisorial singularities (otherwise
just perform further blow-ups of XQ to achieve this). We then see that there is an
integer m0 such that for all multiples m D pm0 the pull-back KV;h m
is an invertible
Q
sheaf on X , and det h induces a smooth non singular metric on it (when h D h0 , we
can even take m0 D 1). By definition we always have KV;h m
D . KV;hm
/ for any
m 0. In the sequel, however, we think of KV;h not really as a coherent sheaf, but
rather as the “virtual” Q-line bundle . KV;h m0 1=m0
/ , and we say that KV;h is big if
h0 .X; KV;h
m
/ cmn for m m1 , with c > 0 , i.e. if the invertible sheaf KV;h m0
is
big in the usual sense.
At this point, it is important to observe that “our” canonical sheaf KV differs from
the sheaf KV WD i O.KV / associated with the injection i W X X Sing.V / ,! X ,
which is usually referred to as being the “canonical sheaf”, at least when V is the
space of tangents to a foliation. In fact, KV is always an invertible sheaf and there
is an obvious inclusion KV KV . More precisely, the image of O.r TX / ! KV
is equal to KV ˝OX J for a certain coherent ideal J OX , and the condition
to have h0 -bounded sectionsP on X X Sing.V / precisely means that our sections
are bounded by Const jgj j in terms of the generators .gj / of KV ˝OX J , i.e.
KV D KV ˝OX J where J is the integral closure of J . More generally,
m=m0
m
KV;h D KVm ˝OX J h;m0
m=m0
where J h;m0 OX is the .m=m0/-integral closure of a certain ideal sheaf
Jh;m0 OX , which can itself be assumed to be integrally closed; in our previous
discussion, is chosen so that Jh;m0 is invertible on XQ .
The discrepancy already occurs e.g. with the rank 1 linear space V TPnC
consisting at each point z ¤ 0 of the tangent to the line .0z/ (so that necessarily
V0 D TPnC ;0 ). As a sheaf (and not as P
a linear space), i O.V / is the invertible sheaf
generated by the vector field D zj @=@zj on the affine open set Cn PnC ,

and therefore KV WD i O.V / is generated over Cn by the unique 1-form u such
that u. / D 1. Since vanishes at 0, the generator u is unbounded with respect

to a smooth metric h0 on TPnC , and it is easily seen that KV is the non invertible
sheaf KV D KV ˝ mPnC ;0 . We can make it invertible by considering the blow-up
W XQ ! X of X D PnC at 0, so that KV is isomorphic to KV ˝ OXQ .E/
where E is the exceptional divisor. The integral curves C of V are of course
lines through 0, and when a standard parametrization is used, their derivatives do
not vanish at 0, while the sections of i O.V / do—another sign that i O.V / and
i O.V / are the wrong objects to consider. Another standard example is obtained
by taking a generic pencil of elliptic curves P .z/ C Q.z/ D 0 of degree 3 in P2C ,
and the linear space V consisting of the tangents to the fibers of the rational map
P2C > P1C defined by z 7! Q.z/=P .z/. Then V is given by
P dQQdP
0 ! i O.V / ! O.TP2 / ! OP2 .6/ ˝ JS ! 0
C C
where S D Sing.V / consists of the nine points fP .z/ D 0g \ fQ.z/ D 0g, and
JS is the corresponding ideal sheaf of S . Since det O.TP2 / D O.3/, we see that
KV D O.3/ is ample, which seems to contradict (2) since all leaves are elliptic
curves. There is however no such contradiction, because KV D KV ˝ JS is not
big in our sense (it has degree 0 on all members of the elliptic pencil). A similar
example is obtained with a generic pencil of conics, in which case KV D O.1/ and
card S D 4.
For a given admissible Hermitian structure .V; h/, we define similarly the
GG
sheaf Ek;m Vh to be the sheaf of polynomials defined over X X Sing.h/
which are “h-bounded”. This means that when they are viewed as polynomials
P .z I 1 ; : : : ; k / in terms of j D .rh1;0
0
/j f .0/ where rh1;0
0
is the .1; 0/-component
of the induced Chern connection on .V; h0 /, there is a uniform bound
ˇ ˇ X m
ˇP .z I 1; : : : ; k /
ˇC 1=j
k j kh (90)
near points of X X X 0 (see Sect. 2 for more details on this). Again, by a direct image
GG GG
argument, one sees that Ek;m Vh is always a coherent sheaf. The sheaf Ek;m V is
GG
defined to be Ek;m Vh when h D h0 (it is actually independent of the choice of h0 , as
follows from arguments similar to those given in Sect. 2). Notice that this is exactly
what is needed to extend the proof of the vanishing Theorem 103 to the case of a
singular linear space V ; the value distribution theory argument can only work when
the functions P .f I f 0 ; : : : ; f .k/ /.t/ do not exhibit poles, and this is guaranteed
here by the boundedness assumption.
Our strategy can be described as follows. We consider the Green–Griffiths bundle
of k-jets XkGG D J k V X f0g=C, which by (88) consists of a fibration in weighted
projective spaces, and its associated tautological sheaf
L D OX GG .1/;
k
236 J.-P. Demailly
viewed rather as a virtual Q-line bundle OX GG .m0 /1=m0 with m0 D lcm.1; 2; : : : ; k/.
k
Then, if k W XkGG ! X is the natural projection, we have
GG
Ek;m D .k / OX GG .m/ and Rq .k / OX GG .m/ D 0 for q 1:
k k
Hence, by the Leray spectral sequence we get for every invertible sheaf F on X the
isomorphism
GG
H q .X; Ek;m V ˝ F / ' H q .XkGG ; OX GG .m/ ˝ k F /: (91)
k
The latter group can be evaluated thanks to holomorphic Morse inequalities. In fact
we can associate with any admissible metric h on V a metric (or rather a natural
family) of metrics on L D OX GG .1/. The space XkGG always possesses quotient
k
singularities if k 2 (and even some more if V is singular), but we do not really care
since Morse inequalities still work in this setting. As we will see, it is then possible
to get nice asymptotic formulas as k ! C1. They appear to be of a probabilistic
nature if we take the components of the k-jet (i.e. the successive derivatives
j D f .0/, 1 j k) as random variables. This probabilistic behaviour was
.j /
somehow already visible in the Riemann–Roch calculation of [51]. In this way,

assuming KV big, we produce a lot of sections j D H 0 .XkGG ; OX GG .m/ ˝ k F /,
k
corresponding to certain divisors Zj XkGG . The hard problem which is left in
order to complete a proof of theT generalized Green–Griffiths–Lang conjecture is to
compute the base locus Z D Zj and to show that Y D k .Z/ X must be a
proper algebraic variety. Unfortunately we cannot address this problem at present.
4.2 Hermitian Geometry of Weighted Projective Spaces
The goal of this section is to introduce natural Kähler metrics on weighted projective
spaces, and to evaluate the corresponding volume forms. Here we put d c D 4 i
.@@/
so that dd D 2 @@. The normalization of the d operator is chosen such that we
c i c
have precisely .dd c log jzj2 /n D ı0 for the Monge–Ampère operator in Cn ; also, for
every holomorphic or meromorphic section of a Hermitian line bundle .L; h/ the
Lelong–Poincaré can be formulated
dd c log jj2h D ŒZ L;h ; (92)
where L;h D 2 i 2
DL;h is the .1; 1/-curvature form of L and Z the zero divisor
of . The closed .1; 1/-form L;h is a representative of the first Chern class c1 .L/.
Given a k-tuple of “weights” a D .a1 ; : : : ; ak /, i.e. of integers as > 0 with
gcd.a1 ; : : : ; ak / D 1, we introduce the weighted projective space P .a1 ; : : : ; ak /
to be the quotient of Ck X f0g by the corresponding weighted C action:
P .a1 ; : : : ; ak / D Ck X f0g=C ; z D .a1 z1 ; : : : ; ak zk /: (93)
As is well known, this defines a toric .k 1/-dimensional algebraic variety with

quotient singularities. On this variety, we introduce the possibly singular (but almost
everywhere smooth and non degenerate) Kähler form !a;p defined by
1 X
a !a;p D dd c 'a;p ; 'a;p .z/ D log jzs j2p=as ; (94)
p
1sk
where a W Ck X f0g ! P .a1 ; : : : ; ak / is the canonical projection and p > 0 is a

positive constant. It is clear that 'p;a is real analytic on Ck Xf0g if p is an integer and
a common multiple of all weights as . It is at least C 2 if p is real and p max.as /,
which will be more than sufficient for our purposes (but everything would still work
for any p > 0). The resulting metric is in any case smooth and positive definite
outside of the coordinate hyperplanes zs D 0, and these hyperplanes will not matter
here since they are of capacity
R zero with respect to all currents .dd c 'a;p /` . In order
k1
to evaluate the volume P .a1 ;:::;ak / !a;p , one can observe that
Z Z
k1
!a;p D a !a;p
k1
^ d c 'a;p
P .a1 ;:::;ak / z2Ck ; 'a;p .z/D0
Z
D .dd c 'a;p /k1 ^ d c 'a;p
z2Ck ; ' a;p .z/D0
Z
1
D .dd c e p'a;p /k : (95)
pk z2Ck ; ' a;p .z/<0
The first equality comes from the fact that f'a;p .z/ D 0g is a circle bundle over
RP .a1 ; : :c: ; ak /, together with the identities 'a;p . z/ D 'a;p .z/ C log jj2 and
jjD1 d log jj D 1. The third equality can be seen by Stokes formula applied
2
to the .2k 1/-form
.dd c e p'a;p /k1 ^ d c e p'a;p D e p'a;p .dd c 'a;p /k1 ^ d c 'a;p
on the pseudoconvex open set fz 2 Ck I 'a;p .z/ < 0g. Now, we find
X k Y p p

.dd c e p'a;p /k D dd c jzs j2p=as D jzs j as 1 .dd c jzj2 /k ; (96)
as
1sk 1sk
Z Y p pk
.dd c e p'a;p /k D D : (97)
z2Ck ; 'a;p .z/<0 as a1 : : : ak
1sk
In fact, (96) and (97) are clear when p D a1 D : : : D ak D 1 (this is just the
standard calculation of the volume of the unit ball in Ck ); the general case follows
238 J.-P. Demailly
p=a
by substituting formally zs 7! zs s , and using rotational invariance together with
p=a
the observation that the arguments of the complex numbers zs s now run in the
interval Œ0; 2p=as Œ instead of Œ0; 2Œ (say). As a consequence of (95) and (97), we
obtain the well known value
Z
1
k1
!a;p D ; (98)
P .a1 ;:::;ak / a1 : : ak
:
for the volume. Notice that this is independent of p (as it is obvious by Stokes
theorem, since the cohomology class of !a;p does not depend on p). When p tends
to C1, we have 'a;p .z/ 7! 'a;1 .z/ D log max1sk jzs j2=as and the volume form
k1
!a;p converges to a rotationally invariant measure supported by the image of the
Q
polycircle fjzs j D 1g in P .a1 ; : : : ; ak /. This is so because not all jzs j2=as are equal
outside of the image of the polycircle, thus 'a;1 .z/ locally depends only on k 1
k1
complex variables, and so !a;1 D 0 there by log homogeneity.
Our later calculations will require a slightly more general setting. Instead of
looking at Ck , we consider the weighted C action defined by
Cjrj D Cr1 : : : Crk ; z D .a1 z1 ; : : : ; ak zk /: (99)
Here zs 2 Crs for some k-tuple r D .r1 ; : : : ; rk / and jrj D r1 C : : : C rk . This gives
rise to a weighted projective space
Œr Œr
P .a1 1 ; : : : ; ak k / D P .a1 ; : : : ; a1 ; : : : ; ak ; : : : ; ak /;
Œr Œr
a;r W Cr1 : : : Crk X f0g ! P .a1 1 ; : : : ; ak k / (100)
obtained by repeating rs times each weight as . On this space, we introduce the

degenerate Kähler metric !a;r;p such that
1 X

a;r !a;r;p D dd c 'a;r;p ; 'a;r;p .z/ D log jzs j2p=as (101)
p
1sk
P
where jzs j stands now for the standard Hermitian norm . 1j rs jzs;j j2 /1=2 on Crs .
This metric is cohomologous to the corresponding “polydisc-like” metric !a;p
already defined, and therefore Stokes theorem implies
Z
jrj1 1
!a;r;p D : (102)
Œr
P .a1 1
Œr
;:::;ak k / a1r1 : : : akrk
Since .dd c log jzs j2 /rs D 0 on Crs X f0g by homogeneity, we conclude as before
jrj1 jrj1
that the weak limit limp!C1 !a;r;p D !a;r;1 associated with
'a;r;1 .z/ D log max jzs j2=as (103)

1sk
Q
is a measure supported by the image of the product of unit spheres S 2rs 1 in
Œr Œr
P .a1 1 ; : : : ; ak k /, which is invariant under the action of U.r1 / : : : U.rk / on
C : : : C , and thus coincides with the Hermitian area measure up to a constant
r1 rk
determined by condition (30). In fact, outside of the product of spheres, 'a;r;1

locally depends only on at most k 1 factors and thus, for dimension reasons,
the top power .dd c 'a;r;1 /jrj1 must be zero there. In the next section, the following
change of variable formula will be needed. For simplicity of exposition we restrict
ourselves to continuous functions, but a standard density argument would easily
extend the formula to all functions that are Lebesgue integrable with respect to the
jrj1
volume form !a;r;p .
Œr Œr
Proposition 107. Let f .z/ be a bounded function on P .a1 1 ; : : : ; ak k / which is
continuous outside of the hyperplane
Q rsections zs D 0. We also view f as a C -
invariant continuous function on .C X f0g/. Then
s
Z
jrj1
Œr Œr
f .z/ !a;r;p
P .a1 1 ;:::;ak k /
Z
.jrj 1/Š a1 =2p a =2p
Y xsrs 1
D Q rs Q 2r 1f .x1 u1 ; : : : ; xk k uk / dx d.u/
s as .x;u/2k1 S s .rs 1/Š
1sk
P
where k1 is the .k 1/-simplex fxs 0, xs D 1g, dx D dx1 ^ : : : ^ dxk1
its standard measure, and where d.u/ D d Q 1 .u1 / : : : dk .uk / is the rotation
invariant probability measure on the product s S 2rs 1 of unit spheres in Cr1
: : : Crk . As a consequence
Z Z
jrj1 1
lim f .z/ !a;r;p DQ rs Q f .u/ d.u/:
p!C1 P .aŒr1 ;:::;aŒrk /
1 k s as S 2rs 1
R
Proof. The area formula of the disc jj<1 dd c jj2 D 1 and a consideration of the unit
Œr1 Œrk
disc bundle over P .a1 ; : : : ; ak / imply that
Z Z
jrj1
Ip WD Œr Œr
f .z/ !a;r;p D f .z/ .dd c 'a;r;p /jrj1 ^dd c e 'a;r;p :
P .a1 1 ;:::;ak k / z2Cjrj ;'a;r;p .z/<0
Now, a straightforward calculation on Cjrj gives

X jrj
.dd c e p'a;r;p /jrj D dd c jzs j2p=as
1sk
Y p rs C1
D jzs j2rs .p=as 1/ .dd c jzj2 /jrj :
as
1sk
240 J.-P. Demailly
jrjŠ Q
On the other hand, we have .dd c jzj2 /jrj D r1 Š:::rk Š 1sk .dd
c
jzs j2 /rs and
jrj
.dd c e p'a;r;p /jrj D p e p'a;r;p .dd c 'a;r;p C p d'a;r;p ^ d c 'a;r;p /
D jrjp jrjC1 e jrjp'a;r;p .dd c 'a;r;p /jrj1 ^ d'a;r;p ^ d c 'a;r;p
D jrjp jrjC1 e .jrjp1/'a;r;p .dd c 'a;r;p /jrj1 ^ dd c e 'a;r;p ;
thanks to the homogeneity relation .dd c 'a;r;p /jrj D 0. Putting everything together,
we find
Z
.jrj 1/Š p k1 f .z/ Y .dd c jzs j2 /rs
Ip D P :
. s jzs j jrj1=p r s C1
z2Cjrj ; 'a;r;p .z/<0
2p=as/
s rs Š as jzs j2rs .1p=as /
A standard calculation in polar coordinates with zs D s us , us 2 S 2rs 1 , yields
.dd c jzs j2 /rs d s

D 2rs ds .us /
jzs j2rs s
where s is the U.rs /-invariant probability measure on S 2rs 1 . Therefore
Z 2pr =a
.jrj 1/Š p k1 f . 1 u1 ; : : : ; k uk / Y 2 s
s s d s
ds .us /
Ip D P
s
'a;r;p .z/<0
2p=a
. 1sk s s /jrj1=p s .rs 1/Š asrs C1
Z
.jrj 1/Š p 1 f .t1 1 u1 ; : : : ; tk k uk / Y tsrs 1 dts ds .us /
a =2p a =2p
D P
P
us 2S 2rs 1 ; ts <1 . 1sk ts /jrj1=p s
.rs 1/Š asrs
2p=a a =2p
by putting ts D jzs j2p=as D s s , i.e. Ps D ts s , ts 2 0; 1 . WeP
use still another
change of variable ts D txs with t D 1sk ts and xs 2 0; 1 , 1sk xs D 1.
Then
dt1 ^ : : : ^ dtk D t k1 dx dt where dx D dx1 ^ : : : ^ dxk1 :
The C invariance of f shows that

Z Y x rs 1 ds .us / dx dt
as =2p ak =2p
Ip D .jrj 1/Šf .x u 1 ; : : : ; x u k / s
rs
s 1/Š as p t
us 2S 2rs 1 1 k 11=p
˙ x D1; t 2 0;1
.r
s 1sk
Z Y x rs 1 ds .us /
a =2p a =2p
D .jrj 1/Šf .x1 s u1 ; : : : ; xk k uk / s
dx:
us 2S 2rs 1
˙ xs D1
.rs 1/Š asrs
1sk
2a =p
This is equivalent to the formula given in Proposition 107. We have xs s ! 1 as
p ! C1, and by Lebesgue’s bounded convergence theorem and Fubini’s formula,
we get
Z Y
.jrj 1/Š xsrs 1
lim Ip D Q rs Q f .u/ dx d.u/:
p!C1 s as .x;u/2k1 S 2rs 1 .rs 1/Š
1sk
It can be checked by elementary integrations by parts and induction on k; r1 ; : : : ; rk

that
Z Y Y
1
xsrs 1 dx1 : : : dxk1 D .rs 1/Š : (104)
x2k1 .jrj 1/Š
1sk 1sk
Q rs 1
This implies that .jrj 1/Š 1sk .rxss1/Š dx is a probability measure on k1 and
that Z
1
lim Ip D Q rs Q f .u/ d.u/:
p!C1 s as u2 S 2rs 1
Even without an explicit check, (33) also follows from the fact that we must have
equality for f .z/ 1 in the latter equality, if we take into account the volume
formula (30). t
u
4.3 Probabilistic Estimate of the Curvature of k-Jet Bundles
Let .X; V / be a compact complex directed non singular variety. To avoid any
technical difficulty at this point, we first assume that V is a holomorphic vector
subbundle of TX , equipped with a smooth Hermitian metric h.
According to the notation already specified in the introduction, we denote by
J k V the bundle of k-jets of holomorphic curves f W .C; 0/ ! X tangent to V
at each point. Let us set n D dimC X and r D rankC V . Then J k V ! X is an
algebraic fiber bundle with typical fiber Crk (see below). It has a canonical C -
action defined by f W .C; 0/ ! X , . f /.t/ D f .t/. Fix a point x0 in X and
a local holomorphic coordinate system .z1 ; : : : ; zn / centered at x0 such that Vx0 is
the vector subspace h@=@z1 ; : : : ; @=@zr i at x0 . Then, in a neighborhood U of x0 , V
admits a holomorphic frame of the form
@ X @
C a˛ˇ .z/ ; 1 ˇ r; a˛ˇ .0/ D 0: (105)
@zˇ rC1˛n @z˛
Let f .t/ D .f1 .t/; : : : ; fn .t// be a k-jet of curve tangent to V starting from a
point f .0/ D x 2 U . Such a curve is entirely determined by its initial point and
by the projection fQ.t/ WD .f1 .t/; : : : ; fr .t// to the first r-components, since the
condition f 0 .t/ 2 Vf .t / implies that the other components must satisfy the ordinary
differential equation
242 J.-P. Demailly
X
f˛0 .t/ D a˛ˇ .f .t//fˇ0 .t/:
1ˇr
This implies that the k-jet of f is entirely determined by the initial point x and the
Taylor expansion
fQ.t/ xQ D 1t C 2t
2
C ::: C kt
k
C O.t kC1 / (106)
where s D . s˛ /1˛r 2 Cr . The C action .; f / 7! f is then expressed in

coordinates by the weighted action
. 1; 2; : : : ; k/ D . 1 ; 2 2 ; : : : ; k k / (107)
associated with the weight a D .1Œr ; 2Œr ; : : : ; k Œr /. The quotient projectivized k-jet
bundle
XkGG WD .J k V X f0g/=C (108)
considered by Green and Griffiths [51] is therefore in a natural way a
P .1Œr ; 2Œr ; : : : ; k Œr / weighted projective bundle over X . As such, it possesses a
canonical sheaf OX GG .1/ such that OX GG .m/ is invertible when m is a multiple of
k k
lcm.1; 2; : : : ; k/. Under the natural projection k W XkGG ! X , the direct image
GG
.k / OX GG .m/ coincides with the sheaf of sections of the bundle Ek;m V of jet
k
differentials of order k and degree m, namely polynomials
X
P .z I 1 ; : : : ; k / D a˛1 :::˛k .z/ 1˛1 : : : k˛k (109)
˛` 2Nr ; 1`k
of weighted degree j˛1 j C 2j˛2 j C : : : C kj˛k j D m on J k V with holomorphic

coefficients. The jet differentials operate on germs of curves as differential operators
X
P .f /.t/ D a˛1 :::˛k .f .t// f 0 .t/˛1 : : : f .k/ .t/˛k : (110)
In the sequel, we do not make any further use of coordinate frames as (105), because
they need not be related in any way to the Hermitian metric h of V . Instead, we
choose a local holomorphic coordinate frame .e˛ .z//1˛r of V on a neighborhood
U of x0 , such that
X
he˛ .z/; eˇ .z/i D ı˛ˇ C cij˛ˇ zi zj C O.jzj3 / (111)
1i;j n; 1˛;ˇr
for suitable complex coefficients .cij˛ˇ /. It is a standard fact that such a normalized
i 2
coordinate system always exists, and that the Chern curvature tensor 2 DV;h of
.V; h/ at x0 is then given by
i X
V;h .x0 / D cij˛ˇ dzi ^ d zj ˝ e˛ ˝ eˇ : (112)
2
i;j;˛;ˇ
Also, instead of defining the vectors s 2 Cr as in (40), we consider a local

holomorphic connection r on VjU (e.g. the one which turns .e˛ / into a parallel
frame), and take k D r k f .0/ 2 Vx defined inductively by r 1 f D f 0 and
r s f D rf 0 .r s1 f /. This is just another way of parameterizing the fibers of J k V
over U by the vector bundle VjUk . Notice that this is highly dependent on r (the
bundle J k V actually does not carry a vector bundle or even affine bundle structure);
however, the expression of the weighted action (107) is unchanged in this new
setting. Now, we fix a finite open covering .U˛ /˛2I of X by open coordinate charts
such that VjU˛ is trivial, along with holomorphic connections r˛ on VjU˛ . Let ˛ be
a partition of unity of X subordinate to the covering .U˛ /. Let us fix p > 0 and
small parameters 1 D "1 "2 ::: "k > 0. Then we define a global weighted
exhaustion on J k V by putting for any k-jet f 2 Jxk V
X X 1=p
2p=s
$h;p;" .f / WD ˛ .x/ s kr˛ f .0/kh.x/
"2p s
(113)
˛2I 1sk
where k kh.x/ is the Hermitian metric h of V evaluated on the fiber Vx , x D f .0/.

The function $h;p;" satisfies the fundamental homogeneity property
$h;p;" . f / D $h;p;" .f / jj2 (114)
with respect to the C action on J k V , in other words, it induces a Hermitian metric

on the dual L of the tautological Q-line bundle Lk D OX GG .1/ over XkGG . The
k
curvature of Lk is given by
k Lk ;$h;p;"

D dd c log $h;p;" (115)
where k W J k V X f0g ! XkGG is the canonical projection. Our next goal is to

compute precisely the curvature and to apply holomorphic Morse inequalities to
L ! XkGG with the above metric. It might look a priori like an untractable problem,
since the definition of $h;p;" is a rather unnatural one. However, the “miracle” is
that the asymptotic behavior of $h;p;" as "s ="s1 ! 0 is in some sense uniquely
defined and very natural. It will lead to a computable asymptotic formula, which is
moreover simple enough to produce useful results.
Lemma 108. On each coordinate chart U equipped with a holomorphic connec-
tion r of VjU , let us define the components of a k-jet f 2 J k V by s D r s f .0/,
and consider the rescaling transformation
r;" . 1 ; 2 ; : : : ; k / D ."11 1 ; "22 2 ; : : : ; "kk k / on Jxk V , x 2 U
.it commutes with the C -action but is otherwise unrelated and not canonically
defined over X as it depends on the choice of r/. Then, if p is a multiple of
244 J.-P. Demailly
lcm.1; 2; : : : ; k/ and "s ="s1 ! 0 for all s D 2; : : : ; k, the rescaled function

1
$h;p;" ı r;" . 1 ; : : : ; k / converges towards
X 1=p
2p=s
k s kh
1sk
on every compact subset of J k VjU X f0g, uniformly in C 1 topology.
Proof. Let U X be an open set on which VjU is trivial and equipped with some
holomorphic connection r. Let us pick another holomorphic connection rQ D rC
where 2 H 0 .U; ˝X1 ˝ Hom.V; V /. Then rQ 2 f D r 2 f C .f /.f 0 / f 0 , and
inductively we get
rQ s f D r s f C Ps .f I r 1 f; : : : ; r s1 f /
where P .x I 1 ; : : : ; s1 / is a polynomial with holomorphic coefficients in x 2 U

which is of weighted homogeneous degree s in . 1 ; : : : ; s1 /. In other words,
the corresponding change in the parametrization of J k VjU is given by a C -
homogeneous transformation
Qs D s C Ps .x I 1 ; : : : ; s1 /:
Let us introduce the corresponding rescaled components
. 1;" ; : : : ; k;" / D ."11 1 ; : : : ; "kk k /; . Q1;" ; : : : ; Qk;" / D ."11 Q1 ; : : : ; "kk Qk /:
Then
Qs;" D s;" C "ss Ps .x I "1

.s1/
1;" ; : : : ; "s1 s1;" /
1
D s;" C O."s ="s1 /s O.k 1;" k C ::: C k s1;" k

1=.s1/ s
/
and the error terms are thus polynomials of fixed degree with arbitrarily small
coefficients as "s ="s1 ! 0. Now, the definition of $h;p;" consists of gluing the
sums X X
2p=s 2p=s
s k k kh
"2p D k k;" kh
1sk 1sk
P
corresponding to k D r˛s f .0/
by means of the partition of unity ˛ .x/ D 1. We
see that by using the rescaled variables s;" the changes occurring when replacing
a connection r˛ by an alternative one rˇ are arbitrary small in C 1 topology, with
error terms uniformly controlled in terms of the ratios "s ="s1 on all compact subsets
1 1
of V k X f0g. This shows
P that in C topology, $h;p;" ı r;" . 1 ; : : : ; k / converges
2p=s 1=p
uniformly towards . 1sk k k kh / , whatever the trivializing open set U and
the holomorphic connection r used to evaluate the components and perform the
rescaling are. t
u
Now, we fix a point x0 2 X and a local holomorphic frame .e˛ .z//1˛r

satisfying (111) on a neighborhood U of x0 . We introduce the rescaled components
s D "s r f .0/ on J VjU and compute the curvature of
s s k
X 1=p
1 2p=s
$h;p;" ı r;" .z I 1; : : : ; k / ' k s kh
1sk
(by Lemma
P 108, the errors can be taken arbitrary small in C 1 topology). We write
s D 1˛r s˛ e˛ . By (111) we have
X X
k s k2h D j s˛ j
2
C cij˛ˇ zi zj s˛ sˇ C O.jzj3 j j2 /:
˛ i;j;˛;ˇ
The question is to evaluate the curvature of the weighted metric defined by

X 1=p
2p=s
$ .z I 1; : : : ; k / D k s kh
1sk
X X X p=s 1=p
D j s˛ j
2
C cij˛ˇ zi zj s˛ sˇ C O.jzj3 /:
1sk ˛ i;j;˛;ˇ
P
We set j s j2 D ˛ j s˛ j
2
. A straightforward calculation yields
log $ .z I 1; : : : ; k / D
1 X X 1 j s j2p=s X s˛ sˇ
D log j s j2p=s C P cij˛ˇ zi zj C O.jzj3 /:
p s t j t j2p=t j s j2
1sk 1sk i;j;˛;ˇ
By (115), the curvature form of Lk D OX GG .1/ is given at the central point x0 by

k
the following formula.
Proposition 109. With the above choice of coordinates and with respect to the
rescaled components s D "ss r s f .0/ at x0 2 X , we have the approximate
expression
i X 1 j s j2p=s X s˛ sˇ
Lk ;$h;p;"
.x0 ; Œ / ' !a;r;p . / C P cij˛ˇ dzi ^ dzj
2 s t j tj 2p=t j s j2
1sk i;j;˛;ˇ
where the error terms are O.max2sk ."s ="s1 /s / uniformly on the compact variety
XkGG . Here !a;r;p is the .degenerate/ Kähler metric associated with the weight a D
.1Œr ; 2Œr ; : : : ; k Œr / of the canonical C action on J k V .
246 J.-P. Demailly
Thanks to the uniform approximation, we can (and will) neglect the error terms
in the calculations below. Since !a;r;p is positive definite on the fibers of XkGG ! X
(at least outside of the axes s D 0), the index of the .1; 1/ curvature form
Lk ;$h;p;"
.z; Œ / is equal to the index of the .1; 1/-form
i X 1 j s j2p=s X s˛ sˇ
k .z; / WD P cij˛ˇ .z/ dzi ^ d zj (116)
2 s t j t j2p=t j s j2
1sk i;j;˛;ˇ
depending only on the differentials .dzj /1j n on X . The q-index integral of

.Lk ; $h;p;" / on XkGG is therefore equal to
Z
LnCkr1
;$
D
k
XkGG .Lk ;q/ h;p;"
Z Z
.n C kr 1/Š
D kr1
!a;r;p . /k ;q .z; /k .z; /n
nŠ.kr 1/Š z2X 2P .1Œr ;:::;k Œr /
where k ;q .z; / is the characteristic function of the open set of points where
k .z; / has signature .n q; q/ in terms of the dzj ’s. Notice that since k .z; /n
is a determinant, the product k ;q .z; /k .z; /n gives rise to a continuous function
on XkGG . Formula (104) with r1 D : : : D rk D r and as D s yields the slightly more
explicit integral
Z
.n C kr 1/Š
LnCkr1
;$ D
XkGG .Lk ;q/
k h;p;" nŠ.kŠ/r
Z Z
.x1 : : : xk /r1
gk ;q .z; x; u/gk .z; x; u/n dx d.u/;
z2X .x;u/2k1 .S 2r1 /k .r 1/Šk
1=2p k=2p
where gk .z; x; u/ D k .z; x1 u1 ; : : : ; xk uk / is given by
i X 1 X
gk .z; x; u/ D xs cij˛ˇ .z/ us˛ usˇ dzi ^ d zj (117)
2 s
1sk i;j;˛;ˇ
and gk ;q .z; x; u/ is the characteristic function of its q-index set. Here
.x1 : : : xk /r1
dk;r .x/ D .kr 1/Š dx (118)
.r 1/Šk
is a probability measure on k1 , and we can rewrite
Z
.n C kr 1/Š
LnCkr1
D r .kr 1/Š

GG k ;$h;p;" nŠ.kŠ/
Xk .Lk ;q/
Z Z
gk ;q .z; x; u/gk .z; x; u/n dk;r .x/ d.u/: (119)
z2X .x;u/2k1 .S 2r1 /k
Now, formula (117) shows that gk .z; x; u/ is a “Monte Carlo” evaluation of the
curvature tensor, obtained by averaging the curvature at random points us 2 S 2r1
with certain positive weights xs =s ; we should then think of the k-jet f as some sort
of random parameter such that the derivatives r k f .0/ are uniformly distributed
in all directions. Let us compute the expected value of .x;Ru/ 7! gk .z; x; u/ with
respect to the probability measure dk;r .x/ d.u/. Since S 2r1 us˛ usˇ d.us / D
R
1
ı and k1 xs dk;r .x/ D k1 , we find
r ˛ˇ
1 X 1 i X
E.gk .z; ; // D cij˛˛ .z/ dzi ^ d zj :
kr s 2 i;j;˛
1sk
In other words, we get the normalized trace of the curvature, i.e.
1 1 1
E.gk .z; ; // D 1 C C ::: C det.V /;det h ; (120)
kr 2 k
where det.V /;det h is the .1; 1/-curvature form of det.V / with the metric induced
by h. It is natural to guess that gk .z; x; u/ behaves asymptotically as its expected
value E.gk .z; ; // when k tends to infinity. If we replace brutally gk by its
expected value in (119), we get the integral
Z
.n C kr 1/Š 1 1 1 n
1 C C : : : C ;q n ;
nŠ.kŠ/r .kr 1/Š .kr/n 2 k X
where WD det.V /;det h and ;q is the characteristic function of its q-index set
in X . The leading constant is equivalent to .log k/n =nŠ.kŠ/r modulo a multiplicative
factor 1 C O.1= log k/. By working out a more precise analysis of the deviation, we
will prove the following result.
Probabilistic estimate 110. Fix smooth Hermitian P metrics h on V and ! D
i P
2 !ij dzi ^ d zj on X . Denote by V;h D 2 i
cij˛ˇ dzi ^ d zj ˝ e˛ ˝ eˇ
the curvature tensor of V with respect to an h-orthonormal frame .e˛ /, and put
i X X
.z/ D det.V /;det h D ij dzi ^ d zj ; ij D cij˛˛ :
2 1i;j n 1˛r
Finally consider the k-jet line bundle Lk D OX GG .1/ ! XkGG equipped with the
k

induced metric $h;p;" .as defined above, with 1 D "1 "2 ::: "k > 0/.
When k tends to infinity, the integral of the top power of the curvature of Lk on its
q-index set XkGG .Lk ; q/ is given by
Z Z
.log k/n
LnCkr1
;$
D ;q n C O..log k/1 /
XkGG .Lk ;q/
k h;p;" nŠ .kŠ/r X
248 J.-P. Demailly
for all q D 0; 1; : : : ; n, and the error term O..log k/1 / can be bounded explicitly
in terms of V , and !. Moreover, the left hand side is identically zero for q > n.
The final statement follows from the observation that the curvature of Lk is
positive along the fibers of XkGG ! X , by the plurisubharmonicity of the weight
(this is true even when the partition of unity terms are taken into account, since they
depend only on the base); therefore the q-index sets are empty for q > n. We start
with three elementary lemmas.
Lemma 111. The integral
Z X n
xs
Ik;r;n D dk;r .x/
k1 s
1sk
is given by the expansion

Q
X 1 .kr 1/Š 1i k .r 1 C ˇi /Š
(a) Ik;r;n D :
s1 s2 : : : sn .r 1/Šk .kr C n 1/Š
1s1 ;s2 ;:::;sn k P
where ˇi D ˇi .s/ D cardfj I sj D i g, ˇi D n, 1 i k. The quotient

rn 1 1 n
Ik;r;n 1 C C ::: C
kr.kr C 1/ : : : .kr C n 1/ 2 k
is bounded below by 1 and bounded above by

1 X 2m nŠ 1 m
n
1
(b) 1 C 1 C C ::: C D 1 C O..log k/2 /:
3 mD2 .n m/Š 2 k
As a consequence
(c)
1 1 1 n
Ik;r;n D 1 C C : : : C C O..log k/ n2
/
kn 2 k
.log k C /n C O..log k/n2 /
D
kn
where is the Euler–Mascheroni constant.
P
xs n
Proof. Let us expand the n-th power 1sk s . This gives
X Z
1 ˇ ˇ
Ik;r;n D x1 1 : : : xk k dk;r .x/
s1 s2 : : : sn k1
1s1 ;s2 ;:::;sn k
and by definition of the measure k;r we have

Z Z
ˇ ˇ .kr 1/Š rCˇ1 1 rCˇk 1
x1 1 : : : xk k dk;r .x/ D x1 : : : xk dx1 : : : dxk :
k1 .r 1/Šk k1
By formula (33), we find

Z Q
ˇ ˇ .kr 1/Š 1i k .r C ˇi 1/Š
x1 1 : : : xk k dk;r .x/ D
k1 .r 1/Š k .kr C n 1/Š
Q ˇi 1
r n i; ˇi 1 .1 C 1r /.1 C 2r / : : : .1 C r
/
D ;
kr.kr C 1/ : : : .kr C n 1/
and Lemma 111(a) follows from the first equality. The final product is minimal when
r D 1, thus
Z
rn ˇ ˇ
x1 1 : : : xk k dk;r .x/
kr.kr C 1/ : : : .kr C n 1/ k1
Q
r n 1i k ˇi Š
: (121)
kr.kr C 1/ : : : .kr C n 1/
Also, the integral is maximal when all ˇi vanish except one, in which case one gets
Z
r.r C 1/ : : : .r C n 1/
xjn dk;r .x/ D : (122)
k1 kr.kr C 1/ : : : .kr C n 1/
By (121), we find the lower and upper bounds
rn 1 1 n
Ik;r;n 1 C C ::: C ; (123)
kr.kr C 1/ : : : .kr C n 1/ 2 k
rn X ˇ1 Š : : : ˇk Š
Ik;r;n : (124)
kr.kr C 1/ : : : .kr C n 1/ s1 : : : sn
1s1 ;:::;sn k
In order to make the upper bound more explicit, we reorganize the n-tuple
.s1 ; : : : ; sn / into those indices t1 < : : : < t` which appear a certain number of times
˛i D ˇti P2, and those, say t`C1 < : : : < t`Cm , which appear only once. We have
of course ˇi D n m, and each choice of the ti ’s corresponds to nŠ=˛1 Š : : : ˛` Š
possibilities for the n-tuple .s1 ; : : : ; sn /. Therefore we get
X ˇ1 Š : : : ˇk Š Xn X X 1 1
nŠ ˛` :
s1 : : : sn t ˛1 : : : t` t`C1 : : : t`Cm
1s1 ;:::;sn k mD0 `; ˙˛i Dnm .ti / 1
A trivial comparison series vs. integral yields

X 1 1 1

s<t <C1
t ˛ ˛1s ˛1
250 J.-P. Demailly
and in this way, using successive integrations in t` , t`1 , : : : , we get inductively

X 1 1 1
˛` Q ;
t ˛1
1t1 <:::<t` <C1 1
: : : t` 1i ` .˛ì C1 C : : : C ˛` i / `Š
since ˛i 2 implies ˛ì C1 C : : : C ˛` i i . On the other hand
X X m
1 1 1 1 1 1
D 1C C: : :C :
t`C1 : : : t`Cm mŠ s1 : : : sm mŠ 2 k
1t`C1 <:::<t`Cm k 1s1 ;:::;sm k
Since partitions ˛1 C : : : C ˛` D n P
m satisfying the additional restriction ˛i 2
correspond to ˛i0 D ˛i 2 satisfying ˛i0 D n m 2`, their number is equal to
! !
n m 2` C ` 1 nm`1
D 2nm`1
`1 `1
and we infer from this

X X m n
ˇ1 Š : : : ˇk Š 2nm`1 nŠ 1 1 1 1
1C C: : :C C 1C C: : :C
s1 : : : sn `Š mŠ 2 k 2 k
1s1 ;:::;sn k `1
2`Cmn
where the last term corresponds to the special case ` D 0, m D n. Therefore
X ˇ1 Š : : : ˇk Š
e 1=2 1 X 2nm nŠ
n2 m n
1 1 1 1
1C C : : : C C 1C C : : : C
s1 : : : sn 2 mŠ 2 k 2 k
1si k mD0

1 X 2m nŠ
n nm n
1 1 1 1
1C C : : : C C 1C C : : : C :
3 .n m/Š 2 k 2 k
mD2
This estimate combined with (123), (124) implies the upper bound Lemma 111(b)
(the lower bound 1 being now obvious). The asymptotic estimate Lemma 111(c)
follows immediately. t
u
Lemma 112. If A is a Hermitian n n matrix, set A;q to be equal to 1 if A has

signature .n q; q/ and 0 otherwise. Then for all n n Hermitian matrices A, B
we have the estimate
ˇ ˇ X
ˇA;q det A B;q det B ˇ kA Bk kAki kBkn1i ;
0i n1
where kAk, kBk are the Hermitian operator norms of the matrices.
Proof. We first check that the estimate holds for j det A det Bj. Let 1 : : : n
be the eigenvalues of A and 01 : : : 0n be the eigenvalues of B. We have
ji j kAk, j0i j kBk and the minimax principle implies that ji 0i j kABk.
We then get the desired estimate by writing
X
det A det B D 1 : : : n 01 : : : 0n D 1 : : : i 1 .i 0i /0i C1 : : : 0n :
1i n
This already implies Lemma 112 if A or B is degenerate. If A and B are non

degenerate we only have to prove the result when one of them (say A) has signature
.n q; q/ and the other one (say B) has a different signature. If we put M.t/ D
.1 t/A C tB, the already established estimate for the determinant yields
ˇd ˇ n1
ˇ ˇ
ˇ det M.t/ˇ nkA Bk kM.t/k nkA Bk .1 t/kAk C tkBk :
dt
However, since the signature of M.t/ is not the same for t D 0 and t D 1, there
must exist t0 2 0; 1Œ such that .1 t0 /A C t0 B is degenerate. Our claim follows
by integrating the differential estimate on the smallest such interval Œ0; t0 , after
observing that M.0/ D A, det M.t0 / D 0, and that the integral of the right hand
side on Œ0; 1 is the announced bound. t
u
Lemma 113. Let QA be the Hermitian quadratic form associated with the Hermi-
tian operator A on Cn . If is the rotation invariant probability measure on the unit
sphere S 2n1 of Cn and i are the eigenvalues of A, we have
Z X X 2
1
jQA ./j2 d./ D 2i C i :
jjD1 n.n C 1/
The norm kAk D max ji j satisfies the estimate

Z
1
kAk2 jQA ./j2 d./ kAk2 :
n2 jjD1
Proof. The first identity is an easy calculation, and the inequalities follow by
P 2 P 2
computing the eigenvalues of the quadratic form i C i c2i0 , c > 0.
The lower bound is attained e.g. for QA ./ D j1 j n .j2 j C : : : C jn j2 / when
2 1 2
we take i0 D 1 and c D 1 C n1 . t
u
P @
Proof of the Probabilistic estimate 110. Take a vector 2 TX;z , D i @zi ,
with kk! D 1, and introduce the trace free sesquilinear quadratic form
X 1
Qz; .u/ D cQij˛ˇ .z/ i j u˛ uˇ ; cQij˛ˇ D cij˛ˇ ij ı˛ˇ ; u 2 Cr
r
i;j;˛;ˇ
252 J.-P. Demailly
P
where ij D 1˛r cij˛˛ . We consider the corresponding trace free curvature
tensor
i X
Q V D cQij˛ˇ dzi ^ d zj ˝ e˛ ˝ eˇ : (125)
2
i;j;˛;ˇ
As a general matter of notation, we adopt here the convention that the cano-
nical
P correspondence between Hermitian forms and .1; 1/-forms is normalized
i P
as aij dzi ˝ d zj $ 2 aij dzi ^ d zj , and we take the liberty of using the
same symbols for both types of objects; we do so especially for gk .z; x; u/ and
i P
.z/ D 2 ij .z/dzi ^ d zj D Tr V .z/. First observe that for all k-tuples of unit
vectors u D .u1 ; : : : ; uk / 2 .S 2r1 /k , us D .us˛ /1˛r , we have
Z ˇ ˇ2
ˇ X 1 X ˇ X x2
ˇ x Q
c .z/ u u ˇ d.u/ D s
V.Qz; /
ˇ s
s ij˛ˇ i j s˛ sˇ ˇ s2
.S 2r1 /k
1sk i;j;˛;ˇ 1sk
where V.Qz; / is the variance of Qz; on S 2r1 . This is so because we have a sum
over s of independent random variables on .S 2r1 /k , all of which have zero mean
value (LemmaP 113 shows that the variance V.Q/ of a trace free HermitianP quadratic
form Q.u/ D 1˛r ˛ ju˛ j2 on the unit sphere S 2r1 is equal to r.rC1/
1
2˛ , but
we only give the formula to fix the ideas). Formula (122) yields
Z
r C1
xs2 dk;r .x/ D :
k1 k.kr C 1/
Therefore, according to notation (117), we obtain the partial variance formula

Z
ˇ
ˇgk .z; x; u/./ g k .z; x/./j2 dk;r .x/d.u/
k1 .S 2r1 /k
X
.r C 1/ 1
D h .Q V .; //2
k.kr C 1/ s2
1sk
in which
X 1 1X X
1 1
g k .z; x/./ D xs cij˛˛ i j D xs .z/./;
s r ij˛ s r
1sk 1sk
Z
ˇ ˇ
h .Q V .; //2 D V u 7! hQ V .; /u; uih D ˇhQ V .; /u; uih ˇ2 d.u/:
u2S 2r1
By integrating over 2 S 2n1 Cn and applying the left hand inequality in

Lemma 113 we infer
Z

gk .z; x; u/ g .z; x/k2 dk;r .x/d.u/
k !
k1 .S 2r1 /k
X
n2 .r C 1/ 1
!;h .Q V /2 (126)
k.kr C 1/ s2
1sk
where !;h .Q V / is the standard deviation of Q V on S 2n1 S 2r1 :

Z
ˇ ˇ
!;h .Q V /2 D ˇhQ V .; /u; uih ˇ2 d./ d.u/:
jj! D1; jujh D1
On the other hand, brutal estimates give the Hermitian operator norm estimates
X
1 1
kg k .z; x/k! xs k.z/k! ; (127)
s r
1sk
X
1
kgk .z; x; u/k! xs kV k!;h (128)
s
1sk
where
ˇ ˇ
kV k!;h D sup ˇhV .; /u; uih ˇ:
jj! D1; jujh D1
We use these estimates to evaluate the q-index integrals. The integral associated
with g k .z; x/ is much easier to deal with than gk .z; x; u/ since the characteristic
function of the q-index set depends only on z. By Lemma 112 we find
ˇ ˇ
ˇ g .z; x; u/ det gk .z; x; u/ ;q .z/ det g k .z; x/ˇ
k ;q
X
gk .z; x; u/ g k .z; x/! kgk .z; x; u/ki! kg k .z; x/k!n1i :
0i n1
The Cauchy–Schwarz inequality combined with (126)–(128) implies

Z
ˇ ˇ
ˇg ;q .z; x; u/ det gk .z; x; u/ ;q .z/ det g .z; x/ˇ dk;r .x/d.u/
k k
k1 .S 2r1 /k
Z
1=2
gk .z; x; u/ gk .z; x/2 dk;r .x/d.u/
!
k1 .S 2r1 /k
Z X 2 1=2
kgk .z; x; u/ki! kg k .z; x/k!
n1i
dk;r .x/d.u/
k1 .S 2r1 /k 0i n1
254 J.-P. Demailly
X 1=2 X 1 n1i
n.1 C 1=r/1=2 1
!;h .Q V / kV ki!;h k.z/k!
.k.k C 1=r//1=2 s2
1i n1
r
1sk
Z X 2n2 1=2 .log k/n1
xs
dk;r .x/ D O
k1 s kn
1sk
by Lemma 111 with n replaced by 2n 2. This is the essential error estimate. As

one can see, the growth of the error mainly depends on the final integral factor,
since the initial multiplicative factor is uniformly bounded over X . In order to get
the principal term, we compute
Z Z X n
1 xs
det g k .z; x/ dk;r .x/ D n det .z/ dk;r .x/
k1 r k1 s
1sk
.log k/n
det .z/:
r nkn
From there we conclude that
Z Z
gk ;q .z; x; u/gk .z; x; u/n dk;r .x/d.u/
z2X .x;u/2k1 .S 2r1 /k
Z .log k/n1
.log k/n
D ;q n C O
r nkn X kn
The probabilistic estimate 110 follows by (119). t

u
Remark 114. If we take care of the precise bounds obtained above, the proof gives
in fact the explicit estimate
Z Z
.n C kr 1/Š Ik;r;n
LnCkr1
D r .kr 1/Š
;q n C "k;r;n J
GG k ;$h;p;" nŠ.kŠ/
Xk .Lk ;q/ X
where
X
k 1=2 Z X
n1
1
J D n .1 C 1=r/ 1=2
!;h .Q V / r i C1 kV ki!;h k.z/k!n1i ! n
sD1
s2 X i D1
and
Z X
k 2n2 1=2
xs
dk;r .x/
k1 sD1
s
j"k;r;n j Z X
k n
xs
.k.k C 1=r//1=2 dk;r .x/
k1 sD1
s
1=2
P 2m .2n2/Š 1 m
1 C 13 2n2
mD2 .2n2m/Š 1 C 1
2 C ::: C k 1

1C 1
2
C ::: C 1
k
log k
by the lower and upper bounds of Ik;r;n , Ik;r;2n2 obtained in Lemma 111. As
.2n 2/Š=.2n 2 m/Š .2n 2/m , one easily shows that
.31=15/1=2
j"k;r;nj for k e 5n5 : (129)
log k
Also, we see that the error terms vanish if Q V is identically zero, but this is of
course a rather unexpected circumstance. In general, since the form Q V is trace
free, Lemma 2.23 applied to the quadratic form u 7! hQ V .; /u; ui on Cr implies
!;h .Q V / .r C 1/1=2 kQ V k!;h . This yields the simpler bound
X
k 1=2 Z X
n1
1
J nr 1=2
kQ V k!;h r i kV ki!;h k.z/k!n1i ! n : (130)
sD1
s2 X i D1
t
u
It will be useful to extend the above estimates to the case of sections of
1 1 1
Lk D OX GG .1/ ˝ k O 1 C C ::: C F (131)
k kr 2 k
where F 2 PicQ .X / is an arbitrary Q-line bundle on X and k W XkGG ! X
is the natural projection. We assume here that F is also equipped with a smooth
Hermitian metric hF . In formula (2.20), the renormalized metric k .z; x; u/ of Lk
takes the form
1
k .z; x; u/ D gk .z; x; u/ C F;hF .z/; (132)
1
kr .1 C 1
2 C : : : C k1 /
and by the same calculations its expected value is
.z/ WD E.k .z; ; // D det V ;det h .z/ C F;hF .z/: (133)
Then the variance estimate for k is unchanged, and the Lp bounds for k
are still valid, since our forms are just shifted by adding the constant smooth term
F;hF .z/. The probabilistic estimate (120) is therefore still true in exactly the same
form, provided we use (131)–(133) instead of the previously defined Lk , k and .
An application of holomorphic Morse inequalities gives the desired cohomology
estimates for
m 1 1
GG
hq X; Ek;m V ˝O 1 C C ::: C F
kr 2 k
m 1 1
D hq .XkGG ; OX GG .m/ ˝ k O 1 C C ::: C F ;
k kr 2 k
256 J.-P. Demailly
provided m is sufficiently divisible to give a multiple of F which is a Z-line bundle.

Theorem 115. Let .X; V / be a directed manifold, F ! X a Q-line bundle, .V; h/
and .F; hF / smooth Hermitian structure on V and F respectively. We define
1 1 1
Lk D OX GG .1/ ˝ k O 1 C C ::: C F ;
k kr 2 k
D det V ;det h C F;hF :
Then for all q 0 and all m k 1 such that m is sufficiently divisible, we

have
Z
mnCkr1 .log k/n
(a) hq .XkGG ; O.L˝m
k // .1/q n CO..log k/1 / ;
.n C kr 1/Š nŠ .kŠ/r X.;q/
nCkr1 nZ
m .log k/
(b) h0 .XkGG ; O.L˝m
k // n O..log k/1 / ;
.n C kr 1/Š nŠ .kŠ/r X.;1/
nCkr1 n
m .log k/
(c) .XkGG ; O.L˝m
k // D c1 .V ˝ F /n C O..log k/1 / :
.n C kr 1/Š nŠ .kŠ/r
Green and Griffiths [51] already checked the Riemann–Roch calculation
Theorem 115(c) in the special case V D TX and F D OX . Their proof is much
simpler since it relies only on Chern class calculations, but it cannot provide
any information on the individual cohomology groups, except in very special
cases where vanishing theorems can be applied; in fact in dimension 2, the Euler
characteristic satisfies D h0 h1 C h2 h0 C h2 , hence it is enough to get the
vanishing of the top cohomology group H 2 to infer h0 ; this works for surfaces
by means of a well-known vanishing theorem of Bogomolov which implies in
general m 1 1
GG
n
H X; Ek;m TX ˝ O 1 C C ::: C F D0
kr 2 k
as soon as KX ˝ F is big and m 1.
In fact, thanks to Bonavero’s singular holomorphic Morse inequalities [13],
everything works almost unchanged in the case where V TX has singularities
and h is an admissible metric on V (see (8)). We only have to find a blow-up
W XQ k ! Xk so that the resulting pull-backs Lk and V are locally free, and
det h , $h;p;" only have divisorial singularities. Then is a .1; 1/-current with
logarithmic poles, and we have to deal with smooth metrics on L˝m k ˝O.mEk /
where Ek is a certain effective divisor on Xk (which, by our assumption (8), does not
project onto X ). The cohomology groups involved are then the twisted cohomology
groups
H q .XkGG ; O.L˝mk / ˝ Jk;m /
where Jk;m D .O.mEk // is the corresponding multiplier ideal sheaf, and the
Morse integrals need only be evaluated in the complement of the poles, that is on
X.; q/ X S where S D Sing.V / [ Sing.h/. Since
m 1 1
.k / O.L˝m GG
k / ˝ Jk;m Ek;m V ˝ O 1 C C ::: C F
kr 2 k
we still get a lower bound for the H 0 of the latter sheaf (or for the H 0 of the
un-twisted line bundle O.L˝mk / on Xk ). If we assume that KV ˝ F is big, these
GG
considerations also allow us to obtain a strong estimate in terms of the volume, by

using an approximate Zariski decomposition on a suitable blow-up of .X; V /. The
following corollary implies in particular Theorem 104.
Corollary 116. If F is an arbitrary Q-line bundle over X , one has
m 1 1
h0 XkGG ; OX GG .m/ ˝ k O 1C C ::: C F
k kr 2 k
mnCkr1 .log k/n
Vol.KV ˝ F / O..log k/1 / o.mnCkr1 /;
.n C kr 1/Š nŠ .kŠ/ r
when m k 1, in particular there are many sections of the k-jet differentials of

degree m twisted by the appropriate power of F if KV ˝ F is big.
Proof. The volume is computed here as usual, i.e. after performing a suitable
modification W XQ ! X which converts KV into an invertible sheaf. There is of
course nothing to prove if KV ˝ F is not big, so we can assume Vol.KV ˝ F / > 0.
Let us fix smooth Hermitian metrics h0 on TX and hF on F . They induce a metric
.det h1
0 ˝ hF / on .KV ˝ F / which, by our definition of KV , is a smooth
metric. By the result of Fujita [47] on approximate Zariski decomposition, for every
ı > 0, one can find a modification ı W XQ ı ! X dominating such that
ı .KV ˝ F / D OXQı .A C E/
where A and E are Q-divisors, A ample and E effective, with
Vol.A/ D An Vol.KV ˝ F / ı:
If we take a smooth metric hA with positive definite curvature form A;hA , then we
get a singular Hermitian metric hA hE on ı .KV ˝ F / with poles along E, i.e. the
quotient hA hE = .det h1
0 ˝ hF / is of the form e
'
where ' is quasi-psh with log
1 Q
poles log jE j (mod C .Xı // precisely given by the divisor E. We then only need
2
to take the singular metric h on TX defined by

1 '
h D h0 e r .ı /
(the choice of the factor 1r is there to correct adequately the metric on det V ). By
construction h induces an admissible metric on V and the resulting curvature current
D KV ;det h C F;hF is such that
ı D A;hA C ŒE ; ŒE D current of integration on E.

258 J.-P. Demailly
Then the 0-index Morse integral in the complement of the poles is given by
Z Z
n D n
A;hA
D An Vol.KV ˝ F / ı
X.;0/XS XQı
and Corollary 116 follows from the fact that ı can be taken arbitrary small. t
u
Example 117. In some simple cases, the above estimates can lead to very explicit
results. Take for instance X to be a smooth complete intersection of multidegree
.d1 ; d2 ; : : : ; ds / in PC
nCs
and consider the absolute case V D TX . Then
KX D OX .d1 C : : : C ds n s 1/:
P
Assume that X is of general type, i.e. dj > n C s C 1. Let us equip V D TX
with the restriction of the Fubini–Study metric h D O.1/ ; a better choice might
be the Kähler–Einstein metric but we want to keep the calculations as elementary as
possible. The standard formula for the curvature tensor of a submanifold gives
TX ;h D .TPnCs ;h /jX C ˇ ^ ˇ

L
where ˇ 2 C 1 1;0 TX ˝ Hom.TX ; O.dj // is the second fundamental form.
In other words, by the well known formula for the curvature of projective space,
we have
hTX ;h .; /u; ui D jj2 juj2 C jh; uij2 jˇ./ uj2 :
The curvature of .KX ; det h / (i.e. the opposite of the Ricci form Tr TX ;h ) is
given by
D Tr TX ;h D Tr.ˇ ^ ˇ / .n C 1/h .n C 1/h: (134)
We take here F D OX .a/, a 2 QC , and we want to determine conditions for the

existence of sections

GG m 1 1
0
H X; Ek;m TX ˝ O a 1 C C ::: C ; m 1: (135)
kr 2 k
P
We have to choose KX ˝ OX .a/ ample, i.e. dj > n C s C a C 1, and then (by
an appropriate choice of the metric of F D OX .a/), Pthe form D KX ˝OX .a/
can be taken to be any positive form cohomologous to . dj .n C s C a C 1//h.
We use Remark 114 and estimate the error terms by considering the Kähler metric
X
!D C .n C s C 2/h dj C 1 h:
Inequality (134) shows that ! 2h and also that ! Tr.ˇ ^ ˇ /. From this,
one easily concludes that kk! 1 by an appropriate choice of , as well as
kTX ;h k!;h 1 and kQ TX ;h k!;h 2. By (130), we obtain for n 2

Z Z
nn 1 4
J n 3=2
p 2 ! < p nnC1=2
n
!n
6 n1 X 6 X
R P n R
where X ! n D dj C 1 deg.X /. On the other hand, the leading term X n
P n
equals dj n s a 1 deg.X / with deg.X / D d1 : : : ds . By the bound
(129) on the error term "k;r;n , we find that the leading coefficient of the growth of
our spaces of sections is strictly controlled below by a multiple of
X n 31 1=2 nnC1=2 X n
dj n s a 1 4 dj C 1
90 log k
if k e 5n5 . A sufficient condition for the existence of sections in (135) is thus

P n
dj C 1
k exp 7:38 n nC1=2
P : (136)
dj n s a 1
This is good in view of the fact that we can cover arbitrary smooth complete
intersections of general type. On the other hand, even when the degrees dj tend
to C1, we still get a large lower bound k exp.7:38 nnC1=2 / on the order of jets,
and this is far from being optimal : Diverio [39, 40] has shown e.g. that one can take
k D n for smooth hypersurfaces of high degree. It is however not unlikely that one
could improve estimate (136) with more careful choices of !, h. t
u
Acknowledgements The author expresses his warm thanks to the organizers of the CIME School
in Pluripotential Theory held in Cetraro in July 2011, Filippo Bracci and John Erik Fornæss, for
their invitation and the opportunity to deliver these lectures to an audience of young researchers.
The author is also grateful to the referee for his (her) suggestions, and for a very careful reading of
the manuscript.
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Pluripotential Theory and Monge–Ampère
Foliations
G. Patrizio and A. Spiro
Abstract A regular, rank one solution u of the complex homogeneous Monge–

Ampère equation .@@u/n D 0 on a complex manifold is associated with the
Monge–Ampère foliation, given by the complex curves along which u is harmonic.
Monge–Ampère foliations find many applications in complex geometry and the
selection of a good candidate for the associated Monge–Ampère foliation is
always the first step in the construction of well behaved solutions of the complex
homogeneous Monge–Ampère equation. Here, after reviewing some basic notions
on Monge–Ampère foliations, we concentrate on two main topics. We discuss the
construction of (complete) modular data for a large family of complex manifolds,
which carry regular pluricomplex Green functions. This class of manifolds naturally
includes all smoothly bounded, strictly linearly convex domains and all smoothly
bounded, strongly pseudoconvex circular domains of Cn . We then report on
the problem of defining pluricomplex Green functions in the almost complex
setting, providing sufficient conditions on almost complex structures, which ensure
existence of almost complex Green pluripotentials and equality between the notions
of stationary disks and of Kobayashi extremal disks, and allow extensions of known
results to the case of non integrable complex structures.
1 Introduction
Pluripotential theory might be considered as the analogue in several complex

variables of the potential theory associated with the Laplace operator. Indeed, it
G. Patrizio ()
Dipartimento di Matematica “U.DIni”, Universitá di Firenze, Italy
e-mail: patrizio@math.unifi.it
A. Spiro
Scuola di Scienze e Tecnologie, Universitá di Camerino, Italy
e-mail: andrea.spiro@unicam.it

266 G. Patrizio and A. Spiro
can be regarded as the potential theory in higher dimensions associated with the
complex homogeneous Monge–Ampère equation.
For a function u of class C 2 on an open set U of a complex manifold, the complex
(homogeneous) Monge–Ampère equation is the equation on u of the form
.ddc u/n D .2i @@u/n D .2i /n @@u ^ : : : ^ @@u D 0 ; (1)

„ ƒ‚ …
n times
which, in local coordinates, is equivalent to
det.ui kN /d z1 ^ : : : ^ d zn ^ d z1 ^ : : : ^ d zn D 0 ” det.uj kN / D 0 :
It is immediate to realize that, in complex dimension one, this equation reduces to

the Laplace equation and it is well known that the Monge–Ampère operator may
be meaningfully extended to much larger classes of functions. As (1) is invariant
under biholomorphic maps, it is natural to expect that its solutions play a role of
great importance in several complex variables as much as harmonic functions do in
complex dimension one.
A distinctive feature of classical potential theory is the fact that harmonic
functions, which are very regular, may be constructed maximizing families of (non
regular) subharmonic functions. In fact, on one hand subharmonic functions are
abundant and easy to construct since they do not need be very regular, on the other
hand envelopes of suitable families of subharmonic functions are very regular and in
fact harmonic. This construction scheme, systematized as Perron method, is based
on maximum principle and it is both a basic tool and a key aspect of classical
potential theory.
In higher dimension the peculiar role of subharmonic functions is played
by the class of plurisubharmonic functions. As the suitable maximum principle
holds also for the complex Monge–Ampère operator, Perron method has been
successfully applied to construct solutions for the complex homogeneous Monge–
Ampère equation satisfying boundary conditions. It turns out that the appropriate
notion of maximality among plurisubharmonic functions is equivalent to be solution
of (1) at least in a generalized sense. Here the analogy with the complex one
dimensional case breaks down. The highly non linearity and the non ellipticity
nature of equation (1) forces its solutions to be not regular even for very regular
initial data. For instance, while positive results regarding the existence of solutions
to the Dirichlet problem for (1) have been known since long time (see [6] for
instance) it has been soon realized that it has at most C 1;1 solutions even for the
unit ball in Cn with real analytic datum on the boundary (see [4, 19]).
Potential theory in one complex variable plays a fundamental role in many
areas of function theory, in particular, in the uniformization theory of Riemann
surfaces. For instance one singles out hyperbolic surfaces by the existence of
Green functions, which are bounded above harmonic functions with a logarithmic
singularity at one point and may be constructed by Perron method. It is natural
Pluripotential Theory and Monge–Ampère Foliations 267
to try and repeat the scheme in higher dimension replacing subharmonic functions
with plurisubharmonic functions, their natural counterpart in higher dimension in
order to define a natural generalization of Green function: the pluricomplex Green
function. For instance for a domain D Cn , the pluricomplex Green function with
logarithmic pole z0 2 D is defined by
GD .z0 ; z/ D supfu.z/ j u 2 PSH.D/; u < 0; lim sup Œu.z/ log kz z0 k < C1g:
z!z0
This is in complete analogy with the definition of Green function in complex

dimension one and in fact GD .z0 ; z/ satisfies (1) on D n fz0 g (in the weak sense).
It is known that pluricomplex Green functions exist for any hyperconvex domain
in Cn (see [17]). On the other hand pluricomplex Green function does not satisfy
basic properties which one may expect (and desire) to hold. For instance, even for
a real analytic bounded strongly pseudoconvex domain D, the pluricomplex Green
function GD .z0 ; z/ need not be of class C 2 on D n fz0 g, in general it fails to be
symmetric, i.e., GD .w; z/ ¤ GD .z; w/, and one cannot even expect that GD .z0 ; z/ is
subharmonic in z0 [3].
There are several layers of understanding for the lack of regularity of solutions
of complex homogeneous Monge–Ampère equation. The first is the most obvious
one: non regularity as “defect of differentiability” and this motivates the need of
understanding the equation in the weak sense. A second aspect is that non regularity
is coupled with—and in many cases caused by—an excess or, rather, non constancy
of degeneracy. More precisely, for a function u being solution of (1) is equivalent to
the degeneracy of the form ddc u, which is the same to ask that ddc u has non trivial
annihilator. In general the rank of the annihilator of ddc u for a solution of (1) need
not be the smallest possible (i.e., one) or constant. In some sense, this is a geometric
aspect of the non regular behavior of (1).
The existence of regular solutions for the complex homogeneous Monge–
Ampère equation with the least possible degeneracy defines a reach geometry:
There exists a foliation in complex curves of the domain of existence of the
solution such that the restriction of the solution to one of the leaf is harmonic.
This geometric byproduct of existence of well behaved solutions, known as Monge–
Ampère foliation, was explicitly studied for the first time by Bedford and Kalka
[5]. Starting with the work of Stoll [52] (see [13, 56] for alternative proofs), many
of these ideas were exploited in questions of classification and characterization of
special complex manifolds: See, for instance, [27, 39, 40, 57] for applications to the
classification of circular domains and their generalizations and [14,23,32,45,47,53]
for the study of complexifications of Riemannian manifolds.
In fact, whenever such regular solutions exist, its construction starts with the
determination of a suitable foliations. This is a well known fact, used also to provide
examples of solutions with bad behaviors. In this regard, we mention the early
example [2] and the most recent work by Lempert and Vivas [33] on the non-
existence of regular geodesics joining points in the space of Kähler metrics (see
also [10], in this volume).
On the other hand, in the seminal work of Lempert on convex domains [30],
the existence of regular pluricomplex Green functions is related to a very good
behavior of the Kobayashi metric for such domains, namely to the existence of
a smooth foliation by Kobayashi extremal disks through any given point (see
also for similar construction for pluri-Poisson kernels [11, 12]). In this case, the
existence of a foliation by extremal disks is based on the equivalence between
the notions of extremal and stationary disks, the latter being characterized as
solution of manageable differential problem. Such link between Monge–Ampère
equation, Kobayashi metric and stationary disks determines connections between
many different problems and ways to approach them from various points of view.
Within this framework, we will report on two lines of research.
Following and simplifying ideas that go back to papers of Lempert for strictly
convex domains [31] and of Bland–Duchamp for domains that are small deforma-
tions of the unit ball [7–9], we discuss the construction of (complete) modular data
for a large family of complex manifolds, which carry regular pluricomplex Green
functions. This class of manifolds naturally includes all smoothly bounded, strictly
linearly convex domains and all smoothly bounded, strongly pseudoconvex circular
domains of Cn .
The modular data for this class of manifolds and, even more, the methods
used, naturally suggest to ask similar questions for almost complex manifolds
and to investigate the possibility of defining a useful notion of almost complex
pluricomplex Green function. The generality of this setting poses new difficulties.
The abundance of J -holomorphic curves, which is an advantage in many geo-
metrical considerations, turns into a drawback when considering objects such as
the Kobayashi metric. In particular, the notions of stationary and extremal disks
are in general different [20]. As for the construction of Green pluripotentials,
it is necessary to cope with the behavior of plurisubharmonic functions in the
non-integrable case, which may be is rather unexpected even for arbitrarily small
deformations of the standard complex structure. Finally, the kernel distribution of
(the natural candidate of) almost-complex Monge–Ampère operator, even if appro-
priate non-degenericity conditions are assumed, in principle are neither integrable,
nor J -invariant. All this is in clear contrast with the classical setting and hence
it cannot be expected that, for completely arbitrary non-integrable structures, one
can reproduce the whole pattern of fruitful properties relating regular solutions of
complex Monge–Ampère equations, foliations in disks and Kobayashi metric.
Nevertheless it is possible to determine sufficient conditions on the almost com-
plex structure, which ensure the existence of almost complex Green pluripotential
and the equality between the two notions of stationary disks and of extremal disks.
The class of such structures is very large in many regards, in fact determined by a
finite set of conditions (it is finite-codimensional) in an infinite dimensional space.
2 Domains of Circular Type and Monge–Ampère Foliations
2.1 Circular Domains and Domains of Circular Type
Let D Cn be a complete circular domain, i.e., such that z 2 D if and only if

z 2 D for any 2 C with jj 1. For simplicity, let us assume that it is smoothly
bounded and strictly pseudoconvex. It is well known that any such domain D is
completely determined by its Minkowski functional D , which is the real-valued
function
8
ˆ
< 0 if z D 0
D W Cn ! R0 ; D .z/ D
:̂ 1 if z ¤ 0 ;
tz
where tz D supf t 2 R W tz 2 D g. The square of the Minkowski functional
D W D ! R0 ; D .z/ D D .z/2
is called Monge–Ampère exhaustion of D and satisfies some crucial properties. It

can be considered as the modeling example of the Monge–Ampère exhaustions of
the class of domains that we are going to analyze in the sequel.
One of the very first properties that can be inferred just from the definitions is the
fact that D is always a map of the form
D .z/ D GD .z/kzk2 ;
where GD W D n f0g ! R is a bounded function of class C 1 , which is constant

on each complex line through the origin and hence identifiable with a C 1 map
GD W CP n1 ! R, defined on the complex projective space CP n1 . It turns out
that the exhaustion D provides full biholomorphic data for the moduli space of
complete circular domains in the sense described in the following theorem.
Theorem 1 ([46]). Two bounded circular domains D1 , D2 Cn are biholomor-
phic if and only if their Monge–Ampère exhaustions are such that
D1 D D2 ıA
for some A 2 GLn .C/. Moreover, if we denote by D the set of biholomorphic

classes of smoothly bounded complete circular domains, DC D the subset of
biholomorphic classes of strictly pseudoconvex domains, by !FS the Fubini-Study
2-form of CP n1 , then
D ' Œ!FS = Aut.CP n1 / and DC ' Œ!FS C

= Aut.CP n1 / ;
where we denote by Œ!FS the cohomology class of !FS in H 1;1 .CP n1 / and
Œ!FS C D f1-forms ! 2 Œ!FS that are positive definiteg.
Fig. 1 Blowning up Unit Ball and Circular Domains
The description of the moduli spaces D and DC , given in this theorem, can be
considered as a consequence of the following observation. Consider the unit ball
Bn D f kzk2 < 1 g and a complete circular domain D D f D .z/ D 2D .z/ < 1g with
Monge–Ampère exhaustion D .z/ D GD .z/kzk2 . Both domains are blow downs of
diffeomorphic disk bundles over CPn1 (Fig. 1), which have
• “Same” complex structure along fibers
• “Same” holomorphic bundle H normal to the fibers
• “Different” complex structures along H
The differences between the complex structures on the normal holomorphic bundles
H of Bn and D can be completely recovered from the map GD W CP n1 ! R.
This fact can be used to prove that the biholomorphic class of ŒD is completely
determined (modulo actions of elements in Aut.CP n1 /) by the .1; 1/-form ! D
N D and
!FS C @@G
ŒD D ŒBn if and only if ! D !FS
of course, up to actions of elements in Aut.CP n1 /.

Let us now consider the so-called domains of circular type, which are our main
object of study for the first segment of these notes.
Before going into details, let us say a few words about notation. Since later we
will have to deal with generalizations concerning almost complex manifolds it is
useful to adopt notations that can be easily extended to the cases of non-integrable
almost complex structures. With this purpose in mind, we recall that the familiar
@- and @-operators are related with the differential geometric operators d and d c D
J ı d ı J by the identities
d D@C@; d c D i.@ @/ :
and that ddc D d c d and ddc u D 2i @@u for any C 2 function u W U M ! R.

Let us now begin introducing the notion of manifolds of circular type. Here we
give a definition which is slightly different from the original one, but nonetheless
equivalent, as it follows from the results in [40].
Definition 2 ([40]). A pair .M; /, formed by a complex manifold .M; J / of
dimension n and a real valued function W M ! Œ0; 1/ , is called (bounded)
manifold of circular type with center xo if
(i) W M ! Œ0; 1/ is an exhaustion of M with f D 0g D fxo g and satisfies the
regularity conditions:
(a) 2 C 0 .M / \ C 1 .f > 0g/;
(b) jf >0g extends smoothly over the blow up MQ at xo of M .
8
ˆ
ˆ 2i @@ D ddc > 0 ;
ˆ
ˆ
ˆ
<
(ii) 2i @@ log D ddc log 0 ;
ˆ
ˆ
ˆ
ˆ
:̂
.ddc log /n 0 .Monge–Ampère Equation) I
(iii) in some (hence any) system of complex coordinates z D .zi / centered at xo ,
the function has a logarithmic singularity at xo , i.e.
log .z/ D log kzk C O.1/ :
A domain of circular type with center xo is a pair .D; /, given a relatively

compact domain D M of a complex manifold M with smooth boundary, and
an exhaustion W D ! Œ0; 1 smooth up to the boundary, such that .D; / is a
manifold of circular type, i.e., satisfying the above conditions (i), (ii), (iii).
The simplest example of a domain of circular type is the unit ball B n Cn ,
endowed with the standard exhaustion o .z/ D kzk2 . In fact, any pair .D; D /,
formed by a strictly pseudoconvex, smoothly bounded, complete circular domain
D Cn and its Monge–Ampère exhaustion D , is a domain of circular type. To see
this, it is enough to observe that D is strictly plurisubharmonic and that log D is
plurisubharmonic, with harmonic restrictions on each (punctured) disk through the
origin. The conditions (i) and (iii) are easily seen to be satisfied.
A much larger and interesting class of examples is given by the strictly (linearly)
convex domains, whose properties, determined by the seminal work of Lempert, can
be summarized as follows.
Theorem 3 ([30]). Let D Cn be a smooth, bounded strictly (linearly) convex
domain and denote by ıD its Kobayashi distance and, for any given xo 2 D, by ıxo
the function ıxo D ıD .xo ; /. Then
– ıD 2 C 1 .D D n Diag/, where we denoted by Diag D f.z; z/ j z 2 Dg;
– the function u D 2 log.tanh ıxo / is in C 1 .D n fxo g/ and it is the unique solution

of the problem
(
det.uN / D 0 on D n fxo g;
uj@D D 0 and u.z/ D 2 log kz xo k C O.1/ near D n fxo g:
In fact, the pair .D; /, with D .tanh ıxo /2 , is a domain of circular type with
center xo .
This theorem is indeed the result of a deep proof of geometric nature, which can
be outlined as follows. Let xo be a point of a smoothly bounded, strictly (linearly)
convex domain D M and v a tangent vector in Txo D of unit length w.r.t. to
the infinitesimal Kobayashi metric #D . Lempert proved that there exists a unique
complex geodesic
fv W ! D ; D f jj < 1 g C ;
(i.e., a holomorphic map which is also an isometry between , with its standard
hyperbolic metric, and .v/ D fv ./ D, endowed with metric induced by the
Kobayashi metric of D) such that
fv .0/ D xo ; fv0 .0/ D v :
He also shows that the complex geodesic fv depends smoothly on the vector v and
that the images of the punctured disk n f0g,
fv . n f0g/ ; v 2 Txo M ;
determine (Fig. 2) a smooth foliation of the punctured domain D n fxo g.
Fig. 2 Complex geodesics of

strictly convex domains
Using this and the fact that a holomorphic disc fv is an isometry between . n
f0g; ı/ and .fv . n f0g/; ıD / .D; ıD /, one gets that the map
u D 2 log.tanh ıxo / W D n fxo g ! R
satisfies the equality

u.fv .// D log jj
for any complex geodesic fv . In particular, .fv / D jj2 . From these information,
all other claims of the statement can be derived.
We remark that Lempert’s result on existence of the foliation by extremal disks
through a given point is based on the equivalence (for strictly convex domains)
between the notions of extremal disks and of stationary disks, these being precisely
the disks that realize the stationarity condition for the appropriate functional on
holomorphic disks. We will come back to this point later on.
The problem of determining moduli for (pointed) strictly convex domains was
addressed—and to a large extent solved—by Lempert, Bland and Duchamp in [7–
9, 31].
The results in [31] can be summarized as follows. In that paper, it is proved that,
for a given strictly convex domain D Cn with a distinguished point xo 2 D
and for any given Kobayashi extremal disk fv W ! D with fv .0/ D xo and
fv0 .0/ D v, there exists a special set of coordinates, defined on a neighborhood U of
fv .@/ @D, in which the boundary @D admits a defining function r W U ! R
of a special kind, called “normal form”. The lower order terms of such defining
functions in normal form (which can be considered as functions of the vectors v D
fv0 .0/ 2 Tx10o D) determine biholomorphic invariants, which completely characterize
the pointed domain .D; xo / up to biholomorphic equivalences.
Bland and Duchamp’s approach is quite different. Roughly speaking, they
succeeded in constructing a complete class of invariants for any pointed, strictly
convex domain .D; xo / (and also for any pointed domain which is a sufficiently
small deformation of the unit ball) using the Kobayashi indicatrix at xo and a
suitable “deformation tensor”, defined on the holomorphic tangent spaces, which
are normal to the extremal disks through xo .
Lempert, Bland and Duchamp’s results provide an excellent description of the
moduli space of strictly convex domains, but they also motivate the following
problems.
Problem 1. The moduli space of pointed convex domains appears to be naturally
sitting inside a larger space. Find the “right” family of domains corresponding to
such larger space.
Problem 2. The singular foliation of a circular domain by its stationary disks
through the origin is very similar to the singular foliation of a strictly convex
domain by stationary disks through a fixed point xo . But there are also some crucial
differences between such two situation: In the latter case, any point is center of a
singular foliation, while in the former there apparently is only one natural choice for
the center, the origin. Determine an appropriate framework for “understanding”
the possible differences between the “sets of centers” of the domains admitting
(singular) stationary foliations.
In the following two sections, we are going to discuss a simplification and a
generalization of Bland and Duchamp’s invariants. The results that we will give
may be roughly described as follows:
(a) The manifolds of circular type determine a moduli space, which naturally
includes the moduli of strictly convex domains and on which Bland and
Duchamp’s invariants are in bijective correspondence.
(b) This new construction of Bland and Duchamp’s invariants determine a new
setting, in which the sets of special points can be studied in a systematic way.
2.2 Homogeneous Complex Monge–Ampère Equation

and Monge–Ampère Foliations
Let M be a complex manifold of dimension n and u W M ! R be a function

class C 1 . In complex coordinates .z1 ; : : : ; zn /, we have that ddc u D 2i @@u D
of P
2i uj k d zj ^ d zk and the plurisubharmonicity of a function u is equivalent to
require that ddc u D 2i @@u 0 or, in local coordinates, that .uj kN / 0.
The complex (homogeneous) Monge–Ampère equation is the equation on u of the
form
.ddc u/n D .2i @@u/n D .2i /n @@u ^ : : : ^ @@u D 0 ;
„ ƒ‚ …
n times
i.e., in local coordinates,

det.ui kN /d z1 ^ : : : ^ d zn ^ d z1 ^ : : : ^ d zn D 0 ” det.uj kN / D 0 :
Assume now that:

(a) u is a smooth solution of a Monge–Ampère equation (that is .ddc u/n D 0).
(b) u is plurisubharmonic (that is ddc u 0).
(c) D e u is strictly plurisubharmonic (that is ddc > 0).
We claim that from (a), (b), (c), it follows also that
.ddc u/n1 ¤ 0 ; (2)
i.e., that the rank of ddc u is exactly n 1 at all points. In fact, at every point p, the
2-form ddc ujp is positive along directions in the holomorphic tangent space to level
sets of u through p and ddc ujp has exactly n 1 positive eigenvalues and only one
zero eigenvalue.
Since it is useful for future developments, we give here some details of the proof.
First of all, we observe that, by definitions,
e 2u ddc u D 2
ddc log D ddc d ^ d c (3)
and hence
.e 2u /n .ddc u/n D 2n
.ddc log /n D n
.ddc /n n n1
.ddc /n1 ^ d ^ d c :
This implies that
.ddc u/n D 0 if and only if .ddc /n D n.ddc /n1 ^ d ^ d c
or, equivalently,
X
def 1
det.ui k / D 0 if and only if D

; . /D. / : (4)
;
Assume now that u satisfies the Monge–Ampère equation and consider the vector
field Z in T 1;0 .M n fxo g/, determined by the condition
i
ddc .Z; / D @@ .Z; / D @ : (5)
2
Such vector field necessarily exists and is unique, because by assumptions the
2-form ddc is non-degenerate (in fact, a Kähler metric). In coordinates, the vector
fields Z is of the form
X
@
ZD : (6)
;
@z
From (6), (5) and (4), it follows that
@@ .Z; Z/ D @ .Z/ D . and hence also @ .Z/ D /: (7)
Moreover, decomposing an arbitrary .1; 0/-vector field V into a sum of the form
V D Z C W ;
where W is a .1; 0/-vector field W tangent to the level sets f D const.g (and hence
such that d .W / D 0), using (3) and (7), we get
e 2u ddc u.V; V / D jj2 ddc .Z; Z/ C 2 Re. ddc .Z; W // C ddc .W; W /
.d ^ d c /.Z C W; Z C W /
D 2i jj2 2
C 2 Re. d .W // C ddc .W; W / 2i jj2 2
D ddc .W; W / 0 ;
because the level sets of u coincide with the level sets of and these are strictly
pseudoconvex. It follows that ddc u 0 is positively semi-definite and Ann ddc u D
CZ on M n fxo g.
From these observations, we have that, for any u W M ! R satisfying the above
conditions (a), (b) and (c), the family of complex lines
Z D f Zx Tx M ; x ¤ xo W Zx is the kernel of ddc ujx g (8)
is actually a complex distribution of rank 1 with the following crucial properties:

– It is integrable (in fact, it coincides with Ann ddc u and ddc u is a closed 2-form).
– Its integral leaves are holomorphic curves (in fact, ddc u is a .1; 1/-form).
The foliation F of the integral leaves of Z is called Monge–Ampère foliation
associated with u (or D e u ).
We point out that there exists a very simple criterion for determining whether a
holomorphic curve is part of a leaf of F : It suffices to observe that the image L./
of a holomorphic curve L W ! M is contained in an integral leaf of Z if and
only if u ı L W ! R is a harmonic function.
Various properties of the domains of circular type follows from the above
conditions (a), (b), (c). We summarize them in the next theorem and we refer to
[40, 41] for details and proofs.
Theorem 4. Let .M; / be a manifold of circular type with center xo and denote
by xo W MQ ! M and 0 W BQ n ! Bn the blow-ups of M and of the unit ball
Bn Cn at xo and 0, respectively.
There exists a diffeomorphism $ W BQ n ! MQ such that, for any v 2 S 2n1
T0 C , the map
n

fv W ! M ; fv ./ D xo $ .01 . v//
is such that
(a) It is proper, one-to-one and holomorphic.
(b) Its image fv ./ is (the closure of) a leaf of the Monge–Ampère foliation on
M n fxo g determined by .
(c) It is the unique complex geodesic for the Kobayashi metric of M , passing
through xo and tangent to the vector v 2 Txo M ' Cn .
Moreover, the map $ satisfies the additional property
. ı $ /jBQ n n 1 .0/ D k k2 . k k D Euclidean norm of Cn / :

0
In Fig. 3, we try to schematize the properties of the map $ W BQ n ! MQ described

in the above theorem
Rather than provide a complete argument, we sketch here the circle of ideas
underlying these results. Under the assumptions of the theorem, there exist complex
coordinates on a neighborhood U M of xo and centered at xo ' 0Cn , in which
assumes of the form
.z/ D h.z/kzk2 C o.kzk2 / (9)
for some h W S 2n1 Txo M ' Cn ! R of class C 1 and such that
Fig. 3 The map $
h.z/ D h.z/ for any 2 C with jj D 1 :

P
Given the complex gradient Z D ;
@
@z
of on U n f0g, consider the real
vector fields
1
Y D p ZCZ ; W Di ZZ ;
which determine the real and imaginary parts of the flow of Z. By construction, Y
and W are generators over R for the distribution (8), which we know it is integrable.
Actually, using the Monge–Ampère equation satisfied by u D log , one can directly
check that ŒY; W D 0.
Now, using (9) and once again the Monge–Ampère equation, one can show that
near xo the vector field Z is of the form
X @
ZD Œz C G .z/ for some G .z/ D O.kzk2 / ; (10)
;
@z
so that the vector field ZQ on ." n f0g/ .Bnr n f0g) with " D f 2 C W jj < " g,
for a fixed r > 1 and " > 0 sufficiently small, defined by
X @
Q
Z.; z/ D .z/

.z/ ;
;
@z
extends in fact of class C 1 on the whole open set VQ D " Bnr .

From previous remarks, the C 1 vector fields
1
YQ D p ZQ C ZQ ; WQ D i ZQ ZQ
satisfy
ŒYQ ; WQ D 0
at all points of
VQ n f0g Bnr [ " f0Cn g
Q
and hence, by continuity, on the entire V.
Due to this, one can integrate such vector fields and, for any v 2 Bnr , construct a
holomorphic map fQv W " ! VQ with fQv .0/ D .0; v/ and such that
ˇ!
@ ˇˇ ˇ
fQv ˇ D YQ ˇfQv ./
@x
for any 2 " . The collection of such holomorphic maps determine a map of class
C1
FQ W " S 2n1 ! VQ ; FQ .; v/ D fQv ./ :
By restriction on " S 2n1 , where S 2n1 D f z 2 Cn W kzk D 1 g Bnr , and
composing with the natural projection onto the blow up of U ' Bnr ,
Q n ' UQ ;
Q W VQ D " Bnr ! B r Q v/ D .Œv ; v/ ;
.;
we get a smooth map
F W " S 2n1 ! U M ; F D ı FQ j" S 2n1 :
This map extends uniquely to a smooth map F W S 2n1 ! M onto the whole
complex manifold M , with the following properties:
– .F .; v// D jj2 for any ¤ 0, so that F .0; v/ coincides with the corresponding
point .Œv ; v/ of the singular set E D 01 .xo / ' CP n1 for any v 2 S 2n1 ;
– F .; v/ D F .; v/ for any with jj D 1;
– fv D F .; v/ W ! MQ is a biholomorphism between and a (closure of) a
ˇ of the Monge–Ampère foliation determined by u D log on M n fxo g;
leaf
– ZQ ˇF .;v/ D fv0 ./ for any v 2 S 2n1 ;
p
– fv0 .0/ D h.v/ v, where h denotes the function in (9).
The map of Theorem 4 is precisely the map $ W BQ n ! MQ defined by
$ jE D IdE and $ .Œv ; v/ D F .; v/ D fv ./

for any .Œv ; v/ 2 BQ n n E with v 2 S 2n1 . Using the above construction, one can
directly check that $ is smooth.
It also turns out that the subset of Txo M defined by
Ixo D f v 2 Txo M ' Cn W h.v/k v k2 < 1 g
coincides with the Kobayashi indicatrix of M at xo . In fact, this is a consequence of

the following proposition [41].
Proposition 5. For any v 2 S 2n1 Cn ' Txo M , the holomorphic disk fv W
! M is a Kobayashi extremal disk of M in the direction of v. This extremal
disk is unique.
Proof. To prove the first claim, we need to show that for any holomorphic map
g W ! M with g.0/ D xo and g 0 .0/ D t v for some t 2 R>0 , we have that
p
t D kg 0 .0/k kfv0 .0/k D h.v/ :
For any such disk, consider the function
` W ! R ; `./ D log .g.// :
It is subharmonic with j`./j 0 at all points and
j`./ log.jj/2 j D o.jzj/ :
This means that log.jj2 / is a harmonic majorant for `./ and that
.g.// jj2 D .fv .// : (11)
One can also check that the map
QD ı xo W MQ n x1
o
.xo / ! R
extends smoothly to a function Q W MQ ! R defined over the whole blow up MQ

and that the limit of N .g.//, for tending to 0, exists and its value
lim .g.// N D Q .Œg 0 .0/ ; 0/v v D Q .Œv ; 0/ v v

!0
depends only on the element Œv 2 E D CP n1 .

From (11), we have that .g.// D r./jj2 for some smooth function 0 r 1
and that
0
.g.// N D N .g.//g ./g 0 ./ D r N ./jj2 C r ./ C rN ./ C r./ :
All this implies that

0
t 2 Q .Œv ; 0/ v v D lim N .g.//g ./g 0 ./ D r.0/ 1 :
!0
p
On the other hand, recalling that .fv .// D jj2 and that fv0 .0/ D h.v/ v, we
have
0 0
1 D .fv .0// N D lim N .fv .//fv ./fv ./ D h.v/ Q .Œv ; 0/v v ;
!0
from which it follows that

1 1
Q .Œv ; 0/ v v D D so that kg 0 .0/k D t fv0 .0/ :
h.v/ f 0 .0/2
v
It now remains to check the uniqueness of such extremal disk. First of all, notice that
if g W ! M is a holomorphic disk with g.0/ D xo and g 0 .0/ D v D fv0 .0/, and
r./ 1 is the function defined above, such that .g.// D r./jj2 , then r.0/ D 1.
Moreover:
(a) The function log r is subharmonic. In fact
log r D log ı g log jj2 D log ı g 0 :
(b) The function log r is always less or equal to 0.

By Maximum Principle, conditions (a), (b) and the equality r.0/ D 1 imply that
r./ D 1 and .g.// D jj2 at all points. A little additional computation shows that
g./ is necessarily included in a leaf of the Monge–Ampère foliation determined
by u D log . Using the fact that log jg./ is harmonic, one concludes that there is
only one possibility for g, namely g D fv . t
u
This proposition concludes our outline of the ideas behind the proof of Theorem 4
and the various properties of the diffeomorphism $ W BQ n ! MQ . There is however
another very important information on the diffeomorphism $ which we want to
point out.
Assume that M is a smoothly bounded, relatively compact domain in a larger
complex manifold N and that the exhaustion extends smoothly up to the boundary
@M in such a way that ddc > 0 also at the boundary points of M . In this
case, one can check that the map $ extends smoothly up to the closures of the
blow-ups
$ W BQ n ! MQ
and, consequently, all holomorphic disk fv W ! M extend to smooth maps

fv W ! M . This extendability property will turn out to be important for the
construction of the normal forms and Bland and Duchamp’s invariants that we are
going to present in the next section.
Furthermore, the fact that such extremal disks are smoothly attached to the
boundary determine a crucial relation between these disks and the geometry of
the boundary. It turns out that for any v 2 S 2n1 Txo M , the corresponding
holomorphic disk fv W ! M is stationary, i.e., (see [30] for the original
definition) there exists a holomorphic map
fQv W ! T M
such that
(i) O ı fOv ./ D fv ./ for any 2 , where O W T M ! M is the standard
projection.
(ii) For any 2 @, the 1-form 1 fOv ./ 2 .Tfv .z/ M /10 is non-zero and belongs
to the conormal bundle of @M (i.e., vanishes on the tangent of @M ).
In fact, since the restrictions of u on the leaves of the Monge–Ampère equation are
harmonic, one can immediately check that, for any given disk fv W ! M , the
required map fQv W ! .Tfv .z/ M /10 is given by
fQv ./ D @ujfv ./ :
We conclude this section with the following result by Stoll ([52]; see also the
alternative proofs in [13, 56]), which was essentially one of the starting points of
the geometrical applications of the theory of Monge–Ampère foliation theory.
Theorem 6 ([52]). Let M be a complex manifold complex manifold of dimension n.
Then there exists a C 1 exhaustion W M ! Œ0; 1/ such that
.1/ ddc > 0 on M .2/ .ddc log /n D 0 on M n f D 0g
if and only if there exists a biholomorphic map F W M ! Bn D fZ 2 Cn j kZk2 <

1g with .F .z// D kzk2 .
Two key remarks allow to prove Stoll’s theorem using Theorem 4:
(i) The minimal set f D 0g of reduces to a singleton fxo g so that .M; / is a
manifold of circular type with center xo .
(ii) The map ˚ W Bn ! M , defined by requiring that the following diagram
commutes (here 0 , xo are blow down maps and $ W BQ n ! MQ is the map
given in Theorem 4),
$ - MQ
BQ n
0 xo
(12)
? ?
˚ - M
Bn
is a smooth diffeomorphism (even at the origin!).

To prove (i), one has first to observe that, as consequence of a result of Harvey
and Wells [25], the level set f D 0g is totally real, compact and discrete (and
hence finite). Then the conclusion follows by an argument of Morse theory: M is
connected and retracts onto f pD 0g along the flow of the vector field Y , which
turns out to be the gradient of with respect to the Kähler metric g determined
by the Kähler form ddc .
Property (ii) follows from the fact that it is possible to show that ˚ is a
reparametrization of the exponential map at xo of the metric g and it is therefore
smooth at xo .
By a classical result of Hartogs on series of homogeneous polynomials, from the
fact that ˚ is smooth and holomorphic along each disk through the origin, it follows
that ˚ is holomorphic. The fact that .˚.z// D kzk2 is a consequence of Theorem 4
and the commutativity of the diagram (12).
3 Normal Forms and Deformations of CR Structures
3.1 The Normal Forms of Domains of Circular Type
In this section we constantly use the following notation:

– Bn is the unit ball of Cn , centered at the origin.
– Jst is the standard complex structure of Cn .
– WB Q n ! Bn is the blow up of Bn at the origin.
– o W Bn ! R0 is the standard Monge–Ampère exhaustion of Bn , i.e., o D
k k2 .
– uo W Bn ! R0 is the function uo D log o2 .
S S
We will also denote by Z D x2Bn nf0g Zx and H D x2Bn nf0g Ux the
distributions on Bn n f0g, determined by the following subspaces of tangent spaces:
ˇ
ˇ
Zx D 0-eigenspace of the matrix .uo j k /ˇ Tx Bn ; (13)
x
Hx D orthogonal complement of Zx in Tx Bn . w.r.t Euclidean metric / : (14)

Notice that, for any point x 2 Bn n f0g, the space Zx is nothing else but the tangent
space of the straight complex lines of Cn , passing through x and 0 and that the
(closures of) integral leaves of Z are the straight disks through the origin. The
distributions Z and H will be called radial and normal distributions, respectively.
They are both smoothly extendible at all points of the blow up BQ n.
The main ingredients of this section consist of the objects introduced in the
following definition.
Definition 7. A complex structure J on BQ n is called L-complex structure if and
only if
(i) The distributions Z and H are both J -invariant.
(ii) J jZ D Jst jZ (i.e., J and Jst differ only for their actions on H!).
(iii) There exists a smooth homotopy J.t/ of complex structures, all of them
satisfying (i) and (ii), with J.0/ D Jst and J.1/ D J .
A complex manifold M D .Bn ; J /, which is the blow-down at 0 of a complex
manifold of the form .BQ n ; JQ /, for some L-complex structure JQ , is called manifold
of circular type in normal form. Its complex structure J will be called L-complex
structure induced by JQ .
Remark 8. The existence of a complex structure J on B n that makes M D .B n ; J /
a blow-down at 0 of .BQ n ; J / is a consequence of the fact that .BQ n ; JQ / is naturally
endowed with a J -plurisubharmonic exhaustion Q W BQ n ! Œ0; 1/, with Q 1 .0/ D
CP n1 which is strictly J -plurisubharmonic outside the exceptional set Q 1 .0/. For
this classical fact one may refer for instance to [36] (see also [42, Sect. 3.1], for
more details about this point).
The crucial property of this class of manifolds is the following:
Proposition 9. If M D .Bn ; J / is a complex manifold, which is blow-down at 0 of
a complex manifold of the form .B Q n ; JQ /, for some L-complex structure JQ , the pair
.M D .B ; J /; o / is a manifold of circular type with center xo D 0.
n
The proof essentially consists of checking that the exhaustion o W Bn ! R0

is strictly plurisubharmonic w.r.t. the (non-standard) complex structure J , i.e.,
ddcJ o > 0. Here, “dJc ” is the operator dJc D J ı d ı J and is in general different
from the usual operator d c D Jst ı d ı Jst D i.@ @/ determined by Jst .
Due to J -invariance, the radial and normal distributions Z, H are not only
orthogonal w.r.t. the Euclidean metric but also w.r.t. the J -invariant 2-form ddcJ o .
Moreover, since J jZ D Jst jZ , we have that
ddcJ o jZZ D ddc o jZZ > 0 :
Therefore, what one really needs to check is that ddcJ o jHH > 0. By construction,
for any x 2 Bn n f0g, the subspace Hx Tx Bn coincides with the J -holomorphic
tangent space of the sphere Sc D f o D c g with c D o .x/. Indeed, it is also
the J.t/-holomorphic tangent space of S 2n1 for any complex structure J.t/ of the
isotopy between Jst and J . It follows that the restriction

ˇ
ˇ
ddcJ.t / o ˇ
Hx Hx
is the Levi forms of Sc at x for any complex structure J.t/. On the other hand,
the distribution HjSc T Sc is a contact distribution (it is the standard contact
distribution of Sc ) and, consequently, all such Levi forms are non-degenerate. Since
ddcJ.t / o jHx Hx is positively when t D 0 and the complex structure is J.0/ D Jst ,
ˇ
ˇ
by continuity, the Levi forms ddcJ.t / o ˇ are positively defined for any t and in
Hx Hx
particular when the complex structure is J D J.1/. This shows that ddcJ o jHx Hx >
0 at all points as we needed.
By previous proposition, the manifolds “in normal form” constitute a very large
family of examples manifolds of circular type, with an exhaustion o D k k which
is particularly simple. Moreover, the key result on such manifolds is the following.
Theorem 10 (Existence and uniqueness of normalizing maps). For each man-
ifold of circular type .M; J /, with exhaustion and center xo , there exists a
biholomorphism ˚ W .M; J / ! .Bn ; J 0 / to a manifold in normal form .Bn ; J 0 /
with (Fig. 4)
(a) ˚.xo / D 0 and D o ı ˚;
(b) ˚ maps the leaves of the Monge–Ampère foliation of M into the straight disks
through the origin of Bn .
Any biholomorphism ˚ W .M; J / ! .Bn ; J 0 /, satisfying the conditions
(a) and (b), is called normalizing map for the manifold M . The lifted map
˚Q W MQ ! BQ n between the blow ups at xo and ˚.xo / D 0 is nothing but the
inverse
˚Q D $ 1
of the diffeomorphism $ W BQ n ! MQ , described in Theorem 4. The L-complex
structure J 0 on Bn is constructed in such a way that the corresponding complex
structure JQ0 on the blow-up BQ n coincides with the complex structure on BQ n , obtained
by push-forwarding the complex structure JQ of MQ onto BQ n , i.e.,
JQ0 D˚ .JQ / :

def
Notice also that two normalizing maps, related with the same exhaustion
and same center xo , differ only by their action on the leaf space of the Monge–
Ampère foliation. In fact, it turns out that the class N .M / of all normalizing
maps, determined by all its exhaustions of M (which might correspond to distinct
centers), is naturally parameterized by a suitable subset of Aut.Bn /, which includes
Aut.Bn /0 D Un . We will discuss this point in more details in Sect. 3.3.
Fig. 4 Normalizing Map
3.2 Normal Forms and Deformations of CR Structures
Let .Bn ; J / be a manifold of circular type in normal form, which is blow down of
.BQ n ; J / for an L-complex structure J (for simplicity, we will use the same symbol
for the two complex structures). By definitions, J is completely determined by the
restriction J jH and such restriction is uniquely determined by the corresponding
J -anti-holomorphic subbundle HJ01 HC , formed by the .i /-eigenspaces HJ01x
HxC , x 2 BQ n of the C-linear maps Jx W HxC ! HxC .
If we denote by H01 HC the Jst -anti-holomorphic subbundle, given by the
standard complex structure Jst , in almost all cases the L-complex structure J can be
recovered by the tensor field
[
J 2 .H01 / ˝ H10 D Hom.Hx01 ; Hx10 / ;
Qn
x2B
defined by the condition (Fig. 5)
HJ01x D f v D w CJ .w/ ; w 2 H01 g : (15)
This tensor field J is called deformation tensor of J .

We however point out that the existence of a deformation tensor J , associated
with a complex structure J , which satisfies only (i) and (ii) of Definition 7, is a
priori not always granted: It exists whenever, at any x 2 BQ n , the natural projection
Fig. 5 Deformation Tensor
p W HxC D Hx10 C Hx01 ! Hx01
determines a linear isomorphism pjH01 W HJ01x ! Hx01 . This is an “open”

Jx
condition, meaning that if J can be represented by a deformation tensor J ,
then also the sufficiently close complex structures J 0 , satisfying (i) and (ii), are
representable by deformation tensors.
However, as we will shortly see, the existence of a deformation tensor for
L-complex structures is also a “closed” condition and hence any L-complex structure
is represented by a deformation tensor.
By these remarks, we have that the biholomorphic classes of domains of circular
type are in natural correspondence with the deformation tensors of L-complex
structures on BQ n . It is therefore very important to find an efficient characterization
of the tensor fields D .H01 / ˝ H10 that correspond to L-complex structures, by a
suitable set of intrinsic properties. This problem was solved by Bland and Duchamp
in [7–9] via a suitable adaptation of the theory of deformations of complex structures
(see [29] for a classical introduction).
In those papers, Bland and Duchamp were concerned with strictly linearly
convex domains in Cn that are small deformations of the unit ball Bn . To any such
domain D, they associated a deformation tensor field D on @Bn , which, in our
terminology, is the restriction to @Bn of the deformation tensor of the L-complex
structure J of a normal form.
The arguments of Bland and Duchamp extend very naturally to all cases of our
more general context and bring to the characterization of L-complex structures,
which we are now going to describe.
First of all, notice that the holomorphic and anti-holomorphic distributions H10 ,
H can be (locally) generated by vector fields X 1;0 2 H 1;0 , Y 0;1 2 H0;1 such that
01

O ŒX 1;0 ; Y 0;1 D ŒO .X 1;0 /; O .Y 0;1 / D 0 ;
where O W BQ n ! Cn1 is the natural fibering over the exceptional set CP n1 of
the blow up BQ n . Let us call the vector fields of this kind holomorphic (resp. anti-
holomorphic) vector fields of HC .
Now, consider the following operators (see e.g. [29]) (here, we denote by ./HC W
T C BQ n ! HC the natural projection, determined by the decomposition T C BQ n D
Z C C HC ):
@N b W H 0;1 ˝ H 1;0 ! 2 H 0;1 ˝ H 1;0 ;
@N b ˛.X; Y /DŒX; ˛.Y / HC ŒY; ˛.X / HC ˛.ŒX; Y / ;

def
(16)
and

Œ; W H 0;1 ˝ H 1;0 H 0;1 ˝ H 1;0 ! 2 H 0;1 ˝ H 1;0 ;
def 1
Œ˛; ˇ .X; Y /D .Œ˛.X /; ˇ.Y / Œ˛.Y /; ˇ.X / / (17)
2
for any pair of holomorphic and anti-holomorphic vector fields X , Y of H. We then
have the following:
Theorem 11 ([42]). Let J be an L-complex structure on BQ n that admits a defor-
mation tensor (in fact, J is an arbitrary L-complex structure). Then:
(i) ddc o ..X /; Y / C ddc o .X; .Y // D 0 for any pair X , Y of vector fields in
H0;1 ;
(ii) @N b C 12 Œ; D 0;
(iii) LZ 0;1 ./ D 0.
Conversely, any tensor field 2 H 0;1 ˝ H 1;0 that satisfies (i)–(iii) is the
deformation tensor of an L-complex structure.
In addition, an L-complex structure J , associated with a deformation
tensor , is so that .Bn ; J; o / is a manifold of circular type if and only if
(iv) ddc o ..X /; .X // < ddc o .XN ; X / for any 0 ¤ X 2 H 0;1 .
For the proof we refer directly to [42]. Here, we only point out that the conditions
(i)–(iii) comes out from the request of integrability for the almost complex
structure J , coinciding with Jst on Z and with anti-holomorphic distribution HJ01
determined by (15).
Remark 12. Condition (iv) of previous theorem can be interpreted as an a-priori
estimate for the deformation tensor : It gives an “upper bound” for the norm of
w.r.t. to the Kähler metric ddc o . It is this property that makes the representability
of an L-complex structure by a deformation tensor a “closed” condition and that
it implies the existence of a deformation tensor for any L-complex structure, as
previously pointed out.
Consider now a local trivialization of the line bundle Q W BQ n ! CP n1 , which
represents the points z D .Œv ; v/ 2 Q 1 .U/ of some open subset U CP n1 by
pairs .w; / 2 S 2n1 with

v
wD 2 S 2n1 and vDw :
kvk
Condition (iii) of Theorem 11 implies that the restriction J j 1 .U / of the deforma-

tion tensor of J is of the form
1
X 1
X
.k/
J D J .w; / D Jk .w/ k ;
kD0 kD0
ˇ
where each J .w; /DJk .w/ k is a tensor in .H01 ˝ H10 /ˇ.Œw ; w/ .
.k/ def
One can check that the tensor fields .k/ do not depend on the trivializations and
are well defined over BQ n . Indeed, one has a sequence fJ g of deformation tensors
.k/
P
Q n such that the series 1 converges uniformly on compact sets to J .
over B
.k/
kD0 J
These observations bring directly to the following corollary.
Corollary 13. A manifold .Bn ; J / of circular type in normal form, given by the
blow down at 0 of .BQ n ; J /, is uniquely associated with a sequence of tensor fields
J in .H01 / ˝ H10 , 0 k < 1, each of them (locally) of the form
.k/
.k/
J .Œw ; w/ D Jk .Œw / k ; w 2 S 2n1 ; 2 ;
such that the series X .k/

J D J (18)
k0
converges uniformly on compacta and satisfies the following conditions:

(i) ddc o .J .X /; Y / C ddc o .X; J .Y // D 0 for anti-holomorphic X; Y 2 H 0;1 ;
(ii) @N b J C 12 ŒJ ; J D 0;
(iii) ddc o .J .X /; J .X // < ddc o .XN ; X / for any 0 ¤ X 2 H 0;1 .
Conversely, any sequence of tensor fields J 2 .H01 / ˝ H10 , 0 k < 1,
.k/
such that (18) converges uniformly on compacta and satisfies (i)–(iii), determines a
manifold of circular type in normal form.
It is important to observe that the restriction Q J D J jS 2n1 .r/ of a deformation
tensor J to a sphere
S 2n1 .r/ D f .Œv ; v/ ; k v k D r g BQ n ; 0<r <1
is the deformation tensor of the CR structure . HjS 2n1 .r/ ; J /, induced on S 2n1 .r/
by the complex structure J . Vice versa, any deformation tensor Q J of a CR structure
of the form . HjS 2n1 .r/ ; J / on a sphere S 2n1 .r/ can be written as a Fourier series
X
QJ D Q .k/ ; (19)
k0
whose terms are of the form
Q J .Œw ; rei # / D QJk .Œw /r k e ik# ;

.k/
w 2 S 2n1 :
From this, one can see that all deformation tensors Q J of such CR structures are
exactly the restrictions of the deformation tensors J as in (18). If such deformation
tensor J satisfies conditions (i)–(iii) of Corollary 13, it uniquely determines a
complex structure J which makes .B Q n ; J / the blow up of a manifold of circular
type in normal form.
Summing up all these observations, we see that there exists a natural bijection
between the following two classes:
fManifolds of circular type in normal formal

with the point 0 as distinguished centerg
m
˚
Deformation tensors of CR-structures on S 2n1 .r/
satisfying suitable (explicit) conditionsg
As we already mentioned, the Fourier developments of the tensors QJ , which

characterize the CR structures of the form . HjS 2n1 .r/ ; J / on S 2n1 were first
considered by Bland and Duchamp in [8, 9] in case of small deformations of the
standard CR structure. They managed to prove that they can be always realized as
the CR structures of boundaries of bounded domains in Cn .
3.3 Parameterizations of Normalizing Maps
For a given manifold of circular type .M; J / (considered without a distinguished

exhaustion ), there are in general many distinct normalizing map
˚ W M ! Bn :
The class N .M / of all such normalizing maps is an important biholomorphic

invariant of the manifolds of circular type. Let us see in more details how such
class N .M / can be studied.
Let us first try to understand the structure of the subclass N .M /xo N .M /,
consisting of the normalizing maps that send a fixed center xo into the center 0 of its
normal form .Bn ; J 0 /. For this we need to introduced the notion of “special frames”.
Let xo 2 M be the fixed center determined by a given Monge–Ampère exhaustion

W M ! R0 and # D #xo W Txo M D Cn ! R0 the infinitesimal Kobayashi
metric of M at xo . Let also I Txo M be the Kobayashi indicatrix at xo , that is
I D f v 2 Txo M ' Cn W #xo .v/ < 1 g :
Recall that I is a circular domain of Txo M ' Cn and that # coincides with the
Minkowski functional of I . We call special frame at xo any linear frame .e0 ; e1 ; : : : ;
en1 / for Txo M such that:
(i) e0 2 @I ;
(ii) .e1 ; : : : ; en1 / is a collection of vectors in the tangent space
Te0 .@I / Te0 .Txo M / D Txo M ' Cn ;
that constitutes a linear frame for the holomorphic tangent space of @I at e0 ,

which is unitary w.r.t. the Levi form determined by the defining function D
# 2 1 of I .
In [42], we proved the existence of a natural one-to-one correspondence between
N .M /xo and the set Pxo of all special frames at xo . More precisely, given a fixed
frame uo D .e0o ; : : : en1
o
/ 2 Pxo and a normalizing map ˚o 2 N .M /xo , the new
basis of Txo M defined by

u˚ D e0 ; : : : ; en1 / with ei D .˚ 1 ı ˚o / .eio ; ˚ 2 N .M /xo ;
is also a special frame and the correspondence
{xo W Nxo .M / ! Pxo ; {.˚/ D u
is a bijection.
Therefore, for studying the whole class N .M / of normalizing maps, it is
convenient to consider the collection of special frames
[
P .M / D Px ;
x 2 M that
are centers w.r.t some
which we call pseudo-bundle of special frames. We stress the fact that P .M / is

not expected to be a manifold—its geometric properties strongly depend on the
geometry of the set of centers of M . However, it turns out that when M is a strictly
linearly convex domain of Cn , the pseudo-bundle P .M / coincides with the unitary
frame bundle of the complex Finsler metric, given by the infinitesimal Kobayashi
metric # (for definitions and properties of unitary frame bundles of complex Finsler
manifolds, see e.g. [50])
The previously defined correspondence between normalizing maps and special

frames determines a natural bijection
N .M / ! P .M / :
Notice also that, if we identify M with one of its normal form .Bn ; J /, one can
construct a diffeomorphism between the collection Pxo of all special frames at a
fixed center xo 2 Bn and the subgroup Un D Aut0 .Bn ; Jst / of the automorphisms
of .Bn ; Jst / fixing the origin. Such correspondence brings to an identification
between P .M / and a suitable subset of Aut.Bn ; Jst /, which reveals to be a true
diffeomorphism
N .M / ! Aut.Bn ; Jst /
when M is a strictly linearly convex domain of Cn .
3.4 Some Geometrical Interpretations and Applications
Let M D .Bn ; J; o / be a manifold of circular type in normal form, endowed with

P
the standard exhaustion o D k k2 . Let also J D 1
.k/
kD0 J be the corresponding
deformation tensor and I T0 B D C the Kobayashi indicatrix at the center
n n
xo D 0. Notice that, if we denote by D # 2 given by the square of the infinitesimal

Kobayashi metric # of .Bn ; J / at 0, the pair .I; / is a domain of circular type in
T0 Bn D Cn —in fact, I is a circular domain and its Minkowski functional is #!
One can prove the following.
.0/
Theorem 14. (i) The 0-th order component J of J coincides with the defor-
mation tensor of the normal form of .I; /.
.0/
(ii) The difference J J vanishes identically if and only if M is biholomorphic
to the circular domain I .
An application of this and all previous discussion is given by the following
generalizations of results of Leung, Patrizio and P.M. Wong and for strictly convex
domains and of Abate and Patrizio for Kähler–Finsler manifolds [1, 34]. In the next
statement, given a manifold of circular type .M; / with center xo and a real number
0 < r < 1, we use the notation Mxo ;r D f x 2 M W .x/ < r g for any 0 < r < 1.
Theorem 15. (1) A manifold of circular type .M; / is biholomorphic to a circular
domain if and only if the following condition holds:
(?) there exists two distinct values r1 ; r2 2 .0; 1/ such that Mxo ;r1 is
biholomorphic to Mxo ;r2 .
(2) A complex manifold .M; J / is biholomorphic to the standard unit ball .Bn ; Jst /
if and only if it admits at least two distinct structures of manifold of circular type
.M; /, .M; 0 /, relative to two distinct centers xo ¤ xo0 , for which condition
(?) holds.
3.5 Remarks and Questions
Here are some open question, which we consider interesting and worth of investiga-
tions.
(a) Find geometric interpretations of (possibly all) terms of the expansion in Fourier
P
series J D 1
.k/
kD0 J of the deformation tensor of a manifold of circular type
in normal form.
(b) Using modular data (in practice, using possible expression for the deformation
tensors in normal forms), construct explicit examples of manifolds of circular
type with prescribed properties, e.g.,
– with exactly one center or with a discrete set of centers (if there are any);
– with an open set of centers:
– not embeddable in Cn (if there exist).
(c) Find conditions on the deformation tensor that characterize the domains of
circular type, for which any point is a center.
We recall that Wong proved in [58] that any manifold of circular type admits non
constant bounded holomorphic functions. In fact, such manifolds are hyperbolic
and he proved that the Caratheodory metric of such manifolds is bounded below
by a multiple of the Kobayashi metric. This stimulates further research towards the
solution to the following basic question:
(d) Find conditions on modular data that characterize the manifolds of circular type
biholomorphic to some strictly linearly convex domain or just to a bounded
domain in Cn .
4 The Definition of “Stationary Disk” in the Almost Complex

Setting
4.1 First Definitions
From now on, our discussion will focus on the wider class of almost complex
manifolds and we will be mainly concerned with generalizations of previous results
in this larger context.
In what follows, M is always a 2n-dimensional real manifold with an almost
complex structure J , which is a tensor field of type .1; 1/ that gives a linear map at
any x 2 M
Jx W Tx M ! Tx M such that Jx2 D IdTx M :

We recall that an almost complex structure J is called integrable if the associated

Nijenhuis tensor NJ vanishes identically. The definition of NJ is the following: It
is the tensor field of type .1; 2/ defined by the relation
1
N.X; Y / D .ŒX; Y ŒJX; JY C J ŒJX; Y C J ŒX; JY /
4
for any pair of vector fields X; Y of M .
By the celebrated Newlander–Nirenberg theorem, an almost complex structure
J is integrable if and only if M admits a structure of complex manifold, i.e., if and
only if there exists an atlas of complex charts for M
D .z1 D x 1 C iy1 ; : : : ; zn D x n C iyn / W U M ! Cn ;
such that
@ @ @ @
J D i ; J D
@x i @y @y i @x i
and the changes of coordinates ı 1 , ı 1 between any two overlapping charts
of the atlas are holomorphic. In the following, the charts of such atlas will be called
systems of holomorphic coordinates.
Given a pair of almost complex manifold .M; J /, .M 0 ; J 0 /, a map f W M !
M is called .J; J 0 /-holomorphic (or, simply, holomorphic) if
0
@J;J 0 f .v/ D 0 for any v 2 TM ;
where @J;J 0 f is the map
@J;J 0 f W TM ! TM 0 ; @J;J 0 f .v/ D f .J v/ J 0 .f .v// : (20)
Notice that @J;J 0 is a natural generalization of the usual @-operator. In fact, when
.M; J / and .M 0 ; J 0 / are complex manifolds (i.e., when J , J 0 are both integrable)
and
! !
zi C zi i zi zi 0 0i z0i C z0i 0i z0i z0i
D x D i
;y D ; D x D ;y D
2 2i 2 2i
are systems of holomorphic coordinates for M and M 0 , respectively, the expression

of an arbitrary smooth real map f W M ! M 0 is of the form
f .zi ; zj / D .f m .zi ; zj /; f m .zi ; zn // ;
where f m .zi ; zj / and f m .zi ; zj / denote the values of f .zi ; zj / in the complex
coordinates z0m and z0m of M 0 . In such coordinates the (C-linear extended) map
@J;J 0 f W T C M ! T C M
is

@ @f j @ @f j @ @f j @ @f j @
@J;J 0 f D i 0j
i i i 0j
Ci
@zi @zi @z @z @z0j @zi @z @zi @z0j
@f j @
D i2 ;
@zi @z0j
showing that @J;J 0 f vanishes identically if and only if the f ` ’s are holomorphic in
the usual sense.
In the following, when .M; J / .Cn ; Jst /, we will often use the simplified
notation @J 0 D @Jst ;J 0 . Given an almost complex manifold .M; J /, a map
f W D f jj < 1 g ! .M; J /
is called J -holomorphic disk if it is .Jst ; J /-holomorphic or, equivalently, if

@J f D 0. A simple argument shows that, for an arbitrary C 1 -map f W !
.M; J /, the J -holomorphicity condition @J f D 0 is equivalent to the differential
equation
ˇ!
@ ˇˇ
@J f D0 for any D x C iy 2
@x ˇ
(see e.g. [26, 51]).
4.2 Canonical Lifts of Almost Complex Structures
When .M; J / is a (integrable) complex manifold, it is easy to define a corresponding

pair of natural complex structures on the tangent bundle
O W TM ! M
and on the cotangent bundle
Q W T M ! M :
In fact, any system of holomorphic coordinates D .x i / can be used to locally

identify M , TM and T M with open subsets of Cn , T Cn D C2n and T Cn D C2n ,
respectively. These identifications determine integrable almost complex structures
J and JQ on TM and T M , which turn out to be independent on the choice of the
considered system of holomorphic coordinates. They are therefore naturally and
globally defined complex structures on TM and T M , respectively.
When .M; J / is a (non-integrable) almost complex manifold, the notion of
“system of holomorphic coordinates” is meaningless and the above construction
does not apply. However, it is still possible to define a pair of almost complex
structures on TM and T M , which depend in a canonical way on the almost
complex J of M . Such almost complex structures were introduced by Yano and
Ishihara in the 1970’s and are defined as follows (see [59]). Given a system of
coordinates
D .x 1 ; : : : ; x 2n / W U M ! Rn ;
let us denote by
O D .x 1 ; : : : ; x 2n ; q 1 ; : : : ; q 2n / W O 1 .U/ TM ! R4n ;
Q D .x 1 ; : : : ; x 2n ; p1 ; : : : ; p2n / W Q 1 .U/ T M ! R4n ;
the associated coordinates on TMjU and T MjU , determined by the components

q i of the vectors v D q i @x@ i in the basis @x@ i and by the components pj of the
covectors ˛ D pj dx j in the basis .dxi /. Let us also denote by Jji D Jji .x/ the
components of the almost complex structure J D Jji @x@ i ˝ dxj .
The canonical lifts of J on TM and T M are the almost complex structures
J on TM and JQ on T M , defined by
@ @ a @
J D Jia a
˝ dxi C Jia a ˝ dqi C q b Ji;b ˝ dxi ; (21)
@x @q @q a
@ @
JQ D Jia a ˝ dxi C Jia ˝ dpa C
@x @pi
1 a @
C pa Ji;j C Jj;i
a
C Jà Ji;m
`
Jjm Jj;m
`
Jim ˝ dxi : (22)
2 @pj
These tensor fields can be checked to be independent on the chart .x i / and:

(i) The standard projections O W T M ! M , Q W T M ! M are .J; J /-
holomorphic and .J; Q J /-holomorphic, respectively.
(ii) Given a .J; J 0 /-biholomorphism f W .M; J / ! .N; J 0 / between almost
complex manifolds, the tangent and cotangent maps
f W TM ! TN and f W T N ! T M
are .J; J0 /- and .JQ 0 ; J/-holomorphic,

Q respectively.
(iii) When J is integrable, J and JQ coincide with above described integrable
complex structures of TM and T M , respectively.
In order to better understand the property (iii) and see the precise relation between
the almost complex structures J and JQ with their analogues of the integrable case,
it is convenient to rewrite them in (non-holomorphic) complex coordinates, i.e., in
complex coordinates of the form
.zA / D .za D x a C ixaCn ; za D za D x a ixaCn / :

def
If .q A / D .q a ; q a / and .pA / D .pa ; pa Dpa / are the complex components of real
vector fields and real 1-forms
@ @
X D qa C q a a 2 TM ; ! D pa dza C p a dza 2 T M ;
@za @z
the canonical lifts J and JQ can re-written in the following form:

@ @ @
JD JBA ˝ dzB C A ˝ dqB C q C JB;C
A
˝ dxB ;
@zA @q @q A

@ @
JQ D JAB ˝ d zA C ˝ dpB
@zB @pA
1 C L @
C pC JA;B C JB;A
C
C JLC JA;M JBM JB;M
L
JAM ˝ d zA ;
2 @pB

@
where the JBA ’s are the components of J w.r.t. the complex vector fields @zA
.
When J is integrable and .z1 ; : : : ; zn / are holomorphic coordinates, the JBA ’s are
constant and equal to the entries of the matrix
!
A i ıba 0
JB D :
0 i ıba
and J and JQ assume the familiar expressions

@ @ Q D JAB @ @
J D JBA A
˝ dz A
C A
˝ dq B
; J B
˝ d zA C ˝ dpB :
@z @q @z @pA
4.3 Strong Pseudoconvexity in the Almost Complex Setting
The classical notions of “CR structure”, “Levi form”, “(strong) pseudoconvexity”

admit direct and simple generalizations in the context of almost complex manifolds.
Let us recall them.
Let .M; J / be an almost complex manifold and M a connected (smooth)
hypersurface. The (induced) CR structure of is the pair .D; J D / formed by
(a) the distribution D TM defined by
[
DD Dx ; Dx D f v 2 Tx W J v 2 Tx g I
x2M
(b) the family J D of complex structures
JxD W Dx ! Dx ; JxD .v/ D Jx v :

A 1-form # in T is called defining form for D if for any x 2
ker #x D Dx :
Notice that, for any pair of defining forms #, # 0 for D, there exists a nowhere
vanishing, smooth real function such that
#0 D # : (23)
In the following, we will assume that is oriented, i.e., endowed with a fixed choice
of a nowhere vanishing vector field 2 T n D. Clearly, Nx D J x is transversal
to Tx at all points x 2 and to be oriented in the previous sense coincide with
the usual definition. If D @D is the boundary of a relatively compact domain
D M , we will always assume that the orientating field is such that the vector
Nx D J x is pointing outwards D for any x 2 . A defining form # such that
#. / > 0 (resp. < 0) will be called positive (resp. negative).
Given a fixed positive defining form #, the Levi form of at x is the quadratic
form
Lx W Dx ! R ; Lx .v/ D d#x .v; J v/ D #x .ŒX .v/ ; JX .v/ / ; (24)
.v/
where X .v/ is any smooth vector field with values in D such that Xx D v. From
the last expression in (24), it follows immediately that if # is replaced by another
positive defining form, the corresponding Levi form changes only by a positive
factor.
Definition 16. An oriented smooth hypersurface M is called strongly
pseudoconvex if Lx > 0 for any x 2 . A smooth, relatively compact domain
D M is called strongly pseudoconvex if @D is strongly pseudoconvex.
Many properties of classical strongly pseudoconvex domains generalize to the
case of strongly pseudoconvex domains in almost manifolds. For instance, it is
known that D M is strongly pseudoconvex if and only if it admits a strictly
J -plurisubharmonic defining function (for the definition of J -plurisubharmonicity,
see later). For this and other basic properties of almost complex domains, we refer
to the survey [16].
4.4 Stationary Disks
Let us now introduce the notion of stationary disks of almost complex strongly
pseudoconvex domains. The original definition of stationary disk is due to Lempert
[30] (see also [49]) and extended by Tumanov [54] to more general settings for
submanifolds in (integrable) complex manifolds. Tumanov’s definition extends
directly to the almost complex environment (see [15,16,21]). As before, .M; J / is an
almost complex manifold and D @D M is the oriented, smooth hypersurface,

which is the boundary of a relatively compact domain D M .
Let us recall that the conormal bundle of is the collection N of 1-forms at the
points of defined by
N D f ˛ 2 Tx M W x 2 and Tx ker ˛ g T M j :
We denote N D N n fzero sectiong.

Definition 17. Given ˛ 1, " > 0, a map f W ! M from the closed unit disk
C into M is called C ˛;" -stationary disk of D if
(i) f j is a J -holomorphic embedding and f .@/ @D;
Q
(ii) there exists a J-holomorphic maps fQ W ! T M with ı fQ D f and Q ı fQ
in C .; C / for some system of complex coordinates Q D .zi ; wj /, such that
˛;" 2n
1 fQ./ 2 N for any 2 @ : (25)
If f is a stationary disk, the maps fQ that satisfy (ii) are called stationary lifts of f .
In (25), the product “” denotes the C-action on T M defined by
˛ D Re./˛ Im./J ˛ for any ˛ 2 T M; 2 C : (26)
We point out that, as a consequence of the maximum principle for subharmonic

functions and of the fact that D is strongly pseudoconvex, for any disk f W !
M satisfying (i), one has that f ./ D and f ./ 2 @D if and only if 2 @.
Remark 18. When J is an integrable complex structure, condition (ii) implies that
Q
the restriction along f .@/ of the CR distribution of @D extends to a J-holomorphic
bundle over (' f ./), this being a characterizing property of the usual stationary
disks of the domains of Cn [30]. This is one of the reasons why the previous
definition can be considered as the natural generalization of the concept of stationary
disk in the almost complex setting.
5 Almost Complex Domains of Circular Type
5.1 Looking for the Stationary Disks of Almost Complex

Domain
In this and the next sections, D is a smooth, relatively compact, strongly pseudo-
convex domain in an almost complex manifold .M; J / with boundary D @D
and
N D N n fzero sectiong ; where N T M j@D conormal bundle:

We will also assume that:

– D M is contained in a globally coordinatizable open subset U M or,
equivalently, D is a domain of M D R2n ' Cn equipped with a non-standard
complex structure J .
– D has a smooth global defining function W U M ! R, i.e.,
D Dfx 2M W .x/ < 0 g
with d x ¤ 0 for any x 2 D @D.

Let us study the differential problem that characterizes the lifts fQ W ! T M
of stationary disks of D. Consider the map
Q W R T M jU ! R T M jU ; Q.t; ˛/D. ..˛//;

def
Q ˛t d Q
.˛/ / : (27)
Notice that N is a 2n-dimensional submanifold of T M and that it can be

identified with the level set
f.t; ˛/ W t ¤ 0 ; Q.t; ˛/ D .0R ; 0T M

/g R T M jU ;
Q
.˛/
which is a 2n-dimensional submanifold of R T M . Therefore, using a system

of coordinates Q D .x i ; pj / on T M jU , associated with coordinates D .x i /, we
may identify R T M jU with an open subset V R4nC1 and N with the level
set in V defined by
N ' f .t; ˛/ 2 V W Qi .t; ˛/ D 0 ; 1 i 2n C 1g :
By a direct check of the rank of the Jacobian, one can see that Q D . Q1 ; : : : ; Q2nC1 /
is a smooth defining function for N .
We now consider the map r W C V C R4nC1 ! R2nC1 , defined by
def
r.; t; ˛/D Q1 .t; 1 ˛/; : : : ; Qn .t; 1 ˛/ : (28)
By the above identifications, we have that a disk f W ! D R2n is stationary if

and only if there exists fQ 2 C ˛; .I
N C2n / and 2 C .@I R/ such that
8
< @J fQ./ D 0; 2 ;
(29)
:
r.; ./; fQ.// D 0; 2 @ ;
where @J D @Jst ;J W C ˛ .I C2n / ! C ˛1 .I C2n / is the operator (20). Problem (29)
belongs to the class usually called of generalized Riemann–Hilbert problems, for
which there exists a well developed theory (see e.g. [35, 55]).
In order to study the solution space of (29) and its stability w.r.t. small deforma-
tions of data, one has to find explicit coordinate expressions for the operators, which
determines this problem. For this, let us fix an almost complex structure J D Jo , a
point xo 2 D. R2n / and a vector vo 2 Txo D ' R2n . Denote by R1 , . . . , R5 the
operators
.fQ; ; / 2 C ˛;" .I C2n / C .@I R/ R ;
which correspond to the conditions of (29) plus some additional conditions, which
are convenient to introduce in order to fully parameterize the solution space of the
problem:
R1 .fQ; ; / D @Jo fQ Q
.J-holomorphicity of fQ/ ;
R2 .fQ; ; / D r.; ./; fQ.// .boundary data for fQ/ ;
R3 .fQ; ; / D .
Q fQ/jD0 xo .center of f D Q ı fQ/ ; (30)
ˇ
R4 .fQ; ; / D .
Q fQ/ @ ˇ
@x D0 vo .tangent vector at the center/ ;
@ ˇ
R5 .fQ; ; / D fQ .
Q fQ/ @x ˇ
1
1 .normalizing condition on fQ/ :
Using Hopf’s Lemma, one can check that, for any stationary disk, there exists
exactly one stationary lift satisfying the condition
ˇ
Q Q @ ˇˇ
f . Q f / D1:
@x ˇ 1
Therefore, if we denote by R.Jo ;xo ;vo / D .R1 ; : : : ; R5 / the operator
R.Jo ;xo ;vo / D .R1 ; : : : ; R5 / W C ˛;" .I C2n / C .@I R/ R !

! C ˛1;" .I C2n / C .@I R2nC1 / Cn Cn R ;
we see that there is a one-to-one correspondence

ˇ between the stationary disks f W
@ ˇ
! D with f .0/ D xo and f @x xo and the solutions to the problem
R.Jo ;xo ;vo / .fQ; ; / D 0 : (31)
The following is a well-known fact of Lempert’s theory of stationary disks [30]:

If D Cn is a strictly (linearly) convex, smoothly bounded domain, endowed with
the standard complex structure Jo D Jst , for any xo 2 D and vo 2 Txo D, the
problem (31) has a unique solution smoothly depending on data xo and vo .
Now, a similar existence and uniqueness result and a smooth dependence on

the data for the stationary disks of almost complex domains .D; J / can be proved
whenever J is small deformations of Jst in the following sense.
Consider a solution .fQo ; o ; o / of (31) and denote by
R.Jo ;xo ;vo IfQo ;o ;o / D RP .Jo ;xo ;vo / j.fQo ;o ;o /
def
the linearized operator at .fQo ; o ; o / determined by R.Jo ;xo ;vo / . By the Implicit
Function Theorem (see e.g. [28]), when the linear operator R D R.Jo ;xo ;vo IfQo ;o ;o /
is invertible, there exists a solution to the problem R.Jt ;xt ;vt / .fQ; ; / D 0 for any
smooth deformation .Jt ; xt ; vt / of .Jo ; xo ; vo / for a sufficiently small t. In this case
dimR ker R.Jo ;xo ;vo IfQo ;o ;o / is equal to the dimension of the solutions space. This fact
motivates the following definition.
Definition 19.ˇ Let fo W ! D be a stationary disk of .D; Jo / with xo D f .0/ and
@ ˇ
vo D f @x D0
. We say that @D is a good boundary for .Jo ; fo / if there exists
a lift fQo of fo and a function o such that .fQo ; o ; 1/ is a solution to (31) and the
linearized operator R D R.Jo ;xo ;vo IfQo ;o ;1/ is invertible.
The Implicit Function Theorem and previous remarks bring immediately to the next
proposition. In the statement, we denote by g D gij dx i ˝ dx j a fixed Riemannian
metric on a neighborhood of D and by g D gij dx i ˝ dx j C g ij dpi ˝ dpj the
corresponding Riemannian metric on T M . We also set
kJ.v/ J0 .v/kg
kJ J 0 kD D
.1/ def
sup ; (32)
x2D;v2T .T M / k v kg
x
where kkg and kkg are the norm functions determined by g and g . The topology
.1/
determined by the norm k kD is clearly independent on the choice of g.
Proposition 20. Letfo W ! D be a stationary disk of D .M; Jo / with xo D

ˇ
@ ˇ
fo .0/ and vo D fo @x D0
. Assume also that @D is a good boundary for .Jo ; fo /.
Then, there exists neighborhoods V D, W TD of xo and vo , with .W/ Q D
V D, and " > 0 such that, for any
.1/
x2V; v2W; kJ Jo kD < " ;
there exists a unique stationary disk f with

ˇ !
@ ˇˇ
f .0/ D x and f D v for some ¤ 0 : (33)
@x ˇD0
The disk f depends smoothly on x, v and J .

The previous result reduces the problem of finding domains with well-behaved
families of stationary disks to the query for almost complex domains .D; J / with
stationary disks and good boundaries for such disks—let us informally call this kind
of domains “good”. By these remarks, we can determined useful and efficient results
if we are able to determine conditions that ensure that a domain is “good”. Such
conditions do exist and we will shortly discuss them.
For the moment, let us see what one can do if he has to deal with a “good”
almost complex domain. As usual, let D .M; J / be a smooth, relatively compact,
strongly pseudoconvex domain in almost complex manifold. For a fixed xo 2 D, let
W MQ ! M be the blow up of M at xo . Here some care is needed: Keep in
mind that the definition of “blow up at a point” is usually defined just for complex
manifolds. Nonetheless there exists a generalization that makes sense also in case of
almost complex domains and this is the notion we refer to (for details, see
@e.g.
ˇ [44]).
Now, if f W ! D is a stationary disk with f .0/ D xo and f @x ˇ D w,
0
we may define a J -holomorphic lift of f with image in the closure DQ in MQ of the
blow up DQ at xo :
8
< .f ./; Œf ./ / if ¤ 0 ;
fO W ! DO MO ; fO./ D
:
.xo ; Œw / if D 0 :
This allows to consider the next definition.

Definition 21 ([43]). Let xo 2 D and DQ as above and denote by F .xo / the family of
all stationary disks of D with f .0/ D xo . We say that F .xo / is a foliation of circular
type of the pointed domain .D; xo / if the following conditions are satisfied:
(i) for any v 2 Txo D, there exists a unique disk f .v/ 2 F .xo / such that
.v/ @ ˇˇ
f @x 0
D v for some 0 ¤ 2 R;
(ii) under a fixed identification .Txo D; Jxo / ' .Cn ; Jst /, the map
Qn C
EQ W B Q n ! DQ ; e
Q Œv / D f .v/ .j v j/ ;
E.v; (34)
between the blow ups of Bn Cn and D at 0 and xo , respectively, is smooth and

extends smoothly up to the boundary, determining a diffeomorphism Ej Q @Bn W
@B ! @D.
n
If F .xo / is a foliation of circular type, we say that xo is the center of the foliation
and that D is a domain of circular type with center xo .
Proposition 20 brings to the following stability result for foliation of circular type
of “good” domains.
Proposition 22. Let D be of circular type w.r.t. to an almost complex structure Jo
and with center xo , such that @D is a good boundary for .Jo ; f / for any f 2 F .xo / .
Then there exists " > 0 and an open neighborhood U D of xo such that for all
.1/
almost complex structures J (defined on a neighborhood of D) with kJ Jo kD < ",
D is a domain of circular type w.r.t. J with center x 2 U (i.e., for any such J and x,
the corresponding collection of stationary disks F .x/ is a foliation of circular type).
Let us now come to the main results on existence of foliations by stationary disks.
Theorem 23 ([43]). Let D M be a bounded, relatively compact, strongly
pseudoconvex domain with smooth boundary in an almost complex manifold
.M; Jo /. If there exists a diffeomorphism
' W U M ! '.U/ Cn ;
between an open neighborhood U of D and an open subset of Cn , with the property

that D 0 D '.D/ is a strictly linearly convex domain D 0 Cn and ' .Jo / is
sufficiently close to Jst in C 1 -norm, then D is a domain of circular type w.r.t. Jo
with center x 2 D (for any x 2 D!).
This result is essentially a generalization of the result for the case D 0 D Bn , proved
by Coupet et al. in [15]. Its proof is also very close to a similar result, proved
independently by Gaussier and Joo in [20].
The proof is technical and we just outline the key ingredients. The first thing
to be done is to show that the boundary @D of a strictly (linearly) convex domain
D .Cn ; Jst / is good for any pair .Jst ; f / formed by the standard complex structure
Jst and a stationary disk f of D through any xo 2 D (here, “stationary” is in the
usual sense, in the context of integrable complex structures). In this case, existence
and uniqueness results are determined by Lempert’s theory.
Secondly, for any vo 2 Txo D, one considers the Riemann–Hilbert operator
R D R.Jst ;xo ;vo / D .R1 ; R2 ; R3 ; R4 ; R5 /
defined in (30) and the corresponding linearization
R D R.Jo ;xo ;vo IfQo ;o ;o / D .R1 ; R2 ; R3 ; R4 ; R5 /
at a given triple .fQo ; o ; o /, corresponding to some lift fQo of a stationary disk

fo . One of the key points of the whole proof consists in showing that the operator
RQ D .R1 ; R2 /, given by just the first two components of R, is surjective and with
finite dimensional kernel. After this, if one consider the other three components
.R3 ; R4 ; R5 / (which correspond to the operators which fix the initial data and
impose an additional normalizing condition), the resulting operator R is “nailed
down” to become a linear isomorphism.
The surjectivity of R Q D .R1 ; R2 / is in fact a direct consequence of a result by
Globevnik [22] and of general facts of the theory of Riemann–Hilbert problems.
Such results can be used only if one is able to compute explicitly (and hence check
whether they satisfy or not certain conditions) the so-called partial indices and the
Maslov index of the conormal bundle along the boundaries of stationary disks of
a strictly (linearly) convex domain D Cn . The computation of these indices is
radically simplified by considering the so-called flattening coordinates of Lempert
and Pang, in which a given stationary disk and the boundary nearby assume very
simple expressions (see [38, Proposition 2.36 and Theorem 2.45]).
We conclude this section, mentioning that there exists also the following
“boundary version” for Theorem 23. As before, let D M be a smoothly bounded,
relatively compact, strongly pseudoconvex domain in an almost complex manifold
.M; Jo /. For a fixed point xo 2 @D, consider a Riemannian metric < ; > around
xo , which is Hermitian w.r.t. Jo , a normal vector to @M at xo , pointing inwards,
and for any a > 0, let us denote by C .a/ the cone
C .a/ D f v 2 Txo M W < v; >> a g :
With the same techniques of Theorem 23, one can prove the following:
Theorem 24 ([43]). Assume that there exists a diffeomorphism
' W U M ! '.U/ Cn ;
between an open neighborhood U of D and an open subset of Cn , with the property

that D 0 D '.D/ is a strictly linearly convex domain D 0 Cn and that ' .Jo / is
sufficiently close to Jst in C 1 -norm. Then for any xo 2 @D and a > 0, there exists
.a/
a foliation by stationary disks of a subdomain D.xo / D, in which all disks map
1 2 @ into xo 2 @D and have boundary tangent vector at xo contained in the
cone C .a/ .
For the definition of boundary tangent vector and a more detailed description of the
.a/
subdomain D.xo / D, see [43].
5.2 Almost Complex Domains of Circular Type and Normal

Forms
The project of this section can be roughly described as follows:

– Try to reproduce the steps, performed in the study of stationary disks and Monge–
Ampère foliations of complex domains, in the new wider context of domains in
almost complex manifolds.
– Show that such steps can in fact be performed for a very large class of almost
complex domains and give useful information about pluripotential theory on
almost complex domains.
As usual, let D .M; J / be a smooth, relatively compact domain in an almost
complex manifold and, for any point xo of an almost complex domain D .M; J /,
denote by F .xo / the family of stationary disks of D with f .0/ D xo . By analogy
with foliations of circular domains in complex manifolds, one is naturally driven

to consider the notion of foliation of circular type F .xo / , given in Definition 21. For
any such foliation, the point xo is called center of the foliation and the corresponding
map EQ W BQ n ! DQ is called (generalized) Riemann map of .D; xo /. Any domain
D .M; J / admitting a foliation of circular type centered at xo is called almost
complex domain of circular type with center xo .
As in the integrable case, consider the blow-down map
W BQ n ! Bn
and the (uniquely defined) map E W Bn ! D such that the following diagram
commutes
Qn EQ - DQ
B

? ?
E - D
Bn
The map E defined in this way is C 1 on Bn n f0g and it is continuous at 0.

However, in general, E is not smooth at 0. Nevertheless, one can consider a new
differentiable structure on Bn , formed by the atlas of coordinate charts of the form
0 0
W U ! R2n ; D ıE ;
where the D .x i / are charts of the differentiable structure of D M . By

construction, these charts overlap smoothly with the standard coordinates of R2n
on any open subsets of Bn n f0g. Hence their restrictions on Bn n f0g belong to the
standard differentiable structure of Bn . On the other hand, when E is not smooth
at 0, they cannot smoothly overlap with standard coordinates in neighborhoods
of 0. This means that they give a non-standard differentiable structure on Bn , which
coincides with the standard one only on Bn n f0g.
In the following, we always implicitly consider on Bn such new differentiable
structure. Notice that, by construction, the map E W Bn ! D is smooth also at 0 if
Bn is endowed with such non-standard differentiable structure.
Now, let us consider on Bn the almost complex structure J 0 defined by
J 0 D E .J / :
We stress once again that the tensor field J 0 is smooth over the whole Bn , provided
that one considers the differentiable structure on Bn defined above; w.r.t. the
standard differentiable structure, J 0 is smooth only on Bn n f0g and it is possibly
non well-defined at 0 2 Bn .
The pair .Bn ; J 0 / is called normal form of the almost complex domain of circular
type .D; J /. After all necessary verifications, one can conclude that the following
perfect analogue of the situation in the integrable case, holds true: Any almost
complex domain D .M; J / of circular type is .J; J 0 /-biholomorphic to its normal
form .Bn ; J 0 / through a map that sends the J -stationary disks of D into the straight
radial disks of Bn , which are therefore J 0 -stationary disks.
This shows that the analysis of almost complex domains can be reduced to the
study of almost complex structures on Bn with the above properties, i.e., such that
the straight radial disks are J 0 -stationary.
Consider the distribution Z T Bn defined in (13). We have the following.
Theorem 25. A pair .Bn ; J /, formed by Bn endowed with a non-standard differ-
entiable structure, coinciding with the standard one on Bn n f0g, and an almost
complex structure J which is smooth w.r.t. such differentiable structure, is a domain
of circular type in normal form if and only if
(i) Z is J -invariant (i.e., J Z D Z);
(ii) the straight radial disks of Bn are J -stationary;
(iii) the non-standard differentiable structure is such that the blow-up BQ n of Bn
at 0, determined by J , is equivalent, as differentiable manifold, to the blow-up
determined by the standard complex structure.
In the following, the almost complex structures J on Bn , satisfying (i)–(iii) of
previous theorem, will be called L-almost complex structure.
It is important to observe that (ii) holds if and only if, in suitable systems of
coordinates, the components of J belong to the range of a Fredholm operator, i.e.,
they belong to a space, which is finite codimensional in an appropriate Hilbert space,
and can be characterized by a finite number of equations. This fact has a pair of
interesting consequences, namely that:
(a) The class of L-almost complex structure is in practice a very large class.
(b) Such class naturally includes two smaller classes, characterized by very simple
conditions, which are very useful to construct a number of interesting examples.
The definitions and the analysis of such smaller classes are the contents of next
section.
5.3 “Nice” and “Very Nice” L-Almost Complex Structures
Consider the distributions Z and H on Bn defined in (13) and (14). We recall that:
– denoting, as usual, o .z/ D kzk2 and dstc D Jst ı d ı Jst , one has that
8
< Jst Zz D Zz
for any z 2 Bn n f0g :
:
Zz D ker ddcst log o
– Z and H are not only orthogonal w.r.t. the Euclidean metric but also w.r.t. the
Jst -invariant 2-form ddcJst o .
– For any z 2 Bn nf0g, the subspace Hz Tz Bn coincides with the Jst -holomorphic
tangent space of the sphere Sc D f o D c g, c D o .z/.
– For any tangent space Tz Bn , z ¤ 0, the complexification TzC Bn decomposes into
the direct sum

TzC Bn D ZzC ˚ HzC D Zz10 ˚ Zz01 ˚ Hz10 ˚ Hz01 ;
where we denoted by Zz01 , Hz01 the .i /-eigenspaces of Jst in ZzC and HzC , and
by Zz10 , Hz10 their complex conjugates (which are the .Ci /-eigenspaces).
Now, an arbitrary almost complex structure J on Bn is uniquely determined by
C n
the corresponding distribution of .i /-eigenspaces .Tz Bn /01
J in Tx B . Generically,
these eigenspaces are determined by a tensor field ' 2 Hom.T B ; T 10 Bn / such
01 n
that
.Tz Bn /01
J D Tz B C '.Tz B / ;
01 n 01 n
where, as before, we denoted Tz01 Bn D .Tz Bn /01

Jst and Tz B D .Tz B /Jst . If we
10 n n 10
consider the decomposition of as a sum of the form
D Z ˚ H ˚ Z;H ˚ H;Z
with
Z 2 Hom.Z 01 ; Z 10 / ; H 2 Hom.H01 ; H10 / ; Z;H 2 Hom.Z 01 ; H10 / ;
H;Z 2 Hom.H01 ; Z 10 / ;
we have that the .i /-eigenspaces .Tz Bn /01
J can be written as
01 Z Z;H

.Tz Bn /01
J D Z C z .Z / C z
01
.Z 01 / C

C H01 C zH .H01 / C zH;Z .H01 / : (35)
We observe that J satisfies condition (i) of Theorem 25 (i.e., J.Z/ Z and

J jZ D Jst jZ ) if and only if the components ' Z and ' Z;H are identically equal to 0,
that is
' D ' H C ' H;Z :
In such class of almost complex structures J on Bn , it is very convenient to consider
the following conditions.
1. J is called nice if the corresponding deformation tensor ' is, in addition, of the
form
' D 'H :
This is equivalent to assume that the distribution H is J -invariant.
2. J is called very nice if
' D 'H and LZ 0;1 ' H D 0 :
This assumption corresponds to require that J is nice and that the deformation
tensor ' depends Jst -holomorphically on the complex parameter that describe
the straight radial disks of Bn .
A geometric motivation for considering the notion of “very nice structures”
comes from the following. It is well known that, in case of integrable complex
structures, there exists a strict relation between stationary disks and Kobayashi
extremal disks. This is a fact that goes back to the ideas of Poletski [49] and Lempert
[30], which showed that, under appropriate regularity conditions, the stationary
disks are the solutions to the Euler–Lagrange conditions for the extremal Kobayashi
disks (they are the critical point of a suitable functional!). In fact, by the results of
[30] we know that the two notions agree for the strictly linearly convex domains
in Cn .
Now, it is important to have in mind that, for generic almost complex domains,
these two notions—stationarity and extremality—are no longer related. Counterex-
amples have been recently exhibited by Gaussier and Joo in [20]. The authors
determined also some conditions, which are sufficient for a stationary disk to be
also extremal and which can be described as follows.
Let us first recall a few concepts related with the geometry of the tangent bundle
of a manifold M . We recall that the vertical distribution in T .TM/ is the subbundle
of T .TM/ defined by
[
T V .TM/ D V
T.x;v/ M ; V
T.x;v/ M D ker j.x;v/ :
.x;v/2TM
For any x 2 M , let us denote by ./V W Tx M ! T.x;v/

V
M the map
ˇ ˇ
@ ˇˇ V
def @ ˇˇ
wi
Dw i
:
@x i ˇx @q i ˇ.x;v/
It is possible to check that this map does not depend on the choice of coordinates
and that it determines a natural map from TM to T .TM/ (see [59]). For any w 2 TM,
the corresponding vector wV 2 T .TM/ is called vertical lift of w.
Definition 26 ([21, 44]). Let f W ! M be a C ˛; , J -holomorphic embedding
with f .@/ @D. We call infinitesimal variation of f any J-holomorphic map
W W ! TM of class C ˛1; with ı W D f (here, W TM ! M is the
natural projection). An infinitesimal variation W is called attached to @D and with
fixed center if
(a) ˛.W / D 0 for any ˛ 2 Nf ./ , 2 @,
(b) W j0 D 0.
It is called with fixed central direction if in addition it satisfies

ˇ ˇ V
@ ˇ @ ˇ
(c) W @ Re ˇ 2 TWV0 .TM/ and it is equal to f @ Re ˇ for some 2 R.
0 0
The disk f is called Kobayashi critical if for any infinitesimal

ˇ variation W , attached
@ ˇ
to @D and with fixed central direction, one has W @ Re ˇ D 0.
0
Such definition is motivated by the fact that, when f W ! M , t 2 a; aŒ, is

.t /
a smooth 1-parameter
ˇ family of J -holomorphic disks of class C ˛; with f .0/ D f ,
.t / ˇ
then W D dfdt ˇ is a variational field on f . Moreover, if f .t / is such that, for all
t D0
t 2 a; aŒ
ˇ ˇ
.t / @ ˇˇ @ ˇˇ
f .@/ @D ; f .0/ D f .0/ ; f
.t / .t /
2 Rf ; (36)
@ Re ˇ0 @ Re ˇ0
then W satisfies (a)–(c). On the other hand, a disk f is a locally extremal disk if for
any J -holomorphic disk g W ! M of class C ˛; , with image contained in some
neighborhood of f ./ and such that, for some 2 R,
ˇ ˇ
@ ˇˇ @ ˇˇ
g.@/ @D ; g.0/ D f .0/ D xo ; g D f ;
@ Re ˇ0 @ Re ˇ0
then 1. It is known that the notions of “Kobayashi critical” and “locally
extremal Kobayashi disk” are tightly related. In fact, any locally extremal disk f ,
with f .@/ @D, is Kobayashi critical. Conversely, when D Cn is strictly
convex around f ./ and J is sufficiently close to Jst , any Kobayashi critical disk
f is locally extremal [20, 21, 44].
Next theorem gives conditions that imply the equality between stationary and
critical disks and will be used in the sequel. It is a refinement of a result and
arguments given in Gaussier and Joo (2009, Preprint of Extremal discs in almost
complex spaces, unpublished) (see [44]). In this statement, f W ! M is a
J -holomorphic embedding, of class C ˛; with f .@/ @D, and Varo .f / denotes
the class of infinitesimal variations of f attached to @D and with fixed center.
Theorem 27. Assume that D M is of the form D D f < 0 g for some
J -plurisubharmonic and that Varo .f / contains a .2n 2/-dimensional
J -invariant vector space, generated by infinitesimal variations ei , Jei , 1 i
n 1, such that the maps
1 ei ./ ; 1 Jei ./ W ! TM
are of class C ˛; on . Assume also that, for any 2 , the set fei ./; Jei ./g
Tf ./ M span a subspace, which is complementary to Tf ./ f ./ Tf ./ M .
Then f is critical if and only if it is stationary.
This result has a direct application in our case. Assume that .Bn ; J / is an almost
complex domain of circular type in normal form (i.e., such that J is an L-almost
complex structure).
One can construct variations of the straight radial disks of Bn , deforming them
through the directions of H and obtain a special subspace V Q Varo .f / of
infinitesimal variations for any given straight radial disk f . It turns out that when J
is nice, (i.e., H is J -invariant),
Q Varo .f /
JV ” LZ 01 J D 0 ;
i.e., if and only if J is very nice. Combining this fact with the previous theorem,
one is able to prove the following proposition which motivates the interest for “very
nice structures”.
Proposition 28. Let .Bn ; J / be an almost complex domain of circular type in
normal form. If J is very nice, the straight radial disks of Bn are not only stationary
disks but also Kobayashi critical.
6 Plurisubharmonic Functions and Pseudoconvex Almost

Complex Manifolds
Let .M; J / be an almost complex manifold and ˝ k .M /, k 0, the space of

k-forms of M . We denote by d c W ˝ k .M / ! ˝ kC1 .M / the classical d c -operator
d c ˛ D .1/k .J ı d ı J /.˛/ ;
where J denotes the usual action of J on k-forms, i.e.,
J ˇ.v1 ; : : : ; vk /D.1/k ˇ.J v1 ; : : : ; J vk /

def
Let us recall, once again, that when J is integrable,
1 c
d c D i.@ @/ ; @@ D dd ; ddc D d c d
2i
and that ddc u is a J -Hermitian 2-form for any C 2 -function u. We stress the fact that,
when J is not integrable, d c d ¤ ddc and the 2-forms ddc u, determined by the
functions u 2 C 2 .M /, are usually not J -Hermitian. In fact, one has that
ddc u.JX 1 ; X2 / C ddc u.X1 ; JX 2 / D 4NX1 X2 .u/ ; (37)
where NX1 X2 is the Nijenhuis tensor evaluated on X1 , X2 and is—of course—in

general non zero. This fact suggests the following definition.
Definition 29. Let u W U M ! R be of class C 2 . We call J -Hessian of u
at x the symmetric form Hess.u/x 2 S 2 Tx M , whose associated quadratic form is
L.u/x .v/ D ddc u.v; J v/x . By polarization formula and (37), one has that, for any
v, w 2 Tx M ,
ˇ
1 ˇ
Hess.u/x .v; w/ D .ddc u.v; J w/ C ddc u.w; J v//ˇˇ D
2 x
D ddc u.v; J w/x 2Nv w .u/ : (38)
We remark that Hess.u/x is not only symmetric, but also J -Hermitian, i.e.,
Hess.u/x .J v; J w/ D Hess.u/x .v; w/ for any v; w
and it is associated with the Hermitian antisymmetric tensor
1 1 c
Hess.u/.J ; / D .ddc u.; / C ddc u.J ; J // D dd u C J ddc u : (39)
2 2
The Levi form of u at x is the quadratic form
L.u/x .v/ D ddc u.v; J v/jx :
The operator ddc defined above turns out to be suitable to study plurisubharmonicity
on almost complex manifolds. It has been used for instance by Pali in [37] for
his study of positivity questions and in a very recent work of Harvey and Lawson
[24], using a completely different point of view involving viscosity approach, to
provide a satisfactory weak pluripotential theory in the almost complex setting.
We will further give evidence that it is appropriate to define the almost complex
Monge–Ampère operator. Finally, we point out that Pliś [48] uses it to study the
inhomogeneous almost complex Monge–Ampère equation.
An upper semicontinuous function u W U M ! R is called
J -plurisubharmonic if
u ı f W ! R
is subharmonic for any J -holomorphic disk f W ! U M . As for complex
manifolds, for any u 2 C 2 .U/ one has that
u is J -plurisubharmonic
if and only if
L.u/x .v/ D Hess.u/x .v; v/ 0 for any x 2 U and v 2 Tx M :
This motivates the following generalizations of classical notions. In the follow-

ing, for any U M , the symbol Psh.U/ denotes the class of J -plurisubharmonic
functions on U.
Definition 30. Let .M; J / be an almost complex manifold and U M an open

subset. We say that u 2 Psh.U/ is strictly J -plurisubharmonic if:
(a) u 2 L1loc .U/;
(b) for any xo 2 U there exists a neighborhood V of xo and v 2 C 2 .V/ \ Psh.V/
for which Hess.v/x is positive definite at all points and u v is in Psh.V/.
In particular, u 2 Psh.U/\C 2 .U/ is strictly plurisubharmonic if and only if Hess.u/x
is positive definite at any x 2 U.
The almost complex manifold .M; J / is called strongly pseudoconvex (or Stein)
manifold if it admits a C 2 -strictly plurisubharmonic exhaustion W M !
1; 1Œ.
6.1 Maximal Plurisubharmonic Functions
The J -plurisubharmonic functions share most of the basic properties of classical

plurisubharmonic functions. In particular, as it occurs for the domains in complex
manifolds, for any open domain U .M; J /, the class Psh.U/ is a convex cone and
for any given ui 2 Psh.U/ and i 2 R, also
X
n
uD i u i and u0 D maxf u1 ; : : : ; un g
i D1
are in Psh.U/. It is therefore natural to consider the following notion of “maximal”

J -plurisubharmonic functions.
Definition 31. Let D be a domain in a strongly pseudoconvex almost complex
manifold .M; J /. A function u 2 Psh.D/ is called maximal if for any open U D
and h 2 Psh.U/ satisfying the condition
lim sup h.z/ u.x/ for all x 2 @U ; (40)

z!x
one has that h ujU .

The following characterization of maximal plurisubharmonic functions “nails
down” the right candidate for what should be considered as “almost complex
Monge–Ampère operator”.
Theorem 32. Let D M be a domain of a strongly pseudoconvex almost complex
manifold .M; J / of dimension 2n. A function u 2 Psh.D/ \ C 2 .D/ is maximal if
and only if it satisfies c n
dd u C J .ddc u/ D 0 : (41)
Proof. Let W M ! 1; C1Œ be a C 2 strictly plurisubharmonic exhaustion for
M and assume that u satisfies (41). We need to show that for any h 2 Psh.U/ on an
U D that satisfies (40), one has that h ujU . Suppose not and pick U D
and h 2 Psh.U/, so that (40) is true but there exists xo 2 U with u.xo / < h.xo /. Let
> 0 so small that
h.xo / C . .xo / M / > u.xo / ; where M D max .y/ ;

y2U
and denote by hO the function
hO D h C . M /jU :
def
(42)
By construction, hO 2 Psh.U/, satisfies (40) and .hO u/.xo / > 0. In particular, hO u

achieves its maximum at some inner point yo 2 U. Now, we remark that (41) is
equivalent to say that, for any x 2 D, there exists 0 ¤ v 2 Tx M so that

ddc u C J .ddc u/ x
.v; J v/ D Hessx .u/.v; v/ D 0 : (43)
Let 0 ¤ vo 2 Tyo M be a vector for which (43) is true and let f W ! M be a

J -holomorphic disk so that f .0/ D yo and with
ˇ ˇ ˇ
@ ˇˇ @ ˇˇ @ ˇˇ
f D v ; f D f J D J vo :
@x ˇ0 @y ˇ0 @x ˇ0
o st
Then, consider the function G W ! R defined by
G D hO ı f u ı f D h ı f C . M u/ ı f :
def
(44)
We claim that there exists a disk r D fjj < rg such that Gjr is subharmonic. In
fact, since is C 2 and strictly plurisubharmonic and Hess.u/yo .vo ; vo / D 0, we have
that
ˇ
ˇ
0 < Hess.. M u//yo .vo ; vo / D 2i @@.. M u/ ı f /ˇ :
0
Hence, by continuity, there exists r > 0 so that

ˇ
ˇ
0 < 2i @@.. M u/ ı f /ˇ for any 2 r :

It follows that . M u/ ı f jr is strictly subharmonic and that Gjr is

subharmonic, being sum of subharmonic functions. At this point, it suffices to
observe that, since yo is a point of maximum for hO u on f ./ U, then
0 D f 1 .yo / 2 r is an inner point of maximum for Gjr . In fact, from this
and the maximum principle,
ˇ we get that Gjr is constant and hence that h ı f jr
ˇ
is C with 2i @@.h ı f /ˇ < 0, contradicting the hypothesis on subharmonicity of
2
r
hıf.
Conversely, assume that u 2 C 2 .D/ \ Psh.D/ is maximal, but that there exists
yo 2 D for which Hessyo .u/.v; v/ > 0 for any 0 ¤ v 2 Tyo M and consider the
following well known result (see e.g. [18]).
Lemma 33. For any " > 0, there exists a relatively compact neighborhood U of
yo , such that .U; J / is .J; J 0 /-biholomorphic to .Bn ; J 0 / for some J 0 such that
kJ 0 Jst kBn ; C 2 < ".
Due to this, we may assume that D o ı ', with o .z/ D kzk2 , is a C 2 strictly
J -plurisubharmonic exhaustion on U, tending to 1 at the points of @U. Hence, there
is a constant c > 0 such that
Hessx .u C c.1 //.v; v/ D Hessx .u/.v; v/ cHessx . /.v; v/ 0 ;
for all x 2 U and v 2 Tx M ' R2n with k v k D 1. This means that
hO D .u C c.1 //jByo .r/

def
is in C 2 .U/ \ Psh.U/, satisfies (40) and, by maximality of u, satisfies hO u at all

points of U. But there is also an > 0 such that ; ¤ 1 .Œ0; 1 Œ/ ¨ U and hence
such that, on this subset, hO u C c > u, contradicting the maximality of u. t
u
6.2 Green Functions of Nice Circular Domains
The results of previous section motivate the following generalized notion of Green
functions.
Definition 34. Let D be a domain in a strongly pseudoconvex, almost complex
manifold .M; J /. We call almost pluricomplex Green function with pole at xo 2 D
an exhaustion u W D ! Œ1; 0 such that
(i) uj@D D 0 and u.x/ ' log kx xo k when x ! xo , for some Euclidean metric
k k on a neighborhood of xo ;
(ii) it is J -plurisubharmonic;
(iii) it is a solution of the generalized Monge–Ampere equation .ddc u C
J .ddc u//n D 0 on D n fxo g.
Notice that, if a Green function with pole xo exists, by a direct consequence of
property of maximality (Theorem 32), it is unique.
Consider an almost complex domain D of circular type in .M; J / with center xo
and denote by EQ W BQ n ! DQ the corresponding Riemann map. We call standard
exhaustion of D the map
8 1
<jEQ .x/j2 if x ¤ 0 ;
.xo / W D ! Œ0; 1Œ ; .x/ D
:
0 if x D xo :
so that, when D is in normal form, i.e., when D D .Bn ; J / with J almost

L-complex structure, its standard exhaustion is just o .z/ D kzk2 .
Proposition 35. Let D be a domain of circular type in .M; J / with center xo and
standard exhaustion .xo / . If u D log .xo / is J -plurisubharmonic, then u is an almost
pluricomplex Green function with pole at xo .
Proof. With no loss of generality, we may assume that the domain is in normal form,
i.e., D D .Bn ; J / and .xo / .z/ D o .x/ D kxk2 . Since o is smooth on Bn n f0g and
u D log o is J -plurisubharmonic, we have that Hess.u/x 0 for any x ¤ 0. On
the other hand, for any straight disk f W ! Bn of the form f ./ D v , we
have that u ı f is harmonic and Hess.u/f ./ .v; v/ D 0 for any ¤ 0. This means
that Hess.u/x 0 has at least one vanishing eigenvalue at any point of Bn n f0g and
that (41) is satisfied. The other conditions of Definition 34 can be checked directly
from definitions. t
u
When J is integrable, the standard exhaustion u D log .xo / of the normal form of
a domain of circular type is automatically plurisubharmonic [42], but in the almost
complex case, this is no longer true, even for small deformations of the standard
complex structure. Though this fact is known, it is important to try and understand
why it happens. In the next section, we will illustrate how it is easy to produce
illuminating examples using our deformation arguments and we provide hints on
how to avoid such pathologies.
6.3 A Counterexample and Pluricomplex Green Functions

of Nice Domains
On the blow up W BQ 2 ! B 2 of the unit ball B 2 C2 (defined in the usual way,

via the standard complex structure Jst ) consider the vector fields
Z; Jst Z ; E; Jst E ;

where Z is the lift on BQ n of the real vector field Re zi @z@i on Bn and E is any
vector field in the distribution H that satisfies the conditions
ŒZ; E D ŒJst Z; E D 0 ; ŒE; Jst E D Jst Z : (45)
The standard holomorphic bundle T 10 BQ 2 is generated at all points by the complex

vector field
Z 10 D Z iJst Z ;
which determines the “radial” distribution, and by the complex vector field
E 10 D E iJst E ;
which determines the holomorphic tangent bundles of the spheres Sc D f o .z/ D

kzk D c g.
Let us also denote by .E 10 ; E 01 ; Z 10 ; Z 01 / the field of complex coframes,
which is dual to the complex frame field .E 10 ; E 01 D E 10 ; Z 10 ; Z 01 D Z 10 / at all
points.
Consider now a smooth real valued function h W BQ n ! R such that
– on each sphere Sc , the restriction hjSc is constant,
– h 0 on an open neighborhood of 1 .0/ D CP 1 ,
and let ' 2 Hom.H01 ; Z 10 C H10 / be the deformation tensor
'z D h.z/Zz10 ˝ E 01z :
The almost complex structure J , corresponding to ', is uniquely determined by the

J -holomorphic spaces
Q n D CZz10 ˚ CEQ z10

TJ10z B where EQ z10 D Ez10 C h.z/Zz01 ;
def
By direct inspection, it is not hard to check that J is an almost L-complex structure

and that .BQ n ; J / is an almost complex domain of circular type in normal form [44].
But we also have the following crucial fact.
Fact. If h 6 0, the function u D log o is not J -plurisubharmonic.
Indeed, using the definition of J and (45), one computes
Hess.EQ 10 ; EQ 10 / D 2.1 C 2hhZ / ;
Hess.EQ 10 ; Z 10 / D 2hZ ; Hess.Z 10 ; Z 10 / D 0

(here, we used the notation “./Z ” to indicate the derivative ./Z D Z./ in the
direction of Z) so that the matrix H of the components of Hess.u/z w.r.t. the frame
fE 10 ; Z 10 g is
1 C 2hhZ hZ
H D2 :
hZ 0
p
.1C2hhZ /˙ .1C2hhZ /2 C4h2Z
Since the eigenvalues of H are ˙ D 2 2 , we conclude that
u is J -plurisubharmonic if and only if hZ 0 and hence if and only if h 0 at all
points (recall that, by assumptions, h vanishes identically around 0).
Therefore, we may construct arbitrary examples in which u D log o is not
J -plurisubharmonic for almost complex structures J arbitrarily close to the stan-
dard one. This shows that in order to avoid situations like this it is not sufficient
to restrict to a class of sufficiently small deformations of integrable structures. One

needs some additional assumptions. One of them is the condition that J is also
“nice”. In fact, one has the following result.
Theorem 36. Let D be a nice circular domain with standard exhaustion .xo / and
normal form .Bn ; J /. If J is a sufficiently small C 1 -deformation of Jst , then u D
log .xo / is the Green function with pole at xo .
Proof. We only need to show that u D log kzk2 is J -plurisubharmonic on Bn n f0g.
If .Bn ; J / is nice, then Hess.u/z .Z; H/ D 0 at any z ¤ 0. Since the spheres
Sc are J -pseudoconvex for any J sufficiently close to the standard structure,
the plurisubharmonicity of u follows directly by computing the Hessian along
“orthogonal” directions. t
u
Putting all these facts together, one gets

Theorem 37. Let D be an almost complex domain of circular type with center xo
in .M; J / strongly pseudoconvex. If the normal form .Bn ; J 0 / of .D; J / is very nice
with J 0 sufficiently close to Jst , then
(a) The stationary foliation F .xo / consists of extremal disks w.r.t. Kobayashi metric.
(b) The function u D log .xo / is the almost pluricomplex Green function of D with
pole xo .
(c) The distribution Zz D ker.Hess.u/z / is integrable and the closures of its
integral leaves are the disks in F .xo / .
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Lecture Notes in Mathematics 2075

CIME Foundation Subseries

For further volumes:

For more information see CIME’s homepage: http://www.cime.unifi.it

- INdAM (Istituto Nazionale di Alta Matematica)

- MIUR (Ministero dell’Istruzione, dell’Università e della Ricerca)

François Berteloot Jean-Pierre Demailly

ISBN 978-3-642-36420-4 ISBN 978-3-642-36421-1 (eBook)

Lecture Notes in Mathematics ISSN print edition: 0075-8434

Library of Congress Control Number: 2013936248

Mathematics Subject Classification (2010): 32U99, 14-XX, 32-XX, 31-XX

c Springer-Verlag Berlin Heidelberg 2013

Printed on acid-free paper

Springer is part of Springer Science+Business Media (www.springer.com)

Pluripotential theory is a very powerful tool in geometry, complex analysis and

theory and complex Monge–Ampère equations are used to characterize complex

used to prove existence of solutions, is described and Yau’s proof of the L1 -

Rome, Italy Filippo Bracci

Bifurcation Currents in Holomorphic Families of Rational Maps . . . . . . . . . 1

Je dédie ce texte à mes parents ainsi qu’à la mémoire de mon

In these lectures we will study bifurcations within holomorphic families of polyno-

G. Patrizio et al., Pluripotential Theory, Lecture Notes in Mathematics 2075, 1

equidistribution) properties relative to various classes of specific parameters. Let us

2 Rational Maps as Ergodic Dynamical Systems

2.1 Potential Theoretic Aspects

2.1.1 The Fatou–Julia Dichotomy

through the canonical projection W C2 n f0g ! P1 .

The Fatou–Julia dynamical dichotomy consists in a splitting of P1 into two

Jf WD fz 2 P1 = .f n /n is not equicontinuous near zg

It is possible to give an elementary proof of that result using the Brody–Zalcman

2.1.2 The Green Measure of a Rational Map

Our goal is to endow the dynamical system f W Jf ! Jf with an ergodic

Proof. Let us set gn WD v C C d nC1 v ı f n1 . One sees by induction that

Thus M1 kF n .z/kd  kF nC1 .z/k  M kF n .z/kd which, taking logarithms and

The Green function gF of f on P1 is defined by

Let us underline that, by construction, the measure f has continuous local

gC;P WD lim d n lnC jP n j:

The conclusion then follows from Proposition 10. t

2.2 Ergodic Aspects

2.2.1 Mixing, Equidistribution Towards the Green Measure

for any test functions ' and .

'f D f C u' : (1)

On the other hand, by the constant Jacobian property f f D df we have:

Now, combining (1) and (2) we get:

It is not hard to show that a mixing measure is also ergodic.

for almost every x in X .

Let us finally mention another classical equidistribution result. We refer to [23]

for any a 2 P1 which is not exceptional for f .

2.2.2 Natural Extension and Iterated Inverse Branches

To any ergodic dynamical system, it is possible to associate a new system which

Definition 19. The natural extension of a dynamical system .X; f; / is the

XO WD fxO WD .xn /n2Z = xn 2 X; f .xn / D xnC1 g

The canonical projection 0 W XO ! X is given by 0 .x/

XO reg D fxO 2 JOf = xn … Cf I 8n 2 Zg:

for O f -a.e. xO 2 XOreg and every k 2 Z.

2.3 The Lyapunov Exponent

2.3.1 Definition, Formulas and Some Properties

For simplicity we shall say that L.f / is the Lyapunov exponent of f .

Proof. Let F be a polynomial lift of f . We shall compute the Lyapunov exponent

for any z such that .z/ D . We thus have

kŒz; x k0 D e D ln kzk jxj:

The homogeneity property of GF allows us to define another metric on OP1 .D/ by

O n.L / for O f -a.e. xO 2 XOreg and for every

Thus M1 kF n .z/kd kF nC1 .z/k M kF n .z/kd which, taking logarithms and

'f D f C u' : (1)

O such that Lip fxOn e n.L / for n n0 .x/

Lip fxOn S .x/e

For 0 < L and n; N 2 N we set:

Rn WD fp 2 C = f n .p/ D p and j.f n /0 .p/j e n.L / g

Rn WD RnL D fp 2 C = f .p/ D p and j.f n /0 .p/j 1g

We start by showing that n ! for any 2 0; L . Let be a weak limit

2rS .x/eO n.L / 2rNe n.L / .

Any degree d rational map f WD abd zzd CCa

where i .c/ is the symmetric polynomial of degree i in .c1 ; ; cd 2 /. For

.1 1/2 D .1 2 1/.1 3 1/

Proof. The three identities are deduced from .X 1/2 .X Y 1/.XZ 1/ D

Milnor has actually shown that .1 ; 2 / induces a good parametrization of

Mod2 3 fN 7! Œ1 W 2 W 1 2 P2

L WD fŒ1 W 2 W 0 I .1 ; 2 / 2 C2 n f0gg:

Proposition 38. If Œ1 W 2 W 1 converges to P 2 L then the point P is of the form

A crucial observation about the intersections of hypersurfaces i is given by the

1 d jd j .c/j jajd

jPc;a .z/j Cd MA .z/d :

From now on we shall assume that A 1. By induction one gets

.z/j Cd1Cd CCd

ˆ';n .z/ WD ' n .z/ z:

where W N ! f1; 0; 1g is the classical Möbius function.

We finally consider two subcases.

Let us set ı WD 1 1 2 and l.z/ WD 2 z C 1. An easy computation yields