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Springer Proceedings in Mathematics & Statistics
Zhen-Qing Chen
Masayoshi Takeda
Toshihiro Uemura Editors
Dirichlet
Forms and
Related Topics
In Honor of Masatoshi Fukushima’s
Beiju, IWDFRT 2022, Osaka, Japan,
August 22–26
Springer Proceedings in Mathematics &
Statistics
Volume 394
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Dirichlet Forms and Related

Topics
In Honor of Masatoshi Fukushima’s Beiju,
IWDFRT 2022, Osaka, Japan, August 22–26
Editors
Zhen-Qing Chen Masayoshi Takeda
Department of Mathematics Department of Mathematics
University of Washington Kansai University
Seattle, WA, USA Osaka, Japan
Toshihiro Uemura
Department of Mathematics
Kansai University
Osaka, Japan
ISSN 2194-1009 ISSN 2194-1017 (electronic)

Springer Proceedings in Mathematics & Statistics
ISBN 978-981-19-4671-4 ISBN 978-981-19-4672-1 (eBook)
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Preface
Professor Masatoshi Fukushima is turning 88 years old this year in Japanese counting
tradition. In Japanese culture, this is a milestone birthday called Yoneju (rice
longevity or Beiju). This conference proceedings contains 27 peer-reviewed invited
papers from leading experts as well as young researchers all over the world in the
related fields that Professor Fukushima has made important contributions to. These 27
papers cover a wide range of topics in probability theory, ranging from Dirichlet form
theory, Markov processes, heat kernel estimates, entropy on Wiener spaces, anal-
ysis on fractal spaces, random spanning tree and Poissonian loop ensemble, random
Riemannian geometry, SLE, space-time partial differential equations of higher order,
infinite particle systems, Dyson model, functional inequalities, branching processes,
to machine learning and Hermitizable problems for complex matrices.
Professor Fukushima is well known for his fundamental contributions to the theory
of Dirichlet forms and symmetric Markov processes. In one of his first publications in
the late 1960s, Fukushima studied the boundary value problem of Brownian motion
on any bounded connected open set using the Dirichlet form method. In particular,
he [R5] succeeded in constructing reflected Brownian motions on the Kuramochi
compactification of bounded connected open sets. This method is later extended in
[R9] to the regular Dirichlet forms via a method of transformation of the underlying
spaces, which makes it possible to construct the corresponding symmetric strong
Markov processes. More precisely, the approach in his pioneering work [R9] can be
summarized as follows.
(i) For any regular symmetric Dirichlet space (E, F) on a locally compact sepa-
rable metric space E, there exists an equivalent strongly regular symmetric
Dirichlet space (E , F ) on another locally compact separable metric space E
and there is a capacity-preserving quasi-homeomorphism φ between E and E .
Here, a Dirichlet form is said to be regular if the domain of the Dirichlet form
contains sufficiently many continuous functions, while strongly regular means
it is regular and the Dirichlet form generates Ray resolvent kernels.
(ii) Since the strongly regular Dirichlet form (E , F ) possesses Ray resolvents, it
determines a Ray process X on E . The pull-back process X = φ −1 (X ) by the
v
vi Preface
quasi-homeomorphism φ is a symmetric Hunt process on E associated with the

regular Diriclet form (E, F).
Subsequently, Professor Martin L. Silverstein [8] gave a new method in
constructing the Hunt process from a regular Dirichlet form (E, F) by using the
quasi-continuous modifications of the functions in the domain F of Dirichlet form.
Fukushima felt that Silverstein’s construction is more direct, and thus, he put a modi-
fied version of Silverstein’s construction in his 1980s book [MT3] as well as in his
book [MT4, MT7] with Oshima and Takeda instead of his original one.
In 1959, Beurling and Deny have shown that symmetric Markov semigroups on
L 2 -spaces are generated by symmetric Dirichlet forms. Fukushima strengthened this
result as follows. If a Dirichlet form is regular, then the semigroup is represented
by the transition probability kernel of a strong Markov process. More importantly,
the strong Markov process generated by a regular Dirichlet form is a Hunt process
whose sample paths are quasi-left continuous. In the Markov process theory, quasi-
left continuity is very important for the analysis of the sample path properties and
for the probabilistic potential theory. The association of the Hunt process to a regular
Dirichlet form opened up a door for using probabilistic methods to analyze and
study various properties of the Dirichlet forms. For instance, it yields a probabilistic
interpretation of A. Beurling and J. Deny’s potential theory of Dirichlet spaces.
Fukushima’s fundamental result on the association of a Hunt process with a regular
Dirichlet form has later been extended by S. Albeverio and Z.-M. Ma [1] in 1991 to
quasi-regular symmetric Dirichlet forms. The quasi-regularity is in fact a necessary
and sufficient condition for a Dirichlet form to associate a nice strong Markov process
and works on infinite dimensional spaces as well. It is further extended in Z.-M.
Ma and M. Röckner [6] to nearly symmetric Dirichlet forms. Z.-Q. Chen, Z.-M.
Ma and M. Röckner [2] showed in 1994 that any quasi-regular Dirichlet form is
quasi-homeomorphic to a regular Dirichlet form on a locally compact separable
metric space. Hence, essentially all the results that have been established for regular
Dirchlet spaces can be carried over to quasi-regular Dirichlet forms through such a
quasi-homeomorphism. This point of view has been taken in the monograph [MT8]
by Chen and Fukushima.
Recently, we had an opportunity to conduct an interview with Professor
Fukushima. We learned the following historic remarks during this interview.
Professor Fukushima said that J. Deny had hoped to define the Dirichlet space
independently of the basic measure used in the L 2 -space. However, since Professor
Fukushima considered the speed measure in the one-dimensional diffusion process
as the basic measure to construct the process, he took it for granted from the begin-
ning to rely on the speed measure as the symmetrizing measure to define the Dirichlet
space. Martin L. Silverstein [8] introduced the concept of extended Dirichlet space
that is independent of the underlying symmetrizing measure. This notion plays a
crucial role in the development of the Dirichlet form theory, and it is invariant under
time change by positive continuous additive functionals having full support. As a
consequence, Dirichlet form theory becomes a big leap from Feller’s theory for
one-dimensional diffusion processes.
Preface vii
The Hunt process X = {X t , t ≥ 0; Px , x ∈ E} generated by a regular Dirichlet

form is in general not a semimartingale. As a substitution of Ito’s formula, Professor
Fukushima introduced the notion of continuous additive functional of zero energy
and showed that for any u in the domain of a regular Dirichlet form, u(X t ) can
be decomposed as the sum of a square integrable martingale additive functional
and a continuous additive functional of zero energy of X . This decomposition has
many important implications and is nowadays called Fukushima decomposition.
Dirichlet form theory is an effective tool in many areas of probability theory and
mathematical physics, including diffusion processes in infinite dimensional spaces,
analysis on fractals and metric measure spaces, optimal transports, and random walks
and Markov processes in random media. Fukushima’s decomposition has played an
important role in these areas.
Professor Fukushima appreciates Professor Hiroshi Kunita’s formulation [5] of
semi-Dirichlet forms. He wrote a joint paper with Uemura [R90] in this connection
and suggested Professor Yoichi Oshima (Kumamoto University) to work under the
setting of semi-Dirichlet forms rather than non-symmetric Dirichlet forms in his
book [7].
Professor Fukushima has been active in research throughout his mathematical
career. He has even started new lines of research after his retirement from Univer-
sity. For example, he has studied stochastic Komatu-Löwner’s equations in multiply
connected domains in joint work [R94, R95, R97, R92] with Z.-Q. Chen, S. Rohde,
H. Suzuki as well as with H. Kaneko. In these works, Brownian motion with darning
that arises in his study of the boundary theory of Markov processes with Chen
[R84, MT8] played an important role. Very recently, in his solo paper [R99] and in
his joint work [R100, R101] with Oshima, Professor Fukushima has studied Gaus-
sian fields, multiplicative chaos and the Markov property of the Gaussian fields
parametrized functions in extended Dirichlet spaces. For recurrent Dirichlet forms,
treatment of extended Dirichlet spaces becomes more difficult. By employing the
recurrent potential theory developed by Oshima in the framework of regular Dirichlet
forms, however, they could overcome the difficulty.
Additional information about Professor Fukushima’s mathematical work and his
important contributions can be found in the article by N. Jacob in [3] and an essay
by Chen, Jacob, Takeda and Uemura in [4].
Seattle, USA Zhen-Qing Chen

Osaka, Japan Masayoshi Takeda
Osaka, Japan Toshihiro Uemura
References
1. S. Albeverio and Z. M. Ma, Necessary and sufficient conditions for the existence of m-perfect
processes associated with Dirichlet forms. Séminaire de Probabilités, XXV, 374-406, Lecture
Notes in Math., 1485, Springer, Berlin, 1991.
viii Preface
2. Z.-Q. Chen, Z. M. Ma and M. Röckner, Quasi-homeomorphisms of Dirichlet forms. Nagoya

Math. J. 136 (1994), 1–15.
3. Fukushima Masatoshi Selecta. Edited by Niels Jacob, Yoichi Oshima and Masayoshi Takeda,
Walter de Gruyter, 2010
4. Festschrift Masatoshi Fukushima, In honor of Masatoshi Fukushima’s Sanju. Edited by Zhen-
Qing Chen, Niels Jacob, Masayoshi Takeda and Toshihiro Uemura, Interdisciplinary, World
Scientific, 2015
5. H. Kunita, Sub-Markov semi-group in Banach-lattice. In Proc. International Conference on
Functional Analysis and Related Topics (Tokyo, 1969), pp. 332–343 Univ. Tokyo Press, 1970
6. Z. M. Ma and M. Röckner, Introduction to the Theory of (Non-symmetric) Dirichlet Forms.
Universitext. Springer-Verlag, Berlin, 1992. vi+209 pp.
7. Y. Oshima, Semi-Dirichlet forms and Markov Processes. Walter de Gruyter, 2013
8. M. L. Silverstein, Symmetric Markov Processes. Lecture Notes in Math. 426, Springer, 1974.
List of Masatoshi Fukushima’s Publications
Research Papers (English)
[R1] On Feller’s kernel and the Dirichlet norm, Nagoya Math. J., 24 (1964) 167–
175
[R2] Resolvent kernels on a Martin space, Proc. Japan Acad., 41 (1965), 260–
263
[R3] On spectral functions related to birth and death processes, J. Math. Kyoto
Univ., 5 (1966), 151–161
[R4] On a class of Markov processes taking values on lines and the central limit
theorem, (with M. Hitsuda), Nagoya Math. J., 30 (1967), 47–56
[R5] A construction of reflecting barrier Brownian motions for bounded domains,
Osaka J. Math., 4 (1967), 183–215
[R6] On boundary conditions for multi-dimensional Brownian motions with
symmetric resolvent densities, J. Math. Soc. Japan, 21 (1969), 58–93
[R7] On Dirichlet spaces and Dirichlet rings, Proc. Japan Acad., 45 (1969), 433–
436
[R8] Regular representations of Dirichlet spaces, Trans. Amer. Math. Soc., 155
(1971), 455–473
[R9] Dirichlet spaces and strong Markov processes, Trans. Amer. Math. Soc., 162
(1971), 185–224
[R10] On transition probabilities of symmetric strong Markov processes, J. Math.
Kyoto Univ., 12 (1972), 431–450
[R11] On the generation of Markov processes by symmetric forms, in Proceed-
ings of the Second Japan-USSR Symposium on Probability Theory, (Kyoto,
1972), 46–79, Lecture Notes in Math., 330, Springer, Berlin, 1973
[R12] Almost polar sets and an ergodic theorem, J. Math. Soc. Japan, 26 (1974),
17–32
[R13] On the spectral distribution of a disordered system and the range of a random
walk, Osaka J. Math., 11 (1974), 73–85
ix
x List of Masatoshi Fukushima’s Publications
[R14] Local property of Dirichlet forms and continuity of sample paths, Z.

Wahrscheinlichkeitstheorie und Verw. Gebiete, 29 (1974), 1–6
[R15] On an asymptotic property of spectra of a random difference operator (with
H Nagai and S. Nakao), Proc. Japan Acad., 51 (1975), 100–102
[R16] Asymptotic properties of the spectral distributions of disordered systems,
in International Symposium on Mathematical Problems in Theoretical
Physics, (Kyoto Univ., Kyoto, 1975), 224–227, Lecture Notes in Phys.,
39, Springer, Berlin, 1975
[R17] On spectra of the Schrödinger operator with a white Gaussian noise poten-
tial (with S. Nakao), Z. Wahrscheinlichkeitstheorie und Verw. Gebiete, 37
(1976/77), 267–274
[R18] Potential theory of symmetric Markov processes and its applications, in
Proceedings of the Third Japan-USSR Symposium on Probability Theory,
(Tashkent, 1975), 119–133. Lecture Notes in Math., 550, Springer, Berlin,
1976
[R19] On an L p -estimate of resolvents of Markov processes, Publ. Res. Inst. Math.
Sci., 13 (1977/78), 277–284
[R20] A decomposition of additive functionals of finite energy, Nagoya Math. J.,
74 (1979), 137–168
[R21] On additive functionals admitting exceptional sets, J. Math. Kyoto Univ.,
19 (1979), 191–202
[R22] Dirichlet spaces and additive functionals of finite energy, in Proceedings of
the International Congress of Mathematicians, (Helsinki, 1978), 741–747,
Acad. Sci. Fennica, Helsinki, 1980
[R23] A generalized stochastic calculus in homogenization, in Quantum fields–
algebras, processes, (Proc. Sympos., Univ. Bielefeld, Bielefeld, 1978), 41–
51, Springer, Vienna, 1980
[R24] On a stochastic calculus related to Dirichlet forms and distorted Brownian
motions, in New stochasitic methods in physics, Phys. Rep., 77 (1981), 255–
262
[R25] On a representation of local martingale additive functionals of symmetric
diffusions, in Stochastic integrals, (Proc. Sympos. Durham, 1980), 110–
118, Lecture Notes in Math., 851, Springer, Berlin, 1981
[R26] Capacity and quantum mechanical tunneling (with S. Albeverio, W.
Karwowski and L. Streit), Comm. Math. Phys., 81 (1981), 501–513
[R27] On asymptotics of spectra of Schrödinger operators, in Statistical and phys-
ical aspects of Gaussian processes, (Saint-Flour, 1980), 335–347, Colloq.
Internat. CNRS, 307, CNRS, Paris, 1981
[R28] On absolute continuity of multidimensional symmetrizable diffusions, in
Functional analysis in Markov processes, (Katata/Kyoto, 1981), 146–176,
Lecture Notes in Math., 923, Springer, Berlin-New York, 1982
[R29] A note on irreducibility and ergodicity of symmetric Markov processes, in
Stochastic processes in quantum theory and statistical physics, (Marseille,
1981), 200–207, Lecture Notes in Phys., 173, Springer, Berlin, 1982
List of Masatoshi Fukushima’s Publications xi
[R30] Markov processes and functional analysis, in Proc. International Math.

Conf. Singapore, 187–202, Eds. L.H. Chen, Y.B. Ng, M.J. Wicks, North
Holland, 1982
[R31] Capacitary maximal inequalities and an ergodic theorem, in Probability
theory and mathematical statistics, (Tbilisi, 1982), 130–136, Lecture Notes
in Math., 1021, Springer, Berlin, 1983
[R32] Basic properties of Brownian motion and a capacity on the Wiener space,
J. Math. Soc. Japan 36(1984), 161–176
[R33] On conformal martingale diffusions and pluripolar sets (with M. Okada), J.
Funct. Anal., 55 (1984), 377–388
[R34] A transformation of a symmetric Markov process and the Donsker-Varadhan
theory (with M. Takeda), Osaka J. Math., 21 (1984), 311–326
[R35] A Dirichlet form on the Wiener space and properties on Brownian motion,
in Théorie du potentiel, (Orsay, 1983), 290–300, Lecture Notes in Math.,
1096, Springer, Berlin, 1984
[R36] Energy forms and diffusion processes, in Mathematics + physics. Vol. 1,
65–97, World Sci. Publishing, Singapore, 1985
[R37] (r, p)-capacities for general Markovian semigroups (with H. Kaneko), in
Infinite-dimensional analysis and stochastic processes, (Bielefeld, 1983),
41–47, Res. Notes in Math., 124, Pitman, Boston, MA, 1985
[R38] On the continuity of plurisubharmonic functions along conformal diffu-
sions, Osaka J. Math., 23 (1986), 69–75
[R39] A stochastic approach to the minimum principle for the complex Monge-
Ampère operator, in Stochastic processes and their applications, (Nagoya,
1985), 38–50, Lecture Notes in Math., 1203, Springer, Berlin, 1986
[R40] Reversibility of solutions to martingale problems (with D. W. Stroock), in
Probability, statistical mechanics, and number theory, 107–123, Adv. Math.
Suppl. Stud., 9, Academic Press, Orlando, FL, 1986
[R41] On recurrence criteria in the Dirichlet space theory, in From local times
to global geometry, control and physics, (Coventry, 1984/85), 100–110,
Pitman Res. Notes Math. Ser., 150, Longman Sci. Tech., Harlow, 1986
[R42] On Dirichlet forms with random data-recurrence and homogenization (with
S. Nakao and M. Takeda), in Stochastic processes-mathematics and physics,
II, (Bielefeld, 1985), 87–97, Lecture Notes in Math., 1250, Springer, Berlin,
1987
[R43] On Dirichlet forms for plurisubharmonic functions (with M. Okada), Acta
Math., 159 (1987), 171–213
[R44] A note on capacities in infinite dimensions, in Probability theory and math-
ematical statistics, (Kyoto, 1986), 80–85, Lecture Notes in Math., 1299,
Springer, Berlin, 1988
[R45] On holomorphic diffusions and plurisubharmonic functions, in Geometry
of random motion, (Ithaca, N.Y., 1987), 65–78, Contemp. Math., 73, Amer.
Math. Soc., Providence, RI, 1988
xii List of Masatoshi Fukushima’s Publications
[R46] On two classes of smooth measures for symmetric Markov processes, in

Stochastic analysis, (Paris, 1987), 17–27, Lecture Notes in Math., 1322,
Springer, Berlin, 1988
[R47] On the skew product of symmetric diffusion processes (with Y. Oshima),
Forum Math., 1 (1989), 103–142
[R48] Capacities on Wiener space: tightness and invariance (with S. Albeverio,
W. Hansen, Z.-M. Ma and M. Roc̈kner), C. R. Acad. Sci. Paris Se’r. I Math.,
312 (1991), 931–935
[R49] On quasi-supports of smooth measures and closability of pre-Dirichlet
forms (with Y. LeJan), Osaka J. Math., 28 (1991), no. 4, 837–845
[R50] On the closable parts of pre-Dirichlet forms and the fine supports of under-
lying measures (with K. Sato and S. Taniguchi), Osaka J. Math., 28 (1991),
517–535
[R51] An invariance result for capacities on Wiener space (with S. Albeverio, W.
Hansen, Z.-M. Ma and M. Roc̈kner), J. Functional Analysis, 106 (1992),
35–49
[R52] On (r, 2)-capacities for a class of elliptic pseudo differential operators (with
N. Jacob and H. Kaneko), Math. Ann., 293 (1992), 343–348
[R53] Dirichlet forms, diffusion processes and spectral dimensions for nested
fractals, in Ideas and methods in mathematical analysis, stochastics, and
applications, (Oslo, 1988), 151–161, Cambridge Univ. Press, Cambridge,
1992
[R54] (r, p)-capacities and Hunt processes in infinite dimensions, in Proba-
bility theory and mathematical statistics, (Kiev, 1991), 96–103, World Sci.
Publishing, River Edge, NJ, 1992
[R55] On a spectral analysis for the Sierpin ski gasket (with T. Shima), Potential
Analysis, 1 (1992), 1–35
[R56] Two topics related to Dirichlet forms: quasi-everywhere convergences
and additive functionals, in Dirichlet forms (Varenna, 1992), 21–53, G.
Dell’Antonio and U. Mosco (Eds), Lecture Notes in Math., 1563, Springer,
Berlin, 1993
[R57] On discontinuity and tail behaviours of the integrated density of states for
nested pre-fractals (with T. Shima), Comm. Math. Phys., 163 (1994), 461–
471
[R58] On a strict decomposition of additive functionals for symmetric diffusion
processes, Proc. Japan Acad. Ser. A Math. Sci., 70 (1994), 277–281
[R59] On a decomposition of additive functionals in the strict sense for a
symmetric Markov processes, in Dirichlet forms and stochastic processes,
Z. Ma, M. Roeckner, J. Yan (Eds), Walter de Gruyter, (1995), 155–169
[R60] Reflecting diffusions on Lipschitz domains with cusps-analytic construc-
tion and Skorohod representation (with M. Tomisaki), in Potential theory
and degenerate partial differential operators (Parma), Potential Analysis. 4
(1995), 377–408
List of Masatoshi Fukushima’s Publications xiii
[R61] Construction and decomposition of reflecting diffusions on Lipschitz

domains with Hölder cusps (with M. Tomisaki), Probab. Theory Related
Fields, 106 (1996), 521–557
[R62] On decomposition of additive functionals of reflecting Brownian motions
(with M. Tomisaki), in Ito’s stochastic calculus and probability theory, N.
Ikeda, S. Watanabe, M. Fukushima, H. Kunita (Eds), Springer, Tokyo, 1996,
51–61
[R63] Dirichlet forms, Caccioppoli sets and the Skorohod equation, in
Stochastic Differential and Difference equations, Csiszar Michaletzky
(Eds.), Birkhauser 1997, 56–66
[R64] Distorted Brownian motions and BV functions, in Trends in probability
and related analysis, (Taipei, 1996), 143–150, N.-R. Shieh (Ed), World Sci.
Publishing, River Edge, NJ, 1997
[R65] Large deviations and related LIL’s for Brownian motions on nested fractals
(with T. Shima and M. Takeda), Osaka J. Math., 36 (1999), 497–537
[R66] On semi-martingale characterizations of functionals of symmetric Markov
processes, Electron. J. Probab., 4 (1999), Paper 18, 1–32, http://www.math.
washington.edu/~ejpecp
[R67] BV functions and distorted Ornstein Uhlenbeck processes over the abstract
Wiener space, J. Funct. Analysis., 174 (2000), 227–249
[R68] On limit theorems for Brownian motions on unbounded fractal sets, in
Fractal geometry and stochastics, II (Greifswald/Koserow, 1998), 227–
237, Progr. Probab., S. Graf (Ed), 46, Birkhäuser, Basel, 2000
[R69] On Ito’s formulae for additive functionals of symmetric diffusion processes,
in Stochastic processes, physics and geometry: new interplays, I (Leipzig,
1999), 201–211, F. Getsztesy (Ed), CMS Conf. Proc., 28, Amer. Math. Soc.,
Providence, RI, 2000
[R70] On the space of BV functions and a related stochastic calculus in infinite
dimensions (with M. Hino), J. Funct. Analysis, 183 (2001), 245–268
[R71] Dynkin games via Dirichlet forms and singular control of one-dimensional
diffusions (with M, Taksar), SIAM J. Control Optim., 41 (2002), 682–699
[R72] On Sobolev and capacitary inequalities for contractive Besov spaces over
d-sets (with T. Uemura), Potential Analysis, 18 (2003), 59–77
[R73] Capacitary bounds of measures and ultracontractivity of time changed
processes (with T. Uemura), J. Math. Pures Appl., 82 (2003), 553–572
[R74] A note on regular Dirichlet subspaces (with J. Ying), Proc. Am. Math. Soc.,
131 (2003) 1607-1610 (2003); erratum ibid. 132 (2004), 1559
[R75] On spectral synthesis for contractive p-norms and Besov spaces (with T.
Uemura), Potential Analysis, 20 (2004), 195–206
[R76] Function spaces and symmetric Markov processes, in Stochastic analysis
and related topics in Kyoto, Advanced Studies in Pure Mathematics, 41
(2004), 75–89, Math. Soc. Japan
[R77] Time changes of symmetric diffusions and Feller measures (with P. He and
J. Ying), Ann. Probab., 32 (2004) 3138–3166
xiv List of Masatoshi Fukushima’s Publications
[R78] On regular Dirichlet subspaces of H 1 (I ) and associated linear diffusions

(with X. Fang and J. Ying), Osaka J. Math., 42 (2005), 27–41
[R79] Poisson point processes attached to symmetric diffusions (with H. Tanaka),
Ann. Inst. Henri Poincaré Probab. Stat., 41 (2005), 419–459
[R80] Traces of symmetric Markov processes and their characterizations (with
Z.-Q. Chen and J. Ying), Ann. Probab., 34 (2006), 1052–1102
[R81] Entrance law, exit system and Lévy system of time changed processes (with
Z.-Q. Chen and J. Ying), Illinois J. Math., 50 (2006), 269–312
[R82] On Feller’s boundary problem for Markov processes in weak duality (with
Z.-Q. Chen), J. Func. Anal., 252 (2007), 710–733
[R83] Extending Markov processes in weak duality by Poisson point processes of
excursions, (with Z.-Q. Chen and J. Ying), in The Abel Symposium 2005,
Stochastic Analysis and Applications, A Symposium in Honor of Kiyosi Itô
(Oslo), F.E. Benth, G.Di Nunno, T. Lindstrom, B. Oksendal, T. Zhang (Eds),
153–196, Springer, 2007
[R84] One-point extensions of Markov processes by darning (with Z.-Q. Chen),
Probab. Th. Rel. Fields, 141 (2008), 61–112
[R85] Flux and lateral conditions for symmetric Markov processes (with Z.-Q.
Chen), Potential Anal., 29 (2008), 241–269
[R86] On unique extension of time changed reflecting Brownian motions (with
Z.-Q. Chen), Ann. Inst. Henri Poincare, Probab. Statist., 45 (2009), 864–
875
[R87] On extended Dirichlet spaces and the space of BL functions, Potential
Theory and Stochastics in Albac, Aurel Cornea Memorial Volume, Eds.
D. Bakry, L.Beznea, N. Boboc, G. Bucur, M. Roeckner, Theta Foundation,
Bucharest, AMS distribution, 2009, 101–110
[R88] From one dimensional diffusions to symmetric Markov processes, Stoch.
Proc. Appl., 210 (2010), 590–604
[R89] A localization formula in Dirichlet form theory (with Z.-Q. Chen), Proc.
Amer. Math. Soc., 140 (2012), 1815–1822
[R90] Jump-type Hunt processes generated by lower bounded semi-Dirichlet
forms (with T. Uemura), Ann. Probab., 40 (2012), 858–889
[R91] On general boundary conditions for one-dimensional diffusions with
symmetry, J. Math. Soc. Japan, 66 (2014), 289–316
[R92] On Villat’s kernels and BMD Schwarz kernels in Komatu-Loewner equa-
tions (with H. Kaneko), in: Stochastic Analysis and Applications 2014,
Springer Proceedings in Mathematics and Statistics, 100, (Eds) D. Crisan,
B. Hambly, T. Zariphopoulous, 2014, pp 327–348
[R93] One-point reflection (with Z.-Q. Chen), Stochastic Process Appl., 125
(2015), 1368–1393
[R94] Chordal Komatu-Loewner equation and Brownian motion with darning in
multiply connected domains (with Z.-Q. Chen and S. Rohde), Trans. Amer.
Math. Soc., 368 (2016), 4065–4114
List of Masatoshi Fukushima’s Publications xv
[R95] Stochastic Komatu-Loewner evolution and BMD domain constant (with

Z.-Q. Chen and H. Suzuki), Stochastic Process. Appl., 127 (2017), 2068–
2087
[R96] Reflections at infinity of time changed RBMs on a domain with Liouville
branches (with Z.-Q. Chen), J. Math. Soc. Japan, 70 (2018), 833–852
[R97] Stochastic Komatu-Loewner evolutions and BMD domain constant (with
Z.-Q. Chen), Stochastic Process. Appl., 128 (2018), 545–594
[R98] Liouville property of harmonic functions with finite energy for Dirichlet
forms, in: Stochastic Partial Differential Equations and Relaed Fields,
Springer Proceedings in Mathematics and Statistics, 229, (Eds) A.Eberle,
M. Grothaus, W. Hoh, M. Kassmann, W. Stannat, G. Trutnau, 2018, pp. 25–
42
[R99] Logarithmic and linear potentials of signed measures and Markov property
of associated Gaussian fields, Potential Analysis, 49 (2018), 359–379
[R100] Recurrent Dirichlet forms and Markov property of associated Gaussian
fields (with Y. Oshima), Potential Analysis, 49 (2018), 609–633
[R101] Gaussian fields, equilibrium potentials and multiplicative chaos for
Dirichlet forms (with Y. Oshima), Potential Analysis, 55 (2021), 285–337
Expository Writing
−
[E1] Boundary problems of Brownian motions and the Dirichlet spaces, Sugaku,
20 (1968), 211–221 (in Japanese)
[E2] On the Theory of Markov Processes, BUTSURI (The Physical Society of
Japan), 25 (1970), 37–41 (in Japanese)
[E3] On Random Spectra, BUTSURI (The Physical Society of Japan), 34 (1979),
153–159 (in Japanese)
[E4] On Spectral Analysis on Fractal, Manufacturing and Technology, 48 no. 1
(1996), 55–59 (in Japanese)
[E5] Fractal and Random walk—Toward the function and the shape of nature, in
Shizennoshikumi to Ningennochie, Osaka University Press, 1997, 211–222
(in Japanese)
[E6] Decompositions of symmetric diffusion processes and related topics in
analysis, Sugaku Expositions, 14 (2001), 1–13. AMS
[E7] Stochastic Control Problem and Dynkin’s Game Theory, Gien (Organiza-
tion for Research and Development of Innovative Science and Technology
(ORDIST)), Kansai University, 111 (2001), 35–39 (in Japanese)
[E8] Refined solutions of optimal stopping games for symmetric Markov
processes, Technology Reports of Kansai University (with K. Menda), 48
(2006), 101–110
[E9] On the works of Kyosi Itô and stochastic analysis, Japanese J. Math., 2
(2007), 45–53
xvi List of Masatoshi Fukushima’s Publications
[E10] A brief survey on stochastic calculus in Markov processes, RIMS Kôkyûroku,

1672 (2010), 191–197
[E11] On general boundary conditions for one-dimensional diffusions and
symmetry, MinnHoKee Lecture at Seoul National University, 2012 June
[E12] Feller’s Contributions to the One-Dimensional Diffusion Theory and
Beyond, In: William Feller—Selected Papers II, Eds. R. Schilling, Z.
Vondracek, W. Woyczynski, Springer Verlag, 2015, 63–73
−
[E13] Komatu-Loewner differential equations, Sugaku, 69 (2017), 137–156 (in
Japanese)
[E13’] Komatu-Loewner differential equations (translation of [E13]), Sugaku
Expositions, 33 (2020), 239–260
[E14] On the works of Hiroshi Kunita in the sixties, J. Stoch. Anal., 2 (2021),
article 3
Seminar on Probability (in Japanese)
[S1] (with Kiyosi Itô and Shinzo Watanabe) On Diffusion processes, Seminar on
Probability 3, 1960
[S2] (with Ken-ichi Sato and Masao Nagasawa) Transformation of Markov
processes and boundary problems, Seminar on Probability 16, 1960
[S3] Dirichlet space and its representations, Seminar on Probability 31, 1969
[S4] (with Hiroshi Kunita) Studies on Markov processes, Seminar on Probability
40, 1969
[S5] (with Shintaro Nakao and Sin-ichi Kotani) On Random spectra, Seminar on
Probability 45, 1977
Monographs and Textbooks
[MT1] Dirichlet Forms and Markov Processes (Japanese), KINOKUNIYA Co. Ltd.,
1975
[MT2] (with Kazunari Ishii) Natural Phenomena and Stochastic Processes
(Japanese), Nippon-Hyoron-Sha Co., Ltd., 1980, (enlarged ed.) 1996
[MT3] Dirichlet Forms and Markov Processes, North-Holland mathematical library
23, North-Holland, Amsterdam-New York/ Kodansha, Tokyo, 1980
[MT4] (with Yōichi Ōshima and Masayoshi Takeda) Dirichlet Forms and
Symmetric Markov Processes, de Gruyter studies in mathematics 19, de
Gruyter, Berlin, 1994
[MT5] Probability Theory (Japanese), SHOKABO Pub. Co., Ltd., 1998
[MT6] (with Masayoshi Takeda) Markov Processes (Japanese), BAIFUKAN Pub.
Co., Ltd, 2008
List of Masatoshi Fukushima’s Publications xvii
[MT7] (with Yōichi Ōshima and Masayoshi Takeda) Dirichlet Forms and
Symmetric Markov Processes, Second revised and extended editions, de
Gruyter, Berlin, 2011
[MT8] (with Z.-Q. Chen) Symmetric Markov Processes, Time Change, and
Boundary Theory, Princeton University Press, Princeton NJ, 2012
Contents
Markov Uniqueness and Fokker-Planck-Kolmogorov Equations . . . . . . . 1

Sergio Albeverio, Vladimir I. Bogachev, and Michael Röckner
A Chip-Firing and a Riemann-Roch Theorem on an Ultrametric
Space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Atsushi Atsuji and Hiroshi Kaneko
Hermitizable, Isospectral Matrices or Differential Operators . . . . . . . . . . 45
Mu-Fa Chen
On Strongly Continuous Markovian Semigroups . . . . . . . . . . . . . . . . . . . . . 57
Zhen-Qing Chen
Two-Sided Heat Kernel Estimates for Symmetric Diffusion
Processes with Jumps: Recent Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Zhen-Qing Chen, Panki Kim, Takashi Kumagai, and Jian Wang
On Non-negative Solutions to Space-Time Partial Differential
Equations of Higher Order . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Kristian P. Evans and Niels Jacob
Monotonicity Properties of Regenerative Sets and Lorden’s
Inequality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
P. J. Fitzsimmons
Doob Decomposition, Dirichlet Processes, and Entropies on Wiener
Space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
Hans Föllmer
Analysis on Fractal Spaces and Heat Kernels . . . . . . . . . . . . . . . . . . . . . . . . . 143
Alexander Grigor’yan
Silverstein Extension and Fukushima Extension . . . . . . . . . . . . . . . . . . . . . . 161
Ping He and Jiangang Ying
xix
xx Contents
Singularity of Energy Measures on a Class of Inhomogeneous

Sierpinski Gaskets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
Masanori Hino and Madoka Yasui
On L p Liouville Theorems for Dirichlet Forms . . . . . . . . . . . . . . . . . . . . . . . 201
Bobo Hua, Matthias Keller, Daniel Lenz, and Marcel Schmidt
On Singularity of Energy Measures for Symmetric Diffusions
with Full Off-Diagonal Heat Kernel Estimates II: Some Borderline
Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
Naotaka Kajino
Scattering Lengths for Additive Functionals and Their
Semi-classical Asymptotics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253
Daehong Kim and Masakuni Matsuura
Equivalence of the Strong Feller Properties of Analytic Semigroups
and Associated Resolvents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279
Seiichiro Kusuoka, Kazuhiro Kuwae, and Kouhei Matsuura
Interactions Between Trees and Loops, and Their Representation
in Fock Space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309
Yves Le Jan
Remarks on Quasi-regular Dirichlet Subspaces . . . . . . . . . . . . . . . . . . . . . . 321
Liping Li
Power-Law Dynamic Arising from Machine Learning . . . . . . . . . . . . . . . . 333
Wei Chen, Weitao Du, Zhi-Ming Ma, and Qi Meng
Hölder Estimates for Resolvents of Time-Changed Brownian
Motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359
Kouhei Matsuura
On the Continuity of Half-Plane Capacity with Respect
to Carathéodory Convergence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
Takuya Murayama
Dyson’s Model in Infinite Dimensions Is Irreducible . . . . . . . . . . . . . . . . . . 401
Hirofumi Osada and Ryosuke Tsuboi
(Weak) Hardy and Poincaré Inequalities and Criticality Theory . . . . . . . 421
Marcel Schmidt
Maximal Displacement of Branching Symmetric Stable Processes . . . . . . 461
Yuichi Shiozawa
Random Riemannian Geometry in 4 Dimensions . . . . . . . . . . . . . . . . . . . . . 493
Karl-Theodor Sturm
Contents xxi
Infinite Particle Systems with Hard-Core and Long-Range

Interaction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 511
Hideki Tanemura
On Universality in Penalisation Problems with Multiplicative
Weights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 535
Kouji Yano
Asymptotic Behavior of Spectral Functions for Schrödinger Forms
with Signed Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 559
Masaki Wada
Markov Uniqueness and
Fokker-Planck-Kolmogorov Equations
Sergio Albeverio, Vladimir I. Bogachev, and Michael Röckner
Abstract In this paper we show that Markov uniqueness for symmetric pre-Dirichlet
operators L follows from the uniqueness of the corresponding Fokker-Planck-
Kolmogorov equation (FPKE). Since in recent years a considerable number of
uniqueness results for FPKE’s have been achieved, we obtain new Markov unique-
It is a great honour and a great pleasure for us to have the possibility to dedicate this article
to Professor Masatoshi Fukushima on the occasion of his 88th birthday. He has influenced our
scientific development in a very strong and enduring way. We have had the great luck to meet
him on several occasions, through his and our longer common stays in Germany and Japan, and
at conferences there and other countries, including the UK and Italy. We greatly enjoyed every
conversation with him, both of scientific and personal nature. His deep insights, knowledge and
wisdom have had a very strong scientific impact upon us. Even before meeting him in person, we
have learned from his publications how to approach problems at the cutting edge of analysis and
probability theory in a natural way. His books are jewels of clarity, rigour and deep insights. We
enjoyed most pleasant collaborations with him, his coworkers and students, and developed strong
ties with the Japanese mathematical community at large. The first named author got in contact
with Masatoshi already back in 1973, when he was reading his pioneering paper “On generation of
Markov processes by symmetric forms”. With Raphael Höegh- Krohn he elaborated a first infinite
dimensional version of Masatoshi’s approach suitable for applications in quantum field theory. In
the late 70’s Masatoshi was invited for a longer stay at Bielefeld University, where the first named
author was working and the last named author was a student at the time. From then on, an intensive
collaboration and fruitful exchange of ideas with Masatoshi and his School started. From the second
half of the 80’s this also involved the second named author, who visited conferences organized by
Masatoshi in Osaka and Tokyo during that time period. We are enormously indebted to Masatoshi
for his guidance he always provided for us in various ways. We wish him from the bottom of our
hearts many more years in good health, happiness and with success in all his activities!
S. Albeverio
Institute for Applied Mathematics and HCM, University of Bonn, 53115 Bonn, Germany
e-mail: albeverio@iam.uni-bonn.de
V. I. Bogachev
Lomonosov Moscow State University, Moscow, Russia
National Research University Higher School of Economics, Moscow, Russian Federation
M. Röckner (B)
Faculty of Mathematics, Bielefeld University, 33615 Bielefeld, Germany
e-mail: roeckner@math.uni-bielefeld.de
Academy of Mathematics and Systems Science, CAS, Beijing 100190, China
© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 1
Z.-Q. Chen et al. (eds.), Dirichlet Forms and Related Topics, Springer Proceedings
in Mathematics & Statistics 394, https://doi.org/10.1007/978-981-19-4672-1_1
2 S. Albeverio et al.
ness results in concrete cases. A selection of such will be presented in this paper.
They include cases with killing and with degenerate diffusion coefficients.
Keywords Dirichlet frorm · Dirichlet operator · Fokker-Planck-Kolmogorov

equation · Markov uniqueness
1 Introduction and Framework
In this paper we fix a σ -finite measure space (E, B, m). Let L p := L p (m) =
L p (E, m), p ∈ [1, ∞] be the corresponding (real) L p -spaces with their usual norms
· p and inner product ( , )2 if p = 2. On L p (m) we shall consider linear operators
L : D(L) ⊂ L p (m) → L p (m)
with their usual partial order defined by
L 1 ⊂ L 2 ⇔ (L 1 ) ⊂ (L 2 ),
De f.
where D(L) is a linear subspace of L p , called domain of L, and
(L) := {(u, Lu) ∈ L p × L p : u ∈ D(L)}
is the graph of L. In particular, we shall consider those L which generate a (unique)

strongly continuous semigroup of (everywhere defined) continuous linear operators
on L p , denoted by et L , t ≥ 0. Henceforth such L will be shortly called generator (on
L P ). We refer to [17] for the notions and the well-known characterization of such
generators. We recall that a generator L is always closed, i.e. (L) is a closed subset of
L p × L p , with domain D(L) dense in L p and that for p ∈ (1, ∞), its adjoint operator
(L ∗ , D(L ∗ )) on L p , with p := p−1
p
, generates a strongly continuous semigroup of
∗
linear operators, e , t ≥ 0, on L . This satisfies
tL p
∗
et L = (et L )∗ , t ≥ 0, (1.1)
(see [17, Chap. 1, Corollary 10.6]). We consider three cases of sets of generators on
L p for p ∈ (1, ∞):
(1) Let D0∗ be a dense linear subspace of L p and L ∗0 : D0∗ ⊂ L p → L p a lin-
ear operator. Define M := M(L ∗0 , D0∗ ) to be the set of all linear operators
L : D(L) ⊂ L p → L p such that L ∗0 ⊂ L ∗ and L is a generator on L p .
(2) Let D0 be a dense linear subspace of L 2 and L 0 : D0 ⊂ L 2 → L 2 a symmetric
linear operator, i.e., L 0 ⊂ L ∗0 , which is upper bounded, i.e.
Markov Uniqueness and Fokker-Planck-Kolmogorov Equations 3
sup (L 0 u, u)2 ||u||−2

2 < ∞.
u∈D0 \{0}
Define Msym := Msym (L 0 , D0 ) to be the set of all linear operators L : D(L) ⊂

L 2 → L 2 such that L 0 ⊂ L, L is a generator on L 2 and L is symmetric, i.e.,
L ⊂ L ∗.
(3) Let (L 0 , D0 ) be as in (2) and define Msym,M := Msym,M (L 0 , D0 ) to be the subset
of all (L , D(L)) in Msym (L 0 , D0 ) such that each et L , t ≥ 0, is sub-Markovian,
i.e., if u ∈ L 2 such that 0 ≤ u ≤ 1, then 0 ≤ et L u ≤ 1.
Concerning (2) we note that by Ref. [17, Theorems 4.2 and 5.3] it obvi-
ously follows that Msym (L 0 , D0 ) coincides with the set of all linear operators
L : D(L) ⊂ L 2 → L 2 such that L 0 ⊂ L and L is upper bounded and self-adjoint, i.e.,
L = L ∗ . Furthermore, Msym (L 0 , D0 ) is not empty, because the Friedrichs extension
of (L 0 , D0 ) is self-adjoint and upper bounded (see e.g. [12, p. 131]).
Concerning (3) we refer to [12] and [16] for more details on such sub-Markovian
operator semigroups.
The first aim of this paper is to derive a “parabolic” condition in each of the cases
(1), (2), (3) which implies that the respective sets M, Msym , Msym,M contain at
most one element. Here, “parabolic” means in terms of the corresponding Fokker-
Planck-Kolmogorov equation (FPKE). The second aim of this paper is (by refining
this “parabolic condition”) to use uniqueness results from [8] to obtain new results
on “Markov uniqueness” in the sense of the following definition:
Definition 1.1 Let (L 0 , D0 ) be as in (2) above. (L 0 , D0 ) is called Markov unique if
Msym,M contains exactly one element.
Let us note that our notion of “Markov uniqueness” is in fact stronger than the one
extensively studied in the literature, since there, uniqueness is studied in the subset
of all linear operators (L , D(L)) in Msym,M (L 0 , D0 ), which are nonpositive defi-
nite, i.e., supu∈D(L) (Lu, u)2 ≤ 0, while also assuming that (L 0 , D0 ) is nonpositive
definite.
The literature on Markov uniqueness is quite extensive and a number of types of
state spaces E, as e.g. Rd or infinite dimensional vector spaces or manifolds have
been considered . To the best of our knowledge the first paper on this subject is [22]
by Masayoshi Takeda. To give an overview of the entire literature is beyond the scope
of this paper. Instead, we refer to the references in [4, 5, 10–12, 18] and the more
recent papers [3, 19].
It seems, however, that the method to prove Markov uniqueness proposed in this
paper, i.e., by using the corresponding FPKE, is new, though it is very natural. Fur-
thermore our applications and examples in Sect. 3, even though they are all in the
classical case E := Rd , appear to be not covered by the existing literature, in par-
ticular, since they include cases with degenerate diffusion coefficients and we can
allow “killing”, more precisely in our applications, where L is a partial differential
operator on Rd , this operator is allowed to have a (negative) zero order coefficient.
Finally, we would like to recall the notion of “strong uniqueness” which is dif-
ferent from Markov uniqueness. In our context here it means that the larger set
Msym (L 0 , D0 ) contains exactly one element which is equivalent to the fact that the
closure of (L 0 , D0 ) is self adjoint on L 2 . For more details we refer to [2, 10] and as
a very recent paper to [1], in particular to the lists of references in them.
2 The Main Idea and a Parabolic Condition for Uniqueness
For a set F of real-valued functions on E and T ∈ (0, ∞) we define F,T to be the

set of all functions of the form
[0, T ] × E (t, x) → f (t)ϕ(x) =: ( f ⊗ ϕ)(t, x),
where ϕ ∈ F and f ∈ C 1 ([0, T ]; R) with f (T ) = 0.

Let us start with case (1) from the introduction and consider (L , D(L)) ∈
M(L ∗0 , D0∗ ).
For t ≥ 0 we set
∗ ∗
Tt L := et L , Tt L = et L
[cf. (1.1)]. Then for all ϕ ∈ D0∗ , u ∈ L p and t ≥ 0 we have

∗
ϕ Tt u dm =
L
Tt L ϕ u dm
t
∗
= ϕ u dm + TsL L ∗ ϕ u dm ds
0
t
= ϕ u dm + L ∗0 ϕ TsL u dm ds. (2.1)
0
Hence defining the (signed) measure μt (d x) := Tt L u(x) m(d x), t ≥ 0, by the (inte-
∗
gral) product rule for all f ⊗ ϕ ∈ D0,T (defined as above with F := D0∗ ) we have

( f ⊗ ϕ)(t, x) μt (d x) = f (t) ϕ(x) μt (d x)
t
= f (0) ϕ dμ0 + f (s) L ∗0 ϕ dμs ds
0
t
+ f (s) ϕ dμs ds
0

= ( f ⊗ ϕ)(0, x) μ0 (d x)
t
∂
+ ( + L ∗0 )( f ⊗ ϕ) dμs ds.
∂s
0
In particular, for t = T
T
∂
( + L ∗0 )( f ⊗ ϕ) dμs ds = − ( f ⊗ ϕ)(0, x) μ0 (d x). (2.2)
∂s
0
(2.1) [equivalently (2.2)] means that μt = Tt L u · m, u ∈ L p , t ≥ 0, solves the FPKE

[up to time T for every T ∈ (0, ∞)] corresponding to (L ∗0 , D(L ∗0 )) (see [8]).
Now it is very easy to prove the following “parabolic condition” that ensures that
#M(L ∗0 , D0∗ ) ≤ 1
(where as usual # is an abbreviation for cardinality).

Proposition 2.1 Assume that for every T ∈ (0, ∞)
∂
( + L ∗0 )D0,T
∗
is dense in L p ([0, T ] × E, dt ⊗ m). (2.3)
∂s
Then M(L ∗0 , D0∗ ) contains at most one element.
Proof Let ( L̃, D( L̃)) ∈ Msym (L ∗0 , D0∗ ). Then, as seen above, μ̃t := Tt L̃ u m, u ∈ L p ,
t ≥ 0, also satisfies (2.1), hence (2.2). So, (by subtracting) for g(t, ·) := Tt L u −
Tt L̃ u, t ≥ 0, we obtain for all T ∈ (0, ∞)
T
∂
( + L ∗0 )( f ⊗ ϕ) g(s, ·) dm ds = 0
∂s
0
∗
for all f ⊗ ϕ ∈ D0,T . Since g ∈ L p ([0, T ] × E, dt ⊗ m), by (2.3) it follows that
g = 0, and the assertion follows, since u ∈ L p was arbitrary.
Now let us consider case (2) from the introduction. So, let (L , D(L)) ∈ Msym (L 0 ,
D0 ). Then using the same notation as in case (1) we analogously obtain for all
ϕ ∈ D0 , u ∈ L 2 and t ≥ 0
t
ϕ Tt u dm =
L
ϕ u dm + L 0 ϕ TsL u dm ds, (2.4)
0
hence for μt := Tt L u m and for all f ⊗ ϕ ∈ D0,T , T ∈ (0, ∞) we have
T
∂
( + L ∗0 )( f ⊗ ϕ) dμs ds = − ( f ⊗ ϕ)(0, x) μ0 (d x), (2.5)
∂s
0
i.e., μt , t ≥ 0, solves the FPKE corresponding to (L 0 , D0 ).

Analogously to Proposition 2.1 we then prove the following result.
Proposition 2.2 Assume that for every T ∈ (0, ∞)
∂
( + L 0 )D0,T is dense in L 2 ([0, T ] × E, dt ⊗ m). (2.6)
∂s
Then Msym (L 0 , D0 ) consists of exactly one element.

In case (3) if (L , D(L)) ∈ Msym,M (L 0 , D0 ), then obviously Tt L (L 2 ∩ L ∞ ) ⊂ L 2 ∩
L ∞ , and since L 2 ∩ L ∞ is dense in L 2 , Tt L is uniquely determined on L 2 ∩ L ∞ .
Proposition 2.3 Suppose that L 0 (D0 ) ⊂ L 1 (which automatically holds if m(E) <
∞) and that for every T ∈ (0, ∞)
∂
( + L 0 )D0,T is dense in L 1 ([0, T ] × E, dt ⊗ m). (2.7)
∂s
Then Msym,M (L 0 , D0 ) consists of at most one element. If the semigroup generated

by the Friedrichs extension of (L 0 , D0 ) is sub-Markovian, then this extension is the
unique element in Msym,M (L 0 , D0 ).
Proof We repeat the proof of Proposition 2.2 (respectively, 2.1) with u ∈ L 2 ∩ L ∞ .
Then for all T ∈ (0, ∞) we have for g as in the proof of Proposition 2.3 that g ∈
L ∞ ([0, T ] × E, dt ⊗ m). Then by (2.7) we conclude again that g = 0. Since Tt L is
uniquely determined on L 2 ∩ L ∞ , the assertion follows.
Clearly, conditions (2.3), (2.6) and (2.7) are not easy to check in applications and
certainly too strong, at least in case (3). So, let us discuss a weaker condition in this
case.
Let (L , D(L)) ∈ Msym,M (L 0 , D0 ) and fix u ∈ L ∞ such that u ≥ 0 and u dm =
1. Then μtL := Tt L u m, t ≥ 0, are subprobability measures on (E, B), i.e., μtL (E) ≤
1 for all t ≥ 0. We note that obviously each Tt L is uniquely determined by its values
on such u. We have seen that μt := μtL , t ≥ 0, solves the corresponding FPKE
t
ϕ dμt = ϕ dμ0 + L 0 ϕ dμs ds, t ≥ 0, ∀ϕ ∈ D0 , (2.8)
0
hence for all T ∈ (0, ∞), f ⊗ ϕ ∈ D0,T
T
∂
( + L 0 )( f ⊗ ϕ) dμs ds = − ( f ⊗ ϕ)(0, x)μ0 (d x). (2.9)
∂s
0
(2.8) and (2.9) are equations for paths (μt )t≥0 of subprobability measures on (E, B)
such that [0, ∞) t → μt (A) is Lebesgue measurable for all A ∈ B. Define SP to
be the set of all such paths, and SP(T) the set of their restrictions to [0,T].
Now the following result is obvious.

Theorem 2.1 If, for every probability density u ∈ L 1 ∩ L ∞ , (2.8) [or (2.9)] has
a unique solution (μt )t≥0 ∈ SP such that each μt , t ≥ 0, is absolutely continuous
with respect to m and such that μ0 = u · m, then Msym,M (L 0 , D0 ) consists of at
most one element. If, in addition, the semigroup generated by the Friedrichs exten-
sion of (L 0 , D(L 0 )) is sub-Markovian, then this extension is the unique element in
Msym,M (L 0 , D0 ).
In Theorem 2.1, it is enough to prove uniqueness for (2.9) [or (2.10)] in the
subclass of all (μt )t≥0 ∈ SP for which each μt , t ≥ 0, is absolutely continuous with
respect to m with bounded density, i.e., one only needs uniqueness in a convex subset
of SP. Therefore, the following result, which was first observed in [6], is useful and
goes beyond absolutely continuous solutions.
Proposition 2.4 Let T ∈ (0, ∞) and ζ be a subprobability measure on (E, B) and let
Kζ ⊂ SP(T) be a non-empty convex set such that each (μ)t∈[0,T ] ∈ Kζ is a solution
to (2.8) [hence to (2.9)] with μ0 = ζ . Suppose that for every (μt )t∈[0,T ] ∈ Kζ
∂
( + L 0 )(D0,T ) is dense in L 1 ([0, T ] × E, μt dt). (2.10)
∂s
Let (μt )t∈[0,T ] , (μ̃t )t∈[0,T ] ∈ Kζ . Then μt = μ̃t for dt-a.e. t ∈ [0, T ].
Remark 2.1 Clearly for (L , D(L)) ∈ Msym,M (L 0 , D0 ) and the corresponding solu-
tions (μtL )t≥0 defined above, condition (2.10) is weaker than condition (2.7) in Propo-
sition 2.3, since supt∈[0,T ] Tt L u∞ < ∞.
Proof of Proposition 2.4 Since Kζ is convex, we have that νt := 21 μt + 21 μ̃t , t ≥ 0,

is again in Kζ and
μt dt = gνt dt, μ̃t dt = g̃νt dt (2.11)
for some g, g̃ ∈ L ∞ ([0, T ] × E, νt dt).

Furthermore, by (2.9) it follows that for all f ⊗ ϕ ∈ D0,T
T
∂
( + L 0 )( f ⊗ ϕ)(g − g̃) dνs ds = 0. (2.12)
∂s
0
Hence by (2.10) this implies that g = g̃ and the assertion follows.

Proposition 2.4 and the observation that (at least in many cases) it suffices to
check (2.10) for just one solution in Kζ , are the core of the proof of many results
on uniqueness of solutions in SP to concrete FPKEs in Chap. 9 of [8], which thus
can be applied to prove Markov uniqueness for many examples of given operators
(L 0 , D0 ) on L 2 (m) as above. We shall present a selection of such in the next section.
We shall restrict ourselves to the symmetric case, i.e., p = 2 and L 0 ⊂ L ∗0 , though
also nonsymmetric cases (as in case (1) from Sect. 1) can be treated if one has enough
knowledge about the dual operator (L ∗0 , D0∗ ) on (L p ) for p ∈ (1, ∞) (see Remark
4.2 below).
3 Some Uniqueness Results for FPKEs
In the rest of the paper we shall concentrate on the case where the state space E is
equal to Rd . By the same ideas it is, however, possible to obtain Markov uniqueness
from uniqueness results of FPKEs on more general state spaces, including infinite
dimensional vector spaces or manifolds. This will be done in future work.
3.1 Fokker-Planck-Kolmogorov Equations
As already mentioned we shall use the uniqueness results on FPKEs from [8, Chap.
9]. So, let us briefly recall the framework there, but for simplicity restricting to
solutions in SP, since we shall only use these in our applications below.
Below (E, B) from the previous sections will always be (Rd , B(Rd )), d ∈ N,
where B(Rd ) denotes the Borel σ -algebra of Rd . Consider a partial differential
operator of the form
L 0 ϕ = a i j ∂xi ∂x j ϕ + bi ∂xi ϕ + cϕ, ϕ ∈ D0 := C0∞ (Rd ), (3.1)
where we use Einstein’s summation convention, ∂xi := ∂∂xi , 1 ≤ i ≤ d, a i j , bi ,

c : [0, T ] × Rd → R, with c ≤ 0, are B(Rd )-measurable functions, A(t, x) :=
(a i j (t, x))1≤i, j≤d is a nonnegative definite matrix for all (t, x) ∈ [0, T ] × Rd and
T ∈ (0, ∞) is fixed. For some of the results below we need to assume local bound-
edness and local strict ellipticity of A, i.e. :
(H1) For each ball U ⊂ Rd there exist γ (U ), M(U ) ∈ (0, ∞) such that
γ (U ) · I ≤ A(t, x) ≤ M(U ) · I ∀ (t, x) ∈ [0, T ] × Rd ,
where I denotes the d × d identity matrix.
Let SP be defined as in Sect. 2. We say that (μt )t≥0 ∈ SP satisfies the FPKE (up
to time T for L 0 ) if a i j , bi , c ∈ L loc
1
([0, T ] × Rd , μt dt) and for every ϕ ∈ C0∞ (Rd )
t
ϕ dμt = ϕ dμ0 + L 0 ϕ dμs ds for dt-a.e. t ∈ [0, T ]. (3.2)
0
In Sects. 3.2–3.4 below we shall only be interested in the so-called subprobability

solutions to (3.2), i.e., we a priori restrict to a class SPν ⊂ SP in which we search for
a (hopefully unique) solution to (3.2). So, given a subprobability measure ν on B(Rd )
(i.e., ν ≥ 0 and ν(Rd ) ≤ 1), SPν is defined to be the set of all (μt )t∈[0,T ] ∈ SP(T )
with the following properties:
(μt )t∈[0,T ] solves (3.2), (3.3)

c ∈ L ([0, T ] × R , μt dt),
1 d
(3.4)
b ∈ L ([0, T ] × U, μt dt; R ) for all balls U ⊂ R ,
2 d d
(3.5)

t
μ0 = ν and μt (Rd ) ≤ ν(Rd ) + c(x, s) μs (d x) ds for dt-a.e. t ∈ [0, T ].

0
(3.6)
Clearly, if ν = 0, by dividing by ν(Rd ), we may assume, without loss of generality

concerning the uniqueness of solutions in SPν for (3.2), that ν(Rd ) = 1. Below we
fix a probability measure ν on B(Rd ).
Now let us recall several uniqueness results for (3.2) from [8, Chap. 9]. Below let
d x denote Lebesgue measure on Rd .
3.2 Nondegenerate VMO Diffusion Coefficients
Let us recall the definition of the VMO(=vanishing mean oscillation)-property of a

function (see [14] and the references therein), which is a vast generalization of local
Lipschitzianity.
Let g be a bounded Borel-measurable function on Rd+1 . Set
O(g, R) := sup sup r −2 |U (x, r )|−2

(x,t)∈Rd+1 r ≤R

t+r 2
× |g(s, y) − g(s, z)| dy dz ds.
t y,z∈U (x,r )
If lim O(g, R)=0, then we say that the function g belongs to the class V M Ox (Rd+1 ).
R→0
Suppose that a Borel-measurable function g is defined on [0, T ] × Rd and
bounded on [0, T ] × U for every ball U . We extend g by zero to the whole space Rd+1 .
If for every function ζ ∈ C0∞ (R d ) the function gζ belongs to the class V M Ox (Rd+1 ),
then we say that g belongs to the class V M Ox,loc ([0, T ] × Rd ).
Theorem 3.1 Let (H1) hold and assume that
a i j ∈ V M Ox,loc ([0, T ] × Rd ), 1 ≤ i, j ≤ d.
Then the set
{(μt )t∈[0,T ] ∈ SPν : a i j , bi ∈ L 1 ([0, T ] × Rd , μt dt)} (3.7)
contains at most one element.
Proof See ([8, Theorem 9.3.6]).
3.3 Nondegenerate Locally Lipschitz Diffusion Coefficients
In this subsection and the next one we use the following condition:
(H2) For every ball U ⊂ Rd there exists (U ) ∈ (0, ∞) such that for all 1 ≤ i, j ≤
d
|a i j (t, x) − a i j t, y| ≤ (U )|x − y| ∀t ∈ [0, T ], x, y ∈ U.
Theorem 3.2 Suppose that conditions (H1) and (H2) hold, that c ≤ 0 and that b ∈
p
p
L loc ([0, T ] × Rd , dt d x; Rd ), c ∈ L loc
2
([0, T ] × Rd , dt d x) for some p > d + 2.
Assume also that there exists (μt )t≥0 ∈ SPν satisfying the condition
|a i j |/(1 + |x|2 ) + |bi |/(1 + |x|) ∈ L 1 ([0, T ] × Rd , μt dt), 1 ≤ i, j ≥ d.
Then the set SPν consists of exactly one element.
3.4 Nondegenerate Diffusion Coefficients and the Lyapunov

Function Condition
The function V in the following theorem is called a Lyapunov function.

Theorem 3.3 Suppose that conditions (H1) and (H2) hold, c ≤ 0 and that b ∈
p
p
L loc ([0, T ] × Rd , dt d x; Rd ), c ∈ L loc
2
([0, T ] × Rd , dt d x) for some p > d + 2.
Suppose also that there exists a positive function V ∈ C 2 (Rd ) such that V (x) → +∞
as |x| → +∞ and for some C ∈ (0, ∞) and all (t, x) ∈ [0, T ] × Rd we have
L 0 V (t, x) ≤ C + C V (x).
Then the set SPν contains at most one element.

Example 3.1 Let V (x) = ln(|x|2 + 1) if |x| > 1. Then the condition L 0 V ≤ C +
C V is equivalent to the inequality
A(t, x)x, x
2 tr A(t, x) − 4 + c(t, x)(|x|2 + 1) ln(|x|2 + 1) + 2b(t, x), x
|x|2 + 1
≤ C(|x|2 + 1) + C(|x|2 + 1)ln(|x|2 + 1).
(3.8)
3.5 Degenerate Diffusion Coefficients
3.5.1 A Uniqueness Result of LeBris/Lions
Here we assume that c = 0 in (3.1), i.e., we consider a partial differential operator

of the form
L 0 ϕ = a i j ∂xi ∂x j ϕ + bi ∂xi ϕ, ϕ ∈ D0 := C0∞ (Rd ), (3.9)
where a i j , bi , 1 ≤ i, j ≤ d, are as in (3.1), and its corresponding FPKE (3.2).

Let σ i j : [0, T ] × Rd → R be B(Rd )-measurable functions such that A = σ σ ∗ ,
where σ := (σ i j )1≥i, j≥d . Set
β i := bi − ∂x j a i j , 1 ≤ i, j ≤ d.
The following result is due to C. LeBris and P. L. Lions (see [15, Proposition 5], and
also [8, Theorem 9.8.1]).
Theorem 3.4 Suppose that in the natural notation
1,2 1,1
σ i j ∈ L 2 ([0, T ]; Wloc (Rd , d x)), β i ∈ L 1 ([0, T ]; Wloc (Rd , d x)),
|β|
div β ∈ L 1 ([0, T ]; L ∞ (Rd , d x)), ∈ L 1 ([0, T ];
1 + |x|
L 1 (Rd , d x)) + L 1 ([0, T ]; L ∞ (Rd , d x)),
σij
∈ L 2 ([0, T ]; L 2 (Rd , d x)) + L 2 ([0, T ]; L ∞ (Rd , d x)).
1 + |x|
Then, for every initial condition given by density ρ0 from L 1 (Rd , d x) ∩ L ∞ (Rd , d x)
there exists a unique solution to (3.2) with μ0 := ρ0 d x in the class
{ρ : ρ ∈ L ∞ ([0, T ]; L 1 (Rd , d x) ∩ L ∞ (Rd , d x)),

σ ∗ ∇ρ ∈ L 2 ([0, T ]; L 2 (Rd , d x)).}
3.5.2 Uniqueness in the Class of Absolutely Continuous Paths of

Probability Measures
Here we assume
(H3) (H1) is satisfied with γ = γ (U ), M = M(U ), independent of the ball U and

(t, x) → A(t, x) is Lipschitz in t and x on [0, T ] × Rd , T > 0.
(H4) b ∈ L ∞ ([0, ∞) × Rd , dt d x; Rd ).
Furthermore, we fix a B([0, T ] × Rd )-measurable non-negative function

ρ̃ : [0, ∞) × Rd → [0, ∞).
Consider the operator

L 0 ϕ = ρ̃ div(A∇ϕ) + ρ̃b, ∇ϕ, ϕ ∈ D0 := C0∞ (Rd ). (3.10)
and its corresponding FPKE (3.2).

Define Zν to be the set of all (μt )t∈[0,T ] ∈ SP(T ) such that μ0 = ν and μt dt is
absolutely continuous w.r.t. dxdt with density z := d(μ t dt)
d x dt
satisfying the following
properties:
(μt )t∈[0,T ] solves the FPKE corresponding to (3.10). (3.11)

μt (R ) = 1 for dt-a.e. t ∈ [0, T ].
d
(3.12)
ρ̃z ∈ L ([0, T ] × U, dt d x) for all balls U ⊂ R .
2 d
(3.13)
T
ρ̃(t, x) + ρ̃(t, x) ρ̃ 2 (t, x) 2
lim z(t, x) + z (t, x) d x dt = 0.
N →∞ 1 + |x| 1 + |x|2
0 N ≤|x|≤2N
(3.14)
Theorem 3.5 Suppose that (H3) and (H4) hold. Then Zν contains at most one
element.
Proof This follows from ([8, Theorem 9.8.2]).

4 Applications to the Markov Uniqueness Problem
4.1 The Framework
Also in this section we take (E, B) := (Rd , B(Rd )) and m := ρ d x, where
ρ ∈ L loc
1
(Rd , d x), ρ > 0 d x-a.e.
We consider the following partial differential operator:
1
L 0ϕ = ∂x (ρ a i j ∂x j ϕ) + c ϕ, ϕ ∈ D0 := C0∞ (Rd ), (4.1)
ρ i
where a i j , 1 ≤ i, j ≤ d, and c satisfy assumption (A) below, which we assume to

hold throughout this section:
(A) a i j , c : Rd → R are B(Rd ) measurable, c ≤ 0, and A(x) := (a i j (x))1≤i, j≤d is a
nonnegative definite matrix for all x ∈ Rd . Furthermore,
1,1
a i j ∈ Wloc (Rd , d x) ∩ L loc
2
(Rd , ρ d x);
1 1,1
c, ∂xi a i j ∈ L loc
2
(Rd , ρ d x), ρ 2 ∈ Wloc (Rd , d x)
such that
a i j ρ − 2 ∂xi ρ 2 ∈ L loc
1 1
2
(Rd , ρ d x)
for all 1 ≤ i, j ≤ d.
Remark 4.1 We note that (A) is a standard a priori assumption on L 0 in (4.1), because
it implies the following:
(i) for every ϕ ∈ C0∞ (Rd )
L 0 ϕ = a i j ∂xi ∂x j ϕ + (∂xi a i j )∂x j ϕ + 2ρ − 2 ∂xi ρ 2 a i j ∂x j ϕ + cϕ,

1 1
(4.2)
and (L 0 , C0∞ (Rd )) is symmetric on L 2 (Rd , ρ d x), i.e., L 0 ⊂ L ∗0 , where the

adjoint is taken in L 2 (Rd , ρ d x).
(ii) The nonnegative definite symmetric bilinear from

E0 (ψ, ϕ) : = − ψ L 0 ϕ ρ d x

= A∇ψ, ∇ϕRd ρ d x − c ψ ϕ ρ d x; ψ, ϕ ∈ C0∞ (Rd ),
is a symmetric pre-Dirichlet form, hence its closure (E F , D(E F )) is a symmet-

ric Dirichlet form, whose corresponding generator (−L F , D(L F )) is just the
Friedrichs extension of (L 0 , C0∞ (Rd )). In particular, Tt L F := et L F , t ≥ 0, is sub-

Markovian. We refer to ([12, Sect. 3.3] and [16, Chap. II, Sect. (1a) and (1c)])
for details on the standard proofs for the above claims. In particular, for (L 0 , D0 )
as above
Msym,M (L 0 , D0 ) = ∅.
Below we shall present various sets of additional assumptions on a i j , 1 ≤ i, j ≤ d,

and c so that a respective theorem from the previous section will apply to imply
# Msym,M (L 0 , D0 ) = 1,
i.e., to imply Markov uniqueness for (L 0 , C0∞ (Rd )) on L 2 (Rd , ρ d x). We briefly
repeat the set-up in each subsection to ease selective reading.
Remark 4.2 As mentioned above, we only consider time-independent coefficients
for the operator in (4.1) and assume symmetry of L 0 on some weighted L 2 -space
over Rd . As shown in Sect. 2, however, our approach is much more general and
could be applied also to non-symmetric cases and for more general state spaces than
merely E = Rd . By time-space homogenization one can also find applications of the
theorems in Sect. 3 to the cases of time-dependent coefficients (and the associated
generalized Dirichlet forms; see [20] and [23]). A starting point for the nonsymmetric
case could be the case of an operator L 0 as in (3.1) with time-independent coefficients
and with c ≡ 0, which has an infinitesimally invariant measure μ, or equivalently
has a stationary solution μ to its corresponding FPKE (3.2). This case has been
studied intensively in [8] in Chaps. 1–5. In particular, it has been shown there that
under broad conditions μ has a reasonably regular density with respect to Lebesgue
measure and L 0 can be written as the sum of a symmetric operator L sym on L 2 (Rd , μ)
and a vector field b which has divergence zero with respect to μ. In this case L ∗0 on
L 2 (Rd , μ), calculated on D0 (= C0∞ (Rd )), is just given by L sym − b, ∇Rd and then
one can proceed analogously as in the symmetric case to obtain Markov uniqueness
results in this nonsymmetric case, which falls into the class (1) introduced in the
Introduction.
4.2 Nondegenerate VMO Diffusion Coefficients
Let (L 0 , D0 ) be as in (4.1) [respectively, (4.2)] and assume that assumption (A) holds.
Let
Msym,M := Msym,M (L 0 , D0 )
be as defined in Sect. 1.
Theorem 4.1 Suppose (A) and (H1) hold and that a i j ∈ VMOx,loc ([0, T ] × Rd ), 1 ≤
i, j ≤ d. Additionally, assume that for 1 ≤ i, j ≤ d
a i j , ∂xi a i j + a i j ρ − 2 ∂xi ρ 2 , c ∈ L 1 (Rd , ρ d x) + L ∞ (Rd , ρ d x).

1 1
(4.3)
Then
Msym,M = {L F },
i.e. Markov uniqueness holds for (L 0 , C0∞ (Rd )) on L 2 (R2 , ρ d x).

Proof Let L ∈ Msym,M and Tt L := et L , t ≥ 0. Let u ∈ L ∞ (Rd , ρ d x), u ≥ 0, u ρ
d x = 1 and μtL := Tt L u ρ d x, t ≥ 0. Then (μtL )t≥0 ∈ SP for all t ≥ 0 and μ0 =
uρ d x =: ν. Now let us check that (μtL )t≥0 ∈ SPν , i.e., satisfies (3.3)–(3.6). We
have seen in (2.8) that (μtL )t≥0 solves the FPKE (3.2), hence (3.3) holds.
From (4.2) it follows that L 0 in this section is of type (3.1) with
b j := ∂xi a i j + 2a i j ρ − 2 ∂xi ρ 2 , 1 ≤ j ≤ d.
1 1
(4.4)
Since Tt L u ∈ (L 1 ∩ L ∞ )(ρ d x), it follows from (A) and condition (4.3) that also
(3.4), (3.5) holds, and additionally we have that
a i j , b j ∈ L 1 ([0, T ] × Rd ; μtL dt) 1 ≤ i, j ≤ d. (4.5)
So, it remains to check the second half of (3.6). To this end let χn ∈ C0∞ (Rd ), n ∈ N,
such that 1 Bn ≤ χn ≤ 1 Bn+1 for all n ∈ N, supn∈N χn ∞ , supn∈N χn ∞ < ∞, and
χn in n, where Bn denotes the ball in Rd with center 0 and radius n. Then by (4.3)
for all t ≥ 0

ν(Rd ) − μtL (Rd ) = uρ d x − lim χn Tt L u ρ d x
n→∞

= lim (1 − Tt L χn )u ρ d x)
n→∞
t
= lim (1 − χn − TsL L 0 χn ds)u ρ d x
n→∞
0
t
= − lim L 0 χn TsL u ρ d x ds
n→∞
0
t
=− c dμsL ds (4.6)
0
and the second part of (3.6) follows even with equality sign. Hence (μtL )t≥0 ∈ SPν .
By (4.5) it thus follows that (μtL )t≥0 also lies in the set defined in (3.7). Since
Tt L , t ≥ 0, is uniquely determined by its values on all functions u as above and

L ∈ Msym,M was arbitrary, Theorem 3.1 implies that
#Msym,M ≤ 1.
Now the assertion follows by Remark 4.1(ii).
4.3 Nondegenerate Locally Lipschitz Diffusion Coefficients
Let (L 0 , D0 ) be as in (4.1) [respectively, (4.2)] such that assumption (A) holds and
let Msym,M := Msym,M (L 0 , D0 ) be defined as in Sect. 1. In the following result we
shall assume (H2) for our a i j , 1 ≤ i, j ≤ d, which is stronger than the local VMO-
condition in Theorem 4.1. As a reward we can relax the global conditions in (4.3).
We need, however, to restrict to the case c ≡ 0.
Theorem 4.2 Suppose that c ≡ 0 and that conditions (A), (H1) and (H2) hold.
Additionally, assume that for 1 ≥ i, j ≥ d, and some p > d + 2
ρ − 2 ∂xi ρ 2 ∈ L loc (Rd , d x),

1 1 p
(4.7)
and that
|∂x a i j + a i j ρ − 2 ∂xi ρ 2 |
1 1
|a i j |
+ i ∈ L 1 (Rd , ρ d x) + L ∞ (Rd , ρ d x) (4.8)
(1 + |x| ) 2 (1 + |x|)
Then
Msym,M = {L F },
i.e., Markov uniqueness holds for (L 0 , C0∞ (Rd )) on L 2 (Rd , ρ d x).
Proof Define b = (b j )1≤i≤d as in (4.4). We note that by (H2) we have ∂xi a i j ∈

∞
L loc (Rd , d x) for 1 ≤ i, j ≤ d. Let L ∈ Msym,M and let (μtL )t≥0 , ν, χn , n ∈ N, be as
defined in the proof of Theorem 4.1. Then for every t ≥ 0, since Tt L is sub-Markovian,
we have

μtL (Rd ) = Tt L u ρ d x

= lim χn Tt L u ρ d x
n→∞

= lim Tt L χn u ρ d x
n→∞

≤ u ρ d x = ν(Rd ).
Hence (3.6) holds and then exactly as in the proof of Theorem 4.1 on checks [without
using (4.8)] that by assumption (A) also (3.3)–(3.5) hold to conclude that (μtL )t≥0 ∈
SPν . Furthermore, since Tt L u ∈ (L 1 ∩ L ∞ )(Rd , ρ d x), the left-hand side of (4.8) is
also an element of L 1 ([0, T ] × Rd , μtL dt), hence by (4.7) all assumptions of Theorem
3.2 are fulfilled. So, #Msym,M ≤ 1, and Remark 4.1(ii) implies the assertion.
Remark 4.3 Let us mention the uniqueness problem studied [13] for the one-
dimensional Fokker-Planck-Kolmogorov equation. For simplicity we consider the
case of the unit diffusion coefficient (note that in [13] the opposite notation is
used, the drift is denoted by a, but we follow our notation). The problem posed
in [13, §8, p. 116] (in the case of the equation on the whole real line) is this:
to find necessary and sufficient conditions in order that for every function h ∈
L 1 (R) with Lh = h − (bh) ∈ L 1 (R) there is a unique solution T (x, t, h) of the
equation ∂t u = ∂x2 u − ∂x (ub) with initial condition h in the sense of the relation
T (·, t, h) − h L 1 → 0 as t → 0. This setting is called Problem L 0 , and in Prob-
lem L it is required in addition that the solutions with probability initial densities
from the domain of definition of the operator L must be probabilistic. According to
[13, Theorems 8.5 and 8.7], where the drift coefficient is assumed to be continuous, a
necessary and sufficient condition for the solvability of Problem L 0 is the divergence
of the integral
x y y
exp B(y) exp(−B(u)) du dy, where B(y) = b(s) ds
0 0 0
at −∞ and +∞, and for the solvability of Problem L the divergence of the integral
x y
exp(−B(y)) exp(B(u)) du dy
0 0
at −∞ and +∞ is additionally required. This is the previous condition for the drift
−b, which makes the conditions for b and −b the same. In both cited theorems of
Hille the closure of the operator L generates a semigroup on L 1 (R). It is proved in [7]
that a probability solution is always unique in the one-dimensional case (under the
stated assumptions about a and b). However, an example constructed in [7] shows that
the situation is possible where for an initial condition that is a probability measure
there exists a unique probability solution of the Cauchy problem, but there are also
other solutions. It is worth noting that it is asserted in Remark 4.6 in [7] that if Hille’s
condition is violated, then for some initial condition there is no solution, but this does
follow from the results in [7], because they ensure uniqueness only for probability
solutions, so that one cannot rule out the possibility that existence holds for all initial
solutions, but uniqueness fails in the class of signed solutions.
4.4 Nondegenerate Diffusion Coefficients and Lyapunov

Function Conditions
Let (L 0 , D0 ) be as in (4.1) [respectively, (4.2)] and assume that assumption (A) holds.
Let Msym,M := Msym,M (L 0 , D0 ) be as defined in Sect. 1.
Theorem 4.3 Suppose that c ≡ 0 and that conditions (A), (H1) and (H2) hold.
Additionally, assume that (4.7) holds and that (3.8) holds with b = (b j )1≤ j≤d defined
as in (4.4). Then
Msym,M = {L F },
Proof The proof is completely analogous to the proof of Theorem 4.2 except for
applying Theorem 3.3 and Example 3.1 instead of Theorem 3.2 and replacing con-
dition (4.8) by (3.8).
Remark 4.4 We would like to point out that Theorem 4.3 is close to Corollary 2.3
in [21] and to Proposition 2.9.4 in [9]. However, it is not covered by them, since ρ
is not a probability density. The function ρ is not even assumed to be in L 1 (Rd , d x)
here.
4.5 Degenerate Diffusion Coefficients
4.5.1 Markov Uniqueness as a Consequence of the Results of Le Bris

and Lions
Theorem 4.4 Let σ := (σ i j )1≤i, j≤d , A := σ σ ∗ and a i j = (σ σ ∗ )i j , 1 ≤ i, j ≤ d,

where
1,2 1,2
σ i j ∈ Wloc (Rd , d x), ∂xi a i j ∈ Wloc (Rd , d x) (4.9)
and
∂xi a i j
σ i j , ∂x j ∂xi a i j ∈ L ∞ (Rd , d x), ∈ L 1 (Rd , d x) + L ∞ (Rd , d x). (4.10)
1 + |x|
Then condition (A) holds for ρ ≡ 1, c ≡ 0, and the corresponding operator (L 0 .D0 )
from (4.2) is symmetric on L 2 (Rd , d x). Let Msym,M := Msym,M (L 0 , D0 ) be as
defined in Sect. 1. Then
Msym,M = {L F },
i.e., Markov uniqueness holds for (L 0 , C0∞ (Rd )) on L 2 (Rd , d x).

Proof Let L ∈ Msym,M and μtL := Tt L u d x, t ≥ 0, with u as in the proof of The-

orem 4.1. Then by assumptions (4.9), (4.10), we can apply Theorem 3.4 with
ρ0 := u, since Tt L u ∈ (L 1 ∩ L ∞ )(Rd , d x) and σ ∗ ∇Tt L u ∈ L 2 (Rd , d x; Rd ), because
∇Tt L u ∈ L 2 (Rd , d x; Rd ) and σ i j ∈ L ∞ (Rd , d x), 1 ≤ i, j ≤ d. Hence #Msym,M ≤
1 and by Remark 4.1(ii) the assertion follows.
4.5.2 Markov Uniqueness in Another Degenerate Case
Let ρ ∈ (L 1 ∩ L 3 )(Rd , d x) such that

1 1,1
ρ > 0, ρd x = 1, ρ 2 ∈ Wloc (Rd , d x)
and ∇ρ 2 ∈ L ∞ (Rd , d x; Rd ), and assume that (H3) holds. Consider the operator
1
√ √
L 0 ϕ := ρ div(A∇ϕ) + ρA∇ ρ, ∇ϕRd , ϕ ∈ D0 := C0∞ (Rd ), (4.11)
and its corresponding FPKE (3.2). Note that by our assumptions on A and ρ
we have that L 0 : D0 ⊂ L 2 (Rd , ρ d x) → L 2 (Rd , ρ d x) and L 0 ϕ = ρ1 div(ρ 2 A∇ϕ)
for all ϕ ∈ D0 = C0∞ (Rd ), hence (L 0 , D0 ) is symmetric on L 2 (Rd , ρ d x). Let
Msym,M := Msym,M (L 0 , D0 ) be as defined in Sect. 1.
Theorem 4.5 Assume that (H3) holds and let ρ satisfy the assumptions specified
above. Then
Msym,M = {L F },
Proof Let L ∈ Msym,M and μtL := Tt L u ρ d x, t ≥ 0, with u as in the proof of Theo-

rem 4.1. We have seen in (2.8) that (μtL )t≥0 solves the FPKE associated with (L 0 , D0 )
in (4.11). To show that it is the only such solution we are going to apply Theorem
3.5. So, let us check its assumptions for z(t, ·) := Tt L u ρ and ρ̃ := ρ. First of all,
(3.11) holds as just seen. So, let us show (3.12). As in (4.6) we have for every t ≥ 0
t
μtL (Rd ) = uρ d x + lim L 0 χn TsL u ρ d xds.
n→∞
0
√
By our assumptions about A and since ∇ ρ ∈ L ∞ (Rd , d x; Rd ), we have that for
some C ∈ (0, ∞) and all s ≥ 0
sup |L 0 χn TsL u| ≤ Cu∞ (ρ + 1), d x − a.e.

n
Since ρ ∈ (L 1 ∩ L 2 )(Rd , d x) and L 0 χn → 0 d x-a.e. as n → ∞, we conclude

that
μt (R ) = uρ d x = 1 for all t ≥ 0.
L d
∞
Next, (3.13) is clear, since Tt L u ∈ L ∞ (Rd , d x) and ρ ∈ L loc (Rd , d x), because
∇ρ 2 ∈ L ∞ (Rd , d x).
1
Finally, let us show (3.14). It suffices to show that all functions under the integral
in (3.14) are in L 1 (Rd , d x) in our case, due to our assumptions. For the first summand
this is immediate, since
1 1
(ρ 2 + ρ) z(t, ·) = (ρ 2 + ρ)ρ Tt L u
≤ (1 + 2ρ)ρu∞ ∈ L 1 (Rd , d x),
since ρ ∈ (L 1 ∩ L 2 )(Rd , d x) by assumption. For the second summand we note that

√
ρ 2 has a Lipschitz d x-version on Rd , since ∇ ρ ∈ L ∞ (Rd , d x; Rd ) by assumption.
1
1
Hence ρ 2 is of at most linear growth and thus ρ of at most quadratic growth. Hence,
since ρ ∈ L 3 (Rd , d x), for some C ∈ (0, ∞) and all t ≥ 0 we have
ρ 2 (x) 2
z (t, ·) ≤ Cρ 3 u∞ ∈ L 1 (Rd , d x),
1 + |x|2
and altogether (3.14) follows. Since (H4) also holds by our assumptions about A and
√
∇ ρ ∈ L ∞ (Rd , d x; Rd ), we can apply Theorem 3.5 and conclude that #Msym,M ≤
1 and again by Remark 4.1(ii) the assertion follows.
Acknowledgements Financial support by the HCM in Bonn, by the Deutsche Forschungsgemein-

schaft (DFG, German Research Foundation)-SFB 1283/2 2021-317210226, the Russian Foundation
for Fundamental Research Grant 20-01-00432, Moscow Center of Fundamental Applied Mathe-
matics, and the Simons-IUM fellowship are gratefully acknowledged.
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A Chip-Firing and a Riemann-Roch
Theorem on an Ultrametric Space
Atsushi Atsuji and Hiroshi Kaneko
Abstract A Riemann-Roch theorem on an edge-weighted infinite graph with local

finiteness was established by the present authors in [1], where the spectral gap of
Laplacian associated determined by the edge-weight was investigated as the corner
stone of the proof. On the other hand, as for non-archimedean metric space, the
Laplacians in the construction of Hunt processes such as in [3, 5] based on the
Dirichlet space theory can be highlighted. However, in those studies, a positive edge-
weight was given substantially between each pair of balls with an identical diameter
with respect to the ultrametric and the spectral gap is infeasible. In the present
article, we rethink the notion of chip-firing and show an upper bound of function
given by accumulation of chip-firing to materialize a counterpart of the dimension
of linear system in ultrametric space. In the final section of this article, we establish
a Riemann-Roch theorem on an ultrametric space.
Keywords Dirichlet space · Laplacian · Riemann-Roch theorem · Ultrametric

space · Weighted graph
1 Introduction
A Riemann-Roch theorem on connected finite graph was initiated by Baker and

Norine in [2]. Originally, on the complex plane, the exponent of lowest degree in the
Laurent series around a pole admit an interpretation as multiplicity of the single pole.
We note that it is also regarded as a coefficient of divisor at the pole. In accordance
A. Atsuji
Department of Mathematics, Keio University, 3-14-1 Hiyoshi, Kohoku-ku, Yokohama, Kanagawa
223-8522, Japan
e-mail: atsuji@math.keio.ac.jp
H. Kaneko (B)
Department of Mathematics, Tokyo University of Science, 1-3 Kagurazaka, Shinjuku-ku, Tokyo
162-8601, Japan
e-mail: rassohinakaneko@rs.tus.ac.jp
23
© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022
Z.-Q. Chen et al. (eds.), Dirichlet Forms and Related Topics, Springer Proceedings
in Mathematics & Statistics 394, https://doi.org/10.1007/978-981-19-4672-1_2
24 A. Atsuji and H. Kaneko
with this fact, when unit weight is given at each vertex of a graph, the notion of
the divisor is justified by assignment of integer multiples of the unit weight given at
each vertex of the graph. In their article, a theoretical scheme for a Riemann-Roch
theorem on a locally finite graph with uniform edge-weight was proposed and a proof
of a Riemann-Roch theorem was shown in [2].
Baker and Norine suggested in [2] a possibility of establishment of a Riemann-
Roch theorem on infinite graph in [3]. Recently, the authors of the present article
proposed a scheme for the proof of a Riemann-Roch theorem on an infinite graph.
The method relies on the spectral gap of the Laplacian for deriving a boundedness
of Z-valued chip-firing function, which was crucial for establishment of dimension
of the linear system determined by a divisor on infinite graph with local finiteness.
On the other hand, as for infinite state space with non-archimedean metric, typical
Hunt processes were constructed by Kigami in [5] and the second author in [3]
based on the complete orthonormal system associated with non-local Laplacian, i.e.,
associated with non-local Dirichlet space. However, in the formulations in those
articles, the absence of spectral gap is observed and since any pair of balls with
an identical diameter admits an edge with positive weight, the set of balls with an
identical diameter constitutes a set of vertices of a complete graph. This means that if
there are infinitely many balls with an identical diameter in such a ultrametric space,
inevitably a complete graph is brought by the set of vertices consisting of all ball
with the identical diameter is not locally finite, In this article, in order to overcome
the difficulty in dealing with infinite graph without local finiteness, we rethink the
notion of chip-firing on the basis of orthogonal system on a space of square integrable
functions with respect to a measure on the graph consistently given by edge-weight,
instead of an observation on spectral gap arising from the Laplacian. After this shift
of our focus, we demonstrate the proof of a Riemann-Roch theorem on ultrametric
space.
In Sect. 2, we look back at the methods to proof a Riemann-Roch theorem in [2]
and give a refinement of their discussion with the shift of our focus from existing
chip-firing to the one given by a function in an orthogonal family of functions with
respect to a measure given reasonably by the edge-weights. In Sect. 3, we focus on
the situation where an initial graph with an ultrametric is given and extra graphs are
added to the originally given graph to obtain an enlarged graph. We derive an upper
estimate on L 2 -norm of function which is given as an accumulation of chip-firings
in our scheme to determine the dimension of the linear system so that the estimate
is valid even after our procedure of enlargement of originally given graph. In the
final section, by taking procedures to obtain a family of consistent total orders on
subgraphs of the infinite graph equipped with an ultrametric, we establish a Riemann-
Roch theorem on the space.
A Chip-Firing and a Riemann-Roch Theorem on an Ultrametric Space 25
2 Laplacian and Riemann-Roch Theorem on Ultrametric

Space with Finite Vertices
We take a finite graph G = (V, E) consisting of a finite set V of vertices and a

finite set E of edges without loops. To be more precise, E is given as a subset of
(V × V \ {{x, x} | x ∈ V })/ ∼, where {x, y} ∼ {y, x} ∈ E for any pair x, y ∈ V .
Accordingly, {x, y} and {y, x} are regarded as an identical element in E. We make
a basic assumption on G as follows:
(A0) The graph G admits a finite family G = { f k | k ∈ {0, 1, . . . , N }} of non-
constant Q-valued functions on V , a Radon measure μ on V and a finite
subset R ⊂ (0, ∞) such that

(i) for each k ∈ {0, 1, . . . , N }, V f k dμ = 0,
(ii) each k ∈ {0, 1, . . . , N } assigns an element rk ∈ R such that, for any pair
k , k ∈ {0, 1, . . . , N }, if f k is constant on {x ∈ V | f k (x) = 0} then rk >
rk ,
(iii) the space of all linear combinations of { f k | k ∈ {1, 2, . . . , N }} with rational
coefficients coincides with the potential space (V ) = { f : V → Q with
V f dμ = 0}.
For any pair v, w of distinct vertices in V , we define d(v, w) = inf{rk ∈ R |

rk is associated with some f k in the condition (ii) satisfying either f k (v) > 0 and
f k (w) < 0 or f k (v) < 0 and f k (w) > 0} and then we assume that d is a metric
on V by letting d(v, v) = 0 for any v ∈ V . In what follows, for any function on V ,
{x ∈ V | f (x) = 0} is denoted by supp[ f ] and we denote the function taking μ({x})
at each x ∈ V by μ.
We introduce a rational positive edge-weight
C x,y for each edge {x, y} ∈ E and
the Laplacian defined by φ(x) = {y,x}∈E C x,y (φ(x) − φ(y)) at each x ∈ V
for any function φ on V .
Example 1 Let p be a prime number. We note that Z p admits the normalized Haar
measure μ and denote the radius of ball B in Z p with respect to the p-adic valuation
by r(B). For a positive integer M, we take the family {B | r(B) = p −M } of balls in
Z p and each element in the family is viewed as a vertex, i.e., element in the set V .
As in the articles [3, 5], we assume that, for each pair B, B ∈ V , the edge {B, B }
admits a positive edge-weight C B,B so that a Hunt process is constructed on the
basis of the Dirichlet space theory assigned by the edge-weights. Consistently with a
such construction of Hunt process on an orthonormal system on L 2 (μ), we note that
the orthonormal system can be taken the family { f k | k ∈ {1, 2, . . . , N }} is given as
follows:
When M = 1, Z p is represented as the union of the disjoint balls B(0, 1/ p),
B(1, 1/ p), . . . , B( p − 1, 1/ p) and we can take an example of { f k | k ∈ {1, 2, . . . , N }}
with N = p − 1:
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“No, no,” urged the panic-stricken Minister of War, “let us wait until
they get into the city and then bombard them with your guns.”
“Which would mean,” I said, “killing four or five of your own people to
every one of the enemy. I am not used to that way of fighting and
don’t know how to do it.”
They told me there were about three thousand men in the attacking
force. We had more than four thousand men under arms, which gave
us the advantage of numbers. The city had no defences worthy the
name and I insisted that the thing to do was to go outside and fight it
out in the open, while the doughty General, who seemed to be
seeking delay more than anything else, was in favor of making a
rough-and-tumble of it in the town. The President, who had imbibed
something of American ideas during his three years’ residence in
New York, and who had apparently regained a little of his nerve
while we were canvassing the situation, agreed with me, and,
against the continued objections of his brother, we went out to meet
the attacking army.
Gen. Baez commanded our centre and right while I commanded our
left flank. His reason for wanting to postpone the action was quickly
apparent, for he was an arrant coward. He began to give way, before
a force that was inferior in both numbers and discipline, with the
firing of the first gun, and fell back so rapidly that before I realized it
my command was flanked and almost cut off, with the sea on one
side of us and the enemy on two others and rapidly closing up the
fourth. My men fought surprisingly well until they suddenly
discovered that they were almost surrounded, when they promptly
went into a panic. Most of them dropped their guns and ran for the
city, with an activity of which I had not dreamed them capable, while
nearly all of the others, in regular South American fashion, about-
faced and joined the rebels on the spot. In a few minutes I was
captured, along with about a hundred men who were so numbed by
fear that they could neither run nor fight, and had not enough
discretion to join the enemy. I was furious over the cowardice of
Baez and put up the hardest fight I was capable of, with the
satisfaction of putting six or eight blacks on a permanent peace
basis, but with my revolver empty and my sword broken I was
overwhelmed by the inky cloud. Gen. Baez galloped back to the city
and he and his bewildered brother, the President, had barely time to
board a small schooner and sail for Curacoa before the capital was
in the hands of the rebels. Gen. Ganier d’Aton, a tool of Pimental
and Cabral, was at once proclaimed President, and hailed by the
populace with the customary acclaim.
Instead of being killed at once, as I had expected to be, I was taken
to a small fort on a hill near the town where, on the trumped-up and
altogether false charge that I had fomented trouble and brought on
civil war, I was tried by drum-head court-martial and sentenced to be
shot at sunrise. The verdict was, of course, dictated by revenge, and
execution of it was delayed because they wished to gloat over me for
a while. This was a little the most serious predicament I had ever
been in and, with the idea of taking every chance that was open to
me rather than with any distinct hope that it would be answered, I
gave the grand hailing sign of a powerful secret order which I had
joined while in Caracas. I thought I saw a sergeant raise his eyes
but, as he gave no further sign, I concluded that if there had been
any movement it had been one of surprise and not of recognition. I
was placed in a large sala with windows opening on the courtyard
and blank walls on the other three sides. The windows were barred
and after satisfying myself that they were secure, and that there was
no way of escape, I laid down and smoked, reflecting that if my time
had come there was no way of interfering with the programme
scheduled for the break of day. The soldiers were drinking and
celebrating their victory with shouts and songs, which lessened in
volume and vehemence as the night wore on, but two sentries who
paced back and forth in front of my room and met under one of the
windows religiously kept sober. Now and then a drunken coterie
would press their dirty faces against the bars to hurl at me
denunciatory bursts of Spanish eloquence, to which I vigorously
replied, but these enlivening visits grew less and less frequent, as
the consumption of tafia rum increased.
Along about three o’clock, just as I had about made up my mind that
in a couple of hours I would be due to start on an indefinite
exploration into regions about which nothing is known except that no
traveller ever returns from them, I heard a short scuffle at each end
of the path the sentries were patrolling and a gurgling noise as
though a man was choking. The next moment Lorensen’s voice
came softly through the door, “Are you in there, Captain?” I assured
him that I was.
“Stand away from the door,” he said, and I obeyed the order with
pleasurable alacrity. Three blows with a log of crutch mahogany
taken from a pile in the courtyard which had been brought in from the
mountains for export, smashed in the door. Lorensen seized my arm
and, led by the sergeant who had, after all, recognized the sign I had
made and answered it, we climbed down a declivity back of the fort
and made our way to the shore, where two boats were waiting for us.
The smashing in of the door of my prison aroused the drowsy guard
and we were hardly well out of the fort before there was a beating of
drums and loud shouts from the few half sober officers, directed at
the soundly sleeping soldiers. They finally mustered a detachment
which was sent in pursuit of us, but they were not in a condition to
move rapidly and did not reach the shore until we were a
considerable distance away from it. They fired a few shots in the
general direction of the sea but as we were in no danger of being hit
we did not raise a gun.
When we got out to the “Juliette” I heard the story of my deliverance.
I had been taken prisoner about the middle of the afternoon and it
was early in the evening when the death sentence was passed on
me. The sergeant, whose name was Alexandro, had understood my
signal. He went into the city as soon as he could get away from the
fort and, by persistent questioning of the natives, finally ascertained
that I was in command of the American ship lying in the harbor,—for
I had not hoisted the Santo Domingan flag on the “Juliette.” He then
rowed out to the ship and, after telling Lorensen what had happened,
through a member of the crew who could speak Spanish, offered to
lead a rescuing party to the place where I was confined. He said it
would be comparatively easy to get me away as only a small body of
troops had been left at the fort, the supply of rum in the city being
much larger, and they would be helpless from drink.
Lorensen, being a member of the same order, could well understand
why a white man should have taken the deep personal interest in my
welfare which Alexandro manifested, but he was suspicious that the
negro was seeking to lead him into a trap. He decided, however, to
take no chances, so, after warning Alexandro that he would be the
first man killed if he attempted any treachery, Lorensen went ashore
with sixteen well-armed men, six of whom were left with the boats
while the others proceeded to the old fort. They surprised the two
sentries at the opposite ends of their beat, throttled them and, as the
surest means of preventing an outcry, cut their throats, which
accounted for the gurgling noise I had heard. Then they broke in the
door of the sala, in which operation they were obliged to make
enough noise to arouse the guard.
Such are the obligations of a great secret order.
Men whom I sent ashore reported that President Baez and his
brother had fled and the rebels were in full control of the
government, and as soon as it was day I sailed close in and
bombarded the fort where my execution was to have taken place.
There was a great helter-skeltering of rum-soaked braves when the
first shells exploded around their ears, but there were some who did
not get away, and the crumbling walls came down and buried them.
Then we headed for Venezuela again, after an experience that paid
me only in excitement. I had not drawn a dollar from Baez and I had
been obliged to pay for the changes made in the “Juliette” and for
the guns that were brought from England, for I could not find a
banker in Halifax who would advance a cent on the letter of credit
from the great Republic of Santo Domingo. Still, I figured that the
experience had furnished me enough excitement to justify its cost.
Several years later I met Gen. Baez again in Murphy’s Hotel at St.
Thomas but did not see him until he took a good-natured shot at me.
The bullet smashed a pile of dishes on the arm of a waiter ten feet
away from me, and from the start that waiter made I would not be
surprised to hear that he is running yet around the hills back of
Charlotte Amalia.
At Caracas I found that Guzman had been duly elected
Constitutional President. He was inaugurating a scheme of public
improvements, the country had settled down to business, and the
prospect was all for long continued peace, which was displeasing to
me and I wanted to get away again. However, Guzman had a plan to
keep me busy. There was not then, nor is there now for that matter, a
decent map of Venezuela. It was reported from Paris that a
Frenchman had gone up the Orinoco to its headwaters and had
found that the Casiquiare River, which empties into it, formed a
natural canal connecting with the Rio Negro, which runs into the
Amazon at Manaos, Brazil. Guzman proposed that I go over this
route and seek to verify the Frenchman’s report. Exploring unknown
lands has always been as much a passion with me as aiding and
abetting revolutions, and I willingly accepted the commission, but,
though I did not tell Guzman so, I had no intention of returning to
Caracas. As an evidence of my appreciation of his friendship I gave
him a Jurgensen watch, which I had had made to order, and the
“Juliette,” just as she stood, sending Lorensen and one or two others
to London to work under the direction of my agents until I should
arrive. He used the good little ship for years as a mail boat between
La Guaira and Curacoa. Guzman gave me a Damascus sword of
exquisite workmanship, which, not long afterward, I used with good
effect on the pirates of the China Sea.
He wanted the exploration made on a grand scale and suggested
that he send along a detachment of soldiers. I convinced him that his
plan was impracticable, for a small party could get through much
more easily than a large one. Late in October I went to Trinidad to
outfit for the trip. There, at the old Ice House Hotel, I met two young
Britishers who were men after my own heart: Dr. Rogers, a rich
Church of England clergyman who preferred the legitimate pleasures
of this world to the prospects of the next, and Frank Anderson, son
of a wealthy Glasgow merchant and a recent graduate of Edinburgh
University. They had come out to hunt for big game and were
outfitting for a trip up the Orinoco. When I told them where I was
going they expressed a great desire to accompany me and I readily
agreed. I was glad to have such good companions for the long and
probably dangerous journey, for it was a tradition that there were
many “bad Indians” far up the river. I was the commandant of the
party, Rogers was the scientist, and Anderson the provider. They
had brought out from England two Peacock collapsible boats and to
complete our fleet I bought an Orinoco lancha, a large flat-bottomed
scow with a single enormous sail.
We went up as far as Ciudad Bolivar, the head of steam navigation,
on the old side-wheeler “Bolivar,” and there took to our boats, which
were provisioned for six months and carried seven natives to do the
hard work. There was only a slight current in the river, which was at
low stage as it was then “midsummer”—their winter comes with the
rainy season in our midsummer,—while the steady trade wind from
the Atlantic blew straight upstream, so we made good progress
under sail. It was a lazy trip in the early stages and a tiresome one,
for there were only a few dirty hamlets along the way and the llanos
stretched away on both sides of us in an interminable monotony. At
the confluence of the Apure and Arauca Rivers, two hundred and fifty
miles above Ciudad Bolivar, we found a great inland delta, larger and
more bewildering than that at the mouth of the Orinoco where there
are thirty-six separate channels that have been charted. This delta,
like the one on the coast, was formed by the tremendous force and
volume of the “midwinter” floods, which had built up so many islands
of soft mud that it was at times difficult for us to stick to the main
stream.
One of our most interesting experiences was at the junction of the
Rio Meta and the Orinoco, one hundred and fifty miles farther on,
where we encountered the so-called “musical stones,” of which we
had heard marvellous tales from the natives. These are granite cliffs
which, we had been told, gave out at sunrise sounds closely
resembling the tones of an organ. This mythical music, as we
regarded it, caused us to stay here several days and finally, on one
very cool morning, by placing our ears to the rocks, we distinctly
heard subterranean growls, groans, and whistles, which could
without great stretch of the imagination be compared to the notes of
an organ, though it must needs be a wheezy one to make the
similarity approximately honest. We all knew something about
geology and, without pretending to give a scientific conclusion, it was
our opinion that the sounds were caused by the hot air of the day,
which the rocks retained during the night, being driven out by the
cool air of the early morning through narrow fissures that were
partially obstructed by thin layers of mica, lying at an angle to the
general stratification, which served as reeds. The resultant vibrations
were musical enough to produce a weird sensation as we listened to
them, and it was easy to imagine the effect they would have on the
ignorant and superstitious natives, and the stories for which they
furnished a foundation. The Orinoco is navigable as far as the Meta
for light-draft steamers at all seasons of the year, but it may be
centuries before the “musical stones” become an advertised
attraction for tourists.
At Atures, one hundred miles above, and again at Maypures, just
beyond, were two rapids around which our boats had to be carried;
but with these exceptions it was plain sailing, or paddling, until we
crossed the line into Brazil. Another hundred miles beyond the rapids
brought us to the jumping-off place of the world—the indescribably
filthy little hamlet of San Fernando de Atabapo, built where the
Guaviare River comes down from the mountains of Colombia to join
the Orinoco. It is on the border of Venezuela and Colombia and its
population is largely made up of murderers and escaped convicts
from both countries, with a few from near-by Brazil. A number of the
leading citizens undertook to waylay us as we were leaving the place
but the only result of their misguided effort was that two or three of
them received what the law would have administered if it had been
given a chance.
From the time we left Ciudad Bolivar we had been sailing through a
veritable wilderness, with human habitations few and far between,
but after we left San Fernando de Atabapo we travelled through the
primeval forest, which came down to the river’s edge on both sides.
Its only inhabitants were widely scattered Indians, who were
inquisitive enough but not at all ugly. There were miles and miles of
magnificent rubber trees, which were especially abundant along the
Casiquiare, and great stretches of vanilla and cacao growing wild.
The Orinoco is indeed a wasted waterway. The vast empire it drains,
covering more than half of Venezuela, is marvellously rich in
minerals and in its forests, and could easily be made as rich in
agriculture. Yet when we made our trip there were fewer people
living along it than there had been four hundred years before when
Ordaz, the Spanish explorer, ascended it to the mouth of the Meta,
and I doubt if there has been any increase in the population since
our visit. Ten Hudson Rivers could be added to or taken from the
Orinoco without affecting it, yet it is traversed only by the native
lanchas and bongos, or dugouts.
We turned into the Casiquiare River, two hundred miles above San
Fernando de Atabapo, with considerable regret, for we would have
greatly liked to follow the Orinoco to its unexplored source in the
mysterious Parima Mountains, where is said to dwell a race of white
Indians, who are popularly supposed to stand guard, with deadly
blow pipes shooting darts that produce instant death, over vast
treasures of virgin gold. But that would have taken many months
more and we were not prepared for so long a trip. The priceless
forest which surrounded us was filled with game of all kinds and
great snakes, and alive with birds of wondrous plumage. There were
so many snakes, in fact, that we anchored our boats at night and
slept in them in the middle of the river, where we had nothing to fear
but the enormous crocodiles which poked us with their ugly snouts to
prevent us from oversleeping. We landed every day to stretch our
legs and shoot, with ridiculous ease, enough game to keep us in
fresh meat, but we never camped on shore at night.
After following the Casiquiare for one hundred and fifty miles or more
we came to the parting of the ways—the point at which the Rio
Negro, coming down from the foothills of the Andes, five hundred
miles away, divides to feed both the Orinoco and the Amazon—and
solved the mystery of the two rivers. There was no connecting canal
of slack water, as the Frenchman was said to have reported. The Rio
Negro, a wide and deep stream, forms the boundary between
Venezuela and Colombia for nearly two hundred miles. At two
degrees north latitude, or about one hundred and twenty miles from
the equator, it divides, the smaller part, approximately one-third of
the volume, forming the Casiquiare, which runs east for a short
distance and then north to the Orinoco, while the main stream runs
south and then east until it empties into the Amazon at Manaos.
Though we had no map to guide us the situation seemed plain when
we reached the larger river, which fed the Casiquiare, and by
following the downward course of that stream until we were certain it
was the Rio Negro, we settled the question.
Just below the junction of the Ucayari River with the Rio Negro,
almost directly under the equator, we came to a succession of falls
and rapids around which we made a portage. From there on, through
the same silent wilderness of natural wealth that we had traversed
for weeks, we leisurely sailed and drifted down to the Amazon, for
the blistering heat discouraged all physical effort that was not
mandatory. It was not until we reached the lower reaches of the river
that we found men gathering rubber, and they were taking only
ounces where tons were at their hands. We reached Manaos early in
May, 1874. We had been six months on the trip and had covered all
of two thousand miles which, everything considered, was fast
travelling. Aside from its educational value the exploration had been
delightful, and though tired from living so long in cramped quarters
we were all in better health than when we left Trinidad.
My companions, who rejoiced in having been thrown in the way of
greater sport and more interesting experiences than they had
expected to find, were ready to return to England and I arranged to
go with them. After resting for a week or two we went down to Para
on a river boat and thence to Rio Janiero on one of the Lloyd
Brazilero steamships. From there we sailed for England on the Royal
Mail steamship “Elbe,” commanded by Captain Moir, who was in
command of the “Trent” when Mason and Slidell were taken off. On
the way across I compiled a full report of the exploring trip which I
mailed to Guzman, with a promise that I would return to Venezuela
within a few years. I left my British friends at Southampton and went
to London to join Frank Norton and start for the China Sea, of which
he had pictured so much that was good in my sight.
CHAPTER VII
PREYING ON PIRATES
AS a boy it was my ambition to fight Indians, but if I had known as

much about them then as I do now, I would have selected pirates.
They have none of the claims on life which the real, red, native
Americans enjoy, and they can be fought on the glorious sea instead
of on land, which adds to the inherent excitement. It was in the
Summer of 1874 that I made my first plunge into piracy, for, with all
of the trimmings and aids to deception stripped away, that was what
it really amounted to. I did not know into just what I was being led
when I embarked in this new enterprise; but I am frank to say that it
would have made no difference, for a free translation of the word
“pirate” is “adventure of the first order,” and that was what I was
looking for.
When I reached London, after my strange escape from execution in
Santo Domingo and the exploration of the headwaters of the Orinoco
and the Rio Negro, Frank Norton was coming up from the
Mediterranean with the “Leckwith,” carrying a general cargo, and I
had not long to wait for him. He was joyous when I told him I was
ready to accompany him to the China Sea, which he had pictured as
an El Dorado of excitement, with many golden Manoas that might be
converted into Bank of England notes. There was to be no
filibustering there for we had no thought of playing against the
concert of Europe with our one little fiddle, even had there been any
prospective revolutions worth the hatching; but Norton insisted that
there was plenty of adventure to be found and much money to be
made in handling equally illegitimate cargoes which included no
explosives or munitions of war. As he was familiar with that part of
the world I took his word for it, without going into minute details. He
said we would need the “Leckwith” and two ships to carry on the
business to the best advantage, so I selected the “Surprise,” an
American brig, and the “Florence,” a topsail schooner, both stout,
fast ships. I put Lorensen on the “Leckwith” as sailing master,
George Brown on the “Surprise,” and old Bill Heather on the
“Florence.” The “Surprise” took on a general cargo for Japan and
was ordered to rendezvous at Hong Kong, while the “Florence”
loaded for Singapore. Norton and I followed in the “Leckwith.” Two
brass cannon were mounted in place of the yacht’s guns she carried
and we took on board four small carronades, a French mitrailleuse,
and several hundred rifles, cutlasses, and side arms, with an
abundance of ammunition, all of which were stored in the hold.
Before our departure I had printed on parchment, in exact imitation
of the genuine, certificates of registry in English, Dutch, German,
French, and Spanish, and seals made to correspond to them. These
I filled out, as occasion demanded, in the name the particular ship
bore at the time, and in the nationality which I thought would furnish
the best protection. I also had certificates of health, consular
clearances and bills of health, custom house clearances, and
shipping certificates printed in different languages. Forged service
certificates were also issued to old men of long service who were
competent officers but who could not pass the technical
examinations provided for in the amended maritime laws. These and
the certificates of registry were aged with a solution of iron and, if
necessary, rubbed on the cabin floor to add to their years. I had used
similar forged papers while filibustering in the West Indies but had
never had such an elaborate outfit, though I was never afterward
without it. With these papers I could give a ship a registry under any
flag and make it appear that she had come from any port that suited
my purpose. They were signed with an illegible scrawl, as are the
genuine. To further complicate matters the “Leckwith” was supplied
with a telescopic smokestack which, when lowered, was completely
hidden. She was schooner-rigged and could be transformed into a
fore and aft schooner by dousing the stack and housing the yards on
the foremast, or into a brig by putting yards on the mainmast. Similar
changes of rig could be made on the “Florence” and “Surprise.” I
never used a ship on which this could not be done. The efficacy of
these precautions is proved by the fact that I have never lost a cargo
of contraband, though I have handled scores of them.
With provision made for all of the deception and trickery which
experience and foresight could suggest we headed for Singapore, to
begin a career of adventure such as my wild mind never had
conceived, even in its dearest dreams. On the long trip out I whiled
away the time in an effort to evolve a torpedo of a new type. I had
been interested in high explosives all my life and had long believed
that a non-dirigible torpedo could be devised which would be an
improvement on our own Harvey,—which was towed in a bridle and
was not practicable for a greater distance than two or three hundred
yards,—and which would have advantages over the dirigible type. To
facilitate my experiments I had on board a lot of sheet brass and
before the end of the trip I had developed a torpedo that I regarded
as perfection and which I afterward used with success, though it
finally got me into trouble in South America. It was six feet long, thirty
inches in diameter, and shaped like a fat cigar. The inside was lined
with air cylinders to give it the required buoyancy, and inside of these
was packed the explosive charge, of wet gun-cotton or dynamite. It
was towed by a wire or small rope attached to the blunt nose, from
which projected six spider-like arms two feet long, and alternating
with these were six shorter arms extending outward from the thickest
part of the torpedo. The forcing backward of any one of these arms
cut off a shear pin and released a spring which set off a fulminate of
mercury cap. This exploded a disc of dry gun-cotton which set off the
main charge. The shear pins were of copper wire of any desired
thickness, but were intended to be only thick enough to prevent the
arms from being forced backward, and the torpedo discharged, by
the current of a river or by the resistance of the water when being
towed or by small driftwood which might be encountered.
The buoyancy of the loaded torpedo could easily be calculated and
by means of the air cylinders it could be kept awash or floated just
below the surface, the latter being the preferred method when it was
to be used during the day. The towing wire or rope was kept on the
surface or just below it by small floats, distributed at such distances
that they would attract no attention even in the improbable event of
their being seen. The torpedo was intended to be towed across the
course of the vessel that was to be destroyed. The moment the
ship’s bow picked up the towing rope her fate was settled, for
whether the rope was fifty yards or five miles long it was simply a
question of time until the torpedo was dragged alongside and
exploded by the pressure of one of the arms against the side of the
vessel. The torpedo could be towed astern of a ship or a launch or
even an innocent rowboat. In river work it could be stretched across
the stream with a line at each end, the shorter one being only strong
enough to withstand the current, so it would part easily when the
unfriendly ship picked up the line attached to the nose of the
torpedo. I was greatly pleased with my invention and it was not long
until I had an opportunity to prove that it was a complete success.
We reached Singapore more than a month ahead of the “Florence”
and on our arrival there Norton unfolded his whole scheme to me.
The gist of it was that we were to prey on the pirates who infested
the China Sea, and particularly that part of it lying between
Singapore, Sumatra, and Borneo, which was dotted with islands and
beautifully suited by nature to their plundering profession. Every ship
going to Europe from China, Indo-China, Siam, and from the
Philippines and the network of islands to the south of them, as well
as vessels coming up from the Indian Ocean through the Strait of
Sunda, between Sumatra and Java, had to run the gantlet of this
piratical nest, and many were the good ships that ended their cruises
there, along with their passengers and crews. It was here the pirates
held out last in their long and bloody fight against civilization, as the
present state of mankind in general is called. The British
Government had been trying for years to put an end to their
operations but there were so many of the islands, and the
opportunities for concealment and escape were so numerous, that
the undertaking was a gigantic one. It was not until years after my
tragic appearance on this stage that it was officially announced that
piracy had been suppressed. Even that long delayed declaration was
not altogether true, for in that accursed region, now well known but
yet mysterious, piracy is still being carried on, even to this day,
though in a small and desultory way. There were a few islands
farther north, off the southern coast of Indo-China, among which the
pirates sometimes rendezvoused to lay in wait for their prey, but in
ordinary weather it was easy for ships to keep clear of these danger
spots. But they could not avoid those islands lying northeast of
Singapore, and it was there that most of the merchantmen were
looted.
The pirates were chiefly Chinese, with a considerable number of
Malays and some Dyaks. As to bravery and bloodthirstiness there
was little choice between them. They were all desperate villains and
their thirst for gold was exceeded only by their truly Oriental cunning.
When they fell from wounds they would watch for an opportunity to
hamstring their opponents or disembowel them with their long,
crooked knives, which were as sharp as razors. After we discovered
this devilish trait no quarter was ever shown them. When one of
them fell he was shot through the head or stabbed, to make sure that
he would do no further harm. Nothing else could be done with such
an enemy. The Chinese operated chiefly in large junks, with which
they could go well out to sea. Most of them carried guns of
considerable size, while all of them were supplied with a multitude of
stink-pots,—their favorite weapon. These were round earthenware
pots, twelve or fifteen inches in diameter, filled with a black mixture
of the consistency of moist earth, which was lighted just before the
missile was thrown. They were handled in a sling, such as every
small boy has used but on a larger scale, and could be thrown with
great accuracy for one hundred feet or more. When the pot struck
the opposing ship it broke open and the contents spread out on the
deck, giving off a thick, pungent, and vile-smelling smoke which
would quickly produce complete asphyxiation if it was inhaled at
close range. If the smoking mass was left long enough undisturbed it
would set fire to the ship. The pirates themselves were largely
immune to this horrible smoke and under its cover, following a rain of
stink-pots, they would board a ship almost unseen and have her
defenders, whom they always outnumbered, at a great disadvantage
from the start. When fighting at close quarters the Chinese used
long, curved swords, something like a Turkish yataghan, while the
Malays were armed with the krese, a short, double-edged sword with
serrated edges. Both were murderous weapons and the pirates were
graduated experts in the use of them; in fact, they preferred their
butcher knives to firearms, for they were miserable marksmen. As
soon as an engagement became general they would throw away
their guns and pistols and use their swords, with both hands, striking
powerful, chopping blows.
The Malays and Dyaks used proas or feluccas, light, strong, low-
lying vessels from sixty to one hundred feet in length, from ten to
sixteen feet wide, and five or six feet deep, with less than three feet
draft. They were rigged with two large lateen sails and were very
fast. The only material difference between them was that the proas
were supplied with long sweeps with which they could be driven
along at a fair rate of speed when there was no wind. The junks were
used for outside work, while the proas and feluccas kept close
inshore, seldom going more than fifteen miles out. On account of
their shallow draft they were easily hidden in the mouths of rivers
and creeks, and when so concealed they could not be seen at a
distance of half a mile.
It was this ease of escape, and the fact that unless they were caught
red-handed conviction was impossible, which combined to make the
stamping out of the pirates such a tremendous task. The junks
always carried just enough cargo to enable them to pose, technically,
as peaceful traders and, with the aid of their friends afloat and
ashore, they could easily prove an alibi, or anything else that was
needed. When closely pursued by a suspicious warship and certain
to be overhauled and inspected, they would throw overboard their
surplus of arms and, if necessary, any loot they happened to have on
board, to remove all incriminating evidence. Through an elaborate
system of spies the pirate chiefs were constantly advised as to the
movements of the warships and kept their craft as far away from
them as possible. Thus it was that unless a cruiser happened along
just as a merchantman was being looted, and her crew butchered, or
immediately afterward, the chance of capturing the scoundrels was
remote. Even with the large retributive fleet of cruisers and gunboats
that finally was established in those waters, beauteous and romantic
but thickly dotted with villainous havens, the number of piracies that
were punished, including the joyous justice which Norton and I
meted out, was trifling when compared with the total of murder and
robbery.
The chief of a large section of the Chinese pirates was old Moy Sen,
a rich Chinaman who lived in a handsome home in Canton and
posed as a legitimate trader. He owned a large fleet of junks and one
steamer, and there was not a ship that left Hong Kong with a rich
cargo that he did not know all about. The evil genius of the Malays
was a shrewd scoundrel known as Leandrio, and he and Moy Sen
operated under what would be known to-day as a “gentlemen’s
agreement,” by which they divided up the territory, in a general way,
and did not interfere with each other. As a matter of fact there were
practically no honest trading ships in that section, with the exception
of the big merchantmen engaged in the export trade. All of the
coasting ships were either pirates themselves, when the conditions
were favorable, or were in league with the pirates, to whom they
carried information as to the value of cargoes being prepared for
shipment and their probable date of departure. The result was that
there was not a ship, except the easily distinguished merchantman,
which we did not come to regard as legitimate prey.
Norton argued that the pirates were bound to keep on robbing and
burning and murdering in spite of anything we could do, and that we
could derive plenty of excitement and large profits by robbing them.
Incidentally, he contended, we would put a lot of them out of
business for good and all, thus contributing to the end desired by all
nations. I fell in with his plan heartily, for, while I cared little for the
money that was to be made, it promised as lively adventures as I
could wish for. It was arranged that I should pose as Dr. Burnet, a
rich English physician who was cruising in his private yacht for his
health. To make it appear that they were engaged in legitimate
commerce, the “Florence” and “Surprise” were to carry some general
cargoes from port to port among the islands but were to so shape
their cruises that they would be at certain fixed points on or about
given dates, so that we could keep closely in touch with them. They
were to be given large crews and so heavily armed as to be safe
from piratical attacks. The “Leckwith” was to do all of the preying on
the pirates and the loot we took from them was to be turned over to
the other ships at the meeting places. This would make it
unnecessary for us to put into port often as we could use our sails a
great deal and husband our coal. This arrangement, and the
changes which could quickly be made in the rig of all the ships,
would, we figured, remove us from suspicion, for a long time at least.
Agencies for our legitimate cargoes were established in Sumatra, on
the island of Banca, where there were extensive tin mines, in Borneo
and Rajah Brooke’s independent government of Sarawak in North
Borneo, and at other convenient places. It was arranged that the
bulk of our loot should be sent to a firm of Chinamen at Singapore,
who dealt largely in dishonest cargoes but were absolutely honest
with their clients.
With the schedules of the “Florence” and “Surprise” established and
with the “Leckwith’s” bunkers stuffed with coal, we headed for the
islands in search of pirates. We then had a crew of about seventy-
five men, though at different times we had as few as fifty and as
many as one hundred, independent of the “black gang” in the fire
and engine rooms. The crews of the three ships were frequently
interchanged, except for about fifteen especially brave and reckless
fellows who were always kept on the “Leckwith.” With all of our sails
set and in the guise of a trading ship we sometimes trapped the
pirates into coming alongside and grappling with us, which made it
easy work for us, but when we had reason to think they had valuable
booty on board we went at them full tilt under steam and took it away
from them. All of our guns, which were always unshipped when we
went into port, were close up against the rail and were concealed
under what looked like deck cargo, but it was the work of only a
moment to cast off their covering and lower a section of the bulwarks
long enough to give them a wide radius of action.
Our first experience was a profitable one. When near the “hunting
grounds” we lowered the smokestack, got up our canvas, and sailed
along awaiting developments. We were getting in among the islands
when we met a big junk which had just looted and scuttled a richly
laden Brazilian barkentine. She had much more than enough on
board to pay her for one trip, but cupidity got the better of her
commander and he put about and came after us, thinking we were
only a trading schooner but might have something on board worth
taking. We made a pretence of trying to get away, which we could
have done, for the “Leckwith” footed fast even under sail, but in
reality we eased our sheets to hasten matters along. When he was
close astern of us, with the wind abeam, we luffed up, got out guns
ready for action in a jiffy and, as we crossed his bows, raked him
fore and aft with our carronades, which were loaded almost to the
muzzle with slugs and nails. Before he could change his course, with
his decks littered with dead and mangled, we came about and gave
him a broadside at close quarters, along with a deadly rifle fire from
the hitherto unseen members of the crew who had been concealed
in the ’tween decks. He replied to this blast with a lot of stink-pots,
only a few of which came aboard and were tossed into the sea
before any ill effects were felt from their nauseating fumes, and a
weak and poorly directed fire from his guns. Taken completely by
surprise and with more than half of their number littering the
reddened deck, the pirates were panic-stricken. Before they could
regain their senses we came about again and gave them another
broadside which took all the fight out of them, if there had been any
left, and put them at our mercy. As we ranged alongside, keeping up
a rifle fire but disdaining any further use of our guns, they managed
to launch a couple of boats and all who could get into them pulled for
the nearest island. When we threw our grappling irons and hauled in
on them the few survivors who had strength enough left to get to the
rail threw themselves overboard and swam for it. The first man
aboard of the junk had one of his legs almost severed by the wicked
sword of a badly wounded Chinaman, and after that bit of
fiendishness our men lost no time in making sure that the rest of
them were really dead. We took out of the junk fully one hundred
thousand dollars’ worth of specie, silk, tea, porcelain, and drugs and
then set fire to her, leaving her to bury her own dead.
After that easily won victory we trapped and sank half a dozen proas
and feluccas in the same way, though with more spirited resistance
in some cases, for we were so anxious to get things to going that we
threw off our mask before we had them at such close quarters as we
got the junk. We had two men killed in these engagements and a
dozen more or less seriously injured. Norton sustained an ugly cut
on the leg that sent him to the hospital and I got a slash on the arm
that gave me considerable trouble for a few days. In only one
instance did a ship get away from us and that was when two proas
attacked us on either side in a dead calm that settled before we
could get steam up. We could not change our position, while they
manœuvred with their long oars and one of them escaped, though
she took a lot of dead with her. We got nothing from them to speak of
but there was excitement in extenso and we gloried in it. Norton had
not overdrawn the picture of the adventurous China Sea.
We had turned our cargo over to the “Florence,” along with a number
of wounded men, and were back among the islands, though outside
of the regular course of sailing ships, when early one evening a full-
rigged ship hove in sight. She passed us but was not more than six
miles away when we saw flashes that told us she had been attacked.
We had our fires banked, for it was just at the break of the monsoon
when the weather is variable and the winds uncertain, so we lost no
time in going to her assistance. As we closed in we saw a Malay
felucca on each side of her and the pirates swarming on her decks,
with the crew putting up a brave fight. Running the “Leckwith” up on
her starboard quarter, we threw our men aboard of her and they
went at the pirates savagely from the rear. I led the boarding party
for it looked as though it would be one of the kind of fights that I
never would miss. In those days I was young, athletic, and vigorous
and I had rather have a fight with death at one end of it than anything
else. No matter where I went, or what the odds against us, I knew
the men of the “Leckwith” would be at my heels, for a braver set of
dare-devils never lived.
The Malays outnumbered us more than two to one, but we went at
them with a fury that was new to them, and were slowly forcing them
back toward their one good boat—we had smashed the other one to
bits when we slammed alongside—when a beautiful white yacht
came tearing up on the port quarter and sent three boatloads of men
to our assistance in such smart style that I took her to be a gunboat,
though the quick glance I took at her showed her lines to be
unusually fine for a warship. Her party clambered over the bows
under command of a stockily built young officer wearing what looked
like the uniform of a naval captain, and we had the pirates between
us. I understood later, when I learned who and what they were, why
these reinforcements, instead of discouraging the Malays, caused
them to fight with renewed desperation. But they could not withstand
our combined rush and the last of them soon went over the side into
their proa, which drifted away into the darkness when they cut her
loose. However, in the last few minutes of fighting the young British
officer, as I took him to be, sustained a savage cut in his right
shoulder, and after we had laid aside our dead and given our
wounded rough attention I was surprised to receive an inquiry from
him as to whether we had a surgeon on board. I replied that I was a
surgeon and, taking him aboard the “Leckwith,” dressed his wound
on the cabin table. I then saw that his uniform was that of a captain,
but not of a naval officer. He told me his name was Deverell but
when I asked him the name of his ship he answered evasively, and I
had learned the ways of the China Sea too well to press the
question.
“Your wound is rather a bad one,” I told him, “and is likely to require
further attention. I am simply loafing and expect to be cruising in this
neighborhood for some time, even though it does seem to be pretty
thick with pirates. I will be glad to have you call on me if I can be of
any service to you.”
He mystified me still more when he replied: “We know you, Doctor,
and will know where to find you if it becomes necessary to take
further advantage of your kindness.”
I had not time just then to think much about the strange incident, for
the fight had been a bloody one and there were many men who
needed attention. We had six men killed and there were fully twenty-
five more with injuries of some sort. When I came to look myself over
I found that one bullet had grazed the top of my head and another
my chest, while the right shoulder of my jacket had been sliced off by
a cut that, had it been properly placed, would have taken my arm
with it. My only injury was a trifling flesh wound on my leg. Had I
been less of a fatalist narrow escapes of that kind, to which I grew
accustomed, might have affected my nerves, but instead they were
only entertaining. It interested me, in every fight, to see just how
close I had come to being killed, knowing full well that death could
not add my name to the list until my time came, and that then there
would be no way of avoiding it.

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Dirichlet Forms and Related Topics In

Honor of Masatoshi Fukushima s Beiju

Dirichlet Forms and Symmetric Markov Processes

Euro Par 2022 Parallel Processing 28th International

Advances in Information and Computer Security 17th

Research Papers in Statistical Inference for Time

Selected Collected Works Volume 1 Nonparametric Methods

Excursions in Harmonic Analysis, Volume 6: In Honor of

Topological Insulator and Related Topics 1st Edition Lu

Relativistic Quantum Mechanics and Related Topics 1st

Dirichlet Forms and Related

ISSN 2194-1009 ISSN 2194-1017 (electronic)

Mathematics Subject Classification: 60HXX, 31C25, 60JXX, 31E05

quasi-homeomorphism φ is a symmetric Hunt process on E associated with the

The Hunt process X = {X t , t ≥ 0; Px , x ∈ E} generated by a regular Dirichlet

Seattle, USA Zhen-Qing Chen

2. Z.-Q. Chen, Z. M. Ma and M. Röckner, Quasi-homeomorphisms of Dirichlet forms. Nagoya

Research Papers (English)

[R14] Local property of Dirichlet forms and continuity of sample paths, Z.

[R30] Markov processes and functional analysis, in Proc. International Math.

[R46] On two classes of smooth measures for symmetric Markov processes, in

[R61] Construction and decomposition of reflecting diffusions on Lipschitz

[R78] On regular Dirichlet subspaces of H 1 (I ) and associated linear diffusions

[R95] Stochastic Komatu-Loewner evolution and BMD domain constant (with

[E10] A brief survey on stochastic calculus in Markov processes, RIMS Kôkyûroku,

Seminar on Probability (in Japanese)

Monographs and Textbooks

Markov Uniqueness and Fokker-Planck-Kolmogorov Equations . . . . . . . 1

Singularity of Energy Measures on a Class of Inhomogeneous

Infinite Particle Systems with Hard-Core and Long-Range

Sergio Albeverio, Vladimir I. Bogachev, and Michael Röckner

Keywords Dirichlet frorm · Dirichlet operator · Fokker-Planck-Kolmogorov

1 Introduction and Framework

L : D(L) ⊂ L p (m) → L p (m)

with their usual partial order defined by

where D(L) is a linear subspace of L p , called domain of L, and

(L) := {(u, Lu) ∈ L p × L p : u ∈ D(L)}

is the graph of L. In particular, we shall consider those L which generate a (unique)

sup (L 0 u, u)2 ||u||−2

Define Msym := Msym (L 0 , D0 ) to be the set of all linear operators L : D(L) ⊂

2 The Main Idea and a Parabolic Condition for Uniqueness

For a set F of real-valued functions on E and T ∈ (0, ∞) we define F,T to be the

[0, T ] × E (t, x) → f (t)ϕ(x) =: ( f ⊗ ϕ)(t, x),

where ϕ ∈ F and f ∈ C 1 ([0, T ]; R) with f (T ) = 0.

[cf. (1.1)]. Then for all ϕ ∈ D0∗ , u ∈ L p and t ≥ 0 we have

(2.1) [equivalently (2.2)] means that μt = Tt L u · m, u ∈ L p , t ≥ 0, solves the FPKE

(where as usual # is an abbreviation for cardinality).

Then M(L ∗0 , D0∗ ) contains at most one element.

hence for μt := Tt L u m and for all f ⊗ ϕ ∈ D0,T , T ∈ (0, ∞) we have

i.e., μt , t ≥ 0, solves the FPKE corresponding to (L 0 , D0 ).

Then Msym (L 0 , D0 ) consists of exactly one element.

Then Msym,M (L 0 , D0 ) consists of at most one element. If the semigroup generated

hence for all T ∈ (0, ∞), f ⊗ ϕ ∈ D0,T

Now the following result is obvious.

Proof of Proposition 2.4 Since Kζ is convex, we have that νt := 21 μt + 21 μ̃t , t ≥ 0,

μt dt = gνt dt, μ̃t dt = g̃νt dt (2.11)

for some g, g̃ ∈ L ∞ ([0, T ] × E, νt dt).

Hence by (2.10) this implies that g = g̃ and the assertion follows.

3 Some Uniqueness Results for FPKEs

3.1 Fokker-Planck-Kolmogorov Equations

L 0 ϕ = a i j ∂xi ∂x j ϕ + bi ∂xi ϕ + cϕ, ϕ ∈ D0 := C0∞ (Rd ), (3.1)

where we use Einstein’s summation convention, ∂xi := ∂∂xi , 1 ≤ i ≤ d, a i j , bi ,

γ (U ) · I ≤ A(t, x) ≤ M(U ) · I ∀ (t, x) ∈ [0, T ] × Rd ,

where I denotes the d × d identity matrix.

Clearly, if ν = 0, by dividing by ν(Rd ), we may assume, without loss of generality