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Hyperbolicity of the maximal invariant set of a transverse plug gluing, given one metric, uniqueness, C¹ time-t maps and the flow properties

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AnosovPlugs.plugGluing_hyperbolic_of_pieces_of_flowProperty

by ebayuser · Oct 4, 2026 · Mathlib 0df444a (Lean v4.33.1)

3-manifoldsanosov-flowsdynamical-systemshyperbolic-dynamics

Let (U,X)(U,X)(U,X) and (V,Y)(V,Y)(V,Y) be plugs: compact Hausdorff smooth 3-manifolds with boundary carrying nonsingular C¹ vector fields transverse to the boundary. Let Tout⊆∂outUT^{out}\subseteq\partial^{out}UTout⊆∂outU and Tin⊆∂inVT^{in}\subseteq\partial^{in}VTin⊆∂inV be unions of connected components of the exit and entrance boundaries, and let φ:Tout→Tin\varphi:T^{out}\to T^{in}φ:Tout→Tin be a C¹ diffeomorphism (the mission's IsBoundaryDiffeo). Let (W,Z,iU,iV)(W,Z,i_U,i_V)(W,Z,iU​,iV​) be a plug gluing (the mission's IsPlugGluing): WWW is a compact Hausdorff smooth 3-manifold with boundary, iU:U→Wi_U:U\to WiU​:U→W and iV:V→Wi_V:V\to WiV​:V→W are C¹ embeddings with injective derivatives whose images cover WWW and meet exactly along the seam iU(x)=iV(φ(x))i_U(x)=i_V(\varphi(x))iU​(x)=iV​(φ(x)), x∈Toutx\in T^{out}x∈Tout, and ZZZ is the vector field on WWW with Z∘iU=DiU∘XZ\circ i_U=Di_U\circ XZ∘iU​=DiU​∘X and Z∘iV=DiV∘YZ\circ i_V=Di_V\circ YZ∘iV​=DiV​∘Y. The field ZZZ is not assumed to be C¹. Assume in addition that (U,X)(U,X)(U,X) and (V,Y)(V,Y)(V,Y) are hyperbolic plugs (their maximal invariant sets ΛX\Lambda_XΛX​, ΛY\Lambda_YΛY​ are hyperbolic sets), and that the gluing is transverse: at every point p∈φ(LXu∩Tout)∩LYsp\in\varphi(L^u_X\cap T^{out})\cap L^s_Yp∈φ(LXu​∩Tout)∩LYs​ the pushed exit leaf φ∗(leaf of LXu)\varphi_*(\text{leaf of } L^u_X)φ∗​(leaf of LXu​) and the entrance leaf of LYsL^s_YLYs​ through ppp are transverse curves in ∂V\partial V∂V (the mission's CurvesTransverseAt), where LXuL^u_XLXu​ and LYsL^s_YLYs​ are the exit and entrance laminations. A set Λ⊆M\Lambda\subseteq MΛ⊆M of a 3-manifold MMM is a hyperbolic set of a vector field FFF on MMM (the mission's IsHyperbolicSet F Λ) if there are a continuous Riemannian metric ggg, line fields EsE^sEs, EuE^uEu on Λ\LambdaΛ and constants C>0C>0C>0, λ>0\lambda>0λ>0 such that at every x∈Λx\in\Lambdax∈Λ: Exs⊕RF(x)⊕Exu=TxME^s_x\oplus\mathbb R F(x)\oplus E^u_x=T_xMExs​⊕RF(x)⊕Exu​=Tx​M, the two line fields are invariant under the derivatives of the time-ttt maps ϕt\phi_tϕt​ of the flow of FFF for all t∈Rt\in\mathbb Rt∈R, and ∥Dϕt(v)∥g≤Ce−λt∥v∥g\|D\phi_t(v)\|_g\le C e^{-\lambda t}\|v\|_g∥Dϕt​(v)∥g​≤Ce−λt∥v∥g​ for v∈Exsv\in E^s_xv∈Exs​, t≥0t\ge0t≥0, and ∥Dϕ−t(v)∥g≤Ce−λt∥v∥g\|D\phi_{-t}(v)\|_g\le C e^{-\lambda t}\|v\|_g∥Dϕ−t​(v)∥g​≤Ce−λt∥v∥g​ for v∈Exuv\in E^u_xv∈Exu​, t≥0t\ge0t≥0. The time-ttt map is the mission's flowMap F t, which sends xxx to γ(t)\gamma(t)γ(t) for a chosen integral curve γ\gammaγ of FFF on [0,t][0,t][0,t] with γ(0)=x\gamma(0)=xγ(0)=x when one exists, and to xxx otherwise. We write ϕtZ\phi^Z_tϕtZ​ for the time-ttt map of ZZZ, the mission's flowMap Z t: it sends yyy to γ(t)\gamma(t)γ(t) for a chosen integral curve γ\gammaγ of ZZZ on [0,t][0,t][0,t] with γ(0)=y\gamma(0)=yγ(0)=y when one exists (the mission's FlowDefined Z y t), and to yyy otherwise. Assume the maximal invariant set of ZZZ is described (the hypothesis hΛ, proved in the mission as plugGluing_maxInvSet_subset and plugGluing_maxInvSet_superset):

ΛZ=iU(ΛX) ∪ iV(ΛY) ∪ {points of complete Z-orbits through iU(x), x∈LXu∩Tout, φ(x)∈LYs}.\Lambda_Z = i_U(\Lambda_X)\ \cup\ i_V(\Lambda_Y)\ \cup\ \{\text{points of complete } Z\text{-orbits through } i_U(x),\ x\in L^u_X\cap T^{out},\ \varphi(x)\in L^s_Y\}.ΛZ​=iU​(ΛX​) ∪ iV​(ΛY​) ∪ {points of complete Z-orbits through iU​(x), x∈LXu​∩Tout, φ(x)∈LYs​}.

Assume further the following. Each is the conclusion of another mission theorem, applied to the data above:

  1. (one metric for both pieces) a continuous Riemannian metric ggg on WWW together with line fields and constants, separately for each piece, that make iU(ΛX)i_U(\Lambda_X)iU​(ΛX​) and iV(ΛY)i_V(\Lambda_Y)iV​(ΛY​) hyperbolic sets of ZZZ with respect to this same ggg (isHyperbolicSet_of_metric applied to plugGluing_pieces_hyperbolic);
  2. (uniqueness) integral curves of ZZZ on [0,t][0,t][0,t] are determined by their starting point, for every ttt (plugGluing_integralCurveOn_unique);
  3. (C¹ time-ttt maps) for every point www of the maximal invariant set ΛZ\Lambda_ZΛZ​ (the points that lie on an integral curve of ZZZ defined for all times), www is an interior point of WWW, and for every t∈Rt\in\mathbb Rt∈R there is an open neighbourhood OOO of www such that the orbit of every y∈Oy\in Oy∈O is defined on [0,t][0,t][0,t] and ϕtZ\phi^Z_tϕtZ​ is of class C¹ on OOO (plugGluing_flowMap_contMDiffOn);
  4. (flow properties) for every w∈ΛZw\in\Lambda_Zw∈ΛZ​: ϕtZ(w)∈ΛZ\phi^Z_t(w)\in\Lambda_ZϕtZ​(w)∈ΛZ​; ϕtZ(ϕsZ(w))=ϕs+tZ(w)\phi^Z_t(\phi^Z_s(w))=\phi^Z_{s+t}(w)ϕtZ​(ϕsZ​(w))=ϕs+tZ​(w); Dϕ0Z(w)=idD\phi^Z_0(w)=\mathrm{id}Dϕ0Z​(w)=id; Dϕs+tZ(w)=DϕtZ(ϕsZ(w))∘DϕsZ(w)D\phi^Z_{s+t}(w)=D\phi^Z_t(\phi^Z_s(w))\circ D\phi^Z_s(w)Dϕs+tZ​(w)=DϕtZ​(ϕsZ​(w))∘DϕsZ​(w); DϕtZ(w)Z(w)=Z(ϕtZ(w))D\phi^Z_t(w)Z(w)=Z(\phi^Z_t(w))DϕtZ​(w)Z(w)=Z(ϕtZ​(w)) (flowMap_flowProperty_of_regularity);
  5. (invariant pieces) ϕtZ(iU(ΛX))⊆iU(ΛX)\phi^Z_t(i_U(\Lambda_X))\subseteq i_U(\Lambda_X)ϕtZ​(iU​(ΛX​))⊆iU​(ΛX​) and ϕtZ(iV(ΛY))⊆iV(ΛY)\phi^Z_t(i_V(\Lambda_Y))\subseteq i_V(\Lambda_Y)ϕtZ​(iV​(ΛY​))⊆iV​(ΛY​) for all ttt (plugGluing_pieces_flowMap_invariant).

Then the whole maximal invariant set is hyperbolic:

ΛZ is a hyperbolic set of Z.\Lambda_Z \text{ is a hyperbolic set of } Z.ΛZ​ is a hyperbolic set of Z.

In words: this is the fifth sentence of the paper's proof of Proposition 1.1, which says that, by a classical consequence of the hyperbolic theory, the orbit of φ∗(LXu)∩LYs\varphi_*(L^u_X)\cap L^s_Yφ∗​(LXu​)∩LYs​ inherits a hyperbolic structure, with the paper's description of the bundles at a connecting point y∈Tiny\in T^{in}y∈Tin: the stable bundle is R Y(y)⊕TyLYs\mathbb R\,Y(y)\oplus T_yL^s_YRY(y)⊕Ty​LYs​ and the unstable bundle is R φ∗X(y)⊕Tyφ∗(LXu)\mathbb R\,\varphi_*X(y)\oplus T_y\varphi_*(L^u_X)Rφ∗​X(y)⊕Ty​φ∗​(LXu​), pushed into WWW by DiVDi_VDiV​.

Formalization Note This theorem is plugGluing_hyperbolic_of_pieces_of_regularity with two added hypotheses, each the verbatim conclusion of a mission theorem (hypotheses 4 and 5). The flow properties of flowMap Z and the invariance of the pieces are now hypotheses. The transport of the derivative of flowMap Z through the seam, by the derivatives of iUi_UiU​, φ\varphiφ and iVi_ViV​, is still inside this theorem. Two classical theorems remain to be proved inside this theorem, and Mathlib (at the pinned version) has neither. The first is the stable manifold theorem for the hyperbolic sets ΛX\Lambda_XΛX​ and ΛY\Lambda_YΛY​: the points whose forward orbit stays in VVV carry a contracted line field, and a C¹ curve inside a leaf of LYsL^s_YLYs​ is tangent to the sum of this line and the direction of the field; without it, the transversality hypothesis on the leaves gives no information on the bundles. The second is the extension of hyperbolicity over transverse heteroclinic orbits (cone fields near the two pieces, their transport along the connecting orbits, uniform constants). The paper's description of the bundles at connecting points is not asserted, because IsHyperbolicSet is existential in the bundles. The field ZZZ is not assumed C¹; the time-ttt map flowMap Z t is junk-valued where no integral curve exists.

Preamble
import Mathlib
import Definitions.Def_AnosovPlugs_Gluing

open scoped Manifold ContDiff Topology
open Set
Formal statement
namespace AnosovPlugs

theorem plugGluing_hyperbolic_of_pieces_of_flowProperty
    {U : Type} [TopologicalSpace U] [ChartedSpace (EuclideanHalfSpace 3) U]
    [IsManifold I3 ∞ U] [T2Space U] [CompactSpace U]
    {V : Type} [TopologicalSpace V] [ChartedSpace (EuclideanHalfSpace 3) V]
    [IsManifold I3 ∞ V] [T2Space V] [CompactSpace V]
    {W : Type} [TopologicalSpace W] [ChartedSpace (EuclideanHalfSpace 3) W]
    [IsManifold I3 ∞ W] [T2Space W] [CompactSpace W]
    (X : (x : U) → TangentSpace I3 x) (Y : (y : V) → TangentSpace I3 y)
    (hX : IsHyperbolicPlug X) (hY : IsHyperbolicPlug Y)
    (Tout : Set U) (Tin : Set V) (hTout : IsUnionOfComponents Tout (outBoundary X))
    (hTin : IsUnionOfComponents Tin (inBoundary Y)) (φ : U → V)
    (hφ : IsBoundaryDiffeo φ Tout Tin)
    (htransv : ∀ p ∈ φ '' (exitLamination X ∩ Tout) ∩ entranceLamination Y,
      CurvesTransverseAt (pushLeaf φ Tout (exitLeaf X) p) (entranceLeaf Y p) p)
    (Z : (w : W) → TangentSpace I3 w) (iU : U → W) (iV : V → W)
    (hglue : IsPlugGluing X Y Tout φ Z iU iV)
    (hΛ : maxInvSet Z = iU '' maxInvSet X ∪ iV '' maxInvSet Y ∪
      {w | ∃ x ∈ exitLamination X ∩ Tout, φ x ∈ entranceLamination Y ∧
        ∃ γ : ℝ → W, γ 0 = iU x ∧ IsMIntegralCurve γ Z ∧ w ∈ range γ})
    (g : RiemannianMetric3 W)
    (hU : ∃ (Es Eu : (x : W) → Submodule ℝ (TangentSpace I3 x)) (C lam : ℝ), 0 < C ∧ 0 < lam ∧
          ∀ x ∈ iU '' maxInvSet X,
            Module.finrank ℝ (Es x) = 1 ∧ Module.finrank ℝ (Eu x) = 1 ∧
            Es x ⊔ Submodule.span ℝ {Z x} ⊔ Eu x = ⊤ ∧
            (∀ t : ℝ, (Es x).map (mfderiv I3 I3 (flowMap Z t) x).toLinearMap = Es (flowMap Z t x)) ∧
            (∀ t : ℝ, (Eu x).map (mfderiv I3 I3 (flowMap Z t) x).toLinearMap = Eu (flowMap Z t x)) ∧
            (∀ t : ℝ, 0 ≤ t → ∀ v ∈ Es x,
              g.norm (flowMap Z t x) (mfderiv I3 I3 (flowMap Z t) x v)
                ≤ C * Real.exp (-lam * t) * g.norm x v) ∧
            (∀ t : ℝ, 0 ≤ t → ∀ v ∈ Eu x,
              g.norm (flowMap Z (-t) x) (mfderiv I3 I3 (flowMap Z (-t)) x v)
                ≤ C * Real.exp (-lam * t) * g.norm x v))
    (hV : ∃ (Es Eu : (x : W) → Submodule ℝ (TangentSpace I3 x)) (C lam : ℝ), 0 < C ∧ 0 < lam ∧
          ∀ x ∈ iV '' maxInvSet Y,
            Module.finrank ℝ (Es x) = 1 ∧ Module.finrank ℝ (Eu x) = 1 ∧
            Es x ⊔ Submodule.span ℝ {Z x} ⊔ Eu x = ⊤ ∧
            (∀ t : ℝ, (Es x).map (mfderiv I3 I3 (flowMap Z t) x).toLinearMap = Es (flowMap Z t x)) ∧
            (∀ t : ℝ, (Eu x).map (mfderiv I3 I3 (flowMap Z t) x).toLinearMap = Eu (flowMap Z t x)) ∧
            (∀ t : ℝ, 0 ≤ t → ∀ v ∈ Es x,
              g.norm (flowMap Z t x) (mfderiv I3 I3 (flowMap Z t) x v)
                ≤ C * Real.exp (-lam * t) * g.norm x v) ∧
            (∀ t : ℝ, 0 ≤ t → ∀ v ∈ Eu x,
              g.norm (flowMap Z (-t) x) (mfderiv I3 I3 (flowMap Z (-t)) x v)
                ≤ C * Real.exp (-lam * t) * g.norm x v))
    (huniq : ∀ (γ γ' : ℝ → W) (t : ℝ), IsMIntegralCurveOn γ Z (uIcc 0 t) → IsMIntegralCurveOn γ' Z (uIcc 0 t) →
            γ' 0 = γ 0 → ∀ s ∈ uIcc 0 t, γ' s = γ s)
    (hreg : ∀ w ∈ maxInvSet Z, I3.IsInteriorPoint w ∧ ∀ t : ℝ, ∃ O : Set W, IsOpen O ∧ w ∈ O ∧
        (∀ y ∈ O, FlowDefined Z y t) ∧ ContMDiffOn I3 I3 1 (flowMap Z t) O)
    (hflow : ∀ w ∈ maxInvSet Z,
        (∀ t : ℝ, flowMap Z t w ∈ maxInvSet Z) ∧
        (∀ s t : ℝ, flowMap Z t (flowMap Z s w) = flowMap Z (s + t) w) ∧
        (∀ v : TangentSpace I3 w, mfderiv I3 I3 (flowMap Z 0) w v = v) ∧
        (∀ (s t : ℝ) (v : TangentSpace I3 w), mfderiv I3 I3 (flowMap Z (s + t)) w v =
          mfderiv I3 I3 (flowMap Z t) (flowMap Z s w) (mfderiv I3 I3 (flowMap Z s) w v)) ∧
        (∀ t : ℝ, mfderiv I3 I3 (flowMap Z t) w (Z w) = Z (flowMap Z t w)))
    (hinv : (∀ w ∈ iU '' maxInvSet X, ∀ t : ℝ, flowMap Z t w ∈ iU '' maxInvSet X) ∧
      (∀ w ∈ iV '' maxInvSet Y, ∀ t : ℝ, flowMap Z t w ∈ iV '' maxInvSet Y)) :
    IsHyperbolicSet Z (maxInvSet Z) := by sorry

end AnosovPlugs
Source
F. Béguin, C. Bonatti, B. Yu, *Building Anosov flows on 3-manifolds*, Geom. Topol. 21 (2017) 1837–1930, https://doi.org/10.2140/gt.2017.21.1837 (arXiv:1408.3951v1). Proof of Proposition 1.1, fifth sentence (arXiv v1 Section 3.1, p. 14): the Z-orbit of φ_*(L^u_X) ∩ L^s_Y inherits a hyperbolic structure, 'a classical consequence of the hyperbolic theory' in the paper's words. Mission notions: IsHyperbolicSet, IsPlugGluing, CurvesTransverseAt, pushLeaf, exitLeaf, entranceLeaf, maxInvSet, flowMap; companion theorems isHyperbolicSet_of_metric, plugGluing_integralCurveOn_unique, plugGluing_flowMap_contMDiffOn, flowMap_flowProperty_of_regularity, plugGluing_pieces_flowMap_invariant.

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