In this paper, we construct the spectral expansion for the one dimensional non-self-adjoint Dirac operator L(Q) with a complex-valued periodic matrix potential Q. To this end, we study in detail asymptotic formulas for the Bloch eigenvalues and Bloch functions that are uniform with respect to the complex quasimomentum, as well as the essential spectral singularities of L(Q).
The necessary and sufficient conditions are given for a sequence of complex numbers to be the periodic (or antiperiodic) spectrum of non-self-adjoint Dirac operator.
We consider the direct and inverse spectral problems for Dirac operators on $(0,1)$ with matrix-valued potentials whose entries belong to $L_p(0,1)$, $p\in[1,\infty)$. We give a complete description of the spectral data (eigenvalues and suitably introduced norming matrices) for the operators under consideration and suggest a method for reconstructing the potential from the corresponding spectral data.
The paper deals with the Dirac operator generated on the finite interval $[0,π]$ by the differential expression $-B\mathbf{y}'+Q(x)\mathbf{y}$, where $$ B=\begin{pmatrix}0&1\\-1&0\end{pmatrix},\qquad Q(x)=\begin{pmatrix}q_1(x)&q_2(x)\\q_3(x)&q_4(x)\end{pmatrix}, $$ and the entries $q_j(x)$ belong to~$L_p[0,π]$ for some $p\geqslant 1$. The classes of regular and strongly regular operators of this form are defined, depending on the boundary conditions. The asymptotic formulas for the eigenvalues and eigenfunctions of such operators are obtained with remainders depending on~$p$. It it is proved t…
The principal objective in this paper is a new inverse approach to general Dirac-type systems modeled after B. Simon's 1999 inverse approach to half-line Schrödinger operators. In particular, we derive the so-called A-equation associated to Dirac-type systems and, given a fundamental positivity condition, we prove that this integro-differential equation for A is uniquely solvable. We show how to recover the matrix-valued potential coefficient from A. This approach is also applicable to matrix-valued Schrödinger operators on a half-line.
Let $g(z,x)$ denote the diagonal Green's matrix of a self-adjoint $m\times m$ matrix-valued Schrödinger operator $H= -\f{d^2}{dx^2}I_m +Q(x)$ in $L^2 (\bbR)^{m}$, $m\in\bbN$. One of the principal results proven in this paper states that for a fixed $x_0\in\bbR$ and all $z\in\bbC_+$, $g(z,x_0)$ and $g^\prime (z,x_0)$ uniquely determine the matrix-valued $m\times m$ potential $Q(x)$ for a.e.~$x\in\bbR$. We also prove the following local version of this result. Let $g_j(z,x)$, $j=1,2$ be the diagonal Green's matrices of the self-adjoint Schrödinger operators $H_j=-\f{d^2}{dx^2}I_m +Q_j(x)$ in $L^…
A perturbation decaying to 0 at infinity and not too irregular at 0 introduces at most a discrete set of eigenvalues into the spectral gaps of a one-dimensional Dirac operator on the half-line. We show that the number of these eigenvalues in a compact subset of a gap in the essential spectrum is given by a quasi-semiclassical asymptotic formula in the slow-decay limit, which for power-decaying perturbations is equivalent to the large-coupling limit. This asymptotic behaviour elucidates the origin of the dense point spectrum observed in spherically symmetric, radially periodic three-dimensional…
We prove that limit-periodic Dirac operators generically have spectra of zero Lebesgue measure and that a dense set of them have spectra of zero Hausdorff dimension. The proof combines ideas of Avila from a Schrödinger setting with a new commutation argument for generating open spectral gaps. This overcomes an obstacle previously observed in the literature; namely, in Schrödinger-type settings, translation of the spectral measure corresponds to small $L^\infty$-perturbations of the operator data, but this is not true for Dirac or CMV operators. The new argument is much more model-independent. …
We show that spectral problems for periodic operators on lattices with embedded defects of lower dimensions can be solved with the help of matrix-valued integral continued fractions. While these continued fractions are usual in the approximation theory, they are less known in the context of spectral problems. We show that the spectral points can be expressed as zeroes of determinants of the continued fractions. They are also useful in the study of inverse problems (one-to-one correspondence between spectral data and defects). Finally, the explicit formula for the resolvent in terms of the cont…
We prove the Bari-Markus property for spectral projectors of non-self-adjoint Dirac operators on a finite interval with square-integrable matrix-valued potentials and some separated boundary conditions.
A generalized two-dimensional periodic Dirac operator is considered, with $L^{\infty}$-matrix-valued coefficients of the first order derivatives and with complex matrix-valued potential. It is proved that if the matrix-valued potential has zero bound relative to the free Dirac operator, then the spectrum of the operator in question contains no eigenvalues.
Borg-type uniqueness theorems for matrix-valued Jacobi operators H and supersymmetric Dirac difference operators D are proved. More precisely, assuming reflectionless matrix coefficients A, B in the self-adjoint Jacobi operator H=AS^+ + A^-S^- + B (with S^\pm the right/left shift operators on the lattice Z) and the spectrum of H to be a compact interval [E_-,E_+], E_- < E_+, we prove that A and B are certain multiples of the identity matrix. An analogous result which, however, displays a certain novel nonuniqueness feature, is proved for supersymmetric self-adjoint Dirac difference operators D…
We consider the Dirac operator with a periodic potential on the half-line with the Dirichlet boundary condition at zero. Its spectrum consists of an absolutely continuous part plus at most one eigenvalue in each open gap. The Dirac resolvent admits a meromorphic continuation onto a two-sheeted Riemann surface with a unique simple pole on each open gap: on the first sheet (an eigenvalue) or on the second sheet (a resonance). These poles are called states and there are no other poles. If the potential is shifted by real parameter t, then the continuous spectrum does not change but the states can…
Spectral problem for the Dirac operator with regular but not strongly regular boundary conditions and complex-valued potential summable over a finite interval is considered. The purpose of this paper is to find conditions under which the root function system forms a usual Riesz basis rather than a Riesz basis with parentheses.
We prove a generalization of the well-known theorems by Borg and Hochstadt for periodic self-adjoint Schrödinger operators without a spectral gap, respectively, one gap in their spectrum, in the matrix-valued context. Our extension of the theorems of Borg and Hochstadt replaces the periodicity condition of the potential by the more general property of being reflectionless (the resulting potentials then automatically turn out to be periodic and we recover Després' matrix version of Borg's result). In addition, we assume the spectra to have uniform maximum multiplicity (a condition automatically…
We consider the Dirac system on the interval $[0,1]$ with a spectral parameter $μ\in\mathbb{C}$ and a complex-valued potential with entries from $L_p[0,1]$, where $1\leq p <2$. We study the asymptotic behavior of its solutions in a stripe $|{\rm Im}\,μ|\le d$ for $μ\to \infty$. These results allows us to obtain sharp asymptotic formulas for eigenvalues and eigenfunctions of Sturm--Liouville operators associated with the aforementioned Dirac system.
We consider a certain class of Herglotz-Nevanlinna matrix-valued functions which can be realized as the Weyl-Titchmarsh matrix-valued function of some symmetric operator and its self-adjoint extension. New properties of Weyl -Titchmarsh matrix-valued functions as well as a new version of the functional model in such realizations are presented. In the case of periodic Herglotz-Nevanlinna matrix-valued functions we provide a complete characterization of their realizations in terms of the corresponding functional model. We also obtain properties of a symmetric operator and its self-adjoint extens…
For the periodic matrix-valued Jacobi operator $J$ we obtain the estimate of the Lebesgue measure of the spectrum $|\s(J)|\le4 \min_n\Tr(a_na_n^*)^\frac12$, where $a_n$ are off-diagonal elements of $J$. Moreover estimates of width of spectral bands are obtained.
For 1D Dirac operators Ly= i J y' + v y, where J is a diagonal 2x2 matrix with entrees 1,-1 and v(x) is an off-diagonal matrix with L^2 [0,π]-entrees P(x), Q(x) we characterize the class X of pi-periodic potentials v such that: (i) the smoothness of potentials v is determined only by the rate of decay of related spectral gaps gamma (n) = | λ(n,+) - λ(n,-)|, where λ(..) are the eigenvalues of L=L(v) considered on [0,π] with periodic (for even n) or antiperiodic (for odd n) boundary conditions (bc); (ii) there is a Riesz basis which consists of periodic (or antiperiodic) eigenfunctions and (at m…
The one-dimensional Dirac operator with periodic potential $V=\begin{pmatrix} 0 & \mathcal{P}(x) \\ \mathcal{Q}(x) & 0 \end{pmatrix}$, where $\mathcal{P},\mathcal{Q}\in L^2([0,π])$ subject to periodic, antiperiodic or a general strictly regular boundary condition $(bc)$ has discrete spectrums. It is known that, for large enough $|n|$ in the disc centered at $n$ of radius 1/4, the operator has exactly two (periodic if $n$ is even or antiperiodic if $n$ is odd) eigenvalues $λ_n^+$ and $λ_n^-$ (counted according to multiplicity) and one eigenvalue $μ_n^{bc}$ corresponding to the boundary conditio…
In this paper we investigate the spectrum and spectrality of the one-dimensional Schrodinger operator with a periodic PT-symmetric complex-valued potential.
We consider the first order periodic systems perturbed by a $2N\ts 2N$ matrix-valued periodic potential on the real line. The spectrum of this operator is absolutely continuous and consists of intervals separated by gaps. We define the Lyapunov function, which is analytic on an associated N-sheeted Riemann surface. On each sheet the Lyapunov function has the standard properties of the Lyapunov function for the scalar case. The Lyapunov function has branch points, which we call resonances. We prove the existence of real or complex resonances. We determine the asymptotics of the periodic, anti-p…
In this paper we investigate the spectral expansion for the asymptotically spectral differential operators generated in all real line by ordinary differential expression of arbitrary order with periodic matrix-valued coefficients
We consider periodic matrix-valued Jacobi operators. The spectrum of this operator is absolutely continuous and consists of intervals separated by gaps. We define the Lyapunov function, which is analytic on an associated Riemann surface. On each sheet the Lyapunov function has the standard properties of the Lyapunov function for the scalar case. We show that this function has (real or complex) branch points, which we call resonances. We prove that there exist two types of gaps: i) stable gaps, i.e., the endpoints are periodic and anti-periodic eigenvalues, ii) unstable (resonance) gaps, i.e., …
In this paper, for d > 2, we prove the absolute continuity of the spectrum of a d-dimensional periodic Dirac operator with some discontinuous magnetic and electric potentials. In particular, for d = 3, electric potentials from Zygmund classes $L^3\ln ^{1+δ}L(K)$, $δ>0$, and also ones with Coulomb singularities, with constraints on charges depending on the magnetic potential, are admitted (here K is the fundamental domain of the period lattice).
One of the main tools used to understand both qualitative and quantitative spectral behaviour of periodic and almost periodic Schrödinger operators is the method of gauge transform. In this paper, we extend this method to an abstract setting, thus allowing for greater flexibility in its applications that include, among others, matrix-valued operators. In particular, we obtain asymptotic expansions for the density of states of certain almost periodic systems of elliptic operators, including systems of Dirac type. We also prove that a range of periodic systems including the two-dimensional Dirac…
The absolute continuity of the spectrum for the periodic Dirac operator $$ \hat D=\sum_{j=1}^n(-i\frac {\partial}{\partial x_j}-A_j)\hat α_j + \hat V^{(0)}+\hat V^{(1)}, x\in R^n, n\geq 3, $$ is proved given that either $A\in C(R^n;R^n)\cap H^q_{loc}(R^n;R^n)$, 2q > n-2, or the Fourier series of the vector potential $A:R^n\to R^n$ is absolutely convergent. Here, $\hat V^{(s)}=(\hat V^{(s)})^*$ are continuous matrix functions and $\hat V^{(s)}\hat α_j=(-1}^s\hat α_j\hat V^{(s)}$ for all anticommuting Hermitian matrices $\hat α_j$, $\hat α_j^2=\hat I$, s=0,1.
We consider the self-adjoint Dirac operators on a finite interval with summable matrix-valued potentials and general boundary conditions. For such operators, we study the inverse problem of reconstructing the potential and the boundary conditions of the operator from its eigenvalues and suitably defined norming matrices.
We prove Lieb-Thirring-type bounds for fractional Schrödinger operators and Dirac operators with complex-valued potentials. The main new ingredient is a resolvent bound in Schatten spaces for the unperturbed operator, in the spirit of Frank and Sabin.
The paper analyses the decay of any zero modes that might exist for a massless Dirac operator $H:= \ba \cdot (1/i) \bgrad + Q, $ where $Q$ is $4 \times 4$-matrix-valued and of order $O(|\x|^{-1})$ at infinity. The approach is based on inversion with respect to the unit sphere in $\R^3$ and establishing embedding theorems for Dirac-Sobolev spaces of spinors $f$ which are such that $f$ and $Hf$ lie in $(L^p(\R^3))^4, 1\le p<\infty.$
We study discrete Schrödinger operators $H$ with periodic potentials as they are typically used to approximate aperiodic Schrödinger operators like the Fibonacci Hamiltonian. We prove an efficient test for applicability of the finite section method, a procedure that approximates $H$ by growing finite square submatrices $H_n$. For integer-valued potentials, we show that the finite section method is applicable as soon as $H$ is invertible. This statement remains true for $\{0, λ\}$-valued potentials with fixed rational $λ$ and period less than nine as well as for arbitrary real-valued potentials…
Dirac operators on periodic planar graphs: the right definition advocated by flat bands
The Open University of Japan（日本开放大学）；Departamento de Matemática, Facultad de Ciencias, Universidad del Bío-Bío（比奥比奥大学理学院数学系）；Institute for Liberal Arts and Sciences & Graduate School of Mathematics, Nagoya University（名古屋大学人文学部与研究生院数学研究院）
Schrödinger operators with periodic (possibly complex-valued) potentials and discrete periodic operators (possibly with complex-valued entries) are considered, and in both cases the computational spectral problem is investigated: namely, under what conditions can a "one-size-fits-all" algorithm for computing their spectra be devised? It is shown that for periodic banded matrices this can be done, as well as for Schrödinger operators with periodic potentials that are sufficiently smooth. In both cases implementable algorithms are provided, along with examples. For certain Schrödinger operators …
Quantitative Landis-type result for Dirac operators
BCAM – Basque Center for Applied Mathematics（巴斯克应用数学中心）；Ikerbasque, Basque Foundation for Science（伊克拉巴斯科，巴斯克科学基金会）；Universidad del País Vasco / Euskal Herriko Unibertsitatea（巴斯克大学）
In this note we prove that the maximally defined operator associated with a class of Dirac-type differential expressions M(Q) is J-self-adjoint with respect to a proper antilinear conjugation J under the general hypothesis that the entries of the matrix potential coefficient Q are locally integrable on the real line. The Dirac-type differential expression M(Q) is of significance as it appears in the Lax formulation of the nonabelian (matrix-valued) focusing nonlinear Schrödinger hierarchy of evolution equations.
Depending on the behaviour of the complex-valued electromagnetic potential in the neighbourhood of infinity, pseudomodes of one-dimensional Dirac operators corresponding to large pseudoeigenvalues are constructed. This is a first systematic non-semi-classical approach, which results in substantial progress in achieving optimal conditions and conclusions as well as in covering a wide class of previously inaccessible potentials, including superexponential ones.
By developing the method of multipliers, we establish sufficient conditions on the magnetic field and the complex, matrix-valued electric potential, which guarantee that the corresponding system of Schrödinger operators has no point spectrum. In particular, this allows us to prove analogous results for Pauli operators under the same electromagnetic conditions and, in turn, as a consequence of the supersymmetric structure, also for magnetic Dirac operators.
We prove a sharp Hardy-type inequality for the Dirac operator. We exploit this inequality to obtain spectral properties of the Dirac operator perturbed with Hermitian matrix-valued potentials $\mathbf V$ of Coulomb type: we characterise its eigenvalues in terms of the Birman-Schwinger principle and we bound its discrete spectrum from below, showing that the \emph{ground-state energy} is reached if and only if $\mathbf V$ verifies some {rigidity} conditions. In the particular case of an electrostatic potential, these imply that $\mathbf V$ is the Coulomb potential.
