In this paper, we study pseudo-rotations of the open annulus, \emph{i.e.} conservative homeomorphisms of the open annulus whose rotation set is reduced to a single irrational number (the angle of the pseudo-rotation). We prove in particular that, for every pseudo-rotation $h$ of angle $ρ$, the rigid rotation of angle $ρ$ is in the closure of the conjugacy class of $h$. We also prove that pseudo-rotations are not persistent in $C^r$ topology for any $r\geq 0$.
Consider a homeomorphism h of the closed annulus S^1*[0,1], isotopic to the identity, such that the rotation set of h is reduced to a single irrational number alpha (we say that h is an irrational pseudo-rotation). For every positive integer n, we prove that there exists a simple arc gamma joining one of the boundary component of the annulus to the other one, such that gamma is disjoint from its n first iterates under h. As a corollary, we obtain that the rigid rotation of angle alpha can be approximated by homeomorphisms conjugate to h. The first result stated above is an analog of a theorem …
This paper studies homeomorphisms of the closed annulus that are isotopic to the identity from the viewpoint of rotation theory, using a newly developed forcing theory for surface homeomorphisms. Our first result is a solution to the so called strong form of Boyland's Conjecture on the closed annulus: Assume $f$ is a homeomorphism of $\overline{\mathbb{A}}:=(\mathbb{R}/\mathbb{Z})\times [0,1]$ which is isotopic to the identity and preserves a Borel probability measure $μ$ with full support. We prove that if the rotation set of $f$ is a non-trivial segment, then the rotation number of the measu…
We consider holomorphic maps defined in an annulus around $\mathbb R/\mathbb Z$ in $\mathbb C/\mathbb Z$. E. Risler proved that in a generic analytic family of such maps $f_ζ$ that contains a Brjuno rotation $f_0(z)=z+α$, all maps that are conjugate to this rotation form a codimension-1 analytic submanifold near $f_0$. In this paper, we obtain the Risler's result as a corollary of the following construction. We introduce a renormalization operator on the space of univalent maps in a neighborhood of $\mathbb R/\mathbb Z$. We prove that this operator is hyperbolic, with one unstable direction co…
Let $M$ be an $m$-dimensional differentiable manifold with a nontrivial circle action ${\mathcal S}= {\lbrace S_t \rbrace}_{t \in\RR}, S_{t+1}=S_t$, preserving a smooth volume $μ$. For any Liouville number $\a$ we construct a sequence of area-preserving diffeomorphisms $H_n$ such that the sequence $H_n\circ S_\a\circ H_n^{-1}$ converges to a smooth weak mixing diffeomorphism of $M$. The method is a quantitative version of the approximation by conjugations construction introduced in \cite{AK}. For $m=2$ and $M$ equal to the unit disc $\DD^2=\{x^2+y^2\leq 1\}$ or the closed annulus $\AAA=\TT\tim…
We prove a generalization of the Poincaré-Birkhoff theorem for the open annulus showing that if a homeomorphism satisfies a certain twist condition and the nonwandering set is connected, then there is a fixed point. Our main focus is the study of bounded homeomorphisms of the open annulus. We prove a fixed point theorem for bounded homeomorphisms and study the special case of those homeomorphisms possessing at most one fixed point. Lastly we use the existence of rational rotation numbers to prove the existence of periodic orbits.
Let $f$ be a homeomorphism of the closed annulus $A$ that preserves orientation, boundary components and that has a lift $\tilde f$ to the infinite strip $\tilde A$ which is transitive. We show that, if the rotation number of both boundary components of $A$ is strictly positive, then there exists a closed nonempty connected set $Γ\subset\tilde A$ such that $Γ\subset]-\infty,0]\times[0,1]$, $Γ$ is unlimited, the projection of $Γ$ to $A$ is dense, $Γ-(1,0)\subsetΓ$ and $\tilde{f}(Γ)\subset Γ.$ Also, if $p_1$ is the projection in the first coordinate in $\tilde A$, then there exists $d>0$ such th…
Translation and rotation numbers have played an interesting and important role in the qualitative description of various dynamical systems. In this exposition we are especially interested in applications which lead to proofs of periodic motions in various kinds of dynamics on the annulus. The applications include billiards and geodesic flows. Going beyond this simple qualitative invariant in the study of the dynamics of area preserving annulus maps, G.D. Birkhoff was led to the concept of ``regions of instability'' for twist maps. We discuss the closely related notion of instability sets for a…
We consider the classical problem of area-preserving maps on annulus $\mathbb{A} = S^1 \times [0, 1]$ . Let $\mathcal{M}_f$ be the set of all invariant probability measures of an area-preserving, orientation preserving diffeomorphism $f$ on $\mathbb{A}$. Given any $μ_1$ and $μ_2$ in $\mathcal{M}_f$, Franks \cite{Franks1988}\cite{Franks1992}, generalizing Poincaré's last geometric theorem (Birkhoff \cite{Birkhoff1913}), showed that if their rotation numbers are different, then $f$ has infinitely many periodic orbits. In this paper, we show that if $μ_1$ and $μ_2$ have different actions, even if…
For any irrational number $α$, there exists an ergodic area preserving homeomorphism of the closed annulus which is isotopic to the identitity, admits no compact invariant set contained in the interior of the annulus, and has the rotation number $α$.
In this article we consider homeomorphisms of the open annulus $\mathbb{A}=\mathbb{R}/\mathbb{Z}\times \mathbb{R}$ which are isotopic to the identity and preserve a Borel probability measure of full support, focusing on the existence of non-contractible periodic orbits. Assume $f$ such homeomorphism such that the connected components of the set of fixed points of $f$ are all compact. Further assume that there exists $\check{f}$ a lift of $f$ to the universal covering of $\mathbb{A}$ such that the set of fixed points of $\check{f}$ is non-empty and that this set projects into an open topologica…
Let $Homeo\_0 (R 2 ; 0)$ be the set of all homeomorphisms of the plane isotopic to the identity and which fix 0. Recently in the article entitled "L'ensemble de rotation local autour d'un point fixe" Fr{é}d{é}ric Le Roux gave the definition of the local rotation set of an isotopy in $Homeo\_0 (R 2 ; 0)$ from the identity to a homeomorphism f and he asked if this set is always an interval. In this article we give a positive answers to this question and to the analogous question in the case of the open annulus.
Let $f$ be a homeomorphism of the closed annulus $A$ isotopic to the identity, and let $X\subset {\rm Int}A$ be an $f$-invariant continuum which separates $A$ into two domains, the upper domain $U_+$ and the lower domain $U_-$. Fixing a lift of $f$ to the universal cover of $A$, one defines the rotation set $\tilde ρ(X)$ of $X$ by means of the invariant probabilities on $X$, as well as the prime end rotation number $\checkρ_\pm$ of $U_\pm$. The purpose of this paper is to show that $\checkρ_\pm$ belongs to $\tildeρ(X)$ for any separating invariant continuum $X$.
Shadowing trajectories are model trajectories consistent with a sequence of observations of a system, given a distribution of observational noise. The existence of such trajectories is a desirable property of any forecast model. Gradient descent of indeterminism is a well-established technique for finding shadowing trajectories in low-dimensional analytical systems. Here we apply it to the thermally-driven rotating annulus, a laboratory experiment intermediate in model complexity and physical idealisation between analytical systems and global, comprehensive atmospheric models. We work in the p…
In the context of the Franks-Misiurewicz Conjecture, we study homeomorphisms of the two-torus semiconjugate to an irrational rotation of the circle. As a special case, this conjecture asserts uniqueness of the rotation vector in this class of systems. We first characterise these maps by the existence of an invariant foliation by essential annular continua (essential subcontinua of the torus whose complement is an open annulus) which are permuted with irrational combinatorics. This result places the considered class close to skew products over irrational rotations. Generalising a well-known res…
We prove that if an area-preserving homeomorphism of the torus in the homotopy class of the identity has a rotation set which is a nondegenerate vertical segment containing the origin, then there exists an essential invariant annulus. In particular, some lift to the universal covering has uniformly bounded displacement in the horizontal direction.
Let $f$ be a homeomorphism of the closed annulus $A$ isotopic to the identity, and let $X\subset {\rm Int}A$ be an $f$-invariant continuum which separates $A$ into two domains, the upper domain $U_+$ and the lower domain $U_-$. Fixing a lift of $f$ to the universal cover of $A$, one defines the rotation set $\tilde ρ(X)$ of $X$ by means of the invariant probabilities on $X$. For any rational number $p/q\in \tildeρ(X)$, $f$ is shown to admit a $p/q$ periodic point in $X$, provided that (1) $X$ consists of nonwandering points or (2) $X$ is an attractor and the frontiers of $U_-$ and $U_+$ coinci…
We prove that the Calabi invariant of a $C^1$ pseudo-rotation of the unit disk, that coincides with a rotation on the unit circle, is equal to its rotation number. This result has been shown some years ago by Michael Hutchings (under very slightly stronger hypothesis). While the original proof used Embedded Contact Homology techniques, the proof of this article uses generating functions and the dynamics of the induced gradient flow.
We develop a technique, pseudo-suspension, that applies to invariant sets of homeomorphisms of a class of annulus homeomorphisms we describe, Handel-Anosov-Katok (HAK) homeomorphisms, that generalize the homeomorphism first described by Handel. Given a HAK homeomorphism and a homeomorphism of the Cantor set, the pseudo-suspension yields a homeomorphism of a new space that admits a homeomorphism that combines features of both of the original homeomorphisms. This allows us to answer a well known open question by providing examples of hereditarily indecomposable continua that admit homeomorphisms…
We prove that any minimal $2$-torus homeomorphism which is isotopic to the identity and whose rotation set is not just a point exhibits uniformly bounded rotational deviations on the perpendicular direction to the rotation set. As a consequence of this, we show that any such homeomorphism is topologically mixing and we prove Franks-Misiurewicz conjecture under the assumption of minimality.
This article deals with directional rotational deviations for non-wandering periodic point free homeomorphisms of the 2-torus which are homotopic to the identity. We prove that under mild assumptions, such a homeomorphism exhibits uniformly bounded rotational deviations in some direction if and only it leaves invariant a pseudo-foliation, a notion which is a slight generalization of classical one-dimensional foliations. To get these results, we introduce a novel object called $\tildeρ$-centralized skew-product and their associated stable sets at infinity.
We show that under certain boundedness condition, a $C^{r}$ conservative irrational pseudo-rotations on $\mathbb{T}^2$ with a generic rotation vector is $C^{r-1}$-rigid. We also obtain $C^0$-rigidity for Hölder pseudo-rotations with similar properties. These provide a partial generalisation of the main results in [B. Bramham, Invent. Math. (2015), no. 2, 561-580; A. Avila, B. Fayad, P. Le Calvez, D. Xu and Z. Zhang, arXiv: 1509.06906v1]. We then use these results to study conservative irrational pseudo-rotations on $\mathbb{T}^2$ with a generic rotation vector that is semi-conjugate to a trans…
Non-rigid disk pseudo-rotations in $C^1$ and $C^{1,β}$
Shanghai Institute for Mathematics and Interdisciplinary Sciences（上海数学与交叉学科研究院）；Fudan University（复旦大学）；Nankai University（南开大学）；Shandong University（山东大学）
In this work we develop a new criterion for the existence of topological horseshoes for surface homeomorphisms in the isotopy class of the identity. Based on our previous work on forcing theory, this new criterion is purely topological and can be expressed in terms of equivariant Brouwer foliations and transverse trajectories. We then apply this new tool in the study of the dynamics of homeomorphisms of surfaces with zero genus and null topological entropy and we obtain several applications. For homeomorphisms of the open annulus $\mathbb{A}$ with zero topological entropy, we show that rotatio…
A rational pseudo-rotation $f$ of the torus is a homeomorphism homotopic to the identity with a rotation set consisting of a single vector $v$ of rational coordinates. We give a classification for rational pseudo-rotations with an invariant measure of full support, in terms of the deviations from the constant rotation $x\mapsto x+v$ in the universal covering. For the simpler case that $v=(0,0)$, it states that either every orbit by the lifted dynamics is bounded, or the displacement in some rational direction is uniformly bounded (implying that the dynamics is annular) or the set of fixed poin…
Continuing the study of Hamiltonian pseudo-rotations of projective spaces, we focus on the conjecture that the fixed-point data set (the actions and the linearized flows at one-periodic orbits) of a pseudo-rotation exactly matches that data for a suitable unique true rotation even though the two maps can have very different dynamics. We prove this conjecture in several instances, e.g., for strongly non-degenerate pseudo-rotations of ${{\mathbb C}{\mathbb P}}^2$ with some notable exceptions, which we call ghost pseudo-rotations. The existence of ghost pseudo-rotations is a completely open quest…
We prove a variant of the Chance-McDuff conjecture for pseudo-rotations: under certain additional conditions, a closed symplectic manifold which admits a Hamiltonian pseudo-rotation must have deformed quantum product and, in particular, some non-zero Gromov-Witten invariants. The only assumptions on the manifold are that it is weakly monotone and that its minimal Chern number is greater than one. The conditions on the pseudo-rotation are expressed in terms of the linearized flow at one of the fixed points and hypothetically satisfied for most (but not all) pseudo-rotations.
We prove the strong $C^\infty$ closing property, as formulated by Irie, for a class of Hamiltonian diffeomorphisms which includes all pseudo-rotations of projective spaces as well as all Anosov-Katok pseudo-rotations.
We prove that every $C^\infty$-smooth, area preserving diffeomorphism of the closed 2-disk having not more than one periodic point is the uniform limit of periodic $C^\infty$-smooth diffeomorphisms. In particular every smooth irrational pseudo-rotation can be $C^0$-approximated by integrable systems. This partially answers a long standing question of A. Katok regarding zero entropy Hamiltonian systems in low dimensions. Our approach uses pseudoholomorphic curve techniques from symplectic geometry.
In this note we prove that if a closed monotone symplectic manifold admits a Hamiltonian pseudo-rotation, which may be degenerate, then the quantum Steenrod square of the cohomology class Poincaré dual to the point must be deformed. This result gives restrictions on the existence of pseudo-rotations, implying a form of uniruledness by pseudo-holomorphic spheres, and generalizes a recent result of the author. The new component in the proof consists in an elementary calculation with capped periodic orbits.
This paper studies homeomorphisms of surfaces isotopic to the identity by means of purely topological methods and Brouwer theory. The main development is a novel theory of orbit forcing using maximal isotopies and transverse foliations. This allows us to derive new proofs for some known results as well as some new applications, among which we note the following: we extend Franks and Handel's classification of zero entropy maps of $S^2$ for non-wandering homeomorphisms; we show that if $f$ is a Hamiltonian homeomorphism of the annulus, then the rotation set of $f$ is either a singleton or it co…
It is an open question in smooth ergodic theory whether there exists a Hamiltonian disk map with zero topological entropy and (strong) mixing dynamics. Weak mixing has been known since Anosov and Katok first constructed examples in 1970. Currently all known examples with weak mixing are irrational pseudo-rotations with Liouvillean rotation number on the boundary. Our main result however implies that for a dense subset of Liouville numbers (strong) mixing cannot occur. Our approach involves approximating the flow of a suspension of the given disk map by pseudoholomorphic curves. Ellipticity of …
We prove that toric symplectic manifolds admit Hamiltonian pseudo-rotations with a finite, and in a sense minimal, number of ergodic measures. The set of ergodic measures of these pseudo-rotations consists of the measure induced by the symplectic volume form and the Dirac measures supported at the fixed points of the torus action. Our construction relies on the conjugation method of Anosov and Katok.
In this note we prove that if a closed monotone symplectic manifold $M$ of dimension $2n,$ satisfying a homological condition that holds in particular when the minimal Chern number is $N>n,$ admits a Hamiltonian pseudo-rotation, then the quantum Steenrod square of the point class must be deformed. This gives restrictions on the existence of pseudo-rotations. Our methods rest on previous work of the author, Zhao, and Wilkins, going back to the equivariant pair-of-pants product-isomorphism of Seidel.
In the context of symplectic dynamics, pseudo-rotations are Hamiltonian diffeomorphisms with finite and minimal possible number of periodic orbits. These maps are of interest in both dynamics and symplectic topology. We show that a closed, monotone symplectic manifold, which admits a non-degenerate pseudo-rotation, must have a deformed quantum Steenrod square of the top degree element, and hence non-trivial holomorphic spheres. This result (partially) generalizes a recent work by Shelukhin and complements the results by the authors on non-vanishing Gromov-Witten invariants of manifolds admitti…
The main theme of the paper is the dynamics of Hamiltonian diffeomorphisms of ${\mathbb C}{\mathbb P}^n$ with the minimal possible number of periodic points (equal to $n+1$ by Arnold's conjecture), called here Hamiltonian pseudo-rotations. We prove several results on the dynamics of pseudo-rotations going beyond periodic orbits, using Floer theoretical methods. One of these results is the existence of invariant sets in arbitrarily small punctured neighborhoods of the fixed points, partially extending a theorem of Le Calvez and Yoccoz and Franks to higher dimensions. The other is a strong varia…
We prove that a real analytic pseudo-rotation $f$ of the disc or the sphere is never topologically mixing. When the rotation number of $f$ is of Brjuno type, the latter follows from a KAM theorem of Rüssmann on the stability of real analytic elliptic fixed points. In the non-Brjuno case, we prove that a pseudo-rotation of class $C^k$, $k\geq 2$, is $C^{k-1}$-rigid using the simple observation, derived from Franks' Lemma on free discs, that a pseudo-rotation with small rotation number compared to its $C^1$ (or Hölder) norm must be close to Identity. From our result and a structure theorem by Fr…
A conservative irrational pseudo-rotation of the two-torus is semi-conjugate to the irrational rotation if and only if it has the property of bounded mean motion [10]. (Here 'irrational pseudo-rotation' means a toral homeomorphism with uniquely defined, totally irrational rotation vector.) The aim of this note is to explore this concept some further. For instance, we provide an example which shows that the preceding statement does not hold in the non-conservative case. Further, we collect a number of observations concerning the case where the bounded mean motion property fails. In particular, …
We build an irrational pseudo-rotation of the 2-torus which is semiconjugate to an irrational rotation of the circle in such a way that all the fibres of the semi-conjugacy are pseudo-circles. The proof uses the well-known `fast-approximation method' introduced by Anosov and Katok.
In [Hut16], Hutchings uses embedded contact homology to show the following for area-preserving disc diffeomorphisms that are a rotation near the boundary of the disc: If the asymptotic mean action on the boundary is greater than the Calabi invariant, then the infimum of the mean action of the periodic points is less than or equal to the Calabi invariant. In this article, we extend this to all area-preserving disc diffeomorphisms. Our strategy is to extend the diffeomorphism to a larger disc with nice properties and apply Hutchings' theorem. As an application, we show that the Calabi invariant …
Using pseudoholomorphic curves techniques from symplectic geometry, Barney Bramham proved recently that every smooth irrational pseudo-rotation of the unit disk is the limit, for the $C^0$ topology, of a sequence of smooth periodic diffeomorphisms. We give here a finite dimensional proof of this result that works in the case where the pseudo-rotation is smoothly conjugate to a rotation on the boundary circle. The proof extends to $C^1$ pseudo rotations and is based on the dynamical study of the gradient flow associated to a generating family of functions given by Chaperon's broken geodesics me…
The main goal of this paper is to study topological and measure-theoretic properties of an intriguing family of strange planar attractors. Building towards these results, we first show that any generic Lebesgue measure preserving map $f$ generates the pseudo-arc as inverse limit with $f$ as a single bonding map. These maps can be realized as attractors of disc homeomorphisms in such a way that the attractors vary continuously (in Hausdorff distance on the disc) with the change of bonding map as a parameter. Furthermore, for generic Lebesgue measure preserving maps $f$ the background Oxtoby-Ula…
