The topology of Stein surfaces and contact 3-manifolds is studied by means of handle decompositions. A simple characterization of homeomorphism types of Stein surfaces is obtained --- they correspond to open handlebodies with all handles of index lessthan or = 2. An uncountable collection of exotic R^4's is shown to admit Stein structures. New invariants of contact 3-manifolds are produced, including a complete (and computable) set of invariants for determining the homotopy class of a 2-plane field on a 3-manifold. These invariants are applicable to Seiberg-Witten theory. Several families of oriented 3-manifolds are examined, namely the Seifert fibered spaces and all surgeries on various links in S^3, and in each case it is seen that ``most'' members of the family are the oriented boundaries of Stein surfaces.
An open subset U of a complex surface can be topologically perturbed to yield an open subset whose inherited complex structure is Stein, if and only if U is homeomorphic to the interior of a handlebody whose handles all have index equal or less than 2.
From any 4-dimensional oriented handlebody X without 3- and 4-handles and with b_2>0, we construct arbitrary many compact Stein 4-manifolds which are mutually homeomorphic but not diffeomorphic to each other, so that their topological invariants (their fundamental groups, homology groups, boundary homology groups, and intersection forms) coincide with those of X. We also discuss the induced contact structures on their boundaries. Furthermore, for any smooth 4-manifold pair (Z,Y) such that the complement Z-intY is a handlebody without 3- and 4-handles and with b_2>0, we construct arbitrary many…
We show that there exist infinitely many simply connected compact Stein 4-manifolds with b_2=2 such that they are all homeomorhic but mutually non-diffeomorphic, and they are Stein fillings of the same contact 3-manifold on their boundaries. We also describe their handlebody pictures.
Let $\F$ be a compact surface and let $I$ be the unit interval. This paper gives a standard form for all 2-sided incompressible surfaces in the 3-manifold $\F \times I$. Since $\F \times I$ is a handlebody when $\F$ has boundary, this standard form applies to incompressible surfaces in a handlebody.
In this paper, we describe the relation between the study of closed connected surfaces embedded in $S^3$ and the theory of handlebody-knots. By Fox's theorem, a pair of handlebody-knots is associated to a closed connected surface embedded in $S^3$ in the sense that their exterior components are pairwise homeomorphic. We show that for every handlebody-knot pair associated to a genus two "prime bi-knotted" surface, one is irreducible, and the other is reducible. Furthermore, for given two genus two handlebody-knots $H_1$ and $H_2$ satisfying certain conditions, we will construct a "prime bi-knot…
There are many studies about twisted Alexander invariants for knots and links, but calculations of twisted Alexander invariants for spatial graphs, handlebody-knots, and surface-links have not been demonstrated well. In this paper, we give some remarks to calculate the twisted Alexander ideals for spatial graphs, handlebody-knots and surface-links, and observe their behaviors. For spatial graphs, we calculate the invariants of Suzuki's theta-curves and show that the invariants are nontrivial for Suzuki's theta-curves whose Alexander ideals are trivial. For handlebody-knots, we give a remark on…
In this paper, we consider decompositions of closed orientable 3-manifolds with more than 3 handlebodies, where the union of intersections of handlebodies is a multibranched surface. We define stabilization operations for such decompositions and show the stable equivalence.
We prove the existence of homeomorphisms of a closed, orientable surface of genus 3 or greater that do not extend to any handlebody bounded by the surface. We show that such homeomorphisms exist arbitrarily deep in the Johnson filtration of the mapping class group. The second and third terms of the Johnson filtration are the well-known Torelli group and Johnson subgroup, respectively. Richard Hain has obtained very similar results by different methods.
We provide a classification of the essential surfaces of non-negative Euler characteristic in the exteriors of genus two handlebodies embedded in the 3-sphere.
We prove that every continuous map from a Stein manifold X to a complex manifold Y can be made holomorphic by a homotopic deformation of both the map and the Stein structure on X. In the absence of topological obstructions the holomorphic map may be chosen to have pointwise maximal rank. The analogous result holds for any compact Hausdorff family of maps, but it fails in general for a noncompact family. Our main results are actually proved for smooth almost complex source manifolds (X,J) with the correct handlebody structure. The paper contains another proof of Eliashberg's (Int J Math 1:29--4…
In 1998, Gompf described a Stein domain structure on the disk cotangent bundle of any closed surface S, by a Legendrian handlebody diagram. We prove that Gompf's Stein domain is symplectomorphic to the disk cotangent bundle equipped with its canonical symplectic structure and the boundary of this domain is contactomorphic to the unit cotangent bundle of S equipped with its canonical contact structure. As a corollary, we obtain a surgery diagram for the canonical contact structure on the unit cotangent bundle of S.
We prove that the handlebody subgroup of the Torelli group of an orientable surface is generated by genus one BP-maps. As an application, we give a normal generating set for the handlebody subgroup of the level $d$ mapping class group of an orientable surface.
In the curve complex for a surface, a handlebody set is the set of loops that bound properly embedded disks in a given handlebody bounded by the surface. A boundary set is the set of non-separating loops in the curve complex that bound two-sided, properly embedded surfaces. For a Heegaard splitting, the distance between the boundary sets of the handlebodies is zero if and only if the ambient manifold contains a non-separating, two sided incompressible surface. We show that the boundary set is 2-dense in the curve complex, i.e. every vertex is within two edges of a point in the boundary set.
A complex of incompressible surfaces in a handlebody is constructed so that it contains, as a subcomplex, the complex of curves of the boundary of the handlebody. For genus 2 handlebodies, the group of automorphisms of this complex is used to characterize the mapping class group of the handlebody. In particular, it is shown that all automorphisms of the complex of incompressible surfaces are geometric, that is, induced by a homeomorphism of the handlebody.
The main theorem of this paper generalizes recent results in Dehn surgery to the case of handlebody attachment. We consider attaching handlebodies and solid tori to the boundary of an irreducible, boundary-irreducible, atoroidal and acylindrical 3-manifold. We show that for a large class of homeomorphisms attaching these handlebodies, the fundamental group of the resulting manifold contains the fundamental group of a closed surface of genus at least two.
The main results of the paper is that we give a characteristics for an annulus sum and a once-punctured torus sum of two handlebodies to be a handlebody as follows: 1. The annulus sum $H=H_1\cup_A H_2$ of two handlebodies $H_1$ and $H_2$ is a handlebody if and only if the core curve of $A$ is a longitude for either $H_1$ or $H_2$. 2. Let $H=H_1\cup_T H_2$ be a surface sum of two handlebodies $H_1$ and $H_2$ along a once-punctured torus $T$. Suppose that $T$ is incompressible in both $H_1$ and $H_2$. Then $H$ is a handlebody if and only if the there exists a collection $\{δ, σ\}$ of simple clos…
We consider the hyperelliptic handlebody group on a closed surface of genus $g$. This is the subgroup of the mapping class group on a closed surface of genus $g$ consisting of isotopy classes of homeomorphisms on the surface that commute with some fixed hyperelliptic involution and that extend to homeomorphisms on the handlebody. We prove that the logarithm of the minimal dilatation (i.e, the minimal entropy) of all pseudo-Anosov elements in the hyperelliptic handlebody group of genus $g$ is comparable to $1/g$. This means that the asymptotic behavior of the minimal pseudo-Anosov dilatation of…
We show that if $M$ is a closed three manifold with a Heegaard splitting with sufficiently big "handlebody distance" then the subgroup of the mapping class group of the Heegaard surface, which extend to both handlebodies is finite. As a corollary, this implies that under the same hypothesis, the mapping class group of $M$ is finite.
A unified summary is given of the existence theory of Stein manifolds in all dimensions, based on published and pending literature. Eliashberg's characterization of manifolds admitting Stein structures requires an extra delicate hypothesis in complex dimension 2, which can be eliminated by passing to the topological setting and invoking Freedman theory. The situation is quite similar if one asks which open subsets of a fixed complex manifold can be made Stein by an isotopy. As an application of these theorems, one can construct uncountably many diffeomorphism types of exotic R^4's realized as …
For two generator free Fuchsian groups, the quotient three manifold is a genus two solid handlebody and its boundary is a hyperelliptic Riemann surface. The convex core is also a hyperelliptic Riemann surface. We find the Weierstrass points of both of these surfaces. We then generalize the notion of a hyperelliptic Riemann surface to a ``hyperelliptic'' three manifold. We show that the handlebody has a unique order two isometry fixing six unique geodesic line segments, which we call the {\sl Weierstrass lines} of the handlebody. The Weierstrass lines are, of course, the analogue of the Weierst…
In this paper we study isotopy classes of closed connected orientable surfaces in the standard $3$-sphere. Such a surface splits the $3$-sphere into two compact connected submanifolds, and by using their Heegaard splittings, we obtain a $2$-component handlebody-link. In this paper, we first show that the equivalence class of such a 2-component handlebody-link up to attaching trivial $1$-handles can recover the original surface. Therefore, we can reduce the study of surfaces in the $3$-sphere to that of $2$-component handlebody-links up to stabilizations. Then, by using $G$-families of quandles…
We study the existence of incompressible embeddings of surfaces into the genus two handlebody. We show that for every compact surface with boundary, orientable or not, there is an incompressible embedding of the surface into the genus two handlebody. In the orientable case the embedding can be either separating or non-separating. We also consider the case in which the genus two handlebody is replaced by an orientable 3-manifold with a compressible boundary component of genus greater than or equal to two.
The E_8-manifold has several natural framed link descriptions, and we give an efficient method (via `grapes') for showing that they are indeed the same 4-manifold. This leads to explicit handle pictures for the perturbation of singular fibers in an elliptic surface to a collection of fishtails. In the same vein, we show how the degeneration of a regular fiber to a singular fiber in an elliptic surface provides rich examples of Gromov's compactness theorem.
The Johnson-Morita theory for the handlebody group
Graduate School of Mathematical Sciences, University of Tokyo（东京大学大学院数学系研究科）；Université Bourgogne Europe, CNRS, IMB (UMR 5584)（勃艮第欧洲大学，法国国家科学研究中心，IMB（UMR 5584））
For a genus g handlebody H a simplicial complex, with vertices being isotopy classes of certain incompressible surfaces in H, is constructed and several properties are established. In particular, this complex naturally contains, as a subcomplex, the complex of curves of the boundary surface of H. As in the classical theory, the group of automorphisms of this complex is identified with the mapping class group of the handlebody.
Associated to an embedded surface in the $3$-sphere, we construct a diagram of fundamental groups, and prove that it is a complete invariant, wherefrom we deduce complete invariants of handlebody links, tunnels of handlebody links, and spatial graphs.The main ingredients in the proof of the completeness are a generalization of the Kneser conjecture for $3$-manifolds with boundary proved also here, and extensions of Waldhausen's theorem by Evans, Tucker and Swarup. Computable invariants of handlebody links derived therefrom are calculated.
We prove that the Dolgachev surface E(1)_{2,3} admits a handlebody decomposition without 1- and 3- handles, and we draw the explicit picture of this handlebody. We also locate a "cork" inside of E(1)_{2,3}, so that E(1)_{2,3} is obtained from E(1) by twisting along this cork.
In this paper we study embeddings of oriented connected closed surfaces in $\mathbb S^3$. We define a complete invariant, the fundamental span, for such embeddings, generalizing the notion of the peripheral system of a knot group. From the fundamental span, several computable invariants are derived and employed to study handlebody knots, bi-knotted surfaces, and chirality of knots. These invariants are capable to distinguish inequivalent handlebody knots and bi-knotted surfaces with homeomorphic complements. Particularly, we obtain an alternative proof of the inequivalence of Ishii et al.'s ha…
If M is a manifold with compressible boundary, we analyze essential disks in M, as well as incompressible, but not necessarily boundary incompressible, surfaces in M. We are most interested in the case where M is a handlebody or compression body. The analysis depends on a new normal surface theory. We hope the normal surface theory will be used in other papers to describe objects representing limits of essential disks in a handlebody or a 3-manifold with compressible boundary. For certain automorphisms of handlebodies, these disk limits should serve as invariant objects akin to laminations and…
We study exotic smoothings of open 4-manifolds using the minimal genus function and its analog for end homology. While traditional techniques in open 4-manifold smoothing theory give no control of minimal genera, we make progress by using the adjunction inequality for Stein surfaces. Smoothings can be constructed with much more control of these genus functions than the compact setting seems to allow. As an application, we expand the range of 4-manifolds known to have exotic smoothings (up to diffeomorphism). For example, every 2-handlebody interior (possibly infinite or nonorientable) has an e…
Here we study two interesting smooth contractible manifolds, whose boundaries have non-trivial mapping class groups. The first one is a non-Stein contractible manifold, such that every self diffeomorphism of its boundary extends inside; implying that this manifold can not be a loose cork. The second example is a Stein contractible manifold which is a cork, with an interesting cork automorphism $f:\partial W \to \partial W$. By \cite{am} we know that any homotopy $4$-sphere is obtained gluing together two contractible Stein manifolds along their common boundaries by a diffeomorphism. We use the…
A simple characterization is given of open subsets of a complex surface that smoothly perturb to Stein open subsets. As applications, complex 2-space C^2 contains domains of holomorphy (Stein open subsets) that are exotic R^4's, and others homotopy equivalent to the 2-sphere but cut out by smooth, compact 3-manifolds. Pseudoconvex embeddings of Brieskorn spheres and other 3-manifolds into complex surfaces are constructed, as are pseudoconcave holomorphic fillings (with disagreeing contact and boundary orientations). Pseudoconcave complex structures on Milnor fibers are found. A byproduct of th…
Starting with the Dolgachev surface E(1)_{2,3} we construct an infinite family of distinct exotic copies of the rational surface E(1), each of which admits a handlebody decomposition without 1- and 3- handles, and we draw these handlebodies.
We draw a handlebody picture of the Catanese-Ciliberto-Mendes Lopes surface. This is a complex surface obtained by taking the quotient of a product of two surfaces of genus 2 and 3, under the product of two involutions: the hypergeometric and a fixed point free involution.
We prove that Stein surfaces with boundary coincide up to orientation preserving diffeomorphisms with simple branched coverings of $\B^4$ whose branch set is a positive braided surface. As a consequence, we have that a smooth oriented 3-manifold is Stein fillable iff it has a positive open-book decomposition.
We study the relationship between exotic R^4's and Stein surfaces as it applies to smoothing theory on more general open 4-manifolds. In particular, we construct the first known examples of large exotic R^4's that embed in Stein surfaces. This relies on an extension of Casson's Embedding Theorem for locating Casson handles in closed 4-manifolds. Under sufficiently nice conditions, we show that using these R^4's as end-summands produces uncountably many diffeomorphism types while maintaining independent control over the genus-rank function and the Taylor invariant.
Let S be a compact surface, and M be the double of a handlebody. Given a homotopy class of maps from S to M inducing an isomorphism of fundamental groups, we describe a canonical uniformly lipschitz retraction of the sphere graph of M to the arc graph of S. We also show that this retraction is a uniformly bounded distance from the nearest point projection map.
Given a 4-manifold X and an imbedding of T^{2} x B^2 into X, we describe an algorithm X --> X_{p,q} for drawing the handlebody of the 4-manifold obtained from X by (p,q)-logarithmic transforms along the parallel tori. By using this algorithm, we obtain a simple handle picture of the Dolgachev surface E(1)_{p,q}, from that we deduce that the exotic copy E(1)_{p,q} # 5(-CP^2) of E(1) # 5(-CP^2) differs from the original one by a codimension zero simply connected Stein submanifold M_{p,q}, which are therefore examples of infinitely many Stein manifolds that are exotic copies of each other (rel bo…
Let $\textup{H}_g$ be a genus $g$ handlebody and $\textup{MCG}_{2n}(\textup{T}_g)$ be the group of the isotopy classes of orientation preserving homeomorphisms of $\textup{T}_g=\partial\textup{H}_g$, fixing a given set of $2n$ points. In this paper we find a finite set of generators for $\mathcal{E}_{2n}^g$, the subgroup of $\textup{MCG}_{2n}(\textup{T}_g)$ consisting of the isotopy classes of homeomorphisms of $\textup{T}_g$ admitting an extension to the handlebody and keeping fixed the union of $n$ disjoint properly embedded trivial arcs. This result generalizes a previous one obtained by th…
The existence of a positive allowable Lefschetz fibration on a compact Stein surface with boundary was established by Loi and Piergallini by using branched covering techniques. Here we give an alternative simple proof of this fact and construct explicitly the vanishing cycles of the Lefschetz fibration, obtaining a direct identification of the set of compact Stein manifolds with positive allowable Lefschetz fibrations over a 2-disk. In the process we associate to every compact Stein manifold infinitely many nonequivalent such Lefschetz fibrations.
In this paper we obtain the following results: (1) Any compact Stein surface with boundary embeds naturally into a symplectic Lefschetz fibration over the 2-sphere. (2) There exists a minimal elliptic fibration over the 2-disk, which is not Stein. (3) The circle bundle over a genus n>1 surface with euler number e=-1 admits at least n+1 mutually non-homeomorphic simply-connected Stein fillings. (4) Any surface bundle over the circle, whose fiber is a closed surface of genus n>0 can be embedded into a closed symplectic 4-manifold, splitting the symplectic 4-manifold into two pieces both of which…
In this paper we exhibit infinite families of embedded tori in 4-manifolds that are topologically isotopic but smoothly distinct. The interesting thing about these tori is that they are topologically trivial in the sense that each bounds a topologically embedded solid handlebody. This implies that there are stably ribbon surfaces in 4-manifolds that are not ribbon.
We study the generalization of quasipositive links from the three-sphere to arbitrary closed, orientable three-manifolds. Our main result shows that the boundary of any smooth, properly embedded complex curve in a Stein domain is a quasipositive link. This generalizes a result due to Boileau and Orevkov, and it provides the first half of a topological characterization of links in three-manifolds which bound complex curves in a Stein filling. Our arguments replace pseudoholomorphic curve techniques with a study of characteristic and open book foliations on surfaces in three- and four-manifolds.
The classification of finite group-actions on closed surfaces of small genus is well-known. In the present paper we are interested in the question of which of these group-actions are bounding (extend to a compact 3-manifold with the surface as its unique boundary component, e.g. to a handlebody) or geometrically bounding (extend to a hyperbolic 3-manifold with totally geodesic boundary), concentrating, as a typical case, on large group-actions on surfaces of genus 3.
We show that the action of the Kauffman bracket skein algebra of a surface $Σ$ on the skein module of the handlebody bounded by $Σ$ is faithful if and only if the quantum parameter is not a root of 1.
We provide sufficient conditions assuring that a suitably decorated 2-polyhedron can be thickened to a compact 4-dimensional Stein domain. We also study a class of flat polyhedra in 4-manifolds and find conditions assuring that they admit Stein, compact neighborhoods. We base our calculations on Turaev's shadows suitably "smoothed"; the conditions we find are purely algebraic and combinatorial. Applying our results, we provide examples of hyperbolic 3-manifolds admitting "many" positive and negative Stein fillable contact structures, and prove a 4-dimensional analogue of Oertel's result on inc…
Let X be a Stein manifold, A a closed complex subvariety of X, and f a continuous map from X to a complex manifold Y whose restriction to A is holomorphic. After a homotopic deformation of the Stein structure outside a neighborhood of A in X (and of its smooth structure when X is a Stein surface)we find a holomorphic map from X to Y which agrees with f on A and which is homotopic to f relative to A. The analogous results in the case when the variety A is empty have been obtained in the preprint math.CV/0507212.
