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Massimiliano Berti

Publications and source records attributed to Massimiliano Berti.

At least 19 recordsLinked to original sources

Rogue waves and large deviations for 2D pure gravity deep water waves

Rogue waves are extreme ocean events characterized by the sudden formation of anomalously large crests, and remain an important subject of investigation in oceanography and mathematics. A central problem is to quantify the probability of their formation under random Gaussian sea initial data. In this work, we rigorously characterize the tail-probability for the formation of rogue waves of the pure gravity water wave equations in deep water, the most accurate quasilinear PDE modeling waves in open ocean. This large deviation result rigorously proves various conjectures from the oceanography literature in the weakly nonlinear regime. Moreover, the result holds up to the optimal timescales allowed by deterministic well-posedness theory. The proof shows that rogue waves most likely arise through "dispersive focusing", where phase quasi-synchronization produces constructive amplification of the water crest. The main difficulty in justifying this mechanism is propagating statistical information over such long timescales, which we overcome by combining normal forms and probabilistic methods. Unlike prior work, this novel approach does not require approximate solutions to be Gaussian. Our general method tracks the tail probability of solutions to Hamiltonian PDEs with an integrable normal form and random Gaussian initial data over very long times, even in the absence of (quasi-)invariant measures.

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McLean resonances and $3d$ spectral instability of Stokes waves

The spectral instability of traveling periodic water waves has been investigated for more than sixty years, since the seminal discovery of Benjamin and Feir. Despite an extensive literature, no rigorous theory has been available for arbitrary three-dimensional -- longitudinal and transverse -- perturbations. We establish the first rigorous description of the $3d $ unstable spectrum of small-amplitude gravity Stokes waves in deep water in a full neighborhood of the McLean resonant curves. Our results reveal that the Benjamin-Feir instability and the first longitudinal high-frequency isola originate from the same resonant interaction, hidden in the purely longitudinal setting. The dominant instabilities emerge for Fourier-Bloch parameters near the origin, corresponding to the $3d $ Benjamin-Feir modulational instability. Our approach provides quantitative bounds for the real parts of the unstable eigenvalues and establishes a computable necessary and sufficient criterion for the onset of instability near arbitrary high-frequency McLean curves. These results are enabled by three key innovations: ($i$) a Kato perturbative analysis allowing Lipschitz-type singularities of the linearized operator with respect to the Fourier-Bloch parameters; ($ii$) a polar-analytic KAM-type decoupling isolating the unstable eigenvalue pairs near the origin; and ($iii$) an analytic continuation argument in full neighborhoods of the McLean curves. A primary challenge is to establish fine regularity properties for the Dirichlet-Neumann operator conjugated via the Fourier-Bloch transform.

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Equivariant critical point theory and bifurcation of $3d$ gravity-capillary Stokes waves

We establish novel existence results of $3d$ gravity-capillary periodic traveling waves. In particular we prove the bifurcation of multiple, geometrically distinct truly $3d$ Stokes waves having the same momentum of any non-resonant $2d$ Stokes wave. This unexpected clustering phenomenon of Stokes waves, observed in physical fluids, is a fundamental consequence of the Hamiltonian nature of the water waves equations, their symmetry groups, and novel topological arguments. We employ a variational Lyapunov-Schmidt reduction combined with equivariant Morse-Conley theory for a functional defined on a joined topological space invariant under a $2$-torus action. Although the reduction is a priori singular near the hyperplanes of $2d$-waves, we circumvent this difficulty by exhaustive use of the symmetry groups. This approach yields a complete bifurcation picture of $3d $ gravity-capillary Stokes waves.

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Long time dynamics of space periodic water waves

We review recent advances regarding the long-time dynamics of space-periodic water waves, focusing on 1) bifurcation of quasi-periodic solutions, both standing and traveling; 2) long-time well-posedness results; 3) modulational instability of Stokes waves. These results rely on unconventional approaches to KAM and Birkhoff normal form theories for Hamiltonian quasi-linear PDEs and symplectic Kato perturbation theory for separated eigenvalues of reversible and Hamiltonian operators.

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Infinitely many isolas of modulational instability for Stokes waves

This paper proves long-standing conjectures regarding the existence of infinitely many high-frequency modulational instability ``isolas" for a Stokes wave in arbitrary depth $ \mathtt{h} > 0 $, under longitudinal perturbations. We provide a complete characterization of the unstable spectral bands in the $L^2(\mathbb{R})$-spectrum of the water wave equations linearized around a Stokes wave of sufficiently small amplitude $ε$. The unstable spectrum is the union of isolated ``isolas" of elliptical shape, indexed by integers $ \mathtt{p}\geq 2 $, each with semiaxis of size $ |β_1^{(\mathtt{p})} (\mathtt{h})| ε^\mathtt{p}+ O(ε^{\mathtt{p}+2} )$. As first key achievement, we obtain an explicit formula for the coefficient $ β_1^{(\mathtt{p})} (\mathtt{h}) $ for any $ \mathtt{p} \geq 2 $, that remarkably depends solely on the maximal Taylor-Fourier coefficients of the Stokes wave. We provide simple expressions of the asymptotic expansion of such coefficients in the shallow-water limit $ \mathtt{h} \to 0^+ $, for any $ \mathtt{p} \geq 2 $. This allows to establish that the analytic function $β_1^{(\mathtt{p})}(\mathtt{h})$ is not zero for any $\mathtt{p} \geq 2$, by verifying that a combinatorial sum is not zero; this relies on a crucial combinatorial identity due to Koutschan, van Hoeij, and Zeilberger.

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On higher order isolas of unstable Stokes waves

We overview the recent result [3, Theorem 1.1] about the high-frequency instability of Stokes waves subject to longitudinal perturbations. The spectral bands of unstable eigenvalues away from the origin form a sequence of {\it isolas} parameterized by an integer $ \mathtt{p} \geq 2 $ for any value of the depth $ \mathtt{h} > 0 $ such that an explicit analytic function $β_1^{(\mathtt{p})}(\mathtt{h}) $ is not zero. In [3] it is proved that the map $ \mathtt{h} \mapsto β_1^{(\mathtt{p})}(\mathtt{h}) $ is not identically zero for any $ \mathtt{p} \geq 2 $ by showing that $ \lim_{\mathtt{h} \to 0^+}β_1^{(\mathtt{p})}(\mathtt{h}) = - \infty $. In this manuscript we compute the asymptotic expansion of $β_1^{(\mathtt{p})}(\mathtt{h}) $ in the deep-water limit $ \mathtt{h} \to + \infty $ -- it vanishes exponentially fast to zero -- for $\mathtt{p}=2$, $3$, $4$.

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Zoll magnetic systems on the two-torus: a Nash-Moser construction

We construct an infinite-dimensional family of smooth integrable magnetic systems on the two-torus which are Zoll, meaning that all the unit-speed magnetic geodesics are periodic. The metric and the magnetic field of such systems are arbitrarily close to the flat metric and to a given constant magnetic field. This extends to the magnetic setting a famous result by Guillemin on the two-sphere. We characterize Zoll magnetic systems as zeros of a suitable action functional $S$, and then look for its zeros by means of a Nash-Moser implicit function theorem. This requires showing the right-invertibility of the linearized operator $\mathrm{d} S$ in a neighborhood of the flat metric and constant magnetic field, and establishing tame estimates for the right inverse. As key step we prove the invertibility of the normal operator $\mathrm{d} S\circ \mathrm{d} S^*$ which, unlike in Guillemin's case, is pseudo-differential only at the highest order. We overcome this difficulty noting that, by the asymptotic properties of Bessel functions, the lower order expansion of $\mathrm{d} S \circ \mathrm{d}S^*$ is a sum of Fourier integral operators. We then use a resolvent identity decomposition which reduces the problem to the invertibility of $\mathrm{d} S \circ \mathrm{d} S^*$ restricted to the subspace of functions corresponding to high Fourier modes. The inversion of such a restricted operator is finally achieved by making the crucial observation that lower order Fourier integral operators satisfy asymmetric tame estimates.

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Reducibility of Klein-Gordon equations with maximal order perturbations

We prove that all the solutions of a quasi-periodically forced linear Klein-Gordon equation $ψ_{tt}-ψ_{xx}+\mathtt{m}ψ+Q(ωt)ψ=0 $ where $ Q(ωt) := a^{(2)}(ωt, x) \partial_{xx} + a^{(1)}(ωt, x)\partial_x + a^{(0)}(ωt, x) $ is a differential operator of order $ 2 $, parity preserving and reversible, are almost periodic in time and uniformly bounded for all times, provided that the coefficients $ a^{(2) }, a^{(1) }, a^{(0) } $ are small enough and the forcing frequency $ω\in {\mathbb R}^ν$ belongs to a Borel set of asymptotically full measure. This result is obtained by reducing the Klein-Gordon equation to a diagonal constant coefficient system with purely imaginary eigenvalues. The main difficulty is the presence in the perturbation $ Q (ωt) $ of the second order differential operator $ a^{(2)}(ωt, x)\partial_{xx} $. In suitable coordinates the Klein-Gordon equation is the composition of two backward/forward quasi-periodic in time perturbed transport equations with non-constant coefficients, up to lower order pseudo-differential remainders. A key idea is to straighten this first order pseudo-differential operator with bi-characteristics through a novel quantitative Egorov analysis.

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First isola of modulational instability of Stokes waves in deep water

We prove high-frequency modulational instability of small-amplitude Stokes waves in deep water under longitudinal perturbations, providing the first isola of unstable eigenvalues branching off from $\mathtt{i}\frac34$. Unlike the finite depth case this is a degenerate problem and the real part of the unstable eigenvalues has a much smaller size than in finite depth. By a symplectic version of Kato theory we reduce to search the eigenvalues of a $2\times 2$ Hamiltonian and reversible matrix which has eigenvalues with non-zero real part if and only if a certain analytic function is not identically zero. In deep water we prove that the Taylor coefficients up to order three of this function vanish, but not the fourth-order one.

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Paralinearization and extended lifespan for solutions of the $ α$-SQG sharp front equation

In this paper we paralinearize the contour dynamics equation for sharp-fronts of $α$-SQG, for any $ α\in (0,1) \cup (1,2) $, close to a circular vortex. This turns out to be a quasi-linear Hamiltonian PDE. After deriving the asymptotic expansion of the linear frequencies of oscillations at the vortex disk and verifying the absence of three wave interactions, we prove that, in the most singular cases $ α\in (1,2) $, any initial vortex patch which is $ \varepsilon $-close to the disk exists for a time interval of size at least $ \sim \varepsilon^{-2} $. This quadratic lifespan result relies on a paradifferential Birkhoff normal form reduction and exploits cancellations arising from the Hamiltonian nature of the equation. This is the first normal form long time existence result of sharp fronts.

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Time periodic solutions of completely resonant Klein-Gordon equations on $\mathbb{S}^3$

We prove existence and multiplicity of Cantor families of small amplitude time periodic solutions of completely resonant Klein-Gordon equations on the sphere $\mathbb{S}^3$ with quadratic, cubic and quintic nonlinearity, regarded as toy models in General Relativity. The solutions are obtained by a variational Lyapunov- Schmidt decomposition, which reduces the problem to the search of mountain pass critical points of a restricted Euler-Lagrange action functional. Compactness properties of its gradient are obtained by Strichartz-type estimates for the solutions of the linear Klein-Gordon equation on $\mathbb{S}^3$.

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Stokes waves at the critical depth are modulational unstable

This paper fully answers a long standing open question concerning the stability/instability of pure gravity periodic traveling water waves -- called Stokes waves -- at the critical Whitham-Benjamin depth $ \mathtt{h}_{\scriptscriptstyle WB} = 1.363... $ and nearby values. We prove that Stokes waves of small amplitude $ \mathcal{O}( ε) $ are, at the critical depth $ \mathtt{h}_{\scriptscriptstyle WB} $, linearly unstable under long wave perturbations. This is also true for slightly smaller values of the depth $ \mathtt{h} > \mathtt{h}_{\scriptscriptstyle WB} - c ε^2 $, $ c > 0 $, depending on the amplitude of the wave. This problem was not rigorously solved in previous literature because the expansions degenerate at the critical depth. In order to resolve this degenerate case, and describe in a mathematically exhaustive way how the eigenvalues change their stable-to-unstable nature along this shallow-to-deep water transient, we Taylor expand the computations of arXiv:2204.00809v2 at a higher degree of accuracy, derived by the fourth order expansion of the Stokes waves. We prove that also in this transient regime a pair of unstable eigenvalues depict a closed figure "8", of smaller size than for $ \mathtt{h} > \mathtt{h}_{\scriptscriptstyle WB} $, as the Floquet exponent varies.

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Time quasi-periodic vortex patches of Euler equation in the plane

We prove the existence of time quasi-periodic vortex patch solutions of the 2$d$-Euler equations in $\mathbb{R}^2$, close to uniformly rotating Kirchhoff elliptical vortices, with aspect ratios belonging to a set of asymptotically full Lebesgue measure. The problem is reformulated into a quasi-linear Hamiltonian equation for a radial displacement from the ellipse. A major difficulty of the KAM proof is the presence of a zero normal mode frequency, which is due to the conservation of the angular momentum. The key novelty to overcome this degeneracy is to perform a perturbative symplectic reduction of the angular momentum, introducing it as a symplectic variable in the spirit of the Darboux-Carathéodory theorem of symplectic rectification, valid in finite dimension. This approach is particularly delicate in a infinite dimensional phase space: our symplectic change of variables is a nonlinear modification of the transport flow generated by the angular momentum itself. This is the first time such an idea is implemented in KAM for PDEs. Other difficulties are the lack of rotational symmetry of the equation and the presence of hyperbolic/elliptic normal modes. The latter difficulties -- as well as the degeneracy of a normal frequency -- are absent in other vortex patches problems which have been recently studied using the formulation introduced in this paper.

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Hamiltonian Birkhoff normal form for gravity-capillary water waves with constant vorticity: almost global existence

We prove an almost global in time existence result of small amplitude space periodic solutions of the 1D gravity-capillary water waves equations with constant vorticity. The result holds for any value of gravity, vorticity and depth and any surface tension belonging to a full measure set. The proof demands a Hamiltonian paradifferential Birkhoff normal form reduction for quasi-linear PDEs in presence of resonant wave interactions: the normal form may be not integrable but it preserves the Sobolev norms thanks to its Hamiltonian nature. A major difficulty is that usual paradifferential calculus used to prove local well posedness (as the celebrated Alinhac good unknown) does not preserve the Hamiltonian structure. A major novelty of this paper is to develop an algorithmic perturbative procedure à la Darboux to correct usual paradifferential transformations to symplectic maps, up to an arbitrary degree of homogeneity. The symplectic correctors turn out to be smoothing perturbations of the identity, and therefore only slightly modify the paradifferential structure of the equations. The Darboux procedure which recovers the nonlinear Hamiltonian structure is written in an abstract functional setting, in order to be applicable also in other contexts.

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Benjamin-Feir instability of Stokes waves in finite depth

Whitham and Benjamin predicted in 1967 that small-amplitude periodic traveling Stokes waves of the 2d-gravity water waves equations are linearly unstable with respect to long-wave perturbations, if the depth $\mathtt h$ is larger than a critical threshold $\mathtt h_{WB} \approx 1.363$. In this paper we completely describe, for any value of $\mathtt h > 0$, the four eigenvalues close to zero of the linearized equations at the Stokes wave, as the Floquet exponent $μ$ is turned on. We prove in particular the existence of a unique depth $\mathtt h_{WB}$, which coincides with the one predicted by Whitham and Benjamin, such that, for any $0 < \mathtt h < \mathtt h_{WB}$, the eigenvalues close to zero remain purely imaginary and, for any $\mathtt h > \mathtt h_{WB}$, a pair of non-purely imaginary eigenvalues depicts a closed figure "8", parameterized by the Floquet exponent. As $\mathtt h \to \mathtt h_{WB}^+$ this figure "8" collapses to the origin of the complex plane. The proof combines a symplectic version of Kato's perturbative theory to compute the eigenvalues of a $4 \times 4$ Hamiltonian and reversible matrix, and KAM inspired transformations to block-diagonalize it. The four eigenvalues have all the same size $O(μ)$ - unlike the infinitely deep water case in [6]- and the correct Benjamin-Feir phenomenon appears only after one non-perturbative block-diagonalization step. In addition one has to track, along the whole proof, the explicit dependence of the entries of the $4 \times 4$ reduced matrix with respect to the depth $\mathtt h$.

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Full description of Benjamin-Feir instability of Stokes waves in deep water

Small-amplitude, traveling, space periodic solutions -- called Stokes waves -- of the 2 dimensional gravity water waves equations in deep water are linearly unstable with respect to long-wave perturbations, as predicted by Benjamin and Feir in 1967. We completely describe the behavior of the four eigenvalues close to zero of the linearized equations at the Stokes wave, as the Floquet exponent is turned on. We prove in particular the conjecture that a pair of non-purely imaginary eigenvalues depicts a closed figure eight, parameterized by the Floquet exponent, in full agreement with numerical simulations. Our new spectral approach to the Benjamin-Feir instability phenomenon uses Kato's theory of similarity transformation to reduce the problem to determine the eigenvalues of a $ 4 \times 4 $ complex Hamiltonian and reversible matrix. Applying a procedure inspired by KAM theory, we block-diagonalize such matrix into a pair of $2 \times 2 $ Hamiltonian and reversible matrices, thus obtaining the full description of its eigenvalues.

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On the analyticity of the Dirichlet-Neumann operator and Stokes waves

We prove an analyticity result for the Dirichlet-Neumann operator under space periodic boundary conditions in any dimension in an unbounded domain with infinite depth. We derive an analytic bifurcation result of analytic Stokes waves -- i.e. space periodic traveling solutions -- of the water waves equations in deep water.

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Pure gravity traveling quasi-periodic water waves with constant vorticity

We prove the existence of small amplitude time quasi-periodic solutions of the pure gravity water waves equations with constant vorticity, for a bidimensional fluid over a flat bottom delimited by a space periodic free interface. Using a Nash-Moser implicit function iterative scheme we construct traveling nonlinear waves which pass through each other slightly deforming and retaining forever a quasiperiodic structure. These solutions exist for any fixed value of depth and gravity and restricting the vorticity parameter to a Borel set of asymptotically full Lebesgue measure.

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