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Roger Nichols

Publications and source records attributed to Roger Nichols.

At least 19 recordsLinked to original sources

On Sesquilinear Forms for Lower Semibounded (Singular) Sturm-Liouville Operators

Any self-adjoint extension of a (singular) Sturm-Liouville operator bounded from below uniquely leads to an associated sesquilinear form. This form is characterized in terms of principal and nonprincipal solutions of the Sturm-Liouville operator by using generalized boundary values. We provide these forms in detail in all possible cases (explicitly, when both endpoints are limit circle, when one endpoint is limit circle, and when both endpoints are limit point).

math.CA

A generalized Birman-Schwinger principle and applications to one-dimensional Schr\"odinger operators with distributional potentials

Given a self-adjoint operator $H_0$ bounded from below in a complex Hilbert space $\mathcal{H}$, the corresponding scale of spaces $\mathcal{H}_{+1}(H_0) \subset \mathcal{H} \subset \mathcal{H}_{-1}(H_0) = [\mathcal{H}_{+1}(H_0)]^*$, and a fixed $V\in \mathcal{B}(\mathcal{H}_{+1}(H_0),\mathcal{H}_{-1}(H_0))$, we define the operator-valued map $A_V(\,\cdot\,):\rho(H_0)\to \mathcal{B}(\mathcal{H})$ by \[ A_V(z):=-\big(H_0-zI_{\mathcal{H}} \big)^{-1/2}V\big(H_0-zI_{\mathcal{H}} \big)^{-1/2}\in \mathcal{B}(\mathcal{H}),\quad z\in \rho(H_0), \] where $\rho(H_0)$ denotes the resolvent set of $H_0$. Assuming that $A_V(z)$ is compact for some $z=z_0\in \rho(H_0)$ and has norm strictly less than one for some $z=E_0\in (-\infty,0)$, we employ an abstract version of Tiktopoulos' formula to define an operator $H$ in $\mathcal{H}$ that is formally realized as the sum of $H_0$ and $V$. We then establish a Birman-Schwinger principle for $H$ in which $A_V(\,\cdot\,)$ plays the role of the Birman-Schwinger operator: $\lambda_0\in \rho(H_0)$ is an eigenvalue of $H$ if and only if $1$ is an eigenvalue of $A_V(\lambda_0)$. Furthermore, the geometric (but not necessarily the algebraic) multiplicities of $\lambda_0$ and $1$ as eigenvalues of $H$ and $A_V(\lambda_0)$, respectively, coincide. As a concrete application, we consider one-dimensional Schr\"odinger operators with $H^{-1}(\mathbb{R})$ distributional potentials.

math.FA

Weak convergence of spectral shift functions revisited

We study convergence of the spectral shift function for the finite interval restrictions of a pair of full-line Schr\"odinger operators to an interval of the form $(-\ell,\ell)$ with coupled boundary conditions at the endpoints as $\ell\to \infty$ in the case when the finite interval restrictions are relatively prime to those with Dirichlet boundary conditions. Using a Krein-type resolvent identity we show that the spectral shift function for the finite interval restrictions converges weakly to that for the pair of full-line Schr\"odinger operators as the length of the interval tends to infinity.

math.SP

Strict domain monotonicity of the principal eigenvalue and a characterization of lower boundedness for the Friedrichs extension of four-coefficient Sturm-Liouville operators

Using the variational characterization of the principal (i.e., smallest) eigenvalue below the essential spectrum of a lower semibounded self-adjoint operator, we prove strict domain monotonicity (with respect to changing the finite interval length) of the principal eigenvalue of the Friedrichs extension $T_F$ of the minimal operator for regular four-coefficient Sturm--Liouville differential expressions. In the more general singular context, these four-coefficient differential expressions act according to \[ \tau f = \frac{1}{r} \left( - \big(f^{[1]}\big)' + s f^{[1]} + qf\right)\,\text{ with $f^{[1]} = p [f' + s f]$ on $(a,b) \subseteq \mathbb{R}$}, \] where the coefficients $p$, $q$, $r$, $s$ are real-valued and Lebesgue measurable on $(a,b)$, with $p > 0$, $r>0$ a.e.\ on $(a,b)$, and $p^{-1}$, $q$, $r$, $s \in L^1_{loc}((a,b); dx)$, and $f$ is supposed to satisfy \[ f \in AC_{loc}((a,b)), \; p[f' + s f] \in AC_{loc}((a,b)). \] This setup is sufficiently general so that $\tau$ permits certain distributional potential coefficients $q$, including potentials in $H^{-1}_{loc}((a,b))$. As a consequence of the strict domain monotonicity of the principal eigenvalue of the Friedrichs extension in the regular case, and on the basis of oscillation theory in the singular context, in our main result, we characterize all lower bounds of $T_F$ as those $\lambda\in \mathbb{R}$ for which the differential equation $\tau u = \lambda u$ has a strictly positive solution $u > 0$ on $(a,b)$.

math.CA

The Krein-von Neumann Extension of a Regular Even Order Quasi-Differential Operator

We characterize by boundary conditions the Krein-von Neumann extension of a strictly positive minimal operator corresponding to a regular even order quasi-differential expression of Shin-Zettl type. The characterization is stated in terms of a specially chosen basis for the kernel of the maximal operator and employs a description of the Friedrichs extension due to M\"oller and Zettl.

math.FA

Donoghue $m$-functions for singular Sturm--Liouville operators

Let $\dot A$ be a densely defined, closed, symmetric operator in the complex, separable Hilbert space $\mathcal{H}$ with equal deficiency indices and denote by $\mathcal{N}_i = \ker \big(\big(\dot A\big)^* - i I_{\mathcal{H}}\big)$, $\dim \, (\mathcal{N}_i)=k\in \mathbb{N} \cup \{\infty\}$, the associated deficiency subspace of $\dot A$ . If $A$ denotes a self-adjoint extension of $\dot A$ in $\mathcal{H}$, the Donoghue $m$-operator $M_{A,\mathcal{N}_i}^{Do} (\, \cdot \,)$ in $\mathcal{N}_i$ associated with the pair $(A,\mathcal{N}_i)$ is given by \[ M_{A,\mathcal{N}_i}^{Do}(z)=zI_{\mathcal{N}_i} + (z^2+1) P_{\mathcal{N}_i} (A - z I_{\mathcal{H}})^{-1} P_{\mathcal{N}_i} \big\vert_{\mathcal{N}_i}\,, \quad z\in \mathbb{C} \backslash \mathbb{R}, \] with $I_{\mathcal{N}_i}$ the identity operator in $\mathcal{N}_i$, and $P_{\mathcal{N}_i}$ the orthogonal projection in $\mathcal{H}$ onto $\mathcal{N}_i$. Assuming the standard local integrability hypotheses on the coefficients $p, q,r$, we study all self-adjoint realizations corresponding to the differential expression \[ \tau=\frac{1}{r(x)}\left[-\frac{d}{dx}p(x)\frac{d}{dx} + q(x)\right] \, \text{ for a.e. $x\in(a,b) \subseteq \mathbb{R}$,} \] in $L^2((a,b); rdx)$, and, as the principal aim of this paper, systematically construct the associated Donoghue $m$-functions (resp., $2 \times 2$ matrices) in all cases where $\tau$ is in the limit circle case at least at one interval endpoint $a$ or $b$.

math.SP

On Absence of Threshold Resonances for Schrodinger and Dirac Operators

Using a unified approach employing a homogeneous Lippmann-Schwinger-type equation satisfied by resonance functions and basic facts on Riesz potentials, we discuss the absence of threshold resonances for Dirac and Schrodinger operators with sufficiently short-range interactions in general space dimensions. More specifically, assuming a sufficient power law decay of potentials, we derive the absence of zero-energy resonances for massless Dirac operators in space dimensions $n \geq 3$, the absence of resonances at $\pm m$ for massive Dirac operators (with mass $m > 0$) in dimensions $n \geq 5$, and recall the well-known case of absence of zero-energy resonances for Schr\"odinger operators in dimension $n \geq 5$.

math.SP

The limiting absorption principle for massless Dirac operators, properties of spectral shift functions, and an application to the Witten index of non-Fredholm operators

We derive a limiting absorption principle on any compact interval in $\mathbb{R} \backslash \{0\}$ for the free massless Dirac operator, $H_0 = \alpha \cdot (-i \nabla)$ in $[L^2(\mathbb{R}^n)]^N$, $n \geq 2$, $N=2^{\lfloor(n+1)/2\rfloor}$, and then prove the absence of singular continuous spectrum of interacting massless Dirac operators $H = H_0 +V$, where $V$ decays like $O(|x|^{-1 - \varepsilon})$. Expressing the spectral shift function $\xi(\,\cdot\,; H,H_0)$ as normal boundary values of regularized Fredholm determinants, we prove that for sufficiently decaying $V$, $\xi(\,\cdot\,;H,H_0) \in C((-\infty,0) \cup (0,\infty))$, and that the left and right limits at zero, $\xi(0_{\pm}; H,H_0)$, exist. Introducing the non-Fredholm operator $\boldsymbol{D}_{\boldsymbol{A}} = \frac{d}{dt} + \boldsymbol{A}$ in $L^2\big(\mathbb{R};[L^2(\mathbb{R}^n)]^N\big)$, where $\boldsymbol{A} = \boldsymbol{A_-} + \boldsymbol{B}$, $\boldsymbol{A_-}$, and $\boldsymbol{B}$ are generated in terms of $H, H_0$ and $V$, via $A(t) = A_- + B(t)$, $A_- = H_0$, $B(t)=b(t) V$, $t \in \mathbb{R}$, assuming $b$ is smooth, $b(-\infty) = 0$, $b(+\infty) = 1$, and introducing $\boldsymbol{H_1} = \boldsymbol{D}_{\boldsymbol{A}}^{*} \boldsymbol{D}_{\boldsymbol{A}}$, $\boldsymbol{H_2} = \boldsymbol{D}_{\boldsymbol{A}} \boldsymbol{D}_{\boldsymbol{A}}^{*}$, one of the principal results in this manuscript expresses the $k$th resolvent regularized Witten index $W_{k,r}(\boldsymbol{D}_{\boldsymbol{A}})$ ($k \in \mathbb{N}$, $k \geq \lceil n/2 \rceil$) in terms of spectral shift functions as \[ W_{k,r}(\boldsymbol{D}_{\boldsymbol{A}}) = \xi(0_+; \boldsymbol{H_2}, \boldsymbol{H_1}) = [\xi(0_+;H,H_0) + \xi(0_-;H,H_0)]/2. \] Here $L^2(\mathbb{R};\mathcal{H}) = \int_{\mathbb{R}}^{\oplus} dt \, \mathcal{H}$ and $\boldsymbol{T} = \int_{\mathbb{R}}^{\oplus} dt \, T(t)$ abbreviate direct integrals.

math.SP

A survey of some norm inequalities

We survey some classical norm inequalities of Hardy, Kallman, Kato, Kolmogorov, Landau, Littlewood, and Rota of the type \[ \|A f\|_{\mathcal{X}}^2 \leq C \|f\|_{\mathcal{X}} \big\|A^2 f\big\|_{\mathcal{X}}, \quad f \in dom\big(A^2\big), \] and recall that under exceedingly stronger hypotheses on the operator $A$ and/or the Banach space $\mathcal{X}$, the optimal constant $C$ in these inequalities diminishes from $4$ (e.g., when $A$ is the generator of a $C_0$ contraction semigroup on a Banach space $\mathcal{X}$) all the way down to $1$ (e.g., when $A$ is a symmetric operator on a Hilbert space $\mathcal{H}$). We also survey some results in connection with an extension of the Hardy-Littlewood inequality involving quadratic forms as initiated by Everitt.

math.FA

The Krein-von Neumann extension revisited

We revisit the Krein-von Neumann extension in the case where the underlying symmetric operator is strictly positive and apply this to derive the explicit form of the Krein-von Neumann extension for singular, general (i.e., three-coefficient) Sturm-Liouville operators on arbitrary intervals. In particular, the boundary conditions for the Krein-von Neumann extension of the strictly positive minimal Sturm-Liouville operator are explicitly expressed in terms of generalized boundary values adapted to the (possible) singularity structure of the coefficients near an interval endpoint.

math.FA

The product formula for regularized Fredholm determinants

For trace class operators $A, B \in \mathcal{B}_1(\mathcal{H})$ ($\mathcal{H}$ a complex, separable Hilbert space), the product formula for Fredholm determinants holds in the familiar form \[ {\det}_{\mathcal{H}} ((I_{\mathcal{H}} - A) (I_{\mathcal{H}} - B)) = {\det}_{\mathcal{H}} (I_{\mathcal{H}} - A) {\det}_{\mathcal{H}} (I_{\mathcal{H}} - B). \] When trace class operators are replaced by Hilbert--Schmidt operators $A, B \in \mathcal{B}_2(\mathcal{H})$ and the Fredholm determinant ${\det}_{\mathcal{H}}(I_{\mathcal{H}} - A)$, $A \in \mathcal{B}_1(\mathcal{H})$, by the 2nd regularized Fredholm determinant ${\det}_{\mathcal{H},2}(I_{\mathcal{H}} - A) = {\det}_{\mathcal{H}} ((I_{\mathcal{H}} - A) \exp(A))$, $A \in \mathcal{B}_2(\mathcal{H})$, the product formula must be replaced by \[ {\det}_{\mathcal{H},2} ((I_{\mathcal{H}} - A) (I_{\mathcal{H}} - B)) = {\det}_{\mathcal{H},2} (I_{\mathcal{H}} - A) {\det}_{\mathcal{H},2} (I_{\mathcal{H}} - B) \exp(- {\rm tr}(AB)). \] The product formula for the case of higher regularized Fredholm determinants ${\det}_{\mathcal{H},k}(I_{\mathcal{H}} - A)$, $A \in \mathcal{B}_k(\mathcal{H})$, $k \in \mathbb{N}$, $k \geq 2$, does not seem to be easily accessible and hence this note aims at filling this gap in the literature.

math.SP

On Factorizations of Analytic Operator-Valued Functions and Eigenvalue Multiplicity Questions

We study several natural multiplicity questions that arise in the context of the Birman-Schwinger principle applied to non-self-adjoint operators. In particular, we re-prove (and extend) a recent result by Latushkin and Sukhtyaev by employing a different technique based on factorizations of analytic operator-valued functions due to Howland. Factorizations of analytic operator-valued functions are of particular interest in themselves and again we re-derive Howland's results and subsequently extend them. Considering algebraic multiplicities of finitely meromorphic operator-valued functions, we recall the notion of the index of a finitely meromorphic operator-valued function and use that to prove an analog of the well-known Weinstein-Aronszajn formula relating algebraic multiplicities of the underlying unperturbed and perturbed operators. Finally, we consider pairs of projections for which the difference belongs to the trace class and relate their Fredholm index to the index of the naturally underlying Birman-Schwinger operator.

math.SP

On self-adjoint boundary conditions for singular Sturm-Liouville operators bounded from below

We extend the classical boundary values \begin{align*} & g(a) = - W(u_{a}(λ_0,.), g)(a) = \lim_{x \downarrow a} \frac{g(x)}{\hat u_{a}(λ_0,x)}, \\ &g^{[1]}(a) = (p g')(a) = W(\hat u_{a}(λ_0,.), g)(a) = \lim_{x \downarrow a} \frac{g(x) - g(a) \hat u_{a}(λ_0,x)}{u_{a}(λ_0,x)} \end{align*} for regular Sturm-Liouville operators associated with differential expressions of the type $τ= r(x)^{-1}[-(d/dx)p(x)(d/dx) + q(x)]$ for a.e. $x\in[a,b] \subset \mathbb{R}$, to the case where $τ$ is singular on $(a,b) \subseteq \mathbb{R}$ and the associated minimal operator $T_{min}$ is bounded from below. Here $u_a(λ_0, \cdot)$ and $\hat u_a(λ_0, \cdot)$ denote suitably normalized principal and nonprincipal solutions of $τu = λ_0 u$ for appropriate $λ_0 \in \mathbb{R}$, respectively. We briefly discuss the singular Weyl-Titchmarsh-Kodaira $m$-function and finally illustrate the theory in some detail with the examples of the Bessel, Legendre, and Kummer (resp., Laguerre) operators.

math.SP

Explicit Krein Resolvent Identities for Singular Sturm-Liouville Operators with Applications to Bessel Operators

We derive explicit Krein resolvent identities for generally singular Sturm-Liouville operators in terms of boundary condition bases and the Lagrange bracket. As an application of the resolvent identities obtained, we compute the trace of the resolvent difference of a pair of self-adjoint realizations of the Bessel expression $-d^2/dx^2+(ν^2-(1/4))x^{-2}$ on $(0,\infty)$ for values of the parameter $ν\in[0,1)$ and use the resulting trace formula to explicitly determine the spectral shift function for the pair.

math.SP

On the Global Limiting Absorption Principle for Massless Dirac Operators

We prove a global limiting absorption principle on the entire real line for free, massless Dirac operators $H_0 = α\cdot (-i \nabla)$ for all space dimensions $n \in \mathbb{N}$, $n \geq 2$. This is a new result for all dimensions other than three, in particular, it applies to the two-dimensional case which is known to be of some relevance in applications to graphene. We also prove an essential self-adjointness result for first-order matrix-valued differential operators with Lipschitz coefficients.

math.SP

On the index of meromorphic operator-valued functions and some applications

We revisit and connect several notions of algebraic multiplicities of zeros of analytic operator-valued functions and discuss the concept of the index of meromorphic operator-valued functions in complex, separable Hilbert spaces. Applications to abstract perturbation theory and associated Birman-Schwinger-type operators and to the operator-valued Weyl-Titchmarsh functions associated to closed extensions of dual pairs of closed operators are provided.

math.SP

Dirichlet-to-Neumann Maps, Abstract Weyl-Titchmarsh $M$-Functions, and a Generalized Index of Unbounded Meromorphic Operator-Valued Functions

We introduce a generalized index for certain meromorphic, unbounded, operator-valued functions. The class of functions is chosen such that energy parameter dependent Dirichlet-to-Neumann maps associated to uniformly elliptic partial differential operators, particularly, non-self-adjoint Schrödinger operators, on bounded Lipschitz domains, and abstract operator-valued Weyl-Titchmarsh $M$-functions and Donoghue-type $M$-functions corresponding to closed extensions of symmetric operators belong to it. The principal purpose of this paper is to prove index formulas that relate the difference of the algebraic multiplicities of the discrete eigenvalues of Robin realizations of non-self-adjoint Schrödinger operators, and more abstract pairs of closed operators in Hilbert spaces with the generalized index of the corresponding energy dependent Dirichlet-to-Neumann maps and abstract Weyl-Titchmarsh $M$-functions, respectively.

math.AP