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Dynamics of radial threshold solutions for generalized energy-critical Hartree equation

  • Xuemei Li , Chenxi Liu , Xingdong Tang and Guixiang Xu EMAIL logo
Published/Copyright: January 13, 2025

Abstract

In this paper, we study long time dynamics of radial threshold solutions for the focusing, generalized energy-critical Hartree equation and classify all radial threshold solutions. The main arguments are the spectral theory of the linearized operator, the modulational analysis and the concentration compactness rigidity argument developed by T. Duyckaerts and F. Merle to classify all threshold solutions for the energy critical NLS and NLW in [T. Duyckaerts and F. Merle, Dynamic of threshold solutions for energy-critical NLS, Geom. Funct. Anal. 18 2009, 6, 1787–1840, T. Duyckaerts and F. Merle, Dynamics of threshold solutions for energy-critical wave equation, Int. Math. Res. Pap. IMRP 2008 2008, Art ID rpn002], later by D. Li and X. Zhang in [D. Li and X. Zhang, Dynamics for the energy critical nonlinear Schrödinger equation in high dimensions, J. Funct. Anal. 256 2009, 6, 1928–1961, D. Li and X. Zhang, Dynamics for the energy critical nonlinear wave equation in high dimensions, Trans. Amer. Math. Soc. 363 2011, 3, 1137–1160] in higher dimensions. The new ingredient here is to solve the nondegeneracy of positive bubble solutions with nonlocal structure in H ˙ 1 ( N ) (i.e. the spectral assumption in [C. Miao, Y. Wu and G. Xu, Dynamics for the focusing, energy-critical nonlinear Hartree equation, Forum Math. 27 2015, 1, 373–447]) by the nondegeneracy result of positive bubble solution in L ( N ) in [X. Li, C. Liu, X. Tang and G. Xu, Nondegeneracy of positive bubble solutions for generalized energy-critical Hartree equations, preprint 2023, https://arxiv.org/abs/2304.04139] and the Moser iteration method in [S. Dipierro, M. Medina and E. Valdinoci, Fractional Elliptic Problems with Critical Growth in the Whole of n , Appunti. Sc. Norm. Super. Pisa (N. S.) 15, Edizioni della Normale, Pisa, 2017], which is related to the spectral analysis of the linearized operator with nonlocal structure, and plays a key role in the construction of the special threshold solutions, and the classification of all threshold solutions.

MSC 2020: 35Q55; 35Q41

Communicated by Christopher D. Sogge


Award Identifier / Grant number: 2020YFA0712900

Award Identifier / Grant number: 12001284

Award Identifier / Grant number: 12371240

Award Identifier / Grant number: 12431008

Funding statement: The authors were partly supported by National Key Research and Development Program of China (No. 2020YFA0712900) and by National Natural Science Foundation of China (No. 12001284, No. 12371240, No. 12431008).

A Nondegeneracy of energy solution of equation (1.5)

From Remark 1.5 (b) and (c), it suffices to show L -regularity of H ˙ 1 ( N ) solution of equation (1.5) to prove Proposition 1.4. Now we use the Moser iteration method in [16] to show this result in this appendix.

Recalling equation (1.5), energy solution u H ˙ 1 ( N ) satisfies

(A.1) - Δ u = ( p - 1 ) ( I λ * W p ) W p - 2 u + p [ I λ * ( W p - 1 u ) ] W p - 1 .

Let β 1 , T > 0 . We define the cutoff function

(A.2) φ ( t ) = { β T β - 1 ( t - T ) + T β if  t T , | t | β if  - T t T , β T β - 1 ( T - t ) + T β if  t - T .

Since φ is convex and Lipschitz, we have

(A.3) ( - Δ ) s φ ( u ) φ ( u ) ( - Δ ) s u , s [ 0 , 1 ] ,

in the weak sense. By equation (A.1), we get

N ( - Δ u ) φ ( u ) φ ( u ) 𝑑 x = ( p - 1 ) N ( I λ * W p ) W p - 2 u φ ( u ) φ ( u ) 𝑑 x
+ p N [ I λ * ( W p - 1 u ) ] W p - 1 φ ( u ) φ ( u ) 𝑑 x .

Using (A.3) and integration by parts, we get

N ( - Δ u ) φ ( u ) φ ( u ) 𝑑 x = N | u | 2 ( φ ( u ) ) 2 𝑑 x + N | u | 2 φ ( u ) φ ′′ ( u ) 𝑑 x .

By (A.2), we know that the last integral is nonnegative, therefore, we have

N | u | 2 ( φ ( u ) ) 2 𝑑 x ( p - 1 ) N ( I λ * W p ) W p - 2 | u | | φ ( u ) φ ( u ) | 𝑑 x
+ p N [ I λ * ( W p - 1 | u | ) ] W p - 1 φ ( u ) | φ ( u ) | 𝑑 x .

Applying the weak Young inequality and noting that W = c ( t t 2 + | x | 2 ) N - 2 2 L p ( N ) , p > N - 2 N , we have

I λ * W p L ( N ) .

Using that φ ( u ) φ ( u ) β u 2 β - 1 and the Hölder inequality, we have

N ( I λ * W p ) W p - 2 | u | | φ ( u ) φ ( u ) | 𝑑 x C β N | u | 2 β .

Similarly, we can get

N [ I λ * ( W p - 1 | u | ) ] W p - 1 φ ( u ) | φ ( u ) | 𝑑 x C β N | u | 2 β .

Thus, by the Sobolev inequality, we have

φ ( u ) L 2 * 2 φ ( u ) H ˙ 1 2 = N | u | 2 ( φ ( u ) ) 2 𝑑 x C β N | u | 2 β ,

where 2 * = 2 N N - 2 . Let T . We obtain

( N | u | 2 * β ) 2 2 * C β N | u | 2 β ,

where C changing from line to line, but independent of β. Therefore,

(A.4) ( N | u | 2 * β ) 1 2 * β ( C β ) 1 2 β ( N | u | 2 β ) 1 2 β .

Because u H ˙ 1 ( N ) , we know u L 2 N N - 2 by the Sobolev inequality. Therefore, we can take β 1 = N N - 2 1 . From now on, we can follow exactly the iteration argument. That is, we define β m + 1 , m 1 , so that

2 β m + 1 = 2 * β m .

Thus,

β m + 1 = ( 2 * 2 ) m β 1 ,

and replacing in equation (A.4), we know that

( N | u | 2 β m + 1 ) 1 2 β m + 1 = ( N | u | 2 * β m ) 1 2 * β m ( C β m N | u | 2 β m ) 1 2 β m .

Defining C m + 1 := C β m and

A m := ( N | u | 2 β m + 1 ) 1 2 β m + 1 ,

we conclude that there exists a constant C 0 > 0 independent of m, such that

A m + 1 k = 1 m C k 1 2 β k A 1 C 0 A 1 .

Thus, we obtain

u L ( N ) C 0 A 1 < + .

This together with the result in [45] completes the proof of Proposition 1.4.

B Coercivity of Φ on H H ˙ rad 1

In this appendix, we follow the argument in [51, Appendix C] and prove Proposition 2.13. We divide the proof into two steps.

Step 1: Nonnegative.

We claim that for any function h H ˙ 1 , ( h , W ) H ˙ 1 = 0 , there exists

Φ ( h ) 0 .

Indeed, let

I ( u ) = u 2 2 p W 2 2 p - N × N I λ ( x - y ) | u ( x ) | p | u ( y ) | p ) d x d y N × N I λ ( x - y ) W ( x ) p W ( y ) p 𝑑 x 𝑑 y .

By Proposition 1.1, we have

I ( u ) 0 for all  u H ˙ 1 .

Take h H ˙ 1 with ( W , h ) H ˙ 1 = 0 , α . We consider the expansion of I ( W + α h ) in α of order 2. Note that

( W + α h ) 2 2 p = W 2 2 p ( 1 + p α 2 h H ˙ 1 2 W H ˙ 1 2 + O ( α 4 ) )

and

N × N I λ ( x - y ) | W ( x ) + α h ( x ) | p | W ( y ) + α h ( y ) | p 𝑑 x 𝑑 y
= N × N I λ ( x - y ) W ( x ) p W ( y ) p 𝑑 x 𝑑 y
+ p α N × N I λ ( x - y ) ( W ( x ) p W ( y ) p - 1 h 1 ( y ) + W ( y ) p W ( x ) p - 1 h 1 ( x ) ) 𝑑 x 𝑑 y
+ α 2 N × N I λ ( x - y ) [ ( p ( p - 1 ) 2 W ( x ) p - 2 h 1 ( x ) 2 + p 2 W ( x ) p - 2 h 2 ( x ) 2 ) W ( y ) p
           + ( p ( p - 1 ) 2 W ( y ) p - 2 h 1 ( y ) 2 + p 2 W ( y ) p - 2 h 2 ( y ) 2 ) W ( x ) p
           + p 2 W ( x ) p - 1 h 1 ( x ) W ( y ) p - 1 h 1 ( y ) ] d x d y + O ( α 3 )
= N × N I λ ( x - y ) W ( x ) p W ( y ) p d x d y ( 1 + α 2 W H ˙ 1 2 N × N I λ ( x - y ) [ p ( p - 1 ) W ( x ) p - 2 h 1 ( x ) 2 W ( y ) p
+ p W ( x ) p - 2 h 2 ( x ) 2 W ( y ) p + p 2 W ( x ) p - 1 h 1 ( x ) W ( y ) p - 1 h 1 ( y ) ] d x d y + O ( α 3 ) ) ,

where we use the facts that

N ( I λ * W p ) W ( y ) p - 1 h 1 ( y ) 𝑑 y = N - Δ W ( y ) h 1 ( y ) d y = 0 ,
N ( I λ * W p ) W ( x ) p - 1 h 1 ( x ) 𝑑 x = N - Δ W ( x ) h 1 ( x ) d y = 0 ,
N × N I λ ( x - y ) W ( x ) p - 2 h 1 ( x ) 2 𝑑 x = N × N I λ ( x - y ) W ( y ) p - 2 h 1 ( y ) 2 𝑑 x ,
N × N I λ ( x - y ) W ( x ) p W ( y ) p 𝑑 x 𝑑 y = N | W | 2 𝑑 x .

Therefore we have

I ( W + α h ) = p α 2 W H ˙ 1 2 ( h H ˙ 1 2 - N × N I λ ( x - y ) [ ( p - 1 ) W ( x ) p - 2 h 1 ( x ) 2 W ( y ) p
    + W ( x ) p - 2 h 2 ( x ) 2 W ( y ) p + W ( x ) p - 1 h 1 ( x ) W ( y ) p - 1 h 1 ( y ) ] d x d y ) + O ( α 3 ) .

Since I ( W + α h ) 0 for all α , we have

2 Φ ( h ) = N | h | 2 d x - N × N I λ ( x - y ) [ ( p - 1 ) W ( x ) p - 2 h 1 ( x ) 2 W ( y ) p
+ W ( x ) p - 2 h 2 ( x ) 2 W ( y ) p + W ( x ) p - 1 h 1 ( x ) W ( y ) p - 1 h 1 ( y ) ] d x d y
0 .

Step 2: Coercivity.

We show that there exists a constant c * > 0 such that for any radial function h H

Φ ( h ) c * h H ˙ 1 2 .

Note that Φ ( h ) = Φ 1 ( h 1 ) + Φ 2 ( h 2 ) , where

Φ 1 ( h 1 ) := 1 2 N ( L + h 1 ) h 1 𝑑 x
= 1 2 N | h 1 | 2 𝑑 x - p - 1 2 N ( I λ * W p ) W ( x ) p - 2 h 1 ( x ) 2 𝑑 x - p 2 N ( I λ * W p - 1 h 1 ) W ( x ) h 1 ( x ) 𝑑 x

and

Φ 2 ( h 2 ) := 1 2 N ( L - h 2 ) h 2 𝑑 x = 1 2 N | h 2 | 2 𝑑 x - 1 2 N ( I λ * W p ) W ( x ) p - 2 h 2 ( x ) 2 𝑑 x .

By Step 1, L + is nonnegative on { W } (in the sense of H ˙ 1 ) and L - is nonnegative. We will deduce the coercivity by the compactness argument in [51, 67].

We first show that there exists a constant c such that for any radial real-valued H ˙ 1 -function h 1 { W , W ~ } (in the sense of H ˙ 1 ),

Φ 1 ( h 1 ) c h 1 H ˙ 1 2 .

Assume that the above inequality does not hold. Then there exists a sequence of real-valued radial H ˙ 1 -functions { f n } n such that

(B.1) f n H , lim n + Φ 1 ( f n ) = 0 , f n H ˙ 1 = 1 .

Extracting a subsequence from { f n } , we may assume that

f n f * in  H ˙ 1 .

The weak convergence of f n H to f * implies that f * H . In addition, by compactness, we have

N × N I λ ( x - y ) W ( y ) p W ( x ) p - 2 | f n ( x ) | 2 𝑑 x 𝑑 y N × N I λ ( x - y ) W ( y ) p W ( x ) p - 2 | f * ( x ) | 2 𝑑 x 𝑑 y ,
N × N I λ ( x - y ) W ( x ) p - 1 | f n ( x ) | W ( y ) p - 1 | f n ( y ) | 𝑑 x 𝑑 y N × N I λ ( x - y ) W ( x ) p - 1 | f * ( x ) | W ( y ) p - 1 | f * ( y ) | 𝑑 x 𝑑 y .

Thus, by the Fatou lemma, (B.1) and Step 1, we have

0 Φ 1 ( f * ) lim inf n + Φ 1 ( f n ) = 0 ,

where f * is the solution to the following minimizing problem:

0 = min f Ω \ { 0 } N L + f f 𝑑 x f H ˙ 1 2 , Ω = { f H ˙ rad 1 : ( f , W ) H ˙ 1 = ( f , W ~ ) H ˙ 1 = 0 } .

Thus for some Lagrange multipliers λ 0 , λ 1 , we have

L + f * = λ 0 Δ W + λ 1 Δ W ~ .

Note that ( W , W ~ ) H ˙ 1 = 0 and L + ( W ~ ) = 0 , we have

0 = N f * L + ( W ~ ) = N ( L + f * ) W ~ = λ 1 W ~ H ˙ 1 2 λ 1 = 0 .

Thus

L + f * = λ 0 Δ W = - λ 0 ( | x | - 4 * W 2 ) W = λ 0 2 L + W .

By Null ( L + ) = span { W ~ } in Lemma 2.12, there exists μ 1 such that

f * = λ 0 2 W + μ 1 W ~ .

Using f * H , we get μ 1 = 0 and λ 0 = 0 . Therefore, we have

f * = 0 and f n 0 in  H ˙ 1 .

Now, by compactness, we have

N × N I λ ( x - y ) W ( y ) p W ( x ) p - 2 | f n ( x ) | 2 𝑑 x 𝑑 y 0

and

N × N I λ ( x - y ) W ( x ) p - 1 | f n ( x ) | W ( y ) p - 1 | f n ( y ) | 𝑑 x 𝑑 y 0 .

By Φ 1 ( f n ) 0 in (B.1), we get that

f n 2 0 ,

which contradicts f n H ˙ 1 = 1 in (B.1).

Using the same argument, we can show that there exists a constant c, such that for any real-valued radial H ˙ 1 -function h 2 { W } , we have

Φ 2 ( h 2 ) c h 2 H ˙ 1 2 .

This completes the proof. ∎

C Spectral properties of the linearized operator

In this appendix, we follow the argument in [19, 18, 51] to give the proof of Proposition 2.14.

C.1 Existence, symmetry of the eigenfunctions

Note that

v ¯ = - v ¯ ,

so that if e 0 > 0 is an eigenvalue of with the eigenfunction 𝒴 + , then - e 0 is also an eigenvalue with eigenfunction 𝒴 - = 𝒴 ¯ + . Now we show the existence of 𝒴 + . Let 𝒴 1 = Re 𝒴 + , 𝒴 2 = Im 𝒴 + . It suffices to show that

(C.1) - L - 𝒴 2 = e 0 𝒴 1 , L + 𝒴 1 = e 0 𝒴 2 .

From the proof of the coercivity property of Φ on H H ˙ rad 1 in Proposition 2.13, we know that L - on L 2 with domain H 2 is self-adjoint and nonnegative. By [34, Theorem 3.35, p. 281], it has a unique square root ( L - ) 1 2 with domain H 1 .

Assume that there exists a function f H rad 4 such that

𝒫 f = - e 0 2 f 1 , 𝒫 := ( L - ) 1 2 ( L + ) ( L - ) 1 2 .

Then taking

𝒴 1 := ( L - ) 1 2 f , 𝒴 2 := 1 e 0 ( L + ) ( L - ) 1 2 f

would yield a solution of (C.1), which implies the existence of the radial 𝒴 ± by the rotation invariance of the operator .

It suffices to show that the operator 𝒫 on L 2 with domain H rad 4 has a strictly negative eigenvalue. Since 𝒫 is a relatively compact, self-adjoint, perturbation of ( - Δ ) 2 , then by the Weyl theorem [33, 34], we know that

σ ess ( 𝒫 ) = [ 0 , + ) .

Thus we only need to show that 𝒫 has at least one negative eigenvalue - e 0 2 .

Lemma C.1.

We have

σ - ( 𝒫 ) := inf { ( 𝒫 f , f ) L 2 : f H rad 4 , f L 2 = 1 } < 0 .

Proof.

Note that

( 𝒫 f , f ) L 2 = ( L + F , F ) L 2 , F := ( L - ) 1 2 f .

Thus it suffices to find F such that there exists g H rad 4 , F = ( Δ + V ) g and

(C.2) ( L + F , F ) L 2 < 0 ,

where V := ( I λ * W p ) W p - 2 .

We divide the proof into two cases.

Case (1). Assume that N = 3 , 4 , in these cases W L 2 , we will use the localization method. Let W a := χ ( x a ) W ( x ) , where χ is a smooth, radial positive function such that χ ( r ) = 1 for r 1 and χ ( r ) = 0 for r 2 . We first claim

(C.3) a > 0 , E a := L + W a W a < 0 .

Recall that - Δ W = ( I λ * W p ) W p - 1 . Thus

L + W a = - ( p - 2 ) ( I λ * W p ) χ ( x a ) W p - 1 - p [ I λ * ( χ ( x a ) W p ) ] W p - 1 - 2 a χ ( x a ) W - 1 a 2 Δ χ ( x a ) W .

Hence

L + W a W a = - ( p - 2 ) ( I λ * W p ) χ 2 ( x a ) W p - p [ I λ * ( χ ( x a ) W p ) ] W p
- 2 a χ ( x a ) W W - 1 a 2 Δ χ ( x a ) W 2 .

Let

A := 2 a χ ( x a ) W W , B := 1 a 2 Δ χ ( x a ) W 2 .

According to the explicit expression (1.4) of W, W C | x | - ( N - 2 ) and W C | x | - ( N - 1 ) at infinity, which gives | ( A ) | + | ( B ) | C a if N = 3 and | ( A ) | + | ( B ) | C a 2 if N = 4 . Hence (C.3).

Let us fix a such that (C.3) holds. Recall that W is not in L 2 . Thus Δ + V is a self-adjoint operator on L 2 , with domain H 2 , and without eigenfunction. In particular, the orthogonal of its range R ( Δ + V ) is 0, and thus R ( Δ + V ) is dense in L 2 . Let ϵ > 0 , and consider G ϵ H 2 such that

( Δ + V ) G ϵ - ( Δ + V - 1 ) W a L 2 ϵ .

Taking

F ϵ := ( L - + 1 ) - 1 L - G ϵ ,

we obtain ( Δ + V - 1 ) ( F ϵ - W a ) L 2 ϵ which implies F ϵ - W a H 2 ϵ ( Δ + V - 1 ) - 1 L 2 L 2 . Hence for some constant C 0 , we have

| N L + F ϵ F ϵ - N L + W a W a | C 0 ϵ .

As a consequence of (C.3), we get (C.2) for F = F ϵ , ϵ = - E a 2 C 0 , which shows the claim in the case N = 3 , 4 .

Case (2). Assume now that N 5 , so that W L 2 and more generally in all space H s ( N ) . In this case

Ran ( L - ) = Null ( L - ) = span { W } .

Thus

(C.4) Ran ( L - ) = { f L 2 : ( f , W ) L 2 = 0 } .

Note that L + is a self-adjoint compact perturbation of - Δ and

( L + W , W ) L 2 = - ( 2 p - 2 ) | W | 2 𝑑 x < 0 ,

which implies that L + has a negative eigenvalue. Let Z be the eigenfunction for this eigenvalue (it is radial by the minimax principle). Note that L + W ~ = 0 . Then for any real number α, we have

(C.5) E 0 := d L + ( Z + α W ~ ) ( Z + α W ~ ) = d L + Z Z < 0 .

Note that

( W ~ , W ) L 2 0 .

We can choose the real number α 1 such that

( Z + α 1 W ~ , W ) L 2 = 0 ,

which means that

( ( L - + 1 ) ( Z + α 1 W ~ ) , W ) L 2 = ( Z + α 1 W ~ , ( L - + 1 ) W ) L 2 = ( Z + α 1 W ~ , W ) L 2 = 0 .

By (C.4), for any ϵ > 0 , there exists a function G ϵ H rad 2 such that

L - G ϵ - ( L - + 1 ) ( Z + α 1 W ~ ) L 2 < ϵ .

Taking

F ϵ := ( L - + 1 ) - 1 L - G ϵ ,

we obtain that

( L - + 1 ) ( F ϵ - ( Z + α 1 W ~ ) ) L 2 ϵ ,

which implies that

F ϵ - ( Z + α 1 W ~ ) H 2 ϵ ( L - + 1 ) - 1 L 2 L 2 .

Hence for some constant C 0 , we have

| d L + F ϵ F ϵ - d L + ( Z + α 1 W ~ ) ( Z + α 1 W ~ ) | C 0 ϵ .

By (C.5), we have (C.2) for F = F ϵ , ϵ = - E 0 2 C 0 . ∎

C.2 Decay of the eigenfunctions at infinity

By the bootstrap argument, we know that 𝒴 ± C H . In fact, we have 𝒴 ± 𝒮 . By (C.1), it suffices to show that 𝒴 1 𝒮 . Note that 𝒴 1 satisfies that

( e 0 2 + Δ 2 ) 𝒴 1 = - p Δ ( I λ * ( W p - 1 𝒴 1 ) W p - 1 ) - p ( I λ * W p ) ( I λ * ( W p - 1 𝒴 1 ) ) W 2 p - 3
- ( p - 1 ) Δ ( ( I λ * W p ) W p - 2 𝒴 1 )
- ( p - 1 ) ( ( I λ * W p ) 2 W 2 p - 4 𝒴 1 ) - ( I λ * W p ) W p - 2 Δ 𝒴 1 .

Thus,

( e 0 - Δ ) 2 𝒴 1 = - ( p - 1 ) Δ ( ( I λ * W p ) W p - 2 𝒴 1 ) - ( p - 1 ) ( ( I λ * W p ) 2 W 2 p - 4 𝒴 1 )
- p Δ ( I λ * ( W p - 1 𝒴 1 ) W p - 1 ) - p ( I λ * W p ) ( I λ * ( W p - 1 𝒴 1 ) ) W 2 p - 3
- ( I λ * W p ) W p - 2 Δ 𝒴 1 - 2 e 0 Δ 𝒴 1 .

Because of the existence of the nonlocal interaction on the right-hand side, the decay estimate in [19, Section 7.2] does not work. From the Bessel potential theory in [62], we know that the integral kernel G of the operator ( e 0 - Δ ) - 2 is

G ( x ) = 1 ( 4 π ) 2 0 e - e 0 4 π δ e - π δ | x | 2 δ - N + 4 2 d δ δ .

Hence we have:

  1. G ( x ) = | x | - N + 4 γ ( 4 ) + o ( | x | - N + 4 ) , | x | 0 ,

  2. there exists c > 0 such that

    G ( x ) = o ( e - c | x | ) , | x | + .

Then the conclusion follows by the analogue estimates in [26, 39].

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Received: 2024-06-27
Revised: 2024-11-03
Published Online: 2025-01-13
Published in Print: 2025-06-01

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