A local min-orthogonal method for finding multiple saddle points

The purpose of this paper is twofold. The first is to remove a possible ill-posedness related to a local minimax method developed in SIAM J. Sci. Comput. 23 (2001) 840-865, SIAM J. Sci. Comput. 24 (2002) 840-865 and the second is to provide a local characterization for nonminimax type saddle points. To do so, a local L-⊥ selection is defined and a necessary and sufficient condition for a saddle point is established, which leads to a min-orthogonal method. Those results exceed the scope of a minimax principle, the most popular approach in critical point theory. An example is given to illustrate the new theory. With this local characterization, the local minimax method in SIAM J. Sci. Comput. 23 (2001) 840-865, SIAM J. Sci. Comput. 24 (2002) 840-865 is generalized to a local min-orthogonal method for finding multiple saddle points. In a subsequent paper, this approach is applied to define a modified pseudo gradient (flow) of a functional for finding multiple saddle points in Banach spaces.     

Homotopical linking and Morse index estimates in min-max theorems

The authors extend some well-known Morse estimates for critical points of saddle point type to some linking conditions recently considered in the literature. Applications are given for multiplicity results in PDE and existence of subharmonic solutions for a class of conservative ODE. Research supported by Program STRIDE (contract STRDA/C/CEN/531/92) and EC (contract ERBCHRXCT940555).     

Existence and multiplicity results for classes of elliptic resonant problems

In this paper we prove some new existence results of nontrivial solutions for classes of elliptic resonant problems. We also establish several multiplicity results. The methods used here are based on combining the minimax methods and the Morse theory especially some new observations on the critical groups of a local linking-type degenerate critical point.     

A local minimax characterization for computing multiple nonsmooth saddle critical points

This paper is concerned with characterizations of nonsmooth saddle critical points for numerical algorithm design. Most characterizations for nonsmooth saddle critical points in the literature focus on existence issue and are converted to solve global minimax problems. Thus they are not helpful for numerical algorithm design. Inspired by the results on computational theory and methods for finding multiple smooth saddle critical points in [14, 15, 19, 21, 23], a local minimax characterization for multiple nonsmooth saddle critical points in either a Hilbert space or a reflexive Banach space is established in this paper to provide a mathematical justification for numerical algorithm design. A local minimax algorithm for computing multiple nonsmooth saddle critical points is presented by its flow chart. Dedicated to Terry Rockafellar on his 70th birthday     

Geometrical Decomposition of the Free Loop Space on a Manifold with Finitely Many Closed Geodesics

In Morse theory an isolated degenerate critical point can be resolved into a finite number of nondegenerate critical points by perturbing the totally degenerate part of the Morse function inside the domain of a generalized Morse chart. Up to homotopy we can admit pertubations within the whole characteristic manifold. Up to homotopy type a relative CW-complex is attached, which is the product of a big relative CW-complex, representing the degenerate part, and a small cell having the dimension of the Morse index.     

A relative morse index for the symplectic action

The notion of a Morse index of a function on a finite-dimensional manifold cannot be generalized directly to the symplectic action function a on the loop space of a manifold. In this paper, we define for any pair of critical points of a a relative Morse index, which corresponds to the difference of the two Morse indices in finite dimensions. It is based on the spectral flow of the Hessian of a and can be identified with a topological invariant recently defined by Viterbo, and with the dimension of the space of trajectories between the two critical points.     

Periodic solutions of asymptotically linear Hamiltonian systems

We prove existence and multiplicity results for periodic solutions of time dependent and time independent Hamiltonian equations, which are assumed to be asymptotically linear. The periodic solutions are found as critical points of a variational problem in a real Hilbert space. By means of a saddle point reduction this problem is reduced to the problem of finding critical points of a function defined on a finite dimensional subspace. The critical points are then found using generalized Morse theory and minimax arguments.     

Critical Points Index for Vector Functions and Vector Optimization

In this work, we study the critical points of vector functions from ℝ ⁿ to ℝ ^m with n≥m, following the definition introduced by Smale in the context of vector optimization. The local monotonicity properties of a vector function around a critical point which are invariant with respect to local coordinate changes are considered. We propose a classification of critical points through the introduction of a generalized Morse index for a critical point, consisting of a triplet of nonnegative integers. The proposed index is based on the sign of an appropriate invariant vector-valued second-order differential.     

On mountain pass type algorithms

We consider constructive proofs of the mountain pass lemma, the saddle point theorem and a linking type theorem. In each, an initial “path” is deformed by pushing it downhill using a (pseudo) gradient flow, and, at each step, a high point on the deformed path is selected. Using these high points, a Palais–Smale sequence is constructed, and the classical minimax theorems are recovered. Because the sequence of high points is more accessible from a numerical point of view, we investigate the behavior of this sequence in the final two sections. We show that if the functional satisfies the Palais–Smale condition and has isolated critical points, then the high points form a Palais–Smale sequence, and—passing to a subsequence—the high points will in fact converge to a critical point.     

精确罚函数和极小极大问题

在这篇文章中我们研究了对于不等式约束的非线性规划问题如何根据极小极大问题的鞍点来找精确罚问题的解。对于一个具有不等式约束的非线性规划问题,通过罚函数,我们构造出一个极小极大问题,应用交换“极小”或“极大”次序的策略,证明了罚问题的鞍点定理。研究结果显示极小极大问题的鞍点是精确罚问题的解。     

Multiplicity results for asymptotically linear elliptic problems at resonance

In this paper several new multiplicity results for asymptotically linear elliptic problem at resonance are obtained via Morse theory and minimax methods. Some new observations on the critical groups of a local linking-type critical point are used to deal with the resonance case at 0.     

Type Numbers of Critical Points for Nonsmooth Functionals

Type numbers of critical points for Lipschitz functionals are studied. Versions of the Morse inequalities are established; it is shown that the topological index of an isolated critical point is equal to the alternated sum of its type numbers. Formulas for calculating the type numbers of the zero critical point of one functional are given.     

Applications of local linking to asymptotically linear elliptic problems at resonance

We prove the existence of nontrivial solutions for asymptotically linear elliptic problems at resonance without assuming that the linearized equations at zero and infinity are different. The proof is based on a penalization technique and Morse index estimates for critical points produced by local linking. Received October 10, 1997     

Periodic solutions for a class of new superquadratic second order Hamiltonian systems

A new superquadratic growth condition is introduced, which is an extension of the well-known superquadratic growth condition due to P.H. Rabinowitz and the nonquadratic growth condition due to Gui-Hua Fei. An existence theorem is obtained for periodic solutions of a class of new superquadratic second order Hamiltonian systems by the minimax methods in critical point theory, specially, a local linking theorem.     

Conditional extremals in complete Riemannian manifolds

Conditional extremal curves in a complete Riemannian manifold M are defined as the critical points of the squared L² distance between the tangent vector field of a curve and a so-called prior vector field. We prove that this L² distance satisfies the Palais-Smale condition on the space of absolutely continuous curves joining two submanifolds of M, and thus establish the existence of critical points. We also prove a Morse index theorem in the case where the two submanifolds are single points, and use the Morse inequalities to place lower bounds on the number of critical points of each index.     

Extension of the variational formulation of the problem for a rigid-plastic medium to velocity fields with slip-type discontinuities

Sets of velocity fields containing slip-type discontinuities at the boundary of the rigid-plastic medium, as well as within it, and the functionals defined on these sets, are described. It is shown that the exact lower bounds of the variational problems for these functionals are equal to the coefficient of the critical load. The minimax problem with saddle point constructed here is regarded as an extension of the classical minimax problem of the theory of critical loads.     

Spectral Flow,Maslov Index and Bifurcation of Semi-Riemannian Geodesics

We give a functional analytical proof of the equalitybetween the Maslov index of a semi-Riemannian geodesicand the spectral flow of the path of self-adjointFredholm operators obtained from the index form. This fact, together with recent results on the bifurcation for critical points of strongly indefinite functionals imply that each nondegenerate and nonnull conjugate (or P-focal)point along a semi-Riemannian geodesic is a bifurcation point.In particular, the semi-Riemannian exponential map is notinjective in any neighborhood of a nondegenerate conjugate point,extending a classical Riemannian result originally due to Morse and Littauer.     

One-parameter families of optimization problems: Equality constraints

In this paper, we introduce generalized critical points and discuss their relationship with other concepts of critical points [resp., stationary points]. Generalized critical points play an important role in parametric optimization. Under generic regularity conditions, we study the set of generalized critical points, in particular, the change of the Morse index. We focus our attention on problems with equality constraints only and provide an indication of how the present theory can be extended to problems with inequality constraints as well.     

Breaking hyperbolicity for smooth symplectic toral diffeomorphisms

We study a smooth symplectic 2-parameter unfolding of an almost hyperbolic diffeomorphism on two-dimensional torus. This diffeomorphism has a fixed point of the type of the degenerate saddle. In the parameter plane there is a bifurcation curve corresponding to the transition from the degenerate saddle into a saddle and parabolic fixed point, separatrices of these latter points form a channel on the torus. We prove that a saddle period-2 point exists for all parameter values close to the co-dimension two point whose separatrices intersect transversely the boundary curves of the channel that implies the existence of a quadratic homoclinic tangency for this period-2 point which occurs along a sequence of parameter values accumulating at the co-dimension 2 point. This leads to the break of stable/unstable foliations existing for almost hyperbolic diffeomorphism. Using the results of Franks [1] on π ₁-diffeomorphisms, we discuss the possibility to get an invariant Cantor set of a positive measure being non-uniformly hyperbolic.     

A symplectic perspective on constrained eigenvalue problems

The Maslov index is a powerful tool for computing spectra of selfadjoint, elliptic boundary value problems. This is done by counting intersections of a fixed Lagrangian subspace, which designates the boundary conditions, with the set of Cauchy data for the differential operator. We apply this methodology to constrained eigenvalue problems, in which the operator is restricted to a (not necessarily invariant) subspace. The Maslov index is defined and used to compute the Morse index of the constrained operator. We then prove a constrained Morse index theorem, which says that the Morse index of the constrained problem equals the number of constrained conjugate points, counted with multiplicity, and give an application to the nonlinear Schrödinger equation.