Schrödinger operators on periodic discrete graphs

We consider Schrödinger operators with periodic potentials on periodic discrete graphs. The spectrum of the Schrödinger operator consists of an absolutely continuous part (a union of a finite number of non-degenerated bands) plus a finite number of flat bands, i.e., eigenvalues of infinite multiplicity. We obtain estimates of the Lebesgue measure of the spectrum in terms of geometric parameters of the graph and show that they become identities for some class of graphs. Moreover, we obtain stability estimates and show the existence and positions of large number of flat bands for specific graphs. The proof is based on the Floquet theory and the precise representation of fiber Schrödinger operators, constructed in the paper.     

Spectral gaps for periodic Schrödinger operators with hypersurface magnetic wells: Analysis near the bottom

We consider a periodic magnetic Schrödinger operator Hh, depending on the semiclassical parameter h>0, on a noncompact Riemannian manifold M such that H¹(M,R)=0 endowed with a properly discontinuous cocompact isometric action of a discrete group. We assume that there is no electric field and that the magnetic field has a periodic set of compact magnetic wells. We suppose that the magnetic field vanishes regularly on a hypersurface S. First, we prove upper and lower estimates for the bottom λ₀(Hh) of the spectrum of the operator Hh in L²(M). Then, assuming the existence of non-degenerate miniwells for the reduced spectral problem on S, we prove the existence of an arbitrarily large number of spectral gaps for the operator Hh in the region close to λ₀(Hh), as h→0. In this case, we also obtain upper estimates for the eigenvalues of the one-well problem.     

Semiclassical spectral estimates for Schrödinger operators at a critical energy level. Case of a degenerate minimum of the potential

We study the semi-classical trace formula at a critical energy level for a Schrödinger operator on Rn. We assume here that the potential has a totally degenerate critical point associated to a local minimum. The main result, which computes the contribution of this equilibrium, is valid for all time in a compact and establishes the existence of a total asymptotic expansion whose top order coefficient depends only on the germ of the potential at the critical point.     

Eigenvalues of the reference operator and semiclassical resonances

We prove that the estimate of the number of the eigenvalues in intervals , of the reference operator L^#(h) related to a self-adjoint operator L(h) is equivalent to the estimate of the integral over [λ−δ,λ+δ] of the sum of harmonic measures associated to the resonances of L(h) lying in a complex neighborhood Ω of λ>0 and the number of the positive eigenvalues of L(h) in [λ−δ,λ+δ]. We apply this result to obtain a Breit-Wigner approximation of the derivative of the spectral shift function near critical energy levels.     

Asymptotics of resonances for a Schrödinger operator with vector values

We show that the resonance counting function for a Schrödinger operator in dimension one has an asymptotic expansion and calculate an explicit expression for the leading term in some situations.     

Semi-classical spectral estimates for Schrödinger operators at a critical level. Case of a degenerate maximum of the potential

We study the semi-classical trace formula at a critical energy level for a Schrödinger operator on Rn. We assume here that the potential has a totally degenerate critical point associated to a local maximum. The main result, which establishes the contribution of the associated equilibrium in the trace formula, is valid for all time in a compact subset of R and includes the singularity in t=0. For these new contributions the asymptotic expansion involves the logarithm of the parameter h. Depending on an explicit arithmetic condition on the dimension and the order of the critical point, this logarithmic contribution can appear in the leading term.     

Trace formulas for non-self-adjoint periodic Schrödinger operators and some applications

Recently, a trace formula for non-self-adjoint periodic Schrödinger operators in L²(R) associated with Dirichlet eigenvalues was proved in [Differential Integral Equations 14 (2001) 671-700]. Here we prove a corresponding trace formula associated with Neumann eigenvalues. In addition we investigate Dirichlet and Neumann eigenvalues of such operators. In particular, using the Dirichlet and Neumann trace formulas, we provide detailed information on location of the Dirichlet and Neumann eigenvalues for the model operator with the potential Ke2ix, where K∈C.     

A variational approach to dislocation problems for periodic Schrödinger operators

As a simple model for lattice defects like grain boundaries in solid state physics we consider potentials which are obtained from a periodic potential V=V(x,y) on R² with period lattice Z² by setting Wt(x,y)=V(x+t,y) for x<0 and Wt(x,y)=V(x,y) for x?0, for t∈[0,1]. For Lipschitz-continuous V it is shown that the Schrödinger operators Ht=−Δ+Wt have spectrum (surface states) in the spectral gaps of H₀, for suitable t∈(0,1). We also discuss the density of these surface states as compared to the density of the bulk. Our approach is variational and it is first applied to the well-known dislocation problem (Korotyaev (2000, 2005) [15] and [16]) on the real line. We then proceed to the dislocation problem for an infinite strip and for the plane. In Appendix A, we discuss regularity properties of the eigenvalue branches in the one-dimensional dislocation problem for suitable classes of potentials.     

A local trace formula for resonances of perturbed periodic Schrödinger operators

We give a local trace formula for the pair (P₁(h)=P₀+W(hy),P₀), where P₀ is a periodic Schrödinger operator, W is a decreasing perturbation and h is a small positive parameter. We apply this result to establish the existence of ∼h⁻ⁿ resonances near some energy λ of σ(P₀).     

Convexity of trace functionals and Schrödinger operators

Let H be a semi-bounded self-adjoint operator on a separable Hilbert space. For a certain class of positive, continuous, decreasing, and convex functions F we show the convexity of trace functionals of the form tr(F(H+U−ε(U)))−ε(U), where U is a bounded, self-adjoint operator and ε(U) is a normalizing real function—the Fermi level—which may be identical zero. If additionally F is continuously differentiable, then the corresponding trace functional is Fréchet differentiable and there is an expression of its gradient in terms of the derivative of F. The proof of the differentiability of the trace functional is based upon Birman and Solomyak's theory of double Stieltjes operator integrals. If, in particular, H is a Schrödinger-type operator and U a real-valued function, then the gradient of the trace functional is the quantum mechanical expression of the particle density with respect to an equilibrium distribution function f=−F^′. Thus, the monotonicity of the particle density in its dependence on the potential U of Schrödinger's operator—which has been understood since the late 1980s—follows as a special case.     

Spectral properties of a class of reflectionless Schrödinger operators

We prove that one-dimensional reflectionless Schrödinger operators with spectrum a homogeneous set in the sense of Carleson, belonging to the class introduced by Sodin and Yuditskii, have purely absolutely continuous spectra. This class includes all earlier examples of reflectionless almost periodic Schrödinger operators. In addition, we construct examples of reflectionless Schrödinger operators with more general types of spectra, given by the complement of a Denjoy-Widom-type domain in C, which exhibit a singular component.     

Schrödinger operators on graphs and geometry I: Essentially bounded potentials

The inverse spectral problem for Schrödinger operators on finite compact metric graphs is investigated. The relations between the spectral asymptotics and geometric properties of the underlying graph are studied. It is proven that the Euler characteristic of the graph can be calculated from the spectrum of the Schrödinger operator in the case of essentially bounded real potentials and standard boundary conditions at the vertices. Several generalizations of the presented results are discussed.     

Stability of small periodic waves for the nonlinear Schrödinger equation

The nonlinear Schrödinger equation possesses three distinct six-parameter families of complex-valued quasiperiodic traveling waves, one in the defocusing case and two in the focusing case. All these solutions have the property that their modulus is a periodic function of x−ct for some c∈R. In this paper we investigate the stability of the small amplitude traveling waves, both in the defocusing and the focusing case. Our first result shows that these waves are orbitally stable within the class of solutions which have the same period and the same Floquet exponent as the original wave. Next, we consider general bounded perturbations and focus on spectral stability. We show that the small amplitude traveling waves are stable in the defocusing case, but unstable in the focusing case. The instability is of side-band type, and therefore cannot be detected in the periodic set-up used for the analysis of orbital stability.     

Spectral radius, index estimates for Schrödinger operators and geometric applications

In this paper we study the existence of a first zero and the oscillatory behavior of solutions of the ordinary differential equation ^′(vz^′)+Avz=0, where A, v are functions arising from geometry. In particular, we introduce a new technique to estimate the distance between two consecutive zeros. These results are applied in the setting of complete Riemannian manifolds: in particular, we prove index bounds for certain Schrödinger operators, and an estimate of the growth of the spectral radius of the Laplacian outside compact sets when the volume growth is faster than exponential. Applications to the geometry of complete minimal hypersurfaces of Euclidean space, to minimal surfaces and to the Yamabe problem are discussed.     

On perturbations of quasiperiodic Schrödinger operators

Using relative oscillation theory and the reducibility result of Eliasson, we study perturbations of quasiperiodic Schrödinger operators. In particular, we derive relative oscillation criteria and eigenvalue asymptotics for critical potentials.     

Koplienko–Neidhardt trace formula for pairs of contraction operators and pairs of maximal dissipative operators

We present a generalization of Koplienko–Neidhardt trace formula for pairs of Hilbert space operators (T , V ) with T contractive and V unitary such that T – V is a Hilbert–Schmidt operator. We extend the result to pairs of contractions and then, via Cayley transform, to pairs of maximal dissipative operators. (© 2006 WILEY‐VCH Verlag GmbH & Co. KGaA, Weinheim)     

Bounded Sobolev norms for linear Schrödinger equations under resonant perturbations

We prove that the Sobolev norms for a 1-D periodic Schrödinger equation remain bounded under small resonant perturbations.     

Trace asymptotics for fractional Schrödinger operators

This paper proves an analogue of a result of Bañuelos and Sá Barreto [5] on the asymptotic expansion for the trace of Schrödinger operators on R^d${\mathbb{R}}^d$ when the Laplacian −Δ, which is the generator of the Brownian motion, is replaced by the non-local integral operator (−Δ)^α/2${(-\mathrm{\Delta })}^{\alpha /2}$, 0<α<2$0<\alpha <2$, which is the generator of the symmetric stable process of order α. These results also extend recent results of Bañuelos and Yildirim [6] where the first two coefficients for (−Δ)^α/2${(-\mathrm{\Delta })}^{\alpha /2}$ are computed. Some extensions to Schrödinger operators arising from relativistic stable and mixed-stable processes are obtained.