Abstract
Authors
Radu Precup
Faculty of Mathematics and Computer Science and Institute of Advanced Studies in Science and Technology, Babes-Bolyai, University, Cluj-Napoca, Romania
Tiberiu Popoviciu Institute of Numerical Analysis, Romanian Academy, Romania
Andrei Stan
Tiberiu Popoviciu Institute of Numerical Analysis, Romanian Academy, Romania
Department of Mathematics, Babes-Bolyai University, Cluj-Napoca, Romania
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Precup R, Stan A, A Nehari manifold method for nonvariational problems, 2025.
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A Nehari manifold method for nonvariational problems
Abstract
The aim of this paper is to extend the Nehari manifold method from the variational setting to the nonvariational framework of fixed point equations. This is achieved by constructing a radial energy functional that generalizes the standard one from the variational case. Furthermore, the solutions obtained through our method are localized in conical annular sets, which leads to the existence of multiple solutions. The abstract results are illustrated by two representative applications.
keywords:
Nehari manifold method, nonvariational problems, fixed point, radial energy, -Laplacian equation1 Introduction and preliminaries
The Nehari manifold method is a well-known technique for finding nonzero critical points of functionals. Given a functional defined on a Banach space the Nehari manifold is defined as:
where denotes the duality between and its dual It is clear that any nonzero critical point of lies in Therefore, one may expect that it is easier to find nonzero critical points by restricting the search to this smaller set, as fewer or weaker conditions may be required compared to working in the entire space This is the case, for example, with the Palais-Smale compactness condition. Once the Nehari manifold is defined, the method proceeds by minimizing on This approach is effective when has a specific geometric structure, namely, for each direction the function
has a unique critical point at some In this case, the derivative satisfies
so Conversely, if then
showing that is a critical point of the function i.e., Thus, under this geometric condition, the Nehari manifold can be characterized as
This method has received increasing attention in recent years and has been successfully applied to various types of problems [4, 18, 8, 5, 25]. In the recent papers [23, 20], this technique has been refined to locate critical points within cones, which is useful when searching for solutions with additional properties such as positivity. Also, in [21], the method has been combined with Schauder’s fixed point theorem to obtain a localized solution for a system.
Compared to other techniques in critical point theory—such as general linking methods, and particularly the mountain pass theorem—the Nehari manifold method essentially requires only a radial behavior of the energy functional. Motivated by this observation, in this paper we propose a similar approach within the framework of fixed point theory, specifically for equations of non-variational type. To extend the technique to a fixed point equation of the form we begin by introducing a three-variable functional which is used to define a radial energy type function in any direction That is, for any unit vector and we define:
For each direction the derivative of with respect to is given by
This expression suggests that, for some direction , the quantity
can be interpreted as the (radial) potential of the energy functional at the moment . This interpretation is natural since, as shown in the paper, in the particular case of equations possessing a variational structure, i.e., the operator is of potential type in the sense that , for some functional , then the value of corresponds to . In this situation, the classical Nehari manifold is recovered, and existing methods apply. We emphasize that even in this case, our results significantly refine the classical ones by localizing the critical point and by imposing a weaker condition on the radial geometry of the energy function, which, in our case, requires only a unique maximum point in each direction rather than a unique critical point which is a maximum.
Under suitable conditions on the operator and the functional , and through a surprising combination with the Birkhoff–Kellogg invariant-direction theorem, we develop a Nehari-type method for establishing the existence of fixed points of within a conical annular region of a Banach space.
To summarize, the novelties of this paper are the following:
-
(a):
First and most importantly, we extend the Nehari manifold method from the variational setting to a nonvariational framework. This is achieved by constructing a radial energy that corresponds to the usual energy in the variational case.
-
(b):
The solutions obtained by this method are localized in conical annular sets. By applying the method repeatedly on different annular sets, we obtain the existence of multiple solutions.
-
(c):
For a given operator, we may construct multiple radial energies by choosing different radial potentials . Thus, even in the variational case, the energy corresponds to a particular choice of .
The structure of the paper is as follows. In Section 2 we present the main abstract result, introducing the functionals and , together with the associated Nehari manifold. Section 3 is devoted to applications: first, we discuss a nonvariational -Laplace problem illustrating our theoretical findings; second, we construct an example of and such that, for each direction , the associated radial energy functional has a unique maximum but two critical points, contrary to the common setting in the literature, to which, however, our result still applies.
We conclude this section with a series of basic well-known results from literature. The first result is Vitali’s theorem (see, e.g., [19, Lemma 9.1]) used in Lemma 6.
Theorem 1.
Let be a bounded open set and let be a sequence of functions from () with as , for a.e. . Then and in as , if and only if for each there exists a such that
for all and every with .
The next two results are essential in Theorems 4 and 5, respectively. The first one is the version in cones due to Krasnoselskii and Ladyzenskii [16] (see also [11, p.139], [12]), of the classical theorem of Birkhoff and Kellogg invariant-direction theorem [2] (see also [11, Theorem 6.6]) regarding the existence of a ‘nonlinear’ eigenvalue and eigenvector for compact maps in Banach spaces.
Theorem 2 (Krasnoselskii and Ladyzenskii).
Let be a real Banach space, be an open bounded set with , a cone, and a completely continuous operator. If
then, there exist and such that
The second result is the well-known ”nonlinear alternative” from compact mappings (see, e.g., [11, Theorem 5.2]).
Theorem 3 (Nonlinear alternative).
Let be a real Banach space, a convex set, and an open bounded set with . Suppose that is a completely continuous operator. Then at least one of the following two alternatives holds:
-
[(a)]
-
1.
has a fixed point in ,
-
2.
there exist and such that
2 Main results
2.1 Existence, localization and multiplicity in conical annular sets
Let be a Banach space, be a nondegenerate cone (also called a wedge), i.e., a closed, convex set such that for all , and . Note that, in particular, one may take . For any denote
Let
be a completely continuous operator and a continuous functional, respectively.
For each we associate to and the ”radial energy functional” in direction
It is straightforward to verify that
Let be two real numbers such that , and define
Clearly, if , then
if , then
and if , then
Our main assumption on the functional is the following:
- (h1)
-
There exist and with such that, for every , the mapping attains a unique maximum on the interval , and this maximum satisfies .
In particular, one may set
Lemma 1.
Under the assumption (h1), the mapping
is continuous.
Proof.
Let with as . Clearly, , and by assumption (h1), the sequence is bounded. In order to prove that , it suffices to show that any convergent subsequence of has limit (see, e.g., [17, Lemma 1.1]). Thus, let be a subsequence converging to some . Using (h1) we have that
that is
Passing to the limit we obtain
so is a maximum on of Again from (h1), we have Since the convergent subsequence was arbitrarily chosen, we infer that the entire sequence converges to which proves our statement. ∎
In what follows we denote
and
We call the Nehari-type manifold associated with the functional , operator and the conical annular region .
Remark 1.
Under assumption (h1), any point satisfies
Thus, any fixed point of that belongs to lies in the conical annular set . Moreover, assuming that , if is a fixed point of , then the associated energy in the direction , that is , attains its maximum over the interval at the unique point . Therefore, looking for a fixed point of the operator within the Nehari-type manifold , we not only obtain a fixed point lying in a conical annular region, but also one that maximizes the energy functional along its own direction.
Remark 2.
Under assumption (h1), one has
Indeed, if then for Also, being the maximum of on located in the open interval one has
Lemma 2.
Under the assumption (h1), the set is an open bounded subset of and its boundary relative to is
Proof.
Clearly, by definition, we have .
(i) Boundedness. Let . Then , where and . Thus, by assumption (h1), we have
and consequently,
which shows that is bounded.
(ii) Openness. To prove that is open we show that its complement
is closed. Let be a sequence such that
We show that . By the definition of , we have
where and . From the convergence , it follows that that Since
| (1) |
one has so
Next, observe that and based on Lemma 1, it follows that Passing to the limit in (1), we deduce that Thus
where This shows that as desired, and therefore is closed.
(iii) . In order to prove that we need to show that
| (2) |
Let be any point. Then is the limit of a sequence , where with
Taking to a subsequence we may assume that If then Otherwise, if we deduce that and Also, based on Lemma 1, one has and from we deduce that Hence where and that is Thus
For the converse inclusion, take any Then
If then For we may choose an increasing sequence with and Clearly and Hence Therefore finishing the proof of (2).
Finally, from the representations of and we see that ∎
We now proceed to state the main result of the paper, a theorem of existence and localization of a fixed point in a conical annular region. Consider the following set of conditions:
- (h2)
-
One has
- (h3)
-
The functional is such that if
then .
- (h4)
-
The functional is such that if
then .
- (h5)
-
The functional is such that if
then .
- (h6)
-
The operator is compressive on , i.e.,
- (h7)
-
The operator is expansive on , i.e.,
Theorem 4.
Let condition (h1) holds. If either the set of conditions (h2) and (h3); or the set (h2), (h4) and (h6); or the set (h2), (h5) and (h7) is satisfied, then has a fixed point in In addition, maximizes the radial energy functional on the interval along its own direction
Proof.
(a) Let conditions (h2) and (h3) hold. Hypothesis (h2) makes applicable the Birkhoff-Kellogg theorem for the operator on the set Hence, it is guaranteed the existence of a number and (from Lemma 2) such that Since , using Remarks 2, we have
| (3) |
so by assumption (h3), , i.e., is a fixed point for .
(b) Let conditions (h2), (h4) and (h6) hold. As above, there exist and such that , and relation (3) holds. Then, by assumption (h4), we have . If , then
which contradicts assumption (h6). Hence, , and therefore is a fixed point of .
(c) Let conditions (h2), (h5) and (h7) hold. As in step (b), there exist and such that , and relation (3) holds. Now, from assumption (h5), we have . If , then
which contradicts assumption (h7). Hence, , and thus . ∎
Using the nonlinear alternative instead of the Birkhoff-Kellogg theorem, we obtain the following existence result.
Theorem 5.
Assume conditions (h1) and (h5) hold true. Then the operator has a fixed point in
Proof.
From the nonlinear alternative we have that either
- (a)
-
has a fixed point in
or
- (b)
-
for some and .
The second case of the alternative does not occur, since otherwise we would have
whence by (h5), we obtain which is a contradiction. ∎
Remark 3.
Clearly, the fixed point given by Theorem 5 can be the origin. However, if then is not trivial.
Remark 4.
All the previous results remain valid if, in condition (h1), the maximum is replaced by the minimum, that is, the following condition holds:
- (h1∗)
-
There exist and with such that for each , the mapping has a unique minimum on and
Indeed, (h1∗) implies (h1) for while all the other conditions (h2)-(h7) are not affected by this change of sign.
Noting that the definition of the Nehari-type manifold and all the associated conditions are given with respect to a fixed pair we can expect to repeat them for different such pairs, thereby obtaining a finite or infinite number of fixed points of the operator in the cone This can happen if the mapping has oscillations. Thus, we have
Theorem 6.
- (10)
-
If there are pairs of numbers such that
and Theorem 4 applies to each of these pairs, then the operator has fixed points with
- (20)
-
If there is a sequence of pairs such that
and Theorem 4 applies to each of these pairs, then the operator has a sequence of fixed points with
- (30)
-
If there is a sequence of pairs such that
and Theorem 4 applies to each of these pairs, then the operator has a sequence of fixed points with
2.2 Recover the classical variational framework
In Section 2.1, a Nehari-type method has been introduced in a nonvariational framework, starting from a fixed point problem
associated with an operator In this respect, an energy-type function and a Nehari-type manifold have been defined. The natural question is whether we can recover the classical Nehari method within the variational framework.
To give an answer, let be the dual of , denote the duality between and and let the norms on and be denoted by the same symbol We shall denote by the duality mapping corresponding to a normalization function i.e. the set-valued operator defined by
Recall that by a normalization function we mean a continuous strictly increasing function with and lim We assume that Obviously, one has
for every and We assume that is single-valued, bijective, and that both and its inverse are continuous.
Furthermore, assume that is a functional satisfying, without loss of generality, . We can easily see that for any and , one has
Our goal is to obtain critical point of that is to solve the equation
Take . We consider the operator defined by
Obviously, the critical points of the functional are the fixed points of the operator
Let us consider the functional (recall that ),
Then,
From this, we observe that the classical energy functional is recovered through . Consequently, the classical Nehari manifold method (see [24]) is also retrieved; both in terms of the maximized mapping
and in the classical Nehari manifold given by
Corollary 1.
Under the previous conditions, if in addition
then has a critical point in the Nehari manifold with
In addition, maximizes the radial energy functional
on the interval along its own direction
Proof.
We only need to check conditions (h2) and (h3).
Check of (h2): Let and denote
Then and
whence, since one has
From this, we have . Thus, by the monotonicity of the function , it follows that
Therefore,
Check of (h3): Assume that
for some and Then
which is equivalent to
Hence, , and therefore , according to our assumption that .
Thus Theorem 4 applies and gives the result. ∎
3 Applications
3.1 A nonvariational Dirichlet problem with -Laplacian
To illustrate the theoretical results, we first consider the following nonvariational Dirichlet problem for a -Laplace equation
| (4) |
where , and is a continuous function.
Consider the Banach space endowed with the usual norm , where
It is well known (see, e.g., [7, Chapter 1.2]) that is a uniformly convex and reflexive Banach space with its dual, where is the conjugate of , i.e., . Let denote the duality pairing between and . Then, for any , we have
for all (see, e.g., [3, Proposition 8.14]).
In what follows, denotes the duality mapping of corresponding to the normalization function (). It is known that
and that is bijective and continuous, while its inverse is strongly monotone, bounded (maps bounded sets into bounded sets), and continuous (see, e.g., [7, Theorem 8]).
Let denote the first eigenvalue of the Euler-Lagrange equation
Then (see, e.g., [7, Remark 6]),
that is, is the smallest constant such that, for all , we have
| (5) |
Given the continuous embedding of in (see e.g., [3]), one has
| (6) |
for every .
In , we consider the cone
where is given by
| (7) |
For , we assume that the following conditions hold:
- (H1)
-
For each , the function is decreasing on , and for each , the function is increasing on . Moreover, is even in its second variable, that is,
for all and .
- (H2)
-
Let
The functions and satisfy
(8) where is a fixed value, and
- (H3)
-
For each and , the mapping
is strictly increasing on
In order to apply Theorem 4, we choose the functional to be
Clearly is continuous as is continuous.
We observe that the problem (4) allows for a fixed point formulation
where is given by
| (9) |
and
| (10) |
is the Nemytskii operator associated with the function .
In the subsequent, we will present a series of auxiliary results that will be used to prove the invariance of the operator over . When we say that a function is symmetric, we understand symmetric with respect to .
The first result concerns the symmetry and nonnegativity of the solution to a -Laplace equation.
Lemma 3.
Let be nonnegative a.e. on and symmetric. Then so is .
Proof.
Clearly is well defined (recall that (0,1)). Nonnegativity follows directly from the comparison principle for the -Laplace operator (see [1, Lemma 1.3]). Let and define . A simple computation shows that . Thus, by the uniqueness of the solution to the -Laplace equation, we deduce that , which proves that is symmetric. ∎
Our second result concerns the preservation of concavity for a -Laplace equation. Before stating it, let us define
Clearly, is a homeomorphism from onto , and its inverse is increasing on . Moreover, the problem (4) can be written in terms of as
Lemma 4.
For any that is symmetric with respect to , we have the representation
| (11) |
where
If in addition is nonnegative a.e. on and nondecreasing a.e. on , then is concave on .
Proof.
Denote
Since is continuous (see, e.g., [3, Theorem 8.2]), it follows that . Thus,
and by [3, Lemma 8.2], we have that
By the uniqueness of the solution to the -Laplace equation (see, e.g., [7, Remark 3]), we obtain (11) as the unique representation of .
Assume now that is nonnegative a.e. on and nondecreasing a.e. on . We observe that a.e. on ; hence is nonincreasing on (see, e.g., [10, Chapter 3]). Since
and the right-hand side is nonincreasing on (as the composition of an increasing and a nonincreasing function), it follows that is concave on . ∎
In the following, we establish a Harnack type inequality.
Lemma 5.
Let be nonnegative a.e. on , symmetric with respect to , and nondecreasing a.e. on . Then, for all , one has
| (12) |
where is given in (7).
Proof.
Let . Since is symmetric with respect to (see Lemma 3), one has (recall that ),
It is not difficult to prove that
| (13) |
for all To see this, let
Since is concave and , we deduce that for all . Thus,
which implies
Therefore,
which is nonincreasing a.e. on . Following [14, Remark 2.5], we conclude that is concave. As , we have that for all , i.e., (13) holds.
Since , integrating (13) from to (), we obtain
Finally, the conclusion follows from the above inequality and
∎
Now we prove that the Nemytskii’s operator is well-defined, bounded (maps bounded sets into bounded sets) and continuous.
Lemma 6.
Assume condition (H1) holds true. Then the Nemytskii operator is well-defined, bounded (maps bounded sets into bounded sets) and continuous from to .
Proof.
From (H1), we have
| (14) |
for all and . Indeed, for and , the evenness of in its second variable gives . Since is decreasing on , we obtain . The left-hand side of (14) follows from the definition of .
Well-definedness. Let and Since is continuous, it follows that is measurable (see, e.g., [19, Proposition 9.1]). Moreover, as , using (14) we obtain
which shows that .
Boundedness. Let and Using (14), to prove the boundedness of , it suffices to show that the operator maps bounded sets into bounded sets from to . This however follows immediately from the continuous embedding of into and the continuity of .
Now we are ready to show that .
Lemma 7.
Assume condition (H1) holds true. Then,
Proof.
Let . Then, by Lemma 6, we have . Since , it follows that . The symmetry of implies that is antisymmetric, i.e.,
Thus, condition (H1) ensures that is symmetric. Moreover, since is nondecreasing on and is nonincreasing a.e. on , condition (H1) also ensures that is nondecreasing a.e. on . Now applying Lemmas 3, 4 and 5, we find that is nonegative, symmetric, concave and satisfies the Harnack inequality (12). Therefore, . ∎
Next, we prove the complete continuity of the operator .
Lemma 8.
Under assumption (H1), the operator is completely continuous from to .
Proof.
We observe that
where
and is the embedding operator
Since, by the Rellich–Kondrachov theorem (see, e.g., [3]), embeds compactly into , it follows that embeds compactly into , as the dual spaces of and , respectively. This follows from the Schauders’s theorem on compact operators (see, [3, Theorem 6.4], [22, Theorem 4.19] or [15, Chapter 9]). Additionally, it is clear that is continuous and bounded. Since , , , and are continuous and bounded, and one of these operators is compact, it follows that is completely continuous, as the composition of all these four operators.
∎
Theorem 7.
Under conditions (H1)-(H3), the problem (4) admits a solution such that
Moreover, maximizes the energy function on the interval along its own direction
Proof.
Check of (h1). We will show that for any , we have that
| (15) |
and the mapping
| (16) |
has a unique zero. It is easily to see that whenever (15) and (16) hold, then the function has a unique maximum, as required by the abstract result.
For any and , one has
Using (14) and the monotonicity of in the first variable, we obtain
| (17) |
where the latter inequality follows from (6), which ensures that for all .
To obtain the second inequality in (15), observe that for any , the Harnack inequality, together with the monotonicity of on , gives
| (18) |
From (18) we obtain
| (19) |
Next, by (H1) we have
| (20) |
Therefore, the monotonicity of in its first variable, together with (18) and (20), ensures that
| (21) |
for all . Combining the second inequality from (H2), (19) and (21), we estimate
Thus,
for all , so both inequalities in (15) are valid.
To verify (16), we note that by (H3), for each , the mapping
is strictly increasing. Therefore, by (15), we have that
so the equation
has a unique solution. This however implies that, for all the mapping
has a unique zero, as desired.
Check of (h2). Let . Then, by definition, we have
which gives,
One has,
whence
By the monotonicity of we obtain
which shows that (h2) is satisfied.
Check of (h3). Since , as shown in Corollary 1, the functional satisfies (h3).
Remark 5.
If the inequalities in (15) are reversed, i.e.,
| (22) |
then Theorem 4 is still applicable. Indeed, in this case, the point is a minimum point of the mapping , so condition (h1∗) is satisfied instead of (h1). As noted in Remark 4, the theory still applies and yields the existence of a point such that , which, in this case, minimizes the associated energy functional.
Example 1.
A typical example of a function that satisfies conditions (H1)–(H3) is
Clearly, satisfies (H1). Moreover, and , and they satisfy
and
Therefore, (H2)–(H3) hold for sufficiently small and sufficiently large , respectively.
3.2 Radial functional energy with two critical points on each direction
In this subsection, we construct an explicit example of an operator and a functional such that, for each direction , the associated radial energy functional has two critical points: one corresponding to a global maximum point and the other to a local minimum. We remark that, for such a problem, a an approach similar to Theorem 7 is not applicable, since there we require that require the mapping has a global maximizer, which is the unique critical point (relation (16)). However, the abstract result, Theorem 4, can still be applied, as it only requires to have a unique maximum point.
This example is illustrative since many results based on the Nehari manifold method typically require that, for each direction , the mapping has a unique critical point, which is a global maximum point (see, e.g., [24, Chapter 3], [9, Theorem 2.1]). Therefore, our results can indeed be applied to a larger class of problems.
We consider the fixed point problem
| (24) |
where the kernel is given by
and with coefficients
In order to apply the abstract result, let , endowed with the supremum norm
and let the cone be given by
The functional is chosen to be
Standard arguments (see, e.g., [13]) show that is completely continuous from to . It follows immediately that the cone is invariant under the operator , i.e., . Indeed, first note that since then for any we have . Next, let and Since (see, e.g., [13]),
and
where , we have
for all . Thus, .
Next, in order to provide an explicit expression for the radial energy functional , we introduce the following notation
for all and . Let and . Then, we have
| (25) | ||||
Therefore, from (25), one has
| (26) | ||||
| (27) |
In what follows, we show that conditions (h1)-(h3) of Theorem 4 are satisfied in the entire cone , that is,
Check of (h1). Let Then, one has
From these, we can deduce the subsequent robust estimates
| (28) | ||||
Our next goal is to show that, for any choice of the parameters
| (29) | ||||
the cubic function
admits exactly one maximum point on the positive semi-axis (). To prove this, we look for the critical points of . Differentiating gives
so critical points are solutions of the quadratic equation
The discriminant satisfies
| (30) |
hence there are two distinct positive roots,
Notice that by (29) and (30), we have
| (31) |
and
| (32) |
One clearly has,
Hence, if
| (33) |
then is the unique global maximizer, while corresponds to a local minimizer.
To verify (33), observe that since
we have
Therefore, establishing and reduces to proving
respectively. The first inequality is immediate, since by (30), we have
For the second one, denote Then,
where the latter inequality follows since and . Hence, as desired.
From the above results and given the uniform estimates in (28) (which are independent of ), we deduce that for each , the mapping
has exactly one maximum point on the positive semi-axis, that is , which by (31) and (32) is bounded away from both zero and infinity, more exactly, and Hence, condition (h1) is verified.
Check of (h2). Note that for any nonnegative function , we have
Since every is nonnegative, it follows that
and therefore condition (h2) is satisfied.
Check of (h3). Assume that
for some and Then,
which yields , so (h3) holds.
Consequently, applying Theorem 4, we deduce that has a fixed point in .
Declarations
Data availability This manuscript has no associated data.
Conflict of interest
The authors have no conflict of interest to declare.
