Abstract
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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, Critical point localization and multiplicity results in Banach spaces via Nehari manifold technique, 2025.Β
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Critical point localization and multiplicity results in Banach spaces via Nehari manifold technique
Abstract.
In the paper, results on the existence of critical points in annular subsets of a cone are obtained with the additional goal of obtaining multiplicity results. Compared to other approaches in the literature based on the use of Krasnoselskiiβs compression-extension theorem or topological index methods, our approach uses the Nehari manifold technique in a surprising combination with the cone version of Birkhoff-Kelloggβs invariant-direction theorem. This yields a simpler alternative to traditional methods involving deformation arguments or Ekelandβs variational principle. The new method is illustrated on a boundary value problem for p-Laplacian equations and we believe that it will be useful for proving the existence, localization and multiplicity of solutions for other classes of problems with variational structure.
Keywords: Critical point, Nehari manifold, Birkoff-Kellogg invariant-direction, cone, p-Laplace operator, positive solution, multiple solutions
Mathematics Subject Classification: 47J25, 47J30, 34B15
1. Introduction
Finding localized solutions of equations (often equivalent to finding critical points of a given functional) in predefined domains is of interest in mathematical models, as it provides a certain degree of control over the solutions of the modeled system for example, one may seek a solution whose energy remains within specific bounds. However, this approach introduces additional challenges compared to critical point theory in the entire space, primarily due to the behavior of the functional at the boundaries. For instance, if a functional attains its minimum at a boundary point, that point is not necessarily a critical point in the usual sense, as the directional derivatives may not vanish in every direction of the space.
Some of the earliest attempts to localize critical points date back to Schechter [19, 20] (see also [21]). Using pseudogradients and deformation arguments and imposing a boundary condition on the sphere, Schechter established the existence of critical points within a ball under a compactness Palais-Smale condition on the functional. It can be said that Schechterβs theorems (for minimizers and points of mountain pass type) are critical point versions of Schaeferβs fixed point theorem in a ball [10, p. 139], a particular case of the general Leray-Schauder fixed point theorem [10, Theorem 6.5.4]. Since 2008 [13], the first author has been interested in locating critical points in annular subsets of a cone, with the adjacent goal of obtaining multiple solutions in such disjoint sets. Critical point results in annular conical sets can be seen as extensions of Krasnoselskiiβs fixed point theorem for cones. Similar to Schechterβs approach, the methods in [13] relied on deformation arguments within Hilbert spaces, exploiting their rich geometric structure. Later, in papers [12] and [15], analogous results were obtained in Banach spaces with some geometric properties. The alternative method of obtaining critical points, based on Ekelandβs variational principle, has also been used for localization in bounded conical sets [14], [15].
An interesting idea is to search for critical points on specific subsets where they are likely to lie. A classical example is the Nehari manifold, which has been extensively studied in the literature. A particularly insightful and comprehensive reference on this topic is the paper by Szulkin and Weth [18]; see also [17], [25], [7], [3], [1]. For a real Banach space and a functional , the corresponding Nehari manifold is defined as
where denotes the dual pairing between and . Obviously, any nonzero critical point of i.e., solution of the equation belongs to It may happen that the converse statement is also valid for certain points of with appropriate properties. For example, we can look for points that minimize the functional on , even if is unbounded from below on the entire domain.
Given the parallelism that can be highlighted between the fixed point and critical point theory, it is natural to assume that a deeper interaction of the two theories would be possible. This is exactly the purpose of this work, which for the first time combines the Nehari manifold technique with the topological invariant-direction theorem of Birkoff-Kellogg, thus obtaining results for locating solutions in annular conical sets without using Ekelandβs principle. The idea is to use a cone version of the Birkoff-Kellogg theorem for a given operator defined on a domain whose boundary coincides with the Nehari manifold, to guarantee the existence of an eigenvalue and an eigenvector. Then, using the definition of the Nehari manifold, it is shown that the eigenvalue must be equal to one, which implies that the corresponding direction is a critical point of the functional. Since the invariant-direction theorem is fundamentally derived using the fixed point index, our approach effectively combines critical point techniques (the Nehari manifold method) with fixed point methods.
In [22], the second author exploits the method of the Nehari manifold, combining it with Ekelandβs variational principle to obtain solutions within annular domains. The present work aims not only to demonstrate a natural and somewhat unexpected application of the Birkhoff-Kellogg theorem but also to extend and strengthen the results of [22] in several key directions: first and foremost, we generalize the theory from Hilbert spaces to Banach spaces. Secondly, we relax the regularity assumption on the functional, requiring only smoothness instead of , and finally, some conditions imposed in [22] are no longer necessary in our framework.
2. Preliminaries
In this section we recall some basic notions and results that are used throughout the paper.
2.1. The duality mapping
Let be a real Banach space, its dual space and let denote the dual pairing between and . A function is said to be a normalization function if it is continuous, strictly increasing, and as The duality mapping corresponding to the normalization function is the set-valued mapping given by
(2.1) |
Several fundamental properties of the duality mapping are summarized in the following proposition. For proofs and additional information, we refer the reader to [4, 5, 6].
Proposition 2.1.
The duality mapping (2.1) has the following properties:
-
(a)
For each the set is nonempty, bounded, convex and closed;
-
(b)
is monotone, i.e., we have
(2.2) -
(c)
If is strictly convex, then is strictly monotone, i.e., (2.2) holds with strict inequality for
-
(d)
If is strictly convex, then is single-valued;
-
(e)
If is reflexive and is single-valued, then and is demicontinuous, i.e., if strongly, then weakly;
-
(f)
If is reflexive and locally uniformly convex and is single-valued, then is bijective from to and its inverse is bounded, continuous and monotone.
2.2. Energetic Harnack inequality for the -Laplacian
As an example of duality mapping, we mention the case of the Sobolev space for , endowed with the energetic norm
corresponding to the -Laplace operator This operator is the duality mapping of the space corresponding to the normalization function In virtue of the very good geometry of the space, is invertible and its inverse
is bounded, continuous, and strictly monotone.
With respect to the -Laplace operator, we have the following Harnack type inequality in terms of the energetic norm, obtained in [12]. This result proves to be extremely useful for localization in annular sets, as it allows for obtaining certain lower bounds (see also [15]).
Lemma 2.2 (Lemma 3.1 from [12]).
For every function such that and for all , if and is nondecreasing on , then
(2.3) |
for all .
2.3. Birkhoff-Kellogg type theorem in cones
One of our tools in this paper is the version in cones due to Krasnoselskii and Ladyzenskii [11] (see also [10, p.139], [23] and [1]), of the classical theorem of Birkhoff and Kellogg invariant-direction theorem [2] (see also [9], [10, Theorem 6.6]) regarding the existence of a βnonlinearβ eigenvalue and eigenvector for compact maps in Banach spaces.
Theorem 2.3 (Krasnoselskii and Ladyzenskii).
Let be a real Banach space, be an open bounded set with , a cone, and a compact operator. If
then, there exist and such that
3. Main result
In what follows, is a reflexive and locally uniformly convex Banach space with a single-valued duality mapping is a nondegenerate cone in i.e., is closed, convex, for all and and is a FrΓ©chet differentiable functional.
Given , our aim is to determine a critical point of within the conical annular set
The Nehari manifold of the functional restricted to is the set
In the subsequent, we consider the operators
and
Our first two assumptions regard the operator , and read as follows:
- (H1):
-
The operator is completely continuous from to , and moreover, it is invariant with respect to the cone , i.e.,
- (H2):
-
The operator is bounded away from zero on the set , that is,
To state the third assumption, for each point , define the function
(3.1) |
- (H3):
-
For every , there exists a unique such that
Moreover, is positive on and negative on
From condition (H3), we see that the Nehari manifold allows for the representation
Another important consequence of assumption (H3), essential to our analysis, is the continuity of the mapping , as shown in the following lemma.
Lemma 3.1.
The mapping is continuous.
Proof.
Let with Since
there exists such that
The boundedness of ensures the existence of a convergent subsequence, which we still denote by . Let be its limit. Then, one clearly has
By definition, we have that and therefore From assumption (H3), it follows that Consequently, the entire sequence is convergent to which completes our proof. β
We are now ready to state the main result of this paper whose proof relies on the Krasnoselskii-Ladyzhenskaya theorem.
Theorem 3.2.
Assume that conditions (H1)-(H3) are satisfied. Then, there exists such that
Proof.
The central idea of the proof is to apply the Krasnoselskii-Ladyzenskii theorem to the operator on an open set chosen such that
(3.2) |
To this end, we define the set
Clearly, To verify that is open in the relative topology of , it is sufficient to show that is closed. Let and . Then, there exist and such that
(3.3) |
Since the sequence is bounded (recall that ), it follows that the sequence is also bounded and therefore admits a convergent subsequence, which we denote again by . Let be the limit of this subsequence. Clearly, implies that .
From (3.3), we may write , hence is convergent to . As the Nehari manifold is closed, it follows that . Consequently, the limit point satisfies
which implies that .
Let us observe that the relative boundary of is
To strictly comply with the conditions of Theorem 2.3, let us indicate the open set of the space to which it applies. Recall that, by a theorem due to Dugundji (see [8, Corollary 4.2]), every nonempty closed convex subset of a real Banach space is a retract of . In particular, every cone of is a retract of . Let be a retract of , i.e., a continuous mapping such that for all . Then, the set is open in and Indeed, since for all , one has
Moreover,
which proves our claim.
Now, based on assumptions (H1) and (H2), Theorem 2.3 guarantees the existence of an element and a positive scalar such that
or equivalently
Moreover, since , it follows that
(3.4) |
From this, we also have
(3.5) |
Combining (3.4) and (3.5), we derive
Using the strong monotonicity property of the duality mapping (Proposition 2.1 (c)), we infer that
which implies . Consequently, the identity holds, therefore is a critical point of the functional . β
Let us note that hypotheses (H2) and (H3) require a certain behavior of the functional only relative to an interval . The situation in which this behavior occurs on several such intervals leads us to the multiplicity of critical points, with their location in disjoint annular conical sets. Thus, Theorem 3.2 directly yields the following multiplicity principle.
Theorem 3.3 (Multiplicity).
Let condition (H1) hold.
- (10):
-
If there are finite sequences of numbers and with
such that conditions (H2) and (H3) are satisfied for every pair then there exist points with
- (20):
-
If there are increasing sequences of numbers and with
such that conditions (H2) and (H3) are satisfied for every pair then there exists a sequence of points with
- (30):
-
If there are decreasing sequences of numbers and with
such that conditions (H2) and (H3) are satisfied for every pair then there exists a sequence of points with
Proof.
The result follows directly by applying Theorem 3.2 to each pair β
4. Application
To illustrate the theoretical results, we consider the Dirichlet problem for a -Laplace equation
(4.1) |
where , and is a continuous function that is nonnegative and nondecreasing on
Consider the Banach space endowed with the usual norm . It is well known (see, e.g., [5, Chapter 1.2]) that is a uniformly convex and reflexive Banach space with its dual, where is the conjugate of , i.e., . If denotes the duality pairing between and and , then
for all (see [16, Proposition 8.14]).
Let denote the first eigenvalue of the Euler-Lagrange equation
It is known (see, e.g., [5]) that
that is, is the smallest constant such that
(4.2) |
for all . Also, for Nu trebuie βfromβ?? the continuous embedding one has
for every .
The energy functional of the problem (4.1) is
where . One has
where is the Nemytski superposition operator Hence the solutions of problem (4.1) are the critical points of functional
In , we consider the cone
where is the function involved in the energetic Harnack inequality (2.3), namely
Let , and denote
For , we assume that the following conditions hold:
- (h1):
-
The function satisfies the inequalities
(4.3) - (h2):
-
The function
is strictly increasing on
Given the above two conditions, the following existence result holds.
Theorem 4.1.
Under conditions (h1) and (h2), problem (4.1) admits a solution such that
Proof.
We apply Theorem 3.2.
Check of (H1).
(a). Complete continuity of the operator .The operator is completely continuous from to itself. Indeed, since compactly embeds into (see, e.g., [16, Theorem 8.8]), and continuously embeds into , the continuity of ensures that the Nemytskii operator is completely continuous from to . Finally, since is a continuous bounded operator, it follows that is completely continuous, as claimed.
We now show that the cone is invariant under the operator . Let , and denote . We show that .
By the comparison principle for the -Laplace operator (see, e.g., [24, Lemma 1.3]), since , it follows that . To prove that is symmetric, denote Since is symmetric, so is , and hence
Moreover, we have
and
Therefore,
which shows that both and solve the same Dirichlet problem for the -Laplace equation. By uniqueness of the solution to this problem, it follows that , that is, is symmetric. Finally, we observe that , which is nonnegative and nondecreasing on . Therefore, Lemma 2.2 applies and guarantees that the inequality (2.3) holds for . Consequently, as claimed, hence condition (H1) holds.
Check of (H2). Suppose, by contradiction, that (H2) does not hold. Then, one can find a sequence such that
(4.4) |
Since is demicontinuous (Proposition 2.1 (e)), relation (4.4) implies that
weakly. Therefore, for any given , we have
From the Harnack inequality and the monotonicity of the functions and on the interval for every we have
(4.5) |
Using the monotonicity of , the symmetry of and , and the bounds in (4.5), we obtain
Since for all we conclude that
whence which contradicts the strict positivity of on implied by (h2). Hence, (H2) holds.
Check of (H3). Let and denote We immediately see that the derivative of the mapping defined in (3.1) is
We claim that
(4.6) |
Since for all , it follows that for all . Moreover, by HΓΆlderβs inequality and (4.2), we have
since by definition. Thus, using the first inequality in (4.3), we obtain
that is, the first inequality in (4.6). To prove the second claim, note that the monotonicity of on , together with the Harnack inequality, yields that
(4.7) |
Using the symmetry of and the second inequality in (4.3), we find that
Consequently, the second inequality in (4.6) also holds.
To continue with the verification of , let us denote and . Then,
where
We now show that the function is strictly decreasing on For this, let One has
Since for all , it follows that . Then, using assumption (h2), we have
which implies
for all . Therefore and thus is strictly decreasing on Moreover, since and it follows that has exactly one zero in is positive on and negative on Correspondingly, has the unique zero at
is positive on and negative on So condition (H3) is verified.
Since all the conditions (H1)-(H3) are satisfied, Theorem 3.2 applies and gives the conclusion. β
Instead of condition (h2), we may consider an alternative assumption formulated in relation to the annular conical set . More exactly,
-
(h2β)
The function is of class on and
(4.8) where
Theorem 4.2.
Under conditions (h1) and (h2β), the problem (4.1) has a solution satisfying
Proof.
Similar to the proof of Theorem 4.1, assumption (H1) from Theorem 3.2 is satisfied. In addition, it is easy to see that the strict positivity of implies which as above guarantees (H2). Moreover, by (h1), relation (4.6) also holds. To verify condition (H2), it remains to prove that has a unique zero within the interval is positive on and negative on Under the notations from the proof of the previous theorem, consider the function
Then, we have
(4.9) |
We now show that is strictly decreasing on . Since is of class , it suffices to show that
Differentiating, and using that is nondecreasing, we obtain
For one has whence
Then, also using (4.8), we obtain
as we desired. Finally, by (4.6) and (4.9), we conclude that has a unique zero within the interval Moreover, is positive on and is negative on , so condition (H2) is verified.
Therefore, Theorem 3.2 applies and gives the conclusion. β
Remark 4.3.
Condition (h2) given on the whole interval does not lead to multiplicity. To see why, suppose there are two pairs , , with for which conditions (h1) and (h2) are both satisfied. By assumption (h1), we have
On the other hand, (h2) yields
This implies
which contradicts (4.6). However, condition (h2β) can be applied separately to each of several disjoint annular sets, which leads to multiple solutions, as shown in the following result illustrating the general multiplicity principle given by Theorem 3.3
Theorem 4.4.
- (10):
-
If there are finite sequences of numbers and with
such that conditions (h1) and (h2β) are satisfied for every pair then there exist solutions of problem (4.1) with
- (20):
-
If there are increasing sequences of numbers and with
such that conditions (h1) and (h2β) are satisfied for every pair then there exists a sequence of solutions of problem (4.1) with
- (30):
-
If there are decreasing sequences of numbers and with
such that conditions (h1) and (h2β) are satisfied for every pair then there exists a sequence of solutions of problem (4.1) with
Remark 4.5.
It is worth mentioning that requirement (h1) can be satisfied for a sequence of pairs as in (20), if for example
Similarly, (h1) can be satisfied for a sequence of pairs as in (30), if
Both situations mean a very strong oscillation towards infinity and zero, respectively, from below to above
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