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Celebratio Mathematica

Yakov M. Eliashberg

Stein and Weinstein manifolds 35 years
since Y. Eliashberg’s work

by Kai Cieliebak

This is a sur­vey on the the­ory of Stein and Wein­stein man­i­folds 35 years since Yasha Eli­ash­berg’s ground-break­ing art­icle [1].1

1. Some complex analysis

Holomorphic convexity and Levi problem
One of the suc­cesses of 19th cen­tury math­em­at­ics was the study of holo­morph­ic func­tions in one vari­able, cul­min­at­ing in the the­ory of Riemann sur­faces. Around the turn of the 20th cen­tury Poin­caré, Har­togs, Cous­in, E. Levi and oth­ers began study­ing holo­morph­ic func­tions of sev­er­al vari­ables. One sur­prise was the dis­cov­ery of the Har­togs phe­nomen­on [e1]: pairs of open sub­sets \( \Omega\subsetneq\Omega^{\prime}\subset\mathbb{C}^n \), \( n\geq 2 \), such that every holo­morph­ic func­tion \( \Omega\to\mathbb{C} \) ex­tends holo­morph­ic­ally to \( \Omega^{\prime} \). In oth­er words, the rings of holo­morph­ic func­tions on \( \Omega \) and \( \Omega^{\prime} \) are identic­al. An open sub­set \( \Omega \) is called holo­morph­ic­ally con­vex if there ex­ists no lar­ger open set \( \Omega^{\prime} \) to which every holo­morph­ic func­tion on \( \Omega \) ex­tends. The char­ac­ter­iz­a­tion of these sub­sets be­came a ma­jor prob­lem in the field, known as the Levi prob­lem. For bounded open sets with smooth bound­ary it was solved by E. Levi [e2], Oka [e4], Bremer­mann [e6] and Norguet [e5]: \( \Omega \) is holo­morph­ic­ally con­vex if and only if its bound­ary \( \partial\Omega \) is pseudo­con­vex. The lat­ter is a loc­al con­di­tion at bound­ary points, the strict ver­sion of which will be defined be­low.
Stein manifolds
The next step was the real­iz­a­tion that holo­morph­ic con­vex­ity is an in­trins­ic prop­erty of the set \( \Omega \) and can thus be defined for an ab­stract com­plex man­i­fold \( V \). For this, one as­so­ci­ates to a sub­set \( K\subset V \) its poly­no­mi­al hull2 \[ \widehat K_\mathcal{P} := \{p\in V\;\bigl|\; |f(p)|\leq\max_K|f| \text{ for all holomorphic functions }f:V\to\mathbb{C}\}. \] Us­ing this, a com­plex man­i­fold \( V \) is called holo­morph­ic­ally con­vex if \( \widehat K_\mathcal{P} \) is com­pact for all com­pact sub­sets \( K\subset V \). For an open sub­set of \( \mathbb{C}^n \) this agrees with the earli­er no­tion. Now a Stein man­i­fold [e3] is a com­plex man­i­fold \( V \) which is holo­morph­ic­ally con­vex and has “enough” holo­morph­ic func­tions \( V\to\mathbb{C} \), in the sense that they sep­ar­ate points and provide loc­al co­ordin­ate sys­tems near each point. Stein man­i­folds gen­er­al­ize holo­morph­ic­ally con­vex open sub­sets of \( \mathbb{C}^n \) and re­tain many of their func­tion the­or­et­ic prop­er­ties, such as Cartan’s The­or­ems A and B.3
Embeddings into \( \mathbb{C}^N \)
A prop­erly em­bed­ded com­plex sub­man­i­fold of \( \mathbb{C}^N \) is clearly Stein with the above defin­i­tion. Con­versely, Bish­op [e9] and Narasim­han [e8] proved that every Stein man­i­fold \( V \) of com­plex di­men­sion \( n \) ad­mits a prop­er holo­morph­ic em­bed­ding in­to \( \mathbb{C}^{2n+1} \). A lot of re­search went in­to find­ing the smal­lest \( N \) such that every \( n \)-di­men­sion­al Stein man­i­fold em­beds in­to \( \mathbb{C}^N \). After in­ter­me­di­ate work of For­ster, the op­tim­al in­teger \( N=[3n/2]+1 \) was fi­nally es­tab­lished by Eli­ash­berg and Gro­mov [4] and Schürmann [e23]. The proof by Eli­ash­berg and Gro­mov is based on an h-prin­ciple type res­ult, Gro­mov’s im­prove­ment of Grauert’s Oka prin­ciple.
Plurisubharmonicity
Let \( D\subset\mathbb{C} \) be the open unit disk. A real-val­ued func­tion \( \phi:V\to\mathbb{R} \) on a com­plex man­i­fold \( V \) is called strictly plur­isubhar­mon­ic if its com­pos­i­tion with each holo­morph­ic em­bed­ding \( f:D\hookrightarrow V \) is strictly subhar­mon­ic, that is, \( \Delta(\phi\circ f) > 0 \). It is called ex­haust­ing if it is prop­er and bounded from be­low. Each Stein man­i­fold ad­mits an ex­haust­ing strictly plur­isubhar­mon­ic func­tion: just com­pose a prop­er holo­morph­ic em­bed­ding in­to \( \mathbb{C}^N \) with the func­tion \( z\mapsto|z|^2 \) on \( \mathbb{C}^N \). Con­versely, Grauert [e7] proved that every com­plex man­i­fold which ad­mits an ex­haust­ing strictly plur­isubhar­mon­ic func­tion is Stein. This re­duces the con­struc­tion of holo­morph­ic func­tions, which are very ri­gid ob­jects, to the con­struc­tion of strictly plur­isubhar­mon­ic func­tions, which are much more flex­ible as we will see be­low.
Rational and polynomial convexity
Con­sider a com­pact set \( K \) of a com­plex man­i­fold \( V \). Sim­il­arly to its poly­no­mi­al hull, one defines its ra­tion­al hull:4 \begin{equation*} \displaylines{ \widehat K_\mathcal{R} := \Bigl\{p\in V\bigm| |h(p)|\leq\max_K|h|\text{ for all meromorphic functions }h=\frac{f}{g} \hfill\cr\hfill \text{ with }g|_K\neq 0 \text{ and }f(p),g(p) \text{ not both }0\Bigr\}. } \end{equation*} The set \( K \) is called ra­tion­ally (resp. poly­no­mi­ally) con­vex if \( \widehat K_\mathcal{R}=K \) (resp. \( \widehat K_\mathcal{P}=K \)). Thus poly­no­mi­al con­vex­ity im­plies ra­tion­al con­vex­ity. For \( K\subset\mathbb{C}^n \) we can re­place the holo­morph­ic (resp. mero­morph­ic) func­tions in the defin­i­tion of the poly­no­mi­al (resp. ra­tion­al) hull by com­plex poly­no­mi­als (resp. ra­tion­al func­tions), since holo­morph­ic (resp. mero­morph­ic) func­tions on \( \mathbb{C}^n \) can be ap­prox­im­ated uni­formly on com­pact sub­sets by com­plex poly­no­mi­als (resp. ra­tion­al func­tions). This ex­plains the ter­min­o­logy “poly­no­mi­al hull” and “ra­tion­al hull”.

2. The topology of Stein manifolds

It had long been ob­served that be­ing Stein im­poses strong to­po­lo­gic­al re­stric­tions on the un­der­ly­ing man­i­fold, so the ques­tion arose which smooth man­i­folds ad­mit a Stein struc­ture. Sur­pris­ingly, in real di­men­sion \( \neq 4 \) this ques­tion has a com­plete an­swer.5 To de­scribe it, let us first note two ne­ces­sary con­di­tions for the ex­ist­ence of a Stein struc­ture on a giv­en smooth man­i­fold \( V \) of real di­men­sion \( 2n \).

The first con­di­tion (arising from the com­plex struc­ture) is the ex­ist­ence of an al­most com­plex struc­ture \( J \), that is, an en­do­morph­ism of the tan­gent bundle with \( J^2=-\operatorname{id} \). Giv­en such \( J \), we as­so­ci­ate to a func­tion \( \phi:V\to\mathbb{R} \) the 1-form \( d^\mathbb{C}\phi=d\phi\circ J \). We call the func­tion \( J \)-con­vex if \( -dd^\mathbb{C}\phi(v,Jv) > 0 \) for each nonzero tan­gent vec­tor \( v \). If \( J \) is in­teg­rable (i.e., in­duced by a com­plex struc­ture), then \( J \)-con­vex­ity is equi­val­ent to strict plur­isubhar­mon­icity.

The second con­di­tion arises from the ex­ist­ence of an ex­haust­ing \( J \)-con­vex func­tion \( \phi:V\to\mathbb{R} \). After a \( C^2 \)-small per­turb­a­tion, we may as­sume that \( \phi \) is Morse. Then all its crit­ic­al points have Morse in­dex \( \leq n \) (since the re­stric­tion of \( \phi \) to each holo­morph­ic curve is strictly subhar­mon­ic, hence has no loc­al max­im­um and there­fore in­dex at most 1). By Morse the­ory, this im­plies that \( V \) has a handles of in­dex at most \( n \).

In di­men­sion \( \neq 4 \) these two con­di­tions are also suf­fi­cient:

The­or­em 2.1: (Eliashberg [1]) Let \( (V,J) \) be an al­most com­plex man­i­fold of di­men­sion \( 2n\neq 4 \) and \( \phi:V\to\mathbb{R} \) an ex­haust­ing Morse func­tion without crit­ic­al points of in­dex \( > n \). Then there ex­ists an in­teg­rable com­plex struc­ture \( \widetilde J \) on \( V \), ho­mo­top­ic to \( J \) through al­most com­plex struc­tures, and a con­vex in­creas­ing func­tion \( g:\mathbb{R}\to\mathbb{R} \) such that \( g\circ\phi \) is \( \widetilde J \)-con­vex. In par­tic­u­lar, the com­plex man­i­fold \( (V,\widetilde J) \) is Stein.

See [7] for a more de­tailed proof and [9] for a less de­tailed ac­count of the same.

3. Stein versus Weinstein

The no­tion of a Stein man­i­fold has a purely sym­plect­ic coun­ter­part. This was im­pli­cit in Wein­stein’s de­scrip­tion of sym­plect­ic handle­bod­ies [e18], and form­al­ized un­der the name Wein­stein man­i­fold by Eli­ash­berg and Gro­mov [2].

Li­ouville and Wein­stein do­mains. In this art­icle, a do­main will al­ways mean a com­pact man­i­fold with smooth bound­ary.6 Fix a do­main \( W \) of real di­men­sion \( 2n \). A Li­ouville form on \( W \) is a 1-form \( \lambda \) for which \( \omega=d\lambda \) is sym­plect­ic and \( \lambda|_{\partial W} \) is a con­tact form in­du­cing the bound­ary ori­ent­a­tion. The pair \( (W,\lambda) \) is called a Li­ouville do­main. Via \( \lambda=i_X\omega \), a Li­ouville form is equi­val­ent to a pair \( (\omega,X) \) con­sist­ing of a sym­plect­ic form \( \omega \) and a Li­ouville field \( X \), that is, a vec­tor field which points out­ward along \( \partial W \) and sat­is­fies \( L_X\omega=\omega \).

A de­fin­ing func­tion for \( W \) is a smooth func­tion \( \phi:W\to(-\infty,c] \) with reg­u­lar level set \( \partial W=\phi^{-1}(c) \). Let us call a vec­tor field \( X \) gradi­ent-like for \( \phi \) if \( d\phi=g(X,\cdot\,) \) for some pos­it­ive smooth \( (2,0) \) tensor field \( g \), where “pos­it­ive” means \( g(v,v) > 0 \) for all \( v\neq 0 \). It is shown in [e54] that this agrees with the no­tion of “gradi­ent-like” from [7] if \( \phi \) is Morse or gen­er­al­ized Morse, but it is defined without any nonde­gen­er­acy as­sump­tion on \( \phi \). A Wein­stein struc­ture on \( W \) is a pair \( (\lambda,\phi) \) con­sist­ing of a Li­ouville form \( \lambda \) and a de­fin­ing func­tion \( \phi \) for which the Li­ouville field \( X \) is gradi­ent-like. The triple \( (W,\lambda,\phi) \) is called a Wein­stein do­main.

Let us de­note by \( \mathfrak{Stein} \), \( \mathfrak{Weinstein} \) and \( \mathfrak{Liouville} \) the spaces of Stein, Wein­stein and Li­ouville struc­tures on \( W \), re­spect­ively. We have ca­non­ic­al maps \[ \mathfrak{Stein} \xrightarrow{\ \mathfrak{W}\ \ } \mathfrak{Weinstein} \xrightarrow{\ \mathfrak{L}\ \ } \mathfrak{Liouville} \] giv­en by \( \mathfrak{W}(J,\phi)=(-d^\mathbb{C}\phi,\phi) \) and \( \mathfrak{L}(\lambda,\phi)=\lambda \). Con­cern­ing the first map, we have the fol­low­ing the­or­em and con­jec­ture from [7] (see [e54] for their ad­apt­a­tion to the above no­tion of “gradi­ent-like”).

The­or­em 3.1: ([7], Theorem 1.1) For \( \dim_\mathbb{R} W\geq 6 \), the map \( \mathfrak{W}:\mathfrak{Stein}\to\mathfrak{Weinstein} \) in­duces an iso­morph­ism on \( \pi_0 \) and a sur­jec­tion on \( \pi_1 \).

Thus every Wein­stein struc­ture on \( W \) is Wein­stein ho­mo­top­ic to a Stein struc­ture (in par­tic­u­lar, the to­po­lo­gic­al con­di­tions for the ex­ist­ence of a Stein or Wein­stein struc­ture are the same), and any two Stein struc­tures that are Wein­stein ho­mo­top­ic are Stein ho­mo­top­ic.

Con­jec­ture 3.2: ([7], Conjecture 1.4) For \( \dim_\mathbb{R} W\geq 6 \), the map \( \mathfrak{W}:\mathfrak{Stein}\to\mathfrak{Weinstein} \) is a weak ho­mo­topy equi­val­ence.

A first step to­wards this con­jec­ture would be show­ing that the loc­al sin­gu­lar­ity the­or­ies of Stein and Wein­stein struc­tures agree. For ex­ample, the fol­low­ing ques­tion has a pos­it­ive an­swer for crit­ic­al points of Morse or birth-death type (see [7]) but is open in gen­er­al.

Ques­tion 3.3: Giv­en a Wein­stein struc­ture \( (\lambda,\phi) \) and a crit­ic­al point \( p \) of \( \phi \), does there ex­ist a com­plex struc­ture \( J \) near \( p \) for which \( \phi \) is \( J \)-con­vex?

Con­cern­ing the map \( \mathfrak{L} \), there ex­ist Li­ouville do­mains \( W \) which can­not be Wein­stein be­cause they have ho­mo­logy above half their di­men­sion. The first such ex­amples were con­struc­ted by Mc­Duff [e17]; fur­ther ex­amples arise from Lie groups [e19], fo­li­ations [6], and Anosov flows [e21], [e51]. However, the fol­low­ing ques­tion is open.

Ques­tion 3.4: Sup­pose that \( W \) ad­mits a de­fin­ing Morse func­tion without crit­ic­al points of in­dex \( > n \). Is then the map \( \mathfrak{L}:\mathfrak{Weinstein}\to\mathfrak{Liouville} \) a sur­jec­tion on \( \pi_0 \), or even a weak ho­mo­topy equi­val­ence?

Evid­ence for a pos­it­ive an­swer arises from re­cent work by Honda and Huang on con­vex hy­per­sur­faces in con­tact man­i­folds [e49]. An in­ter­est­ing test case is the Anosov Li­ouville do­mains from [e17], [e21], [e51]. These have the form \( W=[-1,1]\times M \) for a closed ori­ented 3-man­i­fold \( M \), so their sta­bil­iz­a­tion \( W\times B^2 \) (with its ca­non­ic­al Li­ouville struc­ture after smooth­ing the corners) sat­is­fies the hy­po­thes­is in Ques­tion 3.4. J. Breen and A. Chris­ti­an have re­cently pos­ted a proof that \( W\times B^2 \) is Li­ouville ho­mo­top­ic to a Wein­stein struc­ture if \( M \) is a tor­us bundle with its sus­pen­sion Anosov flow.

Liouville and Weinstein manifolds
The pre­ced­ing dis­cus­sion car­ries over from do­mains to man­i­folds (which without fur­ther spe­cific­a­tion will be smooth without bound­ary). Fix a man­i­fold \( V \) of real di­men­sion \( 2n \). A Li­ouville form on \( V \) is a 1-form \( \lambda \) such that \( \omega=d\lambda \) is sym­plect­ic, the cor­res­pond­ing Li­ouville field is com­plete, and there ex­ists an ex­haus­tion \( W_1\subset W_2\subset\cdots \) of \( V=\bigcup_{i\in\mathbb{N}}W_i \) by Li­ouville do­mains \( (W_i,\lambda|_{W_i}) \). The pair \( (V,\lambda) \) is called a Li­ouville man­i­fold. A Wein­stein struc­ture on \( V \) is a pair \( (\lambda,\phi) \) con­sist­ing of a Li­ouville form \( \lambda \) and an ex­haust­ing func­tion \( \phi:V\to\mathbb{R} \) for which the Li­ouville field \( X \) is gradi­ent-like. The triple \( (V,\lambda,\phi) \) is called a Wein­stein man­i­fold. An ap­pro­pri­ate no­tion of Li­ouville resp. Wein­stein ho­mo­topy (pre­vent­ing crit­ic­al points from es­cap­ing to in­fin­ity, and im­ply­ing sym­plec­to­morph­ism) is defined in [7]. Then The­or­em 3.1, Con­jec­ture 3.2 and Ques­tion 3.4 have nat­ur­al ana­logues for man­i­folds in­stead of do­mains. In this set­ting, one can ask the fol­low­ing weak­er ver­sion of Ques­tion 3.4.
Ques­tion 3.5: Is every Li­ouville man­i­fold which ad­mits an ex­haust­ing Morse func­tion without crit­ic­al points of in­dex \( > n \) sym­plec­to­morph­ic to a Wein­stein man­i­fold?

Evid­ence for a pos­it­ive an­swer arises from the fol­low­ing the­or­em.

The­or­em 3.6: (Y. Eliashberg, N. Ogawa and T. Yoshiyasu [13]) Let \( (V,\lambda) \) be a Li­ouville man­i­fold of di­men­sion \( 2n-2 \) which ad­mits an ex­haust­ing Morse func­tion without crit­ic­al points of in­dex \( > n \). Then its stabilization \( V\times\mathbb{R}^2 \) is sym­plec­to­morph­ic to a Wein­stein man­i­fold, which is flex­ible if \( n\geq 3 \).

In par­tic­u­lar, this the­or­em ap­plies to the Anosov Li­ouville man­i­folds \( V=\mathbb{R}\times M \) arising from [e17], [e21], [e51]. It im­proves an earli­er res­ult by Eli­ash­berg and Gro­mov [2], us­ing the the­ory of flex­ible Wein­stein man­i­folds dis­cussed in the next sec­tion.

4. Flexible Weinstein manifolds

The the­ory of Wein­stein man­i­folds took a new turn with E. Murphy’s dis­cov­ery, in her PhD thes­is un­der Eli­ash­berg’s su­per­vi­sion, of a class of “loose” Le­gendri­an knots sat­is­fy­ing an h-prin­ciple [e39]. This gave rise to a class of “flex­ible” Wein­stein man­i­folds that also sat­is­fy an h-prin­ciple, with far-reach­ing con­sequences in sym­plect­ic to­po­logy and com­plex ana­lys­is. The ba­sic ref­er­ence for this sec­tion is [7]; see also [10].
Loose Legendrians
Con­sider a con­tact man­i­fold \( (M,\xi) \) of di­men­sion \( \geq 5 \) and a closed Le­gendri­an sub­man­i­fold \( \Lambda \). A loose chart for \( \Lambda \) is a Dar­boux chart \( U\subset M \) with spe­cified sizes such that \( U\cap\Lambda \) agrees with a spe­cif­ic mod­el [e39], [7]. A Le­gendri­an knot \( \Lambda \) (i.e., \( \Lambda \) is con­nec­ted) is called loose if it has a loose chart. A Le­gendri­an link \( \Lambda \) with con­nec­ted com­pon­ents \( \Lambda_1,\dots,\Lambda_k \) is called loose if there ex­ist dis­joint loose charts \( U_i \) for \( \Lambda_i \) such that \( U_i\cap\Lambda=U_i\cap\Lambda_i \) for \( i=1,\dots,k \). A Le­gendri­an em­bed­ding is called loose if its im­age is loose.

A form­al Le­gendri­an em­bed­ding \( (f,F^s) \) is a smooth em­bed­ding \( f:\Lambda\hookrightarrow M \) covered by a ho­mo­topy of mono­morph­isms \( F^s:T\Lambda\to TM \), \( s\in[0,1] \), such that \( F^0=df \) and \( F^1:T\Lambda\to\xi \) is iso­trop­ic. Let us de­note by \( \mathfrak{Leg} \) and \( \mathfrak{FormalLeg} \) the spaces of Le­gendri­an em­bed­dings and form­al Le­gendri­an em­bed­dings \( \Lambda\hookrightarrow M \), re­spect­ively. As­so­ci­at­ing to a Le­gendri­an em­bed­ding \( f:\Lambda\hookrightarrow M \) the form­al Le­gendri­an em­bed­ding \( (f,F^s) \) with \( F^s=df \) for all \( s\in[0,1] \) defines a ca­non­ic­al map \[ \mathfrak{F}:\mathfrak{Leg}\to\mathfrak{FormalLeg}. \]

The­or­em 4.1: (Murphy [e39]) For \( \dim M\geq 5 \), the map \( \mathfrak{F}:\mathfrak{Leg}\to\mathfrak{FormalLeg} \) in­duces an iso­morph­ism on \( \pi_0 \) and a sur­jec­tion on \( \pi_1 \).
Con­jec­ture 4.2: For \( \dim M\geq 5 \), the map \( \mathfrak{F}:\mathfrak{Leg}\to\mathfrak{FormalLeg} \) is a weak ho­mo­topy equi­val­ence.
Flexible Weinstein domains and manifolds
Fix a do­main or man­i­fold \( V \) of di­men­sion \( 2n\geq 6 \). Let us call a Wein­stein struc­ture on \( V \) flex­ible if it is Wein­stein ho­mo­top­ic to one for which the func­tion is Morse and on each reg­u­lar level set the at­tach­ing spheres of di­men­sion \( n-1 \) form a loose Le­gendri­an link. This ter­min­o­logy fol­lows [12], and it de­vi­ates from [7] where the Wein­stein ho­mo­topy was omit­ted. De­note by \( \mathfrak{Weinstein}_{\operatorname{flex}} \) the space of flex­ible Wein­stein struc­tures on \( V \), and by \( \Omega^2_{\operatorname{nondeg}} \) the space of nonde­gen­er­ate 2-forms (which are the form­al data of Wein­stein struc­tures). The as­sign­ment \( (\lambda,\phi)\mapsto d\lambda \) defines a ca­non­ic­al map \[ \mathfrak{D}:\mathfrak{Weinstein}_{\operatorname{flex}}\to\Omega^2_{\operatorname{ nondeg}}. \]
The­or­em 4.3: ([7]) Let \( V \) be a do­main or man­i­fold of di­men­sion \( 2n\geq 6 \) ad­mit­ting a Wein­stein struc­ture. Then the map \( \mathfrak{D}:\mathfrak{Weinstein}_{\operatorname{flex}}\to\Omega^2_{\operatorname{ nondeg}} \) in­duces an iso­morph­ism on \( \pi_0 \) and a sur­jec­tion on \( \pi_1 \).
Con­jec­ture 4.4: Let \( V \) be a do­main or man­i­fold of di­men­sion \( 2n\geq 6 \) ad­mit­ting a Wein­stein struc­ture. Then the map \( \mathfrak{D}:\mathfrak{Weinstein}_{\operatorname{flex}}\to\Omega^2_\mathrm{ nondeg} \) is a weak ho­mo­topy equi­val­ence.

For ex­ample, con­sider the case \( V=\mathbb{R}^{2n} \) with \( n\geq 3 \). Then the space \( \Omega^2_{\operatorname{nondeg}} \) is con­tract­ible, so The­or­em 4.3 as­serts that \( \mathfrak{Weinstein}_{\operatorname{flex}} \) is path con­nec­ted and Con­jec­ture 4.4 asks that \( \mathfrak{Weinstein}_{\operatorname{flex}} \) is con­tract­ible. On the oth­er hand, M. McLean [e35] has con­struc­ted in­fin­itely many pair­wise non-sym­plec­to­morph­ic (in par­tic­u­lar, non­homo­top­ic) Wein­stein struc­tures on \( \mathbb{R}^{2n} \) (for \( n\geq 4 \), ex­ten­ded to \( n=3 \) by M. Abouzaid and P. Seidel [e37]), so The­or­em 4.3 be­comes false if we re­place \( \mathfrak{Weinstein}_{\operatorname{flex}} \) by \( \mathfrak{Weinstein} \).

Ques­tion 4.5: What is the ho­mo­topy type of the con­nec­ted com­pon­ents of \( \mathfrak{Weinstein} \) cor­res­pond­ing to McLean’s exot­ic Wein­stein struc­tures on \( \mathbb{R}^{2n} \)?

An­oth­er prop­erty of flex­ible Wein­stein struc­tures is that, after a Wein­stein ho­mo­topy, one can ar­bit­rar­ily pre­scribe the Morse func­tion:

The­or­em 4.6: ([7]) Let \( (V,\lambda,\phi) \) be a flex­ible Wein­stein man­i­fold (resp. do­main) of di­men­sion \( 2n\geq 6 \). Then for any ex­haust­ing (resp. de­fin­ing) Morse func­tion \( \psi:V\to\mathbb{R} \) without crit­ic­al points of in­dex \( > n \), there ex­ists a Wein­stein ho­mo­topy \( (\lambda_t,\phi_t) \) with \( (\lambda_0,\phi_0)=(\lambda,\phi) \) and \( \phi_1=\psi \).
Subcritical Weinstein domains and manifolds
A Wein­stein do­main or man­i­fold of di­men­sion \( 2n \) is called sub­crit­ic­al if it is Wein­stein ho­mo­top­ic to one whose func­tion is Morse and has no crit­ic­al points of in­dex \( \geq n \). Clearly, sub­crit­ic­al­ity im­plies flex­ib­il­ity, and the sta­bil­iz­a­tion of each Wein­stein do­main or man­i­fold is sub­crit­ic­al. Con­versely, we have
The­or­em 4.7: ([e27], see also [7]) Each sub­crit­ic­al Wein­stein do­main (resp. man­i­fold) is de­form­a­tion equi­val­ent to the sta­bil­iz­a­tion of a Wein­stein do­main (resp. man­i­fold) of di­men­sion two less.
Subflexible Weinstein domains
Flex­ib­il­ity as defined above is in­vari­ant un­der Wein­stein ho­mo­top­ies. However, as ob­served by E. Murphy and K. Siegel, a Wein­stein ho­mo­topy can lead to reg­u­lar level sets with non­loose at­tach­ing spheres, giv­ing rise to the fol­low­ing the­or­em.
The­or­em 4.8: (E. Murphy and K. Siegel [e47]) Every flex­ible Wein­stein man­i­fold has, after a Wein­stein ho­mo­topy, a non­flex­ible sub­level set.

A Wein­stein do­main is called sub­flex­ible if it is de­form­a­tion equi­val­ent to a sub­level set of a flex­ible Wein­stein man­i­fold. It fol­lows that each sub­flex­ible Wein­stein do­main has van­ish­ing sym­plect­ic ho­mo­logy [e35]. Non­flex­ib­il­ity of a sub­flex­ible Wein­stein do­main is de­tec­ted in [e47] by non­van­ish­ing of a suit­ably twis­ted ver­sion of sym­plect­ic ho­mo­logy.

Flexible Weinstein subdomains
The the­ory of flex­ible Wein­stein struc­tures has also ap­plic­a­tions to non­flex­ible ones. The reas­on is the fol­low­ing the­or­em, which may be viewed as a kind of con­verse to The­or­em 4.8.
The­or­em 4.9: (O. Lazarev [e52]) Each Wein­stein do­main \( (W,\lambda,\phi) \) of di­men­sion \( 2n\geq 6 \) is Wein­stein ho­mo­top­ic to some \( (W,\widetilde\lambda,\widetilde\phi) \) for which the Wein­stein sub­do­main \( \{\widetilde\phi\leq 0\} \) is flex­ible, and the cobor­d­ism \( \{\widetilde\phi\geq 0\} \) has ex­actly two smoothly can­celing crit­ic­al points of in­dex \( n-1 \) and \( n \).

It fol­lows that \( C:=\{\widetilde\phi\geq 0\} \) is dif­feo­morph­ic to \( [0,1]\times\partial W \) and \( \{\widetilde\phi\leq 0\} \) is the flex­ib­il­iz­a­tion \( \operatorname{Flex}(W) \) of \( W=(W,\lambda,\phi) \) (i.e., the flex­ible Wein­stein struc­ture on \( W \) form­ally ho­mo­top­ic to \( (W,d\lambda) \)), so we can state The­or­em 4.9 con­cisely as \[ W\sim\operatorname{Flex}(W)\cup C. \] Here the flex­ible sub­do­main \( \operatorname{Flex}(W) \) car­ries all the smooth to­po­logy, where­as the to­po­lo­gic­ally trivi­al cobor­d­ism \( C \) car­ries all the sym­plect­ic in­form­a­tion.

The­or­em 4.9 has a sur­pris­ing con­sequence for the crit­ic­al points of a Wein­stein do­main \( W=(W,\lambda,\phi) \) of di­men­sion \( 2n \). Fol­low­ing [e52], call \( W \) smoothly sub­crit­ic­al if it ad­mits a de­fin­ing Morse func­tion without crit­ic­al points of in­dex \( \geq n \), and smoothly crit­ic­al oth­er­wise. Call \( W \) Wein­stein sub­crit­ic­al if there ex­ists a Wein­stein struc­ture ho­mo­top­ic to \( (\lambda,\phi) \) whose Morse func­tion has no crit­ic­al points of in­dex \( \geq n \), and Wein­stein crit­ic­al oth­er­wise. Let \( \operatorname{Crit}(W) \) be the min­im­al num­ber of crit­ic­al points of a Morse func­tion on \( W \), and \( \operatorname{WCrit}(W) \) the min­im­al num­ber of crit­ic­al points of a Morse func­tion ap­pear­ing in a Wein­stein struc­ture ho­mo­top­ic to \( (\lambda,\phi) \).

The first case in the fol­low­ing the­or­em fol­lows from The­or­em 4.6 (more gen­er­ally for flex­ible \( W \)) and the third case from The­or­em 4.9 (the second case re­quires ad­di­tion­al ar­gu­ments).

The­or­em 4.10: (O. Lazarev [e52]) For each Wein­stein do­main \( W=(W,\lambda,\phi) \) of di­men­sion \( 2n\geq 6 \) we have \( \operatorname{WCrit}(W)\leq\operatorname{Crit}(W)+2 \). More pre­cisely, \[ \operatorname{WCrit}(W) = \begin{cases} \operatorname{Crit}(W) & \text{if }W \text{is Weinstein subcritical}, \\ \operatorname{Crit}(W) & \text{if }W \text{is smoothly critical}, \\ \operatorname{Crit}(W)+2 & \text{otherwise}. \end{cases} \]

5. The topology of rationally and polynomially convex subsets

It is in gen­er­al a dif­fi­cult prob­lem to de­cide wheth­er a giv­en com­pact sub­set \( K\subset\mathbb{C}^n \) is poly­no­mi­ally or ra­tion­ally con­vex. For ex­ample, the dis­joint uni­on of 3 closed balls in \( \mathbb{C}^n \) is poly­no­mi­ally con­vex (E. Kal­lin [e11]), while for 4 balls this is un­known. By con­trast, us­ing the tech­niques of the pre­vi­ous sec­tions, much can be said about the pos­sible to­po­lo­gic­al types of poly­no­mi­ally and ra­tion­ally con­vex do­mains and sub­man­i­folds.
Domains
Con­sider a Stein man­i­fold \( (V,J) \) of com­plex di­men­sion \( n\geq 3 \) and a do­main \( W\subset V \) (i.e., a \( 2n \)-di­men­sion­al com­pact sub­man­i­fold with smooth bound­ary). For \( n\geq 3 \), the pos­sible to­po­lo­gic­al types of poly­no­mi­ally and ra­tion­ally con­vex do­mains are com­pletely de­scribed in the fol­low­ing the­or­em, which was proved in [11] for \( V=\mathbb{C}^n \) and in [12] for gen­er­al \( V \).
The­or­em 5.1: ([11], [12]) Let \( (V,J) \) be a Stein man­i­fold of com­plex di­men­sion \( n\geq 3 \) and \( W\subset V \) a do­main.
  1. \( W \) is smoothly iso­top­ic to a ra­tion­ally con­vex do­main if and only if it ad­mits a de­fin­ing Morse func­tion without crit­ic­al points of in­dex \( > n \).
  2. \( W \) is smoothly iso­top­ic to a poly­no­mi­ally con­vex do­main if and only if it sat­is­fies, in ad­di­tion, the fol­low­ing to­po­lo­gic­al con­di­tion:
    • (T) The in­clu­sion ho­mo­morph­ism \( H_n(W;G)\to H_n(V;G) \) is in­ject­ive for every abeli­an group \( G \).

For \( V=\mathbb{C}^n \), con­di­tion (T) in The­or­em 5.1(b) reads \( H_n(W;G)=0 \) for every abeli­an group \( G \). By the uni­ver­sal coef­fi­cient the­or­em, this is equi­val­ent to \( H_n(W;\mathbb{Z})=0 \) and \( H_{n-1}(W;\mathbb{Z}) \) hav­ing no tor­sion. For ex­ample, this shows that for each \( k\in\mathbb{N} \) there ex­ists some dis­joint uni­on of \( k \) balls in \( \mathbb{C}^n \) which is poly­no­mi­ally con­vex. On the oth­er hand, the com­bin­a­tion of The­or­em 4.8, Cri­terion 5.2(b) be­low, and the Stein–Wein­stein cor­res­pond­ence yields poly­no­mi­ally con­vex do­mains in \( \mathbb{C}^n \) which are non­flex­ible, in par­tic­u­lar they ad­mit no de­fin­ing Morse func­tions without crit­ic­al points of in­dex \( \geq n \).

The proof of The­or­em 5.1 is based on the fol­low­ing cri­terion for ra­tion­al con­vex­ity due to S. Nemirovski [e34] (de­duced from ([e20], The­or­em 1.1), cf. ([11], Cri­terion 3.1)), and for poly­no­mi­al con­vex­ity due to K. Oka [e4] (cf. ([e31], The­or­em 1.3.8)). Here a do­main \( W \) in a Stein man­i­fold \( (V,J) \) is called \( J \)-con­vex if its bound­ary is a \( J \)-con­vex hy­per­sur­face, that is, a reg­u­lar level set of a \( J \)-con­vex func­tion defined on its neigh­bour­hood.

Cri­terion 5.2: Let \( W \) be a \( J \)-con­vex do­main in a Stein man­i­fold \( (V,J) \).
  1. \( W \) is ra­tion­ally con­vex if and only if there ex­ists a de­fin­ing \( J \)-con­vex func­tion \( \phi:W\to(-\infty,0] \) such that the 2-form \( -dd^\mathbb{C}\phi \) on \( W \) ex­tends to an ex­act Kähler form \( \omega \) on the whole \( (V,J) \).
  2. \( W \) is poly­no­mi­ally con­vex if and only if there ex­ists an ex­haust­ing \( J \)-con­vex func­tion \( \phi:V\to\mathbb{R} \) with reg­u­lar sub­level set \( W=\{\phi\leq 0\} \).

Note that an im­me­di­ate con­sequence of part (a) is the ra­tion­al con­vex­ity of a dis­joint uni­on \( B=B_1\amalg\cdots\amalg B_k\subset\mathbb{C}^n \) of fi­nitely many balls [e34]: if \( B_j \) has cen­ter \( a_j \) and ra­di­us \( r_j \), then \( \phi(z)=|z-a_j|^2-r_j^2 \) for \( z\in B_j \) is a de­fin­ing \( i \)-con­vex func­tion for \( B \) with \( -dd^\mathbb{C}\phi \) the stand­ard Kähler form on \( \mathbb{C}^n \).

Sketch of proof of The­or­em 5.1.   (a) The “only if” fol­lows im­me­di­ately from Cri­terion 5.2(a). By Morse the­ory, the “if” comes down to the fol­low­ing in­duct­ive state­ment: Let \( W,\phi,\omega \) be as in Cri­terion 5.2(a), and \( \Delta\subset V\setminus{\operatorname{Int}}\,W \) a trans­versely at­tached \( k \)-disk, \( k\leq n \). Then \( \Delta \) is iso­top­ic through trans­versely at­tached \( k \)-disks to \( \widetilde\Delta \) such that \( W\cup\widetilde\Delta \) is con­tained in an ar­bit­rar­ily small \( J \)-con­vex do­main \( \widetilde W \). This is proved in three steps.

Step 1. By Eli­ash­berg–Murphy’s h-prin­ciple for Lag­rangi­an caps ([8], The­or­em 2.2), \( \Delta \) is iso­top­ic through trans­versely at­tached \( k \)-disks to \( \widetilde\Delta \) which is \( \omega \)-iso­trop­ic and at­tached along an iso­trop­ic sphere \( \partial\widetilde\Delta\subset\partial W \) (which is loose if \( k=n \)). Moreover, we can ar­range that \( \widetilde\Delta \) is real ana­lyt­ic and \( J \)-or­tho­gon­ally at­tached, and \( \omega \) is real ana­lyt­ic near \( \widetilde\Delta \).

Step 2. The next in­gredi­ent is the fol­low­ing easy con­sequence of the \( \partial\overline\partial \)-lemma ([11], Pro­pos­i­tion 3.6): Let \( L \) be a real ana­lyt­ic Lag­rangi­an sub­man­i­fold (pos­sibly non­com­pact and/or with bound­ary) in a Kähler man­i­fold \( (V,J,\omega) \) with real ana­lyt­ic Kähler form \( \omega \), and let \( \rho:L\to\mathbb{R} \) be any real ana­lyt­ic func­tion. Then there ex­ists a unique real ana­lyt­ic func­tion \( \psi \) on a neigh­bor­hood of \( L \) sat­is­fy­ing \[ -dd^\mathbb{C}\psi=\omega,\qquad \psi|_{L}=\rho, \qquad (d^\mathbb{C}\psi)|_{L}=0. \]

Step 3. We ex­tend \( \widetilde\Delta \) from Step 1 to a real ana­lyt­ic Lag­rangi­an \( L\cong D^k\times D^{n-k} \), and ap­ply Step 2 with \( \rho \) hav­ing a unique in­dex \( k \) crit­ic­al point on \( \widetilde\Delta \). Us­ing \( J \)-or­tho­gon­al­ity, we can ad­just \( \psi \) to fit to­geth­er with \( \phi \) near \( \partial\widetilde\Delta \) to a \( J \)-con­vex func­tion \( \widehat\phi \) on a neigh­bour­hood \( U \) of \( W\cup\widetilde\Delta \) with \( -dd^\mathbb{C}\widehat\phi=\omega \) near \( \partial U \). Fi­nally, we use \( J \)-con­vex sur­round­ings to modi­fy \( \widehat\phi \) on \( U \) to a \( J \)-con­vex func­tion \( \widetilde\phi \), still sat­is­fy­ing \( -dd^\mathbb{C}\widetilde\phi=\omega \) near \( \partial U \), with a reg­u­lar sub­level set \( \widetilde W=\{\widehat\phi\leq c\} \) con­tain­ing \( W\cup\widetilde\Delta \). By Cri­terion 5.2(a), \( \widetilde W \) is ra­tion­ally con­vex.

(b)  The “only if” fol­lows from Cri­terion 5.2(b) which im­plies \( H_{n+1}(V,W;G)=0 \). For the “if”, sup­pose first that \( (V,J) \) is flex­ible. The hy­po­thes­is of part (a) to­geth­er with con­di­tion (T) im­ply the ex­ist­ence of an ex­haust­ing Morse func­tion \( \psi:V\to\mathbb{R} \) without crit­ic­al points of in­dex \( > n \) and reg­u­lar sub­level set \( W=\{\psi\leq 0\} \) ([11], Lemma 2.1). By The­or­em 4.6, the flex­ible Wein­stein struc­ture \( \mathfrak{W}(J,\phi) \) on \( V \) is ho­mo­top­ic to a Wein­stein struc­ture \( (\lambda,\psi) \) with the giv­en func­tion \( \psi \). Thus \( W=\{\psi\leq 0\} \) is a Wein­stein sub­do­main of \( (V,\lambda,\psi) \) and the res­ult fol­lows from the Stein–Wein­stein cor­res­pond­ence ([12], The­or­em 1.7(c)). If \( (V,J) \) is not flex­ible we use the split­ting \( V=\operatorname{Flex}(V)\cup C \) from The­or­em 4.9 (trans­ferred to the Stein set­ting) and ap­ply the pre­vi­ous ar­gu­ment to the flex­ible Stein man­i­fold \( \operatorname{Flex}(V) \). This com­pletes the proof. □

In com­plex di­men­sion 2, S. Nemirovski and K. Siegel [e44] have answered the ques­tion on ra­tion­al con­vex­ity in \( \mathbb{C}^2 \) for a spe­cial class of do­mains, disk bundles over sur­faces. In con­trast to the case of com­plex di­men­sion \( n\geq 3 \), there ex­ist \( i \)-con­vex do­mains in \( \mathbb{C}^2 \) (e.g., the unit disk co­tan­gent bundle of the Klein bottle) that can­not be real­ized as ra­tion­ally con­vex do­mains. Bey­ond this, the fol­low­ing ques­tion re­mains wide open.

Ques­tion 5.3: What are the pos­sible to­po­lo­gic­al types of ra­tion­ally and poly­no­mi­ally con­vex do­mains in \( \mathbb{C}^2 \)?
Totally real submanifolds
Next, we will dis­cuss totally real sub­man­i­folds. For pre­par­a­tion, let us cla­ri­fy the defin­i­tion of the ra­tion­al hull in Sec­tion 1 to the defin­i­tions in [e53]. They as­so­ci­ate to a com­pact sub­set \( K \) of a Stein man­i­fold \( V \) the hull \[ H(K) := \{x\in V\mid f^{-1}(0)\cap K\neq\varnothing \text{ for each holomorphic }f:V\to\mathbb{C} \text{ with }f(x)=0\}. \]
Lemma 5.4: We have \( \widehat K_\mathcal{R} = H(K) \).

Proof. The proof is a slight ad­apt­a­tion of the proof of ([e53], Pro­pos­i­tion 1.2).

As­sume first that \( p\notin H(K) \). Then there ex­ists a holo­morph­ic \( g:V\to\mathbb{C} \) with \( g(p)=0 \) and \( g|_K\neq 0 \). Then the mero­morph­ic func­tion \( h=f/g \) with \( f\equiv 1 \) sat­is­fies \( g|_K\neq 0 \), \( f(p)\neq 0 \), and \( |h(p)|=\infty > \max_K|h| \), hence \( p\notin\widehat K_\mathcal{R} \).

Con­versely, as­sume that \( p\notin\widehat K_\mathcal{R} \). Then there ex­ists a mero­morph­ic func­tion \( h=f/g \) with \( g|_K\neq 0 \), \( f(p),g(p) \) not both 0, and \( |h(p)| > \max_K|h| \). Set \( z:=f(p)/g(p)\in\mathbb{C}\cup\{\infty\} \). If \( z=\infty \), then \( g \) is holo­morph­ic with \( g(p)=0 \) and \( g|_K\neq 0 \), hence \( p\notin H(K) \). In the case \( z\neq\infty \) con­sider the holo­morph­ic func­tion \( \widetilde f:=f-zg \) sat­is­fy­ing \( \widetilde f(p)=0 \). If \( \widetilde f(q)=0 \) for some \( q\in K \), then in view of \( g(q)\neq 0 \) we would ob­tain the con­tra­dic­tion \( |h(q)|=|z|=|h(p)| \). Thus \( \widetilde f|_K\neq 0 \) and we again con­clude \( p\notin H(K) \). □

By ([e53], Pro­pos­i­tion 1.2), this im­plies that our no­tion of ra­tion­al con­vex­ity agrees with the no­tion of strong mero­morph­ic con­vex­ity in [e53].

Cri­terion 5.2 has the fol­low­ing ana­logue for totally real sub­man­i­folds.7

Cri­terion 5.5: Let \( L \) be a closed totally real sub­man­i­fold of a Stein man­i­fold \( (V,J) \).
  1. \( L \) is ra­tion­ally con­vex if and only if there ex­ists an ex­haust­ing \( J \)-con­vex func­tion \( \phi:V\to\mathbb{R} \) such that \( -dd^\mathbb{C}\phi|_L=0 \).
  2. \( L \) is poly­no­mi­ally con­vex if and only if there ex­ists an ex­haust­ing \( J \)-con­vex func­tion \( \phi:V\to[0,\infty) \) such that \( L=\phi^{-1}(0) \).

Proof. In view of the pre­ced­ing dis­cus­sion, part (a) is just ([e53], The­or­em 3.2). In (b) the “if” part fol­lows from ([e16], The­or­em 5.2.8), and the “only if” from ([e16], The­or­em 5.1.6). □

This cri­terion im­plies the fol­low­ing ne­ces­sary con­di­tions in sym­plect­ic terms. Here \( L \) is called ex­act ra­tion­ally con­vex if there ex­ists an ex­haust­ing \( J \)-con­vex func­tion \( \phi:V\to\mathbb{R} \) such that \( -d^\mathbb{C}\phi|_L \) is ex­act, so we have the im­plic­a­tions \[ \text{polynomially convex} \quad\implies\quad \text{exact rationally convex} \quad\implies\quad \text{rationally convex}. \]

Lemma 5.6: ([12], Lemma 3.8) Let \( (V,J,\phi) \) be a Stein man­i­fold and \( L\subset V \) a closed totally real sub­man­i­fold. If \( L \) is (ex­act) ra­tion­ally con­vex, then it is iso­top­ic through (ex­act) ra­tion­ally con­vex totally real sub­man­i­folds to a sub­man­i­fold \( L_1\subset V \) such that \( -d^\mathbb{C}\phi|_{L_1} \) is closed (resp. ex­act).

For \( (\mathbb{C}^n,i) \) with \( \phi(z)=|z|^2/4 \), so that \( -d^\mathbb{C}\phi \) is the stand­ard Li­ouville form, this be­comes the well-stud­ied ques­tion of (ex­act) Lag­rangi­an sub­man­i­folds of \( \mathbb{C}^n \). For ex­ample, the nonex­ist­ence of ex­act Lag­rangi­an sub­man­i­folds [e14] and the clas­si­fic­a­tion of Lag­rangi­an sub­man­i­folds of \( \mathbb{C}^2 \) (see [e36]) yield the fol­low­ing.

Ex­ample 5.7:
  1. An \( n \)-di­men­sion­al totally real closed sub­man­i­fold of \( \mathbb{C}^n \) is nev­er ex­act ra­tion­ally con­vex (in par­tic­u­lar not poly­no­mi­ally con­vex).
  2. The ra­tion­ally con­vex totally real closed sur­faces in \( \mathbb{C}^2 \) are pre­cisely the 2-tor­us and the nonori­ent­able sur­faces with neg­at­ive Euler char­ac­ter­ist­ic di­vis­ible by 4.

Con­sider now a closed man­i­fold \( M \) of di­men­sion \( n \). Fol­low­ing [12], its Grauert tube is the co­tan­gent bundle \( T^*M \) with its ca­non­ic­al (up to Stein ho­mo­topy) Stein struc­ture (car­ry­ing a \( J \)-con­vex func­tion with a Morse–Bott min­im­um along the zero sec­tion and no oth­er crit­ic­al points). In this set­ting, the Nearby Lag­rangi­an Con­jec­ture from sym­plect­ic to­po­logy takes the fol­low­ing form (cf. [12]).

Con­jec­ture 5.8: (Nearby Lagrangian Conjecture) Each ex­act ra­tion­ally con­vex totally real closed \( n \)-di­men­sion­al sub­man­i­fold \( L \) in the Grauert tube of \( M \) is iso­top­ic through ex­act ra­tion­ally con­vex totally real sub­man­i­folds to the zero sec­tion. In par­tic­u­lar, \( L \) is dif­feo­morph­ic to \( M \).

While this con­jec­ture is in gen­er­al open, here are some par­tial res­ults (cf. [12]).

Ex­ample 5.9:
  1. The Nearby Lag­rangi­an Con­jec­ture holds for \( M=S^2 \) (R. Hind [e40]) and \( M=T^2 \) (G. Dimitroglou Rizell, E. Goodman and A. Ivrii [e43]).
  2. For every ex­act ra­tion­ally con­vex totally real closed \( n \)-di­men­sion­al sub­man­i­fold \( L\subset T^*M \) of a Grauert tube, the re­stric­tion \( \pi|_L:L\to M \) of the co­tan­gent bundle pro­jec­tion is a simple ho­mo­topy equi­val­ence (M. Abouzaid and T. Kragh [e46]).
  3. Every ex­act ra­tion­ally con­vex totally real closed \( n \)-di­men­sion­al sub­man­i­fold \( L \) in the Grauert tube of \( S^n \) is homeo­morph­ic to \( S^n \) and bounds a par­al­lel­iz­able \( (n+1) \)-man­i­fold (M. Abouzaid [e41], T. Ekholm, T. Kragh and I. Smith [e45]).

In view of these ex­amples, we can ask a more gen­er­al ques­tion.

Ques­tion 5.10: ([12]) Let \( (V,J,\phi) \) be a Stein man­i­fold of com­plex di­men­sion \( n \) and \( L\subset V \) an ex­act ra­tion­ally con­vex totally real \( n \)-di­men­sion­al sub­man­i­fold. Is \( L \) iso­top­ic through (ex­act) ra­tion­ally con­vex totally real sub­man­i­folds to a poly­no­mi­ally con­vex one? In par­tic­u­lar, is \( [L]\subset H_n(V) \) in­di­vis­ible for \( L \) ori­ent­able?

Ex­ample 5.9(a) gives an af­firm­at­ive an­swer to this ques­tion for \( V=T^*S^2 \) or \( T^*T^2 \), and Ex­ample 5.9(b) gives in­di­vis­ib­il­ity of \( [L] \) for \( V=T^*M \). More gen­er­ally, the Nearby Lag­rangi­an Con­jec­ture would im­ply an af­firm­at­ive an­swer for \( V=T^*M \).

6. Holomorphic versus symplectic

The­or­em 3.1 and Con­jec­ture 3.2 es­tab­lish a to­po­lo­gic­al equi­val­ence between Stein and Wein­stein struc­tures. Non­ethe­less, the holo­morph­ic geo­metry of Stein man­i­folds tends to be much more ri­gid than the sym­plect­ic geo­metry of their as­so­ci­ated Wein­stein man­i­folds. The main reas­on for this is that the geo­metry of a Stein man­i­fold \( V \) is en­coded in its ring of holo­morph­ic func­tions \( V\to\mathbb{C} \), where­as for Wein­stein man­i­folds there ap­pears to be no ana­logue of this ring. The goal of this sec­tion is to il­lus­trate this dif­fer­ence in some con­crete geo­met­ric ques­tions.
Flexibility and subflexibility
By defin­i­tion, flex­ib­il­ity and sub­flex­ib­il­ity of a Stein struc­ture are prop­er­ties of the as­so­ci­ated Wein­stein struc­ture. This prompts the fol­low­ing.
Ques­tion 6.1: How is flex­ib­il­ity or sub­flex­ib­il­ity of a Stein man­i­fold re­flec­ted in its com­plex ana­lyt­ic prop­er­ties, in par­tic­u­lar in its the­ory of holo­morph­ic func­tions?
Splitting and nonhyperbolicity
Ac­cord­ing to The­or­em 4.7, a sub­crit­ic­al Stein man­i­fold \( V \) splits sym­plect­ic­ally as a product \( V^{\prime}\times\mathbb{C} \). So we may ask this:
Ques­tion 6.2: Un­der which con­di­tions does a sub­crit­ic­al Stein man­i­fold \( V \) split holo­morph­ic­ally as a product \( V^{\prime}\times\mathbb{C} \)?

A ne­ces­sary con­di­tion for this is the ex­ist­ence of a non­con­stant holo­morph­ic map \( \mathbb{C}\to V \) through each point of \( V \). In par­tic­u­lar, \( V \) is non­hyper­bol­ic in the sense of Kobay­ashi or Brody [e15], [e24]. It would be in­ter­est­ing to study the sym­plect­ic coun­ter­parts of these no­tions; see [e29] for some steps in this dir­ec­tion.

Boundary versus interior
For a Stein or Wein­stein do­main \( W \) two nat­ur­al ques­tions arise:
  1. What does the bound­ary know about the in­teri­or?
  2. What does the in­teri­or know about the bound­ary?

For a Stein do­main \( W \) both ques­tions are well un­der­stood:

(1) The CR struc­ture on the bound­ary (defined as the germ of a com­plex struc­ture on a neigh­bour­hood of \( \partial W \)) de­term­ines \( W \) uniquely up to bi­ho­lo­morph­ism. This was proved by H. Rossi [e10], by re­cov­er­ing \( W \) as the spec­trum of the ring of holo­morph­ic func­tions on \( \mathcal{O}p(\partial W) \).

(2) The bi­ho­lo­morph­ism type of the in­teri­or de­term­ines the bound­ary uniquely up to dif­feo­morph­ism. In fact, C. Fef­fer­man [e12] proved that each bi­ho­lo­morph­ism between the in­teri­ors of Stein do­mains ex­tends smoothly to the bound­ary, us­ing that such a bi­ho­lo­morph­ism is an iso­metry for the Bergmann met­rics. On the oth­er hand, the Stein de­form­a­tion type of the in­teri­or does not re­cov­er the bound­ary: S. Courte [e42] has con­struc­ted pairs of Stein do­mains whose in­teri­ors are de­form­a­tion equi­val­ent as Stein man­i­folds, but whose bound­ar­ies are nondif­feo­morph­ic.

For a Wein­stein do­main \( W \) both ques­tions are much more subtle:

(1) This ques­tion has sev­er­al vari­ants, de­pend­ing on the struc­ture as­sumed on the bound­ary and the equi­val­ence re­la­tion for the in­teri­or. The strongest vari­ant ap­pears in a the­or­em of Gro­mov [e14]: Every Wein­stein do­main whose bound­ary is \( S^3 \) with its stand­ard con­tact form is sym­plec­to­morph­ic to the stand­ard ball \( B^4\subset\mathbb{R}^4 \). For the fol­low­ing vari­ants, we as­sume that the bound­ary is giv­en with its con­tact struc­ture. Unique­ness of Wein­stein fillings up to de­form­a­tion equi­val­ence is proved for the fol­low­ing man­i­folds with their stand­ard con­tact struc­tures: \( S^3 \), \( S^2\times S^1 \), the lens spaces \( L(p,1) \) for \( p\neq 4 \), and con­nec­ted sums of these [5], [e28], [7]. Unique­ness up to sym­plec­to­morph­ism of the com­ple­tion is proved for \( T^3 \) with its stand­ard con­tact struc­ture [e38]. In high­er di­men­sions no unique­ness res­ults up to de­form­a­tion equi­val­ence are known, but unique­ness up to dif­feo­morph­ism is proved for \( S^{2n-1} \) with its stand­ard struc­ture [e17], and more gen­er­ally for con­tact man­i­folds ad­mit­ting a sub­crit­ic­al Wein­stein filling [e50]. On the oth­er hand, in any di­men­sion \( 4k-1\geq 3 \) there ex­ist con­tact man­i­folds which ad­mit in­fin­itely many pair­wise ho­mo­topy in­equi­val­ent Wein­stein fillings [e26], [e30], [e48], and there ex­ist con­tact 3-man­i­folds with in­fin­itely many simply con­nec­ted Wein­stein fillings which are all homeo­morph­ic but pair­wise nondif­feo­morph­ic [e33].

(2) This ques­tion also has two vari­ants, de­pend­ing on which sym­plect­ic struc­ture we con­sider on the in­teri­or of \( W \). With the sym­plect­ic struc­ture of its com­ple­tion, we have the Wein­stein ana­logue of S. Courte’s the­or­em [e42]: there ex­ist pairs of Wein­stein do­mains whose com­ple­tions are sym­plec­to­morph­ic, but whose bound­ar­ies are nondif­feo­morph­ic. With the (fi­nite volume) sym­plect­ic struc­ture in­duced from \( W \), we have some par­tial ri­gid­ity [e22]: if two Wein­stein do­mains with nonde­gen­er­ate peri­od­ic or­bits on their bound­ar­ies have ex­act sym­plec­to­morph­ic in­teri­ors, then the ac­tion spec­tra of their bound­ar­ies agree.

Ques­tion 6.3: Do Wein­stein do­mains with sym­plec­to­morph­ic in­teri­ors have dif­feo­morph­ic bound­ar­ies?
Automorphisms
The group of bi­ho­lo­morph­isms of the in­teri­or of a Stein do­main is al­ways a fi­nite di­men­sion­al Lie group, which is gen­er­ic­ally trivi­al for strictly pseudo­con­vex bounded do­mains in \( \mathbb{C}^n \) [e13]. By con­trast, the group \( \operatorname{Symp}_c(V) \) of com­pactly sup­por­ted sym­plec­to­morph­isms of a Wein­stein man­i­fold \( V \) is al­ways in­fin­ite di­men­sion­al. A very in­ter­est­ing ques­tion con­cerns the to­po­logy of this group and its ca­non­ic­al in­clu­sion \( \operatorname{Symp}_c(V)\to\operatorname{Diff}_c(V) \) in­to com­pactly sup­por­ted dif­feo­morph­isms. In di­men­sion 4 this is un­der­stood in some cases: \( \operatorname{Symp}_c(\mathbb{R}^4) \) is con­tract­ible (Gro­mov [e14]) and \( \operatorname{Symp}_c(T^*S^2)\simeq\mathbb{Z} \) gen­er­ated by the Dehn–Seidel twist \( \tau \) (P. Seidel [e32]), so since \( \tau^2 \) is smoothly trivi­al the map \( \operatorname{Symp}_c(T^*S^2)\to\operatorname{Diff}_c(T^*S^2) \) is not in­ject­ive on \( \pi_0 \). Much less is known in high­er di­men­sions, for ex­ample.
Ques­tion 6.4: Is the map \( \operatorname{Symp}_c(\mathbb{R}^{2n})\to\operatorname{Diff}_c(\mathbb{R}^{2n}) \) sur­ject­ive on \( \pi_0 \)?
Convexity
In a Stein man­i­fold \( (V,J) \), \( J \)-con­vex­ity of a hy­per­sur­face is a loc­al prop­erty de­pend­ing on the curvatures at a point. Moreover, it is easy to see that \( J \)-con­vex hy­per­sur­faces are not dense with re­spect to the Haus­dorff met­ric on the space of closed hy­per­sur­faces: if \( K\subset U\subset V \) with \( K \) com­pact and \( U \) open such that \( \widehat K_\mathcal{H}\not\subset U \), then \( U\setminus K \) con­tains no \( J \)-con­vex hy­per­sur­face sur­round­ing \( K \).

In a Li­ouville man­i­fold \( (V,\lambda) \), let us call a hy­per­sur­face \( S \) \( \lambda \)-con­vex if it ad­mits a con­tact form \( \alpha \) such that \( \alpha-\lambda|_S \) is ex­act. The first ob­struc­tions to this prop­erty arise not near points but near closed char­ac­ter­ist­ics. It is true but much less ob­vi­ous that \( \lambda \)-con­vex hy­per­sur­faces are not dense with re­spect to the Haus­dorff met­ric on the space of closed hy­per­sur­faces [e25].

Kai Cieliebak re­ceived his PhD from ETH Zürich in 1996. After postdocs at Har­vard and Stan­ford and an as­so­ci­ate pro­fess­or­ship at Lud­wig-Max­imili­ans-Uni­versität München, he is now full pro­fess­or at Uni­versität Augs­burg.

Works

[1] Y. Eli­ash­berg: “To­po­lo­gic­al char­ac­ter­iz­a­tion of Stein man­i­folds of di­men­sion \( > 2 \),” In­ter­nat. J. Math. 1 : 1 (1990), pp. 29–​46. MR 1044658 article

[2] Y. Eli­ash­berg and M. Gro­mov: “Con­vex sym­plect­ic man­i­folds,” pp. 135–​162 in Sev­er­al com­plex vari­ables and com­plex geo­metry: Part 2. Edi­ted by E. Bed­ford, J. P. D’An­gelo, R. E. Greene, and S. G. Krantz. Proc. Sym­pos. Pure Math. 52. Amer­ic­an Math­em­at­ic­al So­ci­ety, 1991. Pro­ceed­ings of the 37th An­nu­al Sum­mer Re­search In­sti­tute (Uni­versity of Cali­for­nia, Santa Cruz, Cali­for­nia, 10–30 Ju­ly 1989). MR 1128541 Zbl 0742.​53010 incollection

[3] Y. Eli­ash­berg: “Con­tact 3-man­i­folds twenty years since J. Mar­tin­et’s work,” Ann. Inst. Four­i­er (Gren­oble) 42 : 1–​2 (1992), pp. 165–​192. MR 1162559 article

[4] Y. Eli­ash­berg and M. Gro­mov: “Em­bed­dings of Stein man­i­folds of di­men­sion \( n \) in­to the af­fine space of di­men­sion \( 3n/2+1 \),” Ann. of Math. (2) 136 : 1 (1992), pp. 123–​135. MR 1173927 Zbl 0758.​32012 article

[5] Y. Eli­ash­berg: “Sym­plect­ic geo­metry of plur­isubhar­mon­ic func­tions,” pp. 49–​67 in Gauge the­ory and sym­plect­ic geo­metry (Montreal, PQ, 1995). Edi­ted by J. Hur­tu­bise, F. Lalonde, and G. Sa­bidussi. NATO Adv. Sci. Inst. Ser. C: Math. Phys. Sci. 488. Kluwer (Dordrecht), 1997. Notes by Miguel Ab­reu. MR 1461569 Zbl 0881.​32010 incollection

[6] Y. M. Eli­ash­berg and W. P. Thur­ston: Con­foli­ations. Uni­versity Lec­ture Series 13. Amer­ic­an Math­em­at­ic­al So­ci­ety (Provid­ence, RI), 1998. MR 1483314 book

[7] K. Cieliebak and Y. Eli­ash­berg: From Stein to Wein­stein and back: Sym­plect­ic geo­metry of af­fine com­plex man­i­folds. Amer­ic­an Math­em­at­ic­al So­ci­ety Col­loqui­um Pub­lic­a­tions 59. Amer­ic­an Math­em­at­ic­al So­ci­ety (Provid­ence, RI), 2012. MR 3012475 Zbl 1262.​32026 book

[8] Y. Eli­ash­berg and E. Murphy: “Lag­rangi­an caps,” Geom. Funct. Anal. 23 : 5 (2013), pp. 1483–​1514. MR 3102911 Zbl 1308.​53121 article

[9] K. Cieliebak and Y. Eli­ash­berg: “Stein struc­tures: ex­ist­ence and flex­ib­il­ity,” pp. 357–​388 in Con­tact and sym­plect­ic to­po­logy. Edi­ted by F. Bour­geois, V. Colin, and A. Stip­sicz. Bolyai Soc. Math. Stud. 26. János Bolyai Math. Soc. (Bud­apest), 2014. MR 3220946 Zbl 1335.​32007 incollection

[10] K. Cieliebak and Y. Eli­ash­berg: “Flex­ible Wein­stein man­i­folds,” pp. 1–​42 in Sym­plect­ic, Pois­son, and non­com­mut­at­ive geo­metry. Edi­ted by T. Egu­chi, Y. Eli­ash­berg, and Y. Maeda. Math. Sci. Res. Inst. Publ. 62. Cam­bridge Uni­versity Press (New York), 2014. MR 3380672 Zbl 1338.​53003 ArXiv 1305.​1635 incollection

[11] K. Cieliebak and Y. Eli­ash­berg: “The to­po­logy of ra­tion­ally and poly­no­mi­ally con­vex do­mains,” In­vent. Math. 199 : 1 (2015), pp. 215–​238. MR 3294960 Zbl 1310.​32014 article

[12] K. Cieliebak and Y. Eli­ash­berg: “New ap­plic­a­tions of sym­plect­ic to­po­logy in sev­er­al com­plex vari­ables,” J. Geom. Anal. 31 : 3 (2021), pp. 3252–​3271. MR 4225841 Zbl 1461.​53001 article

[13] Y. Eli­ash­berg, N. Ogawa, and T. Yoshiy­asu: “Sta­bil­ized con­vex sym­plect­ic man­i­folds are Wein­stein,” Kyoto J. Math. 61 : 2 (2021), pp. 323–​337. MR 4342379 Zbl 1470.​53069 article