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L^p estimates for the Di-Bar - equation on a class of infinite type domains

Article  in  International Journal of Mathematics · November 2014

DOI: 10.1142/S0129167X14501067

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October 21, 2014 9:22 WSPC/INSTRUCTION FILE LpLp36

International Journal of Mathematics

c World Scientific Publishing Company

¯
Lp -Estimates for the ∂-equation on a class of infinite type domains

Ly Kim Ha
Department of Mathematics and Computer Science, University of Science, Vietnam National
University, 227 Nguyen Van Cu Q.5, Ho Chi Minh City, Vietnam
lkha@hcmus.edu.vn

Tran Vu Khanh
Tan Tao University, Tan Tao avenue, Tan Duc e-city, Long An province, Vietnam
khanh.tran@ttu.edu.vn
Department of Mathematics, National University of Singapore, Blk S17, 10 Lower Kent Ridge
Road, Singapore 119076, Singapore
mattvk@nus.edu.sg

Andrew Raich
Department of Mathematical Sciences, SCEN 327, 1 University of Arkansas, Fayetteville, AR
72701, USA
araich@uark.edu

We prove Lp estimates, 1 ≤ p ≤ ∞, for solutions to the Cauchy-Riemann equations

¯ = φ on a class of infinite type domains in C2 . The domains under consideration are a
∂u
¯
class of convex ellipsoids, and we show that if φ is a ∂-closed (0, 1)-form with coefficients
in Lp and u is the Henkin kernel solution to ∂u ¯ = φ, then kukp ≤ Ckφkp where the
constant C is independent of φ. In particular, we prove L1 estimates and obtain Lp
estimates by interpolation.
¯ Henkin solution, Henkin operator, Lp estimates for ∂,
Keywords: ∂, ¯ infinite type domains.

Mathematics Subject Classification 2000: 32W05, 32F32, 32T25, 32T99

1. Introduction
A fundamental question in several complex variables is to establish Lp estimates for
solutions of the Cauchy-Riemann equation
¯ =φ
∂u

on domains Ω ⊂ Cn . In this paper, we provide the first examples of infinite type

domains for which Lp bounds hold, 1 ≤ p ≤ ∞. The domains under consideration
¯
are a class of convex ellipsoids in C2 , and we show that if φ is a ∂-closed (0, 1)-
¯
form and u is the Henkin solution to ∂u = φ, then kukp ≤ Ckφkp where the
constant C is independent of φ. Specifically, we prove L1 estimates and use the Riesz-
Thorin Interpolation Theorem to obtain Lp estimates by interpolating with the L∞

1
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2 L.K. Ha, T.V. Khanh and A. Raich

estimates established by Khanh [12]. The L∞ estimates of Khanh generalized and

were inspired by the L∞ estimates of Fornæss et. al. [9].
We investigate domains of the following form: Ω ⊂ C2 is a smooth, bounded
domain with a global defining function ρ such that: for any p ∈ bΩ, there exist a
coordinates zp = Tp (z) with the origin at p where Tp is a linear transformation, and
functions Fp , and rp such that
Ωp = Tp (Ω) = {zp = (zp,1 , zp,2 ) ∈ C2 : ρ(Tp−1 (zp )) = Fp (|zp,1 |2 )+rp (zp ) < 0} (1.1)
or
Ωp = Tp (Ω) = {zp = (zp,1 , zp,2 ) ∈ C2 : ρ(z) = Fp (x2p,1 ) + rp (zp ) < 0} (1.2)
√
where zp,j = xp,j + iyp,j , xp,j , yp,j ∈ R, j = 1, 2, and i = −1. We also assume that
the functions Fp : R → R and rp : C2 → R satisfy:

(1) Fp (0) = 0;
 0
Fp (t)
(2) Fp0 (t), Fp00 (t), Fp000 (t), and are nonnegative on (0, dp );
t
∂rp
(3) rp (0) = 0 and 6= 0 on bΩ with |z1,p | ≤ δ;
∂zp,2
(4) rp is convex,

where dp is the square of the diameter of Ωp and δ is a small number. We will also
require that each Fp satisfies a certain log integrability property.

This class of domains includes two well-known examples. If Ω is of finite type

2m, then Fp (t) = tm at the points of type 2m. On the other hand, if Fp (t) =
exp(−1/tα ), then Ω is of infinite type at p, and this is our main case of interest. We
call our domains Ω ellipsoids because they are generalizations of real and complex
ellipsoids in C2 . Classically, a complex ellipsoid in Cn is a domain of the form
Pn
{z = (z1 , . . . , zn ) ∈ Cn : j=1 |zj |
2mj
< 1}, and a real ellipsoid is a domain of
Pn
the form {z = (x1 + iy1 , . . . , xn + iyn ) ∈ Cn : j=1 (x
2nj
+ y 2mj ) < 1} where
mj , nj ∈ N, 1 ≤ j ≤ n. Our hypotheses include the following two classes of infinite
type domains:
2  
X 1
2
Ω = {z = (z1 , z2 ) ∈ C : exp − αj
≤ e−1 };
j=1
|zj |

and
2    
X 1 1
Ω = {z = (x1 + iy1 , x2 + iy2 ) ∈ C2 : exp − + exp − ≤ e−1 }
j=1
|xj |αj |yj |βj

where αj , βj ∈ (0, 1). Moreover, our setting also includes domain

 
2 1
Ω = {z = (x1 + iy1 , x2 + iy2 ) ∈ C : exp 1 − + χ(y1 ) + |z2 |2 ≤ 1}
|x1 |α
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¯
Lp -Estimates for the ∂-equation on a class of infinite type domains 3

where χ is a convex function and χ(y1 ) = 0 when |y1 | < δ and 0 < α < 1. This is
a tube domain of infinite type at 0. This domain provides an interesting example
for studying necessary and sufficient conditions for local regularity of ∂¯ on domains
of infinite type. In fact, the canonical solution of ∂¯ associated to this tube domain
has superlogarithmic estimate and is locally regular if and only if α < 1 (see [1], [6],
[14]).

¯
There is a long history of proving Lp estimates for the ∂-equation, dating back
to the work of Kerzman [11] and Øvrelid [16]. In [15], Krantz proved essentially
optimal Lipschitz and Lp estimates on strongly pseudoconvex domains. In the case
that Ω is a real ellipsoid, Diederich et. al. obtained sharp Hölder estimates [7] while
Chen et. al. established optimal Lp estimates for complex ellipsoids [5]. See also
Range [17] and Bruna and del Castillo [2]. Both real and complex ellipsoids are
domains of finite type, and the analysis in the referenced works depends in an
essential fashion on the type. In C2 , Chang et. al. [3] proved Lp estimates for the
¯
∂-Neumann operator on weakly pseudoconvex domains of finite type. See [5, 9] and
the references within for a more complete history.
More recently, there has been work on supnorm estimates for the Cauchy-
Riemann equations on infinite type domains in C2 . Fornæss et. al. provided the
first examples in [9] and Khanh found that the estimates hold when domains are of
the type (1.1) or (1.2) [12]. In particular, Khanh proved
Theorem 1.1 (Theorem 1.2, [12]). If there exists δ > 0 so that
Rδ
(1) Ω is defined by (1.1) and 0 | log Fp (t2 )| dt < ∞ for all p ∈ bΩ, or
Rδ
(2) Ω is defined by (1.2) and 0 | log(t) log Fp (t2 )| dt < ∞ for all p ∈ bΩ,
¯
then for any bounded, ∂-closed (0, 1)-form φ on Ω, the Henkin solution u on Ω
¯
satisfies ∂u = φ and
kukL∞ (Ω) ≤ CkφkL∞ (Ω) ,
where C > 0 is independent of φ.
In this paper, we will prove the Lp -version of Theorem 1.1. Our technique yields
Lp -estimates both in the finite and infinite type cases.

Theorem 1.2. If there exists δ > 0 and either of the following conditions hold:
Rδ
(1) Ω is defined by (1.1) and 0 | log Fp (t2 )| dt < ∞ for all p ∈ bΩ,
Rδ
(2) Ω is defined by (1.2) and 0 | log(t) log Fp (t2 )| dt < ∞ for all p ∈ bΩ,
¯
then for any ∂-closed (0, 1)-form φ in Lp (Ω) with 1 ≤ p ≤ ∞, the Henkin kernel
¯ = φ and
solution u on Ω satisfies ∂u
kukLp (Ω) ≤ CkφkLp (Ω) ,
where C > 0 is independent of φ.
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4 L.K. Ha, T.V. Khanh and A. Raich

The following examples show that the Lp estimates in Theorem 1.2 are sharp in
the case of infinite type case.
Example 1.1. For 0 < α < 1, let Ω be defined by
n o
1− 1
Ω = (z1 , z2 ) ∈ C2 : e |z1 |α + |z2 |2 < 1 .
Then for any φ ∈ Lp (Ω) with 1 ≤ p ≤ ∞, there is a solution u of the equation
¯ = φ such that u ∈ Lp (Ω). Moreover, if p =
∂u 6 ∞, there is no solution u ∈ Lq (Ω)
with q > p.
The organization of the paper is as follows: we recall the construction of the
Henkin solution via the Henkin kernel in Section 2. We prove Theorem 1.2 in Section
3 and discuss Example 1.1 in Section 4.

2. Henkin Solution
In this section, we recall the construction of the Henkin kernel and Henkin solution
¯ For complete details, see [10, 18], or for a more modern treatment, see [4]. Our
to ∂.
construction follows the lines of Khanh [12] and Range [Chapter V, §1] to build a
Leray map that focuses on the local behavior of the kernel.
Definition 2.1. A C2 -valued C 1 function G(ζ, z) = (g1 (ζ, z), g2 (ζ, z)) is called a
Leray map for Ω if g1 (ζ, z)(ζ1 − z1 ) + g2 (ζ, z)(ζ2 − z2 ) 6= 0 for every (ζ, z) ∈ bΩ × Ω.
A support function Φ(ζ, z) for Ω is a smooth function defined near bΩ × Ω̄ so that
Φ admits a decomposition
2
X
Φ(ζ, z) = 2 Φj (ζ, z)(ζj − zj )
j=1

where Φj (ζ, z) are smooth near bΩ × Ω̄, holomorphic in z, and vanish only on the
diagonal {ζ = z}.
∂ρ ∂ρ ∂ρ
For a convex domain, it is well known that G(ζ, z) = ∂ζ = ( ∂ζ ,
1 ∂ζ2
) is a Leray
map [4] , and Φ defined by the Leray map
∂ρ(ζ)
Φj (ζ, z) = , j = 1, 2,
∂ζj
is a support function for Ω.
P2 ¯
Let φ = j=1 φj dz̄j be a bounded, C 1 , ∂-closed (0, 1)-form on Ω̄. The solution
¯ ¯
u of the ∂-equation, ∂u = φ, provided by the Henkin kernel is given by
u = T φ(z) = Hφ(z) + Kφ(z). (2.1)
where
∂ρ(ζ) ∂ρ(ζ)
1
Z
∂ζ1 (ζ̄2 − z̄2 ) − ∂ζ2 (ζ̄1 − z̄1 )
Hφ(z) = 2 φ(ζ) ∧ ω(ζ);
2π ζ∈bΩ Φ(ζ, z)|ζ − z|2
(2.2)
φ1 (ζ)(ζ̄1 − z̄1 ) − φ2 (ζ)(ζ̄2 − z̄2 )
Z
1
Kφ(z) = 2 ω(ζ̄) ∧ ω(ζ)
4π Ω |ζ − z|4
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¯
Lp -Estimates for the ∂-equation on a class of infinite type domains 5

where ω(ζ) = dζ1 ∧ dζ2 . See, for example, [9, 7]. To understand the Lp -norm of u,
it suffices to investigate the Lp mapping properties of integral operators H and K.

As a consequence of the Riesz-Thorin Interpolation Theorem and Theorem 1.1,

proving that T is a bounded, linear operator on L1 (Ω) suffices to establish that T
is a bounded linear operator on Lp (Ω), 1 ≤ p ≤ ∞.
The L1 -estimate of |Kφ(z)| is standard and does not require interpolation. In-
deed, since |ζ − z|−3 ∈ L1 (Ω) in both ζ and z (separately), Lp boundedness of K,
1 ≤ p ≤ ∞, follows from [8] .
The expression for H given in (2.2) uses the fact that φ is defined on bΩ. However,
after an integration by parts (done below), H has an expression that is an integral
over Ω. Once we show that H is bounded on L10,1 (Ω), then the density of C0,1 1
(Ω̄) ∩
ker ∂¯ in L0,1 (Ω)∩ker ∂¯ finishes the argument (the density argument follows by using
1

the argument of [4] , keeping in mind that a convex domain is star-shaped and we
can ignore the technicalities associated with ∂¯∗ ). Alternatively, Krantz [15] presents
an argument which also discusses how to pass from estimates on smooth forms on
the boundary to merely Lp forms in Ω.
For the boundedness of H, we first begin the analysis of Hφ(z) by using Stokes’
Theorem. Using the assumption that φ is ∂-closed, ¯ we observe
 
Φ1 (ζ, z)(ζ̄2 − z̄2 ) − Φ2 (ζ, z)(ζ̄1 − z̄1 )
Z
1 ¯
Hφ(z) = ∂ζ ψ(ρ(ζ)) ∧ φ(ζ) ∧ ω(ζ),
2π 2 Ω (Φ(ζ, z) − ρ(ζ))(|ζ − z|2 + ρ(ζ)ρ(z))
where ψ ∈ C ∞ (R) is a cutoff function so that 0 ≤ ψ ≤ 1 and ψ(t) =
(
1 for t ≥ −δ/8
We abuse notation slightly and let H(ζ, z) be the integral kernel
0 for t ≤ −δ/4.
of H. As a consequence of Tonelli’s Theorem, it suffices to prove that
ZZ
 
H(ζ, z)φ(ζ) dV (ζ, z) . kφkL1 (Ω) < ∞. (2.3)
(ζ,z)∈Ω×Ω

Since H(ζ, z) = 0 when ρ(ζ) ≤ −δ/4, it suffices to prove

ZZ
 
H(ζ, z)φ(ζ) dV (ζ, z) . kφkL1 (Ω) .
(ζ,z)∈{ζ∈Ω:ρ(ζ)>−δ/4}×Ω

Direct calculation shows that

  
Φ1 (ζ, z)(ζ̄2 − z̄2 ) − Φ2 (ζ, z)(ζ̄1 − z̄1 )
|H(ζ, z)| ≤ ∂¯ζ
 
2
ψ(ρ(ζ)) 
(Φ(ζ, z) − ρ(ζ))(|ζ − z| + ρ(ζ)ρ(z)) 
1
. (2.4)
|Φ(ζ, z) − ρ(ζ)|2 (|ζ− z|2 + ρ(ζ)ρ(z))1/2
1
+ ,
|Φ(ζ, z) − ρ(ζ)|(|ζ − z|2 + ρ(ζ)ρ(z))
recognizing that
|ζ − z| |ζ − z| 1
2
≤ 2 1/2
= .
(|ζ − z| + ρ(ζ)ρ(z)) |ζ − z|(|ζ − z| + ρ(ζ)ρ(z)) (|ζ − z| + ρ(ζ)ρ(z))1/2
2
October 21, 2014 9:22 WSPC/INSTRUCTION FILE LpLp36

6 L.K. Ha, T.V. Khanh and A. Raich

Since ρ is smooth, ρ is Lipschitz, so (ρ(ζ) − ρ(z))2 . |ζ − z|2 . Therefore, ρ(ζ)2 .

|ζ − z|2 + ρ(ζ)ρ(z), hence |ζ − z| + |ρ(ζ)| . (|ζ − z|2 + ρ(ζ)ρ(z))1/2 . Thus
|Φ(ζ, z) − ρ(ζ)| . |ζ − z| + |ρ(ζ)| . (|ζ − z|2 + ρ(ζ)ρ(z))1/2 . (2.5)
Combining (2.4) and (2.5), we obtain
1
|H(ζ, z)| .
|Φ(ζ, z) − ρ(ζ)|2 (|ζ − z|2 + ρ(ζ)ρ(z))1/2
(2.6)
1
≤ .
|Φ(ζ, z) − ρ(ζ)|2 |ζ − z|
Since bΩ is compact, there exists δ > 0 and points p1 , . . . , pN ∈ bΩ so that
bΩ is covered by{B(pj , δ)}N
j=1 . After changing coordinates to set pj to 0 with the
transformation Tpj in Section 1, we may assume the goal is to prove
ZZ 

H Tp−1 (ζpj ), Tp−1 (zpj ) φ Tp−1


(ζpj )  dV (ζpj , zpj )

j j j
(ζ,z)∈(Ωpj ∩B(0,δ))×Ωpj
 
. kφ Tp−1
j
(·) kL1 (Ωpj ) ≈ kφkL1 (Ω) . (2.7)

where
 
Ωpj = {ρpj (zpj ) := ρ Tp−1
j
(zp j
) = Ppj (zpj ,1 ) + rpj (zpj ) < 0}

and Ppj (zpj ,1 ) = Fpj (|zpj ,1 |2 ) or P (zpj ,1 ) = F (x2pj ,1 ) as in Section 1. Since

 
Φ Tp−1 j
(ζpj ), Tp−1
j
(zpj ) = Φpj (ζpj , zpj ),

where, Φpj is the support function of Ωpj , we obtain

   1
H Tp−1 (ζ ), T −1
(z ) . .
 
p j p p j (2.8)
j j
|Φpj (ζpj , zpj ) − ρpj (ζpj )|2 |ζpj − zpj |
Here and in what follows, we omit the subscript pj and still use φ(·) for φ Tp−1


j
(·) .

3. Proof of the theorem 1.2

We will investigate the complex and real ellipsoid cases separately to show (2.7).
First, however, we recall the following facts for the class of real functions F in the
first part with the additional assumption that F 0 (0) = 0. See, for example, [9] .

Lemma 3.1. Let F be a C 2 convex function on [0, d]. Then

F (p) − F (q) − F 0 (q)(p − q) ≥ 0 (3.1)
for any p, q ∈ [0, d]. If, in addition, F 0 (0) = 0 and F 00 is nondecreasing, then
F (p) − F (q) − F 0 (q)(p − q) ≥ F (p − q), (3.2)
for any 0 ≤ q ≤ p ≤ d.
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¯
Lp -Estimates for the ∂-equation on a class of infinite type domains 7

Proof. The proof of (3.1) is simple and is omitted here. For (3.2), let s := p−q ≥ 0
and g(s) := F (s + q) − F (q) − sF 0 (q) − F (s). Hence, g 0 (s) = F 0 (s + q) − F 0 (q) − F 0 (s)
and g 00 (s) = F 00 (s + q) − F 00 (s). Using the assumption F 00 (t) is nondecreasing, we
have g 00 (s) ≥ 0, thus g 0 (s) is nondecreasing. This implies g 0 (s) ≥ g 0 (0) = 0 (since
F 0 (0) = 0) and consequently that g(s) is increasing. We thus obtain g(s) ≥ g(0) = 0
(since F(0)=0). This completes the proof of (3.2).

3.1. Complex Ellipsoid Case

In this subsection, Ω is defined by (1.1). Since the argument of F is |ζ1 |2 , the chain
∂
rule shows that F (|ζ1 |2 ) = ζ̄1 F 0 (|ζ1 |2 ). Similarly to Khanh [12] , the convexity
∂ζ1
of r shows that
Re Φ(ζ, z) − ρ(ζ) ≥ −ρ(z) + F (|z1 |2 ) − F (|ζ1 |2 ) − 2F 0 (|ζ1 |2 ) Re ζ̄1 (z1 − ζ1 )
 


= −ρ(z) + F 0 (|ζ1 |2 )|z1 − ζ1 |2 + F (|z1 |2 ) − F (|ζ1 |2 ) − F 0 (|ζ1 |2 ) |z1 |2 − |ζ1 |2 .
(3.3)
The analysis splits into two cases: i) F 0 (0) 6= 0 and ii) F 0 (0) = 0. In the first case,
the hypotheses on F guarantee the existence of a δ > 0 such that F 0 (|ζ1 |2 ) > 0 for
any |ζ1 | < δ. Hence,
Re Φ(ζ, z) − ρ(ζ) & −ρ(z) + |z1 − ζ1 |2


and
1
|H(ζ, z)| ≤ .
(|ρ(z)|2 + | Im Φ(ζ, z)|2 + |ζ1 − z1 |4 )|ζ1 − z1 |
The estimate in this case is the estimate for the case of a strongly pseudoconvex
domain, and the result is classical and well-known. Thus, we may assume that
F 0 (0) = 0.

Lemma 3.2. Let F be defined as in Section 1 with the additional assumption

F 0 (0) = 0. Then, for any |z1 |, |ζ1 | ≤ d
1


 if |ζ1 | ≥ |z1 − ζ1 |,
 (|ρ(z) + i Im Φ(ζ, z)|2 + F 2 (|z1 − ζ1 |2 ))|z1 − ζ1 |


|H(ζ, z)| .

 1

 if |ζ1 | ≤ |z1 − ζ1 |.
(|ρ(z) + i Im Φ(ζ, z)|2 + F 2 ( 21 |z1 |2 ))|z1 |

(3.4)

Proof. Applying Lemma 3.1 to (3.3), we obtain

(
 F 0 (|ζ1 |2 )|z1 − ζ1 |2 if 0 < |z1 |, |ζ1 | < d,
Re Φ(ζ, z) − ρ(ζ) ≥ −ρ(z) + (3.5)
F (|z1 |2 − |ζ1 |2 ) if |ζ1 | ≤ |z1 | ≤ d.
We now compare the relative sizes of |ζ1 | and |z1 − ζ1 |.
October 21, 2014 9:22 WSPC/INSTRUCTION FILE LpLp36

8 L.K. Ha, T.V. Khanh and A. Raich

Case 1: |ζ1 | ≥ |z1 − ζ1 |. Combining the first inequality from (3.5) with (ii) from
page 2, we obtain
Re Φ(ζ, z) − ρ(ζ) ≥ −ρ(z) + F (|z1 − ζ1 |2 ).


The first line of (3.4) follows by this inequality and (2.6).

Case 2: |ζ1 | ≤ |z1 − ζ1 |. In this case, the estimate depends on the relative sizes
of |ζ1 | and √12 |z1 |. If |ζ1 | ≥ √12 |z1 |, then the argument from Case 1 proves that
1
Re Φ(ζ, z) − ρ(ζ) ≥ −ρ(z) + F 0 (|z1 − ζ1 |2 )|z1 − ζ1 |2 ≥ −ρ(z) + F ( |z1 |2 ),

2
and we obtain the second estimate in (3.4). Otherwise, |ζ1 | ≤ √12 |z1 |, and this
implies both |z1 | ≥ |ζ1 | and |z1 − ζ1 | ≥ (1 − √12 )|z1 |. By the second case of (3.5), we
observe that
1
Re Φ(ζ, z) − ρ(ζ) ≥ −ρ(z) + F (|z1 |2 − |ζ1 |2 ) ≥ −ρ(z) + F ( |z1 |2 ),

2
and
 1

| Re{Φ(ζ, z)}−ρ(ζ)|2 +| Im Φ(ζ, z)|2 |ζ1 −z1 | & |ρ(z)+i Im Φ(ζ, z)|2 +F 2 |z1 |2 |z1 |.


2
This completes the proof.

Proof of the Theorem 1.2.i. From (2.7), the only remaining estimate is the
integral over (ζ, z) ∈ (Ω ∩ B(0, δ)) × Ω. We now concentrate on the integral near 0.
By Lemma 3.2, we have
ZZ
 
H(ζ, z)φ(ζ) dV (ζ, z)
(ζ,z)∈(Ω∩B(0,δ))×Ω
ZZ
= ···
(ζ,z)∈(Ω∩B(0,δ))×Ω and |ζ1 |≥|z1 −ζ1 |
ZZ ZZ
+ ··· + ···
(ζ,z)∈(Ω∩B(0,δ))×Ω,|ζ1 |≤|z1 −ζ1 | and |z1 |≤2δ (ζ,z)∈(Ω∩B(0,δ))×Ω,|ζ1 |≤|z1 −ζ1 | and |z1 |≥2δ

. (I) + (II) + (III),

(3.6)
where
|φ(ζ)|dV (ζ, z)
ZZ
(I) := ;
(ζ,z)∈(B(0,2δ)∩Ω)2 (|ρ(z) + i Im Φ(ζ, z)|2 + F 2 (|z1 − ζ1 |2 ))|z1 − ζ1 |
|φ(ζ)|dV (ζ, z)
ZZ
(II) := ;
(ζ,z)∈(B(0,2δ)∩Ω)2 (|ρ(z) + i Im Φ(ζ, z)|2 + F 2 ( 21 |z1 |2 ))|z1 |
|φ(ζ)|dV (ζ, z)
ZZ
(III) := .
(ζ,z)∈(B(0,δ)∩Ω)×Ω and |z1 |≥2δ (|ρ(z) + i Im Φ(ζ, z)|2 + F 2 ( 21 |z1 |2 ))|z1 |
(3.7)
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¯
Lp -Estimates for the ∂-equation on a class of infinite type domains 9

It is easy to see that (III) . (F (2δ 2 )δ)−1 kφkL1 (Ω) . For the integral (I), we make the
change of variables (α, w) = (α1 , α2 , w1 , w2 ) = (ζ1 , ζ2 , z1 − ζ1 , ρ(z) + i Im Φ(ζ, z)).
The Jacobian of this transformation is the matrix
 
1 0 0 0 0 0 0 0

 0 1 0 0 0 0 0 0 


 0 0 1 0 0 0 0 0 

0 0 0 1 0 0 0 0
 
 
J =
 −1 0 0 0 1 0 0 0
.

 

 0 −1 0 0 0 1 0 0 

∂ρ(z) ∂ρ(z) ∂ρ(z) ∂ρ(z)

 0 0 0 0 ∂(Re z1 ) ∂(Im z1 ) ∂(Re z2 ) ∂(Im z2 )


∂ Im Φ(ζ,z) ∂ Im Φ(ζ,z) ∂ Im Φ(ζ,z) ∂ Im Φ(ζ,z) ∂ Im Φ(ζ,z) ∂ Im Φ(ζ,z) ∂ Im Φ(ζ,z) ∂ Im Φ(ζ,z)
∂(Re ζ1 ) ∂(Im ζ1 ) ∂(Re ζ2 ) ∂(Im ζ2 ) ∂(Re z1 ) ∂(Im z1 ) ∂(Re z2 ) ∂(Im z2 )

To justify this coordinate change, we write zj = xj + iyj and compute

∂ Im(Φ(ζ, z)) ∂ρ(z) ∂ Im(Φ(ζ, z)) ∂ρ(z)
det(J) = − .
∂y2 ∂x2 ∂x2 ∂y2
By a possible rotation and dilation of Ω, we can assume that ∇ρ(0) = (0, 0, 0, −1).
A direct calculation then establishes that if δ is chosen sufficiently small (so that
∂ρ(z)
∂y2 dominates the other partials of ρ and |ζ − z| ≤ 4δ is small), then det(J) 6= 0.
Since Φ is smooth, we can assume that there exists δ 0 > 0 that depends on Ω, δ,
and ρ so that
|φ(α)|
ZZ
(I) . 2 2 2
dV (α, w)
(α,w)∈(Ω∩B(0,δ 0 ))×B(0,δ 0 ) (|w2 | + F (|w1 | )|w1 |
Z δ0 Z δ0
r1 r2
. kφkL1 (Ω) 2 2 2
dr2 dr1
0 0 (r2 + F (r1 ))r1
Z δ0
. kφkL (Ω)
1 log F (r12 ) dr1 < ∞.
0
That the integral is finite follows by the hypotheses on φ and F .

Repeating this argument with the change of variables (α, w) = (α1 , α2 , w1 , w2 ) =

(ζ1 , ζ2 , z1 , ρ(z)+i Im Φ(ζ, z)) for the integral (II), we can obtain the same conclusion.
Therefore, the estimate in the complex case is complete.


3.2. Real Ellipsoid Case

In this subsection, Ω is defined by (1.2). An argument analogous to that for (3.3)
yields
Re{Φ(ζ, z)}−ρ(ζ) ≥ −ρ(z)+F 0 (ξ12 )(x1 −ξ1 )2 + F (x21 ) − F (ξ12 ) − F 0 (ξ12 )(x21 − ξ12 ) ,

where z1 = 
x1 + iy1
, ζ1 = ξ1 + iη1 . This inequality, in turn, produces a bound of
the form Re Φ(ζ, z) − ρ(ζ) ≥ −ρ(z) + nonnegative. This bound and the estimates
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10 L.K. Ha, T.V. Khanh and A. Raich

in (2.6) allow us to reduce to the case of bounding the L1 -norm of |H(ζ, z)φ(z)|
near bΩ when |z − ζ| small. Moreover, following the argument in the complex case
produces the following lemma.

Lemma 3.3. Let F be defined as in Section 1 with the extra assumption that
F 0 (0) = 0. Then, for any |x1 |, |ξ1 | ≤ δ
1

 (|ρ(z) + i Im Φ(ζ, z)|2 + F 2 ((x − ξ )2 ))(|x − ξ | + |y − η |) if |ξ1 | ≥ |x1 − ξ1 |,


1 1 1 1 1 1
|H(ζ, z)| . 1 (3.8)

 (|ρ(z) + i Im Φ(ζ, z)|2 + F 2 ( 1 x2 ))( √1 |x | + |y − η |)
 if |ξ1 | ≤ |x1 − ξ1 |.
2 1 2 1 1 1

Proof of Theorem 1.2.ii. Using Lemma 3.3, we have

ZZ
 
H(ζ, z)φ(ζ) dV (ζ, z) . (I) + (II) + (III) (3.9)
(ζ,z)∈(Ω∩B(0,δ))2

where
|φ(ζ)| dV (ζ, z)
ZZ
(I) := ;
(ζ,z)∈(Ω∩B(0,2δ))2 (|ρ(z) + i Im Φ(ζ, z)|2 + F 2 ((x1 − ξ1 )2 ))(|x1 − ξ1 | + |y1 − η1 |)
|φ(ζ)| dV (ζ, z)
ZZ
(II) := ;
(ζ,z)∈(Ω∩B(0,2δ))2 (|ρ(z) + i Im Φ(ζ, z)|2 + F 2 ( 21 x21 ))( √12 |x1 | + |y1 − η1 |)
(III) .(F (2δ 2 )δ)−1 kφkL1 (Ω)
(3.10)

We make the change of variables (α, w) = (α1 , α2 , w1 , w2 ) = (ζ1 , ζ2 , z1 −ξ1 , ρ(z)+

i Im Φ(ζ, z)) for (I) and (α, w) = (α1 , α2 , w1 , w2 ) = (ζ1 , ζ2 , √12 x1 − i(y1 − η1 ), ρ(z) +
i Im Φ(ζ, z)) for (II). Similarly to the argument above, we can check that det(J) 6= 0.
As above, we can therefore assume the existence of δ 0 > 0 depending on Ω, δ, and
ρ so that
|φ(α)|
ZZ
(I) + (II) . 2 2 2
dV (α, w)
(α,w)∈(Ω∩B(0,δ 0 ))×B(0,δ 0 ) (|w2 | + F ((Re w1 ) )(| Re w1 | + | Im w1 |)
Z δ0 Z δ0 Z δ0
r2 dr2 d(Im w1 ) d(Re w1 )
.kφkL1 (Ω) 2 2 2
0 0 0 (r2 + F ((Re w1 ) ))(| Re w1 | + | Im w1 |)
Z δ0 Z δ0
log(F ((Re w1 )2 ) d(Im w1 ) d(Re w1 )
.kφkL1 (Ω)
0 0 | Re w1 | + | Im w1 |
Z δ0
.kφkL1 (Ω) log(| Re w1 |) log(F ((Re w1 )2 ) d(Re w1 ) < ∞.
0

That the integral is finite follows by the hypotheses on φ and F . This completes the
proof of Theorem 1.2.


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¯
Lp -Estimates for the ∂-equation on a class of infinite type domains 11

4. Examples
In this section, we present an example to show that our estimates are optimal in
the sense that the inequality kukLq (Ω) . kφkLp (Ω) cannot hold if 1 ≤ p < q ≤ ∞.
Specifically, let 0 < α < 1, fix 1 ≤ p < q ≤ ∞, and set
1− |z 1|α
Ω = {(z1 , z2 ) ∈ C2 : e 1 + |z2 |2 < 1}. (4.1)
¯
We will show that there is a ∂-closed (0, 1)-form φ ∈ Lp0,1 (Ω) for which there does
q ¯ = φ in Ω. Indeed, let
not exist a function u ∈ L (Ω) so that ∂u

(1 − log(1 − z2 ))k (1 − log(1 − z2 ))k

φ(z) = dz̄1 and v(z) = z̄1 (4.2)
(1 − z2 )2/q (1 − z2 )2/q
k
(1−log(1−z2 ))
where k := b q+2
qα c + 1 ∈ N. The function (1−z2 )1/q
is holomorphic on Ω with the
¯
principle branch of the logarithm 0 < arg(1 − z2 ) < 2π. The form φ is a ∂-closed
¯ = φ. Moreover,
(0, 1)-form on Ω and the function v is a solution to the equation ∂v
we observe that v is L2 -orthogonal to all holomorphic functions on Ω (by Mean
Value Theorem). By direct calculation (Lemma 4.1 below), we obtain φ ∈ Lp0,1 (Ω),
v ∈ Lp (Ω), and v 6∈ Lq (Ω). Let P be the Bergman projection on Ω, i.e., the L2 -
orthogonal projection onto all holomorphic functions on Ω. Recently, Khanh and
Raich [13] have proven that P is a bounded operator on the Sobolev spaces Lqs (Ω),
s ≥ 0, and Hölder spaces Λα (Ω), α > 0. Therefore if u ∈ Lq (Ω) is a solution to
¯ = φ, then v = u − P (u) is in Lq (Ω). This is impossible. Therefore, there is no
∂u
solution u ∈ Lq (Ω).

Lemma 4.1. Let φ and v be defined in (4.2). Then φ ∈ Lp0,1 (Ω), v ∈ Lp (Ω), and
v 6∈ Lq (Ω).

Proof. We now show that φ ∈ Lp0,1 (Ω). We have

kp
|1 − log |1 − z2 | + i arg(1 − z2 )|
Z Z
|φ(z)|p dV (v) = dV (z)
Ω Ω |1 − z2 |2p/q

kp/2 Z
(1 − log |1 − z2 |)2 + 4π 2
Z
≤ 1 dV (z1 ) dV (z2 )
|z2 |<1 |1 − z2 |2p/q |z1 |<(1−log(1−|z2 |2 ))−1/α

kp/2
(1 − log |1 − z2 |)2 + 4π 2
Z
. 2p/q ((1 − log(1 − |z |2 ))2/α
dV (z2 )
|z2 |<1 |1 − z2 | 2

kp/2
(1 − log |1 − z2 |)2 + 4π 2
Z
. dV (z2 )
|z2 |<1 |1 − z2 |2p/q
Z Z
. ··· + ··· .
|z2 |<1,|z2 −1|≥1 |z2 |<1,|z2 −1|<1

2 kp/2
((1−log |1−z2 |)2 +4π )
Since the function |1−z2 |2p/q
is bounded on {|z2 | < 1, |z2 − 1| ≥ 1}, the
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12 L.K. Ha, T.V. Khanh and A. Raich

R
first integral |z2 |<1,|z2 −1|≥1
· · · is bounded. For the second integral, we have
Z Z
··· ≤ ···
|z2 |<1,|z2 −1|<1 |z2 −1|<1
1
((1 − log t)2 + 4π 2 )kp/2
Z
= dt < ∞,
0 t2p/q−1
since 2p/q − 1 < 1. The proof that v ∈ Lp (Ω) follows by our computation that
φ ∈ Lp0,1 (Ω) since |z1 | is bounded. Now, we prove that v 6∈ Lq (Ω). We have
kq
|1 − log(1 − z2 )| |z1 |q
Z Z
|v(z)|q dV (z) = 2
dV (z)
Ω Ω |1 − z2 |
kq Z
|1 − log |1 − z2 | + i arg(1 − z2 )|
Z
= |z1 |q dV (z1 ) dV (z2 )
|z2 |<1 |1 − z2 |2 |z1 |<(1−log(1−|z2 |2 ))−1/α
kq
|1 − log |1 − z2 ||
Z
2πα
≥ dV (z2 )
q + 2 |z2 |<1 |1 − z2 |2 (1 − log(1 − |z2 |2 )) q+2α

kq
|1 − log |1 − z2 ||
Z
& q+2 dV (z2 ),
z2 ∈D |1 − z2 |2 (1 − log(1 − |z2 |2 )) α

where
1 3π 5π 1
D = {z2 = 1+reiθ ∈ C : 0 < r < , <θ< } ⊂ {|z2 | < 1, |z2 −1| < } ⊂ {|z2 | < 1}.
3 4 4 3
The domain of the integral forces 1 − log(1 − |z2 |2 ) ∼ 1 − log |1 − z2 |, and we obtain
Z 13 q+2 Z 13
(1 − log r)kq− α
Z
q dr
|v(z)| dV (z) & dr ≥ (diverges).
Ω 0 r 0 r
q+2
Here, the last inequality holds because we chose k so that kq − α > 0.

Acknowledgments
The second author Tran Vu Khanh is partially supported by a grant from the Viet-
nam National Foundation for Science and Technology Development (NAFOSTED)
under grant number 101.01-2012.16. The third author is partially supported by a
grant from the Simons Foundation (#280164 to Andrew Raich) and NSF grant
DMS-1405100. We also gratefully acknowledge the careful reading by the referee.
The exposition and rigor of the paper were improved by the close reading.

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