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# 1 Introduction

## 1  Introduction

In  a criterion was established that characterizes test functions such that averaging with these functions ensures the convergence of an infinite series in the Wick powers of a free field in a theory with an indefinite metric. We show here that if the functional domain for Wick series is so defined, then the fields to which they converge satisfy all conditions of the pseudo-Wightman formalism . We also indicate a refinement of this formalism whose necessity follows from the analysis of the problem. The major difficulty lies in the correct statement of the spectral condition in the case when the representation of the translation group is pseudounitary and the series converges only on analytic test functions in the momentum representation, for which the usual formulation in terms of the spectral measure support or the distribution support becomes impossible. It is important that this case is rather typical than exceptional. For example, it includes the situation with the normal exponential of the dipole ghost field , which enters into the exact solutions of some gauge models. The problem of finding the corresponding generalization of the spectral condition was raised in ; it was suggested in  that it should be solved using the notion of a carrier cone (quasisupport) of an analytic functional, which had been successfully applied in nonlocal field theory. The results presented below show that this approach provides an exact description of the spectral properties of Wick series and can serve as a starting point for constructing a consistent Euclidean formulation of field theory with indefinite metric.

In Sec. 2, the properties of Wick series are analyzed in the traditional formalism, which applies if the functional domain of the series contains functions of compact support in both the coordinate and momentum representations. In Sec. 3, some mathematical tools required for analyzing the general case are introduced. To this end, we present certain facts concerning the Gelfand-Shilov spaces $`S_a^b`$ that generalize the more frequently used spaces $`S_\beta ^\alpha `$, which were introduced by the same authors. The theory of the spaces $`S_a^b`$ was only outlined in ; here, we derive some new theorems for them which are needed for solving the problem under study and are also of independent interest. In Sec. 4, the Laplace transformation of analytic functionals on $`S_a^b`$ is considered. In Sec. 5, the precise formulation of the generalized spectral condition is given, and the proof is presented that it is satisfied for the sums of Wick series. The main tool in the proof is a Paley-Wiener-Schwartz-type theorem established in Sec. 4 for analytic functionals with an acute carrier cone. Section 6 is devoted to concluding remarks.

## 2 Properties of Wick series in the traditional formalism

Let $`\varphi `$ be a neutral scalar free field acting in a pseudo-Hilbert state space $``$, and let $`d_k`$ be the coefficients of a series in the Wick powers $`:\varphi ^k:`$ of this field. Let $`D^E`$ denote the linear span of the vacuum $`\mathrm{\Psi }_0`$ and all vectors of the form

$$\underset{j=1}{\overset{n}{}}:\varphi ^{k_j}:(f_j)\mathrm{\Psi }_0$$

where the test functions $`f_j`$ run over a dense subspace $`E`$ in the Schwartz space $`S`$. It was proved in  that under some natural conditions on $`d_k`$ and for a suitably chosen $`E`$, the sequence of partial sums

$$\phi _N(f)=\underset{kN}{}d_k:\varphi ^k:(f)(fE)$$

with the domain $`D^E`$ has a strong graph limit $`\phi (f)`$ which is an operator-valued distribution over $`E`$. Moreover, any Wick series subordinate to the one in question in the sense that its coefficients $`d_k^{}`$ satisfy the inequality $`|d_k^{}|C|d_k|`$ is convergent, and all fields determined by such series have a common dense and invariant domain $`D^E(\phi )`$. Since the operator realization is constructed directly in the state space of the original free field $`\varphi `$, a part of the conditions of general quantum field theory  hold for the field $`\phi `$ in an obvious way. In particular, in view of the definition of strong graph limit , it follows from the mutual locality of Wick monomials that the field $`\phi `$ is local and, moreover, mutually local with any field $`\phi ^{}`$ determined by a subordinate series, i.e.,

$$[\phi (f),\phi ^{}(f^{})]\mathrm{\Psi }=0$$

for any fixed test functions $`f,f^{}E`$ with spacelike separated supports and for all $`\mathrm{\Psi }D^E(\phi )`$. Originally, there is a pseudounitary representation of the Poincaré group in the space $``$. Its implementers $`U(\xi ,\mathrm{\Lambda })`$ are defined on the cyclic domain $`D_0`$ of the field $`\varphi `$ and transform it into itself. As is shown by simple examples, these operators are not necessarily bounded, but since they are pseudounitary, they are closable. By the construction of the Wick monomials, their closures are defined on the subspace $`D^S`$ and the more so on $`D^E`$. Let us consider a sequence $`U(\xi ,\mathrm{\Lambda })\phi _N(f)U(\xi ,\mathrm{\Lambda })^1\mathrm{\Psi }_0`$, where $`fE`$. According to the transformation law for Wick monomials, which follows from that for $`\varphi `$, this sequence coincides with $`\phi _N(f_{(\xi ,\mathrm{\Lambda })})\mathrm{\Psi }_0`$, where $`f_{(\xi ,\mathrm{\Lambda })}(x)=f(\mathrm{\Lambda }^1(x\xi ))`$. Passing to the limit as $`N\mathrm{}`$ and taking into account that the operator $`U(\xi ,\mathrm{\Lambda })`$ is closable and the vacuum is invariant under it, we see that this operator can be extended to the vectors of the form $`\phi (f)\mathrm{\Psi }_0`$ in a one-to-one way and that it transforms them into $`\phi (f_{(\xi ,\mathrm{\Lambda })})\mathrm{\Psi }_0`$. Similarly, we have

$$U(\xi ,\mathrm{\Lambda })\phi (f)\underset{j=1}{\overset{n}{}}\phi (f_j)\mathrm{\Psi }_0=\phi (f_{(\xi ,\mathrm{\Lambda })})\underset{j=1}{\overset{n}{}}\phi (f_{j(\xi ,\mathrm{\Lambda })})\mathrm{\Psi }_0$$

for test functions in $`E`$. As a consequence, the relation

$$U(\xi ,\mathrm{\Lambda })\phi (f)U(\xi ,\mathrm{\Lambda })^1\mathrm{\Psi }=\phi (f_{(\xi ,\mathrm{\Lambda })})\mathrm{\Psi }$$

holds for any $`\mathrm{\Psi }D^E(\phi )`$, i.e., the Poincaré covariance condition is satisfied.

Let $`𝚍`$ be the space-time dimension. One of the natural conditions on the space $`E`$ is that the tensor product $`E(R^𝚍)^n`$ should be dense in $`E(R^{n𝚍})`$. In this case, the multilinear form $`\mathrm{\Psi }(f_1,\mathrm{},f_n)=\phi (f_1)\mathrm{}\phi (f_n)\mathrm{\Psi }_0`$ uniquely determines a vector-valued distribution on $`E(R^{n𝚍})`$. Indeed, let $`fE(R^{n𝚍})`$, let $`f_\nu E(R^𝚍)^n`$, and let $`f_\nu f`$ as $`\nu \mathrm{}`$. We have the relation

$$\mathrm{\Psi }(f_\nu )\mathrm{\Psi }(f_\mu )^2=T_n\left((\overline{f_\nu f_\mu })(f_\nu f_\mu )\right),$$
(1)
where the distribution $`T_n`$ can be expressed in terms of the two-point Wightman function of the field $`\varphi `$ and its Hilbert majorant (see ). The space $`E`$ is chosen in  in such a way that $`T_n`$ is defined and continuous on $`E(R^{2n𝚍})`$. Therefore $`\mathrm{\Psi }(f_\nu )\mathrm{\Psi }(f_\mu )0`$ as $`\nu ,\mu \mathrm{}`$. Since the space $``$ is complete, the Cauchy sequence $`\mathrm{\Psi }(f_\nu )`$ converges in it to a vector, for which we use the standard notation

$$\mathrm{\Psi }(f)=\phi (x_1)\mathrm{}\phi (x_n)f(x_1,\mathrm{},x_n)dx_1\mathrm{}dx_n\mathrm{\Psi }_0.$$
(2)
The mapping $`E(R^{n𝚍})`$ thus defined is linear and continuous. The representation $`U(\xi ,\mathrm{\Lambda })`$ satisfies the spectral condition

$$\mathrm{supp}\mathrm{\Phi },U(\xi ,I)\mathrm{\Psi }e^{ip\xi }d\xi \overline{V}_+,$$
(3)
where $`V_+`$ is the upper light cone and the bar denotes closure. Here we originally deal with $`\mathrm{\Phi },\mathrm{\Psi }D_0`$, but by the construction of Wick monomials, the condition (3) remains valid for the vectors in $`D^S`$ as well, and the matrix element under the integral sign remains polynomially bounded with respect to $`\xi `$ in this case. However, we stress that this boundedness property does not necessarily hold for arbitrary $`\mathrm{\Phi }`$ and $`\mathrm{\Psi }`$ belonging to the domain of the closure of the operator $`U(\xi ,I)`$. If the Fourier transform $`(E)`$ of $`E`$ contains functions of compact support, then the spectral properties of the functional $`\mathrm{\Psi }(f)`$ defined by (2) can be derived from (3) in the usual way. Namely, let $`\mathrm{\Phi }D^E(\phi )`$. The expression $`\mathrm{\Phi },U(\xi ,I)\mathrm{\Psi }(f)`$ is the convolution of the test function $`f`$ and a distribution in $`E^{}`$ (considered in the plane $`x_1=\mathrm{}=x_n=\xi `$), and therefore its growth with respect to $`\xi `$ is limited by the indicator function defining the space $`E`$. Let $`f_1E(R^𝚍)`$. Then

$$\mathrm{\Phi },U(\xi ,I)\mathrm{\Psi }(f)f_1(\xi )d\xi =\mathrm{\Phi },\mathrm{\Psi }(f_2),$$
(4)
where

$$f_2(x_1,\mathrm{},x_n)=f(x_1\xi ,\mathrm{},x_n\xi )f_1(\xi )d\xi .$$

The Fourier transform takes $`f_2`$ to

$$\widehat{f}_2=e^{ipx}f_2(x)dx=\widehat{f}\widehat{f}_1(p_1+\mathrm{}+p_n).$$

According to (3) the integral (4) vanishes if $`\mathrm{supp}\widehat{f}_1\overline{V}_+=\mathrm{}`$. On the other hand, we have $`\mathrm{\Psi }(f)\stackrel{\mathrm{def}}{=}\widehat{\mathrm{\Psi }}(\stackrel{ˇ}{f})`$, where

$$\stackrel{ˇ}{f}(p)=(2\pi )^{n𝚍}e^{ipx}f(x)dx.$$

Consequently, the support of $`\widehat{\mathrm{\Psi }}`$ with respect to the variable $`p_1+\mathrm{}+p_n`$ is contained in $`\overline{V}_{}`$. The same is true for the variable $`p_m+\mathrm{}+p_n`$, $`mn`$, i.e., the functional (2) in the momentum space is supported by the cone

$$K_n=\{pR^{n𝚍}:p_m+\mathrm{}+p_n\overline{V}_{},m=1,\mathrm{},n\}.$$
(5)
In particular, this cone contains the support of the Fourier transform of the $`n`$-point Wightman function of the field $`\phi `$, which is clear from its explicit expression via the two-point function of the original field $`\varphi `$. If $`(E)`$ consists of analytic functions, then the above derivation is no longer valid, and some other means of functional analysis are needed for describing the spectral properties.

## 3 Gelfand-Shilov-Gurevich spaces

It was shown in  that a suitable space $`S_a^b`$ can be taken as the functional domain $`E`$ of the Wick series $`d_k:\varphi ^k:(x)`$. Such spaces are particularly convenient from the standpoint of the Fourier transformation, which simply interchanges the indices $`a`$ and $`b`$. The defining indices are sequences of positive numbers satisfying the regularity conditions

$$a_{k+l}C_1h_1^{k+l}a_ka_l,b_{k+l}C_2h_2^{k+l}b_kb_l,$$
(6)
where $`C_{1,2}`$ and $`h_{1,2}`$ are constants 222The conditions (6) ensure that the operations required for a convenient calculus are performable in $`S_a^b`$. It is noteworthy that the weaker conditions $`a_{k+1}C_1h_1^ka_k,b_{k+1}C_2h_2^kb_k`$ proved to be sufficient for deriving the results in .. The space $`S_b^a=(S_a^b)`$, which in the context of the problem under study is the test function space in the momentum representation, consists of smooth functions satisfying the bounds

$$|p^\lambda {}_{}{}^{\kappa }g(p)|CA^{|\kappa |}B^{|\lambda |}a_{|\kappa |}b_{|\lambda |},$$
(7)
where $`\kappa `$ and $`\lambda `$ are multi-indices whose norm is defined as the sum of the components and the constants $`A`$, $`B`$ and $`C`$ depend on $`g`$. The conditions (7) can be rewritten as

$$b(|p|/B)|{}_{}{}^{\kappa }g(p)|CA^{|\kappa |}a_{|\kappa |},$$
(8)
where $`b(s)=sup_{lN}(s^l/b_l)`$, $`|p|=\mathrm{max}_j|p_j|`$, and $`N`$ denotes the set of nonnegative integers. The function $`b(s)`$ is called the indicator function. If $`a_k^{1/k}=O(k)`$, then the elements of $`S_b^a`$ are analytic, and, as a rule, the indefinite metric Wick series converge only on such test functions. This means that the matrix elements of the fields determined by these series are analytic functionals in the momentum representation. A special role is played by the spaces defined by the sequence $`a_k=k!`$, which are usually denoted by $`S_b^1`$. The elements of the dual space $`S_b^1`$ can be interpreted as hyperfunctions increasing at infinity no faster than $`C_ϵb(ϵ|p|)`$, where $`ϵ`$ is arbitrarily small. As is known, hyperfunctions form the broadest class of distributions for which the notion of support is well defined. It was shown in  that a part of their properties are inherited by analytic functionals of the class $`S_b^a`$, where $`a_k=k^{\alpha k}`$, $`b_l=l^{\beta l}`$ and the numbers $`\alpha `$ and $`\beta `$ satisfy the conditions $`0\alpha <1`$ and $`\beta >1`$. Here, we extend the theory developed in  to a broader class of functionals.

Definition 1. Let $`\alpha (s)`$ and $`\beta (s)`$ be nonnegative continuous functions indefinitely increasing on the half-axis $`s0`$, let $`\alpha (s)`$ be convex and differentiable for $`s>0`$, and let $`\beta (s)`$ be convex with respect to $`\mathrm{ln}s`$ and satisfy the condition

$$2\beta (s)\beta (hs)$$
(9)
with a constant $`h>1`$. We define $`_\beta ^\alpha `$ as the space consisting of entire analytic functions on $`C^n`$ such that

$$|g(p+iq)|C\mathrm{exp}\{\alpha (A|q|)\beta (|p|/B)\},$$
(10)
where the constants $`A`$, $`B`$ and $`C`$ depend on $`g`$.

We write $`\alpha _1\alpha `$ if there are constants $`C`$ and $`H`$ such that $`\alpha _1(s)C+\alpha (Hs)`$.

Theorem 1. Let $`\beta \alpha `$. Then $`_\beta ^\alpha `$ coincides with the space $`S_b^a(R^n)`$ determined by the sequences

$$a_k=\underset{r0}{sup}r^ke^{\alpha _{}(r)}b_l=\underset{s0}{sup}s^le^{\beta (s)},$$
(11)
where $`\alpha _{}(r)=sup_{s>0}(rs\alpha (s))`$.

The function $`\alpha _{}`$ is said to be monotonically conjugate to the convex function $`\alpha `$ (see ). The conditions (6) hold for the sequences (11) in view of (9) and the inequality $`2\alpha _{}(s)\alpha _{}(2s)`$, which follows from the convexity of $`\alpha _{}`$ under the normalization condition $`\alpha (0)=0`$.

To prove Theorem 1, we need the following three lemmas.

Lemma 1. The relation

$$\underset{r0}{sup}r^ke^{\alpha _{}(r)}=(k/e)^k\underset{s>0}{inf}s^ke^{\alpha (s)}.$$
(12)
holds for any function $`\alpha (s)`$ satisfying the conditions of Definition $`1`$ and for all $`k0`$.

Proof. The expression in the right-hand side is immediately recovered, if we substitute $`e^{\alpha _{}(r)}=inf_{s>0}e^{\alpha (s)rs}`$ in the left-hand side of (12) and change the order in which the supremum and the infimum are calculated. Since $`sup_rinf_sG(r,s)inf_ssup_rG(r,s)`$ for any function $`G`$, it is only necessary to show that the opposite inequality also holds in the case under consideration, i.e., to prove (according to the standard terminology ) that the function $`G(r,s)=r^ke^{\alpha (s)rs}`$ has a saddle value. The validity of (12) with $`k=0`$ is obvious; we therefore suppose that $`k>0`$. We recall that a differentiable convex function is continuously differentiable. The point $`s_k`$ at which $`inf_{s>0}s^ke^{\alpha (s)}`$ is attained is determined by the equation $`\alpha ^{}(s)=k/s`$, whose solution is unique because the function $`\alpha ^{}`$ is nonnegative, monotonic, and not identically zero. Set $`r_k=\alpha ^{}(s_k)`$. We have

$$\underset{r0}{sup}\underset{s>0}{inf}r^ke^{\alpha (s)rs}\underset{s>0}{inf}r_k^ke^{\alpha (s)r_ks}=(k/es_k)^ke^{\alpha (s_k)}$$
(13)
because $`\alpha (s)r_ks`$ is a convex function and any of its stationary points is the point of absolute minimum. The lemma is thus proved.

Lemma 2. For any function $`\beta (s)`$ satisfying the conditions of Definition $`1`$, and for any $`ϵ>0`$ there is a constant $`C_ϵ`$ such that

$$\beta (s)+\mathrm{ln}sC_ϵ+\beta ((1+ϵ)s).$$
(14)
Proof. For any nondecreasing function $`\beta `$ which is convex with respect to $`\mathrm{ln}s`$ and is not identically constant, there is a number $`c`$ such that

$$\beta (s)c\mathrm{ln}s$$
(15)
for sufficiently large $`s`$. If (9) holds in addition, then (15) is true for arbitrarily large $`c`$. The convexity with respect to $`\mathrm{ln}s`$ implies

$$\beta (hs)\tau \beta (h^{1/\tau }s)+(1\tau )\beta (s)$$
(16)
for $`0\tau 1`$. Set $`\tau =N/(N+1)`$ and take $`N`$ such that $`h^{1/N}<1+ϵ`$. Then

$$\beta (hs)\beta (s)N[\beta ((1+ϵ)hs)\beta (hs)].$$

Here we have $`\beta (hs)\beta (s)N\mathrm{ln}sC_N`$ in view of the condition (9) and the inequality (15) with $`c=N`$. After the change of notation $`hss`$, we obtain (14).

Lemma 3. Let the function $`\beta (s)`$ satisfy the conditions of Definition $`1`$, and let the sequence $`b_l`$ be determined by the relations $`(\text{11})`$ and $`b(s)=sup_{lN}(s^l/b_l)`$. Then

$$b(s)e^{\beta (s)}C_ϵ^{}b((1+ϵ)s)$$
(17)
for any $`ϵ>0`$.

Proof. Only the right-hand inequality is nontrivial here. We temporarily suppose that $`l`$ is an arbitrary real number, not necessarily a positive integer, and note that the function $`b_l`$ is nondecreasing for $`l>\beta (e)`$ because the infimum in definition (11) is attained at $`s>1`$ in this case. The function $`\mathrm{ln}b_l`$ is conjugate to $`\beta (e^t)`$ and is finite for $`l0`$. The operation of conjugation is involutory on convex closed functions (see ), and therefore $`sup_{l0}(s^l/b_l)=e^{\beta (s)}`$. If $`s`$ is sufficiently large, then the supremum is attained here at large $`l`$ because $`\beta (s)`$ increases faster than $`c\mathrm{ln}s`$ with arbitrary $`c`$. Let $`[l]`$ be the integer part of $`l`$. Then

$$b(s)s^{[l]}/b_{[l]}s^{l1}/b_l=e^{\beta (s)\mathrm{ln}(s)},$$

and the application of (14) completes the proof.

Proof of Theorem 1. Let $`g_\beta ^\alpha `$. For the natural choice of the topology on $`_\beta ^\alpha `$, the least constant $`C`$ for which (10) is true is the norm $`g_{A,B}`$. Let $`𝒟(s)`$ and $`_0𝒟(s)`$ denote the polydisk $`\{\zeta C^n:|\zeta |=\mathrm{max}_j|\zeta _j|s\}`$ and its skeleton. Applying the Cauchy formula, using the arbitrariness in the choice of $`s`$, and taking into account the inequality $`\beta (|p|/2)\beta (|\zeta +p|)+\beta (|\zeta |)`$ implied by the monotonicity and nonnegativity of $`\beta `$, we obtain

$$|p^\lambda {}_{}{}^{\kappa }g(p)|=|p^\lambda |\frac{\kappa !}{(2\pi )^n}\left|\underset{_0𝒟(s)}{}\frac{g(\zeta +p)}{\zeta ^{\kappa +I}}d\zeta \right|g_{A,B}|p|^{|\lambda |}e^{\beta (|p|/2B)}|\kappa |!\underset{s>0}{inf}s^{|\kappa |}e^{\alpha (As)+\beta (s/B)}$$

$$C_ϵg_{A,B}(2(A+H/B+ϵ))^{|\kappa |}(2B)^{|\lambda |}a_{|\kappa |}b_{|\lambda |},$$

where the right-hand inequality is derived using the Stirling formula, Lemma 1, the condition $`\beta \alpha `$, and the inequality $`\alpha (s_1)+\alpha (s_2)\alpha (2(s_1+s_2)`$. Hence, the space $`_\beta ^\alpha `$ is continuously embedded in $`S_b^a`$.

Conversely, let $`gS_b^a`$. The norms in $`S_a^b`$ will be marked with the prime. Using the Taylor formula, the condition (8), and the inequality $`|\kappa |!n^{|\kappa |}\kappa !`$, we obtain the estimate

$$|g(p+iq)|\underset{\kappa N^n}{}\frac{|q^\kappa |}{\kappa !}|^\kappa g(p)|C_ϵg_{A,B}^{}\frac{1}{b(|p|/B)}\underset{kN}{sup}(n(A+ϵ)|q|)^k\frac{a_k}{k!}$$

for the analytic continuation of $`g`$ into $`C^n`$. By Lemma 1 and the inequality $`1/k!e^k/k^k`$, we have $`a_k/k!e^{\alpha (s)}/s^k`$ for any $`s`$. Therefore, the supremum with respect to $`k`$ can be majorized by the function $`e^{\alpha (n(A+ϵ)|q|)}`$. Applying Lemma 3 completes the proof.

Remark. It is well known that the space $`S_b^1`$ can be similarly redefined. It can be regarded as being defined by the discontinuous convex function $`\alpha (s)`$ vanishing for $`0s1`$ and equal to $`+\mathrm{}`$ for $`s>1`$, and by the function $`\beta (s)=\mathrm{ln}b(s)`$. Accordingly, its elements are analytic in the domains of the form $`|y|<1/A`$.

The subclass of the spaces of type $`S`$ characterized by Theorem 1 will be called the Gelfand-Shilov-Gurevich spaces because, in some respects, they are close to the spaces of type $`W`$ introduced by Gurevich. The further construction of the theory follows that in , and instead of presenting complete proofs, we comment on their main points. The key step consists in introducing, in addition to $`_\beta ^\alpha `$, the kindred spaces over cones.

Definition 2. Let $`U`$ be an open cone in $`R^n`$, and let the functions $`\alpha `$ and $`\beta `$ satisfy the conditions of Definition 1. The space $`_\beta ^\alpha (U)`$ consists of entire functions on $`C^n`$ possessing the boundedness property

$$|g(p+iq)|C\mathrm{exp}\{\alpha (A|q|)+\alpha \delta _U(Ap)\beta (|p|/B)\},$$
(18)
where $`\delta _U(p)`$ is the distance from the point $`p`$ to the cone $`U`$ and the constants $`A`$, $`B`$ and $`C`$ depend $`g`$.

Theorem 2. If the space $`_\beta ^\alpha (U)`$ is endowed by the inductive-limit topology with respect to the family of the Banach spaces $`_{\beta ,B}^{\alpha ,A}(U)`$ of entire functions with the norms

$$g_{U,A,B}=\underset{p,q}{sup}|g(p+iq)|\mathrm{exp}\{\alpha (A|q|)\alpha \delta _U(Ap)+\beta (|p|/B)\},$$
(19)
then $`_\beta ^\alpha (U)`$ becomes a DFS space333Here DFS is the standard notation for the class of topological vector spaces dual to the Frechét-Schwartz spaces. and is consequently a complete, Hausdorff, barrelled, reflexive, separable, and Montel space.

We recall that DFS spaces are limits of injective compact sequences of locally convex spaces. For an arbitrary sequence contained in the unit ball of $`_{\beta ,B}^{\alpha ,A}(U)`$, the application of the Montel theorem and the diagonalization process permit separating a subsequence uniformly converging on compact sets in $`C^n`$ to an element of this space. In the broader space $`_{\beta ,B^{}}^{\alpha ,A^{}}(U)`$, $`A^{}>A`$, $`B^{}>B`$, this convergence holds with respect to the norm because

$$\underset{|q|\mathrm{}}{lim}e^{\alpha (A|q|)\alpha (A^{}|q|)}=0,\underset{|p|\mathrm{}}{lim}e^{\beta (|p|/B)+\beta (|p|/B^{})}=0$$

by virtue of Lemma 2. Therefore, the canonical mapping $`_{\beta ,B}^{\alpha ,A}(U)_{\beta ,B^{}}^{\alpha ,A^{}}(U)`$ is compact, which precisely proves Theorem 2. For the same reason, $`_{\beta ,B+}^{\alpha ,A+}(U)=_{A^{}>A,B^{}>B}_{\beta ,B^{}}^{\alpha ,A^{}}(U)`$ is a Frechét space, which is essential for the derivation of the result below.

Theorem 3. For any pair $`U_1,U_2R^n`$ of open cones, the relation

$$_\beta ^\alpha (U_1)\widehat{}_i_\beta ^\alpha (U_2)=_\beta ^\alpha (U_1\times U_2),$$

holds, where the subscript $`i`$ means that the tensor product is endowed with the inductive topology and the hat denotes completion.

The proof of this theorem is the same as that of Theorem 3 in . According to the Carleman–Ostrowski theorem on quasianalyticity conditions, the space $`(_\beta ^\alpha )`$ contains functions of compact support if and only if

$$_1^{\mathrm{}}\frac{\beta (s)}{s^2}ds<\mathrm{}.$$
(20)
We assume that the condition (20) holds because the formalism we develop is intended for application to the local field theory.

Theorem 4. Under the condition $`(\text{20})`$, the space $`_\beta ^\alpha `$ is dense in each of the spaces $`_\beta ^\alpha (U)`$, where $`U`$ is an open cone.

This theorem is proved in the same way as its particular case in . A much simpler proof is possible under the additional assumption that the space $`_\alpha ^\alpha `$ is nontrivial, which suffices for the majority of applications we are interested in. Namely, taking a function $`e_0_\alpha ^\alpha `$ possessing the property $`e_0(p)dp=1`$, we can approximate any element $`g_\beta ^\alpha (U)`$ with functions $`g_\nu _\alpha ^\alpha `$ by setting $`g_\nu =e_\nu g`$, where $`e_\nu `$ is a sequence of Riemann sums for the integral $`e_0(p\eta )d\eta `$ or, more explicitly,

$$e_\nu (p)=\underset{\kappa Z^n,|\kappa |<\nu ^2}{}e_0(p\kappa /\nu )\nu ^n.$$

A closed cone $`KR^n`$ is called a carrier cone of a functional $`u_\beta ^\alpha `$, if $`u`$ can be continuously extended to every space $`_\beta ^\alpha (U)`$, where $`UK\{0\}`$ or, in other words, if $`u`$ can be continuously extended to the union

$$_\beta ^\alpha (K)=\underset{UK\{0\}}{}_\beta ^\alpha (U),$$

endowed with the inductive–limit topology.

Theorem 5. Any functional $`u_\beta ^\alpha `$ with a carrier cone $`K_1K_2`$ can be decomposed as $`u=u_1+u_2`$, where $`u_j_\beta ^\alpha (K_j),j=1,2`$.

Theorem 6. If each of the cones $`K_1`$ and $`K_2`$ is a carrier cone of a functional $`u_\beta ^\alpha `$, then $`K_1K_2`$ is also its carrier cone.

As a consequence, there exists the smallest closed cone $`K`$ such that $`u_\beta ^\alpha (K)`$. It can be called the quasisupport of the functional $`u`$.

The spaces $`_\beta ^\alpha (K)`$ inherit the topological properties specified in Theorem 2. Therefore, Theorems 5 and 6 are equivalent to the corresponding dual assertions for test functions, and among these assertions, only the one concerning the possibility of decomposing any function $`g_\beta ^\alpha (K_1K_2)`$ into a sum of functions belonging to $`_\beta ^\alpha (K_1)`$ and $`_\beta ^\alpha (K_2)`$ needs a proof. If $`_\alpha ^\alpha `$ is nontrivial, then such a decomposition presents no problems. Namely, let $`g_{\beta ,B}^{\alpha ,A}(U)`$, where $`U`$ is a conic neighborhood of the intersection $`K_1K_2`$, and let $`W`$ be its slightly smaller neighborhood such that $`\overline{W}\{0\}U`$. Since the angular distance between the closed cones $`K_jW`$ is nonzero, there exist their conic neighborhoods $`W_j`$ and a number $`\theta >0`$ such that

$$|p\eta |\theta |p|,|p\eta |\theta |\eta |$$
(21)
for all $`pW_1`$ and $`\eta W_2`$. We take an arbitrary function $`e_0_{\alpha ,B_0}^{\alpha ,A_0}`$ with the property $`e_0(p)dp=1`$ and set

$$e(p)=_{W_2}e_0(p\eta )d\eta .$$

Using the convexity of $`\alpha `$ and the inequalities (21), we can verify that $`eg_\beta ^\alpha (K_1)`$ given that $`2B_0<\theta /A`$ because in this case, the function $`e`$ decreases in $`W_1`$ no slower than $`e^{\alpha (A|p|)}`$, which suppresses the growth of $`g`$ in this cone. Similarly, we have $`(1e)g_\beta ^\alpha (K_2)`$ for $`2B_0<\theta ^{}/A`$, where $`\theta ^{}`$ is the angular distance from $`K_2W`$ to the complement of $`W_2`$. If $`_\alpha ^\alpha `$ is trivial, then the desired decomposition can be derived using the standard method for solving Cousin problems using the Hörmander $`L^2`$-estimates (see ).

## 4 Fourier–Laplace transformation in $`_\beta ^\alpha `$

We proceed to extend the theory of the Fourier–Laplace transformation to functionals of the class $`_\beta ^\alpha `$. The nonquasianalyticity condition (20) implies the inequality $`\beta (s)<C_ϵ+ϵs`$, where $`ϵ`$ is arbitrarily small. Therefore, the function

$$\beta ^{}(t)=\underset{s>0}{inf}(st\beta (s)).$$
(22)
is defined on the half-axis $`t>0`$. We note that it is nonpositive, concave, and monotonic and that it tends to $`\mathrm{}`$ as $`t0`$.

६ 7. Let $`K`$ be an acute cone and $`V`$ be the interior of its dual cone $`K^{}=\{y:py0,pK\}`$. If the condition $`(\text{20})`$ holds, then the Laplace transform $`𝐯(z)=(u,e^{i(,z)})`$ of any functional $`u_\beta ^\alpha (K)`$ is holomorphic in the domain $`T^V=\{z=x+iy:yV\}`$ and satisfies the inequality

$$|𝐯(z)|C_ϵ(V^{})\mathrm{exp}\{\alpha _{}(ϵ|z|)\beta ^{}(|y|/ϵ)\}(yV^{})$$
(23)
for an arbitrary $`ϵ>0`$ and for every compact subcone $`V^{}`$ of $`V`$ $`(`$i.e., such that $`\overline{V}^{}\{0\}V`$$`)`$. As $`y0`$ inside a fixed cone $`V^{}`$, the function $`𝐯(x+iy)`$ tends to the Fourier transform of the functional $`u`$ in the topology of the space $`(_\beta ^\alpha )`$.

Proof. We have

$$|𝐯(z)|u_{U,A,B}e^{i(p+iq)z}_{U,A,B}$$

for any $`A,B>0`$ and every $`UK\{0\}`$, where

$$e^{i(p+iq)z}_{U,A,B}=\underset{p}{sup}\mathrm{exp}\{py\alpha \delta _U(Ap)+\beta (|p|/B)\}\underset{q}{sup}\mathrm{exp}\{qx\alpha (A|q|)\}.$$
(24)
In what follows, it is convenient to regard $`||`$ as the Euclidean norm in $`R^n`$. The supremum with respect to $`q`$ in (24) with $`A>1/ϵ`$ is majorized by the function $`e^{\alpha _{}(ϵ|x|)}`$. We take a cone $`U`$ that is compact in another cone $`U^{}`$ that is compact in $`\mathrm{int}V^{}`$. If $`pU^{}`$, then $`\delta _U(p)>\theta |p|`$, where $`\theta >0`$, and consequently $`\alpha \delta _U(Ap)>\alpha (A\theta |p|)`$. Moreover, we have $`\beta (|p|/B)<C+|p|/B`$, and the supremum with respect to $`pU^{}`$ for $`2A\theta >1/ϵ`$ therefore does not exceed $`C_ϵe^{\alpha _{}(ϵ|y|)}`$. If $`pU^{}`$, then the inclusion $`\overline{U}^{}\{0\}\mathrm{int}V^{}`$ implies that $`py\theta ^{}|p||y|`$ for all $`yV^{}`$. Hence, the supremum with respect to $`pU^{}`$ for $`B\theta ^{}>1/ϵ`$ does not exceed $`\beta ^{}(|y|/ϵ)`$. The estimate (23) is thus proved. It is similarly established that the difference quotients corresponding to the partial derivatives $`e^{i(p+iq)z}/z_j`$ converge to them for any $`zT^V`$ in the topology of $`_\beta ^\alpha (U)`$, and $`𝐯(z)`$ is consequently holomorphic for $`zT^V`$. By Theorem 1, a function $`f(_\beta ^\alpha )=S_a^b`$ satisfies the inequality $`|f(x)|C/a(|x|/A)`$, where $`a(r)=sup_k(r^k/a_k)c_\epsilon e^{\alpha _{}(r/(1+\epsilon ))}`$ according to Lemma 3 applied to $`\alpha _{}`$. Therefore, for every $`yV^{}`$, the function $`f`$ is integrable with the function $`(u,e^{i(,z)})`$ not only for the element $`u`$ under consideration but also for any $`u_\beta ^\alpha (U)`$. Consequently, the sequence of Riemann sums for the integral

$$e^{iz(p+iq)}f(x)dx$$

is weakly Cauchy in the space $`_\beta ^\alpha (U)`$, and because this is a Montel space, it is convergent in $`_\beta ^\alpha (U)`$. Hence,

$$𝐯(x+iy)f(x)dx=(u,e^{(,y)}g),$$

where

$$g(\zeta )=e^{i\zeta x}f(x)dx(\zeta =p+iq).$$

It remains to prove that $`e^{\zeta y}g(\zeta )g(\zeta )`$ in the topology of $`_\beta ^\alpha (U)`$ as $`y0`$ inside $`V^{}`$. By the first mean value theorem, we have $`|e^{\zeta y}1||\zeta ||y|\mathrm{max}_{0t1}e^{pyt}`$. If $`g_{\beta ,B_0}^{\alpha ,A_0}`$, then we obtain

$$(e^{\zeta y}1)g_{U,A,B}C|y|\underset{0t1}{\mathrm{max}}\underset{p}{sup}\mathrm{exp}\{pyt\alpha \delta _U(Ap)\}$$

for $`A>A_0`$ and $`B>B_0`$. Here, the expression $`pyt\alpha \delta _U(Ap)`$ in the exponential function is negative for $`pU^{}`$ and $`yV^{}`$ and does not exceed $`\alpha _{}(|y|/A\theta )`$ for $`pU^{}`$. The theorem is proved.

Let $`V`$ be an open connected cone in $`R^n`$, and let $`𝒜_\alpha _{}^\beta ^{}(V)`$ denote the space of holomorphic functions in $`T^V`$ and satisfying the condition (23). For the natural choice of topology, it is a topological algebra with respect to multiplication because the condition (9) implies that $`2\beta ^{}(t)\beta ^{}(2t/h)`$. The most important for us and at the same time the most difficult problem is to generalize the Paley–Wiener–Schwartz theorem to analytic functionals of the class $`_\beta ^\alpha `$. We do this under an additional condition on the growth of the elements of $`𝒜_\alpha _{}^\beta ^{}(V)`$ at infinity. This condition is very weak, and it holds for the applications we are interested in. We say that two functions $`\beta `$ and $`\beta _1`$ are equivalent if $`\beta _1\beta `$ and $`\beta \beta _1`$. In this case, they specify the same space.

Theorem 8. Let the functions $`\alpha `$ and $`\beta `$ possess the properties specified in Definition $`1`$, let the conjugate function $`\alpha _{}`$ of $`\alpha `$ increase no faster than a first-order finite-type exponential function, and let $`\beta `$ satisfy the condition $`(\text{20})`$ and be equivalent to a continuous concave function. Then the Laplace transformation establishes an isomorphism between the space $`_\beta ^\alpha (V^{})`$ and the algebra $`𝒜_\alpha _{}^\beta ^{}(V)`$ for any open connected cone $`V`$.

Proof. The cone $`V`$ lies inside $`V^{}`$. The Laplace transform of the space $`_\beta ^\alpha (V^{})`$ is therefore contained in $`𝒜_\alpha _{}^\beta ^{}(V)`$ by Theorem 7, and the problem consists in proving the inverse inclusion. As before, let the sequence $`a_k`$ be defined by the first formula in (11). Any function $`𝐯𝒜_\alpha _{}^\beta ^{}(V)`$ has a boundary value in the sense of hyperfunction theory. Under the indicated condition on the growth of $`\alpha _{}`$, it is defined on the space $`S_a^1`$, which is nontrivial under this condition444If the function $`\alpha _{}`$ increases so fast that for any $`N`$ there exists an $`r_N`$ such that $`\alpha _{}(r)>e^{Nr}`$ for $`r>r_N`$, then $`S_a^1`$ is trivial. This follows from Theorem 4 in Chap. 2 in . because it contains the entire function $`_{j=1}^ne^{4\mathrm{cosh}z_j}`$ majorizable by $`e^{ne^{|x|/n}}`$ for $`|y|<\pi /3`$. The elements of $`S_a^1`$ are analytic in the domains of the form $`\{z:|y|<1/B\}`$ and satisfy the bound $`|f(z)|f_{A,B}e^{\alpha _{}(|x|/A)}`$ in them. Therefore, the formula

$$(v,f)=𝐯(x+iy)f(x+iy)dx(yV,|y|<1/B),$$

where the integral is independent of $`y`$ by virtue of the Cauchy–Poincaré theorem, defines a continuous linear functional on $`S_a^1`$. We let $`u`$ denote the (inverse) Fourier transform of $`v`$ and consider its convolution with a test function $`gS_1^a`$. We have the identity

$$(ug)(p)=(u,g(p))=𝐯(x+iy)e^{ip(x+iy)}f(x+iy)\mathrm{d}x,$$
(25)
where

$$f(z)=(2\pi )^ng(p)e^{ipz}dp.$$

The Fourier transformation establishes a one-to-one and bicontinuous mapping of $`S_1^a`$ onto $`S_a^1`$, and there exist $`A^{}>A`$ and $`B^{}>B`$ such that $`f_{S_{a,A^{}}^{1,B^{}}}Cg_{S_{1,B}^{a,A}}`$. Therefore, (23) and (25) imply the inequality

$$|(ug)(p)|C_{ϵ,A}g_{A,B}\underset{0<t<1/B^{}}{inf}e^{|p|t\beta ^{}(t/ϵ)}.$$
(26)
Here the infimum is attained at sufficiently large $`s=|p|`$ on the interval $`(0,\delta )`$, where $`\delta `$ is arbitrarily small. Indeed, suppose the contrary, i.e., that for some $`\delta >0`$ and for any $`N`$ there exist $`s_NN`$ and $`t_N[\delta ,1/B^{})`$ such that

$$s_Nt_N\beta ^{}(t_N)<\underset{0<t<\delta }{inf}(s_Nt\beta ^{}(t)).$$

The right-hand side does not exceed $`s_N\delta /2\beta ^{}(\delta /2)`$, and consequently we have $`N(t_N\delta /2)<\beta ^{}(t_N)\beta ^{}(\delta /2)`$. In view of the monotonicity of $`\beta ^{}`$, this implies the absurd inequality $`N\delta /2<\beta ^{}(1/B^{})\beta ^{}(\delta /2)`$. Therefore, (26) remains valid if the infimum is taken throughout the half-axis and the constant $`C_{ϵ,A}`$ is increased if necessary. The equivalence of $`\beta `$ to a concave function implies its equivalence to $`\beta ^{}`$, which can be verified by extending this concave function throughout the axis with the value $`\mathrm{}`$ for $`s<0`$ and taking into account that the operation of conjugation is involutory for closed concave functions . Ultimately, we obtain

$$|(ug)(p)|C_{ϵ,A}^{}g_{A,B}e^{\beta (ϵ|p|)}.$$
(27)
By Lemma 3 in , it follows that the functional $`u`$ has a unique continuous extension to $`_\beta ^\alpha `$. It remains to show that $`V^{}`$ is a carrier cone for this extension. In the simplest case of $`V=R^n`$ and $`V^{}=\{0\}`$, this follows from Lemma 1. Indeed, $`𝐯𝒜_\alpha _{}^\beta ^{}(R^n)`$ is an entire function increasing no faster than $`C_ϵ\mathrm{exp}\{\alpha _{}(ϵ|z|)`$. Estimating the coefficients $`c_k`$ of the power series that represents this function by means of the Cauchy formula results in $`|c_\kappa |C_ϵϵ^{|k|}/a_{|k|}`$. The test function $`g_\beta ^\alpha (\{0\})`$ is also entire, and it satisfies the inequality

$$|g(p+iq)|g_Ae^{\alpha (2A|p+iq|)},$$

whence follows the estimate

$$|^\kappa g(0)|g_AA^{|\kappa |}\kappa !\underset{s>0}{inf}s^ke^{\alpha (s)}.$$

In view of the Stirling formula, the relation (12) shows that the functional

$$u=\underset{\kappa N^n}{}i^\kappa c_\kappa ^\kappa \delta $$

is defined on $`_\beta ^\alpha (\{0\})`$ and is continuous.

The further argument repeats the proof of Theorem 4 in . Let us consider the case of $`V=R_+`$ and $`V^{}=\overline{R}_+`$. We apply Theorem 5 and decompose $`u`$ into the sum of the functionals $`u_+`$ and $`u_{}`$ carried by the respective half-axes $`\overline{R}_+`$ and $`\overline{R}_{}`$. Performing the Laplace transformation, we obtain $`𝐯(x+i0)=𝐯_+(x+i0)+𝐯_{}(xi0)`$, where $`𝐯_\pm 𝒜_\alpha _{}^\beta ^{}(C_\pm )`$. By the “edge-of-the-wedge” theorem, there is an entire function serving as an extension for both $`𝐯𝐯_+`$ and $`𝐯_{}`$. It increases no faster than $`C_ϵ\mathrm{exp}\{\alpha _{}(ϵ|z|)`$, and the origin is therefore a carrier cone of the functional $`uu_+`$, which completes the proof for $`n=1`$. In the general case, it can be assumed that the first coordinate unit vector lies in the cone $`V`$. We take $`g_\beta ^\alpha (R^{n1})`$, write $`x^{}=(x_2,\mathrm{},x_n)`$, and consider the mapping

$$g𝐯_1(z_1)=𝐯(z_1,x^{})\stackrel{ˇ}{g}(x^{})dx^{}$$

of $`_\beta ^\alpha (R^{n1})`$ into $`𝒜_\alpha _{}^\beta ^{}(C_+)`$. It is easy to see that it is continuous. Let $`u_1_\beta ^\alpha (\overline{R}_+)=_\beta ^\alpha (R_+)`$ be the functional that is taken to $`𝐯_1`$ by the Laplace transformation. The correspondence $`𝐯_1u_1`$ is also continuous by the open mapping theorem (see Sec. 5.6 in ). We thus obtain a bilinear separately continuous functional on $`_\beta ^\alpha (R_+)\times _\beta ^\alpha (R^{n1})`$, which determines by Theorem 3 a continuous linear functional on $`_\beta ^\alpha (H_1)`$, where $`H_1`$ is the half-space $`x_1>0`$. The restriction of this functional to $`_\beta ^\alpha (R)_\beta ^\alpha (R^{n1})`$ coincides with that of the functional $`u`$, and we conclude that $`\overline{H}_1`$ is a carrier cone for $`u`$. The same is true for each of the half-spaces $`\{p:py0\}`$ $`yV`$ with $`yV`$, whose intersection is the cone $`V^{}`$, which consequently is also a carrier cone of the functional $`u`$ by Theorem 6. This completes the proof.

It is also useful to have a theorem characterizing spectral functions in the case of preliminarily unknown regularity properties for the growth of holomorphic functions near the real boundary of the analyticity domain. The statement below is suitable for our aims.

Theorem 9. Suppose $`𝐯`$ is a holomorphic function in $`T^V`$, and for any compact subcone $`V^{}`$ of $`V`$ and for an arbitrary $`ϵ>0`$ the inequality

$$|𝐯(z)|C_ϵ(V^{})\mathrm{exp}\{\alpha _{}(ϵ|z|)+\gamma _V^{}(|y|)\}(yV^{})$$
(28)
holds, where $`\gamma _V^{}`$ is a nonnegative function indefinitely increasing with decreasing argument and $`\alpha _{}`$ is conjugate to a function $`\alpha `$ possessing the properties specified in Definition $`1`$ and increases no faster than a linear exponential function. Then $`𝐯`$ is the Laplace transform of an analytic functional belonging to any space $`_\beta ^\alpha (V^{})`$, where $`\beta `$ satisfies $`(\text{20})`$ and the inequality

$$(\gamma _V^{})^{}(s)C_ϵ^{}(V^{})+\beta (ϵs).$$
(29)
Indeed, substituting (28) in (25), we obtain an estimate of the type (26) with $`\gamma _V^{}(t)`$ instead of $`\beta ^{}(t/ϵ)`$. As before, the monotonicity of $`\gamma _V^{}`$ permits passing to the infimum throughout the half-axis in this estimate, which yields the inequality (27) by virtue of (29). The remaining part of the proof is the same as in Theorem 8 in view of the inequality $`\gamma _V^{}(t)C_ϵ^{}(V^{})\beta ^{}(t/ϵ)`$ following from (29).

## 5 Generalized spectral condition

The functional domain of definition of the Wick series $`d_k:\varphi ^k:(x)`$ was found in  proceeding from the infrared and ultraviolet behavior of the Hilbert majorant of the vacuum expectation value $`w(xx^{})=\mathrm{\Psi }_0,\varphi (x)\varphi (x^{})\mathrm{\Psi }_0`$. The majorant is the boundary value of a function $`𝐰_{\mathrm{maj}}(z,z^{})`$ holomorphic in the tubular domain $`\{(z,z^{})C^{\mathrm{𝟸}𝚍}:y=\mathrm{Im}zV_{},y^{}=\mathrm{Im}z^{}V_+\}`$, and its behavior can be characterized by the inequality

$$|𝐰_{\mathrm{maj}}(z,z^{})|C_0+C_1w_{IR}(|z|+|z^{}|)+C_2w_{UV}(|y|+|y^{}|),$$
(30)
where the pair $`(y,y^{})`$ runs through a compact subcone of $`V_{}\times V_+`$, the constant $`C_2`$ depends on this subcone, and $`w_{IR}`$ and $`w_{UV}`$ are nonnegative monotonic functions, the first of them increasing, and the other decreasing. The inequality (30) was used in  only for $`y`$ and $`y^{}`$ belonging to the $`y_0`$-axis, whereas here we need its satisfaction to the full extent.

Let the series $`d_k:\varphi ^k:(x)`$ be convergent under averaging with test functions belonging to $`S_a^b=(_\beta ^\alpha )`$. By the generalized spectral condition, we mean the requirement that the closed cone (5) be a carrier cone of the vector-valued analytic functional (2) in the momentum representation. Let $`\stackrel{ˇ}{f}_\beta ^\alpha (K_n)`$, let $`\stackrel{ˇ}{f}_\nu _\beta ^\alpha `$, and let $`\stackrel{ˇ}{f}_\nu \stackrel{ˇ}{f}`$. To prove the validity of the stated condition, it suffices to show that $`\mathrm{\Psi }(f_\nu )=\widehat{\mathrm{\Psi }}(\stackrel{ˇ}{f}_\nu )`$ is a Cauchy sequence. This is true if the acute cone $`(K_n)\times K_n`$ is a carrier cone of the Fourier transform of the generalized function $`T_n`$ in the right-hand side of (1). Theorem 9 reduces deriving this property to estimating the behavior of the corresponding analytic function $`𝐓_n(z)`$. It should be taken into consideration here that the transition from the momentum representation to the coordinate representation in quantum field theory is usually realized with the opposite sign in the Fourier–Laplace transformation as compared with the one used in the foregoing section. Explicitly, we have $`𝐓_n(z)=_KD_K𝐖^K(z)`$, where $`zC^{2n𝚍}`$, $`K`$ is a multi-index with the components $`k_{jm}`$, the coefficients $`D_K`$ can be expressed via $`d_k`$ in a known way, and

$$𝐖^K(z)=\underset{1j<mn}{}𝐰(z_mz_j)^{k_{jm}}\underset{n+1j<m2n}{}𝐰(z_jz_m)^{k_{jm}}\underset{\genfrac{}{}{0pt}{}{1jn}{n+1m2n}}{}𝐰_{\mathrm{maj}}(z_j,z_m)^{k_{jm}}.$$

We write $`V_n=\mathrm{int}K_n^{}`$ and $`V=V_n\times (V_n)`$. Then

$$\begin{array}{c}V=\{yR^{2n𝚍}:y_1V_{},y_jy_{j1}V_{}(2jn),\hfill \\ y_{n+1}V_+,y_jy_{j1}V_+(n+2j2n)\}.\hfill \end{array}$$

Let a cone $`V^{}`$ be compact in $`V`$, let $`1jn`$, and let $`n+1m2n`$. If $`y`$ ranges $`V^{}`$, then the pair $`(y_j,y_m)`$ ranges a compact subcone of $`V_{}\times V_+`$, and there is a $`\delta >0`$ such that $`|y_j|+|y_m|\delta |y|`$. Indeed, let $`\mathrm{pr}V^{}`$ denote the projection of the cone $`V^{}`$, i.e., its intersection with the unit sphere in $`R^{2n𝚍}`$, and let the expression $`|y_j|+|y_m|`$ be regarded as a function of $`y`$. This function is continuous, maps the compact set $`\mathrm{pr}V^{}`$ into a compact subset in $`V_{}\times V_+`$, and attains its infimum on $`\mathrm{pr}V^{}`$, which is nonzero because points with zero components do not belong to $`V`$. This precisely implies the desired assertion. A similar argument shows that for the indices $`1j<mn`$ and $`n+1j<m2n`$, the difference $`y_jy_m`$ between the components of the vector $`yV^{}`$ ranges compact subcones of $`V_+`$ and $`V_{}`$ respectively, and we have $`|y_jy_m|\delta |y|`$, possibly with a different, but nonzero, constant $`\delta `$. Applying the inequality $`|𝐰(xx^{}2i\eta )|^2|𝐰_{\mathrm{maj}}(xi\eta ,x+i\eta )||𝐰_{\mathrm{maj}}(x^{}i\eta ,x^{}+i\eta )|`$ proved in , which holds for all $`\eta V_+`$, using (30), and taking into account the monotonicity of $`w_{IR}`$ and $`w_{UV}`$, we obtain

$$|𝐖^K(z)|3^{|K|}\left(C_0^{|K|}+C_1^{|K|}w_{IR}(2|z|)^{|K|}+C_2(V^{})^{|K|}w_{UV}(\delta _V^{}|y|)^{|K|}\right)yV^{}.$$
(31)
We subject the coefficients of the Wick series in question to the conditions (whose meaning was elucidated in )

$$d_k0,d_0=1,\underset{k\mathrm{}}{lim}(k!d_k^2)^{1/k}=0,d_kd_lCH^{k+l}d_{k+l},$$
(32)
where $`C`$ and $`H`$ are constants. The third condition in (32) ensures the absolute and uniform convergence of the series representing the function $`𝐓_n(z)`$ on compact sets in $`T^V`$ and, as a consequence, the holomorphy of this function in $`T^V`$, whereas the fourth condition permits deriving from (31) the inequality

$$|𝐓_n(z)|C\left(\underset{k=0}{\overset{\mathrm{}}{}}L^kk!d_{2k}w_{IR}(2|z|)^k\right)\left(\underset{k=0}{\overset{\mathrm{}}{}}L^kk!d_{2k}w_{UV}(\delta |y|)^k\right),yV^{},$$
(33)
where $`L`$ and $`\delta `$ depend $`V^{}`$.

We can now summarize our results.

Theorem 10. Let $`\varphi `$ be a free field acting in a pseudo-Hilbert space $``$. Under the conditions $`(\text{32})`$ on the coefficients, the field $`\phi (x)=d_k:\varphi ^k:(x)`$ is well defined as an operator-valued distribution on every space $`S_a^b`$ whose indicator functions satisfy the inequalities

$$\underset{k}{}L^kk!d_{2k}w_{IR}(r)^kC_{L,ϵ}a(ϵr),\underset{t>0}{inf}e^{st}\underset{k}{}L^kk!d_{2k}w_{UV}(t)^kC_{L,ϵ}b(ϵs)$$

for an arbitrarily large $`L>0`$ and an arbitrarily small $`ϵ>0`$, and, in addition, $`\mathrm{log}a(r)`$ grows no faster than a linear exponential function. If $`S_b^a`$ is a Gelfand–Shilov–Gurevich space and $`\beta (s)=\mathrm{log}b(s)`$ satisfies $`(\text{20})`$, then all conditions of the pseudo-Wightman formalism hold for $`\phi (x)`$ including the generalized spectral condition.

The first of these assertions was proved in , and the other can be derived from (33) using Theorem 9 if $`\gamma _V^{}(t)=\mathrm{ln}_kL_V^{}^kk!d_{2k}w_{UV}(\delta _V^{}t)^k`$ is taken.

## 6 Conclusion

The functional domain of definition of the Wick series of a free field with an indefinite metric was found comparatively simply in . In contrast, proving that the basic conditions of general quantum field theory are satisfied for sums of such series requires studying the properties of analytic functionals rather thoroughly. We believe that these efforts are justified because they not only permit properly refining the pseudo-Wightman formalism but also, in our opinion, provide a mathematical basis for a consistent Euclidean formulation of quantum field models with singular infrared behavior violating the positivity condition. The above condition on the growth of the indicator function $`a(r)`$ is not essential and is motivated only by the desire to give clearer, more concise proofs. We note that the Wick series in question can always be realized on the spaces $`S_0^b`$, which correspond to the spaces $`_\beta ^\alpha `$ with $`\alpha (s)=s`$. These spaces allow arbitrary infrared behavior because they consist of functions of compact support in the coordinate representation, and the corresponding formulation of the spectral condition is the weakest (i.e., the most general). However, the objective of the present paper is to accurately describe both the functional domain of definition of Wick series and their spectral properties. The developed technique permits solving another interesting problem completely, namely, investigating the nonlocal extension of the Borchers equivalence classes, in which the major difficulty is related to correctly generalizing the microcausality condition and proving that it is satisfied for nonlocal Wick series. These results will be presented in a separate publication.

Acknowledgments. This work was supported by the Russian Foundation for Basic Research (Grant No. 99-02-17916) and INTAS (Grant No. 99-1-590).


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# 1 Introduction

## 1 Introduction

According to our experiences there are many different gravitational configurations in our physical world. Therefore if general relativity is a correct theory of gravitational phenomena (at least at low energies) then it is important to know whether or not these various patterns can be modeled in general relativity i.e. Einstein equations provide enough solutions for describing many different gravitational fields. Unfortunately or fortunately Einstein equations form an extraordinary difficult system of nonlinear partial differential equations for the four dimensional Lorentzian metric mainly because of the rich self-interactions of the gravitational field; hence in general it is a hard job to write down explicit solutions in this theory. Therefore all methods which prove at least the existence of solutions are very important. From this viewpoint, the Cauchy problem or initial value formulation of general relativity is maybe the most powerful method to generate plenty of solutions.

As it is well-known, the initial value formulation gives rise to a correspondence between globally hyperbolic space-times and gravitational initial data. Maybe we can say without an exaggeration that the class of globally hyperbolic space-times is the most important class of space-times from the physical point of view. Consequently the initial data formulation provides not only many but also physically relevant solutions. The constraint equations between initial data are in the focal point of the initial data formulation. The question is whether or not these constraint equations are easier to solve than the original Einstein equation itself making the method effective. Of course, the answer is typically yes.

This motivates the serious efforts made in order to understand the structure and provide solutions of constraint equations. Far from being complete we just mention the early works of Lichnerowicz , Choquet-Bruhat et al.  , Fisher-Marsden , Christodoulou–Kleinerman. These works mainly deal with the analytical properties of the solutions. Witt proved the existence of solutions on a general three-manifold . More recently, in a sequence of papers Isenberg, Moncrief, Choquet-Bruhat and York proved the existence of solutions under milder and milder assumptions, cf. e.g. .

The constraint equations involve the scalar curvature of the metric on the underlying Cauchy surface which is a three dimensional smooth manifold. Various properties of the solutions depend crucially on the scalar curvature, especially on its sign. But we know that in the problem of describing the sign of the scalar curvature, especially on a compact manifold, one encounters with the topology of the space. Parallelly to the investigations of solutions of the constraint equations by physicist and mathematicians, mathematicians proved remarkable results on the properties of the scalar curvature of Riemannian manifolds. By an early general result of Kazdan and Warner  we know that for compact manifolds of dimension greater than two there is no constraint on the scalar curvature if there is at least one point where it is negative. This shows that it is easy to construct manifolds with negative scalar curvature. If we wish to construct manifolds with non-negative scalar curvature, however, we have to face various obstacles coming from the topology of the manifold. We just mention two basic examples. By results of Lichnerowicz and Hitchin, on spin manifolds it is often impossible to construct metrics of positive scalar curvature because of a subtle topological invariant, the so-called $`\widehat{A}`$-genus . Moreover, in three dimensions, the size of the fundamental group provides another obstruction for positive scalar curvature by results of Gromow–Lawson  and Schoen–Yau . An excellent survey on this branch of differential geometry is .

These observations make it not surprising that the topology of the Cauchy surface has a strong influence on the properties of initial data on it. The goal of this paper is to understand this link a bit better. Our motivation is a paper by Witt  who studied the problem of existence of initial data on general three manifolds and examined certain characteristics of these initial data. In Section 3 we prove a theorem which states that on open Riemannian manifolds with everywhere non-positive scalar curvature the extrinsic curvature field of a non-vacuum initial data cannot be compactly supported i.e. it has a “tail” at infinity although this tail may have sufficiently fast fall-off to make such an initial data still asymptotically flat. The proof of this theorem is elementary and is based on the following idea.

By using the initial data set $`(M,g,k)`$ and the assumption that $`\mathrm{supp}k`$ is compact, we construct another “universal” initial data set $`(M,g,\phi g)`$ where $`\phi :M`$ is a compactly supported at least once continuously differentiable (or $`C^1`$-) function on $`M`$ (with a little more effort this function could be smoothened but we do not need this). However this leads us to a contradiction if the scalar curvature of $`g`$ is non-positive everywhere. In other words, we deform the original initial data set into a standard one whose properties are easier to understand.

Acknowledgement. The author thanks Prof. H. Kodama (YITP, Japan) and Prof. L.B. Szabados (KFKI, Hungary) for the fruitful discussions and to the unknown referee of JMP for calling our attention to some weak points in the original version of the proof. The work was supported by JSPS grant no. P99736.

## 2 Background material

First let us introduce some notations. Let $`W`$ be a smooth manifold. We will call a tensor field $`T`$ of type $`(m,n)`$ over $`W`$ if it is a smooth section of the bundle

$$T^{(m,n)}W:=\underset{m}{\underset{}{TW\mathrm{}TW}}\underset{n}{\underset{}{T^{}W\mathrm{}T^{}W}}.$$

Remember that an initial data set for general relativity is a triple $`(M,g,k)`$, where $`M`$ is a (not necessarily compact) connected, oriented, smooth three-manifold, $`g=(g_{ij})`$ is a smooth, complete Riemannian metric on $`M`$ i.e. a non-degenerate smooth symmetric tensor field of type $`(0,2)`$ on $`M`$ while $`k=(k_{ij})`$ is a smooth, symmetric tensor field on $`M`$ also of $`(0,2)`$-type. These fields must satisfy the following constraint equations :

$$\{\begin{array}{cc}s_g|k|_g^2+\mathrm{tr}^2k=16\pi \rho ,\hfill & \\ & \\ \mathrm{div}(k(\mathrm{tr}k)g)=8\pi J,\hfill & \\ & \\ \rho |J|_g0.\hfill & \end{array}$$
(1)
Here $`s_g`$ is the scalar curvature of the metric $`g`$ and $`||_g`$ denotes various norms given by the induced scalar product on $`T^{(m,n)}M`$, e.g. $`|k|_g^2=k,k=k_{ij}k^{ij}`$. The operator $`\mathrm{tr}:T^{(m,n)}MT^{(m1,n1)}M`$ is the trace with respect to the metric, e.g. $`\mathrm{tr}k=k_i^i`$. For the sake of simplicity in the second equation we also denote by $`g`$ and $`k`$ the $`(1,1)`$-tensors with respect to the metric $`g`$ (i.e. $`g=(g_j^i)`$, $`k=(k_j^i)`$ in the second equation). The linear differential operator $`\mathrm{div}:C^{\mathrm{}}(T^{(m,n)}M)C^{\mathrm{}}(T^{(m1,n)}M)`$ is the covariant divergence, defined by

$$\mathrm{div}T:=\mathrm{tr}(T)$$

where $`T`$ is a tensor field of $`(m,n)`$-type and $``$ is the Levi–Civitá covariant derivative of the metric $`g`$. The smooth function $`\rho :M`$ is the energy-density, and the smooth covector field $`JC^{\mathrm{}}(T^{}M)`$ with $`|J|_g^2=J,J=J_iJ^i`$ is interpreted as the momentum-density of matter.

Supposing the energy- and momentum-densities correspond to classical non-dissipative matter sources or vacuum ($`J=0`$, $`\rho =0`$), the coupled Einstein-equations can be used to evolve the initial data set $`(M,g,k)`$ into a (globally hyperbolic) smooth space-time $`(N,h)`$ where $`NM\times `$ and $`M`$ is a Cauchy surface in $`N`$; furthermore $`h|_M=g`$ and $`k`$ is the second fundamental form or extrinsic curvature of $`M`$ in $`(N,h)`$  .

Also remember that the open oriented three-manifold $`M`$ has an end $`EM`$ if there is a compact set $`CM`$ such that $`MC=E`$ and $`ES_g\times (^+\{0\})`$ where $`S_g`$ is a compact, oriented surface of genus $`g`$ and $`^+=[0,\mathrm{})`$. An initial value data set $`(M,g,k)`$ is called asymptotically flat along $`E`$ if $`M`$ has an end $`ES^2\times (^+\{0\})`$ and the following asymptotical fall-off conditions hold for the complete metric $`g`$ and the field $`k`$ ($`r`$ parameterizes $`^+`$ in $`E`$):

$$\begin{array}{cc}(g|_E)_{ij}=\delta _{ij}+O(1/r),\hfill & (k|_E)_{ij}=O(1/r^2),\hfill \\ & \\ _l(g|_E)_{ij}=O(1/r^2),\hfill & _l(k|_E)_{ij}=O(1/r^3),\hfill \\ & \\ _l_k(g|_E)_{ij}=O(1/r^3).\hfill & \end{array}$$

Notice that the definition of a manifold with an end does not exclude the possibility that $`M`$ still has a boundary, different from the end $`E`$ (strictly speaking, $`E`$ is not a boundary). But the boundary points are added to $`M`$ because $`C=ME`$ is compact according to our assumption. Consequently geodesic completeness of $`g`$ requires that this extra boundary must be empty, in other words $`M`$ is diffeomorphic to the punctured manifold $`\stackrel{~}{M}\{y\}`$ where $`\stackrel{~}{M}`$ is a connected, compact, oriented three-manifold without boundary.

Finally, the support of a tensor field $`TC^{\mathrm{}}(T^{(m,n)}W)`$ is the closed set

$$\mathrm{supp}T:=\overline{\{xW|T(x)0\}}.$$

After this background material, we are in a position to prove our theorem. The motivation is the following.

## 3 The theorem

It was proved by Witt  that every three-manifold with an end admits a non-vacuum, asymptotically flat initial data set. For a typical three-manifold, the resulting Cauchy developed space-time does not admit maximal slices, however; i.e. there are no maximal space-like submanifolds whose extrinsic curvature is identically zero. One may raise the question: in what extent are these slices not maximal? In other words what are the conditions on a Riemannian manifold $`(M,g)`$ for its extrinsic curvature in the Cauchy development to be compactly supported at least? We will answer this question in our theorem.

Theorem (Rigidity for non-vacuum initial data). Let $`(M,g)`$ be a connected, oriented, complete Riemannian three-manifold with an end $`ES^2\times (^+\{0\})`$. Suppose the scalar curvature $`s_g`$ of $`g`$ is non-positive everywhere and there is a non-vacuum initial data set $`(M,g,k)`$ on it which is asymptotically flat along the end $`E`$. Then $`\mathrm{supp}k`$ is non-compact.

Proof. Since the scalar curvature is non-positive, the set $`\mathrm{supp}s_g`$ consists of the closure of those points where $`s_g`$ is negative. Then the first and third (in)equalities of (1) show that $`\mathrm{supp}s_g\mathrm{supp}k`$ therefore if the scalar curvature is negative everywhere the statement is trivially true, consequently we may assume that $`\mathrm{supp}s_gM`$. In the same fashion, since $`(M,g,k)`$ is a non-vacuum data set, there is a point $`x_0M`$ such that $`\rho (x_0)0`$. This yields $`\mathrm{supp}\rho \mathrm{}`$. Being the scalar curvature non-positive, via the first and third (in)equalities of (1) again we have $`k(x_0)0`$ i.e., $`\mathrm{supp}\rho \mathrm{supp}k`$. Therefore if the energy density is supported everywhere the theorem is again trivially valid consequently we may assume $`\mathrm{supp}\rho M`$. Consider a subset $`CM`$ such that $`\mathrm{supp}s_gC`$ and $`\mathrm{supp}\rho C`$ and suppose the decomposition $`M=CE`$ is valid where $`E`$ denotes the end of $`M`$. Consequently by the structure of $`M`$ we may assume that $`C`$ is compact. This shows that there is a constant

$$0<a:=\underset{xC}{sup}\left(|k(x)|_g^2+\mathrm{tr}^2k(x)\right)<\mathrm{}.$$

Consider a triple $`(M,g,\phi g)`$ where $`\phi :M`$ is a $`C^1`$-function. This triple is a weak initial data set if it obeys the constraint equations (here by “weak” we mean that the initial data set in question is not smooth, only $`C^k`$ for some $`k`$):

$$\{\begin{array}{cc}s_g+6\phi ^2=16\pi \rho ,\hfill & \\ & \\ 2\mathrm{div}(\phi g)=2\mathrm{t}\mathrm{r}((\phi g))=2\mathrm{tr}(\mathrm{d}\phi g)=8\pi J,\hfill & \\ & \\ \rho |J|_g0.\hfill & \end{array}$$

In the second equation we have used the fact that $`g=0`$. These (in)equalities can be combined into a first order partial differential inequality for the unknown function $`\phi `$:

$$\frac{1}{4}(s_g+6\phi ^2)|\mathrm{d}\phi |_g$$
(2)
taking into account that $`|\mathrm{tr}(\mathrm{d}\phi g)|_g=|\mathrm{d}\phi |_g`$. Assume $`\mathrm{}\mathrm{supp}kM`$ is compact i.e., the theorem is not true. In this case we construct a compactly supported function $`\phi `$, out of the original data $`(M,g,k)`$ such that $`(M,g,\phi g)`$ is a weak initial data set. We achieve this in three steps.

(i) Construction of $`\phi `$ in the compact interior of $`M`$. Let us identify the end $`EM`$ with $`S^2\times (^+\{0\})`$. By assumption $`\mathrm{supp}k`$ is compact in $`M`$ consequently there is an $`R_1^+`$ satisfying $`S^2\times (R_1,\mathrm{})\mathrm{supp}k`$. Note that this is possible only if $`s_g|_{S^2\times (R_1,\mathrm{})}=0`$. We can take the choice $`C:=M(S^2\times (R_1,\mathrm{}))`$ for the compact set used in the definition of the constant $`a`$. We construct the function $`\phi `$ in $`C`$ as follows:

$$\phi (x):=\sqrt{a},xC.$$

In other words $`\phi `$ is a constant negative function on $`M`$ except the infinite tube $`S^2\times (R_1,\mathrm{})`$. Note that with this function (2) is trivially satisfied in $`C`$ because $`(M,g,k)`$ is an initial data set on $`C`$.

(ii) Construction of $`\phi `$ along an annulus in $`E`$. Consider an inner point $`x_0CM`$ where $`\rho (x_0)>0`$ and $`k(x_0)0`$. There is an open (geodesic) ball $`B_\epsilon (x_0)M`$ of radius $`\epsilon >0`$ such that $`\rho |_{B_\epsilon (x_0)}>0`$ and $`k|_{B_\epsilon (x_0)}0`$. Consider the annulus $`U_\epsilon :=\overline{B_\epsilon (x_0)B_{\frac{\epsilon }{2}}(x_0)}S^2\times [\frac{\epsilon }{2},\epsilon ]`$. Take another constant $`R_1<R_2<\mathrm{}`$ and the diffeomorphism

$$\beta :U_\epsilon S^2\times [R_1,R_2],x_t=(p,t)(p,R_1+\frac{2t\epsilon }{\epsilon }(R_2R_1))=(p,r)$$

where $`pS^2`$ and the point $`x_tU_\epsilon `$ is identified with $`(p,t)S^2\times [\frac{\epsilon }{2},\epsilon ]`$. Here $`S^2\times [R_1,R_2]`$ is also an annulus in the tube $`E`$. By assumption $`g`$ is asymptotically flat i.e., the function $`\sqrt{g^{11}}0`$ is bounded consequently there is a constant

$$0<b:=\underset{xM}{sup}\sqrt{g^{11}(x)}<\mathrm{}$$

(here $`x^1=r`$). Choose a smooth function $`\psi :[R_1,R_2]^{}`$. Viewing it as a function on $`S^2\times [R_1,R_2]`$ (i.e. a function depending only on $`r`$), one obtains the estimate

$$b|\psi ^{}||\sqrt{g^{11}}\psi ^{}|=|\mathrm{d}\psi |_g$$
(3)
where prime denotes differentiation with respect to $`r`$. Now we define $`\psi `$ as follows:

$$\psi (\beta (x_t)):=\{\begin{array}{cc}\sqrt{a}\hfill & \text{if }t=\frac{\epsilon }{2}\text{,}\hfill \\ \text{arbitrary but the derivative of }\psi \text{ is small}\hfill & \text{if }t(\frac{\epsilon }{2},\epsilon ),\hfill \\ 0\hfill & \text{if }t=\epsilon .\hfill \end{array}$$

In this definition the smallness of $`\psi ^{}`$ means the following. Consider a differentiable curve $`\gamma :[\frac{\epsilon }{2},\epsilon ]U_\epsilon `$ given by

$$tx_t:=(\mathrm{\Theta }_{\frac{\epsilon }{2}}+A\mathrm{sin}(R_2R_1)t,\varphi _{\frac{\epsilon }{2}}+A\mathrm{sin}(R_2R_1)t,t).$$

This is a high-speed curve because it oscillates rapidly inside $`B_\epsilon (x_0)`$. More precisely, for its speed $`|\dot{\gamma }(t)|_gR_2R_1`$ is valid (dot denotes differentiation with respect to $`t`$). We can take a choice for the point $`x_0`$ and the amplitude $`A`$, the initial phases $`\mathrm{\Theta }_{\frac{\epsilon }{2}}`$ and $`\varphi _{\frac{\epsilon }{2}}`$ of the curve $`\gamma `$ such that

$$\mathrm{d}\left(\sqrt{|k(x_t)|_g^2+\mathrm{tr}^2k(x_t)}\right)(\dot{\gamma }(t))(R_2R_1)<0$$

holds for each $`t[\frac{\epsilon }{2},\epsilon ]`$. Then we suppose

$$0\psi ^{}(\beta (x_t))\mathrm{min}(\frac{\epsilon }{4(R_2R_1)}\mathrm{d}\left(\sqrt{|k(x_t)|_g^2+\mathrm{tr}^2k(x_t)}\right)(\dot{\gamma }(t)),\frac{16\pi }{b}\rho (x_t)).$$
(4)
It is also clear that such a function exists if $`R_2`$ is suitable large: let $`\psi `$ be an arbitrary smooth, negative-valued function $`\psi :S^2\times [R_1,R_2]^{}`$ with initial value $`\psi (p,R_1)=\psi (\beta (x_{\frac{\epsilon }{2}}))=\sqrt{a}`$. Suppose there is an interval $`[R,R+T][R_1,R_2]`$ such that $`\psi ^{}`$ obeys (4) but there is a constant $`c>0`$ with $`\psi ^{}(p,r)c`$ if $`r[R,R+T]`$. This constant can be chosen to be independent of $`R_2R_1`$. In this case we can estimate for large $`R_1`$ and $`R_2`$ as follows:

$$\psi (p,R_2)\sqrt{a}+\frac{1}{2}\underset{R_1}{\overset{R_2}{}}\psi ^{}(p,r)dr\sqrt{a}+\frac{1}{2}\underset{R}{\overset{R+T}{}}\psi ^{}(p,r)dr\sqrt{a}+\frac{c}{2}T.$$

In other words if $`T`$ that is, $`R_2R_1`$ is sufficiently large we can achieve that $`\psi (p,R_2)=0`$. We choose $`\phi `$ on $`S^2\times [R_1,R_2]`$ to be the $`\psi `$ just constructed.

It is not difficult to check that $`\phi `$ obeys (2) in $`S^2\times [R_1,R_2]`$. Indeed, by the definition of the constant $`a`$ we have

$$\phi (p,R_1)=\phi (\beta (x_{\frac{\epsilon }{2}}))=\sqrt{a}\sqrt{\left|k\left(x_{\frac{\epsilon }{2}}\right)\right|_g^2+\mathrm{tr}^2k\left(x_{\frac{\epsilon }{2}}\right)}.$$

Taking suitable large $`R_1`$ and $`R_2`$, exploiting the decay of the metric $`g`$ and using (4) this implies that for each $`t[\frac{\epsilon }{2},\epsilon ]`$ we have

$$\phi (\beta (x_t))=\phi (p,r)=\sqrt{a}+\underset{R_1}{\overset{r}{}}d\phi (p,\varrho )(\beta ^{}(x_\tau ))d\varrho =$$

$$\sqrt{a}+\underset{R_1}{\overset{r}{}}\phi ^{}(p,\varrho )\left(g_{11}(p,\varrho )+A\frac{\epsilon }{2}(g_{12}(p,\varrho )+g_{13}(p,\varrho ))\mathrm{cos}\frac{\epsilon }{2}(\varrho +R_2)\right)d\varrho $$

$$\sqrt{a}+2\underset{R_1}{\overset{r}{}}\phi ^{}(p,\varrho )d\varrho =\sqrt{a}+\frac{4(R_2R_1)}{\epsilon }\underset{\frac{\epsilon }{2}}{\overset{t}{}}\phi ^{}(\beta (x_\tau ))d\tau $$

$$\sqrt{\left|k\left(x_{\frac{\epsilon }{2}}\right)\right|_g^2+\mathrm{tr}^2k\left(x_{\frac{\epsilon }{2}}\right)}\underset{\frac{\epsilon }{2}}{\overset{t}{}}\mathrm{d}\left(\sqrt{|k(x_\tau )|_g^2+\mathrm{tr}^2k(x_\tau )}\right)(\dot{\gamma }(\tau ))d\tau =\sqrt{|k(x_t)|_g^2+\mathrm{tr}^2k(x_t)}.$$

Consequently

$$\phi ^2(\beta (x_t))\left|k(x_t)\right|_g^2+\mathrm{tr}^2k(x_t).$$

Therefore, since $`s_g(\beta (x_t))=0`$ and $`0s_g(x_t)`$, we can write

$$\frac{1}{4}\left(s_g(\beta (x_t))+6\phi ^2(\beta (x_t))\right)=\frac{3}{2}\phi ^2(\beta (x_t))s_g(x_t)|k(x_t)|_g^2+\mathrm{tr}^2k(x_t)=16\pi \rho (x_t).$$

Moreover, also by (4), we have for the same $`x_tU_\epsilon `$ that $`16\pi \rho (x_t)b\phi ^{}(\beta (x_t))`$. This gives rise to our key inequality

$$\frac{3}{2}\phi ^2(\beta (x_t))b\phi ^{}(\beta (x_t))$$
(5)
showing via (3) that (2) is again satisfied in the annulus $`S^2\times [R_1,R_2]`$.

(iii) Construction of $`\phi `$ along the remaining part of the infinitely long tube in $`M`$. Finally, define

$$\phi (x):=0\text{if }xS^2\times [R_2,\mathrm{})\text{.}$$

Again, (2) is trivially valid.

Consider the function $`\phi :M^{}`$ defined through (i)-(iii). This is a continuous negative function on $`M`$ and is compactly supported: it is equal to zero for all $`rR_2`$ and equal to the constant $`\sqrt{a}`$ if $`rR_1`$. Its derivative is also compactly supported in $`S^2\times [R_1,R_2]`$ and is positive. Moreover $`\phi `$ can be adjusted to be $`C^1`$ on $`M`$ (note that $`\phi `$ is smooth except the junction points): it is clearly $`C^1`$ at $`r=R_2`$ by (5). However, by exploiting the freedom in the construction of $`\phi `$ in the inner points of the annulus, we can deform it to be $`C^1`$ at $`r=R_1`$ as well (i.e., we may assume that $`\phi ^{}(p,r)0`$ as $`rR_1`$). In this way we have constructed a weak $`C^1`$ initial data set $`(M,g,\phi g)`$ (with a little effort we could smooth this data but we do not need this).

The compactly supported $`\phi `$ depends nontrivially only on $`r`$ with $`(p,r)=\beta (x_t)S^2\times [R_1,R_2]`$ and satisfies the ordinary differential inequality (5). Now we demonstrate that it is impossible. Dividing by $`\phi ^2`$ and taking reciprocies in (5) we get

$$\left(\frac{\phi ^{}}{\phi }\right)^2\frac{3\phi ^{}}{2b},$$

which is nothing but

$$\sqrt{\frac{3\phi ^{}}{2b}}\frac{\phi ^{}}{\phi }\sqrt{\frac{3\phi ^{}}{2b}}.$$

By integrating the left inequality from $`R_1`$ to $`r<R_2`$ we arrive at the following estimate:

$$\mathrm{log}\sqrt{a}\sqrt{\frac{3}{2b}}\underset{R_1}{\overset{R_2}{}}\sqrt{\phi ^{}(p,\varrho )}d\varrho \mathrm{log}(\phi (p,r)).$$

At this point we have used the inequality

$$0<\underset{R_1}{\overset{r}{}}\sqrt{\phi ^{}(p,\varrho )}d\varrho \underset{R_1}{\overset{R_2}{}}\sqrt{\phi ^{}(p,\varrho )}d\varrho <\mathrm{}$$

for the non-negaitve function $`\phi ^{}`$. This shows that the logarithm of $`\phi `$ is bounded from below. However being $`\phi `$ compactly supported, $`\mathrm{log}(\phi (p,r))`$ is unbounded, as $`r`$ approaches $`R_2`$. Consequently the last but one inequality shows a contradiction yielding our original assumption, that $`\mathrm{supp}k`$ is compact, was wrong. We finished the proof. $`\mathrm{}`$

Remarks. 1.We would like to summarize here how the original initial data $`(M,g,k)`$ was used in the construction because apparently its behaviour has been taken into account only in a particular small ball $`B_\epsilon (x_0)`$. But in fact the construction is sensitive for the global characteristics of the original initial data. In step (i) we considered $`(M,g,k)`$ in the whole interior $`C`$ by exploiting the existence of the constant $`a`$ which is in some sense the maximum of $`k`$ in the whole compact $`C`$. This enabled us to “pump up” the original initial data in $`C`$ into a standard one which corresponds to the extremal point(s) of the original extrinsic curvature in some sense. Concerning part (iii), we have seen in the beginning of the proof that the only interesting possibility for our would-be initial data with compactly supported extrinsic curvature was the case where both the scalar curvature and energy-density were compactly supported. Consequently all fields in the initial data vanish along the tube for very large $`r`$ yielding the hypothetical initial data did not carry “information” along an infinitely long part of the end $`E`$. This is in accordance with the fact that our adjusted universal initial data $`(M,g,\phi g)`$ was also trivial on this portion. Finally, part (ii) which is the descending regime, is nothing but a magnification of the behaviour of $`(M,g,k)`$ in a small ball where matter is present via the diffeomorphism $`\beta `$. Indeed this small ball is responsible for the details of the fall-off of $`\phi `$ (we could have used equally well any other ball) however the fact that this function can vanish within a finite distance, is again guaranteed by the global properties of the original would-be initial data set: namely the only interesting case was when all fields were compactly supported.

2. Note that even if $`\mathrm{supp}k`$ is non-compact the non-vacuum data $`(M,g,k)`$ may be asymptotically flat, as it is shown by Witt  who constructs non-vacuum, asymptotically flat initial data for every three-manifold with an end. But the above theorem is sharp in the following sense. If we allow for a Riemannian manifold $`(M,g)`$ to have positive scalar curvature in a suitable region in $`M`$, it is possible to construct non-vacuum asymptotically flat initial data with compactly supported second fundamental form. An example is the Tolman–Bondi solution. This is because in this case the key inequality (5) can be written in the form

$$\frac{1}{4}(s_g+6\phi ^2)b\phi ^{}$$

with $`s_g>0`$ in the positive scalar curvature regime and it may have compactly supported solutions. But if $`s_g`$ is still negative somewhere, then $`k`$ is non-zero in that point, consequently the initial surface is not a maximal slice in this case.

3. Notice that the above considerations do not remain valid for vacuum initial data. For example, the Schwarzschild space-time has initial data with non-positive scalar curvature (namely it is identically zero) but the extrinsic curvature of the initial surface is compactly supported (namely identically zero i.e., the initial surface is a maximal slice). We conjecture that the analogue of the above theorem for vacuum initial data is the following: if $`(M,g)`$ is an asymptotically flat three-manifold with somewhere negative scalar curvature, then any vacuum initial data set $`(M,g,k)`$ cannot be asymptotically flat (i.e., the extrinsic curvature cannot decay at the required rate). But in this moment we are unable to prove this.

## 4 Concluding Remarks

In the previous section we have studied gravitational initial data from a general point of view. We have found that in the case of non-positive scalar curvature, the behaviour of the extrinsic curvature becomes very “rigid”: for open manifolds, the fall-off of the extrinsic curvature cannot be arbitrary.

The negativity of the scalar curvature becomes important by an early general result of Kazdan and Warner:

Theorem (Kazdan–Warner). Let $`W`$ be a compact manifold with $`dimW3`$, and $`f:W`$ be a smooth function on it such that there is a point $`xW`$ obeying $`f(x)<0`$. Then there is a smooth Riemannian metric $`h`$ on $`W`$ such that $`s_h=f`$ i.e. whose scalar curvature is the prescribed function $`f`$. $`\mathrm{}`$

The theorem demonstrates that a compact manifold of sufficiently large dimension always can be endowed with a metric with somewhere negative scalar curvature. This shows, taking into account the constraint equations, that it is relatively easy to construct initial data with somewhere non-zero extrinsic curvature.

The classical results of Gromow–Lawson  and Schoen-Yau , however, show that closed three-manifolds whose prime decomposition contains a $`K(\pi ,1)`$ factor (this implies such manifolds have infinite fundamental groups) do not carry any metric with positive scalar curvature. Consequently initial data with positive scalar curvature must be rare at least in the compact case.

If the compact $`\stackrel{~}{M}`$ does not have positive scalar curvature, the punctured, open manifold $`M=\stackrel{~}{M}\{y\}`$ of this type, which is nothing but a manifold with an end, does not have a metric with non-negative scalar curvature, too. Consequently these punctured manifolds do not admit non-vacuum, asymptotically flat initial data with identically zero extrinsic curvature. Furthermore if the scalar curvature is everywhere non-positive then this extrinsic curvature has non-compact support, as we have seen.

These results are quite surprising because all the fields in question are defined in the class of smooth functions so one would expect that initial data can be altered locally in a non-trivial way. In other words we have reduced the local degrees of freedom of the gravitational field in some sense.