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R E S E A R C H

Open Access

An evaluation of powers of the negative

spectrum of Schrödinger operator equation

with a singularity at zero

Ilyas Hashimoglu

*

*Correspondence:

[email protected] Department of Business Administration, Faculty of Business, Karabuk University, Karabuk, Turkey

Abstract

In this study, we investigate the discreteness and finiteness of the negative spectrum of the differential operatorLin the Hilbert spaceL2(H, [0,∞)), defined as

Ly= –d2y dx2+

A(A+I)

x2 yQ(x)y, under the boundary conditiony(0) = 0.

In the case when the negative spectrum is finite, we obtain an evaluation for the sums of powers of the absolute values of negative eigenvalues. The obtained result is applied to a class of equations of mathematical physics.

MSC: 34K08; 47A10; 35J10; 34B09

Keywords: operator-differential equations; Schrödinger operator; spectrum; eigenvalues; Hilbert space

1 Introduction

1.1 Related work

The theory of operator-differential equations with unbounded operator coefficients is a common tool for studying infinite systems of ordinary differential equations, partial differ-ential equations, and integro-differdiffer-ential equations. Numerous studies have been devoted to the spectral theory of such equations.

The first significant study in this direction belongs to Kostyuchenko and Levitan []. They studied the asymptotic behavior of the spectrum of the Sturm-Liouville operator with the operator coefficient. Later this area was the subject of research by Gorbachuk and Gorbachuk [, ], Otelbaev [], Solomyak [], Maksudovet al.[], Vladimirov [], Aslanova [], Bayramoglu and Aslanova [], Gesztesyet al.[], and Hashimoglu [].

In the paper [], Birman and Solomyak studied the negative spectrum and obtained evaluations for the number of negative eigenvalues of an ordinary second-order differ-ential equation given on the half-axis. Asymptotic formulas for negative eigenvalues of scalar differential equations were obtained by Skachek [, ], Rozenblyum [], Birman and Solomyak [], Laptev [], Birman and Laptev [], Laptev and Safronov [], Laptev and Solomyak [].

For operator-differential equations, the negative spectrum was studied in the papers of Gasymov, Zhikov and Levitan [], Yafaev [], Adigezalovet al.[–], and Aslanov and Gadirli [].

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1.2 Formulation of the problem

Consider the operator-differential expression

L= –d

dx +

A(A+I)

x –Q(x), ()

whereIis the identity operator, and the operatorsAandQ(x) act in the separable Hilbert spaceH, and satisfy the following conditions:

(a) A=A∗≥and(A+I)–σ

∞.

(b) For almost allx, the operatorQ(x)is self-adjoint, nonnegative, and Bochner-integrable.

We denote byLthe Hilbert space of functions with values inHdefined on the half-axis,

which satisfy the condition

u

L= ∞

u(x)Hdx.

It is assumed that the quadratic form

l[u,u] =

uH+

A(A+I)

xu,u

H

dx

(Qu,u)Hdx

defined on smooth functions that are finite nearx=  andx=∞, is lower semibounded and admits a closure in L. We denote byLthe self-adjoint operator corresponding to

the closure of the quadratic forml[u,u]. The operatorLis generated by the differential expression (), and the boundary condition

u() = . ()

The purpose of this paper is to study the discreteness and finiteness of the negative spectrum of the operatorL. To obtain them, we start from the general theorems of Birman [] on perturbations of quadratic forms.

In the case where the negative spectrum is finite, we evaluate the sums of the pow-ers of negative eigenvalues and apply the results to the equations of mathematical physics.

We note that in this paper the negative spectrum is evaluated for the first time in the case of finiteness of the negative spectrum for operator-differential equations.

2 Main results

2.1 Discreteness and finiteness of the negative spectrum of the Schrödinger operator equation with singularity at zero

We introduce some notation. We denote byL(Q) the set ofH-valued functions for which

the seminorm

u

L(Q)=

(3)

is finite. Next, we introduce the spacesW

(A) andL(A), which are the closures of the set

of smooth, finite nearx=  andx=∞H-valued functions, respectively, with metrics

u

W(A)=

uH+uH+

A(A+I)

xu,u

H

dx,

u

L (A)=

uH+

A(A+I)

xu,u

H

dx.

For the interval [,N], we denote the corresponding spaces of H-valued functions by

L(,N),L(,N;Q),W(,N;A) andL(,N;A).

To prove the discreteness and finiteness of the negative part of the spectrum of the op-eratorLwe start with providing two general theorems of Birman [] on perturbations of quadratic forms.

Theorem ([], Theorem .) Let A≥and B≥be symmetric operators in H with the common domain D(A)and C(α)=AαB(α> ).Then,for the operator C(α)to be lower

semibounded and for its closureC˜(α)to have only a discrete negative spectrum for allα> ,

it is necessary and sufficient that the form B[u,u]was completely continuous in D[A].Here

D[A]denotes a complete Hilbert space with scalar product(u,v)D[A]= (Au,v) + (u,v).

Theorem ([], Theorem .) Let A and B be symmetric nonnegative operators in H with the common domain D(A),A[u,u] > for u= ,and the form B[u,u]admits the closure B[u,u]in semi-space HA.Then,for the operator C(α)=AαB to be semibounded below and for the negative spectrum of the operatorC˜(α)to be finite for allα> ,it is necessary

and sufficient that the form B[u,u]was completely continuous in HA.

It follows from Theorem  that the operator has only a discrete negative spectrum when the embedding operator fromW(A) intoL(Q) is completely continuous. Similarly, in

order to find the finiteness condition for the negative spectrum of the operatorL, by The-orem  it is necessary to find the condition when the embedding operator fromL(A) into

L(Q) is completely continuous.

The following assertion follows from the Hausdorff theorem on finiteε-nets: In order that the set U of vector-valued functionsy(x) be compact in the metric ofL(Q), it is

necessary and sufficient that the setUbe compact in the metricL(,N;Q), for anyN,

and

lim

N→∞

sup

uU

N

(Qu,u)Hdx

= . ()

Lemma  If conditions(a)and(b)hold for the operators A and Q(x),then the embedding operator from W(,N;A)into L(,N;Q)is completely continuous.

Proof LetVbe the embedding operator fromW(,N;A) intoL(,N), and letBbe the

operator of multiplication byQ(x) inL(,N):

(Bu)(x) =Q(x)u(x).

For the proof of Lemma , it is sufficient to prove the continuity of the operatorBVfrom

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If we can prove that, for the setY ={u∈Y :N[u

H+uH+ ( A(A+I)

xu,u)H]dx≤}

(that is, for the unit ball), for anyε> , there exists a compactε-net inL(,N), then we

can conclude the complete continuity of the operatorV.

Letγ≤γ≤ · · · ≤γn≤. . . be eigenvalues of the operatorA, ande,e, . . . ,en, . . . be the

corresponding orthonormal eigenvectors.

Thenu(x) = ∞k=uk(x)ekanduH= ∞k=|uk(x)|, whereuk(x) = (u(x),ek)H.

For anyε>  there exists a numberl(ε) such that forll(ε):N( ∞k=l+|uk(x)|)dx<ε.

Indeed, sinceγl→ ∞asl→ ∞, then for anyε>  there is a numberl(ε) such that for ll(ε):

γl(γl+ ) N >

ε.

From this, forll(ε), it follows that

N

k=l+

uk(x)

dx = N

γl(γl+ ) N

k=l+

γl(γl+ ) Nuk(x)

dx

N

γl(γl+ )

uH+uH+

A(A+I)

xu,u

H

dx

N

γl(γl+ )

<ε.

Hence, the set El = (u(x),u(x), . . . ,ul(x)) is an ε-net for the set Y, where uk(x) =

(u(x),ek)H.

For the functionsuk(x) (k= , , . . . ,l), the following inequalities are satisfied:

N

uk(x)dxN

(u,u)dx≤,

N

uk(x+η) –uk(x)

=

η

η

ds dt N

uk(x+s)uk(x+t)dx

η

η

ds dt

u(x)Hdxη.

These inequalities show that the functionsu(x),u(x), . . . ,ul(x) are uniformly bounded

and equicontinuous. This proves the compactness of the setEl, that is, for a setY, for any

ε>  there exists a compactε-net. The complete continuity of the operatorVis proved. Now we prove that the operator BV is completely continuous. The operator-valued functionQ(x) is Bochner-integrable; therefore, for any numberε> , it can be approx-imated by a finite-valued operator function such that(x)H<cand

Q(x) –(x)

Hdx<ε. ()

It is obvious that the operator(x)V is completely continuous. Notice that

BVu

L(,N)= N

Qu,Qu Hdx=

N

(5)

and

BVuL(,N)BεVuL(,N)≤ N

Q(x) –(x)

Hu

Hdx.

According to (), and the well-known inequality

max

x

u(x)HcuW

(,N)≤cuW(,N;A)

we obtain

N

Q(x) –(x)

Hu

Hdx≤ max x[,N]

u(x)H.εu

W(,N;A). ()

From () and () we obtain

BVuL(,N)BεVuL(,N)+εu

W(,N;A). ()

From this inequality it follows that the operatorBV is completely continuous. Indeed, for any sequence of functionsu(x),u(x), . . . ,ul(x), . . . weakly convergent to zero in the metric

W

(,N;A), and withuW(,N;A)=  we obtain

lim

n→∞BVun

L(,N)≤nlim→∞BεVun

L(,N)+ε.

Taking into account that

lim

n→∞BεVun

L(,N)≤nlim→∞BεVun

W(,N;A)= 

we obtain

lim

n→∞BVun

L(,N)≤ε.

By the arbitrariness ofε> , we get

lim

n→∞BVunL(,N)= ,

that is, the operatorBV is completely continuous. The lemma is proved.

Lemma  Under the conditions of Lemma,the embedding operator from L(,N;A)into

L(,N;Q)is completely continuous.

Theproof is similar to the proof of Lemma .

It remains to find under what conditions forQ(x), condition () is satisfied, whereU

denotes the unit ball inW

(A), or inL(A).

Theorem  In order that the embedding operator from W(A)into L(Q)be completely continuous,it is sufficient that

lim

x→∞

x+

x

Q(t)dt H

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Proof Suppose that, for any ε > , there exists a number N = N(ε) such that

x+

x Q(t)dtH<ε when xN. We divide the semi-axis [,∞) into segments p =

(ap,ap+). We define (x) = p(x) = ap+

x Q(t)dt≥. Since everywhere onp: (x)≤, i.e.for anyfH: ( (x)f,f)H=dxd( (x)f,f)H≤, it follows ( (x)f,f)H≤( (ap)f,f)Hfor

anyxp. Then (x)H≤ (ap)H≤ ap+

ap Q(t)dtHfor anyxp.

Now let us evaluate the integralap+

ap (Q(x)y,y)Hdxfrom above.

We first integrate the quadratic form by parts

ap+

ap

Q(x)y,yHdx= –

ap+

ap

(x)y,yHdx

= – (x)f,fHap+ ap + Re

ap+

ap

(x)y,yHdx

≤ (ap)H·y(ap)H+ (ap)H·

ap+

ap

yHyHdx

≤ (ap)H·

ap+

ap

yH+yHdx

≤ (ap)H· ap+

ap

yH+

A(A+I)

xy,y

H

+yH

dx.

Note that in the last evaluation we used the following well-known inequality:

y(ap)H≤

ap+

ap

y

H+y

H

dx.

Thus, we have proved the main inequality:

ap+

ap

Q(x)y,yHdx

≤

ap+

ap

Q(x)dx H

ap+

ap

yH+

A(A+I)

xy,y

H

+yH

dx

≤ε

ap+

ap

yH+

A(A+I)

xy,y

H

+yH

dx.

Summing over allp, we obtain ∞

N

Q(x)y,yHdx≤ε

N

yH+

A(A+I)

xy,y

H

+yH

dx.

SinceyW

(A) andyW(A)≤, for anyε>  there is a numberN(ε) such that for

N>N(ε):N∞(Q(x)y,y)Hdx≤ε. Hence, we getlimN→∞N∞(Q(x)y,y)Hdx= .

Taking Lemma  into account, we see that the embedding operator fromW (A) into

L(Q) is completely continuous. The theorem is proved. Theorem  For an imbedding operator from L(A)to L(Q)to be completely continuous,

it is sufficient that

lim

x→∞x

x

Q(t)dt H

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Proof Let (x) = xQ(t)dt. Then (x) = –Q(x) ≤ . We evaluate the integral

N (Q(x)y,y)dxfrom above. We integrate the quadratic form by parts. Assumingy(x) to

be anN-finiteH-valued function, we obtain

N

Q(x)y,yHdx= –

N

(x)y,yHdx

= – (x)y,yHN + Re

N

(x)y,yHdx

≤

N

(x)HyHyHdx

= N

N

x (x)Hx–yHyHdx

≤Nmax

xN

x (x)H

N

x–yHyHdx

= N

N

Q(t)dt H

N

x–yHyHdx. ()

As in the scalar case, it is easy to prove the inequality

N

x–yHyHdxc

N

yHdx.

Taking this inequality into account, from () we obtain

N

Q(x)y,yHdx≤cN

N

Q(t)dt H

N

yH+

A(A+I)

xy,y

H

dx.

It follows from condition () that, for the setyL (A)≤,

lim

N→∞

N

Q(x)y,yHdx= .

Taking Lemma  into account, we see that the embedding operator fromL

(A) intoL(Q)

is completely continuous. The theorem is proved. Theorems  and , and Theorems  and  from [] imply the following theorems.

Theorem  In order to the operator L to be lower semibounded and to have only a discrete negative spectrum,it is sufficient that condition()be satisfied.

Theorem  In order to the operator L to have only a finite negative spectrum,it is sufficient that condition()be satisfied.

These theoretical results can be applied to the study of the negative spectra in certain problems of mathematical physics.

Example  We denote byL(D) the Hilbert space of measurable functionsf(x) such that

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We will assume thatDis the angular region of the plane with the center at the origin and with the angular valueα.

In the spaceL(D) we consider the operatorLgenerated by the differential expression

L= –q(x) forxD

and the boundary condition

u|∂D= .

Here we assume thatq(x) is a positive function ofx.

Let us investigate the discrete spectrum of the operatorLin the spaceL(D). We will

do this as in [] by reducing the equation Lu=λu to an infinite system of ordinary differential equations.

Denote n(ϕ) =

αsin

αϕ. It is easy to see that the system of functions { n(ϕ)}∞n=

forms a complete orthonormal system in the spaceL(,α). We seek the solution of the

equationLu=λuin the form

u(x,λ) =

l=

rul(r,λ) l(ϕ).

Substituting this value into the equation

Lu= –

u

∂r +

r

∂u

∂r +

r

u

∂ϕ

q(x)u=λu

we obtain

l=

ul(r) l(ϕ) +

l=

(παl) 

rul(r) l(ϕ) –

l=

q(r,ϕ)ul(r) l(ϕ)

=λ

l=

ul(r) l(ϕ).

We multiply both sides of this equation by l(ϕ), and integrate overϕfrom  toα. Then

ul+(

πl

α)–

 

rul–

l=

ul(r) α

q(r,ϕ) l(ϕ) l(ϕ)=λul(r)

or

uIIl+(

πl

α)

 

rul–

l=

ul(r)qll(r,α) =λ

ul

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Let us denote A= ⎡ ⎢ ⎢ ⎢ ⎢ ⎢ ⎢ ⎣ π α–     · · ·  · · ·

 απ –  · · ·  · · ·

· · · ·

   · · · nαπ 

· · · · ⎤ ⎥ ⎥ ⎥ ⎥ ⎥ ⎥ ⎦ ,

Q(r) =

⎡ ⎢ ⎢ ⎢ ⎢ ⎢ ⎢ ⎣

q q q · · · qn · · · q q q · · · qn · · · · · · · qnqnqn · · · qnn · · ·

· · · · ⎤ ⎥ ⎥ ⎥ ⎥ ⎥ ⎥ ⎦

, y=

⎡ ⎢ ⎢ ⎢ ⎢ ⎢ ⎢ ⎣ uu · · · un · · · ⎤ ⎥ ⎥ ⎥ ⎥ ⎥ ⎥ ⎦ .

Then the system of equations () takes the form

⎧ ⎨ ⎩

y+A(Ar+I)yQ(r)y=λy,

y() = . ()

We introduce the Hilbert space L(l; [,∞)) consisting of all functions f(r) = (f(r),

f(r), . . .) such that

 f(r) 

ldr<∞.

The scalar product inL(l; [,∞)) is defined as

(f,g)L(l;[,∞))=

f(r),g(r)l

dr.

Letf(x)∈L(D). We expand this function to the orthonormal system{ n(ϕ)}∞n=:

f(x) =

n=

rfn(r) n(ϕ),

where ∞ n=  √ rfn(r) =

α

f(x) n(ϕ).

It is clear that

f(x)

L(D)=

D f(x)

dx = ∞  r dr α   r n=

fn(r) n(ϕ),

n=

fn(r) n(ϕ) = ∞  n=

fn(r)

dr.

From this, it can be seen that the spacesL(D) andL(l; [,∞)) are isomorphic.

Conse-quently, the spectra of the operators –q(x) and –drd+ A(A+I)

r –Q(r) coincide. Therefore,

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Now let us find under what conditions the operatorLhas only a discrete negative spec-trum and under what conditions it has a finite number of negative eigenvalues.

Sincef= ∞n=fn n(ϕ),

Q(r)dr

f =

k=

fk

Q(r) k(ϕ)dr

=

k=

fk

q(r,ϕ) k(ϕ)dr

=

q(r,ϕ)dr

k=

fk k(ϕ) =

q(r,ϕ)dr

·f.

From this we get

Q(r)dr= sup fL(,α)=

Q(r)drf,f

= sup fL(,α)=

q(r,ϕ)drf

= sup

≤ϕ≤α

q(r,ϕ)dr.

Hence, by Theorem , the negative spectrum ofLis discrete, if the following condition is satisfied:

lim

x→∞≤ϕ≤αsup

x+

x

q(r,ϕ)dr= .

When the condition

lim

x→∞≤ϕ≤αsup x

x

q(r,ϕ)dr= 

is satisfied, from Theorem  it follows that the negative spectrum of the operatorLis finite.

2.2 Evaluation of the sums of the powers of negative eigenvalues of the Schrödinger operator equation with singularity at zero

Consider the same differential operator as in Section .:

⎧ ⎨ ⎩

Ly= –ddxy +A(xA+I)yQ(x)y, y() = .

We have already shown that under conditions (a)-(b) (Section .) the negative part of the spectrum of the operatorLis finite, iflimx→∞x

x Q(t)dtH= .

Suppose that the following conditions are also satisfied:

(c) xQ(x)dx<∞,

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Under conditions (a)-(c), we evaluate the number of negative eigenvalues of the opera-torL.

LetNbe the number of negative eigenvalues of the operatorL. Then this number is less than the number of eigenvalues of the formQ(x)(y,y)dxlying to the right side of  in the spaceL(A), or the number of eigenvaluesμk of an infinite system of differential

equations

d

yk

dx +

γk(γk+ )

xyk=μQ(x)yk, yk() = ,k= , , . . .

lying to the left side of , whereγ≤γ≤ · · · ≤γk≤. . . are the eigenvalues of the

opera-torA.

LetNkbe the number of eigenvalues of the differential equation

d

y

dx +

γk(γk+ )

xy=μQ(x)y, y() = , ()

lying to the left side of , in the spaceL[,∞). Then

N

k

Nk. ()

Let us evaluate each numberNk. Equation () can be reduced to the integral equation

μy(x) =

 γk+ 

Q(t)Gk(x,t)y(t)dt,

where

Gk(x,t) =

⎧ ⎨ ⎩

xγk+tγk, when x<t,

xγktγk+, when tx.

The number Nk is less than the number of eigenvalues of the operator

Mky=γ

k+

Q(t)Gk(x,t)y(t)dt, which are greater than . Therefore

Nk

μk≤

 =

μk=αk≥

 =

αk≥

αk=

k=

αk=tr(Mk) =

 γk+ 

xQ(x)dx. ()

Letτ be a number such that

γτ–+ ≤

xQ(x)dx≤γτ+ . ()

Then fork>τ we getNk≤tr(Mk) < .

Therefore,

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Taking into account (), (), (), and (), we obtain

N

τ

k=

Nk

τ

k=

tr(Mk)≤

τ

k=

 γk+ 

xQ(x)dx.

This proves the following theorem.

Theorem  Under conditions(a)-(c),the number of the negative spectrum of the operator L satisfies the following inequality:

N

τ

k=

 γk+ 

xQ(x)dx, ()

where the numberτ satisfies the inequality().

To evaluate the sum of the powers of negative eigenvalues, we need to prove the follow-ing lemma.

Lemma  Let B be an operator with a finite negative spectrum.We denote by Nλthe

num-ber of negative eigenvalues of the operator B smaller thanλ(λ> ),and by Sγ(B) (γ> ),

the sum of the numbers|λi|γ taken over all negative eigenvalues of the operator B.Then

(B) =

λi<

|λi|γ =γ

λγ–Nλdλ. ()

Proof Let the number of negative eigenvalues ofBbe equal toM. Then

=

⎧ ⎪ ⎪ ⎨ ⎪ ⎪ ⎩

, if –λλ,

i, ifλi< –λλi+,

M, ifλM< –λ≤.

Taking into account the value of, we obtain

γ

λγ–Nλdλ=γ

|λ|

λγ–Nλdλ

=γ

M–

i=

ii|

i+|

λγ–+γMM|

λγ–

=

M–

i=

i|λi|γ–|λi+|γ

+M|λM|γ

=|λ|γ –|λ|γ

+ |λ|γ –|λ|γ

+· · · + (M– )|λM–|γ–|λM|γ

+M|λM|γ

=

M

i=

|λi|γ=(B).

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By Theorem  and Lemma , we evaluate(L). Letbe the number of negative

eigen-values ofLless than –λ(λ> ). Then

M, ()

whereMis the number of negative eigenvalues of the operator

⎧ ⎨ ⎩

Ky= –dxdy+ A(A+I)

xy– (Q(x)–λ)+Iy,

y() = .

(Q(x)–λ)+is the positive part of the functionQ(x)–λ.

Taking into account (), (), and (), we obtain

(L)≤γ

λγ–M dλ

γ

λγ–

τ

k=

 γk+ 

xQ(x)–λ+dx

=γ

τ

k=

 γk+ 

xQ(x)–λ

+λ

γ–dλdx

=γ

τ

k=

 γk+ 

x dx Q(x)

Q(x) –λλγ–

= 

γ+ 

τ

k=

 γk+ 

xQ(x)γ+dx.

Thus we have proved the following theorem.

Theorem  Under conditions(a)-(d)the sum of the numbers|λi|γ,taken over all negative

eigenvalues of the operator L,satisfies the following inequality:

(L)≤

γ+ 

τ

k=

 γk+ 

xQ(x)γ+dx, γ> ,

where the numberτ satisfies the inequality().

Remark The sum of the numbers|λi|γ, taken over all negative eigenvalues of the operator

in Example , satisfies the inequality

(L) =

α

π(γ+ )

τ

k=

k

r

sup

≤ϕ≤α

q(r,ϕ)

γ+

dr,

where the numberτ satisfies the following inequality:

τ– ≤ απ

r

sup

≤ϕ≤αq(r,ϕ)

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3 Conclusion

In this paper, we established the discreteness and finiteness of the negative spectrum for the Schrödinger operator-differential equation with a singularity at zero. Investigating the negative part of the spectrum is important for the following reasons. The study of negative eigenvalues is interesting because every negative eigenvalue of the Schrödinger operator generates a soliton solution. In addition, evaluations of the number of negative eigenvalues play an important role both in quantum mechanics and in the spectral theory of differen-tial operators.

The results obtained in this paper can be interpreted as a generalization of the results of [], where the Schrödinger operator-differential equation without singularities is con-sidered. In the case where the negative spectrum is finite, estimates were first obtained for the sums of the powers of absolute values of the negative eigenvalues. The obtained results were applied to a class of equations of mathematical physics. In the future, the pro-posed derivations can be developed for the case where the boundary condition contains the spectral parameter.

Acknowledgements

The author thanks the Associate Editor and the anonymous reviewers for careful reading of the manuscript and valuable comments.

Competing interests

The author declares that he has no competing interests.

Authors’ contributions

The author performed all tasks of the research: drafting, developing the research topic, and writing the paper. The author has read and approved the final manuscript.

Publisher’s Note

Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.

Received: 22 July 2017 Accepted: 20 October 2017 References

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