# K-stability and Kähler metrics, I

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1 K-stability and Kähler metrics, I Gang Tian Beijing University and Princeton University

2 Let M be a Kähler manifold. This means that M be a complex manifold together with a Kähler metric ω. In local coordinates z 1,, z n, the metric ω is given by a Hermitian positive matrix-valued function (g i j ): satisfying: ω = n 1 g i j dz i d z j i,j=1 dω = 0.

3 We say ω is Kähler-Einstein if it is Kähler and Einstein, i.e., where λ = 1, 0, 1. Ric(ω) = λ ω, In local coordinates, the Ricci curvature Ric(ω) is given by Ric(ω) = 1 log det(g i j ).

4 In 50s, E. Calabi started the study of Kähler-Einstein metrics on a compact Kähler manifold M. The existence of Kähler-Einstein metric was established by Yau in 1976 when λ = 0 Aubin, Yau independently in 1976 when λ = 1 These correspond to the cases when the first Chern class of M is zero or negative.

5 Now we assume λ = 1. In this case, M has positive first Chern class, i.e., M is a Fano manifold. Not every Fano manifold admits a Kähler-Einstein metric. There are obstructions to the existence due to 1. Matsushima in 1957, Futaki in 1983 and Tian in 1996.

6 A Fano surface M has a Kähler-Einstein metric if and only if Futaki invariant vanishes (Tian, 1989). In 1996, I introduced the notion of K-stability and proved that if M has no non-trivial holomorphic fields and admits a Kähler-Einstein metric only if M is K-stable. In 2012, I gave a proof of the following: Theorem A Fano manifold M admits a Kähler-Einstein metric if it is K-stable. Another proof was given by Chen-Donaldson-Sun.

7 A toy case: There is a unique 1-dimensional Fano manifold with constant curvature 1, that is, the unit sphere S 2 in R 3! This follows from the classical Uniformization Theorem or complex analysis.

8 Conic spherical structure: Given points p 1,, p k in S 2 (k 1) and β 1,, β k (0, 1), is there a Riemannian metric g on S 2 \{p i } of constant curvature 1 such that g extends across each p i as a conic metric with angle 2πβ i? Troyanov, McOwen, Thurston, Luo-Tian: Such a spherical structure exists if and only if 1. k i=1 (1 β i ) < 2; 2. For each j, i j (1 β i) > 1 β j.

9 If we choose coordinate z such that S 2 = C { } and p i C with coordinate z i, then the existence of the above conic spherical structure is reduced to solving the equation: 1 + u = k z z i 2(1 βi) e F u. i=1 where F is a given function. This is the type of equations I studied even when I was a student at Peking University.

10 Condition 1 corresponds to the Fano condition and is necessary due to the Gauss-Bonnet formula for conic metrics. Condition 2 simply means that the pair (S 2, (1 β i )p i ) is K-stable as a Fano manifold S 2 together with a divisor.

11 Geometric Invariant theory: Geometric invariant theory (or GIT) is a method for constructing quotients by group actions in algebraic geometry. It was developed by D. Mumford in 1965, using some ideas from a paper of Hilbert in 1893 in classical invariant theory. Since 1970s, the GIT developed interactions with symplectic geometry, equivariant topology and differential geometry.

12 Let G be an algebraic group, say SL(2, C) which consists of all 2 2 complex matrices with determinant 1, acting on a vector space V. This action induces an action of G on the space of polynomials R(V) on V by σ f(v) = f(σ 1 v), σ G, v V. A polynomial f is invariant under the G-action if σ f = f for all σ G. Those invariant polynomials form a commutative algebra A = R(V) G.

13 For any v 0 in V, we say [v] P (V) semi-stable if 0 is not contained in the closure of G(v). It follows from GIT that this is equivalent to that there is a non-constant G-invariant homogeneous polynomial f on V such that f(v) 0. We call [v] P (V) stable if G(v) is closed. Denote by P (V) ss the set of all semi-stable points, then we have a quotient Q of P (V) ss by G. By GIT, Q is a projective variety.

14 How does it relate to a Fano manifold M? By the famous Kodaira s embedding theorem, we can embed M as a subvariety in some complex projective space CP N on which the linear group G = SL(N + 1, C) acts. Using a construction of Chow, Mumford associates a nonzero vector R M, referred as the Chow coordinate, in a vector space V which has an induced action by G. Such a V depends only on N, dim M and the degree of M CP N. M is called Chow-Mumford stable if its Chow coordinate is stable.

15 In early 90s, I expected and tried to find a connection between the existence of Kähler-Einstein metrics and the Chow-Mumford stability. Later, my former student S. Paul also made some partial progress. In 2000, S. Donaldson proved that the existence of Kähler- Einstein metrics implies the Chow-Mumford stability. Now we know that the K-stability is the right condition. In fact, for many years in early 90s, I tried to relate the K-stability to the Chow-Mumford stability even though I already knew the way of defining the K-stability. The K-stability does not fit into the classical Geometric Invariant Theory and needs its extension.

16 We recall Futaki invariant: A character of η(m) of holomorphic vector fields on M. Let ω 0 be a Kähler metric whose Kähler class representing the first Chern class and define where h 0 is chosen by f M (X) = Ric(ω 0 ) ω 0 = 1 h 0, M X(h 0 ) ω n 0, M ( ) e h 0 1 ω0 n = 0. Futaki: f M is an invariant and vanishes if M admits a Kähler-Einstein metric.

17 There are Fano manifolds with non-vanishing Futaki invariant, e.g., the blow-up of CP 2 at one or two points. Futaki invariant can be expressed in terms of Bott-Chern classes (Tian, 1994). This leads to a residue formula computing the invariant by using the equivariant Riemann-Roch Theorem (Futaki, Tian). Such a residue formula is analogous to Bott s residue formula for computing Chern numbers.

18 For long, only obstructions arise from the Lie algebra η(m). This led to the speculation: If a Fano manifold M has no non-zero holomorphic fields, then M admits a Kähler-Einstein metric. In 1996, I found a counterexample to this by using the K- stability.

19 To introduce the K-stability, we need to generalize the Futaki invariant to singular varieties. It was Ding and myself who first generalized the Futaki invariant to singular varieties (1992). Our construction follows a similar route as Futaki did in the smooth case, but analysis is a bit more involved. The advantage of this construction is that the generalized Futaki invariant vanishes if there is a weakly Kähler-Einstein metric on a singular variety in a suitable sense. By a weakly Kähler-Einstein metric, we mean a Kähler- Einstein metric ω on a smooth part of a normal variety M satisfying: ω = 1 ϕ locally for a bounded function ϕ and ω 0 c ω for some c > 0.

20 Other generalizations of Futaki invariant: In 2002, Donaldson gave an algebraic definition of generalized Futaki invariant which works for any polarized varieties. In 2008, S. Paul gave another algebraic formula of generalized Futaki invariant in terms of Chow coordinate and hyperdiscriminant.

21 Let G 0 = {σ(t)} Aut(M) be a C-action on M. This can be naturally lifted to KM 1 = Λn T M, so we have d(l) = h 0 (M 0, L l 0 ) and the weight w(l) of G 0-action on Λ top H 0 (M, KM l ). By the equivariant Riemann-Roch theorem and the Riemann-Roch theorem, we have n+1 n w(l) = b i l n+1 i, d(l) = a i l n i. i=0 i=0 Donaldson s version of the Futaki invariant is defined by ( ) a f M (G 0 ) = 2 n! b 1 b 1 0. a 0 If M is smooth, it follows from the equivariant index theorem that this definition coincides with Futaki s.

22 In my 1997 paper, I introduced the notion of CM line bundle which can be also used to define the generalized Futaki invariant. Let G 0 = {σ(t)} t C be an algebraic subgroup of G preserving a subvariety M 0 CP N and L 0 be the restriction of the hyperplane bundle to M 0. Then it induces an action on the CM-line which has a weight, referred as the CM-weight w cm (G 0 ). It was proved by Paul-Tian in 2004 that the CMweight is the same as the generalized Futaki invariant. The CM weight can be also identified with the first Chern class of the CM line bundle over certain compactification of G 0 and turns out to be easier to use in algebraic geometry as Li and Xu manifested in their paper (2011).

23 K-stability: By Kodaira, we can embed M CP N as a subvariety. As above, set G = SL(N + 1, C). For any algebraic subgroup G 0 = {σ(t)} t C of G, there is a unique limiting cycle M 0 = lim σ(t)(m) CP N. t 0 One can associate a weight w(g 0 ) which is either the generalized Futaki invariant as defined by Ding-Tian or Donaldson or the CM weight.

24 M is called semi K-stable for the embedding M CP N if w(g 0 ) 0 for any G 0 G. M is called K-stable if it is semi K-stable and w(g 0 ) > 0 unless M 0 is biholomorphic to M. As I said before, the K-stability is the necessary and sufficient condition for the existence of Kähler-Einstein metrics.

25 In the above, we confine ourselves to the case of Fano manifold. In fact, the K-stability can be also defined for any polarized projective manifold (M, L) in a similar way, where L is a positive line bundle over M. General YTD conjecture: If (M, L) is K-stable, then M admits a Kähler metric of constant scalar curvature and with Kähler class c 1 (L).

26 K-stability and Geometric Invariant Theory: The K-stability does not fit in the classical frame of Geometric Invariant Theory as the Chow-Mumford stability does. The GIT involves only one representation of G while the right setting for K-stability involves a pair of representations of G as manifested in the work of S. Paul. So the study of K-stability leads to an extension of GIT, say EGIT.

27 Extending Geometric Invariant Theory: Let V and W be two representations of G. Given a pair v V \ {0} and w W \ {0}, we say the pair (v, w) is semistable if G[v, w] G[0, w] = in P (V W).

28 If W = C, w = 1 be the trivial 1-dimensional representation of G. Then (v, 1) is semistable if and only if 0 is not in the closure of the orbit Gv. In other words, v is semistable in the usual sense of Geometric Invariant Theory.

29 K-stability fits well in the frame of the extended GIT: For each M embedded in CP N, Paul associates the hyperdiscriminant M and the Chow coordinate R M. They lie in two vector spaces V and W on which G acts naturally. Paul showed that M is semi K-stable is equivalent to the semistability of the pair ( M, R M ). In some sense, stability of pairs corresponds to the GIT for the representation of G on the difference V W.

30 How is the K-stability related to the existence of Kähler- Einstein metrics on a Fano manifold? First we introduce the K-energy: F ω0 (ϕ) = 1 0 M ϕ t (Ric(ω t ) ω t ) ω n 1 t dt, where {ϕ t } is any path from 0 to ϕ in the space of Kähler metrics. We also put J ω0 (ϕ) = 1 V n 1 i=0 i + 1 n + 1 M 1 ϕ ϕ ω i 0 ω n i 1 ϕ, where ω 0 is a fixed Kähler metric with [ω 0 ] = 2πc 1 (M).

31 We say that F 0 is proper if for any sequence {ϕ i with ω ϕ 1 > 0, F ω0 (ϕ i ) whenever J ω0 (ϕ i ). Tian (90s): If M has no non-trivial holomorphic fields, then M admits a Kähler-Einstein metric if and only if F ω0 is proper. The K-stability is closely related to this properness. Let us recall a result in my PhD thesis in 1988.

32 By Kodaira, for l >> 1, any basis of H 0 (M, KM l ) gives an embedding φ : M CP N. So we get a family of metrics K l = { 1 l φ τ ω F S }. K l is dense in the space of Kähler metrics on M with Kähler class 2πc 1 (M). The K-stability simply corresponds to the properness of F ω0 restricted to K l for some sufficiently large l.

33 Let M CP N by a basis of H 0 (M, KM l ) for a large l. For any σ G + SL(N + 1, C), we have an induced metric ω σ = 1 l σ ω F S M = ω ϕ σ, ϕ σ ω0 n = 0. The set of such metrics can be identified with the quotient of G by SU(N + 1). M

34 For any algebraic subgroup G 0 = {σ(t)} t C of G, there is a unique limit cycle (counted with multiplicity) M 0 = lim t 0 σ(t)(m) CP N. Note that G 0 preserves M 0. As t 0, we have F ω0 (ϕ σ(t) ) = w (G 0 ) log t 2 C. where w (G 0 ) is the generalized Futake invariant of a certain G 0 -equivariant branched cover M 0 of M 0. Thus, the K-stability implies that F ω0 is proper along {ϕ σ(t) } t C for every algebraic one-parameter subgroup G 0 of G.

35 On the other hand, in 1996, I also introduced the CMstability in terms of the induced action of G on certain CM line bundle. This CM-stability is equivalent to the properness of F ω0 on K l. In view of the Hilbert-Mumford criterion in the Geometric Invariant Theory, the K-stability implies the CM-stability. Indeed, this is true due to me and S. Paul.

36 Finally, the crucial technique for proving the existence of Kähler-Einstein metrics is to establish the partial C 0 - estimate I proposed in 90s.

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