# VANISHING-CONCENTRATION-COMPACTNESS ALTERNATIVE FOR THE TRUDINGER-MOSER INEQUALITY IN R N

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1 VAISHIG-COCETRATIO-COMPACTESS ALTERATIVE FOR THE TRUDIGER-MOSER IEQUALITY I R Abstract. Let 2, a > 0 0 < b. Our aim is to clarify the influence of the constraint S a,b = { u W 1, (R ) u a + u b = 1 } on concentration phenomena of (spherically symmetric non-increasing) maximizing sequences for the Trudinger- Moser supremum d (a, b) = sup φ ( α u ) dx u S a,b R where α is the sharp exponent of Moser, i.e. α = ω 1/() ω is the surface measure of the ( 1)-dimensional unit sphere in R. We obtain a vanishingconcentration-compactness alternative showing that maximizing sequences for d (a, b) cannot concentrate either when b or when b = a > 0 is sufficiently small. From this alternative, we deduce the attainability of d (a, b) for special values of the parameters a b. Keywords: Trudinger-Moser inequality, vanishing, concentration Contents 1. Introduction 1 2. A Vanishing-Concentration-Compactness alternative 5 3. Alternative (I) Vanishing 9 4. Alternative (II) Concentration Alternative (III) Compactness The case of maximizing sequences for the Trudinger-Moser inequality Proof of Theorem 1.2 Attainability of the supremum 23 References Introduction Let a, b > 0 let us denote by d,α (a, b) the supremum corresponding to the Trudinger- Moser inequality in the whole space R, 2, with exponent α > 0 constraint u a + u b = 1 u W 1, (R ) (1.1) 1

2 2 More precisely, d,α (a, b) = sup φ u W 1, (R ), u a + u b =1 R ( α u ) dx (1.2) where α > 0 φ (t) = e t 2 t k t 0 k=0 k! When a = b =, we set d,α = d,α (, ) the above supremum d,α corresponds to the classical Trudinger-Moser inequality in R. It is well known that d,α < + (1.3) where α = ω 1/() ω is the surface measure of the ( 1)-dimensional unit sphere in R. Moreover, the exponent α is sharp in the sense that d,α = + α > α In the 2-dimensional case, the study of the attainability of the supremum d 2,α is due to B. Ruf [21] M. Ishiwata [13]. Roughly speaking, from the delicate analysis carried out in [21] [13], we can deduce that, given a (spherically symmetric non-increasing) maximizing sequence {u } W 1,2 (R 2 ) for d 2,α with 0 < α α, the following alternative occurs: either the weak it u in W 1,2 (R 2 ) of the maximizing sequence {u } is nontrivial (compactness) it is a maximizer for d 2,α or u = 0. In the latter case, the loss of compactness can be caused by either vanishing phenomena, i.e. u 2 dx = 0 R 2 u 2 dx = 1 R 2 or concentration phenomena, i.e. R 2 u 2 dx = 1, R 2 u 2 dx = 0 (1.4) u 2 dx = 0 for any fixed R > 0 (1.5) R 2 B R The proper understing of the above alternative was a priori not obvious. However, the most valuable results obtained in [21] [13] cannot be summarized in this way are clearly more involved. In the critical case α = α 2 = 4π, as showed in [13], it is possible to rule out vanishing behaviors of maximizing sequences for d 2,4π the most hard inspiring part of the result in [21] is to exclude concentration phenomena. In particular Theorem A ([21]). In the 2-dimensional case, the level of normalized concentrating sequences for the Trudinger-Moser functional is exactly eπ. More precisely, sup { R 2(e4πu2 1) dx {u } is a normalized concentrating sequence } = eπ

3 VAISHIG-COCETRATIO-COMPACTESS ALTERATIVE 3 where a normalized concentrating sequence is a (spherically symmetric non-increasing) sequence {u } W 1,2 (R 2 ) such that u u 2 2 = 1 satisfying (1.4) (1.5). In the subcritical case 0 < α < α 2 = 4π, concentration cannot occur, due to the fact that one can always gain some L p -uniform integrability with p > 1, loss of compactness can be caused only by the failure of the compact embedding of W 1,2 (R 2 ) in L 2 (R 2 ), i.e. by the fact that the embedding W 1,2 (R 2 ) L 2 (R 2 ) is continuous but not compact. Therefore vanishing phenomena prevail, as enlightened in [13], provoke the non-attainability of d 2,α when α > 0 is sufficiently small. Theorem B ([13], Theorem 1.2). In the 2-dimensional case, if α > 0 is sufficiently small then the Trudinger-Moser supremum d 2,α is not attained. Concerning the higher dimensional case 3, the study of the attainability of d,α is due to Y. Li B. Ruf [18]. Even if, from [18], one can deduce that no loss of compactness of maximizing sequences occurs, a very careful blow-up analysis, as developed in [18], is needed to prove that d,α is attained. Differently from the 2-dimensional case due to the method of proof adopted in [18] which is based on blow-up analysis, one cannot deduce from [18] a precise estimate of the level of (spherically symmetric non-increasing) concentrating sequences for the Trudinger-Moser functional in higher dimensions 3. This problem is heavily non-trivial still open. In contrast (at least apparently) with the 2-dimensional case, in the subcritical case 0 < α < α when 3, the supremum d,α is always attained also vanishing phenomena do not play any role. Actually, even in the higher dimensional case 3, the attainability of d,α (a, b) with (a, b) (, ) heavily depends on the value of the exponent 0 < α < α, as showed by M. Ishiwata H. Wadade in [14] (see also [15] Remark 1.2). From [14], we can deduce that the constraint (1.1) has an effect on vanishing phenomena. Then one may wonder How does the constraint (1.1) influence concentration phenomena? In a very recent paper,. Lam, G. Lu L. Zhang [17] proved that, when d,α (a, b) < +, the exponent α is sharp for the corresponding Trudinger-Moser inequality it is not affected by the values of a b Theorem C ([17], Theorem 1.2). Let 2 a, b > 0. Then d,α (a, b) < + if only if b. Moreover, if 0 < b then the exponent α is sharp in the sense that d,α (a, b) = + α > α Remark 1.1. If a > 0 b > then it is not difficult to see that for any 0 < α < α there exists a constant C α > 0 such that sup φ u W 1, (R ), u a + u b =1 R ( α u ) dx Cα (1.6)

4 4, summarizing, we have C α if 0 < α < α a > 0 b > d,α (a, b) = + if α α Therefore, when a > 0 b >, we have a family of subcritical Trudinger-Moser type inequalities for which the exponent α is not admissible, as in the case of Adachi-Tanaka type inequalities, see [1]. Our aim is to clarify the influence of the constraint (1.1) on concentration phenomena of (spherically symmetric non-increasing) maximizing sequences for the corresponding Trudinger-Moser inequality. Since when a > 0 b >, the range of the exponent α for the validity of (1.6) is an open interval, i.e. α (0, α ), it is not difficult to exclude concentration behaviors of maximizing sequences. For this reason, from now on we will ust consider the supremum d,α (a, b), with 2, when a > 0 0 < b, to simplify notations, we will denote by d (a, b) the Trudinger-Moser supremum d,α (a, b) defined by (1.2) with exponent α = α, i.e. d (a, b) = d,α (a, b) (1.7) Definition 1.1. Let {u } W 1, (R ) be a spherically symmetric non-increasing sequence assume that each u satisfies the constraint (1.1), i.e. u a + u b = 1 1 (I) We say that {u } is a normalized vanishing sequence if u = 0 u = 1 (1.8) (II) We say that {u } is a normalized concentrating sequence if u = 1, u = 0 R B R u dx = 0 for any fixed R > 0 Our main result is a vanishing-concentration-compactness alternative for normalized (spherically symmetric non-increasing) sequences in W 1, (R ), that we will state in Section 2 (see Lemma 2.2). In particular, this alternative entails the following precise estimates of the energy level of normalized vanishing concentrating sequences. Theorem 1.1. Let 2, a > 0 0 < b. Then any normalized vanishing sequence {u } W 1, (R ) satisfies φ α ( α u ) dx = R ( 1)! (1.9)

5 VAISHIG-COCETRATIO-COMPACTESS ALTERATIVE 5 If we assume in addition that b, i.e. a > 0 0 < b <, then any normalized concentrating sequence {u } W 1, (R ) satisfies φ ( α u ) dx = 0 R We call the attention to the fact that, when a > 0 0 < b <, the energy level of normalized concentrating sequences is zero, see also Remark 2.4. Therefore, the corresponding problem of the attainability of the Trudinger-Moser supremum d (a, b), with this range of the parameters a b defining the constraint (1.1), becomes much easier: if a > 0 0 < b < then maximizing sequences for d (a, b) cannot concentrate. In other words, concentration phenomena may occur only when b =, while when a > 0 0 < b <, if we restrict our attention to maximizing sequences for d (a, b) then the vanishingconcentration-compactness alternative expressed by Lemma 2.2 reduces to a vanishingcompactness alternative, see Section 6 more precisely Lemma 6.2. Exploiting Lemma 6.2, in particular the energy level of vanishing sequences (1.9), we will prove the following attainability result Theorem 1.2. Let 2, a > 0 < b < be fixed. Then the Trudinger-Moser supremum d (a, b) defined by (1.7) is attained. ote that, the additional condition a > 1 is meant to exclude possible vanishing behaviors of maximizing sequences for d (a, b), see Section 7. Remark 1.2. The case 0 < a is beyond our aims, since it is significant for vanishing phenomena, as one can deduce from the interesting analysis carried out in [14]. We also refer the reader to the new result by M. Ishiwata H. Wadade [15], where the authors address explicitly the problem of the attainability of d,α (γ, γ), with subcritical exponent 0 < α < α γ > 0, showing that vanishing phenomena may prevent the subcritical supremum d,α (γ, γ) to be attained. 2. A Vanishing-Concentration-Compactness alternative In our analysis, the following improved version of the Adachi-Tanaka inequality [1] will be crucial Theorem 2.1 ([6] [17]). Let 2. Then there exists a constant C > 0 such that for any γ (0, 1) we have φ C R ( α γ u ) dx 1 γ u u W 1, (R ) with u 1 (2.1)

6 6 We recall that (2.1), in the 2-dimensional case, was deduced in [6, Theorem 1.2] as a direct consequence of the critical Trudinger-Moser inequality in R 2, i.e. (1.3) with = 2.. Lam, G. Lu L. Zhang in [17, Theorem 1.1] obtained the generalization to the higher dimensional case 3, without assuming a priori the validity of (1.3). Remark 2.1. In this framework, it is important to mention also a Lions-type result [12, Theorem 1.1] in the whole space R. This result tells us that, if a sequence {u } W 1, (R ), satisfying the constraint (1.1) with a = b =, i.e. u + u = 1 1, weakly converges to a non-trivial function u 0 then an inequality of Trudinger-Moser type holds along the sequence with an exponent larger than α. More precisely, sup φ R ( α p u ) dx < + for any 0 < p < [ 1 ( u + u ) ] 1 (2.2) The scale invariant inequality (2.1) implies only a weaker version of (2.2) but it is more flexible to treat the case of normalized sequences with respect to the constraint (1.1). Moreover, inequality (2.1) will enable us to describe the effect of the constraint (1.1) on concentration phenomena. Let 2, a > 0 0 < b be fixed. We begin considering a (spherically symmetric non-increasing) maximizing sequence {u } W 1, (R ) for the Trudinger-Moser supremum d (a, b) defined by (1.7), i.e. u 0 a.e. in R for any 1, u a + u b = 1 1 φ ( α u ) dx = d (a, b) R Remark 2.2. By Schwarz symmetrization, it is well know that given a maximizing sequence {u } W 1, (R ) for d (a, b), one may always assume that each u is non-negative, spherically symmetric non-increasing with respect to the radial variable. We will set θ = u b (0, 1), so that u a = 1 θ. Since {θ } (0, 1), without loss of generality, we may assume θ = θ [0, 1], it becomes natural to distinguish three cases according to θ = 1, θ = 0 θ (0, 1). Intuitively, in terms of the maximizing sequence {u } for d (a, b), this suggests the following alternative: (I) (vanishing) if θ = 1 then {u } is a vanishing maximizing sequence for d (a, b); (II) (concentration) if θ = 0 then {u } is a concentrating maximizing sequence for d (a, b);

7 VAISHIG-COCETRATIO-COMPACTESS ALTERATIVE 7 (III) (compactness) If θ (0, 1) then u = (1 θ) 1 a (0, 1) u = θ 1 b (0, 1) {u } weakly converges in W 1, (R ) to a maximizer of d (a, b). In other words, d (a, b) is attained. In fact, in Section 6, we will show that this intuition can be derived from the following vanishing-concentration-compactness alternative Lemma 2.2. Let 2, a > 0 0 < b be fixed. We consider a (spherically symmetric non-increasing) sequence {u } W 1, (R ) satisfying the constraint (1.1), i.e. u a + u b = 1 1 we assume that u u in W 1, (R ). Then (I) either {u } is a normalized vanishing sequence More precisely, (II) or {u } is such that φ ( α u ) dx = 0 for any fixed R > 0 B R φ α ( α u ) dx = R ( 1)! u = 1 u = 0 In this case there is a striking difference between the range 0 < b < b =. If 0 < b <, independently of a > 0, we have φ ( α u ) dx = 0 R While, if b = either {u } is a normalized concentrating sequence φ ( α u ) dx = 0 for any fixed R > 0 R B R or φ ( α u ) dx = 0 R (III) Finally, if both (I) (II) do not occur then φ ( α u ) dx = φ α R R ( α u ) dx + ( 1)! ( θ b u ) where, up to subsequences, θ b = u

8 8 In particular, if u u in L (R ) then φ ( α u ) dx = φ R R ( α u ) dx It is important to recall that, in the pioneering work [19], P.-L. Lions developed a version of his Concentration-Compactness Principle for the iting case of the Sobolev embedding theorem, i.e. for the Trudinger-Moser case. The result of P.-L. Lions concerns bounded domains has been sharpened by R. Cerný, A. Cianchi S. Hencl [8]. The approach introduced in [8] is different from Lions technique yields to deal, not only with functions vanishing on the boundary but, with functions with unrestricted boundary values on a fixed bounded domain. The case of unbounded domains has already been considered in [3], [12] (see Remark 2.1) [7]. L. Battaglia G. Mancini in [3] focused their attention to the 2-dimensional case in particular to the planar strip R ( 1, 1) R 2. R. Cerný in [7] obtained a version of the Concetration-Compactness Principle for the Trudinger-Moser functional on the whole space R, i.e. with respect to the constraint u W 1, (R ) φ R ( α u ) dx S M = { u W 1, (R ) u 1 u M }, M > 0, which is different from (1.1). We mention that Lions Concentration-Compactness Principle [19] inspired Adimurthi O. Druet [2] to study a valuable improvement of the Trudinger-Moser inequality on bounded domains of R 2. The improved inequality by Adimurthi O. Druet [2] has been extended to the higher dimensional case by Y. Yang [23, 24]. Related partial results in the whole space R have been approached in [9] [10]. A new interpretation a further generalization of [2] has been introduced by C. Tintarev [22], see also Y. Yang [25] for a study of the corresponding problem of attainability. Remark 2.3. Definition 1.1 of vanishing sequences is apparently different from the notion of vanishing introduced by M. Ishiwata [13, Definition 2.1]. Recall that, a (spherically symmetric non-increasing) sequence {u } W 1, (R ) is vanishing according to Ishiwata [13] if each u satisfies the constraint (1.1) R + φ ( α u ) dx = 0 (2.3) B R evertheless, as a consequence of (I) of Lemma 2.2, condition (1.8) implies (2.3). In other words, any normalized vanishing sequence is also a vanishing sequence according to Ishiwata. Let {u } W 1, (R ) be a (spherically symmetric non-increasing) sequence satisfying the constraint (1.1) suppose u u in W 1, (R )

9 VAISHIG-COCETRATIO-COMPACTESS ALTERATIVE 9 As mentioned above, if we set θ = u b (0, 1), so that u a = 1 θ, then we may assume, without loss of generality, θ = θ [0, 1] (2.4) In the next Sections, we will prove Lemma 2.2 through the following steps: if θ = 1 then (I) occurs (see Section 3); if θ = 0 then (II) holds (see Section 4). More precisely in this case, either u dx = 0 for any fixed R > 0 R B R or φ ( α u ) dx = 0 (2.5) R In particular, if 0 < b < then (2.5) holds also for normalized concentrating sequences. Finally, in Section 4, we will show that if θ (0, 1) then we have the convergence result expressed by (III), but we do not know a priori whether or not u u in L (R ). Remark 2.4. Looking at case (I) case (II) of Lemma 2.2, we can say that the constraint (1.1) has not effects on the energy level of normalized vanishing sequences while, in contrast, the energy level corresponding to normalized concentrating sequences is heavily influenced by the constraint (1.1). On one h, in view of (I) of Lemma 2.2, the level of normalized vanishing sequences is always α ( 1)! independently of the parameters a > 0 0 < b defining the constraint (1.1). On the other h, taking into consideration (II) of Lemma 2.2, if 0 < b < then the level of normalized concentrating sequences is zero, independently of a > 0. The same is not true when b =, at least in general. This cannot be deduced from (II) of Lemma 2.2 but, as mentioned in the Introduction (see Theorem A), it is well known that in the 2-dimensional case when a = b = 2 then sup { R 2(e4πu2 1) dx {u } is a normalized concentrating sequence } = eπ It is important to point out that, even if the value of the parameters a > 0 0 < b does not influence the energy level of normalized vanishing sequences, we cannot deduce that the constraint (1.1) has not effects on vanishing phenomena. 3. Alternative (I) Vanishing In this Section, we consider the case of normalized vanishing sequences, i.e. (spherically symmetric non-increasing) sequences {u } W 1, (R ) such that each u satisfies the constraint (1.1), namely u a + u b = 1 1,

10 10 u = 0 u = 1 First, we will show that the energy of any normalized vanishing sequence {u } W 1, (R ) can be localized in the exterior of any fixed ball of radius R > 0; more precisely, φ ( α u ) dx = 0 for any fixed R > 0 B R To this aim, we will use the classical Trudinger-Moser inequality on balls B R R of radius R > 0 centered at the origin, i.e. Theorem 3.1 ([20]). There exists a constant C > 0 such that for any R > 0 φ ( α u ) dx C R u u W 1, 0 (B R ) {0} with u 1 (3.1) BR We point out that the local estimate expressed by (3.1) is not the original version of Moser s inequality [20], but it can be deduced directly from the famous inequality in [20] with the aid of the rescaled function ũ = u/ u, see for instance [26, Lemma 2.1]. Lemma 3.2. Let 2, a > 0 0 < b be fixed. If {u } W 1, (R ) is a (spherically symmetric non-increasing) sequence satisfying, for some θ > 0, then u = 0 sup u θ φ ( α u ) dx = 0 for any fixed R > 0 B R Proof. Let R > 0 be arbitrarily fixed. In order to apply Theorem 3.1, the idea is to reconstruct zero-dirichlet boundary conditions on the boundary of B R letting By construction w W 1, 0 (B R ) ote that, for any fixed α > 0, if we set then there exists 1 such that w = u u (R) on B R w L (B R ) = u L (B R ) 0 as + w = ( α ) w α on B R w = ( α α ) w 1 Therefore in view of Lemma 3.1, for any fixed α > 0, there exists 1 such that BR φ ( αw ) dx = BR φ ( α w ) dx C ( α α ) R w (3.2)

11 VAISHIG-COCETRATIO-COMPACTESS ALTERATIVE 11 ext, applying the one-dimensional inequality we get (1 + x) p (1 + ε)x p + ( 1 1 p 1 (1 + ε) 1/(p 1) ) α u = α ( w + u (R) ) C 1 u x 0, p > 1, ε > 0 (3.3) (R) + C 2 w on B R for some constants C 1, C 2 > 0 depending on. We do not need to explicitly write the value of the constant C 2 > 0 the reason for that is essentially (3.2). Summarizing,, if we show that φ ( α u ) dx φ ( C 1 u BR BR φ ( C 1 u B R exp( C 1u (R) + C 2 w ) dx (R) + C 2 w ) dx (R) ) φ ( C 2 w ) dx BR (3.4) then the proof is complete. On one h, by means of the following Radial Lemma, which holds for any spherically symmetric non-increasing function ϕ W 1, (R ) we may estimate ϕ ( x ) ϕ ω x ϕ whenever x 0 (3.5) exp( C 1 u (R) ) exp( C 1 θ u R On the other h, by means of (3.2) with α = C 2 > 0, we get Hence, 1 BR φ ( C 2 w ) dx C R w φ ( α u ) dx exp( C 1u B R ) (R) ) φ ( C 2 w ) dx BR C R w exp( C 1 θ u 1 ) = 0 R To complete the proof, it remains to show that (3.4) holds. To this aim, we begin with an elementary one-dimensional estimate. For any s, t 0, we have φ (s + t) = e s+t ± e s 2 t k 2 k=0 k! k=0 (s + t) k k! e s φ (t) + e s 2 t k k=1 k! + (es 1)

12 12 In particular, when = 2, If we set then A (2) = 0 e s+t 1 = e s (e t 1) + (e s 1) A () = exp( C 1 u 2 C 2 k (R) ) k=1 k! BR φ ( C 1 u B () = [ exp( C 1 u exp( C 1 u (R) + C 2 w ) dx Therefore, it suffices to prove that From the Radial Lemma (3.5), we deduce (3.7) (R) ) 1 ] B R BR w k dx when 3 (R) ) φ ( C 2 w ) dx + A () + B () BR A () = 0 (3.6) B () = 0 (3.7) A () exp( C 1 θ u 1 2 C2 k ) R k=1 k! Moreover, w 0 in W 1, 0 (B R ) the embedding W 1, 0 (B R ) L k (B R ) BR w k is compact for any 1 k 2 with 3. Hence, also (3.6) holds the proof is complete. We complete this Section with a precise estimate of the level of vanishing sequences. Lemma 3.3. Let 2, a > 0 0 < b be fixed. If {u } W 1, (R ) is a (spherically symmetric non-increasing) sequence satisfying, for some θ > 0, dx then u = 0 u = θ φ α ( α u ) dx = R ( 1)! θ

13 Proof. Since it is easy to see that VAISHIG-COCETRATIO-COMPACTESS ALTERATIVE 13 φ ( α u R φ (t) t ( 1)! ) dx t 0 α ( 1)! u = Therefore, the proof of Lemma 3.3 is complete if we show that φ α ( α u ) dx R ( 1)! θ α ( 1)! θ To obtain the preceding estimate from above, let us fix R > 0 let us rewrite φ R ( α u ) dx = + φ ( α u ) dx R B R BR To this aim, it is clear from Lemma 3.2 that, it suffices to show that Using the elementary inequality α φ ( α u ) dx R B R ( 1)! θ (3.8) φ (t) the Radial Lemma (3.5), we get which gives (3.8). t ( 1)! et t 0 (3.9) α φ ( α u ) dx R B R ( 1)! u e α u R B R dx α ( 1)! θ exp( 1 R u 1 ) ote that, the case of normalized vanishing sequence is included in Lemma 3.2 Lemma 3.3 with θ = 1 hence Corollary 3.4. Let 2, a > 0 0 < b be fixed. If {u } W 1, (R ) is a (spherically symmetric non-increasing) normalized vanishing sequence then Moreover, φ ( α u ) dx = 0 for any fixed R > 0 B R φ α ( α u ) dx = R ( 1)!

14 14 4. Alternative (II) Concentration Let {u } W 1, (R ) be a (spherically symmetric non-increasing) sequence satisfying the constraint (1.1), i.e. u a + u b = 1 1, u = 1 u = 0 which is the case of normalized concentrating sequences. In fact, we have Lemma 4.1. Let 2, a > 0 0 < b be fixed. If {u } W 1, (R ) is a (spherically symmetric non-increasing) sequence satisfying the constraint (1.1) then u = 1 u = 0 either {u } is a normalized concentrating sequence or φ ( α u ) dx = 0 for any fixed R > 0 (4.1) R B R φ ( α u ) dx = 0 (4.2) R Proof. First, recalling the elementary inequality (3.9) the Radial Lemma (3.5), we may estimate for any fixed R > 0 α φ ( α u ) dx R B R ( 1)! u e α u R B R dx α ( 1)! ec()/r u 0 as + (4.3) this gives (4.1). ext, we consider the case when the sequence {u } is not a normalized concentrating sequence. More precisely, we assume the existence of R > 0, δ (0, 1) 1 such that R B R u dx δ Under this assumption, if we show that (4.2) holds then the proof is complete. Even if the arguments are stard, we give a sketch for the convenience of the reader. ote that, from (4.3), we deduce for any fixed R > 0. φ ( α u ) dx = R φ ( α u ) dx B R

15 VAISHIG-COCETRATIO-COMPACTESS ALTERATIVE 15 To obtain a uniform estimate of the integral on balls of fixed radius 0 < R R, we argue as in the proof of Lemma 3.2 we set w = u u (R) W 1, 0 (B R ) 1 Applying the one-dimensional inequality (3.3), with p = Radial Lemma (3.5), we may estimate φ ( α u ) dx exp( α u BR BR If 0 < R R then exp( C(δ)u ) dx > ε = δ 2 (R) ) exp( α (1 + δ BR 2 ) w ) dx > 0, the exp( C(δ, ) 1 R u ) exp( α (1 + δ BR 2 ) w ) dx w L (B R ) = w L (B R ) u L (B R ) = ( 1 u b ) a u L (R B R ) ( 1 u b ) a δ where we also used the constraint (1.1), Therefore, there exists 1 such that w L (B R ) 1 δ w L (B R ) 1 δ 2, from the classical Trudinger-Moser inequality on bounded domains, we deduce sup BR exp( α (1 + δ 2 ) w ) dx sup v W 1, 0 (B R ), v =1 In conclusion, for any fixed 0 < R R, exp( α v ) dx C R BR φ ( α u ) dx C R exp( C(δ, ) 1 B R R u ) = C R φ ( α u ) dx C R R from which we deduce (4.2), letting R 0. for any fixed 0 < R R We will see that the alternative expressed by Lemma 4.1 is meaningful only when b =. In fact, we are going to show that if 0 < b < then the level of normalized concentrating sequences is zero; more precisely, if 0 < b < then (4.2) holds also for normalized concentrating sequences.

16 16 Let {u } W 1, (R ) be a (spherically symmetric non-increasing) sequence satisfying the assumptions of Lemma 4.1. If we set θ = u b (0, 1) then, by assumptions, θ = 0 u a = 1 θ. In order to apply the improved version of the Adachi-Tanaka inequality (2.1), it turns out to be convenient to introduce the normalized sequence with respect to the Dirichlet norm, so that u v = u C φ R ( α (1 θ ) 1 a v ) dx 1 (1 θ ) a ote that Hence, C 1 (1 θ ) a θ b (1 θ ) a v = ac = φ ( α u ) dx = R φ ( α (1 θ ) R ac In the case 0 < b <, the above estimate yields Therefore, if b we have θ b 1 φ ( α u ) dx = 0 R C 1 (1 θ ) a θ b 1 1 a v ) dx θ b (1 θ ) a (4.4) Lemma 4.2. Let 2, a > 0 0 < b < be fixed. If {u } W 1, (R ) is a (spherically symmetric non-increasing) sequence satisfying the constraint (1.1) then u = 1 u = 0 φ ( α u ) dx = 0 R Remark 4.1. If b = then (4.4) is not useful to obtain a precise estimate of the level of normalized concentrating sequences. However, from (4.4), we can deduce that for any fixed δ > 0 there exists a = a(δ) > 0 such that if b = 0 < a a then φ ( α u ) dx < δ R

17 VAISHIG-COCETRATIO-COMPACTESS ALTERATIVE Alternative (III) Compactness We will use the following convergence result, which holds for sequences which are neither vanishing nor concentrating, i.e. in particular θ 1 θ 0, see (2.4). Lemma 5.1. Let 2, a > 0 0 < b be fixed. We consider a (spherically symmetric non-increasing) sequence {u } W 1, (R ) satisfying the constraint (1.1) with θ = u b, so that u a = 1 θ. Assume, up to subsequences, u u in W 1, (R ) Then θ = θ (0, 1) φ ( α u ) dx = φ α R R ( α u ) dx + ( 1)! ( θ b u ) Proof. It is enough to show that [ φ α ( α u ) R ( 1)! u ] dx = [ φ α R ( α u ) ( 1)! u ] dx (5.1) In view of the improved version of the Adachi-Tanaka inequality (2.1), we will obtain (5.1) simply by means of Strauss Lemma (see [4, Theorem A.I]) Since θ (0, 1), we have also that (1 θ) 1 a (0, 1) there exists ε > 0 1 such that α (1 θ) 1 a α (1 ε) Let then t P (t) = φ ( t ) ( 1)! Q (t) = φ ( (1 + ε) t P (t) P (t) = 0 t + Q (t) t 0 Q (t) = 0 ) ext, we introduce the normalized sequence with respect to the Dirichlet norm By construction v = u u = u (1 θ ) 1 a 1 Q R ( α u ) = Q R ( α (1 θ ) 1 a v ) dx

18 18 Applying the improved version of the Adachi-Tanaka inequality (2.1) to the Dirichletnormalized sequence {v }, we get for any Hence, Q R ( α sup (1 θ ) 1 a v ) dx φ R ( α (1 ε 2 )v ) dx C 1 (1 ε 2 ) v C θ = 1 (1 ε 2 ) (1 θ ) a Q R ( α u ) dx C 1 (1 ε 2 sup ) b θ b (1 θ ) a < + Recalling that the sequence {u } is spherically symmetric, we can apply Strauss Lemma (see [4, Theorem A.I]) obtaining that is (5.1). P ( α R u ) dx = P R ( α u ) dx To complete the proof of Lemma 2.2, in view of the analysis carried out in Section 3 Section 4, we ust need to consider the case for which the assumptions of the above convergence result are fulfilled. More precisely, we consider a (spherically symmetric non-increasing) sequence {u } W 1, (R ) satisfying the constraint (1.1) we assume, up to subsequences, that u u in W 1, (R ) u = θ b (0, 1) In this case, we can apply Lemma 5.1, to conclude that alternative (III) holds. Moreover, if u u in L (R ) then u = u, from Lemma 5.1, we deduce φ ( α u ) dx = φ R R ( α u ) dx 6. The case of maximizing sequences for the Trudinger-Moser inequality Let 2, a > 0 0 < b be fixed. We begin this Section deducing a useful lower bound for the Trudinger-Moser supremum d (a, b) defined by (1.7). Recalling that t φ (t) ( 1)! + t t 0,! for any u W 1, (R ) satisfying the constraint (1.1), i.e. u a + u b = 1

19 we may estimate VAISHIG-COCETRATIO-COMPACTESS ALTERATIVE 19 d (a, b) φ α R ( α u ) dx ( 1)! u + α 2! u /() 2 /() If we consider the supremum then it is clear that D (a, b) = Remark 6.1. When a = b, we set = α ( 1)! ( u + α 2 u /() 2 /() ) sup ( u + α 2 u W 1, (R ), u a + u b =1 u /() 2 /() ) d (a, b) D (γ) = D (γ, γ) α ( 1)! D (a, b) (6.1) with 0 < γ This is a particular case of the more general maximizing problem considered by M. Ishiwata H. Wadade in [14]. As pointed out in [14], the attainability of the supremum d (γ, γ) associated with the Trudiger-Moser inequality is closely related to the behavior of D (γ). In fact, we can observe that the constant appearing on the right h side of (6.1) α ( 1)! corresponds to the level of normalized vanishing sequences (see (I) of Lemma 2.2). Intuitively, when we look at maximizing sequences for d (γ, γ) then the behavior of D (γ) could be crucial to exclude possible vanishing phenomena. More precisely, if 0 < γ is such that D (γ) > 1 then maximing sequences for d (γ, γ) cannot vanish, i.e. cannot be normalized vanishing sequences. The careful study developed in [14] shows that both the behavior of D (γ) its attainability are intimately related to the value of γ in the range (0, ]. We mention that the attainability of D (γ) is not only interesting in the iting case of the Sobolev embedding theorem but also in the classical Sobolev case. We refer the reader to [16], where the authors approach the study of the existence of maximizers for with 2, 1 < p <, p < q < p p sup ( u p p + α u q q ) u W 1,p (R ), u γ p+ u γ p=1 α, γ > 0. Following the arguments introduced by M. Ishiwata H. Wadade [14], it is not difficult to show that

20 20 Lemma 6.1. Let 2, a > 0 0 < b be fixed. Then D (a, b) 1 (6.2) hence, the Trudinger-Moser supremum d (a, b) defined by (1.7) satisfies d (a, b) α ( 1)! (6.3) Proof. The proof of (6.2) can be deduced arguing exactly as in [14]; for the convenience of the reader, we briefly sketch it. As showed in [14, Section 2.2], given any u W 1, (R ) satisfying the constraint (1.1), i.e. u a + u b = 1 the family of comparison functions w t W 1, (R ) depending on the parameter t (0, 1) defined by 1 (1 t) a w t (x) = (1 t) 1 a u( λ t x ) λ t = u still satisfies the constraint (1.1). In fact, w t = (1 t) 1 a w t = (1 t) 1 a 1 u = t 1 b u λ t Therefore, we may estimate t 1 b u u (6.4) D (a, b) w t + α w t 2 /() 2 /() w t = t b t (0, 1) (6.5) (6.2) follows. Remark 6.2. We mention that (6.3) can also be directly deduced from [17, Theorem 1.2]. In fact, denoting by 1 AT (γ) = sup u W 1, (R ) {0} u φ R ( α γ u ) dx γ (0, 1),. Lam, G. Lu L. Zhang in [17] obtained the following more precise version of (2.1) d (a, b) = sup γ (0,1) ( 1 γ ow, a simple scaling argument shows that AT (γ) = a ) b γ AT (γ) a > 0, 0 < b (6.6) sup u W 1, (R ), u = u =1 φ R ( α γ u ) dx (6.7) ote that the supremum on the right h side of the above identity corresponds to the inequality first studied in [11]. Combining (6.6) with (6.7), it is easy to see that (6.3) follows.

21 VAISHIG-COCETRATIO-COMPACTESS ALTERATIVE 21 ext, we consider a (spherically symmetric non-increasing) maximizing sequence {u } W 1, (R ) for the Trudinger-Moser supremum d (a, b) defined by (1.7), i.e. u 0 a.e. in R for any 1, u a + u b = 1 1 φ ( α u ) dx = d (a, b) R Dealing with a maximizing sequence for d (a, b), the alternative expressed by Lemma 2.2 becomes simpler. Case (I) If {u } is a vanishing maximizing sequence then d (a, b) = φ α ( α u ) dx = R ( 1)! Case (II) If 0 < b < then the following conditions cannot hold, since otherwise u = 1 u = 0 (6.8) d (a, b) = φ ( α u ) dx = 0 R which would contradict Lemma 6.1. While when b =, if (6.8) holds then {u } must be a concentrating maximizing sequence φ ( α u ) dx = 0 for any fixed R > 0 R B R Moreover, in the latter case, combining Remark 4.1 with the estimate from below of d (a, ) (i.e. Lemma 6.1), we deduce the existence of a > 0 such that if 0 < a < a (6.8) holds then α ( 1)! d (a, ) = φ ( α u R ) dx < α ( 1)! which is a contradiction. Consequently, if b = a > 0 is sufficiently small then concentration cannot occur. Case (III) Finally, let θ = u b (0, 1) let us consider a subsequence still denoted by {θ } such that θ = θ Since we already discussed the cases θ = 1 θ = 0, without loss of generality, we may assume θ (0, 1). We may also assume, up to subsequences, From Lemma 2.2, we deduce that u u in W 1, (R ) φ ( α u ) dx = φ α R R ( α u ) dx + ( 1)! ( θ b u ) (6.9)

22 22 In particular, this implies that u 0. In fact, if not then α d (a, b) = φ ( α u ) dx = R ( 1)! θ b < α ( 1)! contradicting Lemma 6.1. Therefore, we can define τ = θ 1 b u = 1 u u 1 ote that, in view of Brezis-Lieb Lemma [5], if we show that τ = 1 then we can conclude that u u in L (R ) d (a, b) = φ ( α u ) dx = φ R R ( α u ) dx from which we deduce that u is a maximizer for d (a, b). Let u τ (x) = u( x τ ) x R so that u τ = u, u τ = τ u = θ 1 b Therefore, we may estimate u τ a + u τ b = u a + θ ( u a + u b ) = 1 d (a, b) φ R ( α u τ ) dx = τ R φ ( α u ) dx, using (6.9), we get = φ R ( α u ) dx + (τ 1) φ R ( α u ) dx d (a, b) d (a, b) α ( 1)! ( θ b u ) + (τ 1) φ R ( α u ) dx = d (a, b) α ( 1)! u (τ 1) + (τ 1) φ R ( α u ) dx = d (a, b) + (τ 1) φ R +1( α u ) dx (6.10) Since u 0, we have φ R +1( α u ) dx = ( eα u R α k k=0 k! u k ) dx > 0 Consequently, τ = 1. In fact, if not then τ > 1 (6.10) gives a contradiction. Summarizing,

23 VAISHIG-COCETRATIO-COMPACTESS ALTERATIVE 23 Lemma 6.2. Let 2, a > 0 0 < b be fixed. We consider a (spherically symmetric non-increasing) maximizing sequence {u } W 1, (R ) for the Trudinger- Moser supremum defined by (1.7) we assume that u u in W 1, (R ). If b = then one of the following alternatives occurs: (I) either {u } is a vanishing maximizing sequence d (a, b) = φ α ( α u ) dx = R ( 1)! (II) or {u } is a concentrating maximizing sequence φ ( α u ) dx = 0 for any fixed R > 0 R B R (III) or the weak it u is non-trivial it is a maximizer for d (a, b). If either 0 < b < a > 0 or b = 0 < a << 1 then maximizing sequences for d (a, b) cannot concentrate we have ust two alternatives: either vanishing (I) or attainability (III) occurs. or When either 0 < b < a > 0 b = 0 < a << 1 since concentration cannot occur, the lack of compactness of maximizing sequences for d (a, b) can be only caused by vanishing phenomena. This possible lack of compactness may prevent the supremum d (a, b) to be attained. In this respect, the analysis carried out in [14] plays a crucial role, see also [15] Remark Proof of Theorem 1.2 Attainability of the supremum Let 2, a > 0 < b <. To prove the attainability of the Trudinger-Moser supremum d (a, b) defined by (1.7), we will follow the arguments introduced by M. Ishiwata H. Wadade in [14] (see also [15]). In fact, since 0 < b < Lemma 6.2 expresses a vanishing-compactness alternative for (spherically symmetric non-increasing) maximizing sequences of d (a, b). More precisely, if 0 < b < {u } W 1, (R ) is a (spherically symmetric non-increasing) maximizing sequence for d (a, b) then {u } cannot concentrate if it would be possible to exclude vanishing phenomena then d (a, b) would be attained. In this respect, the restriction to the case a > 1

24 24 plays a crucial role. If a > then it is possible to improve the lower bound of d (a, b) expressed by Lemma 6.1 showing that (I) of Lemma 6.2 cannot occur. Proposition 7.1. Let 2, a > d (a, b) defined by (1.7) satisfies 0 < b. Then the Trudinger-Moser supremum d (a, b) > If in addition b then d (a, b) is attained. α ( 1)! Proof. As already mentioned, in view of Lemma 6.2, if 0 < b < then the validity of (7.1) would enable to conclude the attainability of d (a, b). Therefore, we ust need to prove (7.1) for this, we have to restrict the range of the parameter a > 0 defining the constraint (1.1). Following [14, Section 2.2], we consider a suitable family of comparison functions {w t } t (0,1) W 1, (R ), generated by a fixed function u W 1, (R ) satisfying the constraint (1.1). We used the same argument in the proof of Lemma 6.1 we refer to (6.4) for the definition of w t with t (0, 1). ote that Let w t p p = t b p (1 t) a B(u) = u p p u p 2/() u 2 /() u u f(t) = f,a,b (t) = w t + α w t 2 /() 2 /() = t b Combining (6.1) with (6.5), we get u > 0 ( 1 + α p d (a, b) α ( 1)! D (a, b) α f(t) t (0, 1) ( 1)! 1 (1 t) a B(u) ) (7.1) If f(t) > 1 for some t (0, 1) (7.2) then it would be possible to conclude that (7.1) holds. ote that f(1) = 1, therefore (7.2) would follow if f (t) < 0 for some t (0, 1) sufficiently close to 1 We can compute f (t) = b t b 1 ( 1 + α, if 1 (1 t) a B(u) ) 1 α 1 1 a t b 1 a 1 < 0, i.e. a > 1, 1 (1 t) a 1 B(u)

25 VAISHIG-COCETRATIO-COMPACTESS ALTERATIVE 25 we have f (t) = t 1 References [1] S. Adachi, K. Tanaka, Trudinger type inequalities in R their best exponents. Proc. Amer. Math. Soc. 128 (2000), no. 7, [2] Adimurthi, O. Druet, Blow-up analysis in dimension 2 a sharp form of Trudinger-Moser inequality. Comm. Partial Differential Equations 29 (2004), no. 1-2, [3] L. Battaglia, G. Mancini, Remarks on the Moser-Trudinger inequality. Adv. onlinear Anal. 2 (2013), no. 4, [4] H. Berestycki, P.-L. Lions, onlinear scalar field equations. I. Existence of a ground state. Arch. Rational Mech. Anal. 82 (1983), no. 4, [5] H. Brezis, E. Lieb, A relation between pointwise convergence of functions convergence of functionals. Proc. Amer. Math. Soc. 88 (1983), no. 3, [6] D. Cassani, F. Sani, C. Tarsi, Equivalent Moser type inequalities in R 2 the zero mass case. J. Funct. Anal. 267 (2014), no. 11, [7] R. Cerný, Concentration-compactness principle for embedding into multiple exponential spaces on unbounded domains. Czechoslovak Math. J. 65 (140) (2015), no. 2, [8] R. Cerný, A. Cianchi, S. Hencl, Concentration-compactness principles for Moser-Trudinger inequalities: new results proofs. Ann. Mat. Pura Appl. (4) 192 (2013), no. 2, [9] M. de Souza, J. M. do Ó, A sharp Trudinger-Moser type inequality in R2. Trans. Amer. Math. Soc. 366 (2014), no. 9, [10] M. de Souza, J. M. do Ó, A sharp inequality of Trudinger-Moser type extremal functions in H 1,n (R n ). J. Differential Equations 258 (2015), no. 11, [11] J. M. do Ó, -Laplacian equations in R with critical growth. Abstr. Appl. Anal. 2 (1997), no. 3-4, [12] J. M. do Ó, M. de Souza, E. de Medeiros, U. Severo, An improvement for the Trudinger-Moser inequality applications. J. Differential Equations 256 (2014), no. 4, [13] M. Ishiwata, Existence nonexistence of maximizers for variational problems associated with Trudinger-Moser type inequalities in R. Math. Ann. 351 (2011), no. 4, [14] M. Ishiwata, H. Wadade, On the effect of equivalent constraints on a maximizing problem associated with the Sobolev type embeddings in R. Math. Ann. to appear [15] M. Ishiwata, H. Wadade, Existence non-existence of maximizers for the Moser-Trudinger inequalities of the inhomogeneous type. Preprint 2015 [16] M. Ishiwata, H. Wadade, On a maximizing problem associated with the Sobolev type embeddings in R under equivalent constraints. Preprint 2015 [17]. Lam, G. Lu, L. Zhang, Equivalence of critical subcritical sharp Trudinger-Moser-Adams inequalities. Preprint 2015 [18] Y. Li, B. Ruf, A sharp Trudinger-Moser type inequality for unbounded domains in R n. Indiana Univ. Math. J. 57 (2008), no. 1, [19] P.-L. Lions, The concentration-compactness principle in the calculus of variations. The it case. I. Rev. Mat. Iberoamericana 1 (1985), no. 1, [20] J. Moser, A sharp form of an inequality by. Trudinger. Indiana Univ. Math. J. 20 (1970/1971), [21] B. Ruf, A sharp Trudinger-Moser type inequality for unbounded domains in R 2. J. Funct. Anal. 219 (2005), no. 2,

26 26 [22] C. Tintarev, Trudinger-Moser inequality with remainder terms. J. Funct. Anal. 266 (2014), no. 1, [23] Y. Yang, A sharp form of Moser-Trudinger inequality in high dimension. J. Funct. Anal. 239 (2006), no. 1, [24] Y. Yang, Corrigendum to: A sharp form of Moser-Trudinger inequality in high dimension. J. Funct. Anal. 242 (2007), no. 2, [25] Y. Yang, Extremal functions for Trudinger-Moser inequalities of Adimurthi-Druet type in dimension two. J. Differential Equations 258 (2015), no. 9, [26] Y. Yang, X. Zhu, A new proof of subcritical Trudinger-Moser inequalities on the whole Euclidean space. J. Partial Differ. Equ. 26 (2013), no. 4, Universidade Federal da Paraíba, , João Pessoa, PB, Brazil address: Università degli Studi di Milano, via Cesare Saldini 50, Milano, Italy address: Università degli Studi di Milano, via Cesare Saldini 50, Milano, Italy address:

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