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# On Algebraic Hyperbolicity of Log Surfaces

## 1. Introduction and Statement of Results

### 1.1. Introduction

A complex manifold $`M`$ is hyperbolic in the sense of S. Kobayashi if the hyperbolic pseudo-metric defined on $`M`$ is a metric. The study of Kobayashi hyperbolicity (or just hyperbolicity in this paper) can be roughly divided into two categories. One is the hyperbolicity of a compact complex manifold. The other is the hyperbolicity of a compact complex manifold with an ample divisor removed, or equivalently, the hyperbolicity of an affine variety. In $`dimM=1`$, both problems are completely settled. A compact Riemann surface $`M`$ (or a smooth projective curve) is hyperbolic if and only if its geometric genus $`g(M)`$ is at least $`2`$. An affine algebraic curve $`M=C\backslash D`$ is hyperbolic if and only if either $`C^1`$ and $`\mathrm{deg}D3`$ or $`g(C)1`$, where $`C`$ is a smooth projective curve and $`D`$ is a reduced ample divisor on $`C`$. Equivalently, we may put these two well-known facts into one sentence: $`C\backslash D`$ is hyperbolic if and only if

(1.1)
$$2g(C)2+\mathrm{deg}D>0$$

for a smooth projective curve $`C`$ and a reduced effective divisor $`DC`$.

Not much is known once the dimension goes beyond one, even in the simplest case that $`M`$ is a hypersurface in $`^n`$ or $`M`$ is the complement of a hypersurface in $`^n`$. That is, we have the following famous Kobayashi conjecture.

###### Conjecture 1.1 (Kobayashi Conjecture).

For $`n2`$,

1. a very general hypersurface $`D^{n+1}`$ of degree $`\mathrm{deg}D2n+1`$ is hyperbolic;
2. $`^n\backslash D`$ is hyperbolic for a very general hypersurface $`D^n`$ of degree $`\mathrm{deg}D2n+1`$.

We will refer the first part as Kobayashi’s conjecture on hypersurfaces and the second part as Kobayashi’s conjecture on the complements of hypersurfaces.

Most research on this conjecture was done for the case $`n=2`$, i.e., for surfaces in $`^3`$ and complements of plane curves in $`^2`$. For surfaces in $`^3`$, a major step has been made recently by J.P. Demailly and J. El Goul who proved that the conjecture is true for $`n=2`$ and $`\mathrm{deg}D21`$ \[DEG\]. For complements of plane curves in $`^2`$, Y.T. Siu and S.K. Yeung proved that the conjecture is true for $`n=2`$ and $`\mathrm{deg}D10^{13}`$ \[S-Y\].

Although hyperbolicity is essentially an analytic property, it is closely related to the algebraic properties of the underlying manifold, if the underlying manifold is an algebraic variety. For example, there are no nonconstant maps from an abelian variety to a hyperbolic algebraic variety. Demailly proposed the following definition \[D, Chap. 2 & 9\] as an algebraic characterization of hyperbolicity.

###### Definition 1.2.

A smooth projective variety $`X^N`$ is called algebraically hyperbolic if there exists a positive real number $`ϵ`$ such that

(1.2)
$$2g(C)2ϵ\mathrm{deg}C$$

for each reduced irreducible curve $`CX`$, where $`g(C)`$ and $`\mathrm{deg}C`$ are the geometric genus and the degree of the curve $`C^N`$, respectively. Obviously, the value of $`ϵ`$ depends on the polarization $`X^N`$ of $`X`$, while being algebraically hyperbolic is independent of the choice of polarization.

Demailly proved that the following is true for a smooth projective variety $`X`$

(1.3)
$$\begin{array}{cc}& X\text{ is hyperbolic}X\text{ is algebraically hyperbolic}\hfill \\ & \text{ nonconstant maps from an abelian variety to }X.\hfill \end{array}$$

Since algebraic hyperbolicity is a pure algebraic concept, it can be handled entirely by algebro-geometrical methods. In general, it is much easier to prove a variety is algebraically hyperbolic than to prove it is hyperbolic. Thus (1.3) can be used to test which varieties might be hyperbolic by checking whether they are algebraically hyperbolic. On the other hand, from an algebro-geometrical point of view, algebraic hyperbolicity is an interesting notion itself, since finding the minimum genus of a curve on an algebraic variety is an important question in algebraic geometry \[Cl\].

It is a natural question to ask what is the similar notion of algebraic hyperbolicity for an affine algebraic variety. We find it easier to work with a compactification of an affine variety instead of the variety itself. That is, we would like to work with a log pair $`(X,D)`$ where $`X`$ is projective and $`D`$ is an effective divisor. However, as we will see, the algebraic hyperbolicity we are going to define for $`X\backslash D`$ is independent of the compactification we choose.

It is obvious that if $`X\backslash D`$ is hyperbolic, there is no nonconstant map from $`^{}^1\backslash \{\text{2 points}\}`$ to $`X\backslash D`$, which is roughly equivalent to that each rational curve $`CX`$ meets $`D`$ at more than $`2`$ distinct points. This suggests that the number of intersections between $`C`$ and $`D`$ should appear on the LHS of (1.2) for $`(X,D)`$. So it is natural to define $`(X,D)`$ to be algebraically hyperbolic if there exists a positive number $`ϵ`$ such that

(1.4)
$$2g(C)2+|CD|ϵ\mathrm{deg}C$$

for all reduced irreducible curve $`CX`$ with $`CD`$, where $`|CD|`$ is the number of distinct points in the set-theoretical intersection $`CD`$. So if $`(X,D)`$ satisfies (1.4), every rational curve in $`X`$ should meet $`D`$ at no less than three distinct points, which is what we want. However, there is one problem with this definition. Ideally, we want our definition of algebraic hyperbolicity of $`(X,D)`$ to be independent of the compactifications of $`X\backslash D`$. However, $`|CD|`$ does depend on the choice of the compactifications of $`X\backslash D`$. For example, suppose that $`C`$ meets $`D`$ at a simple triple point $`p`$ of $`C`$. Let $`X^{}`$ be the blowup of $`X`$ at $`p`$, $`D^{}`$ be the total transform of $`D`$ and $`C^{}`$ be the proper transform of $`C`$. Then we have $`X\backslash DX^{}\backslash D^{}`$ but $`|C^{}D^{}|=|CD|+2`$. Furthermore, if we assume that $`C`$ is rational and $`p`$ is the only intersection between $`C`$ and $`D`$ in this example, then $`(X,D)`$ is not algebraically hyperbolicity by (1.4). However, the normalization of $`C`$ gives a morphism $`^1\backslash \{\text{3 points}\}X\backslash D`$, which does not violate the hyperbolicity of $`X\backslash D`$. Therefore, we need first to have a better notion of the number of intersections between $`C`$ and $`D`$.

###### Definition 1.3.

Let $`PDX`$, where $`X`$ is a quasi-projective variety, $`DX`$ is a closed subscheme of $`X`$ of codimension 1 and $`P`$ is a closed subscheme of $`D`$ of codimension 1. For each reduced curve $`CX`$ that meets $`D`$ properly, we define the number $`i_X(C,D,P)`$ as follows. Let $`\stackrel{~}{X}`$ be the blowup of $`X`$ at $`P`$ and $`\stackrel{~}{C}`$ and $`\stackrel{~}{D}`$ be the corresponding proper transforms of $`C`$ and $`D`$, respectively. Let $`\nu :C^\nu \stackrel{~}{C}\stackrel{~}{X}`$ be the normalization of $`C`$. Then $`i_X(C,D,P)`$ is the number of distinct points in the set $`\nu ^1(\stackrel{~}{D})C^\nu `$. We allow $`P`$ to be empty and write $`i_X(C,D)=i_X(C,D,\mathrm{})`$. Usually we abbreviate $`i_X(C,D)`$ and $`i_X(C,D,P)`$ to $`i(C,D)`$ and $`i(C,D,P)`$ if it is clear from the context what the total space $`X`$ is. Also let $`i_{X,p}(C,D,P)`$ be the local contribution of each point $`p`$ to $`i_X(C,D,P)`$ such that $`i_X(C,D,P)=_{pX}i_{X,p}(C,D,P)`$ where we let $`i_{X,p}(C,D,P)=0`$ if $`pCD`$.

###### Remark 1.4.

Basically, we count the branches of $`C`$ at each point $`pCD`$ for $`i_X(C,D)`$. For example, $`i_{X,p}(C,D)=2`$ if $`C`$ has a node at $`pCD`$ and $`i_{X,p}(C,D)=1`$ if $`C`$ has a cusp at $`p`$. So we always have $`i_X(C,D)|CD|`$. Sometimes we will call $`i_X(C,D)`$ the number of intersections between $`D`$ and the normalization of $`C`$.

It may look redundant to introduce the term $`P`$ in our definition since we can simply use $`i_{\stackrel{~}{X}}(\stackrel{~}{C},\stackrel{~}{D})`$ for $`i_X(C,D,P)`$ after we blow up $`X`$ along $`P`$. Nevertheless, as we will see later, $`P`$ arises in our problems in a natural way.

Now we are ready to define algebraic hyperbolicity for log varieties.

###### Definition 1.5.

Let $`PDX`$ be given as in Definition 1.3 and let $`X^N`$ be projective. Then we call the triple $`(X,D,P)`$ algebraically hyperbolic if there exists a positive number $`ϵ`$ such that

(1.5)
$$2g(C)2+i_X(C,D,P)ϵ\mathrm{deg}C$$

for all reduced irreducible curves $`CX`$ with $`CD`$. We call the log pair $`(X,D)`$ algebraically hyperbolic if $`(X,D,\mathrm{})`$ is algebraically hyperbolic.

Here are a few (more or less) trivial comments.

1. Let $`C`$ be a smooth projective curve and $`DC`$ be a reduced effective divisor. Then $`(C,D)`$ is algebraically hyperbolic if and only if (1.1) holds.
2. It is not hard to see that the algebraic hyperbolicity of $`(X,D)`$ only depends on the complement $`X\backslash D`$ and it is independent of the compactification of $`X\backslash D`$. That is, if $`(X,D)`$ and $`(X^{},D^{})`$ satisfy $`X\backslash DX^{}\backslash D^{}`$, then $`(X,D)`$ is algebraically hyperbolicity if and only if $`(X^{},D^{})`$ is. So instead of saying that $`(X,D)`$ is algebraically hyperbolic, we may say $`X\backslash D`$ is algebraically hyperbolic.
3. If $`(X_1,D_1)`$ and $`(X_2,D_2)`$ are algebraically hyperbolic, then the product $`(X_1,D_1)\times (X_2,D_2)=(X_1\times X_2,\pi _1^1(D_1)\pi _2^1(D_2))`$ is also algebraically hyperbolic, where $`\pi _1`$ and $`\pi _2`$ are the projections of $`X_1\times X_2`$ to $`X_1`$ and $`X_2`$, respectively.
4. Being algebraically hyperbolic is a neither open nor close condition. It is obviously not a close condition. To see it is not an open condition either, take $`(^1,\{\text{3 points}\})\times (^1,\{\text{3 points}\})=(^1\times ^1,D)`$, where $`D`$ is the union of three curves of type $`(1,0)`$ and three curves of type $`(0,1)`$. Such $`(^1\times ^1,D)`$ is algebraically hyperbolic since $`(^1,\{\text{3 points}\})`$ is. However, a generic deformation $`D^{}`$ of $`D`$ is an irreducible curve of type $`(3,3)`$ and $`(^1\times ^1,D^{})`$ is not algebraically hyperbolic since there exists curves of type $`(1,0)`$ and $`(0,1)`$ meeting $`D^{}`$ at only two distinct points.

The term “algebraically hyperbolic” has been used before by several people including the author in a weak sense. For example, in \[C3\], \[DSW\] and \[Ko\], “algebraic hyperbolicity” is used for the varieties $`X`$ that do not permit any nonconstant (algebraic) map from $`C`$ to $`X`$ with $`C`$ an elliptic curve or $`C^{}^1\backslash \{\text{2 points}\}`$. Obviously, this notion of “algebraically hyperbolic” is weaker than what is used here and hence we will call it “weakly algebraically hyperbolic” to distinguish it from the definition used in this paper.

###### Definition 1.6.

A quasi-projective variety $`X`$ is called weakly algebraically hyperbolic if it does not contain any curve $`C`$ whose normalization is either an elliptic curve or $`^{}`$.

### 1.2. Algebraic hyperbolicity of log surfaces

Our first nontrivial example of an algebraically hyperbolic affine variety is the complement of a very general plane curve $`D^2`$ of degree at least five. Namely, we will prove that Kobayashi’s conjecture on the complements of plane curves holds if we replace “hyperbolic” by “algebraically hyperbolic”, i.e., we have the following.

###### Theorem 1.7.

Let $`D^2`$ be a very general plane curve of degree $`d`$. Then

(1.6)
$$2g(C)2+i_^2(C,D)(d4)\mathrm{deg}C$$

for all reduced irreducible curves $`C^2`$ with $`CD`$. And hence $`(^2,D)`$ is algebraically hyperbolic if $`\mathrm{deg}D=d5`$.

An immediate consequence of the above theorem is that $`^2\backslash D`$ is weakly algebraically hyperbolic for a very general quintic curve $`D`$, i.e., $`C(^2\backslash D)`$ is hyperbolic for all curves $`C^2`$ with $`CD`$, or equivalently, every holomorphic map from $``$ to $`^2\backslash D`$ is constant if it is algebraically degenerated (see also \[X2, Corollary, p. 612\]).

It is a known fact that every rational curve on $`^2`$ meets a very general quintic curve at no less than three distinct points (see \[X2\] and \[C3\] for proofs and generalizations of this statement). The above theorem may be regarded as another generalization of this fact. It says that the number of the intersections (counted in the way of Definition 1.3) between a rational curve and a quintic curve grows at a rate proportional to the degree of the rational curve. More precisely, it says the following: fix a very general quintic curve $`D^2`$ and then for all nonconstant maps $`f:C=^1^2`$, there are at least $`\mathrm{deg}(f)+2`$ distinct points on $`C`$ mapping to points on $`D`$ by $`f`$.

Just as the original Kobayashi’s conjecture, Theorem 1.7 is much easier to prove if $`D`$ is reducible. It was first proved by M. Green that $`^2\backslash D`$ is hyperbolic for $`D`$ a general union of at least four irreducible curves with total degree no less than $`5`$ \[G\]. Our next theorem has the same nature, i.e., it gives a criterion on the algebraic hyperbolicity of $`(X,D)`$ when $`D`$ is reducible. Before we state the theorem, let us first recall some definitions.

Let $`X`$ be a normal variety with canonical divisor $`K_X`$. We call $`X`$ is canonical or has canonical singularities if $`K_X`$ is $``$-Cartier and for all proper birational morphisms $`f:YX`$, we have

(1.7)
$$K_Y_{num}f^{}K_X+a_iE_i$$

with $`a_i0`$ for all exceptional divisors $`E_i`$, where $`_{num}`$ is the numerical equivalence. If $`X`$ is a surface and $`f:YX`$ is a minimal desingularization of $`X`$, i.e., there are no $`f`$-contractible $`1`$ rational curves $`EY`$, then $`X`$ is canonical iff $`K_Y_{num}f^{}K_X`$.

For a variety $`X`$, let $`C_1(X)`$ be the free abelian group generated by the 1-cycles (curves) on $`X`$ and $`N_1(X)=C_1(X)/_{num}`$. We call $`\phi :N_1(X)`$ an additive function on $`N_1(X)`$ if $`\phi \mathrm{Hom}(N_1(X),)`$. Of course, if $`X`$ is nonsingular, $`\mathrm{Hom}(N_1(X),)N^1(X)`$ where $`N^1(X)=\mathrm{Div}(X)/_{num}`$, i.e., every additive function $`\phi `$ on $`N_1(X)`$ is given by a $``$-divisor $`D`$ such that $`\phi (C)=DC`$ for all curves $`CX`$.

We call a closed subscheme $`CX`$ rigid inside X if there is no embedded deformation of $`C`$ inside $`X`$; otherwise, we say $`C`$ is nonrigid inside $`X`$.

We call $`\{I_1,I_2,\mathrm{},I_m\}`$ a partition of a set $`N`$ if $`_{k=1}^mI_k=N`$ and $`I_aI_b=\mathrm{}`$ for $`1abm`$.

###### Theorem 1.8.

Let $`S`$ be a normal projective surface with canonical singularities, $`B=_{i=0}^nB_i`$ be an effective divisor of normal crossing on $`S`$, $`FS`$ be a curve on $`S`$ and $`PBF`$. Suppose that $`B_i`$ is a very general member of a base point free (BPF) linear system $`_i`$ for each $`1in`$, while $`B_0`$ and $`F`$ are fixed curves satisfying that $`B_0`$ meets $`F`$ properly and $`PB_0`$ is contained in the smooth locus of $`B_0`$.

Let $`\phi :C_1(S)`$ be a function on $`C_1(S)`$ and $`ϵ`$ be a real number satisfying

(1.8)
$$(K_S+BB_i)Cϵ\phi (C)$$

for $`i=1,2,\mathrm{},n`$ and all nonrigid curves $`CS`$,

(1.9)
$$2g(C)2+(BB_0)Cϵ\phi (C)$$

for all reduced curves $`CS`$ and

(1.10)
$$2g(C)2+i_S(C,B,P)ϵ\phi (C)$$

for each reduced irreducible component $`CF`$. Then

(1.11)
$$2g(C)2+i_S(C,B,P)ϵ\phi (C)$$

for all reduced irreducible curves $`CS`$ with $`CB`$.

###### Remark 1.9.

Note that $`\phi `$ is an arbitrary function on $`C_1(S)`$ (no linearity is assumed). So what we are really saying in the above theorem is that

(1.12)
$$\begin{array}{cc}& 2g(C)2+i_S(C,B,P)\hfill \\ & \underset{1in}{\mathrm{min}}((K_S+BB_i)C,2g(C)2+(BB_0)C)\hfill \end{array}$$

if $`CF`$ and $`C`$ is not rigid. However, we choose to present the theorem in the above form to make it consistent in appearance with Theorem 1.10.

It follows immediately from Theorem 1.8 that $`(^2,_{i=1}^dL_i)`$ is algebraically hyperbolic for $`d5`$ lines $`L_1,L_2,\mathrm{},L_d`$ in general position. To see this, let $`n=d`$, $`B_0=\mathrm{}`$, $`B_i=L_i`$, $`\phi (C)=\mathrm{deg}C`$ and $`P=\mathrm{}`$ and we have (1.6) with $`D=_{i=1}^dL_i`$. Now the question is how to go from this fact to (1.6) with $`D`$ irreducible. The natural approach is to degenerate an irreducible plane curve to a union of lines. Note that this does not work for the original Kobayashi’s conjecture since being hyperbolic is not an algebraic condition. However, this works for algebraic hyperbolicity, although there are still some nontrivial technical issues to be resolved. Actually, one can say that resolving these technical issues is all this paper about. In summary, we can prove the algebraic hyperbolicity of $`(^2,D)`$ by degenerating $`D`$ to a union of $`d`$ lines. We will carry out this degeneration argument in a more general setting as in the following theorem.

###### Theorem 1.10.

Let $`S,B,B_i,_i,F`$ be given as in Theorem 1.8.

Let $`\{I_1,I_2,\mathrm{},I_m\}`$ be a partition of $`\{1,2,\mathrm{},n\}`$, $`D_0=B_0`$ and $`D_k`$ be a very general member of the linear series

(1.13)
$$\left(\underset{iI_k}{}_i\right)$$

for $`k=1,2,\mathrm{},m`$. Let $`PDF`$ with $`PD_0`$ contained in the smooth locus of $`D_0`$, where $`D=D_0D_1D_2\mathrm{}D_m`$.

Let $`\phi :N_1(S)`$ be an additive function on $`N_1(S)`$ and $`ϵ`$ be a real number such that (1.8) and (1.9) holds and

(1.14)
$$2g(C)2+i_S(C,D,P)ϵ\phi (C)$$

for each reduced irreducible component $`CF`$. Then

(1.15)
$$2g(C)2+i_S(C,D,P)ϵ\phi (C)$$

for all reduced irreducible curves $`CS`$ with $`CD`$.

It is obvious that what we are doing in the above theorem is degenerating each curve $`D_k`$ to a union $`_{iI_k}B_i`$ and hence $`D`$ to $`B_i`$, for which Theorem 1.8 can be applied.

To see how Theorem 1.7 follows from Theorem 1.10, we take $`n=d`$, $`B_0=\mathrm{}`$, $`B_1=B_2=\mathrm{}=B_n`$ to be the hyperplane divisor of $`^2`$, $`DH^0(𝒪_S(B))`$ to be a very general curve of degree $`d`$, $`\phi (C)=\mathrm{deg}C`$ and $`P=\mathrm{}`$; obviously, we can choose $`ϵ=d4`$ by (1.8) and (1.9) and Theorem 1.7 follows immediately. Also notice that $`\{I_1,I_2,\mathrm{},I_m\}`$ can be chosen to be an arbitrary partition of $`\{1,2,\mathrm{},n\}`$ and consequently (1.6) holds for reducible $`D`$ as well. We have the following generalization of Theorem 1.7 as a corollary of Theorem 1.10.

###### Corollary 1.11.

Let $`S`$ be a normal projective surface with canonical singularities, $`B`$ be a BPF ample divisor on $`S`$ and $`D=D_kS`$, where each $`D_k`$ is a very general member of $`H^0(𝒪_S(d_kB))`$ for some positive integer $`d_k`$. Let $`\alpha `$ be the smallest number such that $`K_S+\alpha B`$ is NEF. Then

(1.16)
$$2g(C)2+i_S(C,D)\left(d\mathrm{max}(2,1+\alpha )\right)BC$$

for all reduced irreducible curves $`CS`$ with $`CD`$, where $`d=d_k`$. Hence $`(S,D)`$ is algebraically hyperbolic if $`d3`$ and $`d2+\alpha `$.

In particular,

(1.17)
$$2g(C)2+i_S(C,D)\left(d4\right)BC$$

for all reduced irreducible curves $`CS`$ with $`CD`$ and hence $`(S,D)`$ is algebraically hyperbolic if $`d5`$. In addition, if $`(K_S+2B)B0`$, (1.17) can be improved by replacing $`d4`$ on its RHS by $`d3`$.

The second inequality (1.17) is due to the fact that $`K_S+3B`$ is NEF, which is a consequence of Mori’s cone theorem: for a smooth projective variety $`X`$ of dimension $`n`$, the cone $`\overline{NE}(X)`$ of effective curves of $`X`$ is generated by $`K_X`$-NEF curves $`C`$ ($`K_XC0`$) and the smooth rational curves $`G`$ with $`(n+1)K_XG<0`$. More generally, J. Kollár proved that Mori’s cone theorem holds for $`X`$ with isolated singularities which are locally the quotients of isolated complete intersection singularities \[K\]. Obviously, surfaces with canonical singularities fall into this category and hence Mori’s cone theorem holds for canonical surfaces, which is all we need in this paper. Actually, there is a much simpler reason why Mori’s cone theorem holds for a canonical surface $`S`$. Let $`f:\stackrel{~}{S}S`$ be a minimal desingularization of $`S`$ and then $`K_{\stackrel{~}{S}}=f^{}K_S`$. Since Mori’s cone theorem holds for $`\stackrel{~}{S}`$, it is obvious that it holds for $`S`$ as well.

If we take $`S=^2`$ and $`D=D_k`$ in the above corollary, where $`D_k^2`$ is a very general plane curve of degree $`d_k`$, then

(1.18)
$$2g(C)2+i_^2(C,D)(d4)\mathrm{deg}C$$

for all reduced irreducible curves $`C^2`$ with $`CD`$. Hence $`(^2,D)`$ is algebraically hyperbolic if $`\mathrm{deg}D=d5`$. Note that it has been proved that such $`^2\backslash D`$ is hyperbolic if $`D`$ has at least three components \[DSW\].

Similar statements to Theorem 1.7 hold on other surfaces such as rational ruled surfaces and Del Pezzo surfaces. Both can be derived from Theorem 1.10.

###### Corollary 1.12.

Let $`𝔽_n`$ be the rational ruled surface $`(𝒪𝒪(n))`$ over $`^1`$ and let $`M`$ and $`F`$ be the divisors of $`𝔽_n`$ generating $`\mathrm{Pic}(𝔽_n)`$ with $`M^2=n`$, $`MF=1`$ and $`F^2=0`$. Let $`D=D_k𝔽_n`$, where each $`D_k`$ is a very general member of a BPF complete linear series. And let $`DH^0(𝒪_{𝔽_n}(aM+bF))`$ with $`ab`$. Then

(1.19)
$$2g(C)2+i_{𝔽_n}(C,D)\mathrm{min}(a3,ban2)\mathrm{deg}C$$

for all reduced irreducible curves $`C𝔽_n`$ with $`CD`$, where $`\mathrm{deg}C=(M+(n+1)F)C`$. And hence $`(𝔽_n,D)`$ is algebraically hyperbolic if $`ba4`$ and $`b3+an`$.

###### Corollary 1.13.

Let $`\stackrel{~}{}^2`$ be the blowup of $`^2`$ at $`2r6`$ general points and let $`R_1,R_2,\mathrm{},R_n`$ be all the $`1`$ rational curves on $`\stackrel{~}{}^2`$, i.e., $`R_i`$ is smooth and rational and $`K_{\stackrel{~}{^2}}R_i=1`$ for $`i=1,2,\mathrm{},n`$. Let $`D=D_k\stackrel{~}{}^2`$, where each $`D_k`$ is a very general member of a BPF complete linear series. Then

(1.20)
$$2g(C)2+i_{\stackrel{~}{}^2}(C,D)\left(\underset{1in}{\mathrm{min}}DR_i2\right)\mathrm{deg}C$$

for all reduced irreducible curves $`C\stackrel{~}{}^2`$ with $`CD`$, where $`\mathrm{deg}C=K_{\stackrel{~}{}^2}C`$. And hence $`(\stackrel{~}{}^2,D)`$ is algebraically hyperbolic if $`DR_i>2`$ for all $`R_i`$.

Naturally one may ask how sharp these results are. There is no good answer to this question in general. However, in the cases we have studied so far, our method seems to have produced sharp results. In Theorem 1.7, it is not hard to see that the equality in (1.6) is achieved when $`C`$ is a bitangent or flex line of $`D`$ so the condition $`\mathrm{deg}D5`$ is necessary for $`(^2,D)`$ to be (algebraically) hyperbolic. In Corollary 1.12, if $`D`$ is irreducible, the equality (1.19) is achieved when $`C=M`$ or $`C`$ is a fiber of $`𝔽_n^1`$ tangent to $`D`$ so the conditions $`ba4`$ and $`b3+an`$ are necessary for $`(𝔽^n,D)`$ to be (algebraically) hyperbolic. However, if $`D`$ is reducible, we have the exception that $`^1\times ^1\backslash D`$ is (algebraically) hyperbolic for $`D`$ a union of $`a=3`$ curves of type $`(1,0)`$ and $`b3`$ curves of type $`(0,1)`$. But with a little extra effort, one can see that such $`(^1\times ^1,D)`$’s are the only exceptions for which Corollary 1.12 fails to be sharp. Finally, in Corollary 1.13, the equality in (1.20) is obviously achieved by $`C=R_i`$ that minimizes $`DR_i`$ and the conditions $`DR_i3`$ are necessary for $`(\stackrel{~}{}^2,D)`$ to be (algebraically) hyperbolic.

So far we have been proving the algebraic hyperbolicity of the log surface $`(S,D)`$ by specializing $`D`$ while the underlying surface $`S`$ is fixed ($`S`$ is rigid anyway in the cases we have studied). However, there are situations that this approach does not work. For example, let $`(S,D)`$ be a log pair where $`S`$ is a very general K3 surface of genus $`g`$ and $`D`$ is a very general curve in the primitive class of $`S`$. Since every rational curve on $`S`$ meets $`D`$ at no less than $`3`$ distinct points if $`g3`$, we expect $`(S,D)`$ to be algebraically hyperbolic if $`g3`$. However, Theorem 1.10 cannot be directly applied since $`D`$ is primitive. It turns out that we have to specialize the underlying K3 surface $`S`$ at the same time we specialize $`D`$, which results in the following theorem.

###### Theorem 1.14.

Let $`S`$ be a K3 surface of genus $`g3`$ and $`D`$ be a curve in the primitive class of $`S`$. Then for a very general pair $`(S,D)`$,

(1.21)
$$2g(C)2+i_S(C,D)\frac{(g3)/2}{g1}(CD)$$

for all reduced irreducible curves $`CS`$ with $`CD`$ and hence $`(S,D)`$ is algebraically hyperbolic if $`g5`$.

Let $`M`$ be a general member of $`H^0(𝒪_S(nD))`$ for some $`n0`$ and $`PDM`$. Then (1.21) also holds if we replace $`i_S(C,D)`$ by $`i_S(C,D,P)`$.

###### Remark 1.15.

Notice that the above theorem fails to conclude the algebraic hyperbolicity of $`(S,D)`$ for a K3 surface $`S`$ of genus $`3`$ and $`4`$, although we expect such pairs to be algebraically hyperbolic. The reason that we study such $`(S,D)`$ will be clear later.

### 1.3. Algebraic hyperbolicity of projective surfaces

It has been speculated that there are connections between the hyperbolicity of the hypersurfaces and that of their complements. For example, it has been shown by Masuda and Noguchi that for every positive integer $`n`$ there exists a number $`d(n)`$ such that for each $`dd(n)`$ there exists a smooth hypersurface $`D^n`$ of degree $`d`$ such that both $`D`$ and $`^n\backslash D`$ are hyperbolic \[Z\]. However, the relation between the hyperbolicity of $`D`$ and that of $`^n\backslash D^{}`$ is still quite mysterious, to say the least. On the other hand, if we consider algebraic hyperbolicity instead of hyperbolicity, we do have some partial answer to the question. This forms the second part of this paper, which studies the relation between the algebraic hyperbolicity of projective surfaces, as defined by Demailly, and the algebraic hyperbolicity of log surfaces, as defined here. We will show that the study of algebraic hyperbolicity of projective surfaces usually comes down to the study of that of log surfaces via degeneration. For example, as we will see, the algebraic hyperbolicity of a very general surface $`S^3`$ of degree $`d6`$ is more or less a consequence of the algebraic hyperbolicity of $`^2\backslash D`$, where $`D`$ is a general union of $`d1`$ lines in $`^2`$. The link between these two objects is provided by a notion of “virtual genus” of a curve lying on a reducible variety.

###### Definition 1.16.

Let $`D=D_1D_2\mathrm{}D_n`$ be a union of varieties $`D_j`$. For each $`J\{1,2,\mathrm{},n\}`$, let $`D_J=_{jJ}D_j`$ and $`D_J=D_J(_{kJ}D_k)`$. Suppose that $`D`$ is locally of normal crossing along $`D_j`$ for each $`j`$, i.e., for each $`J\{1,2,\mathrm{},n\}`$ with $`|J|2`$, $`D`$ is locally given by $`_{jJ}x_j=0`$ at each point $`pD_J`$ and $`pD_J`$, where $`D_J=\mathrm{}`$ if $`|J|>1+dimD`$. Let $`Q`$ be a closed subscheme of $`D`$ of codimension $`2`$ satisfying $`Q(D_j)`$ and $`dim(QD_J)dimD_J1`$ for each $`J\{1,2,\mathrm{},n\}`$ with $`|J|2`$. For each reduced irreducible curve $`\mathrm{\Gamma }D`$, let $`J\{1,2,\mathrm{},n\}`$ be the subset such that $`\mathrm{\Gamma }D_j`$ for $`jJ`$ and $`\mathrm{\Gamma }D_j`$ for $`jJ`$ and we define

(1.22)
$$\varphi _Q(\mathrm{\Gamma })=2g(\mathrm{\Gamma })2+i_{D_J}(\mathrm{\Gamma },D_J,QD_J).$$

Here if $`D_J=\mathrm{}`$, we let $`i_{D_J}(\mathrm{\Gamma },D_J,QD_J)=0`$. Let $`CD`$ be an arbitrary curve on $`D`$ (possibly nonreduced and reducible). We use $`\mu (\mathrm{\Gamma })`$ to denote the multiplicity of an irreducible component $`\mathrm{\Gamma }`$ in $`C`$. Then the virtual genus $`g_Q^{vir}(C)`$ of $`C`$ with respect to $`Q`$ is defined by

(1.23)
$$2g_Q^{vir}(C)2=\underset{\mathrm{\Gamma }C}{}\mu (\mathrm{\Gamma })\varphi _Q(\mathrm{\Gamma })$$

where we sum over all irreducible components $`\mathrm{\Gamma }C`$.

###### Theorem 1.17.

Let $`X`$ be a flat family of projective varieties over the disk $`\mathrm{\Delta }`$ parameterized by $`t`$, where the general fibers $`X_t`$ are irreducible and smooth and the central fiber $`X_0=D=_{j=1}^nD_j`$ is locally of normal crossing along $`D_j`$ for each $`j`$. Let $`Q=(D_j)X_{sing}`$ be the singular locus of $`X`$ along $`D_j`$ and suppose that $`dim(QD_J)dimD_J1`$ for each $`J\{1,2,\mathrm{},n\}`$ with $`|J|2`$. Let $`Y`$ be a flat family of curves over $`\mathrm{\Delta }`$ with the following commutative diagram:

(1.24)
$$\begin{array}{ccc}Y& \stackrel{\pi }{}& X\\ & & \\ \mathrm{\Delta }& & \mathrm{\Delta }\end{array}$$

where $`\pi :YX`$ is proper and $`\mathrm{\Delta }\mathrm{\Delta }`$ is a base change sending $`t`$ to $`t^\alpha `$ for some $`\alpha >0`$. Then

(1.25)
$$g(Y_t)g_Q^{vir}(\pi (Y_0)),$$

where we assume $`Y`$ to be reduced and $`g_Q^{vir}(\pi (Y_0))`$ is the virtual genus of $`\pi (Y_0)`$ with respect to $`Q`$, as defined in Definition 1.16.

It is obvious by the above theorem that $`X_t`$ is algebraically hyperbolic if $`(D_J,D_J,D_JQ)`$ is algebraically hyperbolic for each $`J\{1,2,\mathrm{},n\}`$. This is our basic principle to reduce the algebraic hyperbolicity of projective varieties to that of log varieties. Based on this principle, we will study the algebraic hyperbolicity of projective surfaces in Sec. 4. Our first theorem in this direction is the following, which concerns the genus of a curve on a generic complete intersection in a projective variety $`W`$.

###### Theorem 1.18.

Let $`W`$ be a projective variety of dimension $`n+2`$ which is smooth in codimension 2 and $`_1,_2,\mathrm{},_m`$ be BPF linear systems on $`W`$. Let $`(a_{ij})_{m\times n}`$ be a matrix of nonnegative integers with $`_{i=1}^ma_{ij}>0`$ for each $`j`$ and $`_{j=1}^na_{ij}>0`$ for each $`i`$, let $`V_j`$ be a very general member of the linear system

(1.26)
$$\left(\underset{i=1}{\overset{m}{}}_i^{a_{ij}}\right)$$

for $`j=1,2,\mathrm{},n`$ and $`S=_{j=1}^nV_j`$.

Let $`\phi :N_1(W)`$ be an additive function on $`N_1(W)`$ and $`ϵ`$ be a real number such that for all reduced curves $`CW`$ with $`CW_{sing}=\mathrm{}`$, the following holds:

(1.27)
$$\left(K_W+\underset{i,j}{}a_{ij}B_iB_k\right)Cϵ\phi (C)$$

for $`k=1,2,\mathrm{},m`$ and

(1.28)
$$2g(C)2+\left(\underset{i,j}{}a_{ij}B_i\underset{k=1}{\overset{m}{}}\mu _kB_k\right)Cϵ\phi (C)$$

for all nonnegative integers $`\mu _k`$ satisfying $`_{k=1}^m\mu _k=n`$, $`_{k=1}^mB_k^{\mu _k}0`$ and $`\mu _k\mathrm{\#}\{a_{kj}0:1jn\}`$, where $`B_k`$ is a general member of $`_k`$ for $`k=1,2,\mathrm{},m`$ and $`\mathrm{\#}\{a_{kj}0:1jn\}`$ is the number of nonzero entries in the $`k`$-th row of the matrix $`(a_{ij})`$. Then

(1.29)
$$2g(C)2ϵ\phi (C)$$

for all reduced irreducible curves $`CS`$.

Note that we assume very little on the total space $`W`$ other than the numerical properties, while most previous works on the problem assume $`W`$ to be homogeneous.

The most studied case of the above theorem is $`W=^3`$, $`m=n=1`$, $`_1=H^0(𝒪_^3(1))`$ and $`S^3`$ a very general surface of degree $`d=a_{11}`$. Here we take $`\phi (C)=\mathrm{deg}C`$. Then by the above theorem, we may take $`ϵ=d5`$ and hence

(1.30)
$$2g(C)2(d5)\mathrm{deg}C$$

for all reduced irreducible curves $`CS`$. This is a well-known lower bound for $`g(C)`$ due to H. Clemens \[Cl\]. Clemens’ result has been improved and generalized in various way by L. Ein, C. Voisin, G. Xu, L. Chiantini, A. Lopez and Z. Ran (see \[E1\], \[E2\], \[V\], \[X1\], \[CLR\] and \[C-L\]). G. Xu improved (1.30) by replacing $``$ by $`>`$ in \[X1\], i.e.,

(1.31)
$$g(C)>1+\frac{1}{2}(d5)\mathrm{deg}C.$$

The significance of this improvement is that it settles Harris’ conjecture: a very general quintic surface $`S^3`$ does not contain rational or elliptic curves, or equivalently, $`S`$ is weakly algebraically hyperbolic in our language, while Clemens’ bound (1.30) only implies the nonexistence of rational curves on $`S`$. Xu actually gave a universal lower bound for $`g(C)`$ independent of $`\mathrm{deg}C`$:

(1.32)
$$g(C)\frac{1}{2}d(d3)2.$$

Hence by (1.32), a very general quintic surface does not have any curve of genus $`0`$, $`1`$ and $`2`$. Xu’s results (1.31) and (1.32) was further generalized by Chiantini, Lopez and Ran in \[CLR\] and \[C-L\].

Xu’s original proof of (1.31) is based on a rather subtle deformation theory he developed for the pair $`(S,C)`$. L. Chiantini and A. Lopez gave a shorter and more intrinsic proof of (1.31) via the theory of focal loci in \[C-L\] and their method was generalized to deal with other surfaces. Later in the paper, we will study two types of surfaces considered by them.

As another example of Theorem 1.18, take $`W=^{n_1}\times ^{n_2}\times \mathrm{}\times ^{n_m}`$. Let $`B_1,B_2,\mathrm{},B_m`$ be the generators of $`\mathrm{Pic}W`$, where $`B_i`$ is the pullback of the hyperplane divisor of $`^{n_i}`$ under the projection $`W^{n_i}`$. And let $`_i=H^0(𝒪_W(B_i))`$ for $`i=1,2,\mathrm{},m`$, $`V_jH^0(𝒪_W(_{i=1}^ma_{ij}B_i))`$ and $`S=_{j=1}^nV_j`$. Set $`\phi (C)=\mathrm{deg}C=(_{i=1}^mB_i)C`$. Then by Theorem 1.18, we have

(1.33)
$$2g(C)2\underset{1im}{\mathrm{min}}\left(\underset{j=1}{\overset{n}{}}a_{ij}n_i2\right)\mathrm{deg}C$$

for all reduced irreducible curves $`CS`$. Therefore, $`S`$ is algebraically hyperbolic if $`_{j=1}^na_{ij}n_i+3`$ for $`i=1,2,\mathrm{},m`$. It does not seem to have an easy way to derive (1.33) using the methods of Clemens, Ein, Xu, etc.

Next, we will focus our attention to the complete intersections in projective spaces. Let $`S^{n+2}`$ be a very general complete intersection of type $`(d_1,d_2,\mathrm{},d_n)`$. By Theorem 1.18, we have

(1.34)
$$2g(C)2\left(\underset{j=1}{\overset{n}{}}d_jn4\right)\mathrm{deg}C$$

for all reduced irreducible curves $`CS`$. Hence $`S`$ is algebraically hyperbolic if $`d=_{j=1}^nd_j>n+4`$. This result (1.34) is actually due to Ein. He generalized Clemens’ theory on curves on generic hypersurfaces to generic complete intersections in \[E1\] and \[E2\]. Recently, Chiantini, Lopez and Ran further improved Ein’s result to the following:

(1.35)
$$h^0\left(𝒪_C(K_C(dn4)f^{}H)\right)1+p$$

for all maps $`f`$ from a smooth curve $`C`$ to $`S`$, where $`H`$ is the hyperplane divisor of $`^{n+2}`$ and $`p+1`$ is the dimension of the linear subspace of $`^{n+2}`$ spanned by the points on $`f(C)`$. It is obvious that $`p1`$ since $`S`$ does not contain any line. Therefore,

(1.36)
$$2g(C)22+\left(dn4\right)\mathrm{deg}C$$

for all reduced irreducible curves $`CS`$. Take $`n=1`$ and (1.36) becomes (1.31).

It is possible to improve (1.34) along our line of argument. We conjecture that the following is true:

(1.37)
$$2g(C)2\frac{2}{3}\underset{j=1}{\overset{n}{}}d_j+\left(\underset{j=1}{\overset{n}{}}d_jn4\right)\mathrm{deg}C.$$

However, the combinatorics involved is too daunting to be presented here. Hopefully, we can treat this in a future paper.

Despite the improvement of (1.36) over (1.34), it still does not say much about the case that really interests us, i.e., the algebraic hyperbolicity of complete intersections with $`_{j=1}^nd_j=n+4`$. Note that we do know such surfaces are weakly algebraically hyperbolic by (1.36).

###### Question 1.19.

Is a very general complete intersection $`S^{n+2}`$ of type $`(d_1,d_2,\mathrm{},d_n)`$ algebraically hyperbolic if $`_{j=1}^nd_j=n+4`$? We may assume $`S`$ to be nondegenerated, i.e., $`d_j2`$ for each $`j`$. Then $`S`$ is one of the following: a quintic surface in $`^3`$, a complete intersection of type $`(2,4)`$ or $`(3,3)`$ in $`^4`$, a complete intersection of type $`(2,2,3)`$ in $`^5`$ or a complete intersection of type $`(2,2,2,2)`$ in $`^6`$.

We will explain why we are interested in the above question later.

Obviously, $`n+4`$ is the lower bound of $`d_j`$ we can expect for a complete intersection $`S^{n+2}`$ of type $`(d_1,d_2,\mathrm{},d_n)`$ to be hyperbolic since $`S`$ is rational or K3 if $`d_j<n+4`$.

An analogous problem, though a little far-fetch, is Clemens’ conjecture on the finiteness of rational curves on a general quintic threefold. Both of these two problems concern the cases where the techniques of Clemens and Ein fail.

At present, we have a partial answer to the above question.

###### Theorem 1.20.

Let $`S^{n+2}`$ be a very general complete intersection of type $`(d_1,d_2,\mathrm{},d_n)`$ with $`_{j=1}^nd_j=n+4`$. Then $`S`$ is algebraically hyperbolic if $`S`$ is nondegenerated and $`n3`$. More precisely, on such $`S`$,

(1.38)
$$2g(C)2ϵ\mathrm{deg}C$$

for each reduced irreducible curve $`CS`$, where $`ϵ=1/6`$ if $`S^5`$ is of type $`(2,2,3)`$ and $`ϵ=1/4`$ if $`S^6`$ is of type $`(2,2,2,2)`$.

We want to point out that our method of proving algebraic hyperbolicity can be applied to a large class of projective surfaces, not only generic complete intersections. Indeed, our approach is based upon degenerations: as long as the projective surfaces under consideration admit suitable degenerations, our method works. For example, we have the following theorem concerning a certain class of surfaces considered by Chiantini and Lopez in \[C-L\].

###### Theorem 1.21.

Let $`D`$ be a reduced irreducible curve in $`^3`$ and let $`s,d`$ be two integers such that $`ds+4`$ and

1. there exists a surface $`R^3`$ of degree $`s`$ containing $`D`$,
2. the general element of the linear system $`H^0(𝒪_R(d)𝒪_R(D))`$ is smooth and irreducible.

Let $`S^3`$ be a very general surface containing $`D`$. Then

(1.39)
$$2g(C)2ϵ\mathrm{deg}C$$

for all reduced irreducible curve $`CS`$ with

(1.40)
$$ϵ=\mathrm{min}(d5,ds3,\frac{2g(D)2}{\mathrm{deg}D},\frac{2g(E)2}{\mathrm{deg}E})$$

where $`E`$ is a general member of $`H^0(𝒪_R(d)𝒪_R(D))`$, i.e., $`SR=DE`$. Therefore, $`S`$ is algebraically hyperbolic if $`d6`$, $`g(D)2`$ and $`g(E)2`$.

Of course, both $`g(E)=p_a(E)`$ and $`\mathrm{deg}E`$ are determined by the given data $`d,s,D^2`$ and $`\mathrm{deg}D`$.

###### Remark 1.22.

The above theorem should be compared with Theorem 1.3 in \[C-L\], which has the same hypotheses and concludes that

(1.41)
$$2g(C)2(ds5)\mathrm{deg}C$$

for all curves $`CS`$ with $`CD,E`$; therefore, $`S`$ is algebraically hyperbolic if $`ds+6`$, $`g(D)2`$ and $`g(E)2`$. There is a minor mistake in the original statement of this result in \[C-L\], where it was stated that (1.41) holds for all $`CD`$. The following simple example shows that it is necessary to exclude $`E`$ from the consideration in (1.41). Let $`s=1`$, $`d6`$ and $`DR^2`$ be a smooth and irreducible curve of degree $`d1`$. Obviously, $`E`$ is a line in $`R`$ and (1.41) fails if $`C=E`$. So it is necessary to ask $`CE`$ in addition to $`CD`$ in (1.41). However, the original proof in \[C-L\] still goes through after the change of the statement.

In \[C-L\], Chiantini and Lopez also studied the algebraic hyperbolicity of a very general projectively Cohen-Macaulay (PCM) surface in $`^4`$. A PCM surface $`S^4`$ is an irreducible subvariety of $`^4`$ of dimension two whose ideal sheaf $`I_S`$ has the minimal free resolution:

(1.42)
$$0\underset{i=1}{\overset{m}{}}𝒪_^4(d_{2i})\underset{j=1}{\overset{m+1}{}}𝒪_^4(d_{1j})I_S0.$$

We call $`(d_{11},d_{12},\mathrm{},d_{1,m+1},d_{21},d_{22},\mathrm{},d_{2m})`$ the type of $`S`$. Following the convention in \[C-L\], we assume $`d_{11}d_{12}\mathrm{}d_{1,m+1}`$ and $`d_{21}d_{22}\mathrm{}d_{2m}`$ and let $`u_{ij}=d_{2i}d_{1j}`$. It was shown in \[C-L\] that

(1.43)
$$2g(C)2(u_{m,m+1}7)\mathrm{deg}C$$

for all reduced irreducible curves $`CS`$. We will improve (1.43) to the following.

###### Theorem 1.23.

Let $`S`$ be a very general PCM surface in $`^4`$ of type $`(d_{11},d_{12},\mathrm{},d_{1,m+1},d_{21},d_{22},\mathrm{},d_{2m})`$. Suppose that $`u_{m,m+1}5`$. Then

(1.44)
$$2g(C)2(u_{m,m+1}5)\mathrm{deg}C$$

for all reduced irreducible curves $`CS`$ and hence $`S`$ is algebraically hyperbolic if $`u_{m,m+1}6`$.

### 1.4. Some questions

The first question we want to ask is whether a similar statement as (1.3) holds for log varieties.

###### Question 1.24.

Let $`X`$ be a smooth projective variety and let $`D`$ be an effective divisor on $`X`$. Is it true that the hyperbolicity of $`X\backslash D`$ implies the algebraic hyperbolicity of $`(X,D)`$?

We expect a positive answer to the above question although we are unable to produce a proof at present. Let us analyze the proof of (1.3) to see where the difficulty lies. This is taken straight out of \[D, Theorem 2.1\].

Let $`X`$ be a polarized projective variety with the ample line bundle $`L`$, where $`X`$ is hyperbolic with the hyperbolic metric $`ds_X^2`$. Let $`\omega _X`$ be the associated $`(1,1)`$ form of $`ds_X^2`$ and $`\omega `$ be a positive $`(1,1)`$ form representing $`c_1(L)`$. Since $`X`$ is compact, there exists a positive number $`ϵ`$ such that

(1.45)
$$\omega _X(ϵ\pi )\omega .$$

Let $`f:CX`$ be a nonconstant morphism from a nonsingular curve $`C`$ of genus $`g(C)2`$ to $`X`$. Let $`ds_C^2`$ be the hyperbolic metric on $`C`$ with constant Gaussian curvature $`4`$. Then by Gauss-Bonnet,

(1.46)
$$_C(4)\frac{\omega _C}{2}=2\pi c_1(T_C)=2\pi \chi (C)=2\pi (22g(C))$$

where $`\omega _C`$ is the associated $`(1,1)`$ form of $`ds_C^2`$. A basic property of hyperbolic metrics is that they are distant-decreasing under holomorphic maps, which means $`f^{}ds_X^2ds_C^2`$ in our case. This implies that

(1.47)
$$\omega _Cf^{}\omega _X.$$

Combining (1.45)-(1.47), we have

(1.48)
$$\begin{array}{cc}\hfill 2g(C)2& =\frac{1}{\pi }_C\omega _C\hfill \\ & \frac{1}{\pi }_Cf^{}\omega _Xϵ_Cf^{}\omega =ϵ\mathrm{deg}f(C).\hfill \end{array}$$

Obviously, (1.45) is the reason that the same argument cannot be directly carried over to a log variety $`(X,D)`$: we may not have (1.45) for $`X\backslash D`$ since it is not compact.

Our second question is what remains of Question 1.19, especially when $`S`$ is a quintic surface.

###### Question 1.25.

Is a very general quintic surface $`S^3`$ algebraically hyperbolic?

There is a famous conjecture in hyperbolic geometry by M. Green and P. Griffiths, which says the following \[D\].

###### Conjecture 1.26 (Green-Griffiths Conjecture).

Let $`X`$ be a projective variety of general type. Then every holomorphic map $`f`$ from $``$ to $`X`$ is algebraically degenerated, i.e., there exists a proper closed algebraic subvariety $`YX`$ such that

(1.49)
$$\underset{f}{}f()Y$$

where $`f`$ runs over all nonconstant holomorphic maps $`f:X`$.

We call $`f()`$ an entire curve of $`X`$ for a nonconstant holomorphic map $`f:X`$.

If this conjecture holds for surfaces, every entire curve on a surface $`S`$ of general type is contained in a rational or elliptic curve. The well-known theorem of Brody says that a compact manifold is hyperbolic if and only if it does not contain any entire curves \[B\]. Thus if the conjecture of Green-Griffiths holds for surfaces, a projective surface $`S`$ is hyperbolic provided that $`S`$ does not contain any rational or elliptic curves, i.e., $`S`$ is weakly algebraically hyperbolic. Since Xu has proved that a very general quintic surface $`S`$ is weakly algebraically hyperbolic, $`S`$ is hyperbolic if the conjecture of Green-Griffiths holds. Actually, by (1.36), all of the surfaces considered in Question 1.19 are weakly algebraically hyperbolic. Therefore, these surfaces are hyperbolic if the conjecture of Green-Griffiths holds. So it becomes an interesting question to ask whether such surfaces are algebraically hyperbolic, since a negative answer to this question will give counterexamples to the conjecture of Green-Griffiths.

The proof of Theorem 1.20, as we will see, comes down to the algebraic hyperbolicity of a pair $`(S,D)`$, where $`S`$ is a K3 surface of genus $`5`$ and $`D`$ is a curve in the primitive class of $`S`$. Using the same argument for quintic surfaces, we see that the algebraic hyperbolicity of a quintic surface follows from the algebraic hyperbolicity of $`(S,D)`$, where $`S`$ is a quartic K3 and $`D`$ is a curve in the primitive class of $`S`$.

Demailly asked the same question as 1.25 in \[D\].

Finally, we are looking for a generalization of the technique in this paper to high dimensions. Specifically, we ask

###### Question 1.27.

Let $`D`$ be a very general hypersurface of degree $`d2n+1`$ in $`^n`$. Is $`(^n,D)`$ algebraically hyperbolic?

### 1.5. Conventions

1. Throughout the paper, we will work exclusively over $``$.
2. By a variety $`X`$ being very general, we mean that $`X`$ lies on the corresponding parameter space (Hilbert scheme or moduli space) with countably many proper closed subschemes removed. So the notion of being very general relies on the fact that the base field $``$ we work with is uncountable.

## 2. Proof of Theorem 1.8 and 1.10

We start with a deformation lemma.

### 2.1. A deformation lemma

###### Lemma 2.1.

Let $`S`$ be a normal projective surface with canonical singularities and $`B`$ be an effective divisor of normal crossing on $`S`$. Let $`PB`$ be a finite set of points contained in the nonsingular locus of $`B`$. For each integer $`\delta `$, let $`W_\delta `$ be the scheme parameterizing the curves $`CS`$ with $`2g(C)1+i_S(C,B,P)(K_S+B)C=\delta `$. Then

(2.1)
$$dimW_\delta \mathrm{max}(0,\delta ).$$

In particular, $`dimW_\delta 0`$ if $`\delta 0`$, i.e., there are only countably many reduced irreducible curves $`C`$ satisfying

(2.2)
$$2g(C)2+i_S(C,B,P)<(K_S+B)C$$

where $`K_S`$ is the canonical divisor of $`S`$.

On the other hand, if $`W_\delta `$ is nonempty, then $`dimW_\delta \delta g`$, where $`g`$ is the genus of a general member of $`W_\delta `$.

###### Proof.

Let $`CS`$ be a general member of $`W_\delta `$ and let $`\nu :C^\nu CS`$ be the normalization of $`C`$.

Notice that if we blow up $`S`$ along $`P`$ and let $`\stackrel{~}{S}`$ be the resulting surface and $`\stackrel{~}{C}`$ and $`\stackrel{~}{B}`$ be the proper transforms of $`C`$ and $`B`$, respectively, we have $`g(C)=g(\stackrel{~}{C})`$, $`i_S(C,B,P)=i_{\stackrel{~}{S}}(\stackrel{~}{C},\stackrel{~}{B})`$ and $`(K_S+B)C=(K_{\stackrel{~}{S}}+\stackrel{~}{B})\stackrel{~}{C}`$. So we can simply start with $`P=\mathrm{}`$.

Let $`\stackrel{~}{S}S`$ be a desingularization of $`S`$, $`\stackrel{~}{C}`$ be the proper transform of $`C`$ and $`\stackrel{~}{B}`$ be the reduced total transform of $`B`$. Our assumptions on $`(S,B)`$ guarantee that $`(K_S+B)C=(K_{\stackrel{~}{S}}+\stackrel{~}{B})\stackrel{~}{C}`$. Also observe that $`i_S(C,B)=i_{\stackrel{~}{S}}(\stackrel{~}{C},\stackrel{~}{B})`$ and $`\stackrel{~}{B}`$ has normal crossing. So we may assume that $`S`$ is smooth.

Furthermore, if $`C`$ meets $`B`$ at a singular point $`p`$ of $`B`$, there exists a series of blowups of $`S`$ over $`p`$ such that $`\stackrel{~}{C}`$ does not meet $`\stackrel{~}{B}`$ at any singular point over $`p`$ on the resulting surface $`\stackrel{~}{S}`$. Therefore, we may assume that $`C`$ meets $`B`$ only at smooth points of $`B`$.

It suffices to show that the dimension of the deformation space of the map $`\nu :C^\nu S`$ with $`i_S(C,B)`$ fixed is bounded from the above by $`\mathrm{max}(0,\delta )`$. Here by the deformation of the map $`\nu `$, we mean the deformation of the pair $`(\nu ,C^\nu )`$.

Let $`N`$ be the normal bundle of the map $`\nu :C^\nu S`$. Let $`\nu ^{}(B)=m_1p_1+m_2p_2+\mathrm{}+m_ip_i`$ where $`i=i_S(C,B)`$. Fixing $`i_S(C,B)`$ is equivalent to imposing certain tangency conditions at $`p_1,p_2,\mathrm{},p_i`$.

The dimension of the deformation space of such map $`\nu `$ is at most $`h^0(C^\nu ,N/N_{\mathrm{tors}}𝒪(_{k=1}^i(1m_k)p_k))`$ (see e.g. \[H, Chap. 2, Sec. B\]), where $`N_{\mathrm{tors}}`$ is the torsion part of $`N`$. Since

(2.3)
$$\begin{array}{cc}& \mathrm{deg}\left(N/N_{\mathrm{tors}}𝒪\left(\underset{k=1}{\overset{i}{}}(1m_k)p_k\right)\right)\hfill \\ & (K_S+B)C+2g(C)2+i_S(C,B)=\delta 1,\hfill \end{array}$$

$`h^0(C^\nu ,N/N_{\mathrm{tors}}𝒪(_{k=1}^i(1m_k)p_k))\mathrm{max}(0,\delta )`$ and we are done.

If $`W_\delta `$ is nonempty, then $`W_\delta `$ has at least the virtual dimension

(2.4)
$$\begin{array}{cc}& h^0\left(N𝒪\left((1m_k)p_k\right)\right)\hfill \\ & h^1\left(N𝒪\left((1m_k)p_k\right)\right)=\delta g.\hfill \end{array}$$

Now we are ready to prove Theorem 1.8.

###### Proof of Theorem 1.8.

There is nothing to do if $`CF`$ since we have (1.10).

Suppose that $`CF`$ is rigid in $`S`$. Since $`B_i`$ moves in the BPF linear system $`_i`$ for $`i>0`$, by Bézout, we can choose $`B\backslash B_0`$ such that $`C`$ meets $`B\backslash B_0`$ transversely and $`(B\backslash B_0)CF=\mathrm{}`$. Therefore,

(2.5)
$$\begin{array}{cc}\hfill 2g(C)2+i_S(C,B\backslash B_0,P)& 2g(C)2+(BB_0)C\hfill \\ & ϵ\phi (C).\hfill \end{array}$$

Suppose that $`CF`$ is nonrigid. For each $`1in`$, let us fix $`_{ji}B_j`$. By Lemma 2.1, there are only countably many $`C`$ such that the following fails

(2.6)
$$2g(C)2+i_S(C,_{ji}B_j,P)(K_S+BB_i)Cϵ\phi (C).$$

Again, by Bézout, we can choose $`B_i`$ such that $`B_i`$ meets $`C`$ transversely, $`B_iB_jC=\mathrm{}`$ for each $`ji`$ and $`B_iCF=\mathrm{}`$ for all $`C`$ that (2.6) fails. In summary, we have either (2.6) holds for some $`i`$, in which case we are done, or $`B\backslash B_0`$ meets $`C`$ transversely and $`(B\backslash B_0)CF=\mathrm{}`$, in which case we have (2.5). Either way we obtain (1.11). ∎

###### Remark 2.2.

We take advantage of the fact that $`B`$ is reducible in the above proof. By varying some component of $`B`$ while fixing the rest, we are able to produce a family of curves for which Lemma 2.1 applies. Another trick to use Lemma 2.1 is to “vary” $`P`$ if $`C`$ passes through some points of $`P`$ and $`P`$ is chosen “generically” in some sense. Suppose that $`C`$ passes through $`\{p_1,p_2,\mathrm{},p_l\}P`$. Very often in our application, we are allowed to fix part of $`P`$ and let the rest vary, e.g., fix $`P_f=\{p_1,p_2,\mathrm{},p_k\}`$ and let $`P_v=\{p_{k+1},p_{k+2},\mathrm{},p_l\}`$ vary for some $`k<l`$. Then we will correspondingly obtain a one-parameter family of curves $`C`$. Apply the lemma to $`(C,B,P_f)`$ and we have

(2.7)
$$2g(C)2+i_S(C,B,P_f)(K_S+B)C.$$

Notice that

(2.8)
$$i_S(C,B,P)=i_S(C,B,P_f)\underset{pP_v}{}\left(i_{S,p}(C,B)i_{S,p}(C,B,P_v)\right)$$

So we obtain

(2.9)
$$\begin{array}{cc}& 2g(C)2+i_S(C,B,P)\hfill \\ & (K_S+B)C\underset{pP_v}{}\left(i_{S,p}(C,B)i_{S,p}(C,B,P_v)\right)\hfill \\ & (K_S+B)C\underset{j=k+1}{\overset{l}{}}m_j\hfill \end{array}$$

where $`m_j`$ are the multiplicities of $`C`$ at $`p_j`$ for $`j=1,2,\mathrm{},l`$. We will need this trick later in the proof of Theorem 1.20.

The rest of the section is devoted to the proof of Theorem 1.10.

### 2.2. Degeneration of $`D`$

Here we will prove the theorem for $`P=\mathrm{}`$. Since the case $`P\mathrm{}`$ requires very little change in the following proof, it will be left for the readers to verify the theorem when $`P\mathrm{}`$.

As mentioned before, the proof of Theorem 1.10 is carried out via a degeneration of $`D`$ to a union $`B_i`$. However in practice, we will degenerate one component at a time and argue by induction on the number of components of $`D`$. By that we mean, assuming $`1I_1`$, at the first step, we will fix $`D_2,D_3,\mathrm{},D_m`$ and degenerate $`D_1`$ to a union of two curves $`B_1D_1^{}`$ with $`B_1_1`$ and $`D_1^{}`$ a general member of the linear series

(2.10)
$$\left(\underset{iI_1\backslash \{1\}}{}_i\right).$$

We can do this repeatedly. Each time we degenerate one component of $`D`$ and this will increase the number of components of $`D`$ by one until $`D`$ is degenerated to a union $`B_i`$, for which Theorem 1.8 can be applied.

To set this up, let $`X=S\times \mathrm{\Delta }`$ and $`W=_{k=0}^mW^{(k)}X`$ be an effective divisor on $`X`$ with components $`W^{(k)}`$ satisfying

1. $`W_t^{(k)}=D_k`$ for $`k1`$ and all $`t\mathrm{\Delta }`$;
2. $`W^{(1)}`$ is a pencil of curves in the linear series

(2.11)
$$\left(\underset{iI_1}{}_i\right)$$

where the central fiber is $`W_0^{(1)}=B_1D_1^{}`$ while the general fibers $`W_t^{(1)}`$ ($`t0`$) are general members of the linear series.

So the central fiber of $`W`$ is $`W_0=D_0(B_1D_1^{})D_2\mathrm{}D_m`$.

Let $`Y`$ be a flat family of curves over $`\mathrm{\Delta }`$ with the commutative diagram (1.24). We assume that $`Y`$ is irreducible, $`\pi :Y_tX`$ maps $`Y_t`$ birationally onto its image for $`t0`$ and $`\pi (Y)`$ meets $`W`$ properly in $`X`$. Our goal is to prove

(2.12)
$$2g(Y_t)2+i_X(\pi (Y_t),W)ϵ\phi \left(\pi (Y_t)\right)$$

for $`t0`$. The induction hypothesis is

(2.13)
$$2g(C)2+i_S(C,W_0)ϵ\phi (C)$$

for each reduced irreducible curve $`CS`$ with $`CW_0`$.

We may further apply semistable reduction to $`YX`$ to make it into a family of semistable maps with marked points $`Y_t\pi ^1(W)`$ on $`Y_t`$ for $`t0`$. More specifically, we want the following to hold:

1. $`Y`$ is smooth and $`Y_0`$ is nodal;
2. $`Y_t\pi ^1(W)`$ extends to disjoint sections of the fiberation $`Y\mathrm{\Delta }`$, i.e., the flat limit $`lim_{t0}(Y_t\pi ^1(W))`$ consists of $`i_X(\pi (Y_t),W)`$ distinct points lying in the nonsingular locus of $`Y_0`$;
3. $`YX`$ is minimal with respect to these properties.

For each component $`\mathrm{\Gamma }Y_0`$, we define $`\sigma (\mathrm{\Gamma })\mathrm{\Gamma }`$ to be the finite subset of $`\mathrm{\Gamma }`$ consisting of the marked points $`\mathrm{\Gamma }lim_{t0}(Y_t\pi ^1(W))`$ and the intersections between $`\mathrm{\Gamma }`$ and the components of $`Y_0`$ other than $`\mathrm{\Gamma }`$. We make the following observation:

(2.14)
$$2g(Y_t)2+i_X(\pi (Y_t),W)=\underset{\mathrm{\Gamma }Y_0}{}\left(2p_a(\mathrm{\Gamma })2+|\sigma (\mathrm{\Gamma })|\right)$$

where $`\mathrm{\Gamma }`$ runs over all irreducible components of $`Y_0`$ and $`p_a(\mathrm{\Gamma })`$ is the arithmetic genus of $`\mathrm{\Gamma }`$. Basically, each marked point appears exactly once in $`\sigma (\mathrm{\Gamma })`$ and counts one for $`i_X(\pi (Y_t,W)`$; each intersection between two components of $`Y_0`$ appears twice in $`\sigma (\mathrm{\Gamma })`$ and counts two for $`2g(Y_t)2=2p_a(Y_0)2`$. Thus (2.14) follows.

With (2.14) in mind, we see that in order to show (2.12), it suffices to show

(2.15)
$$2p_a(\mathrm{\Gamma })2+|\sigma (\mathrm{\Gamma })|ϵ\phi \left(\pi (\mathrm{\Gamma })\right)$$

for each irreducible component $`\mathrm{\Gamma }Y_0`$. If $`\mathrm{\Gamma }`$ is contractible under $`\pi `$, then

(2.16)
$$2p_a(\mathrm{\Gamma })2+|\sigma (\mathrm{\Gamma })|0$$

since we assume $`Y`$ is minimal under the semistable reduction. And hence (2.15) holds for all contractible components $`\mathrm{\Gamma }`$.

We claim that (2.15) also holds for components $`\mathrm{\Gamma }Y_0`$ with $`\pi (\mathrm{\Gamma })W_0`$. Let $`\mathrm{\Gamma }Y_0`$ be such a component, $`\mathrm{\Sigma }`$ be the reduced image of $`\mathrm{\Gamma }`$ under $`\pi `$ and $`\alpha `$ be the degree of the map $`\pi _\mathrm{\Gamma }:\mathrm{\Gamma }\mathrm{\Sigma }`$, where $`\pi _\mathrm{\Gamma }`$ is the restriction of $`\pi `$ to $`\mathrm{\Gamma }`$.

Our basic observation is

(2.17)
$$\pi _\mathrm{\Gamma }^1\left(\mathrm{\Sigma }W_0\right)\sigma (\mathrm{\Gamma }).$$

Indeed, for each point $`p\mathrm{\Sigma }W_0`$ and $`q\pi _\mathrm{\Gamma }^1(p)`$, either there is an irreducible component $`\mathrm{\Gamma }^{}\mathrm{\Gamma }`$ passing through $`q`$ or $`q`$ is one of the marked points; either way, we have $`q\sigma (\mathrm{\Gamma })`$ and hence (2.17) follows.

Let $`\nu _\gamma :\mathrm{\Gamma }^\nu \mathrm{\Gamma }`$ and $`\nu _\sigma :\mathrm{\Sigma }^\nu \mathrm{\Sigma }`$ be the normalizations of $`\mathrm{\Gamma }`$ and $`\mathrm{\Sigma }`$, respectively. We have the following commutative diagram

(2.18)
$$\begin{array}{ccc}\mathrm{\Gamma }^\nu & \stackrel{\pi _\mathrm{\Gamma }}{}& \mathrm{\Sigma }^\nu \\ \nu _\gamma & & \nu _\sigma \\ \mathrm{\Gamma }& \stackrel{\pi _\mathrm{\Gamma }}{}& \mathrm{\Sigma }\end{array}$$

where we use $`\pi _\mathrm{\Gamma }`$ to denote both the maps $`\mathrm{\Gamma }^\nu \mathrm{\Sigma }^\nu `$ and $`\mathrm{\Gamma }\mathrm{\Sigma }`$; hopefully, this will not cause any confusion.

Then by (2.17) and observing that $`\sigma (\mathrm{\Gamma })`$ is contained in the smooth locus of $`\mathrm{\Gamma }`$, we have

(2.19)
$$(\nu _\sigma \pi _\mathrm{\Gamma })^1(\mathrm{\Sigma }W_0)\nu _\gamma ^1(\sigma (\mathrm{\Gamma })).$$

Note that $`\left|\nu _\sigma ^1(\mathrm{\Sigma }W_0)\right|=i_S(\mathrm{\Sigma },W_0)`$ by the definition of $`i_S(\mathrm{\Sigma },W_0)`$ and $`\left|\nu _\gamma ^1(\sigma (\mathrm{\Gamma }))\right|=|\sigma (\mathrm{\Gamma })|`$. Hence the total ramification index of the map $`\pi _\mathrm{\Gamma }:\mathrm{\Gamma }^\nu \mathrm{\Sigma }^\nu `$ over $`\nu _\sigma ^1(\mathrm{\Sigma }W_0)`$ is at least

(2.20)
$$\alpha \left(i_S(\mathrm{\Sigma },W_0)\right)|\sigma (\mathrm{\Gamma })|.$$

Apply Riemann-Hurwitz to $`\pi _\mathrm{\Gamma }:\mathrm{\Gamma }^\nu \mathrm{\Sigma }^\nu `$ and we have

(2.21)
$$2g(\mathrm{\Gamma })2\alpha (2g(\mathrm{\Sigma })2)+\alpha \left(i_S(\mathrm{\Sigma },W_0)\right)|\sigma (\mathrm{\Gamma })|.$$

And by the induction hypothesis (2.13)

(2.22)
$$2g(\mathrm{\Sigma })2+i_S(\mathrm{\Sigma },W_0)ϵ\phi (\mathrm{\Sigma }).$$

Combine (2.21) and (2.22) and we obtain (2.15) for $`\mathrm{\Gamma }Y_0`$ with $`\pi (\mathrm{\Gamma })W_0`$. The way of applying Riemann-Hurwitz as above is quite typical of our proof and it will appear repeatedly in our argument.

It remains to show that (2.15) holds for all components $`\mathrm{\Gamma }`$ with $`\mathrm{supp}\pi (\mathrm{\Gamma })W_0`$. We will argue case by case in the following order:

1. $`\mathrm{supp}\pi (\mathrm{\Gamma })D_0`$;
2. $`\mathrm{supp}\pi (\mathrm{\Gamma })D_1^{}`$;
3. $`\mathrm{supp}\pi (\mathrm{\Gamma })_{k2}D_k`$;
4. $`\mathrm{supp}\pi (\mathrm{\Gamma })B_1`$.

Let $`\pi _\mathrm{\Gamma }`$ be the restriction of $`\pi `$ to $`\mathrm{\Gamma }`$ and let $`\alpha `$ be the degree of the map $`\pi _\mathrm{\Gamma }`$.

Suppose that $`\mathrm{\Gamma }`$ dominates an irreducible component $`\mathrm{\Sigma }D_0`$. For $`k0`$, $`\mathrm{\Sigma }`$ meets $`W_0^{(k)}`$ properly and hence

(2.23)
$$\mathrm{\Gamma }\pi ^1\left(W^{(k)}\right)\text{ and }\pi _\mathrm{\Gamma }^1\left(\mathrm{\Sigma }W_0^{(k)}\right)\pi ^1\left(W^{(k)}\right).$$

Consequently,

(2.24)
$$\pi _\mathrm{\Gamma }^1\left(\mathrm{\Sigma }W_0^{(k)}\right)\sigma (\mathrm{\Gamma })$$

for $`k0`$. Using Riemann-Hurwitz in the same way as in (2.21), we obtain

(2.25)
$$\begin{array}{cc}\hfill 2g(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|& \alpha \left(2g(\mathrm{\Sigma })2+i_S(\mathrm{\Sigma },W_0\backslash D_0)\right)\hfill \\ & \alpha \left(2g(\mathrm{\Sigma })2+(BB_0)\mathrm{\Sigma }\right)ϵ\alpha \phi (\mathrm{\Sigma }).\hfill \end{array}$$

Therefore, (2.15) holds for all components $`\mathrm{\Gamma }`$ with $`\mathrm{supp}\pi (\mathrm{\Gamma })D_0`$.

Suppose that $`\mathrm{\Gamma }`$ dominates an irreducible component $`\mathrm{\Sigma }D_1^{}`$. For $`k1`$, $`\mathrm{\Sigma }`$ meets $`W_0^{(k)}`$ properly and hence

(2.26)
$$\mathrm{\Gamma }\pi ^1\left(W^{(k)}\right)\text{ and }\pi _\mathrm{\Gamma }^1\left(\mathrm{\Sigma }W_0^{(k)}\right)\pi ^1\left(W^{(k)}\right).$$

Consequently,

(2.27)
$$\pi _\mathrm{\Gamma }^1\left(\mathrm{\Sigma }W_0^{(k)}\right)\sigma (\mathrm{\Gamma })$$

for $`k1`$. Using Riemann-Hurwitz in the same way as in (2.21), we obtain

(2.28)
$$\begin{array}{cc}\hfill 2g(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|& \alpha \left(2g(\mathrm{\Sigma })2+i_S(\mathrm{\Sigma },W_0\backslash (B_1D_1^{}))\right)\hfill \\ & \alpha \left((K_S+D_1^{})\mathrm{\Sigma }+(BB_1D_1^{})\mathrm{\Sigma }\right)\hfill \\ & =\alpha (K_S+BB_1)\mathrm{\Sigma }ϵ\alpha \phi (\mathrm{\Sigma }),\hfill \end{array}$$

where it may need some explanation for

(2.29)
$$2g(\mathrm{\Sigma })2=(K_S+\mathrm{\Sigma })\mathrm{\Sigma }=(K_S+D_1^{})\mathrm{\Sigma }.$$

Since $`D_1^{}`$ is a general member of the BPF linear series (2.10), by Bézout, $`\mathrm{\Sigma }`$ is smooth and $`g(\mathrm{\Sigma })=p_a(\mathrm{\Sigma })`$. If $`D_1^{}`$ is connected, then $`\mathrm{\Sigma }=D_1^{}`$ and (2.29) is obvious; otherwise, if $`D_1^{}`$ has two or more connected components, $`\mathrm{\Sigma }D_1^{}=\mathrm{\Sigma }^2=0`$ and (2.29) follows too.

In summary, (2.15) holds for all components $`\mathrm{\Gamma }`$ with $`\mathrm{supp}\pi (\mathrm{\Gamma })D_1^{}`$.

Suppose that $`\mathrm{\Gamma }`$ dominates an irreducible component $`\mathrm{\Sigma }_{k2}D_k`$. Without the loss of the generality, let us assume that $`\mathrm{\Sigma }D_2`$.

For $`k2`$, $`\mathrm{\Sigma }`$ meets $`W_0^{(k)}`$ properly and hence

(2.30)
$$\mathrm{\Gamma }\pi ^1\left(W^{(k)}\right)\text{ and }\pi _\mathrm{\Gamma }^1\left(\mathrm{\Sigma }W_0^{(k)}\right)\pi ^1\left(W^{(k)}\right).$$

Consequently,

(2.31)
$$\pi _\mathrm{\Gamma }^1\left(\mathrm{\Sigma }W_0^{(k)}\right)\sigma (\mathrm{\Gamma })$$

for $`k2`$. Using Riemann-Hurwitz in the same way as in (2.21), we obtain

(2.32)
$$\begin{array}{cc}\hfill 2g(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|& \alpha \left(2g(\mathrm{\Sigma })2+i_S(\mathrm{\Sigma },W_0\backslash D_2)\right)\hfill \\ & \alpha \left((K_S+D_2)\mathrm{\Sigma }+(BD_2)\mathrm{\Sigma }\right)\hfill \\ & =\alpha (K_S+B)\mathrm{\Sigma }ϵ\alpha \phi (\mathrm{\Sigma }),\hfill \end{array}$$

Therefore, (2.15) holds for all components $`\mathrm{\Gamma }`$ with $`\mathrm{supp}\pi (\mathrm{\Gamma })_{k2}D_k`$.

It remains to verify (2.15) for $`\mathrm{\Gamma }`$ with $`\mathrm{supp}\pi (\mathrm{\Gamma })B_1`$. This turns out to be the hardest case.

### 2.3. Construction of a fan

Suppose that $`\mathrm{\Gamma }`$ dominates an irreducible component $`GB_1`$.

Let $`\stackrel{~}{X}`$ be the blowup of $`X`$ along $`GX_0`$ and let $`R`$ be the exceptional divisor. Obviously, $`\stackrel{~}{X}_0=RS`$, $`RS=G`$ and $`R`$ is the ruled surface over $`G`$ given by $`N_{G/X}`$, where $`N_{G/X}`$ is the normal bundle of $`G`$ in $`X`$. Obviously, $`N_{G/X}`$ fits in the exact sequence:

(2.33)
$$0N_{G/X_0}N_{G/X}N_{X_0/X}|_G0.$$

The above exact sequence actually splits basically due to the fact that $`X`$ is a trivial family over $`\mathrm{\Delta }`$ (see \[C4\]). Hence $`N_{G/X}=N_{X_0/X}|_GN_{G/X_0}=𝒪_G𝒪_G(G)`$.

Such construction has been extensively used by Z. Ran in his works on Severi varieties of plane curves \[R\] and by C. Ciliberto and R. Miranda in their works on Nagata conjecture \[CM1\] and \[CM2\]. In their cases, $`X=^2\times \mathrm{\Delta }`$ and $`GX_0`$ is a line in $`^2`$. So $`\stackrel{~}{X}_0`$ is the union of $`^2`$ and $`R𝔽_1`$ meeting transversely along the line $`G`$. Ran calls such $`\stackrel{~}{X}_0`$ a fan.

Let $`\stackrel{~}{W}\stackrel{~}{X}`$ be the proper transform of $`W`$ under the blowup $`\stackrel{~}{X}X`$ and correspondingly, let $`\stackrel{~}{W}^{(k)}`$ be the proper transform of $`W^{(k)}`$ for $`k=0,1,2,\mathrm{},m`$. Then the central fiber $`\stackrel{~}{W}_0`$ of $`\stackrel{~}{W}`$ consists of $`E(W_0\backslash G)`$, where $`ER`$ is a curve satisfying

(2.34)
$$EG=(W_0\backslash G)G.$$

Moreover, $`f_{}(E)=G`$ by the projection $`f:RG`$; combining this fact and (2.34) determines the numerical class of $`E`$. More precisely, $`E`$ can be described as follows.

For each $`0in`$, we use the notation $`_i^G`$ to denote the restriction of $`_i`$ to $`G`$. Here we let $`_0`$ be the linear system consisting only of $`B_0`$.

We let $`_I=_{iI}_i`$ for each index set $`I\{0,1,2,\mathrm{},n\}`$ and let $`_I^G`$ be the restriction of $`_I`$ to $`G`$.

Every curve $`C`$ on $`R=N_{G/X}`$ naturally corresponds to a global section of $`\mathrm{Sym}^\alpha N_{G/X}^{}L`$ for some integer $`\alpha `$ and line bundle $`L`$ on $`G`$, where $`\alpha `$ is the number such that $`f_{}(C)=\alpha G`$ and we use $`N_{G/X}^{}`$ to denote the dual of $`N_{G/X}`$, i.e., the conormal bundle. Actually, there is a natural identification

(2.35)
$$H^0(𝒪_R(\alpha G)f^{}L)H^0(\mathrm{Sym}^\alpha N_{G/X}^{}L)$$

where $`𝒪_R(G)`$ is the tautological line bundle of $`R`$.

With this identification, $`E`$ corresponds to a global section of

(2.36)
$$N_{G/X}^{}𝒪_G(B)=𝒪_G(BB_1)𝒪_G(B).$$

Indeed, $`E`$ corresponds to a section in the subspace of $`H^0(𝒪_G(BB_1))H^0(𝒪_G(B))`$ given by

(2.37)
$$\left(_{I_1\backslash \{1\}}^G_{I_1}^G\right)B_0^G\underset{k=2}{\overset{m}{}}D_k^G$$

where $`B_0^G_0^G`$ is the restriction of $`B_0`$ to $`G`$ and $`D_k^G_{I_k}^G`$ is the restriction of $`D_k`$ to $`G`$. Geometrically, this implies that $`E=G^{}`$, where $`G^{}`$ is given by a section in

(2.38)
$$_{I_1\backslash \{1\}}^G_{I_1}^G$$

and $``$ is a union of $`(B_{iI_1}B_i)G`$ fibers of $`f:RG`$. It is easy to see that $`G^{}`$ and $``$ satisfy

(2.39)
$$G^{}G=D_1^{}G,$$

(2.40)
$$G=(_{k1}D_k)G,$$

(2.41)
$$G^{}\stackrel{~}{W}_0^{(1)}\text{ and }_{k1}\stackrel{~}{W}_0^{(k)}.$$

Due to our generic choices of $`(B_1,D_1^{},W^{(1)})`$, $`G^{}`$ corresponds to a general section in the space (2.38). In particular, $`G^{}`$ is irreducible and $`f:G^{}G`$ is an isomorphism.

The map $`\pi :YX`$ induces a rational map $`Y\stackrel{~}{X}`$. After resolving the indeterminacy of this map, we have

(2.42)
$$\begin{array}{ccc}\stackrel{~}{Y}& \stackrel{\stackrel{~}{\pi }}{}& \stackrel{~}{X}\\ & & \\ Y& \stackrel{\pi }{}& X.\end{array}$$

We may further apply semistable reduction to $`\stackrel{~}{Y}\stackrel{~}{X}`$ and hence let us assume that $`\stackrel{~}{\pi }:\stackrel{~}{Y}\stackrel{~}{X}`$ is a family of semistable maps with marked points $`\stackrel{~}{Y}_t\stackrel{~}{\pi }^1(\stackrel{~}{W})`$ on $`\stackrel{~}{Y}_t`$ for $`t0`$.

Since $`\mathrm{\Gamma }Y_0`$ is noncontractible under $`\pi `$, there exists a unique component $`\stackrel{~}{\mathrm{\Gamma }}\stackrel{~}{Y}_0`$ that maps birationally onto $`\mathrm{\Gamma }`$. Let $`\sigma (\stackrel{~}{\mathrm{\Gamma }})\stackrel{~}{\mathrm{\Gamma }}`$ be the set of points on $`\stackrel{~}{\mathrm{\Gamma }}`$ over the points in $`\sigma (\mathrm{\Gamma })`$ under the map $`\stackrel{~}{\mathrm{\Gamma }}\mathrm{\Gamma }`$. Since $`\sigma (\mathrm{\Gamma })`$ is contained in the smooth locus of $`\mathrm{\Gamma }`$, $`|\sigma (\stackrel{~}{\mathrm{\Gamma }})|=|\sigma (\mathrm{\Gamma })|`$. And it is obvious that $`p_a(\mathrm{\Gamma })p_a(\stackrel{~}{\mathrm{\Gamma }})`$ so in order to prove (2.15), it is enough to show the following

(2.43)
$$2p_a(\stackrel{~}{\mathrm{\Gamma }})2+\left|\sigma (\stackrel{~}{\mathrm{\Gamma }})\right|ϵ\alpha \phi (G)$$

for each component $`\stackrel{~}{\mathrm{\Gamma }}`$ that dominates $`G`$ via the map $`f\stackrel{~}{\pi }:\stackrel{~}{\mathrm{\Gamma }}G`$ of degree $`\alpha `$.

For such $`\stackrel{~}{\mathrm{\Gamma }}`$, one of the following must be true:

1. $`\mathrm{supp}\stackrel{~}{\pi }(\stackrel{~}{\mathrm{\Gamma }})=G`$;
2. $`\mathrm{supp}\stackrel{~}{\pi }(\stackrel{~}{\mathrm{\Gamma }})=G^{}`$;
3. $`\stackrel{~}{\pi }(\stackrel{~}{\mathrm{\Gamma }})`$ meets $`GE`$ properly.

If $`\stackrel{~}{\mathrm{\Gamma }}`$ dominates $`G`$, we claim that

(2.44)
$$\stackrel{~}{\pi }_\mathrm{\Gamma }^1\left(GE\right)=\stackrel{~}{\pi }_\mathrm{\Gamma }^1\left(G\stackrel{~}{W}_0\right)\sigma (\stackrel{~}{\mathrm{\Gamma }})$$

where $`\stackrel{~}{\pi }_\mathrm{\Gamma }:\stackrel{~}{\mathrm{\Gamma }}G`$ is the restriction of $`\stackrel{~}{\pi }`$ to $`\stackrel{~}{\mathrm{\Gamma }}`$. The argument for (2.44) is more delicate than our previous argument for similar statements due to the way $`\sigma (\stackrel{~}{\mathrm{\Gamma }})`$ is defined. It is easy to see that

(2.45)
$$\stackrel{~}{\pi }_\mathrm{\Gamma }^1(GG^{})\sigma (\stackrel{~}{\mathrm{\Gamma }})$$

using our previous argument. But we need to be a little more careful when we justify

(2.46)
$$\stackrel{~}{\pi }_\mathrm{\Gamma }^1(G)\sigma (\stackrel{~}{\mathrm{\Gamma }}).$$

Let $`p\stackrel{~}{\mathrm{\Gamma }}`$ be a point on $`\stackrel{~}{\mathrm{\Gamma }}`$ such that $`\stackrel{~}{\pi }(p)G`$. Let $`Z`$ be the union of components such that $`\stackrel{~}{\mathrm{\Gamma }}Z`$ is the preimage of $`\mathrm{\Gamma }`$ under the map $`\stackrel{~}{Y}_0Y_0`$. Obviously, $`Z`$ is contractible under $`\stackrel{~}{Y}_0Y_0`$. If there are no components of $`Z`$ passing through $`p`$, then it is obvious that $`p\sigma (\stackrel{~}{\mathrm{\Gamma }})`$; otherwise, let $`Z^{}`$ be the maximal connected component of $`Z`$ that passes through $`p`$. If $`Z^{}`$ is contractible under $`\stackrel{~}{\pi }`$, it is again obvious that $`p\sigma (\stackrel{~}{\mathrm{\Gamma }})`$; otherwise, $`\stackrel{~}{\pi }(Z^{})`$ is supported along $`MR`$ which is a fiber of $`f:RG`$. Obviously, $`M`$ meets $`G^{}`$ at a point. So either there is a point $`qZ^{}`$ such that

(2.47)
$$q\underset{t0}{lim}\left(\stackrel{~}{Y}_t\stackrel{~}{\pi }^1(\stackrel{~}{W}^{(1)})\right)$$

or $`Z^{}`$ intersects a component $`N\stackrel{~}{Y}_0`$ that dominates $`G^{}`$. Either way, we see that $`Z^{}`$ contracts to a point in $`\sigma (\mathrm{\Gamma })`$ under the map $`\stackrel{~}{Y}_0Y_0`$ and hence $`p\sigma (\stackrel{~}{\mathrm{\Gamma }})`$. Thus (2.46) follows.

Applying Riemann-Hurwitz to $`\stackrel{~}{\pi }_\mathrm{\Gamma }:\stackrel{~}{\mathrm{\Gamma }}G`$ in the same way as in (2.21), we obtain (2.43) as follows

(2.48)
$$\begin{array}{cc}& 2g(\stackrel{~}{\mathrm{\Gamma }})2+\left|\sigma (\stackrel{~}{\mathrm{\Gamma }})\right|\hfill \\ & \alpha (2g(G)2+GE)=\alpha \left((K_S+G)G+(BG)G\right)\hfill \\ & =\alpha (K_S+B)Gϵ\alpha \phi (G).\hfill \end{array}$$

Suppose that $`\stackrel{~}{\mathrm{\Gamma }}`$ dominates $`G^{}`$. We claim that

(2.49)
$$\stackrel{~}{\pi }_\mathrm{\Gamma }^1\left(G^{}G\right)\sigma (\stackrel{~}{\mathrm{\Gamma }}).$$

To see this, we need the following local lemma.

###### Lemma 2.3.

Let $`X\mathrm{\Delta }_{x_1x_2\mathrm{}x_r}^r\times \mathrm{\Delta }`$ be the hypersurface given by $`x_1x_2\mathrm{}x_n=t`$ for some $`nr`$, where $`\mathrm{\Delta }_{x_1x_2\mathrm{}x_r}^r`$ is the $`r`$-dimensional polydisk parameterized by $`(x_1,x_2,\mathrm{},x_r)`$ and $`\mathrm{\Delta }`$ is the disk parameterized by $`t`$. Let $`X_0=D=_{k=1}^nD_k`$ with $`D_k=\{x_k=t=0\}`$.

Let $`Y`$ be a flat family of curves over $`\mathrm{\Delta }`$ with the commutative diagram (1.24). Suppose that there exists a curve $`\mathrm{\Gamma }\pi (Y_0)`$ with $`\mathrm{\Gamma }D_i`$ for some $`i`$. Then for each $`D_k`$ there exists a curve $`\mathrm{\Gamma }^{}\pi (Y_0)`$ with $`\mathrm{\Gamma }^{}D_k`$.

Before we prove Lemma 2.3, let us see how to justify (2.49) by the lemma.

At each point $`pGG^{}`$, $`\stackrel{~}{X}`$ is locally given by

(2.50)
$$\mathrm{\Delta }_{x_1x_2x_3}^3\times \mathrm{\Delta }/(x_1x_2=t).$$

Let $`q\stackrel{~}{\pi }_\mathrm{\Gamma }^1(p)`$. Then by the above lemma, there exists a component $`M\stackrel{~}{Y}_0`$ and a union $`Z\stackrel{~}{Y}_0`$ of contractible components such that

1. $`M`$ maps to a curve on $`S`$ passing through $`p`$;
2. $`Z`$ is connected and $`Z`$ contracts to the point $`p`$ by $`\stackrel{~}{\pi }`$;
3. $`Z`$ meets $`\stackrel{~}{\mathrm{\Gamma }}`$ at $`q`$ and $`M`$ at a point $`q^{}`$ that $`\stackrel{~}{\pi }(q^{})=p`$.

Roughly, $`\stackrel{~}{\mathrm{\Gamma }}`$ and $`M`$ are joined by a connected union of contractible components over $`p`$. The same must be true for $`\mathrm{\Gamma }`$ and $`M^{}`$ on $`Y_0`$, where $`M^{}`$ is the image of $`M`$ under the map $`\stackrel{~}{Y}_0Y_0`$. Therefore, $`q\sigma (\stackrel{~}{\mathrm{\Gamma }})`$ and (2.49) follows.

###### Proof of Lemma 2.3.

Without the loss of generality, let us assume that $`Y`$ is smooth and irreducible. Suppose that it fails for $`D_k`$ for some $`k`$. Since $`X`$ is smooth, $`D_k`$ is a Cartier divisor of $`X`$ and hence $`\pi ^{}(D_k)=M`$ is a divisor of $`Y`$ which is supported on a union of contractible components of $`Y_0`$. Then $`M^2=M\pi ^{}(D_k)=0`$, which can happen only when $`\mathrm{supp}M=Y_0`$. But this contradicts with $`\mathrm{\Gamma }D_k`$. ∎

###### Remark 2.4.

Some variations of the above lemma have been extensively used in \[C1\], \[C2\] and \[C4\]. It is also crucial in our proof of Theorem 1.17 in 4.3.

In addition to (2.49), we also have

(2.51)
$$\stackrel{~}{\pi }_\mathrm{\Gamma }^1\left(G^{}\right)=\stackrel{~}{\pi }_\mathrm{\Gamma }^1\left(G^{}(_{k1}\stackrel{~}{W}_0^{(k)})\right)\sigma (\stackrel{~}{\mathrm{\Gamma }}).$$

Combining (2.49) and (2.51) and applying Riemann-Hurwitz as usual, we derive (2.43) as follows

(2.52)
$$\begin{array}{cc}& 2g(\stackrel{~}{\mathrm{\Gamma }})2+\left|\sigma (\stackrel{~}{\mathrm{\Gamma }})\right|\hfill \\ & \alpha (2g(G^{})2+G^{}G+G^{})\hfill \\ & =\alpha \left((K_S+B_1)G+D_1^{}G+(BB_1D_1^{})G\right)\hfill \\ & =\alpha (K_S+B)Gϵ\alpha \phi (G).\hfill \end{array}$$

It remains to prove (2.43) for $`\stackrel{~}{\mathrm{\Gamma }}`$ with $`\mathrm{supp}\stackrel{~}{\pi }(\stackrel{~}{\mathrm{\Gamma }})EG`$. Let $`\stackrel{~}{\mathrm{\Sigma }}`$ be the reduced image of the map $`\stackrel{~}{\pi }:\stackrel{~}{\mathrm{\Gamma }}\stackrel{~}{X}_0`$ and $`\gamma `$ be the degree of the map $`\stackrel{~}{\pi }:\stackrel{~}{\mathrm{\Gamma }}\stackrel{~}{\mathrm{\Sigma }}`$. Then by our “standard” Riemann-Hurwitz argument again,

(2.53)
$$2g(\stackrel{~}{\mathrm{\Gamma }})2+\left|\sigma (\stackrel{~}{\mathrm{\Gamma }})\right|\gamma \left(2g(\stackrel{~}{\mathrm{\Sigma }})2+i_R(\stackrel{~}{\mathrm{\Sigma }},GE)\right).$$

Therefore, (2.43) follows from (2.53) provided that we can prove

(2.54)
$$2g(\stackrel{~}{\mathrm{\Sigma }})2+i_R(\stackrel{~}{\mathrm{\Sigma }},GE)\beta (ϵ\phi (G))$$

where $`\beta =\alpha /\gamma `$ is the degree of the map $`f:\stackrel{~}{\mathrm{\Sigma }}G`$.

In summary, we finally reduce Theorem 1.10 to (2.54), which is a statement concerning the log surface $`(R,GE)`$. We can translate (2.54) into the following proposition.

###### Proposition 2.5.

Let $`G`$ be a smooth projective curve, $`_1,_2,\mathrm{},_l`$ be BPF linear systems on $`G`$ with general members $`B_k_k`$ ($`1kl`$), and $`R`$ be the ruled surface over $`G`$ given by $`(𝒪_G𝒪_G(B_1))`$. We will abuse the notation a little bit by using $`G`$ to denote the section of $`f:RG`$ with $`G^2=\mathrm{deg}B_1`$, i.e., $`𝒪_R(G)`$ gives the tautological bundle of $`(𝒪_G𝒪_G(B_1))`$.

Let $`G^{}R`$ be a general member of the linear series

(2.55)
$$\begin{array}{cc}\hfill \left(\underset{i=2}{\overset{l}{}}_i\underset{k=1}{\overset{l}{}}_k\right)& H^0(𝒪_G(BB_1)𝒪_G(B))\hfill \\ & H^0(𝒪_R(G+f^{}B))\hfill \end{array}$$

where $`B=B_k`$. And let $`=_1_2\mathrm{}_c`$ be a union of $`c`$ distinct fibers of the projection $`f:RG`$.

Then for each reduced irreducible curve $`\mathrm{\Sigma }R`$ that dominates $`G`$ under the projection $`f`$ and meets $`G^{}G`$ properly, we have

(2.56)
$$\begin{array}{cc}& 2g(\mathrm{\Sigma })2+i_R(\mathrm{\Sigma },G^{}G)\hfill \\ & \beta \left(2g(G)2+\mathrm{deg}B\mathrm{deg}B_1\underset{2kl}{\mathrm{max}}\mathrm{deg}B_k+c\right)\hfill \end{array}$$

where $`\beta `$ is the degree of the map $`f:\mathrm{\Sigma }G`$.

Applying the above proposition to $`(R,GE)=(R,G^{}G)`$ yields

(2.57)
$$\begin{array}{cc}& 2g(\stackrel{~}{\mathrm{\Sigma }})2+i_R(\stackrel{~}{\mathrm{\Sigma }},GE)\hfill \\ & \beta \left(2g(G)2+(BB_1)G\underset{iI_1\backslash \{1\}}{\mathrm{max}}B_iG\right)\hfill \\ & =\beta \left((K_S+B_1)G+(BB_1)G\underset{iI_1\backslash \{1\}}{\mathrm{max}}B_iG\right)\hfill \\ & =\beta \underset{iI_1\backslash \{1\}}{\mathrm{min}}\left(K_S+BB_i\right)G.\hfill \end{array}$$

And hence (2.54) follows. So it remains to prove Proposition 2.5.

### 2.4. Proof of Proposition 2.5

###### Proof of Proposition 2.5.

We argue by induction on $`l`$.

When $`l=1`$, we apply Riemann-Hurwitz directly to the projection $`f:\mathrm{\Sigma }G`$ by observing that

(2.58)
$$f^1(G)\mathrm{\Sigma }.$$

This yields

(2.59)
$$2g(\mathrm{\Sigma })2+i_R(\mathrm{\Sigma },)\beta (2g(G)2+c)$$

and hence (2.56) follows.

For $`l>1`$, we will use degeneration to bring down $`l`$. Since $`G^{}`$ is chosen to be generic in the linear series given in (2.55), it can be degenerated to a union $`G^{\prime \prime }^{}`$. Here $`^{}=_{c+1}_{c+2}\mathrm{}_{c+b_l}`$ is the union of $`b_l=\mathrm{deg}B_l`$ fibers of $`RG`$ over the vanishing locus of $`B_l_l`$ and $`G^{\prime \prime }`$ is a general member of the linear series

(2.60)
$$\begin{array}{cc}\hfill \left(\underset{i=2}{\overset{l1}{}}_i\underset{k=1}{\overset{l1}{}}_k\right)& H^0(𝒪_G(B^{}B_1)𝒪_G(B^{}))\hfill \\ & H^0(𝒪_R(G+f^{}B^{}))\hfill \end{array}$$

where $`B^{}=BB_l`$. Our induction hypothesis is

(2.61)
$$\begin{array}{cc}& 2g(\mathrm{\Sigma })2+i_R(\mathrm{\Sigma },G^{\prime \prime }(^{})G)\hfill \\ & \beta (2g(G)2+\mathrm{deg}B^{}\mathrm{deg}B_1\hfill \\ & \underset{2kl1}{\mathrm{max}}\mathrm{deg}B_k+c+\mathrm{deg}B_l)\hfill \\ & =\beta \left(2g(G)2+\mathrm{deg}B\mathrm{deg}B_1\underset{2kl1}{\mathrm{max}}\mathrm{deg}B_k+c\right)\hfill \end{array}$$

if $`\mathrm{\Sigma }`$ meets $`G^{\prime \prime }(^{})G`$ properly.

Let $`X=R\times \mathrm{\Delta }`$ and $`W=W^{(1)}+W^{(2)}+W^{(3)}`$ be an effective divisor on $`X`$ with components $`W^{(k)}`$ ($`1k3`$) satisfying

1. $`W_0^{(1)}=G^{\prime \prime }^{}`$;
2. $`W_t^{(1)}`$ is a general member of the linear series (2.55) for $`t0`$;
3. $`W_t^{(2)}=`$ and $`W_t^{(3)}=G`$ for all $`t\mathrm{\Delta }`$.

So $`W_0=G^{\prime \prime }^{}G`$.

Let $`Y`$ be a flat family of curves over $`\mathrm{\Delta }`$ with the commutative diagram (1.24). We assume that $`Y`$ is smooth and irreducible, the map $`\pi :Y_tX`$ is birational onto its image for $`t0`$ and $`\pi (Y)`$ meets $`W`$ properly in $`X`$. Our goal is to prove

(2.62)
$$\begin{array}{cc}& 2g(Y_t)2+i_X(\pi (Y_t),W)\hfill \\ & \beta \left(2g(G)2+\mathrm{deg}B\mathrm{deg}B_1\underset{2kl}{\mathrm{max}}\mathrm{deg}B_k+c\right)\hfill \end{array}$$

for $`t0`$, where $`\beta `$ is the degree of the map $`f\pi :Y_tG`$.

As before, we may assume that $`YX`$ is a family of semistable maps with marked points $`Y_t\pi ^1(W)`$ on $`Y_t`$ ($`t0`$) and let $`\sigma (\mathrm{\Gamma })\mathrm{\Gamma }`$ be defined similarly for each component $`\mathrm{\Gamma }Y_0`$. Since we still have (2.14), the proof of (2.62), like that of (2.12), again comes down to the estimation of $`2p_a(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|`$ for each irreducible component $`\mathrm{\Gamma }Y_0`$.

Let $`\gamma `$ be the degree of the map $`f\pi :\mathrm{\Gamma }G`$.

If $`\mathrm{supp}\pi (\mathrm{\Gamma })=G`$, then

(2.63)
$$\pi _\mathrm{\Gamma }^1\left(G\left(G^{\prime \prime }^{}\right)\right)=\pi _\mathrm{\Gamma }^1\left(G\left(W_0^{(1)}W_0^{(2)}\right)\right)\sigma (\mathrm{\Gamma })$$

where $`\pi _\mathrm{\Gamma }`$ is the restriction of $`\pi `$ to $`\mathrm{\Gamma }`$. Our standard Riemann-Hurwitz argument shows

(2.64)
$$2g(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|\gamma \left(2g(G)2+\mathrm{deg}B\mathrm{deg}B_1+c\right).$$

If $`\mathrm{supp}\pi (\mathrm{\Gamma })=G^{\prime \prime }`$, then

(2.65)
$$\pi _\mathrm{\Gamma }^1\left(G^{\prime \prime }\left(G\right)\right)=\pi _\mathrm{\Gamma }^1\left(G^{\prime \prime }\left(W_0^{(2)}W_0^{(3)}\right)\right)\sigma (\mathrm{\Gamma })$$

and by Riemann-Hurwitz, we have

(2.66)
$$\begin{array}{cc}\hfill 2g(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|\gamma (& 2g(G)2\hfill \\ & +\mathrm{deg}B\mathrm{deg}B_1\mathrm{deg}B_l+c).\hfill \end{array}$$

If $`\pi (\mathrm{\Gamma })`$ meets $`W_0`$ properly and dominates $`G`$ via $`f`$, then by the induction hypothesis (2.61) and Riemann-Hurwitz,

(2.67)
$$\begin{array}{cc}& 2g(\mathrm{\Gamma })2+|\sigma (\mathrm{\Gamma })|\hfill \\ & \gamma \left(2g(G)2+\mathrm{deg}B\mathrm{deg}B_1\underset{2kl1}{\mathrm{max}}\mathrm{deg}B_k+c\right).\hfill \end{array}$$

In summary, the combination of (2.64), (2.66) and (2.67) produces

(2.68)
$$\begin{array}{cc}\hfill 2g(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|\gamma (& 2g(G)2+\mathrm{deg}B\mathrm{deg}B_1\hfill \\ & \underset{2kl}{\mathrm{max}}\mathrm{deg}B_k+c)\hfill \end{array}$$

for each component $`\mathrm{\Gamma }Y_0`$ that dominates $`G`$ via the map $`f\pi `$ of degree $`\gamma `$. Therefore,

(2.69)
$$\begin{array}{cc}\hfill \underset{G(f\pi )(\mathrm{\Gamma })}{}\left(2g(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|\right)& \beta (2g(G)2+\mathrm{deg}B\hfill \\ & \mathrm{deg}B_1\underset{2kl}{\mathrm{max}}\mathrm{deg}B_k+c)\hfill \end{array}$$

where we sum over all irreducible components $`\mathrm{\Gamma }`$ that dominate $`G`$ via the map $`f\pi `$. So it remains to show

(2.70)
$$\underset{G(f\pi )(\mathrm{\Gamma })}{}\left(2p_a(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|\right)0$$

where $`\mathrm{\Gamma }`$ runs over all irreducible components of $`Y_0`$ that are contractible under the map $`f\pi `$, i.e., $`\pi (\mathrm{\Gamma })`$ is supported on a fiber of $`f:RG`$.

The combination of (2.69) and (2.70) will produce

(2.71)
$$\begin{array}{cc}\hfill \underset{\mathrm{\Gamma }Y_0}{}\left(2p_a(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|\right)& \beta (2g(G)2+\mathrm{deg}B\hfill \\ & \mathrm{deg}B_1\underset{2kl}{\mathrm{max}}\mathrm{deg}B_k+c)\hfill \end{array}$$

and this implies (2.62) thanks to (2.14).

Let $`Z`$ be a maximal connected component of

(2.72)
$$\underset{G(f\pi )(\mathrm{\Gamma })}{}\mathrm{\Gamma }Y_0.$$

In order to prove (2.70), it suffices to prove

(2.73)
$$\underset{\mathrm{\Gamma }Z}{}\left(2p_a(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|\right)0$$

for all such $`Z`$.

We extend the notation $`\sigma ()`$ to $`Z`$, for which $`\sigma (Z)`$ is the finite subset of $`Z`$ consisting of the marked points $`Zlim_{t0}\left(Y_t\pi ^1(W)\right)`$ and the intersections between $`Z`$ and the rest of the components of $`Y_0`$. Then we have

(2.74)
$$2p_a(Z)2+\left|\sigma (Z)\right|=\underset{\mathrm{\Gamma }Z}{}\left(2p_a(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|\right).$$

Obviously, $`p_a(Z)0`$ since $`Z`$ is connected and $`\sigma (Z)`$ consists of at least one point unless $`Z=Y_0`$, which is impossible since we assume that $`Y_0`$ dominates $`G`$ under the map $`f\pi `$. So

(2.75)
$$\underset{\mathrm{\Gamma }Z}{}\left(2p_a(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|\right)=2p_a(Z)2+\left|\sigma (Z)\right|1.$$

Suppose that the equality in (2.75) holds. Then we must have $`p_a(Z)=0`$ and $`\left|\sigma (Z)\right|=1`$. This means that every irreducible component of $`Z`$ is smooth and rational, the dual graph of $`Z`$ is a tree, $`Z`$ meets the rest of $`Y_0`$ at exactly one point and there are no marked points on $`Z`$. In addition, $`Z`$ cannot be contracted to a point by $`\pi `$ due to our minimality assumption on $`\pi :YX`$ and hence $`\pi (Z)`$ is supported along a fiber of the projection $`f:RG`$.

For each component $`W^{(k)}W`$ ($`1k3`$), we write

(2.76)
$$\pi ^{}\left(W^{(k)}\right)=L_k+M_k+N_k$$

where $`L_k`$ consists of the sections of $`Y\mathrm{\Delta }`$, $`M_k`$ is supported along $`Z`$ and $`N_k`$ is supported along the rest of $`Y_0`$. Since there are no marked points on $`Z`$, $`L_kZ=0`$ and $`L_kM_k=0`$ for $`k=1,2,3`$.

Let $`\mathrm{\Gamma }`$ be the only irreducible component of $`Y_0`$ that intersects $`Z`$. If $`\pi (\mathrm{\Gamma })`$ is supported on $`G`$, we have $`\mathrm{\Gamma }N_1`$ and set $`k=1`$; otherwise, if $`\pi (\mathrm{\Gamma })`$ is not supported on $`G`$, we have $`\mathrm{\Gamma }N_3`$ and set $`k=3`$. In any event, we have $`N_kZ=0`$, $`N_kM_k=0`$ and $`M_k^2=M_k(L_k+M_k+N_k)0`$. This is possible only if $`M_k=\mathrm{}`$. But then we have $`Z(L_k+M_k+N_k)=0`$, which contradicts the fact that $`\pi (Z)`$ is supported along a fiber of $`f:RG`$ and hence $`Z\pi ^{}\left(W^{(k)}\right)=\pi (Z)W^{(k)}>0`$.

Hence we must have $`2p_a(Z)2+\left|\sigma (Z)\right|0`$ and (2.73) follows. This finishes the proof of the proposition. ∎

## 3. Algebraic Hyperbolicity of Log Surfaces

In this section, we will show some applications of Theorem 1.10 by proving Corollary 1.11-1.13 and Theorem 1.14.

### 3.1. Proof of Corollary 1.11-1.13

###### Proof of Corollary 1.11.

The first inequality (1.16) follows immediately from Theorem 1.10 and the second (1.17) follows from (1.16) and Mori’s cone theorem, as mentioned before. It remains to verify the last statement, which requires us to show that $`K_S+2B`$ is NEF if $`(K_S+2B)B0`$.

By Mori’s cone theorem, it suffices to show that $`(K_S+2B)G0`$ for all rational curves $`GS`$ with $`3K_SG<0`$. Note that if such $`G`$ exists, $`S`$ is rational and covered by the curves in the numerical class of $`G`$. So it is enough to show that $`K_S+2B`$ is effective. To see this, let $`f:\stackrel{~}{S}S`$ be a minimal desingularization of $`S`$. Then $`K_{\stackrel{~}{S}}=f^{}K_S`$ since $`S`$ is canonical. So $`K_S+2B`$ is effective if and only if $`K_{\stackrel{~}{S}}+2\stackrel{~}{B}`$ is, where $`\stackrel{~}{B}=f^{}B`$. So it comes down to a Riemann-Roch computation on $`\stackrel{~}{S}`$:

(3.1)
$$h^0(𝒪_{\stackrel{~}{S}}(K_{\stackrel{~}{S}}+2\stackrel{~}{B}))(K_{\stackrel{~}{S}}+2\stackrel{~}{B})\stackrel{~}{B}+1=(K_S+2B)B+11$$

and we are done. ∎

Both Corollary 1.12 and 1.13 are direct consequences of Theorem 1.10.

###### Proof of Corollary 1.12.

Every BPF divisor on $`𝔽_n`$ lies in the cone of numerically effective divisors (NEF cone) generated by $`F`$ and $`M+nF`$ (BPF is equivalent to NEF on $`𝔽_n`$). Hence each $`D_k`$ is linearly equivalent to a sum of divisors $`F`$ and $`M+nF`$. Applying Theorem 1.10, we may take $`\phi (C)=\mathrm{deg}C`$, each $`B_i`$ to be either $`F`$ or $`M+nF`$ and $`ϵ`$ to be the smallest of the following numbers:

(3.2)
$$\begin{array}{cc}\hfill \underset{C}{\mathrm{min}}\frac{DC2}{\mathrm{deg}C}& =\mathrm{min}(a2,ban2)\hfill \\ \hfill \underset{C}{\mathrm{min}}\frac{(K_{𝔽_n}+DF)C}{\mathrm{deg}C}& =\mathrm{min}(a2,ban+n3)\hfill \\ \hfill \underset{C}{\mathrm{min}}\frac{(K_{𝔽_n}+DMnF)C}{\mathrm{deg}C}& =\mathrm{min}(a3,ban+n2)\hfill \end{array}$$

where $`C`$ runs over all effective divisors of $`𝔽_n`$; it is enough to check (3.2) with $`C\{M,F\}`$ since the cone of effective divisors of $`𝔽_n`$ is generated by $`M`$ and $`F`$. And (1.19) follows immediately. ∎

###### Proof of Corollary 1.13.

Again BPF is equivalent to NEF on $`\stackrel{~}{}^2`$. The NEF cone of $`\stackrel{~}{}^2`$ is generated by divisors $`M`$ with the property that $`MR_i=0`$ or $`1`$ for each $`R_i`$. Applying Theorem 1.10, we may take $`\phi (C)=\mathrm{deg}C`$ and $`ϵ`$ to be the smaller of the following two numbers:

(3.3)
$$\underset{C}{\mathrm{min}}\frac{DC2}{\mathrm{deg}C}\text{ and }\underset{C,M}{\mathrm{min}}\frac{(K_{\stackrel{~}{}^2}+DM)C}{\mathrm{deg}C}$$

where $`M`$ runs over all divisors satisfying $`MR_i=0`$ or $`1`$ for each $`R_i`$ and $`C`$ runs over all effective divisors on $`\stackrel{~}{}^2`$. It is enough to check (3.3) with $`C\{R_1,R_2,\mathrm{},R_n\}`$ since the cone of effective divisors on $`\stackrel{~}{}^2`$ is generated by $`R_1,R_2,\mathrm{},R_n`$ and then it is obvious that $`ϵ=\mathrm{min}DR_i2`$. ∎

### 3.2. Complements of curves on K3 surfaces

Next, we will prove Theorem 1.14.

We have to degenerate $`S`$ and $`D`$ simultaneously as mentioned at the beginning. Let us consider K3 surfaces with Picard lattice

(3.4)
$$\left(\begin{array}{cc}0& 2\\ 2& 0\end{array}\right)$$

or

(3.5)
$$\left(\begin{array}{cc}0& 2\\ 2& 2\end{array}\right).$$

Such K3 surfaces can be realized as double covers of a rational surface $`R`$ ramified along a curve in $`H^0(𝒪_R(2K_R))`$, where $`R=𝔽_0=^1\times ^1`$ for K3 surfaces with Picard lattice (3.4) and $`R=𝔽_1`$ for K3 surfaces with Picard lattice (3.5). Let $`M`$ and $`F`$ be the generators of the Picard group of such a K3 surface, where $`MF=2`$, $`F^2=0`$ and $`M^2=0`$ or $`2`$.

Let $`X`$ be a family of surfaces over the disk $`\mathrm{\Delta }`$ parameterized by $`t`$, where $`X_t`$ is a general K3 surface of genus $`g`$ for $`t0`$ and the central fiber $`X_0`$ is a K3 surface with Picard lattice (3.4) or (3.5). The limit of the primitive divisors of $`X_t`$ is $`M+g/2F`$ on $`X_0`$ and the Picard lattice of $`X_0`$ is (3.4) if $`g`$ is odd and (3.5) if $`g`$ is even.

Let $`W`$ be a divisor on $`X`$ such that $`W_t`$ is a curve in the primitive class of $`X_t`$ for $`t0`$ and $`W_0=G`$ is a general member in the linear series $`H^0(𝒪_{X_0}(M+g/2F))`$.

Let $`Y`$ be a flat family of curves over $`\mathrm{\Delta }`$ with the commutative diagram (1.24). As before, we assume that $`Y`$ is smooth and irreducible, the map $`Y_tX`$ is generically 1-1 onto its image for $`t0`$, $`\pi (Y)`$ meets $`W`$ properly in $`X`$ and $`YX`$ is a family of semistable maps with marked points $`Y_t\pi ^1(W)`$ on $`Y_t`$ ($`t0`$). Our goal is to prove that

(3.6)
$$\begin{array}{cc}\hfill 2g(\pi (Y_t))2+i_X(\pi (Y_t),W)& \frac{(g3)/2}{g1}(W\pi (Y_0))\hfill \\ & =(g3)/2(F\pi (Y_0))\hfill \end{array}$$

for $`t0`$, where the intersection $`F\pi (Y_0)`$ is taken on the surface $`X_0`$.

Let $`\sigma (\mathrm{\Gamma })\mathrm{\Gamma }`$ be defined as in the proof of Theorem 1.10 for each component $`\mathrm{\Gamma }Y_0`$ and we have

(3.7)
$$2g(\pi (Y_t))2+i_X(\pi (Y_t),W)=\underset{\mathrm{\Gamma }Y_0}{}\left(2p_a(\mathrm{\Gamma })2+|\sigma (\mathrm{\Gamma })|\right).$$

Therefore, we can reduce (3.6) to showing that

(3.8)
$$2p_a(\mathrm{\Gamma })2+|\sigma (\mathrm{\Gamma })|(g3)/2(F\pi (\mathrm{\Gamma }))$$

for each component $`\mathrm{\Gamma }Y_0`$.

The inequality (3.8) obviously holds for $`\mathrm{\Gamma }`$ contractible under $`\pi `$. So we assume that $`\mathrm{\Gamma }Y_0`$ is noncontractible.

If $`\mathrm{\Gamma }`$ dominates $`W_0=G`$, then

(3.9)
$$2g(\mathrm{\Gamma })2\gamma (2g(G)2)=(g1)(F\pi (\mathrm{\Gamma }))$$

by Riemann-Hurwitz, where $`\gamma `$ is the degree of the map $`\mathrm{\Gamma }G`$. And hence (3.8) holds for $`\mathrm{\Gamma }`$ dominating $`G`$.

Suppose that $`\mathrm{\Gamma }`$ is a component of $`Y_0`$ such that $`\pi (\mathrm{\Gamma })`$ meets $`G`$ properly. It is not hard to see that

(3.10)
$$\pi _\mathrm{\Gamma }^1\left(CG\right)\sigma (\mathrm{\Gamma })$$

where $`C=\left(\pi (\mathrm{\Gamma })\right)_{\mathrm{red}}`$ is the reduced image of $`\mathrm{\Gamma }`$ under $`\pi `$ and $`\pi _\mathrm{\Gamma }:\mathrm{\Gamma }C`$ is the restriction of $`\pi `$ to $`\mathrm{\Gamma }`$. By Riemann-Hurwitz, we have

(3.11)
$$2g(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|\gamma \left(2g(C)2+i_{X_0}(C,G)\right)$$

where $`\gamma `$ is the degree of the map $`\mathrm{\Gamma }C`$. Hence in order to show (3.8), it is enough to show

(3.12)
$$2g(C)2+i_{X_0}(C,G)(g3)/2(FC)$$

for each reduced irreducible curve $`CX_0`$ with $`CG`$. This naturally leads us to apply Theorem 1.10 to $`(X_0,G)`$ with the following argument.

We take $`\phi (C)=FC`$ in Theorem 1.10.

If $`g`$ is odd, we break up $`G`$ into a union of one curve in $`H^0(𝒪(M))`$ and $`g/2`$ curves in $`H^0(𝒪(F))`$, i.e., we take $`B_i=M`$ or $`F`$ in Theorem 1.10. It is easy to check that

(3.13)
$$(K_{X_0}+GM)C=g/2(FC),$$

(3.14)
$$(K_{X_0}+GF)C\left(g/21\right)(FC)$$

and

(3.15)
$$GC2\left(g/21\right)(FC)$$

for all curves $`CX_0`$. And hence (3.12) follows.

If $`g`$ is even, we break up $`G`$ into a union of exactly one curve in $`H^0(𝒪(M+F))`$ and $`g/21`$ curves in $`H^0(𝒪(F))`$, i.e., we take $`B_i=M+F`$ or $`F`$ in Theorem 1.10. It is easy to check that

(3.16)
$$(K_{X_0}+GMF)C=(g/21)(FC),$$

(3.17)
$$(K_{X_0}+GF)C\left(g/22\right)(FC)$$

and

(3.18)
$$GC2\left(g/22\right)(FC)$$

for all curves $`CX_0`$. And hence (3.12) follows. This finishes the proof of (3.8) and consequently the proof of Theorem 1.14 for $`P=\mathrm{}`$. Little in the above proof needs to be changed for the case $`P\mathrm{}`$. We will leave that to the readers.

## 4. Algebraic Hyperbolicity of Projective Surfaces

### 4.1. Proof of Theorem 1.18

First, we will show how to derive Theorem 1.18 from Theorem 1.8 and 1.17, while the proof of the latter will be postponed to 4.3.

Obviously, what we are supposed to do is to degenerate each $`V_j`$ to a union of $`_{i=1}^ma_{ij}`$ hypersurfaces consisting of $`a_{ij}`$ hypersurfaces in $`_i`$ for $`i=1,2,\mathrm{},m`$.

Let $`Z^{(j)}W\times \mathrm{\Delta }`$ be a pencil of hypersurfaces in $`W`$ whose general fiber $`Z_t^{(j)}`$ are general members of the linear system (1.26) and whose central fiber $`Z_0^{(j)}`$ is the union of $`_{i=1}^ma_{ij}`$ hypersurfaces consisting of $`a_{1j}`$ hypersurfaces in $`_1`$, $`a_{2j}`$ hypersurfaces in $`_2`$, …, $`a_{mj}`$ hypersurfaces in $`_m`$. Let $`X=_{j=1}^nZ^{(j)}W\times \mathrm{\Delta }`$. Obviously, $`X_0`$ is of normal crossing and $`X`$ has only rational double points at $`Q=X_{sing}`$ for a general choice of $`Z^{(j)}`$. Also since $`W`$ is smooth in codimension 2, $`X_0`$ can be chosen away from $`W_{sing}`$. So we may simply assume $`W`$ to be smooth.

Let $`Y`$ be a flat family of curves over $`\mathrm{\Delta }`$ with the commutative diagram (1.24). We want to show that (1.29) holds for $`C=\pi (Y_t)`$ (assuming that $`\pi :Y_tX`$ is birational onto its image for $`t0`$). Then by Theorem 1.17, it is enough to show

(4.1)
$$2g_Q^{vir}(\pi (Y_0))2ϵ\phi (\pi (Y_0)).$$

Let $`\mathrm{\Gamma }`$ be an irreducible component of $`\pi (Y_0)`$. Our goal is to show

(4.2)
$$\varphi _Q(\mathrm{\Gamma })ϵ\phi (\mathrm{\Gamma })$$

which should imply (4.1) immediately by the definition of virtual genus, where $`\varphi _Q(\mathrm{\Gamma })`$ is the notation used in Definition 1.16.

Let us first check the case $`\mathrm{\Gamma }D`$ for some component $`DX_0`$. In this case, $`\mathrm{\Gamma }=U_1U_2\mathrm{}U_nU_{n+1}`$, where each $`U_j`$ is a member of $`_i`$ for some $`1im`$, $`U_jZ_0^{(j)}`$ for $`jn`$ and $`U_{n+1}Z_0^{(l)}`$ for some $`l`$. Then

(4.3)
$$\begin{array}{cc}\hfill \varphi _Q(\mathrm{\Gamma })& =2g(\mathrm{\Gamma })2+\left(\underset{j=1}{\overset{n}{}}Z_0^{(j)}\underset{k=1}{\overset{n+1}{}}U_k\right)\mathrm{\Gamma }\hfill \\ & =\left(K_W+\underset{k=1}{\overset{n+1}{}}U_k\right)\mathrm{\Gamma }+\left(\underset{j=1}{\overset{n}{}}Z_0^{(j)}\underset{k=1}{\overset{n+1}{}}U_k\right)\mathrm{\Gamma }\hfill \\ & =\left(K_W+\underset{i,j}{}a_{ij}B_i\right)\mathrm{\Gamma }ϵ\phi (\mathrm{\Gamma }).\hfill \end{array}$$

Note that by Bézout, $`\mathrm{\Gamma }=U_1U_2\mathrm{}U_nU_{n+1}`$ is smooth. However, $`\mathrm{\Gamma }`$ could very well be disconnected. But the monodromy action on the connected components of $`\mathrm{\Gamma }`$ as $`U_j`$ varies is transitive. In particular, this means that the components of $`\mathrm{\Gamma }`$ are deformationally equivalent to each other. Therefore, (4.3) holds for each irreducible component of $`\mathrm{\Gamma }`$, which is what we really need.

Now let us deal with the case $`\mathrm{\Gamma }D`$ for some component $`DX_0`$ and $`\mathrm{\Gamma }D`$. Let $`D=U_1U_2\mathrm{}U_n`$, where each $`U_j`$ is a member of $`_i`$ for some $`1im`$ and $`U_jZ_0^{(j)}`$. As expected, we want to apply Theorem 1.8 to $`(D,D,QD)`$. There are a few things to verify. First, we need to check

(4.4)
$$(K_D+DG)\mathrm{\Gamma }ϵ\phi (\mathrm{\Gamma })$$

where $`G=DUD`$ is cut out by $`UZ_0^{(j)}`$ and $`U_i`$ for some $`i`$ and $`j`$. Observe that $`K_D+D=K_W+_{i,j}a_{ij}B_i`$ and (4.4) follows immediately from (1.27). Second, we need to check

(4.5)
$$2g(\mathrm{\Gamma })2+D\mathrm{\Gamma }ϵ\phi (\mathrm{\Gamma }).$$

This follows from (1.28) since $`D\mathrm{\Gamma }=\left(_{i,j}a_{ij}B_i_{k=1}^nU_k\right)\mathrm{\Gamma }`$. Finally, let $`QDFD`$ for some curve $`FD`$ and we need to show

(4.6)
$$2g(\mathrm{\Gamma })2+i_D(\mathrm{\Gamma },D,QD)ϵ\phi (\mathrm{\Gamma })$$

for each irreducible component $`\mathrm{\Gamma }F`$. Actually, $`Q`$ and $`F`$ can be described as follows: $`F=F_1F_2\mathrm{}F_n`$ and

(4.7)
$$QD=\underset{j=1}{\overset{n}{}}\left(F_j(Z_0^{(j)}\backslash U_j)\right)$$

where $`F_j`$ is cut out on $`D`$ by a general member $`Z_t^{(j)}`$ of the pencil $`Z^{(j)}`$, i.e., it is cut out by a general member in the linear series (1.26). We have

(4.8)
$$\begin{array}{cc}& 2g(F_j)2+i_D(F_j,D,QD)\hfill \\ & =(K_D+Z_t^{(j)})F_j+(DZ_0^{(j)}+U_j)F_j\hfill \\ & =\left(K_W+\underset{i,j}{}a_{ij}B_i+U_j\right)F_jϵ\phi (F_j).\hfill \end{array}$$

Again, $`F_j`$ may very well be disconnected but the monodromy action on its connected components is transitive. Therefore, (4.6) holds for every irreducible component $`\mathrm{\Gamma }F_j`$ by (4.8).

Combining (4.4)-(4.6) and applying Theorem 1.8 to $`(D,D,QD)`$, we conclude

(4.9)
$$\varphi _Q(\mathrm{\Gamma })=2g(\mathrm{\Gamma })2+i_D(\mathrm{\Gamma },D,QD)ϵ\phi (\mathrm{\Gamma }).$$

This finishes the proof of (4.2) and hence Theorem 1.18.

### 4.2. Proof of Theorem 1.20

Next, we will show how to derive Theorem 1.20 from Theorem 1.14 and 1.17.

Suppose that $`S`$ is a complete intersection of type $`(2,2,3)`$ in $`^5`$. We can split $`S`$ into a union of a complete intersection of type $`(2,2,1)`$ and a complete intersection of type $`(2,2,2)`$.

Let $`X^5\times \mathrm{\Delta }`$ be a family of complete intersections of type $`(2,2,3)`$ with central fiber $`X_0=RW`$, where $`R`$ and $`W`$ are complete intersections of type $`(2,2,1)`$ and $`(2,2,2)`$, respectively. That is, $`R`$ is a Del Pezzo surface of degree $`4`$, i.e., the blowup of $`^2`$ at five points in general position and $`W`$ is a K3 surface of genus $`5`$. Let $`E=RW`$ and $`X_{sing}=Q=\{q_1,q_2,\mathrm{},q_{24}\}E`$ be the set of rational double points of $`X`$. Obviously, $`E`$ is in the primitive class of $`W`$ and $`EH^0\left(𝒪_R(2K_R)\right)`$ on $`R`$; $`Q`$ is cut out on $`E`$ by a curve in $`H^0\left(𝒪_W(3E)\right)`$ on $`W`$ and by a curve in $`H^0\left(𝒪_R(3K_R)\right)`$ on $`R`$.

Let $`Y`$ be a flat family of curves with the commutative diagram (1.24). Our goal is to prove that

(4.10)
$$2g(Y_t)2\frac{1}{6}\mathrm{deg}\pi (Y_t)$$

for $`t0`$. Again by Theorem 1.17, it suffices to show that

(4.11)
$$2g_Q^{vir}(\pi (Y_0))2\frac{1}{6}\mathrm{deg}\pi (Y_0).$$

Let $`\pi (Y_0)=\mathrm{\Sigma }_R\mathrm{\Sigma }_WmE`$, where $`\mathrm{\Sigma }_RR`$, $`\mathrm{\Sigma }_WW`$, $`E\mathrm{\Sigma }_R,\mathrm{\Sigma }_W`$ and $`m=\mu (E)`$ is the multiplicity of $`E`$ in $`\pi (Y_0)`$. By Theorem 1.14, $`(W,E,Q)`$ is algebraically hyperbolic and

(4.12)
$$2g(\mathrm{\Gamma })2+i_W(\mathrm{\Gamma },E,Q)\frac{1}{4}\mathrm{deg}\mathrm{\Gamma }$$

for each irreducible component $`\mathrm{\Gamma }\mathrm{\Sigma }_W`$. We are done if $`(R,E,Q)`$ is algebraically hyperbolic too. However, it is not since obviously every $`1`$ rational curve on $`R`$ meets $`E`$ at two points. On the other hand, we do have

(4.13)
$$2g(\mathrm{\Gamma })2+i_R(\mathrm{\Gamma },E,Q)0$$

for each irreducible component $`\mathrm{\Gamma }\mathrm{\Sigma }_R`$ by Corollary 1.13. Note that

(4.14)
$$\begin{array}{cc}\hfill 2g_Q^{vir}(\pi (Y_0))& 2=\underset{\mathrm{\Gamma }\mathrm{\Sigma }_R}{}\mu (\mathrm{\Gamma })\left(2g(\mathrm{\Gamma })2+i_R(\mathrm{\Gamma },E,Q)\right)\hfill \\ & +\underset{\mathrm{\Gamma }\mathrm{\Sigma }_W}{}\mu (\mathrm{\Gamma })\left(2g(\mathrm{\Gamma })2+i_W(\mathrm{\Gamma },E,Q)\right)+m\mathrm{deg}E\hfill \end{array}$$

where $`\mu (\mathrm{\Gamma })`$ is the multiplicity of a component $`\mathrm{\Gamma }`$ in $`\pi (Y_0)`$. Hence (4.11) will hold unless $`\mathrm{deg}\mathrm{\Sigma }_R`$ is large compared with $`\mathrm{deg}\mathrm{\Sigma }_W`$ and $`m`$. To make this precise, let $`\mathrm{deg}\mathrm{\Sigma }_R=r`$, $`\mathrm{deg}\mathrm{\Sigma }_W=w`$ and

(4.15)
$$\beta =\frac{r}{12}\frac{w}{24}\frac{m}{3}.$$

A standard analysis of limit linear series on $`X_0`$ shows that if $`\beta >0`$, $`\mathrm{\Sigma }_R`$ has a singularity of multiplicity at least $`\beta `$ at each $`q_iQ`$.

Since $`Q`$ is cut out on $`E`$ by a general curve in the linear system $`H^0(𝒪_R(3K_R))`$, $`_{i=1}^{24}q_i`$ moves in a complete linear series of degree $`24`$ on $`E`$. And since $`g(E)=5`$, there exists a pencil in the linear series $`H^0\left(𝒪_E\left(_{i=1}^{24}q_i\right)\right)`$ with $`18`$ base points, which means that we may fix $`16`$ points among $`Q`$ and let the rest vary. This is where we may apply the argument in Remark 2.2. Suppose that $`\mathrm{\Gamma }\mathrm{\Sigma }_R`$ is a component of $`\mathrm{\Sigma }_R`$ passing through $`l`$ points among $`Q`$, say that $`\mathrm{\Gamma }`$ passes through $`q_1,q_2,\mathrm{},q_lQ`$. Let $`m_1,m_2,\mathrm{},m_l`$ be the multiplicities of $`\mathrm{\Gamma }`$ at $`q_1,q_2,\mathrm{},q_l`$. Without the loss of generality, we assume that $`m_1m_2\mathrm{}m_l`$. If $`l>18`$, we fix $`\{q_1,q_2,\mathrm{},q_{18}\}`$ and vary $`\{q_{19},q_{20},\mathrm{},q_l\}`$ and then the argument in Remark 2.2 yields

(4.16)
$$\begin{array}{cc}\hfill 2g(\mathrm{\Gamma })2+i_R(\mathrm{\Gamma },E,Q)& K_R\mathrm{\Gamma }\underset{i=19}{\overset{l}{}}m_i\hfill \\ & K_R\mathrm{\Gamma }\frac{l18}{l}E\mathrm{\Gamma }\hfill \\ & =\frac{36l}{l}\mathrm{deg}\mathrm{\Gamma }\frac{1}{2}\mathrm{deg}\mathrm{\Gamma }\hfill \end{array}$$

where we observe

(4.17)
$$\underset{i=19}{\overset{l}{}}m_i\frac{l18}{l}E\mathrm{\Gamma }$$

since $`_{i=1}^lm_iE\mathrm{\Gamma }`$ and $`m_1m_2\mathrm{}m_l`$. If $`1l18`$, we fix $`\{q_1,q_2,\mathrm{},q_{l1}\}`$ and vary $`q_l`$ and then the same argument in Remark 2.2 yields

(4.18)
$$\begin{array}{cc}\hfill 2g(\mathrm{\Gamma })2+i_R(\mathrm{\Gamma },E,Q)& K_R\mathrm{\Gamma }m_l\hfill \\ & K_R\mathrm{\Gamma }+\frac{1}{2}K_R\mathrm{\Gamma }=\frac{1}{2}\mathrm{deg}\mathrm{\Gamma }\hfill \end{array}$$

where we observe that $`K_R\mathrm{\Gamma }2m_l`$ since the Seshadri constant of $`K_R`$ on $`R`$ is $`2`$. Combining (4.16) and (4.18), we see that

(4.19)
$$2g(\mathrm{\Gamma })2+i_R(\mathrm{\Gamma },E,Q)\frac{1}{2}\mathrm{deg}\mathrm{\Gamma }$$

if $`\mathrm{\Gamma }\mathrm{\Sigma }_R`$ passes through at least one point of $`Q`$.

Let $`Z\mathrm{\Sigma }_R`$ be the union of the components that pass through at least one point of $`Q`$ and let $`\mathrm{deg}Z=z`$. Obviously,

(4.20)
$$rz12\beta r\frac{w}{2}4m.$$

Combining (4.12), (4.13), (4.14) and (4.19), we have

(4.21)
$$2g_Q^{vir}(\pi (Y_0))2\frac{w}{4}+\frac{z}{2}+8m.$$

Obviously,

(4.22)
$$\mathrm{deg}\pi (Y_0)=r+w+8m.$$

It remains to minimize the RHS of (4.21) under the constraints (4.20), (4.22) and $`r,w,z,m0`$ (with $`\mathrm{deg}\pi (Y_0)`$ fixed) and (4.11) follows. This finishes the proof of Theorem 1.20 in the case that $`S^5`$ is a complete intersection of type $`(2,2,3)`$.

For a complete intersection $`S^6`$ of type $`(2,2,2,2)`$, we can degenerate it to a union of two surfaces both of type $`(2,2,2,1)`$. Let $`X^6\times \mathrm{\Delta }`$ be the corresponding family of surfaces and $`X_0=W_1W_2`$, where $`W_k^6`$ is a complete intersection of type $`(2,2,2,1)`$ for $`k=1,2`$. Let $`E=W_1W_2`$ and $`X_{sing}=Q`$. Obviously, $`W_k`$ is a K3 surface of genus $`5`$, $`EW_k`$ is a curve in the primitive class of $`W_k`$ and $`Q`$ is cut out on $`E`$ by a curve in $`H^0\left(𝒪_{W_k}(2E)\right)`$ for $`k=1,2`$.

Let $`Y`$ be a flat family of curves with the commutative diagram (1.24). Again it suffices to show

(4.23)
$$2g_Q^{vir}(\pi (Y_0))2\frac{1}{4}\mathrm{deg}\pi (Y_0).$$

By Theorem 1.14, $`(W_k,E,Q)`$ is algebraically hyperbolic and

(4.24)
$$2g(\mathrm{\Gamma })2+i_{W_k}(\mathrm{\Gamma },E,Q)\frac{1}{4}\mathrm{deg}\mathrm{\Gamma }$$

for each component $`\mathrm{\Gamma }`$ of $`\pi (Y_0)`$ with $`\mathrm{\Gamma }W_k`$ and $`\mathrm{\Gamma }E`$. And it is obvious that

(4.25)
$$2g(\mathrm{\Gamma })2\mathrm{deg}\mathrm{\Gamma }$$

for each component $`\mathrm{\Gamma }\pi (Y_0)`$ with $`\mathrm{\Gamma }=E`$. Then (4.23) follows immediately from (4.24) and (4.25).

### 4.3. Proof of Theorem 1.17

Lemma 2.3 deals with the local behavior of $`X`$ and $`Y`$ at a point $`pD_j`$ where $`X`$ is smooth at $`p`$. The following lemma will tell us something about $`X`$ and $`Y`$ at a point $`qQ`$ where $`X`$ is singular.

###### Lemma 4.1.

Let $`X\mathrm{\Delta }_{x_1x_2\mathrm{}x_r}^r\times \mathrm{\Delta }`$ be the hypersurface given by $`x_1x_2\mathrm{}x_n=tf(t,x_1,x_2,\mathrm{},x_r)`$, where $`n<r`$, $`f(0,0,0,\mathrm{},0)=0`$ and $`f(t,x_1,x_2,\mathrm{},x_r)0`$ along $`x_1=x_2=\mathrm{}=x_n=t=0`$. Let $`X_0=D=_{k=1}^nD_k`$ where $`D_k=\{x_k=t=0\}`$. And let $`Q`$ be the singular locus of $`X`$, i.e., $`Q`$ is cut out on $`X`$ by $`f(t,x_1,x_2,\mathrm{},x_r)=0`$.

Let $`Y`$ be a flat family of curves over $`\mathrm{\Delta }`$ with the commutative diagram (1.24). Suppose that there exists $`J\{1,2,\mathrm{},n\}`$ and a reduced irreducible curve $`\mathrm{\Gamma }\pi (Y_0)`$ such that $`\mathrm{\Gamma }D_J`$, $`\mathrm{\Gamma }D_J`$ and $`i_{D_J}(\mathrm{\Gamma },D_J,QD_J)>0`$. Then there exists a curve $`\mathrm{\Gamma }^{}\pi (Y_0)`$ such that $`\mathrm{\Gamma }^{}_{kJ}D_k`$.

###### Proof.

Let $`\stackrel{~}{X}`$ be the blowup of $`X`$ along $`_{jJ}D_j`$. The map $`f:\stackrel{~}{X}X`$ is a small morphism ($`f_{}𝒪_{\stackrel{~}{X}}=𝒪_X`$) and it is an isomorphism away from

(4.26)
$$Q\left(\underset{jJ}{}D_j\right)\left(\underset{kJ}{}D_k\right).$$

The central fiber of $`\stackrel{~}{X}`$ looks like

(4.27)
$$\stackrel{~}{X}_0=\left(\underset{jJ}{}\stackrel{~}{D}_j\right)\left(\underset{kJ}{}D_k\right)$$

where $`f(\stackrel{~}{D}_j)=D_j`$ for $`jJ`$. Let $`\stackrel{~}{D}_J=_{jJ}\stackrel{~}{D}_j`$. It is not hard to see that $`f:\stackrel{~}{D}_JD_J`$ is the blowup of $`D_J`$ along $`QD_J`$. We let

(4.28)
$$\stackrel{~}{D}_J=\stackrel{~}{D}_J\left(\underset{kJ}{}D_k\right).$$

Obviously, $`\stackrel{~}{D}_J`$ is the proper transform of $`D_J`$ under the blowup $`f:\stackrel{~}{D}_JD_J`$.

The rational map $`Y\stackrel{~}{X}`$ can resolved into a regular map $`\stackrel{~}{\pi }:\stackrel{~}{Y}\stackrel{~}{X}`$ and we have the commutative diagram (2.42). Let $`\stackrel{~}{\mathrm{\Gamma }}`$ be the proper transform of $`\mathrm{\Gamma }`$ under the blowup $`f:\stackrel{~}{D}_JD_J`$. Obviously, $`\stackrel{~}{\mathrm{\Gamma }}\stackrel{~}{\pi }(\stackrel{~}{Y_0})`$. Since $`i_{D_J}(\mathrm{\Gamma },D_J,QD_J)>0`$, $`\stackrel{~}{\mathrm{\Gamma }}`$ passes through the close point $`q`$ of $`\stackrel{~}{D}_J`$. Apply Lemma 2.3 to $`(\stackrel{~}{X},\stackrel{~}{Y},\stackrel{~}{\mathrm{\Gamma }})`$ locally at $`q`$ and we are done. ∎

Now let us go back to the proof of Theorem 1.17.

We may assume that $`Y`$ is smooth and irreducible and $`YX`$ is a family of semistable maps. For each component $`\mathrm{\Gamma }Y_0`$, we define $`\sigma (\mathrm{\Gamma })\mathrm{\Gamma }`$ to be the finite subset of $`\mathrm{\Gamma }`$ consisting of the intersections between $`\mathrm{\Gamma }`$ and the components of $`Y_0`$ other than $`\mathrm{\Gamma }`$. Then

(4.29)
$$2g(Y_t)2+i_X(\pi (Y_t))=\underset{\mathrm{\Gamma }Y_0}{}\left(2p_a(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|\right).$$

Let $`\mathrm{\Gamma }Y_0`$ be an irreducible component of $`Y_0`$ and let $`C=\left(\pi (\mathrm{\Gamma })\right)_{\mathrm{red}}`$ be the reduced image of the map $`\mathrm{\Gamma }X_0`$. Our goal is to prove

(4.30)
$$2p_a(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|\gamma \varphi _Q(C)$$

for each $`\mathrm{\Gamma }`$, where $`\gamma `$ is the degree of the map $`\pi :\mathrm{\Gamma }C`$. Here we take $`\varphi _Q(C)=0`$ if $`\mathrm{\Gamma }`$ is contractible under $`\pi `$. And (1.25) should follow easily from (4.29) and (4.30). Since (4.30) is trivial for $`\mathrm{\Gamma }`$ contractible, let us assume that $`\mathrm{\Gamma }`$ is noncontractible.

Let $`J\{1,2,\mathrm{},n\}`$ be the index set such that $`CD_j`$ for $`jJ`$ and $`CD_j`$ for $`jJ`$. Let $`\stackrel{~}{D}_J`$ be the blowup of $`D`$ along $`QD_J`$ and $`\stackrel{~}{D}_J`$ be the proper transform of $`D_J`$ under the blowup.

Let $`\nu _\gamma :\mathrm{\Gamma }^\nu \mathrm{\Gamma }`$ and $`\nu _c:C^\nu C`$ be the normalizations of $`\mathrm{\Gamma }`$ and $`C`$, respectively. We have the following commutative diagram

(4.31)
$$\begin{array}{ccc}\mathrm{\Gamma }^\nu & \stackrel{\pi _\mathrm{\Gamma }}{}& C^\nu \\ \nu _\gamma & & \nu _c\\ \mathrm{\Gamma }& \stackrel{\pi _\mathrm{\Gamma }}{}& C\end{array}$$

where we use $`\pi _\mathrm{\Gamma }`$ to denote both the maps $`\mathrm{\Gamma }^\nu C^\nu `$ and $`\mathrm{\Gamma }C`$. Let $`\sigma (\mathrm{\Gamma }^\nu )=\nu _\gamma ^1(\sigma (\mathrm{\Gamma }))`$ and $`\sigma (C^\nu )=f^1(\stackrel{~}{D}_J)`$, where $`f:C^\nu \stackrel{~}{D}_J`$ is the map induced by the embedding $`CD_J`$. Obviously, $`|\sigma (C^\nu )|=i_{D_J}(C,D_J,QD_J)`$ by definition.

For each point $`p\sigma (C^\nu )`$ with $`\nu _c(p)Q`$,

(4.32)
$$\pi _\mathrm{\Gamma }^1(p)\sigma (\mathrm{\Gamma }^\nu )$$

by Lemma 2.3. And for each point $`q\sigma (C^\nu )`$ with $`\nu _c(q)Q`$,

(4.33)
$$\pi _\mathrm{\Gamma }^1(q)\sigma (\mathrm{\Gamma }^\nu )$$

by Lemma 4.1. Therefore, by Riemann-Hurwitz, we have

(4.34)
$$\begin{array}{cc}\hfill 2p_a(\mathrm{\Gamma })2+\left|\sigma (\mathrm{\Gamma })\right|& 2g(\mathrm{\Gamma }^\nu )2+\left|\sigma (\mathrm{\Gamma }^\nu )\right|\hfill \\ & \gamma \left(2g(C^\nu )2+\left|\sigma (C^\nu )\right|\right)\hfill \\ & =\gamma \left(2g(C)2+i_{D_J}(C,D_J,QD_J)\right)\hfill \\ & =\gamma \varphi _Q(C).\hfill \end{array}$$

This finishes the proof of (4.30) and hence Theorem 1.17.

### 4.4. Proof of Theorem 1.21

Let $`X^3\times \mathrm{\Delta }`$ be a family of surfaces containing $`D`$ where $`X_0=RH_1H_2\mathrm{}H_{ds}`$ with $`ds`$ planes $`H_1,H_2,\mathrm{},H_{ds}`$ in general position and $`X`$ has only rational double points at $`Q=X_{sing}`$.

Let $`Y`$ be a family of curves with the commutative diagram (1.24). We want to prove (1.39) holds for $`C=Y_t`$. By Theorem 1.17, it suffices to prove

(4.35)
$$2g_Q^{vir}(\pi (Y_0))2ϵ\mathrm{deg}\pi (Y_0)$$

with $`ϵ`$ defined as in (1.40). Let $`\mathrm{\Gamma }`$ be an irreducible component of $`\pi (Y_0)`$.

Let $`B_i=RH_i`$ for $`i=1,2,\mathrm{},ds`$ and $`L_{ij}=H_iH_j`$ for $`1ijds`$.

If $`\mathrm{\Gamma }=B_i`$ for some $`i`$, then

(4.36)
$$\varphi _Q(\mathrm{\Gamma })=2g(B_i)2+\underset{ji}{}H_jB_i=(d4)\mathrm{deg}\mathrm{\Gamma }$$

where $`\varphi _Q(\mathrm{\Gamma })`$ is defined in (1.22).

If $`\mathrm{\Gamma }=L_{ij}`$ for some $`ij`$, then

(4.37)
$$\varphi _Q(\mathrm{\Gamma })=2g(L_{ij})2+RL_{ij}+\underset{ki,j}{}H_kL_{ij}=(d4)\mathrm{deg}\mathrm{\Gamma }.$$

Suppose that $`\mathrm{\Gamma }R`$ and $`\mathrm{\Gamma }H_1H_2\mathrm{}H_{ds}`$. First, let us assume that $`R`$ is smooth.

Note that $`Q=(DE)(B_1B_2\mathrm{}B_{ds})`$. Then by Theorem 1.8,

(4.38)
$$\begin{array}{cc}\hfill \varphi _Q(\mathrm{\Gamma })& =2g(\mathrm{\Gamma })2+i_R(\mathrm{\Gamma },B_1B_2\mathrm{}B_{ds},Q)\hfill \\ & \mathrm{min}(d5,ds2,\frac{2g(D)2}{\mathrm{deg}D},\frac{2g(E)2}{\mathrm{deg}E})\mathrm{deg}\mathrm{\Gamma }.\hfill \end{array}$$

Suppose that $`R`$ is not smooth. Obviously, $`s2`$.

Since $`E`$ is smooth and irreducible, $`R`$ is irreducible and smooth in codimension $`1`$ and hence $`B_i`$ ($`1ids`$) are irreducible and smooth.

Let $`\nu :\stackrel{~}{R}R^3`$ be a minimal desingularization of $`R`$, $`\stackrel{~}{B}_i=\nu ^1B_i`$ for $`1ids`$, $`\stackrel{~}{Q}=\nu ^1(Q)`$ and $`\stackrel{~}{D},\stackrel{~}{E},\stackrel{~}{\mathrm{\Gamma }}`$ be the proper transforms of $`D,E,\mathrm{\Gamma }`$, respectively. Instead of applying Theorem 1.8 to $`(R,B_i,Q)`$, we need to apply it to $`(\stackrel{~}{R},\stackrel{~}{B}_i,\stackrel{~}{Q})`$. It turns out that we only have to show

(4.39)
$$\left(K_{\stackrel{~}{R}}+(ds1)\stackrel{~}{B}\right)\stackrel{~}{\mathrm{\Gamma }}\mathrm{min}(d5,ds3)\mathrm{deg}\mathrm{\Gamma }$$

where $`\stackrel{~}{B}`$ is a divisor representing the divisor class of $`\stackrel{~}{B}_i`$, i.e., $`\stackrel{~}{B}=\nu ^{}(H)`$ with $`H`$ the hyperplane divisor of $`^3`$. Actually, we claim that $`K_{\stackrel{~}{R}}+2\stackrel{~}{B}`$ is NEF and it follows that $`(K_{\stackrel{~}{R}}+(ds1)\stackrel{~}{B})\stackrel{~}{\mathrm{\Gamma }}(ds3)\mathrm{deg}\mathrm{\Gamma }`$ and (4.39). So it suffices to justify the NEFness of $`K_{\stackrel{~}{R}}+2\stackrel{~}{B}`$.

By Mori’s cone theorem, we just have to verify $`(K_{\stackrel{~}{R}}+2\stackrel{~}{B})G0`$ for all smooth rational curves $`G`$ such that $`3K_{\stackrel{~}{R}}G<0`$.

If $`K_{\stackrel{~}{R}}G=1`$, $`G`$ is represented by a $`1`$ rational curve. Due to our assumption on $`\stackrel{~}{R}`$, $`\stackrel{~}{B}G>0`$ and hence $`(K_{\stackrel{~}{R}}+2\stackrel{~}{B})G0`$.

If $`K_{\stackrel{~}{R}}G=2`$, there is a one-parameter family of curves in the numerical class of $`G`$ and hence $`G`$ is not contracted by $`\nu :\stackrel{~}{R}^3`$. Therefore, $`\stackrel{~}{B}G>0`$ and hence $`(K_{\stackrel{~}{R}}+2\stackrel{~}{B})G0`$.

If $`K_{\stackrel{~}{R}}G=3`$, there is a two-parameter family of curves in the numerical class of $`G`$ and $`\stackrel{~}{R}`$ is rational. So it is enough to show that $`K_{\stackrel{~}{R}}+2\stackrel{~}{B}`$ is effective. Then the argument in the proof of Corollary 1.11 applies since $`(K_{\stackrel{~}{R}}+2\stackrel{~}{B})\stackrel{~}{B}=s20`$. Therefore, $`K_{\stackrel{~}{R}}+2\stackrel{~}{B}`$ is effective and $`(K_{\stackrel{~}{R}}+2\stackrel{~}{B})G0`$. Consequently, $`K_{\stackrel{~}{R}}+2\stackrel{~}{B}`$ is NEF.

In summary, we have

(4.40)
$$\begin{array}{cc}\hfill \varphi _Q(\mathrm{\Gamma })& =2g(\mathrm{\Gamma })2+i_R(\mathrm{\Gamma },B_1B_2\mathrm{}B_{ds},Q)\hfill \\ & \mathrm{min}(d5,ds3,\frac{2g(D)2}{\mathrm{deg}D},\frac{2g(E)2}{\mathrm{deg}E})\mathrm{deg}\mathrm{\Gamma }\hfill \end{array}$$

for each $`\mathrm{\Gamma }R`$ and $`\mathrm{\Gamma }H_1H_2\mathrm{}H_{ds}`$.

Suppose that $`\mathrm{\Gamma }H_i`$ for some $`i`$, say $`\mathrm{\Gamma }H_1`$ and $`\mathrm{\Gamma }RH_2H_3\mathrm{}H_{ds}`$. We need to be a little more careful here when we apply Theorem 1.8 to $`(H_1,B_1L_{12}L_{13}\mathrm{}L_{1,ds},Q)`$. Note that $`B_1`$ is not a general curve of degree $`s`$ on $`H_1^2`$ since we cannot fix $`H_1`$ and vary $`R`$. Hence we should regard $`B_1`$ as a fixed curve on $`H_1`$ while $`L_{12},L_{13},\mathrm{},L_{1,ds}`$ are $`ds1`$ lines in general position on $`H_1`$.

Note that $`Q`$ is cut out on $`B_1L_{12}L_{13}\mathrm{}L_{1,ds}`$ by a smooth curve $`FH_1`$ of degree $`d`$. When applying Theorem 1.8, we need to verify the following:

(4.41)
$$(K_{H_1}+B_1+L_{12}+L_{13}+\mathrm{}+L_{1,ds1})C=(d5)\mathrm{deg}C$$

(4.42)
$$\begin{array}{cc}\hfill (L_{12}+L_{13}+\mathrm{}+L_{1,ds})C2& =(ds1)\mathrm{deg}C2\hfill \\ & (ds3)\mathrm{deg}C\hfill \end{array}$$

and

(4.43)
$$2g(F)2=d(d3)=(d3)\mathrm{deg}F.$$

Therefore by Theorem 1.8, we have

(4.44)
$$\begin{array}{cc}\hfill \varphi _Q(\mathrm{\Gamma })& =2g(\mathrm{\Gamma })2+i_{H_1}(\mathrm{\Gamma },B_1L_{12}L_{13}\mathrm{}L_{1,ds},Q)\hfill \\ & \mathrm{min}(ds3,d5)\mathrm{deg}\mathrm{\Gamma }\hfill \end{array}$$

for each $`\mathrm{\Gamma }H_1`$ and $`\mathrm{\Gamma }RH_2\mathrm{}H_{ds}`$.

Combining (4.36), (4.37), (4.40) and (4.44), we obtain (4.35) and this finishes the proof of Theorem 1.21.

### 4.5. Proof of Theorem 1.23

Under the order we choose for $`d_{1j}`$ and $`d_{2i}`$, we have

(4.45)
$$u_{i+1,j}u_{ij}u_{i,j+1}$$

and by the definition of $`u_{ij}`$,

(4.46)
$$u_{ij}+u_{kl}=u_{il}+u_{kj}.$$

There is an implicit relation among $`d_{1j}`$ and $`d_{2i}`$:

(4.47)
$$\underset{j=1}{\overset{m+1}{}}d_{1j}=\underset{i=1}{\overset{m}{}}d_{2i}.$$

Therefore,

(4.48)
$$d_{1j}=\underset{kj}{}u_{kk}+u_{j,m+1}$$

for $`j=1,2,\mathrm{},m+1`$ (let $`u_{m+1,m+1}=0`$) and

(4.49)
$$d_{2i}=\underset{k}{}u_{kk}+u_{i,m+1}$$

for $`i=1,2,\mathrm{},m`$.

More explicitly, $`S`$ can be described as the following. It is the locus given by

(4.50)
$$\mathrm{rank}\left(\begin{array}{ccccc}A_{11}& A_{12}& \mathrm{}& A_{1m}& A_{1,m+1}\\ A_{21}& A_{22}& \mathrm{}& A_{2m}& A_{2,m+1}\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ A_{m1}& A_{m2}& \mathrm{}& A_{mm}& A_{m,m+1}\end{array}\right)<m$$

where $`A_{ij}H^0(𝒪_^4(u_{ij}))`$ is a homogeneous polynomial of degree $`u_{ij}`$ ($`A_{ij}=0`$ if $`u_{ij}<0`$). And the homogeneous coordinate ring $`H^0(I_S(n))`$ of $`S`$ is generated by $`F_1,F_2,\mathrm{},F_{m+1}`$, where $`F_j`$ is the minor of the matrix $`(A_{ij})`$ obtained by removing its $`j`$-th column. Obviously, $`\mathrm{deg}F_j=d_{1j}`$. Since we assume that (1.42) is a minimal free resolution and $`S`$ is irreducible,

(4.51)
$$u_{ii}>0\text{ and }u_{i+1,i}0.$$

Let $`u=u_{m,m+1}`$ and choose $`u`$ linear forms $`L_1,L_2,\mathrm{},L_uH^0(𝒪_^4(1))`$. Let $`X^4\times \mathrm{\Delta }`$ be a family of PCM surfaces given by

(4.52)
$$\mathrm{rank}\left(\begin{array}{ccccc}A_{11}& A_{12}& \mathrm{}& A_{1m}& L_1L_2\mathrm{}L_uG_1+tA_{1,m+1}\\ A_{21}& A_{22}& \mathrm{}& A_{2m}& L_1L_2\mathrm{}L_uG_2+tA_{2,m+1}\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ A_{m1}& A_{m2}& \mathrm{}& A_{mm}& L_1L_2\mathrm{}L_uG_m+tA_{m,m+1}\end{array}\right)<m$$

where $`G_i`$ is a homogeneous polynomial of degree $`u_{i,m+1}u`$ for $`i=1,2,\mathrm{},m`$. The central fiber of $`X`$ consists of $`X_0=RH_1H_2\mathrm{}H_u`$, where $`R`$ is a PCM surface of type $`(d_{11}u,d_{12}u,\mathrm{},d_{1m}u,d_{1,m+1},d_{21}u,d_{22}u,\mathrm{},d_{2m}u)`$ given by

(4.53)
$$\mathrm{rank}\left(\begin{array}{ccccc}A_{11}& A_{12}& \mathrm{}& A_{1m}& G_1\\ A_{21}& A_{22}& \mathrm{}& A_{2m}& G_2\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ A_{m1}& A_{m2}& \mathrm{}& A_{mm}& G_m\end{array}\right)<m$$

and $`H_k`$ is a surface given by $`F_{m+1}=L_k=0`$ for $`k=1,2,\mathrm{},u`$. It is not hard to see that $`X_0`$ is of normal crossing and $`X`$ has only rational double points at $`Q=X_{sing}`$. Note that it is possible that $`R=\mathrm{}`$.

Let $`Y`$ be a family of curves with the commutative diagram (1.24). We want to prove (1.44) holds for $`C=Y_t`$. By Theorem 1.17, it suffices to prove

(4.54)
$$2g_Q^{vir}(\pi (Y_0))2(u5)\mathrm{deg}\pi (Y_0).$$

Let $`\mathrm{\Gamma }`$ be an irreducible component of $`\pi (Y_0)`$. Our goal is to show

(4.55)
$$\varphi _Q(\mathrm{\Gamma })(u5)\mathrm{deg}\mathrm{\Gamma }$$

which should imply (4.54) immediately by the definition of virtual genus.

Let us first check the cases $`\mathrm{\Gamma }=RH_i`$ or $`\mathrm{\Gamma }=H_iH_j`$. If $`\mathrm{\Gamma }=RH_i`$ for some $`i`$, then

(4.56)
$$\begin{array}{cc}\hfill \varphi _Q(\mathrm{\Gamma })& =2g(\mathrm{\Gamma })2+\underset{ki}{}H_k\mathrm{\Gamma }\hfill \\ & (u1)\mathrm{deg}\mathrm{\Gamma }2(u3)\mathrm{deg}\mathrm{\Gamma }.\hfill \end{array}$$

If $`\mathrm{\Gamma }=H_iH_j`$ for some $`ij`$, then

(4.57)
$$\begin{array}{cc}\hfill \varphi _Q(\mathrm{\Gamma })& 2g(\mathrm{\Gamma })2+\underset{ki,j}{}H_k\mathrm{\Gamma }\hfill \\ & (u2)\mathrm{deg}\mathrm{\Gamma }2(u4)\mathrm{deg}\mathrm{\Gamma }.\hfill \end{array}$$

In summary, (4.55) holds for $`\mathrm{\Gamma }=RH_i`$ or $`\mathrm{\Gamma }=H_iH_j`$.

Next, let us check the case $`\mathrm{\Gamma }R`$ and $`\mathrm{\Gamma }H_k`$. Let $`B_k=RH_k`$ and $`B=B_k`$. Basically, we want to apply Theorem 1.8 to $`(R,B,QB)`$. There are a few things to check:

(4.58)
$$\left(K_R+BB_k\right)\mathrm{\Gamma }(u4)\mathrm{deg}\mathrm{\Gamma }.$$

for $`1ku`$,

(4.59)
$$B\mathrm{\Gamma }2(u2)\mathrm{deg}\mathrm{\Gamma }$$

and

(4.60)
$$2g(C)2(u3)\mathrm{deg}C$$

for all irreducible components $`CF`$, where $`FR`$ is the curve such that $`QB=FB`$.

Both (4.58) and (4.59) are more or less obvious; among the two, (4.58) is due to the fact that $`K_R+3H`$ is NEF for the hyperplane divisor $`H`$. It remains to verify (4.60). This requires us to study the curve $`F`$.

By (4.52), we see that $`F`$ is given by

(4.61)
$$\mathrm{rank}\left(\begin{array}{cccccc}A_{11}& A_{12}& \mathrm{}& A_{1m}& A_{1,m+1}& G_1\\ A_{21}& A_{22}& \mathrm{}& A_{2m}& A_{2,m+1}& G_2\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ A_{m1}& A_{m2}& \mathrm{}& A_{mm}& A_{m,m+1}& G_m\end{array}\right)<m.$$

We claim that such $`F`$ is smooth and irreducible for a general choice of $`A_{ij}`$ and $`G_i`$ and its Hilbert polynomial (and hence its degree and arithmetic genus) can be calculated in an inductive way.

Let us first recall some basic definitions and fix some notations. For a closed subscheme $`F^N`$, its Hilbert polynomial $`P_F(l)`$ is the Euler characteristic of the invertible sheaf $`𝒪_F(l)`$, i.e.,

(4.62)
$$P_F(l)=\chi (𝒪_F(l))=\underset{k=0}{\overset{dimF}{}}(1)^kh^k(𝒪_F(l)).$$

The leading term of $`P_F(l)`$ is $`(d/r!)l^r`$, where $`r=dimF`$ and $`d=\mathrm{deg}F`$. And the arithmetic genus of $`F`$ is $`p_a(F)=(1)^r(P_F(0)1)`$.

Let $`\mathrm{}`$ be the difference operator such that $`\mathrm{}f(l)=f(l)f(l1)`$. Then $`\mathrm{}P_F(l)`$ is the Hilbert polynomial of a hyperplane section of $`F`$ and $`\mathrm{}^kP_F(l)`$ is the Hilbert polynomial of an $`(Nk)`$-plane section of $`F`$.

###### Proposition 4.2.

Let $`(u_{ij})_{m\times n}`$ ($`mn`$) be a matrix of integers satisfying (4.45), (4.46) and (4.51) and $`M=(A_{ij})_{m\times n}`$ be a matrix of homogeneous polynomials, where $`A_{ij}`$ is a general member of $`H^0(𝒪_^N(u_{ij}))`$. Let $`F`$ be the locus in $`^N`$ defined by $`\mathrm{rank}(M)<m`$. Then

1. $`F`$ is irreducible of codimension $`nm+1`$ in $`^N`$;
2. $`F_{sing}`$ consists of the points such that $`\mathrm{rank}(M)<m1`$ and hence $`F`$ is smooth in codimension $`nm+2`$;
3. its Hilbert polynomial $`P_F(l)`$ can be computed inductively in the following way.

Assume that $`m<n`$. Pick $`m\alpha n`$ and let $`M_\alpha `$ be the matrix obtained from $`M`$ by removing the $`\alpha `$-th column of $`M`$ and $`M_{m\alpha }`$ be the matrix obtained from $`M`$ by removing the $`m`$-th row and $`\alpha `$-th column. And let $`F_\alpha `$ and $`F_{m\alpha }`$ be the corresponding subvarieties of $`^N`$ given by $`\mathrm{rank}(M_\alpha )<m`$ and $`\mathrm{rank}(M_{m\alpha })<m1`$. Then

(4.63)
$$P_F(l)=\underset{k0}{}(1)^k\left(\left(\genfrac{}{}{0pt}{}{u}{k+1}\right)\mathrm{}^{k+1}P_{F_\alpha }(l)+\left(\genfrac{}{}{0pt}{}{u}{k}\right)\mathrm{}^kP_{F_{m\alpha }}(l)\right),$$

where $`u=u_{m\alpha }`$.

###### Proof.

The first two statements follow from a standard “projection” argument. Let

(4.64)
$$W\left(\underset{i,j}{}H^0(𝒪_^N(u_{ij}))\right)\times ^N$$

be the incidence correspondence given by $`\mathrm{rank}(A_{ij})<m`$, where we regard $`A_{ij}`$ as a homogeneous polynomial with generic coefficients. Obviously, $`F`$ is a general fiber of $`W`$ when it is projected onto the first factor $`\left(_{i,j}H^0(𝒪_^N(u_{ij}))\right)`$. To see that $`F`$ has the stated properties, it suffices to justify that $`W`$ has the same properties, i.e., $`W`$ is irreducible of codimension $`nm+1`$ in the total space and $`W_{sing}`$ consists of the points such that $`\mathrm{rank}(A_{ij})<m1`$. This can be shown by projecting $`W`$ to the second factor $`^N`$. The general fiber of $`W`$ over a point in $`^N`$ is (almost) a generic determinantal variety, which is classically known to have the stated properties. We will let the readers to fill out the details.

Choose linear forms $`L_1,L_2,\mathrm{},L_u`$ and specialize the $`\alpha `$-th column of $`M`$ to $`A_{i\alpha }=L_1L_2\mathrm{}L_uG_i`$. Since Hilbert polynomials are invariant under deformations, such degeneration does not change $`P_F(l)`$. Let $`H_k`$ be the hyperplane given by $`L_k=0`$. Then $`F=_{k=1}^u(H_kF_\alpha )Z`$, where $`Z`$ is the subvariety of $`^N`$ given by

(4.65)
$$\mathrm{rank}\left(\begin{array}{ccccccc}A_{11}& \mathrm{}& A_{1m}& \mathrm{}& G_1& \mathrm{}& A_{1n}\\ A_{21}& \mathrm{}& A_{2m}& \mathrm{}& G_2& \mathrm{}& A_{2n}\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ A_{m1}& \mathrm{}& A_{mm}& \mathrm{}& G_m& \mathrm{}& A_{mn}\end{array}\right)<m$$

where $`G_i`$’s occupy the $`\alpha `$-th column of the matrix and the rest of the matrix are the same as $`M`$. Observe that $`\mathrm{deg}G_m=0`$ and hence we may apply row operations to the matrix to eliminate its $`m`$-th row and $`\alpha `$-th column. Therefore, it is easy to see that $`Z`$ and $`F_{m\alpha }`$ are deformationally equivalent inside $`^N`$. Especially they have the same numerical properties.

For a general choices of $`L_k`$, $`F`$ is of normal crossing with components $`H_kF_\alpha `$ and $`Z`$. Apply the inclusion-exclusion principle to $`P_F(l)`$ and the recursion formula (4.63) follows. ∎

By the above proposition, $`F`$ is a smooth irreducible curve. Therefore, in order to prove (4.60), it suffices to show that

(4.66)
$$2\chi (𝒪_F)=2p_a(F)2(u3)\mathrm{deg}F$$

where $`p_a(F)`$ and $`\mathrm{deg}F`$ can be computed, in principle, by (4.63). However, it takes a substantial amount of computation to write down $`p_a(F)`$ and $`\mathrm{deg}F`$ explicitly in terms of $`u_{ij}`$. Nor is this necessary for our cause. All we need to do is to prove (4.66) by an induction via (4.63).

###### Proposition 4.3.

Let $`(u_{ij})_{m\times n}`$, $`M=(A_{ij})_{m\times n}`$ and $`F`$ be defined as in Proposition 4.2. Here we let $`N=nm+2`$ and hence $`F`$ is a curve. Then (4.66) holds for $`u=u_{mn}`$.

###### Proof.

We do induction on $`\mathrm{min}(nm,m)`$. If $`m=n`$ or $`m=1`$, $`F`$ is a complete intersection in $`^N`$ and (4.66) follows easily from adjunction.

Suppose that $`n>m>1`$. Let $`\alpha =m`$ in (4.63) and we have

(4.67)
$$\chi (𝒪_F)u_{mm}\chi (𝒪_{F_mH})\chi (𝒪_{F_{mm}})$$

and

(4.68)
$$\mathrm{deg}F=u_{mm}\mathrm{deg}(F_mH)+\mathrm{deg}F_{mm}$$

where $`F_m`$ and $`F_{mm}`$ are defined as in Proposition 4.2 and $`H`$ is a hyperplane in $`^N`$.

By induction hypothesis, $`2\chi (𝒪_{F_mH})(u3)\mathrm{deg}(F_mH)`$ and $`2\chi (𝒪_{F_{mm}})(u3)\mathrm{deg}F_{mm}`$. Therefore, (4.66) follows from (4.67) and (4.64). ∎

Combining (4.58)-(4.60) and applying Theorem 1.8 to $`(R,B,QB)`$, we see that (4.55) holds for all $`\mathrm{\Gamma }R`$ and $`\mathrm{\Gamma }H_k`$.

Finally, we need to check the case $`\mathrm{\Gamma }H_i`$ and $`\mathrm{\Gamma }_{ki}H_kR`$ for some $`i`$. Without the loss of generality, let us assume that $`i=u`$, $`\mathrm{\Gamma }H=H_u`$, $`B_0=RH`$, $`B_k=H_kH`$ for $`1k<u`$ and $`B=B_1B_2\mathrm{}B_{u1}`$. Again we want to apply Theorem 1.8 to $`(H,B,QB)`$. Here we regard $`B_0`$ as a fixed curve while $`B_k`$ varies in the BPF linear system cut out by the hyperplane divisor for $`1k<u`$. So we need to verify the following:

(4.69)
$$(K_H+BB_k)\mathrm{\Gamma }(u5)\mathrm{deg}\mathrm{\Gamma }$$

for $`1k<u`$

(4.70)
$$(BB_0)\mathrm{\Gamma }2(u3)\mathrm{deg}\mathrm{\Gamma }$$

and

(4.71)
$$2g(C)2(u3)\mathrm{deg}C$$

for all irreducible components $`CF`$, where $`FH`$ is the curve such that $`QB=FB`$.

Again, both (4.69) and (4.70) are obvious; among the two, (4.69) follows from Mori’s cone theorem. To see (4.71), we observe that $`F`$ is a curve in $`\{L_u=0\}^3`$ defined by (4.50) with $`A_{ij}`$ restricted to the hyperplane $`\{L_u=0\}`$. So by Proposition 4.2 and 4.3, $`F`$ is irreducible and smooth and (4.66) holds. Therefore, (4.71) follows and this finishes the proof of (4.55) and hence the proof of Theorem 1.23.