text:
# Contents

## Abstract

In this thesis, we consider a way to construct a rich family of compact Riemann surfaces in a combinatorial way. Given a 3-regular graph with orientation, we construct a finite-area hyperbolic Riemann surface by gluing triangles together according to the combinatorics of the graph. We then compactify this surface by adding finitely many points.

We discuss this construction by considering a number of examples. In particular, we see that the surface depends in a strong way on the orientation.

We then consider the effect the process of compactification has on the hyperbolic metric of the surface. To that end, we ask when we can change the metric in the horocycle neighbourhoods of the cusps to get a hyperbolic metric on the compactification. In general, the process of compactification can have drastic effects on the hyperbolic structure. For instance, if we compactify the 3-punctured sphere we lose its hyperbolic structure.

We show that when the cusps have lengths bigger than $`2\pi `$ we can fill in the horocycle neighbourhoods and retain negative curvature.

Furthermore, the condition that the horocycles have length $`>`$ $`2\pi `$ is sharp. We show by examples that there exist curves arbitrarily close to horocycles of length $`2\pi `$, which cannot be so filled in. Such curves can even be taken to be convex.

## List of Symbols

| $`\mathrm{\Gamma }`$ | A (3-regular) graph. |
| --- | --- |
| $`S^O(\mathrm{\Gamma })`$ | A non-compact Riemann Surface constructed from $`\mathrm{\Gamma }`$. |
| $`S^C(\mathrm{\Gamma })`$ | A compact Riemann Surface constructed from $`\mathrm{\Gamma }`$. |
| $`G`$ | A group. |
| $`ISO^+`$ | Orientation-Preserving Isometries. |
| $`𝔻`$ | $`\{z:|z|<1\}`$. |
| $`𝔻^{}`$ | $`𝔻\{0\}`$. |
| $`_r`$ | $`\{z𝔻^{}:|z|<r\}.`$ |
| $`\mathrm{d}s_𝔻^2`$ | The complete hyperbolic metric on $`𝔻`$. |
| $`\mathrm{d}s_𝔻^{}^2`$ | The complete hyperbolic metric on $`𝔻^{}`$. |
| $`\kappa (\mathrm{d}s^2)`$ | The curvature of the Riemannian metric $`\mathrm{d}s^2`$. |
| $`\kappa _g`$ | Geodesic curvature. |
| $`\mathrm{\Delta }`$ | The Laplacian. |

## Introduction

### Outline of the thesis

This thesis considers a way to construct Riemann surfaces out of 3-regular graphs. In Chapter 1, we present a method to construct a finite-area Riemann surface out of a 3-regular graph. We then compactify it to get a compact Riemann surface. In sections 1.1– 1.6 we describe this construction in detail. In section 1.7 we show that symmetries of the graph are reflected in symmetries of the surface. This allows us to give several examples in section 1.9. In the last section of the chapter we show that the compact Riemann surfaces we construct are dense in the moduli space by considering them as Belyi surfaces.

We would like to learn about the compact Riemann surfaces by studying the geometry and spectral properties of the graphs from which they originated. Early works of Prof. Brooks (\[Br1, Br2\]) show connections between the graphs and the non-compact Riemann surface. Later results in \[Br3\] show that under nice conditions (the “large cusps condition”), the complete metrics of constant curvature on the non-compact Riemann surface and its compactification are arbitrarily close, outside of standard cusp neighbourhoods.

It is at this point that we start chapter 2. We would like to know, for example, when we can control the metric on the compact Riemann surface. More precisely, when can we change the hyperbolic metric on the non-compact Riemann surface in neighbourhoods of the cusps to get a hyperbolic metric on the compact Riemann surface? For example, if we compactify the 3-punctured sphere we lose the hyperbolic structure. To that end, we work in a punctured-disk neighbourhood of a cusp, and consider the problem of extension of metrics smoothly across the cusps to obtain metrics of negative curvature. We prove that in a “large cusps” condition we can in fact extend the metric from the outside to a smooth metric of negative curvature inside. This is the content of theorem 2.3.1.

The “large cusps” condition is discussed in section 2.2. There, we prove also the classical Shimizu–Leutbecher theorem in a nice way. We study the hyperbolic punctured disk in sections 2.42.5, and theorem 2.3.1 is proved in sections 2.6 and 2.7.

In section 2.8 we show that the “large cusps” condition in theorem 2.3.1 is sharp. This leads us in section 2.9 to a very interesting problem: Suppose we have a closed curve bounding a domain $`V`$ in the unit disk, and we have a conformal Riemannian metric of negative curvature outside of $`V`$. We ask whether we can extend the metric to $`V`$ in such a way, that we are left with a conformal Riemannian metric of negative curvature. The Gauss–Bonnet theorem imposes a natural restriction on the extension, but this is not enough. We show that we can find curves which satisfy the Gauss–Bonnet restriction for which we cannot extend the metric. We do this by using the maximum principle for subharmonic functions. Indeed, we show that such curves can be taken to be convex and arbitrarily close to the horocycle of length $`2\pi `$.

We also consider curves which satisfy the Gauss–Bonnet restriction and for which no metric of negative curvature, conformal or nonconformal, can extend the metric from the outside.

In section 2.10 we show results from \[Br3\]: If we have large cusps, the hyperbolic metric on the compactification is very close to the original hyperbolic metric, outside of cusp neighbourhoods. This is theorem 2.10.1. The basic idea here is to use the Ahlfors–Schwarz Lemma, which is proved and discussed in appendix A.

### Acknowledgements

We would like to thank Curt McMullen for giving us his permission to use his example in section 1.9. We would also like to thank Curt McMullen for discussions with us concerning the thesis, giving us some new ideas to think about.

We would like to thank Mikhail Katz for his fruitful ideas concerning the problem of extension of metrics in section 2.9.

## Chapter 1 Riemann Surfaces and 3-regular Graphs

### 1.1 Ideal Triangles

Let us denote by $`𝔻`$ the unit disk, equipped with the hyperbolic metric.

###### Definition 1.1.1.

An ideal triangle in $`𝔻`$ is a triangle which has 3 vertices at infinity.

Remark: Any two ideal triangles are isometric, since we may find a Möbius transformation, which takes one onto the other.

Choose a point on each edge of the ideal triangle. The chosen points will be called *tick-marks*.

###### Definition 1.1.2.

A *marked ideal triangle* is an ideal triangle with a tick-mark on each one of its three sides.

An isomorphism between two marked ideal triangles is an isomorphism between the ideal triangles which preserves the tick-marks.
*The standard marked ideal triangle* (figure 1.1) is any marked ideal triangle which is isometric to the marked ideal triangle whose vertices in the disk model are given by

$$v_1=1,v_2=\omega ,v_3=\omega ^2,$$

and whose tick-marks are

$$t_1=(2\sqrt{3}),t_2=(2\sqrt{3})\omega ,t_3=(2\sqrt{3})\omega ^2,$$

where $`\omega =\mathrm{e}^{2\pi \mathrm{i}/3}`$.

Under the isometry which takes the half-plane onto the disk and is given by the map

$$z\frac{z(\omega +1)}{z(\overline{\omega }+1)}$$

the ideal triangle of figure 1.1 corresponds to the first ideal triangle from the left in figure 1.2. In the second ideal triangle there, we have drawn also three horocyclic segments, which will be called the *standard horocyclic segments*. Note that each standard horocyclic segment is of length 1.

### 1.2 Some notions in Graph Theory

Throughout our work, the term *graph* will refer to a graph with loops and multiple edges permitted.

###### Definition 1.2.1.

A *3-regular graph* is a graph for which there are three edges incident at each vertex (loops are counted twice).

Let $`\mathrm{\Gamma }`$ be a 3-regular graph. Denote by $`V`$ and $`E`$ the set of its vertices and the set of its edges respectively.

###### Definition 1.2.2.

An *orientation* at a vertex $`v`$ is a cyclic ordering of the edges incident at $`v`$.

At each vertex of $`\mathrm{\Gamma }`$ choose an orientation (We will suppress the orientation and will denote the graph with orientation by $`\mathrm{\Gamma }`$). We may regard the orientation as follows: If we take a tour on the graph, at each vertex it tells us which way is left. We define:

###### Definition 1.2.3.

A *left-hand-turn path* in $`\mathrm{\Gamma }`$ is a directed closed path in $`\mathrm{\Gamma }`$ such that if $`e_1,e_2`$ are successive edges in the path meeting at $`v`$, then $`e_2,e_1`$ are successive edges with respect to the orientation at $`v`$ (see figure 1.3).

Where convenient, we will denote a left-hand-turn path by a cyclic sequence $`((v_1,e_1),\mathrm{},(v_n,e_n))`$, where $`(v_i,e_i)(V,E)`$ and $`e_i=\{v_i,v_{i+1}\}`$. In this notation $`(v_{i+n},e_{i+n})=(v_i,e_i)`$, and $`(v_i,e_i)(v_j,e_j)`$ for $`ij(modn)`$.

### 1.3 Triangulations and 3-regular Graphs

Let $`S`$ be a closed (topological) surface. Let $`𝒯`$ be a triangulation of $`S`$. Mark a point in the interior of each triangle, and connect points corresponding to adjacent triangles. We get a 3-regular graph, $`\mathrm{\Gamma }`$, drawn on the surface. $`\mathrm{\Gamma }`$ inherits an orientation from the surface’s orientation - at each vertex, $`v`$, of $`\mathrm{\Gamma }`$ we order the three emanating edges from $`v`$ counterclockwise. For convenience, we will refer to the vertices and edges of the triangulation as $`𝒯`$-vertices and $`𝒯`$-edges respectively, while the vertices and edges of $`\mathrm{\Gamma }`$ will be referred as $`\mathrm{\Gamma }`$-vertices and $`\mathrm{\Gamma }`$-edges respectively.

First, we note that any $`\mathrm{\Gamma }`$-edge is crossed by exactly one $`𝒯`$-edge, and vice versa. Therefore the $`\mathrm{\Gamma }`$-edges are in one-to-one correspondence with the $`𝒯`$-edges. Second, any left-hand-turn path in $`\mathrm{\Gamma }`$ cuts, on its left side, a disk from the surface in which there are no $`\mathrm{\Gamma }`$-vertices, since otherwise one could join any $`\mathrm{\Gamma }`$-vertex inside the disk by a shortest path in $`\mathrm{\Gamma }`$ to the boundary of the disk to get that the boundary would not be a left-hand-turn path. In this disk there is exactly one $`𝒯`$-vertex: Indeed, any $`\mathrm{\Gamma }`$-edge which crosses the boundary of the disk must have one of its ends inside the disk - so there is at least one $`𝒯`$-vertex in this disk. Conversely, take any $`𝒯`$-vertex, $`p`$, in the disk, and let $`l`$ be the length of the boundary of the disk. If there were less than $`l`$ $`𝒯`$-edges emanating from $`p`$, one of the triangles surrounding $`p`$ would contain at least two $`\mathrm{\Gamma }`$-vertices from the boundary of the disk. Therefore, there are $`l`$ $`𝒯`$-edges emanating from $`p`$, and we are left with “no room” for another $`𝒯`$-vertex inside the disk.

We have shown that we have a well-defined bijection: A left-hand-turn path in $`\mathrm{\Gamma }`$ maps to the $`𝒯`$-vertex it encloses on its left side. As we will see in the next section, this bijection lets us reconstruct the surface from the graph with orientation. Or, in more fancy language, {graphs with orientations} $``$ {triangulations of surfaces}/{isotopy}.

### 1.4 Constructing a Riemann Surface out of a 3-regular Graph

Let $`\mathrm{\Gamma }`$ be a 3-regular graph with orientation. Paste one copy of the standard marked ideal triangle on each vertex of $`\mathrm{\Gamma }`$, in such a way that the three successive edges emanating from the vertex of the graph fit the three geodesic segments $`ot_1,ot_2,ot_3`$ in figure 1.1, respectively. We glue adjacent sides of marked triangles, such that the tick-marks fit and the orientations of the corresponding triangles match up. We can begin doing the pasting without leaving the hyperbolic plane, until we get a polygon, $`\mathrm{\Pi }`$, together with a side pairing (Remark: We may think of the graph $`\mathrm{\Gamma }`$ as made out of threads, and of each triangle as having a white face and a black face. The threads are glued on the white face of each triangle. We build the polygon such that all the triangles have white face up). Then, we apply the Poincaré Polygon Theorem (see Appendix B) to $`\mathrm{\Pi }`$: We attach to each side pairing $`(s_i,s_j)`$ an orientation preserving transformation, $`A_{ij}`$, such that $`A_{ij}(s_i)=s_j`$, $`A_{ij}`$ preserves tick-marks, and $`\mathrm{\Pi }A_{ij}(\mathrm{\Pi })=\mathrm{}`$. Denote by $`G`$ the subgroup of $`\mathrm{ISO}^+(𝔻)`$ generated by all the side-pairing transformations. By the Poincaré Polygon Theorem, $`G`$ is a discrete group of isometries with $`\mathrm{\Pi }`$ as its fundamental domain. Hence $`^2/G`$ is a complete hyperbolic Riemann surface, which we will denote by $`S^O(\mathrm{\Gamma })`$.

As was shown in the preceding section, the cusps of $`S^O(\mathrm{\Gamma })`$ are in bijection with the left-hand-turn paths in $`\mathrm{\Gamma }`$, and the triangulation of $`S^O(\mathrm{\Gamma })`$ obtained by our construction corresponds to $`\mathrm{\Gamma }`$ in the sense of section 1.3. Finally, take the unique conformal compactification (see section 1.8) of $`S^O(\mathrm{\Gamma })`$, to get a closed Riemann surface, $`S^C(\mathrm{\Gamma })`$.

### 1.5 A slightly more general construction

Again, let $`\mathrm{\Gamma }`$ be a 3-regular graph with orientation. We paste a marked ideal triangle on each vertex as before, but now we allow also non-standard marked ideal triangles to be pasted. The marked ideal triangles can be parametrized by three real parameters, ($`\alpha _1`$, $`\alpha _2`$, $`\alpha _3`$), which describe the hyperbolic shift of the tick-marks with respect to the tick-marks $`t_1`$, $`t_2`$, $`t_3`$ of the standard marked ideal triangle. For instance, the standard marked ideal triangle will be denoted by $`(0,0,0)`$, and the non-standard marked ideal triangle in figure 1.2 is $`(0,\mathrm{ln}2,\mathrm{ln}3)`$. In the next step, we glue adjacent edges as before, remembering to match orientations and tick-marks.

To each pair of a vertex, $`v`$, and an edge $`e`$ emanating from $`v`$, there corresponds one side of the triangle we paste at $`v`$. Therefore we can attach to such a pair a real number $`\alpha (v,e)`$ which describes the shift of the tick-mark on the corresponding side.

In order to apply the Poincaré Polygon Theorem all the vertex-cycle transformations must be parabolic. This, in turn, is equivalent to the following condition:
For every left-hand-turn path in $`\mathrm{\Gamma }`$, $`l=((v_1,e_1),\mathrm{},(v_n,e_n))`$,

$$\underset{k=1}{\overset{n}{}}\left[\alpha (v_k,e_k)\alpha (v_k,e_{k1})\right]=0.$$

### 1.6 The Genus of $`S^C(\mathrm{\Gamma })`$

In section 1.4 we obtained from a 3-regular graph with orientation, $`\mathrm{\Gamma }`$, a closed Riemann surface $`S^C(\mathrm{\Gamma })`$. Let us calculate the genus of $`S^C(\mathrm{\Gamma })`$. To that end, let $`V`$, $`E`$, $`F`$, be the number of vertices, edges and faces, respectively, in the triangulation corresponding to $`\mathrm{\Gamma }`$. In section 1.3 we have shown that $`V=N_{lht}=`$ the number of left-hand-turn paths in $`\mathrm{\Gamma }`$, $`E=N_e=`$ the number of edges in $`\mathrm{\Gamma }`$, and obviously, $`F=N_v=`$ the number of vertices in $`\mathrm{\Gamma }`$. Since $`\mathrm{\Gamma }`$ is a 3-regular graph, we also have $`3F=2E`$. Hence, the Euler characteristic of $`S^C(\mathrm{\Gamma })`$ can totally be recovered from $`\mathrm{\Gamma }`$ by

$$\chi (S^C(\mathrm{\Gamma }))=VE+F=N_{lht}N_v/2.$$

So, the genus of $`S^C(\mathrm{\Gamma })`$ is:

$$g=(2\chi )/2=1+\frac{N_v2N_{lht}}{4}.$$
(1.1)
We could also calculate more geometrically as follows: The Euler characteristic, $`\chi `$, of $`S^O(\mathrm{\Gamma })`$ is $`22gN_{lht}`$. We now use Gauss-Bonnet formula for Riemannian surfaces without boundary :

$$\kappa d\text{(area)}=2\pi \chi ,$$

where $`\kappa `$ is the curvature. In our case $`\kappa 1`$, and the area of $`S^O(\mathrm{\Gamma })`$ is $`N_v\pi `$, since the area of the ideal triangle is $`\pi `$. Substituing, we get $`N_v\pi =2\pi (22gN_{lht})`$, which leads again to formula (1.1).

### 1.7 Automorphisms

Let $`\mathrm{\Gamma }_1`$, $`\mathrm{\Gamma }_2`$ be two graphs with orientation. Let $`\varphi :\mathrm{\Gamma }_1\mathrm{\Gamma }_2`$ be an isomorphism of graphs.

###### Definition 1.7.1.

We say that $`\varphi `$ is *orientation-preserving* if for any three edges, $`\{e_1,e_2,e_3\}`$, in $`\mathrm{\Gamma }_1`$ meeting at a vertex $`v`$, the cyclic ordered triplet $`(e_1,e_2,e_3)`$ fits the orientation at $`v`$ iff $`(\varphi (e_1),\varphi (e_2),\varphi (e_3))`$ fits the orientation at $`\varphi (v)`$.

A similar definition holds for *orientation-reversing*.

We observe that the left-hand-turn paths are preserved under an isomorphism of graphs with orientation. In particular, the length of a left-hand-turn path is preserved. These simple facts will help us later in finding automorphisms of graphs.

In order to understand the automorphisms of a 3-regular graph with orientation, let us first try to understand the automorphisms of its universal cover, the 3-regular tree, $`T_3`$: We choose some vertex of this tree, and call it the *root*. Denote by $`\dot{T}_3`$ the 3-regular rooted tree. On a rooted tree we can define the notion of *level*: level $`n`$ is the set of all vertices which are at a distance $`n`$ from the root. A map between two rooted trees, is a graph-map which maps the root to the root. It has the property that it preserves the levels of the tree.

Now, Let $`\dot{T}_3^{\mathrm{or}}`$ be a 3-regular rooted tree, with some choice of orientation on its vertices (actually, all the choices are equivalent). We have:

###### Lemma 1.7.2.

The group of automorphisms of $`\dot{T}_3^{\mathrm{or}}`$ is isomorphic to $`/3`$.

###### Proof.

Since we are dealing with orientation-preserving automorphisms, a generator is determined by the image of a first-level vertex of the tree. ∎

From the last lemma, we immediately get:

###### Lemma 1.7.3.

An automorphism of the 3-regular tree with orientation, $`T_3^{\mathrm{or}}`$, is determined by the images of one vertex and an edge emanating from it.

Now, that we understand the automorphism group of the universal cover we can proceed:

###### Lemma 1.7.4.

Let $`(v_0,e_0)`$ and $`(v_1,e_1)`$ be two pairs of vertices and edges emanating from them. Then, there exists at most one automorphism $`\varphi :\mathrm{\Gamma }\mathrm{\Gamma }`$, such that $`\varphi (v_0,e_0)=(v_1,e_1)`$.

###### Proof.

Let $`\mathrm{\Gamma }`$ be a 3-regular graph with orientation, and $`p:\stackrel{~}{\mathrm{\Gamma }}\mathrm{\Gamma }`$ be its universal covering map (figure 1.4).

Choose liftings of $`(v_i,e_i)`$ $`(i=0,1)`$, $`(\stackrel{~}{v}_i,\stackrel{~}{e}_i)`$ in $`\stackrel{~}{\mathrm{\Gamma }}`$. If $`\varphi _1`$ and $`\varphi _2`$ both map $`(v_0,e_0)`$ to $`(v_1,e_1)`$ and $`\varphi _1\varphi _2`$ then they can be lifted to two different automorphisms $`\stackrel{~}{\varphi }_1,\stackrel{~}{\varphi }_2:\stackrel{~}{\mathrm{\Gamma }}\stackrel{~}{\mathrm{\Gamma }}`$, which map $`(\stackrel{~}{v}_0,\stackrel{~}{e}_0)`$ to $`(\stackrel{~}{v}_1,\stackrel{~}{e}_1)`$. This contradicts the previous lemma. ∎

The situation is very similar to what happens in $`𝔻`$: We recall that an automorphism of the disk, $`𝔻`$ is determined by the image of one point and a rotation. This simple analogy shows:

###### Proposition 1.7.5.

Any automorphism of $`\mathrm{\Gamma }`$ induces an automorphism of $`S^O(\mathrm{\Gamma })`$.

#### 1.7.1 Extension of Automorphisms

Let $`S`$ be a complete hyperbolic Riemann surface of finite area, and $`i:SS_c`$ be a conformal compactification (see section 1.8).

###### Proposition 1.7.6.

Any conformal automorphism of $`S`$ can be extended to a conformal automorphism of $`S_c`$.

###### Proof.

Take a punctured-disk neighbourhood $`U`$ of a cusp $`P`$. $`i\varphi (U)`$ is also a punctured disk. Thus, by Riemann’s theorem on removable singularities, $`P`$ is a removeable singularity of $`i\varphi `$. ∎

### 1.8 Conformal Compactification

Let $`S`$ be a Riemann surface, and let $`S_c`$ be a compact Riemann surface. If $`\varphi :SS_c`$ is a conformal embedding with dense image, we say that $`(S_c,\varphi )`$ is a *conformal compactification* of $`S`$.
Examples:

1. The Riemann sphere is a conformal compactification of the complex plane.
2. Take $`S=^2`$. By Riemann’s Mapping Theorem $`S`$ is conformally equivalent to $`[1,\mathrm{})`$. Hence, the Riemann sphere is a conformal compactification of $`^2`$.
3. Suppose $`S`$ is a complete hyperbolic Riemann surface of finite area. $`S`$ has a finite number of cusps (this follows from Gauss-Bonnet theorem or from Shimizu-Leutbecher theorem 2.2.2). We may build a conformal compactification of $`S`$ as follows: We find pairwise disjoint neighbourhoods of the cusps, such that each neighbourhood is conformally equivalent to a punctured disk, and we fill in the missing point in each punctured disk. The conformal structure on the filled-in disk is unique, by the Uniformization Theorem (see appendix C). Thus, we get a compact Riemann surface in which $`S`$ is conformally and densely embedded.
4. Any Riemann surface of infinite genus does not admit a conformal compactification.

We will mainly be interested in example 3.

###### Proposition 1.8.1.

In example 3 the conformal compactification is unique.

###### Proof.

Denote by $`i:SS_{c,1}`$ the conformal compactification described above, and suppose that $`\varphi :SS_{c,2}`$ is a second conformal compactification. If the cusps of $`S`$ are $`\{p_i\}_{i=1}^n`$, then we get a conformal map

$$\varphi i^1:S_{c,1}\{p_i\}_{i=1}^nS_{c,2}.$$

The same arguments as in the proof of proposition 1.7.6 show that $`\varphi i^1`$ can be extended to the cusps of $`S`$. So, we obtain that $`S_{c,1}`$ is conformally equivalent to $`S_{c,2}`$. ∎

### 1.9 Examples

In order to give some examples, we first recall that any (anti-)automorphism of the graph $`\mathrm{\Gamma }`$ induces an (anti-)automorphism of $`S^O(\mathrm{\Gamma })`$, and this, in turn induces an (anti-)automorphism of $`S^C(\mathrm{\Gamma })`$ (see section 1.7). In other words, symmetries of the graph $`\mathrm{\Gamma }`$ are reflected in symmetries of $`S^C(\mathrm{\Gamma })`$.

Uniformize now $`S^C(\mathrm{\Gamma })`$ by a metric of constant curvature. The geodesic triangulation, $`𝒯`$, of $`S^O(\mathrm{\Gamma })`$ induced from $`\mathrm{\Gamma }`$ maps to some triangulation of $`S^C(\mathrm{\Gamma })`$ under the conformal embedding $`i:S^O(\mathrm{\Gamma })S^C(\mathrm{\Gamma })`$. We may isotope $`i(𝒯)`$ to a geodesic triangulation of $`S^C(\mathrm{\Gamma })`$ keeping the vertices of $`𝒯`$ fixed. Let us call this geodesic triangulation $`𝒯^C`$. The automorphisms of $`S^C(\mathrm{\Gamma })`$ which are extensions of automorphisms of $`S^O(\mathrm{\Gamma })`$ stabilize $`𝒯^C`$. Thus, in order to determine the conformal structure of $`S^C(\mathrm{\Gamma })`$ we can follow the following steps:

1. We determine the topological type of $`S^O(\mathrm{\Gamma })`$ by counting the left-hand-turn paths in $`\mathrm{\Gamma }`$ and using the genus formula (1.1).
2. We name the angles of the triangles in the geodesic triangulation, $`𝒯^C`$, of $`S^C(\mathrm{\Gamma })`$.
3. For each left-hand-turn path in $`\mathrm{\Gamma }`$ we write the corresponding cusp-equation: The angles around the filled-in cusp amount to $`2\pi `$.
4. We find the automorphisms and anti-automorphisms of the graph with orientation.
5. We write the constraints on the angles implied by the symmetries found in step 4.

Remark: In general these steps are not enough to determine the conformal structure of $`S^C(\mathrm{\Gamma })`$, since we do not use the full pasting rule in the construction of $`S^O(\mathrm{\Gamma })`$, which says that tick-marks go to tick-marks. We have yet to find a good method to take these conditions into account.

We begin by the simplest 3-regular graph, viz. two vertices and three edges. It admits two possible non-isomorphic orientations:

1. See figure 1.5.

We paste two triangles together to get a 3-punctured sphere. Then we compactify to get the Riemann sphere (the conformal structure on the sphere is unique).
2. See figure 1.6.

We are still working with the graph of example 1.5, but now we flip the right triangle over. By the genus formula (1.1), we get a once-punctured torus. We want to calculate the conformal class of this torus: The angles around the filled-in cusp should amount to 2$`\pi `$:

$$x_1+z_2+y_1+x_2+z_1+y_2=2\pi ,$$

We have the automorphism of order 6:

$$\begin{array}{cc}v_1v_2& \begin{array}{c}e_1e_2\hfill \\ e_2e_3\hfill \\ e_3e_1\hfill \end{array}\end{array}$$

which implies (together with its iterates) the equalities

$$x_1=y_1=z_1=x_2=y_2=z_2.$$

Hence, we have that each angle equals $`\pi /3`$, and we obtain the equilateral torus.

In the next three examples we take $`\mathrm{\Gamma }`$ to be the 1-skeleton of the tetrahedron:

1. See figure 1.7.

We take the 1-skeleton of the tetrahedron, with orientation induced from its surface. The surface $`S^O(\mathrm{\Gamma })`$ is a sphere with 4 cusps at the vertices of a tetrahedron. It is readily seen by the symmetries of the tetrahedron that those vertices may be taken to be at $`0,1,\omega ,\omega ^2`$, where $`\omega `$ is a primitive cube root of unity. Obviously, $`S^C(\mathrm{\Gamma })`$ is the Riemann sphere.
2. See figure 1.8.

We take the 1-skeleton of the tetrahedron with the orientation induced from its surface, and we flip orientation at one vertex.
$`S^O(\mathrm{\Gamma })`$ is a 2-punctured torus. The cusp equations are:

$`x_1+z_2+x_4`$ $`=`$ $`2\pi `$
$`y_1+z_4+x_3+x_2+z_1+y_3+y_4+y_2+z_3`$ $`=`$ $`2\pi .`$
We have the automorphism of order 3 (rotation around $`v_3`$):

$$\begin{array}{cc}\begin{array}{c}v_1v_2\hfill \\ v_2v_4\hfill \\ v_3v_3\hfill \\ v_4v_1\hfill \end{array}& \begin{array}{c}e_1e_3\hfill \\ e_2e_5\hfill \\ e_3e_6\hfill \\ e_4e_2\hfill \\ e_5e_4\hfill \\ e_6e_1\hfill \end{array}\end{array}$$

which implies:

$$\begin{array}{c}x_1=z_2=x_4,\hfill \\ y_1=x_2=y_4,\hfill \\ z_1=y_2=z_4,\hfill \\ x_3=y_3=z_3.\hfill \end{array}$$

We have also an anti-automorphism of order 2:

$$\begin{array}{cc}\begin{array}{c}v_1v_1\hfill \\ v_2v_4\hfill \\ v_3v_3\hfill \\ v_4v_2\hfill \end{array}& \begin{array}{c}e_1e_1\hfill \\ e_2e_4\hfill \\ e_3e_6\hfill \\ e_4e_2\hfill \\ e_5e_5\hfill \\ e_6e_3\hfill \end{array}\end{array}$$

which implies:

$$\begin{array}{c}y_1=z_1,\hfill \\ x_2=z_4,\hfill \\ y_2=y_4,\hfill \\ z_2=x_4,\hfill \\ y_3=z_3.\hfill \end{array}$$

Combining all together, we have:

$$\begin{array}{c}x_1=z_2=x_4=2\pi /3,\hfill \\ y_1=x_2=y_4=z_1=y_2=z_4=\alpha ,\hfill \\ x_3=y_3=z_3=\beta ,\hfill \\ 6\alpha +3\beta =2\pi .\hfill \end{array}$$

Since the triangulation on $`S^C(\mathrm{\Gamma })`$ is geodesic and our geometry is flat, we have the additional equations:

$$x_i+y_i+z_i=\pi \text{for}\mathrm{\hspace{0.33em}1}i4.$$

We obtain that triangle 3 is an equilateral triangle. This implies that $`S^C(\mathrm{\Gamma })`$ is an equilateral torus.
3. See figure 1.9.

We take the 1-skeleton of the tetrahedron with the orientation induced from its surface, and we flip orientation at two vertices. $`S^O(\mathrm{\Gamma })`$ is a 2-punctured torus. The cusp equations are:

$`x_1+z_4+x_3+x_2`$ $`=`$ $`2\pi ,`$
$`y_1+z_2+x_4+z_1+y_3+y_4+y_2+z_3`$ $`=`$ $`2\pi .`$
We have several anti-automorphisms of order 2:

$$\begin{array}{cc}\begin{array}{c}v_1v_2\hfill \\ v_2v_1\hfill \\ v_3v_4\hfill \\ v_4v_3\hfill \end{array}& \begin{array}{c}e_1e_5\hfill \\ e_2e_2\hfill \\ e_3e_4\hfill \\ e_4e_3\hfill \\ e_5e_1\hfill \\ e_6e_6\hfill \end{array}\end{array}$$

which implies:

$$\begin{array}{c}x_1=x_2,\hfill \\ y_1=z_2,\hfill \\ z_1=y_2,\hfill \\ x_3=z_4,\hfill \\ y_3=y_4,\hfill \\ z_3=x_4.\hfill \end{array}$$

We have a second reflection:

$$\begin{array}{cc}\begin{array}{c}v_1v_4\hfill \\ v_2v_3\hfill \\ v_3v_2\hfill \\ v_4v_1\hfill \end{array}& \begin{array}{c}e_1e_5\hfill \\ e_2e_6\hfill \\ e_3e_3\hfill \\ e_4e_4\hfill \\ e_5e_1\hfill \\ e_6e_2\hfill \end{array}\end{array}$$

which implies:

$$\begin{array}{c}x_1=z_4,\hfill \\ y_1=y_4,\hfill \\ z_1=x_4,\hfill \\ x_2=x_3,\hfill \\ y_2=z_3,\hfill \\ y_3=z_2.\hfill \end{array}$$

…and a third reflection:

$$\begin{array}{cc}\begin{array}{c}v_1v_3\hfill \\ v_2v_2\hfill \\ v_3v_1\hfill \\ v_4v_4\hfill \end{array}& \begin{array}{c}e_1e_1\hfill \\ e_2e_3\hfill \\ e_3e_2\hfill \\ e_4e_6\hfill \\ e_5e_5\hfill \\ e_6e_4\hfill \end{array}\end{array}$$

which implies:

$$\begin{array}{c}y_1=z_3,\hfill \\ z_1=y_3,\hfill \\ x_1=x_3.\hfill \end{array}$$

combining all together, we have:

$$\begin{array}{c}x_1=x_2=x_3=z_4=\pi /2,\hfill \\ y_1=z_1=y_2=z_2=y_3=z_3=x_4=y_4=\pi /4.\hfill \end{array}$$

Hence, we have a square torus.

Next, we take $`\mathrm{\Gamma }`$ to be the 1-skeleton of a cube:

1. See figure 1.10.

We take the 1-skeleton of the cube, with orientation induced from its surface. The surface $`S^O(\mathrm{\Gamma })`$ is a sphere with 6 cusps at the vertices of an octahedron. It is readily seen by a stereographic projection that the vertices can be taken to be $`0,1,\mathrm{i},\mathrm{},1,\mathrm{i}`$. Then, we can map them by a Möbius transformation to $`1,\omega ,\omega ^2,R,R\omega ,R\omega ^2`$ respectively, where $`\omega `$ is a primitive cube root of unity and $`R=2+\sqrt{3}`$. (If we apply another Möbius transformation: $`zz/R`$, we get that we could take the vertices to be exactly at the vertices and tick-marks of the standard ideal triangle). $`S^C(\mathrm{\Gamma })`$ is the Riemann sphere.
2. We take the 1-skeleton of the cube with orientation induced from its surface, and we flip the orientation at one vertex, say $`A`$. We calculate $`S^C(\mathrm{\Gamma })`$ according to ideas we learned from Curt McMullen.

Set $`X=S^O(\mathrm{\Gamma })`$. $`X`$ is a torus with four cusps. One of the cusps is surrounded by twelve triangles and the other three are surrounded by four each. We have a $`/3`$ action on $`S^O(\mathrm{\Gamma })`$, coming from the order-3 rotation of the cube along its diagonal through $`A`$. The quotient, $`Y`$, is an orbifold with two cusps and two ramification points of order 3: One cusp is the image of the three cusps of length 4, the other cusp is the image of the cusp of length 12, and the two ramification points come from the centers of the triangles pasted on the vertices of the rotation axis.
The genus of $`Y`$ may be calculated by the Riemann–Hurwitz relation:

$$\chi (X)=3\chi (Y)4,$$

where the relevant Euler characteristics are:

$`\chi (X)`$ $`=`$ $`22g_X4,`$
$`\chi (Y)`$ $`=`$ $`22g_Y2.`$
After substituing we get that $`g_Y=0`$.

The compactification of $`X`$, $`X^C`$, is obtained as a 3-regular covering of the sphere, branched over three points, each of them, with ramification index 3, which may be taken to be $`0`$, $`1`$ and $`\mathrm{}`$. Hence, a possible equation for $`X^C`$ in $`^2`$ is:

$$x^3=zy(yz).$$
3. (Due to Curt McMullen). See figure 1.11.

We take the 1-skeleton of the cube, with orientation at the vertices induced from the surface of the cube. Then we flip orientation at 2 opposite vertices, say $`A`$ & $`B`$. What we get is a surface, $`X`$, of genus 2, with 2 cusps, and 12 ideal triangles around each cusp.

Consider the automorphism of $`X`$ of order 3 obtained from rotating the cube along the diagonal $`AB`$. When we mod out $`X`$ by the action of $`/3`$, we get an orbifold, Y, with two cusps and two points of ramification index 3: The points of order 3 come from the centers of the triangles at $`A`$ and $`B`$. The genus of $`Y`$ may be calculated by the Riemann-Hurwitz relation:

$`\chi (X)`$ $`=`$ $`3\chi (Y)4,`$
$`\chi (X)`$ $`=`$ $`22g_X2=4,`$
$`\chi (Y)`$ $`=`$ $`22g_Y2,`$
from which we get $`g_Y=0`$. The triangulation of $`X`$ descends to a triangulation of $`Y`$ composed of four cells around each cusp.

Normalize $`Y`$ so that the ramification points of order 3 are at $`y=0`$, and $`y=\mathrm{}`$, and the cusps are at $`y=1`$, and $`y=y_0`$. We now take the 3-regular cover, $`Z`$, of $`Y`$ with ramification of order 3 at $`y=0`$ and $`y=\mathrm{}`$. $`Z`$ is a surface (not orbifold) of genus 0, with 6 cusps at the cube roots of $`1`$ and $`y_0`$. One may verify this by again applying the Riemann-Hurwitz relation:

$`\chi (Z)`$ $`=`$ $`3\chi (Y)4,`$
$`\chi (Y)`$ $`=`$ $`22g_Y2=0,`$
$`\chi (Z)`$ $`=`$ $`22g_Z6.`$
The covering map $`ZY`$ is given by $`y=z^3`$, and the cellulation of $`Y`$ lifts to a triangulation of $`Z`$, with four triangles surrounding each cusp. Thus, it is readily seen that $`Z`$ can be constructed from a 3-regular graph, $`\mathrm{\Gamma }`$, which corresponds to this triangulation. $`Z`$ is of genus $`0`$ and has six cusps of length 4 each. By formula (1.1), $`\mathrm{\Gamma }`$ has eight vertices. The only graph with this combinatorics is the 1-skeleton of the cube with orientation induced from the surface of the cube. Therefore, $`Z`$ is a sphere with six cusps at the vertices of an octahedron.

In example 1.10 it was shown that the vertices of an octahedron may be taken to be $`\{1,\omega ,\omega ^2,R,\omega R,\omega ^2R\}`$, where $`R=2+\sqrt{3}`$ (or $`R=2\sqrt{3}`$), and $`\omega `$ is a primitive cube root of unity. From here we conclude that $`y_0=R^3=2615\sqrt{3}`$. Hence, the conformal compactification of $`X`$, $`X^C`$, is the surface obtained as a degree 3-regular cover of $`S^2`$ with ramification points of order 3 at $`\{1,2615\sqrt{3},0,\mathrm{}\}`$. An equation for $`X^C`$ in $`^2`$ may be:

$$x^3=\frac{zy(yz)}{y+26z+15\sqrt{3}z}.$$
4. (\[Br3, BFK\]). Set $`\mathrm{\Gamma }=PSL(2,)`$, and let $`\rho `$ be a finite index torsion free subgroup of $`\mathrm{\Gamma }`$. We have:

###### Theorem 1.9.1.

$`^2/\rho `$ can be constructed out of a 3-regular graph.

###### Proof.

The classical fundamental domain for $`\mathrm{\Gamma }`$ is given by (see figure 1.12):

$$F=\{z^2:|\mathrm{}(z)|<1/2,|z|>1\}.$$

Here, we take as a fundamental domain for $`\mathrm{\Gamma }`$ (see figure 1.13):

$$G=\{z^2:0<\mathrm{}(z)<1,|z|>1,|z1|>1\}.$$

Observe that three copies of $`G`$ around $`\omega +1`$ $`(\omega =\mathrm{e}^{2\pi \mathrm{i}/3})`$ fit together to give the marked ideal triangle. The equivalence between three such copies is given by an elliptic element of order 3 in $`\mathrm{\Gamma }`$.

A fundamental domain for $`\rho `$ is composed of copies of $`G`$, and since $`\rho `$ is torsion free, the three copies above are not equivalent under $`\rho `$, and can all be included in a fundamental domain for $`\rho `$. We have shown:

###### Lemma 1.9.2.

A fundamental domain for $`\rho `$ can be chosen such that it is composed of copies of the marked ideal triangle.

Let $`J`$ be such a fundamental domain for $`\rho `$, and mark in each marked ideal triangle the three copies of $`G`$. Take $`\mathrm{\Delta }`$ to be the three-regular graph which is composed of the finite edges of the copies of $`G`$, and its vertices are the centers of the marked ideal triangles. The orientaion on $`\mathrm{\Delta }`$ is induced from the surface $`^2/\rho `$. It is readily seen that $`^2/\rho S^O(\mathrm{\Delta })`$. ∎

A well known family of finite-index torsion free normal subgroups of $`\mathrm{\Gamma }`$ are the congruence subgroups (see \[BFK\]):

$$\mathrm{\Gamma }(k)=\left\{(\begin{array}{cc}a& b\\ c& d\end{array})\mathrm{\Gamma }\right|\left(\begin{array}{cc}a& b\\ c& d\end{array}\right)\pm (\begin{array}{cc}1& 0\\ 0& 1\end{array})(modk)\}.$$

Observe that $`\mathrm{\Gamma }/\mathrm{\Gamma }(k)PSL(2,/k)`$. As we have seen $`S(k)=^2/\mathrm{\Gamma }(k)`$ all arise from graphs. These graphs, called dual Platonic graphs in \[BFK\], have a simple algebraic description, and generalize the classical Platonic solids.

Denote the conformal compactification of $`S(k)`$ by $`P(k)`$. In \[Br3\] these surfaces were called the *Platonic Surfaces*.

### 1.10 Belyi Surfaces

In this section we show that we know how to construct Belyi surfaces out of graphs. By Belyi’s theorem it will follow that the set of constructed surfaces is dense in the moduli space.

Let $`S`$ be a compact Riemann surface. It is well known that there exists a non-constant meromorphic function on $`S`$, $`\varphi :S𝕊^2`$.

###### Definition 1.10.1.

If there exists a branched covering $`\varphi :S𝕊^2`$, such that $`\varphi `$ is branched over at most three points, then $`S`$ is called a *Belyi surface*.

###### Theorem 1.10.2 (\[Be\]).

$`S`$ is a Belyi surface if and only if as a curve in $`^2`$ its minimal polynomial lies over some number field.

###### Corollary 1.10.3.

For every integer $`g0`$ Belyi surfaces are dense in the moduli space of compact Riemann surfaces of genus $`g`$.

We can characterize Belyi surfaces as follows:

###### Lemma 1.10.4.

$`S`$ is a Belyi surface if and only if we can find finitely many points on $`S`$, $`\{p_1,\mathrm{},p_k\}`$, such that $`S\{p_1,\mathrm{},p_k\}`$ is isomorphic to $`^2/\rho `$, where $`\rho `$ is a finite index torsion free subgroup of $`PSL(2,)`$.

###### Proof.

We begin by some basic observations: Let $`\mathrm{\Gamma }=PSL(2,)`$, and

$$\mathrm{\Gamma }(k)=\left\{\left(\begin{array}{cc}a& b\\ c& d\end{array}\right)\mathrm{\Gamma }\right|\left(\begin{array}{cc}a& b\\ c& d\end{array}\right)\pm \left(\begin{array}{cc}1& 0\\ 0& 1\end{array}\right)(modk)\}.$$

$`\mathrm{\Gamma }(2)`$ has fundamental domain,F, which is composed of 2 ideal triangles glued along a common edge (figure 1.14):

$$F=\{z^2:0<\mathrm{}(z)<2,|z1/2|>\frac{1}{2},|z3/2|>\frac{1}{2}\}.$$

From this, we see that the 3-punctured sphere (the punctures may be taken to be at $`0,1,\mathrm{}`$) may be realized as $`^2/\mathrm{\Gamma }(2)`$. Moreover, as we observed in example 1.9.1, each ideal triangle is composed of three copies of the fundamental domain of $`\mathrm{\Gamma }`$. Therefore, the 3-punctured sphere is a degree-6 branched covering of $`^2/\mathrm{\Gamma }`$.

Let $`S`$ be a compact Riemann surface. If $`S`$ is a Belyi surface, then there exists a finite number of points on $`S`$, $`\{p_1,\mathrm{},p_k\}`$ such that $`S\{p_1,\mathrm{},p_k\}`$ is a regular smooth finite degree covering of $`^2/\mathrm{\Gamma }(2)`$. Therefore, $`S\{p_1,\mathrm{},p_k\}`$ may be realized as $`^2/\rho `$, where $`\rho `$ is a finite-index subgroup of $`\mathrm{\Gamma }(2)`$, and since $`\mathrm{\Gamma }(2)`$ is a finite-index torsion-free (see \[BFK\]) subgroup of $`\mathrm{\Gamma }`$, we get that $`\rho `$ is a finite-index torsion-free subgroup of $`\mathrm{\Gamma }`$.

Conversely, if we can find finitely many points $`\{p_1,\mathrm{},p_k\}`$ on $`S`$, such that $`S\{p_1,\mathrm{},p_k\}`$ is isomorphic to $`^2/\rho `$, where $`\rho `$ is a finite index torsion free subgroup of $`\mathrm{\Gamma }`$, then $`S\{p_1,\mathrm{},p_k\}`$ is a finite-degree branched covering of $`^2/\mathrm{\Gamma }`$, which is a sphere with one cusp and 2 ramification points. Therefore, if we remove the 2 ramification points and their pre-images, we get that $`S\{p_1,\mathrm{},p_k,\mathrm{},p_n\}`$ is a regular smooth finite-degree covering of the 3-punctured sphere. So, by definition, $`S`$ is a Belyi surface. ∎

Using the last lemma we can now prove:

###### Theorem 1.10.5.

A Riemann surface can be constructed out of a 3-regular graph if and only if it is a Belyi surface.

###### Proof.

Lemma 1.10.4 and theorem 1.9.1 show that any Belyi surface can be constructed out of some 3-regular graph with orientation.

Conversely, take a 3-regular graph with orientation, $`\mathrm{\Delta }`$. A fundamental domain, $`F`$, for $`S^O(\mathrm{\Delta })`$ is composed of copies of the ideal triangle. By decomposing each ideal triangle into three copies of the fundamental domain for $`PSL(2,)`$, we see that $`S^O(\mathrm{\Delta })`$ may be realized as $`^2/\rho `$, where $`\rho `$ is a finite-index torsion free subgroup of $`PSL(2,)`$. ∎

## Chapter 2 Geometric Relations between $`S^O(\mathrm{\Gamma })`$ and $`S^C(\mathrm{\Gamma })`$.

### 2.1 Introduction

Let $`\mathrm{\Gamma }`$ be a 3-regular graph with orientation. In chapter 1 we introduced a way to construct a finite area Riemann surface, $`S^O(\mathrm{\Gamma })`$, out of $`\mathrm{\Gamma }`$. We denoted its conformal compactification by $`S^C(\mathrm{\Gamma })`$.

According to the Uniformization Theorem (see appendix C), $`S^C(\mathrm{\Gamma })`$ admits a complete Riemannian metric of constant curvature (which is compatible with the given conformal structure). In general, this metric might be very different from the metric on $`S^O(\mathrm{\Gamma })`$. For instance, the 3-punctured sphere admits a hyperbolic structure while its compactification, the Riemann sphere, doesn’t admit a hyperbolic metric at all. The main results of this chapter are theorems 2.3.1 and 2.10.1. These results give conditions under which we do have a hyperbolic metric on $`S^C(\mathrm{\Gamma })`$ which is close in some sense to the metric on $`S^O(\mathrm{\Gamma })`$. These conditions are related to the size of the cusps of $`S^O(\mathrm{\Gamma })`$.

As a last remark, we would like to suggest the reader to bear in mind the *Ahlfors–Schwarz Lemma* (see appendix A) while reading this chapter.

### 2.2 Large Cusps

The number of cusps on a complete hyperbolic Riemann surface of finite area, $`S`$, is finite. This follows from Gauss–Bonnet theorem, which reduces in that situation to:

$$\text{area}(S)=2\pi \chi (S)=2\pi (22gN_c),$$

where $`g`$ is the genus of $`S`$, and $`N_c`$ is the number of cusps. Alternatively, it follows from theorem 2.2.2.

Each cusp of $`S`$ has *a horocyclic neighbourhood*, i.e a neighbourhood isometric to $`_r=\{z𝔻^{}:|z|<r\}`$ for some $`0<r<1`$. The area of $`_r`$, $`\mathrm{area}(_r)`$, will be a measure for the size of the cusp:

###### Definition 2.2.1.

We say that *the cusps of $`S`$ are bigger than $`c`$* if there exist pairwise disjoint horocyclic neighbourhoods of the cusps $`𝒰_1,\mathrm{},𝒰_l`$ such that $`i\mathrm{area}(𝒰_i)>c`$.

A beautiful classical theorem is the following:

###### Theorem 2.2.2 (Shimizu-Leutbecher).

Let $`S`$ be a complete hyperbolic Riemann surface. Then, the cusps of $`S`$ are $``$ 1.

The classical proof of Shimizu and Leutbecher uses an iteration argument and can be found in \[K\]. We bring here another proof, based on the decomposition of $`S`$ into ideal triangles. A different proof in a similar spirit can be found in \[Bu\].

###### Proof.

We can find a locally finite triangulation on $`S`$, such that each vertex of the triangulation is a cusp of $`S`$. In each ideal triangle we can mark the “standard horocyclic segments” (see section 1.1 and figure 1.2). Fix one cusp, $`P`$. Look at the ideal triangles which surround $`P`$. We pick the triangle, $`T`$, with the “closest” opposite horocycle to the cusp (in the universal cover, we can describe the situation easily - see figure 2.1).

We continue this horocycle segment to close a horocyclic neighbourhood around $`P`$. We repeat this for all cusps of $`S`$. It is clear that the horocyclic neighbourhoods constructed in this way are pairwise disjoint, and since each horocycle segment is of length 1, the horocycles are of length at least 1. ∎

### 2.3 Controlling $`S^C(\mathrm{\Gamma })`$

Let $`S`$ be a complete hyperbolic Riemann surface of finite area. Let $`S_c`$ be its conformal compactification (see section 1.8). The following theorem roughly says that if the cusps of $`S`$ are large, we have some control on the geometry of $`S_c`$.

###### Theorem 2.3.1.

If the cusps of $`S`$ are bigger than $`2\pi `$, then $`S_c`$ admits a conformal Riemannian metric of negative curvature which coincides with the metric on $`S`$ outside horocyclic cusp neighbourhoods, $`\{𝒰_i\}_{i=1}^l`$, of area $`>2\pi `$.

In order to prove this theorem, we begin with some preliminary calculations in the next two sections.

### 2.4 The Complete Hyperbolic Punctured Disk

Let $`𝔻^{}`$ denote punctured unit disk with the Euclidean conformal structure on it. The map from $`^2`$ onto $`𝔻^{}`$ defined by $`z\mathrm{e}^{2\pi \mathrm{i}z}`$ realizes $`𝔻^{}`$ as $`^2/\{zz+1\}`$. From this it is easy to give an explicit expression for the complete hyperbolic metric on $`𝔻^{}`$:

###### Lemma 2.4.1.

The complete hyperbolic metric on $`𝔻^{}`$ is given by

$$\mathrm{d}s_𝔻^{}^2=\left(\frac{1}{r\mathrm{log}r}\right)^2|\mathrm{d}z|^2,$$

where $`r=|z|`$.

###### Proof.

Set $`w=\mathrm{e}^{2\pi \mathrm{i}z}`$. Then,

$`\mathrm{d}s_𝔻^{}^2`$ $`=`$ $`1/\mathrm{}(z)^2|\mathrm{d}z|^2`$
$`=`$ $`1/\left(\mathrm{log}|w|/2\pi \right)^2\left|{\displaystyle \frac{\mathrm{d}w}{2\pi \mathrm{i}w}}\right|^2`$
$`=`$ $`\left({\displaystyle \frac{1}{|w|\mathrm{log}|w|}}\right)^2|\mathrm{d}w|^2.`$
Denote by $`_r`$ the horocyclic neighbourhood $`\{z𝔻^{}:|z|<r\}`$.

###### Lemma 2.4.2.

$`\mathrm{area}(_r)=2\pi /\mathrm{log}r`$.

###### Proof.

By lemma 2.4.1

$$\begin{array}{ccccccc}\mathrm{area}(_r)\hfill & =& _0^{2\pi }_0^r\frac{t}{(t\mathrm{log}t)^2}\mathrm{d}t\mathrm{d}\theta \hfill & =& 2\pi \frac{1}{\mathrm{log}t}|_0^r\hfill & =& \frac{2\pi }{\mathrm{log}r}.\hfill \end{array}$$

We also have the following interpretation of the total geodesic curvature of a closed curve:

###### Lemma 2.4.3.

For a simple closed curve, $`\gamma `$, which bounds a domain $`V`$ which includes $`0`$, we have:

$$_\gamma \kappa _g\mathrm{d}(\mathrm{length})=\mathrm{area}(V).$$

###### Proof.

The Euler characteristic of $`V`$ is $`0`$. So, by the Gauss–Bonnet theorem we have:

$$_\gamma \kappa _g\mathrm{d}(\mathrm{length})+_V\kappa \mathrm{d}(\mathrm{area})=2\pi \chi (V)=0.$$

But here $`\kappa =1`$, and the lemma follows. ∎

Set

$`\lambda _𝔻^{}`$ $`=`$ $`{\displaystyle \frac{1}{r\mathrm{log}r}},`$ (2.1)
$`u_𝔻^{}`$ $`=`$ $`\mathrm{log}\lambda _𝔻^{}=\mathrm{log}{\displaystyle \frac{1}{r\mathrm{log}\frac{1}{r}}}.`$ (2.2)
Then we have (see figure 2.2):

###### Lemma 2.4.4.

$`u_𝔻^{}`$ satisfies:

1. $`lim_{r0}u_𝔻^{}(r)=\mathrm{}.`$
2. $`lim_{r1}u_𝔻^{}(r)=\mathrm{}.`$
3. $`u_𝔻^{}^{}(r)<0`$ for $`r<\frac{1}{\mathrm{e}}`$.
4. $`u_𝔻^{}^{}(r)>0`$ for $`r>\frac{1}{\mathrm{e}}`$.
5. $`0<r<1,u_𝔻^{}^{\prime \prime }(r)>0`$.

###### Proof.

Easy. ∎

### 2.5 The Curvature of Metrics on $`𝔻^{}`$

Let $`\mathrm{d}s^2`$ be a Riemannian metric on $`𝔻^{}`$, which is compatible with the conformal structure on $`𝔻^{}`$. $`\mathrm{d}s^2`$ is given by

$$\mathrm{d}s^2=\lambda (x,y)^2(\mathrm{d}x^2+\mathrm{d}y^2),$$
(2.3)
where $`\lambda `$ is a positive function.

###### Lemma 2.5.1.

The curvature of $`\mathrm{d}s^2`$ is given by

$$\kappa =\frac{\mathrm{\Delta }\mathrm{log}\lambda }{\lambda ^2}.$$
(2.4)
###### Proof.

We calculate according to the following formula for the Gaussian curvature:

$$\kappa =\frac{\mathrm{K}(\frac{}{x},\frac{}{y})\frac{}{x},\frac{}{y}}{\frac{}{x},\frac{}{x}\frac{}{y},\frac{}{y}},$$
(2.5)
where

$$\mathrm{K}(X,Y)=_Y_X_X_Y_{[X,Y]}$$
(2.6)
and $``$ is the Levi-Civita connection. The Christoffel symbols for the Levi-Civita connection are given by

$$\mathrm{\Gamma }_{ij}^k=\frac{1}{2}g^{km}(g_{im,j}+g_{mj,i}g_{ji,m}),$$
(2.7)
where $`g_{ij}`$ is the Riemannian metric tensor. Substituing the metric tensor $`\mathrm{d}s^2`$ in this formula, we get
$`\mathrm{\Gamma }_{xx}^x`$ $`=`$ $`{\displaystyle \frac{\mathrm{log}\lambda }{x}}`$    $`\mathrm{\Gamma }_{xy}^x`$ $`=`$ $`\mathrm{\Gamma }_{yx}^x={\displaystyle \frac{\mathrm{log}\lambda }{y}}`$    $`\mathrm{\Gamma }_{yy}^x`$ $`=`$ $`{\displaystyle \frac{\mathrm{log}\lambda }{x}}`$        $`\mathrm{\Gamma }_{xx}^y`$ $`=`$ $`{\displaystyle \frac{\mathrm{log}\lambda }{y}}`$    $`\mathrm{\Gamma }_{xy}^y`$ $`=`$ $`\mathrm{\Gamma }_{yx}^y={\displaystyle \frac{\mathrm{log}\lambda }{x}}`$    $`\mathrm{\Gamma }_{yy}^y`$ $`=`$ $`{\displaystyle \frac{\mathrm{log}\lambda }{y}}`$
We need also $`_{{\scriptscriptstyle \frac{}{x_i}}}\frac{}{x_j}=\mathrm{\Gamma }_{ij}^k\frac{}{x_k}`$ to calculate:

$`_{\scriptscriptstyle \frac{}{x}}\frac{}{x}`$ $`=`$ $`{\displaystyle \frac{\mathrm{log}\lambda }{x}}\frac{}{x}{\displaystyle \frac{\mathrm{log}\lambda }{y}}\frac{}{y},`$
$`_{\scriptscriptstyle \frac{}{x}}\frac{}{y}`$ $`=`$ $`_{\scriptscriptstyle \frac{}{y}}\frac{}{x}={\displaystyle \frac{\mathrm{log}\lambda }{y}}\frac{}{x}+{\displaystyle \frac{\mathrm{log}\lambda }{x}}\frac{}{y},`$ (2.9)
$`_{\scriptscriptstyle \frac{}{y}}\frac{}{y}`$ $`=`$ $`{\displaystyle \frac{\mathrm{log}\lambda }{x}}\frac{}{x}+{\displaystyle \frac{\mathrm{log}\lambda }{y}}\frac{}{y},`$
…and
$`\frac{}{x},\frac{}{x}\frac{}{y},\frac{}{y}`$ $`=`$ $`\lambda ^4`$    $`[\frac{}{x},\frac{}{y}]`$ $`=`$ $`0.`$
When we substitute equations (2.9) – (LABEL:eqn:norms) into the curvature formula (2.5), we get the desired result (2.4). ∎

In the special case of a radial metric on $`𝔻^{}`$, we have

###### Corollary 2.5.2.

The curvature of

$$\mathrm{d}s^2=\lambda ^2(r)(\mathrm{d}r^2+r^2\mathrm{d}\theta ^2)$$

is given by

$$\kappa =\frac{(\mathrm{log}\lambda )^{\prime \prime }+{\displaystyle \frac{1}{r}}(\mathrm{log}\lambda )^{}}{\lambda ^2}.$$

###### Proof.

The Laplacian in polar coordinates is given by

$$\mathrm{\Delta }=\frac{^2}{r^2}+\frac{1}{r}\frac{}{r}+\frac{1}{r^2}\frac{^2}{\theta ^2}.$$

### 2.6 A Key Lemma

Recall that $`_r=\{z𝔻^{}:|z|<r\}.`$

###### Lemma 2.6.1.

If $`\mathrm{area}(_{r_0})>2\pi `$, then there exists a Riemannian metric on $`\mathrm{d}s^2`$ on $`𝔻^{}`$, such that

1. $`\mathrm{d}s^2`$ is conformally equivalent to $`\mathrm{d}s_𝔻^{}^2`$.
2. $`\mathrm{d}s^2`$ coincides with $`\mathrm{d}s_𝔻^{}^2`$ outside a circle of Euclidean radius $`r_0`$.
3. $`\mathrm{d}s^2`$ extends smoothly to a metric on $`𝔻`$.
4. $`\mathrm{d}s^2`$ has negative curvature.

###### Proof.

By lemma 2.4.2, $`\mathrm{area}(_{r_0})>2\pi `$ implies $`r_0>\frac{1}{\mathrm{e}}`$. By lemma 2.4.4 $`u_𝔻^{}^{}(r_0)>0`$ and $`u_𝔻^{}^{\prime \prime }(r_0)>0`$. Therefore, there exists a strictly convex monotonically increasing $`C^2`$-function $`u(r)`$ on $`[0,1)`$ such that

$$\begin{array}{c}r>r_0,u(r)=u_𝔻^{}(r),\hfill \\ u^{}(0)=0.\hfill \end{array}$$

We can construct $`u(r)`$ as follows: First, define a positive continuous function $`w(r)`$ such that,

$`{\displaystyle _0^{r_0}}w(r)dr`$ $`=`$ $`u_𝔻^{}^{}(r_0),`$ (2.11)
$`rr_0,w(r)`$ $`=`$ $`u_𝔻^{}^{\prime \prime }(r).`$ (2.12)
Next, define the function $`v(r)`$ by

$$v(r)=_0^rw(s)ds.$$
(2.13)
Observe that $`v(r)`$ is a $`C^1`$-function which coincides with $`u_𝔻^{}^{}(r)`$ for $`rr_0`$. Finally, define $`u(r)`$ by

$$u(r)=u_𝔻^{}(r_0)+_{r_0}^rv(s)ds.$$
(2.14)
$`u`$ is a $`C^2`$-function which satisfies:

$`rr_0,u(r)`$ $`=`$ $`u_𝔻^{}(r),`$ (2.15)
$`u^{}(0)`$ $`=`$ $`v(0)=0,`$ (2.16)
$`r>0,u^{}(r)`$ $`>`$ $`0`$ (2.17)
$`u^{\prime \prime }=w>0`$ $``$ $`u\text{ is strictly convex}.`$ (2.18)
Set $`\lambda (r)=\mathrm{e}^{u(r)}`$, and $`\mathrm{d}s^2=\lambda ^2(r)(\mathrm{d}x^2+\mathrm{d}y^2)`$. Then, we have:

1. $`\lambda ^{}(0)=0`$ $`\mathrm{d}s^2`$ is smooth at $`0`$.
2. $`\mathrm{d}s^2`$ coincides with $`\mathrm{d}s_𝔻^{}^2`$ for $`r>r_0`$.
3. $`\kappa (\mathrm{d}s^2)<0`$ by corollary 2.5.2.

### 2.7 Proof of Theorem 2.3.1

The key lemma 2.6.1 is the heart of the proof of theorem 2.3.1:

###### Proof.

Let $`\{𝒰_i\}_{i=1}^l`$ be pairwise disjoint horocyclic neighbourhoods of the cusps, $`\{P_i\}_{i=1}^l`$, of areas $`>2\pi `$. According to the key lemma 2.6.1, for each $`1il`$ we can alter the Riemannian metric in $`𝒰_i`$, without affecting the metric outside of this neighbourhood. Doing so, we are left with a Riemannian metric of negative curvature, which extends smoothly across the cusps. In other words, $`S_c`$ admits a Riemannian metric of negative curvature, which coincides with the metric on $`S`$ outside the horocyclic cusp-neighbourhoods, $`𝒰_i^{}s`$. ∎

### 2.8 A Discussion of Theorem 2.3.1

The best constant in theorem 2.3.1 is $`2\pi `$.

One way to see this is by applying the maximum principle for subharmonic functions: Suppose we have a metric of negative curvature in $`𝔻`$ of the form

$$\mathrm{d}s^2=e^{2u(x,y)}(\mathrm{d}x^2+\mathrm{d}y^2),$$

where $`u`$ is smooth and coincides with $`u_𝔻^{}`$ outside $`_{r_0}`$. By formula (2.4) the negativity of the curvature is equivalent to $`\mathrm{\Delta }u>0`$. Hence, $`u`$ is a subharmonic function. By the maximum principle and Hopf’s lemma the maximum of $`u`$ in $`\overline{_{r_0}}`$ is attained on the boundary and $`\frac{u}{r}>0`$ on the boundary. But since $`\frac{u}{r}`$ on the boundary = $`u_𝔻^{}^{}(r_0)`$, it follows by lemma 2.4.4 that $`r_0>\frac{1}{\mathrm{e}}`$. Finally, by lemma 2.4.2 the last inequality is equivalent to $`\mathrm{area}(_{r_0})>2\pi `$.

A different way to see that $`2\pi `$ is a best constant is by applying the Gauss–Bonnet theorem to the region $`_{r_0}`$:

$$_{_{r_0}}\kappa d\text{(area)}+_{_{r_0}}\kappa _gd\text{(length)}=2\pi ,$$
(2.19)
where $`\kappa `$ is the curvature of the metric, and $`\kappa _g`$ is the geodesic curvature of $`_{r_0}`$. Since $`\kappa <0`$ we obtain a necessary condition on $`_{r_0}`$:

$$_{_{r_0}}\kappa _gd\text{(length)}>2\pi .$$
(2.20)
By lemma 2.4.3 this is equivalent to

$$\mathrm{area}(_{r_0})>2\pi .$$

### 2.9 An Extension Problem

The necessary condition (2.20) raises a natural question: Suppose we have a simple closed smooth curve $`\gamma `$ in $`𝔻^{}`$, which bounds a domain $`V`$ which contains $`0`$, such that

$$_\gamma \kappa _gd\text{(length)}>2\pi .$$
(2.21)
\- Is it sufficient in order to extend the metric outside of $`V`$ to a Riemannian metric with negative curvature in $`V`$? A more general form of this question was raised already by M. Gromov in \[G\], pp. 109–110.

Since the metric outside of $`V`$ is conformally equivalent to the Euclidean metric, we may write:

$$\mathrm{d}s_{\mathrm{out}}^2=\lambda _{\mathrm{out}}^2(x,y)(\mathrm{d}x^2+\mathrm{d}y^2),$$

for some positive function $`\lambda _{\mathrm{out}}`$ defined outside of $`V`$. We prove:

###### Theorem 2.9.1.

If the maximum of $`\lambda _{\mathrm{out}}`$ on $`\gamma `$ is attained at a point $`z_{\mathrm{max}}`$, where the normal derivative $`\frac{\lambda }{\stackrel{}{n}}(z_{\mathrm{max}})<0`$, then $`\mathrm{d}s^2`$ cannot be extended to a conformal metric of negative curvature in $`V`$.

###### Proof.

Suppose $`\mathrm{d}s^2`$ is a Riemannian metric of negative curvature on $`𝔻`$, which extends $`\mathrm{d}s_{\mathrm{out}}^2`$ and is given by

$$\mathrm{d}s^2=\lambda ^2(x,y)(\mathrm{d}x^2+\mathrm{d}y^2),$$

where $`\lambda `$ is a smooth positive function defined on $`𝔻`$ and extends $`\lambda _{\mathrm{out}}`$. By formula 2.4

$$\kappa (\mathrm{d}s^2)<0\mathrm{\Delta }\lambda >0.$$

So, $`\lambda `$ is a subharmonic function. By the maximum principle, the maximum of $`\lambda `$ in $`\overline{V}`$ is attained on $`V=\gamma `$. Hence, it is attained at $`z_{\mathrm{max}}`$. But, this is not possible, since the normal derivative there is negative. ∎

The next theorem shows that there exists curves as in theorem 2.9.1:

###### Theorem 2.9.2.

There exists a curve $`\gamma `$ in $`𝔻^{}`$, bounding a domain $`V`$ which includes $`0`$ such that

1. $`_\gamma \kappa _g\mathrm{d}(\mathrm{length})>2\pi .`$
2. $`\gamma `$ has the property of theorem 2.9.1 with respect to the complete hyperbolic metric on $`𝔻^{}`$.

###### Proof.

We can take $`\gamma `$ to be a horocycle with a slit (see figure 2.3): Smooth the curve whose image is given by

$$\{R_1e^{\mathrm{i}t}:|t|<\theta \}\{R_2e^{\mathrm{i}t}:\theta <|t|<\pi \}\{re^{\mathrm{i}t}:R_1rR_2,|t|=\theta \}.$$

We choose $`R_2`$ to satisfy $`\frac{1}{\mathrm{e}}<R_2<1`$. By lemma 2.4.4, we can find $`0<R_1<\frac{1}{\mathrm{e}}`$ such that $`u_𝔻^{}(R_1)>u_𝔻^{}(R_2)`$. Since by lemma 2.4.2 $`\mathrm{area}(_{R_2})>2\pi `$, we can find $`0<\theta <\pi `$ such that the area bounded by $`\gamma `$ in the complete hyperbolic metric on $`𝔻^{}`$ $`>2\pi `$. By lemma 2.4.3, $`\gamma `$ satisfies i).

By construction of $`\gamma `$ and by lemma 2.4.4, we see that the maximum of $`u_𝔻^{}=\mathrm{log}\lambda _𝔻^{}`$ on $`\gamma `$ is attained at a point where the normal derivative is negative. ∎

If we work a little harder, we can show:

###### Theorem 2.9.3.

$`\gamma `$ in theorem 2.9.2 can be taken to be convex (i.e. $`\kappa _g>0`$).

###### Proof.

Take $`\gamma `$ to be be composed of a horocycle and a geodesic circular arc as in figure 2.4.

The total geodesic curvature (taking singular points into account) of $`\gamma `$ is given by the area above it (lemma 2.4.3):

$$_\gamma \kappa _gd\text{(length)}=\frac{2x}{y}+2\theta .$$

We would like to have

$$\frac{2x}{y}+2\theta >2\pi ,$$
(2.22)
and recalling that the map which realizes $`𝔻^{}`$ as $`^2/\{zz+1\}`$ is given by $`z\mathrm{e}^{2\pi \mathrm{i}z}`$, we would also like to have

$$u_𝔻^{}(\mathrm{e}^{2\pi R(y,\theta )})>u_𝔻^{}(\mathrm{e}^{2\pi y}).$$
(2.23)
We have

$`x(y,\theta )`$ $`=`$ $`{\displaystyle \frac{12y\mathrm{tan}\theta }{2}},`$ (2.24)
$`R(y,\theta )`$ $`=`$ $`{\displaystyle \frac{y}{\mathrm{cos}\theta }}.`$ (2.25)
Combining (2.22)—(2.25) together, and noting that $`u_𝔻^{}`$ is given by (2.2), we see that we should find $`y>0,0<\theta <\pi /2`$ such that

$`{\displaystyle \frac{1}{y}}2\mathrm{tan}\theta +2\theta `$ $`>`$ $`2\pi ,`$ (2.26)
$`{\displaystyle \frac{2\pi y}{\mathrm{cos}\theta }}\mathrm{log}{\displaystyle \frac{2\pi y}{\mathrm{cos}\theta }}`$ $`>`$ $`2\pi y\mathrm{log}2\pi y.`$ (2.27)
We may first find a pair $`(y_0,\theta _0)`$ with equality in (2.26), and then decrease $`\theta _0`$. So extracting $`y`$ from (2.26), we obtain that we should find $`0<\theta <\pi /2`$ such that

$$\frac{\pi }{\pi +\mathrm{tan}\theta \theta }>\frac{\mathrm{cos}\theta \mathrm{log}\mathrm{cos}\theta }{1\mathrm{cos}\theta }.$$
(2.28)
The existence of such a $`\theta `$ can be shown by elementary calculus. ∎

Ultimately, we can show

###### Theorem 2.9.4.

There exists a convex curve $`\gamma `$ in $`𝔻^{}`$, such that

1. $`_\gamma \kappa _gd\text{(length)}>2\pi `$.
2. no metric of negative curvature, conformal or nonconformal to the Euclidean metric, can extend the outside metric into the domain bounded by $`\gamma `$.

###### Proof.

We construct $`\gamma `$ as follows (see figure 2.5):

Take any geodesic $`\delta `$ in $`^2`$, whose end points are in $``$. Take a symmetric segment $`\delta ^{}`$ about the “center” of $`\delta `$ of length, say, $`3\pi `$. Now, extend the end points of $`\delta ^{}`$, by horocyclic segments of length $`\pi `$ each. Then, identify $`𝔻^{}`$ with $`^2/\{zz+C\}`$, where $`C`$ is the Euclidean distance between the endpoints of the horocyclic segments.

We get a convex curve $`\gamma `$ in $`𝔻^{}`$ whose total geodesic curvature (taking singular points into account) $`>2\pi `$, by lemma 2.4.3. Suppose we have a Riemannian metric $`\mathrm{d}s^2`$ of negative curvature in the domain bounded by $`\gamma `$, $`V`$ ($`\mathrm{}V`$). Since the distance between the end points of $`\delta ^{}`$ $`<3\pi `$, there exists a geodesic $`\delta ^{}`$ which connects these points. But this is a contradiction to the fact that in a Riemannian surface of negative curvature, there is only one geodesic in each homotopy class. ∎

### 2.10 A Comparison Theorem

If $`S`$ denotes a Riemann surface with a complete hyperbolic metric of finite area $`\mathrm{d}s^2`$, and $`S^C`$ its conformal compactification, we regard $`S`$ as embedded conformally in $`S^C`$. The hyperbolic metric on $`S^C`$ will be denoted by $`\mathrm{d}s_{}^{c}{}_{}{}^{2}`$.

###### Theorem 2.10.1 (\[Br3\]).

For every $`ϵ`$, there exists $`L(ϵ)`$ such that, if the cusps of $`S`$ $`L(ϵ)`$ then

$$\frac{1}{1+ϵ}\mathrm{d}s_{}^{c}{}_{}{}^{2}\mathrm{d}s^2(1+ϵ)\mathrm{d}s_{}^{c}{}_{}{}^{2}.$$

We will need the following lemma, which shows that under a “large cusps” condition we can fix the complete hyperbolic metric on $`𝔻^{}`$ to a smooth metric on $`𝔻`$ without losing control on the curvature:

###### Lemma 2.10.2 (\[Br3\]).

For any $`ϵ>0`$ there exists $`r_ϵ`$ and a smooth metric $`\mathrm{d}s_ϵ^2`$ on $`𝔻`$, such that

1. $`rr_ϵ,\mathrm{d}s_ϵ^2=\mathrm{d}s_𝔻^{}^2`$ ,
2. $`(1+ϵ)\kappa (\mathrm{d}s_ϵ^2){\displaystyle \frac{1}{1+ϵ}}.`$

###### Proof.

We have that for a metric $`\mathrm{d}s^2=e^{2u}|\mathrm{d}z|^2`$, on the disk (or the punctured disk) the curvature is given by (see corollary 2.5.2).

$$\kappa =\frac{u^{\prime \prime }+\frac{1}{r}u^{}}{e^{2u}}.$$
(2.29)
Set

$$g(r)\stackrel{\mathrm{def}}{=}\frac{\frac{1}{r}u^{}(r)}{e^{2u}}.$$
(2.30)
In terms of $`g(r)`$, $`u(r)`$ is given by

$$e^{2u(r)}=_r^12sg(s)ds.$$
(2.31)
Hence the curvature is given in terms of $`g(r)`$ by

$$\kappa =2g(r)rg^{}(r)\frac{2r^2g(r)^2}{_r^12sg(s)ds}.$$

From this formula we see that if we do not change $`g(r)`$ and $`g^{}(r)`$ too much then the curvature doesn’t change much.

We have already seen that the complete hyperbolic metrics on $`𝔻`$ and on $`𝔻^{}`$ are given, respectively, by

$`u_𝔻`$ $`=`$ $`\mathrm{log}{\displaystyle \frac{2}{1r^2}},`$
$`u_𝔻^{}`$ $`=`$ $`\mathrm{log}{\displaystyle \frac{1}{r\mathrm{log}\frac{1}{r}}}.`$
One may calculate that (see 2.30)

$`g_𝔻(r)`$ $`=`$ $`{\displaystyle \frac{1r^2}{2}},`$
$`g_𝔻^{}(r)`$ $`=`$ $`\mathrm{log}{\displaystyle \frac{1}{r}}(\mathrm{log}{\displaystyle \frac{1}{r}})^2.`$
Hence,

$`\underset{r1}{lim}g_𝔻(r)`$ $`=`$ $`\underset{r1}{lim}g_𝔻^{}(r)=0,`$ (2.32)
$`\underset{r1}{lim}g_𝔻^{}(r)`$ $`=`$ $`\underset{r1}{lim}g_𝔻^{}^{}(r)=1`$ (2.33)
Thus, if $`\delta >0`$ is small, set $`r_ϵ`$ such that $`r>r_ϵ`$

$`|g_𝔻(r)g_𝔻^{}(r)|`$ $`<`$ $`\delta ,`$
$`|g_𝔻^{}(r)g_𝔻^{}^{}(r)|`$ $`<`$ $`\delta ,`$
Then, define the function $`\stackrel{~}{g}_ϵ`$ as follows:

$$\stackrel{~}{g}_ϵ(r)=\{\begin{array}{ccc}g_𝔻(r)g_𝔻(r_ϵ)+g_𝔻^{}(r_ϵ)\hfill & ,& \hfill 0r<r_ϵ\\ g_𝔻^{}(r)\hfill & ,& \hfill r_ϵr1.\end{array}$$

Finally, smooth $`\stackrel{~}{g}_ϵ`$ at $`r_ϵ`$ to a smooth function, $`g_ϵ(r)`$, without altering much the derivative.

For any $`0r1`$, $`g_ϵ(r)`$ and its derivative are close to $`g_𝔻(r)`$ or $`g_𝔻^{}(r)`$ and their derivatives. Therefore, the corresponding curvature $`\kappa _ϵ`$ is close to $`1`$.

If we define $`u_ϵ`$ by formula (2.31), then $`u_ϵ`$ is smooth at $`0`$, it coincides with $`u_𝔻^{}(r)`$ for $`r>r_ϵ`$ and its curvature is close to -1. ∎

Now we can prove the main theorem (2.10.1).

###### Proof.

We use the following version of the Ahlfors–Schwarz Lemma due to Wolpert (see theorem A.2.2):

###### Theorem 2.10.3 (\[W\]).

Let $`\mathrm{d}s_1^2,\mathrm{d}s_2^2`$ be two (conformal) metrics on a compact Riemann surface. If $`\kappa (\mathrm{d}s_1^2)\kappa (\mathrm{d}s_2^2)<0`$, then $`\mathrm{d}s_1^2\mathrm{d}s_2^2`$.

For any $`ϵ>0`$ let $`r_ϵ`$ be as in lemma (2.10.2). If the cusps of $`S`$ $`>`$ $`\mathrm{area}(_{r_ϵ})`$, then $`S^C`$ admits a metric $`\mathrm{d}s_1^2`$ whose curvature satisfies:

$$(1+ϵ)<\kappa (\mathrm{d}s_1^2)<\frac{1}{1+ϵ},$$

and it conicides with the metric on $`S`$ away from horocyclic neighbourhoods of the cusps. We observe that $`\kappa (\alpha \mathrm{d}s^2)=\frac{1}{\alpha }\kappa (\mathrm{d}s^2)`$ (lemma 2.5.1). So, we have:

$$\kappa (\frac{1}{1+ϵ}\mathrm{d}s_{}^{c}{}_{}{}^{2})<\kappa (\mathrm{d}s_1^2)<\kappa ((1+ϵ)\mathrm{d}s_{}^{c}{}_{}{}^{2})<0.$$

By Wolpert’s theorem we get:

$$\frac{1}{1+ϵ}\mathrm{d}s_{}^{c}{}_{}{}^{2}\mathrm{d}s_1^2(1+ϵ)\mathrm{d}s_{}^{c}{}_{}{}^{2}.$$

## Appendix A Ahlfors–Schwarz Lemma

### A.1 The Lemma of Schwarz

Ahlfors, in his book \[Ah1\], proves the lemma of Schwarz:

###### Lemma A.1.1.

Let $`f:𝔻𝔻`$ be an analytic function, with $`f(0)=0`$. Then

$$|f(z)||z|$$
(A.1)
and

$$|f^{}(0)|1.$$
(A.2)
If $`|f(z)|=z`$ for some $`z0`$ or $`f^{}(0)=1`$ then $`f`$ is a rotation.

The proof is based on the maximum principle.

Ahlfors remarks that the condition $`f(0)=0`$ should be considered only as a normalization: If we set

$$g_\alpha (z)=\frac{\alpha z}{1\overline{\alpha }z}$$

for $`\alpha 𝔻`$, then $`g_\alpha `$ is an order-2 automorphism of the disk switching $`0`$ and $`\alpha `$. For any analytic map $`f:𝔻𝔻`$ and $`z_1𝔻`$ define

$$h=g_{f(z_1)}fg_{z_1}.$$

$`h`$ maps $`𝔻`$ into $`𝔻`$ and fixes $`0`$. Applying the Lemma of Schwarz to $`h`$ with $`z=g_{z_1}(z_2)`$ we obtain:

$$z_1,z_2𝔻,\left|\frac{f(z_1)f(z_2)}{1\overline{f(z_1)}f(z_2)}\right|\left|\frac{z_1z_2}{1\overline{z_1}z_2}\right|$$
(A.3)
and in a differential form

$$z𝔻,\frac{|f^{}(z)|}{(1|f(z)|^2)}\frac{1}{1|z|^2}.$$
(A.4)
Recalling that the complete hyperbolic Riemannian metric on $`𝔻`$ is given by

$$\mathrm{d}s^2=\frac{4}{(1|z|^2)^2}|\mathrm{d}z|^2,$$

or in its integrated form:

$$\mathrm{tanh}\mathrm{dist}(z_1,z_2)=\left|\frac{z_1z_2}{1\overline{z_1}z_2}\right|,$$

we get a first geometric interpretation of the Lemma of Schwarz:

###### Lemma A.1.2 (Schwarz–Pick).

If $`f:𝔻𝔻`$ is analytic, then $`f`$ is length-decreasing. i.e., for any curve, $`\gamma `$,

$$\mathrm{length}(f(\gamma ))\mathrm{length}(\gamma ).$$

If $`f`$ preserves the distance between one pair of distinct points, then $`f`$ is an isometry.

We have the following important corollary:

###### Corollary A.1.3.

Let $`f:S_1S_2`$ be an analytic mapping between complete hyperbolic Riemann surfaces. Then $`f`$ is length-decreasing.

###### Proof.

The universal covering of $`S_i`$ is $`𝔻`$ equipped with complete hyperbolic metric. We may lift $`f`$ to a an analytic map $`\stackrel{~}{f}:𝔻𝔻`$, between the universal coverings. $`f`$ is length-decreasing iff $`\stackrel{~}{f}`$ is length-decreasing. But $`\stackrel{~}{f}`$ is length-decreasing by the previous lemma. ∎

### A.2 Curvature and the Lemma of Schwarz

In \[Ah2\] Ahlfors shows that the Lemma of Schwarz is related with the notion of curvature.

###### Lemma A.2.1 (\[Ah2\]).

Let $`S`$ be a Riemann surface endowed with a Riemannian metric $`\mathrm{d}s^2`$ whose curvature $`\kappa (\mathrm{d}s^2)1`$, and let $`f:𝔻S`$ be analytic. Then $`f`$ is length-decreasing.

###### Proof.

We denote the complete hyperbolic metric on $`𝔻`$ by $`\mathrm{d}s_𝔻^2`$. Consider the pull-back singular metric on $`𝔻`$, $`\mathrm{d}s_f^2=f^{}(\mathrm{d}s^2)`$. $`\mathrm{d}s_f^2`$ is conformally equivalent to $`\mathrm{d}s_𝔻^2`$. So, we may write:

$`\mathrm{d}s_𝔻^2`$ $`=`$ $`\lambda _𝔻^2\left|\mathrm{d}z\right|^2,`$
$`\mathrm{d}s_f^2`$ $`=`$ $`\lambda _f^2\left|\mathrm{d}z\right|^2,`$
We need to show

$$\lambda _f\lambda _𝔻$$
(A.5)
(sometimes this is written as $`\mathrm{d}s_f\mathrm{d}s_𝔻`$). where the $`\lambda `$’s are nonnegative functions and $`\lambda _𝔻>0`$. The last inequality is trivial at the branch points of $`f`$.

The curvatures (at nonsingular points) are given by (see 2.5.1):

$$\kappa _i=\frac{\mathrm{\Delta }\mathrm{log}\lambda _i}{\lambda _i^2},$$
(A.6)
where $`\mathrm{\Delta }`$ is the Laplacian: $`\mathrm{\Delta }=^2/x^2+^2/y^2`$. Hence, if we set $`u_i=\mathrm{log}\lambda _i`$ we have:

$$\mathrm{\Delta }u_i=\kappa _i\mathrm{e}^{2u_i}.$$
(A.7)
Suppose first that $`\frac{\lambda _f}{\lambda _𝔻}`$ attains its maximum in $`𝔻`$ (a maximum point is obviously nonsingular), then $`u_fu_𝔻`$ attains its maximum in $`𝔻`$ and at maximum we have,

$`\mathrm{\Delta }(u_fu_𝔻)0`$ $`\stackrel{(\text{A.7})}{}`$ $`\kappa _f\mathrm{e}^{2u_f}+\kappa _𝔻\mathrm{e}^{2u_𝔻}0`$
$``$ $`\mathrm{e}^{2(u_fu_𝔻)}\stackrel{(\kappa _𝔻<0)}{}\kappa _𝔻/\kappa _f1`$
$``$ $`u_fu_𝔻0`$
$``$ $`{\displaystyle \frac{\lambda _f}{\lambda _𝔻}}1.`$
We got $`\mathrm{max}\frac{\lambda _f}{\lambda _𝔻}1`$, as we wished.

In the general case, we pick $`0<r<1`$ and approximate $`u_f`$ by

$$\lambda _{r,f}(z)=r\lambda _f(rz).$$

$`\lambda _{r,f}`$ is finite on $`|z|=1`$. Hence $`\frac{\lambda r,f}{\lambda 𝔻}`$ attains its maximum in $`𝔻`$. Also, $`\kappa _{r,f}(z)=\kappa _f(rz)1`$. So, by (A.2) we get $`\lambda _{r,f}\lambda _𝔻`$. Letting $`r`$ tend to $`1`$ we obtain the desired result. ∎

One may ask what happens if we replace $`𝔻`$, with an arbitrary Riemann surface. For compact Riemann surfaces an answer was given by Wolpert:

###### Theorem A.2.2 (\[W\]).

Let $`S_1`$ and $`S_2`$ be two Riemann surfaces equipped with Riemannian metrics, where $`S_1`$ is compact and

$$\kappa _2\kappa _1<0.$$

Then, an analytic $`f:S_1S_2`$ is length decreasing.

###### Proof.

We pull-back the metric on $`S_2`$ to a metric on $`S_1`$. The two metrics on $`S_1`$ are conformal. Therefore their ratio is a well defined nonnegative function on $`D`$ which attains its maximum by compactness. From here, we proceed as in the proof of Ahlfors–Schwarz Lemma. ∎

Brooks proved the following version of Ahlfors–Schwarz Lemma:

###### Theorem A.2.3 (\[Br4\]).

Let $`S_1`$ and $`S_2`$ be two Riemann surfaces equipped with Riemannian metrics and with $`𝔻`$ as an analytic univeral covering. If $`S_1`$ is complete and

$$sup\kappa _2inf\kappa _1<0,$$

then an analytic $`f:S_1S_2`$ is length decreasing.

###### Proof.

We consider the univeral coverings, $`𝔻_1`$ and $`𝔻_2`$ with the pull-back metrics by the projection maps, and we lift $`f`$ to $`\stackrel{~}{f}:𝔻_1𝔻_2`$. Then we pull-back the metric on $`𝔻_2`$ to a metric on $`𝔻_1`$. The completeness of $`S_1`$ guarantees that the corresponding metric on $`𝔻_1`$ blows up on the boundary, and the $`supinf`$ inequality guarantees that the approximation argument in the proof of Ahlfors–Schwarz lemma will work. ∎

## Appendix B The Poincaré Polygon Theorem

Let $`^2`$ be the hyperbolic plane. Consider a finite-sided polygon with all vertices at infinity, $`P`$, in $`^2`$. $`P`$ has sides of two kinds: The sides of the first kind are the sides which are not contained in the boundary of $`^2`$. The sides of the second kind are the sides, which are contained in the boundary of the hyperbolic plane. Suppose that the number of sides of the first kind is even, and we divide them into pairwise disjoint pairs. To each pair $`\{s_i,s_j\}`$ we associate an orientation-preserving transformation, $`A_{ij}`$, which maps $`s_i`$ onto $`s_j`$ in such a way that $`A_{ij}(P)P=\mathrm{}`$. We consider the subgroup, $`G`$, of $`ISO^+(^2)PSL(2,)`$, which is generated by the side-pairing transformations.

###### Definition B.1.

A *vertex-cycle transformation* is an element of $`G`$ which stabilizes a vertex of the polygon $`P`$.

Remark: For any vertex $`v`$ of $`P`$ $`\mathrm{Stab}_G(v)`$ is a cyclic group.

###### Theorem B.2.

If all the vertex-cycle transformations in $`G`$ are parabolic, then $`G`$ is a discrete subgroup of $`ISO^+(^2)`$, with $`P`$ as a fundamental domain.

I liked De Rham’s survey and proof of the theorem in the compact and non-compact polygones cases in \[dR\].

## Appendix C The Uniformization Theorem

The Uniformization Theorem can be formulated as follows:

###### Theorem C.1.

Any simply connected Riemann surface is conformally equivalent to one and only one of the following surfaces:

1. The Riemann sphere.
2. The complex plane.
3. The unit disk.

A proof can be found in \[FK\].

###### Corollary C.2.

On a Riemann surface there exists a complete Riemannian metric of constant curvature 1, 0, or -1.


format: text

text:
# Melting behavior of ultrathin titanium nanowires

## Abstract

The thermal stability and melting behavior of ultrathin titanium nanowires with multi-shell cylindrical structures are studied using molecular dynamic simulation. The melting temperatures of titanium nanowires show remarkable dependence on wire sizes and structures. For the nanowire thinner than 1.2 nm, there is no clear characteristic of first-order phase transition during the melting, implying a coexistence of solid and liquid phases due to finite size effect. An interesting structural transformation from helical multi-shell cylindrical to bulk-like rectangular is observed in the melting process of a thicker hexagonal nanowire with 1.7 nm diameter.

Metal nanowires are current focus of intensive research due to both the fundamental interests of low-dimensional physics and the potential applications in nanoscale materials and devices. Experimentally, stable ultrathin metal nanowires with diameter down to several nanometers and sufficient length have been fabricated by various methods . For example, Ti nanowires of a few nm in width were produced by Ar+ ions irradiation on Ti thin layer by using carbon nanotube as a mask . Takayanagi’s group has successfully produced suspended stable gold wires . Novel helical multi-shell structures were observed in those ultrathin gold nanowires . As compared with bulk materials and atomic clusters, one-dimensional (1-D) metal nanowire have both the 1-D periodicity along wire axis similar to bulk solids and the larger surface to volume ratio like clusters. Therefore, the metal nanowires are expect to exhibit some unique features different from either bulk solids or nanoclusters.

On theoretical side, the structures and properties of free-standing ultrathin metal nanowires have been studied by several groups . Based on genetic algorithm simulations with empirical potentials, we have systematically studied the helical multi-shell structures in Au , Ti , Zr  nanowires. The corresponding vibrational, electronic, and transport properties were also discussed. However, little is known about the thermal stability and melting behavior of the 1-D metal nanowires, especially for those transition metal nanowires with novel cylindrical multi-shell structures. Thus, it is important to clarify the relation between the melting behavior and the size or geometry of these ultrathin metal nanowires. The finite size effects , e.g., solid-liquid coexistence, on the phase transition of such quasi-1D systems are also interesting. For thicker crystalline lead nanowires, surface melting phenomena associated with formation of a thin skin of highly mobile surface atoms were observed . More recently, the multi-shell gold nanowires and their melting behaviors have been studied by MD simulations . In our previous work, the atomic structures of titanium nanowires with diameter from 0.7 to 1.7 nm have been optimized and helical multi-walled cylindrical structures have been obtained . In this paper, we report molecular dynamic simulations on the thermodynamic properties of the titanium nanowires. The effect of nanowire size and geometry on the melting behavior will be discussed.

In our simulations, Ti nanowires of sufficient length are modeled by supercell with 1-D periodical boundary condition along the wire axis direction. As a reasonable compromise between keeping the helicity in $`z`$ axis direction and avoiding the nanowire breaking into clusters upon relaxation, the length of the supercell is chosen to be 1.256 nm. The interaction between titanium atoms is described by a well-fitted tight-binding many body potential . To simulate the melting behavior of nanowires, we employ the constant temperature molecular dynamics (MD) method by Hoover , which have been extensively used in our previous works . The MD time step is chosen as 2.15 fs. At each temperature, the initial 105 MD steps are used to bring the system into equilibrium. Then we monitor the internal energy $`E`$, root-mean-square (rms) fluctuation of the interatomic distances $`\delta `$, and heat capacity $`C_v`$ from the thermal statistical averages in the equilibrium canonical ensemble. At each temperature, 106 MD steps are performed to record the thermodynamic average of these physical properties. The constant-temperature MD simulations start from a low temperature (400 K). The temperature gradually increases towards high temperature (1400 K) by 50 K per step.

We first perform comprehensive genetic algorithm simulations  on the equilibrium structures of titanium nanowires. Several representative structures are presented in Fig.1. These stable multi-shell structures are composed by coaxial cylindrical shells, which have been theoretically predicted for Al, Pb, Zr, Cu, and Au nanowires  and experimentally observed in Au nanowires . We use index $`n`$-$`n^{}`$-$`n^{\prime \prime }`$-$`n^{\prime \prime \prime }`$  to describe the nanowire consisting of coaxial shells with $`n`$, $`n^{}`$, $`n^{\prime \prime }`$, $`n^{\prime \prime \prime }`$ helical atomic rows ($`n>n^{}>n^{\prime \prime }>n^{\prime \prime \prime }`$) each. Thus, the nanowire structures in Fig.1 can be defined as 8-2, 9-3, 9-4, 5-1, 6-1, 12-6-1, and 17-12-6-1 respectively. The structure of the thinnest 5-1 wire is centered pentagonal, with the outer shell containing five strands and the inner shell as a single atomic row. The 6-1, 12-6-1, and 17-12-6-1 wires in Fig.1 constitute a hexagonal growth sequence containing two-shell, three-shell, and four-shell with a central single atomic row. In stead of central atomic row based structures, the 8-2, 9-3, 9-4 wires are composed of eight or nine strands in the outer shell and two to four strands in the inner shell. Moreover, multi-shell structures such as 13-8-2, 14-9-3, 15-9-4 are obtained in our simulation. Our systematical illustration of various multi-shell growth sequence of the metal nanowire can be found elsewhere .

Starting from those optimized structures at low temperature, we simulate the melting behavior of the titanium nanowires using constant-temperature MD method. As representative examples, Fig.2 (a), (b), (c), (d), (e) present the temperature dependence of the internal energy $`E`$, mean square bond length fluctuation $`\delta `$, and thermal capacity $`C_v`$ for 5-1, 6-1, 9-4, 12-6-1, and 17-12-6-1 nanowires respectively. From those curves, we can define the overall melting temperature Tm of the system as the temperature at half of saturated $`\delta `$ in liquid states \[??\]. For the purpose of comparison, we have also simulated the melting of some titanium nanoclusters with equilibrium structures such as icosahedral Ti55 . Table 1 summarizes the Tm of various nanowires with different multi-shell structural pattern from our simulations. In general, the melting temperatures of titanium nanowires are much lower than the bulk value (1943 K) and increase with the nanowire size. Because of the 1-D periodicity and the well-reconstructed helical surface structures, the melting temperatures of nanowires are typically higher than those of clusters with comparable size (see Table I).

To explore the size dependence of nanowire melting temperature, we plot the overall melting temperature $`T_m`$ versus wire diameter (1/D) in Fig.3. It is found that the $`T_m`$ for the 6-1, 12-6-1, 17-12-6-1 wires under the same hexagonal growth sequence fit well to a linear dependence as:

$$T_m=T_0\eta /D$$

where $`T_0=`$ 1542 K is the extrapolated infinite limit, $`\eta =682`$ K $``$ nm describes the linear dependence of $`T_m`$ with diameter $`D`$ (in unit of nm). Such $`1/D`$ dependence of melting temperature for nanowire is similar to the well-known size relationship for metal nanoclusters . As compared with the linear dependence in the hexagonal wires (6-1, 12-6-1, 17-12-6-1), 8-2 and 13-8-2 wires almost belong to the same size relationship while the $`T_m`$ of other nanowires deviate from such linear fit. These differences indicate that the atomic structures of nanowires play significant role in determining the melting behavior of nanowires. Among those wires, the $`T_m`$ of 5-1 wire is much higher than the 6-1 wires with comparable size. On the other hand, the nanowires with three or four atomic strands in the internal shell like 9-3, 14-9-3, 9-4, 15-9-4, have lower melting temperature than the nanowires with one atomic strand in the center, e.g., 12-6-1. This effect might be understood by the relatively looser internal structures of these 9-3 or 9-4 based nanowires (see Fig.1). Therefore, we suggest that the multi-shell metal nanowires with tightly internal structures should have higher thermal stability.

We now discuss the nanowire melting behavior by examining the temperature dependent curve of internal energy $`E`$, bond fluctuation ($`\delta `$) and thermal capacity ($`C_v`$) with different size and geometries. As shown in Fig.2(a-e), the melting of 5-1, 6-1 and 9-4 wires all start from about $`500600`$ K. Their difference in the internal structures are only reflected in the slightly different variations of rms bond length fluctuation $`\delta `$ with temperature. Similar effect has been also found in other thinner nanowires like 8-2, 9-3. For all the thinner wires (e.g., 5-1, 6-1, 9-4 in Fig.(a-c)), we haven’t seen clear peak in the $`C_v`$ curve in Fig.2, which is a characteristic for the first-order solid to liquid phase transition. Accordingly, the increase of internal energies is also relatively smooth in these small nanowires. Only the dramatic jump in bond length fluctuation $`\delta `$ with increasing temperature demonstrates the occurrence of melting. This behavior is similar to that in small clusters . It can be understood by finite size effect in first-order phase transition , which leads to the coexistence of solid and liquid states in a rather broad temperature region . On the other hand, the thicker wires, such as 12-6-1 and 17-12-6-1, show clear characteristics of the solid to liquid phase transition (see Fig.2(d,e)). In particular, there are sharp peaks in the thermal capacity curves at $`1050`$ K and $`1100`$ K for 12-6-1 and 17-12-6-1 wires respectively.

To further understand the melting process in the titanium nanowires, we have traced the structural change of the 17-12-6-1 wire with the temperatures in the melting region. Fig.4 gives the snapshot of the nanowire at different temperatures. One can see that the titanium atoms only weakly oscillate at their equilibrium positions before the overall melting ($`9501000`$ K). Although there are small deformation on the sharp of nanowire and the diffusion of interior atoms, the top view of the nanowire cross-section still shows hexagonal structure with distinct atomic shells. It is interesting to find a structural transformation of the nanowire at $`1050`$ K. In additional to the thermal enhanced 1-D diffusion along wire axis, the atomic arrangements of the nanowire have transformed from cylindrical helical to bulk-like rectangular. In the further melting process, the structures of nanowire remains bulk-like. The structural transition from cylindrical helical to bulk-like rectangular has also been observed in the size evolution of gold nanowire optimized structures in our previous simulation .

From the above results and discussions, we make the following conclusions. (1) The thermal stability of titanium nanowires significantly dependent on the structures and sizes of the wire. (2) The melting temperature of titanium nanowire is lower than the bulk’s, but higher than titanium cluster’s with comparable size. Linear dependence of melting temperature upon inverse of nanowire diameter ($`1/D`$) is obtained. (3) The coexistence mechanism of the solid state and the liquid state due to finite size effect plays a significant role in the melting process of the thinner nanowires ($`D<1.2`$nm). (4) For the thicker nanowires, i.e., $`D1.7`$ nm, we find the structural transformation from the helical multi-shell cylindrical to the bulk-like during the melting process.

The authors thank financial support from National Nature Science Foundation of China (No.29890210).


text:
# Untitled Document

Cyclotron Resonance of Composite Fermions:Quantum Hall Effect.
Keshav N. Shrivastava
School of Physics, University of Hyderabad,
Hyderabad 500 046, India.

We have examined the claim made by Kukushkin et al that they have observed the cyclotron resonance of composite fermions. We find that the claim made is false and there is no justification for making false reports. The microwave absorption in cyclotron levels is obtained and it is claimed that CF has been seen. Since “even flux quanta attachment to one electron” has not been seen, we find that Kukushkin’s claim to have seen the CF is false. Since the attachment of the flux quanta to electrons can be an important discovery, Kukushkin et al have made the claim of seeing the CF without actually identifying them. The data can be interpretted without attaching flux quanta to the electrons.

keshav@mailaps.org Fax. +91-40-3010145

1. Introduction.

First of all, we should define CF. By CF we mean composite fermions (CF) which are magnetic flux quanta attached to the electron. Even number of flux quanta, such as 2, are attached to one electron to make a CF. The effective field at the CF is given by,

$$B^{}=B2n_o\varphi _o,$$
(1)
where $`B`$ is the exernal magnetic field, $`n_s`$ is the electron concentration per unit area and $`\varphi _o`$ is the unit flux $`\varphi _o=hc/e`$, It is found by Jain \[1-6\] that attaching two flux quanta to one electron produces an effective charge of 1/3. Thus we have three properties to identify a CF. (1) Attachment of two flux quanta to an electron, (2) effective field is B and (3) the quasi particle charge is 1/3 for the attachment of two flux to one electron.

We will now examine whether these properties are found by Kukushkin et al or they have made a mistaken report. From this study we find that the identification of CF in the experimental data by Kukushkin et al is incorrect.

2. The experimental measurement.

Recently, Kukushkin et al have measured the microwave absorption as a function of magnetic field. They find that absorption lines at the cyclotron frequency are symmetrically situated from the centre at $`\nu `$= 1/2 which occurs at a field of about 9 $`T`$. The frequency as a function of field is a linear function. The effective field is identified by the expression (1). Substituting B = 0 at $`\nu `$= 1/2, we find,

$$B=2n_s\varphi _o$$
(2)
We take $`n_s`$ = 1.09 $`\times 10^{11}`$ and $`\varphi _o`$ = 4.13$`\times 10^7`$ Gauss cm2 so that the field $`B`$ is found to be about 9 $`T`$. Alternatively, we take the field, at which $`\nu `$= 1/2 occurs and the value of $`\varphi _o`$ to calculate the electron concentration, $`n_s`$. The field B as a function of $`n_s`$ is approximately linear. However, upon examination of a few fundamental properties, it becomes clear that not everything is fine and there is something not quite correct.

I. Near the B=0, the plot of microwave frequency as a function of the effective field B is linear. Since $`B=9T`$, the plot of microwave frequency versus field, B, extends from negative to positive values. For $`B<2n_s\varphi _o`$, the value of $`B^{}`$ is negative and for B$`{}_{}{}^{}>2n_s\varphi _o`$, it is positive. The graph appears symmetric near B$`{}_{}{}^{}=0`$. When we look at the values of the large plateaus, the right hand side which is the positive $`B^{}`$ side, has a plateau at $`\nu =3/7`$ whereas the left-hand side has 3/5. Basically it means that at the plateaus, the left-hand side is not equivalent to the right-hand side. If there is a time reversal invariance in the system, the right-hand side should be the same as the left hand side, like mirror images with mirror at $`B^{}=0`$. On the other hand 3/5 on left and 3/7 on the right do not make the picture symmetric and the time reversal invariance is not obeyed by the experimental data. Therefore, the data has not been identified correctly. Hence, eq.(1) which introduces two fields, one B and the other $`B^{}`$ is not correct.When we pass a current in a coil, a field is produced. Reversing the direction of the current reverses the field. The expression (1) is obviously not having this simple property and hence we can say that the field discription(1) is not correct.
II. We have shown elsewhere that the usual Biot and Savarts law is not obeyed by the expression (1). According to which the current fully determines the field so there is no question of attaching the flux quanta to electrons. The flux quantization is determined by an expression of the type,

$$B.area=\varphi _o$$
(3)
but the expression (1) is not in agreement with the flux quantization. Therefore the idea of flux attachment to the electron is not correct. In any case, the data is asymmetric near $`\nu =1/2`$ whereas the formula (2) is symmetric. Therefore, Kukushkin et al have not varified the expression (1).
III. According to the original papers \[1-2\] on the composite fermions the attachment of two flux quanta to one electron produces the fractional charge of $`1/3`$ but the experiment of Kukushkin et al has used the value of 1/2. Therefore,the experimental data does not agree with the CF value. The application of the two flux attachent to $`\nu =1/2`$ is not justified and hence the observed resonance is not the result of cyctotron resonance of CFs. The application of the two flux attachment to $`\nu =1/2`$ is not justified and hence the observed resonance is not the result of the cyclotron resonance of CFs. Different bands belong to different energies so that one obtains different effective mass for different frequencies, $`\omega =eB/m^{}`$. Therefore, it is perfectly justified to use different masses in different bands but the effective charge identification by Kukushkin et al is mistaken. They have mistaken 1/2 for 1/3. Therefore, it is clear that the symmetry of CF given by (1) is not the same as in the experimental data. The effective charge in the CF is 1/3 but it is 1/2 in the data. There is no evidence of attachment of two flux quanta to one electron in the data. Therefore, the theory of CF is not applicable to the experimental data of Kukushkin et al and they have made incorrect identification of data with CF. In short, all the efforts made to identify the CF in the experimental data have failed. The relation which determines the effective field by attaching two flux quanta to one electron has to be abolished. This means that fluxes are not attached to the electrons. Therefore, even number of fluxes, such as two, are not attached to the electrons. When we examine the experimental data, there is no feature which can be identified with “even number” of flux quanta attachment.

3. Correct Theory.

We show below that the use of our theory \[9-13\] solves the problem correctly. The quantum Hall effect is explained by suggesting that in a large field, the electron acquires large angular momentum and the effective charge is determined from the modifications of the Bohr magneton. The charge is coupled to the spin and there are two series which determine the effective charge. One series is obtained with positive sign of the spin and the other with negative sign as in $`j=l\pm s`$. One of the series is $`l/(\mathit{2}l+\mathit{1})`$ and the other is $`l+\mathit{1}/(\mathit{2}l+\mathit{1})`$. When we substitute, l=2, the two series give 2/5 and 3/5 and these are the particle-hole Kramers conjugate states. For $`l`$=3, the fractions are 3/7 and 4/7 and these are also the Kramers conjugate states. The values of 3/5 and 3/7 as predicted by us are clearly seen in the experimental data of ref.7. All of the values which we tabulated  theoretically in 1986 are the same as those given by the experimentally measured values of Fig.18 of Störmer. Therefore, we regard our theory as correct. We have made considerable study of the data and find that all of the experimental data found in the Phys. Rev. Letters agrees with our calculations.

In recent years, large values of the effective fractional charges have been obtained by spectroscopic methods. In one case, the sample is illuminated with a red light and then this light is switch off and subsequently the resistivity is recorded. In this case, the resolution is considerably improved so that the fractions like 11/2 and 16/2 become visible. Such large values are not due to attachment of flux quanta to an electron. There is no mechanism of gluing the flux quanta with electrons and there is no experimental evidence of flux quanta coming off the electrons. This is a bit too far fetched idea and hence can be safely discarded. Willet et al  also find that as higher Landau levels are traversed, the validity of the CF picture is questionable. However, they report that there is a filled Fermi sea of CFs at 5/2. It turns out that at 5/2, there may be a Fermi sea but it does not prove that flux quanta are attached to electrons. In any case, there is no evidence of even number of flux quanta attaching to electrons. Auslaender et al  have performed the experiments with parallel wires and found that flux is quantized in units of $`hc/e`$ but there is no evidence of attachment of flux quanta to electrons. Therefore, the correct interpretation involves flux quantization and not flux attachment.
4. Conclusions.

We have shown clearly that fluxex are not attached to the electrons and there is no need of composite fermions what so ever. The claim made by Kukushkin et al to have seen the CFs is completely incorrect and unjustified. Therefore, we observe that (a) the expression (1) for B is incorrect because it does not obey the time reversal invariance and it does not quantize the flux correctly. (b) The fractional charge which the attachment of two fluxex to one electron produces is 1/3 in the CF whereas it is 1/2 in the experiment. (c) There is no experimental evidence to support the suggestion of attachment of “even number” of flux quanta to an electron and the claim made by the experimentalists is incorrect.

References.

1. J. K. Jain, Phys. Rev. Lett. 63, 199 (1989).
2. K. Park and J. K. Jain, Phys. Rev. Lett. 81, 4200 (1998).
3. R. K. Kamila, X. G. Wu and J. K. Jain, Phys. Rev. Lett. 76, 1332 (1996).
4. K. Park and J. K. Jain, Phys. Rev. Lett.80, 4237 (1998).
5. J. K. Jain and R. K. Kamila, Int. J. Mod. Phys. 11,2621 (1997).
6. K. Park and J. K. Jain, Phys. Rev. Lett. 84, 5576 (2000).
7. I. V. Kukushkin, J. H. Smet, K. von Klitzing and W. Wegscheider, Nature 413, 409 (2002).
8. K. N. Shrivastava, cond-mat/0201232.
9. K. N. Shrivastava, Phys. Lett. A113, 435 (1986);115, 459(E)(1986).
10. K. N. Shrivastava, Mod. Phys. Lett. B 13,1087 (1999).
11. K. N. Shrivastava, Mod. Phys. Lett. B14, 1009 (2000).
12. K. N. Shrivastava, Superconductivity: Elementary Topics, World Scientific, New Jersey 2000.
13. K. N. Shrivastava, in Frontiers of Fundamental Physics 4, edited by B. G. Sidharth and M. V. Altaisky, Kluwer Academic/Plenum Pub. New York 2001.
14. H.L. Störmer, Rev. Mod. Phys. 71, 875 (1999).
15. K. B. Cooper, M. P. Lilly, J. P. Eisenstein, T. Jungwirth, L. N. Pfeiffer and K. W. West, Solid State Commun. 119, 89 (2001).
16. R. L. Willett, K. W. West and L. N. Pfeiffer, Phys. Rev. Lett. 88, 066801 (2002).
17. O. M. Auslaender, A. Yacoby, R. de Picciotto, K. W. Balwin, L. N. Pfeiffer and K. W. West, Science 295, 825 (2002).