§7.5 Biholomorphisms between Annuli and the General Riemann Mapping Theorem
7.5 Biholomorphisms between Annuli and the General Riemann Mapping Theorem
The Riemann Mapping states that any two open null-homotopic proper subsets of are conformally equivalent. The natural extension to this problem is the existence of such a conformal mapping between regions containing “holes.” The existence of such holes is a question of algebraic topology. One answer to such a classification is given by isomorphisms of the regions’ fundamental groups.
As a matter of fact, any region with one “hole” (doubly connected) will be conformally equivalent to an annular region. This problem will be entertained later below. Another interesting question pertaining to this is the extent to which these biholomorphisms are unique. We provide a result that is of similar spirit.
Definition 7.5.1 (Conformal Modulus of an Annulus).
For , let . The conformal modulus of this annulus is
The following result should shed light upon why such a classification exists:
Theorem 7.5.2.
Suppose and let
If is a biholomorphism, then and, for some , exactly one of the following holds:
- , in which case preserves the two boundary components.
- , in which case interchanges them.
Proof.
Assume that there exists a biholomorphism .
Claim.
Exactly one of the following two cases is true:
- For any sequence whose accumulation points are all in , has accumulation points in ; and for any sequence with accumulation points all in , has all accumulation points in .
- For any sequence whose accumulation points are all in , has accumulation points in ; and for any sequence with accumulation points all in , has all accumulation points in .
Proof of the claim.
First we must show that for any (not necessarily convergent but rather simply that has all accumulation points in ), has all its accumulation points in .
This general scenario is obtained from a property known as properness (of ): for any compact , its preimage ( is compact). Obviously properness is true as is continuous (in general, any homeomorphism is proper) and maps a compact set (here ) to a compact set.
Then for any convergent subsequence converging to within (there exists at least one by Bolzano–Weierstrass), if , then by properness is compact. Note that this is equivalent to being compact, meaning that has an accumulation point in , which is impossible, hence implying all accumulation points of lie on the boundary .
We now show that all sequences approaching the same boundary component of are mapped toward the same boundary component of . Consider first sequences for which , and let . By properness, is compact. Hence, for , we have
Suppose there were two sequences and such that and , but and . For all sufficiently large , the points and both lie in the path-connected annulus . Thus they can be joined by a curve contained entirely in this annulus. The image of this curve under joins points lying in different components of . The modulus of this image then traverses from to . By the Intermediate Value Theorem, there exists a point at which it attains . Therefore the image curve must intersect , contradicting the choice of .
Together with the preceding boundary-accumulation argument, exactly one of the following is true:
- For every sequence with , we have .
- For every sequence with , we have .
Without loss of generality, we assume the former case (for the second case, replacing with the inversion reduces it to the first case).
Applying the same argument to a sufficiently thin path-connected annulus near shows that exactly one of the following is true:
- For every sequence with , we have .
- For every sequence with , we have .
The first possibility cannot occur (under the previous “without loss of generality” assumption). Indeed, suppose that whenever either or . Fix a point , by definition . Then the set
is compact neighborhood of lying in : the closedness is direct from continuity of . Then attains its maximum in ; moreover it is the absolute maximum of attained in the interior of . Then by the Maximum Modulus Principle (Theorem 3.4.2), would then by constant, which is impossible as it must map surjectively to .
This concludes the proof (in the second case recall the inversion we have performed to obtain a dichotomous result).
Once again, without loss of generality assume implies and implies (by composing with an inversion, if necessary).
Then define the function
which is harmonic (as the real part of a holomorphic function). This function extends continuously to and vanishes thereon.
By the Boundary Maximum Principle (Proposition 7.4.1), the function vanishes identically to . Therefore, ,
Let be a region on which one can always define a holomorphic branch of . Then is nonvanishing and has a constant modulus of in . Then for ,
Then must be constant, more concretely a fixed unit value. Then on ,
In order for this to extend to , must be an integral value; moreover for univalence to hold this must be equal to . Therefore, .
If no inversion was used, then . If an inversion was used, the boundary-preserving map is , so
Renaming the angle gives the second form.
Therefore, two annuli are conformally equivalent iff they have the same conformal modulus. We now formalize:
Corollary 7.5.2.1 (Holomorphic Automorphism Group of an Annulus).
For , let . Then is either a rotation, an inversion, or a composition of both.We now provide a conceptual proof of the Riemann Mapping Theorem based on the Dirichlet problem (which is in fact more historically aligned with the original approach from Riemann). We hope that the proof we provide generalizes easily into more complex domains for readers.
Lemma 7.5.3 (Polygonal Grid Exhaustion).
Let be a region. There is a sequence of bounded, connected grid regions, each the interior of a finite union of closed squares from a square grid (and hence polygonal, with finitely many complement components), such that
Moreover, every connected component of is a polygonal Jordan curve, and every point of satisfies the exterior segment condition in Theorem 7.3.15.
If is -connected, then the domains may all be chosen to be -connected. Equivalently, each has precisely holes, or holes in .
Proof.
Choose . If , the interiors of the closed squares centered at with side lengths already give the required exhaustion. Suppose therefore that . For , define
Claim.
There is a compact connected exhaustion of such that .Proof of the claim.
The triangle inequality gives , so is continuous. Choose such that and , and set
Each is compact. Moreover, the two defining inequalities for are strict relative to the bounds defining , so .
Let be the connected component of containing . It is compact, and . In fact, if , then some disk lies in . The connected set contains , so it lies in . Hence a neighborhood of lies in and .
Finally, fix and choose a path from to . Its image is compact, so
For sufficiently large , and , whence . Thus , proving .
Claim.
The region admits a nested exhaustion by bounded connected grid regions with finitely many complementary components.Proof of the claim.
Set
Consider the grid of compact squares
and let
This collection is finite. Each square has diagonal , so
is a compact superset of contained in .
Furthermore, . Indeed, if a point of lay on a grid edge or vertex of , every square adjacent across that edge or at that vertex would also meet and hence belong to , a contradiction. Let be the connected component of containing . Then
Thus is the required grid exhaustion.
Claim.
The grid exhaustion may be chosen so that every boundary component is a polygonal Jordan curve and distinct boundary components are disjoint.Proof of the claim.
We resolve the possible “pinches” (see Figure 7.2) in each . Let
and let be the side length of the square used in the grid constructing . Moreover, let
It follows that the resultant value is a factor of , and satisfies and .
Note that if a boundary component of is not a Jordan curve, then in some -by- subgrid, exactly two opposite squares will be in whilst the other two are not (refer to the circled area in Figure 7.2). Let be the set of grid vertices in . Then
is a connected polygonal compact set (which can be considered to be generated with a grid of side length ) whose boundary curves are disjoint. From , this set lies in , since the maximum distance between the previous grid and this new set is . Since , no such problematic -by- subgrid may exist. Thus, setting , we obtain
The regions still exhaust , and every component of is a polygonal Jordan curve.
If has arbitrarily many holes, set ; this proves the first assertion. It remains to preserve a prescribed finite connectivity.
Claim.
If is -connected, the grid regions may all be chosen -connected.Proof of the claim.
Write for the components of , with . After omitting finitely many terms, the lie in distinct components of . Indeed, fix and suppose they were never separated. If denotes the component of containing both, then the sets are decreasing compact connected sets and
If , then for some and hence for . Therefore , contradicting that and are distinct components. Every pair is thus separated at some finite stage; since there are finitely many pairs, one common tail separates them all.
Let be the component of containing , and fill every other complementary component by setting
Then : every point outside belongs to some , while is compact. The previous claim ensures that the boundary components of can be assumed to be pairwise disjoint, and filling components only removes some of those boundary curves. Hence has exactly the components corresponding to .
Finally, . Indeed,
and the left-hand side is connected and contains , so it lies in the component . Since there are only finitely many ,
Taking complements gives
Since is compact, . Also , so exhausts .
Claim.
Every point of satisfies the exterior segment condition.Proof of the claim.
Notice that each connected boundary component a polygonal Jordan curve. At an interior point of an edge, choose a short segment in the exterior half-plane. At a vertex, of the four generating grid squares around it, at least one of them is not in ; then choose the segment between the vertex and the center of this square. In either case the segment meets only at its initial point.
Theorem 5.3.2 (Riemann Mapping Theorem).
Let (a proper subset, in other words, ) be a simply connected (nonempty) open region. Let be arbitrary. Then there exists a unique biholomorphism such that and .Proof.
First consider the case where is a bounded region whose boundary is sufficiently regular (in the sense that each point admits a barrier) and . Then there is a solution to the Dirichlet Problem (Theorem 7.4.2) in with the continuous boundary function . Obviously, the function cannot be equivalent to in the interior since the latter would approach at . Let
then vanishes on and approaches near . Then for some ,
on . On , the function is harmonic, is zero on the portion of the boundary contained in , and is negative on . Thus Proposition 7.4.1 first gives there. Combining this with the strict inequality near gives throughout . If vanished at an interior point, the Maximum Principle (Theorem 3.4.5) applied on the connected region would force to be constant, contradicting as . Therefore, throughout .
Let , which is complex-harmonic (). By elliptic regularity, is , and moreover,
Therefore, is holomorphic on the simply connected set , thus the function
is well-defined and holomorphic. Moreover,
Therefore, is a holomorphic function whose real part is , unique up to an additive imaginary constant. Define the holomorphic function
Observe that since
for , while . It has precisely one zero, and since
it is a simple zero. Moreover, whenever from within . Consequently, is proper by the same boundary-compactness argument used in the proof of Theorem 7.5.2.
We next prove that every is assumed exactly once. We aim to use the Argument Principle, but note that need not be holomorphic on a neighborhood of , and hence we exhaust with compact sets. Choose with and set
Since is compact and , properness gives that is compact. By Lemma 7.5.3, choose a polygonal exhaustion of . For all sufficiently large , , and hence on .
On we have . By compactness, the same inequality holds on some open neighborhood of . Therefore, attains values in on this neighborhood and is holomorphic there (using the principal branch). Since
logarithmic differentiation gives
where the right-hand side is the derivative of a holomorphic function on a neighborhood of . Let be a closed piecewise parametrization. Neither nor vanishes on , so the Argument Principle (Theorem 3.3.4) yields
Thus , where zeros are counted with multiplicity. Every zero of in all of belongs to , so this is also the total number of solutions of in . Since was arbitrary, is bijective; the multiplicity statement also gives , so is biholomorphic.
Now lift the regularity restriction upon . By Lemma 7.5.3, choose a nested exhaustion of by simply connected polygonal domains. After discarding finitely many initial terms, assume . Every point of satisfies the exterior segment condition, so the regular-boundary case gives a biholomorphism such that and .
For fixed , the tail is defined and bounded by on , so it is normal there by Montel’s Theorem (Theorem 5.2.6). We construct nested subsequences inductively.
First choose a subsequence converging locally uniformly on .
If for a given , converges locally uniformly on , discard finitely many terms so that . The remaining functions are defined and bounded by on ; Montel’s Theorem therefore provides a further subsequence converging locally uniformly on .
Let be the diagonal subsequence. For each fixed , the tail is a subsequence of the sequence chosen at stage , so it converges locally uniformly on to a holomorphic limit by Weierstrass (Theorem 4.1.1). These limits agree on overlaps: if , then both and are limits of the same tail on . Consequently, they define a holomorphic function satisfying , and locally uniformly on .
It remains to show that is a biholomorphism and not a constant limit. Since is bounded, choose such that
Let . Schwarz’s Lemma (Lemma 3.5.1) applied to and gives
and
hence
Consequently, by the Weierstrass Convergence Theorem (Theorem 4.1.1), , so is nonconstant. Since , the Open Mapping Theorem (Theorem 5.1.1) then implies that .
The family is uniformly bounded by on , so Montel’s Theorem provides indices for which locally uniformly on , where is holomorphic. Replace by the corresponding subsequence . Since the original sequence converges locally uniformly to , this subsequence still converges to . Relabeling the paired subsequences as and , we henceforth have
while and whenever the expressions are defined. By Weierstrass convergence, for each gives , so is nonconstant.
We claim that rather than merely . Fix . Every function is nonvanishing on ; hence Hurwitz’s Theorem (Theorem 3.3.5) implies that is either nonvanishing or identically zero. The latter is impossible because is nonconstant. Since was arbitrary, omits , proving the claim.1
We may now pass to the limit in the inverse identities. Fix . Since , choose a compact neighborhood (with ). Since , we have for all sufficiently large . Moreover, the exhaustion ensures that lies in the domain of for all sufficiently large . Therefore,
The first term tends to because on , while the second tends to because and is continuous. Since for every , it follows that
As was arbitrary, this equality holds throughout .
Conversely, fix . The exhaustion places in the domain of for all sufficiently large . Since , choose a compact neighborhood of ; then for all sufficiently large . Hence,
Here the first term tends to because uniformly on , and the second tends to by the continuity of . Since for all sufficiently large , we conclude that
As was arbitrary, this equality holds throughout .
Therefore, is biholomorphic for every bounded simply connected proper region .
Finally, an arbitrary distinguished point is reduced to by translation. If is unbounded, apply the square-root and linear-fractional reduction to a bounded simply connected region established in the preceding proof of Theorem 5.3.2, apply the bounded case above, and compose the resulting maps. A disk automorphism then imposes and . Uniqueness follows from the classification of in Theorem 3.5.3.
We now turn to the first multiply connected case. A region is said to be doubly connected when has exactly two connected components. When these components are bounded by disjoint Jordan curves, one may picture as a region with precisely one hole. The Dirichlet problem provides a natural conformal coordinate measuring the position of a point between the two boundary components.
Theorem 7.5.4.
Let be a bounded doubly connected region whose boundary is the disjoint union
of two Jordan curves, where is the outer boundary component. Then there exists a unique number and a biholomorphism
such that
- Any sequence in with all accumulation points in map to a sequence with all accumulation points in
- Any sequence in with all accumulation points in map to a sequence with all accumulation points in .
Proof.
Since every point of the two boundary curves admits a barrier (by Theorem 7.3.16), Theorem 7.4.2 gives a unique function , harmonic in , such that
The Maximum Principle (Theorem 3.4.5) gives that throughout . Consider the differential form
Since
is a closed differential form in . Let be a positively oriented simple closed curve in winding once around , and set
Define the real function
Observe that . Then for , the real function
is smooth in , vanishes for , is identically for , and has a positive derivative in . Let , then on a relatively open annular neighborhood of in , , so thereon, while on a relatively open annular neighborhood of in , , so thereon. In each neighborhood, respectively choose Jordan curves and , such that encloses and is enclosed by . Then encloses a doubly connected region (as does ). Since in and in , then is on a neighborhood of and thus Green’s Theorem (Theorem 3.1.2) is applicable:
because
Thus,
Let
Suppose for contradiction that were nowhere positive. Then
Then throughout the connected region , and is thus constant thereon. But on and on : a contradiction. Therefore at some , (then , and by construction ). By continuity, such that ,
implying from the nonnegativity of , that . Hence .
The function is holomorphic (verifiable by using ). Choose a simple arc joining to , with its interior in , which crosses non-tangentially exactly once and such that is simply connected. Fix and define
Since is simply connected, the integral is path-independent and is a well-defined holomorphic function on . Moreover,
while, for any path in from to ,
Thus . Let , , and define on
We claim that extends holomorphically across . Fix and choose a disk . Fix and define on the entire disk
The integral is taken along any path in from to . By simple connectivity of the disk, it is path-independent, so is holomorphic there. Moreover,
Then for any ,
where in the first integral, a curve is chosen in ; in the second integral, a curve is chosen in ; in the third integral, a curve is chosen in . The union, a closed curve, lies in . Therefore the integral is equivalent to an integer multiple of , where is a Jordan curve in . Thus . Observe that is holomorphic on , and
so is identically equivalent to a holomorphic function on a neighborhood of every point of , and thus we may assume is holomorphic on . On , , so . By continuity, this identity holds throughout . Therefore , and
It follows that
For any nonempty compact , the preimage is closed in by continuity. Since is compact, the numbers
satisfy . Since as , there is a neighborhood of in such that for every . Similarly, since as , there is a neighborhood of in such that for every . Consequently,
Because is relatively closed in and its closure in lies therein, it is compact in by boundedness. Since is bounded, is compact, so is compact. Hence is proper.
Fix with . Then
and thus by properness,
is compact. Moreover, all solutions to lie in . Because
it is also true that all solutions to lie in .
By Lemma 7.5.3, choose an exhaustion of by doubly connected grid regions whose two boundary components are disjoint polygonal Jordan curves. Since is compact, choose such that , and set . Write
where is the outer boundary curve and is the inner boundary curve corresponding respectively to and . Both curves are piecewise .
Since the connected component must map into exactly one of
by continuity and the Intermediate Value Theorem, then and since as , it follows that for
Then on , and . Moreover, this inequality will continue to hold on a neighborhood by continuity. Since is holomorphic on the right half-plane, we have that
the difference between the two logarithmic derivatives, is the derivative of some holomorphic function in .
By similar logic, for in some open neighborhood of , we must have
Therefore, , therefore implying that is holomorphic, and
is the derivative of some holomorphic function in .
Then the region may be split into two simply connected polygons with positively oriented Jordan boundaries . Without loss of generality we may assume the solutions to do not lie on their shared boundary. The number of solutions to in , is the sum of the number of solutions in and , and by the Argument Principle (Theorem 3.3.4), this is equal to
Since
and
it follows that
Since all zeros of in lie in , attains every value exactly once, thence implying bijectivity and consequently conformality.
Finally, suppose that were biholomorphic to both and . Then Theorem 7.5.2 gives , proving uniqueness.
Remark.
Note that the theorem proof relied principally on the smoothness and simplicity of the curves. One can also generalize these results by using exhaustion with locally uniform limits.
Moreover, one can further obtain:
- If both components of are nondegenerate, then is biholomorphic to a unique annulus with . (In this case one would use an exhaustion method as we did in the proof of the simply connected Riemann Mapping Theorem within this section)
If exactly one complementary component is a single point, then is biholomorphic to the punctured disk ; equivalently, after inversion, this essentially gives .
Proof.
Letting the relevant point be , we find that is a simply connected nonempty region . Then by the Riemann Mapping Theorem (Theorem 5.3.2) provides a biholomorphism between and such that , then restricting to completes this assertion. If both complementary components are single points (one of which being ), then is biholomorphic to .
Proof.
The region is in the form of . Then simply take to be the biholomorphism.
For a region satisfying the first case, define , where is the unique normalized annular region with inner radius and outer radius such that a biholomorphism exists mapping to . Thus, this ratio is not only a classification of annuli but also nondegenerate doubly connected regions.