Existence and multiplicity of solutions for a critical Kirchhoff

type elliptic equation with a logarithmic perturbation

Qian Zhang Yuzhu Han†
arXiv:2501.05083v1 [math.AP] 9 Jan 2025

School of Mathematics, Jilin University, Changchun 130012, P.R. China

Abstract In this paper, we are interested in the following critical Kirchhoff type elliptic
equation with a logarithmic perturbation
(
∗
− 1 + b Ω |∇u|2 dx ∆u = λu + µu log u2 + |u|2 −2 u, x ∈ Ω,
´
(0.1)
u = 0, x ∈ ∂Ω,

where Ω is a bounded domain in RN (N ≥ 3) with smooth boundary ∂Ω, b, λ and µ are pa-
rameters and 2∗ = N2N −2 is the critical Sobolev exponent. The presence of a nonlocal term,
together with a critical nonlinearity and a logarithmic term, prevents to apply in a straight-
forward way the classical critical point theory. Moreover, the geometry structure of the energy
functional changes as the space dimension N varies, which has a crucial influence on the ex-
istence of solutions to the problem. On the basis of some careful analysis on the structure of
the energy functional, existence and (or) multiplicity results are obtained by using variational
methods. More precisely, if N = 3, problem (0.1) admits a local minimum solution, a ground
state solution and a sequence of solutions with their H01 (Ω)-norms converging to 0. If N = 4,
the existence of infinitely many solutions is also obtained. When N ≥ 5, problem (0.1) admits a
local minimum solution with negative energy. Sufficient conditions are also derived for the local
minimum solution to be a ground state solution.
Keywords Multiplicity; Kirchhoff; Critical; Logarithmic term; Truncation; Ekeland’s vari-
ational principle; Symmetric mountain pass lemma.
AMS Mathematics Subject Classification 2020: Primary 35J20; Secondary 35J62.

1 Introduction and the main results

In this paper, we consider the following critical Kirchhoff type elliptic problem with a loga-
rithmic perturbation
(
∗
− 1 + b Ω |∇u|2 dx ∆u = λu + µu log u2 + |u|2 −2 u, x ∈ Ω,
´
(1.1)
u = 0, x ∈ ∂Ω,

where Ω is a bounded domain in RN (N ≥ 3) with a smooth boundary ∂Ω, b > 0, λ ∈ R, µ < 0,

and 2∗ = N2N 1 p
−2 is the critical Sobolev exponent for the embedding H0 (Ω) ֒→ L (Ω).
†0
Corresponding author.
Email addresses: [email protected](Y. Han).
∗
Supported by the National Key Research and Development Program of China (grant no.2020YFA0714101).

1
 2
Problem (1.1) is closely related to the stationary state of the following Kirchhoff type equation
!
∂u 2
ˆ L
∂2u P0 E ∂2u
ρ 2 − + dx = f (x, u), (1.2)
∂t h 2L 0 ∂x ∂x2

proposed by Kirchhoff [15] as a generalization of the classical d’Alembert’s wave equation by

considering the effects of the changes in the length of the strings during the vibrations. Here ρ is
the mass density, P0 is the initial tension, h is the area of cross-section, E is the Young modulus
of the material, L is the length of the string and f is the external force. Kirchhoff equations,
also referred to as nonlocal equations, have their origins in the theory of nonlinear vibration and
have been widely applied in physics, biological, engineering and other fields. For more details
on the background of Kirchhoff type equations, we refer the interested readers to [1, 4, 12] and
the references therein.
During the past few decades, the analysis of the stationary problems of equation (1.2) with
different nonlinearities has been receiving considerable attention. When the nonlinearity is of the
∗
form f (x, s) = |s|2 −2 s, the interaction between the nonlocal term and the critical term prevents
to apply in a straightforward way the classical critical point theory and makes the study of such
problems not only challenging but also interesting. In view of this, many authors have devoted
themselves to the study of Kirchhoff type elliptic equations and remarkable progress has been
made on the existence, nonexistence and multiplicity of weak solutions by using variational and
topological methods. In particular, problem (1.1) with µ = 0, i.e., the following problem
(
∗
− 1 + b Ω |∇u|2 dx ∆u = λu + |u|2 −2 u, x ∈ Ω,
´
(1.3)
u = 0, x ∈ ∂Ω
has been investigated by several authors. For example, when N = 3, Naimen [22] considered the
existence of solutions to problem (1.3) by regarding λ as a given constant and b as a parameter.
He showed that if λ ≤ λ1 /4, problem (1.3) has no solution for all b > 0. If λ1 /4 < λ ≤ λ1 ,
problem (1.3) has a mountain pass type solution for b > 0 suitably small while it has no solution
for b > 0 sufficiently large. If λ > λ1 , problem (1.3) has a local minimum solution when b > 0
is sufficiently large. It may also admit a mountain pass type solution when λ lies in a right
neighborhood of λ1 and b fulfills some additional conditions. Here λ1 is the first eigenvalue of
−∆ in H01 (Ω). When N = 4, Naimen [23] proved that if 0 < λ < λ1 , problem (1.3) possesses a
mountain pass type solution if and only if bS 2 < 1, where S > 0 is the best Sobolev embedding
constant given in (2.1). In the high dimension case N ≥ 5, Naimen et al. [24] showed that
problem (1.3) admits at least two solutions (one is a local minimum solution and the other is a
mountain pass type solution) when 0 < λ < λ1 and b > 0 is suitably small. For more results on
the existence, nonexistence and multiplicity of solutions to Kirchhoff type elliptic equations with
other nonlinearities, interested readers may refer to [2, 7–9, 17, 25, 32, 35] and the references
therein.
On the other hand, partial differential equations (PDEs for short) with logarithmic type
perturbation have also been investigated extensively in recent years. One reason is that PDEs
involving logarithmic terms can be used to describe many interesting phenomena in physics
and other applied sciences such as the viscoelastic mechanics and quantum mechanics theory,
see [27, 29]. Another reason is that different from the power type nonlinearity, the sign of the
logarithmic term u log u2 is indefinite for u > 0 and it does not satisfy the standard Aimbrosetti-
Rabinowitz condition. Moreover, the logarithmic term in (1.1) has the following properties
u log u2 u log u2
lim = −∞, lim ∗ = 0,
u→0+ u u→+∞ |u|2 −2 u
 3
which means that u = o(u log u2 ) for u very close to 0, and that the logarithmic term u log u2 is a
∗
lower-order term at infinity compared with the critical term |u|2 −2 u. All these properties make
the structure of the corresponding functional more complicated and bring essential difficulties in
looking for weak solutions to such problems in the variational framework. When b = 0, problem
(1.1) is reduced to the following Brézis-Nirenberg problem with a logarithmic perturbation
( ∗
−∆u = λu + µu log u2 + |u|2 −2 u, x ∈ Ω,
(1.4)
u = 0, x ∈ ∂Ω.

With the help of Mountain Pass Lemma and some delicate estimates on the logarithmic term,
Deng et al. [5] proved the existence of a mountain pass type solution (which is also a ground
state solution) to problem (1.4) when λ ∈ R, µ > 0 and N ≥ 4. When µ < 0, the corresponding
energy functional possesses quite different variational properties and whether or not the energy
functional is still locally compact is still unknown. By applying the mountain pass theorem
without local (P S) condition they obtained a weak solution under suitable assumptions on λ
and µ when N = 3, 4. Moreover, when N ≥ 3, a nonexistence result was also obtained for
µ < 0. Later, Hajaiej et al. [10, 11] reconsidered problem (1.4) with µ < 0. They not only
weakened part of the existence conditions, but also specified the types of the weak solutions
when N = 4, 5. Recently, by using the subcritical approximation method, the existence of sign-
changing solutions to problem (1.4) with N ≥ 6, λ ∈ R and µ > 0 was obtained by Liu et al. in
[18]. For more results on the existence and multiplicity of solutions to PDEs with logarithmic
type nonlinearities, we refer the interested readers to [21, 30, 31, 33, 34] and the references
therein
To the best of our knowledge, there are few works dealing with the existence and multiplicity
of weak solutions to problem (1.1) with µ 6= 0. When N = 4 and µ > 0, by applying Jeanjean’s
monotonicity result [14] and an approximation method, the second author of this paper [13]
proved that either the H01 (Ω)-norm of the sequence of approximate solutions diverges to infinity
or the problem (1.1) admits a nontrivial weak solution. Furthermore, the former case can be
excluded when Ω is star-shaped. A key point in the process is the local compactness of the
energy functional, the proof of which depends heavily on the assumption µ > 0 and the fact
that the exponent corresponding to the critical term is exactly the same as that corresponding
to the nonlocal term in the energy functional. However, the situation becomes more thorny
when µ < 0, and the approach used in [13] to obtain the local compactness of the (P S) sequence
cannot be applied here. Moreover, the topological properties of the energy functional also change
and 0 is no longer a local minimum of the energy functional.
Motivated by the works mentioned above, we consider problem (1.1) with µ < 0 and investi-
gate how the interaction between the nonlocal term, the critical nonlinearity and the logarithmic
term affect the existence and (or) multiplicity of weak solutions to this problem. Since the ge-
ometry structure of the energy functional changes dramatically as the space dimension N varies,
our discussion is divided into three cases, i.e., N = 3, N = 4 and N ≥ 5.
When N = 3, the energy functional possesses the local minimum structure and mountain pass
structure under suitable assumptions. In view of this, we apply Ekeland’s variational principle,
Brézis-Lieb’s lemma and some estimates to prove that problem (1.1) admits a local minimum
solution and a ground state solution. Furthermore, it is shown under some more assumptions
on b, λ and µ that the local minimum solution is also a ground state solution. Moreover, by
combining Kajikiya’s symmetric mountain pass lemma with an appropriate truncation on the
critical term, we prove that problem (1.1) possesses a sequence of solutions whose energies and
 4
H01 (Ω)-norms converge to 0. Set
( √ )
bS 3 (4 + b2 S 3 )(bS 3 + b2 S 6 + 4S 3 )
µ − λµ
A0 : = (b, λ, µ) : b > 0, λ ∈ R, µ < 0, + + e |Ω| > 0 ,
12 24 2
 
1 3 µ λ 1 b 2 µ 21 − λµ
B0 : = (b, λ, µ) : b > 0, λ ∈ R, µ < 0, S 2 + e− µ |Ω| > 0, Cb,S + Cb,S + e |Ω| > 0 ,
3 2 3 12 3
 √ 
where Cb,S := 12 bS 3 + b2 S 6 + 4S 3 and S > 0 is the best Sobolev embedding constant given
in (2.1). The existence and multiplicity results for this case can be stated as follows.

Theorem 1.1. Suppose that N = 3 and (b, λ, µ) ∈ A0 . Then problem (1.1) has a local
minimum solution and a ground state solution, both with negative energy.

Remark 1.1. In addition to the assumptions in Theorem 1.1, if there holds

p q
1 λ
b S + 4 + b4 S 6 + 4b2 S 3 − 4 1 + b|µ|e 2 − µ |Ω| ≥ 0,
2 3
(1.5)

then the local minimum solution is also a ground state solution.

Theorem 1.2. Suppose that N = 3 and (b, λ, µ) ∈ B0 . Then problem (1.1) has a sequence
of solutions {uk } with I(uk ) ≤ 0, kuk kH01 (Ω) → 0 as k → ∞.

For the case N = 4, considering the corresponding energy functional, the interaction between
the Kirchhoff term kuk4H 1 (Ω) and the critical term kuk44 results in some interesting phenomena.
0
If bS 2 − 1 ≥ 0, the nonlocal term dominates the critical term. In this case the energy functional
is coercive in H01 (Ω) and satisfies the (P S) condition globally. The existence of infinitely many
solutions to problem (1.1) is obtained by using the symmetric mountain pass lemma for all λ ∈ R
and µ < 0. However, if bS 2 −1 < 0, the critical term plays a dominated role and the properties of
the energy functional change. The energy functional is on longer bounded from below and fails
to satisfy the (P S) condition globally. In order to overcome these difficulties, we first introduce
a suitable truncation on the critical term kuk44 . Then we apply the Concentration Compactness
principle to obtain a local (P S) condition. Finally, with the help of the symmetric mountain
pass lemma, the existence of infinitely many solutions to problem (1.1) is obtained. Set
 
S2 µ 1− λµ
C0 := (b, λ, µ) : b > 0, λ ∈ R, µ < 0, + e |Ω| > 0 .
4(1 − bS 2 ) 4

Theorem 1.3. Suppose that N = 4 and one of the following (i) and (ii) holds.
(i) λ ∈ R, µ < 0 and bS 2 − 1 ≥ 0,
(ii) bS 2 − 1 < 0 and (b, λ, µ) ∈ C0 .
Then problem (1.1) has a sequence of solutions {uk } with I(uk ) ≤ 0, kuk kH01 (Ω) → 0 as k → ∞.

Remark 1.2. The existence of a local minimum solution and a ground state solution for
problem (1.1) with N = 4 has been obtained in [36].

Lastly, we consider the case N ≥ 5. In this case, the critical Sobolev exponent is strictly
less than 4, which, together with the fact that the sign of logarithmic term is indefinite and
that the logarithmic term does not satisfy the Aimbrosetti-Rabinowitz type condition, makes it
impossible to prove the compactness of (P S) sequences. Moreover, the truncation method can
not be applied neither. Through a careful analysis of the structure of the energy functional, we
 5
prove that problem (1.1) has a local minimum solution. By imposing additional conditions on
the parameters, we show that it is also a ground state solution. Set
 
   2∗ 
1 1 2 1 CN 2 µ −µ
λ
D0 : = (b, λ, µ) : b > 0, λ ∈ R, µ < 0, CN + CN − ∗ + e |Ω| > 0 ,
 2b 4b 2 bS 2 

4
where CN := N −4 .

Theorem 1.4. Suppose that N ≥ 5 and (b, λ, µ) ∈ D0 . Then problem (1.1) admits a local
N −4 N−4 −N
minimum solution with negative energy. If in addition b ≥ b∗ := N 2−2 ( N −2 )
2 S 2 , then the

local minimum solution is also a ground state solution.

Remark 1.3. It is seen from [22] that when N = 3, problem (1.3) has no solution for
λ ≤ λ1 /4. When N ≥ 4, it follows from the well-known Pohozaev’s identity that problem (1.3)
admits no nontrivial solutions for λ ≤ 0 if Ω is a star-shaped domain. However, Theorems
1.1-1.4 show that this situation can be reversed when the logarithmic term is introduced.
This paper is organized as follows. In Section 2, we introduce some notations, definitions
and necessary lemmas which will be used in the following proofs. The cases N = 3, N = 4 and
N ≥ 5 are treated in Sections 3, 4 and 5, respectively.

2 Preliminaries
We begin this section with some notations. Throughout this paper, we use k · kp to denote
the usual Lp (Ω) norm for 1 ≤ p ≤ ∞ and denote the H01 (Ω)-norm by k · k := k∇ · k2 . The dual
space of H01 (Ω) is denoted by H −1 (Ω) and the dual pair between H −1 (Ω) and H01 (Ω) is written
as h·, ·i. For each Banach space B, we use → and ⇀ to denote the strong and weak convergence
in it, respectively. The notation |Ω| means the Lebesgue measure of Ω in RN . The symbol O(t)
means | O(t)t | ≤ C as t → 0 and on (1) is an infinitesimal as n → ∞. The capital letter C will
denote a generic positive constant which may vary from line to line. The positive constant S
∗
denotes the best embedding constant from H01 (Ω) to L2 (Ω), i.e.,
kuk2
S= inf 2 . (2.1)
u∈H01 (Ω)\{0} kuk2∗

In this paper, we consider weak solutions to problem (1.1) in the following sense.
Definition 2.1. (Weak solution) A function u ∈ H01 (Ω) is called a weak solution to prob-
lem (1.1), if for all φ ∈ H01 (Ω), it holds that
 ˆ ˆ ˆ ˆ ˆ
2 ∗
1 + b |∇u| dx ∇u∇φdx − λ uφdx − µ uφ log u2 dx − |u|2 −2 uφdx = 0.
Ω Ω Ω Ω Ω

The energy functional associated with problem (1.1) and its Frechét derivative are denoted
respectively by
1 b λ µ µ 1
ˆ
2 4 2 2 ∗
I(u) = kuk + kuk − kuk2 + kuk2 − u2 log u2 dx − ∗ kuk22∗ , u ∈ H01 (Ω), (2.2)
2 4 2 2 2 Ω 2
and for all u, φ ∈ H01 (Ω),


ˆ ˆ ˆ ˆ
′ 2 2 ∗ −2
hI (u), φi = 1 + bkuk ∇u∇φdx − λ uφdx − µ uφ log u dx − |u|2 uφdx.
Ω Ω Ω Ω
 6
It is well known that I(u) is well defined and is a C 1 functional in H01 (Ω). Moreover, every
critical point of I corresponds to a weak solution to problem (1.1). Since I(u) = I(|u|), we may
assume that u ≥ 0 in the sequel.
The following two lemmas, Brézis-Lieb’s lemma and the Concentration Compactness princi-
ple, will play a crucial role in recovering the compactness of the approximate sequences.

Lemma 2.1. (Brézis-Lieb’s lemma [3]) Let p ∈ (0, ∞). Suppose that {un } is a bounded
sequence in Lp (Ω) and un → u a.e. in Ω as n → ∞. Then

lim (kun kpp − kun − ukpp ) = kukpp .

n→∞

Lemma 2.2. (Concentration Compactness principle [19, 20]) Let un ⊂ H01 (Ω) be a bounded
sequence with weak limit u, µ and ν be two nonnegative and bounded measures on Ω, such that
(i) |∇un |2 converges in the weak∗ sense of measures to a measure µ,
∗
(ii) |un |2 converges in the weak∗ sense of measures to a measure ν.
Then for some at most countable index set J , points {xk }k∈J ⊂ Ω, values {µk }k∈J , {νk }k∈J ⊂
R+ , we have
X
(1) µ ≥ |∇u|2 + µk δxk , µk > 0,
k∈J
X
2∗
(2) ν = |u| + νk δxk , νk > 0,
k∈J
2
(3) µk ≥ Sνk2∗ , (k ∈ J ),

where δxk is the Dirac measure mass at xk ∈ Ω and S is given by (2.1).

Next, we introduce the Ekeland’s variational principle, which will be used to show that any
minimizing sequence {un } of I(u) within a ball Br ⊂ H01 (Ω) satisfies I ′ (un ) → 0 in H −1 (Ω) as
n → ∞, where Br := {u ∈ H01 (Ω) : kuk ≤ r}.

Lemma 2.3. (Ekeland’s variational principle [6]) Let V be a complete metric space, and
F : V → R ∪ {+∞} be a lower semicontinuous function, not identically +∞, and bounded from
below. Then for every ε, δ > 0 and every point v ∈ V such that

inf F (h) ≤ F (v) ≤ inf F (h) + ε,

h∈V h∈V

there exists some point u ∈ V such that

F (u) ≤ F (v),
d(u, v) ≤ δ,
F (w) >F (u) − (ε/δ)d(u, w), ∀ w ∈ V, w 6= u,

where d(·, ·) denotes the distance of two points in V.

To deal with the logarithmic type nonlinearity u log u2 , we need the following basic inequal-
ities and the convergence properties of the logarithmic term.

Lemma 2.4. (1) For all t > 0, there holds

1
t log t ≥ − . (2.3)
e
 7
(2) For each δ, σ > 0, there exists a constant Cδ,σ such that
| log t| ≤ Cδ,σ (tδ + t−σ ), ∀ t > 0. (2.4)
(3) For any δ > 0, there holds
log t 1
δ
≤ , ∀ t > 0. (2.5)
t δe
Lemma 2.5. Assume that {un } is a bounded sequence in H01 (Ω) such that un → u a.e. in
Ω as n → ∞, then we have
ˆ ˆ
lim u2n log u2n dx = u2 log u2 dx, (2.6)
n→∞ Ω Ω

and
ˆ ˆ
lim un φ log u2n dx = uφ log u2 dx, ∀ φ ∈ H01 (Ω). (2.7)
n→∞ Ω Ω

Proof. The proofs of (2.6) and (2.7) follow directly from the strategies of (3.4) and (3.7) in
[21].

Finally, in order to illustrate the multiplicity of solutions to problem (1.1), we give the
definition of genus and present some of its properties.
Definition 2.2. ([Section 7, [26]]) Let E be a real Banach space and let E denote the family
of sets A ⊂ E\{0} such that A is closed in E and symmetric with respect to 0, i.e. x ∈ A implies
−x ∈ A. For A ∈ E, we define the genus of A by the smallest integer k (denoted by γ(A) = k)
such that there exists an odd continuous mapping from A to Rk \{0}. If there does not exist a
finite such k, set γ(A) = +∞. Finally, set γ(∅) = 0. Moreover, let Ek denote the family of
closed symmetric subsets A of E such that 0 ∈ / A and γ(A) ≥ k.
Proposition 2.1. ([Proposition 7.5, [26], Proposition 5.4 [28]]) Let A, B ∈ E. Then the
following properties hold.
(1) If there is an odd continuous mapping from A to B, then γ(A) ≤ γ(B).
(2) If there is an odd homeomorphism from A onto B, then γ(A) = γ(B).
(3) If γ(B) < ∞, then γ(A\B) ≥ γ(A) − γ(B).
(4) The n-dimensional sphere S n has a genus of n + 1 by the Borsuk-Ulam theorem.
(5) If A is compact, then γ(A) < ∞ and there exists δ > 0 such that Nδ (A) ∈ E and γ(Nδ (A)) =
γ(A), where Nδ (A) = {x ∈ E : kx − Ak ≤ δ}.
The following version of the symmetric mountain pass lemma is due to Kajikiya [16].
Lemma 2.6. Let E be an infinite-dimensional Banach space and I ∈ C 1 (E, R) satisfy (A1 )
and (A2 ) below.
(A1 ) I(u) is even, bounded from below, I(0) = 0 and I(u) satisfies the global (P S) condition,
i.e. any sequence {uk } in E such that {I(uk )} is bounded and I ′ (uk ) → 0 in E ∗ as k → ∞ has
a convergent subsequence, where E ∗ is the dual space of E.
(A2 ) For each k ∈ N, there exists an Ak ∈ Ek such that sup I(u) < 0.
u∈Ak
Then either (i) or (ii) below holds.
(i) There exists a sequence {uk } such that I ′ (uk ) = 0, I(uk ) < 0 and {uk } converges to zero.
(ii) There exist two sequences {uk } and {vk } such that I ′ (uk ) = 0, I(uk ) = 0, uk 6= 0, lim uk =
k→+∞
0, I ′ (vk ) = 0, I(vk ) < 0, lim I(vk ) = 0 and {vk } converges to a non-zero limit.
k→+∞
 8
We remark that in Lemma 2.6, the functional I(u) is required to satisfy the global (P S)
condition. However, by a careful examination of the proof of the main results in [16], we find
that it is sufficient that the functional I(u) satisfies the local (P S) condition. Consequently,
Kajikiya’s conclusion remains true in the following form.
Lemma 2.7. Let E be an infinite-dimensional Banach space and I ∈ C 1 (E, R) satisfy the
following conditions.
(A1 ) I(u) is even, bounded from below, I(0) = 0 and I(u) satisfies the local (P S) condition, i.e.
for some c∗ > 0, any sequence {uk } in E satisfying lim I(uk ) = c < c∗ and lim I ′ (uk ) = 0
k→+∞ k→+∞
has a convergent subsequence.
(A2 ) For each k ∈ N, there exists an Ak ∈ Ek such that sup I(u) < 0.
u∈Ak
Then either (i) or (ii) below holds.
(i) There exists a sequence {uk } such that I ′ (uk ) = 0, I(uk ) < 0 and {uk } converges to zero.
(ii) There exist two sequences {uk } and {vk } such that I ′ (uk ) = 0, I(uk ) = 0, uk 6= 0, lim uk =
k→+∞
0, I ′ (vk ) = 0, I(vk ) < 0, lim I(vk ) = 0 and {vk } converges to a non-zero limit.
k→+∞

It is seen from Lemmas 2.6 and 2.7 that in each case (i) or (ii), we have a sequence of critical
points {uk } such that I(uk ) ≤ 0, uk 6= 0 and lim uk = 0.
k→+∞

3 The case N = 3
In this section, we consider the case N = 3 and prove Theorems 1.1-1.2. In this case, the
energy functional possesses the local minimum structure and mountain pass structure under suit-
able assumptions. Combining this with Ekeland’s variational principle and energy estimates, we
can prove that problem (1.1) admits a local minimum solution and a ground state solution. Fur-
thermore, under some more assumptions on the parameters, it is shown that the local minimum
solution is also a ground state solution.
However, although the functional I(u) has a mountain pass structure, it is hard to get the
compactness of the (P S) sequence since µ < 0. Consequently, we don’t know whether or not
there exists a mountain pass type solution.

3.1 Proof of Theorem 1.1 and Remark 1.1

In this subsection, we give the proof of Theorem 1.1 and Remark 1.1. We first prove that
there exist two positive constants α and ρ such that I(u) ≥ α for all u ∈ H01 (Ω) with kuk = ρ.
Lemma 3.1. Suppose that (b, λ, µ) ∈ A0 . Then there exist constants α, ρ > 0 such that
I(u) ≥ α for all u ∈ H01 (Ω) with kuk = ρ.
Proof. For all u ∈ H01 (Ω)\{0}, since µ < 0, by using inequality (2.3), we have
λ µ µ
ˆ
2 2
− kuk2 + kuk2 − u2 log u2 dx
2 2 2 Ω
 
µ 2 λ
ˆ
2
=− u − 1 + log u dx (3.1)
2 Ω µ
µ 1− λ
ˆ
λ
 λ 
−1 −1
=− e µ e µ u2 log e µ u2 dx
2 Ω
µ − λµ
≥ e |Ω|.
2
 9
Then it follows from (2.1) and (3.1) that
1 b λ µ µ 1
ˆ
I(u) = kuk2 + kuk4 − kuk22 + kuk22 − u2 log u2 dx − kuk66
2 4 2 2 2 Ω 6
1 b µ − λµ 1
≥ kuk2 + kuk4 + e |Ω| − 3 kuk6 . (3.2)
2 4 2 6S
Set
1 2 b 4 µ − λµ 1 6
f (t) = t + t + e |Ω| − t , t > 0,
2 4 2 6S 3
 3 √ 1/2 √
bS + b2 S 6 +4S 3 bS 3 (4 + b2 S 3 )(bS 3 + b2 S 6 + 4S 3 ) µ −λ
ρ := 2 and α := + + e µ |Ω|. Since
12 24 2
(b, λ, µ) ∈ A0 , by a direct calculation we have I(u) ≥ f (ρ) = α > 0 for all kuk = ρ. This
completes the proof.

Define
cρ := inf I(u), cK := inf I(u),
u∈Bρ u∈K

where ρ > 0 is given in the proof of Lemma 3.1, Bρ := {u ∈ H01 (Ω) : kuk ≤ ρ} and K = {u ∈
H01 (Ω)\{0} : I ′ (u) = 0}. Notice that u
e ∈ K, where u
e is the local minimum solution obtained in
Theorem 1.1. Hence K is nonempty once Theorem 1.1 is proved.
Next, we show that both cρ and cK are well defined and negative.
Lemma 3.2. Suppose that b > 0, λ ∈ R and µ < 0. Then we have
−∞ < cK , cρ < 0.
Proof. (I) We first prove −∞ < cρ < 0. The left part follows easily from inequality (3.2) and
the definition of cρ . To show that cρ < 0, for any u ∈ H01 (Ω) \ {0}, consider I(tu) with t > 0,
i.e.,
 
1 b λ µ µ 1
ˆ
I(tu) = t2 kuk2 + t2 kuk4 − kuk22 − log t2 kuk22 + u2 (1 − log u2 )dx − t4 kuk66 .
2 4 2 2 2 Ω 6
Since µ < 0, we deduce that there exists a tu > 0 suitably small such that ktu uk ≤ ρ and
I(tu u) < 0, which implies that cρ < 0.
(II) Next we show that −∞ < cK < 0. We need only to prove cK > −∞, since cK ≤ cρ < 0.
Noticing that µ < 0, by an argument similar to the proof of (3.1), we have
λ µ µ µ 1 λ
ˆ
− kuk22 + kuk22 − u2 log u2 dx ≥ e 2 − µ |Ω|. (3.3)
3 2 3 Ω 3
Consequently, for any u ∈ K, it follows from (3.3) that
1
I(u) = I(u) − hI ′ (u), ui
6
1 b λ µ µ
ˆ
2 4 2 2
= kuk + kuk − kuk2 + kuk2 − u2 log u2 dx
3 12 3 2 3 Ω
λ µ µ
ˆ
≥ − kuk22 + kuk22 − u2 log u2 dx (3.4)
3 2 3 Ω
µ 1−λ
≥ e 2 µ |Ω|.
3
Thus cK > −∞. The proof is complete.
 10
Based on Lemma 3.1 and the energy estimate −∞ < cρ < 0, we can apply the Eklend’s vari-
ational principle and Brézis-Lieb’s lemma to prove the compactness of the minimizing sequence
for cρ .
Lemma 3.3. Assume that (b, λ, µ) ∈ A0 . Then there exists a minimizing sequence {un } for
e ∈ H01 (Ω) such that, up to a subsequence, un → u
cρ and a u e in H01 (Ω) as n → ∞.
Proof. Let {vn } ⊂ Bρ be a minimizing sequence for cρ . Without loss of generality, we may
1
assume that cρ ≤ I(vn ) ≤ cρ + for all n ∈ N. According to Lemma 3.1, the energy estimate
n
−∞ < cρ < 0 and the continuity of I(u), one knows that there is a constant τ > 0 suitably
small such that kvn k ≤ ρ − τ for all n large enough. Then using Lemma 2.3, we deduce that
there exists another minimizing sequence {un } ⊂ Bρ for cρ such that

I(un ) ≤ I(vn ),
τ
kun − vn k ≤ ,
2
2
I(w) >I(un ) − kw − un k, ∀ w ∈ Bρ , w 6= un . (3.5)
nτ
It is easy to see that kun k ≤ ρ − τ2 . Now, we prove that I ′ (un ) → 0 as n → ∞. For any
h ∈ H01 (Ω) with khk = 1, set z(t) = un + th, t ∈ (0, τ2 ]. Then kz(t)k ≤ ρ, ∀ t ∈ (0, τ2 ]. Taking
w = z(t) in (3.5) shows that
I(z(t)) − I(un ) 2
>− . (3.6)
t nτ
Letting t → 0+ in (3.6), we arrive at
2
hI ′ (un ), hi ≥ − . (3.7)
nτ
Replacing h by −h in (3.7), one has
2
hI ′ (un ), hi ≤ ,
nτ
which, together with (3.7) and the arbitrariness of h, implies I ′ (un ) → 0 as n → ∞.
Since {un } is bounded in H01 (Ω), we may assume that there exist a subsequence of {un } (still
denoted by {un }) and a ue ∈ H01 (Ω) such that, as n → ∞,



 un ⇀ ue in H01 (Ω),

u → u
n e in Lp (Ω), 1 ≤ p < 6,
6 (3.8)


 u5n ⇀ u
e5 in L 5 (Ω),

u → u
n e a.e. in Ω.

Set wn = un − u e. Then {wn } is also bounded in H01 (Ω). Hence, we may assume without loss of
generality that

lim kwn k2 = l ≥ 0. (3.9)

n→∞

e in H01 (Ω) as n → ∞, we
We claim l = 0. Assume on the contrary that l > 0. Since un ⇀ u
have

kun k2 = kwn k2 + ke
uk2 + on (1), n → ∞. (3.10)
 11
It then follows from (2.7), (3.8), (3.10) and I ′ (un ) → 0 as n → ∞ that

on (1) =hI ′ (un ), u

ei


ˆ ˆ ˆ ˆ
2
= 1 + bkun k ∇un ∇e edx − µ
udx − λ
un u u5n u
edx e log u2n dx −
un u
Ω Ω ˆ Ω Ω

uk2 + bke
=ke uk4 + bkwn k2 ke
uk2 − λke
uk22 − µ u e2 log u
e2 dx − ke
uk66 + on (1). (3.11)
Ω

On the other hand, by recalling I ′ (un ) → 0 as n → ∞, (2.6), (3.8), (3.10), (3.11) and Lemma
2.1, we get, as n → ∞,

on (1) =hI ′ (un ), un i

ˆ
2 2
= 1 + bkun k kun k − λkun k22 −µ u2n log u2n dx − kun k66
Ω
=kwn k2 + ke
uk2 + bkwn k4 + 2bkwn k2 ke uk2 + bkeuk4 − λke
uk22
ˆ
−µ u e2 log u uk66 + on (1)
e2 dx − kwn k66 − ke
Ω
=kwn k2 + bkwn k4 + bkwn k2 ke
uk2 − kwn k66 + on (1). (3.12)

In view of (2.6), (3.8), (3.10), (3.12) and Lemma 2.1, one obtains
1 b λ µ µ 1
ˆ
2 4 2 2
cρ + on (1) = I(un ) = kun k + kun k − kun k2 + kun k2 − u2n log u2n dx − kun k66
2 4 2 2 2 Ω 6
1 1 b b b λ
= kwn k2 + ke uk2 + kwn k4 + ke uk4 + kwn k2 ke uk2 − ke uk22
2 2 ˆ 4 4 2 2
µ µ 1 1
+ ke uk22 − e2 log u
u e2 dx − kwn k66 − ke uk66 + on (1)
2 2 Ω 6 6
1 b b 1
u) + kwn k2 + kwn k4 + kwn k2 ke
=I(e uk2 − kwn k66 + on (1)
2 4 2 6
1 ′ 1 2 b 2 1
u) + hI (un ), un i + kwn k + kwn k ke
=I(e uk2 + kwn k4 + on (1)
6 3 3 12
1 b 1
u) + kwn k2 + kwn k2 ke
=I(e uk2 + kwn k4 + on (1). (3.13)
3 3 12
Letting n → ∞ in (3.13) and noting that b, l > 0, we have
1 b 1
cρ = I(e uk2 + l2 > I(e
u) + l + lke u). (3.14)
3 3 12
However, by the weak lower semi-continuity of the norm, we have ke uk ≤ ρ. Consequently,
e in H01 (Ω) as n → ∞. The
u) ≥ cρ , which contradicts with (3.14). Thus l = 0, i.e., un → u
I(e
proof is complete.

Similarly, we have the following lemma.

Lemma 3.4. Assume that (b, λ, µ) ∈ A0 . Then there exists a minimizing sequence {un } for
cK and a u∗ ∈ H01 (Ω) such that, up to a subsequence, un → u∗ in H01 (Ω) as n → ∞.
Proof. Let {un } be a minimizing sequence for cK . We first show that {un } is bounded. Indeed,
from I(un ) → cK as n → ∞ and (3.3), one obtains, for n suitably large, that
1
cK + 1 ≥ I(un ) − hI ′ (un ), un i
6
 12
1 b λ µ µ
ˆ
= kun k2 + kun k4 − kun k22 + kun k22 − u2n log u2n dx
3 12 3 2 3 Ω
1 b µ 21 − λµ
≥ kun k2 + kun k4 + e |Ω|,
3 12 3
which ensures the boundedness of {un }. Then by applying argument similar to the proof of
Lemma 3.3, we know that there exists a u∗ ∈ H01 (Ω) such that, passing to a subsequence if
necessary, un → u∗ in H01 (Ω) as n → ∞. The proof is complete.

The Proof of Theorem 1.1 and Remark 1.1: Assume that N = 3 and (b, λ, µ) ∈ A0 .
By Lemmas 3.2, 3.3 and 3.4 and the fact that I(u) is a C 1 functional in H01 (Ω), we know that
u
e is a local minimum solution to problem (1.1) with I(e u) = cρ < 0 and u∗ is a ground state
∗
solution to problem (1.1) with I(u ) = cK < 0. Theorem 1.1 is proved.
To prove Remark 1.1, it suffices to show that cρ = cK when both the assumptions in Theorem
1.1 and (1.5) hold. Obviously, cρ ≥ cK . It remains to prove the reversed inequality. Since u∗ is
a ground state solution to problem (1.1) with I(u∗ ) = cK < 0, one obtains

1 1 b µ 1−λ
0 > cK = I(u∗ ) − hI ′ (u∗ ), u∗ i ≥ ku∗ k2 + ku∗ k4 + e 2 µ |Ω|,
6 3 12 3
which implies q
1
−λ
∗ 2 −2 + 2 1 + b|µ|e 2 µ |Ω|
ku k < ≤ ρ2 . (3.15)
b
Here we have used (1.5) and the choice of ρ to obtain the second inequality in (3.15). Then the
fact cρ ≤ cK follows directly from (3.15). The proof of Remark 1.1 is complete.

3.2 Proof of Theorem 1.2

In this subsection, we prove Theorem 1.2. Since 2∗ = 6 > 4 when N = 3, the energy
functional I(u) is not bounded from below in H01 (Ω) and Lemma 2.7 can not be applied directly.
To avoid this difficulty, we introduce an appropriate truncation on the critical term. Then by
using Lemma 2.7 and the Concentration Compactness principle, we prove that problem (1.1)
possesses a sequence of solutions {uk } whose energies and H01 (Ω)-norms converge to 0 as k → ∞.
To begin with, for each u ∈ H01 (Ω), one gets, by using (2.1) and (3.1), that

1 b λ µ µ 1
ˆ
I(u) = kuk2 + kuk4 − kuk22 + kuk22 − u2 log u2 dx − kuk66
2 4 2 2 2 Ω 6
1 µ λ 1
≥ kuk2 + e− µ |Ω| − kuk6 .
2 2 6S 3
Set
1 2 µ − λµ 1
G(t) = t + e |Ω| − 3 t6 , t ≥ 0. (3.16)
2 2 6S
It is directly checked that G′ (t) > 0 for 0 < t < tmax and G′ (t) < 0 for t > tmax , where
3
tmax := S 4 . Therefore, G(t) attains its maximum at tmax and
1 3 µ − µλ
Gmax := G(tmax ) = S 2 + e |Ω|.
3 2
3 λ
Since (b, λ, µ) ∈ B0 , Gmax > 0. Set G0 = 12 Gmax = 61 S 2 + µ4 e− µ |Ω|, then G0 > 0 and there
exists a unique t0 ∈ (0, tmax ) such that G(t0 ) = G0 .
 13
Define a truncation function ψ(x) ∈ C 1 [0, ∞) such that


 1, 0 ≤ x ≤ t20 ,

ψ(x) = 0 ≤ ψ(x) ≤ 1, t20 ≤ x ≤ t2max ,
 
3S 3 1 + µ e− λµ |Ω| − Gmax 6S 3 1 , x ∈ [t2 , +∞).

2 max
x2 x3
Then we consider the following truncated functional defined in H01 (Ω)

1 b λ µ µ 1
ˆ
2 4 2 2
Iψ (u) = kuk + kuk − kuk2 + kuk2 − u2 log u2 dx − ψ(kuk2 )kuk66 .
2 4 2 2 2 Ω 6

We can easily verify that Iψ (u) is well defined and is a C 1 functional in H01 (Ω). Its first Fréchet
derivative is denoted by
ˆ ˆ ˆ
hIψ (u), φi =(1 + bkuk ) ∇u∇φdx − λ uφdx − µ uφ log u2 dx
′ 2
Ω Ω
ˆΩ
1 ′
ˆ
2 6 2
− ψ (kuk )kuk6 ∇u∇φdx − ψ(kuk ) u5 φdx, ∀ u, φ ∈ H01 (Ω).
3 Ω Ω

The following lemma shows that the truncated functional Iψ (u) is bounded from below in
H01 (Ω), as desired.

Lemma 3.5. Assume that b > 0, λ ∈ R and µ < 0. Then Iψ (u) is bounded from below in
H01 (Ω).

Proof. For any u ∈ H01 (Ω)\{0}, since b > 0 and µ < 0, it follows from (2.1) and (3.1) that

1 b λ µ µ 1
ˆ
Iψ (u) = kuk2 + kuk4 − kuk22 + kuk22 − u2 log u2 dx − ψ(kuk2 )kuk66
2 4 2 2 2 Ω 6
1 µ λ 1
≥ kuk2 + e− µ |Ω| − ψ(kuk2 )kuk6 . (3.17)
2 2 6S 3
Set
e = 1 t2 + µ e− µ |Ω| − 1 ψ(t2 )t6 , t ≥ 0.
λ
G(t) (3.18)
2 2 6S 3
e
According to the definition of ψ, we can see that G(t) e
= G(t) for 0 ≤ t ≤ t0 , G(t) ≥ G(t)
e
for t0 ≤ t ≤ tmax and G(t) = Gmax for t ≥ tmax . Here G(t) is the function defined in (3.16).
λ
e
Therefore, Iψ (u) ≥ G(kuk) e
≥ G(0) = µ e− µ |Ω|. This completes the proof.
2

Next, we prove that Iψ satisfies the local (P S) condition (known as (P S)c condition). A key
point in this process is the restriction of the critical level c.

Lemma 3.6. Assume that (b, λ, µ) ∈ B0 . If

 
∗ 1 3 µ − λµ 1 b 2 µ 12 − λµ
c < c = min S 2 + e |Ω|, Cb,S + Cb,S + e |Ω| ,
6 4 3 12 3
 √ 
where Cb,S = 12 bS 3 + b2 S 6 + 4S 3 , then Iψ satisfies the (P S)c condition, i.e., any sequence
{un } satisfying Iψ (un ) → c and Iψ′ (un ) → 0 as n → ∞ has a strongly convergent subsequence.
 14
Proof. Since (b, λ, µ) ∈ B0 , we know c∗ > 0. Assume that {un } ⊂ H01 (Ω) is a (P S)c sequence
3 λ
of Iψ , i.e., Iψ (un ) → c and Iψ′ (un ) → 0 as n → ∞. Since c < 61 S 2 + µ4 e− µ |Ω| = G0 , we have
Iψ (un ) < G0 for n large enough. Combining this with (3.17) and the definition of ψ(x), we
deduce that ψ(kun k2 ) = 1 and ψ ′ (kun k2 ) = 0 for n large enough. Using this fact and (3.3), one
has, for n large enough,
1
G0 + on (1)kun k > Iψ (un ) − hIψ′ (un ), un i
6
1 b λ µ µ
ˆ
2 4 2 2
= kun k + kun k − kun k2 + kun k2 − u2 log u2n dx
2 4 2 2 2 Ω n
1 1 b λ µ
ˆ
2 6 2 4 2
− ψ(kun k )kun k6 − kun k − kun k + kun k2 + u2 log u2n dx
6 6 6 6 6 Ω n
1 1
+ ψ ′ (kun k2 )kun k2 kun k66 + ψ(kun k2 )kun k66
18 6
1 b λ µ µ
ˆ
2 4 2 2
= kun k + kun k − kun k2 + kun k2 − u2 log u2n dx
3 12 3 2 3 Ω n
1 b µ 1−λ
≥ kun k2 + kun k4 + e 2 µ |Ω|,
3 12 3
which implies that {un } is bounded in H01 (Ω). Consequently, there exist a subsequence of {un }
(still denoted by {un }) and a u ∈ H01 (Ω) such that, as n → ∞,


 un ⇀ u in H01 (Ω),


u p
n → u in L (Ω), 1 ≤ p < 6,
5 5 6 (3.19)
un ⇀ u in L 5 (Ω),



u
n → u a.e. in Ω.

According to Lemma 2.2, there exist an at most countable index set J and a collection of points
{xk }k∈J such that
X
|∇un |2 ⇀ µ ≥ |∇u|2 + µk δxk , µk > 0,
k∈J
X
|un |6 ⇀ ν = |u|6 + νk δxk , νk > 0,
k∈J

in the measure sense. In addition, we also have

1
µk ≥ Sνk3 , k ∈ J. (3.20)

Now we claim that J = ∅. Suppose on the contrary that J = 6 ∅ and fix k ∈ J . Define
∞
a function φ ∈ C0 (Ω) with φ(x) = 1 in B(xk , ρ), φ(x) = 0 in Ω\B(xk , 2ρ), 0 ≤ φ(x) ≤ 1
otherwise, and with |∇φ| ≤ 2ρ in Ω, where ρ > 0 is a constant. Since Iψ′ (un ) → 0 in H −1 (Ω) as
n → ∞ and {un φ} is bounded in H01 (Ω), recalling the fact that ψ(kun k2 ) = 1 and ψ ′ (kun k2 ) = 0
for n large enough, we have, for n large enough,

0 = lim hIψ′ (un ), un φi

n→∞
( ˆ ˆ ˆ
2
= lim 1+b |∇un | dx ∇un ∇(un φ)dx − λ u2n φdx
n→∞ Ω Ω Ω
 ) 15
1
ˆ ˆ ˆ
− µ u2n φ log u2n dx − ψ ′ (kun k2 )kun k66 ∇un ∇(un φ)dx − ψ(kun k2 ) u6n φdx
Ω 3 Ω Ω
( ˆ ˆ  ˆ ˆ
2 2 2
= lim 1 + b |∇un | dx |∇un | φdx + 1 + b |∇un | dx ∇un un ∇φdx
n→∞ Ω Ω Ω Ω
ˆ ˆ ˆ )
−λ u2n φdx − µ u2n φ log u2n dx − u6n φdx
Ω Ω Ω
( ˆ ˆ ˆ )
2 2
≥ lim 1+b |∇un | φdx |∇un | φdx − u6n φdx + o(1), (3.21)
n→∞ Ω Ω Ω

where o(1) → 0 as ρ → 0. The last inequality follows from the fact

 ˆ ˆ ˆ ˆ
1 + b |∇un |2 dx ∇un un ∇φdx − λ u2n φdx − µ u2n φ log u2n dx = o(1), as ρ → 0.
Ω Ω Ω Ω
(3.22)

Next, we prove (3.22). Since {un } is bounded in H01 (Ω), by means of (3.19), Hölder’s inequality
and the definition of φ, one has
 ˆ ˆ
2
lim sup 1 + b |∇un | dx ∇un un ∇φdx
n→∞ Ω Ω
ˆ
≤ lim sup C |∇un un ∇φ|dx
n→∞ Ω∩B(xk ,2ρ)
!1 !1
ˆ 2 ˆ 2

≤ lim sup C |∇un |2 dx |un ∇φ|2 dx

n→∞ Ω∩B(xk ,2ρ) Ω∩B(xk ,2ρ)
!1
ˆ 2

≤ lim sup C |un ∇φ|2 dx

n→∞ Ω∩B(xk ,2ρ)
!1
ˆ 2

= C |u∇φ|2 dx
Ω∩B(xk ,2ρ)
!1 !1
ˆ 6 ˆ 3
6 3
≤ C |u| dx |∇φ| dx
Ω∩B(xk ,2ρ) Ω∩B(xk ,2ρ)
!1
ˆ 6

≤ C |u|6 dx → 0, as ρ → 0. (3.23)
Ω∩B(xk ,2ρ)

Using (3.19) and the definition of φ again, we deduce that

ˆ
lim sup u2n φdx
n→∞ Ω
ˆ
= u2 φdx
Ω∩B(xk ,2ρ)
ˆ
≤ u2 dx → 0, as ρ → 0. (3.24)
Ω∩B(xk ,2ρ)
 16
Recalling (2.5) with 0 < δ < 2∗ − 2, (2.7) and the definition of φ, one obtains
ˆ
lim sup u2n φ log u2n dx
n→∞ Ω
ˆ
= u2 φ log u2 dx
Ω∩B(xk ,2ρ)
ˆ
≤ C u2+δ dx → 0, as ρ → 0. (3.25)
Ω∩B(xk ,2ρ)

It follows from (3.23), (3.24) and (3.25) that (3.22) holds.

Letting n → ∞ and ρ → 0 in (3.21), we have

0 ≥ (1 + bµk )µk − νk .

Combing this with (3.20), we have

µk ≥ Cb,S . (3.26)

Since Iψ (un ) → c and Iψ′ (un ) → 0 in H −1 (Ω) as n → ∞, by using the boundedness of {un },
(3.3) and the fact that ψ(kun k2 ) = 1 and ψ ′ (kun k2 ) = 0 for n large enough, one has
 
1 ′
c = lim Iψ (un ) − hIψ (un ), un i
n→∞ 6
 
1 b λ µ µ
ˆ
2 4 2 2 2 2
= lim kun k + kun k − kun k2 + kun k2 − u log un dx
n→∞ 3 12 3 2 3 Ω n
( ˆ ˆ 2 )
1 2 b 2 µ 12 − µλ
≥ lim |∇un | φdx + |∇un | φdx + e |Ω| . (3.27)
n→∞ 3 Ω 12 Ω 3

Letting ρ → 0 in (3.27) and recalling (3.26) yield

1 b µ 1−λ
c ≥ µk + µ2k + e 2 µ |Ω|
3 12 3
1 b 2 µ 1 λ
≥ Cb,S + Cb,S + e 2 − µ |Ω|,
3 12 3
1 λ
b
which contradicts with the assumption that c < 31 Cb,S + 12 2 + µ e 2 − µ |Ω|. Consequently,
Cb,S 3
J = ∅ and ˆ ˆ
|un |6 dx → |u|6 dx, as n → ∞. (3.28)
Ω Ω

Finally, by combining Iψ′ (un ) → 0 in H −1 (Ω), the boundedness of {un }, and the fact that
ψ(kun k2 ) = 1 and ψ ′ (kun k2 ) = 0 for n large enough with (3.19) and (3.28) and applying Lemma
2.5, we have, for n large enough,

on (1) =hIψ′ (un ), un − ui

ˆ ˆ ˆ
=(1 + bkun k2 ) ∇un ∇(un − u)dx − λ un (un − u)dx − µ un (un − u) log u2n dx
Ω Ω Ω
1 ′
ˆ ˆ
2 6 2 5
− ψ (kun k )kun k6 ∇un ∇(un − u)dx − ψ(kun k ) un (un − u)dx
3 Ω Ω
 ˆ ˆ ˆ 17
2
=(1 + bkun k ) ∇un ∇(un − u)dx − λ un (un − u)dx − µ un (un − u) log u2n dx
ˆ Ω Ω Ω

− u5n (un − u)dx

Ω ˆ
2
=(1 + bkun k ) ∇un ∇(un − u)dx + on (1). (3.29)
Ω

Then letting n → ∞ in (3.29), we get

ˆ ˆ
2
|∇un | dx − |∇u|2 dx = o(1), as n → ∞,
Ω Ω

which, together with un ⇀ u in H01 (Ω), implies that un → u in H01 (Ω) as n → ∞. This
completes the proof.

In order to apply the symmetric mountain pass lemma, it remans to prove that the condition
(A2 ) in Lemma 2.7 holds.

Lemma 3.7. Assume that b > 0, λ ∈ R and µ < 0. Then for each k ∈ N, there exists an
Ak ∈ Ek such that sup Iψ (u) < 0.
u∈Ak

Proof. For any k ∈ N, suppose that Hk is a k-dimensional subspace of H01 (Ω). According to
µ < 0 and the definition of ψ, by using (2.5) with 0 < δ < 2∗ − 2 and the Sobolev embedding
theorem, one has, for any u ∈ Hk \{0} with kuk < 1,

1 b λ µ µ 1
ˆ
Iψ (u) = kuk2 + kuk4 − kuk22 + kuk22 − u2 log u2 dx − ψ(kuk2 )kuk66
2 4 2 2 2 Ω 6
1 b λ µ µ
ˆ
= kuk2 + kuk4 − kuk2 kvk22 + kuk2 kvk22 − kuk2 v 2 log v 2 dx
2 4 2 2 2 Ω
µ 1
− kuk2 log kuk2 kvk22 − ψ(kuk2 )kuk6 kvk66
2 6
1 b |λ| µ µ
2
≤ kuk + kuk + 4
kuk2 − Ckuk2 kvk2+δ 2
2+δ − 2 kuk log kuk kvk2
2 2
2 4 2λ1 2
1 b |λ| µ µ
≤ kuk2 + kuk4 + kuk2 − Ckuk2 kvk2+δ − Ckuk2 log kuk2 kvk2
2 4 2λ1 2 2
 
kuk2 b |λ|
= 1 + kuk2 + − µC − µC log kuk2 ,
2 2 λ1

where v =: u/kuk and λ1 is the first eigenvalue of −∆ with the Dirichlet boundary condition.
Noticing that µ < 0, then for any k ∈ N, there exist ρk small enough and constant Mk > 0 such
that Iψ (u) ≤ −Mk < 0 when u ∈ Hk with kuk = ρk . Set Ak = {u ∈ Hk : kuk = ρk }. It follows
from Proposition 2.1 (4) that γ(Ak ) = k. Thus, Ak ∈ Ek . This completes the proof.

The proof of Theorem 1.2. Assume that N = 3 and (b, λ, µ) ∈ B0 . It is easy to see that
Iψ ∈ C 1 (H01 (Ω), R), Iψ (0) = 0 and Iψ is even in H01 (Ω). Then according to Lemmas 3.5, 3.6 and
3.7, the conditions (A1 ) and (A2 ) of Lemma 2.7 are satisfied. Hence, it follows from Lemma 2.7
that Iψ has a sequence of critical points {uk } converging to zero with Iψ (uk ) ≤ 0 and uk 6= 0.
e k k) ≤ 0 and kuk k < t0 , where G(t)
Since Iψ (uk ) ≤ 0, G(ku e is given in (3.18). Recalling the
definition of ψ, we can deduce that {uk } are also the critical points of I. The proof of Theorem
1.2 is complete.
 18
4 The case N = 4
In this section, we consider the existence of solutions to problem (1.1) when N = 4. From
(2.2) one sees that the critical exponent is exactly the same as the exponent of the Kirchhoff term
in this case, and the interaction between kuk4 and kuk44 results in some interesting phenomena.
When bS 2 − 1 ≥ 0, the nonlocal term dominates the critical one and I(u) is coercive in the
whole space H01 (Ω). Conversely, when bS 2 − 1 < 0, the critical term plays a dominant role and
I(u) is not bounded from below. Therefore, in this section, we will investigate the existence of
infinitely many solutions to problem (1.1) under two cases: bS 2 − 1 ≥ 0 and bS 2 − 1 < 0.

4.1 The case bS 2 − 1 ≥ 0

In this subsection, we deal with the case bS 2 − 1 ≥ 0. To the first, we shows that functional
I(u) is coercive in H01 (Ω).
Lemma 4.1. Assume that bS 2 − 1 ≥ 0, λ ∈ R and µ < 0. Then I(u) is coercive in H01 (Ω),
that is

lim I(u) = +∞.

kuk→+∞

Proof. Since bS 2 − 1 ≥ 0, λ ∈ R and µ < 0, using (2.1) and (3.1), one has
1 b λ µ µ 1
ˆ
2 4 2 2
I(u) = kuk + kuk − kuk2 + kuk2 − u2 log u2 dx − kuk44
2 4 2 2 2 Ω 4
1 2
bS − 1 µ −λ
≥ kuk2 + 2
kuk4 + e µ |Ω|, (4.1)
2 4S 2
which implies that I(u) is coercive in H01 (Ω). This completes the proof.

Next, we introduce a global compactness result for I(u) which is also of independent interest.
Lemma 4.2. Assume that bS 2 − 1 ≥ 0, λ ∈ R and µ < 0. Then I(u) satisfies the global
(P S) condition, i.e., any sequence {un } satisfying I(un ) is bounded and I ′ (un ) → 0 as n → ∞
has a strongly convergent subsequence.
Proof. Assume that {un } is a sequence such that {I(un )} is bounded and I ′ (un ) → 0 in H −1 (Ω)
as n → ∞. Since I(u) is coercive in H01 (Ω), {un } is bounded in H01 (Ω). Consequently, passing
to a subsequence if necessary, there exist a u ∈ H01 (Ω) such that, as n → ∞,

 1
un ⇀ u in H0 (Ω),


u → u in Lp (Ω), 1 ≤ p < 4,
n
3 3 in L 34 (Ω),
(4.2)

 un ⇀ u


u → u a.e. in Ω.
n

To prove un → u in H01 (Ω) as n → ∞, we set ωn = un − u. Obviously, {ωn } is also bounded in

H01 (Ω), and there exists a subsequence of {ωn } (still denoted by {ωn }) such that

lim kwn k2 = l ≥ 0. (4.3)

n→∞

From un ⇀ u in H01 (Ω) as n → ∞, there holds

kun k2 = kwn k2 + kuk2 + on (1), n → ∞. (4.4)

 19
Combining this with (2.7) and (4.2), we have

on (1) =hI ′ (un ), ui

ˆ ˆ ˆ ˆ
2
= 1 + bkun k ∇un ∇udx − λ un udx − µ un u log u2n dx − u3n udx
Ω ˆΩ Ω Ω

u2 log u2 dx − kuk44 + on (1)

=kuk2 + bkun k2 kuk2 − λkuk22 − µ
Ω
ˆ
=kuk + bkuk + bkwn k kuk − λkuk2 − µ u2 log u2 dx − kuk44 + on (1).
2 4 2 2 2
(4.5)
Ω

Then according to I ′ (un ) → 0 as n → ∞ and the boundedness of {un }, using Lemma 2.1, (2.1),
(2.6), (4.2), (4.4) and (4.5), one has

on (1) =hI ′ (un ), un i

ˆ
2 2
= 1 + bkun k kun k − λkun k22 −µ u2n log u2n dx − kun k44
Ω ˆ
2 2 4 2 2 4
=kwn k + kuk + bkwn k + 2bkwn k kuk + bkuk − λkuk22 −µ u2 log u2 dx
Ω
− kwn k44 − kuk44 + on (1)
=kwn k2 + bkwn k4 + bkwn k2 kuk2 − kwn k44 + on (1)
1
≥kwn k2 + bkwn k4 + bkwn k2 kuk2 − 2 kwn k4 + on (1). (4.6)
S
Recalling (4.3) and letting n → ∞ in (4.6), we deduce that

bS 2 − 1 2
0≥l+ l + blkuk2 ,
S2
which ensures l = 0 since bS 2 − 1 ≥ 0. Therefore, un → u in H01 (Ω) as n → ∞. This completes
the proof.

Lemma 4.3. Assume that bS 2 − 1 ≥ 0, λ ∈ R and µ < 0. Then for each k ∈ N, there exists
an Ak ∈ Ek such that sup I(u) < 0.
u∈Ak

Proof. The proof is similar to that of Lemma 3.7. Here we omit it.

The proof of Theorem 1.3 with condition (i). Assume that N = 4, bS 2 − 1 ≥ 0, λ ∈ R

and µ < 0. It is obvious that I ∈ C 1 (H01 (Ω), R), I(0) = 0 and I is even in H01 (Ω), which,
together with Lemmas 4.1, 4.2 and 4.3, imply that the conditions (A1 ) and (A2 ) of Lemma 2.6
are vaild. Therefore, by Lemma 2.6, I has a sequence of solutions {uk } converging to zero with
I(uk ) ≤ 0 and uk 6= 0. This completes the proof of Theorem 1.3 with condition (i).

4.2 The case bS 2 − 1 < 0

In this subsection, we consider the case bS 2 − 1 < 0. Different from the case bS 2 − 1 ≥ 0,
the energy functional is on longer bounded from below and fails to satisfy the global (P S)
condition. So the method used in subsection 4.1 can not be applied to this case directly. In
order to overcome this difficulty, we need to introduce proper truncation on the critical term.
 20
Since λ ∈ R, µ < 0, b > 0 and bS 2 − 1 < 0, similarly to the proof of (4.1), we have
1 b λ µ µ 1
ˆ
2 4 2 2
I(u) = kuk + kuk − kuk2 + kuk2 − u2 log u2 dx − kuk44
2 4 2 2 2 Ω 4
1 1 − bS 2 µ − λ
≥ kuk2 − kuk4 + e µ |Ω|.
2 4S 2 2
Set
1 2 1 − bS 2 4 µ − µλ
M (t) = t − t + e |Ω|, t ≥ 0,
2 4S 2 2
Direct calculation shows that ′ e ′ e
q M (t) > 0 for 0 < t < t, M (t) < 0 for t > t and M (t) takes its
S 2
maximum at e t, where e
t := 1−bS 2 . Set

f := M (e S2 µ −λ
M t) = 2
+ e µ |Ω|.
4(1 − bS ) 2
λ λ
Since (b, λ, µ) ∈ C0 , it follows from S2
4(1−bS 2 )
+ µ4 e1− µ |Ω| > 0 that S2
4(1−bS 2 )
+ µ2 e− µ |Ω| > 0. Then
λ
f= S2 −
M0 = 12 M 8(1−bS 2 )
+ µ4 e µ |Ω| > 0. Combining this with µ < 0, there exists a t0 ∈ (0, e
t) such
that M (t0 ) = M0 .
Define a truncation function ζ(x) ∈ C 1 [0, ∞) such that


 1, 0 ≤ x ≤ t20 ,

ζ(x) = 0 ≤ ζ(x) ≤ 1, t20 ≤ x ≤ e t2 ,

 λ
 2S 2 2µS 2 e− µ |Ω|−4S 2M
f
x + x2 + bS 2 , x ∈ [et2 , +∞),

and consider the following truncated functional defined in H01 (Ω)

1 b λ µ µ 1
ˆ
2 4 2 2
Iζ (u) = kuk + kuk − kuk2 + kuk2 − u2 log u2 dx − ζ(kuk2 )kuk44 .
2 4 2 2 2 Ω 4
The first Fréchet derivative of Iζ (u) is denoted by


ˆ ˆ ˆ
′ 2
hIζ (u), φi = 1 + bkuk ∇u∇φdx − λ uφdx − µ uφ log u2 dx
Ω Ω ˆ Ω
1
ˆ
− kuk44 ζ ′ (kuk2 ) ∇u∇φdx − ζ(kuk2 ) u3 φdx, ∀ u, φ ∈ H01 (Ω).
2 Ω Ω

Now, we show that the truncated energy functional Iζ (u) is bounded from below in H01 (Ω).

Lemma 4.4. Assume that b > 0, λ ∈ R, µ < 0 and bS 2 − 1 < 0. Then Iζ (u) is bounded
from below in H01 (Ω).

Proof. For any u ∈ H01 (Ω)\{0}, since b > 0, λ ∈ R, µ < 0 and bS 2 − 1 < 0, according to (2.1),
(3.1) and the definition of the truncation function ζ(x), one has
1 b λ µ µ 1
ˆ
Iζ (u) = kuk2 + kuk4 − kuk22 + kuk22 − u2 log u2 dx − ζ(kuk2 )kuk44
2 4 2 2 2 Ω 4
1 b 1 µ λ
≥ kuk2 + kuk4 − 2 ζ(kuk2 )kuk4 + e− µ |Ω|. (4.7)
2 4 4S 2
 21
Define
1 2 b 4 1 µ −λ
Mζ (t) = t + t − 2
ζ(t2 )t4 + e µ |Ω|, t ≥ 0.
2 4 4S 2
From the definition of ζ(x), we can deduce that Mζ (t) = M (t) for 0 ≤ t ≤ t0 , Mζ (t) ≥ M (t) for
f for t ≥ e −λ
t0 ≤ t ≤ e
t and Mζ (t) = M t. Thus, Iζ (u) ≥ Mζ (kuk) ≥ µ2 e µ |Ω| for all u ∈ H01 (Ω). This
completes the proof.

Next we shall prove that Iζ satisfies the (P S)c condition.

Lemma 4.5. Assume that bS 2 − 1 < 0 and (b, λ, µ) ∈ C0 . If
 
∗ S2 µ − λµ S2 µ 1− λµ
c < c := min + e |Ω|, + e |Ω| ,
8(1 − bS 2 ) 4 4(1 − bS 2 ) 4
then Iζ satisfies the (P S)c condition.
Proof. Since (b, λ, µ) ∈ C0 , c∗ > 0. Assume that {un } ⊂ H01 (Ω) is a (P S)c sequence of Iζ . Since
S 2 µ −λ
µ |Ω|, we have I (u ) < M for n large enough. Combining this with
c < M0 = 8(1−bS 2) + 4 e ζ n 0
(4.7) and the definition of ζ(x), we can see that ζ(kun k2 ) = 1 and ζ ′ (kun k2 ) = 0 for n large
enough. Since b > 0, λ ∈ R and µ < 0, by a similar estimate to (3.1), we have
λ µ µ µ
ˆ
λ
− kun k22 + kun k22 − u2n log u2n dx ≥ e1− µ |Ω|. (4.8)
4 2 4 Ω 4
Using the fact ζ ′ (kun k2 ) = 0 for n large enough and (4.8), one has
1
M0 + on (1)kun k >Iζ (un ) − hIζ′ (un ), un i
4
1 b λ µ µ
ˆ
= kun k + kun k4 − kun k22 + kun k22 −
2
u2 log u2n dx
2 4 2 2 2 Ω n
1 1 b λ µ
ˆ
2 4 2 4 2
− ζ(kun k )kun k4 − kun k − kun k + kun k2 + u2 log u2n dx
4 4 4 4 4 Ω n
1 1
+ ζ ′ (kun k2 )kun k44 kun k2 + ζ(kun k2 )kun k44
8 4
1 λ µ µ
ˆ
= kun k2 − kun k22 + kun k22 − u2 log u2n dx
4 4 2 4 Ω n
1 µ λ
≥ kun k2 + e1− µ |Ω|.
4 4
Therefore, {un } is bounded in H01 (Ω). Then there exist a subsequence of {un } (still denoted by
{un }) and a u ∈ H01 (Ω) such that, as n → ∞,


 un ⇀ u in H01 (Ω),


u → u in Lp (Ω), 1 ≤ p < 4,
n
4 (4.9)
un ⇀ u3 in L 3 (Ω),

3


u → u a.e. in Ω.
n

Moreover, according to Lemma 2.2, there exists an at most countable index set J and a collection
of points {xk }k∈J such that
X
|∇un |2 ⇀ µ ≥ |∇u|2 + µk δxk , µk > 0,
k∈J
 X 22
|un |4 ⇀ ν = |u|4 + νk δxk , νk > 0, (4.10)
k∈J

in the measure sense. In addition, we also have

1
µk ≥ Sνk2 , (k ∈ J ). (4.11)

Now we claim that J = ∅. Suppose on the contrary that J = 6 ∅ and fix k ∈ J . Define a
∞
function φ ∈ C0 (Ω) satisfying φ(x) = 1 in B(xk , ρ), φ(x) = 0 in Ω\B(xk , 2ρ), 0 ≤ φ(x) ≤ 1
otherwise and |∇φ| ≤ ρ2 in Ω, where ρ > 0 is a appropriate constant. Since Iζ′ (un ) → 0 in
H −1 (Ω) as n → ∞ and {un φ} is bounded in H01 (Ω), recalling the fact that ζ(kun k2 ) = 1 and
ζ ′ (kun k2 ) = 0 for n large enough, we have

0 = lim hIζ′ (un ), un φi

n→∞
(


ˆ ˆ ˆ
= lim 1 + bkun k2 ∇un ∇(un φ)dx − λ u2n φdx − µ u2n φ log u2n dx
n→∞ Ω Ω Ω
)
1
ˆ ˆ
4 ′ 2 2 4
− kun k4 ζ (kun k ) ∇un ∇(un φ)dx − ζ(kun k ) un φdx
2 Ω Ω
( )


ˆ ˆ ˆ ˆ
2 2 2 2 4
= lim 1 + bkun k ∇un ∇(un φ)dx − λ un φdx − µ un φ log un dx − un φdx
n→∞ Ω Ω Ω Ω
( )


ˆ ˆ
= lim 1 + bkun k2 |∇un |2 φdx − u4n φdx + o(1), (4.12)
n→∞ Ω Ω

where o(1) → 0 as ρ → 0. The last equality comes from

( )


ˆ ˆ ˆ
2 2 2 2
lim 1 + bkun k ∇un un ∇φdx − λ un φdx − µ un φ log un dx = o(1), as ρ → 0,
n→∞ Ω Ω Ω
(4.13)

the proof of which is similar to that of (3.22) and hence is omitted. From (4.12), we have
 ˆ ˆ ˆ 
2 2 4
0 ≥ lim 1 + b |∇un | φdx |∇un | φdx − un φdx + o(1).
n→∞ Ω Ω Ω

Letting n → ∞ and ρ → 0, we have

0 ≥ (1 + bµk )µk − νk .

Combing this with (4.11) and recalling bS 2 − 1 < 0, one has

S2
µk ≥ . (4.14)
1 − bS 2
Since Iζ (un ) → c and Iζ′ (un ) → 0 in H −1 (Ω) as n → ∞, by using the boundedness of {un }, (4.8)
and the fact that ζ(kun k2 ) = 1 and ζ ′ (kun k2 ) = 0 for n large enough, we have,
 
1 ′
c = lim Iζ (un ) − hIζ (un ), un i
n→∞ 4
   23
1 λ µ µ
ˆ
= lim kun k2 − kun k22 + kun k22 − u2n log u2n dx
n→∞ 4 4 2 4 Ω
 ˆ 
1 µ λ
≥ lim |∇un |2 φdx + e1− µ |Ω| (4.15)
n→∞ 4 Ω 4
Letting ρ → 0 in (4.15), it follows from (4.14) that
1 µ 1− λ S2 µ 1− λ
c ≥ µk + e µ |Ω| ≥ 2
+ e µ |Ω|,
4 4 4(1 − bS ) 4
λ
S2 1− µ
which contradicts with c < 4(1−bS 2 ) + µ4 e |Ω|. Consequently, J = ∅ and
ˆ ˆ
|un |4 dx → |u|4 dx, as n → ∞. (4.16)
Ω Ω

Using Iζ′ (un ) → 0 in H −1 (Ω) as n → ∞, the boundedness of {un } and the fact that
ζ(kun k2 ) = 1 and ζ ′ (kun k2 ) = 0 for n large enough again, together with Lemma 2.5, (4.9)
and (4.16), we have
on (1) =hIζ′ (un ), un − ui
 ˆ ˆ
= 1 + bkun k2 ∇un ∇(un − u)dx − λ un (un − u)dx
Ω Ω
1
ˆ ˆ
2 4 ′ 2
− µ un (un − u) log un dx − kun k4 ζ (kun k ) ∇un ∇(un − u)dx
Ω 2 Ω
ˆ
− ζ(kun k2 ) u3n (un − u)dx
Ω


ˆ ˆ
2
= 1 + bkun k ∇un ∇(un − u)dx − λ un (un − u)dx
ˆ Ω ˆ Ω

− µ un (un − u) log u2n dx − u3n (un − u)dx

Ω ˆ Ω
2
=(1 + bkun k ) ∇un ∇(un − u)dx + on (1),
Ω

which implies that ˆ ˆ

2
|∇un | dx − |∇u|2 dx = o(1), as n → ∞.
Ω Ω
Combining this with un ⇀ u in H01 (Ω) as n → ∞, we have un → u in H01 (Ω) as n → ∞. This
completes the proof.

Lemma 4.6. Assume that b > 0, λ ∈ R and µ < 0. Then for any k ∈ N, there exists an
Ak ∈ Ek such that sup Iζ (u) < 0.
u∈Ak

Proof. The proof is similar to that of Lemma 3.7. Here we omit it.

Proof of Theorem 1.3 with condition (ii). Assume that N = 4, bS 2 − 1 < 0 and
(b, λ, µ) ∈ C0 . Notice that Iζ ∈ C 1 (H01 (Ω), R), Iζ (0) = 0 and Iζ (u) is even in H01 (Ω). Then by
means of Lemmas 4.4, 4.5 and 4.6, the assumptions (A1 ) and (A2 ) of Lemma 2.7 are satisfied.
From Lemma 2.7, Iζ has a sequence of critical points {uk } converging to zero with Iζ (uk ) ≤ 0
and uk 6= 0. Since Iζ (uk ) ≤ 0, then Mζ (kuk k) ≤ 0 and kuk k < t0 , where Mζ (t) is given in the
proof of Lemma 4.4. According to the definition of ζ, we know that the sequence {uk } are also
the critical points of I. Consequently, the proof of Theorem 1.3 with condition (ii) is complete.
 24
5 The case N ≥ 5
In this section, we consider problem (1.1) with N ≥ 5. In this case, the critical Sobolev
exponent is strictly less than 4, which, together with the fact that the sign of logarithmic term
is indefinite and that the logarithmic term does not satisfy the Aimbrosetti-Rabinowitz type
condition, makes it impossible to prove the compactness of (P S) sequences. Moreover, the
methods used in the above two cases are no longer applicable. However, we notice that the
energy functional possesses the local minimum structure around 0. In view of this, we avoid
the lack of compactness of I(u) by considering the existence of a local minimum solution on an
appropriate ball in H01 (Ω). Furthermore, by imposing additional conditions on the parameters,
we show that it is also a ground state solution.
We first prove the following lemma, which shows that there exists a constant re such that
I(u) > 0 for all u ∈ H01 (Ω) with kuk = re.

Lemma 5.1. Assume that (b, λ, µ) ∈ D0 . Then there exists re > 0 such that I(u) > 0 for all
u ∈ H01 (Ω) with kuk = re.

Proof. For all u ∈ H01 (Ω)\{0}, since b > 0, λ ∈ R and µ < 0, by (2.1) and (3.1), we have
1 b λ µ µ 1
ˆ
∗
I(u) = kuk2 + kuk4 − kuk22 + kuk22 − u2 log u2 dx − ∗ kuk22∗
2 4 2 2 2 Ω 2
1 b µ λ 1 1 ∗
≥ kuk2 + kuk4 + e− µ |Ω| − ∗ 2∗ kuk2 .
2 4 2 2 S2

Set
1 b µ −λ 1 1 ∗
h(t) = t2 + t4 + e µ |Ω| − ∗ 2∗ t2 , t ≥ 0, (5.1)
2 4 2 2 S2
 1
4 2
and re := b(N −4) . Since (b, λ, µ) ∈ D0 , we have h(e
r ) > 0. Therefore, I(u) ≥ h(e
r ) > 0 for all
u∈ H01 (Ω) with kuk = re. The proof is complete.

Define
cr0 := inf I(u),
kuk≤r0

where r0 is chosen in such a way that r0 < re and h(r0 ) > 0. We shall show that −∞ < cr0 < 0.

Lemma 5.2. Suppose that b > 0, λ ∈ R and µ < 0. Then we have

−∞ < cr0 < 0.

Proof. It is obvious that cr0 > −∞ by the fact that I(u) ∈ C 1 (H01 (Ω), R) and the definition of
cr0 . To show that cr0 < 0, for any u ∈ H01 (Ω) \ {0} and t > 0, we have
 
2 1 b 2 λ µ µ 1 2∗
ˆ
2 4 2 2 2 2 2 2∗
I(tu) = t kuk + t kuk − kuk2 − log t kuk2 + u (1 − log u )dx − ∗ t kuk2∗ .
2 4 2 2 2 Ω 2

Since µ < 0, there exists a tu > 0 suitably small such that ktu uk ≤ r0 and I(tu u) < 0, which
implies that cr0 < 0. The proof is complete.

On the basis of Lemmas 5.1 and 5.2, we will prove the compactness of the minimizing
sequence for cr0 , which plays a key role in the proof of Theorem 1.4.
 25
Lemma 5.3. Assume that (b, λ, µ) ∈ D0 . Then there exists a minimizing sequence {un } for
cr0 and a u ∈ H01 (Ω) such that, up to a subsequence, un → u in H01 (Ω) as n → ∞.
1
Proof. Let {vn } ⊂ Br0 be a minimizing sequence of cr0 such that cr0 ≤ I(vn ) ≤ cr0 + for
n
all n ∈ N. Since cr0 < 0 and I(u) > 0 for all u ∈ H01 (Ω) with kuk = r0 , it follows from the
continuity of I(u) that there is a constant σ > 0 suitably small such that kvn k ≤ r0 − σ for
all n large enough. Similar to the proof of Lemma 3.3, we can prove that there exists another
minimizing sequence {un } ⊂ Br0 for cr0 such that lim I ′ (un ) = 0.
n→∞
Since {un } is bounded in H01 (Ω), up to a subsequence, we may assume that there exists
u ∈ H01 (Ω) such that, as n → ∞,


un ⇀ u in H01 (Ω),


un → u in Lp (Ω), 1 ≤ p < 2∗ ,
∗ ∗ 2∗ (5.2)

|un |2 −2 un ⇀ |u|2 −2 u in L 2∗ −1 (Ω),



un → u a.e. in Ω.

We claim that un → u in H01 (Ω) as n → ∞. For this purpose, we set wn = un − u. Obviously,

{wn } is also a bounded sequence in H01 (Ω). So there exists a subsequence of {wn } (still denoted
by {wn }) such that

lim kwn k2 = l ≥ 0. (5.3)

n→∞

Using the fact un ⇀ u in H01 (Ω) as n → ∞, we have

kun k2 = kwn k2 + kuk2 + on (1), n → ∞. (5.4)

Since I ′ (un ) → 0 as n → ∞, we can deduce from (2.7), (5.2) and (5.4) that, as n → ∞,

on (1) =hI ′ (un ), ui

ˆ ˆ ˆ ˆ
2 ∗ −2
= 1 + bkun k un udx − µ
∇un ∇udx − λ |un |2 un u log u2n dx − un udx
Ω Ω ˆ Ω Ω
2 4 2 2 2 2 2 2∗
=kuk + bkuk + bkwn k kuk − λkuk2 − µ u log u dx − kuk2∗ + on (1). (5.5)
Ω

Combining I ′ (un ) → 0 with the boundedness of {un } and recalling (2.6), (5.2), (5.4), (5.5) and
Lemma 2.1, we have, as n → ∞,

on (1) =hI ′ (un ), un i

ˆ
2 2 ∗
= 1 + bkun k kun k − λkun k22 −µ u2n log u2n dx − kun k22∗
Ω ˆ
2 2 4 2 2 4
=kwn k + kuk + bkwn k + 2bkwn k kuk + bkuk − λkuk22 −µ u2 log u2 dx
Ω
∗ ∗
− kwn k22∗ − kuk22∗ + on (1)
∗
=kwn k2 + bkwn k4 + bkwn k2 kuk2 − kwn k22∗ + on (1). (5.6)

Suppose that l > 0. Since I(un ) → cr0 as n → ∞, it follows from (2.6), (5.2), (5.4), (5.6) and
Lemma 2.1 that, as n → ∞,
1 b λ µ µ 1
ˆ
2 4 2 2 ∗
cr0 + on (1) = I(un ) = kun k + kun k − kun k2 + kun k2 − u2n log u2n dx − ∗ kun k22∗
2 4 2 2 2 Ω 2
 26
1 1 b b b λ
= kwn k2 + kuk2 + kwn k4 + kuk4 + kwn k2 kuk2 − kuk22
2 2 ˆ 4 4 2 2
µ 2 µ 2 2 1 2∗ 1 2∗
+ kuk2 − u log u dx − ∗ kwn k2∗ − ∗ kuk2∗ + on (1)
2 2 Ω 2 2
1 b b 1 ∗
=I(u) + kwn k2 + kwn k4 + kwn k2 kuk2 − ∗ kwn k22∗ + on (1)
2 4  2  2
 
1 1 1 1 1
=I(u) + ∗ hI ′ (un ), un i + − ∗ kwn k2 − − bkwn k4
2 2 2 2∗ 4
 
1 1
+ − bkwn k2 kuk2 + on (1)
2 2∗
   
1 1 1 1
=I(u) + − ∗ kwn k2 − − bkwn k4
2 2 2∗ 4
 
1 1
+ − bkwn k2 kuk2 + on (1). (5.7)
2 2∗

Letting n → ∞ in (5.7) and applying (5.3), one has

     
1 1 1 1 2 1 1
cr0 = I(u) + − l− − bl + − blkuk2 . (5.8)
2 2∗ 2∗ 4 2 2∗

By the weak lower semi-continuity of the norm, we have kuk ≤ r0 , which, together with (5.3)
and (5.4), guarantees
4
0 < l ≤ r02 < re2 = (5.9)
b(N − 4)
Since 2 < 2∗ < 4, by a direct calculation, we can deduce from (5.9) that
     
1 1 1 1 2 1 1
cr0 = I(u) + − l− − bl + − blkuk2 > I(u), (5.10)
2 2∗ 2∗ 4 2 2∗

a contradiction. Therefore, l = 0, i.e., un → u in H01 (Ω) as n → ∞. This completes the

proof.

The proof of Theorem 1.4. From Lemma 5.3 and the fact that I(u) is a C 1 functional
in H01 (Ω), one obtains that u is a local minimum solution to problem (1.1) with I(u) < 0.
−4 N−4 −N
In addition to the assumptions of Theorem 1.4, suppose that b ≥ b∗ = N 2−2 ( N N −2 )
2 S 2 .

Direct calculation shows that h′ (t) ≥ 0 on [0, +∞), which, together with h(r0 ) > 0, implies that
I(u) ≥ h(kuk) > 0 for kuk ≥ r0 . Consequently, the local minimum solution u with negative
energy must be a ground state solution. This completes the proof of Theorem 1.4.

Declaration
No potential competing interest was reported by the authors.
Data availability
No data was used for the research described in the article.

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