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Serena Dipierro, María Medina
and Enrico Valdinoci
15

APPUNTI

Fractional Elliptic
LECTURE NOTES

Problems
with Critical Growth
n
in the Whole of R

EDIZIONI
DELLA
NORMALE
15

APPUNTI
LECTURE NOTES
Serena Dipierro
School of Mathematics and Statistics
University of Melbourne
813 Swanston Street
Parkville VIC 3010, Australia

Marı́a Medina
Departamento de Matemáticas
Universidad Autónoma de Madrid 28049, Madrid, Spain
and
Facultad de Matemáticas
Pontificia Universidad Católica de Chile
Avenida Vicuña Mackenna 4860
Santiago, Chile

Enrico Valdinoci
School of Mathematics and Statistics
University of Melbourne
813 Swanston Street
Parkville VIC 3010, Australia
and
Università degli studi di Milano
Via Saldini 50, 20133 Milano, Italia
and
Istituto di Matematica Applicata e Tecnologie Informatiche
Consiglio Nazionale delle Ricerche
Via Ferrata 1, 27100 Pavia, Italia

Fractional Elliptic Problems with Critical Growth in the Whole of Rn

Serena Dipierro, María Medina
and Enrico Valdinoci

Fractional Elliptic
Problems
with Critical
Growth
in the Whole of R n

c 2017 Scuola Normale Superiore Pisa

ISBN 978-88-7642-600-1 ISBN 978-88-7642-601-8 (eBook)

DOI 10.1007/978-88-7642-601-8
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Contents

Preface vii

1 Introduction 1
1.1 The fractional Laplacian . . . . . . . . . . . . . . . . . 1
1.2 The mountain pass theorem . . . . . . . . . . . . . . . . 6
1.3 The concentration-compactness principle . . . . . . . . 12

2 The problem studied in this monograph 15

2.1 Fractional critical problems . . . . . . . . . . . . . . . . 15
2.2 An extended problem and statement of the main results . 20

3 Functional analytical setting 29

3.1 Weighted Sobolev embeddings . . . . . . . . . . . . . . 29
3.2 A concentration-compactness principle . . . . . . . . . . 35

4 Existence of a minimal solution and proof of Theorem 2.2.2 39

4.1 Some convergence results in view of Theorem 2.2.2 . . . 39
4.2 Palais-Smale condition for Fε . . . . . . . . . . . . . . . 42
4.3 Proof of Theorem 2.2.2 . . . . . . . . . . . . . . . . . . 65

5 Regularity and positivity of the solution 67

5.1 A regularity result . . . . . . . . . . . . . . . . . . . . . 67
5.2 A strong maximum principle and positivity
of the solutions . . . . . . . . . . . . . . . . . . . . . . 72

6 Existence of a second solution and proof of Theorem 2.2.4 75

6.1 Existence of a local minimum for Iε . . . . . . . . . . . 77
6.2 Some preliminary lemmata towards the proof
of Theorem 2.2.4 . . . . . . . . . . . . . . . . . . . . . 78
6.3 Some convergence results in view of Theorem 2.2.4 . . . 84
6.4 Palais-Smale condition for Iε . . . . . . . . . . . . . . . 90
 vi Serena Dipierro, Marı́a Medina and Enrico Valdinoci

6.5 Bound on the minimax value . . . . . . . . . . . . . . . 133

6.6 Proof of Theorem 2.2.4 . . . . . . . . . . . . . . . . . . 148

References 149
Preface

This is a research monograph devoted to the analysis of a nonlocal equa-

tion in the whole of the Euclidean space. In studying this equation, we
will introduce all the necessary material in the most self-contained way
as possible, giving precise reference to the literature when necessary.
In further detail, we study here the following nonlinear and nonlocal
elliptic equation in Rn

(−)s u = ε h u q + u p in Rn ,

where s ∈ (0, 1), n > 2s, ε > 0 is a small parameter, p = n+2s n−2s
,
q ∈ (0, 1), and h ∈ L 1 (Rn ) ∩ L ∞ (Rn ). The problem has a variational
structure, and this allows us to find a positive solution by looking at crit-
ical points of a suitable energy functional. In particular, in this mono-
graph, we find a local minimum and a different solution of this functional
(this second solution is found by a contradiction argument which uses a
mountain pass technique, so the solution is not necessarily proven to be
of mountain pass type).
One of the crucial ingredient in the proof is the use of a suitable Con-
centration-Compactness principle.
Some difficulties arise from the nonlocal structure of the problem and
from the fact that we deal with an equation in the whole of Rn (and this
causes lack of compactness of some embeddings). We overcome these
difficulties by looking at an equivalent extended problem.
This monograph is organized as follows.
Chapter 1 gives an elementary introduction to the techniques involved,
providing also some motivations for nonlocal equations and auxiliary re-
marks on critical point theory.
Chapter 2 gives a detailed description of the class of problems under
consideration (including the main equation studied in this monograph)
and provides further motivations.
 viii Serena Dipierro, Marı́a Medina and Enrico Valdinoci

Chapter 3 introduces the analytic setting necessary for the study of

nonlocal and nonlinear equations (this part is of rather general interest,
since the functional analytic setting is common in different problems in
this area).
The research oriented part of the monograph is mainly concentrated
in Chapters 4, 5 and 6 (as a matter of fact, Chapter 5 may also be of
general interest, since it deals with a regularity theory for a general class
of equations).

Serena Dipierro, Marı́a Medina and Enrico Valdinoci

The first author has been supported by EPSRC grant EP/K024566/1 Monotonicity formula methods
for nonlinear PDEs and by the Alexander von Humboldt Foundation. The second author has been
supported by projects MTM2010-18128 and MTM2013-40846-P, MINECO. The third author has
been supported by ERC grant 277749 EPSILON Elliptic Pde’s and Symmetry of Interfaces and
Layers for Odd Nonlinearities and PRIN grant 201274FYK7 Critical Point Theory and Perturbative
Methods for Nonlinear Differential Equations.
Chapter 1
Introduction

This research monograph deals with a nonlocal problem with critical non-
linearities. The techniques used are variational and they rely on clas-
sical variational methods, such as the mountain pass theorem and the
Concentration-Compactness Principle (suitably adapted, in order to fit
with the nonlocal structure of the problem under consideration). The sub-
sequent sections will give a brief introduction to the fractional Laplacian
and to the variational methods exploited.
Of course, a comprehensive introduction goes far beyond the scopes
of a research monograph, but we will try to let the interested reader get
acquainted with the problem under consideration and with the methods
used in a rather self-contained form, by keeping the discussion at the sim-
plest possible level (but trying to avoid oversimplifications). The expert
reader may well skip this initial overview and go directly to Chapter 2.

1.1. The fractional Laplacian

The operator dealt with in this paper is the so-called fractional Laplacian.
For a “nice” function u (for instance, if u lies in the Schwartz Class
of smooth and rapidly decreasing functions), the s power of the Lapla-
cian, for s ∈ (0, 1), can be easily defined in the Fourier frequency space.
Namely, by taking the Fourier transform

û(ξ ) = Fu(ξ ) = u(x) e−2πi x·ξ dx,
Rn

and by looking at the Fourier Inversion Formula


−1
u(x) = F û(x) = û(ξ ) e2πi x·ξ dξ,
Rn

one notices that the derivative (say, in the kth coordinate direction) in
the original variables corresponds to the multiplication by 2πiξk in the
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