# CIRCLE-VALUED MORSE THEORY FOR FRAME SPUN KNOTS AND CIRCLE-VALUED MORSE THEORY FOR FRAME SPUN KNOTS

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CIRCLE-VALUED MORSE THEORY FOR FRAME SPUN KNOTS AND SURFACE-LINKS

HISAAKI ENDO AND ANDREI PAJITNOV

ABSTRACT. Let Nk Ă Sk`2 be a closed oriented submanifold, denote its comple- ment by CpNq “ Sk`2zN . Denote by ξ P H1pCpNqq the class dual to N . The Morse-Novikov number of CpNq is by definition the minimal possible number of critical points of a regular Morse map CpNq Ñ S1 belonging to ξ. In the first part of this paper we study the case when N is the twist frame spun knot associated to an m-knot K. We obtain a formula which relates the Morse-Novikov numbers of N and K and generalizes the classical results of D. Roseman and E.C. Zeeman about fibrations of spun knots. In the second part we apply the obtained results to the computation of Morse-Novikov numbers of surface-links in 4-sphere.

CONTENTS

1. Introduction 1 2. Twist frame spun knots 3 3. Rotation 5 4. Surface-links 9 5. Acknowledgements 12 References 12

1. INTRODUCTION

1.1. Overview of the article. Let Nk Ă Sk`2 be a closed oriented submanifold, let CpNq “ Sk`2zN be its complement. The orientation of N determines a coho- mology class ξ P H1pCpNqq « rCpNq, S1s. We say that N is fibred if there is a Morse map f : CpNq Ñ S1 homotopic to ξ which is regular nearby N (see Def 1.1) and has no critical points. In general a Morse map CpNq Ñ S1 has some critical points, the minimal number of these critical points will be called the Morse-Novikov number of N and denoted MN pCpNqq.

In the first part of this paper we study this invariant in relation with construc- tions of spinning. The classical Artin’s spinning construction [2] associates to each knot K Ă S3 a 2-knot SpKq Ă S4. A twisted version of this construction is due to E.C. Zeeman [14]. In [12] D. Roseman introduced a frame spinning construction, and G. Friedman [4] gave a twisted version of generalized Roseman’s construction to include twisting.

The input data for twist frame spinning construction is: (TFS1) A closed manifold Mk Ă Sm`k with trivial (and framed ) normal bundle.

2010 Mathematics Subject Classification. 57Q45, 57R35, 57R70, 57R45. Key words and phrases. surface-link, Morse-Novikov number, twist framed spun knots.

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2 HISAAKI ENDO AND ANDREI PAJITNOV

(TFS2) An m-knot Km Ă Sm`2. (TFS3) A smooth map λ : M Ñ S1.

To these data one associates an n-knot σpM,K, λq, where n “ k ` m (see Section 2). We prove in Section 2 the following formula:

(1) MN pCpσpM,K, λqqq 6MN pCpKqq ¨MN pM, rλsq (where MN pM, rλsq is the minimal number of critical points of a map M Ñ S1 homotopic to λ.) If λ is null-homotopic, we have

MN pCpσpM,Kqqq 6MN pCpKqq ¨MpMq (where MpMq is the Morse number of M ). In particular, if K is fibred, then the framed spun knot σpM,Kq is fibred (A theorem due to D. Roseman [12]). If in formula (1) the map l : M Ñ S1 has no critical points, then the knot σpM,K, λq is fibred, and we recover the classical result of E.C. Zeeman [14]: for any knot its twist-spun knot is fibered. In section 3 we discuss a geometric construction which is related to spinning, namely rotation of a knot Km Ă Sm`2 around equatorial sphere Σ of Sm`2. The resulting submanifold RpKq is diffeomorphic to S1 ˆ Sm and is sometimes called spun torus of K. We prove that

MN pRpKqq 6 2MN pKq ` 2. Section 4 is about Morse-Novikov theory for surface-links. In Subsection 4.1

we introduce a related invariant of surface-links, namely the saddle number sdpF q (Definition 4.1) and prove the formula

(2) MN pCpF qq 6 2sdpF q ` χpF q ´ 2. In Subsection 4.2 we discuss the case of spun knots. In subsection 4.3 we apply the results of Sections 2 and 3 and the formula (2) to determine the Morse-Novikov numbers of certain surface-links. In [13] K. Yoshikawa introduced a numerical invariant chpF q of surface-links F and developed a method that allowed him to enumerate all the (weakly prime) surface-links F with chpF q 6 10. In Subsec- tion 4.3 we compute the Morse-Novikov numbers of the majority of the oriented surface-links of the Yoshikawa’s table.

1.2. Basic definitions and lower bounds for Morse-Novikov numbers. We start with the definition of a regular Morse map.

Definition 1.1. Let Nk Ă Sk`2 be a closed oriented submanifold. Denote by ξ P H1pCpNqq « rCpNq, S1s the cohomology class dual to the orientation of N . A Morse map f : CpNq Ñ S1 is said to be regular if there is an orientation preserving C8 trivialisation

(3) Φ : T pNq Ñ N ˆB2p0, �q of a tubular neighbourhood T pNq of N such that the restriction f |

`

T pNqzN ˘

satisfies f ˝ Φ´1px, zq “ z{|z|. An f-gradient v of a regular Morse map f : CpNq Ñ S1 will be called regular

if there is a C8 trivialisation (3) such that Φ˚pvq equals p0, v0q where v0 is the Riemannian gradient of the function z ÞÑ z{|z|.

If f is a Morse map of a manifold to R or to S1, then we denote by mppfq the number of critical points of f of index p. The number of all critical points of f is denoted by mpfq.

CIRCLE-VALUED MORSE THEORY FOR FRAME SPUN KNOTS AND SURFACE-LINKS 3

Definition 1.2. The minimal number mpfq where f : CpNq Ñ S1 is a regular Morse map is called the Morse-Novikov number of N and denoted by MN pCpNqq.

To obtain lower bounds for numbers mppfq one uses the Novikov homology. Let L “ Zrt, t´1s; denote by pL “ Zpptqq and pLQ “ Qpptqq the rings of all series in one variable t with integer (respectively rational) coefficients and finite negative part. Recall that pL is a PID, and pLQ is a field. Consider the infinite cyclic covering CpNq Ñ CpNq; the Novikov homology of CpNq is defined as follows:

xH˚pCpNqq “ H˚pCpNqq b L

pL.

The rank and torsion number of the pL-module xH˚pCpNqq will be denoted by pbkpCpNqq, respectively pqkpCpNqq. For any regular Morse function f there is a Novikov complex N˚pf, vq over pL generated in degree k by critical points of f of index k and such that H˚pN˚pf, vqq « xH˚pCpNqq. (see [11]). Therefore we have the Novikov inequalities

ÿ

k

´

pbkpCpNqq ` pqkpCpNqq ` pqk´1pCpNqq ¯

6MN pCpNqq.

These inequalities, which are far from being exact in general, are however very useful in particular in the case of surface-links (see Section 4).

2. TWIST FRAME SPUN KNOTS

We start with a recollection of the twist frame spinning construction following [12], [5], [4]. See the input data (TFS1) – (TFS3) for this construction on the page 1. Let a P K. Removing a small open disk Dpaq from Sm`2 we obtain an embedded (knotted) disk K0 in the disk Dm`2 « Sm`2zDpaq. We identify Dm`2 with the standard Euclidean disk of radius 1 and center 0 in Rm`2. We have the usual diffeomorphism

χ : Sm`1 ˆ r0, 1r « // Dm`2zt0u, px, tq ÞÑ tx.

We can assume that K0XBDm`2 is the standard sphere Sm´1 in BDm`2 “ Sm`1. Moreover, we can assume that the intersection of K0 with a neighbourhood of BDm`2 is also standard, that is,

K0 X χ `

Sm`1 ˆ r1 ´ �, 1s ˘

“ χ `

Sm´1 ˆ r1 ´ �, 1s ˘

.

We have a framing of M in Sn; combining this with the standard framing of Sn in Sn`2 we obtain a diffeomorphism

Φ : NpM,Sn`2q « // M ˆDm ˆD2

where NpM,Sn`2q is a regular neighbourhood of M in Sn`2. We can assume that the restriction of Φ to NpM,Snq gives a diffeomorphism

Φ : NpM,Snq « // M ˆDm ˆ t0u,

induced by the given framing of M . The Euclidean disc Dm`2 is a subset of Dm ˆD2, so that K0 Ă Dm ˆD2.

For θ P S1 denote by Rθ the rotation of D2 around its center. The disc Dm`2 Ă Dm ˆ D2 is invariant with respect to this rotation as well as the intersection

4 HISAAKI ENDO AND ANDREI PAJITNOV

of K0 with a small neighbourhood of BDm`2. We have Φ `

Sn X NpM,Sn`2q ˘

“ M ˆDm ˆ t0u. Let

Z “ tpx, y, zq | py, zq P RλpxqpK0qu. This is an m-dimensional submanifold of M ˆDm ˆD2. We define σpM,K, λq as follows

σpM,K, λq “ ´

Sn`2zNpM,Sn`2q ¯

Y Φ´1pZq.

This is the image of an embedded n-sphere, knotted in general.

Examples and particular cases. 1) Let dimM “ 0, so that M is a finite set; denote by p its cardinality. Then

the n-knot σpM,K, λq is equivalent to the connected sum of p copies of K. 2) If M is the equatorial circle of the sphere S2, which is in turn considered

as an equatorial sphere of S4, and λpxq “ 1, we obtain the classical Artin’s construction. If λ : S1 Ñ S1 is a map of degree d, we obtain the Zeeman’s twist-spinning construction [14].

3) If λpxq “ 1 for all x PM we obtain the Roseman’s construction of spinning around the manifold M [12]. In this case we will denote σpM,K, λq by σpM,Kq.

Theorem 2.1. MN pσpM,K, λqq 6MN pKq ¨MN pM, rλsq.

(where rλs P H1pM,Zq « rM,S1s is the homotopy class of λ).

Proof. We will be using the terminology from the above construction of σpM,K, λq. We have the standard fibration

ψ0 : S n`2zSn Ñ S1

obtained from the canonical framing of Sn in Sn`2. Observe that the map α “ ψ0 ˝ Φ´1 is defined by the following formula

αpx, y, zq “ z

|z| .

Let f : Sm`2zK Ñ S1 be a Morse map. The restriction of f to the subsetDm`2zK0 will be denoted by the same letter f . We can assume that the function f equals α in a neighbourhood of BDm`2 “ Sm`1. In particular in a neighbourhood of BDm`2 we have

fpRθppqq “ fppq ` θ, for p P Sm

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