Let $ {{\mathbb B}}^n $ be the unit ball in $ {{\mathbb C}}^N $, and denote by Rat$ ({{\mathbb B}}^n, {{\mathbb B}}^N) $ the collection of all proper holomorphic rational maps from $ {{\mathbb B}}^n $ to $ {{\mathbb B}}^N $. Let $ {{\mathbb H}}_n = \{(z, w)\in{{\mathbb C}}^{n-1}\times {{\mathbb C}}\ |\ \text{Im}(w)>|z|^2 \} $ be the Siegel upper half space and denote by Rat$ ({{\mathbb H}}_n, {{\mathbb H}}_N) $ the collection of all proper holomorphic rational maps from $ {{\mathbb H}}_n $ to $ {{\mathbb H}}_N $. By the Cayley transform, we can identify $ {{\mathbb B}}^n $ with $ {{\mathbb H}}_n $, and identify Rat$ ({{\mathbb B}}^n, {{\mathbb B}}^N) $ with Rat$ ({{\mathbb H}}_n, {{\mathbb H}}_N) $. We say that $ f, g\in {\hbox{Rat}}({{\mathbb B}}^n, {{\mathbb B}}^N) $ are spherically equivalent (or equivalent, for short) if there are $ \sigma\in {\hbox{Aut}}({{\mathbb B}}^n) $ and $ \tau\in {\hbox{Aut}}({{\mathbb B}}^N) $ such that $ f = \tau\circ g\circ \sigma $.
The study of proper holomorphic maps can date back to the work of Poincaré [17]. Alexander [1] proved that for equal dimensional case, the map must be an automorphism. For the different dimensional case, by the combining efforts of [5, 8, 19], we know that for $ N\in (n, 2n-1) $ with $ n\ge 2 $, any map $ F\in {\hbox{Rat}}({{\mathbb B}}^n, {{\mathbb B}}^N) $ is spherically equivalent to the map $ (z, 0) $. This is now called the first gap theorem.
For the second gap theorem, Huang-Ji-Xu [11] proved that any map $ F\in {\hbox{Rat}}({{\mathbb B}}^n, {{\mathbb B}}^N) $ with $ N\in (2n, 3n-3) $ and $ n\ge 4 $, must equivalent to a map of the form $ (G, 0) $ with $ G\in {\hbox{Rat}}({{\mathbb B}}^n, {{\mathbb B}}^{2n}) $. Together with the classification theorems Huang-Ji [10] and Hamada [7], $ {\hbox{Rat}}({{\mathbb B}}^n, {{\mathbb B}}^{2n}) $ must equivalent to $ (z, 0) $ or $ (G_1, 0) $ or $ (G_2, 0) $, where $ G_1\in {\hbox{Rat}}({{\mathbb B}}^n, {{\mathbb B}}^{2n-1}) $ is the Whitney map and $ G_2\in {\hbox{Rat}}({{\mathbb B}}^n, {{\mathbb B}}^{2n}) $ is in the D'Angelo family.
In [12], Huang-Ji-Yin proved the third gap theorem. Namely, when $ N\in (3n, 4n-7) $ and $ n\ge 8 $, any map $ F\in {\hbox{Rat}}({{\mathbb B}}^n, {{\mathbb B}}^N) $ must be equivalent to a map of the form $ (G, 0) $ with $ G\in {\hbox{Rat}}({{\mathbb B}}^n, {{\mathbb B}}^{3n}) $. The classification problem for $ N = 3n-3 $ is achieved by [2]. When $ N\geq 3n-2 $, the map is no longer monomials and can be very complicated. In fact, [6] constructed a family of maps in Rat$ ({{\mathbb B}}^n, {{\mathbb B}}^{3n-2}) $, which can not be equivalent to any polynomial maps. Recently, Gul-Ji-Yin [14] gave a characterization of maps in Rat$ ({{\mathbb B}}^n, {{\mathbb B}}^{3n-2}) $. The interesting reader can refer to [3, 4, 9, 12, 15, 16, 18] for other related mapping problems between balls.
It seems to be quite less in known for $ N\geq 3n-2 $. The present paper is devoted to a characterization of proper holomorphic maps from $ \mathbb{B}^n $ to $ \mathbb{B}^{N} $ with geometric rank $ \kappa_0 $ and $ N = n+\frac{(2n-\kappa_0-1)\kappa_0}{2} $. We now state our main theorem, with some terminology to be defined in the next section.
Theorem 1.1 (1) Let $ F\in {\hbox{Rat}}({{\mathbb B}}^n, {{\mathbb B}}^{N}) $ with the geometric rank of $ F $ being $ \kappa_0 $ and $ N = n+\frac{(2n-\kappa_0-1)\kappa_0}{2} $. Suppose that $ \frac{\kappa_0(\kappa_0+1)}{2}<n $ and $ F $ is normalized, then it takes the following form
where
(2) Conversely, if $ F $ is defined by (1.1) and (1.2), then the map $ F $ is in $ {\hbox{Rat}}({{\mathbb B}}^n, {{\mathbb B}}^{N}) $ with $ N = n+\frac{(2n-\kappa_0-1)\kappa_0}{2} $.
Let $ F = (f, \phi, g) = (\widetilde{f}, g) = (f_1, \cdots $, $ f_{n-1} $, $ \phi_1, \cdots $, $ \phi_{N-n}, g) $ be a non-constant rational CR map from an open subset $ M $ of $ \partial{{{\mathbb H}}}_n $ into $ \partial{{{\mathbb H}}}_N $ with $ F(0) = 0 $. For each $ p\in M $ close to 0, we write $ \sigma^0_p\in \hbox{Aut}({{\mathbb H}}_n) $ for the map sending $ (z, w) $ to $ (z+z_0, w+w_0+2i \langle z, \overline{z_0} \rangle ) $ and write $ \tau^F_p\in\hbox{Aut}({{\mathbb H}}_N) $ for the map
Then $ F $ is equivalent to $ F_p = \tau^F_p\circ F\circ \sigma^0_p = (f_p, \phi_p, g_p). $ Notice that $ F_0 = F $ and $ F_p(0) = 0 $. The following theorem is important for understanding the geometric properties of Prop$ ({{\mathbb H}}_n, {{\mathbb H}}_N) $.
Lemma 2.1 Let $ F\in {\hbox{Prop}}_2({{\mathbb H}}_n, {{\mathbb H}}_N) $ with $ 2\le n\le N $. For each $ p\in \partial {{\mathbb H}}_n $, there is an automorphism $ \tau^{**}_p\in {\hbox{Aut}}_0({{{\mathbb H}}}_N) $ such that $ F_{p}^{**}: = \tau^{**}_p\circ F_p $ satisfies the following normalization
with
Here we use the notation $ h^{(k)}(z) $ to denote a polynomial $ h $ which has degree $ k $ in $ z $, and a function $ h(z, \overline z , u) $ is said to be quantity $ o_{wt}(m) $ if $ h(tz, t\overline z , {t^2}u)/|t{|^m} \to 0 $ uniformly for $ (z, u) $ on any small compact subset of $ 0 $ as $ t(\in \mathbb{R}) \rightarrow 0 $.
Now, we are in a position to the definition of the geometric rank. Write $ \mathcal{A}(p): = -2i(\frac{\partial^2(f_p)^{\ast\ast} _l}{\partial z_j\partial w}|_0)_{1\leq j, l\leq (n-1)} $. Then the geometric rank of $ F $ at $ p $ is defined to be the rank of the $ (n-1)\times (n-1) $ matrix $ \mathcal{A}(p) $, which is denoted by $ Rk_F(p) $. Notice that $ Rk_F(p) $ is a lower semi-continuous function on $ p $, it is independent of the choice of $ \tau^{**}_p(p) $, and depends only on $ p $ and $ F $. Define the geometric rank of $ F $ to be $ \kappa_0(F) = \max\limits_{p\in \partial{{\mathbb H}}_n} Rk_F(p) $. Define the geometric rank of $ F\in \text{Prop}_2({{{\mathbb B}}}^n, {{{\mathbb B}}}^N) $ to be the one for the map $ \rho_N^{-1}\circ F \circ \rho_n\in \text{Prop}_2({{\mathbb H}}_n, {{\mathbb H}}_N) $.
When $ 1\le \kappa_0\le n-2 $, a nice normalization was achieved by [9] and [11].
Theorem 2.2 Suppose that $ F\in {\hbox{Prop}}_3({{{\mathbb H}}}_n, {{{\mathbb H}}}_N) $ has geometric rank $ 1\le\kappa_0\le n-2 $ with $ F(0) = 0 $. Then there are $ \sigma\in \hbox{Aut}({{{\mathbb H}}}_n) $ and $ \tau\in \hbox{Aut}({{{\mathbb H}}}_N) $ such that $ \tau\circ F\circ \sigma $ takes the following form, which is still denoted by $ F = (f, \phi, g) $ for convenience of notation
Here, for $ 1\le \kappa_0\le n-2 $, we write $ {\cal S} = {\cal S}_0\cup {\cal S}_1 $, the index set for all components of $ \phi $, where
and
Here we can assume $ \mu_1\leq \mu_2\leq\cdots\leq \mu_{\kappa_0} $. By [2], we can further assume that
A map $ F\in {\hbox{Rat}}({{\mathbb H}}_n, {{\mathbb H}}_N) $ is called a normalized map if $ F $ takes form (2.1) with (2.3). Notice that any $ F\in {\hbox{Rat}}({{\mathbb H}}_n, {{\mathbb H}}_N) $ can not be further normalized except some rotations in $ \phi_{lk} $ with $ (l, k)\in \mathcal{S}_1 $.
Next we introduce some notations that will be use during the proof of our main theorem. Let $ F = (f, \phi, g)\in {\hbox{Rat}}({{\mathbb B}}^n, {{\mathbb B}}^N) $ be as in Theorem 1.1. Denote by $ \sharp(A) $ the number of elements in the set $ A $. Then we have $ N = \sharp(f)+\sharp(\phi)+\sharp(g) $ and $ \sharp(\phi) = \sharp({\cal S}_0)+\sharp({\cal S}_1) $. Notice that $ \sharp(f) = n-1 $, $ \sharp(g) = 1 $, $ \sharp ({\cal S}_0) = n\kappa_0-\frac{(\kappa_0+1)\kappa_0}{2} $. Hence $ \sharp({\cal S}_1) = N-n-\sharp ({\cal S}_0) = 0 $, which means we do not have the $ {\cal S}_1 $ part in the map.
For any rational holomorphic map $ H = \frac{(P_1, \cdots, P_m)}{Q} $ on $ {{\mathbb C}}^n $, where $ \{P_j, Q\} $ are relatively prime holomorphic polynomials, the degree of $ H $ is defined to be
For any holomorphic map $ P(z, w) $, we will use the following notations
where $ P^{(j, k)}(z) $ is a homogeneous polynomial with respect to $ z $ of degree $ j $.
This section is devoted to the proof of Theorem 1.1.
By [15, Theorem 1.1], we know deg$ F = 2 $. From (4.2)–(4.4) of [15], we obtain
From (5.3) of [15], we get
Here we have set $ A_j = \frac{\mu_{1j}e_{1, 1j}}{\mu_1} $.
Notice that the degree of $ F $ must be $ 2 $. Together with the normalization properties in (2.1), the expression of $ F $ must have the following form
Here we have set $ q = 1 - 2i\sum\limits_{j = 1}^{{\kappa _0}} {\overline {{A_j}} {z_j}} + Ew $. In what follows, we write $ {q^{(1)}}(z) = - 2i\sum\limits_{j = 1}^{{\kappa _0}} {\overline {{A_j}} {z_j}} $.
Since $ F $ maps $ {\partial} \mathbb{B}^n $ to $ {\partial} \mathbb{B}^N $, we have the basic equation
Substituting (3.4) into this equation, we obtain, for $ \text{Im}w = |z|^2 $, the following
After a quick simplification, we obtain
Consideration of the Degree 4 Terms By considering the degree 4 terms, we get
Collecting $ {z^\alpha }{\overline z ^\beta }{u^2} $ term with $ |\alpha| = |\beta| = 1 $, we obtain
By considering the coefficients of $ |z_j|^2u $ terms with $ 1\leq j\leq \kappa_0 $ and $ z_j{\overline{z_k}}u $ terms with $ 1\leq j< k\leq \kappa_0 $, respectively, we get
Combining this with (3.2), we know only one of $ e_{1, 1j} $ $ 1\leq j\leq \kappa_0 $ is non zero. From (3.2) and (3.10), we obtain
Together with $ \mu_1\leq \cdots\leq \mu_{\kappa_0} $, we get $ e_{1, 12} = \cdots = e_{1, 1\kappa_0} = 0 $ and $ \mu_2 = \cdots = \mu_{\kappa_0} $. Furthermore, we obtain
Thus
Collecting $ z^\alpha {\overline{z}}^{\beta} $ term with $ |\alpha| = |\beta| = 2 $, we obtain
This equation is a trivial formula.
Collecting $ z^\alpha {\overline{z}}^{\beta}u $ term with $ |\alpha|+|\beta| = 3 $, we obtain
We can easily derive from this equation the following
These equations were achieved before and we do not get new equations.
Consideration of the Degree 5 Terms By considering the degree 5 terms, we get
Deleting $ |z|^2 $ from both sides and consider the terms $ z_j{\overline{z_j}}^2 $ and $ |z_j^2{\overline{z_k}}| $, respectively, we can easily derive from this equation the following
As before, we do not get new equations.
Consideration of the Degree 6 Terms By considering the degree 6 terms, we get
Notice that this equation is equivalent to (3.10).
In conclusion, the map $ F $ must be of form (1.1) with relations in (1.2). The arguments above also showed that this map is indeed a map in Rat$ (\mathbb{B}^n, \mathbb{B}^{N}) $. This completes the proof of Theorem 1.1.