Trace formulas for non-self-adjoint periodic Schrödinger operators and some applications (Q1766713)

A trace formula for non-selfadjoint periodic Schrödinger operators in \(L^2({\mathbb R})\) associated to the Dirichlet eigenvalues was proven by \textit{Gesztesy} [Differ. Integral Equ. 14, 671--700 (2001; Zbl 1161.35486)]. Following the ideas of Gesztesy, the author proves a trace formula associated to the Neumann eigenvalues. In more detail: Let \(V\in C^1({\mathbb R})\) be a complex-valued periodic potential with period \(\pi\). Denote by \(L\) the differential expression given by \(L:=-\frac{d^2}{dx^2}+V(x)\), \(x\in{\mathbb R}\). The Hille operator \(H\) in \(L^2({\mathbb R})\) is given by \((Hf)(x):=(Lf)(x)\), \(x\in{\mathbb R}\), for \(f\in D(H):=W^{2,2}({\mathbb R})\). The spectrum of \(H\) is purely continuous and given by the union of countable many analytic arcs in the complex plane. For any \(y\in{\mathbb R}\) the Dirichlet operator \(H_y^D\) and the Neumann operator \(H_y^N\) on the Hilbert space \(L^2(y,y+\pi)\) are defined by \((H^D_y g)(x):=(Lg)(x)\), \(g \in D(H^D_y):=\{f\in W^{2,2}(y,y+\pi), f(y)=f(y+\pi)=0\}\) and similar \((H^N_y g)(x):=(Lg)(x)\), \(g \in D(H^N_y):=\{f\in W^{2,2}(y,y+\pi), f'(y)=f'(y+\pi)=0\}\). The spectra of \(H_y^D\), \(H_y^N\) are purely discrete and the eigenvalues are denoted by \(\mu_j^D(y)\) and \(\mu_j^N(y)\) for \(H_y^D\) and \(H_y^N\), respectively. Then the following trace formulas are true \[ V(x)=E_0+\sum_{m=1}^\infty (E_{2m-1}+E_{2m}-2\mu^D_m(x)),\qquad \text{for }x\in{\mathbb R}, \] \[ V(x)=2\mu_0^N(x)-E_0+\sum_{m=1}^\infty (2\mu_m^N(x)-E_{2m-1}-E_{2m}),\qquad \text{for }x\in{\mathbb R}. \] Here, \(E_m\) are such that \(L\phi=E_m\phi\) has a nontrivial periodic solution \(\phi\) with period \(\pi\). The first equality was proven by Gesztesy. The paper is devoted to the proof of the second equation. These trace formulas are then used to analyze the location of the Dirichlet and Neumann eigenvalues in the special case when the potential is given by \(V(x)=Ke^{i2x}\), \(K\in{\mathbb C}\), which complements the asymptotic results obtained by \textit{V. A. Marchenko} [Sturm-Liouville operators and applications. Transl. from the Russian by A. Iacob. Operator Theory: Advances and Applications, Vol. 22. Basel/Boston/Stuttgart: Birkhäuser Verlag (1986; Zbl 0592.34011)].