Complex Geometry

Hossein Movasati
A Course in Complex Geometry

and Holomorphic Foliations
April 27, 2018
Publisher
v
Omar Khayyam, Robaiyat 93. Calligraphy: nastaliqonline.ir.

Dedicated to my masters.
Acknowledgements
The comments and questions of the students and colleagues who sat in my courses
have been extremely useful for me to improve the present text and put more details.
For this, I would like to thank Enzo Aljovin, Alvaro Almeida, Jorge Duque, Daniel
Lopez, Walter Paez and Roberto Villaflor.
ix
Contents
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 The organization of the text . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.2 Notations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
2 Preliminaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.1 Complex analysis in one variable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.2 Holomorphic functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.3 Local rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.4 Germs of analytic varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
2.5 Analytic varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.6 Embedding dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.7 Extension theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
2.8 Dolbeault lemma . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
2.9 Algebraic varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
2.10 Analytic schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
2.11 Analytic sheaves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
2.12 Restriction of sheaves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
2.13 Homomorphism between sheaves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
2.14 Rank of coherent sheaves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2.15 Push-forward of a sheaf . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
3 Cech cohomology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
3.2 Cech cohomology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
3.3 Covering and direct limit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
3.4 Acyclic sheaves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
3.5 How to compute Cech cohomologies . . . . . . . . . . . . . . . . . . . . . . . . . . 31
3.6 Resolution of sheaves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
3.7 Cech cohomology and Eilenberg-Steenrod axioms . . . . . . . . . . . . . . . 34
3.8 Dolbeault cohomology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
3.9 Cohomology of manifolds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
xi
xii Contents
3.10 Short exact sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
4 Stein varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
4.1 Stein varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
4.2 Coherent sheaves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
4.3 Some properties of Stein varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
4.4 Stein covering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
5 Kähler manifolds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
5.1 Tangent space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
5.2 Positive forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
5.3 Hermitian metric . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
5.4 Fubini-Study metric . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
5.5 Torus as Kähler manifold . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
6 Strongly convex/plurisubharmonic functions . . . . . . . . . . . . . . . . . . . . . . 49

6.1 Strongly convex functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
6.2 Maximum principle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
6.3 Some properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
6.4 Strongly pseudoconvex domains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
6.5 Plurisubharmonic functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
7 Cohomological properties of pseudoconvex domains . . . . . . . . . . . . . . . 61

7.1 A theorem of Grauert . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
7.2 Exceptional varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
7.3 Complementary notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
7.4 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
8 Positive and negative line bundles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69

8.1 Line bundles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
8.2 Chern classes in Cech cohomology . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
8.3 Chern classes in de Rham cohomology . . . . . . . . . . . . . . . . . . . . . . . . . 72
8.4 The case of a Riemann surfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
8.5 Positive line bundle in the sense of Kodaira . . . . . . . . . . . . . . . . . . . . . 77
8.6 Positive and negative bundles in the sense of Grauert . . . . . . . . . . . . . 78
8.7 The equivalence of Grauert and Kodaira positivity . . . . . . . . . . . . . . . 78
9 Vanishing theorems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
9.1 Notations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
9.2 Homogeneous functions along fibers . . . . . . . . . . . . . . . . . . . . . . . . . . 82
9.3 Kodaira vanishing theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
9.4 The case of a Riemann surface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
9.5 Grauert vanishing theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
9.6 Main vanishing theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
9.7 Restriction of line bundles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Contents xiii
9.8 A negative divisor of curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
10 Embedding theorems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
10.1 Blow-up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
10.2 Blow-up of a singularity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
10.3 An embedding theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
10.4 Blow up along a submanifold . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
11 Deformation of hypersurfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
11.1 Kodaira-Spencer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
12 Foliated neighborhoods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
12.1 Holomorphic foliations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
12.2 Construction of functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
12.3 Equivalence of transverse foliations . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
12.4 Construction of line fields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
12.5 Construction of holomorphic foliations . . . . . . . . . . . . . . . . . . . . . . . . 104
12.6 Grauert’s theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
12.7 Arbitrary codimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
12.8 Proof of Theorem 12.5, codimension greater than one . . . . . . . . . . . . 106
12.9 Proof of Theorem 12.7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
12.10Rational curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
12.11Complementary notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108
13 Few theorems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109

13.1 Serre duality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
13.2 Birkhoff-Grothendieck theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
14 Remmert reduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111

14.1 Proper mapping and direct image theorems . . . . . . . . . . . . . . . . . . . . . 111
14.2 Equivalence relations in varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
14.3 Cartan’s theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
14.4 Stein factorization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
14.5 Remmert reduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
15 Formal and finite neighborhoods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

15.1 Formal and finite neighborhoods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
15.2 Some propositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
15.3 Geometric interpretation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
15.4 Obstructions to formal isomorphism . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
15.5 Calculating the obstruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
15.6 Breaking Aut(ν) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
15.7 The case of a Riemann surface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
xiv Contents
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
Chapter 1
Introduction
There are many theorems and statements in algebraic aeometry which are of com-
plex nature and are not covered in a classical algebraic geometry course. The present
book pretends to partially fill this gap and discuss all the necessary materials for
proving one of these theorems. This is namely the following theorem of Grauert and
its generalizations to higher dimensions:
Theorem 1 (H. Grauert [Gr62]) Let A be a Riemann surface of genus g embed-
ded in a smooth complex surface X and with negative and less than 4 − 4g self-
intersection. Then a topological neighborhood of A is biholomorphic to the neigh-
borhood of the zero section of the normal bundle of A in X.
See Figure 1.1. Having Grauert’s theorem in mind, we have tried to collect many
other theorem, most of them of algebraic geometric nature. However, we have not
limited ourselves to purely algebraic proofs, for instance, we have fairly used C∞ and
plurisubharmonic functions. A typical example of the above theorem is a rational
curve A = P1 obtained by a blow-up of the origin in C2 . If π is the blow-down
map and ψ : C2 → R+ , ψ(x, y) = |x|2 + |y|2 , then A has strongly pseudo-convex
neighborhoods {x ∈ X | ψ ◦ π(x) < ε}. This picture has been the guiding principle
in Grauert’s paper [Gr62].
We have many reasons to choose such a theorem and its generalizations to higher
dimensional varieties A and X, as a basic theme of our book. First, it uses the usual
topology of algebraic varieties over complex numbers. The same statement is triv-
ially false with Zariski topology. Therefore, it cannot be stated in a purely algebraic
context. The usage of formal neighborhood both in analytic or algebraic context
would not imply the Grauert theorem. Second, in higher dimension the complex
manifold A must be necessarily algebraic and so we need the machinary of algebraic
geometry applied to A. This means that we will apply the machinery of algebraic and
complex geometry in the same time. Third, in the way we learn its proof we learn
many other classical tools and theorems. This includes, Cech cohomology, positive
(ample) and negative bundles, Kodaira vanishing theorem and embedding and so on.
Fourth, we learn how the machinery of holomorphic foliations can be used to prove
statements in complex Algebraic Geometry. Because of this, the book is also is an
1
2 1 Introduction
introduction to the theory of holomorphic foliations on complex manifolds. We will

deal with only foliation whose leaves are analytic varieties and so they will not have
any dynamics.
Fig. 1.1 A biholomorphism of two neighborhoods
We don’t prove all the theorems which appear in this text. Instead, we want that
the reader feel himself comfortable with all such theorems, by explaining them in
special cases and using examples. We provide the necessary references for miss-
ing proofs so that the curious reader iterates back to the original proofs. The ba-
sic idea is to prepare the reader for consulting the already published books like
[GuI90, GuII90, GuIII90, GrRe79, GPR94] whenever he finds it necessary. The
mathematics is growing fast and sometimes it is necessary to learn the art of reading,
understanding and using many theorems, without going into details of their proof.
1.1 The organization of the text
The book is organized in the following way: In Chapter 2 we present all the nec-
essary background in complex analysis and several complex variables in order to
read and follow the book. In this chapter we explain concepts like germ of varieties,
structural sheaf, Stein varieties, coherent sheaves and so on, and announce many
theorems related to all these concepts. Whenever it is possible, we explain theorems
by examples and particular cases and give the idea of the proof.
Chapter 3 is devoted to the basics of sheaf cohomology and in particular the
construction of Cech cohomology. It is aimed to prepare the reader as fast as possible
in order to feel himself comfortable with the notation H i (X, S ). We also explain
line bundles and Chern classes in the framework of Cech cohomology.
In Chapter 4 we review basic facts and theorems on Stein varieties.
Chapter 6 is devoted to pseudoconvex domains. For some technical reasons, we
have preferred to work with C2 convex functions instead of C2 plurisubharmonic
1.2 Notations 3
functions. A convex function carries just the convexity information of its level vari-
eties and is easy to handle.
In Chapter 7 we prove that the cohomologies of strongly pseudoconvex domains
with coefficients in a coherent sheaf are finite dimensionals. The same is also true for
compact analytic varieties instead of strongly pseudoconvex domains. Using Rem-
mert reduction theorem in Appendix 14 this leads us to the notion of exceptional
varieties.
In Chapter 8 we apply the machinery of pseudoconvex domains to the neigh-
borhoods of zero sections of line bundles and we get the notion of negative and
positive vector bundles. We prove that Grauert positivity of line bundles is the same
as Kodaira’s positivity and we give a proof of Kodaira vanishing theorem.
Chapter 9.5 is dedicated to one of the most important cohomological properties
of strongly pseudoconvex domains. This is namely Theorem 9.4 which states that if
a coherent sheaf vanishes enough along the exceptional divisor of a strongly pseu-
doconvex domain then its cohomologies are zero except the 0-th cohomology.
In Chapter 10 we review the notion of blow-up and we see that an exceptional
variety can be obtained by a usual blow-up of a singularity. We also explain the
notion of a blow-up along a divisor. This plays a fundamental role in the study of
neighborhoods of varieties with codimension stricktly bigger than one.
In Chpater 12 we start the study of holomorphic foliations in neighborhoods of
varieties. We first consider the most simple foliations which are those transversal
to the variety. This will be used in order to give a geometric proof of Grauert’s
Theorem. We also study foliations with tangencies.
In Appendix 14 we discuss Remmert reduction theorem. Using this one can show
that strongly pseudoconvex domains are the point modification of Stein varieties.
This leads to the notion of exceptional or negatively embedded varieties.
In Appendix 15 we introduce the notion of a finite neighborhood and the exten-
sion problems in this context. The content of this Appendix are part of the machinary
which Grauert used to prove his theorem and we do not need them for our proof.
However, it can be used as a nice collection of exercises to the concepts introduced
in Chapter 2 and Chapter 3.
1.2 Notations
The letter A is mainly used to denote an analytic variety, complex manifold or an

algebraic variety. It is usually embedded in another variety X. In this case we denote
by (X, A) a neighborhood of A in X. This notation means that, if necessary, we can
take such a neighborhood smaller. In other words, we think of (X, A) as a neigh-
borhood of A in X, however, when (X, A) appears in a statement or property, such a
neighborhood can be smaller. For instance a function f : (X, A) → C is defined in a
neighborhood U of Ain X. It satisfies a property P if there is another neighborhood
U 0 ⊂ U of A in X such that f |U 0 satisfies P.
4 1 Introduction
√
We use the same letter i for the complex number −1 and for indexing; being
clear in the text the distinction between them.
For a C-vector space V we denote by V ∗ the dual vector space, that is, the vector
space of all linear maps V → C.
For topological spaces A and B we write A ⊂⊂ B to denote that A is relatively
compact in B, i.e. the closure of A in B is compact in B.
Chapter 2
Preliminaries
In this chapter we review the notion of analytic and algebraic varieties, coherent
sheaves and basic facts about Stein varieties. The main references for contents of
this chapter are [GuI90, GuII90, GuII90, GrRe79]. We assume that the reader
is familiar with a basic knowledge in complex analysis in one variable and basic
topology.
2.1 Complex analysis in one variable
There are many theorems which differentiate complex analysis from real analysis.
Two of them are
1. Any holomorphic function f : (C, 0) − {0} → C has a Laurent series at 0.
2. Cauchy’s integral formula.
In particular, Cauchy’s integral formula is one of the origins of homotopy theory in
topology, and this might be an indication to the fact that complex analysis usually
tends to geometry rather than to pure analysis.
2.2 Holomorphic functions
In this section we remind some basic definitions and facts about holomorphic func-
tions. For more details see [GuI90], Chapter A.
Definition 2.1 Let a ∈ Cn and r ∈ Rn+ . An open polydisc in Cn is the set:
n o
∆ (a, r) := z ∈ Cn |zi − ai | < ri , for i = 1, 2, . . . , n

Definition 2.2 A function f : D → C is called holomorphic if for each point a ∈ D

there is an open polydisc ∆ (a, r) ⊂ D such that the function f has a power series
5
6 2 Preliminaries
expansion
f (z) = ∑ fi (z − a)i
i
which converges to f (z) for all z ∈ ∆ (a, r). Here, where i = (i1 , i2 , . . . , in ) runs
through (N ∪ {0})n and (z − z)i = (z1 − a1 )i1 (z2 − a2 )i2 · · · (zn − an )in .
Proposition 2.1 (Osgood’s lemma) If a continous function f : D → C defined in
an open subset D ⊂ Cn is holomorphic in each variable then it is holomorphic.
Proof. The main idea begind the proof is the Cauchy integral formula in one vari-
able. First, we take a closed polydisc ∆ (a, r) ⊂ D. We apply Cauchy integral formula
n times and we get
1 dζ1 dζ2 f (ζ1 , ζ2 , . . . , ζn )dζn

Z Z Z
f (z) = ···
(2πi)n |ζ1 −a1 |=r1 ζ1 − z1 |ζ2 −a2 |=r2 ζ2 − z2 |ζn −an |=rn ζn − zn
Since f is continuous we get

Z
1 f (ζ1 , ζ2 , . . . , ζn )dζ1 dζ2 · · · dζn
f (z) = (2.1)
(2πi)n (ζ1 − z1 )(ζ2 − z2 ) · · · (ζn − zn )
where the integration takes place over the torus |z1 −a1 | = r1 , |z2 −a2 | = r1 , · · · , |zn −
an | = rn . Using the geometric series
1 ∞
(zi − ai )n
=∑
ζi − zi n=0 (ζi − ai )n+1
we get the result. t

u
Proposition 2.2 If f , g : D → C are two holomorphic functions in a connected open

subset D ⊂ Cn and if f = g in a nonempty open subset of D then f = g in D.
Proof. The proof is similar to the case of one variable, that is, n = 1. t
u
We will use the notation:

√
zi = xi + −1yi , i = 1, 2, . . . , n
and
∂ 1 ∂ √ ∂
:= ( − −1 ), i = 1, 2, . . . , n
∂ zi 2 ∂ xi ∂ yi
∂ 1 ∂ √ ∂
:= ( + −1 ), i = 1, 2, . . . , n.
∂ z̄i 2 ∂ xi ∂ yi
Proposition 2.3 A C1 function f : D → C is holomorphic if and only if it satisfies

the Cauchy-Riemann equations:
2.3 Local rings 7
∂f
= 0, i = 1, 2, . . . , n. (2.2)
∂ z̄i
Proof. This follows from the same theorem in one variable (n = 1) and Osgood’s
lemma. t u
2.3 Local rings
For a topological space X and a point x ∈ X we denote by (X, x) a neighborhood of

x in X. This means that in our statements and arguments we fix a neighborhood of x
in X but we can take it smaller if it is necessary. A C-algebra is a commutative ring
containing the field C as a subring, with 1 ∈ C as the identity element of the ring. A
homomorphism between two C-algebras is a ring homomorphism that induces the
identity mapping on the subfield C. An example of C-algebra we use in this text is:
• OCn (U), the space of holomorphic functions in an open subset U of Cn .
• OCn ,x , the ring of germs of holomorphic functions in a neighborhood of x in Cn ;
OCn ,x = { f ∈ OCn (U) for some open set U in Cn , x ∈ U}/ ∼
where
f1 ∈ OCn (U1 ), f2 ∈ OCn (U2 ), x ∈ U1 ∩U2 ,
f1 ∼ f2 ⇔ f1 = f2 in some open set U3 ⊂ U1 ∩U2 , x ∈ U3 .
The maximal ideal of OCn ,x is
MCn ,x := { f ∈ OCn ,x | f (x) = 0}.
We have OCn ,x /MCn ,x ∼ = C which is given by evaluating functions at x. Therefore,

OCn ,x is a local ring. Slowly, the reader might get used to the notation of short exact
sequences:
0 → MCn ,x → OCn ,x → C → 0 (2.3)
One can consider OCn ,x as the ring of convergent power series ∑∞ i
i ai (y − x) ,
n i i
where i = (i1 , i2 , . . . , in ) runs through (N ∪ {0}) and (y − x) = (y1 − x1 ) 1 (y2 −
x2 )i2 · · · (yn − xn )in . Later, we will need the following theorems. For proofs see
[GuII90], Theorem A8, Theorem A4.
Theorem 2.1 (Weierstrass preparation theorem) Let f ∈ OCn ,0 be such that
f (0, 0, · · · , zn ) 6= 0
and this has a zero of order m at zn = 0. There is a unique monic polynomial g =

zm m−1 + · · · + a (z , z , . . . , z
n + am−1 (z1 , z2 , . . . , zn−1 )zn 0 1 2 n−1 ) of degree m in zn , with
am−1 (0) = · · · = a0 (0) = 0, and u ∈ OCn ,0 with u(0) 6= 0 such that f = g · u.
8 2 Preliminaries
Fig. 2.1 Weierstrass preparation theorem
Proof. The idea of the proof is depicted in Figure 2.1. We fix a polydisc ∆ (0, r0 ) ×
∆ (0, rn ) around 0 such that for any z0 ∈ ∆ (0, r0 ) the function f (z0 , zn ) has m zeros
zn,i , i = 1, 2, . . . , m, counting with multilicity in ∆ (0, rn ). Let
g(z0 , zn ) := (zn − zn,1 )(zn − zn,2 ) · · · (zn − zn,m ) = zm 0 m−1

n + am−1 (z )zn + · · · + a0 (z0 )
(2.4)
The functions ai ’s are holomorphic functions in z0 because by Cauchy’s integral
formula we have:
m ∂ f (z0 ,ζ )
1
Z
r r ∂ζ
∑ zn,i = 2πi |ζ |=rn ζ f (z0 , ζ ) dζ . (2.5)
i=1
f
The function u := g for fixed z0 is holomorphic in zn and it attains its maximum in
∂ ∆ (0, rn ). Therefore, it has maxmimum in ∆ (0, r0 ) × ∂ ∆ (0, rn ) which is compact.
By Riemann’s extension theorem we conclude that u is extends to a holomorphic
function in ∆ (0, r). t u
Theorem 2.2 The ring ring OCn ,0 is Noetherian, that is, every ideal in OCn ,0 is
finitely generated.
Proof. The proof is by induction on n. For n = 0 we have OCn ,0 = C and so it

Noetherian. Let us assume that OCn−1 ,0 is Noetherian and take an ideal I ⊂ OCn ,0 .
After a linear change of coordinates in Cn , we can assume that for some f ∈ I it is
regular in zn , that is f (0, zn ) is not identically zero and, after a multilication by a unit,
we can assume that f is in the Weierstrass format and so f ∈ I ∩ OCn−1 ,0 [zn ]. Using
the hypothesis and Hilbert’s basis theorem we know that OCn−1 ,0 [zn ] is Noetherian,
and so its ideal I ∩ OCn−1 ,0 [zn ] is generated by g1 , g2 , . . . , gk . We claim that gi ’s gen-
2.4 Germs of analytic varieties 9
erate I too. For an arbitrary element h ∈ I, if h is regular we proceed as we did by f ,

otherwise we write h = h − f + f and we repeat the argument for h − f and f . t u
2.4 Germs of analytic varieties
Definition 2.3 A germ of an analytic subvariety (X, x) of (Cn , x) is given by
(X, x) := {y ∈ (Cn , x)| f1 (y) = 0, f2 (y) = 0, · · · , fr (y) = 0},
where f1 , f2 , . . . , fr ∈ MCn ,x . The defining ideal of the germ (X, x) is defined to be
IX,x := { f ∈ OCn ,x | f |X = 0}.
and
OX,x := OCn ,x /IX,x ,
is called the ring of (germs) of holomorphic functions in a neighborhood of x on X.
One can view OX,x as a set of functions f ∈ (X, x) → C which extend to holomorphic
functions in (Cn , x). The maximal ideal of OX,x is:
MX,x := { f ∈ OX,x | f (x) = 0},
We also define
MX,x
k
:= the sub C-algebra of MX,x generated by Πi=1
k
gi , gi ∈ MX,x .
Proposition 2.4 The following statements are true:

1. MCmn ,0 is exactly the set of holomorphic functions with the leading term (in the
Taylor series) of degree greater than or to equal m;
k=1 MCn ,0 = {0};
2. ∩∞ k
Proof. We first prove the nontrivial part of the statement 1., that is, if f ∈ OCn ,0
with the leading term of degree ≥ m then f ∈ MCmn ,0 . The proof is by induction on
n. The case n = 1 is trivial. By a linear change of coordinates we can assume that f
is regular in the variable x1 , i.e. f (x1 , 0, . . . , 0) is not identically zero. Let us write
f = f (x1 , 0, . . . , 0) = x1l h(x1 ), h(0) 6= 0.
By Weierstrass preparation, see Theorem 2.1, we can write
f = u.(x1l + a1 x1l−1 + · · · + al−1 x1 + al ),
where a1 , a2 , . . . , al are holomorphic functions in x2 , x3 , . . . , xn with ai (0) = 0, i =

1, 2, . . . , l and u is a holomorphic function in x1 , x2 , . . . , xn with u(0) 6= 0. Since f
10 2 Preliminaries
and uf have the same leading term up to multiplication by a constant, it is enough

to prove that x1l + a1 x1l−1 + · · · + al−1 x1 + al ∈ MCmn ,0 . By our hypothesis l ≥ m and
the degree of the leading term of ai is bigger than or equal m − (l − i). Now our
assertion follows from the hypothesis of induction for n − 1. The second statement
is a direct consequence of the first part.
For a holomorphic function f defined in some open subset U of Cn we will denote

by fx its classes in OCn ,x , x ∈ U. Many times we use again f instead of fx and simply
say ” f in OCn ,x ”. We will also use this simplification later for sheaves on analytic
varieties.
Definition 2.4 A map τ : (X, 0) → (Y, 0) between germs of analytic varieties is
called holomorphic if the pull-back of functions induces a map
τ ∗ : OY,0 → OX,0
This is trivially a morphism of C-algebras and so the non-trivial part of the definition
is that the image of τ ∗ is in OX,0 .
The following proposition is Theorem B14 of [GuII90]. We give its proof be-
cause it is instructive.
Proposition 2.5 Let (X, 0) ⊂ (Cn , 0) and (Y, 0) ⊂ (Cm , 0) be the germs of two ana-
lytic varieties. Every holomorphic map τ : (X, 0) → (Y, 0) is induced by a holomor-
phic map from (Cn , 0) to (Cm , 0).
Proof. We have a morphism τ ∗ : OY,0 → OX,0 of C-algebras. Since it sends the units
to units, it sends the maximal ideal MY,0 into the maximal ideal MX,0 and so
τ ∗ (MY,0
k
) ⊂ MX,0
k
, k = 1, 2, . . . .
Let us denote the coordinate functions of (Cm , 0) by y1 , y2 , . . . , ym (∈ MY,0 ) and

define fi := τ ∗ (yi ). The map f : (Cn , 0) → (Cm , 0) defined by f = ( f1 , f2 , . . . , fm ) is
the desired map. We consider the diagram
f∗
OCm ,0 → OCn ,0
j↓ ı↓ (2.6)
τ∗
OY,0 → OX,0
where ı, j are the canonical maps. We observe that the maps
ı ◦ f ∗ , τ ∗ ◦ j : OCm ,0 → OX,0
coincide on polynomials in yi ’s. For an arbitrary k ∈ N, every g ∈ OCm ,0 can be

written as g1 + g2 , where g1 is a polynomial in yi ’s and g2 ∈ MCk m ,0 (here we have
used Proposition 2.4,1). Therefore (ı ◦ f ∗ − τ ∗ ◦ j)(g) ∈ MX,0
k for all k = 1, 2, . . ..
∗ ∗
Now Proposition 2.4, 3 implies that ı ◦ f = τ ◦ j.
2.5 Analytic varieties 11
IY,0 is a subset of the kernel of τ ∗ ◦ j and so of the kernel of ı ◦ f ∗ . This implies

that whenever a g ∈ OCm ,0 is zero on (Y, 0) then it is zero on f (X, 0) and so f (X, 0) ⊂
(Y, 0). Since τ, f : X → Y induce the same map τ ∗ = f ∗ , the proof is finished. t u
2.5 Analytic varieties
In order to define an arbitrary variety we have to define the affine varieties and then
try to glue them.
Definition 2.5 Let D be an open domain in some Cn . A closed subset X of D is
called an analytic subvariety of D if for any point a ∈ X there is an open neighbor-
hood U of a in D and holomorphic functions f1 , f2 , . . . , fr in D such that
X ∩U := {x ∈ U | f1 (x) = f2 (x) = · · · = fr (x) = 0}.
We also call X an (analytic) affine variety. We look at X as a topological space

equipped with a sheaf OX of C-algebras
OX (U) := { f : U → C | f ∈ OX,x }, U open subset of X (2.7)
which is called the structural sheaf of X.

The definition (2.7) means that OX (U) contains all complex valued functions f :
X → C such that for all x ∈ X we can find a holomorphic finction f˜ : (D, x) → C
such that f˜ restricted to X ∩ D is equal to f . Let X and Y be two affine varieties. A
continuous map τ : X → Y is called holomorphic if the pull-back of functions, given
by τ ∗ ( f ) = f ◦ τ, defines a map τ ∗ from OY,τ(x) into OX,x , which is a morphism
of C-algebras for all x ∈ X. The map τ is called a biholomorphism if there is a
holomorphic map τ 0 : Y → X such that τ 0 ◦ τ and τ ◦ τ 0 are identity maps respectively
on X and Y .
Definition 2.6 Let X be a second-countable Hausdorff topological space and CX
be the sheaf of complex valued continuous functions on X. We say that X with
a sheaf of C-algebras OX ⊂ CX is an analytic variety if every point of X has an
open neighborhood U such that (U, OU ) is isomorphic to a (V, OV ), for some affine
variety V , i.e. there is a homeomorphism ψ : U → V such that
ψ ∗ : OV → OU , ψ ∗ ( f ) = f ◦ ψ
is an isomorphism of sheaves of C-algebras.

In Figure 2.2 we have roughly depicted a variety X with three points pi , i = 1, 2, 3
on it. Let X be a variety. For every point x ∈ X there exist an open set U around x,
V a closed analytic subset of an open domain D in some Cn and a homeomorphism
ψ : U → V which induces an isomorphism between OV and OU . A rough picture of
this definition is depicted in Figure 2.2 This is called a chart around x and we denote
it simply by
12 2 Preliminaries
Fig. 2.2 Analytic variety
• ψ : U → V ⊂ D ⊂ Cn , a chart around x.
Given two such charts ψα : Uα → Vα ⊂ Dα ⊂ Cnα and ψβ : Uβ → Vβ ⊂ Dβ ⊂ Cnβ
around x, the first is called a subchart of the second if there is an embedding
em : (Dα , ψα (x)) ,→ (Dβ , ψβ (x)) such that ψβ = em◦ψα . They are called equivalent
if one is a subchart of the other and nα = nβ . In this case the map em is a biholo-
morphism. This is an equivalence relation. Note that n, the dimension of D, differs
chart by chart. For this reason it is better to define a variety using the language of
C-algebras rather than the formal definition by charts and transition functions, for
instance see [GuII90], Definition B16.
Definition 2.7 Let X be an analytic variety and Y a subset of X. We say that Y is an
(analytic) subvariety of X if for every y ∈ Y there exists an open set U, y ∈ U and
f1 , f2 , . . . , fr ∈ OX (U) such that
U ∩Y = {x ∈ U | f1 (x) = · · · = fr (x) = 0}.
It is easy to see that Y is an analytic variety in such a way that the inclusion Y → X
is analytic.
2.6 Embedding dimension 13
Fig. 2.3 Embedding dimension
2.6 Embedding dimension
Definition 2.8 For a germ of an analytic variety (X, x) we define

• Tx∗ X := MX,x /MX,x
2 , the cotangent space of X at x;
• Tx X := the dual of Tx∗ X. Tx X is called the tangent space of X at x.

A holomorphic map f : (X, x) → (Y, y) induces the map
Tx∗ f : T f∗(x)Y → Tx∗ X
It would be instructive to check that the definition of the tangent space in the case
where X is smooth coincides with the usual definition of tangent space with dif-
ferential of transition maps of X. In the singular case the bundle of tangent spaces
{Tx X, x ∈ X} has a natural structure of an analytic variety (see [GuII90] I, J) and so
we can define in a natural way the notion of a vector field in a variety. Particularly
Theorem 16I claims that both notions of tangent space there and here are the same.
In general, one has the notion of linear spaces over varieties, see [GPR94] chapter
2 section 3.
Definition 2.9 Let X be a variety and x ∈ X. Using some chart around x we can
identify the germ of the singularity (X, x) as an analytic subspace of Cn , for some n.
The smallest integer n with this property is called the embedding dimension of X at
x and is denoted by embx X.
In Figure 2.2 we have roughly depicted a germ of variety (X, x) whose embedding
dimension is 2 and not 3. The following proposition can be also found in [GrRe84]
p. 115.
14 2 Preliminaries
Proposition 2.6 We have embx X = dimC Tx∗ X. More precisely, for a point x ∈ X
if x1 , x2 , . . . , xm ∈ MX,x form a basis for Tx∗ X then ψ : (X, x) → Cm given by
ψ = (x1 , x2 , . . . , xm ) is a chart map around x whose associated affine space is of di-
mension dimC Tx∗ X. Every two charts with the dimension of the affine spaces equal
to dimC Tx∗ X are equivalent and every chart has a subchart whose associated affine
space is of dimension m = dimC Tx∗ X.
Proof. Since our statement is local, we can assume that X ⊂ (Cn , 0) and x = 0. Let
λ : IX,0 → MCn ,0 /MC2n ,0
be the canonical map. Its coimage
(MCn ,0 /MC2n ,0 )/Im(λ )
is isomorphic to MX,0 /MX,0

2 . Therefore if
r := dimIm(λ ), m := dimC MX,0 /MX,0

2
then r + m = n. Let f1 , f2 , . . . , fr ∈ IX,0 such that their image by λ form a C-basis

for Im(λ ). This means that the linear part of the map f = ( f1 , f2 , . . . , fr ) has the
maximum rank r. Therefore f is a regular map and N = {x ∈ (Cn , 0) | f (x) = 0} is a
smooth complex submanifold of (Cn , 0) and dimC N = m. But we have also X ⊂ N.
We have proved that each chart has a subchart whose associated affine space is of
dimension m = dimT0∗ X.
Let us be given two charts for (X, 0) whose associated affine spaces are of di-
mension T0∗ X. This means that (X, 0) is embedded in two different ways in (Cm , 0),
say X1 , X2 . By Proposition 2.5 the map induced by the identity ı : (X1 , 0) → (X2 , 0)
can be extended to a holomorphic map f : (Cm , 0) → (Cm , 0). Using the argument
of the previous paragraph and the dimension condition we have
T0∗ Cm = T0∗ Xi , i = 1, 2 (2.8)
But we know that ı∗ : OX2 ,0 → OX1 ,0 is an isomorphism of C-algebras and so it

induces an isomorphism MX2 ,0 /MX22 ,0 → MX1 ,0 /MX21 ,0 . The equality (2.8) and the
inverse mapping theorem imply that f is a biholomorphism.
Let x1 , x2 , . . . , xm ∈ MX,0 form a basis for Tx∗ X. The map ψ : (X, x) → Cm given
by ψ = (x1 , x2 , . . . , xm ) is a holomorphic map. Take an arbitrary embedding of (X, 0)
in (Cm , 0). According to Proposition 2.5 ψ is obtained by restriction of a holomor-
phic map f : (Cm , 0) → (Cm , 0). Since T0∗ X = T0∗ Cm , the map T0∗ f : T0∗ Cm → T0∗ Cm
is an isomorphism and so f is a biholomorphism. This proves that ψ is an embed-
ding. t u
Definition 2.10 A point x of an analytic variety X is called a smooth point if a chart

ψ : (X, x) → (Cn , 0) with n := dim(Tx X) is surjective (and hence a biholomorphism
of analytic varieties). Otherwise, x is called a singular point. An analytic variety
without singular points is called a complex manifold. If a complex manifold is con-
2.7 Extension theorem 15
nected then the number n := dim(X) is independent of a chart and it is called the
dimension of X.
We can reformulate the definition of a complex manifold in the following way. A
complex manifold is a topological space X equipped with a sheaf of complex valued
functions OX such that it is covered by open sets Ui , i ∈ I such that each (Ui , OUi ) is
isomorphic to some (Vi , OVi ) with Vi is an open subset of Cn equipped with structural
sheaf of holomorphic functions on Vi .
Proposition 2.7 For a holomorphic map f : (X, x) → (Y, y) if Tx∗ f is surjective then
f is an embedding.
Proof. Let σ be the canonical map MY,y → Ty∗Y and n = dimC Tx∗ X. Choose
g1 , g2 , . . . , gn ∈ MY,y such that their image by Tx∗ f ◦ σ form a basis of Tx∗ X. The
map
g = (g1 , g2 , . . . , gn ) : (Y, 0) → (Cn , 0)
has the following property: g ◦ f is an embedding of X in (Cn , 0), for this see the
first part of Proposition 2.6. We identify X with its image by g ◦ f in (Cn , 0). The
set X1 := f (X) is an analytic variety because it coincide with g−1 (X). The inverse
of f : X → X1 is given by g.
Proposition 2.8 For an analytic variety X the set Sing(X) of singular points of X
is a proper analytic subvariety of X.
Proof.
Definition 2.11 An analytic variety X is called irreducible if the complex manifold

X\Sing(X) is connected. In this case the dimension of X\Sing(X) is called the
dimension of X.
Theorem 2.3 (Hironaka’s desingularization theorem) Let X be an analytic vari-
ety. There is a complex manifold X̃ and a holomorphic map f : X̃ → X such that f
is a biholomorphism in X̃\ f −1 (Sing(X)) → X\Sing(X).
2.7 Extension theorem
In this section we state few theorem on extension of holomorphic functions beyond

their domain of definitions. For proofs see [GuII90], Chapter D.
Theorem 2.4 (extened Riemann removable singularities theorem ) Let Y ⊂ X be
a proper analytic subvariety of the complex manifold X. If f is a bounded holomor-
phic function in X\Y then there is a unique holomorphic function f˜ in X such that
f and f˜ coincide in X\Y .
16 2 Preliminaries
Proof. Since the theorem is of local nature, we can assume that X = (Cn , 0) and Y
is a germ of variety. Since Y is a proper subvariety, there is non-zero holomorphic
function g ∈ OCn ,0 which vanishes on Y . Now we can use Theorem 2 Chapter D
[GuII90]. By a linear change in the coordinate system we can assume that g is
regular at zn . Let us now consider the same notation as in the proof of Theorem 2.1.
The function
1 f (z0 , ζ )
Z
f˜(z) = dζ (2.9)
2πi |ζ |=rn ζ − zn
is holomorphic in the polydisc ∆ (0, r) and it coincides with f in outside the zero
set of g. For this we use the fact that for fixd z0 , f (z0 , zn ) extends to a holomorphic
function in ∆ (0, rn ). t
u
Theorem 2.4 is true for X singular. For this we have to use Hironaka’s desingular-
ization theorem. I do not have any elementray proof in this case.
Corollary 2.1 Let Y ⊂ X be a proper analytic subvariety of a connected complex
manifold X. Then X\Y is connected.
Proof. If X\Y is not connected then we define a holomorphic function on it such that
in one component is identically one and in another component iz identically zero.
This cannot be extended to a holomorphic function in X, which is in contradiction
with Theorem 2.4.
Theorem 2.5 Let X be a complex manifold and Y be an analytic subvariety of X

such that the codimension of its components is bigger than one. If f is a holomorphic
function in X\Y then there is a unique holomorphic function f˜ in X such that f and
f˜ coincide in X\Y .
Proof. The theorem for X and Y smooth complex manifolds follows from Theorem
4 Chapter D [GuII90]. In this case, we can assume that X = (Cn , 0) and Y is given
by zn = zn−1 = 0. The function
1 f (z1 , · · · , zn−2 , ζn−1 , ζn )

Z Z
f˜(z) = dζn−1 dζn (2.10)
(2πi)2 |ζn |=rn |ζn−1 |=rn−1 (ζn−1 − zn−1 )(ζn − zn )
gives us the desired extension of f .

In general, we proceed as follows. we first perform the extension for the com-
plex submanifold Y \Sing(Y ) ⊂ X, and so, we might replace Sing(Y ) with Y . The
dimension of Y drpos down and finally we get the full extension.
0 00
Theorem 2.6 (Hartogs extension theorem) Let C = Cn ×Cn with n0 , n00 ≥ 1) and
0 00 0 00 0 00
A = (A0 , A00 ) ∈ Cn ×Cn , R = (R0 , R00 ) ∈ Rn ×Rn and S = (S0 , S00 ) ∈ Rn ×Rn such
that ∆ (A; S) ⊆ ∆ (A; R). Consider the closed set
h i
0 0 00 00 0 0 0 0 00 00
D = ∆ (A ; R ) × ∆ (A ; S ) ∪ ∆ (A ; R ) \ ∆ (A ; S ) × ∆ (A ; R )
2.7 Extension theorem 17
Fig. 2.4 Hartogs Domain
and let U ⊆ Cn be an open set containing D and f : U → C be a holomorphic

function. Then there exists a unique holomorphic function f˜ : ∆ (A; R) → C such
that
f˜ = f

D D
Proof. Consider the function f˜ : ∆ (A; R) → C defined by

n0 Z
f (ζ1 , . . . , ζn0 , Z 00 )dζ1 . . . dζn0

1
Z
f (Z) = ...
2πi |ζ1 −a1 |=r1 |ζn0 −an0 |=rn0 (ζ1 − z1 ) . . . (ζn0 − zn0 )
0 00
where Z = (Z 0 , Z 00 ) ∈ Cn × Cn . It is straightforward to check that given a point
Z ∈ ∆ (A; R) is convergent and hence f˜ is a well-defined function.We claim that f˜
is holomorphic throughout ∆ (A; R). Indeed, whenever |ζi − ai | = ri for 1 ≤ i ≤ n0
and Z 00 ∈ ∆ (A00 ; R00 ), then there exists an open neighborhood Ui of (ζ1 . . . . , ζn0 , Z 00 )
where f is holomorphic. It follows that f˜ is holomorphic as desired.
On the other hand, whenever Z 00 ∈ ∆ (A00 ; S00 ), then f (ζ1 . . . . .ζn0 , Z 00 ) as a func-
tion of the variables ζ1 . . . . .ζn0 , is holomorphic throughout ∆ (A0 ; R0 ) by hypothesis.
Thus, by the Cauchy integral formula, f and f˜ coincides in that region. Since that
region has nonempty interior and D is connected, follows by the identity theorem
that f˜D = f D . The uniqueness of such f˜ is a direct consequence of the identity

theorem. This concludes the proof. t u
Corollary 2.2 If M is a connected complex manifold of dimension n − 1 in an open

subset D ⊆ Cn , if f is a holomorphic function on D − M, and if f can be extended
18 2 Preliminaries
Fig. 2.5 Finding a Hartogs Domain
as a holomorphic function through at least one point of M, then f extends to a holo-

morphic function in all of D.
Proof. The idea of the proof is depicted in Figure 2.5.
Corollary 2.3 Every function that is a holomorphic in an open neighborhood of

the boundary of a polydisc in Cn for n > 1 has a holomorphic extension to the full
polydisc.
2.8 Dolbeault lemma
In this section we present Dolbeault lemma. We follow Chapter E, Theorem 1,

Lemma 2 of [GuI90].
Proposition 2.9 (Generalized Cauchy integral formula.) Let D be a open simply

connected subset of the complex plane bounded by a smooth closed curve γ, and let
f be a C∞ function defined in an open neighborhood of D. Then, for any z ∈ D,
f (w) ∂ f (w) dw ∧ dw
Z ZZ
2πi f (z) = dw + .
γ w−z D ∂w w−z
Proposition 2.10 For every function f that is C∞ in an open set U ⊂ C, which

contains a compact set K, there is a C∞ function g defined in an open subset V ⊂ U
that contains K such that ∂∂ gz = f in V . If f is C∞ or holomorphic in some additional
parameters, then g has the same properties.
2.8 Dolbeault lemma 19
Theorem 2.7 (Dolbeaut’s Lemma) Let P ⊂ Q ⊂ Cn be polydisks around the ori-

gin. For each ϕ ∈ Ω (p,q) (Q) with q > 0 and ∂¯ ϕ = 0 there exists a ψ ∈ Ω (p,q−1) (P)
such that ∂¯ ψ = ϕ|P .
Proof. Let k ≤ n be the smallest integer such that ϕ dos not involve the differential
d z̄k+1 , ..., d z̄n . The proof is by induction in k. If k = 0, since q > 0 then ϕ = 0, the
condition is held trivially. For k ≥ 1. We can write
ϕ = d z̄k ∧ α + β , α ∈ Ω (p,q−1) (Q), β ∈ Ω (p,q) (Q)
α and β are differential forms not involving d z̄k , ..., d z̄n . Suppose that
∗
α= ∑ aIJ dzI d z̄J
|I|=p,|J|=q−1
The notation ∑∗ means that d z̄k , ..., d z̄n are not in the sum. If we compute ∂¯ ϕ we get
∂¯ ϕ = ∂¯ d z̄k ∧ α − d z̄k ∧ ∂¯ α + ∂¯ β = −d z̄k ∧ ∂¯ α + ∂¯ β

n ∗
∂ aIJ
=( ∑ −d z̄k ∧ d z̄ j ∧ ∑ ∧ dzI d ∧ z̄J ) + ∂¯ β = 0
j=1, j6=k |I|=p,|J|=q−1
∂ z̄i
Note that for j > k, the terms ∂∂az̄IJi has to be zero. Then by the Proposition 3.7 there
exist smooth functions AIJ on P, which are holomorphic in z̄k+1 , ..., z̄n such that
∂
∂ z AIJ = aIJ . We define
k
∗
σ= ∑ AIJ dzI ∧ d z̄J .
|I|=p,|J|=q−1
and we have
n ∗
∂
∂¯ σ = ∑ ∑ AIJ d z̄ j ∧ dzI ∧ d z̄J
j=1 |I|=p,|J|=q−1 ∂ z j
∗ ∗
∂
=d z̄k ∧ ∑ aIJ dzI d z̄J + ∑ ∑ AIJ d z̄ j ∧ dzI d ∧ z̄J
|I|=p,|J|=q−1 j<k |I|=p,|J|=q−1 z j
∂
∗
∂
+∑ ∑ AIJ d z̄ j ∧ dzI d ∧ z̄J
j>k |I|=p,|J|=q−1 z j
∂
∂
However for k > j, ∂ z j AIJ = 0 because AIJ is holomorphic in these directions, there-
fore
∂¯ σ = d z̄k ∧ α + γ
where γ ∈ Ω (p,q) (P) and does not involve the terms d z̄k+1 , ..., d z̄n . Then ϕ − ∂¯ σ =
(β − γ) = ∂¯ (ξ ) with ξ ∈ Ω (p,q−1) (P), the last equality is by induction hipothesys.
Thus ϕ = ∂¯ (ξ − σ ). t u
20 2 Preliminaries
An open polydisc in the extended sense has polyradius R = (r1 , . . . , rn ) where

ri ∈ R+ ∪ {+∞}.
Theorem 2.8 If D ⊆ Cn is an open polydisc in the extended sense, then H p,q (D) = 0
whenever q > 0.
Proof. See [GuI90], Chapter E Theorem 5.
Theorem 2.9 Let U ∈ Cn be an open subset for n > 1 and let K ⊆ U be a compact
set. If U \ K is connected, then any function that is holomorphic in U \ K extends to
a function that is holomorphic in U.
Proof. See [GuI90] Chapter E, Theorem 6.
2.9 Algebraic varieties
All the terminology of the previous sections can be introduced in algebraic context.
For simplicity we consider the field of complex numbers but the whole discussion is
valid for an algebraically closed field k. The reader is referred to [Ha77] for further
details on algebraic varieties.
We define an affine variety V in Cn to be the zero set of polynomials in
C[x1 , x2 , . . . , xn ] and we denote by OV (V ) the restriction of polynomials in C[x1 , x2 , . . . , xn ]
to V . In V we consider the Zariski topology, i.e. the the complement of an open set
is given by zeros of the elements in OV (V ). A function f : U → C in an open subset
U of V is regular if there are f1 , f2 ∈ OV (V ) such that f2 does not have zeros in
U and f = ff12 . We denote by OV (U) the C-algebra of regular functions in U. We
have defined the algebraic structural sheaf OV of V . An algebraic variety (X, OX )
is a topological space equipped with a sheaf of C-algebras such that every point of
X has a neighborhood U such that (U, OX |U ) is isomorphic to some affine variety
with its canonical structural sheaf. The first example of algebraic varieties are pro-
jective varieties Pn . A closed subvariety of a projective variety is called a projective
variety. An algebraic variety X is an analytic variety in a canonical way. One usually
denotes by X an the underlying analytic variety. We may keep in mid the following
classical theorem
Theorem 2.10 (Chow’s theorem) Any closed analytic suvariety X of Pn is an undr-
laying variety of an algebraic variety Y ⊂ Pn , that is, Y an ∼
= X.
For a proof of the above theorem see [GrHa78]. This is a part of a bigger the-
orem called Serre’s GAGA principle, see [Se56] and also Grothendieck’s articles
[Gro58], [Gro69].
2.11 Analytic sheaves 21
2.10 Analytic schemes
In this book we are not going to encounter the concept of an analytic scheme, how-
ever, the reader who wish to immigrate to algebraic geometry might find this concept
a good bridge between the concept of an analytic variety and an algebraic scheme.
It appears in a natural way in the study of Hodge and Noether-Lefschetz loci, see
[Voi03, Mov16].
Definition 2.12 Let D be an open domain in some Cn , I ⊂ OD be a sheaf of ideals
and
X := {x ∈ D | f (x) = 0, ∀ f ∈ Ix }.
The pair (X, ǑX ) with ǑX := OCn /I |X is called an (affine) analytic scheme
The C-algebra OCn ,x , x ∈ D is Noetherian and so we can find holomorphic functions
f1 , f2 , . . . , fr in a neighborhood of x such that Ix = h f1 , f2 , . . . , fr i and so X becomes
an analytic variety. However, note that we have replaced the usual sheaf of holo-
morphic functions in X with ǑX which may have nilpotent elements, that is, f 6= 0
with f k = 0. We look at X as a topological space equipped with the sheaf ǑX of
C-algebras. We have a canonical map
(X, ǑX ) → (X, OX )
which is the identity map in X and f ∈ ǑX is mapped to the restriction of f on X.

By definition, there might be such an f which is mapped to zero but it is not zero in
ǑX . We call ǑX the structural sheaf of X.
Definition 2.13 Let X be a second-countable Hausdorff topological space and ǑX
be a sheaf of C-algebras. We say that (X, ǑX ) is an analytic scheme if every point
of X has an open neighborhood U such that (U, ǑU ) is isomorphic to a an affine
analytic scheme (V, ǑV ), that is, there is a homeomorphism ψ : U → V under which
OU becomes isomorphic to ǑV .
We usually remove the ˇ sign and write (X, ǑX ) = (X, OX ), being clear in the
context whether X is an analytic scheme or variety.
2.11 Analytic sheaves
For an analytic variety X we have used the structural sheaf OX . It is the collection of
all holomorphic functions defined on some open subset of X. We have also used the
stalk of OX over a point x ∈ X. Some other examples of sheaves are the following:
• For a holomorphic vector bundle π : E → X over a complex manifold X we can
talk about the sheaf of holomorphic sections of E, i.e to each open set U ⊂ X we
can associate the OX (U)-module
Ẽ(U) := {s : U → E | s is holomorphic and π ◦ s = id}.

22 2 Preliminaries
• For a complex manifold X we have the sheaf of holomorphic vector fields which
is the sheaf of holomorphic sections of the tangent bundle of M.
• For a complex manifold X we can talk about the sheaf Ω i of holomorphic differ-
ential i-forms in X. This can be interpreted as the sheaf of holomorphic sections
of the vector bundle T ∗ X ∧ · · · ∧ T ∗ X, i times. In a local chart U ⊂ X with coor-
dinate functions z1 , z2 , . . . , zn : U → C one can write:
Ω i (U) = { ∑ f j1 , j2 ,..., ji dz j1 ∧ dz j2 · · · ∧ dz ji | f j1 , j2 ,..., ji ∈ OX (U)}.

j1 , j2 ,..., ji
• Let Y be a subvariety of an analytic variety X. The sheaf MY of ideals of Y is

defined in the following way:
MY (U) = { f ∈ OX (U) | f |Y = 0}, U ⊂ X open.
• For a natural number n we can define the sheaf OXn = OX × OX × · · · × OX , n

times. Its elements in an open set U are the n-tuples ( f1 , f2 , . . . , fn ), fi ∈
OX (U), i = 1, 2, . . . , n.
It is natural to extend the notion of sheaf S of holomorphic forms or vector fields
to the case of analytic varieties. First of all note that in all these examples we can
multiply the elements of OX (U) with the elements of S (U), i.e. S is an analytic
sheaf. There are many other sheaves that are not analytic. For instance
• For a ring R and topological space X the sheaf of constants in X with coefficients
in R associates to each open set in X the ring R. One usually denotes again by R
the sheaf of constants.
• The sheaf of real valued continuous functions on a topological space X.
• The sheaf OX∗ of invertible holomorphic functions on an analytic variety X:
OX∗ (U) := { f ∈ OX (U) | ∀x ∈ U, f (x) 6= 0}, U open in X.
In all these examples we note that: First, we have associated to open subsets of
X some algebraic structure. Second we have the restriction maps to smaller open
subsets. This leads us to the following abstract notion of a sheaf:
Definition 2.14 A sheaf S of abelian groups on a topological space X is a collec-
tion of abelian groups
S (U), U open subset of X
For U1 ⊂ U2 open sets in X, it is equipped with morphisms rU2 ,U1 : S (U2 ) → S (U1 )
of abelian groups such that they satisfy:
1. For U an open set of X, rU,U is the identity map;
2. For open sets U1 ⊂ U2 ⊂ U3 ⊂ X we have rU2 ,U1 ◦ rU3 ,U2 = rU3 ,U1 ;
3. If for U = ∪i∈I U j , U and U j ’s open subsets of X, and f j ∈ S (U) we have
rUi ,U j ∩Ui ( fi ) = rU j ,U j ∩Ui ( f j )
then there is a unique element f ∈ S (U) such that

2.12 Restriction of sheaves 23
rU,Ui ( f ) = fi .
rU2 ,U1 is called the restriction map from U2 to U1 . The stalk Sx of S at a point x ∈ X
is defined in the following way:
Sx = { f ∈ S (U), for some open set U in X, x ∈ U}/ ∼
where
f1 ∈ S (U1 ), f2 ∈ S (U2 ), x ∈ U1 ∩U2 ,
f1 ∼ f2 ⇔ f1 = f2 in some open set U3 ⊂ U1 ∩U2 , x ∈ U3 .
Note that the uniqueness condition 3 in the above definition implies that if the re-
striction of g ∈ S (U) to each U j is zero (of the corresponding abelian group) then
g must be zero. If in the definition of a sheaf we remove item 3 then we get the
definition of a presheaf. It is easy to see that any presheaf can be enlarged into a
sheaf.
Remark 2.1 We will usually use f |U1 instead of rU2 ,U2 ( f ); being clear that f is an
element of S (U2 ) for some open set U2 which contains U1 . By definition S (0) / = 0/
and rU,0/ = 0.
/
Throughout the text, for a given sheaf S over a topological space X, when we
write x ∈ S we mean that x is a section of S in some open neighborhood in X or it
is an element in a stalk of S over X, being clear from the text which we mean.
We now define an analytic sheaf.
Definition 2.15 An analytic sheaf S on an analytic variety X is a collection of
OX (U)-modules S (U) for all open sets of X such that
1. The groups (S (U), +) form a sheaf of abelian groups;
2. The restriction maps are morphism of OX -modules.
2.12 Restriction of sheaves
Let us be given an analytic sheaf S on X and let Y be a subvariety of X. In this

section we introduce the notion of restriction of elements S to Y .
We can define the sheaf of abelian groups S |Y :
S |Y (U) = { f ∈ S (V ), for some open set V in X, V ∩Y = U}/ ∼
where
f1 ∈ S (V1 ), f2 ∈ S (V2 ), V1 ∩Y = V2 ∩Y = U,
f1 ∼ f2 ⇔ f1 = f2 in some open set V3 ⊂ V1 ∩V2 ,V3 ∩Y = U.
The obtained sheaf on Y is not analytic. Now consider the sheaf MY · S
24 2 Preliminaries
(MY · S )(U) := { f ∈ S (U) | ∀x ∈ U ∩Y, ∃ f1 ∈ Sx , f2 ∈ MY,x , f = f1 f2 in Sx }

(2.11)
For all examples of analytic sheaves that we have seen the restriction of elements of
MY · S to Y is zero. Therefore, we may define the quotient sheaf S /MY S as a
candidate for the restriction of S to Y . This sheaf is zero outside Y , i.e S (U) = {0}
for open sets U in X which do not intersect Y . We finally get the following definition
Definition 2.16 The structural restriction of of an analytic sheaf S on X to its sub-

variety Y is defined to be
res(S ) = S ||Y = (S /MY S )|Y .
It is left to the reader to check that S ||Y is an analytic sheaf in a canonical way.
Remark 2.2 Every definition and construction with sheaves has a local nature.
Sometimes such a definition coincides with the ”trivial” definition or construction.
For instance for two sheaves S1 ⊂ S2 on X we may define
(S2 /S1 )(U) = S2 (U)/ ∼, f1 ∼ f2 ⇔ ∀x ∈ U, ( f1 − f2 ) = 0 in S2,x /S1,x
It turns out that this coincides with the trivial definition (S2 /S1 )(U) = S2 (U)/S1 (U).
This is not always the case. For instance, consider the the definition of MY S in
(2.11).
2.13 Homomorphism between sheaves
Definition 2.17 A homomorphism f between two sheaves S and S 0 of abelian

groups on a topological space is X is a collection of group homomorphisms
fU : S (U) → S 0 (U), U ⊂ X open
which is compatible with the restriction maps, i.e. for U1 ⊂ U2 open sets in X, we
have
fU1 ◦ rU2 ,U1 = rU2 ,U1 ◦ fU2 .
A homomorphism f is an isomorphism if all the fU ’s are isomorphisms. In the case
where X, S and S 0 are analytic, we say that f is analytic if each fU is a morphism
of OX (U)-modules.
Definition 2.18 Let f : S → S 0 be a homomorphism of sheaves of abelian groups.
The kernel Kernel( f ) and image Image( f ) of f are defined in the following way:
Kernel( f )(U) := {a ∈ S (U) | ∀x ∈ U, ax ∈ kernel( fx : Sx → Sx0 )}
Image( f )(U) := {a ∈ S 0 (U) | ∀x ∈ U, ax ∈ Image( fx : Sx → Sx0 )}

2.14 Rank of coherent sheaves 25
f is called injective (resp.surjective) if Kernel( f ) = 0 (resp. Image( f ) = S 0 ). In this

case we write
f f
S → S 0 → 0 ( resp. 0 → S → S 0 )
It is easy to see that Kernel(f) and Image(f) are sheaves of abelian groups, re-
spectively analytic sheaves if X, S and S 0 are analytic. According to the prop-
erties of restriction maps, the definition of Kernel( f ) does not change if we define
Kernel( f )(U) = kernel fU . But this is not the case for Image( f ). This is another
example for the situation discussed in Remark 2.2.
Example 2.1 Let X be an analytic variety and Y be a subvariety of X. We have the
following exact sequence
i r
0 → MY → OX → ÕY → 0.
where i is the inclusion and r is the restriction map. Here ÕY is the trivial extension
of the sheaf OY to X, i.e. ÕY (U) = {0} if U does not intersects Y and = OY (U ∩Y )
if U intersects Y . We usually omit the tilde and simply write OY to denote ÕY .
Example 2.2 For an analytic variety X we have the following exact sequence:
i e
0 → Z → OX → OX∗ → 0
where i is the inclusion map and e( f ) = e2πi f .

Example 2.3 Let S be an analytic sheaf on X and [ fi j ]i=1,2....,n, j=1,2,...,m be a matrix
with entries in OX (X). Then we have an analytic sheaf homomorphism
f : S m → S n , s 7→ [ fi, j ]str , s = (s1 , s2 , . . . , sm ) ∈ S m
2.14 Rank of coherent sheaves
The content of this section will be necessary for the proof of Grauert and Kodaira
embedding theorem, see Theorem 10.1. Let X be an analytic space and S be a
coherent sheaf on X.
Definition 2.19 The dimension of the structural resstriction of S at x ∈ X
S
rankSx := dimC ( )
Mx S
is called the rank of S at x.
S
Proposition 2.11 If s1 , s2 , . . . , s p ∈ Sx generate Mx S then they generate Sx as a
OX,x -module. In other words we have
p
OX,x → Sx → 0. (2.12)
26 2 Preliminaries
Proof. See [GPR94] page 48.
If we have (2.12) at a point then it is also valid for all points in a neighborhood of x
and so the function
x 7→ rankSx
is upper semi-continuous.
2.15 Push-forward of a sheaf
Let f : X → Y be a continuous map between two topological spaces and S be a

sheaf of abelian groups in X.
Definition 2.20 The push-forward f∗ S is a sheaf on Y such that for any open set
U ⊂ Y its section in U are given by
f∗ S (U) := S ( f −1 (U))
It is easy to see that this defines a sheaf on Y , see Exercise 2.1. If X and Y are analytic
varieties, f is holomorphic and S is an analytic sheaf then f∗ S is an analytic sheaf
in a canonical way:
a · b := a · b ◦ f , a ∈ f∗ S (U), b ∈ OY (U)
where the second · comes from the OX -module structure of S and b ◦ f is the
composition of functions b and f .
Exercise 2.1 Show that a push-forward sheaf defined in Section 2.15 satisfies all
the axioms of a sheaf.
Chapter 3
Cech cohomology
Il faut faisceautiser. (The motto of french revolution in algebraic and complex ge-
ometry, see [Rem95], page 6).
3.1 Introduction
In Chapter 4 [Mov16] we discussed the axiomatic approach to singular homology

and cohomology. These are the first examples of cohomology theories constructed
in the first half of 20th century. Almost in the same time, other cohomolgy the-
ories, such as De Rham and Cech cohomologies, and their properties were under
construction and intensive investigation.
In this chapter we aim to introduce sheaf cohomologies and its explicit construc-
tion using Cech cohomologies. Similar to the case of singular homology and coho-
mology, the categorical approach to sheaf cohomology and the way that it is used
in mathematics, shows that in most of occasions we only need to know a bunch of
properties of the sheaf cohomology and not its concrete construction. However, in
some other occasions, mainly when we want to formulate some obstructions, we
obtain elements in some sheaf cohomologies and so just axioms of Cech cohomol-
ogy would not work. Therefore, we introduce some properties of sheaf chomology
which can be taken as axioms and we also explain its explicit construction using
Cech cohomology. We assume that the reader is familiar with sheaves of abelian
groups on topological spaces. The reader who is interested in a more elaborated
version of this section may consult other books like [BT82], Section 10, [Voi02]
Section 4.3.
27
28 3 Cech cohomology
3.2 Cech cohomology
A sheaf S of abelian groups on a topological space X is a collection of abelian

groups
S (U), U ⊂ X open
Complete this. with restriction maps which satisfy certain properties. In particular, S (X) is called
the set of global sections of S . Some other equivalent notations for this are
S (X) = Γ (X, S ) = H 0 (X, S )
It is not difficult to see that for an exact sequence of sheaves of abelian groups
0 → S1 → S2 → S3 → 0. (3.1)
we have
0 → S1 (X) → S2 (X) → S3 (X)
and the last map is not necessarily surjective. In this section we want to construct
abelian groups H i (X, S ), i = 0, 1, 2 . . . , H 0 (X, S ) = S (X) such that we have the
long exact sequence
0 → H 0 (X, S1 ) → H 0 (X, S2 ) → H 0 (X, S3 ) → H 1 (X, S1 ) → H 1 (X, S2 ) → H 1 (X, S3 ) →
H 2 (X, S1 ) → · · ·
that is in each step the image and kernel of two consecutive maps are equal.
Let us explain the basic idea behind H 1 (X, S1 ). The elements of H 1 (X, S1 ) are
considered as obstructions to the surjectivity of H 0 (X, S2 ) → H 0 (X, S3 ). This map
is not surjective, however, we can look at an element f ∈ S3 (X) locally and use the
surjectivity of S2 → S3 . We fix a covering U = {Ui , i ∈ I} of X such that the exact
sequences corresponding to global section of (3.1) over Ui hold, that is,
0 → S1 (Ui ) → S2 (Ui ) → S3 (Ui ) → 0.
This covering is taken so that we have exactness at S2 (Ui ) and for the exactness at
S3 (Ui ) we need to assume that the set of small open sets giving exactness at S2
and S3 in (3.1) is not emprty. This is the case for all examples of the short exact
sequence (3.1) in this text (one may also justify this by assuming that H 1 (Ui , S1 ) =
0).
We take fi ∈ S2 (Ui ), i ∈ I such that fi is mapped to f under S2 (Ui ) → S3 (Ui ).
This means that the elements f j − fi , which are defined in the intersections Ui ∩U j ’s,
are mapped to zero and so there are elements fi j ∈ S1 (Ui ∩ U j ) such that fi j is
mapped to f j − fi . It is easy to check that different choices of fi ’s lead us to elements
fi j + f˜j − f˜i , (3.2)

3.3 Covering and direct limit 29
where f˜i ∈ S1 (Ui ). This lead us to define H 1 (U , S1 ) to be the set of ( fi j , i, j ∈ I)

modulo those of the form (3.2).
3.3 Covering and direct limit
Let X be a topological space, S a sheaf of abelian groups on X and U = {Ui , i ∈

I} a covering of X by open sets. In this paragraph we want to define the Cech
cohomology of the covering U with coefficients in the sheaf S . Let U p denotes
the set of (p + 1)-tuples σ = (Ui0 , . . . ,Ui p ), i0 , . . . , i p ∈ I and for σ ∈ U p define
|σ | = ∩ pj=0Ui j .
A p-cochain f = ( fσ )σ ∈U p is an element in
C p (U , S ) := ∏ H 0 (|σ |, S )
σ ∈U p
Definition 3.1 Let π be the permutation group of the set {0, 1, 2, . . . , p}. It acts
on U p in a canonical way and we say that f ∈ C p (U , S ) is skew-symmetric if
fπσ = sign(π) fσ for all σ ∈ U p . The set of skew-symmetric cochains form an
abelian subgroup Cs (U , S ).
For σ ∈ U p and j = 0, 1, . . . , p denote by σ j the element in U p−1 obtained by
removing the j-th entry of σ . We have |σ | ⊂ |σ j | and so the restriction maps from
H 0 (|σ j |, S ) to H 0 (|σ |, S ) is well-defined. We define the boundary mapping
p+1
δ : Csp (U , S ) → Csp+1 (U , S ), (δ f )σ = ∑ (−1) j fσ j ||σ |
j=0
We have to check that

Proposition 3.1 The above map is well-defined, that is, if f ∈ C p (U , S ) is skew-
symmetric then δ f is also skew-symmetric.
Proof. For simplicity, and without loss of generality we can assume that π is per-
mutation of 0 and 1.
From now on we identify σ with i0 i1 · · · i p and write a p-cochain as f = ( fi0 i1 ···i p , i j ∈

I). For simplicity we also write
p+1
(δ f )i0 i1 ···i p+1 := ∑ (−1) j fi0 i1 ···i j−1 î j i j+1 ···i p+1
j=0
where î j means that i j is removed.

Proposition 3.2 We have

δ ◦ δ = 0.
Proof. Let f ∈ Csp (U , S ). We have

p+2
(δ 2 f )i0 i1 ·i p+2 = ∑ (−1) j (δ f )i0 i1 ···î j ·i p+2
j=0
p+2 p+2
= ∑ ∑ (−1) j (−1)k̃ fi0 i1 ···îk ···i p+2 = 0
j=0 k=1, k6= j
where k̃ = k if k < j and k̃ = k − 1 if k > j. See [BT82] Proposition 8.3.
Now
0 → Cs0 (U , S ) → Cs1 (U , S) → Cs2 (U , S ) → Cs3 (U , S ) → · · ·

δ δ δ δ
can be viewed as cochain complexes, i.e. the image of a map in the complex is inside
the kernel of the next map.
Definition 3.2 The Cech cohomology of the covering U with coefficients in the
sheaf S is the cohomology groups
Kernel(Csp (U , S) → Csp+1 (U , S ))
δ
H p (U , S ) := .
Image(Csp−1 (U , S) → Csp (U , S ))
δ
The above definition depends on the covering and we wish to obtain cohomologies
H p (X, S ) which depends only on X and S . We recall that the set of all coverings
U of X is directed:
Definition 3.3 For two coverings Ui = {Ui, j , j ∈ Ii }, i = 1, 2 we write U1 ≤ U2
and say that U1 is a refinement of U2 , if there is a map from φ : I1 → I2 such that
U1,i ⊂ U2,φ (i) for all i ∈ I1 .
For two covering U1 and U2 there is another covering U3 such that U3 ≤ U1 and
U3 ≤ U2 . It is not difficult to show that for U1 ≤ U2 we have a well-defined map
H p (U2 , S ) → H p (U1 , S )
which is obtained by restriction from U2,φ (i) to U1,i . For details see [BT82], Lemma
10.4.1 and Lemma 10.4.2.
Definition 3.4 The Cech cohomology of X with coefficients in S is defined in the
following way:
H p (X, S ) := dir limU H p (U , S ).
We may view H p (X, S ) as the union of all H p (U , S ) for all coverings U , quo-
tiented by the following equivalence relation. Two elements α ∈ H p (U1 , S ) and
3.5 How to compute Cech cohomologies 31
β ∈ H p (U2 , S ) are equivalent if there is a covering U3 ≤ U1 and U3 ≤ U2 such

that α and β are mapped to the same element in H p (U3 , S ).
3.4 Acyclic sheaves
Definition 3.5 A sheaf S of abelian groups on a topological space X is called

acyclic if
H k (X, S ) = 0, k = 1, 2, . . .
The main examples of acyclic sheaves that we have in mind are the following:
i
Proposition 3.3 Let M be a C∞ manifold. The sheaves ΩM ∞ differential i-
∞ of C
forms on M are acyclic.
Proof. The proof is based on the partition of unity and is left to the reader.
Definition 3.6 A sheaf S is said to be flasque or fine if for every pair of open sets
V ⊂ U, the restriction map S (U) → S (V ) is surjective.
Proposition 3.4 Flasque sheaves are acyclic.
See [Voi02], p.103, Proposition 4.34.
3.5 How to compute Cech cohomologies
Definition 3.7 The covering U is called acyclic with respect to S if U is locally

finite, i.e. each point of X has an open neighborhood which intersects a finite number
of open sets in U , and H p (Ui1 ∩ · · · ∩Uik , S ) = 0 for all Ui1 , . . . ,Uik ∈ U and p ≥ 1.
Theorem 3.1 (Leray lemma) Let U be an acyclic covering of a variety X. There is
a natural isomorphism
H µ (U , S ) ∼
= H µ (X, S ).
See [Voi02] Theorem 4.41 and Theorem 4.44. A full proof can be found in the book
of Godement 1958. See also [GrHa78] page 40. For a sheaf of abelian groups S
over a topological space X, we will mainly use H 1 (X, S ). Recall that for an acyclic
covering U of X an element of H 1 (X, S ) is represented by
fi j ∈ S (Ui ∩U j ), i, j ∈ I
fi j + f jk + fki = 0, fi j = − f ji , i, j, k ∈ I
It is zero in H 1 (X, S ) if and only if there are fi ∈ S (Ui ), i ∈ I such that fi j = f j − fi .
Remark 3.1 For sheaves of abelian groups Si , i = 1, 2, . . . , k over a variety X we
have:
H p (X, ⊕i Si ) = ⊕i H p (X, Si ), p = 0, 1, . . . .
3.6 Resolution of sheaves
A complex of abelian sheaves is the following data:

d d dk−1 d
S • : S 0 →0 S 1 →1 · · · → S k →k · · ·
where S k ’s are sheaves of abelian groups and S k → S k+1 are morphisms of

sheaves of abelian groups such that the composition of two consecutive morphism
is zero, i.e
dk−1 ◦ dk = 0, k = 1, 2, . . . .
A complex S k , k ∈ N0 is called a resolution of S if
Im(d k ) = ker(d k+1 ), k = 0, 1, 2, . . .
and there exists an injective morphism i : S → S 0 such that Im(i) = ker(d 0 ). We

write this simply in the form
S →S•
For simplicity we will write d = dk ; being clear in the text the domain of the map d.
Definition 3.8 A resolution S → S • is called acyclic if all S k are acyclic.

Theorem 3.2 Let S be a sheaf of abelian groups on a topological space X and
S → S • be an acyclic resolution of S then
H k (X, S ) ∼
= H k (Γ (X, S • ), d), k = 0, 1, 2, . . . . (3.3)
where
d d dk−1 d
Γ (X, S • ) : Γ (S 0 ) →0 Γ (S 1 ) →1 · · · → Γ (S k ) →k · · ·
and
ker(dk )
H k (Γ (X, S • ), d) := .
Im(dk−1 )
Proof. Let U = {Ui }i∈I be an acyclic covering of X and let
S ji := Csj (U , S i ), S j := Csj (U , S ), Γ (S i ) := Γ (X, S i )
Consider the double complex

3.6 Resolution of sheaves 33
↑ ↑ ↑ ↑
0 → Sn → Sn0 → Sn1 → Sn2 → · · · → Snn →
↑ ↑ ↑ ↑ ↑
0 → Sn−1 → Sn−1
0 → Sn−11 → Sn−12 → ··· → Sn−1
n →
↑ ↑ ↑ ↑ ↑
.. .. .. .. ..
. . . . .
↑ ↑ ↑ ↑ ↑
0 → S2 → S20 → S21 → S22 → · · · → S2n → (3.4)
↑ ↑ ↑ ↑ ↑
0 → S1 → S10 → S11 → S12 → · · · → S1n →
↑ ↑ ↑ ↑ ↑
0 → S0 → S00 → S01 → S02 → · · · → S0n →
↑ ↑ ↑ ↑
Γ (S 0 ) → Γ (S 1 ) → Γ (S 2 ) → · · · → Γ (S n ) →
↑ ↑ ↑ ↑
0 0 0 0
The up arrows are δ and the left arrow at Sqp is (−1)q d, that is, we have multiplied
the map d with (−1)q , where q denotes the index related to Cech cohomology. Let
us define the map A : H k (Γ (X, S • ), d) → H k (X, S ). It sends a d-closed global
section ω of S n to a δ -closed cocycle α ∈ Csn (U , S ) and the receipie is sketched
here:
0
↑
α → ω0 → 0
↑ ↑
η0 → ω1 → 0
↑
.. ..
η1 . . (3.5)
..
. ω n−1 → 0
↑ ↑
η n−1 → ω n → 0
↑
ω
An arrow a → b means that a is mapped to b under the corresponding map in (3.4).

ω n is the restriction of ω to opens sets Ui ’s etc. The same diagram 3.5 can be used
to explain the map B : H k (X, S ) → H k (Γ (X, S • ), d). In this case we start from α
and we reach β . We have to check that
Exercise 3.1 Show that
1. A and B are well-defined.
2. A ◦ B and B ◦ A are identity maps.
If we do not care about using d or (−1)q d we will still get isomorphisms A and B,
however, they are defined up to multiplication by −1. The mines sign in (−1)q d is
inserted so that D := δ + (−1)q d becomes a differential operator, that is, D ◦ D = 0.
For further details, see [BT82] Chapter 2. Another way to justify (−1)q is to see it
in the double complex of differential (p, q)-forms in a complex manifold. t u
Let us come back to the sheaf of differential forms. Let M be a C∞ manifold. The
de Rham cohomology of M is defined to be
i global closed i-forms on M

HdR (M) = H n (Γ (M, ΩM
i
∞ ), d) := .
global exact i-forms on M
Theorem 3.3 (Poincaré Lemma) If M is a unit ball then

i R if i = 0
HdR (M) =
0 if i = 0
The Poincaré lemma and Proposition 3.3 imply that

•
R → ΩM
is the resolution of the constant sheaf R on the C∞ manifold M. By Proposition 3.2

we conclude that
H i (M, R) ∼ i
= HdR (M), i = 0, 1, 2, . . .
where H i (M, R) is the Cech cohomology of the constant sheaf R on M.
3.7 Cech cohomology and Eilenberg-Steenrod axioms
Let G be an abelian group and M be a polyhedra. We can consider G as the sheaf of

constants on M and hence we have the Cech cohomologies H k (X, G), k = 0, 1, 2, . . ..
This notation is already used in Chapter 4 of [Mov16] to denote a cohomology
theory with coefficients group G which satisfies the Eilenberg-Steenrod axioms.
The following theorem justifies the usage of the same notation.
Theorem 3.4 In the category of polyhedra the Cech cohomology of the sheaf of
constants in G satisfies the Eilenberg-Steenrod axioms.
Therefore, by uniqueness theorem the Cech cohomology of the sheaf of constants
in G is isomorphic to the singular cohomology with coefficients in G. We present
this isomorphism in the case G = R or C.
Recall the definition of integration
Z
sing i
Hi (M, Z) × HdR (M) → R, (δ , ω) 7→ ω
δ
This gives us
3.8 Dolbeault cohomology 35
ˇ
(M, R) ∼
i sing i
HdR (M) → Hi = Hsing (M, R)
whereˇmeans dual of vector space.
Theorem 3.5 The integration map gives us an isomorphism
i
HdR (M) ∼ i
= Hsing (M, R)
Under this isomorphism the cup product corresponds to

i j i+ j
HdR (M) × HdR (M) → HdR (M), (ω1 , ω2 ) 7→ ω1 ∧ ω2 , i, j = 0, 1, 2, . . .
where ∧ is the wedge product of differential forms.

If M is an oriented manifold of dimension n then we have the following bilinear
map
Z
i n−i
HdR (M) × HdR (M) → R, (ω1 , ω2 ) 7→ ω1 ∧ ω2 , i = 0, 1, 2, . . .
M
3.8 Dolbeault cohomology
Let M be a complex manifold and ΩMp,q∞ be the sheaf of C∞ (p, q)-forms on M. We

have the complex
∂¯ ∂¯ ∂¯ ∂¯
ΩMp,0∞ → ΩMp,1∞ → · · · → ΩMp,q∞ → · · ·
and the Dolbeault cohomology of M is defined to be
global ∂¯ -closed (p, q)-forms on M

H∂¯p,q (M) := H q (Γ (M, ΩMp,•∞ ), ∂¯ ) =
global ∂¯ -exact (p, q)-forms on M
Theorem 3.6 (Dolbeault Lemma) If M is a unit disk or a product of one dimen-

sional disks then H∂¯p,q (M) = 0
Let Ω p be the sheaf of holomorphic p-forms on M. In a similar way as in Proposition
3.3 one can prove that ΩMp,q∞ ’s are fine sheaves and so we have the resolution of Ω p :
Ω p → ΩMp,•∞ .
By Proposition 3.2 we conclude that:

Theorem 3.7 (Dolbeault theorem) For M a complex manifold
H q (M, Ω p ) ∼ p,q
= H∂¯ (M)
We give an example of a domain D in Cn such that H∂0,1

¯ (D) 6= 0. See [GuII90],
the end of Chapter E.
3.9 Cohomology of manifolds
The first natural sheaves are constant sheaves. For an abelian group G, the sheaf of
constants on X with coeficients in G is a sheaf such that for any open set it associates
G and the restriction maps are the identity. We also denote by G the corresponding
sheaf. Our main examples are (k, +), k = Z, Q, R, C. For a smooth manifold X, the
cohomologies H i (X, G) are isomorphic in a natural way to singular cohomologies
and de Rham cohomologies, see respectively [Voi02] Theorem 4.47 and [BT82]
Proposition 10.6. We will need the following topological statements.
Proposition 3.5 Let X be a topological space which is contractible to a point. Then

H p (X, G) = 0 for all p > 0.
This statement follows from another statement which says that two homotopic maps
induce the same map in cohomologies.
Proposition 3.6 Let X be a manifold of dimension n. Then X has a covering U =
{Ui , i ∈ I} such that
1. all Ui ’s and their intersections are contractible to points.
2. The intersection of any n + 2 open sets Ui is empty.
Using both propositions we get an acyclic covering of a manifold and we prove.
Proposition 3.7 Let M be an orientable manifold of dimension m.
1. We have H i (M, Z) = 0 for i > m.
2. If M is not compact then the top cohomology H m (M, Z) is zero.
3. If M is compact then we have a canonical isomorphism H m (M, Z) ∼
= Z given by
the orientation of M.
If M is a complex manifold of dimension n, then it has a canonical orientation given
by the orientation of C and so we can apply the above proposition in this case. Note
that M is of real dimension m = 2n.
3.10 Short exact sequences
In this section we return back to one of the main motivations of the sheaf cohomol-
ogy, namely, for an exact sequence of sheaves of abelian groups
0 → S1 → S2 → S3 → 0.
we have a long exact sequence
· · · → H i (X, S1 ) → H i (X, S2 ) → H i (X, S3 ) → H i+1 (X, S1 ) → · · · (3.6)

3.10 Short exact sequences 37
that is in each step the image and kernel of two consecutive maps are equal. All the
maps in the above sequence are canonical except those from i-dimensional coho-
mology to (i + 1)-dimensional cohomology. In this section we explain how this map
is constructed in Cech cohomology. Let S ji := Csj (U , Si ). The idea is to use:
0 0 0
↓ ↓ ↓
· · · → Sn−1
1 → S 1 → S 1 → ···
n n+1
↓ ↓ ↓
· · · → Sn−1
2 → S 2 → S 2 → ···
n n+1 (3.7)
↓ ↓ ↓
· · · → Sn−1
3 → S 3 → S 3 → ···
n n+1
↓ ↓ ↓
0 0 0
Let us take a covering Ui , i ∈ I and f = { f j , j ∈ I i+1 } ∈ H i (X, S3 ). By taking

the covering smaller, if necessary, we can assume that f is in the image of the map
S2 → S3 , that is, there is g = {g j , j ∈ I i+1 } such that each g j is mapped to f j under
S2 → S3 . Now we have δ f = 0 and so δ g is mapped to zero under S2 → S3 .
We conclude that there is h = {h j , j ∈ I i+2 } such that h is mapped to δ g under
S1 → S2 . We have the map
H i (X, S3 ) → H i+1 (X, S1 ), f 7→ h
which is well-defined and gives us the long exact sequence (3.6).

Chapter 4
Stein varieties
In this chapter we review all the basic fact about Stein varieties. For a complete
account on this topic and all missing proofs the reader is referred to [GuIII90] and
[GrRe79]. Let X be an analytic variety and U {Ui , i ∈ I} be a covering of X such
that each Ui comes from a chart
∼
ψi : Ui → Vi ⊂ B(r)
where B(r) is a polydisc of radius r = (r1 , r2 , . . . , rni ) and Vi is a closed subvariety

of B(r) (it is given by the zero set of holomorphic functions in B(r)). The objective
of this section is to prove that U is an acyclic covering for coherent sheaves S and
so in this way H µ (X, S ) = H µ (U , S ).
4.1 Stein varieties
Stein varieties share many properties with germs of varieties. In this section we list
the definition and some theorems about Stein varieties. For more detailed study the
reader is referred to [GrRe79, GuIII90].
Definition 4.1 Let K be a subset of a variety X. The set
K̂X := {x ∈ X| | f (x)| ≤ supy∈K | f (y)|, ∀ f ∈ OX (X)

is called the (holomorphic) convex hull of K in X. The variety X is called holomor-

phically convex if for any compact set K ⊂ X the convex hull K̂X is also compact.
Definition 4.2 A subset Y of a topological space X is called nowhere discrete if

there is no point p ∈ Y and a neighborhood U of p in X such that U ∩Y := {p}.
Theorem 4.1 (Definition) A holomorphically convex variety X is called Stein if one
of the following equivalent condition is satisfied:
39
40 4 Stein varieties
1. For any point x ∈ X there exist holomorphic functions f1 , f2 , . . . , fm on X such

that x is an isolated point of the set {x ∈ X | f1 (x) = f2 (x) = · · · = fm (x) = 0};
2. Holomorphic functions on X separate the points of X, i.e. for any pair of points
x and y in X there exists a holomorphic function on X such that f (x) 6= f (y);
3. X does not contain nowhere discrete compact analytic subsets;
4. For any discrete sequence of points {Av } in X and any sequence {av } of complex
numbers there is a holomorphic function f on X such that f (Av ) = av for all v.
In particular, if av tends to infinity then
limv→∞ | f (Av )| = ∞
The reader is referred to [GuIII90], Theorems 4M,5M,11M for the proof of the
equivalences.
Definition 4.3 An open subset D ⊂ Cn is called domain of holomorphy if there
exists a holomorphic function f in D that cannot be extended as a holomorphic
function to any boundary point of D.
Proposition 4.1 A polydisc ∆ (a, r) is a domain of holomorphy.
Proof. See [GuI90] Chapter G.
Theorem 4.2 An open subset D of Cn is holomorphically convex if and only if it is
a domain of holomorphy.
Proof. See [GuI90], Chapter G, Theorem 5.
Proposition 4.2 If U1 and U2 are two Stein open subsets of a variety X then U1 ∩U2
is Stein.
Proof. Since holomorphic functions separate points in U1 , this is the case also in
every open subset of U1 . Therefore it is enough to prove that U1 ∩ U2 is holomor-
phically convex. For a compact set K ⊂ U1 ∩U2 we have K̂U1 ∩U2 ⊂ K̂U1 ∩ K̂U2 . Since
K̂U1 ∩U2 is closed and is a subset of a compact set, it is compact.
Example 4.1 Let U be an open connected subset of Pn , n ≥ 2, satisfying the fol-
lowing conditions:
1. The boundary ∂U of U is not empty.
2. For any p ∈ ∂U there exists a holomorphic mapping f p : (Cn−1 , 0) → Pn such
that f p (0) = p and f p (Cn−1 , 0) ∩U = 0.
/
Then U is Stein. For the proof see [Li99] and the references mentioned there. In
particular, the above statement implies that the complement of a minimal set in
Pn , n ≥ 2 is Stein. The non-existence of such an object for n ≥ 3 is proved in [Li99]
and it is still an open problem for n = 2.
Remark 4.1 There are algebraic varieties over complex numbers such that their un-
derlying analytic variety is Stein but they are not affine algebraic varieties. The main
references for this topic are Fritzsche and Grauert’s book [FrGr02], Hartshorne’s
lectures [Ha70] and [Ne89].
4.3 Some properties of Stein varieties 41
4.2 Coherent sheaves
Definition 4.4 An analytic sheaf over an analytic variety X is coherent if for each
point x of X there is an exact sequence of holomorphic sheaves over U of the form:
OX,x
m
→ OX,x
n
→ Sx → 0
for some n, m ∈ N, i.e the stalk Sx as a OX,x -module is finitely generated, for
instance by f1 , f2 , . . . , fn ∈ Sx , and the OX,x -module of relations between fi ’s,
{α ∈ OX,x
n | n α f = 0} is also finitely generated.
∑i=1 i i
1. A freely generated sheaf is coherent. In particular the sheaf of holomorphic sec-
tions of a vector bundle over a complex manifold is coherent. Examples of those
sheaves are the sheaf of holomorphic vector fields and holomorphic differential
forms over a complex manifold.
2. (Oka’s Theorem)The kernel of any homomorphism OXm → OXn is coherent
3. (Cartan’s theorem) The sheaf of ideals MY of an analytic subvariety Y of an
analytic variety X is a coherent sheaf.
4. (Grauert direct image theorem). Let φ : X → Y be a proper analytic map. For a
coherent sheaf S in X, the sheaves Rµ φ∗ S , µ = 1, 2, . . . are also coherent.
Why in the definition of a coherent sheaf S , the fact that each stalk of S is
finitely generated is not enough to prove Cartan’s A and B theorem?.
4.3 Some properties of Stein varieties
Here are some properties of Stein varieties.

Theorem 4.3 (Cartan’s Theorem A) For a Stein variety X and a coherent analytic
sheaf S on X the stalk of S over a point x ∈ X is generated by global sections.
There is an equivalent definition of Stein varieties using the cohomology of coherent
sheaves and this is in fact the starting point in [GuIII90].
Theorem 4.4 (Cartan’s Theorem B) A variety X is Stein if and only if for any co-
herent analytic sheaf S on X we have
H µ (X, S ) = 0, µ ≥ 1
For the main purpose of this section we prove the following properties of Stein
varieties.
Theorem 4.5 We have
1. Every holomorphic function on a closed subvariety Y of a Stein variety X extends
to a holomorphic function on X
2. Any closed subvariety of a Stein variety is Stein.
42 4 Stein varieties
Proof. We first the first part. The second part follows immediately from the defini-
tion of the convex hull and the first part.
By definition of an analytic variety we can extend f ∈ OY (Y ) locally, that is, we
can take a covering U of Y with open sets in X and gi ∈ OX (Ui ) such that gi and
f coincide in Y ∩Ui . We complete U into a covering of X and put gi = 0 for open
sets Ui which do not intersect Y . Now
g = (gi j := fi − f j , i, j ∈ I) ∈ H 1 (U , MY )
Since MY is coherent, by Cartan’s B theorem H 1 (X, MY ) = 0 and so there is a

covering U 0 such that U 0 < U and g is mapped to 0 under the restriction map
H 1 (U , MY ) → H 1 (U 0 , MY ). From now on we use U 0 instead of U . We have
gi j = f˜i − f˜j for f˜i ∈ OX (MY ) and so the functions f˜i − fi glue together to give us
the desired function.
It is a remarakable fact that every Stein manifold of dimension n can be embed-

ded holomorphically in C2n+1 . Here is another example of a Stein variety.
4.4 Stein covering
A covering U of a variety X is called Stein if it is locally finite and each open set
in U is Stein. Combining Proposition 4.2, Theorem B of Cartan we conclude that a
Stein covering is acyclic and so by Leray lemma H µ (U , S ) ∼ = H µ (X, S ) for any
coherent analytic sheaf S on X and µ ≥ 1.
Chapter 5
Kähler manifolds
5.1 Tangent space

√
Let M be a complex manifold of dimension n and zi = xi + −1yi , i = 1, 2, . . . , n be
a system of coordinates around a point p of M. The real tangent space of M, T R M
is an R-vector space of dimension 2n and by definition it has the following basis:
∂ ∂
, , j = 1, 2, . . . , n (5.1)
∂xj ∂yj
We tensor it with C over R and get a canonical decomposition:
TpC M := TpR M ⊗R C = Tp10 M ⊕ Tp01 M (5.2)
where Tp10 M and Tp01 M) are generated over C by the vectors
∂ 1 ∂ ∂
:= ( −i ), i = 1, 2, . . . , n (5.3)
∂ zi 2 ∂xj ∂yj
∂ 1 ∂ ∂
:= ( +i ), i = 1, 2, . . . , n. (5.4)
∂ z̄i 2 ∂xj ∂yj
respectively. There is defined a complex conjugation:
TpC M → TpC M,
n n
∂ ∂ ∂ ∂
∑ ai ∂ zi + bi ∂ z̄i 7→ ∑ āi ∂ z̄i + b̄i ∂ zi
i=1 i=1
which maps TpR M to itself. Moreover, itmaps Tp10 M isomorphically, as a R-vector

space, to Tp01 M. The decomposition and the conjugation are well-defined and does
not depend on a particular choice of the coordinates zi ’s. We have an isomorphism
of R-vector spaces
43
44 5 Kähler manifolds
1
Tp10 → TpR M, (a 7→ a + ā) (5.5)
2
whose inverse is given by the composition TpR M ,→ Tp MC → Tp10 M, where the last
map is the projection in the decomposition (5.2). The multiplication by i-linear map
in the left hand side gives us J : TpR M → TpR M which satisfies J 2 = −I, where I is
the identity map. It is given by
∂ ∂ ∂ ∂
J( )= , J( )=−
∂xj ∂yj ∂yj ∂xj
The real cotangent space (TpR M)∨ has the basis dx1 , dy1 , · · · , dxn , dyn which is
the dual basis of (5.1). Its complexification is
(TpC M)∨ := (TpR M)∨ ⊗R C = (Tp10 M)∨ ⊕ (Tp01 M)∨
The dual basis of (5.4) is given by
dz1 , dz2 , . . . , · · · , dzn , d z̄1 , d z̄2 , · · · , d z̄n .
Exercise 5.1 For v1 , v2 ∈ TpR M, the vector v1 +iv2 is in Tp10 if and only if v2 = −Jv1 .
Hint: Under the identification (5.5), the vectors v1 + iv2 and i(v1 + iv2 ) are mapped
to v1 and −v2 , respectively.
5.2 Positive forms
Recall the notations introduced in Section 5.1. The following exercise will be helpful
for understanding the content of this section.
Exercise 5.2 Show that every real differential form on a complex manifold which
is of type (1, 1) can be written locally in the form
n
ω = i( ∑ gi j dzi ∧ dz j ), ḡi j = g ji
i, j=1
Can one assume that gi j ’s are real functions and gi j = g ji ? Show that
1
− iω(v, v̄) = ω(Re(v), JRe(v)), v ∈ Tp10 M
2
and so it is a real number. Hint: use Exercise 5.1.
Definition 5.1 Consider a real differential form ω on a complex manifold and as-
sume that ω is of type (1, 1). ω is called a non-negative form (resp. positive form)
if one of the follwing equivalent conditions is satisfied:
5.3 Hermitian metric 45
1. In a local chart (z1 , z2 , . . . , zn ), iω can be written diagonally, as −iω = ∑i αi dzi ∧

d z̄i with αi real and non-negative (resp. positive).
2. For any vector v ∈ T 10 M, −iω(v, v̄) ≥ 0(resp. > 0).
3. For any real tangent vector v ∈ T R M, ω(v, Jv) ≥ 0 (resp. > 0), where J : T R M 7→
T R M is the complex structure operator of T R M.
Exercise 5.3 Show that the three statements in the above definitions are equivalent.
Proposition 5.1 A C∞ -function q on a complex manifold A is plurisubharmonic
(resp. strongly plurisubharmonic) if and only if ω := −i∂¯ ∂ q is a non-negative (resp.
positive) form.
Proof. The proof follows from
n
∂ 2q
−iω(v, v̄) = ∑ (x)vi v¯j = Lx (q)(v), v, w ∈ Tx10 A.
i, j=1 ∂ zi ∂ z̄ j
5.3 Hermitian metric
Definition 5.2 Let V → X be a vector bundle on a complex manifold. A Hermitian

metric on V is a C1 -family of Hermitian inner products h·, ·i : Vx ×Vx → C, that is
1. h·, ·i is C-linear in the first coordinate, that is,
hau + bv, wi = ahu, wi + bhv, wi, ∀u, v, w ∈ Vx , a, b ∈ C.
2. We have
hu, vi = hv, ui.
and hence hw, au + bvi = āhw, ui + b̄hw, vi.
3. hu, ui ≥ 0, ∀u ∈ Vx and the equality happens if and only if u = 0.
Exercise 5.4 Show that any holomorphic vector bundle over a complex manifold
has a Hermitian metric. Hint: Use partition of unity.
Let us consider a Hermitian metric in the complex tangent space T 10 (and not
in complexfied real tangent space which is T 10 ⊕ T 01 ) of a complex manifold X. In
local charts we have hu, vi = h(u, v̄), where
n n
h := ∑ ∑ hi j dzi ⊗ d z̄ j
i=1 j=1
where A := [hi j ] is a Hermitian matrix, that is, At = Ā, and it is positive definite:
vAv̄ > 0, ∀v ∈ Cn , v 6= 0.
The corresponding Riemannian metric is given by

46 5 Kähler manifolds
1 1 n
g := (h + h̄) = ∑ hi j (dzi ⊗ d z̄ j + d z̄ j ⊗ dzi ).
2 2 i, j=1
and a positive real (1, 1)-form

n
i
ω := (h − h̄) = ∑ hi j dzi ∧ d z̄ j .
2 i, j=1
which gives us h = g − iω.
5.4 Fubini-Study metric
In Pn with the coordinates [z0 : z1 : · · · : zn ] we consider the following

n
ω := ∂ ∂¯ log( ∑ |z2i |). (5.6)
i=0
Note that ω is invariant under (z0 , z1 , · · · , zn ) 7→ (λ z0 , λ z1 , · · · , λ zn ) for all λ ∈ C −

{0}, and so it induces a (1, 1)-form in Pn . Let us consider the affine charts Ui =
{zi 6= 0} with the coordinate system (z0 , z1 , . . . , zi−1 , zi+1 , · · · , zn ) and the chart map
(z0 , z1 , . . . , zi−1 , zi+1 , · · · , zn ) 7→ [z0 : z1 : . . . : zi−1 : 1 : zi+1 : · · · , zn ].
Exercise 5.5 Show that

n
K j : Cn → R+ , K j (z) = log(1 + ∑ |z2i |)
i=0, i6= j
is a strongly plurisubharmonic function.

The (1, 1)-form ω in the affine chart Ui is given by ω = ∂ ∂¯ K j and it is positive.
From ω we can define the corresponding Hermitian metric and Riemanninin metric
which are usually called the Fubini-Study metric. K is called the Kähler potential.
Definition 5.3 A connected compact complex manifold is called Kähler if it has a
Hermitian metric h whose associated (1, 1)-form is closed.
Every smooth projective variety inherits the Fubini-Study metric and so it is Kähler.
Theorem 5.1 Any Kähler manifold X such that [ω] ∈ H 2 (X, Z) is a projective va-
riety.
Proof. By Lefschetz (1, 1)-theorem any closed (1, 1)-form ω such that its class in
2 (X) lies in H 2 (X, Z) is the Chern class of a line bundle. Now the theorem follows
HdR
from Kodaira embedding theorem, see Theorem 10.2.
5.5 Torus as Kähler manifold 47
Let O(1) be the dual of the tautological line bundle on Pn , see Section 8.1. Let
also si be trivializing sections of O(1) in Ui . We define a Hermitian metric in O(1).
In the affine chart Ui = {zi 6= 0} it is given by
n
1 zk 2 − 1
pi := hsi , si i 2 := ( ∑ | | ) 2
k=0 zi
z
Since p j := | zij |pi
and we have (8.3), the local data gives us a global Hermitian
metric in O(1). We follow the recipe for computing the Chern class of O(1) in
Proposition 8.1 and we get
" #
n
−1 ¯ 2
c(O(1)) = √ ∂ ∂ log( ∑ |zi |)
2π −1 i=0
5.5 Torus as Kähler manifold
In this section we give an explicite description of positive line bundles on a complex

torus Cn /Λ .
Chapter 6
Strongly convex/plurisubharmonic functions
The notions of plurisubharmonic functions and pseudoconvex domains appeared in

complex analysis after E.E. Levi discovered around 1910 that the boundary of a
domain of holomorphy in Cn satisfies certain conditions of pseudoconvexity. The
question of whether conditions on the boundary might determine a domain of holo-
morphy became known as the Levi problem. The first definitions were made by K.
Oka [Ok42] and P. Lelong [Le45]. The reader is referred to T. Peternell survey in
[GPR94] Chapter V and R. C. Gunning’s book [GuI90] Chapters K-R for more
history and developments not treated here. In this text we will consider only the C2
category of plurisubharmonic functions. We start this chapter by introducing the no-
tion of strongly convex functions. They just carry the convexity information of their
fibers and contain the class of strongly plurisubharmonic functions. Strongly convex
functions are easy to handle and this is the main reason we have chosen them in-
stead of strongly plurisubharmonic functions. Gunning’s book [GuI90], Chapter R
has been our main source about these functions. We also define the notion of convex
function parallel to plurisubharmonic functions. But this seems to be useless, since
they do not satisfy the maximum principle!
6.1 Strongly convex functions
Let ψ : (Cn , p) → R be a C2 -function. Recall that
∂ψ 1 ∂ψ ∂ψ ∂ψ 1 ∂ψ ∂ψ
= ( −i ), = ( +i )
∂zj 2 ∂xj ∂ y j ∂ z̄ j 2 ∂xj ∂yj
The Levi form of ψ at p ∈ Cn is defined by

n
∂ 2ψ
L p (ψ)(v) := ∑ (p)vi v¯j , v = (v1 , v2 , . . . , vn ) ∈ Cn
i, j=1 ∂ zi ∂ z̄ j
49
50 6 Strongly convex/plurisubharmonic functions
Let us introduce the differential (1, 1)-form

n
∂ 2ψ
ω := −i∂¯ ∂ ψ = i ∑ (p)dzi ∧ d z̄i
i, j=1 ∂ zi ∂ z̄ j
First of all note that the form ω is real because
ω = i∂ ∂¯ ψ = ω
Note also that

n
∂ 2ψ
−iω(v, v̄) = ∑ (p)vi v¯j = L p (ψ)(v), v, w ∈ Tp10 Cn .
i, j=1 ∂ z i ∂ z̄ j
The following simple equalities will be useful in forthcoming arguments. For v ∈ Cn

we have
L p (hψ)(v) = h(p)L p (ψ)(v) + ψ(p)L p (h)(v) + 2Re(D p ψ(v).D̄ p h(v))(6.1)

L p (φ ◦ ψ)(v) = φ 00 (ψ(p))|D p ψ(v)|2 + φ 0 (ψ(p)) · L p (ψ)(v) (6.2)
1 |D p ψ(v)|2
L p (− log ψ)(v) = ( − L p (ψ)(v)) (6.3)
ψ(p) ψ(p)
where ψ, h : (Cn , p) → R are two C2 functions and φ is a R-valued C2 function

defined in a neighborhood of the image of ψ.
Exercise 6.1 Prove the equalities in (6.1),(6.2),(6.3).
Definition 6.1 A C2 function ψ : (Cn , p) → R is called convex (resp. strongly con-
vex) at the point p in the sense of Levi if
D p ψ(v) = 0 ⇒ L p (ψ)(v) ≥ 0 ( resp. > 0), ∀v ∈ Cn , v 6= 0. (6.4)
Let G ⊂ Cn be an open domain and ψ : G → R a C2 function. We say that ψ is

convex (resp. strongly convex) in G if it is convex (resp. strongly convex) at each
point p ∈ G.
Practically in the above definition we will assume the additional condition
v ∈ S2n−1 := {v ∈ Cn | |v| = 1}
to obtain a compact space for the parameter v. This does not change the definition.
Definition 6.2 A C2 -function ψ : (Cn , p) → R is called plurisubharmonic (resp.
strongly plurisubharmonic) at p if its Levi form at p is positive semidefinite (resp.
positive definite), i.e.
n
∂ 2ψ
L p (ψ)(v) := ∑ (p)vi v̄ j ≥ 0 (resp. > 0) ∀v = (v1 , v2 , · · · , vn ) 6= 0 ∈ Cn ,
i, j=1 ∂ zi ∂ z̄ j
6.2 Maximum principle 51
For a strongly plurisubharmonic function ψ, the associated (1, 1)-form ∂ ∂¯ ψ is pos-

itive and vice versa. Let G ⊂ Cn be an open domain and ψ : G → R a C2 function.
We say that ψ is plurisubharmonic (resp. strongly plurisubharmonic) in G if it is
plurisubharmonic (resp. strongly plurisubharmonic) at each point p ∈ G.
A strongly plurisubharmonic function at p satisfies (6.4) and so it is a strongly con-

vex function. The most simple strongly plurisubharmonic function is
n
ψ(z) = |z|2 = ∑ zi z̄ j , ψ : Cn − {0} → R+ .
i=1
Exercise 6.2 Show that the norm function
Cn − {0} → R+ , (z1 , z2 , . . . , zn ) 7→ |z1 |2 + |z2 |2 + · · · + |zn |2
is strongly pseudoconvex.
For a holomorphic function f on an open domain D ⊂ Cn and without zeros the
function log | f | is plurisubharmonic. In fact
∂f
∂z
j
∂ 2 log| f | ∂ f
2 = =0
∂ z̄i ∂ z j ∂ z̄i
A sum ψ1 + ψ2 of a strongly plurisubharmonic function ψ1 with a plurisubharmonic

function ψ2 is still strongly plurisubharmonic. In particular, for f as above ψ1 +
log | f | is strongly plurisubharmonic.
6.2 Maximum principle
We start this section with the definition of a maximum principle.

Definition 6.3 (Maxmimum principle) A C2 function ψ : G → R defined in an
open set G ⊂ Cn satisfies the maximum principle if ψ(x) ≤ ψ(a), ∀x ∈ (G, a)
implies that ψ is constant.
Let us consider the one dimensional case, that is a C2 function ψ : G → R, G ⊂ C.
By definition it is called (strongly) convex if
∂ψ ∂ 2ψ
(p) = 0 ⇒ (p) ≥ 0 ( resp. > 0), ∀p ∈ G
∂z ∂ z∂ z̄
This implies that
Proposition 6.1 If a C2 -function ψ : G → R defined in an open set G ⊂ C is strongly
convex then it satisfies the maximum principle.
Note that constant functions are not strongly convex and hence the above proposition
implies that strongly convex functions in one variable has no local maximum.
Proof. Let us assume that ψ has a local maximum at 0 ∈ G. Consider the path
[−ε, ε] → G, t 7→ (ta,tb) which crosses 0. We have that for all 0 6= (a, b) ∈ C2 , the
function ψ(ta,tb) has a local maxmimum at 0, and so, its derivative at 0 is zero
and its second derivative at 0 is not positive. This implies that ∂∂ψz (p) = 0 and the
Hessian matrix of ψ at 0 is not positive definite and so its trace
∂ 2ψ ∂ 2ψ ∂ 2ψ
∆ := 4 = + 2 (6.5)
∂ z∂ z̄ ∂ x2 ∂y
which is the Lablacian operator is not positive which is a contradiction. t
u
Unfortunately we cannot say a similar statement for ψ convex. For example
ψ(x + iy) = −(x4 + y4 ) has a local maximum at 0 and is a convex function. The
situation for subharmonic functions, that is plurisubharmonic functions in one vari-
able, is different.
Proposition 6.2 A C2 -function ψ : G → R defined in an open set G ⊂ C is subhar-
monic if and only if for any harmonic function h in a connected open set of G, the
difference ψ − h satisfies the maximum principle in U
Note that for this statement ψ need not to be strongly subharmonic.
Proof. See [GuI90], Chapter J, Theorem 7 and Theorm 8.
6.3 Some properties
The following propositions reveal some important properties of strongly convex

functions.
Proposition 6.3 Let ψ : (Cn , p) → R, ψ(p) = 0 be strongly convex at p and h :
(Cn , p) → R+ be a C2 function. Then hψ is also strongly convex at p.
Proof. This follows from (6.1).
Proposition 6.4 If ψ : (Cn , p) → R is strongly convex (resp. strongly plurisubhar-
monic) at p then it is strongly convex (resp. strongly plurisubharmonic) in a neigh-
borhood of p in Cn .
Proof. Figure 6.1 might help to understand the proof. Let us prove the case of
strongly convex function. We define
Y := {(v, x) ∈ S2n−1 × (Cn , p) | Dx ψ(v) = 0}
The projection on the second coordinate π : Y → (Cn , p) is a continuous proper map.

Now, L. (.) : Y → R is continuous and strictly positive on the fiber π −1 (p). Therefore
6.3 Some properties 53
Fig. 6.1 Strongly convex functions
it must be strictly positive on the fibers π −1 (x) for x in a neighborhood of p in Cn . In

the case of strongly convex functions we use Y := S2n−1 × (Cn , p) and the argument
is as before. t u
Proposition 6.5 Let ψ be a strongly convex (resp. strongly plurisubharmonic) func-
tion in a neighborhood of a compact set K in Cn . There exists an ε > 0 such that if h
is a real-valued C2 function on a neighborhood of K in Cn and the absolute values
of its first and second derivatives on this neighborhood are less than ε, then ψ + h
is strongly convex (resp. strongly plurisubharmonic) in a neighborhood of K in Cn .
Proof. Let ψ be strongly convex. L. (.) is strictly positive on the compact se
Y := {(v, x) ∈ S2n−1 × K | Dx ψ(v) = 0}.
Therefore it is positive in a compact neighborhood U of Y in S2n−1 × Cn . Since the

projection on the second coordinate is a continuous proper map, we can choose a
neighborhood U 0 of K in Cn such that for all (v, x) ∈ S2n−1 ×U 0 if Dψx (v) = 0 then
(v, x) ∈ U. We take ε1 such that if for (v, x) ∈ S2n−1 ×U 0 we have |Dx ψ(v)| < ε1 then
(v, x) ∈ U for all x ∈ U 0 . We take also
Lx (ψ)(v)
ε2 := min(v,x)∈U .
(∑ | vi |)2
Now U 0 and ε := min{ε1 , ε2 } are the desired objects. If Dx (ψ + h)(v) = 0 then
|Dx ψ(v)| = |Dx h(v)| < ε|v| = ε
and so (v, x) ∈ U. Now
Lx (ψ + h)(v) ≥ Lx (ψ) − |Lx (h)| ≥ Lx (ψ) − ε ∑ |vi ||v̄ j | =

Lx (ψ) − ε(∑ |vi |)2 > 0, (v, x) ∈ U

Let us no consider the case in which ψ is strongly plurisubharmonic. We take
L p (ψ)(v)
ε = min p∈U,v∈S2n−1 ,
(∑ | vi |)2
where U is a compact neighborhood of K in which ψ is strongly plurisubharmonic.

In U we have
L p (ψ + h)(v) ≥ L p (ψ)− | L p (h) |≥ L p (ψ) − ε ∑ | vi || v̄ j |=
L p (ψ) − ε(∑ | vi |)2 > 0, p ∈ U, v ∈ S2n−1

t
u
Exercise 6.3 Let f : (Cm , p) → (Cn , q) be a holomorphic map such that D f (p) is
an injective map (and hence m ≤ n) and ψ : (Cn , p) → R be a strongly convex (resp.
strongly plurisubharmonic) function. Then
L p (ψ ◦ f )(v) = Lq ψ(D p f (v))
Hint: For coordinate system w ∈ Cm and z ∈ Cn we have

n
∂ 2ψ ◦ f ∂ 2ψ ∂ fr ∂ fs
(p) = ∑ (q) · · .
∂ wi ∂ w̄ j r,s=1 ∂ zr ∂ z̄s ∂ wi ∂ w j
Proposition 6.6 We have

1. The pull-back of a strongly convex (resp. strongly plurisubharmonic) function by
a biholomorphic map is a strongly convex (strongly plurisunharmonic) function.
2. The restriction of a strongly convex function ψ : (Cn , 0) → R to
Cm = {(z1 , z2 , . . . , zm , 0, . . . , 0) ∈ (Cn , 0)}
is a strongly convex function.

The first statement is not true when we replace biholomorphic with holomorphic,
for instance take a constant function which is of course a holomorphic function.
Proof. For the first part we use Exercise 6.3. The second part is immediate from the
definition.
We are in a position to extend the notion of strongly convex (resp. strongly plurisub-
harmonic) functions to varieties.
Definition 6.4 Let X be an analytic variety and ψ : X → R a continuous function.
Then ψ is called strongly convex (resp. strongly plurisubharmonic) if for every local
chart φ : U → V ⊂ D ⊂ Cn , U an open subset of X and V a closed analytic subset
of the open subset D of some Cn , there exists a strongly convex (resp. strongly
plurisubharmonic) function ψ̌ on D such that ψ = ψ̌ ◦ φ .
6.4 Strongly pseudoconvex domains 55
Fig. 6.2 Strongly pseudoconvex domain
Proposition 2.6 and Proposition 6.6 imply that the above definition is independent
of the choice of a local chart.
Proposition 6.7 [Maximum Principle] Let (X, p) be a germ of a variety and X 6= p.
Let ψ : (X, p) be a strongly convex function. If either X is smooth at p or ψ is
plurisubharmonic then ψ does not attain a local maximum at p, that is, ψ(y) ≤
ψ(p), ∀y ∈ (X, p) cannot happen.
In other words, there does not exist a non-discrete analytic varieties Y ⊂ X such that
Y ⊂ {ψ(x) ≤ 0}. We do not have a proof for Proposition 6.7 stated for arbitrary
germ of an analytic variety and a strongly convex function.
Proof. We take a holomorphic function γ : (C, 0) → (X, p). If X is smooth at 0 then
we can take it with non-vanishing derivative ar 0. In general, we use Hironaka’s
desingularization theorem. The pullback ψ ◦ γ is a strongly convex function in the
first case and it is subharmonic function in the second case. Both functions satisfy
the maximum principle, see Proposition 6.1 and Proposition 6.2. t u
6.4 Strongly pseudoconvex domains
Let X be an analytic variety and G a relatively compact open subset of X.

Definition 6.5 We say that G is strongly pseudoconvex if for every point p in the
boundary of G there exist a neighborhood U p of p and a real valued strongly convex
C2 -function ψ defined in U p such that
G ∩U p = {x ∈ U p | ψ(x) < 0}
(see Figure 6.2).

We will only consider the case in which X is a complex manifold of complex di-
mension n and the boundary ∂ G is a smooth real submanifold of dimension 2n − 1.
In this case, ψ’s used in the above definition are regular at the points of ∂ G, that is,
Exercise 6.4 Let G ⊂ X be a strongly convex domain with smooth boundary. In
Definition 6.5 we have D p ψ 6= 0. Hint: Use (6.2).
Proposition 6.3 says that the property of being stongly convex for ψ is a actually an
intrinsic property of the level surface ψ −1 (0) ⊂ (Cn , p).
Exercise 6.5 Let ψ : (Cn , p) → R be a C2 strongly convex function with D p (ψ) 6= 0
and hence ψ −1 (0) is a smooth real manifold of codimension 2n − 1 in (Cn , p). If we
have another C3 -function ψ 0 : (Cn , p) → R with ψ −1 (0) = ψ 0 −1 (0) then the quotient
ψ0 2 n 0
ψ is a C -function in (C , p) with no zeros and hence by Proposition 6.3 ψ is also
strongly convex at p.
The real tangent space of the boundary ∂ G of G is given by
( ! )
n
n ∂ψ
Tp ∂ G = v ∈ C Re ∑ vi = 0 , p ∈ ∂G
i=1 ∂ zi

which contains the following complex vector space

( )
n ∂ψ
10 n
Tp ∂ G = v ∈ C ∑ vi = 0 , p ∈ ∂ G.
i=1 ∂ zi
Therefore, ψ is strongly convex at p if its Levi form restricted to Tp10 ∂ G is positive

definite. The next proposition shows that instead of local C2 -functions ψ, we can
choose a global one.
Proposition 6.8 Let G ⊂ X be a relatively compact strongly pseudoconvex domain.
There exists a neighborhood U of ∂ G and a strongly convex C2 -function ψ in U
such that
U ∩ G = {x ∈ U | ψ(x) < 0}
Proposition 6.8 is also true when we replace strongly convex with strongly plurisub-
harmonic. This proposition is stated in [Gr62] p. 338 Satz 2 and [GPR94] p. 228.
In the proof by Grauert one reads: Wie man leicht nachrechnet, ist the Levi form
L(φ ∗ ) in z positiv definit. This easy calculation in Narasimahn’s paper [Na62] p.
204 and Laufer’s book [La71] Lemma 4.12 takes form as a complicated argument.
This was one of the main reasons for us to prefer strongly convex functions in-
stead of plurisubharmonic functions. The reader who is interested to know the proof
of Proposition 6.8 with a global plurisubharmonic ψ can also look at the articles
[Ri68, Wa72]. We have an alternative proof for exceptional varieties using the no-
tion of strongly convex functions and Remmert reduction, see Theorem 7.7.
Proof. Let p ∈ ∂ G. We have a strongly convex function ψ : U p → R defined in a

neighborhood U p of p such that U p ∩G = {x ∈ U | ψ(x) < 0}. Let h : U p → R+ ∪{0}
6.5 Plurisubharmonic functions 57
be a C2 -function on U p and V an open subset of U p such that p ∈ V ⊂⊂ supp(h) ⊂⊂

U p and h is positive in V (no zeros). Since ∂ G is compact, we can cover it by a finite
number of such V ‘s, say ∂ G ⊂ ∪ri=1Vi . Let hi be the associated function to Vi as
above. We claim that the function
r
ψ = ∑ hi ψi
i=1
is the desired function. In fact ψ restricted to ∂ G is zero and is strictly negative in

U ∩ G (because ψi are negative and at least one of them is strictly negative at each
point). At each point p ∈ Vi ∩ ∂ G the quotient ψ/ψi is positive at p. This follows
ψ
from the fact that all hi ’s are non-negative, ψ j ’s are regular at ∂ G and hence ψij
never vanishes in the common domain of ψi and ψ j , and hi is posotive in Vi .
Using Proposition 6.3, we conclude that ψ is strongly convex at any point of ∂ G.
By Proposition 6.4 ψ is strongly convex in a neighborhood of p in X. Since ∂ G is
compact, a finite union of these open sets gives us the desired neighborhood.
Proposition 6.9 Let G ⊂ X be a relatively compact strongly pseudoconvex domain

and ψ be the function defined in a neighborhood U of ∂ G as in Proposition 6.8.
There exists an ε such that if the values of a C2 -function h defined in U and its
first and second derivatives are less than ε then {x ∈ U | ψ(x) < h(x)} is strongly
pseudoconvex.
Proof. This is a direct consequence of Proposition 6.5 and 6.8.
Theorem 6.1 Let G ⊂ X be a relatively compact strongly pseudoconvex domain.

Then there exists a compact set K ⊂ G containing all nowhere discrete analytic
compact subsets of G.
Proof. Let ψ be as in Proposition 6.8 and
U1 = {x ∈ U | −ε < ψ(x) < 0}
for a small ε. We claim that K = G − U1 is the desired compact set. Let A be an

analytic nowhere discrete compact subset of G and A 6⊂ K or equivalently A ∩U1 is
not empty. Then ψ has a maximum greater than −ε in A ∩ U1 . By Proposition 6.7
this is a contradiction with the fact that ψ is strongly convex.
If K is analytic, compact and nowhere discrete we say that K is maximal.
6.5 Plurisubharmonic functions
Proposition 6.10 Let ψ : (Cn , p) → R with ψ(p) = 0 be a strongly convex function.

There exists a C2 function h : (Cn , p) → R+ such that hψ is strongly plurisubhar-
monic.
Proof. Let h be a C∞ function in (Cn , p) such that
D p h = D p ψ, h(p) = ε > 0.
We claim that for an ε enough small hψ is strongly plurisubharmonic at p. Using

the formula (6.1) we have
L p (hψ)(v) = εL p (ψ)(v) + 2 | D p ψ(v) |2 .
Let S2n−1 := {v || v |= 1} and H = S2n−1 ∩ {v ∈ Cn | D p ψ(v) = 0}. By hypothesis

L p (hψ)(.) is strictly positive in H and hence in a compact neighborhood K1 of H in
S2n−1 . Let K2 be a compact subset of S2n−1 such that S2n−1 = K1 ∪ K2 and K2 ∩ H
L (ψ)(.)
is empty. On K2 , A = 2|Dp ψ(.)|2 is a well-defined function with a minimum c. If c is
p
positive then L p (hψ) is already positive definite. If c is negative we can take 0 < ε <
−1
c and conclude that hψ is strongly plurisubharmonic at p and so by the discussion
before Proposition 6.10 it is strongly plurisubharmonic in a neighborhood of p in
Cn . tu
Exercise 6.6 Use Proposition 6.10 and show that an smooth point of the boundary
of an open domain in C is given by the zero locus of a plurisubharmonic function.
Proposition 6.11 Let ψ : (Cn , p) → R with ψ(p) = 0 be a strongly plurisubhar-
monic function and h : (Cn , p) → R+ be a C2 function such that D p (h) = D p (ψ).
Then hψ is a strongly plurisubharmonic function in a neighborhood of p in Cn .
Proof. Using the hypothesis and 6.1 we get L p (hψ)(v) = h(p)L p (ψ)(v) + 2 |
D p ψ(v) |2 . Therefore hψ is strongly plurisubharmonic at p. Proposition 6.4 imp-
ies that hψ is strongly plurisubharmonic in a neighborhood of p in Cn .
When X is a an open domain in the complex plane C then plurisubharmonic func-

tions on X are precisely C2 subharmonic functions on X(see [GuI90], J Theorem 8).
For the following proposition see Figure 6.3.
Proposition 6.12 Let ψ : (X, 0) → R, ψ(0) = 0 be a strongly convex function. Then
there exists a stein neighborhood U of 0 such that for any point p ∈ U with ψ(p) = 0
we have a holomorphic function f in U depending on p such that
{ f = 0} ∩ {x ∈ X | ψ(x) < 0} = {p}
Proof. The theorem for (Cn , 0) implies easily the general case (X, 0). So we assume
that X = Cn . By Proposition 6.10 we can assume that ψ is strongly plurisubharmonic
in a polydisc neighborhood U of 0. The Taylor series of ψ at p reads
!
∂ψ 1 ∂ 2ψ
ψ(z) = 2Re ∑ (p)(zi − pi ) + ∑ (p)(zi − pi )(z j − p j ) +L p (ψ)(z− p)+· · ·
i ∂ zi 2 i j ∂ zi ∂ z j
where · · · = o(|zi − pi |2 ) for all i = 1, 2, . . . , n. Now

6.5 Plurisubharmonic functions 59
Fig. 6.3 Analytic varieties and psedoconvex domains
∂ψ ∂ 2ψ
f (z) := ∑ (p)(zi − pi ) + ∑ (p)(zi − pi )(z j − p j )
i ∂ zi i j ∂ zi ∂ z j
is the desired function. t

u
Proposition 6.13 Let ψ : (X, p) → R with ψ(p) = 0 be strongly convex at p. There

is a Stein neighborhood X 0 of p in X such that U := {x ∈ X 0 | ψ(x) < 0} is Stein.
Proposition 6.13 can be generalized as follows: Let X be a Stein variety and ψ a
real valued C2 function such that U := {x ∈ X | ψ(x) < 0} is convex at each point x
with ψ(x) = 0 then U is a Stein variety. The proof can be found in [Na60] section
4, corollary 1.
Proof. Let X 0 be a Stein neighborhood of p such that for all p ∈ ψ −1 (0) ∩ X 0 there
is a holomorphic function f defined on X 0 with the property mentioned in Proposi-
tion 6.12. Then X 0 is the desired Stein open set. Since X 0 can be embedded in some
affine space Cn , it is enough to prove that U is holomorphically convex. Let K be
a compact subset of U. We have K̂U ⊂ K̂X 0 and K̂X 0 is compact in X 0 . Therefore
if K̂U is not compact in U, its closure in X 0 must have a point p ∈ ψ −1 (0). Let f
be the holomorphic function in X 0 associated to the point p as in Proposition 6.12.
The function 1f is a holomorphic function on U such that limx→p | 1f | = +∞. But
| 1f (y)| ≤ maxx∈K | 1f (x)| for all y ∈ K̂U . This leads to a contradiction.
Since the intersection of two Stein open sets is Stein again (see Proposition 4.2) the
assertion of the above proposition is true for Stein open sets smaller than X 0 .
Proposition 6.14 Let (z, zn+1 ) be the coordinate system of (Cn × C, (p, pn+1 )), ψ :
(Cn , p) → R+ be a C2 function. The following statements are equivalent:
1. − log ψ is strongly plurisubharmonic at p.
2. For all positive ε ∈ R+ the function |zn+1 |2 − εψ(z) is strongly convex at

(p, pn+1 ) with
|pn+1 |2 = εψ(p). (6.6)
|zn+1 |2
3. The function ψ(z) is strongly convex in its domain of definition.
Proof. The equivalence of item 2 and 3 follows from Proposition 6.3:
|zn+1 |2

2
|zn+1 | − εψ(z) = ψ(z) −ε .
ψ(z)
We prove 1 ⇒ 2. Suppose that − log ψ is strongly plurisubharmonic. Let (v, vn+1 ) ∈

Cn+1 such that
D(p,pn+1 ) (|zn+1 |2 − εψ)(v, vn+1 ) = p̄n+1 vn+1 − εD p ψ(v) = 0 (6.7)
We have
L p (|zn+1 |2 − εψ)(v, vn+1 ) = |vn+1 |2 − εL p (ψ)(v) (6.8)

(6.7) ε 2 |D p ψ(v)|2
= − εL p (ψ)(v) (6.9)
|pn+1 |2
(6.6) |D p ψ(v)|2
= ε( − L p (ψ)(v)) (6.10)
ψ(p)
(6.3)
= εψ(p) · L p (− log ψ)(v) > 0 (6.11)
Now let us prove 2 ⇒ 1. For a fixed v ∈ Cn we define pn+1 and vn+1 using the
equalities (6.7) and (6.6). In this way we have all the equalities in (6.8) and the
affirmation follows. t u
The Riemann extension theorems are valid for upper semi-continuous strongly
plurisubharmonic functions (see [GuII90], K for definition). The precise statement
and proof can be recovered from [Gr56].
Chapter 7
Cohomological properties of pseudoconvex
domains
Pseudoconvex domain are essentially Stein varieties blown-up in may points. We

already know that the cohomology of Stein varieties with coefficients in coherent
sheaves are all zero except in dimension zero. Roughly speaking, this tells us that
the the cohomology of pseudoconex domains is concentrated in the blow-up divi-
sors and they must be finite dimensional. This is in fact true and in this chapter we
describe its precise statement.
7.1 A theorem of Grauert
Let us state an important theorem concerning the cohomology of strongly pseudo-

convex domains with values in a coherent sheaf.
Theorem 7.1 ([Gr58]) Let G be a relatively compact strongly pseudoconvex do-
main in a complex variety X and S a coherent analytic sheaf on G. Then the coho-
mology groups H µ (G, S ) are finite dimensional vector spaces for µ > 0.
This section is devoted to the proof of the above theorem. We will use the C2 -
function ψ defined in a neighborhood U of ∂ G such that G∩U = {x ∈ U | ψ(x) < 0}
and we assume that X = U ∪ G. If U 0 is a small Stein open set in U then according
to Proposition 6.13, the intersection U 0 ∩ G is again Stein. Let us state two lemmas
whose proofs are just topological manipulations.
Lemma 7.1 Consider the situation of Theorem 7.1. If U 0 is a small Stein open set in
X then the restriction map r : H µ (G ∪U 0 , S ) → H µ (G, S ) is surjective for µ > 0.
Proof. Consider an arbitrary Stein covering U of G containing the Stein open set
G ∩U 0 . We have Z µ (G, U ) = Z µ (G ∪U 0 , U ∪ {U 0 }). This is due to the fact that the
intersection of at least two open sets in U ∪ {U 0 } is a subset of G. Since U 0 ∩ G is
Stein, U ∪ {U} is a Stein covering of G ∪U 0 . Leray Lemma finishes the proof.
Lemma 7.2 Consider the situation of Theorem 7.1. To each Stein covering U =
{Ui | i = 1, 2, . . . , r} of Ḡ in X one can find a strongly pseudoconvex domain G0 such
61
62 7 Cohomological properties of pseudoconvex domains
Fig. 7.1 The idea of the Proof of Lemma 7.2
that 1. G ⊂⊂ G0 ⊂⊂ ∪ri=1Ui 2. The restriction map r : H µ (G0 , S ) → H µ (G, S ) is

surjective for µ > 0.
Proof. Take Ki ⊂⊂ ∂ G ∩ Ui such that ∂ G = ∪ri=1 Ki . According to Proposition 6.5

in each Ui there is εi > 0 such that if hi is a C2 function on Ui and the absolute value
of hi and its first and second derivatives are less than εi then {x ∈ Ui | ψ(x) < hi (x)}
is strongly pseudoconvex at each point of (ψ − hi )−1 (0) in a neighborhood of Ki in
Ui . We take ε = minε i 2
r and in each chart Ui we take a C function hi such that
1. hi has a compact support in Ui ;
2. hi restricted to Ki is strictly positive;
3. the absolute value of hi and its first and second derivatives are less than ε.
Define
j
D j := {x ∈ U | ψ(x) < ∑ hi (x)} ∪ G, j = 1, 2, . . . , r, D0 := G
i=1
We have D0 ⊂ D1 ⊂ · · · ⊂ Dr . By the choice of ε and by Proposition 6.5 we can

conclude that Di is a strongly pseudoconvex domain. Since hi is strictly positive
on Ki and Ki ’s cover ∂ G, we have G ⊂⊂ Dr . We claim that G0 := Dr satisfies our
lemma. We must check that the restriction map r : H µ (Dr , S ) → H µ (G, S ) is sur-
jective. It is enough to check that r : H µ (Di , S ) → H µ (Di−1 , S ) is surjective for
all i = 1, 2, . . . , r. Since the support of hi is in Ui , we have Di = Di−1 ∪ (Di ∩Ui ). By
Proposition 6.13 Di ∩Ui is Stein. Lemma 7.1 finishes the proof.
7.1 A theorem of Grauert 63
Let F1 and F2 be two Fréchet spaces (see [GuI90] F). Recall that a linear mapping
between two topological vector spaces is called compact (or completely continuous)
if some open neighborhood of the origin in the domain is mapped to a relatively
compact set in the range. A theorem of L. Schwarz says
Theorem 7.2 (L. Schwarz) Let u, v : F1 → F2 be two continuous linear maps. If u
is compact and v is surjective then the C-vector space F2 /Im(u + v) is finite dimen-
sional.
A proof of this statement can be found in [GuRo] App. B 12.
Proof of Theorem 7.1. Let U = {Ui , i = 1, 2, . . . , r} and U 0 = {Ui0 , i = 1, 2, . . . , r}
be two Stein coverings of Ḡ such that Ui ⊂⊂ Ui0 and U ∩ G is a Stein covering of
G. By Lemma 7.2, we have a strongly pseudoconvex domain G0 such that G ⊂⊂
G0 ⊂⊂ ∪ri=1Ui and U 0 ∩ G0 , U ∩ G0 are Stein coverings of G0 . We consider the maps
u, v : Z µ (U 0 , S ) ⊕C µ−1 (U , S ) → Z µ (U , S )
u(a, b) = r(a) + δ (b), v(a, b) = −r(a)

where r is the restriction and δ is the coboundary map. Since H µ (G0 , S ) =
H µ (U 0 ∩ G0 , S ) and H µ (G, S ) = H µ (U ∩ G, S ), the map v is surjective. The
following theorem finishes the proof.
Theorem 7.3 Let U ⊂⊂ U 0 be two open domains in a variety X and S be a coher-
ent analytic sheaf on X. Then one can endow S (U 0 ) and S (U) with Fréchet space
structures such that the restriction r : S (U 0 ) → S (U) is a compact mapping.
In the case S = OX this is Montel’s Theorem (see [GuI90]). For an arbitrary co-
herent sheaf we refer to [KK83] Lemma 62.6. t u
The tools used in the proof of Theorem 7.1 provide us with a proof of the follow-
ing theorem due to Serre and Cartan (see [Ma68]).
Theorem 7.4 Let A be a compact variety and S be a coherent sheaf on A. Then
H µ (A, S ), µ > 0, are finite dimensional C-vector spaces.
Now we are in a position to prove that a strongly convex domain is holomorphically
convex.
Theorem 7.5 (R. Narasimhan [Na60] ). Let G ⊂ X be a relatively compact strongly
pseudoconvex domain. Then G is holomorphically convex.
Proof. We prove that for every boundary point p ∈ ∂ G one can find a holomorphic
function g on G such that limx→p |g| = +∞. This implies that G is holomorphically
convex. Let K be a compact subset of G and p ∈ ∂ G be a boundary point . For all
y ∈ K̂ we have |g(y)| ≤ maxx∈K |g(x)| < +∞. This means that K̂ cannot have p in its
closure. Since G itself is relatively compact in X, we conclude that K̂ is compact.
According to Proposition 6.12 for every boundary point p ∈ ∂ G one can find a
holomorphic function f defined in a neighborhood of p in X such that { f = 0}∩ Ḡ =
{p}. Let U be a Stein open set around p. One can choose a strongly pseudoconvex
domain G0 enough near G such that D := { f = 0}∩G0 is closed in G0 and is relatively
Fig. 7.2 The idea of the Proof of Theorem 7.5
compact in U. Now U ∩ G0 is a Stein open set in G0 and one can choose a Stein
covering U = {Ui , i = 1, 2, . . . , r} of G0 such that U1 := U ∩ G0 and Ui , i = 2, 3, . . . , r
do not intersect D. Put fi = 0 if i = 2, . . . , r and f1 = f1m . We have the cocycle
δm := { fi − f j } ∈ H 1 (U , S ) = H 1 (G0 , S ). But by Theorem 7.1 this vector space
is finite dimensional. Therefore there exist mi ∈ N, ci ∈ C, i = 1, 2, . . . , s such that
∑ ci δmi = 0. This means that there is a meromorphic function g on G0 with poles
along D and such that in a neighborhood of p g− ∑si=1 fcmi i is holomorphic. Therefore
g is not holomorphic at p. Thus g |G is the desired holomorphic function in G.
7.2 Exceptional varieties
Let G ⊂ X be a relatively compact strongly pseudoconvex domain. By Theorem 7.5

G is holomorphically convex, and so, we can apply Remmert reduction theorem (see
Appendix 14) to G and obtain a Stein space Y and a holomorphic map φ : G → Y ,
see figure 7.3. The outcome is summarized in the following theorem.
Theorem 7.6 Let G ⊂ X be a relatively compact strongly pseudoconvex domain.
Then there is a Stein variety Y and a proper surjective holomorphic map φ : G → Y
with connected fibers such that the degeneracy set
A = {x ∈ G | x is not an isolated point of φ −1 (φ (x))}
is the maximal compact analytic nowhere discrete subset of G. Moreover, the inclu-
sion
7.2 Exceptional varieties 65
Fig. 7.3 Contraction
OY ⊂ φ∗ (OX ). (7.1)
is an isomorphism (of analytic sheaves).
The map φ : G → Y is usually called the Remmert reduction. The set A has a finitely
many components and so φ (A) is a finite set. If not, then either φ (A) accumulates at
a point p ∈ Y or it has points outside any compact subset of Y . The first case cannot
occur as any poin p ∈ G with φ (q) = p has a Stein neighborhood and Stein varieties
do not have nowhere discrete compact analytic subvarieties. By Theorem 6.1 the
second case does not occur too.
For an open set U ⊂ Y if f is a holomorphic function in φ −1 (U) then f is constant
in connected components of A ∩ φ −1 (U). Since such components are compact we
conclude that f is constant restricted to each component, and so, we can define a
function g in U such that f is the pull-back of g. The last part of Theorem 7.6 says
that g is actually a holomorphic function.
Proof. The subsets φ −1 ◦ φ (x), x ∈ G, are connected, and so by the definition, A is

nowhere discrete. We prove that A is a closed analytic set. The set R = {(x1 , x2 ) ∈
X × X | φ (x1 ) = φ (x2 )} is an analytic set and the projection on the first coordinate
π : R → X is analytic. By [Gr83] Proposition 1 p.138 we know that
Ã = {x ∈ R | dim(π −1 π(x)) > 0}
is a closed analytic set. Since A = π(Ã) and π is proper, A is also an analytic closed
set. By Theorem 6.8, there exists a compact set K which contains all compact ana-
lytic nowhere discrete subsets of G. For any x ∈ A, φ −1 φ (x) is connected, and so by
definition, is compact nowhere discrete subset of A. This implies that φ −1 φ (x) ⊂ A
and hence A ⊂ K. Since A is a closed set in the compact set K, A is compact.
The Remmert reduction φ : G → Y is proper and A is compact so φ (A) is a

compact analytic subset of Y . But Y is Stein, and so, φ (A) is discrete set and A
is a union of compact connected analytic subsets A1 , A2 , . . . , Ar of G. In this case

Remmert reduction substitute each Ai with a point. This leads us to the definition of
exceptional sets.
Definition 7.1 Let X be an analytic variety and A be a compact connected subva-
riety of X. A is exceptional in X if there exists an analytic variety X 0 and a proper
surjective holomorphic map f : X → X 0 such that
• φ (A) = {p} is a single point;
• φ : X − A → X 0 − {p} is an analytic isomorphism;
• For small neighborhoods U 0 and U of p and A, respectively, OX 0 (U 0 ) → OX (U)
is an isomorphism.
We also say that A can be blown down to a point or is contractible or negatively
embedded.
Theorem 7.7 (Grauert,[Gr62] Satz 5 p. 340) Let A be a compact connected ana-
lytic subset of X. Then A is an exceptional variety if and only if it has a strongly
pseudoconvex neighborhood G in X such that A is the maximal compact analytic
subset of G.
Proof. Let us first suppose that A is exceptional. The analytic variety X 0 obtained
by definition can be embedded in a (Cn , 0) (definition of analytic sets). The neigh-
borhood of p in X 0 given by
U = {x ∈ X 0 | z1 (x)z1 (x) + · · · + zn (x)zn (x) < ε}, ε a small positive number
is a pseudoconvex domain. Now it is easy to see that G = φ −1 (U) is the desired

open neighborhood of A.
Now let us suppose that A has a strongly pseudoconvex neighborhood G in X
such that A is the maximal compact analytic subset of G. Let φ : G → X 0 be the
Remmert reduction of G. We can see easily that A is the degeneracy set of φ and
φ (A) is a single point p. Since the fibers φ −1 φ (x) are connected, φ is one to one map
between G − A and X 0 − {p}. Since φ∗ OX = OY , we can conclude that φ induces
local biholomorphims and so it is a biholomorphism between G − A and X 0 − {p}.
The third condition of an exceptional variety can be read directly from Remmert
reduction theorem.
7.3 Complementary notes
In the proof of Theorem 7.1 we have used: For an small open relatively compact set
U of a variety and a coherent sheaf S on X, H 0 (U, S ) has a canonical structure of
a Fréchet space. The construction of such a canonical structure is done [GrRe79]
Chapter VI, Section 3, [Ma68] Chapter 4 and [KK83] chapter 6.
The concept of being exceptional is contained in which neighborhood of A? Let
A0 be the image of another embedding A ,→ X 0 of A. The following theorem gives
us an answer.
7.4 Exercises 67
Theorem 7.8 If A is exceptional and there exists an isomorphism φ(2) : A(2) → A0(2)
of 2-neighborhoods then A0 is also exceptional.
This is Theorem 4.9 (see also Theorem 6.12) of [La71], Satz 8 p.353 of [Gr62] and
Lemma 11 of [HiRo64]. The maim core of the proof is a geometric construction due
to Grauert (see [La71] p. 70-71). In the case where A is an exceptional curve in a
smooth surface, M /M 2 is the nilpotent subsheaf of A(2) and so every isomorphism
of 2-neighborhoods induce an isomorphism of M /M 2 ’s. Therefore A and A0 have
the same intersection matrix.
7.4 Exercises
Exercise 7.1 Let us take a sequence pn in (C2 , 0) which converges to 0. We per-

form blow-ups at pn ’s and obtain a sequence of complex surfaces with holomorphic
maps:
· · · → Mn+1 → Mn → · · · → M1 → M0 := (C2 , 0)
Define M∞ = limn→∞ Mn . This is the union of all Mn ’s modulo the equivalence rela-
tion: x ∈ Mm , y ∈ Mn , m > n are equivalent if x is mapped to y under the canonical
map Mm → Mn . Show that M∞ does not enjoy the structure of a complex manifold
such that the projections M∞ → Mn are holomorphic.
7.1. Is there a holomorphic map φ : (X, 0) → (Y, 0) between germs of analytic vari-
eties such that it is an isomorphism of sets but is not a biholomorphism?
Chapter 8
Positive and negative line bundles
The notion of a positive line bundle is now classical in alegebraic geometry and it
is mainly used under the name ample line bundle. Students learn that a line bundle
bundle L is called ample if global holomorphic sections of a power of L give us an
embedding of the underlying variety in a projective variety. This is actually the Ko-
daira embedding theorem taken from complex geometry as a definition. Therefore,
the whole machinary used to prove this theorem is missed in a course in algebraic
geometry. Another notion which is also missed is the concept of a negative line
bundle which is simply the dual of a positive line bundle. The main reason might
be that this concept, originally introduced by Grauert in [Gr62], uses tools from
analysis like plurisubharmonic and convex functions. The main goal of this chapter
is to cover all these topics.
8.1 Line bundles
Let A be an analytic variety and OA∗ be the sheaf of invertible holomorphic func-
tions in A. Elements of the cohomology H 1 (A, OA∗ ) are called line bundles in A. It
corresponds to the geometric notion of a line bundle as follow.
Let us take the covering Ui , i ∈ I and assume that g ∈ H 1 (A, OA ) is given by
hi j ∈ OA∗ (Ui ∩U j ). We can glue the data
Ui × C, i ∈ I
according to the biholomorphisms
fi j : (Ui ∩U j ) × C → (Ui ∩U j ) × C
fi j ((x, v)) = (x, hi j v) (8.1)

and obtain an analytic variety L with a canonical projection π : L → A whose fibers
Lx := π −1 (x) are isomorphic to C. The fact that δ (g) = 0, ensures us that the gluing
69
70 8 Positive and negative line bundles
process is consistent. An equivalent way of saying the equality (8.1) is the following:
we take local holomorphic without zero sections of L, namely si : Ui → L, i ∈ I, and
we have
s j = hi j si , i, j ∈ I
A meromorphic (C∞ , holomorphic etc.) section of a line bundle L = {hi j } is a col-
lection { f˜i , i ∈ I} of meromorphic functions f˜i in Ui , such that
f˜j = h−1 ˜
i j f i , i, j ∈ I. (8.2)
In particular, fi and f j have the same zero and polar set in their common domain of
definition Ui ∩U j . See Figure 8.1. Note that
f˜i si = f˜j s j , in Ui ∩U j
and so we get a global section of L in a geometric sense.
Fig. 8.1 Line bundle
Exercise 8.1 For an analytic sheaf S and a line bundle L = {hi j } on A show that a
cocyle in H 1 (A, S ⊗OA L) is represented by {si j , si j ∈ S (Ui ∩U j )} such that
si j + s jk hi j + ski hik = 0, i, j, k ∈ I.
Hint: Take sections si ’s of L and then divide by si .

Let X be a complex manifold and D be a divisor in X. This is the formal sum
s
D := ∑ ni Di , ni ∈ Z
i=1
8.2 Chern classes in Cech cohomology 71
where Di is a codimension one subvariety of X. It might have singularities. By

definition, we can cover X by open sets Ui and find meromorphic functions fi in Ui
such that
s
div( fi ) = ∑ ni (Di ∩Ui ).
i=1
The line bundle associated to the divisor D is the following cocycle:

fi
L := {hi j }, hi j := .
fj
By definition L has a global meromorphic section s such that div(s) = D.

Here is another example of a line bundle. The tautological line bundle O(−1)
on the projective space Pn is defined in the following way: its fiber over a point
[z0 : z: · · · : zn ] is the line passing through 0 and (z0 , z, · · · , zn ) in Cn+1 . The dual of
O(−1) is denote by O(1).
Exercise 8.2 In the standard covering of Ui := {zi 6= 0}, i = 0, 1, · · · , n of Pn we
have:
zj
O(1) = {hi j }, where hi j : Ui ∩U j → C∗ , hi j (z) = . (8.3)
zi
Moreover, O(1) has a holomorphic section with a zero divisor of multiplicity one
along {z0 = 0} ⊂ Pn .
Exercise 8.3 What is wrong with the following definition? Let L = {hi j } be a line
bundle on a complex manifold A. For γ ∈ π1 (A, b) we define aγ ∈ C∗ in the following
way. We cover γ with open sets U0 ,U1 , . . . ,Um ,Um+1 = U0 such that in each Ui the
line bundle L has a section si without zeros and Ui ∩ Ui+1 6= 0. / Therefore, in this
intersection we have si+1 = hi,i+1 si . We define aγ := h01 h12 · · · hm0 . This number
does not depend on the choice of si , as if we choose s̃i := fi si , fi ∈ O∗A (Ui ) then
f
h̃i j = fij hi j and fi ’s cancel each other in the product of aγ .
For which line bundles is it possible to make the above argument into a concrete
construction of a morphism of groups π(A, b) → C∗ .
8.2 Chern classes in Cech cohomology
Consider the short exact sequence
0 → Z → OA → OA∗ → 0 (8.4)
over a complex manifold A. The map OA → OA∗ is given by the exponential map
f 7→ e2πi f .
We write the corresponding long exact sequence

c
· · · → H 1 (A, OA∗ ) → H 2 (A, Z) → · · · (8.5)
and call c the Chern class map. For a line bundle L ∈ H 1 (A, OA∗ ) on A, c(L) is called
the Chern class of L. Recall the general construction of the long exact sequence in
(3.10).
Definition 8.1 A good covering of a complex manifold X is a covering U :=
{Ui }i∈I such that all Ui and Ui ∩U j ’s are simply connected, and hence, for any holo-
morphic function with no zeros in these open sets we can find another holomorphic
function g such that g = ln( f ).
From now on we will consider a good covering U of X such L over Ui is trivial. It
follows that if L = (hi j , i, j ∈ I) then
ln hi j + ln h jk + ln hki
c(L) = {ci jk }i, j,k∈I , ci jk = ∈ Z.
2πi
8.3 Chern classes in de Rham cohomology
There is a nice description of Chern classes in de Rham cohomology which we have

described it below.
Proposition 8.1 The Chern class of a line bundle L over a complex manifold A
in the de Rham cohomology HdR 2 (A) is represented by a real (1, 1)-form ω. More
precisely, in a covering U := {Ui , i ∈ I} of A by open sets we can write the Chern

class of L in the complex de Rham cohomology in the form
ω = ∂¯ ∂ qi ,
where qi is a pure imaginary C∞ function in Ui ,
eπiq j = |hi j |eπiqi
and L is given by {hi j } ∈ H 1 (A, OA∗ ).

The converse of the above statement is known as Lefschetz (1, 1)-theorem: every
element of H 2 (A, Z) which is represented by a real (1, 1)-form in the de Rham
cohomology HdR 2 (A) is a Chern class of some line bundle over A.
Proof. In Cech cohomology the Chern class of L is obtained by δ { fi j } ∈ H 2 (A, Z),

1
where fi j := 2πi log hi j . To see this write the long exact sequence (8.5) associated to
the short exact sequence (8.4) and and recall the construction of the coboundary map
H 1 (A, OA∗ ) → H 2 (A, Z) in Section 3.10. Now let us look at the diagram 3.4 which
produces an isomorphism between Cech cohomology and de Rham cohomology.
We are using this diagram for the resolution C → ΩA•∞ , where ΩAk ∞ is the sheaf of
complex valued C∞ differential k-forms in A∞ .
8.3 Chern classes in de Rham cohomology 73
0 → ΩA2∞ → (ΩA2∞ )0 → (ΩA2∞ )1 → (ΩA2∞ )2

↑ ↑ ↑ ↑
0 → ΩA1∞ → (ΩA1∞ )0 → (ΩA1∞ )1 → (ΩA1∞ )2
↑ ↑ ↑ ↑
0 → ΩA0∞ → (ΩA0∞ )0 → (ΩA0∞ )1 → (ΩA0∞ )2 (8.6)
↑ ↑ ↑
C0 (U , C) → C1 (U , C) → C2 (U , C)
↑ ↑ ↑
0 0 0
where the right arrow maps are δ ’s and the up arrow maps are (−1) p · d : (ΩAq∞ ) p →
(ΩAq+1
∞ ) p ’s. The sequence of elements we need to produce are depited in
0 → ω → {dωi } → 0 →
↑ ↑ ↑ ↑
0 → → {ωi } → {−d fi j } → 0
↑ ↑ ↑ ↑
0→ → → { fi j } → δ { fi j } (8.7)
↑ ↑ ↑
→ → δ { fi j }
↑ ↑ ↑
0 0 0
Here the arrows means the an element is mapped to another element under the cor-
responding map in (8.6). We start constructing this diagram with
{ fi j } ∈ (ΩA0∞ )1 .
We have δ { fi j } ∈ C2 (U , C). The equality dδ { fi j } = 0 implies δ (d{ fi j }) = 0 and

so there is a collection {ωi } of 1-forms such that
δ {ωi } = {−d fi j } (8.8)
The collection {dωi } defines a global closed form ω which represents the Chern
class c(L) in the de Rham cohomology HdR 2 (A). If ω = ω 10 + ω 01 is the decompo-
i i i
sition of ωi into (1, 0) and (0, 1) forms then δ {ωi01 } = 0 and so {ωi01 } form a global
form and so it does not contribute to the cohomology class of ω. Replacing ωi with
ωi − ωi01 we can assume that ωi ’s are (1, 0)-forms. Now
ω = ∂ ωi + ∂¯ ωi
is the decomposition of ω into (2, 0) and (1, 1) forms. Now the main difficulty is to
say that ω plus some exact form on A is a real (1, 1)-forms. Note that ∂ ωi is global
form and we do not know whether it is d-closed, despite ω being d-closed. With the
argument developed so far, it does not seem that we can change ωi so that ω has the
nice properties we want.
From now no we put a Hermitian metric
h·, ·i : L × L → C.
on the line bundle L. The rest of the proof is inspired by a similar argument in
[GrHa78] pages 71, 139. Let si : Ui → L be local holomorphic sections of L. We
define
1
pi := hsi , si i 2 : Ui → R+
ln(p2i ) ln(pi )
qi := − √ =− √
2π −1 π −1
∂ ln(pi )
ωi := ∂ qi = − √
π −1
It is easy to check that
p j = |hi j |pi because s j = hi j si

∂ ln(hi j )
ω j − ωi = − √ = −d fi j becasue ∂¯ log hi j = 0.
2π −1
Now in the diagram (8.6) we choose these specific ωi ’s which give us ω with the
desired properties. t
u
The following version of Proposition 8.1 is sometimes useful.
Proposition 8.2 Let L = {hi j } ∈ H 1 (A, OA∗ ) be a line bundle and pi : Ui → R+ be a
collection of C∞ functions such that
p j = |hi j |p j (8.9)
Then ∂¯ ∂ − πi
ln pi
coincide in the intersections of Ui ’s and give us a global real closed
(1, 1) form ω in A such that
2
c(L) = [ω] ∈ HdR (A). (8.10)
Conversely, if we have (8.10) for some closed real (1, 1)-form ω then there are C∞
functions pi : Ui → R+ (8.9) and ω = ∂¯ ∂ − πi
ln pi
in Ui .
− log pi
Proof. The proof of ⇒ is as follows. We define qi = πi and {∂¯ ∂ qi } form a
global form ω because of (8.9) and
∂¯ ∂ log(|hi j |) = 0.
The rest of the proof follows from the construction of the Chern class in de Rham
cohomology in Proposition (8.1).
Now let us prove ⇐. Assume that c(L) = [ω] and ω is a real differential (1, 1)-
form. Take a good covering Ui , i ∈ I of A. We claim that in each chart Ui there is a
8.4 The case of a Riemann surfaces 75
C∞ pure imaginary function qi such that ω = ∂¯ ∂ qi . Since dω = 0 and ω is of type

(1, 1) we conclude that
∂ ω = ∂¯ ω = 0.
Therefore, in Ui we can write ω = ∂¯ ωi , where ωi is a differential (1, 0)-form in Ui .
We have ∂¯ (∂ ωi ) = 0 and so ∂ ωi is holomorphic 2-form. Since ∂ (∂ ωi ) = 0 we can
write ∂ ωi = ∂ αi , where αi is a holomorphic 1-form. We substitute ωi with ωi − αi .
It is still (1, 0)-form and we have ∂ ωi = 0. Therefore, there is a C∞ -function qi on
Ui such that
ωi = ∂ qi .
We substitute this in ω = ∂¯ ωi and conclude that ω = ∂¯ ∂ qi . Since ω is real we have
∂¯ ∂ Re(qi ) = 0 and so we can replace qi with its imaginary part and we can assume
that qi is pure imaginary. The function
pi = e−πiqi
satisfy the property (8.10). The reasoning is as follows. Knowing ∂ ∂¯ (q j − qi ) = 0

and q j − qi is pure imaginary, we conclude that
q j − qi = −Im( fi j ), (8.11)
where fi j is a holomorphic function in Ui ∩U j , see Exercise 8.4. We have Im(δ { fi j }) =

0 and δ { fi j } consists of holomorphic functions therefore it must consist of real con-
tant functions, that is,
δ { fi j } ∈ C2 (U , R).
The isomorphism between the de Rham cohomology and Cech cohomology given
in 8.6 tells us that this is the Chern class c(L) of L in Cech cohomology. We know
that c(L) = {ci jk } ∈ H 2 (A, Z), therefore
δ { fi j } − ci jk = δ {pi j }, pi j ∈ R.
We substitute fi j by fi j − pi j and we have L = {e2πi fi j }. Now, (8.10) folows from

(8.11).
Exercise 8.4 If for some C∞ -function f in (Cn , 0) we have ∂ ∂¯ f = 0 then f can

be written in the form f = ā + b, where a and b are two holomorphic functions in
(Cn , 0). Moreover, if f is pure imaginary then a = −b.
8.4 The case of a Riemann surfaces
Now let us consider the case in which A is a compact Riemann surface. Using The-
orem 3.7, part 3, we have an isomorphism H 2 (A, Z) ∼
= Z given by the orientation of
A. In de Rham cohomology this is the integration
Z
2
HdR (A) ∼
= C, ω 7→ ω. (8.12)
A
In this case we usually compose the Chern class map c with (8.12) and denote again
by c the map Z
H 1 (A, OA∗ ) → Z, L 7→ c(L).
A
being clear in the context whether c(L) is a number or a cohomology class.
Proposition 8.3 Let A be a Riemann surface and L be a line bundle over A. Take a
global meromorphic section s of L which is not the zero section. We have
c(L) = ∑ mulltiplicity(s, x)
x∈pol(s)∪zero(s)
Proof. As we have seen in Section 8.1 the data of a global meromorphic section
of L is given by (8.2). Taking the logarithmic derivarive of this equality. Recall our
notation of the Chern class in de Rham cohomology in Section 8.3. We have
f˜j0 f˜i0 h0i j

dz − dz = − dz = −d fi j = ω j − ωi .
fj fi hi j
Therefore,
f˜i0
ηi := ωi − dz
fi
coincide in the intersections Ui ∩U j and give us a C∞ 1-form η defined in A mines
the pol(s) ∪ zero(s) = {z1 , z2 , . . . , za }. Moreover, it satisfies
2
dη = ω, where c(L) := [ω] ∈ HdR (A).
Let γr , r = 1, 2, . . . , a be small circles oriented anticlockwise around zi . The set

A\ ∪ar=1 γi consists of discs around zi ’s and an open set U. We have
Z Z a Z
c(L) := ω= ω+∑ ω
A Ū r=1 D̄i
Z a Z
= dη + ∑ dωi
Ū r=1 D̄i
a
f˜i0
Z
= ∑ dz
r=1 γi fi
a
= ∑ mulltiplicity(s, zi )
i=1
In th third equality we have used Stokes theorem. Note that U and Di induce oposite
orientation for γi . t
u
8.5 Positive line bundle in the sense of Kodaira 77
The reader who is not familiar with the isomorphism H 2 (A, Z) ∼ = Z may take Propo-
sition 8.3 as the definition of Chern class in the case of Riemann surfaces. Note that
for two meromorphic section s1 and s2 , the quotient ss21 is a meromorphic function on
A and its corresponding sum of multilicities is zero. Therefore, this new definition
does not depend on the meromorphic section s.
Exercise 8.5 For a Riemann surface A and its canonical bundle Ω 1 and tangent
bundle T show that
c(Ω 1 ) = 2g − 2, c(T ) = 2 − 2g
Proposition 8.4 For a line bundle L on a Riemann surface A we have
1. We have c(L) ≥ 0 if and only if L has a global holomorphic section. In particular,
if c(L) < 0 then L does not have any global holomorphic section.
2. If L has a global holomorphic section s with at least one zero then c(L) > 0.
3. If L has a section with no zero then L is the trivial line bundle.
Proof. This follows from Proposition 8.3. Note that in the isomorphisim is given by
A × C → L, (x,t) 7→ ts(x).
t
u
Using the short exact sequence (8.4) we know that if c(L) = 0 then
L = {e2πi fi j }, { fi j } ∈ H 1 (A, OA ).
8.5 Positive line bundle in the sense of Kodaira
There is another definition in algebraic geometry for a positive line bundle as fol-
lows:
Definition 8.2 The line bundle L → A over a complex manifold is called positive
(in the sense of Kodaira) if its Chern class in the de Rham cohomology HdR 2 (A) is
represented by a positive real (1, 1) form. Note that the Chern class c(L) in the de
Rham cohomology HdR 2 (A) is already represented by a real (1, 1)-form ω.
For more information about this definition of positive line bundles the reader is
referred to [GrHa78].
Theorem 8.1 A line bundle L over A is positive in the sense of Kodaira if and only
if there exist a covering {Ui , i ∈ I} of A by open sets and a collection of C∞ functions
pi : Ui → R+ , i ∈ I such that
1. − log pi is strongly plurisubharmonic for any i ∈ I;
2. p j = |hi j |pi , where L is given by {hi j } ∈ H 1 (A, OA∗ ) in a covering.
Proof. This follows from Proposition 8.2 and Proposition 5.1.

Fig. 8.2 A negative vector bundle
8.6 Positive and negative bundles in the sense of Grauert
Recall the definition of an exceptional variety from S7.2. The definition of a negative
vector bundle is given below.
Definition 8.3 The vector bundle V → A over a complex manifold A is called neg-
ative (in the sense of Grauert) if its zero section is an exceptional variety in V .
Naturally V → A is called positive if its dual is negative, see Figure 8.2.
8.7 The equivalence of Grauert and Kodaira positivity
Theorem 8.2 The line bundle π : L → A is positive in the sense of Kodaira if and
only if it is positive in the sense of Grauert.
Proof. Let L = {hi j } be positive in the sense of Kodaira. We have the pi ’s given by
Theorem 8.1. Let si : Ui → L−1 be local non-zero sections and so s j = h−1 i j si . The
holomorphic function
p
zi : L−1 |Ui → C, zi (p) :=
si
is called a coordinate system along the fibers of L−1 in Ui . Under the biholomor-
phism Ui × C → L−1 |Ui , (x, v) 7→ vsi (x) it is the projection on the second coordi-
nate. We have
z j = hi j z j
8.8 Complementary notes 79
and so p|zi ◦π
i|
: L−1 |Ui → R+ ∪ {0} glue to each other in L−1 |Ui ∩L−1 |U j ’s and give us
a holomorphic function in L−1 . By Proposition 6.14, the square ψ of this function is
strongly convex and so we have a strongly pseudoconvex neighborhood of the zero
section which is give by {x ∈ L−1 | ψ(x) < ε} for any ε > 0.
Now suppose that the zero section of L−1 has a strongly pseudoconvex neighbor-
hood. By Theorem 7.7 one can find a C∞ function ψ defined in a neighborhood U
of the zero section in L−1 such that
1. ψ is strongly plurisubharmonic in U − A;
2. ψ ≥ 0 and ψ −1 (0) = A.
Take V an open neighborhood of the zero section which is invariant under mul-
tiplication by eiθ , 0 ≤ θ < 2π. For instance, V can be the interior of ∩0≤θ <2π eiθ U.
Define Z 2π
ψ 0 (z) = ψ(eiθ z)dθ , z ∈ V
0
Since Z 2π
Lz (ψ 0 )(v) = Lzeiθ (ψ)(ṽ)dθ ,
0
ψ 0 is also a strongly plurisubharmonic function. Here, ṽ is obtained from v by mul-
tiplying its last coordinate with eiθ . Let si and zi be as in the beginning of the proof.
Fix an small ε we have
Vε := {z ∈ L|Ui | ψ 0 (z) < ε} = {z ∈ L|Ui | |zi | < pi (π(z))}
where π : L → A is the bundle map and pi : Ui → R+ are C2 -functions such that

pi (π(z)) is the radius of Vε ∩ Lx . The function pi depends on ε, however, since ε is
fixed we do not write it in the expression of pi . The derivative of |zi | − pi (π(z)) at
any point of the boundary of Vε is not zero and this function together with ψ 0 − ε
0
have the same zero set which is the boundary of Vε . This implies that 2 ψ −ε 2
|zi | −pi (π(z))
has no zeros in a neighbourhood of any point of ∂Vε and so by Proposition 6.3
|zi |2 − pi (π(z))2 is strongly convex at any point of ∂Vε . Note that, the property of Vε
being strongly convex is a property of its boundary and not the function defining it.
By proposition 6.14 this is equivalent to say that − log pi (x)2 is strongly plurisub-
harmonic in Ui . The functions pi (x) are the desired functions. t u
The various definitions of positive line bundles coincide. However, for vector bun-
dles whose fibers have dimension greater than one these definitions are not equiva-
lent ( see [Gri69], [Gri65] and [Um73]).
A linear space L over a variety A is a natural generalization of a vector bundle
over a manifold, for this see the survey [GPR94] chapter 1 section 3 and also [Gr62]
Definition 5 p. 351. L has a zero section biholomorphic to A and we say that a linear
space is negative if its zero section is exceptional. In Theorem 9.2 we have strongly
used the fact that the normal bundle of a an embedded variety has a structure of a
linear space.
Chapter 9
Vanishing theorems
In this chapter we state and prove the Kodaira and Grauert vanishing theorems. For
the proofs we essentially follow Grauert’s article [Gr62]. Recall that a vector bundle
is positive in the sense of Grauert if the zero section of its dual can be blow-down to
a point, see Definition 8.3.
Theorem 9.1 (Kodaira vanishing theorem) Let A be a compact complex manifold
with a positive vector bundle V . Let also S be a coherent sheaf on A. There exists
a positive integer ν0 such that
H µ (A, S ⊗OA V ν ) = 0, µ ≥ 1, ν ≥ ν0
The case of V = L a line bundle with the definition of positivity in Definition 8.2
is due to Kodaira. In this case note that Lν is a rank 1 analytic sheaf. The case of
arbitrary vector bundle with the definition of positivity in Definition 8.3 is due to
Grauert.
9.1 Notations
We gather all necessary notations in order to work with neighborhoods of analytic

varieties. Let A be a subvariety of an analytic variety X. For simplicity, we may
assume that X is smooth.
• OX is the structural sheaf of X, that is, the sheaf of holomorphic functions on X.
• M := MA is the subsheaf of OX consisting of elements that vanish at A.
• The quotient
Qν := M ν /M ν+1 |A
is is a OA -module sheaf.
• For an analytic sheaf S on X we define the quotient
S (ν) := res(S ) ⊗OA Qν
81
82 9 Vanishing theorems
where
res(S ) := (S /M S ) |A
is the structural restriction of S to A.
• For any vector bundle V → X over a complex manifold, V −1 denotes its dual and
V the sheaf of holomorphic sections of V . For simplicity we also use V to denote
V ; being clear from the context which we mean, either a vector bundle or the
sheaf of its sections.
• T := T X, the sheaf of holomorphic vector fields in X (sections of the tangent
bundle T X).
• TA , the subsheaf of T consisting of vector fields tangent to A.
• For A smooth we define N := T X|A /TA the normal bundle of A in X. For singular
A we can define N without using TA:
T
N := .
TA
• For an analytic sheaf S on A we denote by the same letter S , the sheaf in X
obtained by extending S with zeros, that is, the new sheaf have the same stalk
at the points of A and has zeros stalks at other points in X.
The reader is referred to [GuII90] I,J for the notion of tangent space of a singular
variety. Specially it is proved there that the bundle of tangent spaces of a variety has
a canonical structure of an analytic variety.
Exercise 9.1 Verify the details of the following statements:
1. There are natural isomorphisms of analytic sheaves in A
Q(1) ∼
= N −1 ,
2.
Qν ∼
= Q(1) ⊗ Q(1) ⊗ · · · ⊗ Q(1) (ν times), Qν ∼
ν
= (N −1 )
3. There is a natural homomorphism S M ν → S (ν) for which we have the short
exact sequence
0 → S M ν+1 → S M ν → S (ν) → 0
9.2 Homogeneous functions along fibers
Let N be a vector bundle over a smooth complex variety A. We consider N as a

complex manifold and A is embedded inside N by the zero section.
Definition 9.1 A holomorphic function defined in an open set in N is called homo-

geneous of degree ν along the fibers of N if in a trivialization chart (x, z) ∈ U × Cn
it is a homogeneous polynomial of degree ν in the variable z.
9.3 Kodaira vanishing theorem 83
Since the transition functions are linear in z, this definition does not depend on the
chart we choose.
Definition 9.2 Let Hν be the sheaf of homogeneous functions of degree ν along
the fibers of N. The sheaf Hν has a natural structure of a π ∗ OA -module, where
π : N → A is the bundle map. The sheaf π ∗ OA is the sheaf of holomorphic functions
in N which are constant along the fibers of N.
Exercise 9.2 We have a natural isomorphism
Hν |A →Q
˜ ν
obtained by the inclusion.
Definition 9.3 Let S be an analytic sheaf defined in A. The preimage (or pull-back)
of S by the bundle map π : N → A, namely π ∗ S , is a π ∗ OA -module:
π ∗ S (U) := S (π(U)).
Note that the bundle map π : N → A sends open sets to open sets. We define
S˜ := π ∗ S ⊗π ∗ OA OX (9.1)
It follows by definition that

Exercise 9.3 The sheaf S˜ is a coherent if and only if S is coherent.
For simplicity we use S instead of S˜; being clear from the context which we mean.
One can define the homogeneous subsheaf of degree ν of S as
Sν := π ∗ S ⊗π ∗ OA Hν
Exercise 9.4 We have

Sν |A ∼
= S (ν)
as OA -modules.
9.3 Kodaira vanishing theorem
Theorem 9.2 (Grauert, [Gr62], Hilfssatz 1, p. 344) Let S be a coherent analytic

sheaf on a neighborhood of an exceptional variety A in X. Furthermore we assume
that N is negative, i.e. the zero section of N is an exceptional variety in N. There
exists a positive integer ν0 such that
H µ (A, S (ν)) = 0, µ ≥ 1, ν ≥ ν0
Proof. Let Sˆ := S /M S be the structural restriction of of S in A and then its

extention to N as an analytic sheaf in N, as in (9.1). We have S (ν) ∼ = Sˆ(ν) and so
it is enough to prove the theorem for the zero section A of N and S bering a coherent
sheaf of the form (9.1). Theorem 7.1 is the key of the proof of this theorem. We have
the maps
a : S → S1 ⊕ S2 ⊕ · · · ⊕ Sν
b : S1 ⊕ S2 ⊕ · · · ⊕ Sν → S
where a is the canonical map and b is the inclusion, with a ◦ b equal to the identity.
Taking the µ-th cohomology from the above data we conclude that b∗ : H µ (A, S1 )⊕
H µ (A, S2 ) ⊕ · · · ⊕ H µ (A, Sν ) → H µ (U, S ) is an injection, because a∗ ◦ b∗ is the
identity. Since by Theorem 7.1 H µ (U, S ) is finite dimensional, we get the desired
number in the theorem.
Proof (Proof of Theorem 9.1). When N := V −1 is a negative line bundle over a mani-
fold A, Theorem 9.2 is exactly Kodaira’s vanishing theorem. We have M ν /M ν+1 '
V ν and S (ν) ' S ⊗OA V ν .
9.4 The case of a Riemann surface
In the case where A is a Riemann surface, S is the sheaf of section of a vector bundle
V and L is a line bundle, the Kodaira vanishing theorem follows from from Serre
duality in Section 15.4. In this case we can explicitly state the minimum number ν0
with the property of Theorem 9.2. The precise computations are as follow.
Using the same notation as in Theorem 9.1, Serre duality implies that
H 1 (A,V ⊗ Lν ) ∼
= H 0 (A, Ω 1 ⊗V −1 ⊗ L−ν )∗ (9.2)
We assume that the vector bundle V is a sum of line bundles V = ⊕ni=1 Li . This is
always the case for vector bundles over the line P1 , see Section 13.2. From Propo-
sition 8.3 it follows thar the left hand side of (9.2) is zero if the Chern class of all
Ω 1 ⊗ Li−1 ⊗ L−ν is negative. That is
−c(Li ) + 2g − 2 − ν · c(L), i = 1, 2, . . . , n.
Since L is positive we have c(L) > 0 and so

−c(Li ) + 2g − 2
max , i = 1, 2, . . . , n < ν.
c(L)
Exercise 9.5 A line bundle L on a Riemann surface A is positive if and only if it

has a holomorphic section with zeros. Note that if a line bundle has a holomrphic
section without zeros then it is trivial.
9.5 Grauert vanishing theorem 85
9.5 Grauert vanishing theorem
We have so far discussed Kodaira vanishing theorem for a variety A. The aim of this
section is to introduce vanishing theorems in a strongly convex neighborhood of
A. Theorem 9.4 is the main theorem in this chapter. We will follow Grauert’s article
[Gr62], but our proof for Theorem 9.4 works for a general exceptional variety while
Grauert’s argument works for codimension one exceptional varieties in manifolds.
Let A be an exceptional subvariety of a variety X. By Theorem 7.7 one can find a
C∞ function ψ defined in a neighborhood of A in X such that ψ is strongly plurisub-
harmonic outside A, ψ ≥ 0 and ψ −1 (0) = A. Therefore we have a fundamental
system
Uε := {ψ(x) < ε}, 0 < ε << 1
of relatively compact strongly pseudoconvex neighborhoods around A. Fix a Uε . Let
S be an analytic sheaf on Uε and f be a holomorphic function on Uε . Since A is
compact connected, f restricted to A is constant. We denote this constant by f (A).
Take a Stein covering U of Uε . We have H µ (U , S ) = H µ (Uε , S ), where µ > 0.
The usual multiplication of f by cocycles in Z µ (Uε , S ) yields a well-defined map
from H µ (Uε , S ) to itself.
Lemma 9.1 Let f be a holomorphic function in Uε and S be a coherent sheaf
defined on a neighborhood of A in X. There exist a natural number n1 and a positive
number ε1 such that
( f − f (A))n H µ (Uε , S ) = 0, ∀n ≥ n1 , n ∈ N, 0 < ε ≤ ε1 , µ ≥ 1
Proof. Without loosing the generality suppose that f (A) = 0, i.e. f vanishes on
A. Let φ : (X, A) → (Y, p) be the Remmert reduction mapping (see Appendix 14).
By Grauert direct image theorem Rµ φ∗ S is a coherent sheaf. Since φ |X−A is a
biholomorphism, Cartan’s theorem B implies that the support of Rµ φ∗ S lies in
p ∈ Y and so the stalk (Rµ φ∗ S ) p is a finite dimensional C-vector space. Now by
the property 1 listed in Remmert reduction theorem there is a holomorphic function
g in (Y, p) such that f = g ◦ φ . Multiplication by g with the stalk (Rµ φ∗ S ) p has not
eigenvalue different from zero. Therefore it is unipotent and so there is n such that
gn Rµ φ∗ S is the zero sheaf.
Theorem 9.3 There exist a natural number ν0 and a positive number ε 0 such that
for all ν ≥ ν0 , ν ∈ N and 0 < ε < ε 0 the map induced by inclusion
H µ (Uε , S M ν ) → H µ (Uε , S )
is the zero map.

Our proof for this theorem is similar to Grauert’s proof. Grauert after proving this
theorem for pure codimension one A in a manifold X ([Gr62] Satz 1 p. 355) tells us
that for an arbitrary exceptional variety A in X this theorem follows from Hauptsatz
II of [Gr60]. This theorem is also proved for pure codimension one A in a manifold
X in [La71] Theorem 5.4.
Proof. One can blow down A to a point and obtain a singularity (Y, p). Let z1 , z2 , . . . , zn
be the coordinate functions of (Y, p) and f1 , f2 , . . . , fn be the pullback of zi ’s by the
blow down map. According to Lemma 9.1 there is a natural number ni and a positive
number εi such that fim H µ (Uε , S ) = 0, m ≥ ni , 0 < ε < εi . Let m be the maximum of
ni ’s, ε 0 be the minimum of εi ’s. From now on we write U = Uε for a fixed 0 < ε < ε 0 .
Let M˜ be the subideal of OU generated by fim ’s. The zero locus of fim ’s is A and
so by Hilbert Nullstellensatz theorem (see [GuII90]) there exists a natural number
ν1 such that
M ν1 ⊂ M˜
The proof of the theorem is by inverse induction on µ. If U is a finite Stein covering
of U with r open sets, then by Cech cohomology H r (U, S M ν ) = 0 for all natural
numbers ν and for all sheaves S . Therefore our theorem is trivial for µ = r. Now
suppose that it is true for µ + 1. We want to prove that it is true for µ also.
Let
π : OUn → M˜
n
π(a1 , a2 , . . . , an ) = ∑ ai fim
i=1
and R := Kerπ. We write the short exact sequence
0 → R → OUn → M˜ → 0
and we make a tensor product of this short exact sequence with S (resp. S M ν2 ,
where ν2 is an unknown natural number) over OU and then we write the associated
long exact sequence. Since S n = S ⊗ OUn and H µ (U, S n ) → H µ (U, S M˜) is the
zero map, we get the commutative diagram
0 → H µ (U, S M˜) → H µ+1 (U, S ⊗ R) →

↑ ↑ (9.3)
· · · → H µ (U, S M˜M ν2 ) → H µ+1 (U, S ⊗ R ⊗ M ν2 ) →
By induction for a big ν2 the second up arrow map is zero and so by the above
diagram the first is zero also. The map H µ (U, S M ν ) → H µ (U, S ), ν ≥ ν1 + ν2
splits into
H µ (U, S M ν ) → H µ (U, S M˜M ν2 ) → H µ (U, S M˜) → H µ (U, S )
and so it is the zero map.
9.6 Main vanishing theorem
Let us be given a subvariety of a variety X. We say that A is strongly exceptional in

X if A is exceptional and the normal bundle of A in X is negative.
9.7 Restriction of line bundles 87
Theorem 9.4 (Grauert [Gr62],Satz 2, p. 357) Let us be given a strongly excep-

tional subvariety A of a variety X. There exists a positive integer ν0 such that
H µ (U, S M ν ) = 0, µ ≥ 1, ν ≥ ν0
where U is a small strongly pseudoconvex neighborhood of A in X.

Proof. Let ν0 be the number such that H µ (A, S (ν)) = 0, ν ≥ ν0 , µ ≥ 1. Consider
the short exact sequence
0 → S M ν+1 → S M ν → S (ν) → 0
For ν ≥ ν0 the map H µ (U, S M ν+1 ) → H µ (U, S M ν ) is surjective and so for

any k ≥ ν the map H µ (U, S M k ) → H µ (U, S M ν ) is surjective. According to
Theorem 9.3 for a large k this map is zero and so H µ (U, S M ν ) = 0, ν ≥ ν0 .
Note that ν0 in the above theorem is the same number ν0 in H µ (A, S (ν)) =
0, ν ≥ ν0 , µ ≥ 1.
9.7 Restriction of line bundles
From now on we use the letter U for a strongly pseudoconvex neighbourhood of A

in X such that the theorem 9.4 is valid. From now on we can substitute X by U. In
this section we prove the following proposition:
Proposition 9.1 Let A be a complex manifold of dimension n negatively embedded
in a manifold X of dimension n + 1. Moreover, suppose that
H 1 (A, N −ν ) = 0, ν = 1, 2, 3, . . .
where N is the normal bundle of the embedding and N −1 is the dual bundle. The
restriction map
r : H 1 (U, OU∗ ) → H 1 (A, OA∗ )
is injective.
If A is a Riemann surface, i.e. n = 1, one uses the Serre duality
H 1 (A, N −ν ) = H 0 (A, Ω 1 ⊗ N ν )∗ = 0
and the negativity condition and H 1 (A, N ∗ ) = 0 translates into
A · A < 0 & A · A < 2 − 2g
Note that the negativity condition does not imply H 1 (U, N −ν ) = 0.

Proof. The sheaf of holomorphic sections of N −ν is isomorphic to M ν /M ν+1 and
so we have
H 1 (A, M ν /M ν+1 ) = 0, ∀ν ∈ N
The variety A is negatively embeded and so by Theorem 9.4 applied to S = OX we
have
H 1 (U, M ) = 0
where U is a strongly pseudoconvex neighborhood of A in X. The diagram
0
↓
M
↓
0 → Z → OU → OU∗ → 0 (9.4)
↓ ↓ ↓
0 → Z → OA → OA∗ → 0
↓
0
gives us
H 1 (U, M ) = 0
↓
H 1 (U, Z) → H 1 (U, OU ) → H 1 (U, OU∗ ) → H 2 (U, Z) (9.5)
↓ ↓ ↓ ↓
H 1 (A, Z) → H 1 (A, OA ) → H 1 (A, OA∗ ) → H 2 (A, Z)
By considering a smaller neighborhood U, if necessary, we can assume that A and

U have the same topology and so the first and fourth column functions are isomor-
phisms. In the argument which we are going to consider now we do not mention the
name of mappings, being clear from the above diagram which mapping we mean.
Let us consider x1 ∈ H 1 (U, OU∗ ) which is mapped to the trivial bundle in H 1 (A, OA∗ ).
Since the fourth column is an isomorphism, x1 maps to zero in H 2 (U, Z). This
means that there is a x2 ∈ H 1 (U, OU ) which maps to x1 . Let x3 be the image of
x2 in H 1 (A, OA ). Since the above diagram is commutative, x3 maps to the trivial
bundle in H 1 (A, OA∗ ). Therefore there exists a x4 in H 1 (A, Z) which maps to x3 .
Since the first column is an isomorphism and the second is injective, we conclude
that x4 ∈ H 1 (U, Z) ∼
= H 1 (A, Z) maps to x2 and so x2 maps to x1 = 0 in H 1 (U, OU∗ ).
If U has a transverse foliation by curves then we have a holomorphic map σ :

U → A which is constant along the leaves of the foliation. The pull-back of line
bundles on A by the map σ shows that r is surjective.
Proposition 9.2 Let A be a complex manifold of dimension n negatively embedded
in a manifold X of dimension n + 1. Assume that
H 2 (A, N −ν ) = 0, ν = 1, 2, 3, . . . (9.6)
Then the restriction map

9.8 A negative divisor of curves 89
r : H 1 (U, OU∗ ) → H 1 (A, OA∗ )
surjective.
The condition (9.6) is automatically satisfied for the case in which A is a Riemann
surface. The proof follows again from the long exact sequnce of the diagram (9.4)
and H 2 (U, M ) = 0. An alternative proof is:
Proof. We write the long exact sequence of
1 → J → OU∗ → OA∗ → 1
where J is the sheaf of holomorphic functions in U with value 1 at all points of A.

We have
r
· → H 1 (U, OU∗ ) → H 1 (A, OA∗ ) → H 2 (U, J) → · · ·
The exponential map (M , +) → (J, ·) is an isomorphism and Theorem 9.4 and (9.6)
imply that
H 2 (U, M ) = 0
Therefore, H 2 (U, J) = 0 and so r is surjective.
9.8 A negative divisor of curves
When A is a union of curves in a two dimensional manifold we have a numerical

criterion for contractablity of A.
Theorem 9.5 Let A be a compact connected one dimensional subvariety of a two
dimension manifold X. Suppose that A contains only normal crossing singularities.
Then A is exceptional in X if and only if the intersection matrix S = [Ai .A j ] of A
in X is negative definite, where A = ∪Ai is the decomposition of A into irreducible
components.
This theorem is due to Grauert in [Gra62], page 367, see also Theorem 4.9 of
[La71].
Proof.
Chapter 10
Embedding theorems
In this chapter we remind the classical notion of a blow-up of a point in the n + 1-

dimension space. We also describe the notion of blow-up along a variety. This will
be needed for the study of embeddings of codimension stricktly bigger than one.
10.1 Blow-up
The classical definition of blow up at 0 ∈ Cn+1 goes as follows: the projective space
Pn is the set of one dimensional sub vector spaces of Cn+1 and it has the following
line bundle
O(−1) = {(x, y) ∈ Pn × Cn+1 | y ∈ x}
which is called the tautological line bundle. It is a negative line bundle, because the
projection on the second coordinate π : O(−1) → Cn+1 exhibits the zero section of
O(−1) as an exceptional variety. It is usual to write Cn+1 ˜ := O(−1) and say that
π :C ˜
n+1 →C n+1 is the blow-up map of C n+1 at 0. If no confusion is possible we
˜ is covered by affine charts Ui := {xi 6=
identify π −1 (0) with Pn . The manifold Cn+1
0}
∼
Ui → Cn+1
([x0 : x1 : · · · : xn ], (y0 , y1 , . . . , yn )) 7→
x0 xi−1 xi−1 xn
(t0 , . . . ,ti−1 , yi ,ti+1 , . . . ,tn ) := ( , . . . , yi , ,..., )
xi xi xi xi
10.2 Blow-up of a singularity
Let (X, 0) ⊂ (Cn+1 , 0) be a germ of an analytic variety and I ⊂ OCn+1 ,0 be the ideal
of holomorphic functions vanishing on X. We assume that Zero(I ) = (X, 0) but we
91
92 10 Embedding theorems
do not assume that I is radical. Therefore, (X, 0) with the structural sheaf OX,0 /I
can be considered as an analytic scheme which might have nilpotents.
Definition 10.1 For an element f ∈ I , let f ∗ be the leading term of f and I ∗ be
the ideal in the polynomial ring C[x] generated by { f ∗ , f ∈ I }.
Definition 10.2 The variety
Zero(I ∗ ) := x ∈ Cn+1 | f (x) = 0, ∀ f ∈ I

is called the tangent cone of X at 0.

It is a homogeneous variety, i.e. for all x ∈ Zero(I ∗ ) and λ ∈ C∗ we have λ · x ⊂
Zero(I ∗ ). Therefore we can projectivize the tangent cone and obtain the projec-
tivized tangent cone TC0 X ⊂ Pn . Note that if X is given by f1 = 0, f2 = 0, . . . , fk = 0
then not necessarily f1∗ = 0, f2∗ = 0, . . . , fk∗ = 0 defines the tangent cone of X at 0.
We may need more leading terms of elements in I . Let π : Cn+1 ˜ → Cn+1 be the
blow-up map.
Proposition 10.1 The closure X̃ of π −1 (X − {0}) in Cn+1 ˜ is an analytic variety
n
and X̃ ∩ P = ∼ TC0 X. In particular, TC0 X is of pure codimension one in X̃, i.e. each
irreducible component of TC0 X is of codimension one in X̃
Proof. In an affine chart (y0 ,t1 ,t2 , . . . ,tn ) the set X̃ is given by the zero set of poly-
nomials
fm (1,t1 , . . . ,tn ) + y0 fm+1 (1,t1 , . . . ,tm ) + · · · ,
for all f = fm + fm+1 + · · · ∈ I . This shows that X̃ is an analytic variety. The in-
tersection of X̃ with Pn in this coordinate system is fm (1,t1 ,t2 , . . . ,tm ) = 0, f ∈ I
which is TC0 X in the coordinate system (t1 ,t2 , . . . ,tn ) of Pn .
The dimension m of each irreducible component of X̃ ∩ Pn satisfies
dimX̃ ≥ m ≥ dim(X̃) + dimPn − (n + 1) = dimX̃ − 1
see for instance [Ke] Theorem 3.6.1. Since X̃ has no irreducible component in Pn ,
we conclude that m = dimX̃ − 1.
10.3 An embedding theorem
By definition the blow up variety X̃ is embedded in Pn × Cn+1 and so we have the

projection on the second coordinate π : X̃ → Cn+1 which is called the blow-up map
at 0 ∈ X, and the projection on the first coordinate π1 : X̃ → Pn . Put A = TC0 X and
U a small neighborhood of A in X̃. We have
1. π induces a biholomorphism between U − A and π(U) − {0};
2. π1 |A is an embedding of A in Pn .
10.3 An embedding theorem 93
Theorem 10.1 Suppose the that all irreducible components of an exceptional va-
riety A in a manifold X are of codimension one and the normal bundle of A in X
is negative. There is a positive integer ν1 and a neighborhood U of A in X such
that for all k ≥ ν1 if s0 , s1 , . . . , sn ∈ H 0 (U, M k ) form a basis for the vector space
H 0 (U, M k )/H 0 (U, M k+2 ) then
Fk : U → Pn × Cn+1
Fk (x) = ([s0 (x) : s1 (x) : · · · : sn (x)], (s0 (x), s1 (x), . . . , sn (x)))

is a well-defined map and is an embedding of U with the properties 1,2 listed above.
Of course the number n depends on k.
Proof. We prove that there exists ν1 ∈ N such that for k ≥ ν1 the statements 1,2
and 3 listed below are true. We take U a strongly pseudoconvex neighborhood of
A in X. In the following when we say that for big enough k ∈ N a property holds,
this means that there is ν1 such that for k ≥ ν1 such a property holds. Without
losing the generality we can assume that s0 , s1 , . . . , sm , 0 ≤ m ≤ n form a basis for
H 0 (U, M k )/H 0 (U, M k+1 ).
1. Fk is well-defined. Let Zero(si ), 0 ≤ i ≤ m be the zero divisor of si . One can
write
Zero(si ) = Di + k · A,
where Di is a divisor in U and it does not contain A. It is enough to prove that
∩m
i=0 |Di | = 0
/ (10.1)
sj
This is because if for a point x ∈ U there is some Di such that x 6∈ Di and so si , j=
1, 2, . . . , m, j 6= i is a holomorphic function near x. This means that

s0 (x) s1 (x) sn (x)
[s0 (x) : s1 (x) : . . . : sn (x)] = : : ... :
si (x) si (x) si (x)
is well-defined in a neighborhood of x. Recall that for a coherent sheaf S on X and
a subvariety Y ⊂ X, the structural restriction of S to Y is ResY (S ) := S /S MY ,
where MY is the zero ideal of Y . We will use this for Y consisting of a single or
two points. If Y := {x} is a single point then resx (S ) is a finite dimensional vector
space, and for S a non-zero sheaf, it is not a {0}, see Proposition 2.11.
Now, let us prove (10.1). By Grauert’s theorem, see Theorem 9.4, for any point
x ∈ U and big k ∈ N we have
H 1 (U, Mx M k ) = 0
and so
0 → H 0 (U, Mx M k ) → H 0 (U, M k ) → Resx (M k ) → 0 (10.2)
Now (10.2) is true for all points in a neighborhood of x, see Proposition 2.11. Since
Ū is compact, we can cover U by a finite number of such open sets. Therefore, for
big enough k, (10.2) is true for all x ∈ U. If x ∈ ∩ni=0 |Di | then
H 0 (U, M k ) ⊂ H 0 (U, Mx M k ).
By the above sequence we conclude that Resx (M k ) is {0} which is a contradiction.

2. Fk is one to one. Let x, y ∈ U. We take k big enough such that
H 1 (U, Mx,y M k ) = 0,
where by x, y we mean the set {x, y}. We have
H 0 (U, M k ) → Resx,y (M k ) → 0 (10.3)
The above sequence is true in a neighborhood of (x, y) in Ū × Ū. Since Ū is compact,

we can cover Ū × Ū by a finite number of such open sets. Therefore, for k big
enough, (10.3) is true for all x, y ∈ U. Now for two points x, y ∈ U we have
Resx,y (M k ) = Resx (M k ) ⊕ Resy (M k ).
This together with (10.3) implies that we have f ∈ H 0 (U, M k ) such that f induces
0 in Resx (M k ) and a non-zero element of Resy (M k ). This gives us Fk (x) 6= Fk (y).
3. Fk is a locally an embedding. In the above argument we can take Mx,x = Mx2
and so we have
H 0 (U, M k ) → H 0 (U, M k /M k Mx2 ) → 0, ∀x ∈ U

α
Since H 0 (U, M k+2 ) ⊂ kerα we have
β
H 0 (U, M k )/H 0 (U, M k+2 ) → H 0 (U, M k /M k Mx2 ) → 0, ∀x ∈ U. (10.4)
Fix a point x ∈ A. Since Fk is well-defined we can assume that the first coordinate in
(x)
[s0 (x) : s1 (x) : · · · : sn (x)] is not zero. In other words, ss0i (x) evaluated at x is not zero
for some i = 1, 2, . . . , n. The support of M k /M k Mx2 is the point x and at this point
OX,x
(M k /M k Mx2 )x ∼
= s0 .
Mx2
The image of si by β is s0 . ss0i and so by (10.4) the pullback of the coordinates func-
tions xx0i of Pn by Fk span OX,x /Mx2 . This implies that the map TF∗ (x) Pn × Cn+1 →
k
Tx∗U is surjective and so by Proposition 2.7 Fk is an embedding in a neighborhood
of x.
Theorem 10.2 (Kodaira embedding theorem) Let A be a compact complex man-
ifold with a positive line bundle L. There is ν0 ∈ N such that for ν ≥ ν0 and
s0 , s1 , . . . , sn global holomorphic sections of Lν we have the embedding
A ,→ Pn , x 7→ [s0 (x) : s1 (x) : · · · : sn (x)]

10.4 Blow up along a submanifold 95
and hence A is a projective algebraic variety.
Proof. This is a direct consequence of Theorem 10.1 and Theorem 8.2. We have a
short exact sequence
H 0 (U, M k+1 ) H 0 (U, M k ) H 0 (U, M k )

0→ → 0 → 0 →0
H (U, M )
0 k+2 H (U, M ) k+2 H (U, M k+1 )
We can take a basis s0 , s1 , . . . , sn of the second vector space such that s0 , s1 , . . . , sm

form a basis of the first vector space and sm+1 , · · · , sn are mapped to a basis of the
third vector space. Now the map Fk in Theorem 10.1 restricted to A has its image in
{x ∈ Pn | x0 = x1 = · · · = xm = 0}
and the embedding of A is given by sm+1 , sm+1 , · · · , sn which gives a basis of
H 0 (U, M k ) ∼ 0 Mk
= H (A, k+1 ) ∼
= H 0 (A, Lk ).
H (U, M )
0 k+1 M
t
u
10.4 Blow up along a submanifold
Let N be a vector bundle of rank m + 1 over A and let Ã := P(N) be the projec-
tivization of the fibers of N. We have a canonical projection map π : Ã → A with
fibers isomorphic to Pm . The space Ã carries a distinguished line bundle Ñ which is
defined by:
Ñx = the line representing x in the vector space Nπ(x) , x ∈ Ã
In some books the notation OÃ (−1) is used to denote the sheaf of sections of Ñ
because the line bundle Ñ is the tautological bundle restricted to the fibers of π. It
has the following properties:
π∗ (O(Ñ −ν )) ∼
= O(N −ν ), ν = 0, 1, 2, . . .
π∗ (O(Ñ ν )) = 0, ν = 1, 2, . . .
H q (Ã, π ∗ (S ) ⊗ O(Ñ −ν )) ∼
= H q (A, S ⊗ O(N −ν )), ν = 1, 2, . . .
for every locally free sheaf S on A (see [GPR94], p. 178). Here O of a bundle
means the sheaf of its sections. When there is no ambiguity between a bundle and
the sheaf of its sections we do not write O. We will also use the following: if for a
sheaf of abelian groups S on Ã we have Ri π∗ (S ) = 0 for all i = 1, 2, . . ., then
H i (Ã, S ) ∼
= H i (A, π∗ S ), i = 0, 1, 2, . . . .
We will apply this for the sheaf of sections of T Pm ⊗ Ñ −ν , ν = 1, 2, . . ., where T Pm

is the subbundle of T Ã corresponding to vectors tangent to the fibers of π.
By definition Ñ is a subbundle of π ∗ N and we have the short exact sequence:
0 → Ñ → π ∗ N → T Pm → 0. (10.5)
We take O of the above sequence, make a tensor product with O(Ñ −ν ), ν = 1, 2, . . .

and apply π∗ : we get
0 → N −ν+1 → N ⊗ N −ν → π∗ (T Pm ⊗ Ñ −ν ) → 0 (10.6)
(for simplicity we have not written O(· · · )). Note that R1 π∗ O(Ñ −ν+1 ) = 0, ν =
1, 2, . . .. Note also that if N is not a line bundle then N ⊗ N −1 may not be the trivial
bundle.
The vector bundle T Pm appears also in the short exact sequence:
0 → O(T Pm ) → O(T Ã) → π ∗ O(TA) → 0, (10.7)
where O(T Ã) → π ∗ O(TA) is the map obtained by derivation of Ã → A and then
considering the pull-back of O(TA).
Let A be a compact submanifold of X with
n = dim(A), m + 1 = dim(X) − n.
and let N = T X |A /TA be the normal bundle of A in X. We make the blow up of X

along A:
π : X̃ → X, Ã := π −1 (A) = P(N).
The normal bundle of Ã in X̃ is in fact:
Ñ = NX̃/Ã ∼
= OÃ (−1).
Combining all these with Proposition 9.1, we get the same proposition without the
codimension restriction:
Proposition 10.2 Let A be a strongly exceptional complex submanifold of X. More-
over, suppose that
H 1 (A, N −ν ) = 0, ν = 1, 2, 3, . . .
where N is the normal bundle of the embedding and N −1 is the dual bundle. The
restriction map
r : H 1 (X, OX∗ ) → H 1 (A, OA∗ )
is injective.
Chapter 11
Deformation of hypersurfaces
For a given smooth hypersurface M of degree d in Pn+1 is there any deformation

of M which is not embedded in Pn+1 ? We need the answer of this question because
it would be essential to us to know that the fibers of a tame polynomial f form the
most effective family of affine hypersurfaces. The answer to our question is given
by Kodaira-Spencer Theorem which we are going to explain it in this section. For
the proof and more information on deformation of complex manifolds the reader is
referred to [Kod86], Chapter 5.
11.1 Kodaira-Spencer
Let M be a complex manifold and Mt ,t ∈ B := (Cs , 0), M0 = M be a deformation

of M0 which is topologically trivial over B. We say that the parameter space B is
effective if the Kodaira-Spencer map
ρ0 : T0 B → H 1 (M,Θ )
is injective, where Θ is the sheaf of vector fields on M. It is called complete if any

other family which contain M is obtained from Mt ,t ∈ B in a canonical way (see
[Kod86], p. 228).
Theorem 11.1 If ρ0 is surjective at 0 then Mt ,t ∈ B is complete.
Let m = dimC H 1 (M,Θ ). If one finds an effective deformation of M with m = dim B
then ρ0 is surjective and so by the above theorem it is complete.
Let us now M be a smooth hypersurface of degree d in the projective space Pn+1 .
Let T be the projectivization of the coefficient space of smooth hypersurfaces in
Pn+1 . In the definition of M one has already dim T = n+1+d

d − 1 parameters, from
which only
n+1+d
m := − (n + 2)2
d
97
98 11 Deformation of hypersurfaces
are not obtained by linear transformations of Pn+1 .

Theorem 11.2 Assume that n ≥ 2, d ≥ 3 and (n, d) 6= (2, 4). There exists a m-
dimensional smooth subvariety of T through the parameter of M such that the
Kodaira-Spencer map is injective and so the corresponding deformation is com-
plete.
For the proof see [Kod86] p. 234. Let us now discuss the exceptional cases. For
(n, d) = (2, 4) we have 19 effective parameter but dim H 1 (M,Θ ) = 20. The differ-
ence comes from a non algebraic deformation of M (see [Kod86] p. 247). In this
case M is a K3 surface. For n = 1, we are talking about the deformation theory of a
Riemann surface. According to Riemann’s well-known formula, the complex struc-
ture of a Riemann surface of genus g ≥ 2 depends on 3g − 3 parameters which is
again dim H 1 (M,Θ ) ([Kod86] p. 226).
Chapter 12
Foliated neighborhoods
Let A be a complex compact manifold embedded in another manifold X. In what

follows we use both X and (X, A) to denote the germ of X around A.
12.1 Holomorphic foliations
A (holomorphic) foliation by curves in a complex manifold X is given by a col-

lection of holomorphic vector fields Vα defined on Uα , α ∈ I, where {Uα }α∈I is an
open covering of X, and such that
Vα = gαβ Vβ , α, β ∈ I, gαβ ∈ OX∗ (Uα ∩Uβ ) (12.1)
where OX∗ is the sheaf of holomorphic without zero functions in X. We further as-
sume that the set of points in which Vα is zero has codimension greater than one.
In other words Vα has not a zero divisor. Therefore, for any foliation F there is
associated a line bundle L given by the transition functions
L := T F = {gαβ }α,β ∈I ∈ H 1 (X, OX∗ )
The data (12.1) can be considered as a holomorphic section V ∈ H 0 (X,Θ ⊗ L) with-

out zero divisor, where Θ is the sheaf of holomorphic vector fields. If instead of Θ
we use the sheaf of holomorphic differential 1-forms then we obtain the definition
of holomorphic codimension one foliations in X.
Let A be a complex compact manifold embedded in another manifold X. We
assume that the codimension of A in X is one.
Definition 12.1 A foliation by curves in (X, A) is called a transverse foliation,if it
is without singularity and each of its leaves is transverse to A.
Let us introduce some examples in the case A = P1 and X a two dimensional
complex manifold.
99
100 12 Foliated neighborhoods
y y y
x/y x/y
x y/x x y/x
x n/ yn−1
Fig. 12.1 A projective line with self intersection −n
Example 12.1 By successive blow-ups at the origin of C2 , we can get a A ∼

= P1
embedded in a two dimensional manifold and with A.A = −n. A neighborhood of A
is covered by coordinate systems
X Xn Y
(u, y) = ( ,Y ), (x,t) = ( n−1 , ),
Y Y X
where X and Y are the pullback of a coordinates system at the origin of C2 . The
change of coordinates is given by
1
(x,t) → ( , xt n ) = (u, y)
t
In this example we have a germ of transverse holomorphic foliation F given by the
1-form
ω = XdY −Y dX = (xt n−1 )2 dt = −y2 du
It is easy to check that
zer(ω) = 2.A + 2(n − 1)L
zer(Y ) = 1.A + n.L
zer(X) = 1.A + (n − 1)L + L0
where zer() means the zero divisor and L (resp. L0 ) is the leaf of F given by t = 0
(resp. u = 0 ) in the coordinates (x,t) (resp. (u, y)). It is the pullback of X-axis (resp.
Y -axis).
12.2 Construction of functions
In this section we give an application of Proposition 9.1. Let us assume that (X, A)
has a transverse foliation namely F . The normal bundle N of A in X has a mero-
morphic global section namely s. Let
div(s) = ∑ ni Di , ni ∈ Z
We define the divisor D in X as follows:

12.2 Construction of functions 101
D = A − ∑ ni D̃i (12.2)
where D̃i is the saturation of Di by F . The line bundle LD associated to D restricted

to A is the trivial line bundle, and so by Proposition 9.1, LD is trivial or equivalently
Proposition 12.1 There exists a meromorphic function g on (X, A) with
div(g) = D
where D is given by (12.2).

Now we give another application of Proposition 9.1.
Proposition 12.2 Consider the situation of Proposition 9.1. Let F be a foliation by
curves transversal to A in X. Then there exists a holomorphic vector field V defined
a neighborhood of A in X with the following properties:
1. V is tangent to F ;
2. The zero divisor of V is A.
Proof. Let Uα , α ∈ I be an open covering of A in U such that in each Uα there is

X
defined a vector field Xα without zero locus and tangent to F . Then gαβ := Xαβ ∈
O ∗ (Uα ∩Uβ ) is a cocycle and hence
L := {gαβ } ∈ H 1 (U, O ∗ )
Since the Xα ’s are tangent to F , we can think of L as the tangent line bundle to
F and consequently as the normal bundle of A in X when we restrict it to A. Now
let us consider A as a divisor with coefficient +1 in X and let fα be a holomorphic
function on Uα vanishing on A of order one (If it is necessary we can take a finer
covering of A). The line bundle associated to A is given by
fα
L0 := {g0αβ }, g0αβ =
fβ
L0 restricted to A is again the normal bundle N. Therefore LL0−1 restricted to A is the

trivial bundle and so by lemma 9.1 LL0−1 is the trivial bundle or equivalently there
are holomorphic functions sα ∈ O ∗ (Uα ) such that
sα 0 Xβ sα fα
gαβ = g ⇒ =
sβ αβ Xα sβ f β
Now the desired global vector field Uα is defined by V |Uα := sα fα Xα .:

12.3 Equivalence of transverse foliations
The objective of this section is to prove the following theorem:
Theorem 12.1 Let A be a complex compact manifold embedded negatively as a

codimension one subvariety in X. Further, assume that
H 1 (A, N −ν ) = 0, ∀ν ∈ N (12.3)
Any transverse holomorphic foliation in (X, A) is biholomorphic to the the canonical

transverse foliation of (N, A) by the fibers of N. In particular, the germs of any two
holomorphic transverse foliations in (X, A) are equivalent.
Let A be a Riemann surface of genus g embedded in a manifold X of dimension two.
The negativity condition and (12.3) translate into
A · A < 0, A · A < 2 − 2g.
Proof (Proof of Theorem 12.1). Let F be the germ of a transverse foliation in (X, A)
and N the normal bundle of A in X. Let also F 0 be the canonical transverse foliation
of (N, A). Let g (resp. g0 ) be the meromorphic function constructed in Proposition
12.1 for the pair (X, A) resp. (N, A). We claim that at each point a ∈ A there exists a
unique biholomorphism
ψa : (X, A, a) → (N, A, a)
with the following properties:
1. ψ induces the identity map on A;
2. ψ sends F to F 0 ;
3. The pullback of g0 by ψ is g.
The uniqueness property implies that these local biholomorphisms are retriction of
a global biholomorphism ψ : (X, A) → (N, A) which send F to F 0 .
Now we prove our claim. Fix a coordinates system x = (x1 , x2 , · · · , xn ) in a neigh-
borhood of a in A. We extend x to a coordinates system (x, xn+1 ) of a neighborhood
of a in X such that A (resp. F ) in this coordinates system is given by xn+1 = 0 (resp.
dxi = 0, i = 1, 2, . . . , n). In this coordinates system
g(x, xn+1 ) = Q(x)xn+1 f (x, xn+1 ),
where Q(x) is a meoromorphic function in a neighborhood of a in A and it does not

depend on the choice of an embedding of A and f is holomorphic function in (X, a)
without zeros. By changing the coordinates in xn+1 we can assume that f = 1. It is
easy to check that the coordinate system (x, xn+1 ) is unique and it gives us the local
biholomorphism ψa .
12.4 Construction of line fields 103
12.4 Construction of line fields
In this section we work with a vector bundle E of rank n+1 over a complex manifold
A of dimension n. We further assume that there is a fiber bundle injection TA ,→ E.
We call
N := E/TA
the normal bundle of A.The typical example of this situation is when A is embedded
as a codimension one subvariety in some other manifold X and E := T X|A .
We start this section by a definition.
Definition 12.2 Let L be a line bundle over A. The tangency divisor D of a bundle
morphism L → E is the divisor of the composition L → E → N.
Note that composition map L → N can be considered as a global section of L−1 ⊗ N
and so L is uniquely determined by the divisor D:
−1
L = LD ⊗N (12.4)
We call the image of L → E a line field.

Theorem 12.2 Let D = ∑i ni Di , ni > 0 be any divisor in A with positive coefficients
and let L be defined as in (12.4). Assume
H 1 (A, N −1 ⊗ LD ⊗ TA) = 0. (12.5)
Then there exists a holomorphic bundle morphism Y : L → E|A such that the tan-
gency divisor of Y is D.
If A is a Riemann surface we use Serre duality and we conclude that if
−1
c(N ⊗ LD ⊗ Ω 1 ⊗ Ω 1 ) < 0 equivalently A · A < 4 − 4g + ∑ ni
then (12.5) is satisfied.

Proof. Let L be an arbitrary line bundle on A. First, we construct Y locally, i.e. we
find Yi : L|Ui → E|Ui with the desired property for an open covering Ui , i ∈ I of A.
Let Ỹi be the composition L|Ui → T X|Ui → N|Ui . Then Ỹi = ai jỸ j , where {ai j } ∈
H 1 (A, OA∗ ) is a line bundle. Now, Ỹi ’s are sections of L−1 ⊗ N with the zero divisor
D and so
−1
{ai j } = LD ⊗ L−1 ⊗ N
By definition if L is a line bundle with local no where zero sections yi and yi = ai j y j
then L = {ai j } and for a divisor D in A the line bundle LD has a global s section with
the divisor D. If fi ’s defines D locally then we define yi := fsi which has no zeros or
f
poles in A and so LD := { fij }.
Since we have the identity (12.4), ai j is the trivial bundle we can assume that
Ỹi = Ỹ j . Now
{Yi j } := {Yi −Y j } ∈ H 1 (A, Hom(L, TA)).
Since Hom(L, TA) ∼ = L−1 ⊗TA ∼

= N −1 ⊗LD ⊗TA, our assertion follows by vanishing
hypothesis (12.5).
We are interested in the image of Y which can be considered as a line field.
Proposition 12.3 Let D = ∑i ni Di , ni > 0 be any divisor in A with positive coeffi-
cients and let L be defined as in (12.4). Assume that N −1 ⊗ LD ⊗ TA is a negative
vector bundle (i.e. its zero section can be blow down to a point) or equivalently for
dim(A) = 1 assume that
A · A > 2 − 2g + ∑ ni
For any two bundle morphism Y1 ,Y2 : L → E with the tangency divisor D, there is
a constant c ∈ C∗ such that Y1 = cY2 and so there is at most one line field with the
tangency divisor D.
Proof. The induced maps Ỹi : L → N, i = 1, 2 gives us holomorphic sections of LD =
L−1 ⊗ N with the same zero divisor and so Ỹ1 = cỸ2 for some c ∈ C∗ . Now, Y1 − cY2
is a holomorphic bundle morphism from L → TA. We get a global holomorphic
non-zero section of L−1 ⊗ TA ∼ = N −1 ⊗ LD ⊗ TA which has contradiction with the
negativity hypothesis (such a section after the blow down of the zero section would
give us a compact variety in a neighborhood of a point).
12.5 Construction of holomorphic foliations
Let F be a non singular foliation by curves in (X, A). We have the canonical map
α : L → E, where L := T F |A
and the tangency divisor D of F with A. We call α the line field associated to F .
In Section 12.4 we constructed L → T X|A with a prescirbed tangency divisor and it
is natural to ask whether it comes from a holomorphic foliation as above.
Theorem 12.3 Assume that A is a strongly exeptional codimension one submani-
fold of X and
H 1 (A, N −ν−1 ⊗ T X |A ⊗LD ) = 0 (12.6)
Further if the divisor D is not zero assume that
H 2 (A, N −ν ) = 0, ν = 1, 2, 3, . . .
Any line field L → T X|A is a line field associated to a non singular foliation F
defined in a neighborhood of A.
The hypothesis (12.6) follows from:
H 1 (A, N −v−1 ⊗ TA ⊗ LD ) = 0, H 1 (A, N −v ⊗ LD ) = 0, ∀ν ∈ N (12.7)
If A is a Riemann surface then by Serre duality (12.7) is satisfied when

12.7 Arbitrary codimension 105
A · A < 4 − 4g + ∑ ni ,
Proof. We take local sections of L which trivialize L and have no zero point. The
images of these sections under the line field L → T X|A can be extended to vector
fields Xi , i ∈ U defined in a covering Ui , i ∈ I of (X, A). Therefore,
fi j Xi |A = X j |A , L = { fi j }
Proposition 9.2 tells us that the restriction map H 1 (X, O ∗ ) → H 1 (A, O ∗ ) is surjec-
tive. However, if D is the zero divisor then L = N and the normal bundle N of A in X
extends to a line bundle Ñ in (X, A) as follows: We take local holomorphic functions
fi in (X, A) such that A = { fi = 0}. Now fi = f˜i j f j and Ñ = { f˜i j } is a line bundle in
(X, A) which restricted to A is the normal bundle.
Now, we can take the line bundle L̃ = { f˜i j } ∈ H 1 (A, O ∗ ) such that L̃|A = L. We
define
{Θi j } = {X j − f˜i j Xi } ∈ H 1 (X, MA ⊗Θ ⊗ L−1 )
where Θ is the sheaf of vector fields in (X, A), see Exercise 8.1. By our hypothesis
and theorem 9.4 the cohomology group in the right hand side is zero.
12.6 Grauert’s theorem
As an immediate corrolary of Theorem 12.1, Theorem 12.2 and Theorem 12.3 for
the trivial divisor D = 0 is the following:
Theorem 12.4 (Grauert’s theorem) Let A be negatively embedded codimension
one subvariety of X and
H 1 (A, N −ν ) = H 2 (A, N −ν ) = 0, H 1 (A, TA ⊗ N −ν−1 ) = 0, ν = 1, 2, 3, . . .
Then the germ of embedding of A in X is biholomorphic to the germ of embedding

of A in N.
12.7 Arbitrary codimension
In order to study the arbitrary codimension case we need the following cohomolog-
ical conditions:
(I) Vanishing of cohomologies for arbitrary codimension of A on X:
H 1 (A, N −ν ) = 0, H 1 (A, TA ⊗ N −ν ) = 0, ν = 1, 2, . . .
(II) If the codimension of A in X is greater than one, then:
H 2 (A, OA ) = 0,
H 1 (A, N ⊗ N −ν ) = 0, ν = 1, 2, . . . .
The following theorem gives cohomological conditions for the existence of radial
foliations:
Theorem 12.5 Let (X, A) be a germ of strongly exceptional manifold satisfying the
cohomological conditions (I) and (II). Then there exists a germ of radial foliation in
(X, A)
The embedding theorem of Grauert [Gr62] states that under the cohomological con-
dition (I) on a codimension one embedding there is a neighborhood of A ⊂ X which
is biholomorphically equivalent to a neighborhood of the zero section in the normal
bundle N to A in X. Combining Theorem ??, Theorem 12.1 and the Blow-up along
a submanufold we obtain the following generalization to any codimension of the
embedding theorem of Grauert in [Gra62].
Theorem 12.6 Let (X, A) be a germ of strongly exceptional manifold satisfying the
cohomological conditions (I) and (II). Then, the germ of embedding of A in X is
biholomorphic to the germ of embedding of A in N.
The methods used in this paper give the following generalization of this theorem:
Theorem 12.7 Let F2 be a transverse regular foliation of dimension m + 1 in a

germ of strongly exceptional manifold (X, A). Assume that (I) and (II) hold. Then
there is a biholomorphic map (X, A) → (N, A), where N is the normal bundle of A
in X, which conjugates F2 with the foliation in (N, A) given by the fibers of N.
12.8 Proof of Theorem 12.5, codimension greater than one
We perform blow-up along A. Recall the notation introduced in Section 10.4. We

would like to construct a transverse holomorphic foliation in (X̃, Ã). This is already
done in the previous section. We need the cohomological conditions:
H 1 (Ã, Ñ −ν ⊗ T Ã) = 0, H 1 (Ã, Ñ −ν ) = 0, ν = 1, 2, . . . (12.8)
Now, we would like to translate all these in terms of the data of the embedding
A ⊂ X. First, note that
H 1 (Ã, Ñ −ν ) ∼
= H 1 (A, N −ν ).
We make the tensor product of the sequence (10.7) with Ñ ν and write the long exact
cohomology sequence. We conclude that if
H 1 (Ã, T Pm ⊗ Ñ −ν ) = 0, H 1 (A, TA ⊗ N −ν ) = 0, ν = 1, 2, . . . .
then
H 1 (Ã, T Ã ⊗ Ñ −ν ) = 0, ν = 1, 2, . . .
12.10 Rational curves 107
Since R1 π∗ (T Pm ⊗ Ñ −ν ) = 0, ν = 1, 2, . . ., we have
H 1 (Ã, T Pm ⊗ Ñ −ν ) = H 1 (A, π∗ (T Pm ⊗ Ñ −ν )).
We write the long exact sequence of (10.6) and conclude that if
H 1 (A, N ⊗ N −ν ) = 0, H 2 (A, N −ν+1 ) = 0, ν = 1, 2, . . .
then
H 1 (Ã, T Pm ⊗ Ñ −ν ) = 0, ν = 1, 2, . . .
Finally we conclude that if
H 1 (A, N ⊗ N −ν ) = 0, H 2 (A, N −ν+1 ) = 0, H 1 (A, TA ⊗ N −ν ) = 0, ν = 1, 2, . . . .
then
H 1 (Ã, T Ã ⊗ Ñ −ν ) = 0, ν = 1, 2, . . . .
12.9 Proof of Theorem 12.7
Using Theorem ??, it is enough to construct a second foliation F1 such that

(F1 , F2 ) is a germ of radial bifoliation. In codimension one, we have F1 = F2
and so we can assume that m > 0. After performing a blow-up along A our prob-
lem is reduced to the following one: Let Ã be a codimension one submanifold of
X̃ and let F˜2 be a (m + 1)-dimensional regular foliation in X transverse to A. The
transversality implies that F˜2 ∩ Ã is a regular foliation of dimension m in Ã. In fact
it is the foliation by the blow up divisors Pm . Its tangent bundle is denoted by T Pm
in Section 10.4. We would like to construct a transverse to Ã foliation F˜1 of di-
mension one such that its leaves are contained in the leaves of F˜2 . The proof is
a slight modification of Proposition 12.2 and Proposition 12.3. In both proposition
T X|A is replaced with T F˜2 |Ã and TA is replaced with T Pm . In Proposition 12.2, the
cohomological condition is
H 1 (Ã, Ñ −1 ⊗ T Pm ) = 0.
which follows from the condition (II).
12.10 Rational curves
Let us restrict to the case in which A is a Riemann surface and N is direct sum of
m + 1 line bundles N = L1 ⊕ L2 ⊕ · · · ⊕ Lm+1 . In this case the Serre duality implies
that the cohomological condition (I) is equivalent to say that Ω 1 ⊗ N ν and Ω 1 ⊗
Ω 1 ⊗ N ν have no global sections, where Ω 1 is the cotangent bundle of A. We have
i
N ν = ⊕i1 +i2 +···+im+1 =ν, i j ≥0 L1i1 ⊗ L2i2 ⊗ · · · ⊗ Lm+1
m+1
and so (I) together with the strongly exceptional property follows from
c(Li ) < 0, c(Li ) < 4 − 4g, i = 1, 2, . . . , m + 1.
In a similar way the condition (II) is equivalent to say that A ∼

= P1 and:
|c(Li ) − c(L j )| ≤ 1, i, j = 1, 2, . . . , m + 1.
In this case the decomposition of the normal bundle is automatic and it is called
Birkhoff theorem. From this we obtain as a corollary the following result of Laufer
[La81]:
Corollary 12.1 If P1 ⊂ X is strongly exceptional and c(Li ) < 0, |c(Li ) − c(L j )| ≤
1, i, j = 1, 2, . . . m + 1, where Li ’s are line bundles which appear in the decomposi-
tion of the normal bundle of A in X, then the germ (X, P1 ) is biholomorphic to the
germ (N, P1 ).
In the case in which the codimension of A in X is greater than one the condition (II)
seems to be necessary for our theorem. It imposes conditions on the submanifold
A itself apart from negativity conditions on the normal bundle N. It would be of
interest to show that, for instance, the Grauert theorem does not hold for Riemann
surfaces of genus greater than zero and codimension greater than one.
The study of Riemman surfaces embedded in two dimensional varieties with self-
intersection equal to 0 is not discussed in this text. Arnold’s example [Ar76] seems
to be the first example of such an object in the literature. We have also Ueda’s article
[Ue82] and lecture notes of Neeman [Ne89].
For formal pronciple and Artin’s theorem see [Art68] and Chapter 4 of [CM03].
It provides us with an alternative proof of Grauert’s main theorem in this text.
Chapter 13
Few theorems
13.1 Serre duality
Using Serre duality we can compute some Cech cohomologies easily. Let M be a
complex manifold, T M be its tangent bundle and T ∗ M be its cotangent bundle. The
sections of Ω1 = ΩM1 := T ∗ M are called differential forms. The sheaf of differential
p-forms is the sheaf of sections of the vector bundle
Ω p = |Ω 1 ∧ Ω 1{z
∧ · · · ∧ Ω }1
p times
Theorem 13.1 (Serre Duality) Let M be a complex manifold of complex dimen-

sion n and V a holomorphic vector bundle over M. Then there exists a natural
C-isomorphism
H q (M, Ω p ⊗V ) ∼
= (H n−q (M, Ω n−p ⊗V ∗ ))∗
For a proof of this theorem the reader is referred to [Ra65]. It is useful to consider
the following special cases:
1. V is the trivial line bundle
H q (M, Ω p ) ∼
= (H n−q (M, Ω n−p ))∗
The numbers
hq,p := dimC H q (M, Ω p )
are called Hodge numbers and so
hq,p = hn−q,n−p .
2. q = n and p = 0.
H n (M,V ) ∼
= (H 0 (M, Ω n ⊗V ∗ ))∗
109
110 13 Few theorems
Note line bundle Ω n is called the canonical bundle of M. In particular, if rankV =

dim M and the zero section of W := Ω n ⊗V ∗ has a negative self intersection then
W does not have a global holomorphic section and so
H n (M, (Ω n )∗ ⊗W ∗ ) = 0.
13.2 Birkhoff-Grothendieck theorem
In the previous section we have seen that if a vector bundle over a Riemann surface
A is decomposed into a sum of line bundles then many cohomological conditions
on V can be computed explicitly. If A is arational curve then this decomposition is
automatic and it follows from:
Theorem 13.2 (Birkhoff-Grothendieck) Every holomorphic bundle V of rank k over
the projective space P1 of dimension one is a direct sum of k line bundles:
V∼
= L1 ⊕ L2 ⊕ · · · ⊕ Lk .
Note that by GAGA principle every holomorphic vector bundle over a projective
variety is the complex vector bundle of an algebraic bundle.
Chapter 14
Remmert reduction
Given a topological space T . We denote by CT the sheaf of continuous complex

valued functions on T . Let us be given a variety X and an equivalence relation R
on X. Let φ : X → X/R be the canonical map. We can define the sheaf OX/R of
C-algebras on X/R as follows: The data
U → { f ∈ CX/R (U) | f ◦ φ ∈ OX (φ −1 (U))}, U an open subset of X/R
form the sheaf OX/R . In this section we want to answer the following question:
When (X/R, OX/R ) is an analytic variety? By definition of OX/R if (X/R, OX/R ) is
an analytic variety then φ : X → X/R is a holomorphic mapping. Cartan’s article
[Ca60] is the main source for this section.
14.1 Proper mapping and direct image theorems
Theorem 14.1 (Remmert proper mapping theorem [Re57]) If f is a proper holo-

morphic mapping of a variety X into a variety Y then the image f (X) is a subvariety
of Y .
Definition 14.1 The direct image f∗ S is defined as follows: f∗ S is the sheaf as-
sociated to the presheaf U → OX ( f −1 (U)), for open sets U in Y . One can define
higher order direct images Rµ f∗ S , µ ≥ 0 as the sheaf associated to the presheaf
U → H µ ( f −1 (U), S )
Theorem 14.2 (Grauert direct image theorem [Gr60]) Let f be a proper holomor-
phic mapping of a variety X into a variety Y . If S is a coherent sheaf on X then
Rµ f∗ S , µ ≥ 0 is a coherent analytic sheaf on Y .
The reader is referred to [GrRe84] for the proof of the above classical theorems and
their applications.
111
112 14 Remmert reduction
Exercise 14.1 Why in the above theorems we need f to be a proper? Construt

counter examples.
14.2 Equivalence relations in varieties
Let X,Y be two varieties and f : X → Y be a holomorphic map. We can define the
equivalence relation R f in X as follows:
∀x, y ∈ X, xR f y if and only if f (x) = f (y)
Theorem 14.3 If f : X → Y is a proper holomorphic map then (X/R f , OX/R f ) is an

analytic variety.
Proof. By Remmert proper mapping theorem we can assume that f is a surjective

map and then we can identify Y with X/R f pointwise. By this identification we de-
note OX/R f by S . The structural sheaf OY of Y is a subsheaf of S . For a moment
suppose that S is a coherent (OY -module) sheaf. A part of the definition of a co-
herent sheaf is the following: For every point y0 ∈ Y there is an open neighborhood
U of y0 in Y and sections s1 , s2 , . . . , sk of S (U) such that s1y , s2y , . . . , sky generate
Sy as a OY,y -module for all y ∈ U. Now by definition fi := si ◦ f ’s are holomorphic
functions on V := f −1 (U). Define the map
g : V → U × Ck , g(x) = ( f (x), f1 (x), f2 (x), . . . , fk (x))
g is a proper holomorphic mapping and so we can apply Remmert proper mapping

theorem and obtain a subvariety Z := g(V ) of U × Ck . Now the map f : V → U
decomposes into
g h
V →Z →U
where h is the projection on the first coordinate and so it is a holomorphic map.
Since the fi ’s are constant along the fibers of f , h is a one to one map. Therefore we
can identify Z with U through h. By this identification, one can easily see that S on
Z is nothing but the structural sheaf OZ of Z. We have proved that (U, OX/R f |U ) is
isomorphic to the variety Z.
Now it remains to prove that S is a coherent sheaf on Y . Let T be the analytic
variety in X × X given by the inverse image of the diagonal of Y × Y by the map
f × f : X × X → Y × Y and πi : T → X, i = 1, 2 be the projections on the first and
second coordinates. We have a diagram
π
T →i X
g& ↓ f (14.1)
Y
14.3 Cartan’s theorem 113
where g = f ◦ π1 = f ◦ π2 . Now the maps πi , i = 1, 2 induce the maps πi∗ : OX → OT

and so the maps
αi∗ : f∗ OX → g∗ OT , i = 1, 2
and we have
S = ker(α1∗ − α2∗ )
To prove this equality, take an open set U in Y and r a holomorphic function on
f −1 (U). If r is constant on the fibers of f (in the case where f has disconnected
fibers this statement cannot be derived from the fact that r is holomorphic and f is
proper) then α1∗ (r) = α2∗ (r). If α1∗ (r) = α2∗ (r) then the definition of T implies
that r is constant on the fibers of f and so it is a section of S on U.
By Grauert direct image theorem g∗ OT and f∗ OX are coherent sheaves and so S
is a coherent sheaf.
Exercise 14.2 Give an example of two analytic variety X and Y and an analytic
map f : X → Y such that f is one to one and surjective but f −1 OY & OX .
Now let us consider a family of proper holomorphic mappings fi : X → Yi , i ∈ I,
where I is an index set. One can define the equivalence relation RI on X as follows:
∀x, y ∈ X, xRI y if and only if fi (x) = fi (y) ∀i ∈ I
In the case where I is finite the pair (X/RI , OX/RI ) is an analytic variety because
RI = R fI , where
fI := Πi∈I fi : X → YI , YI := Πi∈I Yi
For an infinite family of holomorphic functions we have the following proposition:
Proposition 14.1 Let X and Yi , i ∈ I be varieties and fi : X → Yi , i ∈ I holomorphic
functions. For any compact subset K of X there is a finite subset J ⊂ I such that RI
and RJ induce the same relation on K.
Proof. For a finite set J ⊂ I let ∆J be the subset of X × X given by the inverse image
of the diagonal of YJ × YJ by fJ × fJ : X × X → YJ × YJ . Each ∆J is a subvariety of
X × X and if J ⊂ J 0 be finite subsets of I then ∆J 0 ⊂ ∆J . Such a family of varieties
becomes constant on a given compact subset K̃ of X × X. Take a point p ∈ K̃. Since
in the family ∆J the dimension of ∆J around p cannot drop infinitely many times,
our claim is true locally. One can cover K̃ by finitely many small open sets and get
the assertion for K̃.
Exercise 14.3 Give a counterexample to Proposition 14.1 whithout the compact-

ness of K.
14.3 Cartan’s theorem
Let us first state a definition.

Definition 14.2 The equivalence relation R on a variety is called a proper equiv-

alence relation if for any compact set K ⊂ X the K-saturated set, i.e. the union of
R-equivalence classes cutting K, is compact.
For a proper equivalence relation the set X/R is locally compact, X/R is Hausdorff
and the continuous map X → X/R is proper.
Theorem 14.4 (H. Cartan [Ca60]) Let R be a proper equivalence relation on a
variety X with the following property: Each point of x ∈ X/R has an open neigh-
borhood U such that OX/R (U) separates the points of U, i.e. for any two points
x1 , x2 ∈ U there is f ∈ OX/R (U) such that f (x1 ) 6= f (x2 ). Then (X/R, OX/R ) is an
analytic variety.
Proof. Let U ⊂ X/R be the open set introduced in the theorem. Since OX/R (U)
separates the points of U, the equivalence relation RI defined by the family I =
φ ∗ OX/R (U) in φ −1 (U) is R. Therefore if U 0 is a relatively compact open subset
of U containing y, then by Proposition 14.1 and Theorem 14.3 (U 0 , OX/R |U 0 ) is a
variety.
Now as an application of Theorem 14.4 we state and prove Stein factorization and
Remmert reduction theorems.
14.4 Stein factorization
Theorem 14.5 (Stein factorization) Let f : X → Y be a proper holomorphic map of

varieties. Then there exist a variety Z and holomorphic maps
g h
X →Z →Y
such that
1. f = h ◦ g,
2. h is a finite map,
3. g∗ OX = OZ .
The triple (h, g, Z) with properties 1,2 and 3 satisfies:
4. g has connected fibers
5. It is unique up to biholomorphism, i.e. for any other triple (h0 , g0 , Z 0 ) with the
properties 1,2,3 of the theorem there is a biholomorphic map a : Z → Z 0 such
that g0 = a ◦ g and h0 = h ◦ a−1 .
Proof. We define the equivalence relation R in X as follows: For all x, y ∈ X we have
xRy if and only if f (x) = f (y) and x and y are in the same connected component of
f −1 ( f (x)). A simple topological argument shows that R is a proper equivalence
g h
relation. The map f decomposes into X → X/R → Y , where g and h are continu-
ous maps. For a Stein small open set U in Y , OY (U) separates the point of U and
14.5 Remmert reduction 115
h∗ OY (U) ⊂ OX/R (h−1 (U)). Therefore R satisfies the condition of Theorem 14.4
and so Z := (X/R, OX/R ) is a variety and g is a holomorphic map. The map h is also
holomorphic because h∗ OY ⊂ OZ . Since f is proper, a fiber of f has finitely many
connected components and so h is a finite map. The condition 3 is true by definition
of OX/R .
Assume that g−1 (x) is not connected and has two connected components A and
B. In an open neighborhood of g−1 (x) we can define a two valued function which
takes 1 in a neighborhood of A and 0 in a neighborhood of B. This function is not
a pullback of any holomorphic function in a neighborhood of x in Y , which is a
contradiction with 3. The property 1,2 and 3 imply that the points of Z 0 are in one
to one correspondence with connected components of the fibers of f . Therefore we
have a one to one map a : Z → Z 0 . It can be easily seen that a is the desired map for
5.
Remark 14.1 Let f : X → Y be a surjective proper holomorphic map of varieties
with f∗ OX = OY . The argument which we used for 4. of Theorem 14.5 implies that
f has connected fibers. For any open set U ⊂ Y and a holomorphic function r in
φ −1 (U) there exists a holomorphic function s in U such that r = s ◦ f .
14.5 Remmert reduction
Theorem 14.6 (Remmert reduction [Re56]) Let X be a holomorphically convex

space. Then there exist a Stein space Y and a proper surjective holomorphic map
φ : X → Y such that
1. φ∗ OX = OY .
Moreover the fact that Y is Stein and 1 imply
2. φ has connected fibers
3. The map φ ∗ : OY (Y ) → OX (X) is an isomorphism
4. The pair (φ ,Y ) is unique up to biholomorphism, i.e. for any other pair (φ 0 ,Y 0 )
with Y 0 Stein and property 1, there is a biholomorphism a : Y → Y 0 such that
φ0 = a◦φ.
Proof. Let R = RI be the relation in X defined by the family I = OX (X). For a
compact set K in X the set ∪x∈K Rx is closed and contained in the convex hull of K
in X. Since X is holomorphically convex, this means that R is a proper equivalence
relation. It satisfies also the condition of Theorem 14.4. Therefore (X/R, OX/R ) is
a variety. By definition X/R is holomorphically convex and holomorphic functions
on X/R separate the points of X/R. This means that Y := X/R is a Stein variety.
The canonical map φ : X → Y is the desired map. It is enough to prove that φ has
connected fibers. If a fiber of φ has two connected components A and B then we
can use Stein factorization and obtain a holomorphic function f on X such that
f (A) 6= f (B). But this means that A and B are two distinct equivalence classes of R
which is a contradiction.
For any other pair (φ 0 ,Y 0 ) the existence of a bijective map a : Y → Y 0 follows

from the fact that φ and φ 0 have the same fibers. The property 1. and remark after
Theorem 14.5 proves that a is a biholomorphism.
There are many contributions to complex analysis which are concerned with the
following problem: When the quotient space of an equivalence relation in a complex
space is again a complex space. Grauert’s direct image theorem plays an important
role in these works. For a more detailed study in this direction we recommend the
article [Gr83] and its references.
It would be nice if the proofs of Remmert proper mapping theorem and Grauert
direct image theorem would be discussed along the study of this text. These proofs
and more applications of these classical theorems can be found in [GrRe84]
Chapter 15
Formal and finite neighborhoods
Recall the notations in Section 9.1 and

• A(∗) := OX |A , A(∗) is called the neighborhood sheaf of A;
• A(ν) := OX /M ν |A , A(ν) is called the ν-neighborhood of A. A(1) is the structural
sheaf of A;
• M(ν) := M /M ν |A .
Exercise 15.1 Verify the details of the following statements:
1. We have
nil(A(ν) ) := {x ∈ A(ν) | ∃n ∈ N, xn = 0} = M /M ν (15.1)
2.
Q(ν−1) = {x ∈ A(ν) | x.nil(A(ν) ) = 0} (15.2)
3. and a canonical short exact sequence
0 → Q(ν−1) → A(ν) → A(ν−1) → 0
Let us be given two embeddings A ,→ X, A ,→ X 0 . If we denote the image of the

first embedding by A and the second by A0 we have a natural biholomorphism
φ : A0 → A
which gives us an isomorphism
φ(1) : A(1) → A0(1) (15.3)
This isomorphism is fixed from now on. We always assume that the pairs (X, A)
and (X 0 , A0 ) have the same local structure, i.e. for any a0 ∈ A0 and its corresponding
a = φ (a0 ) ∈ A there is a local biholomorphism
(X 0 , A0 , a0 ) → (X, A, a)
Notations related to A0 will be written by adding 0 to the notations of A.
117
118 15 Formal and finite neighborhoods
15.1 Formal and finite neighborhoods
The natural inclusions
· · · ⊂ M ν+1 ⊂ M ν ⊂ M ν−1 ⊂ · · · ⊂ M
give us the natural chain of canonical functions:

π π π π π
· · · → A(ν+1) → A(ν) → A(ν−1) → · · · → A(1)
Definition 15.1 We define
A(∞) := lim∞←ν A(ν)
In other words, every element of A(∞) is given by a sequence
. . . , fν+1 , fν , fν−1 , . . . , f1 fv ∈ A(ν)
π( fν+1 ) = fν
The C-algebra structure of A(∞) is defined naturally. A(∞) is called the formal neigh-
borhood of A or the formal completion of X along A.
There exists a natural canonical homomorphism
A(∗) → A(ν)
which extends to the inclusion

A(∗) ,→ A(∞)
Define in the set
Ñ = {1, 2, 3, · · · , ∞, ∗}
the order
1 < 2 < 3 < ··· < ∞ < ∗
we conclude that for any pair µ, ν ∈ Ñ, µ ≤ ν there exists a natural homomorphism
π : A(ν) → A(µ)
If no confusion is possible, we will not use any symbol for the homomorphisms
considered above.
Remark 15.1 Let us analyze the global sections of the above sheaves. Every global
section of A(∗) is a holomorphic function in a neighborhood of A. Let g be a global
section of A(ν) , ν < ∞. We can choose a collection of local charts {Uα }α∈I in X
covering A and holomorphic functions gα in Uα such that g = gα in the sheaf A(ν) .
This means that
15.2 Some propositions 119
gα − gβ ∈ M ν |Uα ∩Uβ , α, β ∈ I
Conversely, every collection of {gα }α∈I satisfying the above conditions defines a
global section of A(ν) .
Definition 15.2 Let µ, ν ∈ Ñ, µ ≤ ν. We say that the homomorphism φ(ν) : A(ν) →
A0(ν) induces the homomorphism φ(µ) : A(µ) → A0(µ) , if the following diagram is
commutative:
φ(ν)
A(ν) → A0(ν)
↓ ↓ (15.4)
φ(µ)
A(µ) → A0(µ)
We also say that A(ν) → A0(ν) extends A(µ) → A0(µ) .
Q(1) is the set of nilpotent elements of A(2) and so every homomorphism (isomor-
phism) φ(2) : A(2) → A0(2) induces a homomorphism (isomorphism) φ() : Q(1) →
Q(1) . We also say that φ(2) extends φ() .
Definition 15.3 The homomorphism φ(∞) : A(∞) → A0(∞) is called convergent if it
takes A(∗) into A0(∗) .
15.2 Some propositions
Proposition 15.1 Every homomorphism (isomorphism) φ(ν) : A(ν) → A0(ν) , 2 ≤ ν <

∞ induces natural homomorphisms (isomorphisms)
A(µ) → A0(µ) , µ ≤ ν
Proof. It is enough to prove our claim for µ = ν − 1. For an arbitrary µ one

can repeat the argument for the pair ν − 1, ν − 2 and so on. The kernel of π :
A(ν) → A(ν−1) is Q(ν−1) and Q(ν−1) is has the property (15.2). Therefore φ(ν) sends
Q(ν−1) to Q(ν 0 −1) . This implies that φ(ν) induces the desired map A(ν) /Q(ν−1) →
A0(ν) /Q(ν 0 −1) , because A(ν−1) = A(ν) /Q(ν−1) and A0(ν−1) = A0(ν) /Q(ν 0 −1) .
The following proposition gives us the local information for analyzing a homo-
morphism φ(ν) : A(ν) → A0(ν) , ν ∈ Ñ.
Proposition 15.2 Let a ∈ A and U be a small neighborhood of a in A. Let also
a0 = φ −1 (a) and U 0 = φ −1 (U). The following statements are true:
1. Every homomorphism (isomorphism) φ(∗) : A(∗) |U → A0(∗) |U 0 which induces an
isomorphism A(1) |U → A0(1) |U 0 is induced by a unique holomorphic (biholomor-
phic) map (X 0 , A0 , a0 ) → (X, A, a);
2. Every homomorphism φ(∗) : A(∗) |U → A0(∗) |U 0 which induces isomorphisms A(1) |U →
A0(1) |U 0 and A(2) |U → A0(2) |U 0 is an isomorphism also;
3. Every homomorphism (isomorphism) φ(ν) : A(ν) |U → A0(ν) |U 0 , 2 ≤ ν < ∞ is in-

duced by a homomorphism (isomorphism) A(∗) |U → A0(∗) |U 0 .
In the case where a is a regular point of both A and X, the proof of this proposition is
easy. The proof in general uses simple properties of local rings and their homomor-
phisms. The reader is referred to [Nag62] for more informations about local ring
theory.
Proof. By Proposition 2.5 the homomorphism φ(∗) : A(∗) a → A0(∗) 0 is induced by a
a
unique map (X 0 , a0 ) → (X, a). We must prove that this map takes A0 to A. Since φ(∗)
induces an isomorphism A(1) |U → A0(1) |U 0 , it takes the ideal of A in X to the ideal of
A0 in X 0 . This implies that (X 0 , A0 , a0 ) → (X, A, a).
The second and third statements have a completely algebraic nature. To prove
them we use the following notations
R := A(∗) a ∼
= A0(∗) 0 , I := MA,a , ∼
= MA0 ,a0 , τ := φ(∗) , τν := φ(ν) , ν ∈ N
a
( Note that (X, A) and (X 0 , A0 ) have the same local structure). Let us prove the second
statement. Since τ2 : R/I 2 → R/I 2 is an isomorphism and the nilpotent set of R/I 2
is the set I/I 2 , we have I = τ(I) + I 2 . Let us prove that τ(I) = I. Put
R0 := I/τ(I)
We have IR0 = R0 . Let a1 , a2 , . . . , ar be a minimal set of generators for R0 . We have

ar ∈ R0 = IR0 and so
r
ar = ∑ si ai , si ∈ I
i=1
or (1 − sr )ar lies in the ideal generated by a1 , a2 , . . . , ar−1 . Since 1 − sr is a holomor-

phic function in (X, a) and its value in a is 1 it is invertible and so we get a contra-
diction with this fact that no proper subset of a1 , a2 , . . . , ar generates R0 (The used
argument is similar to the proof of Nakayama’s lemma (see [GuII90] A, Lemma
9)).
We have proved that τ(I) = I. Since τ1 : R/I → R/I is an isomorphism and τ(I) =
I, τ is surjective. Now let us prove that τ is injective. Define
Rn := {x ∈ R | τ n (x) = 0}
τ induces a map from Rn to itself and the image of this map contains Rn−1 Since R is
a Noetherian ring and we have an increasing sequence of ideals · · · ⊂ Rn ⊂ Rn+1 ⊂
· · · , there is a natural number n0 such that Rn0 = Rn0 +1 = · · · = R∗ . Now τ∗ = τ |R∗ is
a surjective map from R∗ to R∗ . But by definition of R∗ , τ∗ must be zero. Therefore
R∗ = 0 and so R1 = 0. This means that τ is injective.
Now let us prove the third statement. Let x1 , x2 , . . . , xn form a basis for the vector
MR
space M 2 , where MR denotes the maximal ideal of R. We have seen in Proposition
R
2.6 that (x1 , x2 , . . . , xn ) form an embedding of (X, a) in (Cn , 0). We can choose el-
ements f1 , f2 , . . . , fn in R such that τν ([xi ]) = [ fi ], i = 1, 2, . . . , n, where [.] denotes
15.4 Obstructions to formal isomorphism 121
the equivalence class. Now it is easy to verify that the homomorphism
τ :R→R
f (x1 , x2 , . . . , xn ) → f ( f1 , f2 , . . . , fn )
induces the desired map. If τν is an isomorphism then by the second part of the
proposition τ is also an isomorphism.
15.3 Geometric interpretation
Now using Proposition 15.2 we can find geometrical interpretations of homomor-

phisms A(µ) → A0(µ) , µ ∈ Ñ as follows
1. There exists an isomorphism φ(∗) : A(∗) → A0(∗) if and only if there exists a bi-
holomorphism of some neighborhood of A into some neighborhood of A0 in X 0
extending φ : A → A0 ;
2. Any isomorphism φ(ν) : A(ν) → A0(ν) , 1 < ν ∈ N is given by a collection of bi-
holomorphisms (Uα , A) → (Uα0 , A0 ), where {Uα }α∈I ( resp. {Uα0 }α∈I ) is an open
covering of A (resp. A0 ) in X (resp. X 0 ), and such that φα ◦ φβ−1 is the identity up
to holomorphic functions vanishing on A of order ν;
The first statement justifies the name neighborhood sheaf adopted for A(∗) .
Unfortunately an isomorphism
φ(∞) : A(∞) → A0(∞) (15.5)
may not be given by a collection of isomorphisms φ(ν) : A(ν) → A0(ν) , ν ∈ N such that
for ν ≥ µ, φ(ν) extends φ(µ) . However, the φ(∞) which we will construct in the next
section will have this property. For this reason when we talk about an isomorphism
(15.5) we assume that it induces isomorphisms in finite neighborhoods.
15.4 Obstructions to formal isomorphism
In this section we will identify the obstructions for the existence of an isomorphism
between formal neighborhoods of A and A0 . We formulate our main problem in this
section as follows: Let A0 be the image of another embedding of A in a manifold X 0 .
1. Given an isomorphism φ : Q(1) → Q(1) 0 . Under which conditions is it induced
by an isomorphism φ(2) : A(2) → A0(2) ?
2. Given an isomorphism φ(ν) : A(ν) → A0(ν) , ν ≥ 2. Under which conditions does it
extend to φ(ν+1) : A(ν+1) → A0(ν+1) ?
In other words we want to describe the germ of an embedding A ,→ X with minimal

data. The first elementary data of an embedding is its normal bundle (when A is not
smooth the sheaf Q(1) = M /M 2 plays the role of the normal bundle). The other
data of an embedding are its finite neighborhoods.
Note that if all such conditions in the above questions are satisfied for A and A0 ,
we get only an isomorphism of formal neighborhoods of A and A0 . The applied meth-
ods are quite formal and can be found in [Gr62, HiRo64, La71]. In what follows,
every homomorphism A(ν) → A0(ν) , ν ∈ Ñ which we consider will be an extension
of the fixed isomorphism (15.3) (Note that A(1) is the structural sheaf of A).
Let a ∈ A and a0 = φ −1 (a) be its corresponding point in A0 . The stalk of the sheaf
A(ν) , ν ∈ Ñ at a is denoted by A(ν) a . Any isomorphism
φ(ν) a : A(ν) a → A0(ν) (15.6)

a0
determines an isomorphism between A(ν) |Ua and A0(ν) |Ua0 , where Ua and Ua0 are
two open neighborhood of a and a0 in A and A0 , respectively (see Proposition 15.2).
The following proposition gives us the local solutions of our problem:
Proposition 15.3 Any isomorphism φ(ν) a : A(ν) a → A0(ν) 0 is induced by an isomor-
a
phism
φ(∗) a : A(∗) a → A(∗) a0 (15.7)
and hence extends to
φ(ν+1) a : A(ν+1) a → A(ν+1) a0 (15.8)
Proof. The above proposition is the third part of Proposition 15.2 in another form.
Note that the isomorphism φ(∗) : A∗,a → A0∗,a0 is not unique.
In the introduction of [GrRe84] we find the following statement of H. Cartan: la

notion de faisceau s’introduit parce qu’il s’agit de passer de données locales à
l’etude de propriétés globales. Like many other examples in complex analysis, the
obstructions to glue the local solutions lie in a first cohomology group of a sheaf
over A. The precise identification of that sheaf and its first cohomology group is our
main objective in this section.
Now, let us be given an isomorphism φ(ν) : A(ν) → A0(ν) . We want to extend φ(ν)
to φ(ν+1) : A(ν+1) → A0(ν+1) , i.e. to find an isomorphism φ(ν+1) : A(ν+1) → A0(ν+1)
such that the following diagram is commutative:
φ(ν+1)
A(ν+1) → A0(ν+1)
↓ ↓ (15.9)
φ(ν)
A(ν) → A(ν)
Proposition 15.3 gives us the local solutions

15.4 Obstructions to formal isomorphism 123
φ(ν+1)
A(ν+1) a → a A0(ν+1) 0
a
↓ ↓ (15.10)
φ(ν)
A(ν) a → a
A0(ν) 0
a
where A(ν) a is the stalk of the sheaf A(ν) over the point a. Now, cover A with small
open sets for which we have the diagrams of the type (15.10). Combining two dia-
grams in the intersection of neighborhoods of the points a and b we get:
φ(ν+1)
a,b
A(ν+1) a,b → A(ν+1) a,b
↓ ↓ (15.11)
id
A(ν) a,b → A(ν) a,b
where
φ(ν+1) a,b = φ(ν+1) −1
a
◦ φ(ν+1) b (15.12)
Note that we have used the notation φ(ν+1) a,b instead of φ(ν+1) |Ua ∩Ub , φ(ν+1) a in-
stead of φ(ν+1) |Ua and so on. The above transition elements are obstruction to our
extension problem. Now it is natural to define the following sheaf:
Aut(ν) is the sheaf of isomorphisms φ(ν+1) : A(ν+1) → A(ν+1) inducing the iden-
tity in A(ν) , i.e. the following diagram is commutative
φ(ν+1)
A(ν+1) → A(ν+1)
↓ ↓ (15.13)
id
A(ν) → A(ν)
Later in Proposition 15.5 we will see that Aut(ν) is a sheaf of Abelian groups. Now
the data in (15.12) form an element of
H 1 (A, Aut(ν))
The elements of H 1 (A, Aut(ν)) are obstructions to the extension problem.

It is clear that the case ν = 1 needs an special treatment. A(1) is the structural
sheaf of A and the condition H 1 (A, Aut(1)) = 0 means that any two embeddings of
A have the same 2-neighborhood and in particular have isomorphic M /M 2 ’s. This
implies that the normal bundles of A and A0 are isomorphic! Therefore, the definition
of Aut(1) is not useful. We modify this definition as follows:
Aut(1) is the sheaf of isomorphisms φ(2) : A(2) → A(2) inducing the identity on
M /M 2 and for which the following diagram is commutative
φ(2)
A(2) → A(2)
↓ ↓ (15.14)
id
A(1) → A(1)
Proposition 15.4 If H 1 (A, Aut(ν)) = 0 then any isomorphism

1. φ(ν) : A(ν) → A0(ν) if ν > 1
2. φ() : Q(1) → Q(1) 0 if ν = 1
extends to an isomorphism φ(ν+1) : A(ν+1) → A0(ν+1) .
Proof. The obstruction to the above extension is obtained by diagram (15.11) and
so is an element of H 1 (A, Aut(ν)).
15.5 Calculating the obstruction
Now we have to identify Aut(ν) and especially we have to verify when H 1 (A, Aut(ν)) =
0 is satisfied.
Proposition 15.5 Suppose that X is a smooth variety. For ν ≥ 2 we have
Aut(ν) ∼
= T (ν)(:= T ||A ⊗OA Q(ν) )
where T is the sheaf of holomorphic vector fields in X (sections of the tangent

bundle of X); for the case ν = 1 we have
Aut(1) ∼
= TA (1)(:= TA ||A ⊗OA Q(1) )
where TA is the sheaf of holomorphic vector fields in X tangent to A.
Proof. Let us introduce the function which will be our candidate for the desired
isomorphisms. First consider the case ν ≥ 2.
∗ : T (ν) → Aut(ν)
For any ψ ∈ T (ν) define
β , β 0 : A(ν+1) → A(ν+1)
β ( f ) = f + ψ.d f
β 0 ( f ) = f − ψ.d f
we have
β ◦ β 0 ( f ) = f − ψ.d f + ψd( f − ψ.d f ) = f − ψ.d(ψ.d f ) = f mod M 2ν−1
We have 2ν − 1 ≥ ν + 1 and so
β ◦ β 0 ( f ) = f mod M ν+1 (15.15)

15.6 Breaking Aut(ν) 125
In other words β 0 is the inverse function of β . We define
∗(ψ) = β
Now it is enough to prove that ∗ is the desired isomorphism. Since X is nonsingular

∗ is injective. Let β ∈ Aut(ν). We write
β ( f ) − f = ψ 0( f )
ψ 0 ( f ) = 0 mod M ν and so ψ 0 ∈ Hom(A(ν+1) , M ν /M ν+1 ). Composing with

A(∗) → A(ν+1) and without change in notations we can assume
ψ 0 ∈ Hom(A(∗) , M ν /M ν+1 )
Here Hom is the homomorphisims of abelian sheaves. We will use the fact that ψ 0
satisfies the Leibniz rule:
ψ 0 ( f1 f2 ) = f1 ψ 0 ( f2 ) + f2 ψ 0 ( f1 ), f1 , f2 ∈ A(∗) . (15.16)
Let z1 , z2 , . . . , zn be local coordinates. Define the vector field ψ by
ψ(dzi ) = ψ 0 (zi )
Then ψ ∈ T (ν) and the mapping β → ψ is the inverse of ∗. This follows from the
fact that both ψ 0 and ψd()˙ coincide on zi ’s and both satisfy the Leibniz rule.
The case ν = 1 is the same as previous one. We need to substitute TA for T to
get the congruency (15.15). In a local chart U we write A = {g1 = g2 = · · · = gr = 0}
and ψ = ∑ri=1 gi ψi , ψi ∈ TA (U). We have
r
ψ.d(ψ.d f ) = ψ.( ∑ gi (ψi .d f ))
i=1
r
= ∑ dgi (ψ)(ψi .d f ) + gi d(ψi .d f )(ψ) ∈ M 2
i=1
15.6 Breaking Aut(ν)
How can we calculate the cohomology groups H 1 (A, T (ν))? To do this, we break
T (ν) into two other simple sheaves as follows:
There is a natural short exact sequence
0 → TA → T → Q(1) ∗ → 0
By tensorial multiplication over OA with Q(ν) , we have

0 → TA (ν) → T (ν) → Q(ν−1) → 0
This gives us the long exact sequence
. . . → H 1 (A, TA (ν)) → H 1 (A, T (ν)) → H 1 (A, Q(ν−1) ) → . . .
We summarize the above arguments in the following proposition:

Theorem 15.1 If H 1 (A, TA (ν)) = 0 and H 1 (A, Q(ν−1) ) = 0 then H 1 (A, T (ν)) = 0
and so any isomorphism
φ(ν) : A(ν) → A0(ν) if ν > 1
φ : Q(1) → Q(1) 0 if ν = 1
extends to an isomorphism φ(ν+1) : A(ν+1) → A0(ν+1) .
15.7 The case of a Riemann surface
From now on we do not use the line under bundles (it denotes the sheaf of sections),
for instance instead of H 1 (A, Ω 1 ) we write H 1 (A, Ω 1 ). Let A be a Riemann surface.
Putting p = 0, q = 1 in Serre duality (see Chapter 13.1) we have
H 1 (A,V ) ∼
= (H 0 (A, Ω 1 ⊗V ∗ ))∗
Now
H 1 (A, Q(ν−1) ) = H 1 (A, (N ∗ )ν−1 )) = (H 0 (A, Ω 1 ⊗ N v−1 ))∗
Ω 1 ⊗ N v−1 has no global holomorphic section if
c(Ω 1 ⊗ N ν−1 ) = 2g − 2 + (ν − 1)A.A < 0 (15.17)
In the same way
H 1 (A, TA (ν)) = (H 0 (A, Ω 1 ⊗ (TA)∗ ⊗ N ν ))∗ = (H 0 (A, Ω 1 ⊗ Ω 1 ⊗ N ν ))∗ = 0
if
c(Ω 1 ⊗ Ω 1 ⊗ N ν ) = 2(2g − 2) + νA.A < 0 (15.18)
Finally we conclude that
Theorem 15.2 Let A be a Riemann surface of genus g embedded in a two dimen-
sional manifold X. Suppose that
• A.A ≤ 0 if g = 0;
• A.A < 2(2 − 2g) if g ≥ 1
Then the embedding A ,→ X is formally equivalent with A0 ,→ X 0 , where the normal
bundle of A0 in X 0 equals the normal bundle of A in X.
15.8 Complementary notes 127
Proof. Since the normal bundle of A0 in X 0 equals the normal bundle of A in X, there
exists an isomorphism φ() : Q(1) → Q(1) 0 . To extend this isomorphism to a formal
isomorphism of the neighborhoods of A and A0 in X and X 0 , respectively, we must
have the inequalities (15.18) for all ν ≥ 1 and (15.17) for all ν > 1 satisfied. This
implies exactly A.A < 0 if g = 0 and A.A < 2(2 − 2g) if g ≥ 1.
One can use [Gri66] in section 15.4 for more extension problems such as the exten-
sion of fiber bundles, holomorphic maps and cohomology elements.
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Index
(x, x), a neighborhood of x in X, 7 compact mapping, 63

Tx X, tangent space, 13 complete family, 97
C-algebra , 7 completely continuous, 63
OX , the structural sheaf, 11, 21 convergent homomorphism of formal
OCn (U), the space of holomorphic functions , neighborhoods, 119
7 convex function , 50
Qν , 81 convex hull, 39
S (1), S (2), S (2), . . ., 82 cotangent space, 13
T , 82
TA , 82 direct image theorem, 111
Tx∗ X, cotangent space, 13
OX,x , germs of holomorphic functions, 9 effective family, 97
OCn ,x , the ring of germs of holomorphic embedding dimension, 13
functions , 7 equivalence relation, 111
MX,x , the maximal ideal, 9 equivalent charts, 12
MCn ,x , a maximal ideal, 7 exceptional variety, 66
A(∗) , 117
A(1) , A(2) , A(3) , . . ., 117 finite neighborhood, 117
embx X, embedding dimension, 13 foliation, 99
CT , 111 formal completion, 118
IX,x , defining ideal, 9 formal neighborhood, 118
Fréchet space, 63
K̂X , convex hull, 39
MX,x , MX,x
2 , M 3 , . . ., 9
X,x Hilbert Nullstellensatz theorem, 86
holomorphic map, 11
acyclic covering, 31 holomorphically convex, 39
analytic affine variety, 11, 21
analytic scheme, 21 Kodaira-Spencer map, 97
analytic variety, 11 Kodaira-Spencer Theorem, 97
biholomorphism, 11 Leray lemma, 31

blow down, 66 Levi form, 49
line bundle, 69
Cartan’s theorem B, 41 linear space, 79
Cauchy integral formula, 6 local ring, 7
Cauchy-Riemann equations, 6
chart, 11 maximal compact analytic set, 57
133
134 Index
Maximum principle, 55 Schwarz theorem, 63

meromorphic section, 70 Stein factorization, 114
Stein variety, 39
negative vector bundle, 78 strongly convex function, 50
negatively embedded, 66 strongly convex functions on varieties, 54
neighborhood sheaf, 117 strongly exceptional, 86
normal bundle, 82 strongly plurisubharmonic, 50
nowhere discrete, 39 strongly pseudoconvex domain, 55
structural restriction, 24
structural sheaf, 11, 21
plurisubharmonic, 50
positive vector bundle, 77, 78 tangent cone, 92
proper equivalence relation, 114 tangent space, 13
Push-forward of a sheaf, 26 transverse foliation, 99
Remmert proper mapping theorem, 111 variety, 11

Remmert reduction, 115
restriction map, 23 Weierstrass preparation theorem, 7

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3.10 Short exact sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

6 Strongly convex/plurisubharmonic functions . . . . . . . . . . . . . . . . . . . . . . 49

7 Cohomological properties of pseudoconvex domains . . . . . . . . . . . . . . . 61

8 Positive and negative line bundles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69

9.8 A negative divisor of curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89

13 Few theorems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109

14 Remmert reduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111

15 Formal and finite neighborhoods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

introduction to the theory of holomorphic foliations on complex manifolds. We will

Fig. 1.1 A biholomorphism of two neighborhoods

1.1 The organization of the text

The letter A is mainly used to denote an analytic variety, complex manifold or an

2.1 Complex analysis in one variable

2.2 Holomorphic functions

Definition 2.2 A function f : D → C is called holomorphic if for each point a ∈ D

1 dζ1 dζ2 f (ζ1 , ζ2 , . . . , ζn )dζn

Since f is continuous we get

we get the result. t

Proposition 2.2 If f , g : D → C are two holomorphic functions in a connected open

We will use the notation:

Proposition 2.3 A C1 function f : D → C is holomorphic if and only if it satisfies

2.3 Local rings

For a topological space X and a point x ∈ X we denote by (X, x) a neighborhood of

OCn ,x = { f ∈ OCn (U) for some open set U in Cn , x ∈ U}/ ∼

MCn ,x := { f ∈ OCn ,x | f (x) = 0}.

We have OCn ,x /MCn ,x ∼ = C which is given by evaluating functions at x. Therefore,

and this has a zero of order m at zn = 0. There is a unique monic polynomial g =

Fig. 2.1 Weierstrass preparation theorem

g(z0 , zn ) := (zn − zn,1 )(zn − zn,2 ) · · · (zn − zn,m ) = zm 0 m−1

Proof. The proof is by induction on n. For n = 0 we have OCn ,0 = C and so it

erate I too. For an arbitrary element h ∈ I, if h is regular we proceed as we did by f ,

2.4 Germs of analytic varieties

Definition 2.3 A germ of an analytic subvariety (X, x) of (Cn , x) is given by

(X, x) := {y ∈ (Cn , x)| f1 (y) = 0, f2 (y) = 0, · · · , fr (y) = 0},

where f1 , f2 , . . . , fr ∈ MCn ,x . The defining ideal of the germ (X, x) is defined to be

IX,x := { f ∈ OCn ,x | f |X = 0}.

MX,x := { f ∈ OX,x | f (x) = 0},

Proposition 2.4 The following statements are true:

f = f (x1 , 0, . . . , 0) = x1l h(x1 ), h(0) 6= 0.

By Weierstrass preparation, see Theorem 2.1, we can write

f = u.(x1l + a1 x1l−1 + · · · + al−1 x1 + al ),

where a1 , a2 , . . . , al are holomorphic functions in x2 , x3 , . . . , xn with ai (0) = 0, i =

and uf have the same leading term up to multiplication by a constant, it is enough

For a holomorphic function f defined in some open subset U of Cn we will denote

Let us denote the coordinate functions of (Cm , 0) by y1 , y2 , . . . , ym (∈ MY,0 ) and

where ı, j are the canonical maps. We observe that the maps

coincide on polynomials in yi ’s. For an arbitrary k ∈ N, every g ∈ OCm ,0 can be

IY,0 is a subset of the kernel of τ ∗ ◦ j and so of the kernel of ı ◦ f ∗ . This implies

2.5 Analytic varieties

X ∩U := {x ∈ U | f1 (x) = f2 (x) = · · · = fr (x) = 0}.

We also call X an (analytic) affine variety. We look at X as a topological space

OX (U) := { f : U → C | f ∈ OX,x }, U open subset of X (2.7)

which is called the structural sheaf of X.

is an isomorphism of sheaves of C-algebras.

Fig. 2.2 Analytic variety

U ∩Y = {x ∈ U | f1 (x) = · · · = fr (x) = 0}.

Fig. 2.3 Embedding dimension

2.6 Embedding dimension

Definition 2.8 For a germ of an analytic variety (X, x) we define

• Tx X := the dual of Tx∗ X. Tx X is called the tangent space of X at x.

Tx∗ f : T f∗(x)Y → Tx∗ X

λ : IX,0 → MCn ,0 /MC2n ,0

be the canonical map. Its coimage

(MCn ,0 /MC2n ,0 )/Im(λ )