The Duistermaat index and eigenvalue interlacing for self-adjoint extensions of a symmetric operator

Abstract

Eigenvalue interlacing is a useful tool in linear algebra and spectral analysis. In its simplest form, the interlacing inequality states that a rank-one positive perturbation shifts each eigenvalue up, but not further than the next unperturbed eigenvalue. For different types of perturbations, this idea is known as Weyl interlacing, Cauchy interlacing, Dirichlet–Neumann bracketing, and so on.
We prove a sharp version of the interlacing inequalities for “finite-dimensional perturbations in boundary conditions,” expressed as bounds on the spectral shift between two self-adjoint extensions of a fixed semibounded symmetric operator with finite and equal defect numbers. The bounds are given in terms of the Duistermaat index, a topological invariant describing the relative position of three Lagrangian planes in a symplectic space. Two of the Lagrangian planes describe the self-adjoint extensions being compared, while the third corresponds to the Friedrichs extension, which acts as a reference point.
Along the way, numerous auxiliary results are established, including one-sided continuity properties of the Duistermaat index, smoothness of the Cauchy data space without unique continuation-type assumptions, and a formula for the Morse index of an extension of a non-negative symmetric operator.