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2203.14174

Almost-Periodic Ground State of the Non-Self-Adjoint Jacobi Operator and Its Applications

Xing Liang, Hongze Wang, Qi Zhou

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Category
Not specified
Journal tier
Specialist/Solid
Processed
Sep 28, 2025, 12:56 AM

Audit review

The paper proves, under explicit smallness assumptions and mild arithmetic hypotheses on ω, the existence of a positive quasi‑periodic eigenfunction and shows that its energy E0 is the rightmost spectral point (ground state), with simplicity, by a reducibility-to-constant-cocycle argument (Proposition 3.1), a quantitative diagonalization via an implicit function theorem (Proposition 3.2), the selection of E0 by continuity (Lemma 3.8), and a PDE/maximum‑principle based identification of E0 ∈ Emax(L) together with simplicity (Section 4) . The model’s approach mis-specifies the diagonal scaling that symmetrizes the Jacobi recurrence (the correct choice is d_{n+1}/d_n = sqrt(a_n/c_{n+1}), not sqrt(c_n/a_n)), so its claimed symmetric reduction and τ(θ)=sqrt(a(θ)c(θ)) are incorrect. It also misapplies Hilbert–Birkhoff projective-metric contraction: the operator K_E it studies is a sum of shifts with an atomic kernel, for which the projective diameter is not finite in the sense required by Bushell’s theorem, so the asserted strict contraction and uniqueness do not follow. Finally, the model invokes a dominated-splitting/resolvent characterization that applies to self-adjoint Jacobi operators; the non-self-adjoint setting here is not covered, and the claimed uniformity "for all irrational ω" contradicts the paper’s precise ω-hypotheses (Theorem 1.1 uses ω in a full-measure class P; the general irrational case requires a perturbation of V in Theorem 1.2) .

Referee report (LaTeX)

\textbf{Recommendation:} minor revisions

\textbf{Journal Tier:} specialist/solid

\textbf{Justification:}

The manuscript delivers a coherent, semi-local theory for ground states of non-self-adjoint quasi-periodic Jacobi operators. Its use of cocycle reducibility, an explicit conjugacy criterion to produce positive eigenfunctions, and PDE-type tools to establish spectral maximality and simplicity is technically sound and of interest to specialists. Minor clarifications (role of ω in P, constants in smallness conditions) would further improve accessibility.