Sharp spectral transition for eigenvalues embedded into the spectral bands of perturbed periodic operators

Abstract

In this paper, we consider the Schr\"odinger equation, \begin{equation*} Hu=-u^{\prime\prime}+(V(x)+V_0(x))u=Eu, \end{equation*} where $V_0(x)$ is 1-periodic and $V (x)$ is a decaying perturbation. By Floquet theory, the spectrum of $H_0=-\nabla^2+V_0$ is purely absolutely continuous and consists of a union of closed intervals (often referred to as spectral bands). Given any finite set of points $\{ E_j\}_{j=1}^N$ in any spectral band of $H_0$ obeying a mild non-resonance condition, we construct smooth functions $V(x)=\frac{O(1)}{1+|x|}$ such that $H=H_0+V$ has eigenvalues $\{ E_j\}_{j=1}^N$. Given any countable set of points $\{ E_j\}$ in any spectral band of $H_0$ obeying the same non-resonance condition, and any function $h(x)>0$ going to infinity arbitrarily slowly, we construct smooth functions $|V(x)|\leq \frac{h(x)}{1+|x|}$ such that $H=H_0+V$ has eigenvalues $\{ E_j\}$. On the other hand, we show that there is no eigenvalue of $H=H_0+V$ embedded in the spectral bands if $V(x)=\frac{o(1)}{1+|x|}$ as $x$ goes to infinity. We prove also an analogous result for Jacobi operators.