Math. Nachr.

187 (1997),5 - 18

On the Limit - Point/Limit - Circle Problem for Nonlinear Third

Order Differential Equations
and ZUZANADoSLA of Brno
BARTUSEK
By MIROSLAV

(Received May 18, 1995)

(Revised Version April 3, 1996)

Abstract. We introduce the limit - point/limit - circle classification for the nonlinear differential
equations of higher order. We give limit -point as well as limit - circle criteria for nonlinear differential
equations of the third order.

1. Introduction
Consider the nonlinear third -order differential equation

where yii] is the i - th quasiderivative of y defined by

are positive, f : R3 + R is continuous and a E Lloc(R+).

the functions r , p E Co(R+)
Throughout the paper, we assume the sign hypothesis

(HI) (-l)oa(t) >o on R+, 2 o

f ( ~ 1 , ~ 2 , 5 3 ) ~ 1 on I R ~
where a E (0,l).
In 1910, H. WEYL [21] introduced the limit -point/limit -circle classification for sec-
ond order linear differential equations and operators when he studied singular Sturm -
Liouville problems., i. e., eigenvalue problems of the form
- (ay')' + qy = Xy on R+ .
1991 Mathematics Subject Classification. Primary 34C 10; Secondary 34C 15, 34B 15.
Keywords and phrases. Nonlinear differential equation of third order, Weyl's classification of
limit - point/limit -circle, oscillatory solution, nonoscillatory solution.
6 Math. Nachr. 187 (1997)

The Weyl's classification has been generalized and developed in various directions:
(i) nonlinear second - order differential equations,
(ii) self- adjoint linear differential equations and operators of the 2n - t h order.
Among the numerous literature we refer in the first case [l,7, 11, 12, 13, 161, in the
second case [9, 10, 14, 16, 191 and references therein.
Our main goal here is to introduce the limit - point/limit -circle classification for
nonlinear differential equations of higher order. First, we introduce the definition of
limit - point/limit - circle type for nonlinear differential equations of n - th order, then
(Section 3) we give criteria of limit - point/limit - circle type for Eq. 1.1, and in Section
4,for nonlinear third -order equation in the normal form.

2. Definition of the limit - circle/point type

Eq. 1.1 is a special case of the n-th order nonlinear equation

(2.1) y["l = a ( t ) f ( y [ O l , y [ l l ,... , yln-l]),

where is the i - th quasiderivative of y defined by

the functions ai E Co(R+),ai > 0, f : IRn + R is continuous, a E Lloc(R+) and

f(q,. . . ,z n ) q 2 0. Jointly with Eq. 2.1, let us consider the n - t h order nonlinear
equation of the form

(2.2) Ly = c n

i=l
( - l ) i p i ( t ) y ( i ) = a(t)f(y,y', . . . ,y(n-1)) ,
where pi are continuous on R+. If the coefficients ai in Eq. 2.1 are sufficiently smooth,
then Eq. 2.1 can be written as Eq. 2.2. On the contrary, if the equation L y = 0 is
nonoscillatory, then Eq. 2.2 can be written as Eq. 2.1.
A function y : J 3 R,J C R+,is said to be a solution of Eq. 2.1, resp. Eq. 2.2,
if it is defined on the maximal existence interval J and Eq. 2.1, resp. Eq. 2.2, is valid
for almost all t E J.
In this section we introduce the definition of limit - point/limit - circle type for Eq.' s
2.1 and 2.2.

Definition 2.1. The Eq. 2.1, resp. 2.2, is said to be of the (nonlinear) limit-circle
type if every solution is defined on R+ and satisfies

~ w y ( t ) f ( y [ o ] ( t ) , y [ l l ( t )...,y[*-lI(
, t ) )dt < 00.

Otherwise, the equation is said to be of the (nonlinear) limit-point type.

BartuSeklDoSlL, Nonlinear Third Order Differential Equations 7

The solution y of Eq. 2.1, resp. 2.2, is of the (nonlinear) limit-circle type if it
satisfies 2.3. Otherwise the solution is said to be of the (nonlinear) limit -point type,
1. e.,

(2.4) 1'..-
y(t)f(y[O](t),y[ll(t),. . .,y["-l](t)) dt = 00, where T 5 00,

Remark 2.2. If Eq.'s 2.1 and 2.2 are equivalent, Definition 2.1 is the same for both
equations.
Our motivations for this definition have been the following:
1. Weyl's classification [21]. The linear second order differential equation

(.(t).')' + q(t)z = 0
is of the limit-circle type if all its solutions are in L2(0,m); otherwise it is of the
limit-point type. See also e.g. [8, 15, 181.
2. The nonlinear second order differential equation

where u ( t ) ,q ( t ) > 0 and zf(z) 2 0 for all z, is of the nonlinear limit -circle type if
roo

otherwise it is of the nonlinear limit-point type, see [ll, 12, 131. This definition
coincides with Definition 2.1 for Eq. 2.1 and n = 2. In [9, 10, 111 this definition and
an alternative definition of the limit -circle type is used for Eq. 2.5:

3. There is a close relation between spectral theory of linear differential operators

and self - adjoint linear differential equations. Denote the self - adjoint 2n - th order
operator

S(y) (-1)n(poy(n))(") + (-1y-yplY )

(n-1) ("-1) + '.* + PnY
Then S defines the closed symmetric operator SOwhose deficiency index is (m,m),
where n 5 m 5 271, see e.g., [17]. The differential equation corresponding to S is the
linear self - adjoint equation
(2.6) S(y) = 0 .
The relation between Eq. 2.6 and the linear operator SO is the following: If Eq. 2.6
has all solutions in L2(0,m) then the deficiency index of the operator SOis (2n, 2n).
We remark that in the theory of linear self-adjoint equations, the terminology
limit-v is used, where v is the number of linearly independent solutions in L2, see
e.g. [9].
8 Math. Nachr. 187 (1997)

4. If f(y[O](t),y[lI(t),...,y["-lI(t)) 2 y, then Eq. 2.1, resp. 2.2, is linear and the

fact that the linear differential equation is of the limit - circle type means that all its
solutions are in L2(0,00).
5. Eq. 2.1 without quasiderivatives (i.e., ai +
1) and n even, no a odd, where
no = [ 4 ] ,a E ( 0 , l ) and (-l)Pa(t) 2 0, has been investigated in [3]. If y : R+ + lR
is an oscillatory solution of such an equation, then

where F is a convenient nondecreasing function.

3. Criteria for the limit - point/limit - circle type

In this paper we give criteria for third-order nonlinear equation 1.1,i. e.,

to be of either (nonlinear) limit - circle or limit - point type.

In this section we usually will suppose

We start with the structure of solutions of Eq. 1.1. The solution y : [ O , T ) + R is

called a singular solution if T < cc and lim SUP^+^ x:=oI I
yIil ( t ) = 00.
By a proper solution of Eq. 1.1we mean a solution y : R+ -+ R which is nontrivial
in any neighbourhood of infinity. A proper solution is said to be oscillatory if it has
arbitrarily large zeros.
According to the signs of quasiderivatives, we can divide all proper nonoscillatory
solutions of Eq. 1.1, which are not identically constant for large t , into the following
classes:

MO = {y t,
: there exists : y(t)y[ll(t) 5 0, y(t)yI21(t) < 0 for t 2 t y }
M1 = {y : there exists t, : y(t)y['](t) 2 0, y[1](t)y[2](t)< 0 for t 2 tY}
M2 = {y : there exists t, : y(t)y['](t) > 0, y ( t ) y [ 2 ] ( t )2 0 for t 2 tY}
K = {y : there exists t, : y(t)y[ll(t) < 0, y ( t ) y [ ' ] ( t ) 2 0 for t 2 t,} ,

see [4] in case a = 0 and [5, 61 in case a = 1. Note that the sign of the third
quasiderivative is given by Eq. 1.1 and assumption (Hl). If a = 1 and y is of class K,
then y is called a Kneser solution.
The important role will be played by the following auxillary function F.
BartuSeklDoSli, Nonlinear Third Order Differential Equations 9

Definition 3.1. Let y be a solution of Eq. 1.1. Define the function F by

F ( t ) = (-1)ay(t)y[2](t) + (-l)a+l- 1 . -r(y( t ) [l]( t ) ) 2 .

2 P(t)

Lemma 3.2. Let (H2) hold. Then the function F is nondecreasing and

Proof. Using ( H l ) and (H2), we have

p ( t ) = (-1)ayy[31 + (-1)arY[1ly[2l + (--qa+iL (-)(!PI)

2 P
+ (-1)a+C y[llpy/[21
P
2 0. O

Theorem 3.3. Let a = 0 and (H2)hold. Suppose that %

E Cl(lR+), a(t) 2 K > 0
on IR+, f (21,22,23) # 0 for x1 # 0 in R3 and there exist /I> 1, M > 0 such that
1
(3.2) lf(~1,22,23)1I - for 1x11 2 M > 0, 22, 23 ER
1x1ID

and
(3.3)

Then Eq. 1.1 is of the limit-circle type.

Proof. First observe that from 3.3 and (H2) we get J,”p(t)dt = 00.
Reasoning by the same argument as in [6, Lemma 81, where a = 1 was supposed,
we obtain that under the assumption 3.2 there exists no singular solution, i. e., every
solution of Eq. 1.1 is defined on R+.If a solution is identically zero for large t , then
it is obviously of the limit - circle type.
Suppose y is a proper solution of Eq. 1.1. Then, by a result in [4],y is either
oscillatory, of class Mi, i = 0,1,2, or y E c # 0. Moreover, in [4]it is proved that if
y is oscillatory, then there exists T such that for any zero f 2 7 of the function y[l],
y(E)y[2](~)< 0. Let to = max{.r,ty}.
1. Let y be oscillatory, of class Mi, i = 0,1, or y s c # 0 for large t. From the
definition of the function F and Lemma 3.2, it follows that for this solution

Hence, we have in view of (H2)

00 > F ( m ) - F(to) =
10 Math. Nachr. 187 (1997)

= lom F'(s)ds

2 KS"y(t)f(y(t),yrll(t),y[2]0)
to dt,

i. e., all such solutions are of the limit - circle type.

2. Let y be of class M2. For definiteness suppose y(t) > 0, y['l(t) > 0, y['](t) 2 0
on [to, co). From ( H l ) and the assumptions of the theorem, it follows that

(3.4) yI31(7) = o e Y(T) = o a .e ..

Moreover, y, yll] are increasing and y[2] is nondecreasing on [to,co),so from 3.4, it is
obvious that y[2] # 0 on [to, co), i. e.,

(3.5) y(t) > 0 , y['l(t) > 0 , y['](t) >o on [to,co).

From 3.4 and 3.5 we obtain

Using the inequalities

where
Bartusek/DoSlb, Nonlinear Third Order Differential Equations 11

Let tl 2 to + 2 be such that y(t1) 2 M , where M is from the assumption 3.2 of the
theorem. Then y ( t ) 2 M for t E [tl,oo),and using 3.2 and 3.6 we obtain

where K1 = (l/y[21(to)c2)P-1> 0, so the solution is of the limit-circle type. 0

Remark 3.4. For the equation without quasiderivatives, i.e., p T 1 it is

sufficient to have p > 3/2. Then the condition 3.3 is satisfied.

Theorem 3.5. Let a = 0 and let there exists K > 0 such that
1
(3.7) - I lf(zl,xz,x3)1 f o r 1x11 2 K > 0, 2 2 , E~ R.
1x1 I
Then Eq. 1.1 is of the limit -point type.
Proof. Let y be any solution of Eq. 1.1. If it is singular, then the conclusion of the
theorem holds. Consider a solution a, with the initial conditions

(3.8) y(0) 2 K , y[lI(O) > 0 , Y [ ~ ] ( O )> 0 ,

which is defined on R+.From Eq. 1.1 and ( H l ) , it follows that y and y[l] are increasing.
Then, in view of 1.2 and 3.8, we have y ( t ) 2 K for t E R+. Thus, 3.7 implies

Hence, Eq. 1.1 is of the limit -point type. 0

Before to study the opposite sign condition, a = 1, we prove an inequality of Kol-

mogorov - Horny type for quasiderivatives of any function z .

Lemma 3.6. Let -00 < tl < t 2 < 00. Let r , p , s and z be continuous positive
functions such that the quasiderivatives defined by

are continuous for i = 1,2 and E Ll,,[tl,tz]. Suppose that i = 1,2, have
a zero in [tl,tz] and let
12 Math. Nachr. 187 (1997)

Denote
vi = max Iz[il(t)l, i = 0,1,2, and v3 2 I ~ [ ~ ] ( ta.) le. on [tl,t2]
tl95t2

Then,
!$l
(3.9) v1 5 KvO '3s 7

where K = 2c1# c2* .

Proof. We can choose intervals Ji C [tl,tz],i = 1,2, such that

1 1
vi = max zIiI ( t ) , min
Ji Ji
1dil( t )1 = 0 , does not change sign on Ji .
Then
v; 5 2 1, ~ z ~ l ] dt
z ~ l ~ 5' ~ 2v2 1, !lz'l

k,
5 2 ~ 2 ~ 1(z'ldt 5 2clvovz ,

Theorem 3.7. Let a = 1 and (H2) hold. Suppose that the following assumptions
are satisfied: there exists K > 0 such that 3.7 holds,

(3.10) Jf(x1,~2,~5
3 ) )1 + 1x1) on I R ~ ,

Mt)l
there exist Li > 0, i = 1,2, such that -
P(t)
L1
(3.11)
r ( t ) < Lz on R+,
and p(t> -
and
(3.12) lmr(t)dt = 00, r bounded from above.

Then Eq. 1.1 is of the limit-point type.

Proof. From [6, Lemma 81 it follows that every solution of Eq. 1.1 is defined on
R+.Under hypotheses 3.11, 3.12, every nonoscillatory solution is either of Kneser
type, of class M2, or identically zero for large t.
From [5, Theorem 3.11 it follows that the limit of the function F for a Kneser solution
satisfies
-00 < F(0O) 5 0 .
Bartusek/Dosli, Nonlinear Third Order Differential Equations 13

If the solution is identically zero for large t , then F E 0. Now, the function F is
nondecreasing. Thus, if we consider a solution of Eq. 1.1 with the initial conditions
such that F ( 0 ) > 0, then this solution is either oscillatory or of class Mz.
Let y be a solution of Eq. 1.1 satisfying initial conditions such that

(3.13) F(0) 2 51 (1 + 2K)2L:/3L~($$TI3.

1. Let y be an oscillatory solution. Without loss of generality let us consider the

then y is also a solution of this equation. In [5] we have described the zeros of #I,
{fl},
i = 0,1,2: There exist increasing sequences { t i } i = 0 , 1 , 2 , k E IN, tending to
00 such that
ti < ti 5 fl < ti < ti,, ,
&"(ti) = 0 , i = 0, 1, 2 ,
y['](t) E o for t E [tZ,i?:],
(3.14)

> o on (ti,ti)
< o on (fi,ti+l).
Now we will describe "waves" of this solution. Denote

V3k = Ll(1 + VOk)

Under assumption (H2), a Kolmogorov - Horny type inequality (Lemma 3.6)

holds, where MI = 2($$)2/3L:/3. From the definition of the function F , we have

Then for KZ=

(3.15)
14 Math. Nachr. 187 (1997)

Hence, from 3.13 and 3.15 we have

(3.16) Uok 2 2K, k € N .
Let us define the sequence of intervals 6k = [ S k , t : ] , IC E IN, by

VOk
sk (ti,t:) and lY(sk)l = 2.
Thus, by 3.14 and 3.16 we have Iy(t)l 2 V O k / 2 2 K on 6 k .
Let A k = t: - S k . Using Lemma 3.6 and 3.16, we have

&om here
A k 2 C > 0,
where c is a suitable positive constant.
If y is of the limit - circle type, then using 3.7 we obtain

' IW
Y (t)f (Y (9 Y[% 9 ,Y[210)) d t

L 2 s,
k=l
Y(t)f(Y(t),Y[11(t),Y[21(t)) dt

= m
which is a contradiction.
2 . Let y be a nonoscillatory solution of class defined on [to,oo). &om 3.12, we
have
Bartusek/DoSlL, Nonlinear Third Order Differential Equations 15

and hence limt+.ooIy(t)l = 03. Also,

where tl 2 to is such that Iz/(tl)l2 K . The proof is complete. 0

Theorem 3.8. Let a = 1.

a) Let there exist E > 0 such that f(xl,x2,x3) # 0 for z1 # 0, [xi[< E , i = 2,3,
and K > 0 such that I~(z~,z~,zQ)I 5 Klzll on R3, J r r ( s ) d s = J,"p(s)ds = 03,
Jr la(t)l J i p ( s ) J: r ( r )d r dsdt < 00. Then every Kneser solution of Eq. 1.1 is of the
limit -point type.
b) Suppose (H2)) la(t)l 2 K > 0 on R+ and r ( s )ds = 03. Then every Kneser
solution of Eq. 1.1 is of the limit-circle type.
Proof. a) According to a result of M. SVEC [20], every Kneser solution tends to
some nonzero constant c. Hence there exists r 2 t, such that Iy(t)l 2 c/2 for t 2 r.
Denote m = minlf(xl,x2,x~)lfor c/2 5 1x11 5 l p ( ~ ) l 0, 5 /xi/5 [ Y [ ~ - ' ] ( T )i~=, 2,3.
Then m > 0 and

b) Reasoning as in the proof of Theorem 3.7, according to [5, Theorem 3.11 F(oo) 5 0
for every Kneser solution. Integrating the equality in 3.1 from 0 to 03 we obtain

It follows that F ( w ) < 03 if and only if both (positive) integrals are convergent, i.e.,
using the fact that a is bounded from bellow, the Kneser solution satisfies 2.3, which
was to be proved. 0

4. Application to equations in normal form

Here we state the criteria of limit - point/limit -circle type for equations in normal
form
16 Math. Nachr. 187 (1997)

(4.1) Y"' + Q(t)Y' + s ( t ) f ( y ) = 0,

where q E Co(R+),f E Co(R),s E Lloc(R+) and zf(z) 2 0.
Together with Eq. 4.1, let us consider the second order linear equation

(4.2) u)' + q(t)u = 0 .

We will consider two cases of Eq. 4.1:
lstcase: q ( t ) > 0 and Eq. 4.1 is a self - adjoint linear equation, called Appel equation,

(4.3) y"' + 4 q ( t )yl + 2 q'(t)y = 0.

2nd case: q ( t ) 5 0 and s ( t ) < 0.

The following two results hold in the lstcase.

Lemma 4.1. If Eq. 4.2 is of the limit -circle type and all its solutions are bounded,
then the Appel equation 4.3 is also of the limit -circle type.
Proof. Recall two facts. Three linearly independent solutions of Eq. 4.3 are u:,
~ 1 ~ 2 where
ui, ui, i = 1,2, are linearly independent solutions of Eq. 4.2; if Eq. 4.2 is
of the limit-circle type, then it is oscillatory, so Eq. 4.3 is oscillatory. Since Eq. 4.2
has every solution u in L2 then, because they are bounded, u are also in L4(0,m).
Let y be any solution of 4.3. Then it is a linear combination of u:, ~ 1 2 1 2 ug,
, where
ui,i = 1,2, are two linearly independent solutions of Eq. 4.2.

If Eq. 4.2 is if the limit-cirgle type, then its solutions need not be bounded. To
ensure the boundeness, we use result of [3, Consequence 3.121: If g' 2 0 then all
solutions of Eq. 4.2 are bounded. From this, Lemma 4.1 and from Dunford - Schwartz's
limit -circle criterion for Eq. 4.2, see [8], we obtain the following result.

Corollary 4.2. Let the following assumptions

hold. Then Appel equation 4.3 i s of the limit-circle type.

2nd case. Here Eq. 4.1 can be rewritten as Eq. 1.1 because

holds, where h is a positive solution of Eq. 4.2. Hence, Eq. 4.1 becomes

(4.4)
BartuSek/DoBlB, Nonlinear Third Order Differential Equations 17

which is in the form of Eq. 1.1. Also, if s(t) < 0, then (Hl) holds with a = 0.

Corollary 4.3. Let f ( x ) x > 0 for all x # 0, q(t) -L 0 and p ( t ) s ( t )5 K < 0 ,

where p ( t ) = eat for L > 0 and p ( t ) = t for L = 0. Suppose there exist M > 0 and
p such that
1
If(x)l 5 - for 1x1 2 M ,
IxlP
where ,L? > 1 for L > 0 and p > 312 for L = 0. Then Eq. 4.1 is of the limit-circle
type.
Proof. We apply Theorem 3.3 to Eq. 4.4. To ensure that (H2) holds, we choose h to
be a nondecreasing solution of Eq. 4.2, which we can do since Eq. 4.2 is nonoscillatory.
Let h satisfy the initial conditions

h(0) 2 1, h'(0) 2 &.

Next, we will verify that 3.3 holds for such h. Since q(t) 5 -L, we can compare Eq. 4.2
to the equation
21" - Lv = 0

and we obtain the lower estimation for the solution h

Using this estimate, we have

i.e., 3.3 is satisfied. Obviously, the assumption of Theorem 3.3 a ( t ) 2 K is satisfied.

This completes the proof. 0

An application of Theorem 3.5 yields the following limit - point result.

Corollary 4.4. Let Eq. 4.2 be nonoscillatory, s ( t ) < 0 and there exists M > 0 such
that
1
-1x1
I If(z)l for 1x1 2 M .
Then Eq. 4.1 is of the limit -point type.

Acknowledgements

The authors wish to thank Professor JOHN GRAEFfor his helpful comments.
This work was supported by grant from Commission of the European Economic Community
for Cooperation in Science ond Technology with Central and Eastern European Countries
(Brussels) and by grant 201/93/0&i3 of Czech Grant Agency (Prague).
18 Math. Nachr. 187 (1997)

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Department of Mathematics
Masaryk University
JanciEkovo ncim. 20
662 95 Brno
Czech Republic
e -mail:
bartusek@math.muni.cz