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HOMEOMORPHISMS ON NONPRIME 3-MANIFOLDSXUEZHI ZHAO Received 5 September 2004; Revised 15 March 2005; Accepted 21 July 2005 We will consider the number of fixed points of homeomorphisms co

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HOMEOMORPHISMS ON NONPRIME 3-MANIFOLDS

XUEZHI ZHAO

Received 5 September 2004; Revised 15 March 2005; Accepted 21 July 2005

We will consider the number of fixed points of homeomorphisms composed of finitely many slide homeomorphisms on closed oriented nonprime 3-manifolds By isotoping such homeomorphisms, we try to reduce their fixed point numbers The numbers ob-tained are determined by the intersection information of sliding spheres and sliding paths

of the slide homeomorphisms involved

Copyright © 2006 Xuezhi Zhao This is an open access article distributed under the Cre-ative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited

1 Introduction

N( f ) provides a lower bound A classical result in Nielsen fixed point theory is: any map

f : X → X is homotopic to a map with exactly N( f ) fixed points if the compact

polyhe-dronX has no local cut point and is not a 2-manifold This includes all smooth manifolds

with dimension greater than 2

It is also an interesting question whether the Nielsen number can be realized as the number of fixed points of a homeomorphism in the isotopy class of a given homeomor-phism In fact, it is just what J Nielsen expected when he introduced the invariantN( f ).

for the unique closed 1-manifold A positive answer was given by Jiang and Guo [5] for 2-manifolds, and was given by Kelly [7] for manifolds of dimension at least 5

geometric conjecture is true, all nonprime 3-manifolds are of this type

In this paper, we will consider a certain class of homeomorphisms of closed, oriented 3-manifolds that have a connected sum decomposition into prime factors, namely

Hindawi Publishing Corporation

Fixed Point Theory and Applications

Volume 2006, Article ID 25897, Pages 1 19

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It is known from work of Kneser and Milnor that in the oriented setting, the prime and irreducible factors of the decomposition are unique We examine homeomorphisms that can be expressed as the composition of finitely many slide homeomorphisms A so-called slide homeomorphism is the identity away from a certain stratified open neighborhood, the sliding set, of a torus, and is defined by a family of rotation-like transformations on this set According to McCullough’s result (see [8]), an arbitrary homeomorphism of a re-ducible 3-manifold can be expressed as the composition of homeomorphisms that comes

in four types, one of which is that of slide homeomorphisms

In [9], the author considered the Nielsen numbers and fixed points of

The fixed point index of the complement of the union of the sliding sets was proved to be

the fixed point numbers, the fixed point class coordinates and the fixed point indices for all fixed points can be determined Thus, we were able to give some estimating bounds on the Nielsen numbers of such kinds of homeomorphisms The present paper is a

arbitrary positive integer We will focus on a geometrical method to reduce the number of fixed points in any given isotopy class of such a homeomorphism The lower bound prop-erty of Nielsen number implies that our number of fixed points yields an upper bound for Nielsen number

which will be used throughout this paper, and recall the definition of slide

isotoped to a fixed point free homeomorphism by an arbitrary small isotopy Although each component of this set has zero fixed point index ([9, Theorem 3.2]), the result here is not very obvious because we are considering fixed points up to isotopy rather

the size of this fixed point set is expressible in terms self-intersection data for the slid-ing set (Proposition 4.6) Reducslid-ing the number of fixed points for homeomorphisms in

inter-sections; our main result (Theorem 4.11) gives a lower bound for this number Finally, a

can be further reduced

2 Conventions and notations

In this section, we will make necessary conventions in notation, which will be used in later sections

sum of finitely many prime 3-manifolds, that is,M = M1#M2#···#M n #···#M n +n , in whichM iis irreducible for 1≤ i ≤ n andM i = S2× S1forn + 1≤ i ≤ n +n  The non-prime property implies thatn +n  > 1.

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Take a 3-sphere and removen + 2n open discs to obtain a punctured 3-cellW with

n + 2n boundary components We then have thatM = W ∪(∪ n +n 

i =1 M i ), whereM i  =

M i −Int(D i) for 1≤ i ≤ n  andM i  = S2× I for n + 1≤ i ≤ n +n  (see [8]) EachM  i

ofM i 

a path without self intersection inM such that α ∩ M  j = α ∩ S = { α(0), α(1) } Take two regular neighborhoodsN andN (N  ⊂Int(N )) ofα ∪ S in M Then Int(N  − N ) has

write the latter asT(S, α).

Pick a coordinate functionc : T(S, α) → T2×(0, 1), where the points inT2×(0, 1) are labeled by (θ, ϕ, t), such that the θ-line, c −1(θ, ∗,), is parallel to the oriented pathα and

thet-line c −1(,,t) moves radially away from the path α when the value of t is increased.

s(x) =

c −1(θ + 2πt, ϕ, t) ifx = c −1(θ, ϕ, t) ∈ T(S, α),

sliding sphere and sliding path ofs(S, α).

(3) Orientations and isotopies Since all manifolds under consideration are oriented,

including sliding spheres and sliding paths, isotopies here are considered to be ambient

manifolds,∂M 1and∂M 2are not regarded as isotopic

(4) Fundamental groups and path classes Consider the construction M = W ∪(∪ n +n 

i =1 M i )

ofM We choose a point x0inW as its base point To any path γ with ending points in W

∗∗ inπ1(M, x0), whereγ ∗andγ ∗∗are path fromx0 toγ(0) and γ(1) in W respectively By abuse of notation, we write it simply as

γ Choosex j ∈ ∂M  jas base point ofM  jforj =1, 2, , n +n  Thus, eachπ1(M  j,x j) is embedded intoπ1(M, x0) in a natural way as above, and henceπ1(M, x0) is the free prod-uct ofπ1(M  j,x j),j =1, 2, , n +n  We write simply asπ1(M, x0)= π1(M1)∗ π1(M2)

··· ∗ π1(M n  +n ), which is also equal toπ1(M1)∗ π1(M2)∗ ··· ∗ π1(M n +n )

com-posed of finitely many slide homeomorphisms, that is, f = s(S m,α m)◦ s(S m −1,α m −1)

··· ◦ s(S1,α1) The union∪ m

j =1T(S j,α j ) of all sliding sets is said to the sliding set of f For

a simplification in notation, we writes m  ··· m for the compositions(S m ,α m )◦ s(S m  −1,

α m  −1)◦ ··· ◦ s(S m ,α m ) for anym andm (1≤ m  < m  ≤ m) In particular, s(S j,α j) is simply written ass j

can ensure the sliding pathsα1,α2, , α m, and sliding spheresS1,S2, , S mare in general position relative to the set∪ m

j =1{ α j(0),α j(1)} Thus, these sliding paths have no intersec-tion, andα iintersects withS j transversally fori j Since each sliding sphere is isotopic

sit-uation, if each sliding setT(S j,α j) is in a small neighborhood ofα j ∪ S j, the number

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α i

q(i, j;1)

q(i, j;2)

S j

· · · ·

Figure 2.1

of components of intersection of two sliding setsT(S j ,α j ) andT(S j ,α j ) is equal to the number of points in (α j  ∪ S j )(α j  ∪ S j ) for all j  and j with j  j  In this situation, we say that the sliding set∪ m

j =1T(S j,α j) of f is in general position.

(7) Components B(,;)of the intersection of sliding sets If the sliding set ∪ m

j =1T(S j,α j)

is in general position, the points in α i ∩ S j (i j) are denoted by q(i, j;1),q(i, j;2), ,

q(i, j; | αi ∩ Sj |)(seeFigure 2.1), where the last subscript indicates the order inα i ∩ S j along the direction of α i, that is, α −1

i (q(i, j;k ))< α −1

i (q(i, j;k )) in I =[0, 1] if and only if k  <

k  The corresponding components ofT(S i,α i)∩ T(S j,α j) nearby are written asB(i, j;1),

B(i, j;2), , B(i, j; | αi ∩ Sj |) Obviously, we have

Proposition 2.1 If the sliding set ∪ m

j =1T(S j,α j ) is in general position, then each B(,;)is homeomorphic to a solid torus, and T(S i,α i)∩ T(S j,α j)=( | k αi = ∩1Sj | B(i, j;k))( | l αj =1∩ Si | B(j,i;l))

for any i and j, where i, j =1, 2, , m with i j.

3 Removing fixed points on the complement of sliding set

s iis justM − T(S i,α i), the points in the complementM − ∪ m

j =1T(S j,α j) of the sliding set

of f are totally contained in the fixed point set of f In [9], we proved that this isolated fixed point set has zero fixed point index In this section, we will show that this fixed point set can be removed by arbitrary small isotopy

The following definition is originally from [2]

Definition 3.1 Let Γ : N → TN be a vector field on a compact smooth n-manifold N.

boundaries)∂ o N, ∂+N and ∂ − N with ∂+N ∩ ∂ − N = ∅such thatΓ(x) is tangent to ∂ o N

forx ∈ ∂ o N, points inward to N for x ∈ ∂ − N and points outward from N for x ∈ ∂+N.

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Example 3.2 A constant vector field on R2 is given byΓ(x, y) =(1, 0) Then the subset

N =[0, 1]×[0, 1] is a manifold with corners for such a vector fieldΓ, with ∂ o N =[0, 1]× {0, 1},∂ − N = {0} ×[0, 1] and+N = {1} ×[0, 1]

The next lemma is a kind of generalization of the Poincar´e-Hopf vector field index theorem There are some similar statements in dynamical system theory, see for example [3, Lemma A.1.3]

a disjoint union of m-copies of a sphere such that ∂ o N is a disjoint union of m-copies of an annulus, and either ∂+N or ∂ − N is a disjoint union of m-copies of a disc, then we can change

Γ relative to a neighborhood of ∂N in N into a nonsingular vector field Γ 

Proof Through a coordinate function, each component of ∂N can be regarded as one of

the following:

C k =(x, y, z) : | x | ≤4, (y −8k)2+z2=4 orx = ±4, (y −8k)2+z24

wherek =1, 2, ,m Since ∂+N ∩ ∂ − N = ∅, we may assume that

∂ o N = ∪ m

k =1

 (x, y, z) : | x | ≤4, (y −8k)2+z2=4

,

∂ − N = ∪ m

k =1

 (x, y, z) : x =4, (y −8k)2+z24

,

+N = ∪ m

k =1

 (x, y, z) : x = −4, (y −8k)2+z24

.

(3.2)

D k =(x, y, z) : | x | ≤4, (y −8k)2+z24

SinceN is a manifold with corners for the vector fieldΓ, Γ points inward for the cylinders

have thatΓ(p) ∈ {(x, y, z) : x > 0 }forp ∈ ∂+N ∪ ∂ − N It is not difficult to prove that the

k =1D ksuch that there is no singular point

k =1D k

Since N ∪(∪ m

k =1D k) is a closed 3-manifold, its Euler characteristic number is zero

Using this lemma, we can prove the following lemma

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Lemma 3.4 Assume that the sliding set of f is in general position Given any positive number

ε, there is an isotopy F : M × I → M from f to f  satisfying:

(i)d(F(x, t), f (x)) < ε for any x ∈ M and any t ∈ I,

(ii) the support set { x ∈ M : F(x, t) f (x) for some t ∈ I } of F is contained in the ε-neighborhood N ε(M − ∪ m

j =1T(S j,α j )) of the complement of the sliding set

∪ m

j =1T(S j,α j ) in M,

(iii) Fix(f )=Fix(f ) −(M − ∪ m

j =1T(S j,α j )).

Proof Clearly, we can regard a neighborhood N(∂W) of ∂W in M as a subset of R3 so that∂W = − ∪ n +2n 

j =1 C j, where

C j =(x, y, z) ∈ R3: (x, y, z) : | x | ≤4, (y −8j)2+z2=4

orx = ±4, (y −8j)2+z24

having the orientation induced fromR3 Since∂W = − ∪ n +n 

j =1 ∂M  j, we may arrange so that∂M  j = C jfor 1≤ j ≤ n ;∂M  n +j = C n +2j −1∪ C n +2j The setW is located outside of

theseC j’s with respect to the given orientation ofC j’s

Clearly, we can construct a vector fieldΓ0:M → TM on M so thatΓ0(p) = {1, 0, 0}for anyp in the neighborhood N(∂W) of ∂W in M, where

N(∂W) = ∪ n +2n 

k =1

 (x, y, z) ∈ R3: (x, y, z) : | x | ≤3, 1(y −8k)2+z29

or 3≤ | x | ≤5, (y −8k)2+z29

M  j’s, we will get a nonsingular vector fieldΓ : M → TM on M so that Γ(p) = {1, 0, 0}for anyp ∈ N(∂W).

We then have a well-defined correspondenceμ : {1, 2, , m } → {1, 2, , n + 2n  }such thatS kis isotopic toC μ(k)inM for any k =1, 2, , m.

We takeS kto be the sphere outside ofC μ(k)by a distance ofν k(0< ν k < 1) Moreover,

we can arrange theseν1,ν2, , ν mto have distinct values Each sliding pathα kattaches the

α k(u) =(ν k, 8μ(k), 2 + ν k+u) and α k(1− u) =(ν k, 8μ(k), −2− ν k+ 1− u) for small u ∈

I Each point q(j,k; ∗) in α j ∩ S k lies on (x(q(j,k; ∗)), 8μ(k) + 2 + ν k, 0), where all possible

x(q(j,k; ∗)) are distinct numbers in (1, 1) (seeFigure 3.1)

We can make such an arrangement because any two sliding spheres and any two slid-ing paths have no intersection by the general position assumption We then arrange the

j =1(α j ∪ S j)

Letξ : M × R → M be the flow generated by Γ We will show that ξ( f (p),t) p for all

j =1T(S j,α j) inM provided t is small

enough

Case 1 If p ∈ M − ∪ m

i =1T(S i,α i), then f (p) = p Since Γ has no zero, we have that ξ( f (p),

t) = ξ(p, t) p when t is small enough.

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x

S k

α j 

q(j  ,k;∗)

q(j,k;∗) α j

α k(0)

Figure 3.1

Case 2 If p ∈ ∪ m

i =1T(S i,α i), then there is a unique smallest numberj with p ∈ T(S j,α j) There are two subcases

Subcase 2.1 If s j(p) m i = j+1 T(S i,α i), thenf (p) = s j(p) By general position, we can

ar-rangeα jso thatΓ(α j(u)) does not parallel to the tangent vector of α j(u) at u for all u ∈ I.

Thus,ξ( ·,t) will not push along (or opposite) to the direction that s jdoes It follows that

ξ( f (p), t) p when p is closed to the boundary ∂T(S j,α j) ofT(S j,α j) (seeFigure 3.2)

Subcase 2.2 If s j(p) ∈ ∪ m

i = j+1 T(S i,α i), then there is a unique smallest number k with

k > j such that s j(p) ∈ T(S k,α k) Notice that p is close to ∂( ∪ m

i =1T(S i,α i)) We have that

s j(p) is also close to ∂T(S k,α k) because the difference between p and s j(p) is small, so

s k ◦ s j(p) will not meet any sliding set other than T(S k,α k) andT(S j,α j) It follows that

f (p) = s k ◦ s j(p).

The component ofT(S k,α k)∩ T(S j,α j) aroundp and f (p) have two types: B(k, j; ∗)and

B(j,k; ∗) In the first type, we explain the behavior ofξ( f (p), t) in two parts ofFigure 3.3 The first two stages from p to s k ◦ s j(p) is shown on the left part The last stage is

illus-trated in the right part, wheres j(p) is behind f (p) = s k ◦ s j(p) Let p =(x p,y p,z p), we have



x p,y p,z p sj 

x p,y  p,z  p sk 

x p,y  p,z  p ξ( ·,t) 

x  p ,y  p,z  p

enough It follows thatξ( f (p), t) p The proof for the type B(j,k; ∗)is the same

F δ,η(p, t) =

j =1T

S j,α j ,

ξ

p, max

η − d

p, ∪ m

j =1∂T

S j,α j

, 0

δt

ifp ∈ ∪ m

j =1T

S j,α j

.

(3.7)

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p s j(p) = f (p)

T(S j , α j)

ξ( f (p), t)

α j

ξ( · , t)

Figure 3.2

T(S j , α j)

T(S k , α k) s k ◦ s j(p) s j(p) z

y

α k

T(S j , α j)

p ξ( f (p), t)

s k ◦ s j(p)

T(S k , α k)

z x

Figure 3.3

Note that the arguments forξ still work for F δ, η, so we can prove thatF δ, η(f (p), t) p

j =1T(S j,α j) inM Thus, when δ

Corollary 3.5 Any slide homeomorphism is isotopic to a fixed point free map.

4 Fixed points on sliding sets

j =1T(S j,α j) For an arbitrary fixed point x of f on its sliding set, we

exam-ine its “trace”x, s1(x), s21(x), , s m ···1(x) under the sliding homeomorphisms composing

f Lemma 4.1will show that the sliding sets of individual slide homeomorphism meet-ing this trace is totally determined byx itself provided that each sliding set T(S j,α j) is

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components of the intersection of sliding sets, which we call the accompanying sequence

of f is in general position, there is a unique point (α i ∪ S i)(α j ∪ S j) near an arbitrary component ofT(S i,α i)∩ T(S j,α j) Thus, in some sense, reducing the number of fixed points is equivalent to reducing the number of intersection points between the sliding paths and sliding spheres The minimal numberMI( { α1, , α m },{ S1, , S m }) of the in-tersection of sliding paths and sliding spheres gives a possible number of fixed points for

N( f ) is a lower bound of the number of fixed points for maps in the homotopy class of

f , the minimal number MI( { α1, , α m },{ S1, , S m }) also provides an upper bound of

N( f ).

Lemma 4.1 If any three of these sliding sets T(S j,α j )’s have no common points, then to each

fixed point x of f there is associated a unique sub-sequence { i1, 2, , i k } of {1, 2, , m } with

k ≥ 2 such that s ik ◦ ··· ◦ s i2◦ s i1(x) = x ∈ T(S i1,α i1), and such that s ij −1◦ ··· ◦ s i2◦ s i1(x) ∈

T(S ij,α ij ) for j =2, 3, , k.

Proof Let x be a fixed point of f in ∪ m

i =1T(S i,α i) There is a unique minimali such that

x ∈ T(S i,α i) We write this number asi1 A sequence{ i1,2, , i k }will be defined induc-tively:

i j =min

n : n > i j −1,s ij −1◦ ··· ◦ s i1(x) ∈ T

S j,α j

Sincex ∈ T(S i1,α i1), we haves i1(x) x If there was no such a number i2,s i1(x) T(S i,α i) for alli > i1 Thus, f (x) = s m ···1(x) = s m ··· i1(x) = s i1(x) This would contradict the fact

thatx is a fixed point of f , so we always have that k ≥2

By definition of i j, we have thats n ···1(x) = s i1(x) if i1≤ n < i2, and that s n ···1(x) =

s i2◦ s i1(x) if i2≤ n < i3 Inductively, we will get thats n ···1(x) = s ip −1◦ ··· ◦ s i2◦ s i1(x) if

i p −1≤ n < i p

When our induction stops at a stagei p, we have thats ip ···1(x) = s ip ◦ ··· ◦ s i2◦ s i1(x)

does not lie in any sliding setT(S n,α n) withn > i p, sos m ··· ip ◦ s ip −1◦ ··· ◦ s i1(x) = s ip ◦

s ip −1◦ ··· ◦ s i1(x) It follows that f (x) = s m ···1(x) = s ip ◦ s ip −1◦ ··· ◦ s i1(x) This point is

just x because x is a fixed point of f Thus, this i p is the final number, sayi k, in our subsequence of{1, 2, , m }

Let us prove the uniqueness of such a subsequence If there is another subsequence

{ j1, 2, , j l }satisfying the same conditions as{ i1,2, , i k }, then we will get that x ∈

T(S j1,α j1) Since any three of the sliding sets have no common points, j1is equal to either

i1ori k If the last case happens, that is, j1= i k, by the choice ofi k, we have thats j(x) = x

for allj > i k Thus, there would be noj2 It follows thati1= j1

Assume thatj p = i pforp =1, 2, , n −1 By the property of the subsequence{ i1, 2, ,

i k }, we haves in −1◦ ◦ s i1(x) ∈ T(S in,α in); by the property of the subsequence{ j1, 2, , j l },

we haves jn −1◦ ◦ s j1(x) ∈ T(S jn,α jn) Our assumption implies thats in −1◦ ◦ s i1(x) and

s jn −1◦ ◦ s j1(x) are the same point Since this point lies in the image of T(S in −1,α in −1)=

T(S jn ,α jn ) under homeomorphisms in = s jn It also lies inT(S in ,α in ) Since any

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three of the sliding sets have no common points,T(S in,α in),T(S jn,α jn) andT(S in −1,α in −1) are at most two different sets Because in i n −1and j n j n −1= i n −1, the unique possibil-ity is thatj n = i n Thus, we can prove by induction that j n = i nforn =1, 2, , min { k, l }

{ j1, 2, , j l }, we have thats jk ◦ ··· ◦ s j1(x) ∈ T(S jk+1,α jk+1) Since we have proved that

j n = i nforn =1, 2, , k, s jk ◦ ··· ◦ s j1(x) = s ik ◦ ··· ◦ s i1(x) = x Thus, x lies in T(S i1,α i1)

T(S ik,α ik)∩ T(S jk+1,α jk+1) Sincei k > i1, j k+1is equal to eitheri1= j1ori k = j k This is a

For such a fixed pointx, we write B1for the component ofT(S ik,α ik)∩ T(S i1,α i1) con-taining x, and write B j, j =2, 3, , k, for the component of T(S ij −1,α ij −1)∩ T(S ij,α ij) containings ij −1◦ ··· ◦ s i2◦ s i1(x) The sequence { B1,B2, , B k } is said to be the

accom-panying sequence of x in the components of the intersection of sliding sets Clearly, the set

{ B1,B2, , B k }itself is just the set of all components of the intersection of sliding sets containings n ···1(x) for some n In other words, we have

Proposition 4.2 Let x be a fixed point of f and { i1, 2, , i k } be its associated sub-sequence

of {1, 2, , m } Let { B1,B2, , B k } be a set consisting of some components of the intersection

of sliding sets such that B1 is a component of T(S ik,α ik)∩ T(S i1,α i1), and such that B j , j =

2, 3, , k, is a component of T(S ij −1,α ij −1)∩ T(S ij,α ij ) Assume that any three of these sliding

sets have no common points Then, { B1,B2, , B k } is the accompanying sequence of the fixed point x of f if and only if x belongs to the following set:

s ik ◦ s ik −1◦ ··· ◦ s i1(B1)∩ s ik ◦ s ik −1◦ ··· ◦ s i2(B2)∩ ··· ∩ s ik(B k)∩ B1. (4.2)

j =1T(S j,α j ) of f is in general position If s j(B(i, j;k))

∩ B(i ,j;k )= ∅ unless i = i  and k = k  , then the accompanying sequence of each fixed point

of f in sliding sets has either one of the following forms:



B(ik,i1 ;),B(i1 ,i2 ;),B(i2 ,i3 ;), , B(ik −1 ,ik;)

 ,



B(i1 ,ik;),B(i2 ,i1 ;),B(i3 ,i2 ;), , B(ik,ik −1 ;)



where 1 ≤ i1< i2< ··· < i k ≤ m (see Figure 4.1).

Proof Let x be a fixed point of f in the sliding set with accompanying sequence { B1,

B2, , B k } Then, by definition, there is a set{ i1, 2, , i k }with 1≤ i1< i2< ··· < i k ≤ m

such thatB1is the component ofT(S ik,α ik)∩ T(S i1,α i1) containingx, and such that B j,

j =2, 3, , k is the component of T(S ij −1,α ij −1)∩ T(S ij,α ij) containings ij −1◦ s i2◦ s i1(x) If

there is aB j is of the formB(,ij;), that is, a component which is not near toα ij, then

B j = B(ik,i1 ;)for j =1;B j = B(ij −1 ,ij;)forj 1

Whenj < k, we have that s ij ◦ s ij −1◦ ··· ◦ s i1(x) ∈ s ij(B j)∈ B j+1 Sinces ij(B(,ij;)) does not meet any component of the form B(,ij;) but itself,B j+1 = B(ij,;) Because B j+1

lies inT(S ij+1,α ij+1), we haveB j+1 = B(ij,ij+1;) Similarly, we can prove thatB1= B(ik,ii;)if

B k = B(ik −1 ,ik;)

Notice that eachB j is only one of two types: either B j = B(ij −1 ,ij;) orB(ij,ij+1;) The

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