Hodge Index Theorem
The Hodge Index Theorem determines the signature of the intersection form on the Neron--Severi group of a smooth projective surface. It is the single most important constraint on the arithmetic of divisors: the intersection pairing is hyperbolic, having exactly one positive eigenvalue. This gives rise to the Hodge inequality, Zariski's lemma, the negativity lemma, and an interpretation of as hyperbolic space.
Statement
Let be a smooth projective surface over an algebraically closed field. Let be the Neron--Severi group of with the intersection pairing, and let be the Picard number. Then the intersection form on has signature .
That is, there exists a basis of in which the intersection matrix is .
Let be a smooth projective surface and an ample divisor on . If is a divisor with , then , with equality if and only if (numerically trivial).
In other words, the orthogonal complement is negative definite.
The intersection form has at least one positive direction: if is ample, then by the Nakai--Moishezon criterion. Theorem 5.3 says is negative definite, so there is exactly one positive direction. This means the signature is , recovering Theorem 5.2. Conversely, signature means the orthogonal complement of any vector with positive self-intersection is negative definite by Sylvester's law of inertia.
Proof sketch
We prove Theorem 5.3. Let be ample and a divisor with . We must show .
Step 1: Riemann--Roch. For any integer , Riemann--Roch gives:
Step 2: Serre duality bound. We have since by Serre duality and .
Step 3: Ampleness constraint. Since is ample and , we get for all . An effective divisor satisfies (since is ample and is a nontrivial effective cycle), unless . Therefore:
- If for some , then is linearly equivalent to an effective divisor with , forcing , so .
- Similarly, forces to be effective with , which is fine -- but for large enough, at most one of and can be nonzero.
Step 4: Conclusion. Suppose . Then as . So for , either or grows quadratically. Choose the sign of so that . Then for large , is linearly equivalent to an effective divisor, but forces , contradicting .
Therefore . If , a similar but more delicate argument shows .
Over , the Hodge Index Theorem follows from the Hodge decomposition and the Lefschetz theorem on -classes. In positive characteristic, the algebraic proof via Riemann--Roch (as above) works uniformly, which is essential since the Hodge decomposition may fail.
The Hodge inequality
Let be a smooth projective surface and let be divisors on with . Then:
with equality if and only if is numerically proportional to , i.e., there exists such that .
Since , we can write where satisfies . By the Hodge Index Theorem (Theorem 5.3, applied with playing the role of an ample-like class), . Computing:
so . Equality holds iff , which by Hodge Index means , i.e., .
The Hodge inequality looks like the Cauchy--Schwarz inequality but with the inequality reversed: in a positive-definite inner product space, Cauchy--Schwarz gives . The reversal occurs because the intersection form has signature , not . This is exactly the Cauchy--Schwarz inequality for the Minkowski metric of signature .
Examples: intersection forms on classical surfaces
with . The intersection form is the matrix , which has signature since . The Hodge Index Theorem is vacuous: .
The Hodge inequality gives: for any curve of degree and any curve of degree , . This is just , an equality. Since , every divisor is proportional to .
with and . The intersection matrix in the basis has entries and .
The eigenvalues are and (eigenvectors and ), confirming signature .
Hodge inequality check: Take (the diagonal, with ) and . Then and . The inequality is equivalent to β.
with , , . The intersection matrix is , which has signature directly.
Let . Then and . If , then and , with equality iff β.
Blowing up at points in general position gives with , , , for . The intersection matrix is , directly exhibiting signature .
For : the del Pezzo surface of degree (a cubic surface in ) has , intersection form , and contains the famous lines.
For : the del Pezzo surface of degree has , and the anti-canonical class satisfies .
A K3 surface over has , the K3 lattice, which is isometric to , a unimodular lattice of rank and signature .
The Neron--Severi group has rank with . By the Hodge Index Theorem, the intersection form on has signature .
- Generic K3 (): with for some .
- example: The Kummer surface of a generic abelian surface has (not !). A K3 with could have NS lattice with Gram matrix having entries on the first row and on the second, for appropriate .
- (singular K3): The Fermat quartic over achieves (the Tate conjecture), but over the maximum is .
The Hirzebruch surface has with , , .
The intersection matrix has , , , with and eigenvalues . One eigenvalue is positive, one is negative, confirming signature .
In the basis (which is nef with ) and : the matrix entries become respectively, still with one positive and one negative eigenvalue.
Hodge inequality check: , so we cannot apply the Hodge inequality with . Taking (with for ) and : and , so β.
Zariski's lemma
Let be a fibration from a smooth projective surface to a smooth curve, and let be a fiber of (so is connected). For any divisor supported on the fiber:
- .
- if and only if is a rational multiple of .
Equivalently, the intersection matrix restricted to the irreducible components of a fiber is negative semi-definite, with kernel spanned by .
Let be an ample divisor on . Since is a fiber of , all fibers are numerically equivalent, so for any other fiber . Hence (distinct fibers are disjoint).
For supported on , write where (this makes ). By the Hodge Index Theorem, with equality iff , i.e., .
Since (because , as is supported on and for components of ), we get .
Let be an elliptic fibration with a singular fiber of Kodaira type (a cycle of rational curves , each with , meeting in a cycle: for indices mod ).
The fiber is with β.
The intersection matrix of the is the negative of the Cartan matrix of type , which is negative semi-definite with -dimensional kernel spanned by , confirming Zariski's lemma.
For a type fiber (a nodal rational curve with ... actually, since it is the entire fiber): a single irreducible fiber has with .
Consider a Kodaira type fiber (): the fiber where all . The intersection matrix of is the negative of the extended Cartan matrix of , which is negative semi-definite with kernel spanned by the coefficients . One verifies , and any proper sub-combination not proportional to satisfies .
Negativity lemma
Let be a birational morphism of smooth projective surfaces, and let be an effective divisor supported on the exceptional locus of (i.e., each is an exceptional curve contracted by ). If is -numerically trivial (meaning for every curve contracted by ), then .
More generally, if for all , then is effective (all ) or . And if is effective and nonzero, then .
The exceptional curves of a birational morphism are contracted to points, so they behave like components of fibers. The intersection matrix is negative definite (not just semi-definite, since the exceptional locus is not a complete fiber). This is a consequence of the Hodge Index Theorem: the all satisfy for with ample on , and they are independent in , so the restriction of the intersection form to lies in , which is negative definite.
Let with exceptional divisor . Then . Any effective divisor () supported on the exceptional locus has β.
After blowing up two points, the exceptional locus is with and . The intersection matrix is negative definite β.
Resolving an surface singularity (locally ) produces a chain of exceptional curves with and . The intersection matrix is the negative of the Cartan matrix of , which has eigenvalues for . All eigenvalues are negative, confirming negative definiteness.
For : a single -curve. For : the matrix has diagonal entries and off-diagonal entries , with eigenvalues and .
Light cone and hyperbolic geometry
In , the light cone is:
The positive cone is one of the two connected components of ; we choose the component containing an ample class. The ample cone and the nef cone sit inside the positive cone.
Since the intersection form on has signature , the projectivization of the positive cone:
is a model of hyperbolic -space. The intersection form induces the hyperbolic metric:
for classes in the positive cone.
The Hodge inequality ensures , which is exactly the condition for the hyperbolic distance to be well-defined. Equality (i.e., ) occurs iff and are proportional.
For , with the form . The positive cone is , which has two components; the one containing is . The projectivization is parametrized by , a copy of the real line (the hyperbolic line).
The ample cone is (divisors of bidegree with ), and the nef cone boundary consists of the rays and (the two rulings), which lie on the light cone.
For a K3 surface with and NS lattice generated by with , , : the positive cone in is given by .
The ample cone is cut out by requiring additionally (i.e., ) for the -curve . So the ample cone is .
In hyperbolic -space , the ample cone corresponds to a half-line, bounded by the "wall" defined by the -curve . Reflection across this wall is the Picard--Lefschetz reflection .
Application to arithmetic: Faltings height pairing
Let be an arithmetic surface (a regular model of a curve over a number field , fibered over ). The Arakelov intersection pairing on the group of arithmetic divisors has the Hodge index property:
If is an arithmetic divisor with (where is the arithmetic canonical class), then , with equality iff is numerically trivial.
Equivalently, the Neron--Tate height pairing on the Jacobian is negative definite modulo torsion.
For an elliptic curve , the Neron--Tate height is a positive-definite quadratic form (after accounting for torsion). The rank of is the dimension of this space.
The arithmetic Hodge Index Theorem ensures that the height pairing matrix on a basis of has , which is the regulator of . This appears in the BSD conjecture:
Algebraic vs. topological intersection form
Over , a smooth projective surface has a topological intersection form on , a unimodular symmetric bilinear form of rank . By the Hodge decomposition:
where , , .
The full intersection form on has signature by the Hodge--Riemann bilinear relations. The algebraic part has signature by the Hodge Index Theorem.
The transcendental lattice carries the remaining signature .
A K3 surface has , , so the topological intersection form has signature on .
The algebraic part has signature , and the transcendental lattice has signature .
- For : (signature ) and has signature .
- For : has signature and has signature , meaning is a positive-definite lattice of rank .
For a minimal surface of general type, Noether's formula gives where is the topological Euler characteristic. The Bogomolov--Miyaoka--Yau inequality gives (equivalently ).
The topological intersection form on has signature . By Freedman's theorem, the homeomorphism type of the underlying -manifold is determined by this form (plus ). But the smooth structure carries more information (Donaldson theory), and the algebraic structure even more.
Further examples and applications
An Enriques surface has but . Its Neron--Severi group has rank , and the intersection form is the even unimodular lattice of signature .
The Hodge Index Theorem gives: for ample on and , we have . The lattice is the unique even unimodular lattice of this signature, mirroring the uniqueness of the lattice.
Any -curve on satisfies and defines a reflection preserving the lattice. The Weyl group generated by these reflections acts on the ample cone.
An abelian surface has ranging from to (over ). The Neron--Severi group embeds into via the Appell--Humbert theorem. The intersection form on has signature .
- : with (a polarization of type ). Signature .
- (generic principally polarized): with signature .
- ( has real multiplication): the extra endomorphisms produce additional algebraic classes.
- ( with CM): is rank with signature .
Let blown up at one point, with . Let be an irreducible curve of class (degree , multiplicity at the blown-up point). By irreducibility, is effective and:
- and .
- (genus formula: ).
The Hodge inequality with (taking , ): , i.e., , giving , which is trivial. But applying with the ample class () and : ... this requires more care.
A more useful application: if are two distinct irreducible curves both passing through the blown-up point with multiplicities , then by the Hodge inequality on the original : their intersection number satisfies . The cleanest use is: when .
Suppose a smooth projective surface has two divisors with and . Then and are independent in and span a sublattice of signature (the form in coordinates gives eigenvalues ).
By the Hodge Index Theorem, . Moreover, if is the class of a fiber of a fibration , then is automatic. Two independent fibrations force and the sublattice has signature .
This is realized by : the two projections give fiber classes with .
Consequences for the cone structure
The Hodge Index Theorem implies that the positive cone (for a fixed ample ) is a convex open cone. This convexity is a consequence of the Minkowski geometry: in signature , the set of future-pointing timelike vectors is convex.
In particular: if and are both in , then , i.e., . This follows from , since by the Hodge inequality (both and with in the same component, so ).
The cubic surface has and NS lattice (one positive, six negative directions). The lines on the cubic surface are the -curves, and the effective cone is generated by these classes.
The ample cone is the interior of the dual of the effective cone of curves, cut out by the inequalities for each line . In the hyperbolic -space , this is a polytope bounded by hyperplanes.
The Weyl group of order acts on the NS lattice, permuting the lines and preserving the intersection form.
Summary
The Hodge Index Theorem is the foundation for the arithmetic of divisors on surfaces:
- Signature : the intersection form is hyperbolic, having exactly one positive direction.
- Hodge inequality: when , the reversed Cauchy--Schwarz for the Minkowski metric.
- Zariski's lemma: fibers of fibrations have negative semi-definite intersection matrix.
- Negativity lemma: exceptional divisors of birational morphisms have negative definite intersection matrix.
- Hyperbolic geometry: is a model of hyperbolic space, and ample/nef cones are convex subsets in this geometry.
- Arithmetic analogue: the Faltings--Hriljac theorem extends the Hodge index property to Arakelov intersection theory, with the Neron--Tate height as the arithmetic intersection pairing.
Every computation of linear systems, every ampleness criterion, and every birational geometry argument on surfaces ultimately relies on the definiteness properties guaranteed by this theorem.