On Kerr black hole formation with complete apparent horizon and a new approach toward Penrose inequality

TL;DR

The paper proves that the 3+1 dimensional Einstein vacuum equations admit dynamical Kerr black hole formation from scale-critical short-pulse initial data, yielding a complete apparent horizon that evolves to the event horizon. It develops a hybrid hyperbolic-elliptic framework that combines An–Luk short-pulse analysis with Kerr stability KS:main, augmented by Pretorius–Israel type coordinates and a novel MOTS elliptic theory. The results include existence and uniqueness of MOTS along incoming cones, a detailed description of the apparent horizon dynamics and asymptotics, and the dynamical and spacetime Penrose inequalities in Kerr and perturbative Kerr regimes without symmetry assumptions. Together, these contributions extend Christodoulou’s trapped-surface formation to fully dynamical, non-symmetric black hole formation and provide a rigorous Penrose inequality framework in a realistic gravitational collapse setting.

Abstract

Arising from admissible extended scale-critical short-pulse initial data, we show that 3+1 dimensional Einstein vacuum equations admit dynamical Kerr black hole formation solutions. Our hyperbolic arguments combine the scale-critical gravitational-collapse result by An--Luk with the recent breakthrough by Klainerman--Szeftel on proving nonlinear Kerr stability with small angular momentum, which requires us to perform various specific coordinate changes and frame transformations. Furthermore, allowing large spacetime angular momentum, with new elliptic arguments and precise leading order calculations, we also solve the apparent horizon in Kerr black hole formation spacetimes (including Klainerman--Szeftel's Kerr stability spacetimes) and conduct an exploration, detailing the emergence, evolution, asymptotics and final state of the apparent horizon. Building on our analysis, without time symmetric assumption, we then put forward a new mathematical framework and prove both the dynamical Penrose inequality and the spacetime Penrose inequality in our black-hole formation spacetimes and in the perturbative regime of subextremal Kerr black holes. Collectively, without assuming any symmetry, we extend Christodoulou's celebrated trapped surface formation theorem to a black hole formation result.

Figures (14)

• Figure 1: Process of Kerr Black Hole Formation
• Figure 2: A New Approach Toward Penrose Inequality
• Figure 3: Spacetime Penrose Inequality
• Figure 4: Admissible Characteristic Initial Data
• Figure 5: Proof of Spacetime Penrose Inequality

Theorems & Definitions (152)

• Theorem 1.1
• Theorem 1.2
• Remark 1
• Theorem 1.3: Dynamical Penrose Inequality
• Theorem 1.4: Spacetime Penrose Inequality
• Remark 2
• Remark 3
• Lemma 2.1: KS:formula
• proof
• Lemma 2.2: KS:Kerr1