Spherically symmetric counter examples to the Penrose inequality and the positive mass theorem under the assumption of the weak energy condition

Abstract: Of the various energy conditions which can be assumed when studying mathematical general relativity, intuitively the simplest is the weak energy condition $\mu\geq 0$ which simply states that the observed mass-energy density must be non-negative. This energy condition has not received as much attention as the so-called dominant energy condition. When the natural question of the Penrose inequality in the context of the weak energy condition arose, we could not find any results in the literature, and it was not immediately clear whether the inequality would hold, even in spherical symmetry. This led us to constructing a spherically symmetric asymptotically flat initial data set satisfying the weak energy condition which violates the "usual" formulations of the Penrose conjecture. The construction itself is quite elementary. However, the consequences of the counterexample are quite interesting. The Penrose inequality was conjectured by Penrose in \cite{Penrose} using certain heuristic arguments which, as we discuss, continue to hold in the case of the weak energy condition. Yet, a counter example exists. Moreover, the methods developed naturally led to the construction of a counter example to the positive mass theorem assuming the weak energy condition. The counter example can be constructed to be diffeomorphic to $\mathbb{R}^3$ and to contain no minimal surfaces and no future apparent horizons.