# Essential meridional surfaces for tunnel number one knots

## 1. Introduction

In this paper we consider essential surfaces, closed or meridional, properly embedded in the exteriors of tunnel number one knots. The exterior of a knot $`k`$ is denoted by $`E(k)=S^3intN(k)`$. Recall that a knot $`k`$ in $`S^3`$ has tunnel number one if there exists an arc $`\tau `$ embedded in $`S^3`$ with $`k\tau =\tau `$, such that $`S^3intN(k\tau )`$ is a genus 2 handlebody. Such an arc is called an unknotting tunnel for $`k`$. Equivalently, a knot $`k`$ has tunnel number one if there is an arc $`\tau `$ properly embedded in $`E(k)`$, such that $`E(k)intN(\tau )`$ is a genus 2-handlebody; in general, the unknotting tunnels we consider are of this type. Sometimes it is convenient to express a tunnel $`\tau ^{}`$ for a knot $`k`$ as $`\tau ^{}=\tau _1\tau _2`$, where $`\tau _1`$ is a simple closed curve and $`\tau _2`$ is an arc connecting $`\tau _1`$ and $`N(k)`$; by sliding the tunnel we can pass from one expression to the other.

A surface $`S`$ properly embedded in a 3-manifold $`M`$ is essential if it is incompressible, $``$-incompressible, and non-boundary parallel. A surface properly embedded in the exterior of a knot $`k`$ is meridional if each component of $`S`$ is a meridian of $`k`$. Let $`M`$ be a compact 3-manifold, and let $`S`$ be a surface in $`M`$, either properly embedded or contained in $`M`$. Let $`k`$ be a knot in the interior of $`M`$, intersecting $`S`$ transversely. Let $`\widehat{S}=SintN(k)`$. The surface $`\widehat{S}`$ is properly embedded in $`MintN(k)`$, and its boundary on $`N(k)`$, if any, consists of meridians of $`k`$. We say that $`\widehat{S}`$ is meridionally compressible in $`(M,k)`$, if there is an embedded disk $`D`$ in $`M`$, intersecting $`k`$ at most once, with $`\widehat{S}D=D`$, so that $`D`$ is a nontrivial curve on $`\widehat{S}`$, and is not parallel to a component of $`\widehat{S}`$ lying on $`N(k)`$. Otherwise $`\widehat{S}`$ is called meridionally incompressible. In particular if $`\widehat{S}`$ is meridionally incompressible in $`(M,k)`$, then it is incompressible in $`Mk`$.

Some results are available on incompressible surfaces in tunnel number one knot exteriors. Regarding meridional surfaces, it is shown in \[GR\] that the exterior of a tunnel number one knot does not contain any essential meridional planar surface. Another proof of this fact is given in \[M\]. This says that any tunnel number one knot is indecomposable with respect to tangle sum. Considering closed surfaces, it is shown in \[MS\] that there are tunnel number one knots whose complements contain an essential torus, and such knots are classified. In \[E2\] it is proved that for each $`g2`$, there exist infinitely many tunnel number one knots whose complements contain a closed incompressible surface of genus $`g`$; such surfaces are also meridionally incompressible.

In this paper we prove the following,

###### Theorem 3.2

For each pair of integers $`g1`$ and $`n1`$, there are tunnel number one knots $`K`$, such that there is an essential meridional surface $`S`$ in the exterior of $`K`$, of genus $`g`$, and with $`2n`$ boundary components. Furthermore, $`S`$ is meridionally incompressible.

This gives a positive answer to question 1.8 in \[GR\]. It follows from \[CGLS\] that any of the knots of Theorem 3.2 also contains a closed essential surface of genus $`2`$. That surface is obtained by somehow tubing the meridional surface. However such a surface will be meridionally compressible.

Combining the construction of \[E2,§6\] with that of Theorem 3.2, we get the following,

###### Theorem 3.3

For each positive integer $`n`$, there are tunnel number one knots $`K`$, such that in the exterior of $`K`$ there are $`n`$ disjoint, non-parallel, closed incompressible surfaces, each of genus $`n`$.

It follows from the construction that one of the surfaces, say $`S_1`$, is meridionally compressible while the others are meridionally incompressible. It follows also that the surface $`S_1`$ is the closest to $`E(K)`$, that is, $`S_1`$ and $`E(K)`$ bound a submanifold $`M`$ which does not contain any of the other surfaces. It follows from \[CGLS,2.4.3\] that $`S_1`$ remains incompressible after performing any non-integral Dehn surgery on $`K`$, and then so does any of the other surfaces. This fact, Theorem 3.3 and the observation that the exterior of a tunnel number one knot is a compact 3-manifold with Heegaard genus 2, imply the following.

###### Corollary

For each positive integer $`n`$, there are closed, irreducible $`3`$-manifolds $`M`$, with Heegaard genus $`2`$, such that in $`M`$ there are $`n`$ disjoint, non-parallel, closed incompressible surfaces, each of genus $`n`$.

This corollary improves one of the results of \[Q\], where it is shown that for each $`n`$, there exist closed irreducible 3-manifolds with Heegaard genus 2 which contain an incompressible surface of genus $`n`$.

In Theorem 3.3 the genus of the surfaces grows as much as the number of surfaces. This fact is essential, i.e., it is not just a consequence of the construction method. It follows from the main Theorem of the recent paper \[ES\], that it is impossible for an irreducible 3-manifold with Heegaard genus $`g`$, with or without boundary, to contain an arbitrarily large number of disjoint and closed incompressible surfaces of bounded genus.

The idea of the proof of Theorem 3.2 is the following: Start with a tunnel number one knot $`k`$, and unknotting tunnel $`\tau `$, and a closed incompressible surface in the complement of $`k`$ which intersects $`\tau `$ in two points. We know by \[MS\] and \[E2\] that such knots do exist. Now take an iterate of $`k`$ and $`\tau `$, i.e., a knot $`k^{}`$ formed by the union of two arcs $`k^{}=k_1k_2`$, where $`k_1=\tau `$ and $`k_2`$ is an arc lying on $`N(k)`$. Thus $`k^{}`$ intersects $`S`$ in two points. It follows that $`k^{}`$ is a tunnel number one knot (see Lemma 3.1); an unknotting tunnel $`\tau ^{}`$ for $`k^{}`$ is formed by the union of $`k`$ and an arc joining $`k`$ to a point in $`k_1k_2`$. Slide $`\tau ^{}`$ so that it becomes an arc with endpoints on $`k^{}`$, also denoted by $`\tau ^{}`$. Now take an iterate of $`k^{}`$ and $`\tau ^{}`$; this is a knot $`k^{}`$ with tunnel number one which intersects $`S`$ in as many points as desired. If $`k^{}`$ and $`k^{}`$ satisfy certain conditions (Theorem 2.1), the surfaces $`S_1=SintN(k^{})`$ and $`S_2=SintN(k^{})`$ are essential meridional surfaces in the exterior of $`k^{}`$ and $`k^{}`$, respectively.

Throughout, 3-manifolds and surfaces are assumed to be compact, connected and orientable. If $`X`$ is contained in a 3-manifold $`M`$, then $`N(X)`$ denotes a regular neighborhood of $`X`$ in $`M`$; if $`X`$ is contained in a surface $`S`$, then $`\eta (X)`$ denotes a regular neighborhood of $`X`$ in $`S`$. $`\mathrm{\Delta }(\alpha ,\beta )`$ denotes the minimal intersection number of two essential simple closed curves on a torus $`T`$.

I am grateful to E. Sedgwick for suggesting that I prove Theorem 3.3. I am also grateful to the referee, whose many suggestions greatly improved the exposition of the paper.

## 2. Construction of essential meridional surfaces

Let $`k`$ be a knot in $`S^3`$, and let $`\tau ^{}=\tau _1\tau _2`$ be an unknotting tunnel for $`k`$, where $`\tau _1`$ is a simple closed curve, and $`\tau _2`$ is an arc with endpoints in $`N(k)`$ and $`\tau _1`$. Let $`S`$ be a closed surface of genus $`g`$ contained in the exterior of $`k`$; then $`S`$ divides $`S^3`$ into two parts, denoted by $`M_1`$ and $`M_2`$, where, say, $`k`$ lies in $`M_2`$. We say that $`S`$ is special with respect to $`k`$ and $`\tau ^{}`$ if it satisfies:

This definition is a variation of the one given in \[E2,§6\].

Note that by \[MS\], \[E1\], there exist knots with these properties when $`g=1`$; when $`g2`$, the existence of knots like these follows from \[E2,6.1\]. Note that $`M_2N(\tau _2)`$ is a cylinder $`RD^2\times I`$, so that $`RS`$ is a disk $`D_1D^2\times \{1\}`$, and $`RN(k)`$ is a disk $`D_0D^2\times \{0\}`$. Slide $`\tau _1`$ over $`\tau _2`$, to get an arc $`\tau `$ with both endpoints on $`D_0N(k)`$, so that $`\tau M_2`$ consists of two straight arcs contained in $`R`$, i.e., arcs which intersect each disk $`D^2\times \{x\}`$ transversely in one point. The surface $`S`$ and the arc $`\tau `$ then intersect in two points. The arc $`\tau `$ has a neighborhood $`N(\tau )D^2\times I`$, so that $`N(\tau )M_2R`$.

Let $`P`$ be a solid torus, $`D_0`$ a disk contained in $`P`$, and $`\rho =\{\rho _1,\mathrm{},\rho _n\}`$, a collection of arcs properly embedded in $`P`$, so that its endpoints lie in $`D_0`$. We say that this forms a toroidal tangle with respect to $`D_0`$, and denote it by $`(P,D_0,\rho )`$.

Recall that the wrapping number of a knot in a solid torus is defined as the minimal number of times that the knot intersects any meridional disk of such solid torus. We define the wrapping number of an arc $`\rho _i`$ in $`P`$ as the wrapping number of the knot obtained by joining the endpoints of $`\rho _i`$ with an arc in $`D_0`$, and then pushing it into the interior of $`P`$. This is well defined.

The tangle $`(P,D_0,\rho )`$ is good if:

If the tangle $`(P,D_0,\rho )`$ is good, then $`D_0\rho `$ is incompressible in $`P\rho `$, i.e., there is no disk $`D`$ properly embedded in $`P`$, disjoint from $`\rho `$, with $`DD_0`$, and such that $`D`$ is essential in $`D_0\rho `$.

Let $`A`$ be an annulus in $`P`$, essential in $`P`$, so that $`D_0A`$. The tangle $`(P,D_0,\rho )`$ is good with respect to $`A`$ if:

Let $`\widehat{k}`$ be a knot contained in the interior of $`N(k)N(\tau )`$. We say that $`\widehat{k}`$ is specially knotted if:

As $`N(\tau )M_2R`$, it follows that $`\widehat{k}R`$ consists of $`2n`$ straight arcs. So $`\widehat{k}`$ intersects $`S`$ in $`2n`$ points. Let $`\widehat{S}=SE(\widehat{k})`$. This is a surface properly embedded in $`E(\widehat{k})`$, whose boundary consists of $`2n`$ meridians of the knot $`\widehat{k}`$.

###### Theorem 2.1

Let $`k`$ be a knot, $`\tau ^{}=\tau _1\tau _2`$ an unknotting tunnel for $`k`$, and $`S`$ a surface which is special with respect to $`k`$ and $`\tau ^{}`$. Let $`\widehat{k}N(k)N(\tau )`$ be a knot which is specially knotted. Then the surface $`\widehat{S}=SE(\widehat{k})`$ is an essential meridional surface in the exterior of $`\widehat{k}`$. Furthermore, if the surface $`S`$ is meridionally incompressible in $`(S^3,k)`$, then $`\widehat{S}`$ is meridionally incompressible in $`(S^3,\widehat{k})`$. If $`S`$ is meridionally compressible, but the wrapping number of some arc $`\rho _i`$ in $`N(k)`$ is $`3`$, where $`\rho =N(k)\widehat{k}`$, then $`\widehat{S}`$ is meridionally incompressible.

###### Demonstration Proof

To prove that the surface $`\widehat{S}`$ is essential in the exterior of $`\widehat{k}`$, it suffices to show that it is incompressible, because any two-sided, connected, incompressible surface in an irreducible 3-manifold with incompressible torus boundary must be $``$-incompressible, unless it is a boundary-parallel annulus, which is not the case here.

Let $`S^{}=(SRint(D_1))`$, so $`S^{}`$ is isotopic to $`S`$, and let $`\stackrel{~}{S}=S^{}E(\widehat{k})`$; then $`\stackrel{~}{S}`$ is a surface isotopic to $`\widehat{S}`$. Denote by $`M_1^{}`$ and $`M_2^{}`$ the complementary regions of $`\stackrel{~}{S}`$ in $`E(\widehat{k})`$, where $`N(k)E(\widehat{k})`$ lies in $`M_2^{}`$. Let $`T=N(k)int(D_0)`$. This is a once punctured torus, which is properly embedded in $`M_2^{}`$, i.e., $`\stackrel{~}{S}T=T=D_0`$.

Let $`D`$ be a compression disk for $`\stackrel{~}{S}`$. Suppose first that it lies in $`M_1^{}`$. As $`S^{}`$ is essential in $`E(k)`$, it follows that $`D`$ is a trivial curve on $`S^{}`$ which bounds a disk $`D^{}S^{}`$, and $`DD^{}`$ bounds a 3-ball $`B`$. As $`D`$ is supposed to be essential in $`\stackrel{~}{S}`$, one arc $`\alpha `$ of $`\widehat{k}`$ contained in $`M_1^{}`$ must in fact be contained in the 3-ball $`B`$. We may assume that $`\alpha =\tau `$. Note that $`D`$ must be isotopic in $`S^{}\tau `$ to $`D_0`$. Then the tunnel $`\tau `$ is contained in a 3-ball, which implies that $`k`$ is the trivial knot. This is a contradiction.

Suppose then that $`D`$ lies in $`M_2^{}`$. Consider the intersection between $`T`$ and $`D`$. If they do not intersect, then there are two cases: (1) $`D`$ is contained in $`N(k)`$. In this case $`D`$ must lie on $`D_0`$, which implies that $`D`$ is trivial on $`\stackrel{~}{S}`$, or that $`D_0\rho `$ is compressible in $`N(k)\rho `$, which contradicts the hypothesis. (2) $`D`$ is disjoint from $`N(k)`$. One possibility is that $`D`$ is isotopic to $`D_0`$, but in this case the tunnel $`\tau `$ is, as above, contained in a 3-ball which is impossible. Otherwise, by isotoping $`D`$ we may assume that $`D`$ is contained in $`S`$, and then $`D`$ is also a compression disk for $`S`$ disjoint from $`N(k)`$, which contradicts the hypothesis that $`S`$ is incompressible in $`E(k)`$.

Assume then that $`D`$ and $`T`$ have nonempty intersection. This intersection consists of a finite number of arcs and simple closed curves. Assume also that $`D`$ has been chosen, among all compression disks, to have a minimal number of intersections with $`T`$. This implies that any curve or arc of intersection is essential in $`T`$, for if one curve (arc) is trivial, then doing surgery on $`D`$ with the disk bounded by an innermost curve (outermost arc) we get a disk with fewer intersections with $`T`$.

Let $`\sigma `$ be a simple closed curve of intersection which is innermost in $`D`$, so it bounds a disk $`D^{}`$ whose interior is disjoint from $`T`$. If $`D^{}`$ lies in $`N(k)`$, then $`\sigma `$ is either a meridian of $`T`$, or it is parallel to $`T`$, but in both cases it follows that $`D_0\rho `$ is compressible in $`N(k)\rho `$. If the interior of $`D^{}`$ is disjoint from $`N(k)`$, then as $`k`$ is a nontrivial knot, $`\sigma `$ must be trivial on $`T`$, which contradicts the choice of $`D`$.

Assume then that the intersections between $`D`$ and $`T`$ consists only of arcs. Let $`\sigma `$ be an outermost arc in $`D`$ which bounds a disk $`E`$. Suppose first that $`EN(k)`$. Then $`E=\sigma \delta `$, where $`\delta D_0`$. It follows that $`E`$ is nontrivial on $`N(k)`$, i.e., it is a meridian of $`N(k)`$, and then each of the $`\rho _i`$ has wrapping number $`1`$ in $`N(k)`$, which contradicts the hypothesis. So $`E`$ cannot be contained in $`N(k)`$. Again let $`E=\sigma \delta `$, where $`\sigma `$ is contained in $`T`$ and $`\delta `$ in $`\stackrel{~}{S}`$. As $`\sigma `$ is nontrivial in $`T`$ then $`\delta `$ is also nontrivial in $`\stackrel{~}{S}D_0`$. By isotoping $`D`$ we can ensure that $`\delta R`$ consists of two arcs; let $`E^{}R`$ be a disk containing these arcs in its boundary. Now $`EE^{}`$ is an annulus with one boundary component on $`S`$, and the other on $`N(k)`$. Here we apply \[CGLS,2.4.3\], where $`M`$, $`S`$, $`T`$, $`r_0`$ of that theorem correspond in our notation to $`M_2intN(k)`$, $`S`$, $`N(k)`$, and the component of $`(EE^{})`$ lying on $`N(k)`$, which we denote also by $`r_0`$. Clearly $`S`$ compresses after performing meridional surgery on $`N(k)`$. Then part (b) of \[CGLS,2.4.3\] implies that $`\mathrm{\Delta }(\mu ,r_0)1`$, where $`\mu `$ is a meridian of $`N(k)`$. So either $`\mu =r_0`$, or $`r_0`$ goes around $`N(k)`$ once longitudinally. The first possibility implies that $`S`$ is meridionally compressible, and the second one implies that $`k`$ is parallel to a curve lying on $`S`$. So we are done, unless one of these cases happens. Note that each of these possibilities excludes the other, for if $`k`$ is parallel to a curve on $`S`$, and $`S`$ is meridionally compressible, then either $`S`$ is compressible or $`S`$ is isotopic to $`N(k)`$.

Suppose first that $`S`$ is meridionally compressible. Let $`\sigma `$ be an outermost arc in $`D`$, which bounds a disk $`E`$, so that $`E=\sigma \delta `$, where $`\sigma `$ is contained in $`T`$ and $`\delta `$ in $`\stackrel{~}{S}`$. As above, there is a disk $`E^{}R`$, such that $`EE^{}`$ is an annulus with one boundary component on $`S`$, and the other is a meridian of $`N(k)`$. Consider all the outermost arcs on $`D`$; by the argument given above we can assume that any one of them determines a curve on $`T`$ parallel to $`\sigma `$. Let $`F`$ be a region on $`D`$ adjacent to one of the outermost arcs, so that all of its intersections with $`T`$, except at most one, are outermost arcs. To find such an $`F`$, take the collection of arcs in $`D`$ which are not outermost arcs, and among these choose one which is outermost. $`FN(k)`$, and then either $`F`$ is trivial on $`N(k)`$, or $`F`$ is a meridian of $`N(k)`$. $`F`$ consists of, say, $`2m`$ consecutive arcs, $`F=\sigma _1,\delta _1,\mathrm{},\sigma _m,\delta _m`$, where $`\sigma _iT`$, and $`\delta _iD_0`$. Then at least $`m1`$ of the arcs are parallel to $`\sigma `$, say $`\sigma _1,\mathrm{},\sigma _{m1}`$. If $`\sigma _m`$ is not parallel to $`\sigma `$, then $`F`$ would go around $`N(k)`$ once longitudinally, which is impossible, for $`F`$ bounds a disk in $`N(k)`$. We conclude that all the arcs $`\sigma _i`$ are parallel in $`T`$, as in Figure 1.

Figure 1

Let $`E_1,E_2`$ be two meridian disks of $`N(k)`$ whose boundaries are disjoint from $`D_0`$ and $`\sigma _i`$. Then $`E_1E_2`$ bounds a ball $`B`$ in $`N(k)`$ which contains $`D_0`$ and $`F`$, after possibly isotoping $`F`$.

There are two cases:

(1) $`F`$ is parallel to a disk $`D_1N(k)`$. Clearly $`D_1B`$. $`F`$ and $`D_1`$ cobound a 3-ball $`B_1`$. Suppose that an arc $`\rho _i`$ is contained in $`B_1`$. By joining the endpoints of $`\rho _i`$ with an arc contained in $`D_0`$, we get a simple closed curve $`\rho _i^{}`$, which is contained in $`B`$, and then its wrapping number in $`N(k)`$ is 0, which contradicts the hypothesis.

So suppose no arc $`\rho _i`$ is contained in $`B_1`$. Consider $`D_1D_0`$. This is a collection of arcs which divide $`D_1`$ into regions which are in $`D_0`$ or in its complement. If there is an outermost arc on $`D_1`$ which bounds a disk contained in $`D_0`$, then we can isotope $`F`$ (and then $`D`$) through $`D_0`$ to get a compression disk with fewer intersections with $`T`$. If no outermost arc bounds a disk lying in $`D_0`$, choose any region $`D_0^{}`$ of $`D_1D_0`$. There is an arc $`\alpha D_0^{}`$, whose endpoints lie on $`D_1`$ (then $`\alpha intD_0`$), and there is a disk $`E_0B_1`$, so that $`E_0=\alpha \beta `$, where $`\beta `$ is an arc on $`F`$. Cut $`D`$ along $`E_0`$, getting two disks; at least one of them is a compression disk for $`\stackrel{~}{S}`$, but it has fewer intersections with $`T`$.

(2) $`F`$ is a meridian of $`N(k)`$, so $`F`$ is parallel to $`E_1`$ (see Figure 1). So $`F`$ separates the annulus $`Bint(E_1E_2)`$ into two annuli, denoted by $`A_1`$ and $`A_2`$, where $`A_i=E_iF`$. Let $`\rho _i`$ be an arc of $`\rho `$, and $`\rho _i^{}`$ the simple closed curve obtained by joining the endpoints of $`\rho _i`$ with an arc in $`D_0`$. If the endpoints of $`\rho _i`$ lie in the same annulus $`A_j`$, then $`\rho _i`$ is isotopic rel $`\rho _i`$ (when ignoring the other arcs), to an arc disjoint from $`E_1`$. This implies that the wrapping number of $`\rho _i^{}`$ in $`N(k)`$ is 0, for $`\rho _i^{}`$ is isotopic to a curve disjoint from $`E_1`$. If the endpoints of $`\rho _i`$ lie on different annuli, then $`\rho _i`$ is isotopic rel $`\rho _i`$ to an arc which intersects $`E_1`$ in one point. This implies that the wrapping number of $`\rho _i^{}`$ in $`N(k)`$ is 1. This contradicts the hypothesis that at least one of the arcs have wrapping number $`2`$. This completes the proof when the surface $`S`$ is meridionally compressible.

Suppose now that $`k`$ is parallel to a curve on $`S`$. As before, let $`\sigma `$ be an outermost arc in $`D`$, which bounds a disk $`E`$, so that $`E=\sigma \delta `$, where $`\sigma `$ is contained in $`T`$ and $`\delta `$ in $`\stackrel{~}{S}`$. Recall that the union of $`\sigma `$ and an arc on $`D_0`$ is a curve $`\gamma `$ on $`N(k)`$ which cobounds an annulus $`EE^{}`$ with a curve on $`S`$. Let $`A=\eta (\gamma D_0)`$. Consider all the outermost arcs on $`D`$; recall that any one of them determines a curve on $`T`$ parallel to $`\sigma `$. Let $`F`$ be a region on $`D`$ adjacent to one of the outermost arcs, so that all of its intersections with $`T`$, except at most one are outermost arcs. $`F`$ is then a disk properly embedded in $`N(k)`$, which intersects $`D_0`$ in $`r`$ arcs, and all the arcs on $`TF`$, except at most one are parallel. Let $`F=\sigma _1\delta _1\mathrm{}\sigma _r\delta _r`$, where $`\sigma _iT`$, $`\delta _iD_0`$, and $`\sigma _1,\mathrm{}\sigma _{r1}`$ are parallel to $`\sigma `$. There is an annulus $`\mathrm{\Delta }`$ properly embedded in $`N(k)`$, $`\mathrm{\Delta }=A`$. We can assume that $`D_0,\sigma _1,\mathrm{},\sigma _{r1}`$ are contained in $`A`$. If $`\sigma _r`$ is not parallel to $`\sigma `$, then it intersects each component of $`\mathrm{\Delta }`$ in one point. It follows that $`F`$ is trivial in $`N(k)`$ if and only if each arc $`\sigma _i`$ is parallel to $`\sigma `$.

Suppose first that $`F`$ is trivial in $`N(k)`$, then $`FA`$, and $`F`$ is parallel to a disk $`D_1A`$. We can assume that $`F`$ and $`\mathrm{\Delta }`$ do not intersect. $`F`$ and $`D_1`$ cobound a 3-ball $`B_1`$. Suppose there is an arc $`\rho _iB_1`$. The arc $`\rho _i`$ has no local knots, then it is parallel to an arc $`ϵ_iD_1A`$, i.e., the arc $`\rho _i`$ is isotopic to an arc lying in $`A`$, contradicting the hypothesis. See Figure 2.

Figure 2

If there is no arc $`\rho _i`$ in $`B_1`$, proceed as in the analogous case when $`\stackrel{~}{S}`$ is meridionally compressible, to get a disk $`E_0B_1`$, with $`E_0=\alpha \beta `$, where $`\alpha D_0D_1`$ and $`\beta F`$, so that by cutting $`D`$ along $`E_0`$, we get another compression disk for $`\stackrel{~}{S}`$ with fewer intersections with $`T`$.

Suppose now that $`F`$ is a meridian of $`N(k)`$. Then $`F=\alpha \beta `$, where $`\alpha N(k)A`$, $`\beta A`$, so $`\alpha \sigma _r`$. The annulus $`\mathrm{\Delta }`$ can be isotoped so that $`\mathrm{\Delta }F`$ is a single arc. $`A`$ and $`\mathrm{\Delta }`$ bound a solid torus $`\mathrm{\Delta }^{}`$, and $`F\mathrm{\Delta }^{}`$ is a meridian disk for $`\mathrm{\Delta }^{}`$. If $`\rho _i`$ is any of the arcs of $`\rho `$, then $`\rho _i`$ can be isotoped to be in the 3-ball $`\mathrm{\Delta }^{}intN(F)`$, and so it is parallel to an arc lying on $`A`$. See Figure 3. This completes the proof.

Figure 3

Now we sketch a proof that $`\stackrel{~}{S}`$ is meridionally incompressible. Suppose there is a disk $`D`$ embedded in $`S^3`$, with $`\stackrel{~}{S}D=D`$, which is a nontrivial curve on $`\stackrel{~}{S}`$, and so that $`\widehat{k}`$ intersects $`D`$ transversely in one point. If the disk $`D`$ lies in $`M_1^{}`$, then as $`S^{}`$ is incompressible in $`E(k)`$, it follows that $`D`$ is a trivial curve on $`S^{}`$, which is the boundary of a disk contained in $`S^{}`$ which intersects $`\widehat{k}`$ once, so $`D`$ is not a disk of meridional compression.

So assume that $`D`$ lies in $`M_2^{}`$. Look at the intersections between $`D`$ and $`T`$, and suppose $`D`$ has been chosen to have minimal intersection with $`T`$. This implies that any curve or arc of intersection is essential in $`T`$.

Suppose there is a curve of intersection, innermost in $`D`$, which bounds a disk $`D^{}`$ which meets $`\widehat{k}`$ once. Then $`D^{}`$ must lie in $`N(k)`$. If $`D^{}`$ is a meridian of $`N(k)`$, then each $`\rho _i`$ has wrapping number $`1`$. If $`D^{}`$ is not a meridian of $`N(k)`$, then $`D^{}`$ bounds a disk in $`N(k)`$ which either lies in $`T`$ or contains $`D_0`$. In either case it is impossible for $`\rho `$ to meet $`D^{}`$ in exactly one point. This shows that simple closed curves of intersection cannot bound disks which intersect $`\widehat{k}`$, and then these curves can be removed as before. Suppose there is an outermost arc $`\sigma `$ in $`D`$ which bounds a disk $`E`$ disjoint from $`\widehat{k}`$. Doing an argument as the one done to prove the incompressibility of $`\stackrel{~}{S}`$, we have that $`E`$ does not lie in $`N(k)`$. By the same argument, such a disk can exist only if $`S`$ is meridionally compressible, or if $`k`$ is parallel to a curve on $`S`$. Note that it is always possible to find an outermost arc which bounds a disk disjoint from $`\widehat{k}`$. So the proof is complete, except if we have one of the cases just mentioned.

Suppose first $`S`$ is meridionally compressible. In this case we suppose that the wrapping number of some arc $`\rho _i`$ in $`N(k)`$ is $`3`$. Take an outermost arc of intersection in $`D`$, and suppose it bounds a disk $`D^{}`$ contained in $`N(k)`$, which intersects $`\widehat{k}`$ in at most one point. $`D^{}`$ is a meridian of $`N(k)`$, and then the wrapping number of any arc $`\rho _i`$ in $`N(k)`$ is $`2`$, contradicting the hypothesis in this case. So suppose all outermost arcs bound disks which do not lie in $`N(k)`$. As in the proof of the incompressibility of $`\stackrel{~}{S}`$, these arcs in $`T`$ are all parallel, and each one of them, together with an arc in $`D_0`$ is a meridional curve on $`N(k)`$. If there is a region $`FD`$, such that all the intersections of $`F`$ with $`T`$, except at most one are outermost arcs, and so that $`F`$ is disjoint from $`\widehat{k}`$, proceed as in the proof of the incompressibility of $`\stackrel{~}{S}`$. If there is no such region $`F`$, then $`TD`$ consists of $`m`$ arcs, all of which are outermost arcs in $`D`$, so that the complement of the arcs is a single region $`F^{}`$ contained in $`N(k)`$ and intersecting $`\widehat{k}`$ once. There are two cases:

(1) $`F^{}`$ is parallel to a disk $`D_1N(k)`$. $`F^{}`$ and $`D_1`$ cobound a 3-ball $`B_1`$. If some arc $`\rho _j`$ is contained in $`B_1`$ then its wrapping number in $`N(k)`$ is $`0`$, contradicting the hypothesis. So there is just one arc $`\rho _i`$ which intersects $`B_1`$; one of its endpoints is in $`D_1`$ and the arc intersects $`F^{}`$ in one point. As $`\rho _i`$ has no local knots, $`B_1\rho _i`$ is an unknotted spanning arc in $`B_1`$. As in the case of the incompressibility, there is a disk $`E_0B_1`$, so that $`E_0=\alpha \beta `$, where $`\beta `$ is an arc on $`F^{}`$, and $`\alpha `$ is an arc in $`D_0D_1`$. Cut $`D`$ along $`E_0`$, getting two disks; at least one of them is a meridional compression disk for $`\stackrel{~}{S}`$, but it has fewer intersections with $`T`$.

(2) $`F^{}`$ is a meridian of $`N(k)`$. The same proof as in the case of the incompressibility show that if this happens then the wrapping number of any arc $`\rho _i`$ in $`N(k)`$ is $`2`$.

Suppose now that $`k`$ is parallel to a curve on $`S`$. If $`\sigma `$ is an outermost arc of intersection in $`D`$, bounding a disk $`E`$ which does not intersect $`\widehat{k}`$, then $`E`$ is not contained in $`N(k)`$, and $`E=\sigma \delta `$, where $`\delta `$ is contained in $`\stackrel{~}{S}`$. The union of $`\sigma `$ and an arc on $`D_0`$ is a curve $`\gamma `$ on $`N(k)`$ which cobounds an annulus with a curve on $`S`$; so $`\gamma `$ is a curve which goes around $`N(k)`$ once longitudinally. If there is an outermost arc of intersection in $`D`$ bounding a disk $`D^{}`$ which intersects $`\widehat{k}`$ in one point, then $`D^{}`$ is a meridian disk of $`N(k)`$. In particular this shows that $`DT`$ cannot consist of just one arc. As before, if $`\sigma ^{}`$ is another outermost arc in $`D`$ which bounds a disk disjoint from $`\widehat{k}`$, then $`\sigma ^{}`$ is parallel to $`\sigma `$.

Now proceed as in the proof of the incompressibility of $`\stackrel{~}{S}`$ in the case that $`k`$ is parallel to a curve on $`S`$. The point is to find a region $`FD`$, such that all the intersections of $`F`$ with $`T`$, except at most one, are outermost arcs, and so that $`F`$ is disjoint from $`\widehat{k}`$. If such region exists we are done. If there is an outermost arc on $`D`$ which bounds a disk which intersects $`\widehat{k}`$, then such region $`F`$ does exists, for otherwise $`DT`$ will consist of just one arc. If such a region $`F`$ does not exist, the only possibility left is that $`DT`$ consists of $`m`$ arcs, all of which are outermost arcs, and $`DN(k)`$ is a single disk $`F^{}`$ which meets $`\widehat{k}`$ once. Then $`F^{}`$ is completely contained in the annulus $`A=\eta (\gamma D_0)`$, which implies that $`F^{}`$ is trivial on $`A`$. So $`F^{}`$ bounds a disk $`D_1`$ contained in $`A`$; $`F^{}`$ and $`D_1`$ cobound a ball $`B_1`$. If some arc $`\rho _j`$ is contained in $`B_1`$ then it is parallel to an arc lying on $`A`$, contradicting the hypothesis. So there is just one arc $`\rho _i`$ which intersects $`B_1`$; one of its endpoints is in $`D_1`$ and the arc intersects $`F^{}`$ in one point. As $`\rho _i`$ has no local knots, $`B_1\rho _i`$ is an unknotted spanning arc in $`B_1`$. As in the proof of the incompressibility of $`\stackrel{~}{S}`$, we can boundary compress $`D`$, getting another meridional compression disk for $`\stackrel{~}{S}`$, but with fewer intersections with $`T`$. ∎

###### Remark Remark

The conditions imposed on the tangle $`(N(k),D_0,\rho )`$ are somehow local, i.e., they consider each arc separately. Giving to the tangle some global property might produce a slightly stronger theorem.

### 3. Tunnel number one knots and meridional surfaces

Let $`k`$ be a tunnel number one knot, and $`\tau `$ an unknotting tunnel for $`k`$ which is an embedded arc with endpoints lying on $`N(k)`$. Assume that a neighborhood $`N(k\tau )`$ is decomposed as $`N(k\tau )=N(k)N(\tau )`$, where $`N(k)`$ is a solid torus, $`N(\tau )D^2\times I`$, $`N(k)N(\tau )`$ consists of two disks $`E_0`$ and $`E_1`$, and $`\tau =\{0\}\times I`$.

Let $`k^{}`$ be a knot formed by the union of two arcs, $`k^{}=k_1k_2`$, such that $`k_1`$ is contained in $`N(k)`$, and $`k_2=\tau `$. We say that $`k^{}`$ is an iterate of $`k`$ and $`\tau `$.

###### Lemma 3.1

Let $`k`$ and $`\tau `$ be as above, and let $`k^{}`$ be an iterate of $`k`$ and $`\tau `$. Then $`k^{}`$ is a tunnel number one knot. An unknotting tunnel $`\beta ^{}`$ for $`k^{}`$ is given by the union of $`k`$ and a straight arc in $`N(k)`$ connecting $`k^{}`$ and $`k`$.

###### Demonstration Proof

$`N(k)k`$ is homeomorphic to a product $`T\times [0,1)`$. Let $`\delta `$ be a straight arc in $`N(k)`$ connecting $`k`$ and one of the points $`k_1k_2`$, i.e., it is an arc which intersects each torus $`T\times \{x\}`$ in one point. Then $`\beta ^{}=k\delta `$ is an unknotting tunnel for $`k^{}`$. To see that, slide $`k_1`$ over $`\delta `$ and then over $`k`$ to get a 1-complex which is clearly equivalent to $`k\tau `$, so its complement is a genus 2 handlebody. ∎

Let $`k^{}`$ be an iterate of $`k`$ and $`\tau `$. It follows by construction that $`k^{}N(k\tau )`$. Also if $`\beta ^{}`$ is the unknotting tunnel for $`k^{}`$ given by the lemma, then $`k^{}\beta ^{}N(k\tau )`$. Now $`\beta ^{}`$ can be modified to be an arc $`\beta `$ with endpoints in $`k^{}`$. It follows that if $`k^{}`$ is an iterate of $`k^{}`$ and $`\beta `$, then $`k^{}`$ can be isotoped to lie in $`N(k\tau )`$. By isotoping $`k^{}`$, if necessary, we have that $`k^{}N(\tau )`$ consists of a collection of arcs parallel to $`\tau `$.

###### Theorem 3.2

For each pair of integers $`g1`$ and $`n1`$, there are tunnel number one knots $`K`$ such that there is an essential meridional surface $`\widehat{S}`$ in the exterior of $`K`$, of genus $`g`$, and with $`2n`$ boundary components. Furthermore, $`\widehat{S}`$ is meridionally incompressible.

###### Demonstration Proof

Let $`k`$ be a tunnel number one knot. Suppose that $`k`$ has an unknotting tunnel $`\tau ^{}=\tau _1\tau _2`$, where $`\tau _1`$ is a simple closed curve, and $`\tau _2`$ is an arc connecting $`k`$ and $`\tau _1`$. Suppose there is a closed surface $`S`$ of genus $`g1`$ embedded in the exterior of $`k`$, which is special with respect to $`k`$ and $`\tau ^{}`$.

$`S`$ divides $`S^3`$ into two parts, $`M_1`$ and $`M_2`$, where, say, $`\tau _1`$ is contained in $`M_1`$. $`M_2N(\tau ^{})`$ is a cylinder $`RD^2\times I`$, so that $`RS`$ is a disk $`D_1`$, and $`RN(k)`$ is a disk $`D_0`$. Slide $`\tau _1`$ over $`\tau _2`$, to get an arc $`\tau `$ with both endpoints on $`D_0N(k)`$, so that $`\tau M_2`$ consists of two straight arcs contained in $`R`$. The surface $`S`$ and the arc $`\tau `$ intersect in two points.

Let $`k^{}`$ be an iterate of $`k`$ and $`\tau `$; then $`k^{}=k_1k_2`$, where $`k_2`$ is an arc parallel to $`\tau `$, so it intersects $`S`$ in two points. Now $`k_1`$ is an arc in $`N(k)`$ whose endpoints lie on $`D_0`$. By pushing $`k_1`$ into the interior of $`N(k)`$ we get a properly embedded arc in $`N(k)`$. Clearly $`k_1`$ can be chosen so that $`(N(k),D_0,k_1)`$ forms a good tangle, just by taking an arc whose wrapping number in $`N(k)`$ is $`2`$. Note that $`k_1`$ has no local knots in $`N(k)`$, for it is parallel to an arc lying in $`N(k)`$. If $`k`$ is parallel to a curve on $`S`$, let $`\lambda `$ be the curve on $`N(k)`$ which cobounds an annulus with a curve on $`S`$, so that $`\lambda `$ meets $`D_0`$ in one arc; let $`A=\eta (\gamma D_0)`$. Clearly $`k_1`$ can be chosen so that $`(N(k),D_0,k_1)`$ is good with respect to $`A`$, say by twisting $`k_1`$ meridionally as many times as necessary; this can be done because the annulus $`A`$ goes longitudinally once around $`N(k)`$, and the wrapping number of $`k_1`$ in $`N(k)`$ is $`2`$. So $`k^{}`$ can be chosen to be specially knotted in $`N(k\tau )`$. It follows from Theorem 2.1 that $`\widehat{S}=SE(k^{})`$ is an essential meridional surface in $`E(k^{})`$, and $`\widehat{S}`$ consists of two meridians of $`k^{}`$.

This implies that $`k^{}`$ is a tunnel number one knot which has an unknotting tunnel $`\beta ^{}=k\delta `$, where $`\delta `$ is a straight arc connecting $`k^{}`$ and $`k`$. Let $`\beta `$ be the arc obtained after sliding $`k`$ over $`\delta `$. $`N(k^{}\beta )`$ can be chosen so that it is contained in $`N(k\tau )`$. Let $`k^{}`$ be an iterate of $`k^{}`$ and $`\beta `$, so $`k^{}=\kappa _1\kappa _2`$, where $`\kappa _1N(k^{})`$, and $`\kappa _2`$ is the tunnel $`\beta `$. Note that $`k^{}N(k\tau )`$. The arc $`\kappa _1`$ can be isotoped so that $`\kappa _1N(\tau )`$ consist of straight arcs, and it can be chosen so that $`\kappa _1N(\tau )`$ consists of $`n`$ arcs, $`n`$ being a fixed positive integer. So $`k^{}`$ intersects $`S`$ in $`2n`$ points. $`k^{}N(k)`$ then consists of $`n`$ arcs, $`\rho _0,\mathrm{},\rho _n`$, which are properly embedded on $`N(k)`$, and whose endpoints lie in $`D_0`$. Clearly $`k^{}`$ can be chosen so that $`(N(k),D_0,\rho )`$ forms a good tangle, say by choosing them so that each arc $`\rho _i`$, except one, is parallel to $`k_1`$, and so that each has wrapping number $`2`$. The remaining arc can be chosen to be a band sum of the arc $`k_1`$ and the knot $`k`$, so it can be chosen to have wrapping number $`3`$. If $`k`$ is parallel to $`S`$, again $`k^{}`$ can be chosen so that $`(N(k),D_0,\rho )`$ is good with respect to $`A`$. Then by Theorem 2.1, the surface $`\widehat{S}=SE(k^{})`$ is an essential meridional surface in $`E(k^{})`$, and $`\widehat{S}`$ consists of $`2n`$ meridians of $`k^{}`$.

If $`S`$ is meridionally incompressible, then $`\widehat{S}`$ is meridionally incompressible. If $`S`$ is meridionally compressible, then $`k^{}`$ and $`k^{}`$ can be chosen so that $`\widehat{S}`$ is meridionally incompressible. ∎

Figure 4

It follows from the proof of Theorem 3.2 that for the knots $`k`$ constructed in \[E2\], there are many iterates of $`k`$, whose exteriors contain an essential meridional surface. This is because for such knots, there is an unknotting tunnel $`\tau ^{}`$ and a surface $`S`$ which is special with respect to $`k`$ and $`\tau ^{}`$. Note also that some of these knots $`k`$ are parallel to the surface $`S`$, while others are not \[E2,8.2\].

An example which illustrates Theorem 3.2 is shown in Figure 4. Let $`k`$ be the (2,-11)-cable of the left hand trefoil; there is a torus $`S`$ and unknotting tunnel $`\tau ^{}`$ for $`k`$, so that $`S`$ is special with respect to $`k`$ and $`\tau ^{}`$. Note that $`k`$ is parallel to a curve on $`S`$. The knot $`k^{}`$ shown in Figure 4 is an iterate of $`k`$ and the tunnel $`\tau ^{}`$. It is not difficult to check that $`k^{}`$ satisfies the conditions of Theorem 2.1. So it follows that $`\widehat{S}`$ is an essential meridional surface in $`E(k^{})`$.

Combining the last theorem and the construction given in \[E2,§6\], we get the following.

###### Theorem 3.3

For each positive integer $`n`$, there are tunnel number one knots $`K`$, such that in the exterior of $`K`$ there are $`n`$ disjoint, non-parallel, closed incompressible surfaces. Each of the surfaces has genus $`n`$. One of the surfaces is meridionally compressible; the others are meridionally incompressible.

###### Demonstration Proof

Recall the construction given in \[E2,§6\]. Let $`k_1`$ be a knot, $`\tau ^{}=\tau _1\tau _2`$ an unknotting tunnel, and $`S_1`$ an essential surface of genus $`g`$ embedded in $`E(k_1)`$, which intersects $`\tau ^{}`$ in one point. So $`S_1`$ is special with respect to $`k_1`$ and $`\tau ^{}`$ (in both definitions, the one given here and the one in \[E2,§6\]; see \[E2,6.1\], which shows that this is true). Let $`T=N(k_1)`$. Let $`A`$ be an annulus contained in $`T`$, and let $`\alpha `$ be the core of this annulus. Suppose that $`\alpha `$ wraps around $`N(k_1)`$ at least twice longitudinally. If $`k_1`$ is parallel to $`S_1`$, suppose also that $`\mathrm{\Delta }(\gamma ,\alpha )2`$, where $`\gamma `$ is a curve on $`N(k_1)`$ which cobounds an annulus with a curve on $`S_1`$.

$`S_1`$ divides $`S^3`$ into two parts, $`M_1`$ and $`M_2`$, where, say, $`k_1`$ is contained in $`M_2`$. Let $`\tau _2^{}=M_2\tau _2`$; so $`\tau _2^{}`$ is an arc with an endpoint on $`S_1`$ and the other on $`N(k)`$, which we assume lies on the curve $`\alpha `$. The curve $`\alpha `$ goes around $`N(k)`$ at least twice longitudinally, then it is a toroidal graph of type 1 in $`N(k)`$, as defined in \[E2,§4\]. Let $`M=M_2intN(k)`$. $`M`$ is a 3-manifold with incompressible boundary. To show that $`\tau _2^{}\alpha `$ is a cabled graph in $`M_2`$, as defined in \[E2,§6\], it suffices to prove that $`S_1`$ remains incompressible after Dehn filling $`M`$ along $`N(k)`$ with slope $`\alpha `$. If $`k`$ is not parallel to a curve on $`S_1`$, then as $`\mathrm{\Delta }(\alpha ,\mu )2`$, this follows from the main Theorem of \[Wu\]. If $`k`$ is parallel to a curve on $`S_1`$, then by hypothesis, $`\mathrm{\Delta }(\alpha ,\gamma )2`$, and by \[CGLS,2.4.3\] it follows that $`S_1`$ remains incompressible.

$`N(\tau _2^{})`$ is a cylinder $`RD^2\times I`$, so that $`RS_1`$ is a disk $`D_1`$, and $`RN(k_1)`$ is a disk $`D_0`$. Assume that $`D_0A`$. Consider the manifold $`W=M_1RN(A)`$, and let $`\mathrm{\Sigma }=W`$. As $`\tau _2^{}\alpha `$ is a cabled graph in $`M_2`$, it follows from \[E2,6.3\] that $`\mathrm{\Sigma }`$ is incompressible in $`S^3intW`$.

Let $`\tau `$ be the arc obtained by sliding $`\tau _1`$ over $`\tau _2`$, so that $`M_2\tau R`$. Now take an iterate $`k_2`$ of $`k_1`$ and $`\tau `$ of a special form. As before $`k_2=\kappa _1\kappa _2`$, where $`\kappa _2=\tau `$, and $`\kappa _1`$ is an arc in $`N(k_1)`$. Suppose that $`\kappa _1`$ is contained in $`A`$, so that its wrapping number in $`N(A)`$ is $`2`$ (i.e., $`\rho =k_2N(A)`$ is a properly embedded arc in $`N(A)`$ whose endpoints lie on $`D_0^{}=RN(A)`$, and we are requiring that the curve obtained from $`\rho `$ by joining its endpoints with an arc lying on $`D_0^{}`$ has wrapping number $`2`$ in $`N(A)`$). Then $`k_2W`$, and it follows from \[E2,6.4\] that $`\mathrm{\Sigma }`$ is incompressible and meridionally incompressible in $`(W,k_2)`$. So $`\mathrm{\Sigma }`$ is a meridionally incompressible surface contained in the exterior of $`k_2`$ of genus $`g+1`$. By \[E2,8.2\], it follows that $`k_2`$ is not parallel to a curve lying on $`\mathrm{\Sigma }`$

It is not difficult to see that the knot $`k_2`$ also satisfies the hypothesis of Theorem 2.1; in particular, note that the arc $`\kappa _1`$ has wrapping number $`4`$ in $`N(k_1)`$ (for $`\kappa _1`$ has wrapping number $`2`$ in $`N(A)`$, and $`\alpha `$ has winding number $`2`$ in $`N(k_1)`$). Therefore the surface $`\widehat{S}=S_1E(k_2)`$ is meridionally incompressible in $`E(k_2)`$, its boundary consists of two meridians of $`k_2`$. By tubing $`\widehat{S}`$, we get two closed surfaces in $`E(k_2)`$, of genus $`g+1`$. By an application of the handle addition Lemma \[J\], one of the surfaces must be incompressible in $`E(k_2)`$; this has to be the surface lying on $`M_2`$, for the one lying in $`M_1`$ bounds a handlebody. Denote by $`\overline{S}`$ such an incompressible surface; note that it is meridionally compressible. Then there are two different closed incompressible surfaces in $`E(k_2)`$, $`\mathrm{\Sigma }`$ and $`\overline{S}`$. By isotoping $`\overline{S}`$ into $`W`$, these surfaces become disjoint and are obviously non-parallel.

Note that there is an unknotting tunnel $`\beta ^{}=k_1\delta `$ for $`k_2`$, where $`\delta `$ is a straight arc in $`N(k_1)`$ connecting $`k_1`$ and $`k_2`$ which intersects both surfaces $`\mathrm{\Sigma }`$ and $`\overline{S}`$ in one point. Then $`\mathrm{\Sigma }`$ and $`\overline{S}`$ are both special with respect to $`k_2`$ and $`\beta `$. Note that $`\overline{S}`$ is closer to $`k_2`$ and $`\mathrm{\Sigma }`$ is closer to $`k_1`$; that is, the arc $`\delta `$, when going from $`k_2`$ to $`k_1`$, intersects first $`\overline{S}`$ and then $`\mathrm{\Sigma }`$.

We have proved that there is a tunnel number one knot $`k_2`$ which has an unknotting tunnel $`\tau ^{}=\tau _1\tau _2`$, and two disjoint, non-parallel closed incompressible surfaces in its exterior, each of genus $`g+1`$, denoted by $`\mathrm{\Sigma }`$ and $`\overline{S}`$, and which are special with respect to $`k_2`$ and $`\tau ^{}`$. $`\mathrm{\Sigma }`$ is meridionally incompressible and $`\overline{S}`$ is meridionally compressible, and the arc $`\tau _2`$, when going from $`k_2`$ to $`\tau _1`$ intersects first $`\overline{S}`$ and then $`\mathrm{\Sigma }`$. Furthermore, $`k_2`$ is not parallel to a curve lying on any of the two surfaces.

Suppose by induction that we have a tunnel number one knot $`k_n`$, which has an unknotting tunnel $`\tau ^{}=\tau _1\tau _2`$, and $`n`$ disjoint, non-parallel closed incompressible surfaces in its exterior, of genus $`g+n`$, denoted by $`S_1,S_2,\mathrm{},S_n`$, which are special with respect to $`k_n`$ and $`\tau ^{}`$. $`S_2,\mathrm{},S_n`$ are meridionally incompressible and $`S_1`$ is meridionally compressible, and the arc $`\tau _2`$, when going from $`k_n`$ to $`\tau _1`$ intersects the surfaces in the order $`S_1,S_2,\mathrm{},S_n`$. Furthermore, $`k_n`$ is not parallel to a curve lying on any of the surfaces.

The above construction can be repeated with $`k_n`$, $`\tau ^{}=\tau _1\tau _2`$ and $`S_1,S_2,\mathrm{},S_n`$. $`S_i`$ divides $`S^3`$ into $`M_1^i`$ and $`M_2^i`$, where $`k_n`$ lies in $`M_2^i`$. Clearly, if $`i<j`$ then $`M_2^iM_2^j`$. Let $`\alpha `$ be a simple closed curve on $`N(k_n)`$, which goes at least twice longitudinally around $`N(k_n)`$. Suppose that the endpoint of $`\tau _2`$ lies on $`\alpha `$. Let $`\tau _2^i=M_2^i\tau _2`$; then, as above, $`\alpha \tau _2^i`$ is a cabled graph in $`M_2^i`$, for $`k_n`$ is not parallel to a curve lying on $`S_i`$.

Let $`R_i`$ be a regular neighborhood of $`\tau _2^i`$ in $`M_2^i`$, so that $`R_iS_i`$ is a disk $`D_1^i`$, and $`RN(k_n)`$ is a disk $`D_0^i`$. Assume that $`D_0^iA`$, where $`A=\eta (\alpha )`$. Consider the manifold $`W_i=M_1^iR_iN_i(A)`$, where $`N_i(A)`$ is a neighborhood of $`A`$. Let $`\mathrm{\Sigma }_i=W_i`$. As $`\tau _2^i\alpha `$ is a cabled graph in $`M_2^i`$, it follows from \[E2,6.3\] that $`\mathrm{\Sigma }_i`$ is incompressible in $`S^3intW_i`$. The neighborhoods $`R_iN_i(A)`$ can be chosen to be thinner if $`j>i`$, that is, $`M_2^i(R_jN_j(A))R_iN_i(A)`$ if $`i<j`$. Then the surfaces $`\mathrm{\Sigma }_1,\mathrm{\Sigma }_2,\mathrm{},\mathrm{\Sigma }_n`$ are disjoint.

Let $`\tau `$ be the arc obtained by sliding $`\tau _1`$ over $`\tau _2`$, so that $`M_2^i\tau R_i`$, for all $`i`$. Now take an iterate $`k_{n+1}`$ of $`k_n`$ of a special form. As before $`k_{n+1}=\kappa _1\kappa _2`$, where $`\kappa _2=\tau `$, and $`\kappa _1`$ is an arc in $`N(k_n)`$. Suppose that $`\kappa _1`$ is contained in $`A`$, so that its wrapping number in $`N_n(A)`$ is $`2`$. Then $`k_{n+1}W_i`$, and it follows from \[E2,6.4\] that $`\mathrm{\Sigma }_i`$ is incompressible and meridionally incompressible in $`(W_i,k_{n+1})`$. So $`\mathrm{\Sigma }_i`$ is a meridionally incompressible surface in the exterior of $`k_{n+1}`$ of genus $`g+n+1`$. Again by \[E2,8.2\], it follows that $`k_{n+1}`$ is not parallel to a curve lying on $`\mathrm{\Sigma }_i`$

The knot $`k_{n+1}`$ intersects the surface $`S_n`$ in two points, the wrapping number of $`\kappa _2`$ in $`N(k_n)`$ is $`4`$, and $`k_n`$ is not parallel to a curve on $`S_n`$. So $`k_{n+1}`$ and $`S_n`$ satisfy the conditions of Theorem 2.1, and then $`\widehat{S}_n=S_nE(k_{n+1})`$ in an incompressible, meridionally incompressible surface in $`E(k_{n+1})`$ whose boundary consists of two meridians of $`E(k_{n+1})`$. Then as above, by tubing $`\widehat{S}_n`$ on the side of $`M_2^n`$ and isotoping into $`W_n`$, we get a closed surface $`\mathrm{\Sigma }_{n+1}`$ which is incompressible but meridionally compressible in the exterior of $`k_{n+1}`$. The tube added to the surface can be chosen so that it lies in the interior of $`R_nN_n(A)`$; this ensures that $`\mathrm{\Sigma }_{n+1}`$ is disjoint from $`\mathrm{\Sigma }_i`$, for $`1in`$.

(From the surface $`S_i`$ we can also get a meridionally compressible surface $`\mathrm{\Sigma }_i^{}`$, but it will intersect $`\mathrm{\Sigma }_j`$, if $`i<j`$. But note that $`\mathrm{\Sigma }_{n+1}=\mathrm{\Sigma }_n^{},\mathrm{\Sigma }_{n1}^{},\mathrm{},\mathrm{\Sigma }_2^{},\mathrm{\Sigma }_1^{},\mathrm{\Sigma }_1`$, are disjoint).

There is an unknotting tunnel $`\beta ^{}`$ for $`k_{n+1}`$ of the form $`\beta ^{}=k_n\delta `$, where $`\delta `$ is a straight arc in $`N(k_n)`$ connecting $`k_n`$ and $`k_{n+1}`$. Note that $`\delta `$ intersects each surface $`\mathrm{\Sigma }_i`$ in one point; this implies that $`\mathrm{\Sigma }_i`$ is special w.r.t. $`k_{n+1}`$ and $`\beta ^{}`$. Note also that the arc $`\delta `$, when going from $`k_{n+1}`$ to $`k_n`$, intersects the surfaces in the order $`\mathrm{\Sigma }_{n+1},\mathrm{\Sigma }_n,\mathrm{},\mathrm{\Sigma }_1`$. Finally, note that the surfaces cannot be parallel, for if two of them were, then two of the surfaces $`S_i`$ would also be parallel.

This shows that $`k_{n+1}`$, $`\beta ^{}`$, and $`\mathrm{\Sigma }_{n+1},\mathrm{\Sigma }_n,\mathrm{},\mathrm{\Sigma }_1`$ satisfy the induction hypothesis. This completes the proof.

By starting with a surface $`S`$ of genus 1, and repeating the construction $`n1`$ times, we get the desired conclusion. ∎

###### Remark Remark

It follows from the proof of the above theorem that by changing the induction hypothesis, we can find a tunnel number one knot $`k`$, with $`n`$ incompressible surfaces in its exterior, $`S_1,S_2,\mathrm{},S_n`$, so that $`S_n`$ is meridionally incompressible, but $`S_i`$, for $`1in1`$, is meridionally compressible, and $`S_n`$ is the surface which is farthest from the knot. It follows also that there are tunnel number one knots whose exteriors contain two collection of disjoint incompressible surfaces, $`S_1,\mathrm{},S_n`$, and $`\mathrm{\Sigma }_1,\mathrm{},\mathrm{\Sigma }_n`$, where the $`S_i`$ are meridionally incompressible, and the $`\mathrm{\Sigma }_i`$ are meridionally compressible.

### References