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Anisotropic sub-band splitting mechanisms in strained HgTe: a first principles study

by Eeshan Ketkar, Giovanni Marini, Pietro Maria Forcella, Giorgio Sangiovanni, Gianni Profeta, Wouter Beugeling.

Submission summary

Authors (as registered SciPost users): Wouter Beugeling · Eeshan Ketkar · Giovanni Marini · Gianni Profeta
Submission information
Preprint Link: scipost_202508_00066v1  (pdf)
Date submitted: Aug. 26, 2025, 4:22 p.m.
Submitted by: Eeshan Ketkar
Submitted to: SciPost Physics Core
Ontological classification
Academic field: Physics
Specialties:
  • Condensed Matter Physics - Computational
Approach: Theoretical

Abstract

Mercury telluride is a canonical material for realizing topological phases, yet a full understanding of its electronic structure remains challenging due to subtle competing effects. Using first-principles calculations and $k\cdot p$ modelling, we study its topological phase diagram under strain. We show that linearly $k$-dependent higher-order $C_4$ strain terms are essential for capturing the correct low-energy behaviour. These terms lead to a nontrivial $k$-dependence of the sub-band splitting arising from the interplay of strain and bulk inversion asymmetry. This explains the camel-back feature in the tensile regime and supports the emergence of a Weyl semimetal phase under compressive strain.

Current status:
Awaiting resubmission

Reports on this Submission

Report #1 by Anonymous (Referee 1) on 2025-10-3 (Invited Report)

Disclosure of Generative AI use

The referee discloses that the following generative AI tools have been used in the preparation of this report:

I have proofread the English of the report with chatgpt 5.

Strengths

1- Relevance to experiments. The work provides an explanation for subtle splittings observed in ARPES and could help guide interpretation of future measurements.

2- Impact potential. The connection to Berry curvature dipoles and superconducting diode effects enhances the broader interest of the study.

Weaknesses

  1. Weak treatment of symmetries.

  2. The discussion about the different terms in the Hamiltonian goes mostly via numerical evaluation, making the conceptual understanding of how they affect the band structure a bit hidden (particularly the competition by the C4 term and the BIA).

Report

This manuscript presents a combined first-principles and k·p modelling study of strained HgTe. The authors argue that the inclusion of previously neglected, k-dependent C4 strain terms is essential to reproduce the sub-band splittings observed in DFT and ARPES, particularly in tensile-strained HgTe. They further explore the interplay between these C4 terms and bulk inversion asymmetry (BIA), and they map out the resulting strain-induced phase diagram, including the emergence of Weyl nodes. The analysis suggests that at large compressive strain HgTe realizes a tilted type-1 Weyl semimetal rather than an ideal type-1 Weyl semimetal, with potential implications for Berry curvature dipoles and superconducting diode effects. Overall, the paper addresses an interesting system and offers some new insights into the  band splitting the system presents. However, there are conceptual and technical weaknesses that need to be addressed before reconsideration for publication.

Requested changes

1) Regarding the Weyl-node positions, I have some concerns. The manuscript remarks that in the k·p model the Weyl points lie in the ky = 0 plane, while in DFT+Wannier interpolation they are shifted away from ky = 0. On the other hand, the total number of Weyl nodes related by symmetry depends on their orbit of the k point upon action of the different symmetries.  If the ky=0 plane is a high-symmetry plane, then the total number of k-points is different if a Weyl node exists at ky=0 or at ky!=0. There can well be topological constraints for a Weyl node to leave from or to exist in  a high-symmetry plane, depending on what are the symmetries of the system.

Having a look at the small numbers associated with the coordinates in Table 2 (the ky coordinate given is -0.000270), one possibility is that this is just numerical uncertainty. One way to solve the issue lies in computing the associated Chern number with spheres centered at the Weyl nodes and smoothly increasing the radii.  The uncertainty may be estimated as the size of the smaller radii with which one gets nearly 1 for the Chern number. If this radii is of the order of ky, then it is simply not true that the Weyl node is away from the ky=0 plane, it is just the uncertainty. The authors may come out with a different way of approaching the issue. The bottom line is that some discussion and perhaps a calculation that convincingly explain/shows that the number of Weyl nodes in both DFT and model are the same, some sort of error bar associated with the Weyl node positions and, more importantly, what shall one expect from  the symmetries in the real material, are in order.

2) Related to the point 1, given that symmetry is at the heart of both strain responses and Weyl-node multiplicities, the absence of a systematic symmetry analysis weakens the conceptual foundation of the work. One would also like to know which symmetries are obeyed by the Hamiltonian Eq. 5 (at least, what of the symmetries in the actual compound are obeyed by the Hamiltonian).

3) A further clarification I would request concerns the relative role of the C4 strain terms and the BIA terms. As it stands, if I am not missing something, the manuscript shows numerically that the C4 terms dominate along some crystallographic directions (e.g. Γ–X) while the BIA terms dominate along others (e.g. Γ–K or Γ–L). However, this outcome may appear counterintuitive since BIA is an intrinsic property of HgTe, present even without strain, and one might expect it to always provide the leading contribution. The explanation is presumably that the symmetry of the BIA Hamiltonian forces its contribution to vanish along certain high-symmetry lines, leaving the strain-induced C4 term as the only effective source of splitting in those directions. I suggest that the authors make this reasoning explicit, rather than leaving it to numerical examples, so that the reader can more directly see why and where each term becomes relevant.

4) Small detail: Please check the font sizes in the figures. Some variations in the size of the fonts one can understand, but, e.g. in Figure 5 one can count like five different font sizes between labels, axis, etc.

Recommendation

Ask for major revision

  • validity: ok
  • significance: ok
  • originality: ok
  • clarity: ok
  • formatting: acceptable
  • grammar: excellent

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