Introduction

Over the last decade, enormous efforts have been put on iron-based superconductors (FeSCs) since the first discovery of superconductivity in F-doped LaOFeAs in 2008 1. To date the relationship between magnetism and superconductivity has been extensively investigated both experimentally and theoretically to pursue the essence of pairing mechanism. As a matter of fact, a multitude of the FeSCs are magnetic metals with quasi-2D electron and hole pockets. Usually the parent compounds of FeSCs are non-superconducting and undergo structural transition from tetragonal lattice to orthorhombic lattice followed by a spin density wave (SDW) transition when the temperature is decreased. Once the system is doped, however, both structural and SDW transitions are suppressed and superconductivity emerges2,3.

Recently a new type of FeSC structure, AeAFe4As4 (AeA-1144; Ae = Ca,Sr; A = K,Rb,Cs), has been successfully synthesized by Iyo et al.4 with superconducting transition temperature Tc > 30 K without doping. Despite the same stoichiometric ratio, these 1144-type compounds are different from the 50% K-doped BaFe2As2 compounds such that the Ae atoms are separated from the A atoms in different layers, and therefore the structure can be viewed as layer-by-layer stacked AeFe2As2 (Ae-122) and AFe2As2 (A-122). Independently, Liu et al. and Kawashima et al.5,6 managed to make an intergrowth structure of RbFe2As2 and EuFe2As2 leading to another 1144-type compound EuRbFe4As4. Similar to the AeAFe4As4 (Ae = Ca,Sr; A = K,Rb,Cs) compounds, EuRbFe4As4 exhibits superconductivity at 35 K without any doping. In addition, ferromagnetic (FM) behavior due to the Eu-layers was observed below 15 K without destroying the superconductivity, suggesting a robust coexistence of superconductivity and ferromagnetism5. The 4f electrons are nearly fully localized, yielding a large moment of 6.5 μB/Eu. Interestingly, the Curie temperature was robust against the Ni-doping, while the superconducting Tsc was very sensitive7. It was therefore conjectured that the df superexchange or Eu-As-Eu superexchange is likely to be the mechanism mediating the magnetic interactions.

In this article, we present a systematic first-principles study of EuRbFe4As4 compound. We compare EuRbFe4As4 with the CaRbFe4As4 as well as the traditional BaFe2As2 compound. The band structure of EuRbFe4As4 resembles that of CaRbFe4As4, and there are ten bands crossing the Fermi level in both compounds. However, the \(d_{z^2}\)-band in EuRbFe4As4 is now elevated close to \(\epsilon _{\mathrm F}\) around the Γ point; thus, the undoped EuRbFe4As4 system is very close to a Lifshitz transition. As a result, the \(d_{z^2}\)-orbital is more relevant in the process of electrical transport and magnetism in the EuRbFe4As4 compound. By decomposing the JRKKY into contributions from different Fermi surface (FS) sheets, we find this interaction is primarily mediated by the outmost hole pocket due to \(d_{z^2}\) orbital around the Γ point, suggesting that this orbital is important to the Eu-magnetism. Under nickel doping, the Ruderman−Kittel−Kasuya−Yosida (RKKY) exchange interaction is little affected, despite the drastically reduced density of state (DOS) from dxz and dyz orbitals. This may serve as a possible explanation why the magnetic transition TFM is relatively constant while the superconductivity Tsc is quickly suppressed by Ni-doping in this compound.

Results

Crystal structure and electronic structure

The crystal structure of EuRbFe4As4 is tetragonal P4/mmm with lattice parameters a = 3.89 Å and c = 13.31 Å as illustrated in Fig. 1a. The crystal consists of FeAs-layers separated by alternating Rb-layers and Eu-layers. Therefore, each unit cell contains two FeAs-layers that are mirror-symmetric with respect to either the Rb-layer or the Eu-layer. In contrast to most traditional FeSCs, the two intercalating layers sandwiching each FeAs-layer are different in 1144-type FeSCs; thus the Fe atom is no longer located at the center of the tetrahedral formed by the four closest As atoms (Fig. 1b). Therefore, the S4 local symmetry around each Fe is reduced to C2 in 1144-type FeSCs.

Fig. 1
figure 1

Crystal structure and crystal field splitting. a Crystal structure of EuRbFe4As4. b FeAs-layer centered on Fe atom. Compared with 122-type EuFe2As2, the Rb-substitution breaks not only the (1/2 1/2 1/2) gliding symmetry but also the S4 symmetry

The band structures of EuRbFe4As4 (red line), CaRbFe4As4 (black line), and folded BaFe2As2 (blue line, Γ−X) in paramagnetic (PM) phase are shown in Fig. 2a, b. Both EuRbFe4As4 and CaRbFe4As4 exhibit the same number of hole pockets around Γ points and electronic pockets around M points, and the dispersions resemble each other. Nevertheless, the highest occupied state at Γ is extremely close to the Fermi level \(\epsilon _{\mathrm F}\) in EuRbFe4As4 (while in CaRbFe4As4 it is more than 200 meV below \(\epsilon _{\mathrm F}\)), suggesting the undoped EuRbFe4As4 system is on the edge to a Lifshitz transition. Projected band structure shows that the orbital character of this state is \(d_{z^2}\). With slight hole-doping (0.5 hole per f.u.), this band will cross Fermi level and create a new Fermi surface sheet. In Ba1−xRbxFe2As2, it was reported that a crossover from nodeless to nodal superconducting occurs at x = 0.65 as a result of a hole-doping-induced Lifshitz transition8. Considering the similarities between these systems, such transition may also be present in hole-doped EuRbFe4As4. Additionally, in contrast to BaFe2As2, the bands structures in 1144-system splits along X−M, owing to the S4 symmetry breaking. Similar splitting is also present in CaKFe4As4 9. We have also calculated EuRbFe4As4 (Fig. 2c) in the non-superconducting FM phase, where Eu moments align in parallel. The exchange spin splitting is less than 20 meV shown in Table 1. The projected band structure (Fig. 2d) indicates that the \(d_{z^2}\) orbital has sizable contribution in EuRbFe4As4, in addition to the dxz, dyz and dxy orbitals that universally dominate the electronic states near \(\epsilon _{\mathrm F}\) in FeSCs10,11. The \(d_{x^2 - y^2}\) orbital strongly hybridizes with As-4p, and is present beyond \(\epsilon _{\mathrm{F}}\, \pm\, 1\,{\mathrm{eV}}\) range. The DOS of EuRbFe4As4 in FM phase are illustrated in Fig. 2e. Similar to all FeSCs, the DOS of FeSCs near \(\epsilon _{\mathrm F}\) is dominated by Fe-3d orbitals, hybridized with As-4p orbitals. The total DOS at \(\epsilon _{\mathrm F}\) is 9.41 eV−1/f.u., equivalent to electronic specific-heat coefficient γ = 21.642 mJ/(K2mol). We note that \(g(\epsilon _{\mathrm F})\) of CaRbFe4As4 is 9.78 eV−1/f.u.12, similar to what we obtained for EuRbFe4As4. As a comparison, the experimental value of \(g(\epsilon _{\mathrm F})\) is 60 eV−1/f.u.5, indicating a large electron mass renormalization factor of ≈6.4. From spin-resolved DOS (Fig. 2e) the majority-spin channel/minority-spin channel of 4f electrons are located around 2.7 eV (10 eV) below(above) \(\epsilon _{\mathrm F}\). By integrating the 4f contribution below \(\epsilon _{\mathrm F}\), each Eu atom has a local moment of 7μB, consistent with the fully localized nature of 4f electrons in EuRbFe4As4. Six bands cross the Fermi level around the Γ point, forming the hole pockets around the Brillouin zone (BZ) center (Fig. 3a, b). In addition, another four bands cross the Fermi level around the M(π, π) point forming the electron pockets corresponding to FSs in Fig. 3c. The complete FSs are shown in Fig. 3d.

Fig. 2
figure 2

Electronic band structure and density of states. a Electronic band structure of EuRbFe4As4 (red line) compared with CaRbFe4As4 (black line). b Electronic band structure of BaFe2As2 (blue line) in paramagnetic state in the folded Brillouin zone. The green dotted line denotes the Fermi level, which is aligned at zero. The degenerate points at X point as indicated by red circles in BaFe2As2 are removed in the 1144-system. c Spin-resolved band structure of EuRbFe4As4 in ferromagnetic state. The red and blue lines correspond to the two spin channels respectively. d Projected band structure of EuRbFe4As4 (ferromagnetic phase) for majority-spin channel around Fermi level. The size of the red, turquoise, blue, and gray circles is proportional to the contributions from the dx(y)z, dxy, \(d_{z^2}\) and \(d_{x^2 - y^2}\) respectively. e Total electronic density of state and projected density of state of EuRbFe4As4.The black, red, blue, and turquoise lines represent the total density of state, the projected density of state for Fe-d, As-p, and Eu-f orbitals respectively. The Fermi level is aligned at zero

Table 1 The crystal field splitting and exchange splitting (in eV) of Fe-3d orbitals with respect to Fermi level for BaFe2As2, CaRbFe4As4, EuRbFe4As4, and EuRbNi4As4 (100% Ni-doping)
Fig. 3
figure 3

Fermi surfaces, crystal field splitting, and the relative contributions to Ruderman−Kittel−Kasuya−Yosida (RKKY) interactions of Fermi surfaces. ad Fermi surfaces of EuRbFe4As4. a Typical hole pocket due to dxy with little dispersion along kz; b typical hole pockets due to \(d_{z^2}\) with strong dispersion along kz; c typical electron pockets due to dzx/dzy; and d all pockets combined together. The zone center is Γ in all panels. eh Crystal field splitting of Fe-3d orbitals in e BaFe2As2(paramagnetic state), f CaRbFe4As4(paramagnetic state), g EuRbFe4As4(ferromagnetic state) and h EuRbNi4As4(ferromagnetic state) respectively. i Band-decomposed contribution to RKKY interaction in the pristine EuRbFe4As4. The band indices are labeled from lowest to highest at the Γ point. There are ten bands crossing the Fermi levels, among which six are hole-like and four are electron-like. The sixth band with the largest contributions corresponds to the Γ-centered outmost hole pocket due to \(d_{z^2}\) shown in (b)

Single particle Hamiltonian and crystal field

To analyze the crystal field effect in EuRbFe4As4, we have employed the maximally projected Wannier function method13 to fit the density functional theory (DFT) band structure. In order to capture the main features of the electronic structures of EuRbFe4As4, we take into account not only Fe-3d orbitals and As-4p orbitals, but Eu-4d and Eu-4f orbitals as well. Using these 44 orbitals not only allows us to describe the low-energy physics of this system, but also elucidates the electronic hopping process between d-p as well as d-f orbitals, which are relevant in the superconducting and magnetic properties of this compound.

In Fig. 3e–h we compare the crystal field splitting between BaFe2As2, CaRbFe4As4, and undoped EuRbFe4As4 and the corresponding values are listed in Table 1. In general, the electronic bands of 3d-systems strongly depend on the crystal symmetry. Under perfect tetrahedral crystal field, the five d-orbitals split into two groups: triply degenerate t2g levels and doubly degenerate eg levels. In the family of iron-based superconductors, all the members share the similar FeAs layer with tetrahedral symmetry. Due to the combined effect of anion crystal fields and surrounding cations, the hybridization between the Fe-d orbitals and the pnictogen-/chalcogen-p orbitals appears. Therefore, both t2g and eg orbitals further split, leaving only degenerate dxz and dyz, as exemplified in BaFe2As2 (Fig. 3e). In addition, we find that in EuRbFe4As4 the energy levels of dxy and \(d_{z^2}\) are reversed, consistent with the observation in the band structure results. Furthermore, the exchange spin splitting in EuRbFe4As4 is one order of magnitude smaller compared to the crystal field splitting, and the formation of long-range magnetic order does not affect magnitude and order of crystal splitting.

In Table 2 we show the hopping terms related to low-energy excitation for BaFe2As2, CaRbFe4As4, and EuRbFe4As4 (both PM state and FM state), respectively. In the BaFe2As2 compound, the As atoms above (AsI) and below (AsII) the Fe-plane are equivalent (S4 local symmetry); thus, the hoppings between Fe-3d and As-4p orbitals are the same. However, this symmetry is broken in 1144-type compounds; thus, the hoppings between Fe-3d and AsI-4p and those between Fe-3d and AsII-4p are no longer identical. For all these compounds the strongest hopping comes from Fe-3dx(y)z and As-4py(x), followed by the hopping between Fe-3dxy and As-4pz. Compared to the d-p hopping, the d-f hopping terms are one order smaller, among which the Fe-3\(d_{z^2}\) and Eu-4fxyz is largest. Remarkably, the d-p hopping terms in PM phase and FM phase are roughly the same for EuRbFe4As4, despite the large magnetic moment of Eu atoms. Therefore, the effect of ferromagnetic Eu-layers can be equivalently regarded as magnetic exchange splitting field for the FeAs-layers. It is worth noting that the Hc2(0) of a similar compound, CaKFe4As4, can reach as high as 71 T14, while the internal field due to Eu2+ atom was much smaller15. Therefore, the superconductivity may coexist with the FM Eu-layer.

Table 2 Nearest neighboring hoppings tij (in eV) from maximally projected Wannier function method (only symmetrically inequivalent terms larger than 1 meV are shown)

RKKY exchange interaction

The RKKY exchange interaction was reported to be inseparably related with the magnetic order in 122-type EuFe2(As,P)2 16,17 and 1144-type EuRbFe4As4 5. In the weak coupling limit, the RKKY interaction can be approximatively \(J_{{\mathrm{RKKY}}}\sim J_{\mathrm{K}}^2g(\epsilon _{\mathrm F})\)18,19,20 with a bare Kondo coupling JK in the ordered phase and DOSs at the Fermi level \(g(\epsilon _{\mathrm F})\). Due to the large local moment of Eu atoms (6.5 μB per Eu, close to half-occupied Eu-4f orbitals), the large-Uf limit should be valid for EuRbFe4As4. Following the Schrieffer−Wolff transformation21,22, we calculate the Kondo coupling strength by

$$J_{0n} = \frac{1}{{g_n(\epsilon _{\mathrm F})}}{\int} {\kern 1pt} {\mathrm d}{\bf{k}}\frac{{V_{n{\bf{k}},f}^ \ast V_{f,n{\bf{k}}}}}{{\left| {\epsilon _f - \epsilon _{n{\bf{k}}}} \right|}} \times \delta \left( {\epsilon _{n{\bf{k}}} - \epsilon _{\mathrm F}} \right)$$

for the conduction channel n, where \(V_{n{\bf{k}},f} = \left\langle {w_f} \right|\hat H\left| {n{\bf{k}}} \right\rangle = \mathop {\sum}\limits_\alpha \left\langle {w_f} \right|\hat H\left| {w_\alpha } \right\rangle \left\langle {w_\alpha |n{\bf{k}}} \right\rangle\). In these expressions, n is the conduction band index, |nk〉 is the nth Bloch state of conduction electrons at k, |wα〉 is the αth local Wannier state for the conduction electrons, \(\epsilon _{n{\bf{k}}}\) and \(\epsilon _f\) are the eigen-energies of the conduction channel and local f states, \(g_n(\epsilon _{\mathrm F})\) is the DOSs at the Fermi level of the nth conduction channel, and |wf〉 denotes the local Wannier state of the f-electrons. The averaged Kondo coupling \(\bar J_{\mathrm K}\) is roughly −0.73 meV, slightly smaller than EuFe2As2 (−1.01 meV)20. Considering the multiband effect and highly anisotropic Fermi surfaces, the RKKY interaction is obtained by summing up the contributions from all conduction bands \(J_{{\mathrm{RKKY}}} = \mathop {\sum}\limits_n {\kern 1pt} J_{0n}^2g_n(\epsilon _{\mathrm F})\). The resulting JRKKY is around 0.12 meV, or equivalent to TFM ≈ 12.5 K, which is in good agreement with the experimental value5. It is worth noting that the JRKKY in our calculation is averaged in all directions. To tell the difference between the inter-layer coupling J and intra-layer coupling J||, it is necessary to employ \(J_{{\mathrm{RKKY}}}({\bf{r}}) = J_K^2\mathop {\sum}\limits_{\mu \nu } {\kern 1pt} \chi ^{\mu \nu }({\bf{r}})\) (where \(\chi ^{\mu \nu }({\bf{r}}) = \mathop {\sum}\limits_{{\bf{k}},{\bf{k}}\prime } e^{i({\bf{k}} - {\bf{k}}\prime ){\bf{r}}}\left[ {\frac{{f_\mu ({\bf{k}}) - f_\nu ({\bf{k}}\prime )}}{{\varepsilon _{\bf{k}}^\mu - \varepsilon _{{\bf{k}}\prime }^\nu }}} \right]\)) 23. Using the Wannier orbital-based tight-binding (TB) Hamiltonian, we have estimated J/J|| ≈ 1.0. Such nearly isotropic behavior can be understood by calculating the band-decomposed contributions from each Fermi surface sheet (Fig. 3i), which suggests more than 60% of JRKKY is mediated by the outmost hole pocket around Γ point with prominent 3D feature. This Fermi surface sheet is mainly due to the Fe-\(d_{z^2}\) orbitals, and a similar mechanism was also previously proposed in EuFe2As224.

It should be emphasized that the RKKY interaction in our calculation starts from the normal state. In superconducting state, the interplay between RKKY interaction and superconductivity is more complicated. It has been illustrated by Yao et al. that the antiferromagnetic contribution from indirect spin exchange will be enhanced due to the formation of Yu−Shiba−Rusinov (YSR) bound states, provided the binding energy of YSR state is close to the middle of superconducting gap Δ25. In EuRbFe4As4, however, this binding energy is estimated to be close to Δ, implying the weak hybridization between YSR state and superconducting condensate. Thus, the conventional RKKY interaction will still dominate in superconducting state.

Effect of nickel doping

In order to investigate the Ni-doping effects, we have also calculated EuRbFe1−xNixAs4 with x = 6.25, 12.5 and 100% under the virtual crystal approximation (VCA). The DOS of these system are illustrated in Fig. 4a. With nickel doping, the Fermi level moves to higher energy, demonstrating the main effect induced by nickel is electron-doping. Comparing 6.25% Ni-doping with the undoped EuRbFe4As4, the DOS of dzx(y), \(d_{z^2}\) and \(d_{x^2 - y^2}\) orbitals are suppressed by 17.6, 13.7 and 12.1% respectively while the DOS of dxy is enhanced by 4.0%. Note that the Tsc for the superconductivity is usually very sensitive to the DOS at Fermi level \(g(\epsilon _{\mathrm F})\). Therefore, the large decreased \(g(\epsilon _{\mathrm F})\) of dzx(y) is consistent with strongly suppressed superconducting temperature upon doping.

Fig. 4
figure 4

Effect of Ni-doping. a Total and projected density of states of EuRb[Fe1−xNixAs]4. The panels from top to bottom are undoped (x = 0), x = 0.0625, x = 0.125, and x = 1 (EuRbNi4As4), respectively. be Imaginary part of bare electron susceptibilities (nesting function). From b to e are undoped, 6.25%-doped, 12.5%-doped and fully doped EuRbFe4As4 respectively

We have also calculated the imaginary part of bare electron susceptibility (nesting function) under different doping levels (Fig. 4b–e). For pristine EuRbFe4As4, the nesting function shows a sharp peak at M (π, 0), which signals large spin-fluctuation that considered to be related with the superconductivity26,27,28. This peak is quickly suppressed by Ni-doping, and is already absent with 12.5% Ni-doping, suggesting that the superconductivity can be quickly suppressed by Ni-doping. The imaginary part of the 100%-doped compound (or EuRbNi4As4) is completely flat, meaning that the Ni-lattice is without spin-fluctuation. In fact, our DFT calculation confirms that Ni-lattice is completely nonmagnetic in EuRbNi4As4.

To evaluate the influence of doping on the crystal field splitting and the RKKY interaction, we naively calculate the 100% Ni-doping situation. With all the irons substituted, the energy level of dxy orbital rises, substantially higher than \(d_{z^2}\) orbital and even nearly degenerate with dzx(y) orbitals (Fig. 3h). Considering the main effect of Ni-doping at small x is to shift the Fermi level upward, the averaged Kondo coupling \(\bar J_{\mathrm K}\) and the RKKY interaction JRKKY are also calculated (Table 3) with the rigid band model (RBM). The averaged Kondo coupling \(\bar J_{\mathrm K}\) slightly decreases upon doping within RBM while the variation in VCA is nonmonotonic. Both of these two methods, however, show the RKKY interaction is around 0.1 meV, insensitive to the Ni-doping, which is in agreement with experimental observations.7.

Table 3 The variation of averaged Kondo coupling \(\bar J_{\mathrm K}\), and Ruderman−Kittel−Kasuya−Yosida interaction JRKKY in EuRb(Fe1−xNxAs)4 with respect to doping level x

Discussion

In conclusion, we have performed first-principles calculation on a typical 1144-type iron pnictide EuRbFe4As4. We analyzed the detailed electronic band structure, DOS and Fermi surface as well as the distinction of electronic properties between EuRbFe4As4, BaFe2As2, and CaRbFe4As4. The energy levels of \(d_{z^2}\) and dxy are reversed in EuRbFe4As4, and \(d_{z^2}\) orbital becomes closer to the Fermi level around Γ point; thus, the system is close to a Lifshitz transition. Upon Ni-doping, the DOS of dzx/dzy orbitals at Fermi level as well as the spin-fluctuation at (π, 0) will be substantially suppressed, and both effects are detrimental to superconductivity. Finally, the RKKY interaction between Eu-layers is little affected by Ni-doping, and is mostly mediated through the outmost hole FS pocket around the Γ point due to the \(d_{z^2}\) orbital.

Methods

The calculations were carried out based on DFT with Quantum ESPRESSO (QE)29,30,31. Throughout the calculations, the Perdew, Burke, and Ernzerhof parameterization of generalized gradient approximation to the exchange correlation functional was used32. The energy cutoff of plane-wave basis was chosen to be 122 Ry (1220 Ry for the augmentation charge), which was sufficient to converge the total energy to 1 meV/atom. A Γ-centered 12 × 12 × 3 Monkhorst-Pack33 k-point mesh was chosen to sample the Brillouin zone in the calculations. For the calculations of PM phases, the Eu-4f states were considered to be fully localized core states and do not hybridize with any conduction electrons; while for the ferromagnetic state calculations, the Eu-4f states were explicitly considered as semi-core valence states, with an additional Hubbard-like effective interaction U = 7 eV34,35,36. In addition, for ferromagnetic state calculations, only the initial magnetic moments on Eu atoms were set to non-zero values.

We have employed the experimental crystal structure to perform all the calculations, since a full structural relaxation will yield a 5.1% shorter c and wrong As-heights. This problem was known in other FeSCs37,38, and was due to the fact that spin fluctuations cannot be accounted for in the static mean-field implementation of DFT39.

The DFT results were then fitted to a TB model Hamiltonian with maximally projected Wannier function method13,40. Although TB Hamiltonian constructed with five Fe-3d orbitals is sufficient to describe the low-energy excitations in FeSCs, one must include Eu-4f orbitals and other relevant ones in EuRbFe4As4 in order to analyze the crystal field splitting and magnetic exchange coupling interactions. Therefore, we have employed 44 atomic orbitals including the Fe-3d, As-4p, Eu-5d, and Eu-4f orbitals in the fitting procedure.