Pericyclic reactions frontier orbitals

The way the substituents affect the rate of the reaction can be rationalised with the aid of the Frontier Molecular Orbital (FMO) theory. This theory was developed during a study of the role of orbital symmetry in pericyclic reactions by Woodward and Hoffinann and, independently, by Fukui Later, Houk contributed significantly to the understanding of the reactivity and selectivity of these processes. ... 

You can interpret the stereochemistry and rates of many reactions involving soft electrophiles and nucleophiles—in particular pericyclic reactions—in terms of the properties of Frontier orbitals. This applies in particular to pericyclic reactions. Overlap between the HOMO and the LUMO is a governing factor in many reactions. HyperChem can show the forms of orbitals such as HOMO and LUMO in two ways a plot at a slice through the molecule and as values in a log file of the orbital coefficients for each atom. 

Btamp/e Another example of frontier orbital theory uses the reaction of phenyl-butadiene with phenylethylene. This reaction is a [4 + 2] pericyclic addition to form a six-membered ring. It could proceed with the two phenyl rings close to each other (head to head) or further away from each other (head to tail). 

The Woodward-Hoffmann rules for pericyclic reactions require an analysis of all reactant and product molecular orbitals, but Kenichi Fukui at Kyoto Imperial University in Japan introduced a simplified version. According to Fukui, we need to consider only two molecular orbitals, called the frontier orbitals. These frontier orbitals are the highest occupied molecular orbital (HOMO) and the lowest unoccupied molecular orbital (LUMO). In ground-state 1,3,5-hexa-triene, for example, 1//3 is the HOMO and excited-stale 1,3,5-hexatriene, however, 5 is the LUMO. 

The period 1930-1980s may be the golden age for the growth of qualitative theories and conceptual models. As is well known, the frontier molecular orbital theory [1-3], Woodward-Hoffmann rules [4, 5], and the resonance theory [6] have equipped chemists well for rationalizing and predicting pericyclic reaction mechanisms or molecular properties with fundamental concepts such as orbital symmetry and hybridization. Remarkable advances in aeative synthesis and fine characterization during recent years appeal for new conceptual models. 

On the other hand, many pericyclic reactions are accelerated by Lewis-acid catalysts. The acceleration has been attributed to a complex formation between the Lewis acid and the polar groups of the reactants that brings about changes in the energies and orbital coefficients of the frontier orbitals.6 The complex formation also stabilizes the enhanced polarized transition state. 

The actual rates of thermally-allowed pericyclic reactions vary vastly, and frontier-orbital theory (14, 15, 16) has proven to be the primary basis for quantitative understanding and correlation of the factors responsible. It is therefore of interest to find the dominant frontier orbital interactions for the group transfer reactions hypothesized to occur. 

Houk, K.N. "Application of Frontier Molecular Orbital Theory to Pericyclic Reactions", in "Pericyclic Reactions", A.P. 

Frontier molecular orbital (FMO) theory 62) has provided new insights into chemical reactivity. This, and the simplicity of its application, has led to its widespread use, particularly in the treatment of pericyclic reactions 63). An FMO treatment depends on the energy of the highest occupied (HOMO) and lowest unoccupied molecular... 

However, despite their proven explanatory and predictive capabilities, all well-known MO models for the mechanisms of pericyclic reactions, including the Woodward-Hoffmann rules [1,2], Fukui s frontier orbital theory [3] and the Dewar-Zimmerman treatment [4-6] share an inherent limitation They are based on nothing more than the simplest MO wavefunction, in the form of a single Slater determinant, often under the additional oversimplifying assumptions characteristic of the Hiickel molecular orbital (HMO) approach. It is now well established that the accurate description of the potential surface for a pericyclic reaction requires a much more complicated ab initio wavefunction, of a quality comparable to, or even better than, that of an appropriate complete-active-space self-consistent field (CASSCF) expansion. A wavefunction of this type typically involves a large number of configurations built from orthogonal orbitals, the most important of which i.e. those in the active space) have fractional occupation numbers. Its complexity renders the re-introduction of qualitative ideas similar to the Woodward-Hoffmann rules virtually impossible. 

The SC descriptions of the electronic mechanisms of the three six-electron pericyclic gas-phase reactions discussed in this paper (namely, the Diels-Alder reaction between butadiene and ethene [11], the 1,3-dipolar cycloaddition offulminic acid to ethyne [12], and the disrotatory electrocyclic ring-opening of cyclohexadiene) take the theory much beyond the HMO and RHF levels employed in the formulation of the most popular MO-based treatments of pericyclic reactions, including the Woodward-Hoffmarm mles [1,2], Fukui s frontier orbital theory [3] and the Dewar-Zimmerman model [4—6]. The SC wavefunction maintains near-CASSCF quality throughout the range of reaction coordinate studied for each reaction but, in contrast to its CASSCF counterpart, it is very much easier to interpret and to visualize directly. 

Pericyclic reactions are described in Chapter 12 as a special case of frontier orbital interactions, that is, following Fukui [1]. However, the stereochemical nomenclature supra-facial and antarafacial and the very useful general component analysis of Woodward and Hoffmann [3] are also introduced here. 

The structural requirements of the mesomeric betaines described in Section III endow these molecules with reactive -electron systems whose orbital symmetries are suitable for participation in a variety of pericyclic reactions. In particular, many betaines undergo 1,3-dipolar cycloaddition reactions giving stable adducts. Since these reactions are moderately exothermic, the transition state can be expected to occur early in the reaction and the magnitude of the frontier orbital interactions, as 1,3-dipole and 1,3-dipolarophile approach, can be expected to influence the energy of the transition state—and therefore the reaction rate and the structure of the product. This is the essence of frontier molecular orbital (EMO) theory, several accounts of which have been published. 16.317 application of the FMO method to the pericyclic reactions of mesomeric betaines has met with considerable success. The following section describes how the reactivity, electroselectivity, and regioselectivity of these molecules have been rationalized. 

As chemists we can pose a simple, focussed question how do the Woodward-Hoffmann rules (WHR) [18] arise from a purely electron density formulation of chemistry The WHR for pericyclic reactions were expressed in terms of orbital symmetries particularly transparent is their expression in terms of the symmetries of frontier orbitals. Since the electron density function lacks the symmetry properties arising from nodes (it lacks phases), it appears at first sight to be incapable of accounting for the stereochemistry and allowedness of pericyclic reactions. In fact, however, Ayers et al. [19] have outlined how the WHR can be reformulated in terms of a mathematical function they call the dual descriptor , which encapsulates the fact that nucleophilic and electrophile regions of molecules are mutually friendly. They do concede that with DFT some processes are harder to describe than others and reassure us that Orbitals certainly have a role to play in the conceptual analysis of molecules . The wavefunction formulation of the WHR can be pictorial and simple, while DFT requires the definition of and calculations with some nonintuitive ( ) density function concepts. But we are still left uncertain whether the successes of wavefunctions arises from their physical reality (do they exist out there ) or whether this successes is merely because their mathematical form reflects an underlying reality - are they merely the shadows in Plato s cave [20]. 

Kenichi Fukui and Roald Hoffmann won the Nobel prize in 1981 (Woodward died in 1979 and so couldn t share this prize he had already won the Nobel prize in 1965 for his work on synthesis) for the application of orbital symmetry to pericyclic reactions. Theirs is an alternative description to the frontier orbital method we have used and you need to know a little about it. They considered a more fundamental correlation between the symmetry of all the orbitals in the starting materials and all the orbitals in the products. This is rather too complex for our consideration here, and we shall concentrate only on a summary of the conclusions—the Woodward-Hoffmann rules. The most important of these states ... 

Please note—these orbitals are just p Ofbitals, and do not make up HOMOs or LUMOs or any particular molecular orbital. Do not attempt to mix frontier orbital and Wo dward--Hbffmann descriptions of pericyclic. reactions. 

Three levels of explanation have been advanced to account for the patterns of reactivity encompassed by the Woodward-Hoffmann rules. The first draws attention to the frequency with which pericyclic reactions have a transition structure with (An + 2) electrons in a cyclic conjugated system, which can be seen as being aromatic. The second makes the point that the interaction of the appropriate frontier orbitals matches the observed stereochemistry. The third is to use orbital and state correlation diagrams in a compellingly satisfying treatment for those cases with identifiable elements of symmetry. Molecular orbital theory is the basis for all these related explanations. 

The Woodward-Hoffmann rules arise fundamentally from the conservation of orbital symmetry seen in the correlation diagrams. These powerful constraints govern which pericyclic reactions can take place and with what stereochemistry. As we have seen, frontier orbital interactions are consistent with these features,... 

For reviews on pericyclic reactions see T. L. Gilchrist and R. C. Storr, in Organic Reactions and Orbital Symmetry, Cambridge University Press, Cambridge, 1972 G. B. Gill and M. R. Willis, in Pericyclic Reactions, Chapman-Hall, London, 1974 I. Fleming, in Frontier Orbitals and Organic Chemical Reactions, Wiley, London, 1976 A. P. Marchand and R. E. Lehr (Eds), Pericyclic Reactions, Vols. 1 and 2, Academic Press, New York, 1977. 

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