Improved expressions are given for the performance parameters for transverse and axial gains for complex pupil filters. These expressions can be used to predict the behavior of filters that give a small axial shift in the focal intensity maximum and also predict the changes in gain for different observation planes. © 2007 Optical Society of America OCIS codes: 100.6640, 110.1220, 350.5730. Sheppard and Hegedus [1] introduced transverse and axial gain factors describing the focusing properties of rotationally symmetric pupil filters or masks in the paraxial regime. These factors are expressed simply in terms of the moments of the pupil and avoid the necessity to calculate the diffracted field of the lens. The treatment holds for real filters, which includes the class of amplitude filters, but also the important class of binary phase-only filters with a phase change of . De Juana et al.[2] extended the gain parameters to the case of general-phase filters, for the case when the intensity maximum is shifted only a small distance from the geometrical focus. Ledesma et al.[3] introduced an alternative approach for any complex filter, in which the plane of best focus is calculated first, and generalized gain parameters in the surroundings of the shifted focus are then calculated. This approach is much more flexible and is preferable for many phase filters, as the intensity peaks on the axis can be situated far from the geometrical focal plane, with the filter acting like a zone plate. But, unfortunately, it does not lead to analytic expressions for the filter parameters since numerical calculation of the plane of best focus is needed. Phase-only filters have advantages when the Strehl ratio is an important property (e.g., in astronomy), but for many applications when efficiency is not important the performance of amplitude filters is better, as the relative strength of the sidelobes is decreased [4,5]. The transverse and axial gains are calculated from the second derivatives of the transverse or axial intensity variations, normalized by the intensity. To obtain a second derivative to second order, and thus to get an expression for the gains as a function of axial position, an expression for intensity accurate to fourth order must be used. De Juana et al.'s [2] Eq. (8) for transverse gain is calculated from an expression containing a third-order term, while their Eq. (9) for axial gain is calculated from an expansion of intensity to only second order.In the paraxial Debye regime, the amplitude in the focal region of a lens is [6]where the optical coordinates for cylindrical coordinates r , z are v = ͑2r / ͒sin ␣, u = ͑8z / ͒sin 2 ͑␣ /2͒, with ␣ being the semiangle of convergence of the lens. We obtain for the intensity to fourth order in u for the case of a complex pupil:I͑v,u͒ = ͉I 0 ͉ 2 − u Im͑I 0