Problems for Chapter 4
These problems combine the sections of Chapter 4 with each other and with Chapters 1–3. The first three are review prompts: state a main result, prove it without looking, and then answer a question that the text did not ask. The rest are ordered roughly by difficulty. Problems marked “Beyond 21-242” use the quotients, affine geometry, or subspace counting of the sections marked the same way, and problems of kind “competition” are harder than anything the course expects. Section 4.8 compares the techniques these problems call for.
Review: state and prove
- (a)State Theorem 4.2.11(b).
- (b)Prove it by extending a basis of to a basis of .
- (c)Give a second proof that lifts a basis of instead: choose such that
is a basis of , and show that a basis of followed by is a basis of . Deduce that if is any vector space and has finite-dimensional kernel and image, then is finite-dimensional. In particular, an operator on an infinite-dimensional space has an infinite-dimensional kernel or an infinite-dimensional image.
Uses. Theorem 4.2.11 (Rank–nullity), Theorem 4.1.16 (Extending to a basis), Proposition 4.1.21 (Dimensions of subspaces), Proposition 2.1.16 (Linear maps preserve spans and linear relations), Theorem 1.5.5 (Independence is decided at zero), Proposition 2.1.4 (Linear maps preserve and negatives)
Techniques. Extend a basis of a subspace (Technique 4.1.18), Dimension counting (Technique 4.2.24)
(a) Let be finite-dimensional and . Then is finite-dimensional, and
(b) Since is a subspace of the finite-dimensional space , it is finite-dimensional (Proposition 4.1.21(a)). Let be a basis of and extend it to a basis
Spanning. By Proposition 2.1.16, is spanned by the values of on the basis,
Independence. If
(c) Let be a basis of and as described; here is any vector space, and we only assume that and are finite-dimensional. Let
spans . Let . Then , so
is independent. If
So is a basis of , is finite-dimensional, and
Problem 4.2. For , sets and with , let be the submatrix formed by the entries with and .
- (a)State Theorem 4.3.8.
- (b)Prove it.
- (c)Let , let the rows of with indices in be linearly independent, and let the columns with indices in be linearly independent, where . Show that is invertible. Deduce that for , is the largest for which has an invertible submatrix.
Uses. Theorem 4.3.8 (Row rank equals column rank), Theorem 4.3.21 (Column–row factorization), Proposition 4.3.23 (Factorizations through ), Proposition 2.4.23 (Transpose of a product), Theorem 4.3.3 (Rank of a product), Theorem 4.1.10 (Independent lists are short), Proposition 2.6.18 (The column space is spanned by the columns), Proposition 2.4.8 (Four views of the product), Theorem 3.5.14 (Third Fundamental Theorem, completed)
Techniques. Transpose to trade rows for columns (Technique 3.2.27), Restrict to a subspace (Technique 4.2.5)
(a) For every , : the rows of span a subspace of of the same dimension as the subspace of spanned by its columns.
(b) Let . If , then and . Otherwise, by Theorem 4.3.21, with and . By Proposition 2.4.23, with inner size , so
(c) Let consist of the columns of with indices in . They are independent vectors in the -dimensional space (Proposition 2.6.18), so they form a basis of (Theorem 4.1.10(b)). Every column of is therefore a combination of the columns of , so for some (Proposition 2.4.8). Taking the rows with indices in on both sides, , where consists of the rows of in and . The rows of are independent, so by (a). By Theorem 4.3.3,
so the matrix has rank and is invertible (Theorem 3.5.14).
The largest invertible submatrix. By (a) there are independent rows and independent columns, so by what we just proved, has an invertible submatrix. Conversely, let be an invertible submatrix. A relation among the columns of with indices in gives, in the rows with indices in , the same relation among the columns of , which are independent. So the columns of in are independent, and .
The point of (c) is that the rows and the columns can be chosen separately: any independent rows meet any independent columns in an invertible submatrix. In Section 5.5 the same characterization of the rank is phrased with determinants.
- (a)State Proposition 4.1.26 and Corollary 4.1.27.
- (b)Prove both.
(c)Under the hypotheses of Proposition 4.1.26, let
. Show that for , so that
.
Uses. Proposition 4.1.26 (Nilpotent chains are independent), Corollary 4.1.27 (A nilpotent operator dies within steps), Theorem 1.5.5 (Independence is decided at zero), Proposition 1.2.35 (Zero products), Theorem 4.1.10 (Independent lists are short)
Techniques. Apply an operator to a relation to kill terms (Technique 4.1.25)
(a) Proposition 4.1.26: let , , and with and . Then is linearly independent. Corollary 4.1.27: if and for some , then .
(b) The proposition. For ,
and every exponent in the sum is at least , so . Since , (Proposition 1.2.35). So the list is independent (Theorem 1.5.5).
The corollary. Let . Since , there is a largest with , and . By the proposition, is an independent list of length in , so (Theorem 4.1.10(a)), and
(c) Fix with . For ,
The vectors are entries of the independent chain, so , and
So on the kernels of the powers grow by exactly one dimension at each step, until . In particular is the line spanned by the last vector , the vector that becomes an eigenvector when the chain is shifted in Proposition 7.2.37.
Synthesis problems
Problem 4.4. Let satisfy , let , and let
- (a)Show that
. - (b)Show that , and that if and only if and
. - (c)Show that
, and that the component of in is .
Uses. Theorem 4.4.27 (Idempotents are projections), Theorem 4.4.13 (Bases and dimension of a sum), Proposition 4.5.35 (Preserved subspaces give block triangular matrices), Theorem 4.5.17 (Change of basis), Theorem 2.4.34 (Block multiplication), Theorem 4.2.11 (Rank–nullity), Proposition 4.5.5 (Isomorphisms preserve linear structure), Proposition 4.4.21 (Two out of three)
Techniques. Choose a basis adapted to a preserved subspace (Technique 4.5.36), Study a linear map on a space of matrices (Technique 4.2.29), Split the space with an idempotent (Technique 4.4.28)
If or , then or (an idempotent of full rank is invertible, and then gives ), so , and all three statements hold with and . So let . By Theorem 4.4.27, , and fixes pointwise and kills . Let have as columns a basis of followed by a basis of ; together they form a basis of (Theorem 4.4.13), so is invertible. In this basis has the matrix , so (Theorem 4.5.17). For write . Then
The map is linear and invertible, with inverse , so it carries onto and onto , where
(a) if and only if and . So is the space of block diagonal matrices, of dimension , and has the same dimension.
(b) By rank–nullity,
so if and only if and
(c) By (a) and (b),
Choosing the basis made the computation a matter of reading blocks. The formula in (c) needs no basis at all, and could have been guessed from the blocks: and are the two diagonal blocks of seen through the decomposition .
Problem 4.5. Let be the shift (Exercise 2.1.32), and . You may use the binomial theorem
- (a)Let , and suppose that is nonzero in . Show that for every of degree exactly , the translates
form a basis of . - (b)Write as a combination of
over . - (c)Let be a prime. Show that over the translates , , span a -dimensional space. So (a) fails over for .
Uses. Proposition 4.1.26 (Nilpotent chains are independent), Theorem 4.1.10 (Independent lists are short), Corollary 4.1.11 (Spanning lists are long), Proposition 1.2.18 (Degree and evaluation versus the operations), Proposition 2.1.24 (Algebra of composition), Exercise 2.1.32
Techniques. Apply an operator to a relation to kill terms (Technique 4.1.25), Dimension counting (Technique 4.2.24)
(a) All the maps involved send into itself, since has the same degree as . By the binomial theorem, for the polynomial
By Proposition 4.1.26, applied to on , the list is independent. It has entries, so it is a basis (Theorem 4.1.10(b)). Since commutes with , the binomial theorem for commuting operators (which has the same proof as for numbers, using Proposition 2.1.24) gives
So every with lies in the span of
(b) For , and . By the formula above,
Check:
(c) Over , the binomial coefficients with are , so
Problem 4.6. (Zassenhaus’s algorithm.) Let
- (a)Show that the row space of is
, and that maps onto with kernel . - (b)Show that the left halves of the nonzero rows of whose left half is nonzero form a basis of , and that the right halves of the remaining nonzero rows form a basis of .
- (c)Run the algorithm in with , , , , for , and decide what happens for .
Uses. Proposition 4.3.13 (Dimensions of the four subspaces), Theorem 3.3.12 (Matrices in RREF), Theorem 4.2.11 (Rank–nullity), Theorem 4.1.10 (Independent lists are short), Proposition 4.4.2 (Sums are the smallest containing subspaces), Theorem 4.4.19 (Dimension of a sum)
Techniques. Dimension counting (Technique 4.2.24), Reduce to RREF (Technique 3.3.22)
(a) A combination of the rows of with coefficients and is
with and , and every such pair arises. So the row space is . The map is linear, and
(b) Row operations do not change the row space, and the nonzero rows of form a basis of it (Proposition 4.3.13(b)), so they form a basis of . In the pivots move to the right from one row to the next (Theorem 3.3.12), so the nonzero rows split into rows with their pivot in the left half, followed by rows of the form
The left halves of the form a basis of . They span , since of the other basis vectors of is . They are independent: in a relation
The form a basis of . The vectors are independent, being nonzero rows of , and they lie in . By rank–nullity for , this kernel has dimension
(c) The matrix is
Over , where , Gauss–Jordan elimination gives
So has basis
Over , the same elimination ends with a pivot in each of the first four columns, since
so and . Directly:
The column method of Example 4.4.20 finds the intersection as a relation among the given vectors; this method finds bases of both spaces in one reduction, with no relation to interpret.
Problem 4.7. Let satisfy and .
- (a)Suppose is invertible. Show that and are similar, so in particular .
- (b)Show by an example that (a) fails without the invertibility hypothesis.
- (c)Suppose . Show that is idempotent and that
.
Uses. Definition 4.5.23 (Similar matrices), Proposition 4.5.27 (Similarity invariants), Proposition 4.3.1 (Invertible factors preserve rank), Proposition 2.4.14 (Algebra of matrices), Theorem 4.4.19 (Dimension of a sum), Proposition 4.4.2 (Sums are the smallest containing subspaces), Proposition 4.1.21 (Dimensions of subspaces)
Techniques. Compare components (Technique 4.4.8)
(a) Let . Using and ,
So , and since is invertible, . So , and (Proposition 4.5.27(a)). The rank statement alone also follows from Proposition 4.3.1:
(b) and are idempotent of ranks and , and is not invertible.
(c)
Over , , or , (c) also follows from for idempotents (Exercise 4.3.43), since the trace is additive. The argument above works over every field, where the trace of an idempotent only determines its rank modulo the characteristic.
Problem 4.8. Let , and let satisfy for some . By Exercise 4.2.52, the jumps
- (a)Prove again, by iterating Sylvester’s inequality.
- (b)Suppose divides and . Show that
for ; in particular . Find such an . - (c)Suppose . Show that , and deduce that has a basis
.
Uses. Exercise 4.3.30, Exercise 4.2.52, Proposition 4.2.15 (Rank through any matrix), Theorem 4.2.11 (Rank–nullity), Corollary 4.1.27 (A nilpotent operator dies within steps), Proposition 4.1.26 (Nilpotent chains are independent), Theorem 4.1.10 (Independent lists are short), Exercise 4.5.50
Techniques. Dimension counting (Technique 4.2.24), Apply an operator to a relation to kill terms (Technique 4.1.25)
(a) Let be the matrix of in some basis, so and (Proposition 4.2.15). By Exercise 4.3.30(c) with all factors equal to ,
so
(b) Since ,
For an example, let and choose a basis of , indexed by and . Define by and
(c) For there is nothing to prove, since . Let , and let be the least exponent with ; it exists by Corollary 4.1.27, with . With the jumps as above,
Problem 4.9. Let , let be finite-dimensional, and let
- (a)Show that for an exact sequence,
. - (b)What does (a) say for and ?
- (c)Let , and let and for . Show that there is an exact sequence with for all if and only if for all and .
Uses. Theorem 4.2.11 (Rank–nullity), Theorem 2.2.1 (Linear maps are determined by a basis), Proposition 2.1.16 (Linear maps preserve spans and linear relations), Corollary 4.2.18 (Injective if and only if surjective)
Techniques. Dimension counting (Technique 4.2.24), Construct a map by choosing it on a basis (Technique 2.2.4)
Write for , and .
(a) We claim
and the terms with cancel in pairs, leaving .
(b) For , is injective and surjective, an isomorphism, and (a) says . For , is injective, is surjective, and ; (a) says
(c) Necessity. By the claim in (a), with , so by induction for . Ranks are nonnegative, so for these , and
Sufficiency. Suppose all and . Let . Then , so we may define , for , on the standard basis of by
(Theorem 2.2.1). This makes sense because
The condition alone is the vanishing of the alternating sum in (a), since
Problem 4.10. Let have elements, let , and for let be the number of independent lists of length in (Corollary 4.1.35).
- (a)Let and be subspaces of with , and let . Show that exactly operators satisfy and .
(b)Show that the number of with and is
and check the total over all against Problem 2.8(b) for when is a prime.
- (c)Show that the number of of rank is , and check that the counts for add up to .
Uses. Proposition 4.4.16 (Complements exist), Proposition 4.4.31 (Defining maps summand by summand), Theorem 2.2.1 (Linear maps are determined by a basis), Proposition 4.5.5 (Isomorphisms preserve linear structure), Corollary 4.1.35 (Counting independent lists and bases), Theorem 4.4.27 (Idempotents are projections), Proposition 4.4.26 (Properties of projections), Proposition 4.1.37 (Counting subspaces), Exercise 4.4.49, Exercise 4.1.54, Theorem 4.2.11 (Rank–nullity)
Techniques. Double counting (Technique 4.1.36), Construct a map by choosing it on a basis (Technique 2.2.4)
(a) By Proposition 4.4.16, has a complement , with . Let have kernel and image . Then is injective, since
(b) By Theorem 4.4.27, an idempotent satisfies and . Conversely, for every pair with , the projection is idempotent with image and kernel (Proposition 4.4.26). So idempotents of rank correspond bijectively to pairs of complementary subspaces with . There are subspaces of dimension (Proposition 4.1.37), and each has complements (Exercise 4.4.49(c)). Multiplying gives the formula.
For : and give each ( and ). For ,
(c) An operator of rank has a kernel of dimension and an image of dimension (Theorem 4.2.11), and by (a) each such pair is realized by operators. The number of -dimensional subspaces equals the number of -dimensional ones (Exercise 4.1.54(b)), namely . So the count is
For : gives ; gives
Problem 4.11. Let .
- (a)Show that
. - (b)Deduce that
. - (c)Show that the bound in (b) is attained for every .
Uses. Theorem 4.3.3 (Rank of a product), Exercise 4.3.30, Theorem 2.4.34 (Block multiplication), Proposition 2.4.14 (Algebra of matrices)
Techniques. Dimension counting (Technique 4.2.24)
(a) By associativity,
(b) Let . By (a),
(c) Let ; for there is nothing to show. If , let
By Theorem 2.4.34, , of rank , and
For this is Example 4.3.4. The proof of (a) is the move of Problem 2.9: products in the other order are sandwiched inside powers,
Problem 4.12. Let satisfy , and let .
- (a)Show that , and deduce that .
- (b)Show that .
- (c)Show that
, and that for every with there are such and with .
Uses. Theorem 4.3.3 (Rank of a product), Exercise 4.2.50, Proposition 4.5.35 (Preserved subspaces give block triangular matrices), Theorem 4.4.13 (Bases and dimension of a sum), Theorem 4.5.17 (Change of basis), Theorem 2.4.34 (Block multiplication), Theorem 3.5.23 (One-sided inverses of square matrices), Proposition 4.3.1 (Invertible factors preserve rank), Lemma 4.8.2 (Ranks of block triangular matrices)
Techniques. Choose a basis adapted to a preserved subspace (Technique 4.5.36), Block decomposition (Technique 2.4.35)
(a) By Theorem 4.3.3,
(b) If , then and . If , then is invertible, gives , so and . So let , and let have as columns a basis of followed by a basis of ; by (a) and Theorem 4.4.13 these form a basis of , so is invertible. maps into itself and kills , so by Proposition 4.5.35 and Theorem 4.5.17,
with the matrix of restricted to . This restriction is injective, since its kernel is , so is invertible. Write
Since is invertible, and . Then also (Theorem 3.5.23), and
So
(c) For and , by (b). Otherwise, by Proposition 4.3.1,
For the examples, let , let , and let , where has in its top rows and zeros below, so that ; this needs . Then
Everything followed from choosing the basis adapted to . In it, is invertible on one summand and on the other, and the hypothesis pins down two of the four blocks of .
Problem 4.13. Let , and call nilpotent if for some .
- (a)Show that every nilpotent is similar to a strictly upper triangular matrix, and deduce that .
- (b)Show that the nilpotent matrices span the subspace .
- (c)Show that the matrices with span all of .
Uses. Corollary 4.1.27 (A nilpotent operator dies within steps), Theorem 4.1.16 (Extending to a basis), Theorem 4.5.17 (Change of basis), Proposition 4.5.27 (Similarity invariants), Lemma 2.4.24 (Matrix units), Proposition 2.4.27 (The trace is linear), Exercise 4.1.43, Proposition 1.4.14 (The span is the smallest subspace containing a list)
Techniques. Extend a basis of a subspace (Technique 4.1.18), Choose a basis adapted to a preserved subspace (Technique 4.5.36), Rule out similarity with an invariant (Technique 4.5.29)
(a) Let , so
(b) Let be the trace-zero subspace. By (a) and Proposition 2.4.27, every nilpotent matrix lies in , and so does their span. Conversely, for , the matrix unit satisfies (Lemma 2.4.24(c)), so it is nilpotent. Let
is a combination of nilpotent matrices. The matrices with and with lie in , number (Exercise 4.1.43), and are independent, since their entries sit in different positions except for the last diagonal entry. So they form a basis of , and is contained in the span of the nilpotent matrices.
(c) , and for ,
Nilpotent matrices are trapped in a hyperplane because their trace is ; idempotents are not, since can be anything. Neither set is a subspace: a sum of two nilpotent matrices can be invertible (Problem 2.10(b)).
Problem 4.14. Let have elements, let , let be a subspace of dimension , and let . With as in Corollary 4.1.35, show that the number of -dimensional subspaces of with is
Check the cases and , and the example of lines and planes in meeting a fixed line only in .
Uses. Proposition 4.4.12 (Concatenating independent lists), Proposition 4.1.34 (Size of a vector space over a finite field), Corollary 4.1.35 (Counting independent lists and bases), Proposition 4.1.37 (Counting subspaces), Exercise 4.4.49, Proposition 1.5.14 (Appending a vector)
Techniques. Double counting (Technique 4.1.36)
Let be a basis of . For a list , the concatenation is independent if and only if is independent and (Proposition 4.4.12). So the lists with this property are exactly the bases of the -dimensional subspaces with , and each such has bases (Corollary 4.1.35). Let be the number of such lists; then the number of subspaces is .
To count the lists, choose in turn. Given with
and the number of subspaces is .
Checks. For , the factor is , and the count is the number of complements of (Exercise 4.4.49(c)). For the count is
Problem 4.15. (Helly’s theorem.) Let be a real vector space with , and let be convex subsets of with .
- (a)Suppose that every of the sets have a common point. Show that all of them have a common point.
- (b)Let . Show that “” cannot be replaced by “” in (a).
Uses. Corollary 4.7.23 (Affinely independent lists are short), Exercise 4.7.59, Proposition 4.7.30 (Convex sets and convex hulls), Proposition 4.7.32 (Barycentric coordinates on a simplex), Definition 4.7.28 (Convex combination, convex set, convex hull)
Techniques. Too many vectors force a dependence (Technique 4.1.30)
(a) We induct on . For the hypothesis says exactly that all the sets have a common point. Let , and assume the statement for sets. For each , the sets with satisfy the hypothesis, so by induction there is a point in every with .
The points are affinely dependent (Corollary 4.7.23): there are , not all , with and . As in the solution of Exercise 4.7.59, let and ; both are nonempty, , and
where both sides are convex combinations. Now fix . If , then every with lies in (because ), so the left side is a convex combination of points of the convex set , and (Proposition 4.7.30(a)). If , then , and the right side shows in the same way. So lies in all sets.
(b) Let be affinely independent (an affine frame of ) and
The proof is “too many vectors” in affine form: as soon as there are more points than an affine frame can hold, they satisfy an affine dependence, and the dependence, split by signs, produces the common point.
Problem 4.16. Let and satisfy
- (a)Show that .
- (b)Find such and .
Uses. Theorem 4.3.3 (Rank of a product), Theorem 3.5.14 (Third Fundamental Theorem, completed), Theorem 4.3.21 (Column–row factorization), Proposition 2.4.14 (Algebra of matrices)
Techniques. Dimension counting (Technique 4.2.24)
(a) A direct computation gives
The first two columns of are not proportional, and the third is
So has rank and is invertible (Theorem 3.5.14). Now
and multiplying by gives .
(b) By Theorem 4.3.21, with the pivot columns of and the nonzero rows of :
Indeed has columns , , and
The identity says that is idempotent of rank , and is the corresponding identity on the -dimensional space through which factors. This is Problem B6 of the 1969 Putnam Competition.
Uses. Theorem 4.2.11 (Rank–nullity), Theorem 3.5.14 (Third Fundamental Theorem, completed), Theorem 4.1.10 (Independent lists are short), Proposition 2.6.18 (The column space is spanned by the columns), Notation 1.1.25 ()
Techniques. Try small cases and small fields (Technique 1.2.38), Dimension counting (Technique 4.2.24)
Index rows and columns by . For , the entry lies on the th diagonal below the main one, so if and if . For , is if and if . In both cases, with the remainder of modulo (so for ; for , ),
Upper bound. In row , as runs over the indices different from , the remainder runs over , each once. So row has entries equal to and equal to , and for . Hence and (Theorem 4.2.11).
Lower bound. Let be the top left block of . Its entries are integers, on the diagonal and elsewhere, so its reduction modulo is over , where is the all-ones matrix of size . Since , over
so is invertible over and its columns are independent there (Theorem 3.5.14). Now suppose the columns of satisfy with , not all . Multiplying by a common denominator, we may take the to be integers, and dividing by the largest power of that divides all of them, we may assume that some is odd. Reducing the integer equation modulo gives a relation among the columns of over with a coefficient , which is impossible. So the columns of are independent over . A relation among the first columns of is, in its first rows, a relation among the columns of , so the first columns of are independent, and (Proposition 2.6.18, Theorem 4.1.10).
So , over and therefore also over (Gauss–Jordan elimination never leaves ). The same argument shows that has rank over as well. Reducing modulo a prime can only lower the rank of an integer matrix, so a lower bound modulo is a lower bound over ; this is the reason to look at the matrix modulo , where it becomes the very simple . This is Problem B5 of the 1988 Putnam Competition.
Problem 4.18. For vector spaces and , possibly infinite-dimensional, call Fredholm if and are finite-dimensional, and define its index
- (a)Show that if and are finite-dimensional, every is Fredholm with .
- (b)Let and be multiplication by and differentiation on . Show that and are Fredholm, and compute their indices.
- (c)Let and be Fredholm. Show that is Fredholm and
. Check this for and on .
Uses. Theorem 4.2.11 (Rank–nullity), Theorem 4.6.27 (Dimension of a quotient), Theorem 4.6.34 (First isomorphism theorem), Exercise 4.6.49, Exercise 4.6.50, Proposition 4.6.28 (Lifting a basis of a quotient), Proposition 4.2.3 (Properties of restriction), Example 2.6.27 (Differentiation on ), Example 4.8.3 (Sylvester’s inequality, three ways)
Techniques. Pass to a quotient (Technique 4.6.31), Restrict to a subspace (Technique 4.2.5)
We use one fact about nested subspaces : if and are finite-dimensional, so is , and
Indeed is a subspace of with quotient
(a) is finite-dimensional, and
(b) is injective, so . Its image is , the polynomials with constant coefficient , which is the kernel of the surjective map , . By the first isomorphism theorem (Theorem 4.6.34), . So is Fredholm with . Over , is the space of constants (Example 2.6.27), and is surjective, since
(c) Let
The kernel.
The cokernel. We have . The map
By the second isomorphism theorem (Exercise 4.6.49(a)),
Applying (4.1) to shows that is finite-dimensional, with
The index. Subtracting,
The check.
For operators on a finite-dimensional space the index is by (a), and that is the content of “injective if and only if surjective”. On the index of is , which measures exactly how far is from that statement: it is injective but misses a -dimensional space. The kernel computation in (c) is the kernel proof of Sylvester’s inequality (Example 4.8.3), done with equality.