Generalized Numerical Index and Denseness of Numerical Peak Holomorphic Functions on a Banach Space
Abstract
The generalized numerical index of a Banach space is introduced, and its properties on certain Banach spaces are studied. Ed-dari′s theorem on the numerical index is extended to the generalized index and polynomial numerical index of a Banach space. The denseness of numerical strong peak holomorphic functions is also studied.
1. Introduction and Preliminaries
Let X and Y be Banach spaces over a scalar field 𝔽, where 𝔽 is the real field ℝ or the complex field ℂ. We denote by BX and SX its closed unit ball and unit sphere, respectively. Let X* be the dual space of X. An N-homogeneous polynomial P from X to Y is a mapping such that there is an N-linear (bounded) mapping L from X to Y such that P(x) = L(x, …, x) for every x in X. 𝒫(NX : Y) denotes the Banach space of all N-homogeneous polynomials from X to Y, endowed with the norm . A mapping Q : X → Y is a polynomial if there exist a nonnegative integer m and Pk ∈ 𝒫(kX : Y), k = 0,1, …, m such that Q = P0 + P1 + ⋯+Pm. If Pm ≠ 0, then we say that Q is a polynomial of degree m. We denote by 𝒫(X : Y) the normed space of all polynomials from X to Y, endowed with the norm . We refer to [1] for background on polynomials on a Banach space.
Given a real or complex Banach space X, we denote by τ the product topology of the set , where the topologies on SX and are the norm topology of X and the weak-* topology of X*, respectively. The set is a τ-closed subset of . The spatial numerical range of f in Cb(BX : X) is defined [2] by W(f) = {x*(f(x)):(x, x*) ∈ Π(X)}, and the numerical radius of f is defined by v(f) = sup {|λ | : λ ∈ W(f)}. Let f be an element of Cb(K : X). We say that f attains its norm if there is some t ∈ K such that ∥f∥ = ∥f(t)∥X. f is said to be a (norm) peak function at t if there exists a unique t ∈ K such that ∥f∥ = ∥f(t)∥X. It is clear that every (norm) peak function in Cb(K : X) is norm attaining. A peak function f at t is said to be a (norm) strong peak function if whenever there is a sequence in K with , converges to t in K. It is easy to see that if K is compact, then every peak function is a strong peak function. Given a subspace H of Cb(K), we denote by ρH the set of all points t ∈ K such that there is a strong peak function f in H with ∥f∥ = |f(t)|.
Similarly we introduce the notion of numerical peak functions. Let f be an element of Cb(BX : X). If there is some (x, x*) ∈ Π(X) such that v(f) = |x*(f(x))|, we say [3] that f attains its numerical radius. f is said ([4, 5]) to be a numerical peak function at (x, x*) if there exist a unique (x, x*) ∈ Π(X) such that v(f) = |x*(f(x))|. In this case, (x, x*) is said to be the numerical peak point of f. It is clear that every numerical peak function in Cb(BX : X) is numerical radius attaining. The numerical peak function f at (x, x*) is called a numerical strong peak function if whenever there is a sequence in Π(X) such that , then converges to (x, x*) in τ-topology. In this case, (x, x*) is said to be the numerical strong peak point of f. We say that a numerical strong peak function f at (x, x*) is said to be a very strong numerical peak function if whenever there is a sequence in Π(X) satisfying , we get lim kxk = x and in the norm topology. If X is finite dimensional, then every numerical peak function is a very strong numerical peak function.
In 1996, Choi and Kim [6] initiated the study of denseness of norm or numerical radius attaining nonlinear functions, especially homogeneous polynomials on a Banach space. Using the perturbed optimization theorem of Bourgain [7] and Stegall [8], they proved that if a real or complex Banach space X has the Radon-Nikodým property, then the set of all norm attaining functions in 𝒫(kX) is norm-dense. For the definition and properties of the Radon-Nikodým property, see [9]. Concerning the numerical radius, it was also shown that if X has the Radon-Nikodým property, then the set of all numerical radii attaining functions in 𝒫(kX : X) is norm-dense. Acosta et al. [10] proved that if a complex Banach space X has the Radon-Nikodým property, then the set of all norm attaining functions in Ab(BX) is norm-dense. Recently, it was shown in [11] that if X has the Radon-Nikodým property, the set of all (norm) strong peak functions in Ab(BX) is dense. Concerning the numerical radius, Acosta and Kim [3] showed that the set of all numerical radii attaining functions in Ab(BX : X) is dense if X has the Radon-Nikodým property. When X is a smooth (complex) Banach space with the Radon-Nikodým property, it is shown in [5] that the set of all numerical strong peak functions is dense in A(BX : X). As a corollary, if 1 < p < ∞ and X = Lp(μ) for a measure space μ, then the set of all norm and numerical strong peak functions in A(BX : X) is a dense Gδ-subset of A(BX : X). In this case, every numerical strong peak function is a very strong numerical peak function. It is also shown in [5] that the set of all norm and numerical strong peak functions in is a dense Gδ-subset of .
- (1)
each πi is a norm-one projection with the finite dimensional range Fi,
- (2)
given ϵ > 0, for every finite-rank operator T from X into a Banach space F and for every finite dimensional subspace G of X, there is πi such that
()
- (a)
It has a shrinking and monotone finite-dimensional decomposition.
- (b)
X = Lp(μ), where μ is a finite measure and 1 ≤ p < ∞.
We show that if X has the (FPA)-property, then the set of all polynomials Q ∈ 𝒫(X : X) such that there exist a finite dimensional subspace F and norm-one projection π : X → F such that π∘Q∘π = Q and Q|F is a norm, and numerical peak function as a mapping from BF into F is dense in Awu(BX : X).
Recall that a Banach space X is said to be locally uniformly convex if x ∈ SX, and there is a sequence {xn} in BX satisfying lim n∥xn + x∥ = 2, then lim n∥xn − x∥ = 0. Notice that if X is locally uniformly convex, then every norm-one projection is strong. We prove that if a smooth Banach space X has the (FPA)-property and the corresponding projections are strong and parallel to Π(X), then the set of all norm and numerical strong peak functions in Awu(BX : X) is dense. We also prove that if a Banach space X has the (FPA)-property with {(πi, Fi)} i∈I, the corresponding projections are strong, parallel to Π(X), and if each is strong, then the set of all very strong numerical and norm strong peak functions is dense in Awu(BX : X).
In Section 3, we extend the recent result of Ed-dari [13]. Let X be a complex Banach space and H a subspace of Ab(BX : X). We introduce the H-numerical index by N(H): = inf {v(f) : f ∈ H, ∥f∥ = 1}. When H = 𝒫( kX : X) for some k ≥ 1, the polynomial numerical index N(H) is usually denoted by n(k)(X), which was first introduced and studied by Choi et al. [14]. We refer to [15–20] for some recent results about polynomial numerical index. For a norm-one projection π with range F and for any subspace H of Ab(BX : X), define HF = {π∘f∘π|F : BF → F : f ∈ H}. We prove that if X has the (FPA)-property with {(πi, Fi)} i∈I and the corresponding projections are parallel to a numerical boundary of a subspace H, then . In fact, N(H) is a decreasing limit of the right-hand side with respect to the inclusion partial order. If X is a real Banach space, we get a similar result (see Theorem 14). As a corollary we also extended Ed-dari’s result to the polynomial numerical indices of lp. In fact, Kim [17] extended Ed-dari’s result [13, Theorem 2.1] to the polynomial numerical indices of (real or complex) lp of order k as follows: Let 1 < p < ∞ and k ∈ ℕ be fixed. Then and the sequence is decreasing.
2. Banach Spaces with the (FPA)-Property and Denseness of Numerical Peak Holomorphic Functions
Following [21, Definition 1.g.1], a Banach space X has a finite-dimensional Schauder decomposition (FDD for short) if there is a sequence {Xn} of finite-dimensional spaces such that every x ∈ X has a unique representation of the form , where xn ∈ Xn for every n. In such a case, the projections given by are linear and bounded operators. If, moreover, for every x* ∈ X*, it is satisfied that , the FDD is called shrinking. The FDD is said to be monotone if ∥Pn∥ = 1 for every n.
The following proposition is easy to prove and its proof is omitted.
Proposition 1. The following two conditions on a Banach space are equivalent.
- (1)
A Banach space X has the (FPA)-property.
- (2)
Given ϵ > 0, {x1, …, xm} ⊂ X and , there is a norm-one projection P : X → X such that P has a finite rank, and for each i = 1, …, m and for each j = 1, …, n, there exist yi ∈ X and such that ∥Pyi − xi∥ ≤ ϵ and .
Example 2. Assume that X is a complex Banach space satisfying at least one of the following conditions.
- (1)
It has a shrinking and monotone finite-dimensional decomposition.
- (2)
X = Lp(μ), where μ is a finite measure and 1 ≤ p < ∞.
Proof. Let T : X → F be a linear operator from X to a finite dimensional space F and G a finite dimensional subspace G of X. Given ϵ > 0, there is an ϵ/3-net {g1, …, gn} in BG and T can be written as for some and y1, …, ym ∈ F.
(1) Suppose that X has a shrinking monotone finite-dimensional decomposition. Then there is N ∈ ℕ such that
(2) Suppose that X = Lp(μ). We may assume that μ is a probability measure. For each 1 ≤ i ≤ m, there is si ∈ Lq(μ) such that 1/p + 1/q = 1 and . Then there is a sub-σ-algebra ℱ generated by finite disjoint subsets such that
Define a projection P : X → X as Pf = E(f∣ℱ). It is clear that P is a norm-one projection. For any f ∈ BX,
Proposition 3. Suppose that a Banach space X has the (FPA)-property with {(πi, Fi)} i. Then the set of all polynomials Q ∈ 𝒫(X : X) such that there exists a projection πi : X → Fi such that πi∘Q∘πi = Q and is a norm and numerical peak function as a mapping from to Fi is dense in Awu(BX : X).
Proof. We follow the ideas in [10]. The subset of continuous polynomials is always dense in Au(BX : X). Given f ∈ Au(BX : X) and n ∈ ℕ, it is the limit in Au(BX : X) of sequence of functions {fn} n defined by fn(x): = f((n/(n + 1))x). Then fn belongs to Ab(((n + 1)/n)BX : X). Thus the Taylor series expansion of fn at 0 converges uniformly on BX for all n.
We will also use the fact that if is the Taylor series expansion of f ∈ Awu(BX : X) at 0, then Pk is weakly uniformly continuous on BX for all k.
Since X has the (FPA)-property, X* has the approximation property (see [22, Lemma 3.1]). Then the subspace of k-homogeneous polynomials of finite-type restricted on BX is dense in the subspace of all k-homogeneous polynomials which are weakly uniformly continuous on BX (see [1, Proposition 2.8]). Thus the subspace of the polynomials of finite-type restricted to the closed unit ball of X is dense in Awu(BX : X).
Assume that P is a finite-type polynomial that can be written as a finite sum , where each Pk is an homogeneous finite-type polynomial with degree k. Consider the symmetric k-linear form Ak associated with the corresponding polynomial Pk. Since Pk is a finite-type polynomial, then Tk : X → Lf(k−1X : X) given by
The direct sum of these operators, that is, the operator
By the assumption on X, given any ϵ > 0, there is a norm-one projection π : = πi : X → X with a finite-dimensional range such that ∥T − Tπ∥ ≤ ϵ and ∥π|G − IG∥ ≤ ϵ, where G is the span of .
Let Bk be the symmetric k-linear mapping given by Bk : = Ak∘(π, …, π), and let Qk be the associated polynomial. It happens that Qk = Pk∘π. Now for ∥x∥ ≤ 1, we have
Remark 4. If X is a Banach space satisfying the (FPA)-property, then the set of polynomials in which has a nontrivial invariant subspace and has a fixed point is dense in .
The following lemma is proved in [5].
Lemma 5 (see [5].)Let X be a complex Banach space and f ∈ Ab(BX : X). Suppose that there are y ∈ BX and such that |y*(y)| = ∥y*∥ · ∥y∥. Then |y*(f(y))| ≤ v(f). In particular, ∥f(0)∥ ≤ v(f).
Theorem 6. Suppose that a smooth Banach space X has the (FPA)-property with {πi, Fi} i∈I and the corresponding projections are strong and parallel to Π(X). Then the set of all numerical and norm strong peak functions in Awu(BX : X) is dense.
Proof. By Proposition 3, the set of all polynomials Q such that there exists norm-one projection π : = πi : X → F such that π∘Q∘π = Q and Q|F is a norm and numerical peak function as a mapping from BF to F is dense in Awu(BX : X).
Fix corresponding Q and π and assume that and ∥Q(y1)∥ = ∥Q∥ for some and y1 ∈ BF, where vF(Q) is the numerical radius of the map Q|F : BF → F.
Suppose that there is a sequence in Π(X) such that . Then
Since π is strong, lim nxn = y0. Let x* be the weak-* limit point of the sequence . Then x*(y) = 1 and ∥x*∥ = 1 = ∥x*|F∥, and
Theorem 7. Suppose that a Banach space X space has the (FPA)-property with {πi, Fi} i∈I and the corresponding projections are strong and parallel to Π(X). One also assumes that each is strong. Then the set of all very strong numerical and norm strong peak functions is dense in Awu(BX : X).
Proof. By Proposition 3, the set of all polynomials Q such that there exists norm-one projection π : = πi : X → F such that π∘Q∘π = Q and Q|F is a norm and numerical peak function as a mapping from BF to F is dense in Awu(BX : X).
Fix corresponding Q and π and assume that and ∥Q(y1)∥ = ∥Q∥ for some and y1 ∈ BF, where vF(Q) is the numerical radius of the map Q|F : BF → F.
Suppose that there is a sequence in Π(X) such that . Then
Since π is strong, lim nxn = y0. Fix to be a Hahn-Banach extension of y*. Let x* be the weak-* limit point of the sequence . Then x*(y) = 1 and ∥x*∥ = 1 = ∥π*(x*)∥ and
Hence and ∥π*(z*)∥ = 1. Now we get by the assumption. This shows that . Therefore x* = π*(z*) and Q is a very strong numerical peak function at (y, π*(z*)). This completes the proof.
Corollary 8. Suppose that X = ℓp with 1 < p < ∞. Then the set of all very strong numerical and norm strong peak functions is dense in Awu(BX : X).
Proof. Let be a projection consisting of ith natural projections. Then these projections satisfy the conditions in Theorem 7. The proof is done.
3. Generalized Numerical Index
Proposition 9. Let X be a (real or complex) Banach spaces and let H be a closed subspace of Cb(BX : X). If X has the (FPA)-property with {πi, Fi} i∈I, then . In particular, n(k)(X) ≥ inf i∈In(k)(Fi) for each k ≥ 1.
Proof. Let f ∈ SH. Given ϵ > 0, there is a norm one projection π with a finite dimensional range F such that ∥π∘f∘π∥ ≥ 1 − ϵ. Let g = π∘f∘π|F as a map in HF and
Proposition 10. Let X be a complex Banach space and let H be a subspace of Ab(BX : X) with a numerical boundary Γ. Suppose that a norm-one finite dimensional projection (π, F) is parallel to Γ. Then for any f ∈ HF,
Proof. It is clear that vF(f) ≤ vX(f∘π). For the converse, choose a sequence in Γ such that
For the real Banach spaces, we get the following lemma for a homogeneous polynomial.
Lemma 11. Let X be a real or complex Banach space, and let f be a k-homogeneous polynomial. If there are y ∈ BX and such that |y*(y)| = ∥y*∥ · ∥y∥, then |y*(f(y))| ≤ v(f).
Proof. If y* = 0, then it is clear. So we may assume that y* ≠ 0. We may assume that y ≠ 0. The
If we use Lemma 11 instead of Lemma 5 in the proof of Proposition 10, we get the following.
Proposition 12. Let X be a real or complex Banach space, and let Γ be a numerical boundary of 𝒫(kX : X), where k is a natural number. Suppose that a norm-one finite dimensional projection (π, F) is parallel to Γ. Then for any f ∈ 𝒫(kF : F),
Now we get the extensions of the results of Ed-dari [13] and Kim [17] in the complex case.
Theorem 13. Let X be a complex Banach space, and let H be a subspace of Ab(BX : X) with a numerical boundary Γ. Suppose that the Banach space X has the (FPA)-property with {πi, Fi} i∈I and that the corresponding projections are parallel to Γ. Then
Proof. For any f ∈ HF, by Proposition 10. . Hence and it is easy to see that if Fi ⊂ Fj, then . Hence . The converse is clear by Proposition 9.
For the general case we get a similar result about the polynomial numerical index if we use Proposition 12 in the proof of Theorem 13.
Theorem 14. Let X be a real or complex Banach space, and let Γ be a numerical boundary of 𝒫(kX : X), where k is a natural number. Suppose that X has the (FPA)-property with {πi, Fi} i∈I and that the corresponding projections are parallel to Γ. Then
Proposition 15. Let X be a real Banach space, and let Γ be a numerical boundary of 𝒫(kX : X), where k is a natural number. Suppose that X has the (FPA)-property with {πi, Fi} i∈I and that the corresponding projections are parallel to Γ. If n(k)(X) = 1 and k ≥ 2, then X is one-dimensional.
Proof. We will use the fact [20] that if X is a real finite-dimensional Banach space with n(k)(X) = 1 and k ≥ 2, then X is one-dimensional. By Theorem 14, we get 1 = n(k)(X) = inf i∈In(k)(Fi) and n(k)(Fi) = 1 for all i ∈ I and Fi’s are one-dimensional. Suppose on the contrary that X is not one-dimensional. Then we can choose two dimensional subspace G, and there is i ∈ I with ∥idG − πi|G∥ ≤ 1/2. Then there are and a ∈ X such that πi(x) = x*(x)a for all x ∈ X. Because G is two-dimensional, there exists w ∈ G∩SX with x*(w) = 0. So ∥w − πi(w)∥ = ∥w∥ ≤ 1/2, which is a contradiction to ∥w∥ = 1. Therefore, X is one-dimensional, and the proof is done.
Example 16. Let be a sequence of finite-dimensional Banach spaces, and consider the following spaces. For each 1 < p < ∞,
The space with the norm is also a Banach space with the shrinking and monotone finite-dimensional decomposition with the same projections Pn. Then it is easy to check that Π(Xp) is parallel to the projections (Pn, Pn(Xp)) for each 1 < p < ∞ and p = 0. So we get the following result. For each k ∈ ℕ and each 1 < p < ∞ (or p = 0),
Corollary 17. Let k ≥ 1 be a natural number and 1 < p < ∞. Then for a real or complex case,
Proof. We give only the first part, since the proof of the next is similar. Let H = 𝒫( kℓp). Then ℓp has the (FPA)-property with projections , where each πi is the ith natural projection. Notice that given projections are parallel to Π(X). Hence by Theorem 13. Notice that is isometrically isomorphic to .
On the other hand, if we let H = 𝒫( kLp(0,1)). Then Lp(0,1) has (FPA)-property with projections {πi, Fi}, where each πi is the conditional expectation with respect to the sub-σ-algebra generated by finitely many disjoint subsets. Hence . Notice also that Fi is isometrically isomorphic to for some m. So is isometrically isomorphic to . The proof is complete.
Acknowledgments
The first author was supported by the Basic Science Research Program through the National Research Foundation of Korea (NRF) funded by the Ministry of Education, Science and Technology (2010-0009854). The second author is the corresponding author and he was supported by the Basic Science Research Program through the National Research Foundation of Korea (NRF) funded by the Ministry of Education, Science and Technology (NRF-2012R1A1A1006869).