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    A Banach Space of Locally Univalent Functions

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    A Banach Space of Locally Univalent Functions

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    A BANACH SPACE OF LOCALLY UNIVALENT FUNCTIONS J. A. Cima and J. A. Pfaltzgraff 1. INTRODUCTION In this paper, we study a certain real Banach space ¥ of functions (1.1) f(z) = ztagz% +e that are holomorphic and locally univalent (f'(z) #0) in the open unit disk D= {z: |z| <1}. We let S denote the set of functions f(z) that are holomorphic and univalent in D with an expansion of the form (1.1). The algebraic operations in (defined in Section 2 below) are not the usual pointwise operations, and the alge- braic structure of @ is of particular interest in relation to S, because local uni- valence in D is preserved by the addition in #. We also study a certain closed sub- space of #, denoted by #1. Our spaces 7 and 7, are natural generalizations of a space introduced by H. Hornich [11]. The main results in this paper pertain to the metric properties of the sets SO Z and $M £;. The set $M Z is not compact, and it is of first category in Z. We also show that there are no isolated univalent functions in %. These results con- trast sharply with theorems of H. Hornich [11] and G. Piranian [16]. Hornich [10] and Piranian [16] have studied topological properties of the set of univalent functions in the space H(¢) of functions f(z) holomorphic in D, equipped with pointwise opera- tions and a metric p(f, g) = 4(f - g) induced by the functional #8) = sup |£™(0)/a1|1/". We also show that 7 is separable and has infinite dimension. We show that , the set of univalent convex functions of the form (1.1), is a closed convex subset of @,. A complete characterization of the extreme points of is given. We de- termine the dual space of continuous linear functionals on 2. We list examples and results that indicate the relationship of @ (as a set of functions) to the Hardy spaces HP and to the set of functions holomorphic on D and continuous on the closure of D. 2, THE LINEAR SPACES @ AND 2; Let A denote the class of functions that are holomorphic in the unit disk, have nonvanishing derivative, and satisfy the normalization conditions £(0) = 0 and £(0) = 1, When we refer to a class of functions, we shall mean the intersection of that class with A. For each f in A, define the increasing function Received March 14, 1969. This research was partially supported by Army Research Office Grant No. DA-ARO-D-31-124-G1151, Michigan Math, J. 17 (1970), 321 322 J, A, CIMA and J. A, PFALTZGRAFF on 1 se! gee g S 10g | "Gre | at . We define @ to be the set of all f in A for which sup { /(r; f): 0 0) whose structure as linear spaces is the same as that of of. We have restricted our attention to the space % = @!, because this is the largest of the extensions £% that is clearly related to the Hardy spaces HP. For if f ¢ &, then log f' « HP (0

    0 [8]. We have the following characterization of functions in #. If f € # and aK/2 > suplargf'(z)| (2 € D), then the function Q(z) = exp {K~-! log f'(z)} is holomorphic, has positive real part in D, and satisfies the condition Q(0) = 1. The function (2) = (Q(z) - 1)/(Q@) +1) is a bounded holomorphic function satisfying the hypotheses of Schwarz’s lemma. Thus f belongs to % if and only if there exist a positive number K and a holomor- phic function w(z) (|w(z)| <1, w(0) = 0) such that (24) A(z) = § gy. We shall define a certain subspace of @ that contains #. First, we recall that for each f ¢ @, log f' is in HP (p <1), the boundary function log f'(ei) exists a.e. and belongs to LP (p < 1) [21, p. 272], and |1og #'(e%)| ¢ L![0, 2] (by (2.2c) and [17, p. 34]). In fact, the measure dm of (2.3) can be written in the form dm = log |f'(e%)| tetas, where ds is a singular (real) measure. Since log |f'(e't)| is the radial limit a.e. of log |f'(reit)|, an application of Fatou’s lemma yields the inequality 1 cen - (2.8) al tog [1"(ei)| | at < fe] Ge @). We obtain the Jordan decomposition of dm by taking the Jordan decomposition ds = dst - ds~ and writing dm = (tos [rei)| ssast) ~ (log* |¢"(eit)|-2 + ds~) . ‘Thus equality holds in (2.5) if and only if dm is absolutely continuous with respect to Lebesgue measure. We define # to be the set of functions f in # for which 324 J. A. CIMA and J. A. PFALTZGRAFF on Ul = 35 J Hoe leve%|| at. By means of the representation (2.3) and an application of Fubini’s theorem, one can show that 21 is a subspace of 2. 3. THE STRUCTURE OF % AND 2, In this section, we discuss the topological properties of @ and 2). First we note that the set of functions ante) = § exp eae (n= 1,2, 0 is linearly independent in @, since the equation k k D [andal(s) = f"exp) D ant? ¢ at nt 0 Last does not hold for all x € (0, 1), except if a, = a3 = infinite-dimensional. THEOREM 3.1. #) is a Banach space. Proof. We have already observed that #1 is a linear subspace of %. If {f,} is a Cauchy sequence in #1, then {log |f;,(ei)| } is a Cauchy sequence in L1[0, 27]. This sequence converges in the L!-norm to an L1-function that we de- note by log |f'(eit)|. We define f(z) by the equation =a,=0. Therefore #; is 1 cat | or C(z, t)log |f"(e#*)| at. 0 log f'(z) ‘Then the sequence {f,} converges to f in the @-norm, and by Fubini’s theorem, f isin 2). THEOREM 3.2. @, is separable, Proof. If f belongs to #1, then the Cesaro means y(t) of the Fourier series for log |f'(ei*)| converge in L![0, 27] to log |feit)| [9, p. 16]. If we define the functions on Z plz) = J, ct, ot) (ed), then the sequence of functions t4() = [exp {z,(e}at (n= ‘0 A BANACH SPACE OF LOCALLY UNIVALENT FUNCTIONS 325 converges in the # -norm to f. ‘The f belong to #, since the 2n are poly- nomials (n= 1, 2, °""). Each oy can be uniformly approximated on (0, 27] by a trigonometric polynomial with complex rational coefficients. This completes the proof of the theorem. To see that the larger space Z is not separable, let f, and fz be defined by log f(z) = C(z, t3) j= 1, 2), where t; is real (j= 1, 2). If t; #tz (mod 2n), then on Utes fall = J laems - mado and the conclusion follows. THEOREM 3.3. & is complete. Proof. Let {f,} be a Cauchy sequence in %. Then the representation 1 cam log f(z) = i), C(z, t)dmylt) (2 € D) shows that {log fj(z)} is a normal family in D, There is a subsequence of {log £4(z)} that converges locally uniformly in D to a holomorphic function G(z), with G(0) = 1. If we define the function ate) = J exp aceyat, ‘ then this subsequence converges normally to log g'(z). Furthermore, g(z) is an element of , since the sequence {|[f,|| } is bounded. The inequality en aS, Jlog [s4(re¥*)] = 10g [ti(ret)|| at < ©, which holds for all r <1 and for k, n > N, shows that the full sequence {f,} con- verges to g in the #-topology. This completes the proof of Theorem 3.3. In his study of the space H(¢), Hornich demonstrated that the space has an un- countable number of components and is not locally connected at any point [10]. The present authors [2, Theorem 5.1] have shown that the space H(é) can not be normed. Of course, the linear spaces ¥ and @j have no such pathological properties. 4, SOME FUNCTION CLASSES RELATED TO % We let »f denote the set of functions f ¢ A_that belong to the disk algebra of functions holomorphic on D and continuous on D. We denote by w”* the subset of functions in of that are absolutely continuous on |z| = 1. In this section, we 326 J. A, CIMA and J. A. PFALTZGRAFF indicate how the classes of functions @, %,, and # overlap with of, wf*, the Hardy spaces H?, and certain classes of univalent functions. Some of our observations are known results, but we include them for the sake of completeness. THEOREM 4.1. w* c @. Proof. If f(z) belongs to .f*, then f'(z) is in H! [6, p. 360]. The H!-function f'(z) has a canonical factorization £'@) = S(z) F(z), where S(z) is singular and F(z) is an outer function. The inequalities 1 2m 2m) 2m aot ao an J, Itos SI > = a5 )y 5 P(e, tan(t)| oS 1 and 2m an | 2a 1 ae. fait ae xs log lll $e = ay J S Plz, t)log [t'(el*)| at] 22 S [log |#"(e#)] |], < © show that f is in @. The proof of Theorem 4.1 is complete. If f € S, then the functions f,(z) = f(rz)/r (0 0, Thus for |a| < (V5 - 2)/4 and appropriate choices of arg a, almost every A BANACH SPACE OF LOCALLY UNIVALENT FUNCTIONS 327 choice of t gives a function f,(2) in (4.1) that belongs to § with the property that log |f{(2)| ¢ hp for all p > 0. Some of the familiar subclasses of S are contained in 2. THEOREM 4.2. The close-to-convex functions constitute a subset of #,and the spiral-like functions belong to 2. Proof. A function f(z) = z +a2z2 + --- holomorphic in D is said to be close-to- convex if there exist a convex function h(z) € A and a holomorphic function P(z) = 1+p,z+ ++ with positive real part in D such that f'(z) = e!@h'(z) P(z) for some real @ [12]. It is well known that convex functions satisfy the inequality larg h'(z)| < 2aresin|z| (2 € D) [1]. Hence |arg {'(z)| such that t ¢ HP. Proof. Let f belong to x. Then, by (2.4), f'(z) is subordinate to the function ofa) = (242) 8 1-2 for some K > 0. It is easy to verify that G belongs to HP for all p (00 and x> 0, then [tea] 9% = = 2)* Pex {a +ey/01 - hat , > a- x S exp {1/(1 - t)}at > x(1 - x) exp {1/(1 - x2)} 2 5. METRIC PROPERTIES OF THE SET OF UNIVALENT FUNCTIONS IN % We let S*= SM & and S{=SN @, denote the sets of normalized univalent functions in @ and in #;, respectively. THEOREM 5.1. S* is a closed subset of &. Proof. Let {f,} be a sequence in S* that converges in the topology of % toa function f(z). From the proof of Theorem 3.3, we see that some subsequence of {f,(z)} converges uniformly on compacta to f(z). Thus, by Hurwitz’s theorem, f(z) is univalent. Let Sh (n> 1) denote the class of n-valent functions f(z) in @. That is, let sh consist of all functions in @ that assume some value n times in D but assume no value more than n times. THEOREM 5.2. Sx (n> 1) is a closed subset of @. A BANACH SPACE OF LOCALLY UNIVALENT FUNCTIONS 329 ‘The proof of Theorem 5.2 is the same as the proof of Theorem 5.1, and we omit it. Remark, The function 2-! {1 - exp (2z/(z - 1))} belongs to @, but it is not in Sé for any n. In addition to proving that the set of univalent functions in % is a closed subset of # [11], Hornich notes that the ball (eo: Mle <2} contains only univalent functions. The latter fact is equivalent to the result that if £ € # has a representation (2.4) with K <1, then #f'(z) > in D, and hence f(z) is univalent [20]. THEOREM 5.3. S* is nowhere dense in £. Proof. Let f € S*, and let F(z) = log f'(z); then a necessary condition for f(z) to be univalent is (5.1) |F'@)| = |e"@/t'@)| < 6/0 - |z]?) ((5, Theorem 2]). We shall use (5.1) to show that every €-ball centered at f contains nonunivalent functions. Suppose ¢ > 0, and define the functions g(z) and G(z) by the condition ome G(z) = log g'(z) = Tee ltz Fz" The function g(z) belongs to #, since %G(z) is expressible as the difference of two positive harmonic functions: % G(z) = Uj(z) - Uz(z). Furthermore, Isl] = U,(0) + U2(0)= © ana , e2|t+27| (5.2) @-|2ple@| = 7=> Tera If we let H(z) = F(z) + G(z) and log h'(z) = H(z), then h e @ and|\[h - f]|] = [gl] =. The function h(z) is not univalent, since the relations H'(z) = F'(z) + G'(z), (5.1), and (5.2) imply that H'(z) does not satisfy the necessary order condition (5.1). This completes the proof of the theorem. THEOREM 5.4. S} has no isolated points. Proof. Let £(z) belong to Sf, and for each real number t, let f(z) Each function {;(z) belongs to S}, and it (zeit), Ile - tall 2m sup J" [tog ret®)| ~ tog |e vert) | 22 r<1vo 2m . . $ free |e%e8%)] - dog |a'(ot*0)] | $2 , 330 J. A. CIMA and J. A. PFALTZGRAFF since |1og |f'(2)| ~ log |*{(2)|| is subharmonic in D. ‘The function log |£'(e#)|be- longs to L![0, 2m], and hence lim, ||[£ - £]|] = 0. Thus every point f ¢ St is an accumulation point of St. G. Piranian [16] has constructed an isolated univalent function in the space H(¢). It would be interesting to determine whether there are any isolated schlicht functions in the whole space @. It would also be of interest to determine when the metric topology on a linear space of holomorphic functions admits isolated univalent func- tions. This question was first raised by G. Piranian (oral communication to one of the authors). THEOREM 5.5. S* is not compact. Proof. Let h(z) be any function in S$ that does not belong to %, for example, a function defined by (4.1). Then the set {hpt hy(2) = h(ty2)/tpy, Pn = 0/(n +1), n= 1, 2 is a sequence in S} < S* that can have no convergent subsequence (in the @-metric), since convergence in @ implies local uniform convergence in D. 6. CONVEX UNIVALENT FUNCTIONS Let 3 denote the set of convex functions in 8. We have already seen that o is a subset of #. In this section, we show that .# is a convex set in the linear space Z, and we determine the extreme points of x. We also show that # is essentially determined by (Theorem 6.3). It is well known that a function f(z) « A belongs to . if and only if (6.1) a {1+ 2f"(z)/f'(z)} > 0 (2 D). Another familiar characterization of # follows from (6.1) and the Herglotz integral formula. Namely, a function f(z) € A belongs to » if and only if there is a nonde- creasing function 'm(t) on [0, 27] with variation 1 such that 2a . (6.2) log t'(2) = -2 ("tog (1 - ze“H)am(t) (@ € D). y If we relax the restriction that the measure in (6.2) be positive by permitting m(t) to be any function of bounded variation, then (6.2) is the structural formula that characterizes V, the class of functions with bounded boundary rotation [15]. In most applications, one studies the subclasses Vq (a > 1) of functions f(z) in V with as- sociated measures dm (in (6.2)) of total variation at most @. It is interesting to note that V is contained in the linear span of % in the subspace #. For if m(t) is a function of bounded variation, then m(t) can be written in the form m(t) = a1 mj(t) - @2 m2(t), where the mp(t) (k = 1, 2) are nondecreasing with total variation 1 on [0, 27] and a, >0 (k= 1, 2). If we define f,(z) (k = 1, 2) to be the convex functions corresponding to my(t) (k = 1, 2) in (6.2), then f, € 4 (k= 1; 2), and f= [[a) f)] - [gf]. We also mention that (4.3) and (6.2) show that 0 is contained in the ball of radius log 16. Similar results hold for each of the classes Va. A BANACH SPACE OF LOCALLY UNIVALENT FUNCTIONS 331 ‘THEOREM 6.1. % is a closed convex subset of #. Proof. To prove that % is closed, we use the characterization (6.1) and the fact that sequential convergence in the #-metric implies local uniform convergence in D. The convexity of .# follows easily from (6.1) (or (6.2)) and the definitions of the algebraic operations in #. We leave the details to the reader. It is well known that the coefficient problem, the distortion theorems, and simi lar classical extremal problems for convex functions are solved by functions (6.2) for which m(t) is an appropriate step function. Our next theorem shows that the step functions m(t) also play a role as extremals in as a subset of the linear space 2. THEOREM 6.2. A convex function f(z) is an extreme point of the convex set in & if and only if the support of the associated measure dm in (6.2) consists of one point, Proof. Let m(t)=0 if O 2) (n= 0, +1, - 0 Therefore 27! d(m, + mg) is the point mass at t = tg. It follows that f;=f2, since both dm, and dmz must be the one-point mass at t = to. ‘To prove the converse, we assume that f(z) in (6.2) is an extreme point of 1. If dm is not a single point mass, then there are at least two points in the support of dm, say tj (j= 1, 2; 00. ‘Then, by Theorem 3.2, there exists a polynomial 2(z) such that |\[g¢ - o]|] 0. This completes the proof of the theorem. COROLLARY 6.1. Every continuous linear functional on @, is determined by its values on X, Proof. If 2(&) is a polynomial and if f(z) = w exp (2(t))dé, then [af] ¢ # for © all sufficiently small a > 0, By Theorems 3.2 and 6.3, the equation aT(f) = T([af]) determines T on a dense subset of @,. 7, THE DUAL OF 21 Corollary 6.1 gives some information about the space of continuous linear func- tionals on 21. We shall give a more complete description of the dual of #; in ‘Theorem 7.1. Let M be the subspace of L![0, 27] corresponding to the measures of functions f in @,. Then M is the set of L!-functions g that satisfy the condition an J g(eit)dt = 0, Clearly, each g in M determines an f in 2). 0 THEOREM 7.1. The dual of @, can be identified with L®[0, 20]/M+, where an M+ fn eL a n(e*) g(el* at = 0, ge a} 0 A BANACH SPACE OF LOCALLY UNIVALENT FUNCTIONS 333 Proof. The dual of L! is L®. Let T be a continuous linear functional on M. By the Hahn-Banach theorem, there exists a linear functional T;, on L! that isa norm-preserving extension of T. Furthermore, if g € M, then 2i ds Tie) = JU nee") = THe, where h belongs to L®. Therefore M* = L®/M+, where M* denotes the dual of M. Since the correspondence between #, and M is an isometry, each continuous linear functional + on ; is defined by means of a function h ¢ L™, and its action on #, is given by the equation 2 =e J" we! 0g |e(eiy] at (fe 2). Acknowledgment, The authors wish to thank Professor P. L. Duren for provid- ing the example (4.1), REFERENCES 1, L, Bieberbach, Aufstellung und Beweis des Drehungssatzes fiir schlichte kon- forme Abbildungen, Math. Z. 4 (1919), 295-305. 2. J. A. Cima and J. A. Pfaltzgraff, The Hornich topology for meromorphic func- tions in the disk, J, Reine Angew. Math. 235 (1969), 207-220. 3. P. L. Duren, On the Bloch-Nevanlinna conjecture. Colloq. Math. 20 (1969), 295- 297. 4, P, L, Duren, B. W. Romberg, and A. L. Shields, Linear functionals on HP spaces with 0

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