Institut für Analysis WS2019/20

Prof. Dr. Dorothee Frey 28.11.2019

M.Sc. Bas Nieraeth

Functional Analysis

Solutions to exercise sheet 7

Exercise 1: Strong convergence on compact sets.

Let X and Y be Banach spaces. Suppose there is sequence of operators (Sn )n∈N in L(Y ) such
that Sn converges strongly to the identity operator on Y , i.e., for all y ∈ Y we have

lim kSn y − yk = 0.
n→∞

(a) Show that for each compact set K ⊆ Y we have

lim sup kSn y − yk = 0.

n→∞ y∈K

(Hint: Find a suitable open cover of K. Also use the Banach-Steinhaus Theorem.)

(b) Show that for each compact operator T ∈ K(X, Y ) we have that Sn T → T as n → ∞ with
respect to the operator norm.

(c) Let p ∈ [1, ∞). Show that any compact operator T ∈ K(X, `p ) is the operator norm limit
of a sequence of finite rank operators.

Solution:

(a) First note that since for each y ∈ Y the sequence (Sn y)n∈N is convergent, this sequence is
also bounded. Thus, by the Uniform Boundedness Principle we have supn∈N kTn k < ∞.

Let ε > 0 and set ε̃ := sup εkSn k+2 . By our assumption on the Sn , for each y ∈ Y we can
n∈N
find an Ny ∈ N such that
kSn y − yk < ε̃ for n ≥ Ny . (1)
Since K is compact, it is totally bounded. Thus, we can find a finite subset F ⊆ K such
that (B(ỹ, ε̃))ỹ∈F covers K. Now set N := maxỹ∈F Nỹ .

Let y ∈ K and pick ỹ ∈ F such that y ∈ B(ỹ, ε̃). Then if n ≥ N , we have n ≥ Nỹ so that
by (1) we have

kSn y − yk ≤ kSn y − Sn ỹk + kSn ỹ − ỹk + kỹ − yk

< kSn kky − ỹk + ε̃ + ε̃
< (sup kSn k + 2)ε̃ = ε.
n∈N

Thus, whenever n ≥ N we have

sup kSn y − yk ≤ ε,
y∈K

proving the assertion.

— Turn the page! —
(b) As T is compact, the set T (BX ) is compact. Hence, by part (a),

kSn T − T k = sup kSn T x − T xk = sup kSn y − yk ≤ sup kSn y − yk → 0

kxk≤1 y∈T (Bx ) y∈T (Bx )

as n → ∞.

(c) We define Sn : `p → `p as the projection on the first n coordinates, i.e., Sn y := (y1 , . . . , yn , 0, 0, . . .).
Then
 1
∞ p

|yj |  → 0 as n → ∞.
X
p
kSn y − ykp = 
j=n+1

Now let T ∈ K(X, `p ). Since Sn T maps into the range of Sn , which is finite dimensional,
Sn T is a finite rank operator. Moreover, by part (b) we have limn→∞ kSn T − T k = 0. We
conclude that T is the operator norm limit of finite rank operators, as desired.

Exercise 2: Translations in Lp (R).

(a) Let X be a Banach space and suppose we have a family of operators (T (t))t∈R in L(X)
satisfying the properties that T (s + t) = T (s)T (t) for all s, t ∈ R and T (0) = Id. Show that
the following are equivalent.

(i) For each x ∈ X the map R → X, t 7→ T (t)x is continuous.

(ii) limt→0 T (t)x = x in X for all x ∈ X;

(iii) For every sequence (tn )n∈N with tn → 0 we have supn∈N kT (tn )k < ∞. Moreover,
there is a dense subset D ⊆ X such that limt→0 T (t)x = x in X for all x ∈ D.

(b) Let p ∈ [1, ∞). For each t ∈ R we define T (t) : Lp (R) → Lp (R) by (T (t)f )(x) = f (x + t).
Show that the map
R → Lp (R), t 7→ T (t)f
is continuous. You may use without proof that the space Cc (R) of continuous functions
on R of compact support (i.e., the set of continuous functions f : R → R such that
{x ∈ R : f (x) 6= 0} is bounded) is dense in Lp (R).

Solution:

(a) We will prove (i)⇔(ii) and (ii)⇔(iii).

“(i)⇒(ii)”

Since the map R → X, t 7→ T (t)x is, in particular, continuous at 0, we have, since T (0) = Id,
that limt→0 T (t)x = T (0)x = x for all x ∈ X. This proves (ii).

“(ii)⇒(i)”

Fix t0 ∈ R. We will show that R → X, t 7→ T (t)x is continuous at t0 . For x ∈ X we have

lim T (t)x = lim T (t − t0 )T (t0 )x = lim T (s)T (t0 )x = T (t0 )x

t→t0 t→t0 s→0
 by (ii). Thus, the map R → X, t 7→ T (t)x is continuous at every point, and hence, is
continuous.

“(ii)⇒(iii)”

Let (tn )n∈N be a sequence converging to 0. Then by (ii) we have limn→∞ T (tn )x = x for
every x ∈ X. In particular, the sequence (T (tn )x)n∈N is bounded for each n ∈ N. Hence,
by the Uniform Boundedness Principle, we have supn∈N kT (tn )k < ∞.

For the second assertion in (iii), we can set D = X.

“(iii)⇒(ii)”

Let x ∈ X. Note that the assertion limt→0 T (t)x = x is equivalent to the assertion that for
every sequence (tn )n∈N converging to 0, we have limn→∞ T (tn )x = x. We prove this latter
assertion.

Let (tn )n∈N be a sequence with tn → 0 and let ε > 0. We set ε̃ = sup kTε (tn )k+2 and pick
n∈N
y ∈ D such that kx − yk < ε̃ and N ∈ N such that for all n ≥ N we have kT (tn )y − yk < ε̃.
Then for all n ≥ N we have

kT (tn )x − xk ≤ kT (tn )x − T (tn )yk + kT (tn )y − yk + ky − xk

< kT (tn )kkx − yk + ε̃ + ε̃
< (sup kT (tn )k + 2)ε̃ = ε.
n∈N

Thus, limn→∞ T (tn )x = x and the assertion follows.

(b) First note that T (s + t) = T (s)T (t) for all s, t ∈ R and T (0) = Id. Thus, to conclude
the result, it suffices to prove (iii) of part (a). First note that for all f ∈ Lp (R) and
t ∈ R we have kT (t)f kp = kf kp by translation invariance of the Lebesgue measure. Hence,
we have kT (t)k = 1 for all t ∈ R and thus, in particular, for any sequence tn → 0,
supn∈N kT (tn )k = 1. It remains to check the second condition of (iii).

We set D := Cc (R). Let f ∈ D and let r > 0 so that {x ∈ R : f (x) 6= 0} ⊆ [−r, r]. We
claim that f is uniformly continuous. For now, we assume the claim.

Let ε > 0. By uniform continuity of f we can pick δ̃ > 0 such that if |t| < δ̃, then
εp
|f (x + t) − f (x)|p < 2r+2 for all x ∈ R. Then set δ := min{1, δ̃}.

If |t| < δ, then |t| < δ̃ and {x ∈ R : f (x + t) 6= 0} ⊆ [−r − 1, r + 1]. Hence,

r+1
εp
Z Z
kT (t)f − f kpp = |f (x + t) − f (x)|p dx = |f (x + t) − f (x)|p dx ≤ (2r + 2) = εp
R −r−1 2r + 2

so that kT (t)f − f kp ≤ ε. Hence limt→0 T (t)f = f in Lp (R). The assertion follows.

Finally, we prove the claim. Note that since the set [−r − 1, r + 1] is compact, the function
f restricted to this set is uniformly continuous. Thus, for ε > 0 we can pick δ̃ > 0 such
that whenever x, y ∈ [−r − 1, r + 1] satisfy |x − y| < δ̃, then |f (x) − f (y)| < ε.

Set δ := min{1, δ} and let x, y ∈ R such that |x − y| < δ. We consider two cases. In
the first case, we assume that x, y ∈ [−r − 1, r + 1]. Then, since |x − y| < δ ≤ δ̃, we
have |f (x) − f (y)| < ε, as desired. In the other case we have x ∈ / [−r − 1, r + 1] or
— Turn the page! —
 / [−r − 1, r + 1]. We assume without loss of generality that x ∈
y ∈ / [−r − 1, r + 1]. But
then, since |x − y| < δ ≤ 1, we have y ∈ / [−r, r]. This means that f (x) = f (y) = 0 so
that |f (x) − f (y)| = 0 < ε, as desired. We conclude that f is indeed uniformly continuous,
proving the claim.

Exercise 3: Duality in sequence spaces.

Let y = (yj )j∈N be a sequence in K.

(a) Suppose that

∞
X
x j yj
j=1

converges in K for all (xj )j∈N ∈ c0 . Show that y ∈ `1 .

(Hint: use the Banach-Steinhaus Theorem.)

(b) Let p ∈ [1, ∞]. Suppose that

∞
X
x j yj
j=1

converges in K for all (xj )j∈N ∈ `p . Show that y ∈ `p , where

0 1 1
p + p0 = 1.

Solution:

(a) For x ∈ c0 we define Tn x := j=1 xj yj . Then Tn is linear and we have

Pn

n
X n
X
|Tn x| ≤ |xj yj | ≤ kxk∞ |yj |,
j=1 j=1

showing that Tn ∈ L(c0 , K). Moreover, we assumed that (Tn x)n∈N is a convergent sequence
in K for all x ∈ c0 . Thus, by the Banach-Steinhaus Theorem we have supn∈N kTn k < ∞.

Fix J ∈ N. we define a sequence x ∈ c0 by xj = yj |yj |−1 (with the understanding that

xj = 0 if yj = 0) for j ∈ {1, . . . , J} and xj = 0 for j > J. Then, kxk∞ ≤ 1 and
J
X
|yj | = |TJ x| ≤ kTJ k ≤ sup kTn k
j=1 n∈N

Taking a supremum over J ∈ N proves that y ∈ `1 , as desired.

(b) Then for x ∈ `p we define Tn x := and note that by Hölder’s inequality we have
Pn
j=1 xj yj

  10
n n p
p0 
X X
|Tn x| ≤ |xj yj | ≤ kxkp  |yj | .
j=1 j=1

Thus, Tn ∈ L(`p , K). Since we assumed that the sequence (Tn x)n∈N is convergent for every
x ∈ `p , it follows from the Banach-Steinhaus Theorem that supn∈N kTn k < ∞.

We consider the cases p > 1 and p = 1 separately. First suppose p ∈ (1, ∞] (where in
the case that p = ∞ we interpret p1 as 0). Then p0 ∈ [1, ∞) and we define x ∈ `p by
 xj = yj |yj |p −2 for j ∈ {1, . . . , J} and xj = 0 for j > J. Then, since p0 ,
p0 −1
we
0 1 1
p =1− p0 =
p0
have p0 − 1 = p0
so that |xj | = |yj |p −1 = |yj | for j ∈ {1, . . . , J}. Hence,
0
p
p
 1
J p
0
X
p
kxkp =  |yj | 
j=1

and
  10  1  1
J p J p J J p
p0   p0  p0 p0 
X X X X
 |yj | |yj | = |yj | = |TJ x| ≤ kTJ kkxkp ≤ sup kTn k  |yj | .
j=1 j=1 j=1 n∈N j=1

So that
  10
J p
0
X
p
 |yj |  ≤ sup kTn k.
j=1 n∈N

Taking a supremum over J ∈ N shows that y ∈ `p , as desired.

0

Now suppose p = 1. For j ∈ N, let ej denote the sequence that is 0 in every place except
for the j-th place, where it is equal to 1. Then for each j ∈ N we have

|yj | = |Tj ej | ≤ kTj k ≤ sup kTn k.

n∈N

Thus, taking a supremum over j ∈ N shows that y ∈ `∞ , as desired.

Exercise 4: Reverse estimates.

Let X and Y be Banach spaces and T ∈ L(X, Y ).

(a) Show that T is injective and has a closed range R(T ) if and only if there is a c > 0 such
that
kT xk ≥ ckxk for all x ∈ X.

(Hint: use the Open Mapping Theorem).

(b) Show that T has a closed range R(T ) if and only if there is a c > 0 such that

kT xk ≥ c dist(x, N (T )) for all x ∈ X.

Here dist(x, N (T )) = inf x0 ∈N (T ) kx − x0 k.

Solution:

(a) In Exercise 4 of Exercise sheet 4 we have shown that if the reverse estimate holds, then T
is injective and R(T ) is closed. It remains to prove the converse result.

If R(T ) is closed in the Banach space X, then it is itself a Banach space. We define a
new operator T̃ : X → R(T ) by T̃ x := T x. Then this map is surjective per construction.
Moreover, it is injective, since T is injective. We conclude that T̃ is a bijective map and we
denote its inverse by S : R(T ) → X.

Since T̃ is in particular surjective, it follows from the Open Mapping Theorem that for
any open set U ⊆ X we have that T̃ (U ) is open in X. Hence, if U ⊆ X is open, then
— Turn the page! —
 S −1 (U ) = T̃ (U ) is open in R(T̃ ) = R(T ), proving that S is a continuous and thus bounded
operator. Thus, for all x ∈ X we have

kxk = kST xk ≤ kSkkT xk.

Setting c := (kSk + 1)−1 > 0 proves the assertion.

(b) Since T is bounded, N (T ) = T −1 ({0}) is closed. Thus, the quotient space X/N (T ) is again
a Banach space. We define T̃ : X/N (T ) → Y by T̃ x̂ := T x. Note that this is well-defined,
since if x − y ∈ N (T ), then T x − T y = T (x − y) = 0 so that T x = T y.

Next, we note that T̃ is injective. Indeed, if T̃ x̂ = 0, then T x = 0. Thus, x − 0 = x ∈ N (T )

so that x̂ = 0̂ = 0, as desired.

Finally, we note that R(T̃ ) = R(T ). Thus, it follows from part (a) that R(T ) is closed if
and only if there is a c > 0 such that

kT xk = kT̃ x̂k ≥ ckx̃k = c dist(x, N (T )).

This proves the assertion.

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