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Computational Topology for Data Analysis
Topological data analysis (TDA) has emerged recently as a viable tool for analyzing
complex data, and the area has grown substantially in both its methodologies and
applicability. Providing a computational and algorithmic foundation for techniques in
TDA, this comprehensive, self-contained text introduces students and researchers in
mathematics and computer science to the current state of the field. The book features a
description of mathematical objects and constructs behind recent advances, the
algorithms involved, computational considerations, as well as examples of topological
structures or ideas that can be used in applications. It provides a thorough treatment of
persistent homology together with various extensions – like zigzag persistence and
multiparameter persistence – and their applications to different types of data, like point
clouds, triangulations, or graph data. Other important topics covered include discrete
Morse theory, the mapper structure, optimal generating cycles, as well as recent
advances in embedding TDA within machine learning frameworks.
TA M A L K R I S H N A D E Y is Professor of Computer Science at Purdue University.

Before joining Purdue, he was a faculty member in the CSE Department of the Ohio
State University. He has held academic positions at Indiana University–Purdue
University at Indianapolis, Indian Institute of Technology Kharagpur, and Max Planck
Institute. His research interests include computational geometry, computational
topology, and their applications to geometric modeling and data analysis. He has
(co)authored two books, Curve and Surface Reconstruction: Algorithms with
Mathematical Analysis (Cambridge University Press) and Delaunay Mesh Generation
(CRC Press), and (co)authored more than 200 scientific articles. Tamal is a fellow of
the IEEE, ACM, and Solid Modeling Association.
Y U S U WA N G is Professor in the Halıcıoğlu Data Science Institute at the University

of California, San Diego. Prior to joining UCSD, she was Professor of Computer
Science and Engineering at the Ohio State University and postdoctoral fellow at
Stanford University. Yusu primarily works in topological and geometric data analysis,
developing effective and theoretically justified algorithms for data analysis using
geometric and topological ideas, as well as in applying them to practical domains. She
received the DOE Early Career Principal Investigator Award in 2006 and NSF Career
Award in 2008.
“A must-have up-to-date computational account of a vibrant area connecting
pure mathematics with applications.”
- Herbert Edelsbrunner, IST Austria
“This book provides a comprehensive treatment of the algorithmic aspects

of topological persistence theory, both in the classical one-parameter setting
and in the emerging multi-parameter setting. It is an excellent resource for
practitioners within or outside the field, who want to learn about the current
state-of-the-art algorithms in topological data analysis.”
- Steve Oudot, Inria and École Polytechnique
Computational Topology for Data Analysis
TA MA L K RIS H NA D E Y
Purdue University
Y U S U WA N G
University of California, San Diego
University Printing House, Cambridge CB2 8BS, United Kingdom
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Cambridge University Press is part of the University of Cambridge.

It furthers the University’s mission by disseminating knowledge in the pursuit of
education, learning, and research at the highest international levels of excellence.
www.cambridge.org
Information on this title: www.cambridge.org/9781009098168
DOI: 10.1017/9781009099950

c Tamal Krishna Dey and Yusu Wang 2022
This publication is in copyright. Subject to statutory exception
and to the provisions of relevant collective licensing agreements,
no reproduction of any part may take place without the written
permission of Cambridge University Press.
First published 2022
Printed in the United Kingdom by TJ Books Limited, Padstow Cornwall
A catalogue record for this publication is available from the British Library
Library of Congress Cataloging-in-Publication data
Names: Dey, Tamal K. (Tamal Krishna), 1964- author. | Wang, Yusu, 1976- author.
Title: Computational topology for data analysis / Tamal Krishna Dey,
Department of Computer Science, Purdue University, Yusu Wang, Halıcıoğlu
glu Data Science Institute University of California, San Diego.
Description: First edition. | New York : Cambridge University Press, 2022.
| Includes bibliographical references and index.
Identifiers: LCCN 2021041859 (print) | LCCN 2021041860 (ebook) | ISBN
9781009098168 (hardback) | ISBN 9781009099950 (ebook)
Subjects: LCSH: Topology.
Classification: LCC QA611 .D476 2022 (print) | LCC QA611 (ebook) | DDC
514/.7–dc23/eng/20211029
LC record available at https://lccn.loc.gov/2021041859
LC ebook record available at https://lccn.loc.gov/2021041860
ISBN 978-1-009-09816-8 Hardback
Cambridge University Press has no responsibility for the persistence or accuracy of
URLs for external or third-party internet websites referred to in this publication
and does not guarantee that any content on such websites is, or will remain,
accurate or appropriate.
Contents
Preface page xi
Prelude xv
1 Basics 1
1.1 Topological Space 1
1.2 Metric Space Topology 5
1.3 Maps, Homeomorphisms, and Homotopies 9
1.4 Manifolds 14
1.4.1 Smooth Manifolds 16
1.5 Functions on Smooth Manifolds 17
1.5.1 Gradients and Critical Points 17
1.5.2 Morse Functions and Morse Lemma 20
1.5.3 Connection to Topology 22
1.6 Notes and Exercises 24
2 Complexes and Homology Groups 26
2.1 Simplicial Complex 27
2.2 Nerves, Čech and Rips Complexes 31
2.3 Sparse Complexes 33
2.3.1 Delaunay Complex 34
2.3.2 Witness Complex 36
2.3.3 Graph Induced Complex 38
2.4 Chains, Cycles, Boundaries 43
2.4.1 Algebraic Structures 43
2.4.2 Chains 45
2.4.3 Boundaries and Cycles 46
2.5 Homology 49
2.5.1 Induced Homology 51
2.5.2 Relative Homology 52
v
vi Contents
2.5.3 Singular Homology 54

2.5.4 Cohomology 55
3 Topological Persistence 60
3.1 Filtrations and Persistence 62
3.1.1 Space Filtration 62
3.1.2 Simplicial Filtrations and Persistence 63
3.2 Persistence 68
3.2.1 Persistence Diagram 70
3.3 Persistence Algorithm 76
3.3.1 Matrix Reduction Algorithm 80
3.3.2 Efficient Implementation 86
3.4 Persistence Modules 90
3.5 Persistence for PL-Functions 95
3.5.1 PL-Functions and Critical Points 96
3.5.2 Lower-Star Filtration and Its Persistent Homology 101
3.5.3 Persistence Algorithm for Zeroth Persistent Homology 104
4 General Persistence 112

4.1 Stability of Towers 113
4.2 Computing Persistence of Simplicial Towers 117
4.2.1 Annotations 117
4.2.2 Algorithm 118
4.2.3 Elementary Inclusion 119
4.2.4 Elementary Collapse 121
4.3 Persistence for Zigzag Filtration 125
4.3.1 Approach 128
4.3.2 Zigzag Persistence Algorithm 131
4.4 Persistence for Zigzag Towers 134
4.5 Levelset Zigzag Persistence 137
4.5.1 Simplicial Levelset Zigzag Filtration 139
4.5.2 Barcode for Levelset Zigzag Filtration 141
4.5.3 Correspondence to Sublevel Set Persistence 143
4.5.4 Correspondence to Extended Persistence 143
5 Generators and Optimality 148

5.1 Optimal Generators/Basis 150
5.1.1 Greedy Algorithm for Optimal H p (K )-Basis 151
Contents vii
5.1.2 Optimal H1 (K )-Basis and Independence Check 155

5.2 Localization 157
5.2.1 Linear Program 159
5.2.2 Total Unimodularity 161
5.2.3 Relative Torsion 162
5.3 Persistent Cycles 165
5.3.1 Finite Intervals for Weak ( p + 1)-Pseudomanifolds 167
5.3.2 Algorithm Correctness 172
5.3.3 Infinite Intervals for Weak ( p + 1)-
Pseudomanifolds Embedded in
R p+1 174
6 Topological Analysis of Point Clouds 178

6.1 Persistence for Rips and Čech Filtrations 179
6.2 Approximation via Data Sparsification 182
6.2.1 Data Sparsification for Rips Filtration via Reweighting 183
6.2.2 Approximation via Simplicial Tower 190
6.3 Homology Inference from Point Cloud Data 192
6.3.1 Distance Field and Feature Sizes 193
6.3.2 Data on a Manifold 195
6.3.3 Data on a Compact Set 197
6.4 Homology Inference for Scalar Fields 198
6.4.1 Problem Setup 199
6.4.2 Inference Guarantees 201
7 Reeb Graphs 207

7.1 Reeb Graph: Definitions and Properties 208
7.2 Algorithms in the PL-Setting 211
7.2.1 An O(m log m)-Time Algorithm via Dynamic
Graph Connectivity 213
7.2.2 A Randomized Algorithm with O(m log m)
Expected Time 217
7.2.3 Homology Groups of Reeb Graphs 220
7.3 Distances for Reeb Graphs 223
7.3.1 Interleaving Distance 224
7.3.2 Functional Distortion Distance 226
viii Contents
8 Topological Analysis of Graphs 233

8.1 Topological Summaries for Graphs 234
8.1.1 Combinatorial Graphs 235
8.1.2 Graphs Viewed as Metric Spaces 236
8.2 Graph Comparison 239
8.3 Topological Invariants for Directed Graphs 240
8.3.1 Simplicial Complexes for Directed Graphs 241
8.3.2 Path Homology for Directed Graphs 243
8.3.3 Computation of (Persistent) Path Homology 245
9 Cover, Nerve, and Mapper 255
9.1 Covers and Nerves 257
9.1.1 Special Case of H1 261
9.2 Analysis of Persistent H1 -Classes 265
9.3 Mapper and Multiscale Mapper 268
9.3.1 Multiscale Mapper 271
9.3.2 Persistence of H1 -Classes in Mapper and
Multiscale Mapper 273
9.4 Stability 274
9.4.1 Interleaving of Cover Towers and Multiscale Mappers 275
9.4.2 (c, s)-Good Covers 276
9.4.3 Relation to Intrinsic Čech Filtration 279
9.5 Exact Computation for PL-Functions on Simplicial Domains 281
9.6 Approximating Multiscale Mapper for General Maps 283
9.6.1 Combinatorial Mapper and Multiscale Mapper 284
9.6.2 Advantage of Combinatorial Multiscale Mapper 285
10 Discrete Morse Theory and Applications 289
10.1 Discrete Morse Function 290
10.1.1 Discrete Morse Vector Field 292
10.2 Persistence-Based Discrete Morse Vector Fields 295
10.2.1 Persistence-Guided Cancellation 295
10.2.2 Algorithms 298
10.3 Stable and Unstable Manifolds 303
10.3.1 Morse Theory Revisited 303
10.3.2 (Un)Stable Manifolds in Discrete Morse Vector Fields 304
10.4 Graph Reconstruction 305
10.4.1 Algorithm 306
10.4.2 Noise Model 308
Contents ix
10.4.3 Theoretical Guarantees 309

10.5 Applications 313
10.5.1 Road Network 313
10.5.2 Neuron Network 315
11 Multiparameter Persistence and Decomposition 321
11.1 Multiparameter Persistence Modules 325
11.1.1 Persistence Modules as Graded Modules 325
11.2 Presentations of Persistence Modules 328
11.2.1 Presentation and Its Decomposition 329
11.3 Presentation Matrix: Diagonalization and Simplification 332
11.3.1 Simplification 333
11.4 Total Diagonalization Algorithm 337
11.4.1 Running T OT D IAGONALIZE
on the Working Example
in Figure 11.5 347
11.5 Computing Presentations 350
11.5.1 Graded Chain, Cycle, and Boundary Modules 350
11.5.2 Multiparameter Filtration, Zero-Dimensional
Homology 353
11.5.3 Two-Parameter Filtration, Multi-Dimensional
Homology 353
11.5.4 d-Parameter (d > 2) Filtration,
Multi-Dimensional Homology 354
11.5.5 Time Complexity 356
11.6 Invariants 356
11.6.1 Rank Invariants 357
11.6.2 Graded Betti Numbers and Blockcodes 358
12 Multiparameter Persistence and Distances 365
12.1 Persistence Modules from Categorical Viewpoint 367
12.2 Interleaving Distance 369
12.3 Matching Distance 370
12.3.1 Computing Matching Distance 371
12.4 Bottleneck Distance 374
12.4.1 Interval Decomposable Modules 376
12.4.2 Bottleneck Distance for Two-Parameter Interval
Decomposable Modules 378
12.4.3 Algorithm to Compute dI for Intervals 383
x Contents
13 Topological Persistence and Machine Learning 389

13.1 Feature Vectorization of Persistence Diagrams 390
13.1.1 Persistence Landscape 391
13.1.2 Persistence Scale Space Kernel (PSSK) 393
13.1.3 Persistence Images 394
13.1.4 Persistence Weighted Gaussian Kernel (PWGK) 396
13.1.5 Sliced Wasserstein Kernel 398
13.1.6 Persistence Fisher Kernel 399
13.2 Optimizing Topological Loss Functions 400
13.2.1 Topological Regularizer 401
13.2.2 Gradients of a Persistence-Based Topological Function 403
13.3 Statistical Treatment of Topological Summaries 405
13.4 Bibliographical Notes 408
References 411
Index 429
Preface
In recent years, the area of topological data analysis (TDA) has emerged as
a viable tool for analyzing data in applied areas of science and engineering.
The area started in the 1990s with the computational geometers finding an
interest in studying the algorithmic aspect of the classical subject of algebraic
topology in mathematics. The area of computational geometry flourished in
the 1980s and 1990s by addressing various practical problems and enriching
the area of discrete geometry in the course of doing so. A handful of com-
putational geometers felt that, analogous to this development, computational
topology has the potential to address the area of shape and data analysis while
drawing upon and perhaps developing further the area of topology in the dis-
crete context; see, for example, [26, 116, 119, 188, 292]. The area gained
momentum with the introduction of persistent homology in early 2000 fol-
lowed by a series of mathematical and algorithmic developments on the topic.
The book by Edelsbrunner and Harer [149] presents these fundamental devel-
opments quite nicely. Since then, the area has grown in both its methodology
and applicability. One consequence of this growth has been the development
of various algorithms which intertwine with the discoveries of various mathe-
matical structures in the context of processing data. The purpose of this book
is to capture these algorithmic developments with the associated mathematical
guarantees. It is appropriate to mention that there is an emerging sub-area of
TDA which centers more around statistical aspects. This book does not deal
with these developments, though we mention some of them in the last chapter
where we describe the recent results connecting TDA and machine learning.
We have 13 chapters in the book listed in the table of contents. After
developing the basics of topological spaces, simplicial complexes, homology
groups, and persistent homology in the first three chapters, the book is then
devoted to presenting algorithms and associated mathematical structures in
various contexts of topological data analysis. These chapters present materials
xi
xii Preface
mostly not covered in any book on the market. To elaborate on this claim, we
briefly give an overview of the topics covered by the present book. Chapter 4
presents a generalization of the persistence algorithm to extended settings such
as to simplicial maps (instead of inclusions), and zigzag sequences with both
inclusions and simplicial maps. Chapter 5 covers algorithms on computing
optimal generators for both persistent and nonpersistent homology. Chapter 6
focuses on algorithms that infer homological information from point cloud
data. Chapter 7 presents algorithms and structural results for Reeb graphs.
Chapter 8 considers general graphs, including directed ones. Chapter 9 focuses
on various recent results on characterizing nerves of covers, including the
well-known mapper and its multiscale version. Chapter 10 is devoted to the
important concept of discrete Morse theory, its connection to persistent homol-
ogy, and its applications to graph reconstruction. Chapters 11 and 12 introduce
multiparameter persistence. The standard persistence is defined over a one-
parameter index set such as Z or R. Extending this index set to a poset such
as Zd or Rd , we get d-parameter or multiparameter persistence. Chapter 11
focuses on computing indecomposables for multiparameter persistence that are
generalizations of bars in the one-parameter case. Chapter 12 focuses on var-
ious definitions of distances among multiparameter persistence modules and
their computations. Finally, we conclude with Chapter 13, which presents some
recent developments of incorporating persistence into the machine learning
(ML) framework.
This book is intended for an audience comprising researchers and teachers in
computer science and mathematics. Graduate students in both fields will bene-
fit from learning the new materials in topological data analysis. Because of the
topics, the book plays the role of a bridge between mathematics and computer
science. Students in computer science will learn the mathematics in topology
that they are usually not familiar with. Similarly, students in mathematics will
learn about designing algorithms based on mathematical structures. The book
can be used for a graduate course in topological data analysis. In particular, it
can be part of a curriculum in data science which has been/is being adopted in
universities. We are including exercises for each chapter to facilitate teaching
and learning.
There are currently a few books on computational topology/topological data
analysis on the market to which our book will be complementary. The materi-
als covered in this book predominantly are new and have not been covered in
any of the previous books. The book by Edelsbrunner and Harer [149] mainly
focuses on early developments in persistent homology and do not cover the
materials in Chapters 4–13 in this book. The recent book of Boissonnat et al.
[39] focuses mainly on reconstruction, inference, and Delaunay meshes. Other
Preface xiii
than Chapter 6, which focuses on point cloud data and inference of topological
properties, and Chapters 1–3, which focus on preliminaries about topologi-
cal persistence, there is hardly any overlap. The book by Oudot [250] mainly
focuses on algebraic structures of persistence modules and inference results.
Again, other than the preliminary Chapters 1–3 and Chapter 6, there is hardly
any overlap. Finally, unlike ours, the books by Tierny [286] and by Rabadán
and Blumberg [260] mainly focus on applying TDA to specific domains of
scientific visualizations and genomics, respectively.
This book, as any other, is not created in isolation. Help coming from vari-
ous corners contributed to its creation. It was seeded by the class notes that we
developed for our introductory course on Computational Topology and Data
Analysis which we taught at the Ohio State University. During this teaching,
the class feedback from students gave us the hint that a book covering the
increasingly diversified repertoire of topological data analysis was necessary
at this point. We thank all those students who had to bear with the initial disar-
ray that was part of freshly gathering coherent material on a new subject. This
book would not have been possible without our own involvement with TDA,
which was mostly supported by grants from the National Science Foundation
(NSF). Many of our PhD students worked through these projects, which helped
us consolidate our focus on TDA. In particular, Tao Hou, Ryan Slechta, Cheng
Xin, and Soham Mukherjee gave their comments on drafts of some of the chap-
ters. We thank all of them. We thank everyone from the TGDA@OSU group
for creating one of the best environments for carrying out research in applied
and computational topology. Our special thanks go to Facundo Mémoli, who
has been a great colleague (who has collaborated with us on several topics) as
well as a wonderful friend at OSU. We also acknowledge the support of the
Department of CSE at the Ohio State University where a large amount of the
contents of this book were planned and written. The finishing came to fruition
after we moved to our current institutions.
Finally, it is our pleasure to acknowledge the support of our families who
kept us motivated and engaged throughout the marathon of writing this book,
especially during the last stretch overlapping the 2020–2021 Coronavirus
pandemic. Tamal recalls his daughter Soumi and son Sounak asking him con-
tinually about the progress of the book. His wife Kajari extended all the help
necessary to make space for extra time needed for the book. Despite suffer-
ing from the reduced attention to family matters, all of them offered their
unwavering support and understanding graciously. Tamal dedicates this book
to his family and his late parents Gopal Dey and Hasi Dey without whose
encouragement and love he would not have been in a position to take up this
project. Yusu thanks her husband Mikhail Belkin for his never-ending support
xiv Preface
and encouragement throughout writing this book and beyond. Their two chil-
dren Alexander and Julia contributed in their typical ways by making every
day delightful and unpredictable for her. Without their support and love, she
would not have been able to finish this book. Finally, Yusu dedicates this book
to her parents Qingfen Wang and Jinlong Huang, who always gave her space
to grow and encouraged her to do her best in life, as well as to her great aunt
Zhige Zhao and great uncle Humin Wang, who kindly took her into their care
when she was 13. She can never repay their kindness.
Prelude
We make sense of the world around us primarily by understanding and study-

ing the “shape” of the objects that we encounter in real life or in a digital
environment. Geometry offers a common language that we usually use to
model and describe shapes. For example, the familiar descriptors such as dis-
tances, coordinates, angles, and so on from this language assist us to provide
detailed information about a shape of interest. Not surprisingly, people have
used geometry for thousands of years to describe objects in their surroundings.
However, there are many situations where detailed geometric information
is not needed and may even obscure the really useful structure that is not
so explicit. A notable example is the Seven Bridges of Königsberg problem,
where, in the city of Königsberg, the Pregel river separates the city into four
regions, connected by seven bridges, as shown in Figure 1 (map and descrip-
tion taken from the Wikipedia page for “Seven bridges of Königsberg”). The
question is to find a walk through the city that crosses each bridge exactly
once. The story goes that the mathematician Leonhard Euler observed that fac-
tors such as the precise shape of these regions and the exact path taken are not
important. What is important is the connectivity among the different regions of
the city as connected by the bridges. In particular, the problem can be modeled
abstractly using a graph with four nodes, representing the four regions in the
city of Königsberg, and seven edges representing the bridges connecting them.
The problem then reduces to what’s later become known as finding the Euler
tour (or Eulerian cycle) in this graph, which can be easily solved.
For another example, consider animation in computer graphics, where one
wants to develop software that can continuously deform one object into another
(in the sense that one can stretch and change the shape, but cannot break and
add to the shape). Can we continuously deform a frog into a prince this way?1
1 Yes, according to Disney movies.
xv
xvi Prelude
Figure 1 “Map of Königsberg in Euler’s time showing the actual layout of the
seven bridges, highlighting the river Pregel and the bridges” (the drawing by
Bogdan Giuşcă is licensed under CC BY-SA 3.0).
Is it possible to continuously deform a tea cup into a bunny? It turns out the
latter is not possible.
In these examples, the core structure of interest behind the input object or
space is characterized by the way the space is connected, and the detailed geo-
metric information may not matter. In general, topology intuitively models and
studies properties that are invariant as long as the connectivity of space does
not change. As a result, topological language and concepts can provide power-
ful tools to characterize, identify, and process essential features of both spaces
and functions defined on them. However, to bring topological methods to the
realm of practical applications, we need not only new ideas to make topo-
logical concepts and the resulting structures more suitable for modern data
analysis tasks, but also algorithms to compute these structures efficiently. In the
past two decades, the field of applied and computational topology has devel-
oped rapidly, producing many fundamental results and algorithms that have
advanced both fronts. This progress has further fueled the significant growth
of topological data analysis (TDA), which has already found applications in
various domains such as computer graphics, visualization, materials science,
computational biology, neuroscience, and so on.
In Figure 2, we present some examples of the use of topological methodolo-
gies in applications. The topological structures involved will be described later
in the book.
An important development in applied and computational topology in the
past two decades centers around the concept of persistent homology, which
Prelude xvii
0 200 400 600 800 0 500 1000 1500

Pairwise TMD-distance Hierarchical clustering (dendrogram)
(a) (b)
(c) (d)
ER-- sequence
9.9E+5
3.2E+6
4.7E+6
7.0E+6
9.4E+6
1.2E+7
1.5E+7
FILTER COLOR SCALE

Basal-like
sparse data
sparse data
sparse data
detached tumor bins c–M sparse data
YB+
very sparse data tum
ors
ER+ sequence
Normal-Like
& Normal
(e) (f)
Figure 2 Examples of the use of topological ideas in data analysis. (a) A
persistence-based clustering strategy. The persistence diagram of a density field
estimated from an input noisy point cloud (shown in the top row) is used to help
group points into clusters (bottom row). Reprinted by permission from Springer
Nature: Springer Nature, Discrete and Computational Geometry, “Analysis of sca-
lar fields over point cloud data,” Chazal et al. [86],
c 2011. (b) Using persistence
diagram summaries to represent and cluster neuron cells based on their tree mor-
phology. Image taken from [206] licensed by Kanari et al. (2018) under CC BY
4.0 (https://creativecommons.org/licenses/by/4.0/). (c) Using the optimal persist-
ent 1-cycle corresponding to a bar (red) in the persistence barcode, defects in
diseased eyes are localized. Image taken from [127]. (d) Topological landscape
(left) of the 3D volumetric silicium dataset from [299]. A volume rendering of
the silicium dataset is on the right. However, note that it is hard to see all the
structures forming the lattice of the crystal, while the topological landscape view
shows clearly that most of them have high function values and are of similar sizes.
Image taken from [299], reprinted by permission from IEEE: Weber et al. (2007).
(e) Mapper structure behind the high-dimensional cell gene expression dataset
can show not only the cluster of different tumor or normal cells, but also their
connections. Image taken from [245], reprinted by permission from Nicolau et al.
(2011, figure 3). (f) Using a discrete Morse-based graph skeleton reconstruction
algorithm to help reconstruct road networks from satellite images even with few
labeled training data. Image taken from [138].
xviii Prelude
generalizes the classic algebraic structure of homology groups to the mul-

tiscale setting aided by the concept of so-called filtration and persistence
modules (discussed in Chapters 2 and 3). This helps significantly to broaden
the applications of homological features to characterizing shapes/spaces of
interest.
Figure 2(a) gives an example where persistent homology of a density field
is used to develop a clustering strategy for the points [86]. In particular, at
the beginning, each point is in its own cluster. Then, these clusters are grown
using persistent homology, which identifies their importance and merges them
according to this importance. The final output captures key clusters which may
look like “blobs” or “curvy strips” – intuitively, they comprise dense regions
separated by sparse regions.
Figure 2(b) gives an example where the resulting topological summaries
from persistent homology have been used for clustering a collection of neu-
rons, each of which is represented by a rooted tree (as neuron cells have tree
morphology). We will see in Chapter 13 that persistent homology can serve as
a general way to vectorize the features of such complex input objects.
In Figure 2(c), diseased parts of retinal degeneracy in two eyes are local-
ized from image data. Algorithms for computing optimal cycles for bars in the
persistent barcode as described in Chapter 5 are used for this purpose.
In Figure 2(d), we present an example where the topological object of a con-
tour tree (the special loop-free case of the so-called Reeb graph as discussed
in Chapter 7) has been used to give a low-dimensional terrain metaphor of a
potentially high-dimensional scalar field. To illustrate further, suppose that we
are given a scalar field f : X → R where X is a space of potentially high
dimension. To visualize and explore X and f in R2 and R3 , just mapping X to
R2 can cause significant geometric distortion, which in turn leads to artifacts in
the visualization of f over the projection. Instead, we can create a 2D terrain
metaphor f : R2 → R for f which preserves the contour tree information as
proposed in [299]; intuitively, this preserves the valleys/mountain peaks and
how they merge and split. In this example, the original scalar field is in R3 .
However, in general, the idea is applicable to higher-dimensional scalar fields
(e.g., the protein energy landscape considered in [184]).
In Figure 2(e), we give an example of an alternative approach of explor-
ing a high-dimensional space X or functions defined on it via the mapper
methodology (introduced in Chapter 9). In particular, the mapper methodology
constructs a representation of the essential structure behind X via a pullback
of a covering of Z through a map f : X → Z . This intuitively captures the
continuous structure of X at coarser level via the discretization of Z . See Fig-
ure 2(e), where the one-dimensional skeleton of the mapper structure behind
Prelude xix
a breast cancer microarray gene expression dataset is shown [245]. This con-
tinuous space representation not only shows “clusters” of different groups of
tumors and of normal cells, but also how they connect in the space of cells,
which are typically missing in standard cluster analysis.
Finally, Figure 2(f) shows an example of combining topological structures
from the discrete Morse theory (Chapter 10) with convolutional neural net-
works to infer road networks from satellite images [138]. In particular, the
so-called 1-unstable manifolds from discrete Morse theory can be used to
extract hidden graph skeletons from noisy data.
We conclude this prelude by summarizing the aim of this book: introduce
recent progress in applied and computational topology for data analysis with
an emphasis on the algorithmic aspect.
1
Basics
Topology, mainly algebraic topology, is the fundamental mathematical subject

on which topological data analysis is based. In this chapter, we introduce some
of the very basics of this subject that are used in this book. First, in Section 1.1,
we give the definition of a topological space and other notions such as open
and closed sets, covers, and subspace topology that are derived from it. These
notions are quite abstract in the sense that they do not require any geometry.
However, the intuition of topology becomes more concrete to nonmathemati-
cians when we bring geometry into the mix. Section 1.2 is devoted to make
the connection between topology and geometry through what is called metric
spaces.
Maps such as homeomorphism and homotopy equivalence play a signifi-
cant role to relate topological spaces. They are introduced in Section 1.3. At
the heart of these definitions sits the important notion of continuous functions
which generalizes the concept mainly known for Euclidean domains to topo-
logical spaces. Certain categories of topological spaces become important for
their wide presence in applications. Manifolds are one such category which
we introduce in Section 1.4. Functions on them satisfying certain conditions
are presented in Section 1.5. They are well known as Morse functions. The
critical points of such functions relate to the topology of the manifold they are
defined on. We introduce these concepts in the smooth setting in this chap-
ter, and later adapt them for the piecewise-linear domains that are amenable to
finite computations.
1.1 Topological Space

The basic object in a topological space is a ground set whose elements are
called points. A topology on these points specifies how they are connected
by listing what points constitute a neighborhood – the so-called open set.
1
2 1 Basics
The expression “rubber-sheet topology” commonly associated with the term

“topology” exemplifies this idea of connectivity of neighborhoods. If we bend
and stretch a sheet of rubber, it changes shape but always preserves the
neighborhoods in terms of the points and how they are connected.
We first introduce basic notions from point set topology. These notions are
prerequisites for more sophisticated topological ideas – manifolds, homeomor-
phism, isotopy, and other maps – used later to study algorithms for topological
data analysis. Homeomorphisms, for example, offer a rigorous way to state
that an operation preserves the topology of a domain, and isotopy offers a rig-
orous way to state that the domain can be deformed into a shape without ever
colliding with itself.
Perhaps it is more intuitive to understand the concept of topology in the pres-
ence of a metric because then we can use the metric balls such as Euclidean
balls in a Euclidean space to define neighborhoods – the open sets. Topolog-
ical spaces provide a way to abstract out this idea without a metric or point
coordinates, so they are more general than metric spaces. In place of a metric,
we encode the connectivity of a point set by supplying a list of all of the open
sets. This list is called a system of subsets of the point set. The point set and its
system together describe a topological space.
Definition 1.1. (Topological space) A topological space is a point set T

endowed with a system of subsets T , which is a set of subsets of T that satisfies
the following conditions:
● ∅, T ∈ T .
● For every U ⊆ T , the union of the subsets in U is in T .
● For every finite U ⊆ T , the common intersection of the subsets in U is in T .
The system T is called a topology on T. The sets in T are called the open
sets in T. A neighborhood of a point p ∈ T is an open set containing p.
First, we give examples of topological spaces to illustrate the definition

above. These examples have the set T finite.
Example 1.1. Let T = {0, 1, 3, 5, 7}. Then, T = {∅, {0}, {1}, {5}, {1, 5}, {0, 1},
{0, 1, 5}, {0, 1, 3, 5, 7}} is a topology because ∅ and T are in T as required by
the first axiom, the union of any sets in T is in T as required by the second
axiom, and the intersection of any two sets is also in T as required by the
third axiom. However, T = {∅, {0}, {1}, {1, 5}, {0, 1, 5}, {0, 1, 3, 5, 7}} is not
a topology because the set {0, 1} = {0} ∪ {1} is missing.
1.1 Topological Space 3
(a) (b) (c)
Figure 1.1 Example 1.3: (a) a graph as a topological space, stars of the vertices
and edges as open sets; (b) a closed cover with three elements; and (c) an open
cover with four elements.
Example 1.2. Let T = {u, v, w}. The power set 2T = {∅, {u}, {v}, {w}, {u, v},
{u, w}, {v, w}, {u, v, w}} is a topology. For any ground set T, the power set is
always a topology on it which is called the discrete topology.
One may take a subset of the power set as a ground set and define a topology,
as the next example shows. We will recognize later that the ground set here
corresponds to simplices in a simplicial complex and the “stars” of simplices
generate all open sets of a topology.
Example 1.3. Let T = {u, v, w, z, (u, z), (v, z), (w, z)}; this can be viewed
as a graph with four vertices and three edges as shown in Figure 1.1. Let
● T1 = {{(u, z)}, {(v, z)}, {(w, z)}} and
● T2 = {{(u, z), u}, {(v, z), v}, {(w, z), w}, {(u, z), (v, z), (w, z), z}}.
Then, T = 2T1 ∪T2 is a topology because it satisfies all three axioms. All open
sets of T are generated by the union of elements in B = T1 ∪ T2 and there is no
smaller set with this property. Such a set B is called a basis of T . We will see
later in the next chapter (Section 2.1) that these are open stars of all vertices
and edges.
We now present some more definitions that will be useful later.
Definition 1.2. (Closure; Closed sets) A set Q is closed if its complement

T \ Q is open. The closure Cl Q of a set Q ⊆ T is the smallest closed set
containing Q.
In Example 1.1, the set {3, 5, 7} is closed because its complement {0, 1} in
T is open. The closure of the open set {0} is {0, 3, 7} because it is the smallest
closed set (complement of open set {1, 5}) containing 0. In Example 1.2, all
sets are both open and closed. In Example 1.3, the set {u, z, (u, z)} is closed,
but the set {z, (u, z)} is neither open nor closed. Interestingly, observe that
4 1 Basics
{z} is closed. The closure of the open set {u, (u, z)} is {u, z, (u, z)}. In all
examples, the sets ∅ and T are both open and closed.
Definition 1.3. Given a topological space (T, T ), the interior Int A of a sub-
set A ⊆ T is the union of all open subsets of A. The boundary of A is Bd
A = Cl A \ Int A.
The interior of the set {3, 5, 7} in Example 1.1 is {5} and its boundary is
{3, 7}.
Definition 1.4. (Subspace topology) For every point set U ⊆ T, the topol-
ogy T induces a subspace topology on U, namely the system of open subsets
U = {P ∩ U : P ∈ T }. The point set U endowed with the system U is said to
be a topological subspace of T.
In Example 1.1, consider the subset U = {1, 5, 7}. It has the subspace
topology
U = {∅, {1}, {5}, {1, 5}, {1, 5, 7}}.
In Example 1.3, the subset U = {u, (u, z), (v, z)} has the subspace topology
{∅, {u, (u, z)}, {(u, z)}, {(v, z)}, {(u, z), (v, z)}, {u, (u, z), (v, z)}}.
Definition 1.5. (Connected) A topological space (T, T ) is disconnected if

there are two disjoint non-empty open sets U, V ∈ T so that T = U ∪ V .
A topological space is connected if it is not disconnected.
The topological space in Example 1.1 is connected. However, the topolog-

ical subspace (Definition 1.4) induced by the subset {0, 1, 5} is disconnected
because it can be obtained as the union of two disjoint open sets {0, 1} and
{5}. The topological space in Example 1.3 is also connected, but the subspace
induced by the subset {(u, z), (v, z), (w, z)} is disconnected.
Definition 1.6. (Cover; Compact) An open (closed) cover of a topological

space (T, T ) is a collection C of open (closed) sets so that T = c∈C c. The
topological space (T, T ) is called compact if every open cover C of it has a

finite subcover, that is, there exists C ⊆ C such that T = c∈C c and C is
finite.
In Figure 1.1(b), the cover consisting of {{u, z, (u, z)}, {v, z, (v, z)}, {w, z,
(w, z)}} is a closed cover whereas the cover consisting of {{u, (u, z)}, {v, (v, z)},
{w, (w, z)}, {z, (u, z), (v, z), (w.z)}} in Figure 1.1(c) is an open cover. Any
topological space with finite point set T is compact because all of its covers
are finite. Thus, all topological spaces in the discussed examples are compact.
We will see examples of noncompact topological spaces where the ground set
is infinite.
In the above examples, the ground set T is finite. It can be infinite in general
and a topology may have uncountably infinitely many open sets containing
uncountably infinitely many points.
Next, we introduce the concept of quotient topology. Given a space (T, T )
and an equivalence relation ∼ on elements in T, one can define a topology
induced by the original topology T on the quotient set T/∼ whose elements
are equivalence classes [x] for every point x ∈ T.
Definition 1.7. (Quotient topology) Given a topological space (T, T ) and an

equivalence relation ∼ defined on the set T, a quotient space (S, S) induced by
∼ is defined by the set S = T/∼ and the quotient topology S where

S := U ⊆ S | {x : [x] ∈ U } ∈ T .
We will see the use of quotient topology in Chapter 7 when we study Reeb
graphs.
Infinite topological spaces may seem baffling from a computational point
of view, because they may have uncountably infinitely many open sets con-
taining uncountably infinitely many points. The easiest way to define such a
topological space is to inherit the open sets from a metric space. A topology
on a metric space excludes information that is not topologically essential. For
instance, the act of stretching a rubber sheet changes the distances between
points and thereby changes the metric, but it does not change the open sets
or the topology of the rubber sheet. In the next section, we construct such
a topology on a metric space and examine it from the concept of limit
points.
1.2 Metric Space Topology

Metric spaces are a special type of topological space commonly encountered in
practice. Such a space admits a metric that specifies the scalar distance between
every pair of points satisfying certain axioms.
Definition 1.8. (Metric space) A metric space is a pair (T, d) where T is

a set and d is a distance function d : T × T → R satisfying the following
properties:
6 1 Basics
● d( p, q) = 0 if and only if p = q for all p ∈ T;

● d( p, q) = d(q, p) for all p, q ∈ T;
● d( p, q) ≤ d( p, r ) + d(r, q) for all p, q, r ∈ T.
It can be shown that the three axioms above imply that d( p, q) ≥ 0 for every
pair p, q ∈ T. In a metric space T, an open metric ball with center c and radius
r is defined to be the point set Bo (c, r ) = { p ∈ T : d( p, c) < r }. Metric balls
define a topology on a metric space.
Definition 1.9. (Metric space topology) Given a metric space T, all metric
balls {Bo (c, r ) | c ∈ T and 0 < r ≤ ∞} and their union constituting the open
sets define a topology on T.
All definitions for general topological spaces apply to metric spaces with
the above defined topology. However, we give alternative definitions using the
concept of limit points which may be more intuitive.
As we have mentioned already, the heart of topology is the question of what
it means for a set of points to be connected. After all, two distinct points cannot
be adjacent to each other; they can only be connected to one another by passing
through uncountably many intermediate points. The idea of limit points helps
express this concept more concretely, specifically in the case of metric spaces.
We use the notation d(·, ·) to express minimum distances between point sets
P, Q ⊆ T:
d( p, Q) = inf{d( p, q) : q ∈ Q},
d(P, Q) = inf{d( p, q) : p ∈ P, q ∈ Q}.
Definition 1.10. (Limit point) Let Q ⊆ T be a point set. A point p ∈ T is a

limit point of Q, also known as an accumulation point of Q, if for every real
number > 0, however tiny, Q contains a point q = p such that d( p, q) < .
In other words, there is an infinite sequence of points in Q that gets succes-

sively closer and closer to p – without actually being p – and gets arbitrarily
close. Stated succinctly, d( p, Q \ { p}) = 0. Observe that it does not matter
whether p ∈ Q or not.
To see the parallel between the definitions given in this subsection and the
definitions given before, it is instructive to define limit points also for general
topological spaces. In particular, a point p ∈ T is a limit point of a set Q ⊆ T
if every open set containing p intersects Q.
Definition 1.11. (Connected) A point set Q ⊆ T is called disconnected if Q

can be partitioned into two disjoint non-empty sets U and V so that there is no
(a) (b)
Figure 1.2 (a) The point set is disconnected; it can be partitioned into two con-
nected subsets shaded differently. (b) The point set is connected; the black point
at the center is a limit point of the points shaded lightly.
(a) (b)
Figure 1.3 Closed, open, and relatively open point sets in the plane. Dashed edges
and open circles indicate points missing from the point set.
point in U that is a limit point of V , and no point in V that is a limit point of U .

(See Figure 1.2[a] for an example.) If no such partition exists, Q is connected,
like the point set in Figure 1.2(b).
We can also distinguish between closed and open point sets using the con-
cept of limit points. Informally, a triangle in the plane is closed if it contains
all the points on its edges, and open if it excludes all the points on its edges, as
illustrated in Figure 1.3. The idea can be formally extended to any point set.
Definition 1.12. (Closure; Closed; Open) The closure of a point set Q ⊆ T,

denoted Cl Q, is the set containing every point in Q and every limit point of Q.
A point set Q is closed if Q = Cl Q, that is, Q contains all its limit points. The
complement of a point set Q is T \ Q. A point set Q is open if its complement
is closed, that is, T \ Q = Cl (T \ Q).
For example, consider the open interval (0, 1) ⊂ R, which contains every
r ∈ R so that 0 < r < 1. Let [0, 1] denote a closed interval (0, 1) ∪ {0} ∪ {1}.
The numbers 0 and 1 are both limit points of the open interval, so Cl (0, 1) =
[0, 1] = Cl [0, 1]. Therefore, [0, 1] is closed and (0, 1) is not. The numbers 0
and 1 are also limit points of the complement of the closed interval, R \ [0, 1],
so (0, 1) is open, but [0, 1] is not.
8 1 Basics
The definition of open set of course depends on the space being consid-
ered. A triangle τ that is missing the points on its edges is open in the
two-dimensional affine Euclidean space supporting τ . However, it is not open
in the Euclidean space R3 . Indeed, every point in τ is a limit point of R3 \ τ ,
because we can find sequences of points that approach τ from the side. In rec-
ognition of this caveat, a simplex σ ⊂ Rd is said to be relatively open if it
is open relative to its affine hull. Figure 1.3 illustrates this fact where, in this
example, the metric space is R2 .
We can define the interior and boundary of a set using the notion of limit
points also. Informally, the boundary of a point set Q is the set of points where
Q meets its complement T \ Q. The interior of Q contains all the other points
of Q.
Definition 1.13. (Boundary; Interior) The boundary of a point set Q in a met-

ric space T, denoted Bd Q, is the intersection of the closures of Q and its
complement; that is, Bd Q = Cl Q ∩ Cl (T \ Q). The interior of Q, denoted
Int Q, is Q \ Bd Q = Q \ Cl (T \ Q).
For example, Bd [0, 1] = {0, 1} = Bd (0, 1) and Int [0, 1] = (0, 1) =

Int (0, 1). The boundary of a triangle (closed or open) in the Euclidean plane
is the union of the triangle’s three edges, and its interior is an open triangle,
illustrated in Figure 1.3. The terms boundary and interior have similar subtlety
as open sets: the boundary of a triangle embedded in R3 is the whole triangle,
and its interior is the empty set. However, relative to its affine hull, its interior
and boundary are defined exactly as in the case of triangles embedded in the
Euclidean plane. Interested readers can draw the analogy between this obser-
vation and the definition of interior and boundary of a manifold that appear
later in Definition 1.23.
We have seen a definition of the compactness of a point set in a topological
space (Definition 1.6). We define it differently here for a metric space. It can
be shown that the two definitions are equivalent.
Definition 1.14. (Bounded; Compact) The diameter of a point set Q is

sup p,q∈Q d( p, q). The set Q is bounded if its diameter is finite, and is
unbounded otherwise. A point set Q in a metric space is compact if it is closed
and bounded.
In the Euclidean space Rd we can use the standard Euclidean distance as

the choice of metric. On the surface of a coffee mug, we could choose the
Euclidean distance too; alternatively, we could choose the geodesic distance,
namely the length of the shortest path from p to q on the mug’s surface.
Example 1.4. (Euclidean ball) In Rd , the Euclidean d-ball with center c and
radius r , denoted B(c, r ), is the point set B(c, r ) = { p ∈ Rd : d( p, c) ≤ r }.
A 1-ball is an edge, and a 2-ball is called a disk. A unit ball is a ball with
radius 1. The boundary of the d-ball is called the Euclidean (d − 1)-sphere
and denoted S(c, r ) = { p ∈ Rd : d( p, c) = r }. The name expresses the fact
that we consider it a (d − 1)-dimensional point set – to be precise, a (d − 1)-
dimensional manifold – even though it is embedded in d-dimensional space.
For example, a circle is a 1-sphere, and a layman’s “sphere” in R3 is a 2-
sphere. If we remove the boundary from a ball, we have the open Euclidean
d-ball Bo (c, r ) = { p ∈ Rd : d( p, c) < r }.
The topological spaces that are subspaces of a metric space such as Rd

inherit their topology as a subspace topology. Examples of topological sub-
spaces are the Euclidean d-ball Bd , Euclidean d-sphere Sd , open Euclidean
d-ball Bdo , and Euclidean half-ball Hd , where
Bd = {x ∈ Rd : x ≤ 1},
Sd = {x ∈ Rd+1 : x = 1},
Bdo = {x ∈ Rd : x < 1},
Hd = {x ∈ Rd : x < 1 and xd ≥ 0}.
1.3 Maps, Homeomorphisms, and Homotopies

The equivalence of two topological spaces is determined by how the points
that comprise them are connected. For example, the surface of a cube can be
deformed into a sphere without cutting or gluing it because they are connected
the same way. They have the same topology. This notion of topological equiv-
alence can be formalized via functions that send the points of one space to
points of the other while preserving the connectivity.
This preservation of connectivity is achieved by preserving the open sets.
A function from one space to another that preserves the open sets is called
a continuous function or a map. Continuity is a vehicle to define topological
equivalence, because a continuous function can send many points to a single
point in the target space, or send no points to a given point in the target space.
If the former does not happen, that is, when the function is injective, we call
it an embedding of the domain into the target space. True equivalence is given
by a homeomorphism, a bijective function from one space to another which
has continuity as well as a continuous inverse. This ensures that open sets are
preserved in both directions.
10 1 Basics
Figure 1.4 Each point set in this figure is homeomorphic to the point set above or
below it, but not to any of the others. Open circles indicate points missing from
the point set, as do the dashed edges in the point sets second from the right.
Definition 1.15. (Continuous function; Map) A function f : T → U from the

topological space T to another topological space U is continuous if for every
open set Q ⊆ U, f −1 (Q) is open. Continuous functions are also called maps.
Definition 1.16. (Embedding) A map g : T → U is an embedding of T into U

if g is injective.
A topological space can be embedded into a Euclidean space by assigning

coordinates to its points so that the assignment is continuous and injective. For
example, drawing a triangle on paper is an embedding of S1 into R2 . There are
topological spaces that cannot be embedded into a Euclidean space, or even
into a metric space – these spaces cannot be represented by any metric.
Next we define a homeomorphism that connects two spaces that have
essentially the same topology.
Definition 1.17. (Homeomorphism) Let T and U be topological spaces. A

homeomorphism is a bijective map h : T → U whose inverse is continuous
too.
Two topological spaces are homeomorphic if there exists a homeomorphism
between them.
Homeomorphism induces an equivalence relation among topological spaces,

which is why two homeomorphic topological spaces are called topologically
equivalent. Figure 1.4 shows pairs of homeomorphic topological spaces. A less
obvious example is that the open d-ball Bdo is homeomorphic to the Euclidean
space Rd , given by the homeomorphism h(x) = x/(1 − ||x||). The same map
also exhibits that the half-ball Hd is homeomorphic to the Euclidean half-space
{x ∈ Rd : xd ≥ 0}.
For maps between compact spaces, there is a weaker condition to be verified
for homeomorphisms because of the following property.
(a) (b) (c)
Figure 1.5 Two tori knotted differently, one triangulated (c) and the other not (b).
Both are homeomorphic to the standard unknotted torus in (a), but not isotopic
to it.
Proposition 1.1. If T and U are compact metric spaces, every bijective map
from T to U has a continuous inverse.
One can take advantage of this fact to prove that certain functions are
homeomorphisms by showing continuity only in the forward direction. When
two topological spaces are subspaces of the same larger space, a notion of
similarity called isotopy exists which is stronger than homeomorphism. If two
subspaces are isotopic, one can be continuously deformed to the other while
keeping the deforming subspace homeomorphic to its original form all the
time. For example, a solid cube can be continuously deformed into a ball in
this manner.
Homeomorphic subspaces are not necessarily isotopic. Consider a torus
embedded in R3 , illustrated in Figure 1.5(a). One can embed the torus in R3
so that it is knotted, as shown in Figure 1.5(b) and (c). The knotted torus is
homeomorphic to the standard, unknotted one. However, it is not possible to
continuously deform one to the other while keeping it embedded in R3 and
homeomorphic to the original. Any attempt to do so forces the torus to be “self-
intersecting” and thus not being a manifold. One way to look at this obstruction
is by considering the topology of the space around the tori. Although the knot-
ted and unknotted tori are homeomorphic, their complements in R3 are not.
This motivates us to consider both the notion of an isotopy, in which a torus
deforms continuously, and the notion of an ambient isotopy, in which not only
the torus deforms, but the entire R3 deforms with it.
Definition 1.18. (Isotopy) An isotopy connecting two spaces T ⊆ Rd and

U ⊆ Rd is a continuous map ξ : T×[0, 1] → Rd where ξ(T, 0) = T, ξ(T, 1) =
U, and for every t ∈ [0, 1], ξ(·, t) is a homeomorphism between T and its
image {ξ(x, t) : x ∈ T}. An ambient isotopy connecting T and U is a map ξ :
12 1 Basics
Rd × [0, 1] → Rd such that ξ(·, 0) is the identity function on Rd , ξ(T, 1) = U,

and for each t ∈ [0, 1], ξ(·, t) is a homeomorphism.
For an example, consider the map

1 − (1 − t)x
ξ(x, t) = x
1 − x
that sends the open d-ball Bdo to itself if t = 0, and to the Euclidean space
Rd if t = 1. The parameter t plays the role of time, that is, ξ(Bdo , t) deforms
continuously from a ball at time zero to Rd at time one. Thus, there is an
isotopy between the open d-ball and Rd .
Every ambient isotopy becomes an isotopy if its domain is restricted from
Rd × [0, 1] to T × [0, 1]. It is known that if there is an isotopy between two
subspaces, then there exists an ambient isotopy between them. Hence, the two
notions are equivalent.
There is another notion of similarity among topological spaces that is weaker
than homeomorphism, called homotopy equivalence. It relates spaces that can
be continuously deformed to one another but the transformation may not pre-
serve homeomorphism. For example, a ball can shrink to a point, which is not
homeomorphic to it because a bijective function from an infinite point set to a
single point cannot exist. However, homotopy preserves some form of connec-
tivity, such as the number of connected components, holes, and/or voids. This
is why a coffee cup is homotopy equivalent to a circle, but not to a ball or a
point.
To get to homotopy equivalence, we first need the concept of homotopies,
which are isotopies without the homeomorphism.
Definition 1.19. (Homotopy) Let g : X → U and h : X → U be maps. A

homotopy is a map H : X×[0, 1] → U such that H (·, 0) = g and H (·, 1) = h.
Two maps are homotopic if there is a homotopy connecting them.
For example, let g : B3 → R3 be the identity map on a unit ball and

h : B3 → R3 be the map sending every point in the ball to the origin. The
fact that g and h are homotopic is demonstrated by the homotopy H (x, t) =
(1−t)·g(x). Observe that H (B3 , t) deforms continuously a ball at time zero to
a point at time one. A key property of a homotopy is that, as H is continuous,
at every time t the map H (·, t) remains continuous.
For developing more intuition, consider two maps that are not homotopic.
Let g : S1 → S1 be the identity map from the circle to itself, and let h : S1 →
S1 map every point on the circle to a single point p ∈ S1 . Although apparently
it seems that we can contract a circle to a point, that view is misleading because
Figure 1.6 All three of the topological spaces are homotopy equivalent, because
they are all deformation retracts of the leftmost space.
the map H is required to map every point on the circle at every time to a point
on the circle. The contraction of the circle to a point is possible only if we
break the continuity, say by cutting or gluing the circle somewhere.
Observe that a homeomorphism relates two topological spaces T and U
whereas a homotopy or an isotopy (which is a special kind of homotopy)
relates two maps, thereby indirectly establishing a relationship between two
subspaces g(X) ⊆ U and h(X) ⊆ U. That relationship is not necessarily an
equivalent one, but the following is.
Definition 1.20. (Homotopy equivalent) Two topological spaces T and U are

homotopy equivalent if there exist maps g : T → U and h : U → T such that
h ◦ g is homotopic to the identity map ιT : T → T and g ◦ h is homotopic to
the identity map ιU : U → U.
Homotopy equivalence is indeed an equivalence relation, that is, if A, B

and B, C are homotopy equivalent spaces, so are the pair A, C. Homeomor-
phic spaces necessarily have the same dimension though homotopy equivalent
spaces may have different dimensions. To gain more intuition about homotopy
equivalent spaces, we show why a 2-ball is homotopy equivalent to a single
point p. Consider a map h : B2 → { p} and a map g : { p} → B2 where g( p)
is any point q in B2 . Observe that h ◦ g is the identity map on { p}, which is
trivially homotopic to itself. In the other direction, g ◦h : B2 → B2 sends every
point in B2 to q. A homotopy between g ◦ h and the identity map idB2 is given
by the map H (x, t) = (1 − t)q + t x.
An useful intuition for understanding the definition of homotopy equivalent
spaces can be derived from the fact that two spaces T and U are homotopy
equivalent if and only if there exists a third space X so that both T and U are
deformation retracts of X; see Figure 1.6.
Definition 1.21. (Deformation retract) Let T be a topological space, and let

U ⊂ T be a subspace. A retraction r of T to U is a map from T to U such that
r (x) = x for every x ∈ U. The space U is a deformation retract of T if the
identity map on T can be continuously deformed to a retraction with no motion
of the points already in U: specifically, there is a homotopy called deformation
14 1 Basics
retraction R : T×[0, 1] → T such that R(·, 0) is the identity map on T, R(·, 1)

is a retraction of T to U, and R(x, t) = x for every x ∈ U and every t ∈ [0, 1].
Fact 1.1. If U is a deformation retract of T, then T and U are homotopy

equivalent.
For example, any point on a line segment (open or closed) is a deformation

retract of the line segment and is homotopy equivalent to it. The letter M is a
deformation retract of the letter W , and also of a 1-ball. Moreover, as we said
before, two spaces are homotopy equivalent if they are deformation retractions
of a common space. The symbols ∅, ∞, and (viewed as one-dimensional
point sets) are deformation retracts of a double doughnut – a doughnut with two
holes. Therefore, they are homotopy equivalent to each other, though none of
them is a deformation retract of any of the others because one is not a subspace
of the other. They are not homotopy equivalent to A, X , O, ⊕, , , a ball,
nor a coffee cup.
1.4 Manifolds
A manifold is a topological space that is locally connected in a particular
way. A 1-manifold has this local connectivity looking like a segment. A 2-
manifold (with boundary) has the local connectivity looking like a complete
or partial disk. In layman’s terms, a 2-manifold has the structure of a piece
of paper or rubber sheet, possibly with the boundaries glued together to form
a closed surface – a category that includes disks, spheres, tori, and Möbius
bands.
Definition 1.22. (Manifold) A topological space M is an m-manifold, or sim-

ply a manifold, if every point x ∈ M has a neighborhood homeomorphic to Bmo
or Hm . The dimension of M is m.
Every manifold can be partitioned into boundary and interior points.

Observe that these words mean very different things for a manifold than they
do for a metric space or topological space.
Definition 1.23. (Boundary; Interior) The interior Int M of an m-manifold M

is the set of points in M that have a neighborhood homeomorphic to Bmo . The
boundary Bd M of M is the set of points M \ Int M. The boundary Bd M, if
not empty, consists of the points that have a neighborhood homeomorphic to
Hm . If Bd M is the empty set, we say that M is without boundary.
1.4 Manifolds 15
(a) (b) (c) (d)
Figure 1.7 (a) A Möbius band. (b) Removal of the red and green loops opens
up the torus into a topological disk. (c) A double torus: every surface without
boundary in R3 resembles a sphere or a conjunction of one or more tori. (d) Double
torus knotted.
A single point, a 0-ball, is a 0-manifold without boundary according to this

definition. The closed disk B2 is a 2-manifold whose interior is the open disk
B2o and whose boundary is the circle S1 . The open disk B2o is a 2-manifold
whose interior is B2o and whose boundary is the empty set. This highlights an
important difference between Definitions 1.13 and 1.23 of “boundary”: when
B2o is viewed as a point set in the space R2 , its boundary is S1 according
to Definition 1.13; but viewed as a manifold, its boundary is empty accord-
ing to Definition 1.23. The boundary of a manifold is always included in the
manifold.
The open disk B2o , the Euclidean space R2 , the sphere S2 , and the torus are all
connected 2-manifolds without boundary. The first two are homeomorphic to
each other, but the last two are not. The sphere and the torus in R3 are compact
(bounded and closed with respect to R3 ) whereas B2o and R2 are not.
A d-manifold, d ≥ 2, can have orientations whose formal definition we
skip here. Informally, we say that a 2-manifold M is non-orientable if, starting
from a point p, one can walk on one side of M and end up on the opposite
side of M upon returning to p. Otherwise, M is orientable. Spheres and balls
are orientable, whereas the Möbius band in Figure 1.7(a) is a non-orientable
2-manifold with boundary.
A surface is a 2-manifold that is a subspace of Rd . Any compact surface
without boundary in R3 is an orientable 2-manifold. To be non-orientable, a
compact surface must have a non-empty boundary (like the Möbius band) or
be embedded in a four- or higher-dimensional Euclidean space.
A surface can sometimes be disconnected by removing one or more loops
(connected 1-manifolds without boundary) from it. The genus of an orientable
and compact surface without boundary is g if 2g is the maximum number of
16 1 Basics
loops that can be removed from the surface without disconnecting it; here the
loops are permitted to intersect each other. For example, the sphere has genus
zero as every loop cuts it into two disks. The torus has genus one: a circular cut
around its neck and a second circular cut around its circumference, illustrated
in Figure 1.7(b), allow it to unfold into a topological disk. A third loop would
cut it into two pieces. Figure 1.7(c) and (d) each shows a 2-manifold without
boundary of genus two. Although a high-genus surface can have a very com-
plex shape, all compact 2-manifolds in R3 that have the same genus and no
boundary are homeomorphic to each other.
1.4.1 Smooth Manifolds

A purely topological manifold has no geometry. But if we embed it in a
Euclidean space, it could appear smooth or wrinkled. We now introduce a
“geometric” manifold by imposing a differential structure on it. For the rest
of this chapter, we focus on only manifolds without boundary.
Consider a map φ : U → W where U and W are open sets in Rk
and Rd , respectively. The map φ has d components, namely φ(x) =
(φ1 (x), φ2 (x), . . . , φd (x)), where x = (x1 , x2 , . . . , xk ) denotes a point in Rk .
The Jacobian of φ at x is the d × k matrix of the first-order partial derivatives
⎡ ∂φ (x) ∂φ1 (x) ⎤
1
...
⎢ ∂ x1 ∂ xk ⎥
⎢ .. .. .. ⎥
⎢ . ⎥.
⎢ . . ⎥
⎣ ∂φ (x) ∂φd (x) ⎦
d
...
∂ x1 ∂ xk
The map φ is regular if its Jacobian has rank k at every point in U . The map φ
is C i -continuous if the i-th-order partial derivatives of φ are continuous.
The reader may be familiar with parametric surfaces, for which U is a two-
dimensional parameter space and its image φ(U ) in d-dimensional space is
a parametric surface. Unfortunately, a single parametric surface cannot easily
represent a manifold with a complicated topology. However, for a manifold to
be smooth, it suffices that each point on the manifold has a neighborhood that
looks like a smooth parametric surface.
Definition 1.24. (Smooth embedded manifold) For any i > 0, an m-manifold

M without boundary embedded in Rd is C i -smooth if for every point p ∈
M, there exists an open set U p ⊂ Rm , a neighborhood W p ⊂ Rd of p, and
a map φ p : U p → W p ∩ M such that (i) φ p is C i -continuous, (ii) φ p is a
homeomorphism, and (iii) φ p is regular. If m = 2, we call M a C i -smooth
surface.
The first condition says that each map is continuously differentiable at least
i times. The second condition requires each map to be bijective, ruling out
“wrinkles” where multiple points in U map to a single point in W . The third
condition prohibits any map from having a directional derivative of zero at any
point in any direction. The first and third conditions together enforce smooth-
ness, and imply that there is a well-defined tangent m-flat at each point in M.
The three conditions together imply that the maps φ p defined in the neigh-
borhood of each point p ∈ M overlap smoothly. There are two extremes of
smoothness. We say that M is C ∞ -smooth if for every point p ∈ M, the par-
tial derivatives of φ p of all orders are continuous. On the other hand, M is
nonsmooth if M is an m-manifold (therefore C 0 -smooth) but not C 1 -smooth.
1.5 Functions on Smooth Manifolds

In previous sections, we introduced topological spaces, including the special
case of (smooth) manifolds. Very often, a space can be equipped with contin-
uous functions defined on it. In this section, we focus on real-valued functions
of the form f : X → R defined on a topological space X , also called scalar
functions; see Figure 1.8(a) for the graph of a function f : R2 → R. Sca-
lar functions appear commonly in practice that describe space/data of interest
(e.g., the elevation function defined on the surface of the Earth). We are inter-
ested in the topological structures behind scalar functions. In this section, we
limit our discussion to nicely behaved scalar functions (called Morse functions)
defined on smooth manifolds. Their topological structures are characterized by
the so-called critical points which we will introduce below. Later in the book
we will also discuss scalar functions on simplicial complex domains, as well as
more complex maps defined on a space X , for example, a multivariate function
f : X → Rd .
1.5.1 Gradients and Critical Points

In what follows, for simplicity of presentation, we assume that we consider
smooth (C ∞ -continuous) functions and smooth manifolds embedded in Rd ,
even though often we only require the functions (resp. manifolds) to be C 2 -
continuous (resp. C 2 -smooth).
To provide intuition, let us start with a smooth scalar function defined on the
real line, f : R → R; the graph of such a function is shown in Figure 1.8(b).
Recall that the derivative of a function at a point x ∈ R is defined as
d f (x + t) − f (x)
D f (x) = f (x) = lim . (1.1)
dx t→0 t
18 1 Basics
6
5.5
5
4.5
4
3.5
3
2.5
2
10
0
–10 2 4 6 8 10
–10 –8 –6 –4 –2 0
(a) (b)
Figure 1.8 (a) The graph of a function f : R2 → R. (b) The graph of a function
f : R → R with critical points marked.
The value D f (x) gives the rate of change of the value of f at x. This can be
visualized as the slope of the tangent line of the graph of f at (x, f (x)). The
critical points of f are the set of points x such that D f (x) = 0. For a function
defined on the real line, there are two types of critical points in the generic
case: maxima and minima, as marked in Figure 1.8(b).
Now suppose we have a smooth function f : Rd → R defined on Rd . Fix an
arbitrary point x ∈ Rd . As we move a little around x within its local neighbor-
hood, the rate of change of f differs depending on which direction we move.
This gives rise to the directional derivative Dv f (x) at x in direction (i.e., a
unit vector) v ∈ Sd−1 , where Sd−1 is the unit (d − 1)-sphere, defined as
f (x + t · v) − f (x)
Dv f (x) = lim . (1.2)
t→0 t
The gradient vector of f at x ∈ Rd intuitively captures the direction of steepest

increase of the function f . More precisely, we have the following.
Definition 1.25. (Gradient for functions on Rd ) Given a smooth function f :

Rd → R, the gradient vector field ∇ f : Rd → Rd is defined as follows: for
any x ∈ Rd ,
T
∂f ∂f ∂f
∇ f (x) = (x), (x), . . . , (x) , (1.3)
∂ x1 ∂ x2 ∂ xd
where (x1 , x2 , . . . , xd ) represents an orthonormal coordinate system for Rd .

The vector ∇ f (x) ∈ Rd is called the gradient vector of f at x. A point x ∈ Rd
is a critical point if ∇ f (x) = [0 0 . . . 0]T ; otherwise, x is regular.
minimum (index 0) saddle (index 1) maximum (index 2) monkey saddle
(a) (b) (c) (d)
Figure 1.9 (top) The graph of the function around nondegenerate critical points
for a smooth function on R2 , and a degenerate critical point, called “monkey sad-
dle.” For example, for an index-0 critical point p, its local neighborhood can be
written as f (x) = f ( p) + x12 + x22 , making p a local minimum. (bottom) The
local (closed) neighborhood of the corresponding critical point in the domain R2 ,
where the dark blue colored regions are the portion of the neighborhood of p
whose function value is at most f ( p).
Observe that for any v ∈ Rd , the directional derivative satisfies that

Dv f (x) = ∇ f (x), v. It then follows that ∇ f (x) ∈ Rd is along the unit
vector v where Dv f (x) is maximized among the directional derivatives in all
unit directions around x; and its magnitude ∇ f (x) equals the value of this
maximum directional derivative. The critical points of f are those points where
the directional derivative vanishes in all directions – locally, the rate of change
of f is zero no matter which direction one deviates from x. See Figure 1.9 for
the three types of critical points, minimum, saddle point, and maximum, for a
generic smooth function f : R2 → R.
Finally, we can extend the above definitions of gradients and critical points
to a smooth function f : M → R defined on a smooth Riemannian m-manifold
M. Here, a Riemannian manifold is a manifold equipped with a Riemann-
ian metric, which is a smoothly varying inner product defined on the tangent
spaces. This allows the measurements of length so as to define gradient. At
a point x ∈ M, denote the tangent space of M at x by TMx , which is the
m-dimensional vector space consisting of all tangent vectors of M at x. For
example, TMx is an m-dimensional linear space Rm for an m-dimensional
manifold M embedded in the Euclidean space Rd , with Riemannian metric
(inner product in the tangent space) induced from Rd .
20 1 Basics
The gradient ∇ f is a vector field on M, that is, ∇ f : M → TM maps every

point x ∈ M to a vector ∇ f (x) ∈ TMx in the tangent space of M at x. Similar
to the case for a function defined on Rd , the gradient vector field ∇ f satisfies
that for any x ∈ M and v ∈ TMx , ∇ f (x), v gives rise to the directional
derivative Dv f (x) of f in direction v, and ∇ f (x) still specifies the direction
of steepest increase of f along all directions in TMx with its magnitude being
the maximum rate of change. More formally, we have the following definition,
analogous to Definition 1.25 for the case of a smooth function on Rd .
Definition 1.26. (Gradient vector field; Critical points) Given a smooth func-
tion f : M → R defined on a smooth m-dimensional Riemannian manifold M,
the gradient vector field ∇ f : M → TM is defined as follows: for any x ∈ M,
let (x1 , x2 , . . . , xm ) be a local coordinate system in a neighborhood of x with
orthonormal unit vectors xi , then the gradient at x is
T
∂f ∂f ∂f
∇ f (x) = (x), (x), . . . , (x) .
∂ x1 ∂ x2 ∂ xm
A point x ∈ M is critical if ∇ f (x) vanishes, in which case f (x) is called a
critical value for f . Otherwise, x is regular.
It follows from the chain rule that the criticality of a point x is independent
of the local coordinate system being used.
1.5.2 Morse Functions and Morse Lemma

From the first-order derivatives of a function we can determine critical points.
We can learn more about the “type” of the critical points by inspecting the
second-order derivatives of f .
Definition 1.27. (Hessian matrix; Nondegenerate critical points) Given a

smooth m-manifold M, the Hessian matrix of a twice differentiable function
f : M → R at x is the matrix of second-order partial derivatives,
⎡ ⎤
∂2 f ∂2 f ∂2 f
⎢ ∂x ∂x (x) (x) · · · (x) ⎥
⎢ 1 1 ∂ x1 ∂ x2 ∂ x1 ∂ xm ⎥
⎢ ⎥
⎢ ∂2 f ∂ f
2 ∂ f
2 ⎥
⎢ (x) 2(x) · · · (x) ⎥
⎢
Hessian(x) = ⎢ ∂ x2 ∂ x1 ∂ x2 ∂ x2 ∂ x2 ∂ xm ⎥,
⎥
⎢ .. .. .. .
.. ⎥
⎢ . . . ⎥
⎢ ⎥
⎣ ∂2 f ∂2 f ∂2 f ⎦
(x) 2(x) · · · (x)
∂ xm ∂ x1 ∂ xm ∂ x2 ∂ xm ∂ xm
where (x1 , x2 , . . . , xm ) is a local coordinate system in a neighborhood of x.
A critical point x of f is nondegenerate if its Hessian matrix, Hessian(x),

is nonsingular (has nonzero determinant); otherwise, it is a degenerate critical
point.
For example, consider f : R2 → R defined by f (x, y) = x 3 − 3x y 2 . The

origin (0, 0) is a degenerate critical point often referred to as a “monkey sad-
dle:” see Figure 1.9(d), where the graph of the function around (0, 0) goes up
and down three times (instead of twice as for a nondegenerate saddle shown in
Figure 1.9b). It turns out that, as a consequence of the Morse Lemma below,
nondegenerate critical points are always isolated whereas the degenerate ones
may not be so. A simple example is f : R2 → R defined by f (x, y) = x 2 ,
where all points on the y-axis are degenerate critical points. The local neigh-
borhood of nondegenerate critical points can be completely characterized by
the following Morse Lemma.
Proposition 1.2. (Morse Lemma) Given a smooth function f : M → R

defined on a smooth m-manifold M, let p be a nondegenerate critical point
of f . Then there is a local coordinate system in a neighborhood U ( p) of p
so that (i) the coordinate of p is (0, 0, . . . , 0), and (ii) locally for every point
x = (x1 , x2 , . . . , xm ) in neighborhood U ( p),
f (x) = f ( p) − x12 − · · · − xs2 + xs+1

2
· · · + xm2 , for some s ∈ [0, m].
The number s of minus signs in the above quadratic representation of f (x) is

called the index of the critical point p.
For a smooth function f : M → R defined on a 2-manifold M, an index-0,

index-1, or index-2 (nondegenerate) critical point corresponds to a minimum, a
saddle, or a maximum, respectively. For a function defined on an m-manifold,
nondegenerate critical points include minima (index 0), maxima (index m),
and m − 1 types of saddle points.
The behavior of degenerate critical points is more complicated to charac-
terize. Instead, we now introduce a family of “nice” functions, called Morse
functions, whose critical points cannot be degenerate.
Definition 1.28. (Morse function) A smooth function f : M → R defined on

a smooth manifold M is a Morse function if and only if: (i) none of f ’s critical
points are degenerate; and (ii) the critical points have distinct function values.
Limiting our study only to well-behaved Morse functions is not too restric-
tive as the Morse functions form an open and dense subset of the space of
all smooth functions C ∞ (M) on M. So in this sense, a generic function is
22 1 Basics
a Morse function. On the other hand, it is much cleaner to characterize the

topology induced by such a function, which we do now.
1.5.3 Connection to Topology

We now characterize how critical points influence the topology of M induced
by the scalar function f : M → R.
Definition 1.29. (Interval, sublevel, and superlevel sets) Given f : M → R

and I ⊆ R, the interval levelset of f with respect to I is defined as
M I = f −1 (I ) = {x ∈ M | f (x) ∈ I }.
The case for I = (−∞, a] is also referred to as the sublevel set M≤a :=
f −1 ((−∞, a]) of f , while M≥a := f −1 ([a, ∞)) is called the superlevel set;
and f −1 (a) is called the levelset of f at a ∈ R.
Given f : M → R, imagine sweeping M with increasing function values

of f . It turns out that the topology of the sublevel sets can only change when
we sweep through critical values of f . More precisely, we have the following
classical result, where a diffeomorphism is a homeomorphism that is smooth
in both directions.
Theorem 1.3. (Homotopy type of sublevel sets) Let f : M → R be a smooth

function defined on a manifold M. Given a < b, suppose the interval levelset
M[a,b] = f −1 ([a, b]) is compact and contains no critical points of f . Then
M≤a is diffeomorphic to M≤b .
Furthermore, M≤a is a deformation retract of M≤b , and the inclusion map
i : M≤a → M≤b is a homotopy equivalence.
As an illustration, consider the example of height function f : M → R

defined on a vertical torus as shown in Figure 1.10(a). There are four crit-
ical points for the height function f , u (minimum), v, w (saddles), and z
(maximum). We have that M≤a is: (i) empty for a < f (u); (ii) homeomor-
phic to a 2-disk for f (u) < a < f (v); (iii) homeomorphic to a cylinder for
f (v) < a < f (w); (iv) homeomorphic to a compact genus-one surface with a
circle as boundary for f (w) < a < f (z); and (v) a full torus for a > f (z).
Theorem 1.3 states that the homotopy type of the sublevel set remains the
same until it passes a critical point. For Morse functions, we can also charac-
terize the homotopy type of sublevel sets around critical points, captured by
attaching k-cells.
Figure 1.10 (a) The height function defined on a torus with critical points u, v,
w, and z. (b)–(f) Passing through an index-k critical point is the same as attaching
a k-cell from the homotopy point of view. For example, M≤a+ε for a = f (v)
(as shown in (d)) is homotopy equivalent to attaching a 1-cell (shown in (c)) to
M≤a−ε (shown in (b)) for an infinitesimal positive ε.
Specifically, recall that Bk is the k-dimensional unit Euclidean ball, and its
boundary is Sk−1 , the (k − 1)-dimensional sphere. Let X be a topological
space, and g : Sk−1 → X a continuous map. For k > 0, attaching a k-cell to
X (w.r.t. g) is obtained by attaching the k-cell Bk to X along its boundary as
follows: first, take the disjoint union of X and Bk , and next, identify all points
x ∈ Sk−1 with g(x) ∈ X . For the special case of k = 0, attaching a 0-cell to X
is obtained by simply taking the disjoint union of X and a single point.
The following theorem states that, from the homotopy point of view, sweep-
ing past an index-k critical point is equivalent to attaching a k-cell to the
sublevel set. See Figure 1.10 for illustrations.
Theorem 1.4. Given a Morse function f : M → R defined on a smooth man-

ifold M, let p be an index-k critical point of f with α = f ( p). Assume
f −1 ([α − ε, α + ε]) is compact for a sufficiently small ε > 0 such that there
are no other critical points of f contained in this interval levelset other than
p. Then the sublevel set M≤α+ε has the same homotopy type as M≤α−ε with a
k-cell attached to its boundary Bd M≤α−ε .
Finally, we state the well-known Morse inequalities, connecting critical

points with the so-called Betti numbers of the domain which we will define
formally in Section 2.5. In particular, fixing a field coefficient, the i-th Betti
number is the rank of the so-called i-th (singular) homology group of a
topological space X .
Theorem 1.5. (Morse inequalities) Let f be a Morse function on a smooth

compact d-manifold M. For 0 ≤ i ≤ d, let ci denote the number of critical
points of f with index i, and βi be the i-th Betti number of M. We then have:
24 1 Basics
d d
(a) ci ≥ βi for all i ≥ 0; and i=0 (−1)i ci = i=0 (−1)i βi (weak Morse
inequality);
(b) ci −ci−1 +ci−2 −· · · ±c0 ≥ βi −βi−1 +βi−2 · · ·±β0 for all i ≥ 0 (strong
Morse inequality).
1.6 Notes and Exercises

A good source on point set topology is Munkres [243]. The concepts of var-
ious maps and manifolds are well described in Hatcher [186]. The books by
Guillemin and Pollack [179] and Milnor [233, 234] are good sources for Morse
theory on smooth manifolds and differential topology in general.
Exercises
1. A space is called Hausdorff if every two disjoint point sets have disjoint
open sets containing them.
(a) Give an example of a space that is not Hausdorff.
(b) Give an example of a space that is Hausdorff.
(c) Show the above examples on the same ground set T.
2. In every space T, the point sets ∅ and T are both closed and open.
(a) Give an example of a space that has more than two sets that are both
closed and open, and list all of those sets.
(b) Explain the relationship between the idea of connectedness and the
number of sets that are both closed and open.
3. A topological space T is called path connected if any two points x, y ∈ T
can be joined by a path, that is, there exists a continuous map f : [0, 1] →
T of the segment [0, 1] ⊂ R onto T so that f (0) = x and f (1) = y. Prove
that a path connected space is also connected but the converse may not be
true; however, if T is finite, then the two notions are equivalent.
4. Prove that for every subset X of a metric space, Cl Cl X = Cl X . In other
words, augmenting a set with its limit points does not give it more limit
points.
5. Show that any metric on a finite set induces a discrete topology.
6. Prove that the metric is a continuous function on the Cartesian space T × T
of a metric space T.
7. Give an example of a bijective function that is continuous, but its inverse
is not. In light of Proposition 1.1, the spaces need to be noncompact.
8. A space is called normal if it is Hausdorff and for any two disjoint closed
sets X and Y , there are disjoint open sets U X ⊃ X and UY ⊃ Y . Show
that any metric space is normal. Show the same for any compact space.
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Carle de Navarre. Et ossi se remaria li dus Jehans de Normendie à
la comtesse de Boulongne, duçoise de Bourgongne. Si se tinrent
toudis lez trieuwez entre le roy de Franche et le roy d’Engleterre ens
ès marcez de Picardie, mès ens ès lontains pays non; car toudis se
herioient il et guerioient en Poito, en Saintonge et sur les frontièrez
d’Acquitaine. Fº 98 vº.
—Ms. de Rome: En celle prope anée trespassa de ce siècle la
roine de France, fenme au roi Phelippe et soer germainne au duch
Oede de Bourgongne. Aussi fist madame Bonne, duçoise de
Normendie, qui fille avoit esté au gentil roi de Behagne. Si furent li
pères et li fils vevés de leurs deus fenmes.
Assés tos apriès se remaria li rois Phelippes de France à madame
Blance, fille au roi de Navare; et aussi se remaria li dus de
Normendie à la contesse d’Artois et de Boulongne, qui veve estoit et
avoit esté fenme à mesire Phelippe de Bourgongne, fil au duch
Oede de Bourgongne.
Et estoit chils mesires Phelippes mors devant Aguillon, ensi que
chi desus il est contenu en nostre histore. Et estoit demorés de li uns
fils qui se nonma Phelippes et morut jones; mès il fu avant mariés à
la fille le conte de Flandres: douquel conte je parlerai assés tos, pour
un tant que il fiança et jura en l’abeie de Berghes en Flandres que il
espouseroit madame Isabiel qui fille estoit au roi d’Engleterre, et
point ne proceda avant ou mariage.
Et estoit ceste contesse d’Artois et de Boulongne, cousine
germainne au duch Jehan de Normendie et conmère deus fois; mais
de toutes ces proismetés dispensa papes Clemens qui resnoit pour
ce temps. Fos 149 vº et 150.
Pour les §§ 321-370,
voir aussi le Supplément aux variantes (note de transcription)
P. 84, l. 23: Oede.—Ms. B 3: Odes. Fº 155 vº.
P. 84, l. 25: demora à Creci.—Ms. B 3: fut tuhé devant Crecy.
P. 84, l. 26: vevés.—Ms. B 3: vefvés.—Ms. B 4: vesvés. Fº 145 vº.
P. 84, l. 29: Argesille.—Ms. B 5: Agresille. Fº 358.
P. 85, l. 2: devant.—Le ms. B 5 ajoute: le chastel.
P. 85, l. 5 et 6: regnoit pour ce temps.—Ms. B 3: presidoit en
sainte eglise.
§ 322. P. 85, l. 7: Vous avés.—Ms. de Rome: Vous avés bien chi

desus oï conter conment Lois, li jones contes de Flandres, fiança,
ensi que je disoie maintenant, la fille au roi d’Engleterre et conment,
malescieusement et par grant avis, il se departi de Flandres et vint
en France, et se tint dalés le roi Phelippe et madame se mère.
De toutes ces coses fu enfourmés li dus Jehans de Braibant. Si
n’en estoit pas courouchiés, mais resjoïs, ensi que chils qui avoit sa
fille à marier; mès bien veoit que à ce mariage par nul moiien il ne
pooit venir, fors par le roi de France. Si envoia li dis dus grans
messages à Paris deviers le roi, en li priant que il vosist consentir
que li jones contes de Flandres espousast sa fille, et il demorroit
dalés lui et bons François à tous jours mès, et feroit tant par force ou
par amours que la conté de Flandres seroit en l’obesance de li, et
aideroit la ville de Calais à recouvrer, et mist moult de belles
proumesses et de grandes avant, pour atraire à ses volentés le roi
Phelippe.
Qant li rois de France se vei priiés et si acertes dou duch de
Braibant, et que si il s’umelioit enviers lui, si se laissa à dire et crei
son consel. Et li fu dit que li dus de Braibant estoit uns grans sires et
de grans pourcas, et que moult il pooit brisier le fait des Alemans par
li et par son pais et moult grever les Flamens; si se acorda à ce
mariage. Et fu li jones contes envoiiés à Arras, et là fu amenée la
fille de Braibant; et là ot grans parlemens et trettiés secrès entre le
duch de Braibant et le jone conte de Flandres et son consel. Et trop
grandement en ce mariage i fu bien gardés li contes de Flandres, car
on fist escrire et seeler au duch de Braibant, pour tant que on le
veoit chaut et desirant à proceder en ce mariage que, se il moroit, la
ville de Malignes et la ville d’Anwiers et toutes les apendances et
signouries par icelles à elles retourneroient à tous jours mès au
conte et as contes de Flandres. Et seela li dus et se obliga si fort par
serement mis et jurés en la main dou roi de France et de ses conmis
et sus tabelionnages publiques, que les couvenances souffirent bien
au conte de Flandres et à son consel. Et parmi tant li mariages se
passa, et espoussèrent en la chité d’Arras; et furent dispensé tout li
article que li contes de Flandres avoit eu et les couvenances au roi
d’Engleterre. Encores fu on tous resjoï de ce que il l’avoit deceu, et
que par malisce il lor estoit escapés. Et dissent li papes et les
cardinaus que bons sens naturels li avoit tout ce fait faire.
Et qant la congnissance en vint au roi d’Engleterre que li dus de
Braibant, qui ses cousins germains estoit, avoit mariet sa fille au
jone conte de Flandres par le moiien dou roi Phelippe et des
François, et devoit avoir grans aliances dou dit duc, parmi ce
mariage faisant, as François, si se contenta moult mal du duc et dist
que jamais il n’aueroit parfaite fiance en li, et porta son anoi au plus
biel que il pot, et dist bien que Lois de Male seroit encores uns
baretères. Fº 150.
P. 85, l. 11: en France.—Mss. B 3 et 4: en Flandres, il se partit de
ses gens et s’en vint en France. Fº 155 vº.
P. 85, l. 14: ou cas que.—Mss. B 3 et 4: veu que.
P. 85, l. 20: tiroit.—Ms. B 3: traictoit.
P. 85, l. 21 et 22: excepté.... Flandres.—Ms. B 3: car le conte de
Haynaut avoit eu l’autre.
P. 85, l. 24: laissier.—Le ms. B 3 ajoute: traicter. Le ms. B 4 ajoute:
passer. Fº 145 vº.
P. 86, l. 6: veroit.—Ms. B 3: feroit.—Ms. B 4: voroit. Fº 146.
P. 86, l. 12: en le main.—Ms. B: au poing.
P. 86, l. 16: li consaulz.—Ms. B 3: les consulz. Fº 156.
P. 86, l. 23: ou cas.—Ms. B 3: ès condicions.
P. 86, l. 27: raroient.—Ms. B 3: recouvreroient.
P. 87, l. 3 et 4: monsigneur.... des Mons.—Ms. B 3: messire
Godefroy, conte de Mons.
P. 87, l. 15 et 16: goy et possessé.—Ms. B 3: joyt et posseda.
P. 87, l. 22: seurent.—Ms. B 3: sauroient.
P. 87, l. 28: briefment.—Ms. B 3: legierement.
P. 87, l. 29: pour le temps de lors.—Ms. B 3: par lors.
P. 88, l. 7: Flandres.—Ms. B 3 ajoute: son filz.
§ 323. P. 88, l. 8: En ce temps.—Ms. de Rome: En ce temps avoit

grant ranqune entre le roi d’Engleterre et les Espagnols, pour
auqunes malles façons et pillages que les dis Espagnols avoient fait
sus mer as Englois. Et avint que dedens cel an li Espagnol, qui
estoient venu en Flandres en lor marceandisses, furent enfourmé
que nullement il ne pooient retourner arrière que par le dangier des
Englois, et que on lor avoit clos la mer par samblant. Li Espagnol
n’en fissent nul compte et parlèrent ensamble à Bruges et aillours là
où il se trouvèrent, et se requellièrent et atendirent l’un l’autre et se
pourveirent moult grandement de tout che qui necessaire estoit pour
li deffendre de chanons, de barriaus de fier aguissiés, d’ars,
arbalestres et d’arbalestriers, et engagièrent plus de chienq cens
Flamens, François et Hollandois. Tout estoient retenu as saudées
gens qui lor venoient.
Qant li rois d’Engleterre, qui avoit ses espies en Flandres, sceut
que poins fu, et que li Espagnol devoient rapasser et retourner en
lors pais, ils se mist sus mer à moult belle gent d’armes, chevaliers
et esquiers, et moult ot de grans signeurs en sa compagnie. En celle
anée avoit il fait et creé son cousin le conte Derbi, duch de
Lancastre, et le baron de Stanfort, conte de Stanfort. Et estoient là
en celle armée avoecques li, à doi fil, li princes de Galles et Jehans,
contes de Ricemont, mais chils estoit encores moult jones; et l’avoit
li princes amené avoecques li pour mostrer les armes, car moult
l’amoit. Là estoient li contes d’Arondiel, li contes de Herfort, li contes
de Norhantonne, li contes de Sasleberi, li contes de Suforc, li contes
de Warvich, messires Renauls de Gobehen, messires Gautiers de
Mauni, mesires Robers de Namur, bien acompagniés de chevaliers
et d’esquiers de son pais, li sires de Basset, messires Thomas de
Hollandes, messires Guis de Briane, li sires de Manne et pluisseurs
aultres que je ne puis pas tous nonmer. Et se tinrent li rois et lors
gens en lor vassiaus tous croissiés sus la mer, atendans les
Espagnols. Fº 150 vº.
P. 88, l. 8: rancune.—Mss. B 3 et 4: hayne. Fº 156.
P. 88, l. 17 et 18: et leurs nefs et leurs vaissiaus.—Ms. B 3: en
leurs navires et vaisseaux. Fº 156 vº.
P. 88, l. 22: leurs emploites.—Ms. B 3: leur exploict.—Ms. B 4:
leurs exploites. Fº 146 vº.
P. 88, l. 25: enhay.—Mss. B 3 et 4: en hayne.
P. 88, l. 29: contre.—Les mss. B 3 et 4 ajoutent: nous.
P. 88, l. 29 et 30: recueilliet.—Ms. B 3: recueilliz.
P. 89, l. 4: d’Exesses.—Ms. B 2: d’Exestre.
P. 89, l. 8: sa femme.—Ms. B 3: sa mère.
P. 89, l. 21: Stanfort.—Ms. B 3: Stafort.
P. 89, l. 22: li princes de Galles.—Ms. B 5: le patriche de Galles.
Fº 359.
P. 89, l. 26: l’amoit.—Ms. B 6: Là estoient avecques luy ses filz le
prinches de Galles, le conte Derby, le conte de Stanfort, le conte de
Norhantone, le conte de Warvich, le conte de Sufort, le conte
d’Askessufort, le conte de Salbry, messire Renault de Gobehen,
messire Gautier de Mauny, messire Jehan Camdos et toute le fleur
des barons et des chevaliers d’Engleterre. Fº 424.
P. 89, l. 31 et 32: Bietremieus de Brues.—Ms. B 3: Bartelemy de
Bruges.—Ms. B 4: Betremieux de Bruhes.—Ms. B 5: Bertelemy de
Bruves.
P. 90, l. 9: n’attenderoient.—Ms. B 3: n’attendirent.
§ 324. P. 90, l. 11: Quant li Espagnol.—Ms. de Rome: Qant li

Espagnol orent fait leur emploite et lor marceandise, et il orent
cargiet lors vassiaus de draps et de toilles, et de tout ce que bon et
pourfitable lor sambloit pour retourner en lor pais, et bien
supposoient que il seroient rencontré des Englois, mais de tout ce il
ne faisoient point grant compte, puis que il estoient pourveu
d’artelerie et de chanons. Et vous di que Espagnols se confient
grandement en lors vassiaus, lesquels il ont grans et fors trop plus
que les Englois n’aient, et tout s’asamblèrent devant l’Escluse. Qant
il veirent que temps fu de departir, et que tout par ordenance il
entendirent à entrer en lors vassiaus, il se desancrèrent et se
departirent tout de une flote et estoient belle compagnie, bien
soissante gros vassiaus, et prissent le parfont et les bendes
d’Engleterre. Et dient li auqun que il s’en fuissent bien alé, se il
vossissent, et que jà il n’euissent eu nul rencontre des Englois; mais
orgoels les surmonta et outrequidance, et quidièrent bien desconfire
le roi d’Engleterre et ruer jus les Englois, et disoient que il estoient
fort assés pour tout cela faire. Toutes fois, il donnèrent au roi
d’Engleterre et à ses gens otant à faire, par hardiment asambler et
combatre, que onques aultres gens li donnassent painne, ensi que je
vous recorderai assés briefment.
Li rois d’Engleterre qui estoit sur mer o tout sa navie, avoit jà
ordonné toutes ses besongnes et devisé conment on se
combateroit; et avoit mesire Robert de Namur fait mestre et
gouvreneur de une nef que on appelloit la Sale dou Roi, là où tous li
hostels dou roi estoit. Et se tenoit li rois d’Engleterre ou chief de sa
nef, vestis d’un noir jaque de veluiel, et portoit sus son chief un noir
chapelet de beveres qui bien li seoit; et estoit adonc, selonch ce que
dit me fu par ceuls qui avoecques lui estoient, ausi joieus que
onques on l’avoit veu. Et fist ses menestrels courner devant li une
danse d’Alemagne que messires Jehans Camdos qui là estoit
presens, avoit nouvellement raporté; et encores par esbatement il
faisoit le dit chevalier chanter avoecques ses menestrès, et prendoit
en ce grant plaisance. Et à le fois regardoit en hault, car il avoit mis
une gette ou chastiel de sa nef, pour anonchier qant li Espagnol
venroient.
Ensi que li rois estoit en ce deduit, et que tout si chevalier estoient
moult liet de ce que il le veoient si joieus, la gaitte qui perchut la
navie des Espagnols venir fillant aval vent, dist: «Ho! je vois une nef
venant, et croi que elle soit d’Espagne.» Lors cessèrent li menestrel,
et fu à la ditte gaitte assés tos apriès demandé se il en veoit plus:
«Oil, respondi il, j’en voi deus et puis trois et puis quatre,» et puis
dist: «Je voi la flote, et s’aprocent durement.» Donc sonnèrent
trompètes ens ès vassiaus, et claronchiaus: grant plaisance estoit à
l’oïr. Et lors se requellierent toutes nefs dou costé le roi d’Engleterre
et se missent en ordenance, ensi comme il devoient aler. Et estoit li
contes de Warvich amirauls de la mer, de par les Englois; et jà estoit
tart qant li Espagnol aprochèrent. Et fist li rois aporter le vin et but, et
tout si chevalier qui en son vassiel estoient; et puis mist li rois le
bachinet en la teste, et aussi fissent tout li aultre. Tantos
aprochièrent li Espagnol, qui bien s’en fuissent alé sans combatre,
se il vosissent; car, selonc che que ils estoient bien freté et en grans
vassiaus, et avoient le vent pour euls, ils n’euissent jà parlé as
Englois, se il vosissent. Mais orgoels et outrequidance les fist traire
avant, et par samblant de grant volenté conmenchier la bataille et
par bonne ordenance. Fos 150 vº et 151.
P. 90, l. 11: emploite.—Ms. B 4: exploite. Fº 146 vº.
P. 90, l. 12: marcheandise.—Ms. B 6: en Flandres, en Haynau et
en Brabant. Fº 424.
P. 90, l. 12 et 13: vaissiaus.—Ms. B 6: dont il avoient plus de cent.
Fº 424.
P. 90, l. 16: ne faisoient il compte.—Ms. B 3: ne faisoient il pas
grant compte. Fº 157.
P. 90, l. 17: l’Escluse.—Ms. B 4: l’Escuze. Fº 147.
P. 90, l. 18: vaissiaus.—Ms. B 6: environ le mois de septembre.
Fº 324.
P. 90, l. 19: artillerie.—Ms. B 3: d’arbalestriers, canons et grandes
coulouvrines. Fº 157.—Mss. B 4 et 5: quarriaux d’arbalestres, de
canons et de grant artillerie.
P. 90, l. 21: tous faitis.—Ms. B 3: expressement.
P. 90, l. 21: effondrer.—Ms. B 3: fondre.
P. 90, l. 22: cailliaux.—Ms. B 3: caillots.
P. 90, l. 29: estramières.—Ms. B 3: estandars.—Ms. B 5:
enseignes. Fº 359.
P. 90, l. 30: ensegnies.—Ms. B 3: signets.
P. 91, l. 5: dix mil.—Ms. B 3: quarante mil.
P. 91, l. 10: vent.—Ms. B 3: tref.
P. 91, l. 10: par devers.—Ms. B 3: pour aller à.
P. 91, l. 17: ses hotelz.—Ms. B 3: son logiz.
P. 91, l. 19: veluiel.—Ms. B 3: vieil veau.—Ms. B 5: vermeil.
Fº 359.
P. 91, l. 20: bièvre.—Ms. B 4: beuvres. Fº 147.—Ms. B 5: beneves.
P. 91, l. 23: menestrelz.—Ms. B 3: menestriers.—Ms. B 4:
menestreux.
P. 91, l. 23: corner.—Ms. B 3: jouer.
P. 91, l. 26: chanter.—Ms. B 4: canter.
P. 91, l. 27 et 28: à le fois.—Ms. B 3: aucunes fois.
P. 91, l. 28: gette.—Ms. B 3: gaitte.—Ms. B 4: guette.
P. 91, l. 29: noncier.—Ms. B 3: annuncier.—Ms. B 4: nonchier.
P. 92, l. 3: li gette.—Ms. B 6 ajoute: qui estoit sur la hune. Fº 245.
P. 92, l. 16: flote.—Là estoit messire Robert de Namur qui fu
ordonnés de par le roy d’Engleterre à estre mestre de se salle.
Fº 425 vº.
P. 92, l. 24: vosissent.—Ms. B 3: eussent volu. Fº 157 vº.
§ 325. P. 92, l. 29: Quant li rois.—Ms. de Rome: Qant li rois

d’Engleterre qui estoit en sa nef, en vei la manière, si fist adrechier
son vassiel contre une nef espagnole qui venoit tout droit viers li, et
dist à celi qui gouvrenoit sa nef. «Adrèce nous à celi qui vient, car je
voel jouster à lui.» Et chils le fist. Si se encontrèrent de grant randon
les deus nefs, car elles estoient grandes et fortes et bien esquellies;
et fu mervelles que elles ne se esquartelèrent dou cop que elles se
donnèrent. Li mas de la nef dou roi à tout le chastiel consievi le
chastiel de la nef espagnole où dedens il avoit douse hommes. Li
chastiaus fu rompus et les hommes volés en la mer et noiiés.
Et la nef dou roi fu croqie et faisoit aige tant que li chevalier dou roi
s’en perchurent, mais point ne le dissent encores au roi, et
s’ensonniièrent les auquns à le widier. Donc regarda li rois la nef
contre qui il avoit jousté, et li plaisi grandement et dist: «Acroqons
nous à celle nef et entrons dedens; elle est plus forte que la nostre.»
Donc respondirent si chevalier: «Sire, laissiés le aler, vous en auerés
une millour.» Ceste nef espagnole passa oultre; une aultre vint, qui
estoit grose et belle et bien garnie. Si acroqièrent li chevalier lor nef
à ceste à cros et à chainnes de fier.
Lors se conmença bataille forte et fière durement et archiers à
traire as Espagnols, et Espagnols au traire et lanchier de grande
volenté et non pas tant seullement en un lieu, mais en vint ou en
trente. Et se acroqoient les nefs unes as aultres pour euls mieuls
combatre. Et vous di que les Englois ne l’avoient pas d’avantage; car
Espagnols jettoient pières de faix et grans barriaus de fier dont il
estoient bien pourveu, car lors nefs estoient hautes: si avoient grant
avantage à euls bien deffendre.
La nef Espagnole où li rois d’Engleterre et si chevalier estoient
acroquiet fut moult bien deffendue, tant que elle pot durer; mais
finablement elle fu conquise, et tout mis à bort chil qui dedens
estoient. Et entrèrent dedens li rois et si chevalier, et les varlès
entendirent à widier lors coses de la nef croqie et remetre en ce fort
vassiel; et qant elle fu toute widie, il le descroqièrent et le laissièrent
aler à l’enventure. Je croi bien que elle se esfondra quelque part, car
elle traioit moult fort aige, et riens n’en savoit li rois.
Se li dissent si chevalier, et le peril où il avoit esté, puis
entendirent à aler avant et à combatre lors ennemis les Espagnols
qui se combatoient durement bien et ne faisoient nul compte des
Englois, à che que il moustroient; et avoient arbalestriers qui
traioient quariaus de forts arbalestres, et ce travilloient moult les
Englois. Fº 151.
P. 93, l. 6: loiie.—Ms. B 3: lyée.
P. 93, l. 9: uns tempestes.—Ms. B 3: la tempeste y fust tumbée.
P. 93, l. 10: dou rebombe.—Ms. B 3: du rebonst.
P. 93, l. 11: consievi.—Ms. B 4: consivi. Fº 147 vº.—Ms. B 3:
confondit.
P. 93, l. 14: mer.—Ms. B 6: et ot plus de quatorze hommes qui
dedens estoient, qui furent tout noiés. Fº 426.
P. 93, l. 17: crokie.—Ms. B 3: acrochée.
P. 93, l. 19: widier.—Ms. B 4: huidier.
P. 93, l. 20: espuisier.—Le ms. B 3 ajoute: l’eaue.
§ 326. P. 94, l. 26: Ceste bataille.—Ms. de Rome: Ceste bataille
sus mer des Espagnols et des Englois fu moult dure; car ces deux
nations sont toutes gens marins et qui bien sèvent conment on s’i
doit et poet maintenir. Mais elle conmença trop tart; car se li
aventure euist donné que dou matin avoecques la marée il se
fuissent trouvé, avant que il euist esté tart, il euissent fait plus grant
conquest l’un sur l’autre, que il ne fesissent.
Li jones princes de Galles et chil de sa carge se combatoient bien
en sus et avoient lors nefs acroquies à vassiaus espagnols où moult
avoit de fors hommes et de durs, qui grant fuisson faisoient
d’appertisses. Et fu la nef dou prince tellement fourmenée de grans
barriaus de fier aguissiés que li Espagnol lançoient contre les
assielles, que elle fu petruissée en trois ou quatre lieues et rendoit
grant aige; et ne l’en pooient garder chil qui i entendoient, dont il
estoient tout esbahi, car la nef apesandisoit fort.
Li dus de Lancastre, assés priès de là, se combatoit à Espagnols
et oy criier en englois: «Rescouse, rescouse au prince de Galles!» Si
dist à ses chevaliers: «Alons deviers mon cousin le prince; je voi
bien que il a à faire.» Donc chil qui tenoient le gouvrenal de sa nef,
le fissent tourner à force, et li aultre estendirent lor single
contremont; et tout combatant, vosissent ou non li Espagnol, il
vinrent jusques à la nef du prinche que li Espagnol tenoient à
dangier. Et qant li dus fu venus, li prinches sailli en sa nef; et aussi
fissent tout si chevalier, et là se combatirent et moult longement à
ces deus nefs espagnoles: desquelles li une fu conquise par bien
combattre et tout chil mis à bort qui dedens estoient, et li aultre se
sauva et s’en ala à plain voille sans damage. Fº 151.
P. 94, l. 28 et 29: se prendoient.... de.—Ms. B 3: se prenoient à.
Fº 158.
P. 94, l. 30: usé de mer.—Ms. B 3: expers sur mer.
P. 95, l. 1 et 2: de sa carge.—Ms. B 3: soubz sa carge.
P. 95, l. 5: pertruisie.—Ms. B 3: persée.—Ms. B 4: pertrausie.
Fº 147 vº.
P. 95, l. 11: espagnole.—Les mss. B 3 et B 4 ajoutent: qui estoit
acrochée (B 4: acroquie) à la leur.
P. 95, l. 14: li dus de Lancastre.—Ms. B 6: le conte Derby. Fº 427.
P. 95, l. 14: arifflant.—Ms. B 3: astivement.—Ms. B 5: riflant.
Fº 359 vº.
P. 95, l. 18: s’arresta.—Ms. B 3: s’acrocha.—Ms. B 4: s’acroka.
§ 327. P. 95, l. 27: D’autre part.—Ms. de Rome: D’autre part, se

combatoient li baron et li chevalier d’Engleterre, casquns en son
vassiel et ordonnenche, ensi que à faire apertenoit. Et bien
couvenoit que il fuissent fort et remuant et de grant emprise, car il
trouvèrent dure gent et qui petit les prisoient. Toutes fois, qant il les
orent assaiiés et veirent et congneurent que tant de vaillans hommes
i avoit, il se combatoient en passant ensi comme l’escoufle vole; et
ne retournoient point, puis que il avoient fait lor emprise.
Messires Robers de Namur estoit mestres de la Salle dou Roi, et
avint que deus groses nefs espagnoles le vinrent environner et le
conmenchièrent à asalir et l’acroqièrent de fait et de force; et
l’enmenoient et euissent menet sans dangier, qant chil qui dedens
estoient conmenchièrent à criier en hault: «Rescoués, rescoués la
Sale dou Roi!» La vois fu oïe, et vinrent li sires de Biaumont en
Engleterre et li sires de Basset à la rescouse.
Encores i ot fait une grande apertise d’armes des uns des varlès
au dit mesire Robert; car, qant il vei que lor nef estoit acroqie et que
li aultre nef l’enmenoit aval, l’espée toute nue en sa main, il salli de
sa nef en la nef espagnolle et vint coper les mestres cordes qui
gouvrenoient le single: par quoi il chei aval, et ne pot la nef aler plus
avant. Et par ensi vinrent li desus nonmé chevalier et lors gens tout
à point à la rescouse; et furent ces deus nefs espagnolles assallies
de grant manière et conquises, et tout mis à bort chil qui dedens
estoient. Fº 151 vº.
P. 95, l. 29: besongnoit.—Le ms. B 3 ajoute: car on les gardoit
bien de sejourner. Fº 158.
P. 96, l. 5: estour.—Ms. B 3: esfort.
P. 96, l. 14: dou mestriier.—Ms. B 3: du maistre.
P. 96, l. 22 et 23: s’escueilla et salli en.—Ms. B 3: entra dedens.
P. 96, l. 24: cable.—Ms. B 5: chable. Fº 359 vº.
P. 96, l. 24: le voile.—Ms. B 6: le single. Fº 427.
P. 96, l. 31: cel avantage.—Ms. B 3: ceste aventure. Fº 158 vº.
§ 328. P. 97, l. 4: Je ne puis.—Ms. de Rome: Moult de apertisses

d’armes se fissent en pluisseurs lieus, lesquels ne vinrent pas tous à
congnisance. Che soir furent les envaïes et batailles fortes des
Espagnols as Englois sus la mer; et en i ot grant fuisson de mors et
de bleciés, de une part et d’aultre, et plus assés des Espagnols que
des Englois, ensi comme il fu apparans, car il i laissièrent quatorse
nefs et les hommes et l’avoir qui dedens estoient. Et qant il veirent
que les Espagnols estoient tous passés, car, que bien vous sachiés,
tous n’asamblèrent pas, il tournèrent les singles viers Engleterre et
vinrent prendre terre en Exsesses.
La roine d’Engleterre estoit logie en une abbeie en Exsesses et
avoit ses varlès devant envoiiés, pour oïr nouvelles de son signeur le
roi et de ses enfans, et sçavoit bien que à celle heure là il se
combatoient. Si estoit en orissons à Dieu que il lor vosist donner et
envoiier victore. Nouvelles li vinrent que li rois et si doi fil, li princes
et li contes de Richemont, venoient et que la besongne avoit esté
pour euls: si en fu grandement resjoïe et fist tantos alumer fallos et
tortis et widier gens à force pour aler contre son signour et ses
enfans et les aultres qui venoient, qui mieuls mieuls, car là où il
estoient arrivet, il n’i a ne port ne haverne accoustumé d’ariver, fors
à l’aventure.
Quant li rois vint en l’abeie où la roine estoit, il pooient estre bien
deus heures en la nuit; si se conjoïrent grandement, ce fu raisons.
Le plus des signours et des hommes demorèrent en lor navie, toute
la nuit, et se aisièrent de che que il orent; mais li rois fu dalés la
roine. Et à l’endemain si menestrel furent revesti, par cause de
nouvelleté, de cotes de draps de Valenchiennes que li Espagnol en
remenoient en lors pais, Flaiolet de Chimai, Jehan et Perrin de
Savoie. Quant ce vint à l’endemain, tout li baron et li chevalier, qui à
la besongne avoient esté, vinrent deviers le roi et l’abeie. Si les
requellièrent liement et doucement li rois et la roine et les
remerciièrent dou bon service que fait avoient; et puis prissent
congiet, et retourna casquns en son lieu. Et li rois et la roine se
departirent et vinrent à Londres. Fos 151 vº et 152.
P. 97, l. 4: tous.—Ms. B 3: tout. Fº 158 vº.
P. 97., l. 7: aspre.—Ms. B 6: car sur mer Espaignos sont malle
gent et ont grans vasseaulx et fors, et chil bateaulx estoient tout à
l’eslite et bien proveus d’artillerie. Et jettoient en passant ou en
arestant et en combatant chil Espaignos de leurs nefs grande[s]
pières de fais et gros baraulx de fer. Fº 428.
P. 97, l. 15: Wincenesée.—Ms. B. 3: Vincestre.—Ms. B 5:
Wincenesse. Fº 360.
P. 97, l. 17: princes.—Le ms. B 3 ajoute: de Galles.
P. 97, l. 24: Espagnolz.—Ms. B 6: car madame d’Engleterre et son
hostel estoit en le conté d’Exesses, en l’abeie de Liaus. Fos 424 et
425.
P. 97, l. 31: reviel.—Ms. B 3: reveil.—Ms. B 4: revel. Fº 148 vº.
P. 97, l. 16 à p. 98, l. 6: A celle.... soy.—Cet alinéa manque dans le
ms. B 5, fº 360.
§ 329. P. 98, l. 7: Vous avés.—Ms. de Rome: Vous avés bien ichi

desus oy recorder conment Ainmeris de Pavie, uns Lombars, deubt
rendre et livrer as François le chastiel et la forte ville de Calais, et
comment il en chei à ceuls qui là alèrent, et qui la marceandise
avoient pour cachiet.
Messires Joffrois de Carni, pour ce temps, se tenoit à Saint Omer
et entendi que chils Lombars desus nonmés estoit amasés en une
petite belle maison non pas trop forte dalés Calais, que li rois
d’Engleterre li avoit donnet, laquelle maison on nonmoit Fretun, et se
donnoit là dou bon temps, et avoit en partie moult de ses deduis, car
il avoit une très belle damoiselle, fenme englesce, en sa compagnie.
Et ne quidoit pas que jamais il deuist oïr nouvelles des François;
mais si fist, car messires Joffrois de Carni ne pooit oubliier la traison
que chils Ainmeris de Pavie li avoit fait. Qant il senti que il estoit là
arestés, il fist secretement un mandement des chevaliers et esquiers
de là environ et prist tous les arbalestriers de Saint-Omer, et se
partirent de nuit, et cevauchièrent tant que, droit sus le point dou
jour, il vinrent à Fretun et l’environnèrent.
Qant ce vint au cler jour, chil qui le chastiel gardoient, veirent gens
d’armes et arbalestriers tous apparilliés environ euls pour asalir. Si
furent tout esbahi, et le nonchièrent tantos à lor mestre en disant:
«Sire, avisés vous. Vechi les François qui vous sont venu à ce matin
veoir, et sont plus de cinq cens. Et est messires Joffrois de Carni, ce
nous est avis, chiés de ceste assamblée, car nous avons veu sa
banière de geulles à trois esquçons d’argent.»
Qant messires Ainmeris de Pavie oy parler de messire Joffroi et
des François, se li revinrent toutes angousses au devant; et li ala
souvenir dou vendage que fait avoit dou chastiel de Calais, et les
avoit decheus. Si ne sceut que dire et se leva tantos, car à celle
heure, il estoit encores en son lit dalés son amie qui si belle estoit
que à mervelles; et dist en li levant: «Margerite, je croi bien que
nostre compagnie se desfera, car je n’ai pas chastiel pour moi tenir
tant que fuisse confortés.» La damoiselle à ces mos conmença
moult tendrement à plorer; li chevaliers se leva et vesti et arma et fist
armer ses varlès, et tout compté ils n’estoient que euls douse. Lor
deffense ne dura point longement, car il y i avoit là bien cent
arbalestriers et cinq cens hommes.
Tantos li maison de Fretun fu prise, et messire Ainmeris de Pavie
dedens, et la damoiselle aussi, et tout amenèrent à Saint Omer. Et là
fut decolés li dis Lombars et mis en quatre quartiers as portes: et les
auquns des varlès au dit Ainmeri furent pendut, et li aultre non. La
damoiselle n’ot garde: li signeur en orent pité; aussi elle n’estoit en
riens coupable de ce fait. Et le rouva uns esquiers de là environ,
lequel on nonmoit Robert de Frelant: on li donna; et demora depuis
avoecques li, tant que elle vesqi. Fº 152.
P. 98, l. 18 et 19: cilz Lombars estoit amasés.—Ms. B 3: ces
Lombars estoient assemblez. Fº 158 vº.
P. 98, l. 20: Fretin.—Mss. 3 à 5: Fretun.
P. 99, l. 12: mesnies.—Ms. B 3: serviteurs. Fº 159.
P. 99, l. 13: le friente.—Ms. B 3: le bruit.—Ms. B 5: la frainte.
Fº 360.
P. 99, l, 16: entente.—Ms. B 3: diligense.
P. 99, l. 19: à mains.—Ms. B 3: pour le moins.
P. 99, l. 26: ens ou marchiet.—Ms. B 3: dedens le marché.
P. 99, l. 29: le descoupa.—Ms. B 3: la descoulpa.
§ 330. P. 100, l. 1: En l’an.—Ms. de Rome: En l’an de grace

Nostre Signeur mil trois cens quarante neuf, alèrent li penant et
issirent premierement d’Alemagne; et furent honmes liquel faisoient
penitances publiques, et se batoient d’escorgies à neus durs de quir
farsis de petites pointelètes de fier. Et se faisoient li auqun entre
deus espaules sainier moult vilainnement; et auqunes sotes fenmes
avoient drapelès apparilliés, et requelloient ce sanc et le metoient à
lors ieuls et disoient que c’estoit sans de miracle. Et chantoient, en
faisant lors penitances, cançons moult piteuses de la Nativité Nostre
Signeur et de sa sainte souffrance.
Et fu emprise ceste penitance à faire pour faire priière à Dieu pour
cesser la mortalité, car en ce temps de la mort ot boce et epedimie.
Les gens moroient soudainnement, et morurent bien en ce temps
par univers monde, la tierce partie dou peuple qui pour lors
resgnoient. Et ces penans des quels je parloie maintenant, aloient
de ville en ville et de chité en chité par compagnies, et portoient sus
leurs chiés lons capiaus de fautre, casqune compagnie de une
coulour. Et ne devoient par droit estatut et ordenance dormir en une
ville que une nuit, et avoient terme d’aler: trente trois ans et demi ala
Dieus Jhesu Cris par terre, ensi que les saintes Escriptures
tesmongnent; et il alèrent casqune compagnie trente trois jours et
demi, et adonc ils rentroient ens ès villes et chités ou chastiaus dont
il estoient issu. Et ne despendoient point fuisson dou lour sus lors
journées faisans; car les bonnes gens des villes et chités où il
s’enbatoient les prioient de disner et de souper. Et ne gisoient que
sus estrain, se force de maladie ne lor faisoit faire. Et qant il
entroient dedens la maison des gens, là où il devoient disner ou
souper, il se mettoient en genouls devant le suel par humelité et
disoient trois fois la patre nostre et Ave Marie, et ensi et en tel estat
qant il s’en departoient. Moult de belles paix se fissent, les penans
alans entre les honmes, tant que de cas d’ocisions liquel estoient
avenu et desquels cas en devant on ne pooit venir à paix; mais par
le moiien de l’afaire des penans on en venoit à paix.
En lors ordenances avoit plusieurs coses assés raisonnables et
traitables et là où nature humainne s’enclinoit que de l’aler ou voiage
et de faire la penitance, mais point n’entrèrent ens ou roiaulme de
France, car papes Innocens qui pour ce temps resgnoit et qui en
Avignon se tenoit, et li cardinal considerèrent cel afaire et alèrent au
devant trop fort, et proposèrent à l’encontre de ces penans que
penitance puble et prises de li meismes n’estoient pas licite ne
raisonnable. Et furent esquemeniiet de lor fait, et par especial le
clergiet qui avoecques euls estoit et s’acompagnoit. Et en furent
pluisseurs curet, chanonne et capelain, qui lor oppinion tenoient,
privet de lor benefisce; et qui absolution voloit avoir, il le couvenoit
aler querir en Avignon. Si se degasta ceste ordenance et ala toute à
noient, qant on vei que li papes et li rois de France lor estoit
contraires et rebelles, et ne passèrent point oultre Hainnau; car se il
fuissent alé à Cambrai ou à Saint Quentin, on lor euist clos au
devant les portes.
Si tretos que ces penans aparurent et que les nouvelles en
vinrent, li sexste des Juis considerèrent et imaginèrent lors
destructions, et avoient sorti plus de deus cens ans en devant et dit
par figure: «Il doivent venir chevaliers qui porteront mailles de fier et
seront moult crueuls; mais il n’aueront point de chiefs, et ne
s’estenderont point lors poissanches ne lors oeuvres hors de
l’empire d’Alemagne; mais qant il seront venu, nous serons tous
destruis.» Lors sors averirent, car voirement furent en che temps
tous les Juis destruis, et plus en un pais que en aultre; car li papes, li
rois d’Espagne, li rois d’Arragon et li rois de Navare en requellièrent
grant fuisson et les tinrent à treu desous euls. Fº 152.
P. 100, l. 2: peneant.—Ms. B 4: penant. Fº 149.—Ms. B 3:
penitens. Fº 159.—Ms. B 5: penitanciers. Fº 360.
P. 100, l. 3: d’Alemagne.—Ms. B 6: et resgnèrent ens ès marches
de Flandres, de Hainau et de Brabant et n’entrèrent oncques ou
royalme de Franche, car li eglise leur fu contraire pour tant que il
avoient empris ceste cose à faire sans le seut de leur prelas et de
leurs curés. Fº 429.
P. 100, l. 4: se batoient.—Ms. B 6: d’escorgies de cuir, à neuls de
cuir, à pointe de fer. Fº 429.
P. 100, l. 4: d’escorgies.—Ms. B 5: d’escorgées.
P. 100, l. 14: humilité.—Les mss. B 3 et 4 ajoutent: et couvenance.
P. 100, l. 21: par.—Le ms. B 3 ajoute: aucuns.
P. 100, l. 26: vaille.—Ms. B 3: valeur.
P. 100, l. 27: de raison.—Ms. B 3: et raisons.
P. 101, l. 3: èles.—Ms. B 3: alles. Fº 159 vº.—Ms. B 5: esles.
Fº 350 vº.
P. 101, l. 3: pape.—Ms. B 6: car li eglise ne trouve mies que on les
deuist mettre à mort, pour tant que il seroient saulvés se il se
volloient retourner à no foy. Fº 430.
P. 101, l. 5: à là.—Ms. B 3: en Avignon.
P. 101, l. 5: garde de mort.—Ms. B 3: point paour de mourir.
P. 101, l. 6: sorti.—Ms. B 3: deviné par leur sort. Fº 159 vº.
P. 101, l. 9: exposition.—Ms. B 5: oppinion.
§ 331. P. 101, l. 12: En l’an.—Ms. d’Amiens: En l’an de grace

Nostre Seigneur mil trois cens cinquante, trespassa de ce siècle li
roys Phelippes; si fu tantost couronnés li dus de Normendie sez filz,
à grant solempnité, en le chyté de Rains, et fist grace à ses deux
cousins germains, monseigneur Jehan d’Artois et monseigneur
Carle, que li roys, ses pères, avoit tenu en prison bien seize ans et
plus; et les mist dallés li et avança grandement. Fº 98 vº.
—Ms. de Rome: En l’an de grace Nostre Signeur mil trois cens et
cinquante, trespassa de ce siècle li rois Phelippes de France, et fu
enseupelis à grant solempnité en l’abeie de Saint Denis en France.
Et puis fu Jehans, ses ainnés fils, dus de Normendie, rois, et sacrés
et couronnés en l’eglise de Nostre Dame de Rains à très haute
solempnité. Tantos apriès son couronnement, il s’en retourna à Paris
et entendi à faire ses pourveances et ses besongnes, car les
trieuwes est[oient[301]]. Fº 152 vº.
P. 101, l. 19: pourveances.—Ms. B 3: provisions. Fº 160.
P. 101, l. 26: la langue d’och.—Ms. B 3: ce bon pais de
Languedoc.
P. 101, l. 29: l’Angelier.—Ms. B 3: d’Angely.—Ms. B 4: l’Anglier.
Fº 149.
P. 102, l. 3 et 4: cousins germains.—Ms. B 6: cousins germain[s]
ossi as enfans de Haynau, as enfans de Blois et as enfans de
Namur. Fº 430.
P. 102, l. 5 et 6: plus de quinze ans.—Ms. B 3: par l’espace de
quinze ans.
P. 102, l. 12: Jakeme.—Ms. B 3: Jacques.—Ms. B 4: Jaqme.
Fº 149 vº.
P. 102, l. 13 et 14: les plus.... conseil.—Ms. B 5: lez lui et à son
especial conseil. Fº 360 vº.
P. 102, l. 16: providense.—Mss. B 3 et 4: prudence.
P. 102, l. 19: Avignon.—Les mss. B 3 à 5 ajoutent: et se logea à
Villenove dehors Avignon.
P. 102, l. 21: là.—Ms. B 6: environ six sepmaines. Fº 431.
P. 102, l. 23: plus de quinze.—Ms. B 3: quinze.
P. 102, l. 23: jours.—Ms. B 6: puis ala à Besiers, puis à Nerbonne,
puis à Carquasonne, puis à la bonne cité de Toulouse. Fº 431.
P. 102, l. 28: en osta.—Ms. B 3: deposa.—Ms. B 6 ajoute: Sy s’en
revint par Roherge, par Limosin et par le pais de Brie et de là arière
en Franche. Fº 431.
P. 103, l. 3 et 4: d’Espagne.—Ms. B 6: filz à messire Lois
d’Espaigne qui tant avoit esté bons chevaliers en Bretaigne. Fº 431.
P. 103, l. 5 et 6: d’Audrehen.—Ms. B 6: En ceste meisme année, il
envoia ses deux marisaulx, monsigneur Edouart, signeur de
Bieaugeu et monsigneur Guy de Nelle et grand foison de bons
chevaliers de Franche et de Poitou et de Saintonge par devant Saint
Jehan d’Angely. Fº 431.
P. 103, l. 7: nouveleté.—Ms. B 3: nouvelle venue.—Ms. B 4:
nouvelle arivée. Fº 149 vº.
P. 103, l. 19: hostel.—Le ms. B 3 ajoute: et les provisions qu’ilz
avoient. Fº 160 vº.
§ 332. P. 103, l. 27: Quant.—Ms. d’Amiens: Quant chil de le ville

Saint Jehan l’Angelier se virent asegiet dou roy de Franche et que
nulx comfors de nul costé ne leur aparoit, si en furent durement
esbahy, et envoiièrent messaigez en Engleterre deviers le roy, en
priant que il lez volsist secourir et comforter, car il en avoient grant
mestier. Tant esploitièrent li messaige qu’il vinrent en Engleterre
deviers le roy, et li moustrèrent les lettrez qu’il portoient de par ses
gens de le ville de Saint Jehan.
Quant li roys oy ces nouvelles, si dist que vollentiers les
recomforteroit il, car c’est raisons. Si coumanda à messire Jehans
de Biaucamp et à pluisseurs autrez qu’il se volsissent traire de celle
part. Dont se pourveirent messires Jehans de Biaucamp et si
compaignon, se partirent d’Engleterre et nagièrent tant par mer qu’il
arrivèrent à Bourdiaux. Si se rafreskirent là, et priièrent au seigneur
de Labreth, au signeur de Lespare, au signeur de Pumiers, au
signeur de Muchident et as autres Gascons, qu’il se volsissent
appareillier de aller avoecq lui aidier à rafreschir le ville de Saint
Jehan, et que li roys d’Engleterre, leurs sirez, leur mandoit.
Chil seigneur furent tout appareilliet à l’ordonnanche de
monseigneur Jehan de Biaucamp, et se pourveirent tost et
hasteement, et se departirent de Bourdiaux. Si estoient en nombre
cinq cens armures de fier, quinze cens archiers et troi mil bidaus, et
assamblèrent grant fuisson de bleds, de vins et de chars salléez tout
en soummiers, pour rafreschir chiaux de Saint Jehan, et
chevaucièrent en cel arroy tant qu’il vinrent à une journée priès de
Saint Jehan.
Nouvellez vinrent en l’ost des Franchois que li Englès venoient
rafrescir le ville de Saint Jehan. A ce donc estoit retrais li roys
Jehans à Poitiers, et avoit laissiet ses gens et ses marescaux là au
siège. Si eurent consseil li Franchois que une partie de leurs gens
iroient garder le pont de le rivierre de Charente, et li autre
demoroient au siège. Si se partirent messires Guis de Neelle,
marescaux de France, li sires de Pons, li sires de Parthenay, li sires
de Tannai Bouton, li sires d’Argenton, messires Guichars d’Angle et
bien quatre cens chevaliers, et estoient bien mil hommes d’armes,
de bonne estoffe. Si se avanchièrent et vinrent desoubz
Taillebourcq, au pont de le Charente, tout premiers, ainschois que li
Englès y pewissent venir. Si se logièrent bien et biel sus le rivierre et
furent signeur dou pont.
A l’endemain au matin, vinrent là li Englèz et li Gascon qui furent
tout esbahi quant il virent là ces seigneurs de France là logiés enssi,
et perchurent bien qu’il estoient decheu et qu’il avoient falli à leur
entente. Si se consillièrent grant temps, car à envis retournoient, et
envis sus le pont se mettoient. Tout consideré il se missent au retour
et fissent touttes leurs pourveanches et leurs soummiers retourner.
Quant chil seigneur de France en virent le mannière et que li
Englèz s’en ralloient: «Or tos passons le pont; car il nous fault avoir
de leurs vitailles.» Dont passèrent il outre communaument à grant
esploit, et toudis s’en alloient li Englès. Quant il furent tout oultre et li
Englès en virent le mannierre, si dissent entr’iaux: «Nous ne
demandons autre cose; or tos allons les combattre.» Lors se missent
il en bon arroy de bataille, et retournèrent tout à ung fès sur les
Franchois.
Là eut de premières venuez grant hurteis et fort lanceis, et maint
homme reverssé par terre. Finablement, li Englès et li Gascon, par
leur proèche, obtinrent le place. Et furent là desconfi li Franchois,
tout mort et tout pris; oncquez homme d’onneur n’en escappa. Si
retournèrent li dit Englès et Gascon deviers Bourdiaux à tout ce
gaaing, et en remenèrent arrierre leur pourveanches. Fos 98 vº et 99.
P. 104, l. 7: Biaucamp.—Ms. B 3: Beaumont. Fº 160 vº.
P. 104, l. 8: Byaucamp.—Mss. B 3 à 5: Beaumont.
P. 104, l. 9: Jame.—Ms. B 3: Jehan.
P. 104, l. 10: Brues.—Ms. B 3: Bruges.—Ms. B 4: Bruhes.
Fº 149 vº.—Ms. B 5: Bruues. Fº 360 vº.
P. 104, l. 29: havene.—Ms. B 3: havre.
P. 104, l. 30: kay.—Ms. B 3: chays.
P. 105, l. 7: Blaves.—Ms. B 3: Blaye.—Ms. B 4: Bloves. Fº 150.

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Computational Topology for Data

Analysis Tamal Krishna Dey

Algebraic Foundations for Applied Topology and Data

Computational Methods and Data Analysis for

Applied Modeling Techniques and Data Analysis 1:

Basic Computational Techniques for Data Analysis: An

The Christoffel Darboux Kernel for Data Analysis

Basic Analysis V: Functional Analysis and Topology 1st

Healthcare Data Analytics and Management Advances in

Tensor Computation for Data Analysis Yipeng Liu

TA M A L K R I S H N A D E Y is Professor of Computer Science at Purdue University.

Y U S U WA N G is Professor in the Halıcıoğlu Data Science Institute at the University

“This book provides a comprehensive treatment of the algorithmic aspects

Cambridge University Press is part of the University of Cambridge.

2.5.3 Singular Homology 54

4 General Persistence 112

5 Generators and Optimality 148

5.1.2 Optimal H1 (K )-Basis and Independence Check 155

6 Topological Analysis of Point Clouds 178

7 Reeb Graphs 207

8 Topological Analysis of Graphs 233

10.4.3 Theoretical Guarantees 309

13 Topological Persistence and Machine Learning 389

We make sense of the world around us primarily by understanding and study-

1 Yes, according to Disney movies.

0 200 400 600 800 0 500 1000 1500

FILTER COLOR SCALE

generalizes the classic algebraic structure of homology groups to the mul-

Topology, mainly algebraic topology, is the fundamental mathematical subject

1.1 Topological Space

The expression “rubber-sheet topology” commonly associated with the term

Definition 1.1. (Topological space) A topological space is a point set T

First, we give examples of topological spaces to illustrate the definition

(a) (b) (c)

We now present some more definitions that will be useful later.

Definition 1.2. (Closure; Closed sets) A set Q is closed if its complement

U = {∅, {1}, {5}, {1, 5}, {1, 5, 7}}.

Definition 1.5. (Connected) A topological space (T, T ) is disconnected if

The topological space in Example 1.1 is connected. However, the topolog-

Definition 1.6. (Cover; Compact) An open (closed) cover of a topological

Definition 1.7. (Quotient topology) Given a topological space (T, T ) and an

1.2 Metric Space Topology

Definition 1.8. (Metric space) A metric space is a pair (T, d) where T is

● d( p, q) = 0 if and only if p = q for all p ∈ T;

Definition 1.10. (Limit point) Let Q ⊆ T be a point set. A point p ∈ T is a

In other words, there is an infinite sequence of points in Q that gets succes-

Definition 1.11. (Connected) A point set Q ⊆ T is called disconnected if Q

point in U that is a limit point of V , and no point in V that is a limit point of U .

Definition 1.12. (Closure; Closed; Open) The closure of a point set Q ⊆ T,

Definition 1.13. (Boundary; Interior) The boundary of a point set Q in a met-

For example, Bd [0, 1] = {0, 1} = Bd (0, 1) and Int [0, 1] = (0, 1) =

Definition 1.14. (Bounded; Compact) The diameter of a point set Q is

In the Euclidean space Rd we can use the standard Euclidean distance as

The topological spaces that are subspaces of a metric space such as Rd

1.3 Maps, Homeomorphisms, and Homotopies

Definition 1.15. (Continuous function; Map) A function f : T → U from the

Definition 1.16. (Embedding) A map g : T → U is an embedding of T into U

A topological space can be embedded into a Euclidean space by assigning

Definition 1.17. (Homeomorphism) Let T and U be topological spaces. A

Homeomorphism induces an equivalence relation among topological spaces,

(a) (b) (c)

Definition 1.18. (Isotopy) An isotopy connecting two spaces T ⊆ Rd and

Rd × [0, 1] → Rd such that ξ(·, 0) is the identity function on Rd , ξ(T, 1) = U,