In this post we’re going to complete the proof of case zero and continue the proof of case one. In the last two posts we managed to prove:
Theorem 1 Let
be a nonstandard natural, and let
be a monic polynomial of degree
on
with all zeroes in
. Suppose that
is a zero of
such that:
- Either
or
is infinitesimal, and
has no critical points on
.
Let
be a random zero of
and
a random critical point of
. Let
be the expected value of
. Let
be a complex number outside some measure zero set and let
be a contour that misses the zeroes of
,
. Then:
.
.
- One has
and
- One has
and
- One has
and
- One has
and
Moreover,
- If
is infinitesimal (case zero), then
are identically distributed and almost surely lie in
Moreover, if
is any compact set which misses
, then
so
is infinitesimal in probability.
- If
is infinitesimal (case one), then
is uniformly distributed on
and
is almost surely zero. Moreover,
We also saw that Sendov’s conjecture in high degree was equivalent to the following result, that we will now prove.
Lemma 2 Let
be a nonstandard natural, and let
be a monic polynomial of degree
on
with all zeroes in
. Let
be a zero of
such that:
- Either
is infinitesimal (case zero), or
- There is a standard
such that
(case one).
If there are no critical points of
in
, then
.
1. Case zero
Now we prove case zero — the easy case — of Lemma 2.
Suppose that is infinitesimal. In this case,
are identically distributed and almost surely are
.
Lemma 3 There are
such that for every
,
uniformly.
Proof: Since is supported in
,
is holomorphic away from
. Since
is bounded, if
is near
then
which is nonzero near . So the variety
is discrete, so there are
such that
whenever
. To see this, suppose not; then for every
we can find
and
with
, so
has infinitely many zeroes in the compact set
. Since this is definitely not true, the claim follows by continuity of
.
Let be the number of zeroes of
in
, so
is a nonnegative standard natural since
is standard and
is compact. Let
where
; then
by the argument principle.
We claim that in fact , which contradicts that
is nonnegative. This will be proven in the rest of this section.
Here something really strange happens in Tao’s paper. He proves this:
Lemma 4 One has
in
.
We now need to show that the convergence in above commutes with the use of the argument principle so that
this will be good because we have control on the zeroes and critical points of using our contradiction assumption. What’s curious to me is that Tao seems to substitute this with convergence in
on an annulus. Indeed, convergence in
does commute with use of the argument principle, but at no point of the proof does it seem like he uses the convergence in
. So I include the proof of the latter in the next section as a curiosity item, but I think it can be omitted entirely. Tell me in the comments if I’ve made a mistake here.
If is a smooth cutoff supported on
and identically one on
(where
), one has
The term is easy to deal with, since for every
,
is a bounded continuous function of
whenever
(so
). By the definition of being infinitesimal in distribution we have
Therefore
is uniformly infinitesimal.
Now we treat the term. Interestingly, this is the main point of the argument where we use that
is infinitesimal, and the rest of the argument seems to mainly go through with much weaker assumptions on
.
Lemma 5 There is an
such that if
then
Proof: By the triangle inequality and its reverse, if then
Here is to be chosen.
Since we have
whenever is a compact set which misses
, this in particular holds when
. Since
and
it follows that
In particular,
We now claim
By splitting the integrand we first bound
since is nonstandard and the domain of integration has measure at most
. On the other hand, the other term
since is standard while
is nonstandard. This proves the claim.
Putting the above two paragraphs together and using Fubini’s theorem,
is infinitesimal. So outside of a set of infinitesimal measure, satisfies
If then there is a (deterministic) zero
such that
, thus
lies in a set of measure
. There are
such sets since there are
zeroes of
, so their union has measure
, which is infinitesimal. Therefore
which implies the claim.
Summing up, we have
in , where
is as in the previous lemma. Pulling out the factor of
, which is harmless, we can use the argument principle to deduce that
is the number of zeroes minus poles of
; that is, the number of critical points minus zeroes of
. Indeed, convergence in
does commute with the argument principle, so we can throw out the infinitesimal
.
But is infinitesimal, and we assumed that
had no critical points in
, which contains
. So
has no critical points, but has a zero
; therefore
.
In a way this part of the proof was very easy: the only tricky bit was using the cutoff to get convergence in like we needed. The hint that we could use the argument principle was the fact that
was infinitesimal, so we had control of the critical points near the origin.
2. Convergence in
Let be the distribution of
and
of
. Since
is infinitesimal in distribution,
is infinitesimal in the weak topology of measures; that is, for every continuous function
and compact set
,
Now
If is a compact set and
is Lebesgue measure then
By Tonelli’s theorem
and the inner integral is finite since is Lebesgue integrable in codimension
. So the outer integrand is a bounded continuous function, which implies that
which gives what we want when we recall
and we plug in .
3. Case one: Outlining the proof
The proof for case one is much longer, and is motivated by the pseudo-counterexample
Here is an
th root of unity, and
has no critical points on
, but does have
critical points at
. Similar pseudo-counterexamples hold for
where is standard. We will seek to control these examples by controlling
up to an error of size
; here
is the variance of
and
is an infinitesimal raised to the power of
, thus is very small, and forces us to balance out everything in terms of
.
As discussed in the introduction of this post, is infinitesimal in probability (and, in particular, its expected value
is infinitesimal); thus, with overwhelming probability, the critical points of
are all infinitesimals. Combining this with the fact that
is uniformly distributed on
, it follows that
sort of looks like
.
We start with some nice bounds:
Lemma 6 (preliminary bounds) For any standard compact set
, one has
and
uniformly in
.
In other words, sort of grows like the translate of a homogeneous polynomial of degree
.
It would be nice if was infinitesimal in
, but this isn’t quite true; the following lemma is the best we can do.
Lemma 7 (uniform convergence of
) There is a standard compact set
where
is countable, standard, does not meet
, and consists of isolated points of
, such that
is infinitesimal in
.
So we think of as some sort of generalization of
. Away from
we have good bounds on
:
Lemma 8 (approximating
outside
) For any standard compact set
:
- Uniformly in
,
- For every standard
and uniformly in
,
As a consequence, we can show that every zero of which is far from
is close to the level set
This in particular holds for , since the standard part of
is
, and
does not come close to
(so neither does
). In fact the error term is infinitesimal:
Lemma 9 (zeroes away from
) For any standard compact set
, any standard
, and any zero
,
uniformly in
.
Since satisfies the hypotheses of the above lemma,
is infinitesimal. This gives us some more bounds:
Lemma 10 (fine control) For every standard
:
- One has
- For every compact set
and
,
- For every standard smooth function
,
- One has
Here Tao claims
Apparently this follows from Fourier inversion but I don’t see it. In any case if we take the expected value of the left-hand side we get
by the fine control lemma, so
In particular this holds for the real part of . Since
is infinitesimal, so are the first two moments of the real part of
.
Since , one has
This is true since for any one has
(which follows by Taylor expansion). In particular,
Let be the best approximation of
on the arc
, which exists since that arc is compact; then
Since , it has the useful property that
therefore
Plugging in the expansion for we have
We now use the inequality several times. First we bound
I had to think a bit about why this is legal; the point is that you can absorb the implied constant on into the implied constant on
before applying the inequality. Now we bound
by similar reasoning.
Thus we conclude the bound
or in other words,
Applying the fine control lemma, or more precisely the result
as well as the fact that is infinitesimal, we have
for every standard , hence by underspill
By the fine control lemma,
Thus we bound
owing to the fact that so that
.
Plugging in the above bounds,
By definition of variance we have
and is infinitesimal so we can spend the
term as
But the fine control lemma said
So
In particular,
since is infinitesimal.
We used underspill to show
so
since was standard, which implies
.
Next time, we’ll go back and fill in all the lemmata that we skipped in the proof for case one. This is a tricky bit — pages 25 through 34 of Tao’s paper. (For comparison, we covered pages 19 through 21, some of the exposition in pages 24 through 34, and pages 34 through 36 this time). Next time, then.