Spectral Properties of Jacobi-like Band Matrices on the Sequence Space
Abstract.
In this paper, the spectral properties of a class of Jacobi-like operators defined over the sequence space which has a representation of an infinite band matrix where the entries of each non-zero band form a sequence with two limit points are investigated. The idea of compact perturbation is used to study the spectrum. Several spectral subdivisions are obtained. In addition, a few sufficient conditions on the absence of point spectrum over the essential spectrum are also discussed.
Key words and phrases:
Spectrum, Sequence spaces, Band matrices, Jacobi operators2020 Mathematics Subject Classification:
Primary 47A10, 47B37; Secondary 47B36, 46B451. Introduction
The spectral analysis of operators defined over sequence spaces has been treated by many researchers worldwide. The literature contains the spectrum and fine spectrum of several classes of Toeplitz operators [2, 6, 9], Cesàro operators [1, 7, 14], Rhaly operators [21, 22], operators generated by various difference equations [10, 11, 17, 18, 19], etc. For a detailed review, one may refer to the survey articles [4, 20] and the references therein. In particular, numerous mathematicians have focused their research on an important class of tridiagonal matrix, known as Jacobi matrix [3, 15, 16]. The Jacobi matrix is generated by the difference equation
with certain initial conditions where and are complex sequences. In this paper, we focus on the spectral properties of a class of Jacobi-like penta-diagonal band matrices defined over the sequence space where the entries in the non-zero bands form sequences with two limit points.
Let represents the Banach space of -absolutely summable sequences of real or complex numbers with the norm
Also let denotes the set of all diagonal operators on For any operator represents the sequence in the diagonal of In this work we investigate the spectral properties of a class of operators defined over represented by the following form:
where , denotes the right shift operator, left shift operator respectively and with and . We further assume that the subsequences , converges to the real numbers respectively and , converges to the real numbers respectively where and .
Our focus is to investigate the spectral properties of the operator using compact perturbation technique. Let us consider another operator over defined by
where with
Using the properties of compact operators, it can be proved that is a compact operator over . Both the operators and can be represented by the following penta-diagonal matrices
We obtain the spectrum, fine spectrum and the sets of various spectral subdivisions of the operator It is interesting to note that the spectrum of is given by
which is also its essential spectrum with no eigenvalues. Later we investigate how the spectrum of and are related. Few results on the essential spectrum of (which is identical to the essential spectrum of ) being devoid of its eigenvalues are also derived. This helps us to characterize the point spectrum of Theory of difference equations plays an important role in our study. We use various results on the asymptotic behaviour of solutions of difference equations to demonstrate the findings of our paper. For more details on difference equations one can refer [12].
The remainder of paper is organized as follows: section 2 is devoted to introduce some terminologies and results which are relevant to our work. Section 3 contains the results on the spectrum and fine spectrum of over The spectral properties of are discussed in section 4.
2. Preliminaries
Let and are Banach spaces and for any operator , and denote the null space and range space of respectively. The operator is called the adjoint operator and defined by
where , are the dual spaces of and respectively. denotes the set of all bounded linear operators from to itself. For any , the resolvent set of is the set of all in the complex plane such that has a bounded inverse in where is the identity operator defined over . The complement of resolvent set in the complex plane is called the spectrum of and it is denoted by . The spectrum can be partitioned into three disjoint sets which are
-
(i)
the point spectrum, denoted by , is the set of all such for which does not exist. An element is called an eigenvalue of ,
-
(ii)
the continuous spectrum, denoted by , is the set of all such for which is exists, unbounded and the domain of is dense in but ,
-
(iii)
the residual spectrum, denoted by , is the set of all such for which exists (and may be bounded or not) but the domain of is not dense in .
These three disjoint sets are together known as fine spectrum and their union becomes the whole spectrum. There are some other important subdivisions of the spectrum such as approximate point spectrum , defect spectrum and compression spectrum , defined by
The sets which are defined above also forms subdivisions of spectrum of which are not necessarily disjoint as follows
An operator is said to be Fredholm operator if is closed and , are finite. In this case the number
is called the index of the Fredholm operator . The essential spectrum of is defined by the set
If is a Fredholm operator and is a compact operator then is also a Fredholm operator with same indices. Since compact perturbation does not effect the Fredholmness and index of a Fredholm operator, we have
For any isolated eigenvalue of the operator which is defined by
is called the Riesz projection of with respect to where is positively orientated circle centred at with sufficiently small radius such that it excludes other spectral values of An eigenvalue of is said to be a discrete eigenvalue if it is isolated and the rank of the associated Riesz projection is finite. The rank of the Riesz projection is called the algebraic multiplicity of . The set of all such eigenvalues with finite multiplicities is called the discrete spectrum of and it is denoted by This type of eigenvalues sometimes referred as eigenvalues with finite type.
In the following proposition, we mention some inclusion relation of spectrum of a bounded linear operator and its adjoint operator.
Proposition 2.1.
[5, p.195] If is a Banach space and , then the spectrum and subspectrum of and are related by the following relations:
-
(a)
-
(b)
-
(c)
-
(d)
-
(e)
-
(f)
-
(g)
=
Here we record few lemmas related to the boundness of an infinite matrix defined over sequence spaces, which are useful to our research.
Lemma 2.2.
[8, p. 253] The matrix gives rise to a bounded linear operator from to itself if and only if the supremum of norms of the columns of is bounded.
Lemma 2.3.
[8, p. 245] The matrix gives rise to a bounded linear operator from to itself if and only if the supremum of norms of the rows of is bounded.
Lemma 2.4.
[8, p. 254] The matrix gives rise to a bounded linear operator if
3. Spectra of
It is already mentioned that we study the spectral properties of by using the spectral properties of and compact perturbation technique. In this section we derive the spectrum and fine spectrum of . The notation denotes the operator norm of an operator where .
Theorem 3.1.
The operator is a bounded linear operator which satisfies the following inequality
Proof.
As linearity of is trivial, we omit it. Let . Then and one can observe that
This proves
Also, let and if . Then,
By Jensen’s inequality we get,
This implies,
This completes the proof. ∎
The following theorem proves the non-existence of eigenvalues of the operator in .
Theorem 3.2.
The point spectrum of is given by
Proof.
Consider for and . This gives the following system of equations
We assume that and otherwise for all Let us consider two sequences and where and , respectively. Then the system of equations of reduces to
(3.1) |
(3.2) |
where , , and . The general solution of the difference equation (3.1) is given by
(3.3) |
where are arbitrary constants and are the roots of the polynomial
(3.4) |
which is called the characteristic polynomial of (3.1). The following two equalities
are useful.
There are three cases to be considered.
Case 1: If (i.e., ). In this case the general solution of (3.1) is
with the initial condition which gives This reduces the solution as This also implies and the solution in this case is
Case 2: If (i.e., ). Similar as Case 1, the solution reduces to
Case 3: If The general solution of (3.1) is given by
With the help of initial condition and by using the equalities , , one can obtain that and the solution reduces to
If then in Case 1 and Case 2. In Case 3 if and only if and which can not be the case since Hence in all the three cases if and only if and this leads to the trivial solution of the difference equation (3.1). Hence there is no non-trivial solution of (3.1).
Similarly for the difference equation (3.2), the general solution is of the form
(3.5) |
where are arbitrary constants and are the roots of the polynomial
(3.6) |
which is called the characteristic polynomial of difference equation (3.2). In a similar way, it can be proved that if and only if and this leads to the trivial solution of (3.2). Hence, there does not exist any non-trivial solution of the system such that This proves the required result. ∎
Remark 3.3.
The solution of the system which are obtained in terms of the sequences and in the equations (3.3) and (3.5) respectively, actually depends on the unknown Therefore, instead of writing we write for the sake of brevity throughout this paper except in Theorem 4.6 where the dependency of the solutions on is vital.
It is well known that the adjoint operator of is which is defined over sequence space where denotes the dual space of which is isomorphic to where .
Corollary 3.4.
The point spectrum of adjoint operator over the sequence space is given by
Proof.
It is well known that the adjoint operator , is represented by transpose of the matrix . Since is represented by a symmetric matrix, using the same argument as Theorem 3.2, it is easy to prove that ∎
Corollary 3.5.
The residual spectrum of over the sequence space is given by .
Proof.
We know that the operator has a dense range if and only if is one to one [5, p.197]. Using this we have the following relation
Hence, ∎
Following that, we obtain the spectrum of .
Theorem 3.6.
The spectrum of is given by
Corollary 3.7.
The continuous spectrum of is given by
Proof.
It is evident that is the disjoint union of , and , we have
Hence, . ∎
Corollary 3.8.
Essential spectrum of is given by
Proof.
It is well-known that and we have
The desired result is obvious. ∎
Using the relations which are mentioned in Proposition 2.1 we can easily obtain the following results.
Corollary 3.9.
The compression spectrum, approximate point spectrum and defect spectrum of are as follows
.
.
.
4. Spectra of
This section contains the spectral properties of which can be expressed as where is represented by the following matrix
The following result proves the compactness of on .
Theorem 4.1.
The operator is a compact operator on .
Proof.
The operator on can be represented by the following infinite matrix
where, , and are null sequences, which are defined as follows,
and
Let .
We construct a sequence of compact operators such that for ,
For ,
This implies,
Thus, converges to as in operator norm and hence is a compact operator over . ∎
Next we derive an inclusion relation between and .
Theorem 4.2.
The spectrum of satisfies the following inclusion relation
and contains finite or countable number of eigenvalues of of finite type with no accumulation point in .
Corollary 4.3.
.
Proof.
As we are aware of that compact perturbation does not effect the Fredholmness and index of a Fredholm operator. Therefore, . Hence, by using Corollary 3.8, we have
∎
We now focus on the point spectrum of . First we analyze the eigenvalues of lying in , in particular we derive sufficient conditions for the absence of point spectrum on . In Theorem 4.4, sufficient conditions are provided in terms of the rate of convergence of the sequences and . Sufficient conditions of absence of point spectrum on are also provided in Theorem 4.5 in terms of the entries of the matrix .
Theorem 4.4.
If the convergence of the sequences and are exponentially fast then
In the next theorem, we apply transfer matrix approach as discussed in [15, 16] . This enables us to examine the sufficient condition for the absence of point spectrum in essential spectrum of in terms of the entries of matrix .
Theorem 4.5.
If satisfies either of the following conditions
(i)
or
(ii)
where,
then .
Now we focus our study on the point spectrum of . Under the sufficient conditions as mentioned in previous two results, we have . In this case, all the eigenvalues of are lying outside the set . To characterize the eigenvalues, let , and where denotes the complement of . From equations (LABEL:point_diff) and (LABEL:point_diff1) in Theorem 4.4, we have the following system
(4.1) |
(4.2) |
where with and , . Clearly each of the difference equations (4.1) and (4.2) have two fundamental solutions. Let and are the sets of fundamental solutions of the equations (4.1) and (4.2) respectively. Under this setting we have the following result:
Theorem 4.6.
Remark 4.7.
The adjoint operator , is represented by transpose of the matrix and dual of is isomorphic to where and . Similar as , the operator can also be written as
where denotes the transpose of and is also a compact operator. Since , Theorem 4.2 implies
and using similar argument of the proof of Theorem 4.2 it can be obtain that contains finite or countable number of eigenvalues of of finite type with no accumulation point in . Assuming similar hypothesis on the rate of convergence of sequences in Theorem 4.4, we can prove that
and this implies, the point spectrum of is lying outside of the region
Now similar as Theorem 4.6, let and are the sets of fundamental solutions of the following difference equations respectively
which are obtained from , and , . Also, . This leads us to the following result
Eventually, we obtain that
where,
Since, and both sets are disjoint from we have, .
Using the observations in Remark 4.7 and Proposition 2.1, we can summarize all the results of spectrum and various spectral subdivisions of the operator in the following theorem,
Theorem 4.8.
If the convergence of the sequences and are exponentially fast then the following hold,
-
(i)
The spectrum of on is
-
(ii)
The point spectrum of on is
-
(iii)
The residual spectrum of on is
-
(iv)
The continuous spectrum of on is
-
(v)
The essential spectrum of on is
-
(vi)
The discrete spectrum of on is
-
(vii)
The compression spectrum of on is
-
(viii)
The approximate spectrum of on is
-
(ix)
The defect spectrum of on is
Proof.
The proofs of the above statements are given below.
- (i)
-
(ii)
Result has been proved in Theorem 4.6.
-
(iii)
We already aware of that . Hence,
-
(iv)
Spectrum of an operator is the disjoint union of point spectrum, residual spectrum and continuous spectrum. By using this result we can obtain the desired result.
-
(v)
The required result has been proved in Corollary 4.3.
-
(vi)
We already proved that the point spectrum of is disjoint from , and by Theorem 4.2 we have, every element of is of finite type. Hence,
-
(vii)
By part (e) of Proposition 2.1, the desired result is obvious.
-
(viii)
Clearly,
Also, we know that point spectrum is always a subset of approximate point spectrum. By using this fact and with the help of part (g) of Proposition 2.1, we have
Hence,
- (ix)
∎
Disclosure statement
No potential conflict of interest was reported by the authors.
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