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745 Introduction to Lie Algebras September 16, 2010

Lecture 3 — Engel’s Theorem

Prof. Victor Kac Scribe: Emily Berger

Definition 3.1. Let g be a Lie algebra over a field F and V a vector space over F. A representation
of g in V is a homomorphism π : g → glV . In other words, it is a linear map a → π(a) from g to
the space of linear operators on V such that π([a, b]) = π(a)π(b) − π(b)π(a).
Example 3.1. Trivial representation of g in V where π(a) = 0 for all a.
Example 3.2. Adjoint representation of g in g : a → ada.
Let’s check that it is in fact a representation. We must show that
ad[a, b] = (ada)(adb) − (adb)(ada).
Applying both sides to c ∈ g, we check
[[a, b], c] = [a, [b, c]] − [b, [a, c]].
By skew-symmetry, this is just the Jacobi Identity.
Definition 3.2. The center of a Lie algebra g is denoted Z(g) = {a ∈ g|[a, g] = 0}.
Clearly, Z(g) is an ideal of g.
Exercise 3.1. Show Z(gln (F)) = FIn , Z(sln (F)) = 0 if char F - n.

Proof. This is clear when n = 1 so assume otherwise. Suppose A = (aij ) ∈ Z(gln (F)) and there
exists aij 6= 0 with i 6= j. Let B = (bij ) and consider AB = C = (cij ) and BA = C 0 = (c0ij ) . We
wish to show C 6= C 0 for some B. We have
n
X
ci1 = aik bk1
k=1

and
n
X
c0i1 = bik ak1 .
k=1

Define B by bj1 = 1 and bk1 = 0 for all k 6= j. We then have ci1 = aij 6= 0 and that the ith row of B
only has the restriction bi1 = 0. We choose the remaining entries of the row so that c0i1 6= ci1 = aij .
Therefore aij = 0 for all i 6= j. We observe that these restrictions still allow B to have trace zero
and determinant non-zero.
Now suppose without loss of generality that a11 6= a22 . Consider
n
X
c12 = a1k bk2
k=1

and let b12 = 1 and bi2 = 0 for all i 6= 1. These restrictions on B still allow B ∈ sln (F) ⊂ gln (F).
Clearly FIn ⊂ Z(gln (F)), so by above FIn = Z(gln (F)). As well, since we allowed B ∈ sln (F) and
tr(A) = na11 , if char F - n, then Z(sln (F)) = 0.

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Proposition 3.1. The adjoint representation defines an embedding of g/Z(g) in glg .

Proof. ad : g → glg is a homomorphism; Ker ad = Z(g). Hence ad induces an embedding

g/Z(g) → gln since g/ Ker ϕ ∼
= Im ϕ.

Theorem 3.2. Ado’s Theorem

Any finite dimensional Lie algebra embeds in gln (F) for some n. [Presented without proof.]

Remark 1. Proposition 3.1 proves Ado’s Theorem in the case Z(g) = 0.

Exercise 3.2. Let dim g < ∞. Show dim Z(g) 6= dim g − 1.

Proof. Suppose dim Z(g) = dim g − 1 and pick any non-zero x ∈ g \ Z(g). Clearly, x commutes
with Z(g) and with αx which implies x ∈ Z(g). This is a contradiction and therefore dim Z(g) 6=
dim g − 1.

Definition 3.3. We define Heis2n+1 to be the Lie algebra with basis {pi , qi , c} where [pi , qi ] = c =
−[qi , pi ], 1 ≤ i ≤ n, and all other bracketed pairs are 0.

Exercise 3.3. Classify all finite dimensional Lie algebras for which dim Z(g) = dim g − 2. Let
dim g = n and show either g ∼ = Abn−3 ⊕ Heis3 or g ∼ = Abn−2 ⊕ h where h is the two-dimensional
non-abelian Lie algebra.

Proof. Suppose dim Z(g) = dim g − 2, then g/Z(g) may be generated by two elements, and consider
their preimages, say p and q. Let [p, q] = c 6= 0 (else p, q ∈ Z(g). Suppose c ∈ Z(g), then in this
case g ∼= Abn−2 ⊕ Heis3 . Assume otherwise, that c = z + ap p + aq q (without loss of generality,
assume ap 6= 0). We have [c, q] = ap [p, q] = ap c. Let q 0 = aqp , then c, q 0 are linearly independent
and [c, q 0 ] = c which shows g ∼
= Abn−2 ⊕ two-dimensional non-abelian Lie algebra.

Constructions of representations from given ones.

Definition 3.4. Representation from direct sum

Given representations π1 , π2 of g in Vi . We have π1 ⊕π2 of g in V1 ⊕V2 : (π1 ⊕π2 )(a) = π1 (a)⊕π2 (a).

Definition 3.5. Subrepresentation and factor representation

Given a representation of π of g in V , if U ⊂ V is a subspace invariant with respect to all operators
π(a), a ∈ g, we have the subrepresentation πU of g in U : a → π(a)|U .
Moreover, the factor representation πV /U of g in V /U : a → π(a)|V /U .

Definition 3.6. A linear operator A in a vector space V is called nilpotent if AN = 0 for some
positive integer N .

Exercise 3.4. Show if dim V < ∞, then A is nilpotent if and only if all eigenvalues of A are zero.

Proof. If λ is an eigenvalue of A, then λN is an eigenvalue of AN = 0, and therefore λ = 0.

Conversely, suppose all eigenvalues of A are zero, then the characteristic polynomial of A is tn , and
by Cayley-Hamilton An = 0.

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Lemma 3.3. Let A be a nilpotent operator in a vector space V , then
(a) There exists a non-zero v ∈ V such that Av = 0.
(b) ad A is a nilpotent operator on glV .

Proof. (a) Consider minimal N > 0 such that AN = 0, then AN −1 6= 0. Choose a non-zero vector
v ∈ AN −1 V 6= 0. Then Av = 0.
Remark 2. ad A = LA − RA
LA (B) = AB, RA (B) = BA
LA RB = RB LA , due to the associativity of the product of operators. Hence
M  
M M −j
LjA RA
X
(ad A)M = .
j
j=0

(b) Now we have

2N  
X 2N
ad 2N
B= Aj BA2N −j = 0
j
j=0

since either j ≥ N or 2N − j ≥ N .

Theorem 3.4. Engel’s Theorem Let V be a non-zero vector space and let g ∈ glV be a finite
dimensional subalgebra which consists of nilpotent operators. Then there exists a non-zero vector
v ∈ V such that Av = 0 for all A ∈ g.

Proof. By induction on dim g.

If dim g = 1, then g = Fa for a ∈ glV . By Lemma 3.3(a), Engel’s Theorem holds.
We may assume dim g ≥ 2 and let h be a maximal proper subalgebra of g. Since Fa is always a
subalgebra, we have that dim h ≥ 1. Consider the adjoint representation of g (on itself) and consider
its restriction to h, so we have ad : h → glg is an invariant subspace for the representation (since h
is a subalgebra ). Therefore, we may consider the factor representation in g/h. Then π(h) ⊂ glg/h
and dim π(h) ≤ dim h ≤ dim g. Moreover, π(h) consists of nilpotent operators by Lemma 3.3(b).
We may apply the inductive assumption. We have there exists ā ∈ g/h, a non-zero vector such
that π(h)ā = 0 for all h ∈ h. If a ∈ g is an arbitrary preimage of ā, we get that [h, a] ⊂ h and since
ā 6= 0, a ∈
/ h. Hence, h ⊕ Fa is a subalgebra of g. This subalgebra is larger than h, but h was a
maximal proper subalgebra of g, which implies h ⊕ Fa = g.
By inductive assumption, there exists non-zero v ∈ V such that Av = 0 for all A ∈ h. Let V0 denote
the space of all vectors v ∈ V satisfying Av = 0. We claim that aV0 ⊂ V0 ; indeed: V0 = {v | hv = 0}.
So if v ∈ V0 , then we have h(av) = [h, a] + ah(v) = 0 + 0 = 0. By Lemma 3.3(a) there exists a
non-zero vector v ∈ V0 “killed” by a. Therefore v is “killed” by h and a, and hence g.

Remark 3. If we assume dim V < ∞, then g is finite dimensional since dim g ≤ (dim V )2 < ∞.
Therefore Engel’s Theorem holds if we only assume dim V < ∞.

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Corollary 3.5. Let π : g → glV be a representation of a Lie algebra g in a finite dimensional
vector space V such that π(a) is a nilpotent operator for all a ∈ g. Then there exists a basis of V
in which all operators π(a), a ∈ g are strictly upper triangular matrices.

Proof. Induction on dim V .

By Engel’s Theorem, there exists a non-zero vector e1 , such that π(e1 ) = 0 for all a ∈ g. Since Fe1
is an invariant subspace, we consider the factor representation of g in V /Fe1 . Apply the inductive
assumption to get the basis e¯2 , ..., e¯n of V /Fe1 , in which all matrices of π|V /Fe1 are strictly upper
triangular. Take e2 , ..., en preimages of e¯2 , ..., e¯n . Then in the basis e1 , ..., e2 of V , all matrices π(g)
are strictly upper triangular.

Exercise 3.5. Construct in sl3 (F) a two-dimensional subspace consisting of nilpotent matrices,
which do not have a common eigenvector.

Proof. Consider the matrices

   
0 1 0 0 0 0
A= 0 0 1  B =  −1 0 0 
0 0 0 0 1 0

Then the subspace generated by A and B is two dimensional. A has eigenspace generated by
(1, 0, 0)t and B has eigenspace generated by (0, 0, 1)t . Therefore A and B have no common eigen-
vectors. Any linear combination of A, B say αA + βB has characteristic polynomial −λ3 and
therefore is nilpotent.