KARNATAKA STATE OPEN UNIVERSITY

Mukthagangothri, Mysuru – 570006

M.Sc. MATHEMATICS (CBCS)

(THIRD SEMESTER)
M.Sc. MATHEMATICS (CBCS)
THIRD SEMESTER

Course: MMDSC 3.3

Functional Analysis

Course-MMDSC 3.3

Functional Analysis
Programme Name: M.Sc. Mathematics (CBCS) Year/Semester: III Semester COURSE WRITER
Course Code: MMDSC 3.3 Course Name: Functional Analysis
Credit: 4 Unit Number : 1-16 Prof. H. S. Ramane Block 3.3 A to Block 3.3 D
Professor (Block I – IV)
COURSE DESIGN COMMITTEE
Department of Studies in Mathematics (Unit 01 to Unit 16)
Dr. Sharanappa. V. Halse Chairman Karnatak Unuiversity, Dharwad
Vice Chancellor
Karnataka State Open University
Mukthagangothri, Mysuru-570006
Prof. N. Lakshmi Member
COURSE EDITOR
Dean (Academic)
Karnataka State Open University
Mukthagangothri, Mysuru-570006 Dr. K. R. Vasuki Block 3.3 A to Block 3.3 D
Dr. Pavithra. M Course coordinator Professor (Block I – IV)
Assistant Professor DOS in Mathematics (Unit 01 to Unit 16)
DoS in Mathematics, KSOU, Mukthagangothri, Mysuru-06 University of Mysore, Mysuru

EDITORIAL COMMITTEE
The Registrar
1. Dr. K. Shivashankara Chairman
Karnataka State Open University
BOS Chairman(PG), DoS in Mathematics, KSOU
Mukthagangothri, Mysuru-570006
Associate Professor, Yuvaraja College,
University of Mysore, Mysuru-06
Developed by the Department of Studies in Mathematics under the guidance of Dean
2. Mr. S. V. Niranjana Member & Convener
(Academic), KSOU, Mysuru.
Coordinator, (DoS in Mathematics)
Karnataka State Open University, 2023.
Assistant Professor, DoS in Physics,
All rights reserved. No part of this work may be reproduced in any form or any other means, without
KSOU, Mysuru-06
permission in writing from the Karnataka State Open University.
3. Dr. Pavithra. M Member Further information on the Karnataka State Open University Programmes may be obtained from the
Assistant Professor University’s Office at Mukthagangothri, Mysuru – 570 006.
DoS in Mathematics, KSOU, Mysuru-06

4. Dr. Chandru Hegde Member

Assistant Professor,
DoS in Mathematics,
Mangalagangotri, Mangaluru.
 Preface
Functional analysis is the branch of Mathematical analysis formed by the study
of vector spaces and the linear functions defined on these spaces. It helps to study
and solve linear and nonlinear problems posed on the normed spaces.
KARNATAKA STATE OPEN UNIVERSITY This book covers the fundamental results of Functional analysis, which are
importatnt in view of applications.
Mysuru - 570006, INDIA
This book is divided into four blocks, each block contains four units. The
first block discusses the metric space, mapping theorem, Baires theorem and Ascoli-
Arzela theorem. Second block covers linear spaces, normed spaces, operators and
Hahn-Banach theorem. Third block covers Banach space, open mapping theorem,
closed graph theorem and principle of uniform boundedness. Fourth block covers
Hilbert space, orthogonality and Riesz representation theorem.

Suggestions for improvement of the book will be thankfully received.

MMDSC 3.3: Functional Analysis

Dr. H. S. Ramane
Department of Mathematics
Karnatak University,
Dharwad - 580003

Dr. H. S. Ramane
Department of Mathematics, Karnatak University, Dharwad - 580003

i
 3.3 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

4 Unit 4: Ascoli-Arzela Theorem 47

4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

Contents 4.2 Ascoli-Arzela Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . 47

4.3 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

4.4 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

1 Unit 1: Metric completion 2

5 Unit 5: Linear Spaces and Linear Operators 63
1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
1.2 Metric Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
5.2 Linear Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
1.3 Complete Metric Space . . . . . . . . . . . . . . . . . . . . . . . . . . 8
5.3 Linear operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
1.4 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
5.4 Exercises: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
1.5 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
5.5 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73

2 Unit 2: Banach’s Contraction Mapping Theorem and Applications 28

6 Unit 6: Norm of bounded operator 74
2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
2.2 Banach Contraction Mapping Theorem . . . . . . . . . . . . . . . . . 28
6.2 Normed Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
2.3 Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
6.3 Bounded linear operator . . . . . . . . . . . . . . . . . . . . . . . . . 77
2.4 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
6.4 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
2.5 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
6.5 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

3 Unit 3: Baire’s Category Theorem 38

7 Unit 7: Hahn-Banach Extension Theorem 80
3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
3.2 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
7.2 Hahn-Banach Theorems . . . . . . . . . . . . . . . . . . . . . . . . . 80

ii iii
 7.3 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 11.4 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126

7.4 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
12 Unit 12: Banach - Steinhaus Principle of Uniform Boundedness 127

8 Unit 8: Stone-Weierstrass Theorem 93 12.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 12.2 Uniform Bounded Principle . . . . . . . . . . . . . . . . . . . . . . . 127

8.2 Stone-Weierstrass Theorem . . . . . . . . . . . . . . . . . . . . . . . . 94 12.3 Properties of T ∗ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134

8.3 Exercises: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 12.4 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

8.4 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 12.5 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

9 Unit 9: Banach Spaces 103 13 Unit 13: Hilbert Spaces 137

9.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103 13.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137

9.2 Banach Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103 13.2 Hilbert space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139

9.3 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108 13.3 Exercises: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140

9.4 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108 13.4 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140

10 Unit 10: Open Mapping Theorem 109 14 Unit 14: Properties of Hilbert Spaces 142

10.1 Introducation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 14.1 Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142

10.2 Open Mapping Theorem . . . . . . . . . . . . . . . . . . . . . . . . . 109 14.2 Exercise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144

10.3 Exercise: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 14.3 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144

10.4 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

15 Unit 15: Orthogonal projection and nearly orthogonal elements 146

11 Unit 11: Closed Graph Theorem 118 15.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146

11.1 Introducation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118 15.2 Orthogonal projection . . . . . . . . . . . . . . . . . . . . . . . . . . 146

11.2 Closed Graph Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . 118 15.3 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155

11.3 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 15.4 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155

iv v
16 Unit 16: Riesz Lemma and Riesz Representation Theorem 156 Block - I
16.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156

16.2 Riesz Lemma . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156

16.3 Riesz representation theorem . . . . . . . . . . . . . . . . . . . . . . . 157

16.4 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159

16.5 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160

vi 1
 Remark 1.2.2. (1) A metric d is always non-negative. For x, y ∈ X
it follows that
d(x, y) + d(y, x) ≥ d(x, x)

That is 2d(x, y) ≥ 0 and hence d(x, y) ≥ 0.

Chapter 1
(2) If x, y, x′ , y ′ ∈ X it should be noted that

|d(x, y) − d(x′ , y ′ )| ≤ d(x, x′ ) + d(y, y ′ ).

Unit 1: Metric completion
Example 1.2.3. (1) X = R1 , define d(x, y) = |x − y|, then it can be
verified that d is metric on R1 . This metric d is called usual metric
on R1 . Similarly on X = C1 , define d(z1 , z2 ) = |z1 − z2 |. It is easy to
1.1 Introduction
verify d is a metric on C1 . This metric d is called usual metric on C1 .
In this unit, we introduce the concept of metric spaces. We give the (2) X be any nonemepty set.

properties of metric spaces and some theorems to metric space. Finally  0, x = y;
d(x, y) =
we expalin the metric completion theorem. ̸ y.
 1, x =

It is easy to verify that d is a metric on X. d is called discrete metric

1.2 Metric Spaces on X. This shows any nonempty set can be regarded as a metric space.

Definition 1.2.4. Let (X, d) be a metric space and let Y be a nonempty

Definition 1.2.1. Let X be a nonempty set. Let d be a function
subset of X, then (Y, d) is called a subspace of (X, d).
d : X × X −→ R satisfying the following.
(1) d(x, y) ≥ 0, and d(x, y) = 0 ⇐⇒ x = y ∀x, y ∈ X. Definition 1.2.5. Open ball in a metric space (X, d) is defined by

(2) d(x, y) = d(y, x), ∀x, y ∈ X (Symmetric property).

Sr (x0 ) = {x ∈ X : d(x, x0 ) < r}.
(3) d(x, y) ≤ d(x, z) + d(z, y) ∀x, y, z ∈ X. (Triangle inequality).
Definition 1.2.6. A set G ⊆ X is sad to be an open set if x ∈ G ⇒
Then d is called a metric on X. (X, d) is called a metric space.
x ∈ Sr (x) ⊆ G.

2 3
Definition 1.2.7. Let (X, d) be a metric space. Let A ⊆ X. A point If such an isometry exists then (X, d1 ) and (Y, d2 ) are said to be
x ∈ X is said to be a limit point of A if every neighbourhood (open isometric to each other.
ball around x) of x contains atleast one point of A.
Theorem 1.2.15. A set G is open in a metric space (X, d) if and
Definition 1.2.8. Let (X, d) be a metric space. Let A ⊆ X, then only if G is a union of open spheres.
closure of A denoted by A is nothing but set of all points x ∈ X such
Proof. Suppose G is open set in a metric space (X, d).
that either x ∈ A or x is a limit point of A.
x ∈ G ⇒ ∃ rx > 0 ∋ x ∈ Srx (x) ⊆ G.
Definition 1.2.9. Let (X, d) be a metric space. A set F ⊆ X is said
to be closed if and only if F = F (F contains all its limit points).
⇒ {x} ⊆ Srx (x) ⊆ G.
Definition 1.2.10. Let (X,d) be a metric space. Let A ⊆ X is said [ [
⇒ {x} ⊆ Srx (x) ⊆ G.
to be dense in X or everywhere dense in X if and only if A = X. x∈G
[
x∈G

⇒ G⊆ Srx (x) ⊆ G.
Definition 1.2.11. Let A ⊆ X. Then diameter of A is given by x∈G
[
⇒ G= Srx (x).
d(A) = sup d(x, y), (d(A) ≤ ∞). x∈G
x,y∈A
S
Definition 1.2.12. A set A ⊆ X is said to be a bounded set if d(A) < Suppose G = Sα (arbitrary union of open sphere i.e., ∀ α, Sα
α∈λ
∞ (d(A) ̸= ∞). is an open sphere in G).
S
If x ∈ G ⇒ ∃ α ∈ λ ∋ x ∈ Sα and Sα ⊆ Sα = G.
Definition 1.2.13. Let A, B be the subsets of X. Then distance α∈λ

between A and B is given by ⇒ x ∈ Sα ⊆ G. Therefore G is open.

d(A, B) = inf d(x, y).

x∈A,y∈B

Theorem 1.2.16. If A is a finite in a metric space (X, d), then A′

Definition 1.2.14. Let (X, d1 ) and (Y, d2 ) be two metric spaces. A
(or Ac or ∼ A) complement of A is open set.
mapping f : X −→ Y is said to be an isometry if

d1 (x1 , x2 ) ≥ d2 (f (x1 ), f (x2 )) ∀ x1 , x2 , ∈ X. Proof. Let A = {a1 , a2 , . . . , an }. Let x ∈ A′ , then x ∈

/ A or x ̸= ai ,

4 5
1 ≤ i ≤ n or d(x, ai ) > 0, 1 ≤ i ≤ n. Set r = min d(r, ai ) ⇒ x is not a limit point of F .
1≤i≤n

y ∈ Sr (x) ⇒ d(x, y) < r. ⇒ No points of F ′ is a limit point of F .

⇒ Every limit point of F is in F .

To show that y ̸= ai , i ≤ i ≤ n or d(y, ai ) > 0, 1 ≤ i ≤ n.
∴ F is closed.
Consider d(x, ai ) ≤ d(x, y) + d(y, ai )

⇒ d(y, ai ) ≥ d(x, ai ) − d(x, y) > d(x, ai ) − r ≥ 0

Problem 1.2.18. (1) Show that A = {x ∈ X : d(x, A) = 0}
⇒ d(y, ai ) > 0

/ A or y ∈ A′ ⇒ y ∈ Sr (x) ⊆ A′ .
Therefore y ̸= ai or y ∈ Solution: Let {x ∈ X : d(x, A) = 0} = B.

∴ A′ is open. To show that A ⊆ B and B ⊆ A:

Theorem 1.2.17. A set F is closed set in (X, d) if and only if F ′ is If x ∈ A ⇒ either x ∈ A or x is a limit point of A. If x ∈ A,

open. d(x, A) = d(x, x) = 0.

Proof. Suppose F is a closed set in (X, d). Suppose x is a limit point of A, ⇒ for every r > 0, Sr (x) ∩ A ̸= ∅.

Let x ∈ F ′ , then x ∈
/ F. ∴ y ∈ Sr (x) ∩ A ⇒ y ∈ A and d(x, A) < r, ∀ r > 0.

⇒ x is not a limit point of F . Allow r → 0, hence d(x, A) = 0.

⇒ ∃ an open sphere Sr (x) such that Sr (x) ∩ F = ∅. ∴ x ∈ B or A ⊆ B.

⇒ x ∈ Sr (x) ⊆ F ′ . If x ∈ B ⇒ d(x, A) = 0.

∴ F ′ is open. ⇒ inf d(x, y) = 0.

y∈A
′
Conversely, suppose F is open. ⇒ Given ϵ > 0, ∃ y ∈ A such that d(x, y) < ϵ.

x ∈ F ′ ⇒ x ∈ Sr (x) ⊆ F ′ ⇒ Sϵ (x) ∩ A ̸= ∅, ∀ ϵ > 0.

⇒ Sr (x) ∩ F = ∅ ⇒ x is a limit point of A.

6 7
 ⇒ x ∈ A or B ⊆ A. Cauchy sequence if given ϵ > 0, ∃ a positive integer N such that

Hence A = B. m, n ≥ N
⇒ |xm − xn | < ϵ or dR (xm , xn ) < ϵ.

(2) Prove that a set A in X is dense in X or A = X, if and only if the Definition 1.3.2. A sequence {xn } of real numbers is said to be a

closed superset of A is X. convergent to x0 if given ϵ > 0, ∃ a positive integer N such that

n≥N
Solution: Suppose A = X and B is a closed superset of A.
⇒ |xn − x0 | < ϵ or dR (xn , x0 ) < ϵ.
⇒ A = X, A ⊆ B and B = B.
Note 1.3.3. Every convergent sequence is a Cauchy sequence. But
A ⊆ B ⇒ A ⊆ B ⇒ X ⊆ B ⊆ X ⇒ B = X.
converse is not true in general.
∴ X is the only closed superset of A.
Definition 1.3.4. A sequence {xn } in a metric space (X, d) is said to
Suppose the only closed suoerset of A is X.
be a Cauchy sequence if given ϵ > 0, ∃ a positive integer N such that
By the definition, A is the largest closed set containing X or A m, n ≥ N
is a closed superset of A.
⇒ d(xm , xn ) < ϵ.
⇒ A = X.
Definition 1.3.5. A sequence {xn } in a metric space (X, d) is said to
∴ A is dense in X. be a convergent sequence with limit if given ϵ > 0, ∃ a positive integer
N such that n ≥ N , ⇒ d(xn , x0 ) < ϵ.

1.3 Complete Metric Space Definition 1.3.6. A metric space (X, d) is said to be a Complete
metric space if every Cauchy sequence is convergent in X.
Simplest example of complete metric space is R or real line. The
following three fundamental concepts of real analysis are to describe Example 1.3.7. (1) X = Rn and

the completeness of R1 .
p
d((x1 , x2 , . . . , xn ), (y1 , y2 , . . . , yn )) = (x1 − y1 )2 + (x2 − y2 )2 + · · · + (xn − yn )2 .

Definition 1.3.1. A sequence {xn } of real numbers is said to be a Then (X, d) is a metric space.

8 9
 (n) (n) (n) bers are non-negative).
Put x = (x1 , x2 , . . . , xn ), {x(n) } = {(x1 , x2 , . . . , xn )} is a se-
quence in Rn . d(z, w) = 0 ⇐⇒ |zi − wi |2 = 0, ∀ 1 ≤ i ≤ n.
Suppose {x(n) } is a Cauchy sequence ⇐⇒ |zi − wi | = 0, ∀ 1 ≤ i ≤ n.

⇒ Given ϵ > 0, ∃ a positive integer N such that m, p ≥ N ⇒ ⇐⇒ zi = wi , ∀ 1 ≤ i ≤ n.

(m) (p)
d(x ,x ) < ϵ ⇐⇒ (z1 , z2 , . . . , zn ) = (w1 , w2 , . . . , wn )
(m) (m) (m) (p) (p) (p)
⇒ d((x1 , x2 , . . . , xn ), (x1 , x2 , . . . , xn ) < ϵ ⇐⇒ z = w.
q
(m) (p) (m) (p) (m) (p)
⇒ (x1 − x1 )2 + (x2 − x2 )2 + · · · + (xn − xn )2 < ϵ.
(ii) d(z, w) = d(w, z)
(m) (p) (m) (p) (m) (p)
⇒ (x1 − x1 ) 2 + (x2 − x2 ) 2 + ··· + (xn − xn ) 2 2
<ϵ .
|zi − wi |2 = (zi − wi )(zi − wi )
(m) (p)
⇒ |xi − xi | < ϵ, ∀ i = 1, 2, . . . , n.
= (zi − wi )(zi − wi )
(m)
⇒ {xi } is a Cauchy sequence in R1 . = {−(wi − zi )}{−(wi − zi )}
We know that R1 is complete and hence for each i = 1, 2, . . . , n, = (wi − zi )(wi − zi )
(m)
{xi } is convergent sequence. = |wi − zi |2 .
∴ Rn is complete with Euclidean metric.
As a direct consequence we get the symmetry.

(iii) d(z, w) ≤ d(z, t) + d(t, w)

n
(2) C = {(z1 , z2 , . . . , zn ) : z1 , z2 , . . . , zn ∈ C}. p
d(z, w) = |z1 − w1 |2 + |z2 − w2 |2 + · · · + |zn − wn |2
(m) (m) (m)
Put z = (z1 , z2 , . . . , zn ) ∈ Cn , {z (m) } = {(z1 , z2 , . . . , zn )} is p
= |z1 − t1 + t1 − w1 |2 + · · · + |zn − tn + tn − wn |2
a sequence in Cn . Put w = (w1 , w2 , . . . , wn ) ∈ Cn , p
q ≤ |z1 − t1 |2 + |z2 − t2 |2 + · · · + |zn − tn |2
d(z, w) = (z1 − w1 )(z1 − w1 ) + (z2 − w2 )(z2 − w2 ) + · · · + (zn − wn )(zn − wn ) p
+ |t1 − w1 |2 + |t2 − w2 |2 + · · · + |tn − wn |2
p
⇒ d(z, w) = |z1 − w1 |2 + |z2 − w2 |2 + · · · + |zn − wn |2 , ∵ |z|2 = zz. (Cauchy Schwartz inequality)

(i) d(z, w) ≥ 0 (sum of sequences of absolute values of complex num- d(z, w) ≤ d(z, t) + d(t, w).

10 11
 ∴ (Cn , d) is metric space. Definition 1.3.9. Let (N, +, ·, F ) be a linear space where F = R or
(m) (m) (m)
Suppose {Z (m) } = {z1 , z2 , . . . , zn } is Cauchy sequence. C. Then a Norm on N is || · || : N → R+ satisfying the following

(m) properties.
⇒ {zi } is Cauchy sequence in C and C is complete.
(i) ||x|| ≥ 0 and ||x|| = 0 ⇐⇒ x = 0N .
⇒ {z (m) } is also convergent.
(ii) ||λx|| = |λ|||x||.
n
Hence (C , d) is a Complete metric space. (iii) ||x + y|| ≤ ||x|| + ||y||, ∀ x, y ∈ N and λ ∈ F .

Definition 1.3.8. (N, +, ·, F ) is said to be a Linear space over a field Definition 1.3.10. If (N, +, ·, F ) is a linear space over F = R or C
F if N ̸= ∅ and if the following axioms are satisfied. and if || · || : N → F is a norm on N , then (N, || · ||) is called Normed
linear space.
(i) x, y ∈ N ⇒ x + y ∈ N (Vector addition).

Definition 1.3.11. Let (X, dX ) be a metric space. A function f :

(ii) α ∈ F, x ∈ N ⇒ α · x ∈ N (Scalar multiplication)
X → F where F = R or C is said to be bounded function if |f (x)| ≤ kf
(iii) x, y, z ∈ N ⇒ x + (y + z) = (x + y) + z (Associative law).
where kf > 0 is a constant ∀ x ∈ X.
(iv) x, y ∈ N ⇒ x + y = y + x (Commutative law).
B ∗ (X) = {f : X → F | (X, dX ) is a metric space, F = R or C}
(v) ∃ 0N ∈ N such that x ∈ N ⇒ x+0N = x (0N is Identity element).
where f is a bounded scalar valued function on X.
(vi) x ∈ N ⇒ ∃ − x ∈ N such that x + (−x) = 0N (Inverse element
Note 1.3.12. Every normed linear space is a metric space. Define
law).
d(x, y) = ||x − y||, ∀ x, y ∈ N .
(vii) α ∈ F, x, y ∈ N ⇒ α · (x + y) = α · x + α · y (Scalar multiplication (i) d(x, y) ≥ 0 and d(x, y) = 0 ⇐⇒ ||x − y|| = 0 ⇐⇒ x − y = 0N ⇐⇒
is distributive with respect to Vector addition) x = y.

(viii) α, β ∈ F, x ∈ N ⇒ (α + β) · x = α · x + β · x.

(ix) α, β ∈ F, x ∈ N ⇒ α · (β · x) = (αβ) · x.

(x) x ∈ N ⇒ 1 · x = x (1 is multiplicative identity of the field).

12 13
(ii) Proof. (i) Consider

d(x, y) = ||x − y|| |(f + g)(x)| = |f (x) + g(x)|

= ||(−1)(y − x)|| ≤ |f (x)| + |g(x)|

= | − 1|||y − x|| ≤ kf + kg , (∵ f, g ∈ B ∗ (X)).

= ||y − x|| = d(y, x)

Define kf +g = kf + kg (sum of two positive constant is another con-

(iii) stant).

d(x, y) = ||x − y|| ∴ |(f + g)(x)| ≤ kf +g , ∀ x ∈ X or f + g ∈ B ∗ (X).

= ||(x − z) + (z − y)|| Next, consider

≤ ||x − z|| + ||z − y||
|(λ · f )(x)| = |λ · f (x)|
= d(x, z) + d(z, y)
= |λ||f (x)|
∴ (N, d) is a metric space. ≤ |λ|kf .

Theorem 1.3.13. Let (X, dX ) be a metric space and let F = R or C.

Define kλf = |λ|kf (product of two positive constants is another con-
∗
(i) (B (X), +, ·, F ) is a linear space,
stant).
where vector addition: (f + g)(x) = f (x) + g(x) and
∴ |(λ · f )(x)| ≤ kλf , ∀ x ∈ X or λf ∈ B ∗ (X).
scalar multiplication: (α · f )(x) = α · f (x).
(ii) Define ||f || = sup |f (x)|. Then (B ∗ (X), || · ||) is a normed linear f (x), λf (x) ∈ F and F is vector space over itself ⇒ (N, +, ·, F )
x∈X
space over F = R or C and hence (B ∗ (X), d) is a metric space where is also a vector space.

d(f, g) = ||f − g||.

(iii) (B ∗ (X), d) is a Complete metric space. (ii) Define ||f || = sup |f (x)|
x∈X

14 15
(a) |f (x)| ≥ 0 ⇒ ||f || ≥ 0

||f || = 0 ⇐⇒ 0 < |f (x)| ≤ ||f || = 0. ⇒ d(fm , fn ) < ϵ

⇐⇒ |f (x)| = 0, ∀ x ∈ X ⇒ ||fm − fn || < ϵ

⇐⇒ f (x) = 0 (number), ∀ x ∈ X ⇒ sup |(fm − fn )(x)| < ϵ

x∈λ
⇐⇒ f = O (function) ⇒ sup |fm (x) − fn (x)| < ϵ
x∈λ
⇒ |(fm − fn )(x)| < ϵ
(b)
∴ {fn (x)} is a Cauchy sequence in F = R or C.
||λf || = sup |(λf )(x)|
x∈λ Since, R and C are Complete metric spaces, {fn (x)} is convergent.
= sup[|λ||f (x)|]
x∈λ Let lim fn (x) = f (x), ∀ x ∈ X.
n→∞
= |λ| sup |f (x)|
x∈λ Consider,
= |λ|||f ||
|f (x)| = | lim fn (x)|
n→∞

= lim |fn (x)|, (∵ fn ∈ B ∗ (X))

n→∞

||f + g|| = sup[|(f + g)(x)|] ≤ lim kfn

n→∞
x∈λ
= sup[f (x) + g(x)] ≤ sup kfn
x∈λ n

≤ sup[|f (x)| + |g(x)|] = kf < ∞.

x∈λ
≤ sup |f (x)| + sup |g(x)| ∴ f ∈ B ∗ (X).
x∈λ x∈λ
≤ ||f || + ||g||. Hence B ∗ (X) is a Complete metric space.

∴ (B ∗ (X), || · ||) is a normed linear space. Lemma 1.3.14. Suppose (X, d) is a metric space and {xn } is a con-

(iii) Suppose {fn } is a Cauchy sequence in B ∗ (X). vergent sequence with infinitely many distinct points. Then the limit

⇒ For every ϵ > 0, ∃ a positive number N , such that m, n ≥ N , of {xn } is same as limit point of S = {x1 , x2 , . . . , xn , . . .}.

16 17
Proof. Suppose if possible x = lim xn is not a limit point of S.
n→∞

⇒ there exists r > 0, Sr (x) ∩ (S \ {x}) = ∅ lim yn = x ∈ Y.

n→∞

⇒ xn = x for infinitely many n. ∴ Y is closed.

Suppose Y is closed and suppose {yn } is a Cauchy sequence in Y .
⇒ S = {x1 , x2 , . . . , xn , x} for some n.
To show that: lim yn = x ∈ Y .
Which is contradiction. n→∞

Since (Y, d) is a subsequence of (X, d), {yn } is also a Cauchy

Theorem 1.3.15. Let (X, d) be a Complete metric space and (Y, d)
sequence in X. But (X, d) is a Complete metric space. Hence {yn } is
be a subspace of (X, d). Then Y is Complete ⇐⇒ Y is closed.
convergent sequence in X. Let lim yn = x.
n→∞
OR
Case I: S = {y1 , y2 , . . . , yn , . . .} = {y1 , y2 , . . . , yn , x} for some n is
Every closed subspace of a Complete metric space is also Complete.
finite. Since every yi ∈ Y, x ∈ Y .
Proof. Suppose Y is Complete and suppose x ∈ X is a limit point of
Case II: S = {y1 , y2 , . . . , yn , . . .} has infinitely many distinct points
Y.
and lim yn = x
n→∞
⇒ for every n, S1/n (x) ∩ Y ̸= ∅.
⇒ x is a limit point of S (by Lemma 1.3.14)
1
⇒ ∃ yn ∈ Y such that d(yn , x) < n. ⇒ x is also a limit point of Y .
1
Given ϵ > 0, choose N , a positive integer such that N < ϵ.
But Y is closed and hence it contains all its limit points.
1 1
Then n ≥ N ⇒ d(yn , x) < ≤ < ϵ.
n N ∴ x ∈ Y.
⇒ {yn } is a convergent sequence in Y . ∴ Every Cauchy sequence in Y is convergent and hence Y is complete.

⇒ {yn } is a Cauchy sequence in Y . [∵ d(ym , yn ) ≤ d(ym , x) +

d(x, yn )]. Definition 1.3.16. Let (X, d) be a metric space and let F = R or C.
Since Y is Complete and {yn } is a Cauchy sequence in Y . A function f : X → F is said to be continuous at x0 , if given ϵ > 0,
∃ δ > 0 such that d(x, x0 ) < δ ⇒ |f (x) − f (x0 )| < ϵ.

18 19
Definition 1.3.17. A function f : X → F is said to be continuous Choose δ = min(δ1 , δ2 ). Then
on X, if it is continuous for all x ∈ X. d(x, x0 ) < δ ⇒ |(f + g)(x) − (f + g)(x0 )|

Note 1.3.18. Isometry between two metric space is obviously contin- = |{f (x) + g(x)} − {f (x0 ) + g(x0 )}|
uous. = |{f (x) − f (x0 )} + {g(x) − g(x0 )}|

Theorem 1.3.19. Let C ∗ (X) = {f : X → F | (X, d) is a metric ≤ |f (x) − f (x0 )| + |g(x) − g(x0 )|
ϵ ϵ
space, F = R or C} < +
2 2
where f is a continuous and bounded on X. Then C ∗ (X) ⊂ B ∗ (X) = ϵ
and further
∴ f + g is continuous on X.
∗ ∗
(i) C (X) is a subspace of B (X).
|f (x)| ≤ kf , |g(x)| ≤ kg
(ii) C ∗ (X) is a closed subspace of B ∗ (X) as a consequence, C ∗ (X) is
a complete metric space. ⇒ |(f + g)(x)| = |f (x) + g(x)| ≤ |f (x)| + |g(x)|

≤ kf + kg
Proof. (i) Suppose f, g ∈ C ∗ (X) and α, β ∈ F .
= kf +g
∗
To show that: (a) f + g ∈ C (X)
∴ f + g is bounded on X.
(b) αf ∈ C ∗ (X)
Hence f + g ∈ C ∗ (X).
⇐⇒ αf + βg ∈ C ∗ (X).
ϵ
Next, consider αf . Since f is continuous at x0 , for > 0.
Consider (f + g)(x) and x0 ∈ X. Since f, g ∈ C ∗ (X), given ϵ > 0, |α|

∃ δ1 > 0, δ2 > 0 such that ∃ δ = δ(ϵ, |α|) such that d(x, x0 ) < δ
ϵ
⇒ |f (x) + f (x0 )| <
|α|
ϵ ϵ
d(x, x0 ) < δ1 ⇒ |f (x) − f (x0 )| < ⇒ |α||f (x) + f (x0 )| < |α| =ϵ
2 |α|
ϵ
d(x, x0 ) < δ2 ⇒ |g(x) − g(x0 )| < . ⇒ |(αf )(x) − (αf )(x0 )| < ϵ
2

∴ αf is continuous on X.

20 21
 |f (x)| ≤ kf , ⇒ |(αf )(x)| = |α||f (x)| ≤ |α|kf = kαf ∴ C ∗ (X) is a closed subspace of B ∗ (X).

∴ f is bounded on X. Since B ∗ (X) is a complete metric space, by Theorem 1.3.15, C ∗ (X) is

also a complete metric space.
Hence αf ∈ C ∗ (X).
Theorem 1.3.20 (Metric Completion Theorem). Any metric space
As a result, C ∗ (X) is a subspace of B ∗ (X).
(X, d) is isometric to a dense subspace of a complet metric space
(ii) To show that: C ∗ (X) is closed.
(X ∗ , d∗ ).
Suppose f ∈ B ∗ (X) and f ∈ C ∗ (X).
Proof. Let (X, d), be a given metric space. Using Theorem 1.3.19,
Claim: f ∈ C ∗ (X) or f is continuous on X, or f is continuous at x0
(C ∗ (X), d∗ ) is a complete metric space over real field in which the
(at any point x0 ∈ X).
metric
d∗ (f, g) = sup |f (x) − g(x)| = ||f − g||.
x∈X
f ∈ C ∗ (X) ⇒ S 3ϵ (f ) ∩ C ∗ (X) ̸= ∅
ϵ Let z ∈ X, be any element arbitrarily fixed.
⇒ ∃ f0 ∈ C ∗ (X) such that ||f − f0 || <
3 Define a mapping f : X → C ∗ (X) by x → f (x) where f (x) : X → R,
ϵ
⇒ sup |f (x) − f0 (x)| <
x∈X 3 given by f (x)(ξ) = d(x, ξ) − d(ξ, z).
ϵ
⇒ |f (x) − f0 (x)| < ∀ x ∈ X. To show that f (x) is continuous on X:
3
It is enough, if we show that it is continuous at any point ξ0 ∈ X.
Since f0 ∈ C ∗ (X), f0 is continuous at x0 .
⇒ Given ϵ > 0, ∃ δ > 0 such that d(x, x0 ) < δ ⇒ |f0 (x) − f0 (x0 )| < 3ϵ ,

Consider,

d(x, x0 ) < δ ⇒ |f (x) − f (x0 )|

⇒ |{f (x) − f0 (x)} + {f0 (x) − f0 (x0)} + {f0 (x0 ) − f (x0 )}|

≤ |f (x) − f0 (x)| + |f0 (x) − f0 (x0 )| + |f0 (x0 ) − f (x0 )|

ϵ ϵ ϵ
< + + = 3.
3 3 3
22 23
 Given ϵ > 0, choose δ = 2ϵ . ∴ f : X → f (X) is isometric, one to one and onto or X ∼
= f (X).
We know that f (X) is dense in f (X).
d(ξ, ξ0 ) < δ ⇒ |f (x)(ξ) − f (x)(ξ0 )|
f (X) is a closed subspace of a complete metric space C ∗ (X). Using
= |{d(x, ξ) − d(ξ, z)} − {d(x, ξ0 ) − d(ξ0 , z)}|
Theorem 1.3.15, f (X) = X ∗ is complete.
(∵ d(x, y) ≤ d(x, z) + d(z, y) ⇒ d(x, y) − d(x, z) ≤ d(z, y))
∴ (X, d) is isometric to (f (X), d∗ ) which is dense in a complete metric
= |{d(x, ξ) − d(x, ξ0 )} − {d(ξ, z) − d(ξ0 , z)}|
space (X ∗ , d∗ ).
≤ |d(x, ξ) − d(x, ξ0 )| + |d(ξ, z) − d(ξ0 , z)|
Definition 1.3.21. Let (X, d) be a given metric space and let f : X →
≤ d(ξ, ξ0 ) + d(ξ, ξ0 ) = 2d(ξ, ξ0 )
C ∗ (X) be an isometry. Then X ∗ = f (X), being a closed subspace of a
ϵ
≤ 2 × = ϵ.
2 complete metric space (C ∗ (X), d∗ ), (X ∗ , d∗ ) is a complete metric space

∴ f (x) continuous on X. and it is called Completion of (X, d).

To show that f (x) is bounded on X: Theorem 1.3.22 (Metric completion is unique upto isome-
try:). All completion of a given metric space are isometric.
|f (x)(ξ)| = |d(x, ξ) − d(ξ, z)|

= |d(x, ξ) − d(z, ξ)| Proof. Suppose (X ∗ , d∗ ) and (X ∗∗ , d∗∗ ) are any two metric completions

≤ d(x, z) = kf (x) < ∞, ∀ ξ ∈ X. of a given metric space (X, d). Then by Theorem 1.3.20, ∃ f, g : X →
C ∗ (X) two isometries such that X ∗ = f (X) and X ∗∗ = g(X).
∴ f (x) is bounded on X and hence f (x) ∈ C ∗ (X) is well defined.
= f (X) ∼
Without loss of generality, X(∼ = g(X)) itself can be taken to
To show that f (x) is an isometry: be dense in both X ∗ and X ∗∗ .
Consider,
Claim: ∃ F : X ∗ → X ∗∗ such that d∗∗ (F (x∗ ), F (y ∗ )) ≤ d∗ (x∗ , y ∗ ).
d∗ (f (x), f (y)) = sup |f (x)(ξ) − f (y)(ξ)| Let x∗ ∈ X ∗ . Since X is dense in X ∗ or X = X ∗ , x∗ is a limit point
ξ∈X
= sup |{d(x, ξ) − d(ξ, z)} − {d(y, ξ) − d(ξ, z)}| of X. ∃ a sequence {xn } in X such that lim xn = x∗ . So, {xn } is a
ξ∈X n→∞

= sup |{d(x, ξ) − d(y, ξ)}| convergent sequence in X. Hence {xn } is a Cauchy sequence in X.
ξ∈X
≤ d(x, y). Then, X ⊆ X = X ∗∗ ⇒ {xn } is a Cauchy sequence in X ∗∗ and

24 25
X ∗∗ is Complete. So, ∃ x∗∗ ∈ X ∗∗ such that lim xn = x∗∗ . 1.4 Exercises
n→∞
x∗ → x∗∗ will be well defined provided {xn } is unique.
To prove that {xn } is unique: (1) Prove that a set A in X is dense in X or A = X.

Suppose, if possible there is another sequence {x′n } in X converging (i) ⇐⇒ the only closed superset of A is X.

to x∗ . (ii) ⇐⇒ the only open set disjoint from A is ∅.

⇒ d(xn , x∗ ) → 0, as n → ∞ and d(x′n , x∗ ) → 0, as n → ∞ (iii) ⇐⇒ A intersects every open sphere.

⇒ 0 ≤ d(xn , x′n ) ≤ d(xn , x∗ ) + d(x∗ , x′n )

(2) Show that the metric space of complex numbers with usual metric
= d(xn , x∗ ) + d(x′n , x∗ ) → 0, as n → ∞
is isometric to R2 with Euclidean metric.
⇒ d(xn , x′n ) =0

⇒ xn = x′n .
1.5 References
Hence, for every x∗ ∈ X ∗ , there is well defined element x∗∗ ∈ X ∗∗ .
1. G. F. Simmons - Introduction to Topology and Modern Analysis,
Define F : X ∗ → X ∗∗ by F (x∗ ) = x∗∗ .
Tata McGraw-Hill, New Delhi, 2004.
Suppose x∗ , y ∗ ∈ X ∗ . Then ∃ {xn } and {yn } in X such that lim xn =
n→∞
x∗ , lim yn = y ∗ . 2. A. E. Taylor - Introduction to Functional Analysis, Willey, New
n→∞
Since X = X ∗∗ , lim xn = x∗∗ , lim yn = y ∗∗ . York, 1958.
n→∞ n→∞

Consider,
−−−−−−−−−−−−−−−−−−−−−

d∗∗ (F (x∗ ), F (y ∗ )) = d∗∗ (x∗∗ , y ∗∗ )

= lim d(xn , yn )
n→∞

= d∗ (x∗ , y ∗ ).

Hence F is an isometry and X ∗ ∼

= X ∗∗ .

26 27
 Definition 2.2.2. Let (X, d) be a metric space and let T : X → X be
a mapping from X into X. Then a point x ∈ X is said to be a fixed
point of T , if Tx = x.

Note 2.2.3. Every Contraction mapping in continuous.

Chapter 2
Given ϵ > 0, select δ = ϵ.
Then d(x, x0 ) < δ ⇒ d(Tx , Tx0 ) ≤ αd(x, x0 ) < d(x, x0 ) < δ = ϵ,
Unit 2: Banach’s Contraction (∵ α < 1).
∴ By definition, T is continuous at x0 , and hence it is continuous on
Mapping Theorem and X.

Applications Theorem 2.2.4 (Banach Fixed Point Theorem or Banach Con-

traction Mapping Theorem). Let (X, d) be a complete metric space
and let T : X → X be a Contraction Mapping. Then T has a unique
2.1 Introduction fixed point.

In this unit, we introduce the concept of Banach Contraction Mapping Proof. : Let x0 ∈ X. Define sequence {xn } in X as follows:

Theorem and its Applications.

x1 = T x0

x2 = Tx1 = T (Tx0 ) = Tx20

2.2 Banach Contraction Mapping Theorem ..
.

xn = Txn−1 = Txn0 .
Definition 2.2.1. Let (X, d) be a metric space and let T : X → X be a
mapping from X into X. Then T is said to be a contraction mapping, To show that {xn } is a Cauchy sequence:
1
if there exists α ∈ R such that 0 < α < 1 and d(Tx , Ty ) ≤ αd(x, y),
∀ x, y ∈ X.

28 29
Let us observe that, Consider,

d(xm+1 , xm ) = d(Txm , Txm−1 ) d(Tx , x) ≤ d(Tx , xn ) + d(xn , x)

≤ αd(xm , xm−1 ) = d(Tx , Txn−1 ) + d(xn , x)

≤ αd(Txm−1 , Txm−2 ) ≤ αd(x, xn−1 ) + d(xn , x)

≤ α2 d(xm−1 , xm−2 ) = αd(xn−1 , x) + d(xn , x), ∀ n.

..
.
Allow n → ∞, 0 ≤ d(Tx , x) ≤ αd(xn−1 , x) + d(xn , x) → 0
≤ αm d(x1 , x0 ), (∵ d(x1 , x0 ) = d(xm−(m−1) , xm−m )) (∗) ∴ d(Tx , x) = 0.

Consider, Finally, let us show that the fixed point is unique.

Suppose, if possible Tx1 = x1 and Tx2 = x2 .
d(xm , xn ) ≤ d(xm , xm−1 ) + d(xm−1 , xm−2 ) + · · · + d(xn+1 , xn ), using (∗)
⇒ 0 ≤ d(x1 , x2 ) = d(Tx1 , Tx2 ) ≤ αd(x1 , x2 ) < d(x1 , x2 )
n m−n−1
= α [1 + α + · · · + α ]d(x1 , x0 ) ⇒ d(x1 , x2 ) < d(x1 , x2 ) which is meaningless.
n m−n−1
< α [1 + α + · · · + α + · · · + ∞]d(x1 , x0 ) ∴ x1 = x2 .
n
α
= d(x1 , x0 ), 0 < α < 1,
1−α Theorem 2.2.5. Let T be a mapping of a complete metric space X
→ 0 as m, n → ∞. into itself. Let T be a contraction on a closed ball

∴ {xn } is a Cauchy sequence in X. B r (x0 ) = {x ∈ X : d(x, x0 ) ≤ r}.

Since (X, d) is a complete metric space, {xn } converges to x in X or
Suppose that d(x0 , Tx0 ) < (1−α)r. Then the iterative sequence defined
lim xn = x.
n→∞
by xn = Txn0 = Txn−1 converges to x ∈ B r (x0 ) and this x is the unique
Next, to show that x = lim xn is a fixed point for T (or to show that
n→∞
fixed point of T .
Tx = x or to show that d(Tx , x) = 0).

Proof. Setting m = 0 in the proof of the Theorem 2.2.4, we have

d(x0 , x1 )
d(x0 , xn ) = .
1−α
30 31
 x x
dy
Z Z
It follows that d(x0 , xn ) < r, (∵ d(x0 , Tx0 ) < (1 − α)r).
⇐⇒ dx = f (t, y(t))dt
x0 dx
This shows that all xn ’s are in B r (x0 ). Since xn → x and B r (x0 ) is Zx0x
or y(x) − y(x0 ) =
f (t, y(t))dt
closed, it follows that x ∈ B r (x0 ). The assertion of the theorem now x0
Z x
follows from the proof of the Theorem 2.2.4. or y(x) = y0 + f (t, y(t))dt.
x
Rx 0
Define T : X → X by Ty(x) = y0 + x0 f (t, y(t))dt, where X is the
2.3 Applications space of all solutions of the initial value problem.

Now, the problem, if and only if finding a unique y such that

We shall now give some application of Banach Contraction Mapping
Ty = y or T has a unique fixed point.
Theorem.
To apply the Banach Contraction Mapping Theorem, we need to show
Theorem 2.3.1 (Picard’s Theorem). Let f : D → R1 be a con- the following:
2
tinuous function of a open domain D ⊆ R . Let (x0 , y0 ) ∈ D. If f (1) X is a complete metric space.
satisfies the Lipschitz condition: (2) T : X → X is a Contraction Mapping.

|f (x, y1 ) − f (x, y2 )| ≤ M |y1 − y2 | To clearly define the space X:

Given f (x, y) satisfies the Lipschitz condition:
for all (x, y1 ) and (x, y2 ) are in D, then there exists α > 0 such that
|f (x, y1 ) − f (x, y2 )| ≤ M |y1 − y2 |.
the initial value problem.
Also f (x, y) is continuous at (x0 , y0 ).
dy
= f (x, y), y(x0 ) = y0 ,
dx Given ϵ = 1, ∃ δ > 0 such that

has a unique solution on [x0 − α, x0 + α]. (x, y) ∈ Sδ ((x0 , y0 )) ⇒ |f (x, y) − f (x0 , y0 )| < 1.

⇒ |f (x, y)| ≤ 1 + |f (x0 , y0 )| = k.

Proof. First, we note that the initial value problem

dy Choose, α > 0 such that αM < 1.

= f (x, y), y(x0 ) = y0
dx Define a rectangle in R2 .

R = {(x, y) : x ∈ [x0 − α, x0 + α], y ∈ [y0 − αk, y0 + αk]}.

32 33
Then R can hold all the solutions passing through (x0 , y0 ). Next, T is continuous:
 Z x1   Z x2 
Define, X = {ϕ : [x0 − α, x0 + α] → [y0 − αk, y0 + αk]}, where ϕ is |Tϕ(x1 ) − Tϕ(x2 ) | = y0 + f (t, ϕ(t))dt − y0 + f (t, ϕ(t))dt
continuous and ϕ(x0 ) = y0 . Z x2 x0 x0

= − f (t, ϕ(t))dt
To show that X is complete:
Z x2 x1
Clearly, X ⊆ C ∗ ([x0 −α, x0 +α]) = {ϕ : [x0 −α, x0 +α] → R1 | ϕ is continuous} ≤ |f (t, ϕ(t))|dt
x1
C ∗ ([x0 −α, x0 +α]) is a complete metric space, ψ ∈ C ∗ ([x0 −α, x0 +α]) ≤ k|x1 − x2 |.
and ψ ∈ X
Given ϵ > 0, choose δ = kϵ , then continuity follows.
⇒ ∃ {ϕn } in X such that ψ(x) = lim ϕn (x), ∀ x ∈ [x0 − α, x0 + α].
n→∞ Rx
Finally, to show that T : X → X, by Ty = y0 + x0 f (t, y(t))dt is
For all n, y0 − αk ≤ ϕn (x) ≤ y0 + αk.
a contraction mapping:
⇒ y0 − αk ≤ ψ(x) ≤ y0 + αk.
For every, ϕ1 , ϕ2 ∈ X, consider,
ψ(x0 ) = lim ϕn (x0 ) = lim y0 = y0 .
n→∞ n→∞
∴ ψ ∈ X or X is a closed subspace of C ∗ ([x0 − α, x0 + α]). d∗ (Tϕ1 , Tϕ2 ) = sup |Tϕ1 (x) , Tϕ2 (x) |
x∈[x0 −α,x0 +α]=I
Z x Z x
Hence, using the standard theorem, X is a complete metric space.
   
= sup y0 + f (t, ϕ1 (t))dt − y0 + f (t, ϕ2 (t))dt
Rx x∈I x0 x0
To show that T : X → X, by Ty = y0 + x0 f (t, y(t))dt is a Z x
= sup {f (t, ϕ1 (t)) − f (t, ϕ2 (t))}dt
contraction mapping. x∈I x0
Z x
First, let us show that if ϕ(x) ∈ [y0 − αk, y0 + αk], ≤ sup |f (t, ϕ1 (t)) − f (t, ϕ2 (t))|dt
x∈I x0
then Tϕ(x) ∈ [y0 − αk, y0 + αk]. Z x
Z x ≤ sup M |ϕ1 (t) − ϕ2 (t)|dt
x∈I x0
|Tϕ(x) − y0 | = f (t, ϕ(t))dt
≤ sup M |ϕ1 (t) − ϕ2 (t)||x − x0 |
Z xx0 x∈I
≤ |f (t, ϕ(t))|dt ≤ d∗ (ϕ1 (t), ϕ2 (t))M α
x0
Z x
< kdt ∴ d∗ (Tϕ1 , Tϕ2 ) ≤ d∗ (ϕ1 (t), ϕ2 (t)), (∵ M α < 1).
x0
= k(x − x0 ) ≤ kα, (∵ x ∈ [x0 − α, x0 + α] ⇒ (x − x0 ) < α). Let us apply Banach Contraction Mapping Theorem for
Z x
Tϕ(x) = y0 + f (t, ϕ(t))dt.
⇒ −kα ≤ Tϕ(x) − y0 ≤ kα, or Tϕ(x) ∈ [y0 − αk, y0 + αk]. x0

34 35
There is a unique y(x) ∈ X such that Ty(x) = y(x) or 2. A. E. Taylor - Introduction to Functional Analysis, Willey, New
Z x
York, 1958.
y(x) = y0 + f (t, y(t))dt,
x0

has unique solution or −−−−−−−−−−−−−−−−−−−−−

dy
= f (x, y), y(x0 ) = y0
dx

has a unique solution.

2.4 Exercises

(1) Let T : X → X, where X is a metric space, satisfy d(Tx , Ty ) <

d(x, y) where x ̸= y. Suppose that T has a fixed point. Show that the
fixed point is unique.
(2) Let X be a metric space. If T is a contraction on X, then show
that T n (n ∈ N) is a contraction. If T n is a contraction on X for an
n > 1, then show that T need not be a contraction.
(3) A sufficient condition for convergence of an iteration xn = g(xn−1 )
is that g be continuously differentiable and |g ′ (x)| ≤ α < 1. Verify
this by using Banach Contraction Mapping Theorem.

2.5 References

1. G. F. Simmons - Introduction to Topology and Modern Analysis,

Tata McGraw-Hill, New Delhi, 2004.

36 37
 Definition 3.1.3. Let (X, d) be a metric space. A subset Y ⊆ X is
said to be everywhere dense, if Y = X.
OR Int(Y ) = X.

Definition 3.1.4. Let (X, d) be a metric space. A subset Y ⊆ X is

Chapter 3
said to be nowhere dense, if Int(Y ) = ∅ (where Y need not be empty).

Example 3.1.5. (1) Y = {y} ⇒ Y = {y} =

̸ ∅.
Unit 3: Baire’s Category Theorem Int(Y ) = ∅.
∴ Every singleton sets are nowhere dense.
⇒ Every finite set is also nowhere dense.
3.1 Introduction
⇒ Every countably infinite set is also nowhere dense.
Z is nowhere dense in R1 .
In this unit, we introduce the concept of Baire’s Category Theorem.
We shall first define some basic definitions.
(2) X = R1 , Y = Q,
Definition 3.1.1. Let (X, d) be a metric space. If Y ⊆ X, then
Q = R1 , Q is everywhere dense in R1 .
Y = {x ∈ X : either x ∈ Y or x limit point of Y }
\ Definition 3.1.6. Let (X, d) be a metric space. A subset Y ⊆ X is
= F, where F is a closed set in X. ∞
S
F ⊇Y said to be of first category, if Y = Yn , where Yn is nowhere dense
n=1
Y is the smallest closed set in X containing Y . in X.
OR Int(Yn ) = ∅, n = 1, 2, . . ..
Definition 3.1.2. Let (X, d) be a metric space. If Y ⊆ X, then
interior of Y is denoted by Int(Y ) and defined by Definition 3.1.7. Let (X, d) be a metric space. A subset Y ⊆ X is
said to be of second category, if it is not a set of first category.
Int(Y ) = the largest open set contained in Y . ∞
S
[ OR If Y = Yn , then for at least one n, Int(Yn ) ̸= ∅.
= G, where G is an open subset of X. n=1
G⊆Y

38 39
Theorem 3.1.8 (Baire’s Category Theorem). Every nonempty Sr0 (x0 ) ⊇ Sr1 (x1 ) ⊇ Sr2 (x2 ) ⊇ · · · ⊇ Srn (xn ) ⊇ · · · .
complete metric space is of second category. Claim: {xn } is a Cauchy sequence in X.
1
xm ∈ Srn (xn ) ⇒ d(xm , xn ) < rn < n
Proof. we need following Lemma.
1
xn ∈ Srm (xm ) ⇒ d(xm , xn ) < rm < m
Lemma: Suppose {Gn : n = 1, 2, . . .} is a sequence of everywhere 1
∞
T ⇒ d(xm , xn ) < min(m,n) → 0 as m, n → ∞.
dense subsets of a complete metric space (X, d). Then Gn is also
n=1 ∴ {xn } is a Cauchy sequence in X.
everywhere dense in X.
Since, X is complete. We have lim xn = x ∈ X.
n→∞
Proof of the Lemma: We know that Y is everywhere dense in X. ⇒ x ∈ Srn (xn ), ∀ n ≥ n0 .
⇐⇒ Y intersects every open sphere in X. ⇒ x ∈ Srn (xn ), ∀ n
i.e. x ∈ X and r > 0 ⇒ Y ∩ Sr (x) ̸= ∅. (∵ Sr0 (x0 ) ⊇ Sr1 (x1 ) ⊇ Sr2 (x2 ) ⊇ · · · ⊇ Srn (xn ) ⊇ · · · )
∞
T
It is enough, we show that A = Gn intersects any open sphere in
n=1 rn (xn ) ⊆Gn , x ∈ Gn , ∀ n
since, S
∞
X. ⇒x∈
T
Gn = A and x ∈ Sr0 (x0 )
n=1
Let x0 ∈ X and r0 > 0 be arbitrary. Then it is enough to show that ⇒ Sr0 (x0 ) ∩ A ̸= ∅.
∞
A ∩ Sr0 (x0 ) ̸= ∅. ∴A=
T
Gn everywhere dense in X.
n=1
Given, G1 is everywhere dense in X.
Proof of the Theorem 3.1.8:
⇒ Sr0 (x0 ) ∩ G1 ̸= ∅, we can find x1 ∈ Sr0 (x0 ) ∩ G1 , choose, 0 < r1 < 1.
Suppose {Yn : n = 1, 2, . . .} is a sequence of nowhere dense sub-
Then Sr1 (x1 ) ⊆ Sr0 (x0 ) ∩ G1 and Sr0 (x0 ) ⊇ Sr1 (x1 ).
sets of X.
Next, G2 is also given to be everywhere dense in X.
∞
S
⇒ Sr1 (x1 ) ∩ G2 ̸= ∅. So, we can find x2 ∈ Sr1 (x1 ) ∩ G2 , choose, 0 < Claim: X ̸= Yn or ∃ x ∈ X such that x ∈
/ Yn , ∀ n.
n=1
r2 < 12 . Then Sr2 (x2 ) ⊆ Sr1 (x1 ) ∩ G2 and Sr0 (x0 ) ⊇ Sr1 (x1 ) ⊇ Sr2 (x2 ).

Continuing this process for every n, we can find

1
xn ∈ Srn−1 (xn−1 ) ∩ Gn and we may choose 0 < rn < n

So, {xn } is a sequence in X and

40 41
 S ∞
∅ = Int(Yn ) = Gn ( where Gn is an open subset of Yn ), Proof. First, we shall show that
T
Fn cannot have more than one
Gn ⊆Yn n=1

⇒ X = ϕ′ = [Int(Yn )]′ element.

 ′
[ Given that d(Fn ) → 0 as n → ∞,
=  Gn 
⇒ given ϵ > 0, ∃ a positive integer N such that n ≥ N ⇒ d(Fn ) < ϵ.
Gn ⊆Yn
⇒ As ϵ → 0, d(Fn ) = 0 for n = N, N + 1, . . .
\
= G′n (Gn is open ⇍ G′n is closed)
′
Yn ⊇G′n ∴ Fn cannot have more than one element for n = N, N + 1, . . .
′ ∞
= Yn
T
∴ Fn cannot have more than one element.
n=1
′ ∞
{Yn : n = 1, 2, . . .} is a sequence of everywhere dense subsets of X.
T
Next, we shall show that Fn ̸= ∅ or to show that ∃x ∈ X such that
∞
T ′ n=1
By Lemma, Yn is also everywhere dense. x ∈ Fn , ∀ n.
n=1
∞ 
T ′ Given that Fn ̸= ∅ ⇒ ∃ xn ∈ Fn , ∀ n = 1, 2, . . ..
⇒ Sr0 (x0 ) ∩ Yn ̸= ∅
n=1
∞
T ′
It is also given that F1 ⊇ F2 ⊇ · · · ⊇ Fn ⊇ · · · or F1 ⊇ F2 ⊇ · · · ⊇
⇒ x ∈ X such that x ∈ Yn
n=1 Fn ⊇ · · · ⊇ Fm ⊇ · · ·
′
⇒ x ∈ Yn , ∀ n.
⇒ xn ∈ Fn , m < n will give us xn ∈ Fm or xm ∈ Fm , m > n will give
′
⇒x∈
/ Yn , f orall n = 1, 2, . . .
us xm ∈ Fn .
/ Yn , f orall n = 1, 2, . . ., (∵ Yn ⊆ Yn )
⇒x∈
S∞ ⇒ either d(xm , xn ) < d(Fm ) or d(xm , xn ) < d(Fn )
∴X∈
/ Yn .
n=1 ⇒ d(xm , xn ) < min(d(Fm ), d(Fn )) → 0 as n → ∞ (∵ d(Fn ) → 0 as
Hence X is of second category.
n → ∞)
Theorem 3.1.9 (Cantor’s Intersection Theorem). Let (X, d) be So, {xn } is a Cauchy sequence in X and X being Complete, lim xn =
n→∞
a complete metric space. Let {In } be a sequence of nonempty closed x ∈ X.
subsets of X such that
Case I: Suppose {xn } = {x1 , x2 , . . . , xN −1 , x, x, . . . , x} and
(1) F1 ⊇ F2 ⊇ F3 ⊇ · · · ⊇ Fn ⊇ · · ·
S = {x1 , x2 , . . . , xN −1 , x} is finite.
(2) d(Fn ) → 0 as n → ∞.
∞ ⇒ x ∈ Fn , ∀ n = N, N + 1, . . ..
T
Then Fn contains exactly one element.
n=1

42 43
Since, F1 ⊇ F2 ⊇ · · · ⊇ FN −1 ⊇ FN , x ∈ Fn , n = 1, 2, . . . , N − 1 ⇒ Choose, xn ∈ S1/2n−1 (xn−1 ) and rn = 1/2n−1 , so that S1/2n−1 (xn ) ∩
∞
T ∞
T
∴ x ∈ Fn , ∀ n or x ∈ Fn or Fn ̸= ∅. An = ∅.
n=1 n=1

Case II: Suppose S = {x1 , x2 , . . . , xn , . . .} is infinite. Put Fn = S1/2n (xn ) so that F1 ⊇ F2 ⊇ · · · ⊇ Fn and Fn ∩ An = ∅.

Since {xn } converges to x, x is a limit point of S. Also, d(Fn ) = diameter of the closed sphere with radius 1/2n =

⇒ x is also a limit point of {xn , xn+1 , . . .} ⊆ Fn , n = 1, 2, . . .. 2/2n → 0 as n → ∞.

⇒ x is also a limit point of Fn and Fn is a closed set. Hence by Cantor’s Intersection Theorem,
∞
∞ ∞ T
⇒ x ∈ Fn , for n = 1, 2, . . .. ∴ x ∈
T
Fn or
T
Fn ̸= ∅ Fn = {x} for some x ∈ X.
n=1
n=1 n=1
∞
T ⇒ x ∈ Fn , ∀ n = 1, 2, . . .
Hence Fn has exactly one point.
n=1 But Fn ∩ An = ∅.
Problem 3.1.10. Use of Cantor’s Intersection Theorem to prove Baire’s ∴x∈
/ An , ∀ n = 1, 2, . . ..
Category Theorem.

Proof. If {An : n = 1, 2, . . .} is a sequence of nowhere dense subsets 3.2 Exercises

of a Complete metric space (X, d). Then ∃ x ∈ X such that x ∈
/ An ,
(1) Show that
∀ n = 1, 2, . . ..
∞
( )
Given that A1 is nowhere dense subset of X.
X
l1 = x = (x1 , x2 , . . . , xn , . . .) | |xj | < 1
j=1
⇒ Choose, x1 ∈ X and r = 1 so that S1 (x1 ) ∩ A1 = ∅.
is dense, but of the first category.
Put F1 = S1/2 (x1 ) so that F1 ∩ A1 = ∅.
Next, it is also given that A2 is a nowhere dense subset of X. (2) Prove that
⇒ Choose x2 ∈ S1/2 (x1 ) and r = 1/2, so that S1/2 (x2 ) ∩ A2 = ∅.
 
l∞ = x = (x1 , x2 , . . . , xn , . . .) | ||x||∞ = sup |xj | < ∞
Put F2 = S1/4 (x2 ) so that F1 ⊇ F2 and F2 ∩ A2 = ∅. j

We may continue this process for every n = 1, 2, . . ., so that we may is dense, but of the first category in S, where S denotes the set of all

follow the same procedure: sequences of real or complex numbers.

An is a nowhere dense subset of X.

44 45
3.3 References

1. G. F. Simmons - Introduction to Topology and Modern Analysis,

Tata McGraw-Hill, New Delhi, 2004.

2. A. E. Taylor - Introduction to Functional Analysis, Willey, New

Chapter 4
York, 1958.

−−−−−−−−−−−−−−−−−−−−−
Unit 4: Ascoli-Arzela Theorem

4.1 Introduction

In this unit, we introduce the concept of Ascoli-Arzela Theorem.

4.2 Ascoli-Arzela Theorem

In order to prove Ascoli-Arzela Theorem, we shall first define some

basic definitions.

Definition 4.2.1. Let (X, d) be a metric space. A family of open set

S
{Gi } is said to be an open cover of X, if X = Gi .
i

Definition 4.2.2. Let (X, d) be a metric space. If {Gin } is a subfamily

S
of {Gi } and X = Gin , then {Gin } is called subcover of X.
in

Definition 4.2.3. Let (X, d) be a metric space. (X, d) is said to be a

compact metric space, if every open cover of X has a finite subcover.

46 47
Definition 4.2.4. Let (X, d) be a metric space. (X, d) is said to be ⇒ S = {x1 , x2 , . . . , xn , . . .} will be an infinite set in X.
a sequentially compact, if every sequence {xn } in X has a convergent Since, X has Balzano-Weierstrass property, A has a limit point x ∈ X.
subsequence {xnk }. ⇒ For every k > 0, ∃ xnk ∈ S such that xnk ∈ Srnk (x) ∩ S(̸= ∅).
⇒ {xnk } is a convergent subsequence of {xn }.
Definition 4.2.5. Let (X, d) be a metric space. (X, d) is said to have
∴ X is also sequentially compact.
Balzano - Weierstrass property, if every infinite subset A ⊆ X has a
limit point. Theorem 4.2.7. Every compact metric space has Balzano-Weierstrass

Theorem 4.2.6. Let (X, d) be a metric space. Then X is sequentially property. Hence it is also sequentially compact.

compact if and only if X has Balzano - Weierstrass property.

Proof. Suppose X is a compact metric space and suppose A is any

Proof. Suppose X is sequentially compact and suppose A is any infi- infinite subset of X. Suppose if possible A has no limit point in X.

nite subset of X. S = {a1 , a2 , . . . , an , . . .}, Sri (ai ) ∩ A = {ai }

⇒ ∃ a sequence {xn } in A with distinct points. Set Gi = Sri (ai ), i = 1, 2, . . ..

⇒ {xn } is a sequence in X and X is sequentially compact. Then {Gi } is a collection of open subsets of X. We may make {Gi }

⇒ ∃ a convergent subsequence {xnk } in A ⊆ X. an open cover of X selecting ri suitably,

⇒ {xnk } is a convergent sequence with infinitely many distinct points

[
X= Gi .
i
in A.
⇒ x = lim xnk is a limit point of A. Since X is compact, X = Gi1 ∪ Gi2 ∪ · · · Gin .
nk →∞
∴ A has Balzano - Weierstrass property. Since A is nothing but set of centers of these sphere, A = {ai1 , ai2 , . . . , ain }
is a finite subset of X which is a contradiction.
Suppose X has Balzano - Weierstrass property and suppose {xn }
is any sequence in X. Definition 4.2.8. Let (X, d) be a metric space. Then X is said to be

Case I: Suppose {xn } = {x1 , x2 , . . . , xN −1 , x, xN +1 , . . . , xN +k , x, . . .}. totally bounded, if for every ϵ > 0, ∃ A = {a1 , a2 , . . . , aN } ⊆ X such

Then, xnk = x or {x, x, . . .} is a convergent subsequence. that

N
[
X= Sϵ (ak ).
Case II: Suppose {xn } has distinct elements. k=1

48 49
Definition 4.2.9. Let Y be a subset of a metric space (X, d). Then Y So, for {xn } there is a convergent subsequence {xnk } in X with
is said to be totally bounded, if for every ϵ > 0, ∃ A = {a1 , a2 , . . . , aN } ⊂ lim xnk = x.
nk →∞
X such that
N
[ 0 ≤ d(xn , x) ≤ d(xn , xnk ) + d(xnk , x) → 0 as n, nk → ∞.
Y ⊆ Sϵ (ak ).
k=1
∴ {xn } converges to x in X.
Note 4.2.10. (1) A is also called as ϵ-net of X.
Hence X is complete.
(2) x ∈ X ⇒ ∃ at least one ak ∈ A such that d(x, ak ) < ϵ.
Next, we shall show that X is also totally bounded.
Observation 4.2.11. (1) Suppose Y1 ⊆ Y2 ⊆ X and (X, d) is a metric
Suppose if possible, X is not totally bounded.
space. Then Y2 is totally bounded ⇒ Y1 is also totally bounded
N
S ∃ ϵ > 0, such that X has no ϵ-net or X has no covering by finitely
(∵ Y1 ⊆ Y2 ⊆ Sϵ (ak )).
k=1 many open spheres with radii ϵ. We shall construct a sequence {xn }
(2) A subset Y of a metric space (X, d) is totally bounded if and only
such that it has no convergent subsequence. This means X is not
if Y is totally bounded.
sequentially compact which will be a contradiction.
(3) A subset Y in a metric space (X, d) is totally bounded ⇒ Y is also
Let x1 ∈ X be any point in X. Since, X ̸= Sϵ (x)
bounded.
∃ x2 ∈ X \ Sϵ (x1 ) (otherwise, X = Sϵ (x1 ) ⇒ X is totally bounded
(4) A bounded set in a metric space need not be totally bounded.
which is against to the contra assumption).
(5) In Rn , every bounded set is also totally bounded.
⇒ d(x1 , x2 ) ≥ ϵ.
Theorem 4.2.12. Every sequentially compact metric space is both
Suppose, we have constructed x1 , x2 , . . . , xn ∈ X such that d(xi , xj ) ≥
complete and totally bounded.
ϵ, j = 1, 2, . . . , n.
n
S
Proof. First, we shall show that a sequentially compact metric space Since, X is not totally bounded, X ̸= Sϵ (xk )
k=1
n
(X, d) is complete.
S
⇒ ∃ xn+1 ∈ X \ Sϵ (xk ) and hence d(xn+1 , xi ) ≥ ϵ, ∀ i = 1, 2, . . . , n.
k=1
Let {xn } be any Cauchy sequence in X. By definition, d(xm , xn ) → Thus, inductively we have constructed a sequence {xn } in X such that

0 as m, n → ∞. It is given that X is sequentially compact. By defi- d(xm , xn ) ≥ ϵ.

nition, every sequence in X has a convergent subsequence. ⇒ {xn } can not have a Cauchy sequence, ({xn } is convergent ⇒ {xn }

50 51
is Cauchy sequence if and only if {xn } is not Cauchy sequence ⇒ {xn } Suppose we have constructed,
is not convergent).
S1 = S(x1 ; 1/2),
⇒ {xn } can not have a convergent subsequence.
S2 = S(x2 ; 1/22 ),
Theorem 4.2.13. Let (X, d) be a complete and totally bounded metric ..
.
space. Then X is compact.
Sn = S(xn ; 1/2n ),

Proof. Suppose if possible, X is not compact.

such that no Si , i = 1, 2, . . . , n can be covered finitely by G.
⇒ an open cover G of X which has no finite subcover.
To construct Sn+1 :
n
Let us construct a sequence {Sn } = {S1/2n (xn )} = {S(xn ; 1/2 )} Again, since X is totally bounded, for ϵ = 1/2n+1 ,
NS
n+1
(n+1) (n+1) (n+1) (n+1)
of open spheres in X in which no open sphere has a finite subcover of ∃ An+1 = {a1 , a2 , . . . , aNn+1 } such that X = S(ak ; 1/2n+1 ).
k=1
G. Again, since X is not compact, ∃ at least one k, such that S(ak
(n+1)
; 1/2n+1 )
To construct S1 : has no finite subcover of G.
It is given that X is totally bounded. Set Sn+1 = S(ak
(n+1)
; 1/2n+1 ) = S(xn+1 ; 1/2n+1 ), where xn+1 = ak
(n+1)
.
(1) (1) (1)
⇒ for ϵ = 1/2, ∃ A1 = {a1 , a2 , . . . , aN1 } in X such that
Claim: {xn } is a Cauchy sequence.
N1
X=
[ (1)
S(ak ; 1/2). Let y ∈ Sn ∩ Sn+1 . Consider
k=1
d(xn , xn+1 ) ≤ d(xn , y) + d(y, xn+1 )
(1)
Since X is not compact, there is at least one k such that S(ak ; 1/2) 1 1
< n + n+1
2 2
has no finite subcover of G. 1
(1) (1) = n+1 [2 + 1]
Set S1 = S(ak ; 1/2) = S(x1 ; 1/2), where x1 = ak . 2
3 22
= n+1 < n+1 , ∀ n.
2 2

52 53
 Next, ∴ For large value of k, Sk ⊆ S(x; ϵ) ⊆ G ∈ G
Sk is covered by a single member of G.
d(xm , xn ) ≤ d(xm , xm+1 ) + d(xm+1 , xm+2 ) + · · · + d(xn−1 , xn )
1 1 1 This is a contradiction.
< m−1 + m + · · · + n−2
2 2 2
Theorem 4.2.14. Let (X, d) be a metric space. Then the following
 
1 1 1
= m−1 1 + + · · · + n−m−1
2 2 2 are equivalent:
1 − rn+1
 
∵ GP = 1 + r + r2 + · · · + rn = (1) X is compact.
1−r
1 (1 − 1/2n−m ) (2) X is sequentially compact.
= m−1
2 (1 − 1/2)
  (3) X is complete and totally bounded.
1 1
= 2 m−1 1 − n−m
2 2
1

1
 Proof. (1) ⇒ (2).
= m−2 1 − n−m
2 2 X is compact ⇒ X has Balzano - Weierstrass property.
1
< m−2 → 0 as m → ∞ and n → ∞. ⇐⇒ X is sequentially compact (using Theorem 4.2.7).
2
(2) ⇒ (3).
Since, X is complete and {xn } is Cauchy sequence in X.
X is sequentially compact ⇒ X is complete and totally bounded (using
lim xn = x, (where x ∈ X),
n→∞ Theorem 4.2.12).
since x ∈ X and G is an open cover of X, x ∈ G for some G ∈ G. (3) ⇒ (1).
⇒ x ∈ S(x; ϵ) ⊆ G. X is complete and totally bounded ⇒ X is compact (using Theorem
Consider, Sk for any k and z ∈ Sk . 4.2.13).
By construction, Sk can not be covered finitely by G.
Corollary 4.2.15. Let (X, d) be a complete metric space. Then a
But,
closed subset Y of X is compact if and only if Y is totally bounded.
d(x, z) ≤ d(x, xk ) + d(xk , z)
1 Proof. Suppose X is complete and Y is a closed subset of X.
< ϵ + k , (allow k → ∞)
2
⇒ Y is also complete.
< ϵ, for large value of k or z ∈ S(x; ϵ)

54 55
By hypothesis, Y is totally bounded. Using Theorem 4.2.14, Y is if for every ϵ > 0, ∃ δ > 0 such that d(x, x′ ) < δ
compact.
⇒ |f (x) − f (x′ )| < ϵ, ∀ x, x′ ∈ X, f ∈ F.
Suppose Y is compact ⇒ Y is totally bounded (again using Theorem
4.2.14). Also, a family of functions F in C(X) is said to be uniformly bounded,
if ∃ M > 0 such that |f (x)| ≤ M , ∀ x ∈ X and f ∈ F.
Corollary 4.2.16. Let (X, d) be a complete metric space and let Y ⊆
X. Then Y is compact if and only if Y is totally bounded. Note 4.2.18. (1) f ∈ F and F is equi-continuous family
⇒ f is uniformly continuous on X.
Proof. Suppose, Y is compact ⇒ Y is complete and totally bounded.
n (2) If K is the set of all uniformly bounded functions, then K is
S
⇒ ϵ > 0, ∃ A = {a1 , a2 , . . . , an } ⊆ X such that Y ⊆ Sϵ (ak )
k=1 a bounded set in C(X). The uniformly boundedness is nothing but
n
S
⇒Y ⊆Y ⊆ Sϵ (ak ) boundedness in C(X).
k=1
∴ Y is also totally bounded.
Theorem 4.2.19 (Ascoli-Arzela Theorem). Let (X, d) be a com-
Suppose, Y is totally bounded ⇒ Y is also totally bounded (using (2)
pact metric space. Let C(X) be the complete metric space of all contin-
of Observation 4.2.11) since Y is a closed subset of a complete space
uous, bounded, real or complex valued functions on X with the metric
X.
is given by supremum norm. Then a closed subset K of C(X) is com-
⇒ Y is also complete.
pact ⇐⇒ K is equi-continuous and uniformly bounded.
Since, Y is complete and totally bounded, Y is compact (using Theo-
rem 4.2.14). Proof. Let us apply the Theorem 4.2.14 to K. Then K is compact if
and only if K is complete and totally bounded. But C(X) is complete
Definition 4.2.17. Let (X, d) be a metric space. Let C(X) be the
and K is a closed subset of C(X). So, K is complete. As a result, we
complete metric space of all continuous, bounded, real or complex val-
obtain K is compact if and only if K is totally bounded.
ued functions on X with the metric is given by the supremum norm
Suppose K is compact. First we shall show that K is equi-
||f || = sup |f (x)| and d(f, g) = ||f − g||.
x∈X continuous.

Then a family of functions F in C(X) is said to be equi-continuous, K is compact ⇒ K is totally bounded.

56 57
⇒ K has an 3ϵ -net, A = {f1 , f2 , . . . , fN } Suppose K is equi-continuous and uniformly bounded.
⇒ for every f ∈ K, |f (x) − fi (x)| < 3ϵ , i = 1, 2, . . . , N . We know that C(X) is complete metric space and K is a closed subset
Since, fi ’s continuous and K is compact, fi is also uniformly continu- of C(X), we shall show that K is totally bounded.
ous on K. By definition of uniformly continuity, given ϵ > 0, ∃ δi > 0 K is equi-continuous ⇒ given ϵ > 0, ∃ δ > 0 such that |f (x)−f (x′ 0)| <
ϵ
such that d(x, x′ ) < δi 4 whenever d(x, x′ ) < δ, ∀ x, x′ ∈ X, f ∈ K.

ϵ K is uniformly bounded ⇒ ∃ M > 0 such that |f (x)| ≤ M , ∀ x ∈

⇒ |fi (x) − fi (x′ )| < , ∀ i = 1, 2, . . . , N.
3 X, f ∈ K.
′
Put δ = min1≤i≤N δi . Consider, d(x, x ) < δ Select, a large integer m > 0 such that 1
< 4ϵ .
m

Divide the interval [−M, M ] into k = 2mM equal parts.

⇒ |f (x) − f (x′ )|
Then, we can partition [−M, M ] as follows:
= |f (x) − fi (x) + fi (x) − fi (x′ ) + fi (x′ ) − f (x′ )|

≤ |f (x) − fi (x)| + |fi (x) − fi (x′ )| + |fi (x′ ) − f (x′ )| −M = y0 < y1 < y2 < · · · < yk = M

= |f (x) − fi (x)| + |fi (x) − fi (x′ )| + |f (x′ ) − fi (x′ )| So that

ϵ ϵ ϵ
< + + = ϵ, ∀ x, x′ ∈ X, f ∈ K. 1 ϵ

M − (−M ) 1 ϵ

3 3 3 |yi − yi+1 | = < , ∵ = < ,
m 4 2mM m 4
∴ K is equi-continuous.
we can form n-tuples (y1j , y2j , . . . , ynj ) using {y0 , y1 , . . . , yk }. Since
Next, we shall show that K is uniformly bounded. Here, we shall make
X is compact, there is a δ-net for X, {x1 , x2 , . . . , xn }, i.e., X =
use of definition of compactness. Let f0 ∈ K. Then G = {S(f0 ; n) : Sn
S(xk , δ).
n = 1, 2, . . .} is an open cover of K. Since K is compact, G has a finite k=1
For every such n-tuples, ∃ f ∈ K such that |f (xi ) − yij| < 4ϵ .
subcover. Let {S(f0 ; ni ) : i = 1, 2, . . . , N } be a finite subcover of K.
Set Ei = {e ∈ K : |e(xi ) − yij | < 4ϵ , i, j, = 1, 2, . . . , n}.
Put M = min ni . Then K ⊆ S(f0 , M ) or d(K) ≤ M
1≤i≤N
Choose, ei ∈ Ei , i = 1, 2, . . . , n. Set E = {e1 , e2 , . . . , en }.
⇒ sup |f (x) − g(x)| ≤ M , ∀ f, g ∈ K.
x∈X
Take g = 0. Then |f (x)| ≤ M , ∀ x ∈ X and f ∈ K
∴ K is uniformly bounded.

58 59
Claim: E is an ϵ-net. 2. A. E. Taylor - Introduction to Functional Analysis, Willey, New
York, 1958.
|f (x) − ei (x)| = |f (x) − f (xi ) + f (xi ) − yij + yij − ei (xi ) + ei (xi ) − ei (x)|

≤ |f (x) − f (xi )| + |f (xi ) − yij | + |e(xi ) − yij | + |ei (x) − ei (xi )| −−−−−−−−−−−−−−−−−−−−−
ϵ ϵ ϵ ϵ
< + + + =ϵ
4 4 4 4
n
S
∴f ∈K⇒f ∈ S(ei , ϵ).
i=1
n
S
∴K⊆ S(ei , ϵ) or K is totally bounded. Hence K is compact.
i=1

4.3 Exercises

(1) A subset Y of a metric space (X, d) is totally bounded if and only

if Y is totally bounded.
(2) Prove that a subset Y in a metric space (X, d) is totally bounded
⇒ Y is also bounded.
(3) Prove that a bounded set in a metric space need not be totally
bounded.
(4) Show that in Rn , every bounded set is also totally bounded.

4.4 References

1. G. F. Simmons - Introduction to Topology and Modern Analysis,

Tata McGraw-Hill, New Delhi, 2004.

60 61
Block - II

Chapter 5

Unit 5: Linear Spaces and Linear

Operators

5.1 Introduction

In this unit, we introduce the concept of linear spaces. We give the

properties of linear spaces and some theorems related to linear spaces.
Finally, we explain the linear operators and some theorems related to
linear operators.

5.2 Linear Spaces

Linear space or vector space is the most fundamental and important

structure in the functional analysis. This structure is built making use
of a nonempty set of vectors X, a field of scalars F , which is either
field of real numbers or field of complex numbers and two algebraic

62 63
operations in the form of linear expressions namely, vector addition space with respect to the co-ordinatewise linear operations defined in
and scalar multiplication. Starting from any vectors x, y, ∈ X, the Example 2.
vector addition enables to find the third vector z = x+y ∈ X. Starting (5) Let P be set of all polynomials, with real coefficients, defined on
from a scalar α and a vector x, the scalar multiplication enables to the closed unit interval [0, 1]. We specifically include all non-zero con-
find the vectors αx ∈ X. stant polynomials (which have degree 0) and the polynomial which is
identically zero (this has no degree at all). If the linear operations are
Definition 5.2.1. The Linear space X, written as (X, +,˙, F ) satsfies
taken to be the usual addition of two polynomials and the multiplica-
the following properties.
tion of a polynomial by a real number, then P is a real linear space.
(1) (X, +) is an abelian group.
(6) For a given positive integer n, let Pn be subset of P consisting of
(2) (a) α ∈ F, x, y ∈ X =⇒ α(x+y) = αx +αy.
the polynomial which is identically zero and all polynomials of degree
(b) α,β ∈ F , x ∈ X =⇒ (α + β)x = αx + βx.
less than n. Pn is a real linear space with respect to the linear opera-
(c) α, β ∈ F, x ∈ X =⇒ α(βx) = (αβ)x.
tions defined in P.
(d) x ∈ X =⇒ 1.x = x.
(7) A linear space may consist solely of the vector 0, with scalar mul-
The elements of X are called vectors and X is called Linear space.
tiplication defined by α.0 = 0 for all α. We refer to this as the zero
Example 5.2.2. (1) The set R of real numbers, with ordinary addi- space, and we always denote it by {0}.
tion and multiplication taken as the linear operations, is a real linear
Definition 5.2.3. A nonempty subset Y ⊂ X is said to be a subspace
space.
of X = (X, +, ., F ), if (Y, +, ., F ) is also a linear space.
(2) The set Rn of all n-tuples of real numbers is a real linear space
⇐⇒ (i) y1 , y2 ∈ Y =⇒ y1 + y2 ∈ Y
under the following co-ordinatewise linear operations: if
(ii) α ∈ F, y ∈ Y =⇒ αy ∈ Y
x = (x1 , x2 , ..., xn ) and y = (y1 , y2 , ..., yn ),
⇐⇒ α, β ∈ F, y1 , y2 ∈ Y =⇒ αy1 + βy2 ∈ Y . As a consequence, if α
then x + y = (x1 + y1 , x2 + y2 , ..., xn + yn ) and αx = (αx1 , αx2 , ..., αxn ).
= 1, β = −1, y1 = y2 , then αy1 + βy2 = y1 − y2 = 0 ∈ Y.
(3) The set C n of all complex numbers is a complex linear space under
ordinary addition and multiplication. Note 5.2.4. The necessary condition for Y to be a subspace of X is
(4) The set C n of all n-tuples of complex numbers is a complex linear 0∈Y.

64 65
Definition 5.2.5. Let X be a linear space and Y ⊂ X be a subspace is called a linear combination of x1 , x2 , . . . , xn .
of X. Then the quotient space of X with respect to Y is given by
Definition 5.2.8. If S is an arbitrary nonempty subset of linear space
X/Y = {x + Y : x ∈ X}.
X, then the set of all linear combinations of vectors in S is clearly
Equality of two numbers : x1 + Y = x2 + Y ⇐⇒ x1 − x2 ∈ Y .
a subspace of X; we denote this subspace by [S], and we call it the
Vector addition: (x1 + Y ) + (x2 + Y ) = (x1 + x2 ) + Y .
subspace spanned by S.
Scalar multiplication: α(x + Y ) = αx + Y .
Zero element: (x + Y ) + (z + Y ) = (x + Y ) Definition 5.2.9. If M is a subspace of linear space X, then a nonempty

⇐⇒ (x + z) + Y = x + Y subset S of M is said to span M if [S] = M .

⇐⇒ (x + z) − x ∈ Y Definition 5.2.10. A subset M of linear space X, is called linearly

⇐⇒ z ∈ Y . independent if for every nonempty finite subset {x1 , x2 , . . . , xn } of M ,
⇐⇒ z + Y = 0 + Y = Y (zero element). the relation

Theorem 5.2.6. Let M be a subspace of a linear space L, and let the n

X
coset of an element x in L be defined by x + M = {x + m : m ∈ M }. λi xi = 0 =⇒ λi = 0 for i = 1, 2, 3, . . . , n.
i=1
Then the distinct cosets form a partition of L; and if addition and A subset M of linear space X which is not linearly independent is
scalar multiplication are defined by called linearly dependent.
(x + M ) + (y + M ) = (x + y) + M and α(x + M ) = αx + M ,
Definition 5.2.11. A linearly independent subset of linear space X,
then these cosets constitute a linear space denoted by L/M and called
which is maximal (with respect to set inclusion) is called a basis of X.
the quotient space of L with respect to M .
Suppose now that M and N are subspaces of linear space X, and
Proof. The proof of this theorem is routine.
consider the set M + N of all sums of the form x + y, where x ∈ M
Definition 5.2.7. If x1 , x2 , ..., n is a finite nonempty set of vectors in and y ∈ N . Since M and N are subspaces, it is easy to see that
linear space X, then the vectors M + N is the subspace spanned by all vectors in M and N together,
x = α 1 x1 + α 2 x2 + · · · + α n xn i.e., M + N = [M ∪ N ]. If it happens that M + N = X, then we say

66 67
that X is the sum of the subspaces M and N . This means that each N and they are equal; it therefore follows from M ∩ N = 0 that both
vector in X expressible as the sum of a vector in M and a vector in sides are 0, that x1 = x2 and y1 = y2 and that the decomposition of z
N . The case in which even more is true namely, that each vector z is unique.
in X is expressible uniquely in the form z = x + y, with x ∈ M and
Theorem 5.2.13. If S is a linearly independent set of vectors in a
y ∈ N will be of particular importance for us. In this case we say that
linear space X, then there exists a basis B for X such that S ⊂ B.
X is the direct sum of the subspaces M and N , and we symbolize this
statement by writing X = M ⊕ N . Proof. Consider the class P of all linearly independent subsets of X
which contain X. P is clearly a partially ordered set with respect to
Theorem 5.2.12. Let a linear space X be the sum of two subspaces
set inclusion. It suffices to show that P contains a maximal set B,
M and N , so that X = M + N . Then X = M ⊕ N ⇔ M ∩ N = {0}.
for such a maximal set will automatically be a basis for X such that
Proof. We begin by assuming that X = M ⊕ N and we deduce a S ⊆ B. By Zorn’s lemma ( i.e., If P is a partially ordered set in which
contradiction from the further assumption that there is a nonzero every chain has an upper bound, then P has a maximal element),
vector z in M ∩ N . It suffices to observe that z is expressible in it suffices to show that every chain in P has an upper bound in P.
two different ways as the sum of a vector x in M and a vector y in N , But this is evident from the fact that the union of all the sets in any
for z = z + 0 (here x = z and y = 0) and z = 0 + z (here x = 0 and chain of linearly independent sets which contain S is itself a linearly
y = z). This contradicts the uniqueness required by the assumption independent set which contains S.
that X = M ⊕ N .

We now assume that M ∩ N = {0} and we show that it follows 5.3 Linear operators
from X = M + N can be strengthened to X = M ⊕ N . Since X =
M + N , each z in X can be written in the form z = x + y with x ∈ M In this section, we define the linear operators and a theorem related

and y ∈ N . We wish to show that this decomposition is unique. If we to linear operators.

have two such decompositions of z, so that z = x1 + y1 = x2 + y2 , then Definition 5.3.1. Let N and N ′ be two normed linear spaces over the
x1 − x2 = y2 − y1 . The left side of this is in M , the right side is in same field F (= R or C). A mapping T : N −→ N ′ is said to be a

68 69
linear operator from N into N ′ , if Given: T (xn ) → 0 as xn → 0
T (αx + βy) = αT (x) + βT (y), ∀ x, y ∈ N and α, β ∈ F . =⇒ T (xn − x) → 0 as xn → x → 0 or xn → x
=⇒ (T (xn ) − T (x)) → 0 as xn → x
Definition 5.3.2. A linear operator T : N −→ N ′ is said to be con-
=⇒ T (xn ) → T (x) as xn → x, ∀ x ∈ N .
tinuous on N , if T (xn ) −→ T (x) as xn −→ x, ∀ x ∈ N .
=⇒ T is a continuous linear operator.
Definition 5.3.3. A linear operator T : N −→ N ′ is said to be (2) =⇒ (3) or not(3) =⇒ not(2)
bounded linear operator, if Suppose (3) is false =⇒ for every n > 0, ∃ xn ∈ N such that
||T (x)|| ≤ α||x|| for some α > 0, and ∀ x ∈ N . ||T (xn )|| > n||x|| .
xn xn 1
Theorem 5.3.4. Let T : N −→ N ′ be a linear operator from a normed Set yn = n||xn || . Then ||yn || = || n||x n ||
|| = n||xn || ||xn || = n1 .
1
linear space N into a normed linear space N ′ . Then the following are As n → ∞, yn →  0 (∵||yn || =⇒ n → 0 as n → ∞).
equivalent:
xn
But, T (yn ) = T n||x n ||
T (xn )
= n||x n ||
=⇒ ||T (yn )|| = ||Tn||x
(xn )||
n ||
> 1, ∀ n.

(1) T is a continuous linear operator. ∴ ||T (yn )|| → 0 as n → ∞.

(2) T is continuous at x = 0. Therefore (2) is also false.

(3) T is a bounded linear operator. (3) =⇒ (2)

(4) If S = {x ∈ N : ||x|| ≤ 1} is the closed unit sphere in N , then (3) =⇒ T is a bounded linear operator

T (S) is bounded in N ′ . =⇒ ∃ α > 0, such that ||T (x)|| ≤ α||x||, ∀ x ∈ N

=⇒ as xn → 0 or ||xn || → 0.
Proof. (1) =⇒ (2):
This will lead to 0 ≤ ||T (xn )|| ≤ α||xn || → 0
T is a continuous linear operator
=⇒ T (xn ) → 0 as xn → 0
=⇒ T (xn ) → T (x) as xn → x
=⇒ T is continuous at x = 0 =⇒ (2).
=⇒ T (xn ) → T (0) as xn → 0
(3) =⇒ (4)
=⇒ T (xn ) → 0 as xn → 0, (∵ T (0) = T (0v) = 0 · T (v) = 0)
(3) =⇒ T is a bounded linear operator.
=⇒ T is continuous at x = 0.
=⇒ ∃ α > 0 such that ||T (x)|| ≤ α||x||, ∀ x ∈ N
(2) =⇒ (1)

70 71
=⇒ for s ∈ S = {x ∈ N : ||x|| ≤ 1}, ||T (s)|| ≤ α||s|| ≤ α (2) Each of the following conditions determines a subset of the real
=⇒ ||T (s)|| ≤ α, ∀ s ∈ S linear space C[−1, 1] of all bounded continuous real functions y = f (x)
=⇒ d(T (s)) ≤ 2α < ∞, (d(A) = diameter of A = sup d(a, b)) defined on [−1, 1]:
a,b∈A
=⇒ T (s) is bounded in N ′ =⇒ (4). (a) f is differentiable;
(4) =⇒ (3) (b) f is polynomial of degree 3;
′
(4) =⇒ If S = {x ∈ N : ||x|| ≤ 1}, then T (s) is bounded in N (c) f is an even function, in the sense that f (−x) = f (x) for all x;
=⇒ d(T (s)) = α < ∞ (d) f is an odd function, in the sense that f (−x) = −f (x) for all x;
=⇒ ||T (s)|| ≤ α, for s ∈ S (e) f (0) = 0;
x
=⇒ 0 ̸= x ∈ N , s = ||x|| , ||T (s)|| ≤ α (f) f (0) = 1;
 
=⇒ ∃ α > 0 such that ||T x
|| ≤ α (g) f (x) ≥ 0 for all x.
||x||

=⇒ α > 0 such that ||T (x)|| ≤ α||x||, ∀ x ∈ N Which of these subsets are subspaces of C[−1, 1]?

=⇒ T is a bounded linear operator =⇒ (3)

5.5 References

1. G. F. Simmons - Introduction to Topology and Modern Analysis,

5.4 Exercises:
Tata McGraw-Hill, New Delhi, 2004.

(1) Each of the following conditions determines a subset of the real 2. A. E. Taylor - Introduction to Functional Analysis, Willey, New
3
linear space R of all triples x = (x1 , x2 , x3 ) of real numbers: York, 1958.
(a) x1 is an integer;
−−−−−−−−−−−−−−−−−−−−−
(b) x1 = 0 or x2 = 0;
(c) x1 + 2x2 = 0;
(d) x1 + 2x2 = 1.
Which of these subsets are subspaces of R3 ?

72 73
 (3) ||λx|| = |λ|||x||
(4) ||x|| = 0 implies x = 0.

Definition 6.2.2. A normed linear space is a linear space with a

norm.
Chapter 6
Definition 6.2.3. A seminorm is defined by omitting property (4) in
the definition of a norm.
Unit 6: Norm of bounded operator Example 6.2.4. (1) Rn is a normed linear space with the norm defined
by
n
X  21
2
||x|| = |xi |
6.1 Introduction i=1

In this unit, we introduce the concept of Normed spaces and bounded (2) C(S) (the set of real or complex valued continuous functions on S)
operators. is a normed linear space with the norm
||f || = sup{|f (x)| : x ∈ S}.

6.2 Normed Spaces Proposition 6.2.5. Every normed linear space X is metric space,
relative to the natural metric d defined by
We begin by restating the definition of Normed spaces. d(x, y) = ||y − x||, ∀ x, y ∈ X.

Definition 6.2.1. Let X be a real or complex linear space and F be Furthermore, for any x, y, z ∈ X and for all λ ∈ F , we have

a field of real or complex numbers. A norm on X is a real function ||x|| = d(0, x) as well as

|| · || : X −→ R defined on X such that for any x, y ∈ X and for all (a) d(x + z, y + z) = d(x, y), (i.e. translation invariance).

λ ∈ F, (b) d(λx, λy) = |λ|d(x, y).

(1) ||x|| ≥ 0
Proof. It can be easily verified that the axioms for a metric hold good.
(2) ||x + y|| ≤ ||x|| + ||y||
For example: d(x, z) ≤ d(x, y)+d(y, z) follows immediately by writing

74 75
z − x = (y − x) + (z − y) integer k, there is a positive integer nk such that
so that ||z − x|| ≤ ||y − x|| + ||z − y||. 1
||xn − xm || < , ∀ n, m ≥ nk .
Proof of (a): d(x + z, y + z) = ||(y + z) − (x + z)|| = ||y − x|| = d(x, y). 2k

Proof of (b): d(λx, λy) = ||λy − λx|| = ||λ(y − x)|| = |λ|||y − x|| = Choose nk+1 > nk . Let y1 = xn1 and yk+1 = xnk+1 − xnk , k ≥ 1.
∞
|λ|d(x, y).
P
Then ||yk || < ∞. Therefore, there exists y ∈ X such that
k=1
Theorem 6.2.6. A normed linear space X is complete if and only if m
X
y = lim yk = lim xnm .
every absolutely convergent series in X is convergent. m→∞ m→∞
k=1

Since {xn } is Cauchy sequence, lim xn is also y and this completes

Proof. Let X be complete. For each positive integer n let xn be an m→∞
the proof of the theorem.
element of X such that
Definition 6.2.7. Let T : N −→ N ′ be a bounded linear operator
∞
X
||xn || < ∞. from a normed linear space N into a normed linear space N ′ . Then,
n=1
∞
P ∃ α > 0 such that ||T (x)|| ≤ α||x||, ∀ x ∈ N .
Let yk = xn . Then,
n=1 By Theorem 5.3.4, ||T (x)|| ≤ α, ∀ x ∈ S.
k+p k+p
X X Define ||T || = sup{||T (x)|| : ||x|| ≤ 1} = sup ||T (x)||.
||yk+p − yk || = xn ≤ ||xn ||, x∈S
n=k+1 n=k+1

which tends to zero as k → ∞. Hence {yk }∞

k=1 is a Cauchy sequence 6.3 Bounded linear operator
in X and since X is complete, there exists x ∈ X such that
B(N, N ′ ) = {T : N −→ N ′ : T is a bounded linear operator}, where
k ∞
N and N ′ are normed linear spaces.
X X
x = lim yk = lim xn = xn .
k→∞ k→∞
n=1 n=1
Vector addition: (T1 + T2 )(x) = T1 (x) + T2 (x), ∀ x ∈ N .
∞
P
Thus the series xn converges. Scalar multiplication: (λT )(x) = λT (x), ∀ x ∈ N , λ ∈ F (R or C).
n=1

Conversely, Suppose every absolutely convergent series in X is Since N ′ is a linear space over F , B(N, N ′ ) is also a linear space over
convergent. Let {xn } be a Cauchy sequence in X. For each positive F.

76 77
Theorem 6.3.1. The linear space B(N, N ′ ) over F is a normed linear (3)
space with respect to ||T1 + T2 || = sup{||(T1 + T2 )(x)|| : ||x|| ≤ 1}
||T || = sup{||T (x)|| : ||x|| ≤ 1}.
= sup{||T1 (x) + T2 (x)|| : ||x|| ≤ 1}

Proof. To show that || · || is a norm on B(N, N ′ ): ≤ sup{||T1 (x)|| + ||T2 (x)|| : ||x|| ≤ 1}

(1) ||T || ≥ 0, by definition. = sup{||T1 (x)|| : ||x|| ≤ 1} + sup{||T2 (x)|| : ||x|| ≤ 1}

= ||T1 || + ||T2 ||
||T || = 0 ⇐⇒ sup{||T (x)|| : ||x|| ≤ 1} = 0

⇐⇒ if s ∈ S = sup{x ∈ N : ||x|| ≤ 1}, then ||T (s)|| = 0 B(N, N ′ ) is a normed linear space.
 
x x
⇐⇒ if x ∈ N, then ∈ S and hence T = 0 (x ̸= 0)
||x|| ||x||
1 6.4 Exercises
⇐⇒ T (x) = 0, ∀ x ∈ N (|| · ||N ′ is norm on N ′ )
||x||
⇐⇒ T = 0. (1) Prove that R* is a normed linear space with following norms
n
P
(a) ||x||1 = |xi |.
(2) i=1
(b) ||x||∞ = max |xi |.
1≤i≤n
||λT || = sup{||(λT )(x)|| : ||x|| ≤ 1} (2) Prove that C[a, b] is a normed linear space with ||f || = sup |f (x)|.
x∈[a,b]
= sup{|λ|||T (x)|| : ||x|| ≤ 1}

= |λ| sup{||T (x)|| : ||x|| ≤ 1} 6.5 References

= |λ|||T ||
1. G. F. Simmons - Introduction to Topology and Modern Analysis,
Tata McGraw-Hill, New Delhi, 2004.

2. A. E. Taylor - Introduction to Functional Analysis, Willey, New

York, 1958.

−−−−−−−−−−−−−−−−−−−−−

78 79
 Definition 7.2.1. Let P be a nonempty set. A partial order relation in
P is a relation symbolized by ≤ and it satisfies the following properties:
(1) Reflexivity: x ≤ x, ∀ x ∈ P .
(2) Anti-symmetry: x ≤ y and y ≤ x =⇒ x = y, ∀ x, y ∈ P .
Chapter 7 (3) Transitivity: x ≤ y, y ≤ z then x ≤ z, ∀ x, y, z ∈ P .
Then (P, ≤) is called a partially ordered set.

Unit 7: Hahn-Banach Extension Definition 7.2.2. A partially ordered set (P, ≤) is said to be totally
ordered set. If x, y ∈ P, then either x ≤ y or y ≤ x.
Theorem
Definition 7.2.3. Let (P, ≤) be a totally ordered set. Then y ∈ P is
called a maximal element, if x ≥ y ⇒ x = y.

7.1 Introduction Definition 7.2.4. Let (P, ≤) be a totally ordered set and A is a
nonempty subset of P , then y ∈ P is called an upper bound for A,
In this unit, we shall prove the Hahn-Banach Extension Theorem.
if x ≤ y, ∀ x ∈ A.
This is one of the most fundamental theorems in functional analysis
Definition 7.2.5. If P is a partially ordered set in which every chain
and is due to Hahn and Banach. It yields the existence of nontrivial
has an upper bound, then P has a maximal element
continuous linear functionals on a normed linear space, a basic result
OR
necessary for the development of a large portion of functional analysis.
If P is a totally ordered set in which every subset has an upper bound,
There are several forms of this famous theorem. We shall first prove
then P has a maximal element.
the extended form of the Hahn-Banach Theorem.
Definition 7.2.6. Let X be a real linear space. By a sublinear func-

7.2 Hahn-Banach Theorems tional on X, we mean p : X → R satisfying the following properties:

(1) p(x + y) ≤ p(x) + p(y), ∀ x, y ∈ X.
We shall define some definitions. (2) p(αx) = αp(x), ∀ x ∈ X, α ≥ 0.

80 81
Definition 7.2.7. Let X be a complex linear space. By a seminorm Since f ∈ F, F ̸= ∅.
on X, we mean p : X → R satisfying the following properties: Let us define a partial order “≤” in F as follows:
(1) p(x + y) ≤ p(x) + p(y), ∀ x, y ∈ X. g1 ≤ g2 ⇐⇒ D(g1 ) ⊆ D(g2 ) and g1 (x) = g2 (x) on x ∈ D(g1 ).
(2) p(αx) = |α|p(x), ∀ x ∈ X, α ∈ C. (a) “≤” is reflexive:
g ≤ g because D(g) = D(g), g(x) = g(x) (obvious).
Note 7.2.8. (1) If we restrict C to only R, then every seminorm is
(b) “≤” is antisymmetric:
also a sublinear functional.
g1 ≤ g2 and g2 ≤ g1 =⇒ D(g1 ) ⊆ D(g2 ) ⊆ D(g1 ) or D(g1 ) = D(g2 ),
(2) Every norm, by definition, is also a seminorm. Any result proved
g1 (x) = g2 (x) on D(g1 ) = D(g2 ) =⇒ g1 = g2 .
on seminorm will hold for norms.
(c) “≤” is transitive:
(3) For any seminorm, p(x) ≥ 0.
Suppose g1 ≤ g2 and g2 ≤ g3 =⇒ D(g1 ) ⊆ D(g2 ) ⊆ D(g3 ) or
Theorem 7.2.9 (Hahn-Banach Theorem for any real linear D(g1 ) ⊆ D(g3 ), g1 (x) = g2 (x), ∀ x ∈ D(g1 ), or g2 (x) = g3 (x), ∀ x ∈
space). Let X be a real linear space. Let S be a subspace of X. Let D(g3 ) =⇒ g1 (x) = g3 (x), ∀ x ∈ D(g1 )
p be a sublinear functional on X. Let f : S → R be a real linear ∴ g1 ≤ g3 .
functional on S such that f (x) ≤ p(x), ∀ x ∈ S. Then there exists a Hence (F, ≤) is a partially ordered set.
real linear functional F : X → R such that: Let G be a subcollection of F such that (G, ≤) is a totally ordered set.
(1) F is an extension of f or F (x) = f (x), ∀ x ∈ S and Claim G has an upper bound or there exists an extension h of f such
domain of F ⊇ domain of f . that g ≤ h, ∀ g ∈ G.
(2) F (x) ≤ p(x), ∀ x ∈ X. Set U =
S
D(g). U is a subspace of X.
g∈G
Because, x, y ∈ U and α, β ∈ R.
Proof. Let F denote the collection of all extensions of f
=⇒ x ∈ D(g1 ) and y ∈ D(g2 ) for some g1 , g2 ∈ G.
i.e. g ∈ F =⇒
=⇒ since G is totally ordered, either g1 ≤ g2 or g2 ≤ g1 .
(i) g(x) = f (x), ∀ x ∈ S and D(f ) ⊆ D(g), (where D(f ) = domain of
Without loss of generality, g1 ≤ g2 .
f ).
=⇒ x ∈ D(g1 ) ⊆ D(g2 ) and y ∈ D(g2 )
(ii) g(x) ≤ p(x), ∀ x ∈ D(g).

82 83
=⇒ x, y ∈ D(g2 ), D(g2 ) is a linear subspace of X. Hence h is an upper bound of F or G.
=⇒ αx + βy ∈ D(g2 ) ⊆ U . We have proved that in the partially ordered set (F, ≤), every totally
=⇒ αx + βy ∈ U . ordered subset has an upper bound. By Zorn’s Lemma, F has a
∴ U is a subspace of X. maximal element. Let F : X → R be that maximal element i.e.,
Suppose x ∈ U , then x ∈ D(g) for some g ∈ G may be more than one (1) F is an extension of f .
domain. (2) F (x) ≤ p(x), ∀ x ∈ D(F ).
If x ∈ D(g1 ) and x ∈ D(g2 ) for some g1 , g2 ∈ G or x ∈ D(g1 ) ∩ D(g2 ), The proof will be complete if, we show that D(F ) = X.
then, again we can use the fact that G is totally ordered and assume We shall show that, if D(F ) ̸= X, then F is not a maximal element.
without loss of generality, g1 ≤ g2 or D(g1 ) ⊆ D(g2 ) which will lead to If D(F ) ̸= X, then set D = Span{D(F )∪{x0 }}, where x0 ∈ X\ D(F ).
x ∈ D(g1 ) ∩ D(g2 ) = D(g1 ). For every x ∈ D, we may write x = y + αx0 , where y ∈ D(F ), α∈ R.
Hence, every x ∈ U falls or lies exactly in a precise domain of a ∀ y, z ∈ D(F ),
members g1 ∈ G.
F (z) − F (y) = F (z − y)
As a result, define h : U → R by h(x) = g(x) whenever x ∈ D(g) ⊆ U
≤ p(z − y) = p(z + x0 − y − x0 )
(g is fixed according to the above discussion).
≤ p(z + x0 ) + p(−y − x0 )
h is well defined. h is linear because
or − F (y) − p(−y − x0 ) ≤ p(z + x0 ) − F (z).
h(αx + βy) = g(αx + βy)

= αg(x) + βg(y) Then, {y ∈ D(F ) : −F (y) − p(−y − x0 )} is bounded above and {z ∈

D(F ) : p(z + x0 ) − F (z)} is bounded below.
= αh(x) + βh(y)
Let,
h is an extension of f because
b = sup {−F (y) − p(−y − x0 )}
h(x) = g(x), ∀ x ∈ D(g) ∩ S y∈D(F )

= f (x). and

a = sup {p(z + x0 ) − F (z)}.

S
g ≤ h, ∀ g ∈ G because D(g) ⊆ D(g) = U .
g∈G z∈D(F )

84 85
Then a < b and choose c such that a < c < b. As a result g(x) ≤ p(x).
−F (y) − p(−y − x0 ) ≤ c ≤ p(z + x0 ) − F (z). This shows that there is one more maximal element superseding F or
Now construct a real linear function g : D −→ R by g(x) = F (y) + αc, F is not a maximal element. This is impossible.
(x = y + αx0 ), since F is well defined and linear, g is also well defined ∴ D(F ) = X. This completes the proof.
and linear. Theorem 7.2.10 (Hahn-Banach Theorem for any complex lin-
To show that g(x) ≤ p(x), ∀ x ∈ D. ear space). Let X be a complex linear space. Let S be a subspace of
Case 1: α = 0. X. Let p : X −→ R be a seminorm on X. Let f : S −→ C be a linear
g(x) = g(y) = F (y) ≤ p(y) = p(x) functional on S such that ∥f (x)∥ ≤ p(x), ∀ x ∈ S. Then there exists
∴ g(x) ≤ p(x). a complex linear functional F : X −→ C such that:
Case 2: α > 0. (1) F (x) = f (x), ∀ x ∈ S.
c ≤ p(z + x0 ) − F (z), ∀ z ∈ D(F ). (2) |F (x)| ≤ p(x), ∀ x ∈ X.
y
Take z = α,
Proof. First, we observe that f (x) = g(x) + ih(x), ∀ x ∈ S,
y y
c ≤ p( + x0 ) − F ( ), (α > 0)
α α where g : S −→ R and h : S −→ R are two real linear functionals.
y y
αc ≤ αp( + x0 ) − αF ( ) Next, we want to express h(x) in terms of g(x):
α α
= p(y + αx0 ) − F (y) if (x) = ig(x) − h(x)
= p(x) − F (y) if (x) = f (ix),

or F (y) + αc ≤ p(x) ( ∵ f : S −→ C is linear f (αx + βy) = αf (x) + βf (y))

∴ g(x) ≤ p(x). = g(ix) + ih(ix),

we may equate ig(x) − h(x) = g(ix) + ih(ix) =⇒ −h(x) = g(ix) and
Case 3: α < 0.
g(x) = h(ix)
−α −F ( αy ) − p(− αy − x0 ) ≤ c(−α), [(−α) > 0]
 
h(x) = −g(ix) or f (x) = g(x) + ih(x) = g(x) − i(g(ix)),
=⇒ F (y) − p(αx0 + y) ≤ −cα
we shall apply Hahn-Banach Theorem for any real linear space on g(x).
=⇒ F (y) + cα ≤ p(αx0 + y)
By restricting C or R, every seminorm is called a sublinear functional.

86 87
g(x) ≤ |f (x)| ≤ p(x), ∀ x ∈ S, (∵ z = Re(z) + iIm(z), Re(z) ≤ |z|).
So, by restricting C to R, X is also a real linear space. S is a subspace
F ((α1 + iα2 )x) = F (α1 x + iα2 x)
of X. p : S −→ R is a sublinear functional. g : S −→ R is a linear
= G(α1 x + iα2 x) − iG(i(α1 x + iα2 x))
functional such that g(x) ≤ p(x).
= G((α1 + iα2 )x) − iG(iα1 x − α2 x)
By applying Hahn-Banach Theorem for any real linear space, ∃ a real
linear functional, G : X −→ R such that = G(α1 x) + G(iα2 x) − iG(iα1 x − α2 x)

(1) G(x) = g(x), ∀ x ∈ S. = G(α1 x) + G(α2 (ix)) − iG(α1 (ix)) − iG(−α2 x)

(2) G(x) ≤ p(x), ∀ x ∈ X. = α1 G(x) + α2 G(ix) + iα2 G(x) − iα1 G(ix)

Define F : X −→ C by F (x) = G(x) − iG(ix), ∀ x ∈ X. = (α1 + iα2 )G(x) − i(α1 + iα2 )G(ix)
F is a linear functional: = (α1 + iα2 ) [G(x) − iG(ix)]

F (x + y) = G(x + y) − iG(i(x + y)) = (α1 + iα2 )F (x).

= G(x + y) − iG(ix + iy) ∴ F is linear.

= [G(x) + G(y)] − i [G(ix) + G(iy)] ∀ x ∈ S, F (x) = G(x) − iG(ix), (∵ G(x) = g(x), ∀ x ∈ S)
= [G(x) − iG(ix)] + [G(y) − iG(iy)] ∴ F (x) = g(x) − ig(x) = f (x).

= F (x) + F (y). Finally, to show that |F (x)| ≤ p(x), ∀ x ∈ X, (∵ z = x+iy = |z| = eiθ )
Note that, F (x) = |F (x)|eiθ

or |F (x)| = F (x)e−iθ

= F (xe−iθ ), ∵ F is linear

= G(xe−iθ ), ∵ |F (x)| is real and positive.

=⇒ F (xe−iθ ) must be real.

88 89
=⇒ Im F (xe−iθ ) = 0.
 
(1)

=⇒ |F (x)| ≤ p(xe−iθ ) p(x + y) = ∥f ∥∥x + y∥

= p(x)|e−iθ |, ∵ p(αx) = |α|p(x) ≤ ∥f ∥{∥x∥ + ∥y∥}

= 1c · p(x), ∵ cos2 (θ) + sin2 (θ) = 1. = ∥f ∥∥x∥ + ∥f ∥∥y∥

= p(x) + p(y)
∴ |F (x) ≤ p(x), ∀ x ∈ X.
This completes the proof. or p(x + y) ≤ p(x) + p(y), ∀ x, y ∈ X.

Theorem 7.2.11 (Hahn-Banach Theorem for normed linear

space). Let X be a normed linear space. Let S be a subspace of X. (2) p(αx) = ∥f ∥∥x∥ = |α|{∥f ∥∥x∥} = |α|p(x).
If f : S −→ F (R or C) is a continuous linear functional on S, then Also note that |f (x)| ≤ ∥f ∥∥x∥ = p(x), ∀ x ∈ S.
there exists F : X −→ F, a continuous linear functional on X such Now, we have, X is a complex linear space (setting F = C) and S is
that: a subspace of X. p : X −→ C is a seminorm on X, p : f −→ C is a
(1) F (x) = f (x), ∀ x ∈ S. linear functional on S such that |f (x)| ≤ p(x), ∀ x ∈ S.
(2) ∥F ∥ = ∥f ∥. Applying Hahn-Banach Theorem for complex linear case, ∃ a complex
linear functional F : X −→ C such that
Proof. First, we shall define a seminorm on X as follows:
(i) F (x) = f (x).
p : X −→ C by p(x) = ∥F ∥∥f ∥, where f : S −→ F is given continuous
(ii) |F (x) ≤ p(x), ∀ x ∈ X.
linear functional so that
(ii) =⇒ |F (X)| ≤ ∥f ∥∥x∥, ∀ x ∈ X.
 
x
n o
∥f ∥ = sup : x ∈ S, x ̸= 0 < ∞. =⇒ |F∥x∥
(x)|
: x ∈ X ≤ ∥f ∥
∥x∥ n   o
x
=⇒ sup F ∥x∥ : x ∈ X ≤ ∥f ∥
∴ ∥F ∥ ≤ ∥f ∥
Finally, we shall show that ∥F ∥ ≥ ∥f ∥ :

90 91
      
x |F (x)|
∥F ∥ = sup F : x ∈ X = sup :x∈X
∥x∥ ∥x∥
 
|F (x)|
≥ sup :x∈S ∵ S is a subspace of X.
∥x∥
= sup

|f (x)|

: x ∈ S , ∵ F (x) = f (x), ∀ x ∈ X
Chapter 8
∥x∥
= ∥f ∥

∴ ∥F ∥ ≥ ∥f ∥. Hence ∥F ∥ = ∥f ∥. Unit 8: Stone-Weierstrass

Theorem
7.3 Exercises
8.1 Introduction
1. State and Prove Hahn-Banach Theorem for real linear space.
2. State and Prove Hahn-Banach Theorem for complex linear space. The space of all polynomials on [a, b] is dense in C[a, b]. Since p(x) =
3. State and Prove Hahn-Banach Theorem for normed linear space. a0 + a1 x + · · · + an xn , the space of all polynomials form an algebra gen-
erated by {1, x}. Then, the Weierstrass theorem states that, algebra

7.4 References of C[a, b] = algebra generated by {1, x}.

If X is topological space, C(X, R) is a lattice (a set P with a

1. G. F. Simmons - Introduction to Topology and Modern Analysis,
partial order “ ≤ ” is called a lattice, if (P, ≤) is a partial order set
Tata McGraw-Hill, New Delhi, 2004.
and for every pair (p, q) ∈ P , p ∨ q and p ∧ q, maximal element and
2. A. E. Taylor - Introduction to Functional Analysis, Willey, New minimal element exists).
York, 1958. Because, f, g ∈ C(X, R) =⇒ (f ∨ q)(x) = max(f (x), g(x))
(f ∧ g)(x) = min(f (x), g(x)).
−−−−−−−−−−−−−−−−−−−−−

92 93
If A ⊆ C(X, R) and A is also a lattice, then we call A as sublattice of constant function, then A = C(X, R).
C(X, R).
Proof. Step 1: To show that A is a closed sublattice of C(X, R). First,
we observe that if f ∈ C(X, R), |f | ∈ C(X, R).
8.2 Stone-Weierstrass Theorem Here, |f |(x) = |f (x)|, ∀ x ∈ X.
Next, we note that
In order to state the result we need the following definition.
(f ∨ g)(x) = max{f (x), g(x)}
Definition 8.2.1. C(X, R) is said to separate points of X, if x, y ∈ X, (f + g) + |f − g|
=
x ̸= y, then ∃ f ∈ C(X, R) such that f (x) ̸= f (y). 2

Lemma 8.2.2. If X is a compact Hausdorff space, then C(X, R) sep-

arates points of X. (f ∧ g)(x) = min{f (x), g(x)}
(f + g) − |f − g|
= .
Proof. Let x ̸= y in X. Since X is Hausdorff space, {x} and {y} 2
are closed sets in X. X is compact Hausdorff space, so it is normal.
Because,
We can use Urysohn’s Lemma ( i.e. let X be a normal space and
Case 1: max{f (x), g(x)} = f (x)
let A and B be disjoint closed subspaces of X. Then there exists a
=⇒ |f − g| = f − g
continuous real function f defined on X, all of whose values lie in the
(f + g) + (f − g)
=⇒ f = (f ∨ g)(x) = = f.
closed unit interval [0, 1], such that f (A) = 0 and f (B) = 1), ∃ a 2
(f + g) − (f − g)
continuous function f on X such that f ({x}) = 0 and f ({y}) = 1 or Also, =⇒ g = (f ∧ g)(x) = = g.
2
f (x) ̸= f (y).
Case 2: max{f (x), g(x)} = g(x)
Theorem 8.2.3 ( Stone-Weierstrass Theorem in real case). Let
=⇒ |f − g| = g − f
X be a compact Hausdorff space and let C(X, R) denotes the space of
(f + g) + (g − f )
=⇒ g = (f ∨ g)(x) = = g.
all real bounded continuous functions on X. If A is a closed subalge- 2
(f + g) − (g − f )
bra of C(X, R) which separates points of X and contains a non zero Also, =⇒ f = (f ∧ g)(x) = = f.
2
94 95
 So, we want to show that a closed subalgebra is also a closed Since L is closed, it is enough to show that for every ϵ > 0, ∃ gϵ ∈ L
sublattice of C(X, R). i.e., maximal and minimal elements exists in such that |gϵ − h| < ϵ.
the subalgebra. Let x, y ∈ X and x ̸= y. Taking, a = h(x) and b = h(y), then ∃ f ∈ L

This reduces to show that if f ∈ A, a closed subalgebra of such that

C(X, R), then |f | ∈ A. f (x) = a = h(x) and f (y) = b = h(y).

Let ϵ > 0, we know that |t| is a continuous function on [a, b]. By Consider the open set Gf = {z : f (z) < h(z) + ϵ}.

Weierstrass theorem (i.e., let f : [a, b] → R be a continuous function Keep x fixed and vary y in X. Then the corresponding f is denoted

and let ϵ > 0 be given. Then ∃ a polynomial p(x) ∈ R[x], such that by fy and the corresponding Gf is denoted by Gfy or simply Gy .

|f (x) − p(x)| < ϵ), there exist a polynomial p(t) such that Then, Gy = {z ∈ X : fy (z) < h(z) + ϵ} is an open set, ∀ y ∈ X.
S
||t| − p(t)| < ϵ. =⇒ X = Gy. But X is compact, ∃, y1 , y2 , . . . , yn ∈ X such that
y
n
Take [a, b] = [−||f ||, ||f || ], since A is a subalgebra of C(X, R),
S
X= G yi .
i=1
p(f ) ∈ A ⊆ C(X, R). Correspondingly, in L, ∃ f1 , f2 , . . . , fn such that
Then, ||f (x)| − p(f (x))| < ϵ, ∀ x ∈ X. fi (z) < h(z) + ϵ, ∀ i = 1, 2, . . ..
=⇒ || |f (x)| − p(f (x)) || < ϵ. Let gx = f1 ∧f2 ∧· · · wedgefn . Infact gx (x) = h(x) and gx (z) < f (z)+ϵ,
Hence |f (x)| ∈ A = A. ∀ z ∈ X.
Hence A is a closed sublattice of C(X, R). Next, consider for every x, the set Hx = {z ∈ X : gx (z) > f (z) − ϵ}
(hence, f (z) − ϵ < gx (z) < f (z) + ϵ, ∀ z ∈ X). Hx is an open set in

Step 2: To show that, if L is any closed sublattice of C(X, R) satis- X.

fying the property: if x, y are two distinct points of X and if a, b are ∴X=
[
Hx .
two real numbers, then ∃ f ∈ L such that f (x) = a and f (y) = b, x
m
then L = C[a, b].
S
X is compact, hence ∃ x1 , x2 , . . . , xm ∈ X such that X = Hx i .
i=1
Since L is a closed sublattice of C(X, R), L ⊆ C(X, R). Correspondingly, ∃ g1 , g2 , . . . , gm ∈ L such that
To show that C(X, R) ⊆ L or h ∈ C(X, R) =⇒ h ∈ L. f (z) − ϵ < gi (z) < f (z) + ϵ, ∀ i = 1, 2, . . . , m.

96 97
Let gϵ = g1 ∨ g2 ∨ · · · ∨ gm . Then gϵ ∈ L such that function and contains conjugates of each of its functions. Then A
h(z) − ϵ < gϵ (z) < h(z) + ϵ or |h(z) − gϵ (z)| < ϵ. equal to C(X, C).

Proof. First, we note that the real functions in A forms a subalgebra

Step 3: To show that A = C(X, R).
B of C(X, R). B is also subalgebra of A. If f ∈ C(X, C) is an arbitrary
Case 1: Suppose X has only one point, then C(X, R) contains only
element, then f = Re (f )+iIm (f ), so that Re (f ) and Im (f ) ∈ C(X, R).
constant functions. Since A also contains a non zero constant function
If we show that B = C(X, R), then A = C(X, C).
and A is a subalgebra of C(X, R). Hence A contains all the constant
B is a closed subalgebra of C(X, R). B separates points of X. Because,
functions or A = C(X, R).
it is given that A separates points of X.
Case 2: Suppose X has more than one point, then A is a closed
=⇒ ∀ x ̸= y ∈ X, ∃ f ∈ A such that f (x) ̸= f (y)
sublattice (by Step 1), containing a non zero constant function and
=⇒ Re(f (x)) + iIm(f (x)) ̸= Re(f (y)) + iIm(f (y))
separates point of X. If x ̸= y in X, ∃ g ∈ A such that g(x) ̸= g(y) or
=⇒ Re(f )(x) ̸= Re(f )(y) and Im(f )(x) ̸= Im(f )(y)
g(x) − g(y) ̸= 0.
=⇒ Re(f ) and Im(f ) are in B and separates points of X.
Let a, b be any two real numbers. Set
It is given that A has a nonzero constant function
g(z) − g(y) g(z) − g(x)
f (z) = a +b =⇒ fc ∈ A
g(x) − g(y) g(y) − g(x)
g ∈ L =⇒ f ∈ L, =⇒ fc ∈ A, ∵ f ∈ A =⇒ f ∈ A
g(x) − g(y) g(x) − g(x) =⇒ fc fc = |fc |2 is a real function in A.
f (x) = a +b = a,
g(x) − g(y) g(y) − g(x)
g(y) − g(y) g(y) − g(x) =⇒ |fc | is a non zero constant function in B.
f (y) = a +b = b,
g(x) − g(y) g(y) − g(x) B satisfies all the hypothesis of Stone-Weierstrass theorem in real case.
using Step 2, A = C(X, R). Hence, B = C(X, R), as a consequence A = C(X, C).
This completes the proof. This completes the proof.

Theorem 8.2.4 (Stone-Weierstrass Theorem for complex case). Corollary 8.2.5. Weierstrass theorem on C[a, b] is a corollary to
Let X be a compact Hausdorff space and A be closed subalgebra of Stone-Weierstrass theorem in real case.
C(X, C), which separates the points of X, contains non zero constant

98 99
Proof. X = [a, b] =⇒ C[a, b] = C(X, R) X = [a, b] × [c, d] in the Euclidean plane R2 , then f can be uniformly
P [a, b] = {p(x) ∈ C[a, b] : p(x) = a0 + a1 x + · · · + an xn , a1 , a2 , . . . , an ∈ approximated on X by polynomials in x and y with real coefficients.
R}.
The nonzero constant function 1 ∈ P [a, b]. The function f (x) = x ∈ (2) Let X be the closed unit disc in the complex plane, then show
P [a, b], obviously separates points of X = [a, b]. that any function f in C(X, C) can be uniformly approximated on X
A = P [a, b] is a closed subalgebra of C([a, b], R) containing nonzero by polynomials in z and z with complex coefficients.
constant function 1 and f (x) = x separates points of [a, b].
∴ C[a, b] = A = P [a, b]. This completes the proof.
(3) Let X and Y be compact Hausdorff spaces and f a function in
Note 8.2.6. P (A, B) is dense in C[a, b] C(X ×Y, C). Show that f can be uniformly approximated by functions
n
=⇒ given ϵ > 0 and f ∈ C[a, b], ∃ pϵ ∈ P [A, B] such that fi gi where the fi ’s are in C(X, C) and the gi ’s are in
P
of the form
i=1
|f − pϵ | < ϵ. C(Y, C).
This is called Classical Weierstrass Approximation theorem.

Corollary 8.2.7. Weierstrass theorem is true in several variables. 8.4 References

Proof. X = Sr (x0 ) = {x ∈ Rn : ||x − xo|| ≤ r} 1. G. F. Simmons - Introduction to Topology and Modern Analysis,
C(X, R), A = P (X, R), closures of the space of all polynomials in n- Tata McGraw-Hill, New Delhi, 2004.
variables with real coefficients.
2. A. E. Taylor - Introduction to Functional Analysis, Willey, New
A = C(X, R).
York, 1958.

8.3 Exercises: −−−−−−−−−−−−−−−−−−−−−

(1) Prove the two-variable Weierstrass approximation theorem: if

f (x, y) is a real function defined and continuous on the closed rectangle

100 101
Block-III

Chapter 9

Unit 9: Banach Spaces

9.1 Introduction

We introduce the concept of Banach spaces and give the properties of

Banach spaces.

9.2 Banach Spaces

Banach space is a linear space which is also, in a special way, com-

plete metric space. This combination of algebraic and metric structure
opens up the possibility of studying linear transformations of one Ba-
nach space into another which have the additional property of being
continuous.

Definition 9.2.1. A Banch space is a complete normed linear space.

Example 9.2.2. (1) X = R or C, F = R or C is a Banach space

102 103
with the norm is ∥x∥ = |x|. Proof.
(2) X = Rn or Cn = F n is a Banach space with the norm is n
X
!1/p n
X
!1/q
P q
p P ut α = |xj | and β = |yj | .
x = (x1 , x2 , . . . , xn ) =⇒ ∥x∥ = |x1 |2 + |x2 |2 + · · · + |xn |2 . j=1 j=1
 !1/p 
xj yj
 x
X  Put x′j = α and yj′ = β,
(3) X = lp = x = (x1 , x2 , . . . , xn ) : |xj |p < ∞, xj ∈ F = R or C

j=1

n
!1/p n
!1/p n
!1/p
X 1 X 1 X 1
is a Banach space with the norm is |x′j |P = |xj |P = |xj | P
= α = 1.
j=1
αp j=1 α j=1
α
∞
!1/p
X
p
∥ x ∥p = |xj | . n
X
!1/q
j=1 Similarly |yj′ |q = 1.
1 1 a p bq j=1
Lemma 9.2.3. If p > 1, q > 1, p+q = 1 and a, b > 0 then ab < p+q.
Consider,
Proof. n n  ′ p
|xj | |yj′ |q
X X 
Z a
ap |x′j yj′ | ≤ + , using Lemma 9.2.3
A1 = xp−1 dx = . j=1 j=1
p q
0 p
n n
! !
1 X ′ P 1 X ′ q
= |x | + |y |
p j=1 j q j=1 j
y = xp−1 ⇐⇒ x = y 1/p−1 = y q−1 .
1 1
= + = 1.
b
p q
bq
Z
A2 = y q−1 dy = .
0 q
n
ap b q X xj yj
∴ ab < A1 + A2 = + . ⇒ ≤1
p q α β
j=1
n
1 X
⇒ |xj yj | ≤ 1
Theorem 9.2.4 (Holder’s Inequality). Let (x1 , x2 , . . . , xn ) and (y1 , y2 , . . . , yn ) αβ j=1
be n-tuples. Then n
X n
X
!1/p n
X
!1/q
p q
n n
!1/p n
!1/q ⇒ |xj yj | ≤ αβ = |xj | |yj |
X X X
P q j=1 j=1 j=1
|xj yj | ≤ |xj | |yj |
j=1 j=1 j=1 This completes the proof.
1 1
where p > 1, q > 1 and p + q = 1.

104 105
Problem 9.2.5. Let C ∗ (X) = {f : X → F : F = R or C}, where f C ∗ (X) is complete.
is bounded continuous function on X, with Let {fn } be a Cauchy sequence in C ∗ (X).
vector addition: (f + g)(x) = f (x) + g(x), ∀x ∈ X. ∥ fm − fn ∥ = sup {|(fm − fn )(x)|}
x∈X
scalar multiplication: (αf )(x) = αf (x), ∀ x ∈ X
= sup {|fm (x) − fn (x)|}.
x∈X
and norm
=⇒ {fn (x)} is a Cauchy sequence in F and F is complete.
∥ f ∥= sup |f |.
x∈X Hence {fn (x)} → f (x) as n → ∞, ∀ x ∈ X.
Since, F is linear space on itself, C ∗ (X) is also a linear space on F .
∥ fm − fn ∥≥ |(fm (x) − fn (x))|
Show that C ∗ (X) is Banach space.
or |(fm (x) − fn (x))| ≤∥ fm − fn ∥→ 0 as m, n → ∞.

Solution (i) ∥ f ∥≥ 0, =⇒ {fn } converges uniformly to f .

=⇒ Being uniform limit of a sequence of continuous bounded func-
∥ f ∥= 0 ⇐⇒ sup |f (x)| = 0.
x∈X tions, f is also continuous bounded function.
⇐⇒ |f (x)| = 0, ∀ x ∈ X. =⇒ f ∈ C ∗ (X).
⇐⇒ f (x) = 0, ∀ x ∈ X. Hence C ∗ (X) is complete and it is a Banach space.
⇐⇒ f = 0, ∀ x ∈ X. Problem 9.2.6. Show that l∞ is a Banach space.

(ii) Solution. We know that

∥ λf ∥= sup |λf (x)| = λ sup |f (x)| = λ ∥ f ∥ . l∞ = |{x = (x1 , x2 , . . . , xn , . . .) : xi ∈ R or C, sup |xi | < ∞}.
x∈X x∈X
1≤i≤∞
(iii) Set X = {1, 2, . . . , n, . . .}, F = R or C.

∥ f + g ∥ = sup |(f + g)(x) Then a sequence in F is nothing but a function f : X → F , f (n) = xn .

x∈X
Obviously, f is continuous function on X.
= sup |f (x) + g(x)|
x∈X
Also, sup |xi | < ∞
≤ sup |f (x)| + sup |g(x)| 1≤i≤∞
x∈X x∈X =⇒ f is also bounded.
= ∥f ∥+∥g∥.
∴ l∞ = C ∗ (X), X = {1, 2, . . . , n, . . .} is also Banach space.

106 107
9.3 Exercises

(1) Let N be a nonzero normed linear space and prove that N is a

Banach space {x : ||x|| = 1} is complete.
(2) Let p > 1, then prove that Minkowski’s inequality: Chapter 10
∥x + y∥p ≤ ∥x∥p + ∥y∥p .

Unit 10: Open Mapping Theorem

9.4 References

1. G. F. Simmons - Introduction to Topology and Modern Analysis, 10.1 Introducation

Tata McGraw-Hill, New Delhi, 2004.
In this unit, we introduce the concept of Open mapping theorem.
2. A. E. Taylor - Introduction to Functional Analysis, Willey, New
York, 1958.
10.2 Open Mapping Theorem
−−−−−−−−−−−−−−−−−−−−−
In order to state the the result we need the following definition.

Definition 10.2.1. A mapping T : X −→ Y from topological space X

into topological space Y is said to be continuous ⇐⇒ T −1 is open in
X whenever G is open in Y .

Definition 10.2.2. A mapping T : X −→ Y from topological space X

into topological space Y is said to be open mapping, if G is open in
X, then T (G) is open in Y .

Lemma 10.2.3. If X and Y are two Banach spaces and if

108 109
T : X −→ Y is continuous linear map from X onto Y , then the image Next, let us note that
∞
of every open sphere centered on the origin of X contains an open [
X = Sn .
sphere centered on the origin of Y . n=1
∞
!
[
=⇒ T (x) = T Sn
Proof. Let Sr = {x ∈ X : ∥x − 0∥x < r} be an open sphere in X, n=1
∞
centered on origin of X. [
= T (Sn ).
Let Sr′ = {y ∈ Y : ∥y − 0′ ∥Y < r} be an open sphere in Y , centered n=1

on origin of Y . It is given that T is onto, hence T (x) = Y .

∞
S
Consider, ∴Y = T (Sn ).
n=1
Since Y is complete, we can apply Baire’s Category Theorem, i.e. Y
Sr = {x ∈ X : ∥x∥ < r}
is of second category or Y is not a union of nowhere dense sets.
∥x∥
= {x ∈ X : < 1}  
r =⇒ ∃ T (Sn0 ) such that Int T (Sn0 ) ̸= ∅.
x
= {x ∈ X : < 1}.
 
r Let y0 ∈ Int T (Sn0 ) or y0 ∈ T (Sn0 ).

x
Next, consider z ∈ T (Sn0 ) − y0 .
Put r = x1
=⇒ z = Tx − y0 , where x ∈ Sn0
Sr = {rx1 ∈ X : ∥x1 ∥ < 1} =⇒ z = Tx − Tx0 , ∴ y0 ∈ T (Sn0 ) =⇒ ∃ x0 ∈ Sn0 such that
= rS1 T (x0 ) = y0 .
=⇒ z = T (x − x0 ).
Therefore, Sr = rS1 , ∀ r > 0.
∥x − x0 ∥ ≤ ∥x∥ + ∥x0 ∥ < n0 + n0 = 2n0 , ∴ x − x0 ∈ S2n0 .
From this, we note that it is enough to prove the Lemma for S1 .
′ ∴ z ∈ T (S2n0 )
i.e. to prove that, T (S1 ) ⊇ Sr1 , for some r1 > 0.
and hence,
T (Sn0 ) − y0 ⊆ T (S2n0 ).
We shall observe that origin of Y is an interior point of T (Sn0 ) − y0 .
The map y −→ y − y0 is a homeomorphism from Y onto Y . Since

110 111
 ϵ
y0 is an interior point of T (Sn0 ), 0′ = y0 − y0 is an interior point of 2.

T (x0 ) − y0 . Hence origin of Y is an interior point of T (S2n0 ). =⇒ y − y1 − y2 ∈ S ′ϵ2 .

2

∴ 0′ is an interior point of T (S2n0 ), Again using 0′ ∈ Sϵ′ ⊆ T (S1 ), we get

Sϵ′ T (S1 )
because, T (Sn0 − y0 ) = T (Sn0 ) − y0 ⊆ T (S2n0 ). Sϵ′ ⊆ T (S1 ) ⇔ S ′ϵ2 = 22 ⊆ 22 = T (S 12 ).
2 2

But, we know that T (S2n0 ) = T (2n0 S1 ) = 2n0 T (S1 ), ∵ Sr = rS1 . Continuing this way we arrive at two sequences: {xn } is a sequence in
So that, T (S2n0 ) = 2n0 T (S1 ), X such that
1
we can have one more homeomorphism y −→ 2n0 y from Y onto Y . ∥x∥ < , n = 1, 2, . . . .
2n−1
Hence origin 0′ is an interior point of T (S1 ). and yn is a sequence in Y such that ∥y − y1 − y2 − · · · − yn ∥ < ϵ
2n .
′
By definition, ∃ ϵ > 0 such that 0 ∈ Sϵ′ ⊂ T (S1 ) using this, we shall
=⇒ y = lim (y1 + y2 + · · · + yn )
show that n→∞

Sϵ′ ′
⊆ T (S3 ) ⇐⇒ S ϵ ⊆ T (S1 ), = lim (T (x1 ) + T (x2 ) + · · · + T (xn ))
3
n→∞

which will prove the lemma. = lim (T (x1 + x2 + · · · + xn ))

n→∞

We shall work out inductively two sequences {yn } in Y and {xn } = lim (T (Sn )),
n→∞

in X as follows: where Sn = x1 + x2 + · · · + xn .
Let y ∈ Sϵ′ , then y ∈ T (S1 ) or y is a limit point of T (S1 )) (if y ∈
T (S1 ) ⊆ T (S3 ) there is nothing to prove). n
X
=⇒ ϵ
∃ x1 ∈ S1 such that y1 = T (x1 ) and ∥y − y1 ∥ < 2ϵ , ∥Sn ∥ = xi
2,
i=1
∵ x1 ∈ S1 ⇐⇒ ∥x1 ∥ < 1. n
X
ϵ ≤ ∥xi ∥
=⇒ ∥(y − y1 ) − 0′ ∥ < 2 or y − y1 ∈ S ′ϵ using 0′ ∈ Sϵ′ ⊆ T (S1 ), we get i=1
2

Sϵ′ ⊆ T (S1 ). ∵ |x1 | < 1, |x2 | < 12 , . . ., |xn | < 1

2n .
Sϵ′ T (S1 )
=⇒ S ′ϵ = 2 ⊆ 2 = T (S 21 ), ∵ T is linear.
2

=⇒ y − y1 ∈ T (S 21 ) or y − y1 is a limit point of T (S 21 ).
ϵ 1
=⇒ 22 , ∃ x2 ∈ S 21 or ∥x∥ < 2 such that y2 = T (x2 ) and ∥y −y1 −y2 ∥ <

112 113
 Banach spaces and if T : X −→ Y is a continuous linear map from X
1 1 onto Y , then T is an open mapping.
∥Sn ∥ < 1 + + · · · + n−1
2 2
1 − 21n Proof. y ∈ T (G) =⇒ y = T (x) for some x ∈ G.
=
1 − 12
< 2. G is open in X =⇒ ∃ r > 0 such that x ∈ S(x, r) ⊆ G.
But we know that S(x, r) = x + Sr .
To show that {Sn } is a Cauchy sequence in X:
By the Lemma 10.2.3, ∃ r1 > 0 such that Sr′ 1 ⊆ T (Sr ).
n
X
∥Sn − Sm ∥ = xi S ′ (y, r1 ) = y + Sr′ 1 ⊆ y + T (Sr ) = T (x + Sr ) = T (S(x, r)).
i=m+1
n ∴ y ∈ S ′ (y, r1 ) ⊆ T (S(x, r)) ⊆ T (G)
X
≤ ∥xi ∥ ∴ T (G) is open.
i=m+1
1 1 1
< m
+ m+1 + · · · + n−1 Theorem 10.2.5. If T : X −→ Y is a one to one, continuous linear
2  2 2
1 
1 1 − 2n−m transformation (or bounded linear operator) from X onto Y , then T
= m
2 1 − 12
  is a homeomorphism from a Banach space X onto Banach space Y .
1 1
= m−1 1 − n−m
2 2
Proof. It is given that T is a continuous linear transformation, one to
1
= m−1 −→ 0 as n, m −→ ∞
2 one and onto from a Banach space X to a Banach space Y .
∴ {Sn } is a Cauchy sequence in X and X is complete. By Open Mapping Theorem, G ⊆ X is open =⇒ T (G) ⊆ Y is
Let x = lim Sn . also open.
n→∞
Since T is continuous, T (x) = limn→∞ T (Sn ) = y.
=⇒ T (G) ⊆ Y is open =⇒ T −1 (T (G)) = G ⊆ X is open.
∥x∥ = lim ∥Sn ∥ ≤ 2 < 3.
n→∞
=⇒ T −1 is continuous.
=⇒ x ∈ S3
=⇒ y = T (x) ∈ T (S3 ) or S ′ (ϵ) ⊆ T (S3 ) or S ′ (ϵ/3) ⊆ T (S1 ). T −1 (y) = T −1 (T (x)) = x.

This completes the proof.

Theorem 10.2.4 (Open mapping theorem). If X and Y are two

114 115
 10.3 Exercise:

=⇒ T −1 (αy1 + βy2 ) = T −1 (αT (x1 ) + βT (x2 ))

Let T : X −→ Y be the continuous linear map from the Banach space
−1
= T (T (αx1 + βx2 )) X to Banach space Y . Then prove that T (G) is open in Y if G is open
= αx1 + βx2 in X.
−1 −1
= αT (y1 ) + βT (y2 )

T is one to one and onto =⇒ T −1 is also one to one and onto. 10.4 References
∴ T is homeomorphism.
1. G. F. Simmons - Introduction to Topology and Modern Analysis,
Problem 10.2.6. If T : X −→ Y is a one to one continuous linear Tata McGraw-Hill, New Delhi, 2004.
transformation from a Banach space X onto Banach space Y , then
2. A. E. Taylor - Introduction to Functional Analysis, Willey, New
T −1 : Y −→ X is also continuous linear transformation.
York, 1958.

Solution: To show that T −1 is continuous.

−−−−−−−−−−−−−−−−−−−−−
By Open mapping theorem, G ⊆ X is open =⇒ T (G) ⊆ Y is also
open.
=⇒ T (G) ⊆ Y is open =⇒ T −1 (T (G)) = G ⊆ X is open.
To show that T −1 is linear:

T −1 (αy1 + βy2 ) = T −1 (αT (x1 ) + βT (x2 ))

= T −1 (T (αx1 + βx2 ))

= αx1 + βx2

= αT −1 (y1 ) + βT −1 (y2 ).

116 117
 Note 11.2.3. Every continuous linear operator is also a closed linear
operator. But the converse is not true.

Counter example

Chapter 11 Let

X = {x : [0, 1] −→ R : ∥x∥ = sup |x(t)|, x(t) and x′ (t) are continuous.}

0≤t≤1

Unit 11: Closed Graph Theorem Y = {y : [0, 1] −→ R : ∥y∥ = sup |y(t)|, y(t) is continuous.}
0≤t≤1
dx ′
T : X −→ Y , by Tx (t) = dt = x (t).
T is linear:
11.1 Introducation
d
T (αx1 (t) + βx2 (t)) = [αx1 (t) + βx2 (t)]
dt
In this unit, we introduce the concept of Closed graph theorem. dx1 dx2
= α +β
dt dt
= αTx1 + βTx2 .
11.2 Closed Graph Theorem
T is closed:
Suppose xn −→ x in X and Txn −→ y in Y .
First, we define some definition and then go to the theorem.
i.e. xn (t) −→ x(t) in X and x′n (t) −→ y(t) ∈ Y.
Definition 11.2.1. Let T : X −→ Y be a linear transformation from
=⇒ ∥xn − x∥ −→ 0 and ∥x′n − y∥ −→ 0 as n −→ ∞.
a normed linear space X into a normed linear space Y . Then T is
=⇒ xn (t) −→ x(t) uniformly and x′n (t) −→ y(t) uniformly on [0, 1].
said to be a closed linear operator if
By the theorem on uniform convergence and differentiation,
xn −→ x in X and Txn −→ y in Y =⇒ y = Tx .
x′n −→ x(t) uniformly and hence y = x′ (t).
Definition 11.2.2. Let T : X −→ Y be a linear transformation from ∴ y = Tx or T is a closed linear operator.
a normed linear space X into a normed linear space Y . Then T is But T is not continuous.
said to be continuous if xn −→ x in X and Txn −→ Tx . ( T is continuous ⇐⇒ ∃ α > 0 such that ∥Tx ∥ ≤ α∥x∥ ⇐⇒ x′ (t) is

118 119
uniformly continuous.) T is defined by
Consider, xn (t) = tn .
Γ(T ) = {(x, T (x)) : x ∈ X} ⊆ X × Y.

∥xn ∥ = sup tn = 1, Note 11.2.6. Γ(T ) is a subspace of X × Y :

0≤t≤1

then α(x1 , T (x1 )) + β(x2 , T (x2 )) = (αx1 , αT (x1 )) + (βx2 , βT (x2 ))

dxn = (αx1 + βx2 , αT (x1 ) + βT (x2 )).

T xn = = ntn−1
dt
∥Txn ∥ = sup ntn−1 = n. But T is linear =⇒
0≤t≤1
T (αx1 + βx2 ) = αT (x1 ) + βT (x2 )
As n −→ ∞, ∥xn ∥ −→ 1.
But ∥Txn ∥ −→ ∞ = (αx1 + βx2 , T (αx1 + βx2 )) ∈ Γ(T ),

∴ ∥Txn ∥ ≰ α∥xn ∥. ∀ α, β ∈ F , and (x1 , T (x1 )), (x2 , T (x2 )) ∈ Γ(T ).

∴ T is not continuous.
Problem 11.2.7. Show that if T : X −→ Y is a closed linear operator
Definition 11.2.4. Cartesian product of two normed linear space from a normed space X into a normed linear space Y , then Γ(T ) is a
X, Y is defined as closed subspace of X × Y .
X × Y = {(x, y) : x ∈ X, y ∈ Y }.
Solution: If (x, y) ∈ Γ(T )
X × Y is also called as normed linear space with the following opera-
=⇒ ∃ {(xn , T (xn ))} ∈ Γ(T ) such that lim (xn , T (xn )) = (x, y).
n→∞
tions:
=⇒ ∥(xn − x, T (xn ) − y)∥ −→ 0 as n −→ ∞.
vector addition: (x1 , y1 ) + (x2 , y2 ) = (x1 + x2 , y1 + y2 ).
=⇒ ∥xn − x∥ + ∥T (xn ) − y∥ −→ 0 as n −→ ∞.
scalar multiplication: α(x, y) = (αx, αy)
=⇒ ∥xn − x∥ −→ 0 and ∥T (xn ) − y)∥ −→ 0 as n −→ ∞.
and norm ∥x, y∥ = ∥x∥x + ∥y∥y .
=⇒ xn −→ x in X and T (xn ) −→ y in Y .
The zero element of X × Y is (0x , 0y ).
Since T : X −→ Y is a closed linear operator y = T (x).
Definition 11.2.5. Let T : X −→ Y be a linear operator from a ∴ (x, y) = (x, T (x)) ∈ Γ(T )
normed linear space X into a normed linear space Y . Then graph of ∴ Γ(T ) = Γ(T ) or Γ(T ) is closed subspace of X × Y .

120 121
Theorem 11.2.8 (Closed Graph Theorem). Let X and Y be two X × Y is also a normed linear space under the norm
Banach spaces and let T : X −→ Y is a linear transformation from
∥(x, y)∥ = ∥x∥ + ∥y∥.
X into Y . Then T is continuous ⇐⇒ Γ(T ) is closed.
To show that X × Y is also complete.
Proof. Suppose T is continuous. Let (x, y) be a limit point of Γ(T ). Let {(xn , yn )} be a Cauchy sequence in X × Y .
Then by definition of limit point, ∃ a sequence {(xn , T (xn ))} in Γ(T ) =⇒ ∥(xm , ym ) − (xn − yn )∥ −→ 0 as m, n −→ ∞
such that lim (xn , T (xn )) = (x, y). =⇒ ∥(xm − xn , ym − yn )∥ −→ 0 as m, n −→ ∞
n→∞
=⇒ ∥(xn , T (xn )) − (x, y)∥ −→ 0 as n −→ ∞. =⇒ ∥xm − xn ∥X −→ 0 and ∥ym − yn ∥Y −→ 0 as m, n −→ ∞.
=⇒ ∥(xn − x, T (xn ) − y)∥ −→ 0 as n −→ ∞. =⇒ {xn } and {yn } are Cauchy sequences in X and Y respectively.
=⇒ ∥xn − x∥ + ∥T (xn ) − y∥ −→ 0 as n −→ ∞. Also, X and Y are complete.
=⇒ ∥xn − x∥ −→ 0 and ∥T (xn ) − y∥ −→ 0 as n −→ ∞. =⇒ ∃ x ∈ X, y ∈ Y such that lim xn −→ x and lim yn −→ y.
n→∞ n→∞
(T is continuous ⇐⇒ xn −→ x =⇒ T (xn ) −→ T (x)) =⇒ lim (xn , yn ) = (x, y) ∈ X × Y .
n→∞
=⇒ As xn −→ x, T (xn ) −→ y and T (xn ) −→ T (x). ∴ X × Y is a Banach space.
=⇒ y = T (x). Next, X × Y is complete and Γ(T ) is a closed subspace of X × Y .
∴ (x, y) = (x, T (x)) ∈ Γ(T ). =⇒ Γ(T ) is also complete.
Γ(T ) has all its limit points or Γ(T ) = Γ(T ). =⇒ Γ(T ) is also a Banach space.
∴ Γ(T ) is closed. Define a map, ϕ : Γ(T ) −→ X by ϕ(x, T (x)) = x.
Suppose Γ(T ) is closed subspace of X × Y . It is given that X and Y To show that ϕ is linear.
are Banach spaces.
ϕ(α(x1 , T (x1 )) + β(x2 , T (x2 ))) = ϕ((αx1 + βx2 , αT (x1 ) + βT (x2 )))
To show that X × Y is also a Banach space:
= ϕ((αx1 + βx2 , T (αx1 + βx2 )))
X × Y = {(x, y) : x ∈ X, y ∈ Y } is a vector space on common field F
under the following operations: ∵ T is linear.

vector addition: (x1 , y1 ) + (x2 , y2 ) = (x1 + x2 , y1 + y2 ). = αx1 + βx2

scalar multiplication: α(x, y) = (αx, αy). = αϕ((x1 , T (x1 ))) + βϕ((x2 , T (x2 ))).

122 123
∴ ϕ is linear. Solution: Let X and Y be Banach spaces.
To show that ϕ is continuous: Given the Closed graph theorem is true. i.e if T : X −→ Y is a linear
∥ϕ((x, T (x)))∥ = ∥x∥ ≤ ∥x∥ + ∥T (x)∥ = ∥(x, T (x))∥. transformation, then T is continuous ⇐⇒ Γ(T ) is closed.
∴ ϕ is continuous. By definition, ϕ is one to one and onto. In the theorem, ϕ : X −→ Y is a one to one, continuous linear mapping
∴ ϕ is one to one continuous linear mapping from the Banach space from X onto Y .
Γ(T ) onto the Banach space X. To prove that ϕ−1 is one to one, linear, continuous and onto:
=⇒ By Theorem 10.2.5., ϕ−1 is also a one to one continuous linear ϕ−1 is continuous ⇐⇒ Γ(ϕ−1 ) is closed.
mapping from X onto Γ(T ). Γ(ϕ−1 ) = {(y, ϕ−1 y) : y ∈ Y }.
=⇒ ∥ϕ−1 ∥ = α > 0, is well defined. Let (y, x) be a limit point of T (ϕ−1 )
Consider, =⇒ ∃ (yn , ϕ−1 (yn )) in Γ(ϕ−1 ) such that lim (yn , ϕ−1 (yn )) = (y, x)
n→∞
=⇒ ∥(yn , ϕ−1 (yn )) − (y, x)∥ −→ 0 as n −→ ∞.
∥T (x)∥ ≤ ∥x∥ + ∥T (x)∥
=⇒ ∥(yn − y, ϕ−1 (yn ) − x)∥ −→ 0 as n −→ ∞
= ∥(x, T (x))∥
=⇒ ∥yn − y∥ −→ 0 and ∥ϕ−1 (yn ) − x∥ −→ 0 as n −→ ∞.
= ∥ϕ−1 (x)∥, ∵ ϕ((x, T (x))) = x =⇒ (x, T (x)) = ϕ−1 (x).
Since ϕ is onto, yn = ϕ(xn ).
≤ ∥ϕ−1 ∥∥x∥
=⇒ ∥ϕ(xn ) − y∥ −→ 0 and ∥ϕ−1 (ϕ(xn )) − x∥ −→ 0 as n −→ ∞.
= α∥x∥. =⇒ ∥xn − x∥ −→ 0 and ∥ϕ(xn ) − y∥ −→ 0 as n −→ ∞.
Since ϕ is continuous, ϕ is closed. ϕ(xn ) −→ ϕ(x) and y = ϕ(x) or
∴ ∥T (x)∥ ≤ α∥x∥ or T is continuous. This completes the proof.
x = ϕ−1 y
(ϕ : X −→ Y is closed if xn −→ x and ϕ(xn ) −→ y, then y = ϕ(x)).
Problem 11.2.9. To prove closed graph theorem we have used one of ∴ ϕ−1 (yn ) −→ x = ϕ−1 (y) as yn −→ y.
the consequence of open mapping theorem, namely, if ϕ : X −→ Y is ∴ (y, x) = (y, ϕ−1 y) ∈ Γ(ϕ−1 )
a one to one continuous linear mapping from a Banach space X onto ∴ Γ(ϕ−1 ) is closed.
a Banach space Y , then ϕ−1 : Y −→ X is also one to one continuous By Closed graph theorem, ϕ−1 is continuous.
linear mapping from Y onto X.

124 125
ϕ is linear, one to one and onto =⇒ ϕ−1 is linear, one to one and onto.
This completes the proof.

11.3 Exercises
Chapter 12
If T : X −→ Y is a closed linear operator from a normed space X into
a normed linear space Y , then show that Γ(T ) is a closed subspace of
Unit 12: Banach - Steinhaus
X ×Y.
Principle of Uniform Boundedness
11.4 References

1. G. F. Simmons - Introduction to Topology and Modern Analysis, 12.1 Introduction

Tata McGraw-Hill, New Delhi, 2004.
In this unit, we introduce te concept of Banach - Steinhaus prin-
2. A. E. Taylor - Introduction to Functional Analysis, Willey, New
ciple of uniform boundedness.
York, 1958.

−−−−−−−−−−−−−−−−−−−−− 12.2 Uniform Bounded Principle

Theorem 12.2.1 (The Banach - Steinhaus Theorem (Uniform

Bounded Principle)). Let B be a Banach space and let N be normed
linear space. Let {Ti } be a non empty set of continuous linear trans-
formations from B into N with the property that {Ti (x)} is bounded
set of N for every x ∈B. Then {∥Ti ∥} is a bounded set of numbers i.e.,
{Ti } is bounded in B(B, N ).

126 127
Proof. For each positive number n, define Next, let y ∈ B and ∥y∥ ≤ 1,
 
z
Fn = {x ∈ B : ∥Ti (x)∥ ≤ n, ∀ i} =⇒ ∥Ti (y)∥ = Ti , where z = r0 y =⇒ ∥z∥ < r0 .
r0
1
\
= Ti−1 (S(0, n)). = ∥Ti (z)∥
i r0
1
= ∥Ti ((z + x0 ) − x0 )∥
r0
1
≤ [∥Ti (z + x0 )∥ + ∥Ti (x0 )∥].
Because, x ∈ Fn ⇐⇒ Ti (x) ∈ S(0, n) in N. r0

⇐⇒ x ∈ Ti−1 (S(0, n)) in B, ∀ i. Since, ∥(z + x0 ) − x0 ∥ = ∥z∥ = ∥r0 y∥ = r0 ∥y∥ ≤ r0 ,

z + x0 ∈ S(x0 , r0 ).
Since, each Ti is continuous.
1
Ti−1 (S(0, n)) is also closed and hence each Fn is closed, being arbitrary ∥Ti (y)∥ ≤ [∥Ti (z + x0 )∥ + ∥Ti (x0 )∥]
r0
intersection of closed sets. 1 2n0
≤ [n0 + n0 ] = .
∞
S ∞
S r0 r0
Now, B = Fn . Because, if B ̸= Fn , then ∃ x ∈ B such that
n=1 n=1 =⇒ ∥Ti ∥ = sup{∥Ti (y)∥ : ∥y∥ ≤ 1}
x∈
/ Fn , ∀ n. So that ∥Ti (x)∥ > n, ∀ n. 2n0
≤ , ∀ i.
This means, there is one x such that {Ti (x)} is not bounded set of r0

N which is against to hypothesis. Since, B is a Banach space, B is =⇒ {∥Ti ∥} is bounded in B(B, N ).

complete. This completes the proof.

By Baire’s Category Theorem, B is of second category. So, ∃ n0 such Problem 12.2.2. Let B be a Banach space and N be a normed linear
that space. Let {Tn } be a sequence in B(B, N ) such that lim Tn (x) = T (x)
n→∞
Int(Fn0 ) = Int(Fn0 ) ̸= ∅. exists for all x ∈ B. Show that T ∈ B(B, N ).

Let x0 ∈ Int(Fn0 ). This implies ∃ r0 > 0 such that Solution: Given:

x0 ∈ S(x0 , r0 ) ⊆ Int(Fn0 ) 1. B is a Banach space.

=⇒ x0 ∈ S(x0 , r0 ) ⊆ Fn0 .
2. N is a normed linear space.

128 129
 3. {Tn } is a sequence of continuous linear transformation from B to Given: f ∈ N ∗ =⇒ f : N −→ F is a continuous linear transforma-
N. tion.
=⇒ f : N −→ F is a bounded linear transformation.
4. lim Tn (x) = T (x) exists for all x ∈ B.
n→∞
=⇒ ∥f ∥ < ∞.
From (4), ∥Tn (x) − T (x)∥ −→ 0asn −→ ∞, ∀x ∈ B. Consider,
=⇒ ∥(Tn − T )(x)∥ −→ 0 as n −→ ∞, ∀ x ∈ B. diam(f (X)) = sup |f (x) − f ′ (x)|
x,x′ ∈X
=⇒ {(Tn − T )(x)} is a bounded sequence of N for all x ∈ B.
We can apply principle of uniform boundedness on {(Tn − T )(x)} to
≤ 2 sup |f (x)| < ∞
x∈X
get {∥Tn − T ∥} is a bounded set of numbers.
provided |f (x)| < ∞, ∀ x ∈ X.
=⇒ ∥Tn − T ∥ ≤ α, ∀ x ∈ B.
|f (x)| ≤ ∥f ∥∥x∥ ≤ ∥f ∥diam(X) < ∞
=⇒ ∥(Tn − T )(x)∥ ≤ α, ∀ x ∈ B
=⇒ diam(f (x)) < ∞.
=⇒ ∥Tn (x) − T (x)∥ ≤ α∥x∥, ∵ |a − b| ≥ |a| − |b|.
∴ f (X) is bounded set of numbers ∀ f ∈ N ∗ .
=⇒ ∥T (x) − Tn (x)∥ ≤ α∥x∥
=⇒ ∥T (x)∥ − ∥Tn (x)∥ ≤ α∥x∥ Suppose f (X) is a bounded set of numbers ∀ f ∈ N ∗ .

=⇒ ∥T (x)∥ ≤ ∥Tn (x)∥ + α∥x∥ To prove X is bounded:

Since Tn is continuous ∃ αn > 0 such that ∥Tn (x)∥ ≤ αn ∥x∥. Let us write X = {xi } (i need not run over countably infinite) for our

=⇒ ∥T (x)∥ ≤ (αn + α)∥x∥. convenience.

∴ T is continuous or T ∈ B(B, N ). Next, consider the natural embedding xi −→ Fxi of N into N ∗∗ .

Since, f (X) = f (xi ) is bounded set of numbers ∀ f ∈ N ∗ , the corre-
Theorem 12.2.3. Let N be a normed linear space. A non empty
sponding set {f (xi )} or {Fxi (f )} is bounded set of N ∗∗ , ∀ f ∈ N ∗ .
subset X of N is bounded ⇐⇒ f (X) is a bounded set of numbers for
every f ∈ N ∗ , where N ∗ is the conjugate of N . Let us recall the principle of uniform boundedness. Let B be
a Banach space and let N1 be normed linear space. Let {Ti } be a
Proof. Suppose X is bounded =⇒ diam(X) < ∞.
nonempty set of continuous linear transformation B into N1 with the
=⇒ ∀ x ∈ X, ∥x∥ ≤ diam(X) < ∞.

130 131
property that {Ti (x)} is bounded set of N1 for every x ∈ B. Then To show that T ∗ is continuous:
{∥Ti ∥} is bounded set of numbers i.e. {Ti } is bounded in B(B, N ).
∥T ∗ (f )∥ = sup{|[T ∗ (f )](x)| : ∥x∥ ≤ 1}
Set B = N ∗ , N1 = N ∗∗ and {Ti } = {Fxi }.
= sup{|f (T (x))| : ∥x∥ ≤ 1}
Then by principle of uniform boundedness, {Fxi } is bounded set
= ∥f T ∥
of numbers. But by the constructions, ∥Fxi ∥ = ∥xi ∥.
≤ ∥f ∥∥T ∥, ∵ ∥T1 T2 ∥ ≤ ∥T1 ∥∥T2 ∥.
Hence {∥xi ∥} is a bounded set of numbers or X is bounded in N .
This completes the proof. Since T ∈ B(N ), take α = ∥T ∥ < ∞.
∴ ∥T ∗ (f )∥ ≤ α∥f ∥
Theorem 12.2.4. Let N be a normed linear space. Let T ∈ B(N )
It remains to show that ∥T ∗ ∥ = ∥T ∥:
i.e. T : N −→ N is a continuous linear transformation on N. Define
T ∗ : N ∗ −→ N ∗ by (T ∗ (f ))(x) = f (T (x)). Then T ∗ is also a continu- ∥T ∗ ∥ = sup{∥T ∗ (f )∥ : ∥f ∥ < 1}
ous linear transformation from N to F or T ∗ (f ) ∈ N ∗ , ∀ f ∈ N ∗ . = ∥T ∥, (∥T ∗ (f )∥ ≤ α∥f ∥).
Further, T −→ T ∗ is an isometric isomorphism from B(N ) into B(N ∗ ).

Proof. To show that T ∗ is linear:  

∥T (x)∥
∥T ∥ = sup : x ̸= 0 in N
∥x∥
[T ∗ (αf + βg)](x) = (αf + βg)(T (x))  
|f (T (x))|
= sup : x ̸= 0 in N, ∥f ∥ = 1 ,
= αf (T (x)) + βg(T (x)) ∥x∥
∵ ∥f ∥ = 1 =⇒ ∥T (x)∥ = |f (T (x))|
= α[T ∗ (f )](x) + β[T ∗ (g)](x)  ∗ 
|T (f )|
= sup : x ̸= 0 in N, ∥f ∥ = 1
= [αT ∗ (f ) + βT ∗ (g)](x), ∀ x ∈ N. ∥x∥
 ∗ 
∥T (f )∥∥x∥
≤ sup : x ̸= 0 in N, ∥f ∥ = 1
∥x∥
= ∥T ∗ ∥.

132 133
12.3 Properties of T ∗ 12.4 Exercises

Proposition 12.3.1. (1) T ∗ is also a continuous linear transforma- 1. Let B be a Banach space and N a normed linear space. If {Tn }
tion from N into F is a sequence of in B(B, N ) such that T (x) = lim Tn (x) exists
n→∞
for each x in B, then prove that T is a continuous linear trans-
(2) ∥T ∗ ∥ = ∥T ∥ (Isometry)
formation.
(3) (T1 T2 )∗ = T2∗ T1∗ (reversing the product property).
2. Let T be an operator on a normed linear space N . If N is consid-
∗
(4) I = I (Preserving the identity). ered to be part of N ∗∗ by means of the natural embedding, then
show that T ∗∗ is an extension of T . Further show that if N is
Proof. Proof of (1) and (2) follows from the Theorem 12.2.4.
reflexive, then T ∗∗ = T .
Proof of (3):

[(T1 T2 )∗ (f )](x) = f ((T1 T2 )(x))

12.5 References
= f (T1 (T2 (x))), ∵ f (T (x)) = [T ∗ (f )](x).

= T1∗ (f (T2 (x))) 1. G. F. Simmons - Introduction to Topology and Modern Analysis,

= T2∗ [T1∗ (f )(x)] Tata McGraw-Hill, New Delhi, 2004.

= [(T2∗ T1∗ )(f )](x), ∀ x ∈ N, f ∈ N ∗ . 2. A. E. Taylor - Introduction to Functional Analysis, Willey, New

∴ implies(T1 T2 )∗ = T2∗ T1∗ . York, 1958.

Proof of (4):
−−−−−−−−−−−−−−−−−−−−−
∗
[I (f )](x) = f (I(x))

= f (x)

= [I(f )](x)

∴ I ∗ = I.

134 135
Block-IV

Chapter 13

Unit 13: Hilbert Spaces

13.1 Introduction

In this unit, we introduce the concepts of Hilbert spaces.

Definition 13.1.1. Let H be a linear space or vector space over the

field F = C. The inner product on H is a mapping (, ) : H × H −→ F
satisfying the following properties:

1. (x, x) ≥ 0, (x, x) = 0 if and only if x = 0, for all x ∈ H.

2. (x, y) = (y, x), for all x, y ∈ H.

3. (αx + βy, z) = α(x, z) + β(y, z), for all α, β ∈ F, x, y, z ∈ H.

We define (H, (, )) as inner product space.

Theorem 13.1.2. If (H, (, )) is an inner product space, then H is a

normed linear space where
p
∥x∥ = (x, x), for all x ∈ H.

136 137
Proof. We verify the following three properties of the norm: Hence H is a normed linear space.

p
1. ∥x∥ = (x, x) ≥ 0 (∵ (x, x) ≥ 0 ) for all x ∈ H, and
∥x∥ = 0 ⇐⇒ ∥x2 ∥ = 0
13.2 Hilbert space

⇐⇒ (x, x) = 0
Definition 13.2.1. A Banach space (or a complete normed linear
⇐⇒ x = 0, (∵ (x, x) = 0 ⇐⇒ x = 0, ∀ x ∈ H).
space) is said to be Hilbert space, if the norm is defined by the inner
2. product. In other words, a complete inner product space defining a
p Banach space is called a Hilbert space.
∥λx∥ = (λx, λx)
q
= λλ(x, x) Example 13.2.2.
∞
p ( )
= |λ2 |∥x∥2 X
2
l2 = x = (x1 , x2 , . . . , xn , . . .) : |xn | < ∞, xn ∈ C, n = 1, 2, . . . .
= |λ|∥x∥, ∀ λ ∈ F, x ∈ H. n=1

l2 is vector space over C under co-ordinatewise vector addition and

3. The Schwart’s inequality is |(x, y)| ≤ ∥x∥∥y∥. co-ordinatewise scalar multiplication. l2 is a Banach space under the
Consider, norm
∞
!1/2
∥x + y∥2 = (x + y, x + y) X
2
∥x∥ = |xn | .
n=1
= (x, x) + (x, y) + (y, x) + (y, y)
h i We show that the above norm is given by the following inner product:
= ∥x∥2 + (x, y) + (x, y) + ∥y∥2
∞
X
= ∥x∥2 + 2Re|(x, y)| + ∥y∥2 (x, y) = xn yn .
n=1
≤ ∥x∥2 + 2|(x, y)| + ∥y∥2

≤ ∥x∥2 + 2∥x∥∥y∥ + ∥y∥2

∥x + y∥2 ≤ (∥x∥ + ∥y∥)2

=⇒ ∥x + y∥ ≤ ∥x∥ + ∥y∥ ∀ x, y ∈ H.

138 139
The series on the right hand side is absolutely convergent by Holder’s 2. A. E. Taylor - Introduction to Functional Analysis, Willey, New
inequality York, 1958.
∞
X ∞
X
xn yn = |xn yn |
n=1 n=1
−−−−−−−−−−−−−−−−−−−−−
∞
!1/2 ∞
!1/2
X X
≤ |xn |2 |yn |2
n=1 n=1
< ∞.

We can verify that (x, y) is an inner product.

Finally,
∞
!1/2
X p
2
∥x∥ = |xn | = (x, x) for all x ∈ H.
n=1

Hence l2 is a Hilbert space.

13.3 Exercises:
( 1/2 )
∞

2
P
1. Show that l2 = x = (x1 , x2 , . . . , xn , . . .) : |xn | < ∞, xi ∈ F .
n=1
is a Hilbert space.
Rb
2. Show that L2 (I) = {f : I −→ R or C : a |f |2 dx < ∞} is a
Hilbert space.

13.4 References

1. G. F. Simmons - Introduction to Topology and Modern Analysis,

Tata McGraw-Hill, New Delhi, 2004.

140 141
 Theorem 14.1.2. In a Hilbert space H, the inner product is contin-
uous. i.e. if xn −→ x, yn −→ y as n −→ ∞, then (xn , yn ) −→ (x, y)
as n −→ ∞.
Chapter 14
Proof.

Unit 14: Properties of Hilbert |(xn , yn ) − (x, y)| = |(xn , yn ) − (xn , y) + (xn , y) + (x, y)|

= |(xn , yn − y) + (xn − x, yn )|
Spaces
≤ |(xn , yn − y)| + |(xn − x, yn )|

≤ ∥xn ∥∥yn − y∥ + ∥xn − x∥∥yn ∥,

14.1 Properties (using Schwarz’ inequality)

= ∥xn ∥ × 0 + 0 × ∥y∥ = 0 as n −→ ∞.
In this section, we shall give the some properties of the Hilbert spaces.
This completes the proof.
Theorem 14.1.1. In a Hilbert space, the parallelogram law holds:  
Note 14.1.3. (1) lim (xn , y) = lim xn , y = (x, y).
n→∞ n→∞
∥x + y∥2 + ∥x − y∥2 = 2(∥x∥2 + ∥y∥2 ).  
(2) lim (x, yn ) = x, lim yn = (x, y).
n→∞ n→∞
Proof. Consider,
(3) lim (xn , yn ) = (x, y).
n→∞
2 2 2
∥x + y∥ + ∥x − y∥ = (x + y, x + y) + (x − y, x − y), using ∥x∥ = (x, x)
Theorem 14.1.4. In a Hilbert space H,
= (x, x) + (x, y) + (y, x) + (y, y)

+(x, x) − (x, y) − (y, x) + (y, y) 4(x, y) = ∥x + y∥2 − ∥x − y∥2 + i∥x + iy∥2 − i∥x − iy∥2 ,
√
= 2(x, x) + 2(y, y) where i = −1.
= 2∥x∥2 + 2∥y∥2 = 2 ∥x∥2 + ∥y∥2 .

142 143
Proof. Consider, 2. A. E. Taylor - Introduction to Functional Analysis, Willey, New
York, 1958.
∥x + y∥2 − ∥x − y∥2 + i∥x + iy∥2 − i∥x − iy∥2

= (x + y, x + y) − (x − y, x − y) + i(x + iy, x + iy) − i(x − iy, x − iy) −−−−−−−−−−−−−−−−−−−−−

= {(x, x) + (x, y) + (y, x) + (y, y)} − {(x, x) − (x, y) − (y, x) + (y, y)}

+ i {(x, x) + (x, iy) + (iy, x) + (iy, iy)}

− i {(x, x) − (x, iy) − (iy, x) + (iy, iy)}

= 2(x, y) + 2(y, x) + 2i(x, iy) + 2i(iy, x)

= 2(x, y) + 2(y, x) + 2i(i)(x, y) + 2i(i)(y, x)

= 2(x, y) + 2(y, x) + 2i(−i)(x, y) + 2i(i)(y, x)

= 2(x, y) + 2(y, x) + 2(x, y) − 2(y, x)

= 4(x, y).

14.2 Exercise

Show that in a Hilbert space H, the inner product is continuous.

14.3 References

1. G. F. Simmons - Introduction to Topology and Modern Analysis,

Tata McGraw-Hill, New Delhi, 2004.

144 145
 Theorem 15.2.2. In a Hilbert space H, if x ⊥ y, then

∥x + y∥2 = ∥x∥2 + ∥y∥2 = ∥x − y∥2

.
Chapter 15
Proof.

∥x + y∥2 = (x + y, x + y)
Unit 15: Orthogonal projection
= (x, x) + (x, y) + (y, x) + (y, y)
and nearly orthogonal elements = (x, x) + (x, y) − (y, x) + (y, y)

= ∥x∥2 + ∥y∥2 .

15.1 Introduction Similarly,

∥x − y∥2 = (x − y, x − y)
In this unit, we introduce the concept of orthogonal projection and
= (x, x) − (x, y) − (y, x) + (y, y)
give the properties of orthogonality.
= (x, x) − (x, y) + (y, x) + (y, y)

= ∥x∥2 + ∥y∥2 .
15.2 Orthogonal projection

We discuss here some basic concepts in the theory of orthogonality

and orthogonal complements. Definition 15.2.3. Let H be a Hilbert space and S ⊆ H. Orthogonal
complement of S, denoted by S ⊥ is defined by
Definition 15.2.1. Let H be a Hilbert space. Then two elements x, y ∈
H are said to be orthogonal or x ⊥ y ⇐⇒ (x, y) = 0. S ⊥ = {x ∈ H : (x, y) = 0, ∀ y ∈ S}

146 147
Note 15.2.4. (1) If S = H, then S ⊥ = {0}. To show that S ⊥ is a closed subspace of H :
(2) If S = {0}, then S ⊥ = H. Let x be a limit point of S ⊥ . Then ∃ {xn } in S ⊥ such that lim xn = x.
n→∞
Consider, for all y ∈ S,
Theorem 15.2.5. Let H be a Hilbert space and S ⊆ H. Then S ⊥
 
satisfies the following properties: (x, y) = lim xn , y = lim (xn , y) = 0.
n→∞ n→∞
(1) S ∩ S ⊥ = {0}.
∴ x ∈ S ⊥.
(2) S ⊥ is a closed subspace of H.
Hence S ⊥ has all of its limit points or S ⊥ is a closed subspace of H.
(3) S1 ⊆ S2 =⇒ S2⊥ ⊆ S1⊥ .
(4) S ⊆ S ⊥⊥ .
(3) Suppose, S1 ⊆ S2 . To show that S2⊥ ⊆ S1⊥ .
Proof. (1) Let x ∈ S2⊥ . Then (x, y) = 0, ∀ y ∈ S2 .

x ∈ S ∩ S ⊥ ⇐⇒ x ∈ S and x ∈ S ⊥ =⇒ (x, y) = 0, ∀ y ∈ S2 ⊇ S1 .
=⇒ (x, y) = 0, ∀ y ∈ S1 .
⇐⇒ (x, x) = 0
∴ x ∈ S1⊥ .
⇐⇒ x = 0
Hence S2⊥ ⊆ S1⊥ .
⇐⇒ x ∈ {0}

∴ S ∩ S ⊥ = {0} (4) To show that S ⊆ S ⊥⊥ :

⇐⇒ If x ∈ S, then x ∈ S ⊥⊥ ,
(2) To show that S ⊥ is a subspace of H : / S ⊥⊥ , then x ∈
⇐⇒ If x ∈ / S.
Let α, β ∈ F , and x1 , x2 ∈ S ⊥ / S ⊥⊥
Suppose, x ∈
=⇒ α, β ∈ F , (x1 , y) = 0 = (x2 , y) for all y ∈ S. =⇒ (x, y) ̸= 0, for some y ∈ S ⊥
=⇒ (αx1 + βx2 , y) = α(x1 , y) + β(x2 , y) = α × 0 + β × 0 = 0. / S, because x ∈ S and y ∈ S ⊥ will lead to (x, y) = 0, which
=⇒ x ∈
=⇒ αx1 + βx2 ∈ S ⊥ . is not possible.
∴ S ⊥ is a subspace of H. This completes the proof.

148 149
Theorem 15.2.6. Let M be a closed linear subspace of a Hilbert space =⇒ {xn } is a Cauchy sequence in M and {yn } is Cauchy sequence in
H. Then H = M ⊕ M ⊥ . N.
Every closed subspace of a complete space is complete =⇒ M, N are
Proof. Step - 1: First, let us prove that if M, N are two closed sub-
complete.
spaces of a Hilbert space H and M ⊥ N , then M + N is also a closed
=⇒ lim xn = x, lim yn = y, where x + y ∈ M + N .
n→∞ n→∞
suspace of H.
∴ M + N is also a closed subspace of H.
Let α, β ∈ F, z1 , z2 ∈ M + N
Now, it is given M is a closed subspace of H and M ⊥ is always
=⇒ αz1 + βz2 = α(x1 + y1 ) + β(x2 + y2 ) = (αx1 + βx2 ) + (αy1 + βy2 )
a closed subspace of H. Hence M + M ⊥ is a closed subspace of H.
(where z1 = x1 + y1 and z2 = x2 + y2 , x1 , x2 ∈ M , y1 , y2 ∈ N ).
Further, M ∩ M ⊥ = {0}. As a result, M + M ⊥ = M ⊕ M ⊥ .
Since αx1 + βx2 ∈ M , being a subspace of H and αy1 + βy2 ∈ N ,
being a subspace of H. We must have αz1 + βz2 ∈ M + N .
Hence M + N is a subspace of H. Step 2: To show that H = M + M ⊥ .

Suppose z is a limit point of M + N . Suppose H ̸= M +M ⊥ . Then M +M ⊥ will be a proper closed subspace

=⇒ ∃ a sequence {zn } in M + N such that lim zn = z. of H. Then there exist 0 ̸= z0 ∈ H such that z0 ⊥ M + M ⊥ . Then
n→∞
Since M ⊥ N , M ∩N = {0}. As a result zn ∈ M +N =⇒ zn = xn +yn z0 ⊥ M and z0 ⊥ M ⊥⊥ orz0 ∈ M ⊥ ∩ M ⊥⊥ = {0} or 0 ̸= z0 = 0, which

written uniquely. Next consider is contradiction.

zn − zm = (xn − xm ) + (yn − ym ), where (xn − xm ) ⊥ (yn − ym ). By This completes the proof.

Pythagoras theorem,
Definition 15.2.7. Let H be a Hilbert space. A non empty set {ei }

∥zn − zm ∥2 = ∥xn − xm ∥2 + ∥yn − ym ∥2 . is said to be orthonormal set in H, if

(i) ei ⊥ ej ∀ i ̸= j.
Since, {zn } is convergent in M + N , it is Cauchy sequence and
(ii) ∥ei ∥ = 1, ∀ i.
hence
Example 15.2.8. In l2 , {ei } = {e1 , e2 , . . . , en , . . .}, where e1 = (1, 0, . . . , 0, . . .),
∥zn − zm ∥2 −→ 0 as m, n −→ ∞
e2 = (0, 1, 0, . . . , 0, . . .), . . ., en = (0, 0, . . . , 0, 1, 0, . . .), . . ., is an or-
=⇒ ∥xn − xm ∥ −→ 0, ∥yn − ym ∥ −→ 0, as m, n −→ ∞.

150 151
thonormal set. Definition 15.2.10. Let H be a Hilbert space. Let P denote the class
of all orthonormal sets in H. Under set inclusion ⊆, (P, ⊆) is a
Theorem 15.2.9 (Bessel’s inequality). If {ei } is an orthonormal
partially ordered set. By Zorn’s lemma, there exists a maximal element
set in Hilbert space H and if x ∈ H, then
n for the chain of orthonormal sets in H. This set or the maximal
X
2 2
|(x, ei )| ≤ ∥x∥ . orthonormal set is called complete orthonormal set.
i=1

Proof. First, let us observe that, Theorem 15.2.11. Let {ei } be an orthonormal set in Hilbert space
n
X
2 H. Then the following are equivalent:
x− (x, ei )ei ≥0
(1) {ei } is complete;
i=1
n n
!
X X (2) x ⊥ {ei } =⇒ x = 0;
=⇒ x− (x, ei )ei , x − (x, ei )ei ≥0 P
i=1 i=1 (3) x ∈ H =⇒ x = (x, ei )ei (called Fourier expansion of x);
n n
! !
(4) x ∈ H =⇒ ∥x∥2 = |(x, ei )|2 (called Parsval’s identity).
X X P
=⇒ (x, x) − x, (x, ei )ei − (x, ei )ei , x
i=1 i=1
n n
!
X X Proof. (1) =⇒ (2):
+ (x, ei )ei , (x, ei )ei ≥0
i=1 i=1 Suppose if possible, x ⊥ {ei } and x ̸= 0.
n n n
x
Put e = ∥x∥ . Then {ei , e} is also an orthonormal set containing {ei }.
X X X
=⇒ ∥x∥2 − (x, ei )(x, ei ) − (x, ei )(ei , x) + (x, ei )(x, ei ) ≥ 0
i=1 i=1 i=1
n n n =⇒ {ei } is not complete, a contradiction.
X X X
2 2 2 2
=⇒ ∥x∥ − |(x, ei )| + |(x, ei )| + |(x, ei )| ≥ 0. ∴ x = 0.
i=1 i=1 i=1

n
X
∴ |(x, ei )|2 ≤ ∥x∥2 , if {ei } is finite.
(2) =⇒ (3)
i=1

If {ei } is countable, allow n −→ ∞, we get We have, x ⊥ {ei } =⇒ x = 0.

n
X
|(x, ei )|2 ≤ ∥x∥2 .
i=1

152 153
Consider, 15.3 Exercises
 X  X
x− (x, ei )ei , ej = (x, ei ) − (x, ei )(ei , ej )
1. Show that the parallelogram law is not true in l1n (n > 1).
= (x, ei ) − (x, ei )
2. If S is a nonempty subset of a Hilbert space, then show that
= 0, ∀ ej .
S ⊥ = S ⊥⊥⊥ .
P
=⇒ x − (x, ei )ei ⊥ {ei }.
P P
∴ x − (x, ei )ei = 0 or x = (x, ei )ei . 15.4 References

1. G. F. Simmons - Introduction to Topology and Modern Analysis,

(3) =⇒ (4):
P Tata McGraw-Hill, New Delhi, 2004.
We have x ∈ H =⇒ x = (x, ei )ei

2. A. E. Taylor - Introduction to Functional Analysis, Willey, New

∥x∥2 = (x, x)
X X  York, 1958.
= (x, ei )ei , (x, ej )ej
XX
= (x, ei )(x, ej )(ei , ej ), ∵ (ei , ej ) = 0, (ei , ei ) = 1. −−−−−−−−−−−−−−−−−−−−−
i j
X X
= (x, ei )(x, ei ) = |(x, ei )|2 .

(4) =⇒ (1)
Suppose (1) is false,
=⇒ ∃ e ∈ H such that e ⊥ {ei } and ∥e∥ = 1.
=⇒ ∥e∥2 = |(e, ei )|2 .
P

=⇒ 1 = 0, a contradiction.
This completes the proof.

154 155
 Since M is closed, d must be strictly greater than zero. For oth-
erwise d = 0 implies x ∈ M from the property closed sets, contracting
the choice of x.

From the definition of infimum, choose a y0 ∈ M such that

Chapter 16
d < ||y0 − x|| ≤ d(1 + ϵ). (16.1)

Now let us define

Unit 16: Riesz Lemma and Riesz xϵ = −
(y0 − x)
||y0 − x||
Representation Theorem Since x ∈ N − M and y0 ∈ M , y0 − x ̸= 0 and also ||xϵ || = 1. If
x0 ∈ M , then we get
y0 − x
||x0 − xϵ || = x0 +
16.1 Introduction ||y0 − x||
1
= [ ||(y0 + ||y0 − x||x0 ) − x|| ]. (16.2)
||y0 − x||
In this unit, we introduce the Riesz Lemma and Riesz representation
Now (y0 + ||y0 − x||x0 ) ∈ M and x ∈ N . So by using the definition of
theorem.
d and (16.1) in (16.2),
d d ϵ
||x0 − xϵ || > > =1− > 1 − ϵ.
16.2 Riesz Lemma ||y0 − x|| d(1 + ϵ) 1+ϵ
Thus we have proved that ||xϵ || = 1 and ||x0 − xϵ || > 1 − ϵ. This
Lemma 16.2.1 (Riesz Lemma). If M is a closed proper subspace completes the proof of lemma.
of a normed linear space N and ϵ > 0, then there is a point xϵ on the
unit sphere such that
16.3 Riesz representation theorem
inf{||x0 − xϵ || : xo ∈ M } > 1 − ϵ.
Definition 16.3.1. Let H be a Hilbert space. Then
Proof. Let x ∈ N − M and let us define d = inf{||x − x0 || : x0 ∈ M }. H ∗ = {f : H −→ F : f is a continuous linear functional}.

156 157
Theorem 16.3.2 (Riesz representation theorem). Let H be a f (x)
f (x) − βf (y0 ) = 0 and this is accomplished by putting β = f (y0 ) . Our
∗
Hilbert space and let f be an arbitrary functional in H . Then there conclusion that f (x) = (x, y) is true for every x in H now follows at
exists a unique vector y ∈ H such that f (x) = (x, y) for every x in H. once from

Proof. It is easy to see that if such a y exists, then it is necessarily f (x) = f (m + βy0 )
′ ′
unique. For if we also have f (x) = (x, y ) for all x, then (x, y ) = (x, y) = f (m) + βf (y0 )
′
and (x, y − y) = 0 for all x; and since 0 is the only vector orthogonal = (m, y) + β(y0 , y)
to every vector, this implies that y ′ − y = 0 or y ′ = y.
= (m + βy, y)
We now turn to the problem of showing that y does exist. If = (x, y).
f = 0, then it clearly suffices to choose y = 0. We may therefore
This completes the proof.
assume that f ̸= 0. The null space M of f is thus a proper closed
linear subspace of H, then there exists a non-zero vector y0 which
is orthogonal to M . We show that if α is a suitable chosen scalar, 16.4 Exercises
then the vector α may be, f (x) = (x, y) is true for every x in M ; for
1. Let H be a Hilbert space. Then show that H ∗ is also a Hilbert
f (x) = 0 for such an x and since x is orthogonal to y0 , we also have
space with respect to the inner product defined by (fx , fy ) =
(x, y) = 0. This allows us to focus our attention on choosing α in such
(y, x). In just the same way, the fact that H ∗ is a Hilbert space
a way that f (x) = (x, y) is true for x = y0 . The condition this imposes
implies that H ∗∗ is a Hilbert space whose inner product is given
on α is that
by (Ff , Fg ) = (f, g).
f (y0 ) = (y0 , αy0 ) = α∥y0 ∥2 .

f (y0 )
2. Let H be a Hilbert space. We have two natural mappings of H
We therefore choose α to be ∥y0 ∥2 and it follows that f (x) = (x, y)
into H ∗∗ , the second of which is onto: the Banach space natural
is true for every x in M and for x = y0 . It is easily seen that each
imbedding x −→ Fx , where Fx (f ) = f (x) and the product map-
x in M can be written in the form x = m + βy0 with m in M : all
ping x −→ fx −→ Ffx , where fx (y) = (y, x) and Ffx = (f, fx ).
that is necessary is to choose β in such a way that f (x − βy0 ) =

158 159
 Such that these mappings are equal and conclude that H is re-
flexive. Show also that (Fx , Fy ) = (x, y).

16.5 References

1. G. F. Simmons - Introduction to Topology and Modern Analysis,

Tata McGraw-Hill, New Delhi, 2004.

2. A. E. Taylor - Introduction to Functional Analysis, Willey, New

York, 1958.

−−−−−−−−−−−−−−−−−−−−−

160