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Editorial Board
J.H. Ewing F.W. Gehring P.R. Halmos
Graduate Texts in Mathematics
Modular Functions
and Dirichlet Series
in Number Theory
Second Edition
With 25 Illustrations
Springer-Verlag
New York Berlin Heidelberg
London Paris Tokyo Hong Kong
Tom M. Apostol
Department of Mathematics
California Institute of Technology
Pasadena, CA 91125
USA
Editorial Board
J.H. Ewing F.W. Gehring P.R. Halmos
Department of Department of Department of
Mathematics Mathematics Mathematics
Indiana University University of Michigan Santa Clara University
Bloomington, IN 47405 Ann Arbor, MI 48109 Santa Clara, CA 95053
USA USA USA
9 8 7 6 5 432 I
T.M.A.
January, 1976
* The first volume is in the Springer-Verlag series Undergraduate Texts in Mathematics under
the title Introduction to Analytic Number Theory.
v
Preface to the Second Edition
T.M. A.
July, 1989
Contents
Chapter 1
Elliptic functions
1.1 Introduction 1
1.2 Doubly periodic functions 1
1.3 Fundamental pairs of periods 2
1.4 Elliptic functions 4
1.5 Construction of elliptic functions 6
1.6 The Weierstrass g;J function 9
1.7 The Laurent expansion of g;J near the origin 11
1.8 Differential equation satisfied by g;J 11
1.9 The Eisenstein series and the invariants 9z and 93 12
1.10 The numbers e b ez, e3 13
1.11 The discriminant .1 14
1.12 Klein's modular function J(T) 15
1.13 Invariance of J under unimodular transformations 16
1.14 The Fourier expansions of 9z(T) and 93(T) 18
1.15 The Fourier expansions of .1(T) and J(1:) 20
Exercises for Chapter 1 23
Chapter 2
The Modular group and modular functions
2.1 Mobius transformations 26
2.2 The modular group r 28
2.3 Fundamental regions 30
2.4 Modular functions 34
vii
2.5 Special values of J 39
2.6 Modular functions as rational functions of J 40
2.7 Mapping properties of J 40
2.8 Application to the inversion problem for Eisenstein series 42
2.9 Application to Picard's theorem 43
Exercises for Chapter 2 44
Chapter 3
The Dedekind eta function
3.1 Introduction 47
3.2 Siegel's proof of Theorem 3.1 48
3.3 Infinite product representation for .1( r) 50
3.4 The general functional equation for YJ(r) 51
3.5 Iseki's transformation formula 53
3.6 Deduction of Dedekind's functional equation from Iseki's
formula 58
3.7 Properties of Dedekind sums 61
~
Chapter 4
Congruences for the coefficients of the modular function j
4.1 Introduction 74
4.2 The subgroup r o(q) 75
4.3 Fundamental region of r o(p) 76
4.4 Functions automorphic under the subgroup r o(P) 78
4.5 Construction of functions belonging to r o(P) 80
4.6 The behavior of fp under the generators of r 83
4.7 The function <p(r) = .1(qr)j.1(r) 84
4.8 The univalent function <I>(r) 86
4.9 Invariance of <I>(r) under transformations of r o(q) 87
4.10 The function j p expressed as a polynomial in <I> 88
Exercises for Chapter 4 91
Chapter 5
Rademacher's series for the partition function
5.1 Introduction 94
5.2 The plan of the proof 95
5.3 Dedekind's functional equation expressed in terms of F 96
5.4 Farey fractions 97
viii
5.5 Ford circles 99
5.6 Rademacher's path of integration 102
5.7 Rademacher's convergent series for pen) 104
Exercises for Chapter 5 110
Chapter 6
Modular forms with multiplicative coefficients
6.1 Introduction 113
6.2 Modular forms of weight k 114
6.3 The weight formula for zeros of an entire modular form 115
6.4 Representation of entire forms in terms of G4 and G 6 117
6.5 The linear space M k and the subspace Mk,o 118
6.6 Classification of entire forms in terms of their zeros 119
6.7 The Hecke operators Tn 120
6.8 Transformations of order n 122
6.9 Behavior of Tnfunder the modular group 125
6.1 0 Multiplicative property of Hecke operators 126
6.11 Eigenfunctions of Hecke operators 129
6.12 Properties of simultaneous eigenforms 130
6.13 Examples of normalized simultaneous eigenforms 131
6.14 Remarks on existence of simultaneous ~igenforms in M 2k, 0 133
6.15 Estimates for the Fourier coefficients of entire forms 134
6.16 Modular forms and Dirichlet series 136
Exercises for Chapter 6 138
Chapter 7
Kronecker's theorem with applications
7.1 Approximating real numbers by rational numbers 142
7.2 Dirichlet's approximation theor~m 143
7.3 Liouville's approximation theorem 146
7.4 Kronecker's approximation theorem: the one-dimensional
case 148
7.5 Extension of Kronecker's theorem to simultaneous
approximation 149
7.6 Applications to the Riemann zeta function 155
7.7 Applications to periodic functions 157
Exercisesfor Chapter 7 159
Chapter 8
General Dirichlet series and Bohr's equivalence theorem
8.1 Introduction 161
8.2 The half-plane of convergence of general Dirichlet series 161
8.3 Bases for the sequence of exponents of a Dirichlet series 166
ix
8.4 Bohr matrices 167
8.5 The Bohr function associated with a Dirichlet series 168
8.6 The set of values taken by a Dirichlet series f(s) on a line
U = Uo 170
8.7 Equivalence of general Dirichlet series 173
8.8 Equivalence of ordinary Dirichlet series 174
8.9 Equality of the sets Uf(uo) and Ug(u o) for equivalent
Dirichlet series 176
8.10 The set of values taken by a Dirichlet series in a neighborhood
of the line U = Uo 176
8.11 Bohr's equivalence theorem 178
8.12 Proof of Theorem 8.15 179
8.13 Examples of equivalent Dirichlet series. Applications of Bohr's
theorem to L-series 184
8.14 Applications of Bohr's theorem to the Riemann zeta function 184
Exercisesfor Chapter 8 187
Bibliography 196
Index 201
x
Elliptic functions
1.1 Introduction
Additive number theory is concerned with expressing an integer n as a sum
of integers from some given set S. For example, S might consist of primes,
squares, cubes, or other special numbers. We ask whether or not a given
number can be expressed as a sum of elements of S and, if so, in how many
ways this can be done.
Letf(n) denote the number of ways n can be written as a sum of elements
of S. We ask for various properties of f(n), such as its asymptotic behavior
for large n. In a later chapter we will determine the asymptotic value of the
partition function p(n) which counts the number of ways n can be written as a
sum of positive integers ~ n.
The partition function p(n) and other functions of additive number theory
are intimately related to a class of functions in complex analysis called
elliptic modular functions. They playa role in additive number theory analo-
gous to that played by Dirichlet series in multiplicative number theory. The
first three chapters of this volume provide an introduction to the theory of
elliptic modular functions. Applications to the partition function are given
in Chapter 5.
We begin with a study of doubly periodic functions.
Notation. If W1 and W2 are two complex numbers whose ratio is not real
we denote by 0(w 1 , W2), or simply by 0, the set of all linear combinations
mW 1 + nw 2 , where m and n are arbitrary integers. This is called the lattice
generated by W1 and W2'
2
1.3: Fundamental pairs of periods
(a) (b)
Figure 1.1
Theorem 1.1. I}' (WI' W 2 ) is a .fundamental pair oj' periods, then the triangle
with vertices 0, WI' W2 contains no further periods in its interior or on its
boundary. Conversely, any pair of periods with this property isfundamental.
PROOF. Consider the parallelogram with vertices 0, W b WI + W 2 , and W2'
shown in Figure 1.2a. The points inside or on the boundary of this parallel-
ogram have the form
Z = rJ..W 1 + f3W2'
where °:: ; °:: ;
rJ.. :::; 1 and 13 :::; 1. Among these points the only periods are 0,
and WI + W2' so the triangle with vertices 0, W b W 2 contains no
WI' W 2 ,
periods other than the vertices.
o o
(a) (b)
Figure 1.2
3
1: Elliptic functions
where t 1 and t 2 are real. Now let [t] denote the greatest integer stand
write
Then
/
W - [t 1 ]W 1 - [t 2]W 2 = rl w l + r2w2.
If one of rl or r2 is nonzero, then rl W1 + r2 W2 will be a period lying inside
the parallelogram with vertices 0, Wb W2' W1 + W2 . But if a period w lies
inside this parallelogram then either w or W 1 + W 2 - w will lie inside the
triangle 0, W1 , W2 or on the diagonal joining W1 and W2, contradicting the
hypothesis. (See Figure 1.2b.) Therefore rl = r2 = 0 and the proof is
complete. D
Definition. Two pairs of complex numbers (w 1 , ( 2) and (w 1 ', w 2'), each with
nonreal ratio, are called equivalent if they generate the same lattice of
periods; that is, ifQ(w b (2) = Q(w 1 ', w 2 ').
The next theorem, whose proof is left as an exercise for the reader,
describes a fundamental relation between equivalent pairs of periods.
Theorem 1.2. Two pairs (w b ( 2) and (w 1 ', w 2') are equivalent if, and only if,
there is a 2 x 2 matrix (: ~) with integer entries and determinant
ad - be = ± 1, such that
4
1.4: Elliptic functions
If f and g are elliptic functions with periods Wi and W 2 then their sum,
difference, product and quotient are also elliptic with the same periods. So,
too, is the derivative f'.
Because of periodicity, it suffices to study the behavior of an elliptic
function in any period parallelogram.
5
1: Elliptic functions
Theorem 1.6. The contour integral of an elliptic function taken along the
boundary of any cell is zero.
PROOF. The integrals along parallel edges cancel because of periodicity. D
Theorem 1.7. The sum of the residues of an ellipticfunction at its poles in any
period parallelogram is zero.
PROOF. Apply Cauchy's residue theorem to a cell and use Theorem 1.6. D
\
Note. Theorem 1.7 shows that an elliptic function which is not constant
has at least two simple poles or at least one double pole in each period
parallelogram.
Theorem 1.8. The number ofzeros ofan elliptic function in any period parallel-
ogram is equal to the number of poles, each counted with multiplicity.
PROOF. The integral
_1 f
f'(z) dz
2ni c j'(z) ,
taken around the boundary C of a cell, counts the difference between the
number of zeros and the number of poles insid'e the cell. But f' / f is elliptic
with the same periods as/, and Theorem 1.6 tells us that this integral is zero.
D
Note. The number of zeros (or poles) of an elliptic function in any period
parallelogram is called the order of the function. Every nonconstant elliptic
function has order ~ 2.
A B
---2+--·
(z - OJ) Z - OJ
6
1.5: Construction of elliptic functions
summed over all the periods w = mW l + nW2. For fixed z =1= w this is a
double series, summed over m and n. The next two lemmas deal with con-
vergence properties of double series of this type. In these lemmas we denote
by Q the set of all linear combinations mw 1 + nW2' where m and n are
arbitrary integers.
Figure 1.3
7
1: Elliptic functions
This shows that the partial sums S(n) are bounded above by 8'(~ - l)jr(X if
~ > 2. But any partial sum lies between two such partial sums, so all of the
partial sums of the series L /OJ ,- (X are bounded above and hence the series
converges if ~ > 2. The lower bound for S(n) also shows that the series
diverges if ~ ~ 2. D
L
Iwl > R
1"
(z - OJ)
converges absolutely and uniformly in the disk Iz I ~ R.
PROOF. We will show that there is a constant M (depending on R and ~)
such that, if ~ ~ '1, we have
1 M
(1) ---<-
Iz - OJI(X - IOJI(X
for all OJ with /OJ / > R and all z with Iz I ~ R. Then we invoke Lemma 1 to
prove Lemma 2. Inequality (1) is equivalent to
and hence
where
M= ( l -
R
+d
)-a..
R
This proves (2) and also the lemma. D
As mentioned earlier, we could try to construct the simplest elliptic
function by using a series of the form
1
L
WEn
(Z-W)2'
This has the appropriate principal part near each period. However, the
series does not converge absolutely so we use, instead, a series with the
exponent 2 replaced by 3. This will give us an elliptic function of order 3.
Theorem 1.9. Let f be defined by the series
1
f(z) = L(
WEn z - OJ
)3'
But OJ - OJ 1 runs through all periods in Q with OJ, so the series for f(z + OJ 1 )
is merely a rearrangement of the series for f(z). By absolute convergence we
have f(z + OJ 1 ) = f(z). Similarly, f(z + OJ 2 ) = f(z) so f is doubly periodic.
This completes the proof. 0
9
1: Elliptic functions
.f.J(z)
1 L
= 2z + w*o {II}
( Z - W
)2 - 2
W
.
Theorem 1.10. The function g;J so defined has periods W t and w 2 • It is analytic
except for a double pole at each period w in Q. Moreover g;J(z) is an even
function of z.
PROOF. Each term in the series has modulus
1 lIIW2-(Z-W)21IZ(2W-Z)1
1(z - W)2 - w2 2 = 2w (z - W)2 = w (z - W)2 .
Now consider any compact disk Iz I ::; R. There are only a finite number of
periods W in this disk. If we exclude the terms of the series containing these
periods we have, by inequality (1) obtained in the proof of Lemma 2,
Since - w runs through all nonzero periods with w this shows that g;J( - z) =
g;J(z), so g;J is even.
10
1.8: Differential equation satisfied by f.J
We have already shown that this function has periods WI and ~2. Thus
~'(z + w) = ~'(z) for each period w. Therefore the function ~(z + w) - ~(z)
is constant. But when z = - w/2 this constant is ~(w/2) - ~(- w/2) = 0
since ~ is even. Hence ~(z + w) = ~(z) for each w, so ~ has the required
periods. 0
(3) ~(z) = 2:
Z
+ L1 (2n + I)G2n+2z2n,
n=
where
(4) for n ~ 3.
n=1
(z )n)
-
W
,
W --
w
hence
11
1: Elliptic functions
hence
2 3 60G 4
[80'(z)] - 480 (z) = - -2- - 140G 6 + ...
z
so
[80'(z)]2 - 480 3(z) + 60G 4 80(z) = -140G 6 + ....
Since the left member has no pole at z = 0 it has no poles anywhere in a
period parallelogram so it must be constant. Therefore this constant must
be -140G 6 and this proves the theorem. D
is called the Eisenstein series of order n. The invariants 92 and 93 are the
numbers defined by the relations
12
and
n-2
(2n + 3)(n - 2)b(n) = 3 L b(k)b(n - 1 - k) for n ~ 3,
k=1
or equivalently,
m-2
(2m + l)(m - 3)(2m - 1)G 2m = 3 L (2r - 1)(2m - 2r - 1)G2rG2m-2r
r= 2
for m ~ 4.
The next theorem shows that these numbers are the roots of the cubic
polynomial4~3 - g2 ~ - g3·
13
1: Elliptic functions
zero at tOJ 2 , so its order would be ~ 4. But its order is 2, so e 1 =I- e2. Similarly,
e 1 =I- e 3 and e 2 =I- e 3.
If a polynomial has distinct roots, its discriminant does not vanish. (See
Exercise 1.7.) The discriminant of the cubic polynomial
4x 3 - g2 X - g3
is g2 3 - 27g 32. When x = ~(z) the roots of this polynomial are distinct so
the number g2 3 - 27g 32 =I- O. This completes the proof. 0
+00 1
93(r) = 140 m.n~-oo (m + nr)6
(m, n) * (0,0)
and
~(T) = g2 3(T) - 27g 32(T).
Theorem 1.14 shows that ~(T) =I- 0 for all T in H.
14
1.12: Klein's modular function J(r)
Theorem 1.15. The functions g2(T), g3(T), i\(T), and J(T) are analytic in H.
PROOF. Since i\(T) =I- 0 in H it suffices to prove that g2 and g3 are analytic
in H. Both {l" and g3 are given by double series of the form
+00 1
m.n~-oo
(m,n)*(O,O)
(m + mY
·'ith ex > 2. Let T = X + iy, where y > O. We shall prove that if ex > 2 this
series converges absolutely for any fixed T in H and uniformly in every strip
S of the form
S = {x + iy:lxl ~ A,y ~ iJ > O}.
(See Figure 1.4.) To do this we prove that there is a constant M > 0, depending
only on A and on iJ, such that
1 M
(6) - - - - < - - -a
1m + nTla - 1m + nil
for all T in S and all (m, n) =I- (0,0). Then we invoke Lemma 1.
To prove (6) it suffices to prove that
1m + nTI 2 > Kim + nil 2
for some K > 0 which depends only on A and iJ, or that
(7) (m + nx)2 + (ny)2 > K(m 2 + n2).
If n = 0 this inequality holds with any K such that 0 < K < 1. If n =I- 0
let q = min. Proving (7) is equivalent to showing that
(q + X)2 + y2
(8) 1 2 > K
+q
15
1: Elliptic functions
-----+----+----+------~ x
-A A
Figure 1.4
for some K > O. We will prove that (8) holds for all q, with
b2
K=-----
1 + (A + b)2
if Ix I s A and y ~ b. (This proof was suggested by Christopher Henley.)
If Iq I s A + b inequality (8) holds trivially since (q + X)2 ~ 0 and
y2 ~ b2. Iflql > A + b then Ix/ql < Ixl/(A + b) s A/(A + b) < 1 so
1+ ~I ~
1
q
1 -I~Iq > 1_ _ A
A+b
= _b
A+b
hence
qb
Iq + xl ~ A +b
and
(q + X)2 + y2 b2 q2
(9) 1 + q2 > (A + 15)2 1 + q2·
Now q2/(1 + q2) is an increasing function of q2 so
q2 (A + b)2
-->-----
1 + q2 - 1 + (A + b)2
when q2 > (A + b)2. Using this in (9) we obtain (8) with the specified K. D
16
1.13: Invariance of J under unimodular transformations
where a, b, c, d are integers such that ad - bc = 1. Then the pair (WI" W2')
is equivalent to (WI' W 2 ); that is, it generates the same set of periods Q.
Therefore g2(W I', w 2') = g2(W I , W2) and g3(W I', W2') = g3(Wb W2) since g2
and g3 depend only on the set of periods Q. Consequently, ~(WI" w 2 ') =
~(WI' W2) and J(WI', W2') = J(w l , w 2)·
The ratio of the new periods is
aW2 + bW I aT +b
CW2 + dW I CT + d'
where T = W2/WI. An easy calculation shows that
, (aT + b) ad - be Im(T)
Im(T) = 1m C't" +d = ICT + dl 2 Im(T) = leT + dl 2 '
(10) aT
J ( CT
+
+d =
b) J(T).
Then the upper half-plane H maps into the punctured unit disk
D = {x:O < Ixl < I}.
17
1: Elliptic functions
(See Figure 1.5.) Each T in H maps onto a unique point x in D, but each
x in D is the image of infinitely many points in H. If T and T' map onto x
then e 21tit = e21tit' so T and T' differ by an integer.
D
H
Figure 1.5
If xED, let
f(x) = J(T)
where T is any of the points in H which map onto x. Since J is periodic with
period 1, J has the same value at all these points so .f(x) is well-defined.
Now fis analytic in D because
, d d dT , /dX J'(T)
f (x) = -d J(T) = -d J(T) -d = J (T) -d = 2 . 21tit'
X TXT nle
f(x) = L a(n)x n ,
n= - 00
Later we will show that a_ n = 0 for n ~ 2, that a-I = 12- 3 , and that
the Fourier expansion of 12 3 J(T) has integer coefficients. To do this we first
determine the Fourier expansions of g2(T), g3(T) and ~(T).
period 1. In particular, g2(T) and g3(T) are periodic with period 1. In this
section we determine their Fourier coefficients explicitly.
We recall that
1 1
g2(T) = 60 L
(m,n)#:(O,O) (m + nT)
4' g3(T) = 140 L
(m,n)#:(O, 0) (m + nT)
6·
18
1.14: The Fourier expansions of g2(r) and g3(r)
These are double series in m and n. First we obtain Fourier expansions for
the simpler series
+00 1 +00 1
L
m= - 00 (m + nT)
4 and L
m= - 00 (m + nT)
6'
m= - 00 (m + nT)4 - 3 r= 1
and
1 8n 6
L L r5e21tirnt.
+ 00 00
6 = - -
m= - 00 (m + nT) 15 r= 1
L (-
n cot nT = -1 + +00 1- - -1).
T m=-oo T+m m
m*O
Let x = e21tit. If T E H then Ix I < 1 and we find
21tit
nT = nei . + 1 = ni -
cos -
n cot nT = n - x +-1 = - ni(-
x- + -1
-)
sin nT e 21tlt - 1 x-I 1- x 1- x
= - ni( I x + r=OI x
r=1
r r
) = - ni(l + 2 Ix
r=1
r
).
-1 + L +00 (-
1- - -1) = - ni( 1 + 2 L e21tirt . 00 )
and
3 k=1
and
1 (1 1)}
=60 { L
+ 00
m= - 00
4
m
+ L L
00
n= 1 m= -
+ 00
00 (m + nT) 4+ (m - nT)4
m=#=O(n=O)
00 +00 1 }
= 60{ 2((4) + 2n~1 m=~oo (m + nr)4
2n 4 16n4
L1 L1 r
00 00 }
= 60 { - + - 3
x
nr
90 3 n= r=
where x = e 21tit . In the last double sum we collect together those terms for
which nr is constant and we obtain the expansion for g2(T). The formula
for g3(T) is similarly proved. 0
A = L (J3(n)x n, B= L (J5(n)x n.
n=1 n=1
Then
64n 12
~(r) = g/(r) - 27g/(r) = ~ {(1 + 240A)3 - (1 - 504B)2}.
20
1.15: The Fourier expansions of L\(r) and J(r)
5A + 7B = L {5a3(n) + 7a s(n)}x n
n=l
and
so
5d 3 + td s == 0 (mod 12).
3
Hence 12 is a factor of each coefficient in the power series expansion of
(1+ 240A)3 - (1 - 504B)2 so
12
~(r) = 64n
27
3
n=1
{12 f
r(n)e 21tinr } = (2n)12
n=1
r(n)e 21tinr f
where the r(n) are integers. The coefficient of x is 12 2 (5 + 7), so r(l) = 1.
Similarly, we find r(2) = - 24. D
PROOF. We agree to write I for any power series in x with integer coefficients.
Then if x = e 21ti t: we have
g2
3
(r) = ~~n12(1 + 240x + 1)3 = ~~n12(1 + 720x + I),
~(r) = ~~n12{123x(1 - 24x + I)}
and hence
g2
3
(r) 1 + 720x + I 1
J(r) = ~(r) = 123x(1 _ 24x + 1) = 123x (1 + 720x + 1)(1 + 24x + 1)
so
1 00
Note. The coefficients c(n) have been calculated for n ~ 100. Berwick
calculated the first 7 in 1916, Zuckerman the first 24 in 1939, and Van
Wijngaarden the first 100 in 1953. The first few are repeated here.
c(O) = 744
c(l) = 196, 884
c(2) = 21, 49~, 760
c(3) = 864, 299, 970
c(4) = 20, 245, 856, 256
c(5) = 333, 202, 640, 600
c(6) = 4, 252, 023, 300, 096
c(7) = 44, 656, 994, 071, 935
c(8) = 401, 490, 886, 656, 000
The integers c(n) have a number of interesting arithmetical properties. In
1942 D. H. Lehmer [20] proved that
(n + l)c(n) == 0 (mod 24) for all n ~ 1.
In 1949 Joseph Lehner [23] discovered divisibility properties of a different
kind. For example, he proved that
c(5n) == 0 (mod 25),
c(7n) == 0 (mod 7),
c(lln) == 0 (mod 11).
He also discovered congruences for higher powers of 5, 7, 11 and, in a later
paper [24] found similar results for the primes 2 and 3. In Chapter 4 we will
describe how some of Lehner's congruences are obtained.
An asymptotic formula for c(n) was discovered by Petersson [31] in 1932.
It states that
e47t.Jl1
c(n) '" M as n ~ 00.
v 2 n3 /4
This formula was rediscovered independently by Rademacher [37] in
1938.
The coefficients r(n) in the Fourier expansion of ~(r) have also been
extensively tabulated by D. H. Lehmer [19] and others. The first ten entries
in Lehmer's table are repeated here:
r(l) = 1 r(6) = -6048
r(2) = -24 r(7) = - 16744
r(3) = 252 r(8) = 84480
r(4) = -1472 r(9) = -113643
r(5) = 4830 r(10) = -115920.
Lehmer has conjectured that r(n) i= 0 for all n and has verified this for all
n < 214928639999 by studying various congruences satisfied by r(n). For
papers on r(n) see Section F35 of [27].
22
Exercises for Chapter 1
2. Let S(O) denote the sum of the zeros of an elliptic function f in a period parallelo-
gram, and let S( (0) denote the sum of the poles in the same parallelogram. Prove
that S(O) - S( (0) is a period of I [Hint: Integrate ~f"(z)/f(z).]
3. (a) Prove that p(u) = p(v) if, and only if, U - v or u + v is a period of p.
(b) Let ai' ... , an and b 1, ... , bm be complex numbers such that none of the numbers
p(ai) - p(b j) is zero. Let
Prove that f is an even elliptic function with zeros at ai' ... , an and poles at
b l , · · · , bm •
4. Prove that every even elliptic function f is a rational function of p, where the
periods of p are a subset of the periods of I
where R 1 and R z are rational functions and p has the same set of periods as f
6. Let f and 9 be two elliptic functions with the same set of periods. Prove that there
exists a polynomial P(x, y), not identically zero, such that
P[f(z), g(z)] = C
where C is a constant (depending on f and g but not on z).
7. The discriminant of the polynomial f(x) = 4(x - xd(x - xz)(x - X3) is the
product 16{(xz - Xd(X3 - XZ)(X3 - xd}z. Prove that the discriminant of f(x) =
4x 3 - ax - b is a 3 - 27 bZ •
and obtain corresponding formulas for p"(w z/2) and p"((w l + w z )/2).
23
1: Elliptic functions
10. Let 01 1 and W2 be complex numbers with nonreal ratio. Letf(z) be an entire function
and assume there are constants a and b such that
f(z + wd = af(z), f(z + w2) = bf(z),
for all z. Prove that f(z) = AeBz , where A and B are constants.
11. If k ~ 2 and r E H prove that the Eisenstein series
G 2k(r) = L (m + nr)-2k
(m, n) * (0,0)
has the Fourier expansion
where
F(n) = L f(d).
dIn
24
Exercises for Chapter 1
Apply this result to obtain the following formulas, valid for Ix I < 1.
00 j1(n)xn 00 <p(n)x n x
(a) L
n=l
-1- n
- X
= X. (b) L
n=l
-_1n = - (
_1
X
)2'
X
00 na.xn 00 00 A(n)xn 00
(e) Use the result in (c) to express g2(r) and g3(r) in terms of Lambert series in
x = e 21tir •
Note. In (a), j1(n) is the Mobius function; in (b), <p(n) is Euler's totient; and in (d),
A(n) is Liouville's function.
15. Let
00 n5xn
G(x) = "~1 1 - x"'
and let
n5x n
F(x) = L 1 + Xn
n=l
(n odd)
(c) Use Theorem 12.17 in [4] to prove the more general result
::G n4k + 1 24k + I - 1
2:
n = 1
1 + e = 8k + 4 B 4k + 2'
n7r
(nodd)
25
The modular group
and modular functions
(1) f(z) = az + b
cz +d
where a, b, c, d are arbitrary complex numbers.
Equation (1) definesj(z) for all z in the extended complex number system
C* = C U {oo} except for z = -dlc and z = 00. We extend the definition
ofjto all of C* by defining
a
and j(oo)=-,
c
with the usual convention that zlO = 00 if z i= O.
First we note that
26
2.1: Mobius transformations
°
hence f'(z) =I- at each point of analyticity. Therefore f is conformal every-
where except possibly at the pole z = -die.
Mobius transformations map circles onto circles (with straight lines
being considered as special cases of circles). To prove this we consider the
equation
(3) Azz + Bz + Bz + C = 0,
where A and C are real. The points on any circle satisfy such an equation
with A =I- 0, and the points on any line satisfy such an equation with A = 0.
Replacing z in (3) by (aw + b)/(ew + d) we find that w satisfies an equation
of the same type,
A'ww + B'w + B'w + C' = °
where A' and C' are also real. Hence every Mobius transformation maps a
circle or straight line onto a circle or straight line.
A Mobius transformation remains unchanged if we multiply all the
coefficients a, b, e, d by the same nonzero constant. Therefore there is no loss
in generality in assuming that ad - be = 1.
For each Mobius transformation (1) with ad - be = 1 we associate the
2 x 2 matrix
1z
f(z) = z = 02
+
+
°
l'
27
2: The modular group and modular functions
A-I =(
-c
d -b)a
is associated with the inverse off,
dz - b
f-l(Z) = ---
-cz + a
Thus we see that the set of all Mobius transformations with ad - bc = 1
forms a group under composition. This chapter is concerned with an impor-
tant subgroup in which the coefficients a, b, c, d are integers.
T
,
=---
aT +b
CT + d'
where a, b, c, d are integers with ad - bc = 1, is called the modular group and
is denoted by r. The group can be represented by 2 x 2 integer matrices
provided we identify each matrix with its negative, since A and - A represent
the same transformation. Ordinarily we will make no distinction between
the matrix and the transformation. If A = (: ~) we write
aT +b
AT = CT + d·
The first theorem shows that r is generated by two transformations,
TT = T + 1 and ST =
T = (~ ~) and s= (~ -1)o·
That is, every A in r can be expressed in theform
A = T"lST"2S ... ST"k
where the ni are integers. This representation is not unique.
28
2.2: The modular group r
A = C; 2~)
We will express A as a product of powers of Sand T. Since S2 = I, only the
first power of S will occur.
Consider the matrix product
AT- 2 = (4 1).
11 3
AT- S
2
= C; ~)(~ -~) = G -~;)
This interchanges the two columns and changes the sign of the second column.
Again, multiplication by a suitable power of T gives us a matrix with
Id I < /C /. In this case we can use either T 4 or T 3 . Choosing T 4 we find
1
AT- 2 ST 4 = (3 -4)(1 4) (1 0)
-11 0 1 = 3 1·
Multiplication by S gives
2 4
AT- ST S = (~ =~)
Now we multiply by T 3 to get
If e = 0 then ad = 1 so a = d = ± 1 and
Now assume the theorem has been proved for all matrices A with lower
left-hand element < e for some e ~ 1. Since ad - be = 1 we have (e, d) = 1.
Dividing d by e we get
d = eq + r, where 0 < r < e.
Then
and
AT-qS = (: -a q
; b)(~ -~) = (-a q
; b =:)
By the induction hypothesis, the last matrix is a product of powers of S
and T, so A is too. This completes the proof. D
30
2.3: Fundamental regions
For example, the next theorem will show that a fundamental region R r
of the full modular group r consists of all r in H satisfying the inequalities
Irl> 1, Ir+il<l.
This region is the shaded portion of Figure 2.1.
u = -1-
r = u + iv, v > 0
/' It I = 1
-------+----r----r---~--_+_---- U
-1 o 1
"2
The proof will use the following lemma concerning fundamental pairs of
periods.
Lemma 1. Given WI" w 2' with W2'/W l ' not real, let
n= {mw l ' + nW2' : m, n integers}.
Then there exists afundamental pair (WI' (2) equivalent to (WI" W2') such
that
Let WI = WI and let W 2 be the first member of this sequence that is not a
multiple of WI' Then the triangle with vertices 0, W b W 2 contains no element
of Q except the vertices, so (w b ( 2 ) is a fundamental pair which spans the
set Q. Therefore there exist integers a, b, c, d with ad - bc = ± 1 such that
(::) = (: ~)(::)
If ad - bc = -1 we can replace c by -c, d by -d, and WI by -WI and the
same equation holds, except now ad - bc = 1. Because of the way we have
chosen W b W2 we have
and
since WI ± W 2 are periods in Q occurring later than W 2 in the sequence. D
Theorem 2.2. If r' E H, there exists a complex number r in H equivalent to r'
under r such that
Irl ~ 1, Ir+ll~lrl and Ir-ll~lrl.
PROOF. Let WI' = 1, w 2 ' = r' and apply Lemma 1 to the set of periods
Q = {m + nr' : m, n integers}. Then there exists a fundamental pair W b W 2
PROOF. Theorem 2.2 shows that if r' E H there is a point r in the closure of
R r equivalent to r' under r. To prove that no two distinct points of R r are
, Im(r)
Im(T) = leT + d1 2 •
32
2.3: Fundamental regions
Im(r') < Im(r). In other words, every element A of r with c =1= 0 decreases
the ordinate of each point r in R r .
Now suppose both rand r' are equivalent interior points of R r . Then
, ar + b dr' - b
r =--- and r= .
cr + d -cr' + a
If c =1= 0 we have both Im(r') < Im(r) and Im(r) < Im(r'). Therefore c = 0
so ad = 1, a = d = ± 1, and
Figure 2.2 shows the fundamental region R r and some of its images under
transformations of the modular group. Each element of r maps circles into
circles (where, as usual, straight lines are considered as special cases of
circles). Since the boundary curves of R r are circles orthogonal to the real
-2 -1 1
-'! o 1
"2 2
33
2: The modular group and modular functions
axis, the same is true of every image f(R r ) under the elements.f of r. The
set of all images f(R r ), where fEr, is a collection of nonoverlapping open
regions which, together with their boundary points, cover all of H.
f(r) = L a(n)e21tint.
n= -m
Property (a) states thatfis analytic in H except possibly for poles. Property
(b) states that f is invariant under all transformations of r. Property (c) is
a condition on the behavior offat the point r = ioo. If x = e 21tit the Fourier
series in (c) is a Laurent expansion in powers of x. The behavior offat ioo is
described by the nature of this Laurent expansion near O. If m > 0 and
a( - m) =1= 0 we say that f has a pole of order m at ioo. If m ~ 0 we say f is
analytic at ioo. Condition (c) states that f has at worst a pole of order m at
ioo.
The function J is a modular function. It is analytic in H with a first order
pole at ioo. Later we show that every modular function can be expressed as
a rational function of J. The proof of this depends on the following property
of modular functions.
Theorem 2.4. Iff is modular and not identically zero, then in the closure of the
fundamental region R r , the number of zeros off is equal to the number of
poles.
Note. This theorem is valid only with suitable conventions at the boundary
points of R r . First of all, we consider the boundary of R r as the union of
four edges intersecting at four vertices p, i, P + 1, and ioo, where p = e 21ti / 3
(see Figure 2.3). The edges occur in equivalent pairs (1), (4) and (2), (3).
Iffhas a zero or pole at a point on an edge, then it also has a zero or pole
at the equivalent point on the equivalent edge. Only the point on the leftmost
edge (1) or (2) is to be counted as belonging to the closure of R r.
The order of the zero or pole at the vertex p is to be divided by 3; the order
at i is to be divided by 2; the order at ioo is the order of the zero or pole at
x = 0, measured in the variable x = e 21tit •
34
2.4: Modular functions
ooi
--~--
./
......
/
/ " ",
(1) (4)
(2) (3)
p p + 1
Figure 2.3
PROOF. Assume first that j has no zeros or poles on the finite part of the
boundary of R r . Cut R r by a horizontal line, Im(r) = M, where M > 0 is
taken so large that all the zeros or poles of j are inside the truncated region
which we call R. [Ifjhad an infinite number of poles in R r they would have
an accumulation point at ioo, contradicting condition (c). Similarly, since j
is not identically zero, j cannot have an infinite number of zeros in R r .]
Let oR denote the boundary of the truncated region R. (See Figure 2.4.)
Let Nand P denote the number of zeros and poles ofjinside R. Then
N - P = -1 i
-f'(r) dr = - 1
2ni oR f(r) 2ni
{f (1)
+ f (2)
+ f (3)
+ f
(4)
+ f}
(5)
where the path is split into five parts as indicated in Figure 2.5. The integrals
along (1) and (4) cancel because of periodicity. They also cancel along (2)
and (3) because (2) gets mapped onto (3) with a reversal of direction under
-} + iM , . . - - - - - - - - - - - - , ! + iM
R
t
p p + 1
Figure 2.4
35
2: The modular group and modular functions
(5)
(2) (3)
~ ~
Figure 2.5
N - P = _1
2ni
f
(5)
f'(r) dr.
f(r)
We transform this integral to the x-plane, x = e21tit • As r varies on the
horizontal segment r = u + iM, -t ~ u ~ t, we have
= F'(x) ~:'
f'(r) dr = F'(x) dx.
f'(r) f(r) F(x)
Hence
N - P =~
2nl
f
(5)
f'(r) dr
f(r)
= - ~,[ F'(x) dx = -(N F
2nl JK F(x)
- PF) = PF - NF,
36
2.4: Modular functions
PF
If there is a pole of order m at x =
- N F = m, and
° then m > 0, N F = 0, P F = m so
N = P + m.
°
Therefore jtakes on the value in R r as often as it takes the value 00.
If there is a zero of order n at x = 0, then m = - n so P F = 0, N F = n,
hence
N +n= P.
°
Again,jtakes the value in R r as often as it takes the value 00. This proves
the theorem ifJhas no zeros or poles on the finite part of the boundary of R r .
Ifjhas a zero or a pole on an edge but not at a vertex, we introduce detours
in the path of integration so as to include the zero or pole in the interior of R,
as indicated in Figure 2.6. The integrals along equivalent edges cancel as
before. Only one member of each pair of new zeros or poles lies inside the new
region and the proof goes through as before, since by our convention only
one of the equivalent points (zero or pole) is considered as belonging to the
closure of R r .
Figure 2.6
N - P = -1
2ni
{(II)
+
Ct
+ 1+
C3 C2
/
J,-1 2+iM}j"(7:)
1/2 + iM
-
j'(7:)
d7:
= _1
2ni
{(I + 1)+ 1
Ct C3 C2
}J'(7:) d7: + m
j(7:) ,
37
2: The modular group and modular functions
-1 + iM , . . - - - - - - - - - - - - , t + iM
Figure 2.7
'.
p+ 1
-
1 f f'(r)
- - dr = -1 fa (k-. + g'(p + re
iO
. ))re iO'1 de
2ni Ct f(r) 2ni 1t/2 re+ re )
'O
g(p 'O
r fa g'(p + re ) i6 ~
i8
_ -krx' , _ _
- -- + - '0 e dO, where ex - 2 ex.
2n 2n 1t/2 g(p + ref )
lim _1 f f'(r) dr = - ~
r~O 2ni C3 f(r) 6
38
2.5: Special values of J
so
1
lim-
r-+O 2ni
(J. + J.
Ct C3
)f'(r) dr = - ~
f( r) 3·
Similarly, near the vertex i we write
f(r) = (r - i)'h(r), where h(i) # 0
and we find, in the same way,
lim _1
r-'O 2rci
J. C2
f'(r) dr = -
f( r) 2
i.
Therefore we get the formula
k I
N - P=m -"3 - 2·
Iffhas a pole at x = 0, and zeros at p and i, then m, k and I are positive and
we have
k I
N +"3 + 2 = P + m.
The left member counts the number of zeros offin the closure of R r (with the
conventions agreed on at the vertices) and the right member counts the
number of poles. Iff has a zero of order n at x = 0 then m = - n and the
equation becomes
k I
N + n + 3 + 2 = P.
Similarly, if f has a pole at p or at i the corresponding term k/3 or 1/2 is
negative and gets counted along with P. This completes the proof. D
Theorem 2.5. If f is modular and not constant, then for every complex c the
functionf - c has the same number of zeros as poles in the closure of R r .
In other words,ftakes on every value equally often in the closure of R r .
PROOF. Apply the previous theorem to f - c. D
There is afirst order pole at ioo, a triple zero at p, and J(r) - 1 has a double
zero at r = i.
39
2: The modular group and modular functions
~
60 92
(p) _ "
- tn (m + np)4 tn, ,(mp1+ np)4 -_ ~p4 tn" (mp 1+ n)4
3 2
1 1 1 1 1
= PJ,:n (n - m - mpt = PM~N (N + Mp)4 = 60p g2(P),
40
2.7: Mapping properties of J
J
..
"-
/
P
/
I
"\
\
I
\
I
\
u
-1 0 1
0= J(p) 1 = J(i)
(a) (b)
Figure 2.8
J(r) = J(-i).
To see this, write r = u + iv. Then
x = e 21tit = e 21ti (u + iv) = e - 21tv e 21tiu
and
41
2: The modular group and modular functions
(4)
Theorem 2.9. Given two complex numbers a2 and a3 such that a2 3 - 27 a3 2 =1= O.
Then there exist complex numbers W t and W2 whose ratio is not real such
that
and
PROOF.We consider three cases: (1) a2 = 0; (2) a3 = 0; (3) a2a3 =1= O.
Case 1. If a2 = 0 then a3 =1= 0 since a2 3 - 27a32 =1= O. Let W t be any
complex number such that
and let W2 = PWt, where p = e 21ti /3. We know that g3(1, p) =1= 0 because
g2(1, p) = 0 and ~(1, p) = g2 3 - 27g 32 =1= O. Then
1
g2(W t , w 2) = g2(W b wtp) = - 4 g2(1, p) = 0 = a2
Wt
and
42
2.9: Application to Picard's theorem
and
1
g3(W b w 2) = g3(Wb iw t ) = -6 g3(1, i) = 0 = a3'
Wt
so
(6)
Comparing this with (5) we find that g2(W t , W2) = a2 and hence by (6) we
also have g3(Wb W2) = a3' This completes the proof. D
Theorem 2.10. Every nonconstant entire function attains every complex value
with at most one exception.
43
2: The modular group and modular functions
_ f(z) - a
g(Z ) - b .
-a
Then g is entire and omits the values 0 and 1.
The upper half-plane H is covered by the images of the closure of the
fundamental region R r under transformations of r. Since J maps the closure
of R r onto the complex plane, J maps the half-plane H onto an infinite-
sheeted Riemann surface with branch points over the points 0, 1 and 00
(the images of the vertices p, i and 00, respectively). The inverse function J- 1
maps the Riemann surface back onto the closure of the fundamental region
R r . Since J'(r) =1= 0 if r =1= p or r =1= i and since J'(p) == J'(i) == 0, each single-
valued branch of J - 1 is locally analytic everywhere except at 0 == J(p),
1 = J(i), and 00 = J( (0). For each single-valued branch of J- 1 the composite
function
h(z) = J- 1 [g(z)]
is a single-valued function element which is locally analytic at each finite
z since g(z) is never 0 or 1. Therefore h is arbitrarily continuable in the entire
finite z-plane. By the monodromy theorem, the continuation of h exists as a
single-valued function analytic in the entire finite z-plane. Thus h is an entire
function and so too is
qJ(z) = eih(z).
44
Exercises for Chapter 2
The following exercises relate quadratic forms and the modular group r. We
consider quadratic forms Q(x, y) = ax 2 + bxy + cy2 in x and y with real
coefficients a, b, c. The number d = 4ac - b2 is called the discriminant of
Q(x, y).
6. If x and yare subjected to a unimodular transformation, say
CONGRUENCE SUBGROUPS
and
45
2: The modular group and modular functions
16. Letf(n) denote the number of equivalence classes of matrices modulo n. Thenfis a
multiplicative function.
17. If a, b, n are integers with n ~ 1 and (a, b, n) = 1 the congruence
ax - by == 1 (mod n)
has exactly n solutions, distinct mod n.(A solution is an ordered pair (x, y) of integers.)
18. For each prime p the number of solutions, distinct mod pr, of all possible congruences
of the form
ax - by == 1 (mod pr), where (a, b, p) = 1,
is equal to f(pr).
19. If p is prime the number of pairs of integers (a, b), incongruent mod pr, which satisfy
the condition (a, b, p) = 1 is p2r- 2(p2 - 1).
20. f(n) = n 3 Ldln f.l(d)/d 2 , where f.l is the Mobius function.
46
The Dedekind eta function
3.1 Introduction
In many applications of elliptic modular functions to number theory the
eta function plays a central role. It was introduced by Dedekind in 1877
and is defined in the half-plane H = {r: Im(r) > O} by the equation
00
(2) 1J(r + 1) = e1ti(t+ 1)/12 Il (1 - e 21tin (t+ 1») = e1ti /12 1J(r).
n=1
Consequently, for any integer b we have
47
3: The Dedekind eta function
Note. We choose that branch of the square root function Z1/2 which is
positive when z > o.
This chapter gives two different proofs of (4). The first is a short proof of
C. L. Siegel [48] based on residue calculus, and the second derives (4) as a
special case of a more general functional equation which relates
r,(~)
+d CT
to r,(T) when
(: ~) E rand c > O.
(1 - e-
2nny
)
ny ny 00 00 e- 21tmny
L
00
- - +
12 n=1
log(l - e- 21tny ) = ---
12 LL
n= 1 m= 1 m
ny 00 1 e- 21tmy ny 00 1 1
- 12 - m~l;;; 1 - e- 2nmy -12 + m~l;;; 1 - e2nmy '
Therefore we are to prove that
1 1 lIn ( 1) 1
m~ 1 ;;; 1 - e2nmy m~ 1 ;;; 1 - e2nm/ y -
00 00
(5) - 12 Y - Y = - 2 log y.
This will be proved with the help of residue calculus.
For fixed y > 0 and n = 1,2, ... , let
1 nNz
F n(z) = - -8z cot niNz cot -y- ,
48
3.2: Siegel's proof of Theorem 3.1
-y o y
-i
Figure 3.1
But
cot
.0 _ cos iO _ . e- 8 + e8
1 - • .0 - 1 -8
sIn 1 e - e
8 - i e 28
e
28
_
1 1(1 - 1 _2)
+ 1= i e 28 •
Similarly
n in 1 i n1 1
L
k= -n
Res F (z) = - L - - - L --~
z=ky/N n 4n k= 1 k 2n k= lk 1 - e 21tkY •
k,*O
Hence 2ni times the sum of all the residues of Fn(z) inside C is an expression
whose limit as n ~ 00 is equal to the left member of(5). Therefore, to complete
the proof we need only show that
lim
n-+ 00
f
C
Fn(z) dz = -! log y.
49
3: The Dedekind eta function
lim
n-+oo
fC
Fn(z) dz = f lim zFn(z) dz
C n-+oo Z
= ~ {- fY + Ji} dz
4 -I Y Z
In this section we express the discriminant L\(T) in terms of 1J(T) and thereby
obtain a product representation of L\(T). The result makes use of the following
property of L\(T).
50
3.4: The general functional equation for l1(r)
n=1
X n)24.
Consequently,
L r(n)xn = x n(1
00 00
(7) - X
n)24 whenever Ix I < 1
n= 1 n= 1
PROOF. Let f(r) = L\(r)/1] 24(r). Then f(r + 1) = f(r) and f( -l/r) = f(r),
so f is invariant under every transformation in r. Also, f is analytic and non-
zero in H because L\ is analytic and nonzero and 1] never vanishes in H.
Next we examine the behavior of f at ioo. We have
n=1
e21tint)24 = x n(1 -
00
n=1
X n)24 = x(l + I(x)),
where I(x) ,denotes a power series in x with integer coeffil ients. Thus, 1]24(r)
has a first order zero at x = 0. By Theorem 1.19 we also have the Fourier
expansion
00
L\(ar
cr
+ =
+d
b) (cr + d)12L\(r)
and using (6) we find that
51
3: The Dedekind eta function
(12) log ( aT
cr'1 +d
+ b) = log + d + s( - d, c) ) +1 log{ -
'1( r) + ni(a----u;;- i(cr + d)}.
From the definition of l1(T) as a product we have
niT niT
L log(1 - e 21tlnt ) = - -
00 • 00
(13) log l1(T) =- + L A( -inT),
12 n=l 12 n=l
(15) 00
LA(-inT) = LA00 ( aT +
-in -- b) + -ni ( T ---
aT +b)
n =1 n =1 cT + d 12 CT +d
a + d + s( -d, c) ) +! log{ -
+ ni( ----u;;- i(cr + d)}.
52
3.5: Iseki's transformation formula
Lemma 2. Let z be any complex number with Re(z) > 0, and let h, k and H be
any integers satisfying (h, k) = 1, k > 0, hH == -1 (mod k). Then Equation
(15) is equivalent to the formula
(16) f A{~k
n= 1
(z - ih)} = f A{~k (~z -
n= 1
iH)}
n (z -
+ 21 log z - 12k 1) +
~ nis(h, k).
PROOF. Given (: ~) in r, with c > 0, and given r with Im(r) > 0, choose
z, h, k, and H as follows:
k = c, h = -d, H = a, z = -i(cr + d).
Then Re(z) > 0, and the condition ad - bc = 1 implies - hH - bk = 1, so
(h, k) = 1 and hH == -1 (mod k). Now b = -(hH + l)jk and iz = cr + d,
so
iz - d iz +h
r=--=--
c k
and hence
iz +h hH + 1 iz ( i)
ar +b= H -k- - k =k H + -; .
Therefore, since cr + d = iz, we have
ar
cr
+b= ~
+d k
(H + ~). z
Consequently
ar
r - cr
+ db = k1 (h
+ - H) + ki ( z 1) a +d
- ~ = - -c- + ki ( z 1)
- ~
so
53
3: The Dedekind eta function
Then if either 0 :::; a :::; 1 and 0 < f3 < 1, or 0 < a < 1 and 0 :::; f3 :::; 1,
we have
Note. The sum on the right of (18), which contains Bernoulli polynomials
Bn(x), is equal to
PROOF. First we assume that 0 < a < 1 and 0 < f3 < 1. We begin with the
first sum appearing in (17) and use (14) to write
00 00 00 e21timp
(19) L ,1((r + a)z - if3) = L L - - e- 21tm (r+a)z.
r=O r=Om=l m
1 fC+ ooi
(20) e- x = -2. r(s)x- S ds,
nl c- ooi
where c > 0 and Re(x) > O. This is a special case of Mellin's inversion formula
which states that, under certain regularity conditions, we have
1 fC + ooi
f
oo
q>(s) = XS-1tjJ(x) dx if, and only if, tjJ(x) = -2. q>(s)x- Sds.
o nl c- ooi
ns) = LX' x S
- le- X dx
and invert this to obtain (20). (Mellin's inversion formula can be deduced
from the Fourier integral theorem, a proof of which is given in [3]. See also
[49], p. 7.) Applying (20) with x = 2nm(r + a)z and c = 3/2 to the last
exponential in (19) and writing f(c) for f~= ~~ we obtain
00
L L - - -2'
e21timP 1 f r(s){2nm(r + a)z} -s ds
r=O
= -.
1 f
r=O m=l m
r(s)
--S
nl
L
00
(3/2)
1
S
00 e21timp
L ----r+s ds
2nl (3/2) (2nz) r=O (r + a) m=l m
= -2.
1 f r(s)
-(2)S '(s, a)F(f3, 1 + s) ds.
nl (3/2) nz
54
3.5: Iseki's transformation formula
Here ((s, a) is the Hurwitz zeta function and F(x, s) is the periodic zeta function
defined, respectively, by the series
oc 1 00 e21timx
where Re(s) > 1, 0 < a S 1, and x is real. In the same way we find
Loc A((r + 1 -
r= 0
a)z
1
+ i{3) = -2.
1tl
f(3/2)
r(s)
-(2)S ((s, 1 - a)F(1 - {3, 1 + s) ds,
1rZ
so (1 7) becomes
(21)
1
A(a, {3, z) = -2.
1tl
f
(3/2)
z - s<I>(a, {3, s) ds,
where
r(s)
(22) <1>(tX, 13, s) = (211:)' {((s, tX)F(f3, 1 + s) + ((s, 1 - tX)F(1 - 13, 1 + s)}.
Now we shift the line of integration from c = ~ to c = -1. Actually, we
apply Cauchy's theorem to the rectangular contour shown in Figure 3.2,
! + iT ~
! + iT
~
0
---..
1
!- iT t - iT
Figure 3.2
and then let T ---. 00. In Exercise 8 we show that the integrals along the
horizontal segments tend to 0 as T ---. 00, so we get
I3/2) - I-3/2) + R
where R is the sum of the residues at the poles of the integrand inside the
rectangle. This gives us the formula
1
A(a, {3, z) = -2.
1rl
f(- 3/2)
z -s<I>(a, {3, s) ds + R.
55
3: The Dedekind eta function
where we have used Theorem 12.19 of [4J to express the Fourier series as a
Bernoulli polynomial.
To calculate R(O) we recall that ((0,0:) = 1- 0:. Hence ((0, 1 - 0:) = 0: - 1
so
oc e2Trinp _ e - 2Trinp
R(O) = ((0, o:)F({3, 1) + ((0, 1 - o:)F(l - {3, 1) = (1 - 0:) L ----
n= 1 n
00 e2Trinp oc e2Trinp
= (1 - 0:) L -- = -B1(0:) L - - = 2niB 1 (0:)B 1 ({3),
n=-oo n n=-oc n
n*O n*O
R(-1) = lim(1 - s)zs<1>(1 - {3, 0:, s) = -Res zS<1>(1 - {3, 0:, s).
s= 1
56
3.5: Iseki's transformation formula
Note that this is the same as R(I) == Res s = 1 z-S<l>(o:, {3, s), except that z is
replaced by - z - 1 , 0: by 1 - {3, and {3 by 0:. Hence we have
R( -1) == - nzB 2 (0:).
Thus
This proves Iseki's formula under the restriction a < 0: < 1, a < {3 < 1.
Finally, we use a limiting argument to show it is valid if a ~ 0: ~ 1 and
a < {3 < 1, or if a ~ {3 ~ 1 and a < 0: < 1. For example, consider the series
00 ex.; oc e2nimf3
L A((r + ex)z - i{3) == L L - - e- 2nm(r+a)z
r=O r=Om=l m
ex 2nimf3
L e-2nmrz
00
== I _e__ e-2nmaz
m=l m r=O
say, where
1 e- 2nmaz
.fa(m) == - 1 - 2nmz·
m -e
00
L e2nimf3fa(m)
m=l
0: ~ 1- 0:, {3~1-{3
1
0: ~ {3, {3 ~ 1- 0:, z~-
Z
1
0: ~ 1 - {3, {3 ~ 0:, z ~-. D
z
57
3: The Dedekind eta function
(26) I A{n(z -
n= 1
ih)} = I A{n(~ - iH)} + ~2 log z - ~12 (z - ~).
n= 1 Z z
Since A(X) is periodic with period i this can be written as
(27) 00
- + -1log z -
L A(nz) = L A(n) 00 1)
-re ( z - - .
n=1 n=1 Z 2 12 z
We can deduce this from Iseki's formula (18) by taking f3 = 0 and letting
a ---+ 0 +. Before we let a ---+ 0 + we separate the term r = 0 in the first term
of the series on the left of (18) and in the second term of the series on the right
of (18). The difference of these two terms is A(az) - A(ia). Each of these tends
to 00 as a ---+ 0 + but their difference tends to a finite limit. We compute this
limit as follows:
. 1 - e-2n~
A(CXZ) - A(iCX) = log(l - e- Z"IlX) - log(l - e-z"",Z) = log 1 _ e-z"",z'
By L'Hopital's rule,
· 1 - e - 2ni(X 1· 2 rel
· ·l
11m _ 2n(Xz = 1m - =-
(X-+O + 1 - e (X-+O 2rez z
so
rei
(28) - - log z + 2 L A(rz) = 2 L A(r)
00 rez re rei
- - - + - + -.
00
2 r= 1 r =1 Z 6 6z 2
Jl
a = k' where 1 ~ Jl ~ k - 1
58
3.6: Deduction of Dedekind's functional equation from Iseki's formula
and write
hJ1 = qk + v, where 1 ~ v ~ k - 1.
Now let
and similarly for the set of all numbers rk + k - J1. Also, since v == hJ1 (mod k),
as J1 runs through the numbers 1, 2, ... , k - 1 then v runs through the same
59
3: The Dedekind eta function
LCX) (n
A - (z - zh) = .) LCX) (n (1 .)) + -n(1- - z) L
A -: - - zH k- 1 J12
2
n= 1 k n= 1 k z 2 z p.= 1 k
n ~ 0 (mod k) n 'i 0 (mod k)
- -n - - z
2 Z
(1 ) L -k + -n (1- - )
k -1 J1
p.=1 12 z
z (k - 1)
X
(
(k - 1) (2k - 1)
- 3(k - 1) + (k - 1)
)
+ ni L - (V- - -1)
k - 1 J1
k p.= 1 k k 2
I
n= 1
A(~k (~z - iH)) + ~
12
(z - ~)(1
z
~)
k
+ l/f !!. (~ - ~).
k k 2
- p.= 1
n$.O (mod k)
L -J1 (V- - -
k-1
p.= 1 k k
1) =
2
L -J1(h- J1 - [h- J1 ] - -1) = s(h, k).
h-1
p.= 1 k k k 2
Therefore we have proved that
(29)
n~_CX)l
n 1- 0 (mod k)
A(-kn (z'- ih)) = n= 1
f:
n 1= 0 (mod k)
A(~k (~z - iH))
This proves (16) which, in tum, completes the proof of Dedekind's functional
equation for Tl(T). For alternate proofs see p. 190 and [18], [35], and [45]. D
L ((~))
r mod k k
- 0
61
3: The Dedekind eta function
Theorem 3.6
(a) If h' == ± h (mod k), then s(h', k) = ± s(h, k), lvith the same sign as
in the congruence. Similarly, lve have:
(b) If hh == ± 1 (mod k) then s(h, k) = ± s(h, k).
(c) ~f h 2 + 1 == 0 (mod k), then s(h, k) = O.
PROOF. Parts (a) and (b) follow at once from (31). To prove (c) we note that
h2 + 1 == 0 (mod k) implies h == -h (mod k), where h is the reciprocal of
h mod k, so from (a) and (b) we get s(h, k) = -s(h, k) = O. D
For small values of h the sum s(h, k) can be easily evaluated from its
definition. For example, when h = 1 we find
s(l, k) =
k- 1
L - -- -
r(r 1) = 21 L r k- 1 2
- -
1L r
k- 1
r = 1 k k 2 k r = 1 2k r= 1
(k - 1)(2k - 1) k - 1 (k - 1)(k - 2)
---
6k 4 12k
2 k) = (k - 1)(k - 5) if k is odd.
s( , 24k
PROOF. Dedekind first deduced the reciprocity law from the functional
equation for log '1(7:). We give an arithmetic proof of Rademacher and
Whiteman [39], in which the sum L~= 1 ((hr/k))2 is evaluated in two ways.
First we have
(32) L ((hr))2
k
r= 1
-k = L r mod k
-k = r mod
((hr))2 L k ((r))2
-k = k-l L (r---
r= 1
1)2
k 2 .
62
3.8: The reciprocity law for Dedekind sums
I
r= 1
((hr))2 =
k
kil (hrk _ [hrJ
r= 1 k
_ ~)2
2
1
= ki (h2~2 + [hrJ2 + ~ _ hr + [hrJ _ 2hr [hrJ)
r= 1 k k 4 k k k k
~)
k
= 2h
r= 1
f !:.- (hr _ [hrJ _
k k k 2
2
+L [hrJ([hrJ
-k -k +1 ) -2Lr
k-1
r= 1
h
k 4
1
+-2:1. k-1 2
r= 1
k-1
r= 1
2 k
k- 1 [hrJ ([hrJ ) h + 1k- 1 2 1 - 1
(33) 2hs(h,k) + ~ -k -k + 1 = - k2 - ~ r - -k ~ r.
r-1 r-1 r-1
In the sum on the left we collect those terms for which [hr /k] has a fixed value.
Since 0 < r < k we have 0 < hr/k < h and we can write
For a given v let N(v) denote the number of values of r for which [hr/k] =
v - 1. Equation (34) holds if, and only if
hr k(v - 1) kv
v-1<-<v or h < r < h'
k '
Hence
[k ]
L v ~ + h(h - 1)(k - 1).
= -2 h-1
v= 1 h
Now we also have
2hs(k, h) = 2 L v(kV
h- 1
- -
[kVJ
-
1)
h- 1 [kV]
- - = -2 L v - + -2k h-L1 v2 - LV
h- 1
so (35) becomes
[h ] ([h ] ) 2k
r~l = 2hs(k,h) - h V~lV2 + V~lV + h(h - l)(k - 1).
k- 1 h- 1 h- 1
{ { + 1
6h k- 1 k- 1 [hrJ k- 1
(36) 6ks(h, k) = k r~lr2 - 6 r~/ k - 3 r~lr.
Since 6 L~: t r 2 = k(k - 1) (2k - 1) each term on the right of (36) is an
integer. Moreover, (36) shows that
so we have
64
3.9: Congruence properties of Dedekind sums
= -2h(k - 1) + 4hk(k - 1) -
k-l [h
12r~/ :
J
+ k(k - 1) - 4k(k - 1).
12ks(h, k) == -2h(k - 1) -
k-l [h
4r~lr :
J+ k(k - 1) (mod 8)
I [hrJ
== (k - 1)(k - 2h) - 4 k-l - (mod 8)
r= 1 k
r odd
65
3: The Dedekind eta function
-4 L [hrJ
k-1
- = 4L k-1 ((hr))
- - 4 L -hr + 2 L 1
k-1 k-1
Theorem 3.10. If k = 2).k 1 where A > 0 and k 1 is odd, then for odd h z 1
we have
(41) 12hks(h, k) == h 2 + k 2 + 1 + 5k - 4k L [2~VJ (mod 2).+ 3).
v<h/2
<5 = { s(a, c) a+
- ~ d} - {s(a, Cl) - + .
a12cl d}
Then rb is an even integer.
66
3.9: Congruence properties of Dedekind sums
where 0 = (3, c). The same theorem with k = Cl = c/q gives, after multi-
plication by q,
where 0l = (3, c l ). Note that OliO so both congruences hold modulo 0lC.
Subtracting the congruences and multiplying by r we find
12acrb == r(q - 1)bc (mod OlC).
But r(q - 1)bc = 24bc == 0 (mod 0lC) so this gives
12acrb == 0 (mod OlC).
Now (a, c) = 1 since ad - bc = 1. Also, 12cb is an integer so we can cancel
a in the last congruence to get
(42) 12crb == 0 (mod OlC).
Next we show that we also have
(43) 12crb == 0 (mod 3c).
Assume first that q > 3. In this case 0 = (3, qc l) = (3, Cl) = 01 so (42)
becomes
12crb == 0 (mod Oc).
If 0 = 3 this gives (43). But if 0 = 1 then 3~c so 3~Cl and (38) implies
12cs(a, c) == 0 (mod 3) and 12cs(a, Cl) == 0 (mod 3). Hence
12crb == r(q - 1)(a + d) = 24(a + d) == 0 (mod 3),
which, together with (42), implies (43).
Now assume that q = 3 so r = 12. Then 0 = 3 and 0l is 1 or 3. IfO l = 3
we get (43) by the same argument used above, so it remains to treat the case
0 1 = 1. In this case 3~Cl so (38) implies 12c l s(a, c l ) == 0 (mod 3), hence
12cs(a, Cl) == 0 (mod 9).
Also,
12cb = 12cs(a, c) - (a + d) - 12cs(a, Cl) + 3(a + d)
== 12cs(a, c) + 2(a + d) (mod 9),
so
(44) 12racb = 12racs(a, c) + 2r(a 2 + ad) (mod 9).
67
3: The Dedekind eta function
a + d} == e - 1
12e { s(a, e) - ~ + 4T(a, e) - (a + d) (mod 8)
T(a, e) = L [2aVJ.
v<cj2 e
We only need the fact that T(a, e) is an integer. Applying (40) again with
k = e 1 = e/q and multiplying by q we have
2
12aC{S(a, c) - a l;Cd} == a + c2 + 1
68
3.LO: The Eisenstein series G2 (r)
Subtract, multiply by r and use the congruence 4cr == 0 (mod 2). + 3) to obtain
12carc5 == rcc1(q - 1) + r(q - l)bc == 0 (mod 2 A + 3 ).
Since a is odd we can cancel a to obtain
(46) 12crc5 == 0 (mod 2 A+ 3).
Now (43) states that 12crc5 == 0 (mod 3 ·2 Ay) which, together with (46)
implies (45) and proves the theorem for a ~ 1.
To prove it for a < 0, write c5 = c5(a) to indicate the dependence on a.
If a' = a + tc, where t is an integer, an easy calculation shows that
c5(a') - c5(a) = t(q - 1)/12 since s(a, c) = s(a', c) and s(a', c 1 ) = s(a, c 1 ). There-
fore rc5(a') - rc5(a) = 2t, an even integer. Choosing t so that a' ~ 1 we know
rc5(a') is even by the above argument, so rc5(a) is also even. This completes
the proof. D
where, as usual, (Jex(n) = Ldln dex . The cases k = 2 and k = 3 were worked out
in detail in Chapter 1, and the same argument proves (48) for any k ~ 2. If
k = 1 the series in (47) no longer converges absolutely. However, the series
in (48) does converge absolutely and can be used to define the function G 2 (r).
Definition. If r E H we define
00
(50) G2( ~ 1) = 2
r G 2 (r) - 2nir,
a relation which leads to another proof of the functional equation YJ( - l/r) =
(- ir)1/2YJ(r).
69
3: The Dedekind eta function
Hint: Start with Equation (12) of Chapter 1, replace r by nr, where n > 0, and sum
over all n 2 1.
1) 1
(-=-r
oc x
(52) r- G 2
2
= 2((2) + L L 2'
m=-cx n=-x (m + nr)
n*O
the iterated series in (52) being the same as that in (51) except with the order of sum-
mation reversed. Therefore, proving (50) is equivalent to showing that
(53) L:
m= - x
L:
n= - x (m
1
+ nr)2
= L:
n= - x m= - x
I (m
1
+ nr)2
_ 2ni
r
n*O n*O
3. (a) In the gamma function integral r(z) = .r~ e-tt Z - 1 dt make the change of variable
t = ~1I. where ~ > O. to obtain the formula
L
OC 1
2 = - 8n
2 IX cos(2nmu)gr(U) du,
n=-x (nr + m) 0
n*O
where
x
giu) = LI L e2rrinru if u > 0
n=l
and
where
X
70
Exercises for Chapter 3
(b) The series on the right of (55) is a Fourier series which converges to the value
±{f(O +) + f(1- )}. Show that
-1 ex
. + Igr(k)
f(O+) = - 2
nlr k= 1
and that
ex ex
f(1- ) = I gr(k) = I a(n)e21tinr,
k= 1 n= 1
d
-4ni - log 1](r) = G 2(r).
dr
(b) Show that (50) implies
-d log 1] -
dr
(-1)
r
=
d 1](r)
-log
dr
Id + - -log( -ir).
2 dr
Integration of this equation gives 1]( -l/r) = C( - ir)1/21](r) for some constant C.
Taking r = i we find C = 1.
6. Derive the reciprocity law for the Dedekind sums s(h, k) from the transformation
formula for log 1](r) as given in Equation (12).
7. (a) If 0 < a < 1 and Re (s) > 1, prove that Hurwitz's formula implies
- s) 1t1'( 1 )/2
F(a s)
,
= r(1
(2n)1 -
{eS
-s ((1 - - ,
s a) + e1tI.(S-l)/ 2s
/(1 - s 1 - a)}
,·
(b) Use (a) to show that <J>(a, Ii, s) can be expressed in terms of Hurwitz zeta functions
by the formula
<I>(a, f3,~ = e 1tis/2{((s, a)(( -s, 1 - {3) + ((s, 1 - a)(( -s, fJ))
r(s)r( -s)
+ e- 1tis/2{(( -s, I - f3K(s, 1 - a) + (( -5, {3)((s, a)}
and deduce that <I>((X, {3, s) = <1>( 1 - {3, (X, - s).
8. This exercise gives an estimate for the modulus of the function z - s<I>((X, {3, s) which
occurs in the integral representation of A((X, fi, s) in the proof of Iseki's formula
(Theorem 3.5).
71
3: The Dedekind eta function
(d) If (J ~ -~ and It I ~ 1 obtain the estimate I((s, a) I = O( ItiC) for some c > 0
(see [4J, Theorem 12.23) and use (b) to deduce that
Iz-s<I>(a, [3, s)1 = O(/tI2C-le-/tlt)).
This shows that the integral of z-s<I>(~, [3, s) along the horizontal segments of the
rectangle in Figure 3.2 tends to 0 as T ~ 00.
9. If k ~ 1 the equation
11. For integers r, h, k with k ~ 1 prove that we have the finite Fourier expansion
hr)) I 2nhrv nv
(( -k = - -
k- 1
L .
SIn--cot-
2k \'= 1 k k
1 k- 1 nhr nr
s(h, k) = - L cot - cot-.
4k r= 1 k k
12. This exercise relates Dedekind sums with the sequence {lI(Il)] of Fibonacci numbers
1, 1,2,3,5,8, ... , in which u(l) = u(2) = 1 and u(n + 1) = u(n) + u(n - 1).
(a) If h = u(2n) and k = u(2n + 1) prove that s(h, k) = o.
(b) If h = u(2n - 1) and k = u(2n) prove that 12hks(h, k) = h 2 + k 2 - 3hk + 1.
72
Exercises for Chapter 3
20. Assume 0 < h < k and let ro, r 1, ... , r n+ 1 denote the sequence of remainders in the
Euclidean algorithm for calculating the gcd (h, k), so that
Prove that
1 n~1 {
2
"+ 1 r/ + rj_1 + I} (-1)" + 1
s(h,k)=- ~ (-I)J - .
12 j =1 rjrj-1 8
This also expresses s(h, k) as a finite sum, but with fewer terms than the sum in the
original definition.
73
Congruences for the coefficients
of the modular function j
4.1 Introduction
The function j(r) = 12 3 J(r) has a Fourier expansion of the form
1 00 •
j(r) = - + L c(n)x n , (x = e 2m !)
x n=O
where the coefficients c(n) are integers. At the end of Chapter 1 we mentioned
a number of congruences involving these integers. This chapter shows how
some of these congruences are obtained. Specifically we will prove that
c(2n) == 0 (mod 2 11 ),
c(3n) == 0 (mod 3 5 ),
c(5n) == 0 (mod 52),
c(7n) == 0 (mod 7).
The method used to obtain these congruences can be illustrated for the
modulus 52. We consider the function
00
f5(r) = L c(5n)x n
n=1
74
4.2: The subgroup r o(q)
75
4: Congruences for the coefficients of the modular function j
We will prove
A-I = PW
Vr = WAr = Wr i .
76
4.3: Fundamental region of r o(p)
-1 o 1
2"
implies
V = ST k = 1 (0 -1)
k .
77
4: Congruences for the coefficients of the modular function i
Since VE ro(p) this requires k 2 == k i (mod pl. But both k l , k 2 are in the
interval [0, p - IJ, so k 2 = k i . Therefore
V = SToS = S2 = I
Theorem 4.3. For any prime p> 3 the subgroup ro(p) has 2[p112J +3
generators and they may be selected from the following elements:
where kk' == -1 (mod pl. The subgroup r o(2) has generators T and VI~
the subgroup r 0(3) has generators T and V2 .
p 2 3 5 7 11 13 17 19
Generators: T T T T T T T T
VI V2 V2 V3 V4 V4 V4 Vs
V3 Vs V6 Vs V7 V8
V8 Vg VI2
VIO VI3 VI3
f(r) = L ane21tint.
n= -m
78
4.4: Functions automorphic under the subgroup r o(p)
V = PA k ,
where A k = ST k if k < p, and A p = I. For each k = 0, 1, ... , p, let
r k = {PA k : PEro(p)}.
Each set r k is called a right coset of r o(P). Choose an element ~ from the
coset r k and define a function fk on H by the equation
fk(r) = f(~ r).
Note that fp(r) = f(Pr) = f(r) since P E ro(P) and f is automorphic under
ro(P). The function value A(r) does not depend on which element ~ was
chosen from the coset r k because
A(r) = f(~r) = f(PAkr) = f(Akr)
and the element A k is the same for all members of the coset r k •
How does fk behave under the transformations of the full modular group?
If V E r then
fk(Vr) = f(~ Vr).
Now ~ V
such that
E r so there is an element Q in r o(P) and an integer m, ° ~ m ~ p,
Therefore we have
n {fk(r) -
p
cp(r) = f(w)}.
k=O
79
4: Congruences for the coefficients of the modular function j
Then if V E r we have
p p
cp(Vr) = n {fk(Vr) -
k=O
f(w)} = n {f(j(k)(r) -
k=O
f(w)} = cp(r),
n {fk(W) -
p
cp(w) = f(w)}
k=O
and the factor with k = p vanishes since fp = f Therefore cp(r) = 0 for all r.
Now take r = i. Then
p
o= n {A(i) -
k=O
f(w)}
hence some factor is o. In other words, f(w) = A(i) for some k. But w was
arbitrary so f can take only the values fo(i), ... ,fp(i). This implies that f is
constant. 0
f(r) = L a(n)e21tinr
n= -m
then fp has the Fourier expansion
00
fp(r) = L a(np)e21tinr.
n= - [m/p]
PROOF. First we prove the statement concerning Fourier expansions. We have
1 p- 1 00
1 p- 1
L L e21tin )./p.
00
=- a(n)e21tinr/p
p n= -m ),=0
80
4.5: Construction of functions belonging to r o(p)
But
L e21tin ;"/p = {O
p-I if p,(n
;"=0 P if pin
so
00 00
This shows that fp has the proper behavior at the point r = ioo. Also,
fp is clearly meromorphic in H because it is a linear combination of functions
meromorphic in H.
Next we must show that
fp(Vr) = fp(r) whenever V E r o(p).
For this we use a lemma.
Lemma 1. If V E ro(p) and if
there exists an integer j1, 0
° ~
~ j1 ~
A ~ p - 1, let T;.,r = (r + A)jp. Then
p - 1 and a transformation ~ in
r O(p2) such that
First we use the lemma to complete the proof of Theorem 4.5, then we
return to the proof of the lemma.
If V E r o(p) we have
P 1 P 1
1 - (Vr+A)
fp(Vr) = - L f = -1 L-
f(T;., Vr).
P ;"=0 P, P ;"=0
81
4: Congruences for the coefficients of the modular function j
or
(3) {AJl + Bp = b + Ad
CJl + Dp = pd
with
C == 0 (mod p2) and AD - BC = 1.
Now (2) determines A and C. Since pic, we have C == 0 (mod p2). Substi-
tuting these values in (3) we must satisfy
82
4.6: The behavior of.f~ under the generators of r
G-~) = (: :::~:)-
Take a = A, c = p and let J.1 be that solution of the congruence
,1,J.1 == -1 (mod p)
in the interval 1 S J.1 S P - 1. This solution is unique and J.1 runs through a
reduced residue system mod p with ,1,. Choose b to be that integer such that
aJ.1 + bp = - 1, and take d = - J.1. Then CJ.1 + dp = 0 and the proof is
complete. D
PROOF OF THEOREM 4.6. We have
83
4: Congruences for the coefficients of the modular function.i
where the r(n) are integers with r(1) = 1 and r(2) = -24. However, ~(r) is
not invariant under all transformations of r. In fact we have
:
~G: ~) = (cr + d)12~(r) if (: ~) E r.
In particular,
84
4.7: The function <p(r) = ~(qr)/~(r)
so
~( V r) = (cr + d) 12 ~( r) = (c 1 qr + d) 1 2 ~( r).
On the other hand,
aT + b a(qr) + bq
qVr = q - - d = ( ) d = W(qr),
cr + C 1 qr +
where
w= (aC1
q
b ).
d
But WE r because det W = ad - bc 1q = ad - bc = 1. Hence
~(qVr) = ~(W(qr)) = (c 1(qr) + d)12~(qr),
so
qJ (-1) = 1
~ q12 qJ(r)·
Hence qJ(r) -+ 00 as r -+ O.
85
4: Congruences for the coefficients of the modular function j
~( -:r) = (qr)12~(qr)
so
n=1
(1 - Xn )24
so
and the Fourier series for cpa(r) will certainly have integer coefficients if
24a is an integer, that is, if q - 1 divides 24. This occurs when q = 2, 3, 4, 5,
7, 9, 13, and 25.
a (~(qr))a (l1(qr))r
<I>(r) = q> (r) = ~(r) = 1](r) ·
86
4.9: Invariance of <1>( r) under transformations of r o(q)
The function <I> so defined is analytic and nonzero in H. The Fourier series
for <I> in (5) shows that <I> has a first order zero at 00 and that
1 1
<I>(r) = ~ + I(x),
Theorem 4.9. Let q = 2,3,5,7, or 13, and let r = 24/(q - 1). Then thefunction
(7)
where
(8)
87
4: Congruences for the coefficients of the modular function.i
We also have
a(qr) + bq )
I](qVr) = I] ( c1(qr) + d = I](V1qr)
where
~I = (a CI
q
b )
d·
Since VI E r we have
<D(Vr) = (:~~;)'<D(r).
But (8) shows that (r.(V1 )/r.(V)t = e- rrirb~ where
(j,{a+d
= ~ + s(-d,c)} - {a+d
12c + s(-d,c 1 ) } .
1
fp(r) = ~ Pf f(r + A)
p ),=0 P
is automorphic under r o(p), and its Fourier coefficients consist of every pth
coefficient of f To obtain divisibility properties of the coefficients of jp(r)
we shall express j p as a polynomial in the function <1>.
In deriving the differential equation for the Weierstrass g;J function we
formed a linear combination of g;J, g;J2 and g;J3 which gave a principal part
near z = 0 equal to that of [g;J'(z)] 2. The procedure here is analogous.
Both functions jp and <I> have a pole at the vertex r = 0 of the fundamental
region of ro(p). We form a linear combination of powers of <I> to obtain a
principal part equal to that of jp.
88
4.10: The function j p expressed as a polynomial in <1>
j (-
p ~)
pr = j p(pr) + ~p j(p2r) - ~p j(r).
pj (-
p
~)
pr
= x- p2 - X-I + I(x),
where I(x) is a power series in x with integer coefficients.
PROOF. We have
j(r) = X-I + c(O) + c(1)x + c(2)x 2 + ... ,
jp(r) = c(O) + c(p)x + c(2p)x 2 + ... ,
pjp(pr) = pc(O) + pc(p)x P + pc(2p)x 2p + ... ,
and
so
= x- p2 - X-I + I(x). o
Now we can express j p as a polynomial in <1>.
pjp( - ;r) = x-
p2
- x- 1
+ I(x),
89
4: Congruences for the coefficients of the modular function j
pj (_
p
~)
pr
- {1jJ(r)}p
2
90
Exercises for Chapter 4
Since it is known that c(13) is not divisible by 13, congruences of the above
type cannot exist for 13. In 1958 Morris Newman [30] found congruences
of a different kind for 13. He showed that
where p-Ip == 1 (mod 13) and c(x) = 0 if x is not an integer. The congruences
of Lehner and Newman were generalized by Atkin and O'Brien [5J in 1967.
n (1 -
ex:: ex::
x 2n )(1 + X 2n - 1
z2)(1 + x 2n - 1z- 2) = L X
rn2 2rn
Z
n=l
if z =I 0 and Ix I < 1.
(a) Show that x and z can be chosen to give the product representation
:+(r) = n (1 -
00
e21tint)(1 + e(2n-1)1tit)2.
n=l
( q2(' ; 1)
ti(r) = .
l1(r + 1)
(c) Prove that :)( -l/r) = (- ir)1/2[)(r).
Hint: If Sr = -l/r, find elements A and B of r such that
91
4: Congruences for the coefficients of the modular function j
- e21timt)24.
n= 1 m= 1
4. If p is a prime, define
(-1)
(b) F p -r- = r 12 Fp(r).
Show that g(rt. + 1) is a linear combination of g(rt.) and g(rt. - 1) for rt. 2 2 and deduce
°
that g(rt.) = for all rt..
92
Exercises for Chapter 4
8. Prove that
r(m)r(n) = L dllr(~~).
dl(rn,n)
{S04.t r
CT s(n)x' = {j(r) - 12 3
} '~1 r(n)x',
where (J 5(0) = - 1/504. Equate coefficients of x n to obtain the identity
n n-l
(504)2 L (Js(k)(Js(n - k) = r(n + 1) - 984r(n) + L c(k)r(n - k).
k=O k=1
This formula, due to Lehmer [20], can be used to determine the coefficients c(n)
recursively in terms of r(n). Since the right member is an integer, the formula also
implies Ramanujan's remarkable congruence
93
Rademacher's series for
the partition function
5.1 Introduction
The unrestricted partition function p(n) counts the number of ways a positive
integer n can be expressed as a sum of positive integers ~ n. The number of
summands is unrestricted, repetition is allowed, and the order of the sum-
mands is not taken into account.
The partition function is generated by Euler's infinite product
1
(1) F(x) = n
00
m= 1
--m
1- x
=
00
L p(n)x n,
n=O
where p(O) = 1. Both the product and series converge absolutely and repre-
sent the analytic function F in the unit disk Ix I < 1. A proof of (1) and other
elementary properties of p(n) can be found in Chapter 14 of [4J. This chapter
is concerned with the behavior of p(n) for large n.
The partition function p(n) satisfies the asymptotic relation
eK~
p(n) '" r; as n ---+ 00,
4n y 3
where K = n(2/3)1/2. This was first discovered by Hardy and Ramanujan [13J
in 1918 and, independently, by J. V. Uspensky [52] in 1920. Hardy and
Ramanujan proved more. They obtained a remarkable asymptotic formula
of the form
~
(2) p(n) = L Pk(n) + O(n- 1 / 4 ),
k<a...jn
94
5.2: The plan of the proof
(3)
diverges for each n. The divergence of (3) was shown by D. H. Lehmer [21]
in 1937.
Hans Rademacher, while preparing lecture notes in 1937 on the work of
Hardy and Ramanujan, made a small change in the analysis which resulted
in slightly different terms Rk(n) in place of the Pk(n) in (2). This had a profound
effect on the final result since, instead of (2), Rademacher obtained a con-
vergent series,
00
The exact form of the Rademacher terms Rk(n) is described below in Theorem
5.10. Rademacher [35] also showed that the remainder after N terms is
O(n - 1/4) when N is of order .)ii, in agreement with (2).
This chapter is devoted to a proof of Rademacher's exact formula for
p(n). The proof is of special interest because it represents one of the crowning
achievements of the so-called "circle method" of Hardy, Ramanujan and
Littlewood which has been highly successful in many asymptotic problems
of additive number theory. The proof also displays a marvelous application
of Dedekind's modular function 1J(r).
= ~
k
F(x)
n+ 1 ~
p(k)x
n+ 1
·fO
1 <
IX I < 1,
X k=O X
for each n ~ O. The last series is the Laurent expansion of F(x)/x n + 1 in the
punctured disk 0 < Ix I < 1. This function has a pole at x = 0 with residue
p(n) so by Cauchy's residue theorem we have
p(n)
1
= -2.
1rl
J F(x)
n+i dx,
eX
95
5: Rademacher's series for the partition function
where C is any positively oriented simple closed contour which lies inside
the unit circle and encloses the origin. The basic idea of the circle method is
to choose a contour C which lies near the singularities of the function F(x).
The factors in the product defining F(x) vanish whenever x = 1, x 2 = 1,
3
x = 1, etc., so each root of unity is a singularity of F(x). The circle method
chooses a circular contour C of radius nearly 1 and divides C into arcs
C htk lying near the roots of unity e21rih/k, where °::;
h < k, (h, k) = 1, and
k = 1,2, ... , N. The integral along C can be written as a finite sum of integrals
along these arcs,
N k-l J
J C k~l (h,k)=
h~O 1
Ch.k·
On each arc Ch,k the function F(x) in the integrand is replaced by an elemen-
tary function t/Jh,k(X) which has essentially the same behavior as F near the
singularity e21rih/k. This elementary function t/Jh,k arises naturally from the
functional equation satisfied by the Dedekind eta function l1(r). The functions
F and 11 are related by the equation
and the functional equation for 11 gives a formula which describes the behavior
of F near each singularity e21rih/k. The replacement of F by t/Jh,k introduces
an error which needs to be estimated. The integrals of the t/Jh,k along Ch,k are
then evaluated, and their sum over h produces the term Rk(n) in Rademacher's
series.
In 1943 Rademacher [38] modified the circle method by replacing the
circular contour C by another contour in the r-plane, where x = e 21rit . This
new path of integration simplifies the estimates that need to be made and
clarifies the manner in which the singularities contribute to the final formula.
The next section expresses Dedekind's functional equation in terms of F.
Sections 5.5 and 5.6 describe the path of integration used by Rademacher,
and Section 5.7 carries out the plan outlined above.
96
5.4: Farey fractions
Note. If Iz I is small, the point x in (5) lies near the root of unity e21rih/k,
whereas x' lies near the origin. Hence F(x') is nearly F(O) = 1, and Equation
(6) gives the behavior of F near the singularity e21rih/k. Aside from a constant
factor, for small Iz I, F behaves like
Zl/2 expC;z)-
where T' = (aT + b)/(CT + d). Since F(e 21rit ) = e1rit/12/1J(T), (7) implies
Then
, iz- 1 +H
T =----
k
2nih
F exp -
(
2nz))
( k- - - k
- - - -2n))z 1/2
= F ( exp(2niH
k kz
n nz }
x exp{ 12kz - 12k + nis(h, k) .
97
5: Rademacher's series for the partition function
EXAMPLES
F1: ¥, t
F2 : ¥, t, t
F 3: ¥, t, t, i, t
F 4: ¥, t, t, t, i, i, t
F 5: ¥,!, t, t, ~, t, ~, i, i, ~, t
F 6: ¥, i, !, !, t, ~, t, ~, i, i, ~, i, t
F 7: ¥,~, i, !, t, ~, t, i, ~, !, 4, ~, i, ~, i, ~, i, ~, t
Theorem 5.2. If(alb) < (cld), their mediant (a + c)/(b + d) lies between them.
PROOF
a +c a bc - ad c a +c bc - ad
and
b + d - b= b(b + d) > 0 d- b +d= d(b + d) > O. 0
t
The above examples show that and ~ are consecutive fractions in F n
for n = 5, 6, and 7. This illustrates the following general property.
Theorem 5.3. Given 0 ~ alb < cld ~ 1. If bc - ad = 1 then alb and cld are
consecutive terms in F nfor the following values of n:
max(b, d) ~ n ~ b +d- 1.
PROOF. The condition be - ad = 1 implies that alb and eld are in lowest
terms. If max(b, d) s n then b ~ nand d ~ n so alb and cld are certainly in
F n. Now we prove they are consecutive if n ~ b + d - 1. If they are not
consecutive there is another fraction hlk between them, alb < hlk < cld.
But now we can show that k ~ b + d because we have the identity
(9) k = (bc - ad)k = b(ck - dh) + d(bh - ak).
But the inequalities alb < hlk < cld show that ck - dh ~ 1 and bh - ak ~ 1
so k ~ b + d. Thus, any fraction hlk that lies between alb and cld has
denominator k ~ b + d. Therefore, if n ~ b + d - 1, then alb and cld must
be consecutive in F n • This completes the proof. D
98
5.5 : Ford circles
Theorem 5.4. Given 0 ~ alb < cld ~ 1 with be - ad = 1, let hlk be the
mediant of alb and cld. Then alb < hlk < cld, and these fractions satisfy
the unimodular relations
bh - ak = 1, ck - dh = 1.
PROOF. Since hlk lies between alb and cld we have bh - ak ~ 1 and
ck - dh ~ 1. Equation (9) shows that k = b + d if, and only if, bh - ak =
ck - dh = 1. D
99
5: Rademacher's series for the partition function
. 1
radIus = 2k 2
h
k
Theorem 5.6. Two Ford circles C(a, b) and C(c, d) are either tangent to each
other or thev do not intersect. They are tangent if, and only if, bc - ad =
± 1. In particular, Ford circles of consecutive Farey fractions are tangent
to each other.
PROOF. The square of the distance D between centers is (see Figure 5.2)
a c
b d
Figure 5.2
(r
1
+ R)2 = ( 2b 2 + 2d 2
1 )2 .
The difference D 2 - (r + R)2 is equal to
D
2
- (r + R)2 = (
ad - bc)2
bd
(1
+ 2b 2 - 2d 2
1)2 (12b
- 2
1)2
+ 2d 2
(ad - bC)2 - 1
-- b2 d 2 >0
-'
Theorem 5.7. Let h 1 /k 1 < h/k < h 2 /k 2 be three consecutive Farey fractions.
The points of tangency of C(h, k) with C(h 1 , k 1) and C(h 2 , k 2 ) are the points
h k1 i
(Xl(h, k) = k- k(k 2 + k 12) + k 2 + k12
and
h k2 i
(X2(h,k) = k + k(k 2 + k 22) + k 2 + k/"
Moreover, the point ofcontact a 1 (h, k) lies on the semicircle whose diameter
is the interval [h1/k b h/k].
PROOF. We refer to Figure 5.3. Write a 1 for a 1 (h, k). The figure shows that
1
2k 2
1 b
a
2k 1 2 ,,
,,
---"'-::.----- ---- --- - --
" "- ,,
,,
,,
,,
"- ,
"
h
k
Figure 5.3
k k1 2k 2 + 2k 1 2
Similarly, we find
1 1
b 2k2 - ~ _ k12 - k2 1 k 12 - k2
so = 2k2 k2 + k 1 2 "
1 1 1 - k 12 + k2 ' b
2k 2 2k 2 + 2k 1 2
These give the required formula for a b and by analogy we get the correspond-
ing formula for a 2 •
101
5: Rademacher's series for the partition function
To obtain the last statement, it suffices to show that the angle (J in Figure
5.3 is n12. For this it suffices to show that the imaginary part of rJ. I (h, k) is
the geometric mean of a and a', where
, h hi 1
and a =- - - - a=- - a.
a = k(k 2 + k I 2) k kl kk 1
(See Figure 5.4.) Now
, kl ( 1 kl )
aa = k(k2 + k12) kk l - k(k 2 + k 12)
2
kl ( k ) 1
= k (k + k I 2) k I (k + k I 2) = (k 2 + k I 2)2 '
2 2 2
a' a
Figure 5.4
102
5.6: Rademacher's path of integration
i + 1
o "3
1 1
"2
2
"3
maps the Ford circle C(h, k) in the t-plane onto a circle K in the z-plane of
radius t about the point z = ! as center (see Figure 5.6). The points of
contact ltl(h, k) and lt 2 (h, k) of Theorem 5.7 are mapped onto the points
k2 kk
zl(h,k) = k 2 + k/ + i k 2 + lk/
and
The upper arc joining lt 1(h, k) with lt 2 (h, k) maps onto that arc of K which
does not touch the imaginary z-axis.
\
\
o 1
!
z-plane
Figure 5.6
103
5: Rademacher's series for the partition function
PROOF. The translation T - (h/k) moves C(h, k) to the left a distance h/k,
and thereby places its center at i/(2k 2). Multiplication by - ik 2 expands the
radius to 1/2 and rotates the circle through n/2 radians in the negative
direction. The expressions for z 1(h, k) and z2(h, k) follow at once. 0
Now we obtain estimates for the moduli of z 1 and z 2.
Theorem 5.9. For the points z 1 and z 2 of Theorem 5.8 we have
k k
(10) IZ1(h, k)1 = , IZ 2(h, k)1 = .
~k2 + k12 ~k2 + k 22
Moreover, ifz is on the chord joining ZI and Z2 we have
fik
(11) Izl<~,
if h 1 /k 1 < h/k < h 2/k 2 are consecutive in F N. The length of this chord does
not exceed 2fik/N.
PROOF. For IZ112 we have
k 4 + k 2k 2
2
k2
Iztl = (k 2 + kJ)2 k 2 + k 1 2"
There is a similar formula for Iz21 2. This proves (10). To prove (11) we note
that if z is on the chord, then Iz I ::::; max( Iz1I, Iz21 ), so it suffices to prove that
fik fik
(12) IZ ll < "N and IZ 21 < "N.
For this purpose we use the inequality relating the arithmetic mean and the
root mean square:
2
k +_
_ k 1 < (k + k 1 2)1/2
2 - 2 .
This gives us
(k 2 + k 2)1/2 > k + k 1 > N + 1 > !i
1 - fi - fi fi'
so (10) and (12) imply (11). The length of the chord is ::::; Iz11 + Iz21. D
1 (X) d
p(n) =
ny
M L Ak(n)jk -dn
2 k= 1
104
5.7: Rademacher's convergent series for p(n)
where
A k(n) ~ eftis(h,k)-2ftinh/k.
= LJ
O~h<k
(h,k)= 1
PROOF. We have
(13) p(n)
1
= -2.
'Ttl
I
eX
F(x)
n+f dx where F(x) = n (1 -
00
m=l
X
m
)-l =
00
L p(n)x
n=O
n
;
maps the unit disk Ix I ~ 1 onto an infinite vertical strip of width 1 in the
r-plane, as shown in Figure 5.7. As x traverses counterclockwise a circle of
x-plane
o
t-plane
Figure 5.7
p(n) = r
J
i
i+ 1
F(e 2nh )e - 2ninr dr = r
Jp(N)
F(e 2nit)e - 2nint dr.
In this discussion the integer n is kept fixed and the integer N will later be
allowed to approach infinity. We can also write
105
5: Rademacher's series for the partition function
so that
h iz
t = k + k2 •
Theorem 5.8 shows that this maps C(h, k) onto a circle K of radius! about
z = ! as center. The arc y(h, k) maps onto an arc joining the points zl(h, k)
and z2(h, k) in Figure 5.6. We now have
p(n) = L J Z2
(h. k)F(ex p(21rih _ 2~Z)) ~ e- 2ninh/k e2nnz/k2
h,k zt{h,k) k k k
dz
Z
= L ik-2e-2ninh/k J 2(h.k) e2nnZ/k2F(exp(21rih _ 2~Z)) dz.
h,k zt{h,k) k k
Now we use the transformation formula for F (Theorem 5.1) which states
that
Z)1/2 ( 1r 1rZ )
F(x) = w(h, k) ( k exp 12z - 12k 2 F(x'),
where
21rih 21rZ)
x = exp ( -k- - k2 ' x, = exp (21riH
-k- - 21r) ,
-;-
and
w(h, k) = enis(h,k), (h, k) = 1.
hH == -1 (mod k),
Denote the elementary factor ZI/2 exp[,,-/(12z)- 1rz/{12k 2)J by \fJk{Z) and
split the integral into two parts by writing
F(x') = 1+ {F(x') - I}.
We then obtain
p(n) = L ik- 5 / 2W(h, k)e-2ninh/k(11(h, k) + 12(h,k))
h, k
where
Z 2(h'k)
1 1(h, k) =
Jzdh,k) qJk(z)e2nnz/k2 dz
and
Z
I 2(h, k) =
Jzt{h,2(h,k)k) qJ k(Z){F(exp (21riH
-k- - -21r)) - 1} e2nnz/k2 dz.
Z
We show next that 1 2 is small for large N. The path of integration in the
z-plane can be moved so that we integrate along the chord joining z 1 (h, k)
and z2(h, k). (See Figure 5.8.) We have already estimated the length of this
106
5.7: Rademacher's convergent series for p(n)
Figure 5.8
chord; it does not exceed 2J2k/N. On the chord itself we have Izi
~ max{lzll, IZ21} < J2k/N. Note also that the mapping w = l/z maps
the disk bounded by K onto the half-plane Re(w) ~ 1. Inside and on the
circle K we have 0 < Re(z) ~ 1 and Re(l/z) ~ 1, while on K itself we have
Re(l/z) = 1.
Now we estimate the integrand on the chord. We have
= Iz1
1
/
2
exp { 1~ ReG) - 1~2 Re(Z)}
x e2nltRe<zl/k21 m~1 p(m)e2ltiHm/ke- 2ltm/z I
m=l
00
107
5: Rademacher's series for the partition function
where
00
I
Ih, k
ik-S/2W(h,k)e-21tinh/kI2(h,k)1 < f
k= 1 0
I
h< k
~
Ck- 1 N- 3 / 2
(h,k)= 1
N
~ CN- 3 / 2 1 I = CN- 1/2.
k=l
This means we can write
N
(14) p(n) = I I ik-S/2w(h,k)e-2ninh/kl1(h,k) + O(N- 1/2).
k=l O~h<k
(h,k)= 1
Next we deal with I 1(h, k). This is an integral joining zl(h, k) and z2(h, k)
along an arc of the circle K in Figure 5.8. We introduce the entire circle K
as path of integration and show that the error made is also O(N- 1 / 2 ). We have
1 1 (h,k) =
1 f
K(-)
-
0
Zdh' k)
-
JO
z2(h,k)
=
1 K(-)
-J 1 -J 2 ,
Since Re(1/z) = 1 and 0 < Re(z) ~ 1 on K the integrand has absolute value
so that
108
5.7: Rademacher's convergent series for p(n)
p(n) = f
k =1 0 h < k
L
~
ik - 5/2 W (h, k)e - 2ninh/k
J
rK( - )
'1\(z)e2nnz/k2 dz + O(N- 1 / 2).
(h,k)= 1
where
Ak(n) = L e1tis(h, k) - 21tinhlk.
O~h<k
(h,k)= 1
_
p(n) -
1i k~/k(n)k
00 - 512 51 + ooi - 512
1- ooi W exp
{2
nw n( 1) I}
12 + k 2 n - 24 ~ dw.
Now put t = nw/12 and the formula becomes
n )3 /2 1 fC+ooi 5 2 {n 2 ( 1 ) I}
2n(12 k~lAk(n)k-5/2 2ni / exp t + 6k2 n - 24 t dt
00
p(n) = c-ooi C
k~l Ak(n)k
-1 (n V"3~(
13 / 2 k
1 ))
\.n - 24 ·
109
5: Rademacher's series for the partition function
But Bessel functions of half odd order can be red uced to elementary functions.
In this case we have
13 / 2 (Z ) -_ ftz ~
d (sinh z) .
n z z
1 00 d
p(n) = -- L A (n)k
k
1 2
/ - D
nJ2k=l dn
(}=Aa+J.1c
Ab + J.1d
lies between alb and c/d, and that (c - d(})/((}b - a) = ).. /J.1. When A = J.1, () is the
mediant of alb and c/d.
3. If bc - ad = 1 and n > max(b, d), prove that the terms of the Farey sequence F n
between alb and c/d are the fractions of the form (Aa + J.1c)/(Ab + J.1d) for which )..
and J.1 are positive relatively prime integers with Ab + J.1d ~ n. Geometrically, each
pair (A, J.1) is a lattice point (with coprime coordinates) in the triangle determined by
the coordinate axes and the line bx + dy = n. Neville [29] has shown that the
number of such lattice points is
3 n2
2 -b + O(n log n).
n d
This shows that for a given n, the number of Farey fractions between alb and c/d is
asymptotically proportional to l/(bd), the length of the interval [alb, c/d].
110
Exercises for Chapter 5
Also, 1;,' denotes the set of lattice points (x, y) in 1;, with relatively prime
coordinates.
4. Prove that alb and c/d are consecutive fractions in the Farey sequence F n if, and only
if, the lattice point (b, d) E T~.
(a) By comparing the regions T,. and T,. _ 1 for r ~ 2 show that
r-1 r-l
This relates a sum involving Farey fractions to one which does not.
7. Let
1
S =
n (b, d)
L T~ bd(b + d)
E
(k,r)= 1
00 r 1 3
L L
r= 1 k= 1
2
r (r + k)
=-.
4
(k,r)= 1
8. Exercise 7(a) shows that Sn ~ 0 as n ~ Cf:.;. This exercise outlines a proof of the
asymptotic formula
(16)
_ 12 log 2
Sn - 2 + 0
(log
2
n)
n n n
obtained by Lehner and Newman in [25].
111
5: Rademacher's series for the partition function
Let
Ar = L
r
k=l
2
r (r
1
+ k)
±I
k= 1 dl(r,k) r (r
/(d)
+ k)
,
(k,r)= 1
so that
r>n
Ar
=" ~ _d_J.l(r_/d_)
L. L. 3
dl r h = 1 r (h + d)
Ar = log 2 -qJ(r)
3 + 0
r
(1 3 L IJ.l(d) I
r dlr
).
(b) Show that L~=l Ldlr IJ.l(d)/ = O(n log n) and deduce that
1 (lOg
L 3LIJ.l(d)/ = 0 - 2
n) .
r dlr
r> n n
(c) Use the formula Lr ~ n qJ(r) = 3n 2 /n 2 + O(n log n) (proved in [4J, Theorem 3.7) to
deduce that
112
Modular forms with
multiplicative coefficients
6.1 Introduction
The material in this chapter is motivated by properties shared by the discrimi-
nant L\(r) and the Eisenstein series
1
G 2k(r) = L
(m,n):¢:(O, 0) (m + nr)
2k'
113
6: Modular forms with multiplicative coefficients
Both r(n) and O"(X(n) are multiplicative arithmetical functions; that is, we
have
(2) r(m)r(n) = r(mn) and
They also satisfy the more general multiplicative relations
and
for all positive integers m and n. These reduce to (2) when (m, n) = 1.
The striking resemblance between (3) and (4) suggests the problem of
determining all modular forms whose Fourier coefficients satisfy a multi-
plicative property encompassing (3) and (4). The problem was solved by
Hecke [16J in 1937 and his solution is discussed in this chapter.
f(r) = L c(n)e21tint.
n=O
The constant term c(O) is called the value of f at ioo, denoted by f(ioo).
If c(O) = 0 the function f is called a cusp form (" Spitzenform" in German),
and the smallest r such that c(r) i= 0 is called the order of the zero of f at i 00.
It should be noted that the discriminant ~ is a cusp form of weight 12 with
a first order zero at i 00. Also, no Eisenstein series G2k vanishes at i 00.
114
6.3: The weight formula for zeros of an entire modular form
N = _1 r f'(7:) d7:.
2ni JaR f(7:)
The integral is taken along the boundary of a region R formed by truncating
the fundamental region by a horizontal line y = M with sufficiently large M.
The path 8R is along the edges of R with circular detours made around the
vertices i, p and p + 1 and other zeros which might occur on the edges. By
115
6: Modular forms with multiplicative coefficients
The only essential difference between this result and the corresponding
formula obtained in the proof of Theorem 2.4 is the appearance of the term
k112. This comes from the weight factor (cr + d)k in the functional equation
f(A(r)) = (cr + d)kf(r),
where A(r) = (ar + b)/(cr + d). Differentiation of this equation gives us
f'(A(r))A'(r) = (cr + d)kf'(r) ,+ kc(cr + d)k-l fer)
from which we find
f'(A(r))A'(r) = f'(r) + ~.
f(A(r)) fer) cr + d
Consequently, for any path y not passing through a zero we have
_1
2ni
f
A(y)
f'(u) du = _1
feu) 2ni
f
y
f'(r) dr
f(r)
+ _1
2ni
f
y
~ dr.
cr +d
Therefore the integrals along the arcs (2) and (3) in Figure 2.5 do not cancel
as they did in the proof of Theorem 2.4 unless k = O. Instead, they make a
contribution whose limiting value is equal to
-k
2ni
Ii ~dr = 2ni
p
-k -k (ni 2ni)
(log i-log p) = 2ni 2 - 3
k
= 12"
The rest of the proof is like that of Theorem 2.4 and we obtain (6), which
implies (5). D
Theorem 6.2
(a) The only entire modular forms of weight k = 0 are the constant
functions.
(b) Ifk is odd, ifk < 0, or ifk = 2, the only entire modular form of weight k
is the zero function.
(c) Every nonconstant entire modular.form has weight k ~ 4, where k is even.
(d) The only entire cusp form of weight k < 12 is the zero function.
PROOF. Part (a) was proved earlier. To prove (b), (c) and (d) we simply refer
to the weight formula in (5). Since each integer N, N(i), N(p) and N(ioo) is
nonnegative, k must be nonnegative and even, with k ~ 4 if k =1= O. Also,
if k < 12 then N(ioo) = 0 so f is not a cusp form unless f = O. D
116
6.4: Representation of entire forms in terms of G4 and G6
(8) f = L ca,bG4aG6b
a,b
where the ca,bare complex numbers and the sum is extended over all integers
°
a ~ 0, b ~ such that 4a + 6b = k.
PROOF. °
If k is odd, k < or k = 2 the sum is empty and f is 0. If k = 0, f is
constant and the sum consists of only one term, co, 0. If k = 4, 6, 8 or 10
then each of the respective quotients f1G 4 , f1G 6 , flG 42 and fl(G 4 G6) is an
°
entire form of weight and hence is constant. This proves (8) for k < 12 or
k odd. To prove the result for even k ~ 12 we use induction on k.
Assume the theorem has been proved for all entire forms of weight < k.
Since k is even, k = 4m or k = 4m + 2 = 4(m - 1) + 6 for some integer
m ~ 3. In either case there are nonnegative integers rand s such that
k = 4r + 6s. The form g = G4rG 6s has weight k and does not vanish at ioo.
Hence if c = f(ioo)lg(ioo) the entire form f - cg is a cusp form in M k so
f - cg = ~h where hEM k- 12 . By the induction hypothesis, h can be
°
expressed as a sum as in (8), taken over all a ~ 0, b ~ such that 4a + 6b =
k - 12. Multiplication by ~ gives a sum of the same type with 4a + 6b = k.
Hence f = cg + ~h is also a sum of the required type and this proves the
theorem. D
118
6.6: Classification of entire forms in terms of their zeros
and one less term if k == 2 (mod 12). Therefore the dimension of the space
M k is given by the formulas
if k ~ 12. This equation, together with the fact that dim M k = 1,0, 1, 1, 1, 1
when k = 0, 2, 4, 6, 8, 10, gives another proof of (9).
EXAMPLES. Formula (9) shows that
dim M k = 1 if k = 4, 6, 8, 10, and 14.
Corresponding basis elements are G4 , G6 , G4 2, G4 G6 , and G4 2G6 .
Formulas (11) and (9) together show that
dim Mk,o = 1 if k = 12, 16,18,20,22, and 26.
Corresponding basis elements are 11, I1G 4 , I1G 6 , I1G 4 2, I1G 4 G6 , and I1G 4 2G 6 •
Theorem 6.5. Let f be an entire form of weight k and let z 1, ... , Z N denote the
N zeros o.f f in the closure o.f R r (omitting the vertices) with zeros of order
119
6: Modular forms with multiplicative coefficients
N(p), N(i) and N(ioo) at the vertices. Then there is a constant c such that
has exactly the same zeros asfin the closure of R r . Also, h is an entire modular
form having the same weight as f since
k = 4N(p) + 6N(i) + 12N(ioo) + 12N.
Definition. For a fixed integer k and any n = 1, 2, ... , the operator T" is
defined on M k by the equation
(13)
120
6.7: The Heeke operators T,.
f(1:) = L c(m)e21timt,
m=O
then 1;,f has the Fourier expansion
00
(16) Yn(m) = ~
i..J dk-l c (mn)
J2 .
dl(n,m)
(Tnf)(1:) = nk - 1 L d- L L c(m)e21tim(nt+bd)/d2
k
m= 0 din, dim d
Writing m = qd we have
(T,J)(r) =
q=O
f L (~)k- 1 c(qd)e21<iQnt/d,
din d
In the sum on d we can replace d by nld to obtain
(T"f)(r) = f
q=O
d din
L dk-lc(qn)e21tiqdt.
If x = e 21tit the last sum contains powers of the form x qd . We collect those
terms for which qd is constant, say qd = m. Then q = mid and dim so
121
6: Modular forms with multiplicative coefficients
A = G~)
where, as usual, we identify each matrix with its negative.
We denote by r(n) the set of all transformations of order n. The modular
group r is r(l).
Two transformations Al and A z in r(n) are called equivalent, and we
write A I A z , if there is a transformation V in r such that
I'"V
Al = VAz·
The relation is obviously reflexive, symmetric, and transitive, and hence
I'"V
a b)
(o where d > O.
d'
122
6.8: Transformations of order n
v= (~ ~}
Then V E rand
VA = (p q) (a b) (pa + qc pb + qd).
r s c d = ra + sc rb + sd
Since ra + sc = 0 and det(VA) = det V det A = n we see that VA E r(n) so
VA ~ A. Hence V A or its negative is the required representative. D
(18)
where d runs through the positive divisors of n and, for each fixed d,
a = njd, and b runs through a complete residue system modulo d.
PROOF. Theorem 6.7 shows that every element in r(n) is equivalent to one
of the transformations in (18). Therefore we need only show that two such
transformations, say
At -
_(a0 1 b1 )
d and
l
V = (~ ~}
Then V Al = A z so Al ~ A z .
Conversely, if A 1 ~ A z there is an element
Note. The sum in (17) defining 1;, f can now be written in the form
1
(21) (1;,f)(7:) = - L ak f(A7:),
n A
where A runs through a complete set of nonequivalent elements in r(n) of
the form described in Theorem 6.8. The coefficient a k is the kth power of
the entry in the first row and first column of A.
Ai = (~ ~:) and
and that
d 1 d 2 1'1 d2
Y2 = - - = -Yl
n al
and
124
6.9: Behavior of ~f under the modular group
since at d t = n. Hence
atY2 = d 2Yt and
and we obtain
at(Y2 A 2 r + £5 2 ) = at Y2 A 2 r + at£5 2
125
6: Modular forms with multiplicative coefficients
The next theorem shows that each Hecke operator 1;. maps M k into M k
and also maps Mk,o into Mk,o.
1 1
{Tm(1;.(f))}(r)=- L rt k - L akf(BAr),
m IX ~ 1 , IXlJ = m n a ~ 1, ad = n
O~P<lJ O~b<d
where
126
6.10: Multiplicative property of Hecke operators
Theorem 6.13. Any two Hecke operators T(n) and T(m) defined on M k commute
with each other. Moreover, we have the composition formula
(28) T(m)T(n) = L dk- 1 T(mnjd 2 ).
dl(m,n)
PROOF. Commutativity follows from (28) since the right member is symmetric
in m and n. If (m, n) = 1 formula (28) reduces to (26). Therefore, to prove
(28) it suffices to treat the case when m and n are powers of the same prime p.
First we consider the case m = p and n = pr, where r ~ 1. In this case we
are to prove that
(29)
We use the representation in (17) and note that the divisors of pr have the
form pt where 0 ~ t ~ r. Hence we have
{T(p)T(pr)f} (r) = {T(pr+ 1 )f} (r) + p-l-r L p(r+ I-t)k f(pr-t~_~ ht).
1 :::;t:::;r P
O:::;bt<pt
127
6: Modular forms with multiplicative coefficients
(31)
for all r and all s ~ r. When r = 1, (31) follows for all s ~ 1 from (29).
Therefore we assume that (31) holds for r and all smaller powers and all
s ~ r, and prove it also holds for r + 1 and all s ~ r + 1.
By (29) we have
T(P) T(p') T(pS) = T(pr + 1) T(pS) + pk - 1T(pr - 1) T(pS),
and by the induction hypothesis we have
r
T(p)T(pr)T(ps) = L pt(k-l)T(p)T(pr+s-2t).
t=O
Equating the two expressions, solving for T(pr+ 1 )T(pS) and using (29) in the
sum on t we find
r ,
T(pr+ 1 )T(pS) = L pt(k-1)T(pr+s+ 1- 2t) + L p(t+ 1)(k-1)T(p,+s-1-2t)
t=O t=O
By the induction hypothesis the last term cancels the second sum over t
except for the term with t = r. Therefore
r
T(pr+1)T(pS) = Lpt(k-1)T(pr+s+1-2t) + p(r+1)(k-1)T(ps-1-r)
t=O
r+ 1
-= L pt(k-1)T(pr+1+s-2t).
t=O
This proves (31) by induction for all r and all s ~ r, and also completes the
proof of (28). D
128
6.11: Eigenfunctions of Hecke operators
where
(34) Yn(m) = ~
i..J dk-l C(mn)
d2 •
dl(n,m)
c(n)c(m) = L dk - lC(;~).
dl(n,m)
129
6: Modular forms with multiplicative coefficients
130
6.13: Examples of normalized simultaneous eigenforms
Theorem 6.16. Assume that.1' E M 2k, where k 2 2, and that f is not a cusp
form. Then f is a normalized simultaneous eigeYl:form (f, and only if,
(2k - I)!
(41) f(r) = 2(2ni)2k G2k(r).
PROOF. In the Fourier expansion (32) we have c(O) # 0 since f is not a cusp
form. The relation
(42) T" f == A(n)f
is equivalent to the relation
(43) Yn(m) == A(n)c(m)
obtained by equating coefficients of x m in the corresponding Fourier expan-
sions. When m == 0 this becomes
Yn(O) == A(n)c(O).
On the other hand, (35) implies Yn(O) = 0"2k-1(n)c(0) since f EM 2k. But
c(O) # 0, so Equation (42) holds if, and only if,
A(n) = 0"2k-1(n).
131
6: Modular forms with multiplicative coefficients
Note. Since
k+ 1 (2n)2k
((2k) = (-1) 2(2k)! B2k
x ~ Bk k
~1 = i..J -k'x,
e k=O •
the constant term in (44) is equal to -B 2k /(4k). (See [4J, Theorem 12.17.)
We can also write
Since the eigenvalue 2(n) in (42) is (J 2k _ 1 (n), Theorem 6.16 shows that the
divisor functions (Ja(n) satisfy the multiplicative property in Equation (4)
when (X = 2k - 1. Actually, they satisfy (4) for all real or complex (x, but
O'a(n) is the nth coefficient of an entire form only when (X is an odd integer ~ 3.
132
6.14: Remarks on existence of simultaneous eigenforms in M 2k,O
c(m)c(n) = L d2k-1C(~:)
dl(m,n)
for all m ~ 1, n ~ 1.
2k
[ 12
J- 1 if 2k == 2 (mod 12)
K=
2k
[ 12
J if 2k ¢ 2 (mod 12).
(J, g) = ff j(r)g(r)v 2k - 2 du dv
Rr
133
6: Modular forms with multiplicative coefficients
(46) 1
c(n) = -2.
nl
I
C(v)
f(r) dx =
---,,-:tT
x
II 0
f(u + lV)X,
·-n
duo
A = L Ic(n)le-(n-l)1t.
n=1
This implies
(47)
Now define
g( r) = -t Ir - r I = v
134
6.15: Estimates for the Fourier coefficients of entire forms
ifrEH. Then
g(Ar) = ler + dl- 2g(r)
Now
Note. For cusp forms, better estimates for the order of magnitude of the
c(n) have been obtained by Kloosterman, Salie, Davenport, Rankin, and
Selberg (see [46]). It has been shown that
c(n) = O(n k -(1/4)+C)
for every 8 > 0, and it has been conjectured that the exponent can be further
improved to k - ! + 8. For the discriminant ~, Ramanujan conjectured the
sharper estimate
Ir(p) I :::; 2p ll/2
(50) qJ(S) = f
n= 1
C(7)
n
formed with the same coefficients (except for c(O)). If f EM 2k then c(n) =
O(n k) iffis a cusp form, and c(n) = O(n 2k - 1 ) iffis not a cusp form. Therefore,
the Dirichlet series in (50) converges absolutely for (J = Re(s) > k + 1 if f is
a cusp form, and for (J > 2k if f is not a cusp form.
the Dirichlet series will have an Euler product representation of the form
1
(52) qJ(s) = n 1 -cpp
p
( ) -5 + P2k-l p -25'
PROOF. Since the coefficients are multiplicative we have (see [4], Theorem
11.7)
(53)
136
6.16: Modular forms and Dirichlet series
EXAMPLE. For the Ramanujan function we have the Euler product represen-
tation
00 r(n) 1
Jl -;:;s = I] 1 - r(p)p-S + pll-2s
Theorem 6.20. Let <p(s) be the function defined for (J > k by the Dirichlet
series (50) associated with a modular form f(r) in M k having the Fourier
series (49), where k is an even integer ~ 4. Then <p(s) can be continued
analytically beyond the line (J = k with the following properties:
(a) If c(O) = 0, <p(s) is an entire function of s.
(b) If c(O) i= 0, <p(s) is analytic for all s except for a simple pole at s = k '
with residue
( -1)k/2 c(0)(2n)k
r(k)
if (J > O. Therefore if (J > k we can multiply both members by c(n) and sum
on n to obtain
137
6: Modular forms with multiplicative coefficients
Although this last relation was proved under the assumption that (J > k, the
right member is meaningful for all complex s. This gives the analytic continua-
tion of qJ(s) beyond the line (J = k and also verifies (a) and (b). Moreover,
replacing s by k - s leaves the right member unchanged except for a factor
(_I)k/2 so we also obtain (c). D
Hecke also proved a converse to Theorem 6.20 to the effect that every
Dirichlet series qJ which satisfies a functional equation of the type in (c),
together with some analytic and growth conditions, necessarily arises from
a modular form in M k • For details, see [15].
138
Exercises for Chapter 6
2. If f and g are ex-multiplicative, prove that f +g is ex-multiplicative if, and only if,
f = 0 or g = O.
3. Let II' ... , fk be k distinct nonzero ex-multiplicative functions. If a linear combination
k
f = I Cih
i=1
is also ex-multiplicative, prove that:
(a) The functions II' ... , Ik are linearly independent.
(b) Either all the Ci are 0 or else exactly one of the Ci is 1 and the others are O. Hence
either f = 0 or f = h for some i. In other words, linear combinations of ex-
multiplicative functions are never ex-multiplicative except for trivial cases.
a(n)f(m) = I Jl(d)f(mnd)f(!!-).
din d
5. If f is multiplicative, prove that f is ex-multiplicative if, and only if,
(55)
for all primes p and all integers k ~ 1.
6. The recursion relation (55) shows that f(pn) is a polynomial in f(p), say
f(pn) = Qn(f(P)).
The sequence {Qn(x)} is determined by the relations
Z
Ql(X) = x, Q2(X) = X - ex(p), Qr+ l(X) = xQr(x) - ex(p)Qr-1(X) for r 2: 2.
Show that
Qi2ex(p)I/Z X) = a(p)"/z Un(x),
where U n(x) is the Chebyshev polynomial of the second kind, defined by the relations
U 1(x) = 2x, Uz(x) = 4x z - 1, U r+1(x) = 2xU r(x) - U r- 1(x) for r 2: 1.
7. Let £Zk(r) = tG zk (r)/((2k). If x = eZ1tit verify that the Fourier expansion of £Zk(r)
has the following form for k = 2, 3, 4, 5, 6, and 7:
00
00
£14(r) = 1 - 24 IO"I3(n)x n.
n=1
139
6: Modular forms with multiplicative coefficients
12. Prove that the products G4 G6 b are linearly independent, where a and b are non-
Q
13. Show that the Dirichlet series associated with the normalized modular form
where
and
Petersson conjectured that '1 and '2 are always complex conjugates. This
implies
and
When c(n) = r(n) this is the Ramanujan conjecture. The Petersson conjecture
was proved recently by Deligne [7].
140
Exercises for Chapter 6
(56) S
n- /
2rG}(s) = n(S-I)/ 2rC~ s)W - s)
:J(r) = 1 + 2 L errin2t.
n=l
(a) If (J > 1 prove that
(S)2 2
n -S/2 r -n -s = foo e -rrn x x s/2- 1 dx
0
for (J > 1.
(c) Show that the equation in (b) gives the analytic continuation of ((s) beyond the
line (J = 1 and that it also implies the functional equation (56).
141
Kronecker's theorem
with applications
142
7.2: Dirichlet's approximation theorem
Given a real number fJ and given e > 0, are there integers hand k such that
IkfJ - hi < e?
The following theorem of Dirichlet answers this question in the affirma-
tive.
PROOF. Let {x} = x - [x] denote the fractional part of x. Consider the
N + 1 real numbers
0, {fJ}, {2fJ}, ... , {NfJ}.
All these numbers lie in the half open unit interval 0 ~ {mfJ} < 1. Now
divide the unit interval into N equal half-open subintervals of length liN.
Then some subinterval must contain at least two of these fractional parts,
say {afJ} and {bfJ}, where 0 ~ a < b ~ N. Hence we can write
1
(2) I{bfJ} - {afJ} I < N·
But
{bfJ} - {afJ} = bfJ - [bfJ] - afJ + [afJ] = (b - a)fJ - ([bfJ] - [afJ]).
Therefore if we let
k=b-a and h = [bfJ] - [afJ]
inequality (2) becomes
1
IkfJ - hi < N' with 0 < k ~ N.
Theorem 7.2. Given any real fJ and any positive integer N, there exist relatively
prime integers hand k with 0 < k ~ N such that
1
IkfJ - hi < N·
143
7: Kronecker's theorem with applications
PROOF. By Theorem 7.1 there is a pair h', k' with 0 < k' ~ N satisfying
h'l
IfJ - k
(3) 1
< Nk'·
Let d = (h', k'). If d = 1 there is nothing to prove. If d > 1 write h' = hd,
k' = kd, where (h, k) = 1 and k < k' ~ N. Then 11k' < 11k and (3) becomes
Now we restate the result in a slightly weaker form which does not involve
the integer N.
Theorem 7.3. For every real fJ there exist integers hand k with k > 0 and
(h, k) = 1 such that
Theorem 7.4. If fJ is real, let S( fJ) denote the set of all ordered pairs of integers
(h, k) with k > 0 and (h, k) = 1 such that
Ie - ~I < :2'
Then S( fJ) has the following properties:
(a) S(fJ) is nonempty.
(b) If fJ is irrational, S(fJ) is an infinite set.
(c) When S(fJ) is infinite it contains pairs (h, k) with k arbitrarily large.
(d) If fJ is rational, S(fJ) is a finite set.
PROOF. Part (a) is merely a restatement of Theorem 7.3. To prove (b), assume
() is irrational and assume also that S(fJ) is finite. We shall obtain a contra-
diction. Let
.
a = mIn
(h, k) E 5(6)
IfJ - hi
- .
k
Since fJ is irrational, a is positive. Choose any integer N > 11a, for example,
N = 1 + [l/a]. Then liN < a. Applying Theorem 7.2 with this N we obtain
a pair of integers hand k with (h, k) = 1 and 0 < k ~ N such that
144
7.2: Dirichlet's approximation theorem
Now l/(kN) ~ 1/k 2 so the pair (h, k) E S(fJ). But we also have
1 1
-<-<~ so
kN- N '
contradicting the definition of~. This shows that S( fJ) cannot be finite if fJ is
irrational.
To prove (c) assume that all pairs (h, k) in S(fJ) have k ~ M for some M.
We will show that this leads to a contradiction by showing that the number
of choices for h is also bounded. If (h, k) E S(fJ) we have
1
IkfJ - hi < k~ 1,
so
Ihi = Ih - kfJ + kfJ I ~ Ih - kfJ I + IkfJ I < 1 + IkfJ I ~ 1 + M IfJ I·
Therefore the number of choices for h is bounded, contradicting the fact that
S( fJ) is infinite.
To prove (d), assume fJ is rational, say fJ = alb, where (a, b) = 1 and b > o.
Then the pair (a, b) E S(fJ) because fJ - alb = O. Now we assume that S(fJ)
is an infinite set and obtain a contradiction. If S(fJ) is infinite then by part (c)
there is a pair (h, k) in S(fJ) with k > b. For this pair we have
Theorem 7.4 shows that a real number fJ is irrational if, and only if,
there are infinitely many rational numbers h/k with (h, k) = 1 and k > 0
such that
Ie - ~I < :2'
This inequality can be improved. It is easy to show that the numerator 1
can be replaced by ! (see Exercise 7.4). Hurwitz replaced by a smaller t
constant. He proved that fJ is irrational if, and only if, there exist infinitely
many rational numbers h/k with (h, k) = 1 and k > 0 such that
Moreover, the result is false if 1/.)5 is replaced by any smaller constant. (See
Exercise 7.5.) We shall not prove Hurwitz's theorem. Instead, we prove a
theorem of Liouville which shows that the denominator k 2 cannot be re-
placed by k 3 or any higher power.
145
7: Kronecker's theorem with applications
(4)
IfJ - ~I > k
C(fJ)
kn '
f(x) = L arxr,
r=O
where f(x) is irreducible over the rational field. Since f(x) is irreducible it
has no rational roots so f(hlk) =1= 0 for every rational hlk.
Now we use the mean value theorem of differential calculus to write
f (k
h) = r
n (h)r
~oQ r k =
N
k"
where N is a nonzero integer. Therefore
(6)
which is the required lower bound. To get an upper bound for If'(~) I we let
If d > 1 then (4) holds with C(fJ) = 1, so we can assume that d < 1. (We
cannot have d = 1 since fJ is irrational.) Since ~ lies between fJ and hlk and
d < 1 we have I~ - fJ I < 1 so
I~I = IfJ + ~ - fJl ~ IfJl + I~ - fJl < IfJl + 1.
Hence
If'(~) I ~ A(fJ) < 1 + A(fJ),
where A(fJ) denote the maximum value of I f'(x) I in the interval Ix I ~ IfJ I + 1.
Using this upper bound for If'(~) I in (5) together with the lower bound in (6)
we obtain (4) with C(fJ) = 1/(1 + A(fJ)). D
146
7.3: Liouville's approximation theorem
() = L
m=1
10m!
Then we have
hr 00 1 1 00 1
o < () - k = L 10m!
r m=r+l
~ 10(r+l)! m=O
L 10m
10/9 1 10/9 1
=---=---<-
10(r+ I)! k/ lor! k/
so (7) is satisfied.
147
7: Kronecker's theorem with applications
Theorem 7.7. IffJ is a given irrational number the sequence of numbers {nfJ}
°
is dense in the unit interval. That is, given any r:J., ~ rx ~ 1, and given any
e > 0, there exists a positive integer k such that
r {kfJ} - rxl < e.
Hence, ifh = [kfJ] we have IkfJ - h - rxl < e.
Note. This shows that the linear form fJx + y can be made arbitrarily
close to r:J. by a suitable choice of integers x and y.
PROOF. First we note that {nfJ} =1= {mfJ} if m =1= n because fJ is irrational.
Also, there is no loss of generality if we assume 0 < fJ < 1 since nfJ =
n[fJ] + n{fJ} and {nfJ} = {n{fJ}}.
Let e > 0 be given and choose any r:J., 0 ~ rx ~ 1. By Dirichlet's approxima-
tion theorem there exist integers hand k such that IkfJ - hi < e. Now
either kfJ > h or kfJ < h. Suppose that kfJ > h, so that 0 < {kfJ} < e. (The
argument is similar if kfJ < h.) Now consider the following subsequence of
the given sequence {nfJ}:
{kfJ}, {2kfJ}, {3kfJ}, ....
We will show that the early terms of this sequence are increasing. We have
kfJ = [kfJ] + {kfJ}, so mkfJ = m[kfJ] + m{kfJ}.
Hence
Now choose the largest integer N which satisfies {kO} < liN. Then we have
1 1
N + 1 < {kO} < N'
Therefore {mkO} = m{kO} for m = 1, 2, , N, so the N numbers
{kO}, {2kO}, , {NkO}
form an increasing equally-spaced chain running from left to right in the
interval (0, 1). The last member of this chain (by the definition of N) satisfies
the inequality
N
- - 1 < {NkO} < 1,
N+
or
1
1- N +1< {NkO} < 1.
Thus {NkO} differs from 1 by less than 1/(N + 1) < {kO} < G. Therefore the
first N members of the subsequence {nkO} subdivide the unit interval into
subintervals of length < e. Since rx lies in one of these subintervals, the
theorem is proved. 0
Theorem 7.8. Given an)' real rx, any irrational 8.. and an)' f. > 0.. there exist
integers hand k with k > 0 such that
I kO - h - rxl < e.
PROOF. Write rx = [rx] + {rx}. By Theorem 7.7 there exists k > 0 such that
I{kO} - {rx} I < e. Hence
IkO - [kO] - (rx - [rxJ) 1< e
or
IkO - ([kO] - [rxJ) - rxl < e.
Now take h = [kO] - [rx] to complete the proof. o
7.5 Extension of Kronecker's theorem to
simultaneous approximation
We turn now to a problem of simultaneous approximation. Given n irrational
numbers 0b O2 , ••• , On' and n real numbers rxb rx2' ... , rx n, and given e > 0,
we seek integers hI' h 2 , ••• , hn and k such that
IkO i - hi - rxd < e for i = 1,2, ... , n.
149
7: Kronecker's theorem with applications
It turns out that this problem cannot always be solved as stated. For example,
suppose we start with two irrational numbers, say e i and 2e b and two real
numbers ~I and ~2, and suppose there exist integers h b h 2 and k such that
Ike 1 - hI - ~1 I < 8
and
12ke i - h2 - ~21 < 8.
Multiply the first inequality by 2 and subtract from the second to obtain
12h I - h2 + 2~1 - ~21 < 38.
Since 8, ~I and ~2 are arbitrary and h b h2 are integers, this inequality cannot
in general be satisfied. The difficulty with this example is that e i and 2e I are
linearly dependent and we were able to eliminate ei from the two inequalities.
Kronecker showed that the problem of simultaneous approximation can
always be solved if e 1, . . . , en are linearly independent over the integers;
that is, if
n
L Ciei = 0
i= 1
Theorem 7.9 (First form of Kronecker's theorem). If ~I' ••• , ~n are arbitrary
real numbers, if e b . . . , en are linearly independent real numbers, and if
8 > 0 is arbitrary, then there exists a real number t and integers h b . . . , hn
such that
Ite i - hi - ~d < 8 for i = 1, 2, ... ,n.
Lemma 1. Let {An} be a sequence of distinct real numbers. For each real t
and arbitrary complex numbers Co, ... , eN define
N
f(t) = L creitAr.
r=O
150
7.5: Extension of Kronecker's theorem to simultaneous approximation
Hence
151
7: Kronecker's theorem with applications
(We can also assume that G ::::; n/4 because if (a) is false for G it is also false for
every smaller G.) Let X r = tOr - rt r - hr. Then (9) implies 12nxkl :2:: Gso the
point 1 + e21tixk lies on the circle of radius 1 about 1 but outside the shaded
sector shown in Figure 7.1.
Figure 7.1
::::; (2 - b) + (n - 1) = n + 1 - b.
Since this is true for all t we must have L ::::; n + 1- b < n + 1, contra-
dicting (b). D
and write
(10) g p = 1 + "1..J arl, ... ,r x 1 rl
l1
..• X n r l1 ,
152
7.5: Extension of Kronecker's theorem to sin\ultaneous approximation
where p is a positive integer. Then the coefficients art ..... r" are positive
integers such that
(11) 1 + L art ..... r,1 =
+ n)P, (1
and the number of terms in (10) is at most (p + l)n.
PROOF. Since 1 + L art ..... r" = gP(I, 1, ... , 1) = (1 + n)P this proves (11).
Let 1 + N be the number of terms in (10). We shall prove that
(12) 1 + N ~ (p + It
by induction on n. For n = 1 we have
so if there are at most (p + 1t - 1 terms in each group on the right there will
be at most (p + l)n terms altogether. This proves (12) by induction. D
PROOF OF KRONECKER'S THEOREM. Choosing F(t) as in Lemma 2 we have
n
F(t) = 1 + L e21ti(tOr-cxr).
r =: 1
By Lemma 1 we have
(15) C
r
= lim -1 f.T FP(t)e-lt).r
. dt.
T~oo T 0
153
7: Kronecker's theorem with applications
I ~ L T
U dt = U.
IOg(n 1 1
) :::;; ~ log(p + 1).
Now let p ---+ 00. The last inequality becomes log[(n + 1)/L] ~ 0, so L 2
n + 1. But L ~ n + 1 hence L = n + 1, and this proves Kronecker's
theorem. []
and
(16)
The last inequality shows that t is nearly equal to the integer hn + 1. Take
k = hn + 1 • Then (16) implies
Ik{OJ - hi - Ctd = It{OJ - hi - Ct i + (k - t){OJI
~ It{ OJ - hi - Ctd + Ik - t I < £.
154
7.6: Applications to the Riemann zeta function
where the infimum and supremum are taken over all real t.
PROOF. For (J > 1 we have I'((J + it)l ~ '((J) so M((J) = '((J), the supremum
being attained on the real axis. To obtain the result for m((J) we estimate the
reciprocal 11/ ((s) I. For (J > 1 we have
(17) 1_1
(s)
1- nil -
- p p
-si -< n (1 + P -a) --
p
'((J)
(20")'
155
7: Kronecker's theorem with applications
Choose any c, 0 < c < nf2, and choose any integer n ~ 1. We apply
Kronecker's theorem to the numbers
-1
Ok = 2;" log Pk' k = 1,2, ... , n,
where Pl' ... , Pn are the first n primes. The Oi are linearly independent
because
n
fI
Ik=n+l
11 - Pk -'I - 11 < c
or
n 11 -
00
Letting n -+ 00 we find
1
-(-) ~ (1 - c)
m (J
00
k= 1
n(1 + Pk -(1 cos c).
We will show in a moment that the last product converges uniformly for
o:: ;
c :::;; n/2. Therefore we can let c -+ 0 and pass to the limit term by term
to obtain
1 00 '((J)
-(1
m(O") ~ }]I
(1 + Pk ) = ((20")'
convergence is uniform in the interval 0 :::;; c :::;; n/2, and the proof is complete.
D
7.7 Applications to periodic functions
We say that n complex numbers Wl' W 2 , ••• , W n are linearly independent
over the integers if no linear combination
alw l + a2 W2 + ... + an(Qn
with integers coefficients is 0 except when a l = a2 = ... = an = O. Other-
wise the numbers Wl' .. , W n are called linearly dependent over the integers.
Elliptic functions are meromorphic functions with two linearly indepen-
dent periods. In this section we use Kronecker's theorem to show that there
are no meromorphic functions with three linearly independent periods
except for constant functions.
Theorem 7.12. Let W l and W2 be periods off such that the ratio W2/Wl is
real and irrational. Then f has arbitrarily small nonzero periods. That is,
given c > 0 there is a period W such that 0 < IWI < c.
PROOF. We apply Dirichlet's approximation theorem. Let () = W 2 /W l '
Since () is irrational, given any c > 0 there exist integers hand k with k > 0
such that
c
1kO - hi < 1WI I'
157
7: Kronecker's theorem with applications
Multiplying by I w 1 1 we find
IkW2 - hw 1 I < c.
But w = kW 2 - hW 1 is a period of f with Iwl < c. Also, w =I- 0 since w21w 1
is irrational. 0
Theorem 7.13. Iff has three periods W1 , W2, W3 which are linearly independent
over the integers, then f has arbitrarily small nonzero periods.
PROOF. Suppose first that w21w 1 is real. If w 21w 1 is rational then W1 and
W2 are linearly dependent over the integers, hence W b W2 , W3 are also depen-
dent, contradicting the hypothesis. If W2 IW I is irrational, thenfhas arbitrarily
small nonzero periods by Theorem 7.12.
Now suppose w21w 1 is not real. Geometrically, this means that W1 and
W2 are not collinear with the origin. Hence W3 can be expressed as a linear
combination of W1 and W2 with real coefficients, say
W 3 = ~W1 + pw 2 , where ~ and p are real.
Now we consider three cases:
(a) Both ~ and p rational.
(b) One of ~, p rational, the other irrational.
(c) Both ~ and p irrational.
Case (a) implies w 1 , W2 , W3 are dependent over the integers, contradicting
the hypothesis.
For case (b), assume ~ is rational, say ~ = alb, and {3 is irrational. Then
we have
so
This gives us two periods bW 3 - aWl and bW2 with irrational ratio, hence f
has arbitrarily small periods. The same argument works, of course, if p is
rational and ~ is irrational.
Now consider case (c), both ~ and p irrational. Here we consider two
subcases.
(c l ) Assume ~ and p are linearly dependent over the integers. Then
there exist integers a and b, not both zero, such that a~ + bP = O. By sym-
metry, we can assume that b =I- O. Then p = -a~/b and
a
W3 = ~WI - b~wz, so bW 3 = ~(bWI - awz)·
Again we have two periods bW3 and bW I - aW2 with irrational ratio, so f
has arbitrarily small nonzero periods.
(cz) Assume ~ and p are linearly independent over the integers. Then by
Kronecker's theorem, given any c > 0 there exist integers h b h2 and k
158
Exercises for Chapter 7
such that
G
Ikf3 - h2 < 1 1+ IW l I + IW 2 "
Multiply these inequalities by Iwll, Iw 2 1, respectively, to get
l
IklXW 1 - hI WI I < 1 + IWGlw
l
I +' IW 2 I'
Since kW 3 = krJ.w l + kf3W2 we find, by the triangle inequality,
G(lwll + Iw 2 1)
Ikw3-hlWl-h2W21<1
+ IWt I + IW2 ,<G.
Thus kW3 - hlw l - h2w2 is a nonzero period with modulus <G. D
1
Ik8 i - hi I < N for i = 1, 2, ... , n.
2. (a) Given n real numbers 8 1 " .• ,8n , prove that there exist integers h l , . . . , hn and
k > 0 such that
I
8i - ih'l < k 1l + l/n for i = 1,2, ... , n.
(b) If at least one of the 8i is irrational, prove that there is an infinite set of n-tuples
(hl/k, ... , hn/k) satisfying the inequalities in (a).
i = 1,2, ... , m,
in n + m variables Xl' ... , X n, Yl, ... ,Ym, prove that for each integer N > 1 there
exists integers Xl' ... , X n, Yl" .. , Ym such that
1
IL i I < N for i = 1, 2, ... , m
159
7: Kronecker's theorem with applications
and 0 < max{ lXII, ... , Ixn !} ~ N m / n• Hint: Let M j = aj1Xl + ... + ajnXn and
examine the points ({MIL ... , {M m }) in the unit cube in m-space, where {M j } =
M j - [M j ].
4. Let {} be irrational, 0 < () < 1. Then () lies between two consecutive Farey fractions,
say
~ < () <~.
b d
2
(a) Prove that either 0 - a/b < 1/(2b ) or c/d - () < 1/(2d 2 ).
(b) Deduce that there exist infinitely many fractions h/k with (h, k) = 1 and k > 0
such that
.
1
()_~1<_1
k 2k 2
(20)
has only a finite number of solutions in integers hand k with k > 0 if 0 < c < 1/)5.
(a) Let f3 = C/.. - )5 so that a and f3 are roots of the equation x 2 - x - I = O.
Show that for any integers hand k with k > 0 we have
(b) If (20) has infinitely many solutions h/k with k > 0, say h l/k l ' h2/k - , ... , show that
kn -+ X'; as n -+ x and use part (a) to prove that c :2: 1/)5.
6. In Lemma 2, define
L = lim sup IF(t) I instead of L = sup IF(t) I.
t~ + oc -oo<t<oo
160
General Dirichlet series and
Bohr's equivalence theorem
8.1 Introduction
This chapter treats a class of series, called general Dirichlet series, which
includes both power series and ordinary Dirichlet series as special cases.
Most of the chapter is devoted to a method developed by Harald Bohr [6]
in 1919 for studying the set of values taken by Dirichlet series in a half-plane.
Bohr introduced an equivalence relation among Dirichlet series and showed
that equivalent Dirichlet series take the same set of values in certain half-
planes. The theory uses Kronecker's approximation theorem discussed in
the previous chapter. At the end of the chapter applications are given to the
Riemann zeta function and to Dirichlet L-functions.
L a(n)e-SA(n)
n=l
is called a general Dirichlet series. The numbers A(n) are called the
exponents of the series, and the numbers a(n) are called its coefficients.
Note. When A(n) = log n then e-SA(n) = n- S and we obtain the ordinary
Dirichlet series L a(n)n- s • When A(n) = n the series becomes a power series
in x, where x = e- S •
161
8: General Dirichlet series and Bohr's equivalence theorem
prove the existence of (Jc and (Ja. Instead we give a different method of proof
which also expresses (Jc and (Ja in terms of the exponents A(n) and the
coefficients a(n).
Theorem 8.1. Assume that the series L a(n)e-SA(n) converges for some s with
positive real part, say for s = So with (Jo > O. Let
-I. logIL~=la(k)1
L - 1m sup '( ) .
n-oo An
Then L ::; (J 0 • Moreover, the series converges in the half-plane (J > L, and
the convergence is uniform on every compact subset of the half-plane
(J > L.
PROOF. First we prove that L ::; (J o. Let A(n) denote the partial sums of the
coefficients,
n
A(n) = L a(k).
k=l
Note that A(n) > 0 for all sufficiently large n. If we prove that for every
e > 0 we have
(1) logIA(n)1 < ((Jo + e)A(n)
for all sufficiently large n, then it follows that
logIA(n)1
A(n) < (Jo +e
for these n, so L ::; (Jo + e, hence L ::; (Jo. Now relation (1) is equivalent to the
inequality
(2)
162
8.2: The half-plane of convergence of general Dirichlet series
that IS(n) I < M for all n. To express A(n) in terms of the S(n) we use partial
summation:
n n
A(n) = L a(k) = L a(k)e-SOA(k)eSOA(k)
k=1 k=1
n
= L {S(k) - S(k - 1)}eSoA (k),
k=1
provided 8(0) = O. Thus
n n-l
A(n) = L S(k)eSOA(k) - L S(k)eSOA(k+ 1)
k=1 k=1
n-l
= L S(k) {esoA(k) - esoA(k+ 1)} + S(n)eSOA(n).
k=1
Hence
n-l
IA(n)1 < M L leSOA(k) - eSOA (k+1)1 + Me(]OA(n).
k=1
But
1
n-l jA(k+1) Sou n-l jA(k+1)
L IesoA(k) - esoA(k+ 1) I = L
n- 1
So e du
I
~ ISo I L e(]OU du
k= 1 k= 1 A(k) k= 1 A(k)
Thus
Now A(n) ~ 00 as n ~ 00 so
163
8: General Dirichlet series and Bohr's equivalence theorem
This relation holds for any choice of s, a and b. Now suppose s is any complex
number with (J > L. Let e = !«(J - L). Then e > 0 and (J = L + 2e. By the
definition of L, for this e there is an integer N(e) such that for all n ~ N(e)
we have
logl A(n) I
A(n) < L + e.
The last two terms are e- fA (b+1) + e-fA(a) since L +e- (J = -c. Now we
estimate the sum by writing
so
b fA(n+ 1) b fA(n+ 1)
~ lsi L e-aUe(L+f)U du = lsi L e-
fU
du
n=a A(n) n=a A(n)
A(b+ 1) II
= lsi e-fudu = ~(e-fA(a) - e- fA (b+l»).
f A(a) e
Thus we have
In=a
t a(n)e-SA(n) I ::s; ~ (e-·A(a) -
e
e-'A(b+ 0) + e-'A(b+ 1) + e-·A(a).
164
8.2: The half-plane of convergence of general Dirichlet series
Each term on the right tends to 0 as a -+ 00, so the Cauchy criterion shows
that the series converges for all s with (J > L. This completes the proof.
Note also that this proves uniform convergence on any compact subset of
the half-plane (J > L. D
Theorem 8.2. Assume the series La(n)e-SA(n) convergesfor some s with (J >0
but diverges for all s with (J < o. Then the number
_ 1· log IL~= 1 a(k) I
L - 1m sup
n-oo
'( )
A n
the series converges for some s with real part (J. The set S is nonempty and
bounded below. Let (Jc be the greatest lower bound of S. Then (Jc > 0, Each
(J in S satisfies L :::; (J hence L :::; (Jc. If we had (Jc > L there would be a (J in
the interval L < (J < (Jc. For this (J we would also have convergence for all
s with real part (J (by Theorem 8.1) contradicting the definition of (J c. Hence
(J c = L. But the definition of (Jc shows that the series diverges for all s with
o :::; (J < L. By hypothesis it also diverges for all s with (J < O. Hence it
diverges for all s with (J < L. This completes the proof. D
As a corollary we have:
Theorem 8.3. Assume the series L a(n)e-SA(n) converges absolutely for some s
with (J > 0 but diverges for all s with (J < o. Then the number
165
8: General Dirichlet series and Bohr's equivalence theorem
A(n) = L rn,kf3(k)
k=1
where the r n, k are rational and the number of summands q(n) depends
on n. (By condition (a), if A(n) i= 0 this representation is unique.)
(c) Each f3(n) is expressible as a finite linear combination of terms of A,
say
m(n)
f3(n) = L tn,kA(k)
k=1
EXAMPLE 1. Let A be the set of all rational numbers. Then B = {I} is a basis.
EXAMPLE 2. Let A = {log n}. Then B = {log Pn} is a basis, where Pn is the
nth prime. It is easy to verify properties (a), (b) and (c). For independence
we note that
q
L rk log Pk = 0
k=l
implies rl = ... = rq = O.
To express each A(n) in terms of the basis elements we factor n and compute
log n as a linear combination of the logarithms of its prime factors. Property
(c) is trivially satisfied since B is a subsequence of A.
166
8.4: Bohr matrices
Theorem 8.5. If A has two bases Band r, then there exists a Bohr matrix
A such that r = AB.
PROOF. There exist Bohr matrices Rand T such that r = TA and A = RB.
Hence r = T(RB) = (TR)B = AB where A = TR. D
167
8: General Dirichlet series and Bohr's equivalence theorem
Theorem 8.6. Let Band r be two bases for A, and write r = AB, A = RBB,
A = Rrr, where A, R B, R r ar~ Bohr matrices. Then R B = RrA.
Note. If we write AlB for R B, Air for R r and riB for A, this last equation
states that
Definition. The Bohr function F(Z) = F(z b Z 2' ...) associated with f(s),
relative to the basis B, is the series
00
F(Z) = L a(n)e-(RZ)n,
n=l
where (RZ)n denotes the nth entry of the column matrix RZ.
In other words, if
q(n)
A(n) = L rn,kp(k)
k=l
then
00
In other words, the Dirichlet series f(s) arises from F(Z) by a special choice
of the variables Z b Z 2, .... Therefore, if the Dirichlet series f(s) converges
for s = (J + it the associated Bohr series F(Z) also converges when Z = sB.
168
8.5: The Bohr function associated with a Dirichlet series
F B(Z) = L a(n)e-(RBZ)n.
n=l
Bohr functions F Band F r corresponding to different bases are related by
the following theorem.
Theorem 8.7. Let Band r be two bases for A and write r = AB for some
Bohr matrix A. Then
The next theorem shows that this set is independent of the basis B.
Theorem 8.8. rr Band r are two bases for A then Uf( a; B) = Uf(a; r).
PROOF. Choose any value F B(Z) in Uf(a; B), so that Re Z = aB. By Theorem
8.7 we have F B(Z) = F r(AZ), where r = AB. But
Definition. If the Dirichlet series f(s) = L:= 1 a(n)e - sA(n) converges absolutely
for a = 0'0 we let
V/(ao) = {f(ao + it): -00 < t < +oo}
denote the set of values taken by f(s) on the line a = 0'0.
Since f(s) can be obtained from its Bohr function F(Z) by putting Z = aB,
it follows that V/(ao) ~ U /(0'0). Now we prove an inclusion relation in the
other direction. r
Theorem 8.9. Assume 0'0 > a a' where a a is the abscissa ofabsolute convergence
of a Dirichlet series f(s). Then the closure of V/(ao) contains U /(0'0). That
is, we have
say. Therefore
00
u= L a(n)e-aoA(n)e-iJln.
n=l
170
8.6: The set of values taken by a Dirichlet series I(s) on a line (J = (Jo
hence
00
The idea of the proof from here on is as follows: First we split the sum into
two parts, I~ 1 + = I:=N + l' We choose N so the second part N + 1 is I:=
small, say its absolute value is < !8. This is possible by absolute convergence.
Then we show that the first part can be made small by choosing t properly.
The idea is to choose t to make every exponential e - itA,(n) very close to e - iJln
simultaneously for every n = 1,2., ... ., N. Then each factor e-iti.(n) - e- iJln
will be small, and since there are only N terms., the whole sum will be small.
Now we discuss the details. For the given 8, choose N so that
This holds for any choice of t. We wish to choose t to make the first sum
<!8. Since IeitA,(n) I = 1 we can rewrite the sum in question as follows:
IntI a(n)e-ao;'(n)(e- it;'(n) - e- i ll n ) =I IntI e- it;'(n)a(n)e-ao;'(n)(l - ei(t;'/Jl-Iln») I
N
~ I I I
a(n) e-UQA,(n) lei(tA,(n)-Jln) - 11.
n=1
Let M = 1 + I~=1 /a(n)/e-UQA,(n). For the given 8 there is a <5 > 0 such
that
where IX n I < <5 for n = 1, 2, ... , N. Then for this t we would have
171
8: General Dirichlet series and Bohr's equivalence theorem
and hence
n= I 2M n= I 2
Thus, the proof will be complete if we can find t and integers k l , ... , k N to
satisfy (4). If the A(n) were linearly independent over the integers we could
apply Kronecker's theorem to A(I), ... A(N) and obtain (4). However the
A(n) are not necessarily independent so instead we apply Kronecker's
theorem to the following system:
f) b f) 2 , . . . , f) Q ' a b a 2, . . . , aQ'
where
f) = {3(n) Yn
n 2nD' an = 2nD·
The {3(n) are the elements of the basis B used to define F(Z), and the Yn are
the imaginary parts of the numbers Zn which determine u. The integers Q and
D are determined as follows. We express A in terms of B by writing
A(n) = rn, 1{3(I) + + rn,q(n){3(q(n)).
Then Q is the largest of the integers q(I), , q(N), and D is the least common
multiple of the denominators of the rational numbers ri, j that arise from the
A(n) appearing in the sum. There are at most q(l) + ... + q(N) such numbers
ri, j. The numbers f)n are linearly independent over the integers because B
is a basis.
By Kronecker's theorem a real t and integers hI, ... , hQ exist such that
b
Itf)k - ak - hkI < 2nDA '
where
N q(n)
A = L L Irn,jl.
n=1 j=l
b
It{3(k) - Yk - 2nDh k l < A·
Therefore t{3(k) - Yk = 2nDh k + bk, where Ibkl < b/A. Now we can write
q(n) q(n)
172
8.7: Equivalence of general Dirichlet series
where k n is an integer and Ixnl < (bjA) LJ~)1 Irn,jl < b. But this means we
have found a real t and integers kJ, ... , k N to satisfy (4), so the proof is
complete. D
Definition. We say the two series are equivalent, relative to the basis B, and
we write
W 00
L a(n)e-s).(n) "" L b(n)e-s).(n)
n=1 n=1
if there exists a finite or infinite sequence of real numbers Y = {Yn} such
that
b(n) = a(n)e ixn
where X = {x n } = R Y.
).(n) = L r n ,kf3(k),
k=1
equivalence means that for some sequence {Yn} we have
q(n) )
b(n) = a(n) exp ( ik'f/n,kYk '
Theorem 8.10. Two equivalent Dirichlet series have the same abscissa of
absolute convergence. Moreover, the relation "" just defned is independent
of the basis B.
PROOF. Equivalence implies Ib(n) I = la(n)1 so the series have the same
abscissa of absolute convergence.
Now let Band r be two bases for A, and assume that two series are equiv-
alent with respect to B. We will show that they are also equivalent with
respect to r.
Write A = RBB. Then there is a sequence Y = {Yn} such that b(n) =
a(n)e ixn , where X = {x n } = R B Y. Now write A = Rrr. If we show that for
some sequence V = {v n } we have X = R r V then the two series will be
equivalent relative to r. The sequence
V = AY
173
8: General Dirichlet series and Bohr's equivalence theorem
has this property, where A is the Bohr matrix such that r = AB. In fact,
we have R r V = RrA Y = R B Y = X, since RrA = R B . This completes the
proof. D
are equivalent if, and only ~f, there exists a completely multiplicative function
f such that
(a) b(n) = a(n)f(n) for all n ~ 1, and
°
(b) I f(P)1 = 1 whenever a(n) i= and p is a prime divisor ofn.
PROOF. For ordinary Dirichlet series the sequence of exponents A = {A(n)}
is {log n} and for a basis we may use the sequence B = {log Pn}, where Pn
denotes the nth prime. In fact, if we use the prime-power decomposition
(5) n= n
k=l
00
pkan,k
so the integer powers may be used as entries in the Bohr matrix R B for which
A = RBB. In the sum and product only a finite number of the an,k are
nonzero.
We note that, because of the fundamental theorem of arithmetic, the
numbers an, k defined by (5) have the property
(6)
174
8.8: Equivalence of ordinary Dirichlet series
Now let A(s) = L a(n)n- S , B(s) = I b(n)n- S • Suppose that A(s) '" B(s).
Then there exists a real sequence {Yk} such that
where the integers an, k are determined by equation (5). Define a function f
by the equation
Property (6) implies that f(mn) = f(m)f(n) for all m and n, so f is completely
multiplicative. Equation (7) states that b(n) = a(n)f(n), and the definition of
f shows that I f(n) I = 1 for all n, so conditions (a) and (b) of the theorem are
satisfied.
Now we prove the converse. Assume there exists a completely multi-
plicative function f satisfying conditions (a) and (b). We must show that
there is a real sequence {Yk} satisfying (7) for all n. First we consider those n
for which a(n) = O. Property (a) implies b(n) = 0, so equation (7) holds for
such n since both sides are zero no matter how we choose the real numbers
Yk. We shall now construct the sequence {Yk} so that equation (7) also holds
for those n for which a(n) =1= O.
Assume, then, that n is such that a(n) =1= O. We use the prime-power
decomposition (5) and the completely multiplicative property of f to write
n g(n, k),
00
(8) f(n) =
k=l
where
where Yk = argf(Pk)· The real numbers Yk have been defined for those k such
that the prime Pk divides some n with a(n) =1= O. For the remaining k (if any)
we define Yk = o. Thus, Yk is well-defined for every integer k ~ 1 and we
have
g(n, k) = exp(ia n , kYk)
for every k ~ 1. Equation (8) now becomes
This, together with property (a), shows that (7) holds for those n for which
a(n) i= O. Thus, (7) holds for all n so A(s) '" B(s). This completes the proof of
the theorem. D
q(n) }
b(n) = a(n) exp{ -ik~/n.kYk .
and
ex; {q(n)}
G(Zt,Z2"")=n~tb(n)exp -k~/n.kZk'
G(Zt, Z2"") = n~1 a(n) exp { - k~>n.k(Zk + iYk)} = F(zl + iYI' Z2 + iY2'" .).
Since the real part of Zn + iYn is the real part of Zn, both series take the same
set of values on the lines X n = (Jo f3(n). Hence Uf((JO) = Ug((Jo), as asserted.
D
176
8.10: The set of values taken by a Dirichlet series in a neighborhood of the line (J = (J 0
That is, Wf(O"o; £5) is the set of values taken by f(s) in the strip
0"0 - £5 < 0" < 0"0 + £5.
Also, if 0"0 > 0"a we define
Wf(O"o) = n
o <c5<Q'o-Q'a
Wf(O"o; b).
Thus, Wf(O" 0) is the intersection of the sets of values taken by f(s) in all
such strips.
It is clear that Vf(O" 0) S; Wf(O" 0) since every value taken by f(s) on the line
0" =
0"0 is also taken in every strip containing this line. Of course, it may
happen that Vf(O"o) = Wf(O"o) or that Vf(O"o) =1= Wf(O"o).
In general, we have:
f'(s) = - L a(n)A(n)e-SA(n).
n=l
177
8: General Dirichlet series and Bohr's equivalence theorem
If'(s)1 s L la(n)le-tro'A(n). K
n=1
for some K, which shows that I f'(s) I is uniformly bounded in the region
(J ~ (Jo'. Let (Jo' = (Jo - 11no and let M be an upper bound for I f'(s) I in the
region (J ~ (Jo'. Then
Iw - f((1o + itn) I = I f((1n + itn) - f((1o + itn) I = If:" 1'((1 + itn) d(1!
M
S MI(Jn - (Jol s-
n
First of all, we have Sf(0"1) ~ Ut1 0> t1 1 Wf(O"o) because Vf(O"o) ~ Wf(O"o). To
get inclusion in the other direction, assume WE Ut1 0> t1 1 Wf(O"o). Then
w E Wf ( 0"0) for some 0"0 > 0" 1. Hence W E Wf ( 0"0; b) for all <5 satisfying
o < b < 0"0 - O"a. In other words, f(s) takes the value w in every strip
0"0 - b < 0" < 0"0 + b if 0 < b < 0"0 - O"a. In particular, when b = 0"0 - O"b
we have 0"0 - <5 = 0"1 so f(s) = w for some s with 0" > 0"1. Hence WE Sf(0"1).
This proves that Ut10> t1 1 Wf(O"o) ~ Sf(0"1), so the two sets are equal. Therefore,
we also have
Sg(O" 1) = U ~(O"0)·
t10>t11
Vf(O"o) = Vg(O"o)·
But Theorem 8.15 states that Vf(O"o) = Wf(O"o) and ~(O"o) = ~(O"o) so Bohr's
equivalence theorem is a consequence of Theorem 8.15. D
Note. The important point is that one subsequence {n k } works for every m.
To show the true import of the Lemma, let us see what we can deduce in a
trivial fashion. Display the double sequence as an infinite matrix. Consider
179
8: General Dirichlet series and Bohr's equivalence theorem
PROOF OF LEMMA °
1. Let 1 be an accumulation point of the first row and
suppose the subsequence {n r (1)} has the property that
That is, n1 is the first integer used in the first row, n2 the second integer used
in the second row, etc. Look at the mth row and consider the sequence
{Om,n r }. We assert that
r-+ 00
Since nr = nr(r), after the mth term in this row we have r > m so every integer
nr(r) occurs in the subsequence n/ m), so from this point on {n r} is a sub-
sequence of {nr(m)} hence 0m,n r ~ Om' as asserted. D
Lemma 2 (Rouche's theorem). Given two functions f(z) and g(z) analytic
inside and on a closed circular contour C. Assume
Ig(z)1 < If(z)1 on C.
Then f(z) and f(z) + g(z) have the same number of zeros inside C.
PROOF OF LEMMA 2. Let m=inf{lf(z)I-lg(z)l:zEC}. Then m>O
because C is compact and the difference If(z) I - Ig(z) I is a continuous
function on C. Hence for all real t in the interval 0 :::; t :::; 1 we have
If(z) + tg(z) I ~ If(z)1 - Itg(z) 1~ If(z)1 - Ig(z)1 ~ m > O.
180
8.12: Proof of Theorem 8.15
Let us examine the numbers f(O"o + it m) for the given sequence {t n}. We
have
00
The products tmA(n) form a double sequence. There exists a double sequence
of real numbers 8n ,m such that
8n,m = tmA(n) + 2nk m,n' with 0 ~ 8n,m < 2n,
where km,n is an integer. If we replace tmA(n) by 8n,m in the series we don't
alter the terms, hence
00
f(O"o + it m) = L a(n)e-tToA(n)e-iOn,m.
n=l
181
8: General Dirichlet series and Bohr's equivalence theorem
g(s) = L b(n)e-s).(n)
n=1
where
This has the same abscissa of absolute convergence as f(s). Now consider
the following sequence of functions:
f,.(s) = f(s + it n)
where {n r } is the subsequence for which (10) holds. We assert that
(a) f,.(s) -+ g(s) uniformly in the strip 0'0 - b < a < 0'0 + b, hence, in
particular, in the circular disk Is - 0'0 I < b.
(b) g(O'o) = v.
(c) There is a d, 0 < d < b, and an R such that fR(S) - v and g(s) - v have
the same number of zeros in the open disk Is - 0'01 < d.
If we prove (b) and (c) then fR(S) - v has at least one zero in the disk because
g(O'o) = v. But fR(S) = f(s + it nR ) and s + it nR is in the strip if s is in the disk,
so this proves the theorem. Now we prove (a), (b) and (c).
00
s L la(n)le-tr).(n)le-iOn,nr - e-iOnl
n=1
N
S L la(n)le-(tro-b»).(n)le-iOn,nr - e-iOnl
n=1
00
+2 L la(n)le-(tro-b»).(n).
n=N+ 1
Now if 8 > 0 is given there is a number N = N(8) such that
00 8
2 L la(n)le-(tro-b»).(n) < -,
n=N+ 1 2
because the series L:= 1 Ia(n) Ie-(tro-b»).(n) converges. In the finite sum L~= 1
we use the inequality
182
8.12: Proof of Theorem 8.15
to write
Therefore, if r ~ ro we have
8
I/"(s) - g(s) I ~ -- L la(n)/e-(tTO-b)A(n) + -8
N 8
< -
8
+- = 8.
2M( b) n= 1 2 2 2
Since ro depends only on 8 and on b this shows that /,.(s) ~ g(s) uniformly
in the strip 0'0 - b < a < 0'0 + b as r ~ 00. This proves (a).
Proof of (b). We use (a) to write
g(ao) = lim};.(a o) = limf(ao + itnJ = v.
r-oo r-oo
Proof of (c). Assume first that g is not constant. Since g(a0) = v there is a
positive d < b such that g(s) =I v on the circle
Is - 0'01 = d}.
C = {s:
Let M be the minimum value of Ig(s) - v I on C. Then M > O. Now choose R
so large that I fR(s) - g(s) I < M on C. This is possible by uniform convergence
of the sequence {fR(S)}, since the circle C lies within the strip 1(1 - 0'0 I < b.
Then on C we have
/fR(s) - g(s) I < M ~ Ig(s) - vi.
If G(s) = fR(s) - g(s) and F(s) = g(s) - v we have / G(s) / < /F(s) / on C with
F(s), G(s) analytic inside C. Therefore, by Rouche's theorem the functions
F(s) + G(s) and F(s) have the same number of zeros inside C. But F(s) + G(s)
= fR(s) - v, so fR(S) - v has the same number of zeros inside C as g(s) - v.
Now g(ao) = v so g(s) - v has at least one zero inside C. Hence fR(s) - v
has at least one zero inside C. As noted earlier, this completes the proof if g
is not constant.
To complete the proof we must consider the possibility that g(s) is constant
in the half-plane of absolute convergence. Then g'(s) = 0 for all s in this half-
plane, which means
00
g'(s) = - L A(n)b(n)e-SA(n) = O.
n= 1
183
8: General Dirichlet series and Bohr's equivalence theorem
Theorem 8.18. For a given modulus k, let ·Xl' ... , Xq>(k) denote the Dirichlet
characters modulo k. Then in any half-plane of the form (J > (J 1 2 1 the
set of values taken by the Dirichlet L-series L(s, X;) is independent of i.
PROOF. Applying the previous theorem with a(n) = Xl(n) we have
f Xl~n) ~ i Xl(n);(n)
n=l n n=l n
for every character X modulo k. Here we use the fact that Xl (n) -:1= 0 implies
(n, k) = 1. Thus each L-series L(s, X) is equivalent to the particular L-series
L(s, Xl). Therefore, by Bohr's theorem, L(s, X) takes the same set of values as
L(s, X1) in any open half-plane within the half-plane of absolute convergence.
D
8.14 Applications of Bohr's theorem to the
Riemann zeta function
OUf applications to the Riemann zeta function require the following identity
involving Liouville's function A(n) which is defined by the relations
A(I) = 1, A(PI al ... Pr ar ) = ( _1)a l + ... +a r •
184
8.14: Applications of Bohr's theorem to the Riemann zeta function
The function )..(n) is completely multiplicative and we have (see [4J, p. 231)
I
n=l
),(n)
nS
= ((2s)
((s)
if (J > 1
.
C(x) = L A(n).
n:5x n
Then if (J > 1 we have
L 2-
A(n) = C(x)
S
+ s JX C(t) dt.
n:5 x n nS X 1
S
t +1
C(x)
XS
= o(~ L
x(1 n:Sx
!) = O(IOg x) =
n x(1
0(1) as x~ 00,
so we find
~ A(n) _ x C(t)
~
n= 1 n
S+ 1 - S f1
S+I dt,
t
for (J > O.
Replacing s by s - 1 we get
I
n=l
A(7) = (s - 1)
n I t
foo C~) dt for (J > 1.
Since the series on the left has sum ((2s)/((s) the proof is complete. D
If there exists an no such that (n(s) -:1= 0 for all n ~ no and all (J > 1, then
((s) -:1= 0 for (J > -!.
PROOF. First we note that the two Dirichlet series L~ = 1 k - S and L~ = 1 A(k)k - S
are equivalent because ).. is completely multiplicative and has absolute
185
8: General Dirichlet series and Bohr's equivalence theorem
value 1. Therefore~ by Bohr's theorem, (n(s) -=1= 0 for (J > 1 implies that
L~= 1 A(k)k -s -=1= 0 for (J > 1. But for s real we have
lim i
s- + 00 k = 1
,1(~) =
k
,1(1) = 1.
Hence for all real s > 1 we must have L~ = 1 A(k)k - s > O. Letting s ~ 1 +
we find
~ A(k) > 0
i...J if n ~ no·
k=1 k -
In other words, the function
valid for (J > 1. Note that the denominator (s - 1)'(s) is nonzero on the
real axis s > t, and '(2s) is finite for real s > t. Therefore, by the integral
analog of Landau's theorem (see Theorem 11.13 in [4]) the function on the
left is analytic everywhere in the half-plane (J > t. This implies that '(s) -=1= 0
for (J > t, and the proof is complete. D
Turan's theorem assumes that the sum C(x) in (11) is nonnegative for all
x ~ no. In 1958, Haselgrove [14] proved, by an ingenious use of machine
computation, that C(x) is negative for infinitely many values of x. Therefore,
Theorem 8.20 cannot be used to prove the Riemann hypothesis. Subse-
quently, Tunin [51] sharpened his theorem by replacing the hypothesis
C(x) ~ 0 by a weaker inequality that cannot be disproved by machine
computation.
Theorem 8.21 (Turan). Let C(x) = Ln:s;x A(n)jn. rr there exist constants
r:t. > 0, C > 0 and no such that
loga x
(12) C(x) > - c - -
fi
for all x ~ no, then the Riemann hypothesis is true.
PROOF. If G > 0 is given there exists an nl ~ no such that c loga x ~ xl: for
all x ~ nl so (12) implies
C(x) > - xl:- 1/2 •
186
Exercises for Chapter 8
Let A(x) = C(x) + xf,- 1/2, where G is fixed and 0 < G < t. Then A(x) > 0
for all x 2 n 1 • Also, for a > 1 we have
OO A(x)
- -x d -
- foo -C(x)
-x d + foo x f,-s-I/2 dX
f 1 X
S
1 x
S
1
'(2s) +s 1
1
= f( S,)
(s - 1)'(s) - 2 - G
say. Arguing as in the proof of Theorem 8.20, we find that the function f(s)
t
is analytic on the real line s > + G. By Landau's theorem it follows that
t
f(s) is analytic in the half-plane a > + G. This implies that '(s) =1= 0 for
a > t + G, hence '(s) =1= 0 for a > t since G can be arbitrarily small. D
Note. Since each function 'n(s) is a Dirichlet series which does not vanish
identically there exists a half-plane (J > 1 + an in which 'n(s) never vanishes.
(See [4], Theorem 11.4.) The exact value of an is not yet known. In his 1948
paper [50] Turan proved that, for all sufficiently large n, 'n(s) =1= 0 in the
half-plane a > 1 + 2(1og log n)jlog n, hence an ~ 2(log log n)jlog n for large
n. In the other direction, H. L. Montgomery has shown that there exists a
constant c > 0 such that for all sufficiently large n, 'n(s) has a zero in the half-
plane a > 1 + c(log log n)jlog n, hence an 2 c(1og log n)jlog n for large n.
The number 1 + an is also equal to the abscissa of convergence of the
Dirichlet series for the reciprocal 1j'n(s). If a > 1 + an we can write
1 _ f JIn(k)
'n(s) - k= 1 ~'
where /In(k) is the Dirichlet inverse of the function un(k) given by
1 if k ~ n,
un(k) = {0 ifk > n.
The usual Mobius function /l(k) is the limiting case of /In(k) as n -+ 00.
187
8: General Dirichlet series and Bohr's equivalence theorem
What does this imply about the radius of convergence of a power series?
4. Let {J-(n)} be a sequence of complex numbers. Let A denote the set of all points
s = a + it for which the series I a(n)e-SA(n) converges absolutely. Prove that A
is convex.
n 1 2 3 4 5
1 1 1 1
a(n) 8 2" 4 -8
1
2"
n 6 7 8 9 10
lim -
1 IT,
e (rT+lt)f(a + it) dt =
A {a(n) if A = A(n)
T-+ + y 2T - T 0 if A =1= A(I), A(2), ....
9. Assume the series f(s) = L~= 1 a(n)e-SA(n) converges absolutely for (J > aa > O. Let
v(n) = eA(n).
(a) Prove that the series g(s) = L~= 1 a(n)e-Sv(n) converges absolutely if a > O.
(b) If a > a a prove that
ns)f(s) = fC g(t)t S - 1
dt.
188
Exercises for Chapter 8
This extends the classic formula for the Riemann zeta function,
f(s)((s) = foco ~
e - 1
dt.
189
Supplement to Chapter 3
(1)
aT
TJ ( CT
+ db) ==
+ {
e(A) - i(CT + d)}112TJ(T) ,
where
The alternate proof was suggested by Basil Gordon and is based on the fact
that the modular group r
has the two generators TT == T + 1 and ST =
- lIT. In Theorem 2.1 we showed that every A in r
can be expressed in
the form
specified in (2), then it also holds for the products ATtn and AS for every
190
Supplement to Chapter 3
AS
== (ac db)(O1 -1)0 == (bd -a)
-c·
AS = (~ -a),
-e
but if d < 0, then - d > 0 and we use the representation AS
-b
( -d
a).
e
For d > 0, we have
191
Supplement to Chapter 3
c d 1 1
s(c, d) + s(d, c) = 12d + 12c - 4 + 12cd·
b-c a+d 1
Ud + s(c, d) = ~ - s(d, c) - 4·
Using this in (3), we find e(AS) = e - 7Ti/4 e(A).
-b
If d < 0, we use the representation AS = ( _ d ;) to obtain
(4)
In this case, - d > 0 and we use the reciprocity law in the form
c d I a d - bc
s(c, - d) + s( - d , c) = _ 12d - 12c - 4 - 12cd·
-b+c a+d 1
-12d - s(c, -d) = ~ - s(d, c) + 4·
Using this in (4), we find that e(AS) e 7Ti/ 4 e(A). This completes the proof
of Lemma 2. o
Lemma 3. If Dedekind's functional equation
(5)
then it is also satisfied for AT In and for AS. That is, (5) implies
(6)
and
(7)
whereas
(8)
192
Supplement to Chapter 3
hence,
- i(dT - c) 1Til2
- i(CST + d) = .
-IT
e- ,
and therefore, {- i(CST + d)}112 {- iT} 1/2 = e- 1T1 /4 { - i(dT - C)}1I2. Using this
in (9) together with Lemma 3, we obtain (7).
If d < 0, we write
_~ + d __ - dT +C
CST +d= T -T
d
B(A) = eXP{7Ti(a};C - f(d. C))}
for some rational number f(d, c) depending only on d and c.
193
Supplement to Chapter 3
PROOF. Let
aT +b , a'T + b'
AT=--- and AT= cT+d
CT + d
Hence,
(a + nC)T + (b + nd) aT + b A
A'T = CT+
d = ---d
CT+
+ n = T + n.
Therefore, we have
'11(A'T) = '11(AT + n) = e1Tin/12'11(AT) = e1Tin/12e(A){ - i(CT + d)}1/2'11(T),
because of (1). On the other hand, (1) also gives us
'11(A'T) = e(A'){ - i(CT + d)}1I2'11(T).
Comparing the two expressions for '11(A'T), we find e(A') e1Tin/12e(A). But
n = (a' - a)/c, so
tri(a' - a))
e(A') = exp ( 12c e(A),
or
( .')
tria, (. )
exp - 12c e(A) = exp - 12c e(A).
Tria
This shows that the product ex p (- ~~;)e(A) depends only on cand d. There-
tri(a + d))
exp( 12c e(A).
tri(a + d))
exp( 12c e(A) = exp( -trif(d, c))
194
Supplement to Chapter 3
195
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198
Index of special symbols
lP-l (, + A)
fir) -If-, 80
P l=O P
('~(q')r(q-l)
<1>( r) 86
~(r) ,
9(r) Jacobi theta function, 91
p(n) partition function, 94
199
Index of special symbols
200
Index
B
Basis for sequence of exponents, 166 D
Bernoulli numbers, 132 Davenport, Harold, 136
Bernoulli polynomials, 54 Dedekind, Richard, 47
Berwick, W. E. H., 22 Dedekind function y/(r), 47
Bessel functions, 109 Dedekind sums, 52, 61
Bohr, Harald, 161, 196 Deligne, Pierre, 136, 140, 196
201
Index
E
e t , e2 , e3 , 13 H
Eigenvalues of Hecke operators, 129 Half-plane H, 14
Eisenstein series Gn' 12 Half-plane, of absolute convergence, 165
recursion formula for, 13 of convergence, 165
Elliptic functions, 4 Hardy, Godfrey Harold, 94, 196
Entire modular forms, 114 Hardy-Ramanujan formula for p(n), 94
Equivalence, of general Dirichlet series, Haselgrove, C. B., 186, 196
173 Hecke, Erich, 114, 120, 133, 196, 197
of ordinary Dirichlet series, 174 Hecke operators Tn' 120
of pairs of periods, 4 HeIly, Eduard, 179
of points in the upper half-plane H, 30 Helly selection principle, 179
of quadratic forms, 45 Hurwitz, Adolf, 55, 145
Estimates for coefficients of modular Hurwitz approxiniation theorem, 145
forms, 134 Hurwitz zeta function, 55, 71
Euler, Leonhard, 94
Euler products of Dirichlet series, 136
I
Exponents of a general Dirichlet
series, 161 Invariants 92, 93' 12
Inversion problem for Eisenstein
series, 42
F Iseki, Sho, 52, 197
Farey fractions, 98 Iseki's transformation formula, 53
Ford, L. R., 99, 196
Ford circles, 99
Fourier coefficients of j(r), 21,74 J
divisibility properties of, 22, 74, 91 j(r), J(r), 74,15
Functional equation, for r,( r), 48, 52 Fourier coefficients of, 21
for 9(r), 91 Jacobi, Carl Gustav Jacob, 6, 91, 141
for '(s), 140 Jacobi theta function, 91, 141.
for A(ex, {3, z), 54 Jacobi triple product identity, 91
for <I>(ex, {3, s), 56, 71
Fundamental pairs of periods, 2
Fundamental region, of modular group K
r,31 Klein, Felix, IS
of subgroup r o(P), 76 Klein modular invariant J(r), 15
202
Index
L
o
Lambert, Johann Heinrich, 24
O'Brien, J. N., 91, 196
Lambert series, 24
Order of an elliptic function, 6
Landau, Edmund, 186
Lehmer, Derrick Henry, 22, 93, 95, 197
Lehmer conjecture, 22
Lehner, Joseph, 22, 91, Ill,} 97
p
LeVeque, William Judson, 197 p-function of Weierstrass, 10
Linear space M k of entire forms, 118 Partition function p(n), 1, 94
Linear subspace Mk,o of cusp forms, 119 Period, 1
Liouville, Joseph, 5, 146, 184 Period parallelogram, 2
Liouville approximation theorem, 146 Periodic zeta function, 55
Liouville function ).. (n), 25, 184 Petersson, Hans, 22, 133, 140, 197
Liouville numbers, 147 Petersson inner product, 133
Littlewood, John Edensor, 95 Petersson-Ramanujan conjecture, 140
Picard, Charles Emile, 43
Picard's theorem, 43
Product representation for L\(r), 51
M
Mapping properties of J(r), 40
Mediant,98 Q
Mellin, Robert Hjalmar, 54 Quadratic forms, 45
Mellin inversion formula, 54
Mobius, Augustus Ferdinand, 24, 27, 187
Mobius function, 24, 187 R
Mobius transformation, 27 Rademacher, Hans, 22, 62, 95, 102,
Modular forms, 114 104, 197
and Dirichlet series, 136 Rademacher path of integration, 102
Modular function, 34 Rademacher series for p(n), 104
Modular group r, 28 Ramanujan, Srinivasa, 20, 92, 94,
subgroups of, 46, 75 136,191
Montgomery, H. L., 187 Ramanujan conjecture, 136
Mordell, Louis Joel, 92, 197 Ramanujan tau function, 20, 22, 92,
Multiplicative property, of coefficients of 113, 131, 198
entire forms, 130 Rankin, Robert A., 136, 198
of Hecke operators, 126, 127 Reciprocity law for Dedekind sums, 62
of Ramanujan tau function, 93, 114 Representative of quadratic form, 45
203
Index
T
Tau function, 20, 22, 92, 113, 131
Theta function, 91,141
Transcendental numbers, 147
Transformation of order n, 122
Transformation formula, of Dedekind,
48, 52
of Iseki, 54
Tunln, Paul, 185, 198
Tunin's theorem, 185, 186
u
Univalent modular function, 84
Uspensky, J. V., 94, 198
v
Valence of a modular function, 84
Van Wijngaarden, A., 22
Values, of J( r), 39
of Dirichlet series, 170
Vertices of fundamental region, 34
204
Graduate Texts in Mathematics
com"",(',/ from P(/~(' "