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You are on page 1of 40

general form

Leo Taslaman

The University of Manchester

September 10, 2012

Joint work with Fran¸ coise Tisseur

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 1 / 18

Triangularization

(Schur form) For any square A, there exists an unitary Q such that

QAQ

∗

is triangular.

(Generalized Schur form) For any square Aλ + B, there exist unitary

Q and Z such that Q(Aλ + B)Z

∗

is triangular.

What can be said about triangularization for higher order matrix

polynomials A

λ

+ A

−1

λ

−1

+· · · + A

0

?

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 2 / 18

Triangularization

(Schur form) For any square A, there exists an unitary Q such that

QAQ

∗

is triangular.

(Generalized Schur form) For any square Aλ + B, there exist unitary

Q and Z such that Q(Aλ + B)Z

∗

is triangular.

What can be said about triangularization for higher order matrix

polynomials A

λ

+ A

−1

λ

−1

+· · · + A

0

?

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 2 / 18

Triangularization

(Schur form) For any square A, there exists an unitary Q such that

QAQ

∗

is triangular.

(Generalized Schur form) For any square Aλ + B, there exist unitary

Q and Z such that Q(Aλ + B)Z

∗

is triangular.

What can be said about triangularization for higher order matrix

polynomials A

λ

+ A

−1

λ

−1

+· · · + A

0

?

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 2 / 18

A link to the previous talk

I λ

+ A

−1

λ

−1

+· · · + A

0

Equivalence

−−−−−−−−→ I λ

+ T

−1

λ

−1

+· · · + T

0

. ¸¸ .

Triangular

¸

¸

_Linearization

¸

¸

¸

I

n

−

_

¸

¸

¸

¸

¸

_

−A

0

I −A

1

I −A

2

.

.

.

.

.

.

I −A

−1

_

¸

¸

¸

¸

¸

_

Similarity

−−−−−−−−→ I

n

−

_

¸

¸

¸

¸

¸

_

−T

0

I −T

1

I −T

2

.

.

.

.

.

.

I −T

−1

_

¸

¸

¸

¸

¸

_

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 3 / 18

Objectives for this talk

We will show that any square P(λ) over an algebraically closed ﬁeld is

strongly equivalent to a triangular matrix polynomial of the same

degree.

Similarly, over R, we show strong equivalence to a quasi-triangular

matrix polynomial of the same degree.

Inverse problems.

A conjecture.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 4 / 18

Objectives for this talk

We will show that any square P(λ) over an algebraically closed ﬁeld is

strongly equivalent to a triangular matrix polynomial of the same

degree.

Similarly, over R, we show strong equivalence to a quasi-triangular

matrix polynomial of the same degree.

Inverse problems.

A conjecture.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 4 / 18

Objectives for this talk

We will show that any square P(λ) over an algebraically closed ﬁeld is

strongly equivalent to a triangular matrix polynomial of the same

degree.

Similarly, over R, we show strong equivalence to a quasi-triangular

matrix polynomial of the same degree.

Inverse problems.

A conjecture.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 4 / 18

Objectives for this talk

We will show that any square P(λ) over an algebraically closed ﬁeld is

strongly equivalent to a triangular matrix polynomial of the same

degree.

Similarly, over R, we show strong equivalence to a quasi-triangular

matrix polynomial of the same degree.

Inverse problems.

A conjecture.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 4 / 18

Deﬁnitions

Consider an n ×n matrix polynomial over a ﬁeld F, that is is a matrix

_

¸

_

p

11

(λ) . . . p

1n

(λ)

.

.

.

.

.

.

.

.

.

p

n1

(λ) . . . p

nn

(λ)

_

¸

_

, p

ij

(λ) ∈ F[λ],

or equivalently, a polynomial

P(λ) = A

λ

+ A

−1

λ

−1

+· · · + A

0

, A

i

∈ F

n×n

.

We assume that A

**= 0 and is called the degree. The reversal is deﬁned
**

as

revP(λ) = A

0

λ

+ A

1

λ

−1

+· · · + A

.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 5 / 18

Deﬁnitions

Consider an n ×n matrix polynomial over a ﬁeld F, that is is a matrix

_

¸

_

p

11

(λ) . . . p

1n

(λ)

.

.

.

.

.

.

.

.

.

p

n1

(λ) . . . p

nn

(λ)

_

¸

_

, p

ij

(λ) ∈ F[λ],

or equivalently, a polynomial

P(λ) = A

λ

+ A

−1

λ

−1

+· · · + A

0

, A

i

∈ F

n×n

.

We assume that A

**= 0 and is called the degree. The reversal is deﬁned
**

as

revP(λ) = A

0

λ

+ A

1

λ

−1

+· · · + A

.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 5 / 18

Deﬁnitions

Consider an n ×n matrix polynomial over a ﬁeld F, that is is a matrix

_

¸

_

p

11

(λ) . . . p

1n

(λ)

.

.

.

.

.

.

.

.

.

p

n1

(λ) . . . p

nn

(λ)

_

¸

_

, p

ij

(λ) ∈ F[λ],

or equivalently, a polynomial

P(λ) = A

λ

+ A

−1

λ

−1

+· · · + A

0

, A

i

∈ F

n×n

.

We assume that A

**= 0 and is called the degree.
**

The reversal is deﬁned

as

revP(λ) = A

0

λ

+ A

1

λ

−1

+· · · + A

.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 5 / 18

Deﬁnitions

Consider an n ×n matrix polynomial over a ﬁeld F, that is is a matrix

_

¸

_

p

11

(λ) . . . p

1n

(λ)

.

.

.

.

.

.

.

.

.

p

n1

(λ) . . . p

nn

(λ)

_

¸

_

, p

ij

(λ) ∈ F[λ],

or equivalently, a polynomial

P(λ) = A

λ

+ A

−1

λ

−1

+· · · + A

0

, A

i

∈ F

n×n

.

We assume that A

**= 0 and is called the degree. The reversal is deﬁned
**

as

revP(λ) = A

0

λ

+ A

1

λ

−1

+· · · + A

.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 5 / 18

Smith form

Any P(λ) can be reduced to a unique Smith form by the elementary

transformations:

1

Permutation of rows/columns.

2

Multiply a row/column by a nonzero element in F.

3

Add one row/column to another row/column.

If P(λ) and Q(λ) have the same Smith form we say that they are

equivalent and write P(λ) ∼ Q(λ).

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 6 / 18

Smith form

Any P(λ) can be reduced to a unique Smith form by the elementary

transformations:

1

Permutation of rows/columns.

2

Multiply a row/column by a nonzero element in F.

3

Add one row/column to another row/column.

If P(λ) and Q(λ) have the same Smith form we say that they are

equivalent and write P(λ) ∼ Q(λ).

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 6 / 18

Smith form – a closer look

_

¸

¸

¸

_

d

1

.

.

.

0

r ,n−r

d

r

0

n−r ,r

0

n−r ,n−r

_

¸

¸

¸

_

, d

1

| · · · |d

r

are monic polynomials,

and d

i

= φ

α

1i

1

φ

α

2i

2

· · · φ

α

ki

k

. The φ

i

’s are distinct and irreducible over F[λ].

φ

α

ti

j

is a ﬁnite elementary divisor.

If F is algebraically closed, the φ

i

’s are linear and display the ﬁnite

eigenvalues. The α

ij

’s are the corresponding partial multiplicities.

If F = R the φ

i

’s are linear or quadratic.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 7 / 18

Smith form – a closer look

_

¸

¸

¸

_

d

1

.

.

.

0

r ,n−r

d

r

0

n−r ,r

0

n−r ,n−r

_

¸

¸

¸

_

, d

1

| · · · |d

r

are monic polynomials,

and d

i

= φ

α

1i

1

φ

α

2i

2

· · · φ

α

ki

k

. The φ

i

’s are distinct and irreducible over F[λ].

φ

α

ti

j

is a ﬁnite elementary divisor.

If F is algebraically closed, the φ

i

’s are linear and display the ﬁnite

eigenvalues. The α

ij

’s are the corresponding partial multiplicities.

If F = R the φ

i

’s are linear or quadratic.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 7 / 18

Smith form – a closer look

_

¸

¸

¸

_

d

1

.

.

.

0

r ,n−r

d

r

0

n−r ,r

0

n−r ,n−r

_

¸

¸

¸

_

, d

1

| · · · |d

r

are monic polynomials,

and d

i

= φ

α

1i

1

φ

α

2i

2

· · · φ

α

ki

k

. The φ

i

’s are distinct and irreducible over F[λ].

φ

α

ti

j

is a ﬁnite elementary divisor.

If F is algebraically closed, the φ

i

’s are linear and display the ﬁnite

eigenvalues. The α

ij

’s are the corresponding partial multiplicities.

If F = R the φ

i

’s are linear or quadratic.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 7 / 18

Smith form – a closer look

_

¸

¸

¸

_

d

1

.

.

.

0

r ,n−r

d

r

0

n−r ,r

0

n−r ,n−r

_

¸

¸

¸

_

, d

1

| · · · |d

r

are monic polynomials,

and d

i

= φ

α

1i

1

φ

α

2i

2

· · · φ

α

ki

k

. The φ

i

’s are distinct and irreducible over F[λ].

φ

α

ti

j

is a ﬁnite elementary divisor.

If F is algebraically closed, the φ

i

’s are linear and display the ﬁnite

eigenvalues. The α

ij

’s are the corresponding partial multiplicities.

If F = R the φ

i

’s are linear or quadratic.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 7 / 18

Elementary divisors at inﬁnity and strong equivalence

The elementary divisors at inﬁnity of P(λ) are the elementary divisors

at 0 of revP(λ).

If P(λ) ∼ Q(λ) and all the elementary divisors at inﬁnity coincide, we

say that P(λ) and Q(λ) are strongly equivalent.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 8 / 18

Elementary divisors at inﬁnity and strong equivalence

The elementary divisors at inﬁnity of P(λ) are the elementary divisors

at 0 of revP(λ).

If P(λ) ∼ Q(λ) and all the elementary divisors at inﬁnity coincide, we

say that P(λ) and Q(λ) are strongly equivalent.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 8 / 18

Example

Example

Consider

P(λ) =

_

_

1 0 0

0 λ −2 0

0 0 0

_

_

.

The reversal is

revP(λ) =

_

_

λ 0 0

0 1 −2λ 0

0 0 0

_

_

∼

_

_

1 0 0

0 (λ −

1

2

)λ 0

0 0 0

_

_

so P(λ) has an elementary divisor at inﬁnity.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 9 / 18

Another example

Example

Consider another matrix polynomial Q(λ) equivalent to P(λ)

Q(λ) =

_

_

1 0 λ

0 λ −2 0

0 0 0

_

_

∼

_

_

1 0 0

0 λ −2 0

0 0 0

_

_

= P(λ).

The reversal is

revQ(λ) =

_

_

λ 0 1

0 1 −2λ 0

0 0 0

_

_

∼

_

_

1 0 0

0 λ −

1

2

0

0 0 0

_

_

so Q(λ) has an no elementary divisors at inﬁnity.

Conclusion: Elementary transformations preserve equivalence but not in

general strong equivalence.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 10 / 18

Another example

Example

Consider another matrix polynomial Q(λ) equivalent to P(λ)

Q(λ) =

_

_

1 0 λ

0 λ −2 0

0 0 0

_

_

∼

_

_

1 0 0

0 λ −2 0

0 0 0

_

_

= P(λ).

The reversal is

revQ(λ) =

_

_

λ 0 1

0 1 −2λ 0

0 0 0

_

_

∼

_

_

1 0 0

0 λ −

1

2

0

0 0 0

_

_

so Q(λ) has an no elementary divisors at inﬁnity.

Conclusion: Elementary transformations preserve equivalence but not in

general strong equivalence.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 10 / 18

M¨ obius transformations of matrix polynomials

Theorem (Mackey, Mackey, Mehl and Mehrmann 2012)

Let P(λ) =

i =0

λ

i

A

i

∈ F[λ]

n×n

. If m(λ) =

aλ+b

cλ+d

is invertible, then

m(λ

0

) is an eigenvalue of P(λ) (∞ allowed) iﬀ λ

0

is an eigenvalue of

Q(λ) = (cλ + d)

i =0

_

aλ + b

cλ + d

_

i

A

i

,

with the same partial multiplicity sequence.

Q(λ) has the same zero-structure as P(λ).

If we can triangularize any matrix polynomial with only ﬁnite

eigenvalues, then we can triangularize any matrix polynomial.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 11 / 18

M¨ obius transformations of matrix polynomials

Theorem (Mackey, Mackey, Mehl and Mehrmann 2012)

Let P(λ) =

i =0

λ

i

A

i

∈ F[λ]

n×n

. If m(λ) =

aλ+b

cλ+d

is invertible, then

m(λ

0

) is an eigenvalue of P(λ) (∞ allowed) iﬀ λ

0

is an eigenvalue of

Q(λ) = (cλ + d)

i =0

_

aλ + b

cλ + d

_

i

A

i

,

with the same partial multiplicity sequence.

Q(λ) has the same zero-structure as P(λ).

If we can triangularize any matrix polynomial with only ﬁnite

eigenvalues, then we can triangularize any matrix polynomial.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 11 / 18

Unwinding the Smith form over an algebraically closed ﬁeld

Consider P(λ) of degree with only ﬁnite eigenvalues.

We can “deﬂate” a degree polynomial from the Smith form:

_

¸

¸

¸

¸

¸

_

d

1

.

.

.

d

r −1

d

r

_

¸

¸

¸

¸

¸

_

∼

_

¸

¸

¸

¸

¸

_

˜

d

1

∗

.

.

.

.

.

.

˜

d

r −1

∗

p

_

¸

¸

¸

¸

¸

_

where deg(p) = , and diag(

˜

d

1

, . . . ,

˜

d

n

) is in Smith form [Matrix

polynomials by GLR, Thm 1.7].

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 12 / 18

... and ﬁnally

T(λ) =

_

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

_

t

1

∗ . . . ∗

.

.

.

.

.

.

.

.

.

.

.

.

t

k

∗ . . . ∗

× . . . ∗

.

.

.

.

.

.

×

_

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

_

where deg(t

i

) < for i = 1 : k, and all × on the diagonal are of degree .

T(λ) is triangular, of degree and equivalent to P(λ).

Problem: We may have added eigenvalues at inﬁnite.

Have developed a technique to remove unwanted inﬁnite eigenvalues.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 13 / 18

... and ﬁnally

T(λ) =

_

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

_

t

1

∗ . . . ∗

.

.

.

.

.

.

.

.

.

.

.

.

t

k

∗ . . . ∗

× . . . ∗

.

.

.

.

.

.

×

_

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

_

where deg(t

i

) < for i = 1 : k, and all × on the diagonal are of degree .

T(λ) is triangular, of degree and equivalent to P(λ).

Problem: We may have added eigenvalues at inﬁnite.

Have developed a technique to remove unwanted inﬁnite eigenvalues.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 13 / 18

... and ﬁnally

T(λ) =

_

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

_

t

1

∗ . . . ∗

.

.

.

.

.

.

.

.

.

.

.

.

t

k

∗ . . . ∗

× . . . ∗

.

.

.

.

.

.

×

_

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

_

where deg(t

i

) < for i = 1 : k, and all × on the diagonal are of degree .

T(λ) is triangular, of degree and equivalent to P(λ).

Problem: We may have added eigenvalues at inﬁnite.

Have developed a technique to remove unwanted inﬁnite eigenvalues.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 13 / 18

... and ﬁnally

T(λ) =

_

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

_

t

1

∗ . . . ∗

.

.

.

.

.

.

.

.

.

.

.

.

t

k

∗ . . . ∗

× . . . ∗

.

.

.

.

.

.

×

_

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

¸

_

where deg(t

i

) < for i = 1 : k, and all × on the diagonal are of degree .

T(λ) is triangular, of degree and equivalent to P(λ).

Problem: We may have added eigenvalues at inﬁnite.

Have developed a technique to remove unwanted inﬁnite eigenvalues.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 13 / 18

Quasi-triangularization over R

We use a real M¨obius transformation and deal with inﬁnite

elementary divisors as in the algebraically closed case.

We cannot always deﬂate

_

¸

¸

¸

¸

¸

_

d

1

.

.

.

d

r −1

d

r

_

¸

¸

¸

¸

¸

_

∼

_

¸

¸

¸

¸

¸

_

˜

d

1

∗

.

.

.

.

.

.

˜

d

r −1

∗

p

_

¸

¸

¸

¸

¸

_

where deg p = .

Theorem (T., Tisseur and Zaballa 2012)

If we cannot deﬂate a degree polynomial over R[λ], then we can

consecutive deﬂate two polynomias of degrees + 1 and −1 respectively.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 14 / 18

Quasi-triangularization over R

We use a real M¨obius transformation and deal with inﬁnite

elementary divisors as in the algebraically closed case.

We cannot always deﬂate

_

¸

¸

¸

¸

¸

_

d

1

.

.

.

d

r −1

d

r

_

¸

¸

¸

¸

¸

_

∼

_

¸

¸

¸

¸

¸

_

˜

d

1

∗

.

.

.

.

.

.

˜

d

r −1

∗

p

_

¸

¸

¸

¸

¸

_

where deg p = .

Theorem (T., Tisseur and Zaballa 2012)

If we cannot deﬂate a degree polynomial over R[λ], then we can

consecutive deﬂate two polynomias of degrees + 1 and −1 respectively.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 14 / 18

Quasi-triangularization over R

We use a real M¨obius transformation and deal with inﬁnite

elementary divisors as in the algebraically closed case.

We cannot always deﬂate

_

¸

¸

¸

¸

¸

_

d

1

.

.

.

d

r −1

d

r

_

¸

¸

¸

¸

¸

_

∼

_

¸

¸

¸

¸

¸

_

˜

d

1

∗

.

.

.

.

.

.

˜

d

r −1

∗

p

_

¸

¸

¸

¸

¸

_

where deg p = .

Theorem (T., Tisseur and Zaballa 2012)

If we cannot deﬂate a degree polynomial over R[λ], then we can

consecutive deﬂate two polynomias of degrees + 1 and −1 respectively.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 14 / 18

Forming 2 ×2-blocks on the diagonal

We get a triangular matrix polynomial with diagonal entries of degrees ,

−1 and + 1.

Consider a diagonal block where deg(d

i

) = −1 and deg(d

i +1

) = + 1

_

d

i

∗

0 d

i +1

_

∼

_

d

i

d

i

λ +∗

0 d

i +1

_

∼

_

d

i

d

i

λ +∗

−d

i

λ q

_

. ¸¸ .

degree

where deg(q) ≤

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 15 / 18

Forming 2 ×2-blocks on the diagonal

We get a triangular matrix polynomial with diagonal entries of degrees ,

−1 and + 1.

Consider a diagonal block where deg(d

i

) = −1 and deg(d

i +1

) = + 1

_

d

i

∗

0 d

i +1

_

∼

_

d

i

d

i

λ +∗

0 d

i +1

_

∼

_

d

i

d

i

λ +∗

−d

i

λ q

_

. ¸¸ .

degree

where deg(q) ≤

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 15 / 18

Inverse problems

We have build matrix polynomials from the Smith form having the

desired elementary divisors at inﬁnity. This solves some inverse

polynomial eigenvalue problems.

Any Smith form such that nonreal elementary divisors comes in

complex conjugate pairs, is admissible by a real n ×n matrix

polynomial of minimal degree.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 16 / 18

Inverse problems

We have build matrix polynomials from the Smith form having the

desired elementary divisors at inﬁnity. This solves some inverse

polynomial eigenvalue problems.

Any Smith form such that nonreal elementary divisors comes in

complex conjugate pairs, is admissible by a real n ×n matrix

polynomial of minimal degree.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 16 / 18

A conjecture

Nonreal elementary divisors of a regular self-adjoint matrix polynomial

A

λ

+ A

−1

λ

−1

+· · · + A

0

, A

i

= A

∗

i

,

comes in complex conjugate pairs. Hence any regular self-adjoint matrix

polynomial is strongly equivalent to a real one.

Conjecture

Any regular real matrix polynomial is strongly equivalent to a regular

self-adjoint matrix polynomial, and vice versa.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 17 / 18

References

D. S. Mackey, N. Mackey, C. Mehl and V. Mehrmann, M¨obius

transformations of matrix polynomials. Technical report, 2012. In

preparation.

L. Taslaman, F. Tisseur and I. Zaballa Triangularizing matrix

polynomials. Technical report, 2012. In preparation.

Leo Taslaman The University of Manchester () Triangularization of matrix polynomials September 10, 2012 18 / 18

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