APPENDIX A

Closed operators
There are important unbounded linear operators in analysis. Fortunately
they often have certain weaker continuity properties. We start with a basic
example.
Example A.1. Let X = C([0, 1]) be endowed with the supremum norm
and let Af = f 0 with D(A) = C 1 ([0, 1]). Then A is linear, but not bounded.
Indeed, consider the functions un D(A) given by un (x) = ( 1n ) sin(nx) for
n N, which satisfy kun k 0 and

kAun k |u0n (0)| = n

as n . However, if (fn )n D(A) satisfies fn f and Afn g in C([0, 1])
as n , then f C 1 ([0, 1]) = D(A) and g = f 0 = Af (which is shown in
introductory courses in analysis).

The above example motivates the next definition.

Definition A.2. Let A be a linear operator from X to Y , where X and Y
are Banach spaces. The operator A is called closed if for all xn D(A), n N,
such that there exists x = limn xn in X and y = limn Axn in Y it holds
that x D(A) and Ax = y.
Hence, limn Axn = A(limn xn ) if both (xn )n and (Axn )n converge.
Remark A.3. It is clear that every operator A B(X, Y ) is closed (with
D(A) = X). The operator A from Example A.1 is closed.
Example A.4. (a) Let X = C([0, 1]) and Af = f 0 with
n

D(A) = f C 1 ([0, 1])  f (0) = 0 .



Let (fn )n D(A) and f, g X be such that fn f and Afn = fn0 g in

X as n . As observed above it follows f C 1 ([0, 1]) and f 0 = g. Since
0 = fn (0) f (0) as n , we obtain f D(A). This means that A is closed
on X. In the same way we see that A1 f = f 0 with
n

D(A1 ) = f C 1 ([0, 1])  f (0) = f 0 (1) = 0



is closed. There are many more variants of this result.

(b) Let X = C([0, 1]) and Af = f 0 with D(A) = Cc1 ((0, 1]). This operator is
not closed. In fact, consider the functions fn D(A) given by
(

fn (t) =

0,
(t n1 )2 ,
I

0 t < n1 ,
1
n t 1,

for every n N. Then, fn f and fn0 f 0 in X as n , where f (t) = t2 .

However, supp f = [0, 1] and so f
/ D(A).

(c) Let X = Lp (Rd ), 1 p , and m : Rd C be measurable. Define

Af = mf with its maximal domain


D(A) = f X  mf X .
Then A is closed. Indeed, let fn f and Afn = mfn g in X as n
. Then there is a subsequence (nj )j N such that fnj (x) f (x) and
m(x)fnj (x) g(x) for a.e. x Rd , as j . Hence, mf = g in Lp (Rd ) and
we thus obtain f D(A) and Af = g.

(d) Let X = L1 ([0, 1]), Y = C, and Af = f (0) with D(A) = C([0, 1]). Then
A is not closed. In fact, consider the functions fn D(A) given by
(

1 nt,
0,

fn (t) =
for every n N. Then kfn k1 =

1
2n

0 t n1 ,
1
n < t 1,

0 as n , but Afn = fn (0) = 1.

Definition A.5. Let A be a linear operator from X to Y . The graph of A

is given by



gr(A) = (x, Ax) X Y  x D(A) .
The graph norm of A is defined by kxkA = kxkX + kAxkY . We write [D(A)] if
we equip D(A) with k kA .
Of course, k kA is equivalent to k kX if A B(X, Y ). We endow X Y
with the norm k(x, y)kXY = kxkX + kykY .
Lemma A.6. For a linear operator A from X to Y the following assertions
hold.
(a) gr(A) X Y is a linear subspace.
(b) [D(A)] is a normed vector space and A B([D(A)], Y ).
(c) A is closed if and only if gr(A) is closed in X Y if and only if [D(A)]
is a Banach space.
(d) Let A be injective and put D(A1 ) := R(A). Then, A is closed from X
to Y if and only if A1 is closed from Y to X.
Proof. Assertions (a) and (b) are straightforward to check.
(c) The operator A is closed if and only if for all xn D(A), n N,
and (x, y) X Y with (xn , Axn ) (x, y) in X Y as n , we have
(x, y) gr(A). This property is equivalent to the closedness of gr(A). Since
k(x, Ax)kXY = kxkX +kAxkY , a Cauchy sequence or a converging sequence in
gr(A) corresponds to a Cauchy or a converging sequence in [D(A)], respectively.
Hence, [D(A)] is complete if and only if (gr(A), k kXY ) is complete if and only
if gr(A) X Y is closed.
(d) Assertion (d) follows from (c) since


gr(A1 ) = (y, A1 y)  y R(A) = (Ax, x)  x D(A)



is closed in Y X if and only if gr(A) is closed in X Y .

II

Theorem A.7 (Closed Graph Theorem). Let X and Y be Banach spaces and
A be a closed operator from X to Y . Then A is bounded (i.e., kAxk ckxk
for some c 0 and all x D(A)) if and only if D(A) is closed in X.
In particular, a closed operator with D(A) = X already belongs to B(X, Y ).
Proof. : Let D(A) be closed in X. Then D(A) is a Banach space for
k kX and k kA . Since kxkX kxkA for all x D(A), the open mapping
theorem gives a constant c > 0 such that kAxkY kxkA ckxkX holds for all
x D(A).
: Let A be bounded and let (xn )nN D(A) converge to x X with
respect to k kX . Then kAxn Axm kY c kxn xm kX , and so the sequence
(Axn )nN is Cauchy in Y . There thus exists y := limn Axn in Y . The
closedness of A shows that x D(A); i.e., D(A) is closed in X.

Remark A.8. (a) Theorem A.7 is wrong without completeness. Consider
for instance the operator T given by (T f )(t) = tf (t), t R, on Cc (R) with
supremum norm. This linear operator is everywhere defined, unbounded and
closed. To check the closedness take fn , f, g Cc (R) such that fn (t) f (t)
and (T fn )(t) = tfn (t) g(t) uniformly for t R as n . Then g(t) = tf (t)
for all t R and so g = T f .

(b) On an infinite dimensional Banach space X there are non closed operators.
In fact, let B be an algebraic basis of X (i.e., for each x X there is an n N
and unique 1 , . . . , n C, b1 , . . . , bn B such that x = 1 b1 + . . . + n bn ).
We
that kbk = 1 for all b B. Choose a countable subset B0 =

 may assume
bk  k N of B and set
T bk = kbk for bk B0

and

T b = 0 for b B \ B0 .

Then T can be extended to a linear operator on X which is unbounded, since

kT bk k = k and kbk k = 1. Thus T is not closed.

It is a delicate mater to add or multiply closed operators. The situation is

simpler if one operator is bounded.
Proposition A.9. Let A be closed from X to Y , T B(X, Y ), and S
B(Z, X). Then the following operators are closed.
(a) B = A + T with D(B)= D(A),


(b) C = AS with D(C) = z Z  Sz D(A) .
In particular for C the operator I A with domain D(A) is closed in X.
Proof. (a) Let xn D(B), n N, and x X, y Y such that xn x
in X and Bxn = Axn + T xn y in Y as n . Since T is bounded, there
exists T x = limn T xn and so Axn y T x as n . The closedness of
A implies that x D(A) = D(B) and Ax = y T x; i.e., Bx = Ax + T x = y.
(b) Let zn D(C), n N, and z Z, y Y such that zn z in Z and
ASzn y in Y as n . Since S is bounded, xn := Szn converges to Sz so
that Axn y. We thus deduce Sz D(A) and ASz = y from the closedness
of A; i.e., z D(C) and Cz = y.

Corollary A.10. Let A be a linear operator on X and C. Then the
following assertions hold.
III

(a) If I A (or I + A) is closed, then A is closed.

(b) If I A is bijective with (I A)1 B(X), then A is closed.
Proof. Assertion (a) is a consequence of Proposition A.9 since A =
((I A) I). For (b), Lemma A.6 shows that I A is closed, and
then assertion (a) yields (b).

The following basic examples show that closedness can be lost when taking
sums or products of closed operators.
Example A.11. (a) Let E = Cb (R2 ) and Ak = k with


D(Ak ) = f E  the partial derivative k f exists and belongs to E ,

for k = 1, 2. Set B = 1 + 2 on
n

D(B) := D(A1 ) D(A2 ) = Cb1 (R2 ) = f C 1 (R2 )  f, 1 f, 2 f E .



It is an exercise to show that A1 and A2 are closed.

1
However, B is not closed: Take n Cb (R) converging uniformly to some
Cb (R)\C 1 (R). Set fn (x, y) = n (xy) and f (x, y) = (xy) for (x, y) R2
and n N. We then obtain f E, fn D(B), kfn f k = kn k 0
/ D(B).
and Bfn = 0n 0n = 0 0 as n , but f
0
(b) Let X = C([0, 1]), Af = f with D(A) = C 1 ([0, 1]), and m C([0, 1])
such that m = 0 on [0, 21 ]. Define T B(X) by T f = mf for all f X. Then
the operator T A with D(T A) = D(A) is not closed.
To see this, take functions fn D(A) such that fn = 1 on [ 21 , 1] and fn
converges in X to some f
/ C 1 ([0, 1]). Then, T Afn = mfn0 = 0 converges to 0,
but f
/ D(A).

IV