Schmidt. On Heights of Algebraic Subspaces and Diophantine Approximations

Annals of Mathematics
On Heights of Algebraic Subspaces and Diophantine Approximations

Author(s): Wolfgang M. Schmidt
Source: The Annals of Mathematics, Second Series, Vol. 85, No. 3 (May, 1967), pp. 430-472
Published by: Annals of Mathematics
Stable URL: http://www.jstor.org/stable/1970352 .
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On heightsof algebraicsubspacesand
diophantine approximations
By WOLFGANG M. SCHMIDT
Introduction
The basic problemof diophantineapproximationscould be formulatedas
follows. Assumea Cartesiancoordinatesystemin euclidean E2 to be given.
Let L be a line throughthe origin0. Find a line L' through0 and defined
over therationals Q (definedby a linear equation withrationalcoefficients)
whichis "as closeas possible"to L. As a measureoftheircloseness,introduce
/r(L,L') = sinAp,where p is the angle betweenL and L', 0 0, therewill be infinitely manysuch linesL' satisfy-
ing J(L,L') < s. This closenessof L and L' will in generalonlybe possible
if L' is fairly"complicated". As a measureof the complicatedness of L', we
defineits heightH(L') as follows. If L' goes through0 and is definedover Q,
there is a unique pair of points (p, q), (- p, - q) on L' so that p, q are
relativelyprimeintegers. Now put
H(L') = (p2 + q2)1/2
As one can easily see, and as we show in detail in ? 15, Hurwitz'well-

knowntheoremondiophantine [6] implies(and is almostimplied
approximations
by) the followingresult.
Given s > 0 and a line L through0 whichis notdefinedover theration-
als, thereare infinitelymany rational lines L' through0 satisfying
!(L, L') < (5-1/2 + 8) H(L)-2
This statementwould becomefalse if 5-1/2 were replaced by a smaller con-
stant.
The problemof simultaneousapproximationamountsto the problemof
findinga line L' of euclidean En throughthe origin0 and definedover the
rationalswhich is "close" to a given line through0. The problemof linear
formsamountsto findinga rational hyperplaneH of euclideanEn through0
and "close" to a givenline through0.
This suggests the followingproblem. Let K be a fixed real algebraic
numberfieldof finitedegreeovertherationals Q. Let 0 < d < n, 0 < e < n,
and A a d-dimensionalsubspaceof euclidean En. Find a subspaceB of En
of dimensione and definedover K, such thatB is close to A. One can also
HEIGHTS AND DIOPHANTINE APPROXIMATIONS 431
startout witha complexnon-realnumberfieldand studysubspacesof unitary

space Un. To state the problemprecisely,one has to defineheights of sub-
spaces definedover a numberfieldK and introducefunctionsAs = *(A, B) to
measurethe "closeness" of A and B. In ChapterI, we will defineheightsof
subspaces,and in ChapterII, we will definesuitable functions*i(A, B). In
general,a pair Ad,Be of subspaceshas
t = min (d, e, n - d, n - e)
invariantsunder orthogonaltransformations. In ChapterIII, we shall deal
withthe problemof approximation itself. A completeanswercan be givenif
t = 1, and a partial answer in the general case. There is a dualityprinciple
andseveraltransference-theorems of thePerron-Khintchine-type [9], [10], [15];
i.e., theorems which allow us to conclude that if a subspace A can be well
"approximated" by subspacesB ofdimension e, it also can be well approximated
by subspacesof certainotherdimensions e'. Mostpropertiesof subspaceswith
regardto approximation remaininvariantunderlineartransformations defined
over the givennumberfield. Most proofsin this chapterare elementaryand
use Minkowski'sconvex body theoremas their main tool; only in ? 14 the
rudimentsof algebraicgeometryare used.
1. Heights of subspaces
1. Definition of heights. A function F= F(x) F(xl, x., xn) defined
on euclideanEn will be called a distancefunctionif
(i ) F(x) > O and F(x) = O if and onlyif x = (O, ,O),
(ii) F(tx) F(tx1,***, txi) I t IF(x), and
(iii) F(x) is continuous.
GivendistancefunctionsF1, F2 there is a constantc = c(F1,F2) > 0 so
that F1(x) < cF2(x) forall x ([3, ? IV. 2.]). In particular,putting
Fs~~~~x).Ia (X.l]S I ]O FE(X) = (X12 + ***+ X2)112
F,,(x) = I Xl I + ***+ l xn.
one has
F,(x) < FE(x) < F,(x) < n"12FE(x)< nF.(x).
Let K be an algebraic numberfieldof degree [K: Q] = p and I the ring
of integersof K. An ideal will always be a subringof K closed undermulti-
plication by elements of I, and finitelygenerated as an I-module. Let a, ***, a,
be the different of K intothe fieldC of complexnumbers. For
isomorphisms
C K, put d(i) for the image of e under at and vj(d) = I 1'(i lo
Let Kn be the vector space of n-tuples(2,, *.., * i , j e K. Let L be a
432 WOLFGANG M. SCHMIDT
one-dimensional
subspaceof K% Choosea pointX (2, ** , i) + 0 of L and
writea a(X) forthe ideal generatedby 2, * , (a consistsof all elements
i.
a11+ + + andn withat C I). Finally,if F is a distancefunction,set

(1 ) HF(L) = N(a)-' IJI=1F(vj(&1), *.. , vj (i))
One easily sees that HF(L) is independent
of a special choiceof X. We call it
F-heightof L.
Given distance functions F1, F2, one has HF,(L) < c(F1,F2)VHF2(L).
Hence, except fora boundedfactor,all heightsof 1-dimensional subspacesL
are the same. Northcott[14] introducedHF(L) with F= FN, and Siegel [18]
HF(L) with F= F., although he did not call it height. See also Weil [20]
and Lang [13]. As can easily be shown,
HFs(L) = ][JF,(v(i1), .. *, v(iJ))
wherev runsthroughall absolutevalues of K, normalizedin the properway.

of HFS(L).
This formulagives the customarydefinition
Northcott definesabsolute heights hF(L) = HF(L)1I[E Q], but in this paper
we will not use these heights. Usually the heights of points of projective
space are defined,rather than the height of one-dimensional subspacesof a
vectorspace. But of courseeithertheoryimpliesthe other.
Next we are goingto definetheheightsof subspacesSd of Kn ofdimension
d, where 0 < d < n. (Quite generally,Sd or Ad or Bd will always mean a
space of dimensiond). To get these cases out of the way, put HF(S) = 1 if
d = 0 or d = n, hence S = 0 or S = Kn. Now let Sd be a subspace with
0 < d < n. Choosed linearlyindependent pointsXt ( * *tn) (t = 1, * I
d) inS.
Put N (d).
Denote the d-tuplesof integersi1, * id with 1 <
ii <* < id< n by z1, ***,z-, in lexicographicorder. If Zr= {ii1 < ... < iidb
set rj forthe determinant of the d x d-matrix
(etijr) (1 < t < d, 1 < r < d).
Set Y = (r1, * , Yf) is a set of (reduced) Grassmann coordinates
ru). (r1, ... ,
of S. AnyotherN-tuple Y' = (IA, **, (N) is a set of Grassmanncoordinates
of S (i.e., it arises fromsome choiceof XY, '.., Xd) if and onlyif Y' = tY,
t # 0. Differentd-dimensionalsubspaces have differentsets of Grassmann
coordinates.(For proofssee [5, ch. VII.]) Let S * be the 1-dimensional subspace
of KN spannedby Y. Then the map y: S S* is 1 - 1 fromd-dimensional
subspacesof Kn into1-dimensional subspacesof KN.
Let 1?< j?< N.~ Z = Iiii < . . < ijd}. Letij1< i<jn-d be the com-
plement of zj among 1, 2, *
., n. Set ej = + 1 or - 1, depending on whether
the permutation
/1 ...d d
+i1 ... n
Vijl ***i jd i jl ijn-d/
is even or odd. Finally,let z-be the lineartransformation of EN whichmaps

Y = (Q), * * *, y),) into z( Y) = * * *, Ely)). z is an involution.
Givena subspaceS of Kn, writeS ' forits orthogonalcomplement.(S
consistsofall Z = (C,, ***, C.) so that XZ = 21CA+ *** d- KnCn- 0 forall X =
(11* ..*, In) c S). S' is a subspace of dimensionn - d, hence S * and SI* both
are in KN. In fact,
(2) SI Z=(S*)
This is Theorem1 on page 294 of [5, vol I], althoughit is expressedin rather
differentlanguage there.
Now let F be a distancefunctionin EN whichsatisfies
(iv) F(x1 , *.. , xA) = F(&xN , *.. , Eall).
Now if Sd is a subspaceof Kn, set

(3) HF(S) = HF(S*),
and call HF the F-height of S. Given distance functionsF1, F2 one has
HF1 (S) < c(F1, F2)vHF2(S). (2) and (iv) yield
(4) HF(S) = HF(S).
This also holdsif d = 0 or d = n.

Let o be a linearnon-singular transformation of Kni. It is a veryspecial
a
case of theorem shown in [14] and can easily be verified,that forsubspaces
L' of Kn of dimension1, one has
(5) HF(oj(L')) ? CF(o))HF(Ll)
whereCAO) is independent of L'. In general,ford > 1, thereis a linearnon-
singulartransformation C(Od) of KN(the dthcompoundof o) such that (a(S))*=
'a)'(S*) for subspacesSd of Kn. Using this and (5) (appliedon KN) one finds
(6) HF(oj(Sd)) ?< C d(o?)HF(Sd) .
From now on, H(S) will always mean HF(S) with F= FE.
2. Generalized determinants
Given vectors X1, * , Xm in euclidean or unitary vector space, denote by
<X,, ***, Xm> the subspace generated by these vectors. Also, if A, B, *** are
subspaces, denote the subspace generated by them by <A, B, * * *>. Given
vectors X1, ... , Xm, form the determinant I XiXj I (1 < i, j < m). This de-
terminant is zeroif X1,** ,Xmare linearlydependent.Otherwise,if Z1, ... ,Zm
is an orthonormalbasis of <X1, *, Xm> (i.e., ZZj = aij), and Xi cijZj,

the determinanti XiXj i equals cij 1 I1ij 11,hence is a positive real number.
Denotethe non-negativesquare root of this determinant by D(X1, **, Xj).
Obviouslythis generalizeddeterminantD has the followingproperties.
( i ) D(X1, ***, Xm) > 0, with equality if and only if X1, *, Xm are
linearlydependent.
(ii) D(Xi1, *. ., Xm)= D(X1, ... , Xm) if ill i. is a permutation of
(iii) D(XKi . * tXk* = tI

X D(X1C **) Xk.., X.)-
(iv) D(Xl I .. y Xky
..
* XI + CXkY
.. * X* X)D(X1,- ..
* * Xkl ..
** X,* l. XJ)
( v) D(z-X1, ***, zXm) = D(X1, ***, Xm) if z-is a unitary transformation.

The followingLemmascan easily be provedby the reader.
LEMMA1. Assume Xi, * Xm are vectorsof unitary Up, and have
coordinates X, = (x,1, *., xt.) (1 < t < m) in some Cartesian coordinate-
systemof Un. Then D2(X1,* X,) is the sum (with (m) summands) of
the squares of the absolute values of the determinantsof them x mi-sub-
matrices of the matrix (xtj) (1 < t < m, 1 < j < n). The same statement
is true if unitary U7 is replaced byeuclidean En.
LEMMA2 (GeneralizedHadamardinequality).
D(Xl *...* Xn, Y1 *... Yk) D(Xl *... * Xn) D(Yl, ,Yk)
with equality if and only if D(X1, * XJ = 0 or D( Y1, ..., Yk) = 0 or the

subspaces <X,, * *, X,7,> and <Y1, ***, Yk> are orthogonal to each other.
LEMMA 3. D(X + Y. X2, .,Xm) < D(X, X2, ,Xm) + D(Y. X2, * Xm).
For a singlevectorX write i X D(X).

A lattice will meana discretegroupof vectorsof En. The dimensionof
a latticeis the maximalnumberof linearlyindependent vectorsof the lattice.
Let At. always meana latticeof dimensionm. Definethe determinantof Atm
by d(A-) = D(X1, * , Xm), where X1, .., Xm are basis vectors of Alm,if
m > 0, and by d(Al) = 1.
Ordinarilyin the geometryof numbers,only lattices of dimensionn are
considered.
3. A differentdefinition of heights
Again let K be our number fieldof degree p, l ..., ua the isomorphisms
K-n C, and Al the image of d C K under oi. Given a vector X= (e1,*** ,n) C K",
set X'i= (li), ~I).
**, Now let Sd be a subspace of K", X1, *** Xd linearly
1 c denotes the complex conjugate of the complex numberc.
independentpoints of Sd. Form Y = (), -

**, ) as in ? 1. By the definition
of Grassmanncoordinatesand by Lemma 1,
F(vj(21),**, vJY).)) = D(Xl'i, *.*.* Xd'j')

forF = FE. Hence one finds
( 7) H(Sd) = N(a)-' JI__D(X1(j), ... I, X(i)
where a is the ideal of K generated by )1, ...*, )2N.
Let p = r1+ 2r2 and '(i) be real for 1 < i < r1, (r1+r2+j) the complex
conjugateof i(rl+j) for1 < j ? r2 and everye C K. Put
A = 2-r2ia 11/2
wherea is the discrimantof K. Set
VI), if 1<iarl
(7 bis) =Re (i) if r, < i < r, + r2
Imp)i' if r1+ r2 < ip.
Here Re, Im, denote real and imaginary parts. Given X =(, *.*, e) C K"
write
([1] *,
P(X) = .. . P] . . 1] .
Interpretp(X) as a point of euclideanEM whereM np. If X is any set of

pointsof Kn, write I(E) for the subset of X =(, ** , e C whose com-
ponentsit are in I (the ringof integersof K), and p(Y) for the set of points
p(X), X C E.
Let SI be a subspaceofKni.Interpretedas a vectorspace overthe ration-
als Q, SI has dimensiondp. Hence I(S), and thereforep(I(S)) containsdp but
not more linearlyindependentpoints over Q. Obviously,p(I(S)) is a point
latticein EM of dimensiondp. For brevity,writeA(S) = p(I(S)). Finallyput
(8) H'(S) - Ad-d(A(S)) .
If S= 0, A(S) = 0, H'(S) = 1 = H(S). Next, let S= K" and n = 1.
Now A(S) = p(I(S)) is the latticeof all points(d[], ** , d) in EP whered C I.
As is clear fromthe definitionof the discriminant a using an integralbasis of
K, this lattice has determinantd(A(S)) = A. Hence if S- K" and n > 1
d(A(S)) = An and H'(S) = 1 = H(S). This is a special case of a generalrela-
tion.
THEOREM 1. H'(Sd) = H(Sd).
We may assume 0 < d < n. Let X1, ..., Xd be in I(S), linearly

PROOF.
over K. Let I(X1, ***,Xd) be the set of elementsof I(S) of the
independent
type a1X, + + adXd where each ao is in I. Then A(X1, **, Xd) =

p(I(X1, * * *, lattice of EM, and it is a sublatticeof
Xd)) is a dp-dimensional
A(S). The coordinatesof X1, * , Xd determine a particularset of Grassmann
coordinates (r), . **, A),) of S.
LEMMA 4. d(A(X1, *.., Xd)) = Ad
JI~_D(X1(j) ... Xjj)
LEMMA 5. The index of A(X1, ***, Xd) in A(S) is N(a), where a is the
ideal of K generated by r, ***, ONE
Now Lemma 5 impliesd(A(S)) N(a)-1d(A(X1, * , Xd)), andthetheorem
followsfrom(7) andLemma4. Henceit will sufficeto showthese two lemmas.
PROOF OF LEMMA 4. Let Xt = (itjl ..., *t), and let f1, **., ,S be an
integral basis of K over Q. Now
*, Zpl, .., ..
Zily .. Zldi Zpd
where
..
Zjk =((Sjekl)[] ..
* * (*S ( iek)[P' * (a $ )[1], (a i )[p])
form a basis of A(X1, *., Xd). Also introduce
Zjk ((Sjdkl)(1), ** (Sjdki)(P), * ,(asjk.)(1) .. (a kn)(p))
(1<j <p, 1<kl<d). Then

d(X , Xid)) = D(Z11, * Z*1i, ..., *Zi,
*.., Zpd)
Let M(Z*) be the matrixwithrow vectorsZ1*, ***, Zp*7,. I *, * Zp*d.

Then d* = D2(ZI1, ***,Zp*d)is the sum of the squares of the absolutevalues
of the determinants of all pd x pd-submatrices of M(Z*).
Take a typicalsuch determinantand, using Lagrange's rule, develop it
aibi, whereeveryai is a p x p-determinant formedfroma matrixinvolving
the firstp rows, bi a p(d - 1) x p(d - 1) determinantof a matrix involving
the last p(d - 1) rows of M(Z*). One sees that aj, unless it is zero, is the
productof a determinant independentof the FSj and the determinant i I
a . Repeatingthis,that is, developingbi afterits firstp rows, and so on,
one findsthattheabsolutevalue ofourdeterminant equals I a Id/2timesa factor
ofthefl.j
independent
Considerthe V) as variables,and let d ** be the value of d* obtainedby
substituting8lj) = aij (Kroneckersymbol). Then d* - Ia id d**. As ford**,it
is the sumofthe absolutevalues ofthedeterminants ofall pd x pd-submatrices
of a certainmatrix M(Z**) which, after a suitable rearrangement of rows
2 The reader might want to write down this matrix.
and columns,becomes
0
OY(2) ... o X
(1 .) * . Y(P) /
where Y'i) is the matrix ($'i)) (1 < k < d 1 < i < n) (1 < j < p). A typical
not triviallyvanishingdeterminant of a pd x pd-submatrixis nowof the form
'1' *** Y)d where 1 < ii < N and (y), ** ,) are the Grassmann coordinates
introducedjust beforeLemma 4. This gives
J(I (j X) 12 + ?+ I y(j) 12)
whence
det(A(X, * **, Xd))2 - 2-2r2dd* A2d
HP (| ((i) 12 + ...+ (j) 12)
= A2d D2(Xl(j, ... Xj))
and Lemma4 follows.
PROOF OF LEMMA 5. The indexof A(X1, * , Xd) in A(S) equals the index
of I(X1, ..., Xd) in I(S). Let aX1 + .* + adXd be in I(S). Then airj must
be integral,ai~j E 1(1 < i < d, 1 < i _ N). Now let p E Ibe fixedand a common
multipleof l, * **,By.. Then/i = aip E I(1 < i < d). It will sufficeto show
that the number of d-tuples 81,. . ., /d of I modulo (p) such that
15lXl + *** + CdXd is p timesan elementof I(S), equals N(a).
Writea and the principalideal (p) as a productof prime-ideals;
a=pi .P.. 4ps (p) = 4pf'... Ppfs (ej < fj)
What one has to show is that the numberof integral solutions 81,** d
modulo4/i of
( 9) Sit $~k + ***+ iSdedk -=0 (modptfi) (k = 1, * n* )
equals N(pQ)ei foreach i (1 < i < s). Now let i be fixed,and set 4p,e, f for
Pi, et,fi, respectively. Write 81$lk + ... + /didk as an innerproductBRk,
whereB = (,81,* ,d), Rk = ($lk, *dk).
$ The congruences(9) now become
(10) BRk =0(mod Op) (k = 1, ,n).
Withoutloss of generalitywe may assume thedeterminant of R1, * , Rd
(it is one of the rj) to be in pe but not in pe~l Any Rk may be written
ciRl + *** + Cdd. Since each determinantIR1, **, Rj>, Rk, R+1, ... , Rd I is
in pe, each (c) musthave p with non-negativeexponentin its factorization.
Thus the congruences(10) will be satisfiedif and onlyif theyare satisfiedfor
k= 1,. .,d.
Lemma 5 now followsfromthe case g, 9d = f of
LEMMA6. Let e, f g1, * *, . gd be rationalintegerswith0 < e ? gk < f

(k = 1, *., d). Let Rk = (ilk, ., dk) (k = 1, *.., d) have components in I,
and assume the determinantI R1, *..., Rd I to be in pe butnot in pe+1, where
4pis a prime-ideal. Then thenumberof integral solutionsB = (819,.., d)
modulo 4pfof
(11) BRk 0 (modeg'k) (k = 1, *.., d)

equals N(4p)dfJe -9d.
PROOF OF LEMMA 6. We proceed by inductionon e. Let e= 0. The

number of d-tuples (y1, ad) = r modulo 4p!satisfyingYk
..., 0 (mod 4pk) (k
1, ***, d) equals N(4p)df-1 *d* WriteR forthe lineartransformation whose
matrix has row vectors R1, * , Rd. When B = (i, *, Id) runs through a
completeresidue-system mod p,, so does RB, and the result follows. [RB _
RB'(mod pf) R(B - B') _ O(pf) R-1R(B - B') = O(pf)(sincep occurswith
non-negative exponentin the factorizationof elementsof R-1) B B'(pf
Now let e > O. We may assume e < g <.** ?< gd < f. R, *.**,R d are
linearlydependentmod4p,and there is an R, which is linearlydependenton
Rt+19 *..., Rd; say, Rt - + * + !tdRd (mod4p). Putting
?1t+jRt+1
S = Rt - ,cet+,Rt+1- * * -* Pd~d,
one has S 0_ (mod4p).In our congruences(11), one may replace Rt by S
(because gt < gt+l <= ... ?< gd). There is an element a E K with (a) = bp-19
whereb is an integralideal notcontainedin 4p. Put T = aS. The congruence
BS 0 (modpit) is equivalent to BT 0_ (mod4t,-). Thus one can reduce
thecasee,f,g1, *. . , gd, R1, *. . , Rd tothecase e - 1, f, g1, *. . gt -1, . . . gd, ,
R1, , T, Rd. ,
4. Existence of certain subspaces

THEOREM2. Let Sd be a subspace of Kn.
(a) Let 0 < d < e < n. Then Sd is contained in a subspace Se whose
heightsatisfies
H(Se) < CJiH(Sd)(n-e)/(n-d)
(b) Let 0 < f < d ? n. Then Sd containsa subspaceSf with

H(Sf) < c1H(Sd)fd
Here c1> 0 is a constantdependingonlyon n, K.

First we are goingto provea lemma.
LEMMA7. Let ce K, p themappingK" Enp constructedin ? 3. There
is a c2= c2(,S,n) such thatfor all Xe Kn,
I p(eX) I' C21p(X) I

PROOF. p(,SX) has np componentsof the type (5$j)[i]. Now
12 < (c'/np)
I ('8_j)[i] 12
< I art) 12 1$(i) 12
< 1,5(i) 12
| p(X) p(X) 2
for a suitable c2, whence I p(SX) 12< c21p(X) 12.

PROOF OF THEOREM 2. c3, 4, * * * will be positive constants depending only
on n, d, e, f, K. We begin with the case (a). It is sufficient to consider the
case e = d + 1.
A(Sd) Epn of dimension dp and determinant H(Sd)Ad. Let
is a lattice in
EP('n-d) be the subspace of Epn of all vectors orthogonal to A(Sd). Let A' be
the image of the orthogonal projection of A(Kn) on EP(n-d). Then A' is a lattice
in EP( n-d) of determinant
d(A') = d(A(Kn))/d(A(Sd)) = An-dH(Sd)-l
Denote the volume of the unit-sphere in Em by V(m). The sphere of
EP(n-d) with center 0 and radius p has volume V(p(n - d))pP(n-d). If
V(p(n - d))pP(n-d) > 2P(n-d) An-d H(Sd)-l, there is by Minkowski's theorem a
lattice point G' # 0 of A' in our sphere. Thus there is a lattice point G' # 0
in A' with
(12) | G | <? C3IJ(Sd)-lI/p(n-d)
G' is the projection of some G E A(Kn), where G is not in the subspace spanned
by A(Sd). Say G is the image of X under p, G = p(X). Now Xe I(Kn), but
XC Sd.
Let Sd+l be the (d + l)-dimensional subspace of Kn spanned by Sd and by
X. Now A(Sd+l) contains the lattice A* spanned by A(Sd) and by G1, ***, G,
where Gj = p(,SjX) (j = 1, * * *, p) and where ,81, .**, ,Sp is an integral basis of
K/Q. Thus it will suffice to show
d(A*) _< C4Il(Sd)(n-d-l)/(n-d)

The inequality (12) implies the existence of some X* E Sd having
G - p(X*) I < 2c3H(Sd)-11P'n-d). Hence, observing G = p(X) and putting X'=
X- X*,
op(XA) <? 2C3H(ISd)-lIp(n-d)
By Lemma 7,
|p(,SjX') |< CH(Sd)-IIV(n_ d) (j=1***SA
p(SjX0) = p(iSjX) p(/SjX*) = Gj-p(/SjX*).

- Now SjX* G Sd and p(/SjX*)
is in A(Sd). Thus if Gj is the orthogonalprojectionof Gj on EP(n-d), then
|G I c5IJ(Sd)-lIp(n-d) (i = 1, * P)
Let H1, ... , Hpd be basis vectorsof A(Sd). By (iv) and Lemma 2 of ? 2,
d(A*) = D(H1q ...*, Hvdq G1, *** d) =D(Hiq**,Hd G1,*, )
<D(H1q ..** Hvd) I Gf Gf = 'IdH(Sd) |Gf Gf
?< c4IH(Sd)Il(Sd)l/I(n-d) - _(Sd)(n-d-1)/(n-d)
Case (b) now followsby duality. T = Sd I is of dimensionn - d. By (a) it

is containedin a subspace T' of dimensionn - f and H(T') < c1H(T)fld =
c1H(Sd)f Id . Now S f = T" is of dimensionf, is contained in Sd, and has H(Sf) =
H(T').
5. The number of subspaces of height < H.
LEMMA 8. H(Sd) > 1. There are exactly (d) subspaces Sd c Kn having
H(Sd) = 1, namely the subspaces Sd spanned by coordinate axes.

The proofis leftto the reader.
PROOF.
WriteN(n, d, K, H), or shorterN(d, H), forthenumberofd-dimensional
subspacesof Kn of heightat mostH.
THEOREM3. For H > 19
(13) c6Hn = N(d, H) < c7H

where c6 > 0, c7> 0 depend only on n, d, K.
Remark. As pointedout at the end of ? 1, our height always means
H(S) = HF(S) with F= FE. But sinceany two heights are the same except
fora boundedfactor,the validityof (13) foroneheightHF1 impliesit forany
otherheightHF2 (withnew constantsC6, C7). Schanuel[16] showed ford = 1
and H = HFS even an asymptoticformulaHFS(d, H) - c,8Hn. Hence (13) is
trueford = 1, and by duality,it is also true ford = n - 1. We will use this
in our proof.
We begin with some simple observationson lattices. Let Altm be an m-
dimensionallattice in euclideanEm, Et an r-dimensionalsubspace such that
Et AtmA= is an r-dimensionallattice. Set Em-t = Etr, and Am-Tforthe
image of the orthogonalprojectionof Atm on Em-T. As can easilybe seen, Am-r
is an (m - r)-dimensionallattice of determinantd(Ar-r) = d(Am)/d(Ar). We
call it a factor lattice. (The A' of ? 4 is a factorlattice).
LEMMA 9. Write n(B) for the number of lattice points G of Am-Tsatisfy-
ing I G <? B. Then
n(B) det (AmTr) < V(m - r) (B + B0)m
--
where V(m - r) is the volume of the (m - r)-dimensional unitsphere, and

B0 = BO(Am)does not depend on Al and A'm.
PROOF. Choose B. > 0 so large that every point X e Em is congruent

moduloAmto a point Y having I Y ?< B.. Then every point X' e Em-r is
congruentmoduloAm-_ to a point Y' having I Y' I < B.. Hence Atm-7 has a
fundamental regionW containedin I Y'[ < B,. With every lattice pointG of
Atm-rwith IG <? B associate 5&, the set of points G + Y, Ye A. Then the
 0, K be fixed. Let S, be a subspace of Kn of
dimension d - 1 and height H1, and let H > H1. Write N(S1, H) for the
number of subspaces S D S, of dimension d and height H(S) < H. Then
N(S1, H) < cqgHni+-dHhd-n .
PROOF. Set m = np and Am A(K7). The m-dimensional latticeAmin

Em has determinantAndSet r (d - 1)p and A7 = A(S1). Now A7rhas
dimensionr, and d(Ar) = Ad-'H,. If Et is the space spanned by A7r,then
Amn Er = Ar. Let Em-r= Er' and Alm-7 the orthogonalprojectionof Amon
Em-7;Alm,-is a factorlatticewith
d(Am-r) = d(Am)/d(Ar) = An-d+lH-l
Now let S D Si be of dimensiond and height < H. The latticeA(S) has

determinant < 'dH and dimension dp, and A(S1) c A(S) c A(K7) = Am.Let
A' be the orthogonalprojectionof A(S) on Em-n. ClearlyA' is a sublatticeof
Am-rof dimensionp and determinant
d(A') = d(A(S))/d(Al) < AHH:-' .
By Minkowski'stheorem,thereis a latticepointG' # 0 of A' having

(14) AG' ?< c1oH11PHglP
Thus witheverysubspace S having the desiredproperties,we can associate

a latticepointG' E Am-r, G' # 0, satisfying(14). On the other hand, such a
G' determinesS: G' is theorthogonalprojectionon Em-rof some lattice point
G E A(S) whereG 2 A(S1). Thus if G = p(X), X is a vectorof S but notof S1,
and S is spannedby X and S1.
It remainsto give an upper boundforthe numberof G' E Am-r satisfying
(14). By Lemma9, we obtainthe bound
V(m - r)HA-7nd-l(cioHlIPHI-Llp + BO)r-t < c9H' @H
LEMMA 11. Assume 1 < d < n, and assume N(d - 1, H) < c11H* is true
for all H > 1. Also assume H' > Hf" > 1 and
H " = cHf(d-1)Id
wherec1> 0 is theconstantof Theorem2. Finally assume N(d - 1, H") <

with 0 < s < 1. Then
sc11H"11
N(d, H') < c128dlnHHn,
d, c11).
whereC12 = c12(n,
PROOF. By Theorem2, every subspace S of height < H' and dimension
d containsa subspace S, of height H(S1) < H" = cHf(d-l)ld and dimension
d - 1. Using the notationN(S1, H) of the previouslemma,we obtain
N(d, H') < Esi N(S1, H')
H (Sl) < H
and hence,usingthis lemma,

N(d, H') < cH"n4l-d E1?h<?H"+1 hd-n ES1.
h integral h-1<H(S1) !min(h,H")
By partialsummation,
N(d, H')
? C13H n~ld((Hff ? l)dn E 1 + Elch-H" hdn1 ES1 1)
H(S") < X" h integral H(S1)h /h
?< C14H'n+l-d (HPfd-nN(d - 1, H") + Mlch< H" hd-n-lN(d - 1, h))

< c 4Hn+1-d(H ffd-nciC1H fftn + E1<h<?H sc11H"))
hd-n1-min(cllhnh,
? ? 8d/n c16H't ?
8c1l5H'n c128d/nHn
PROOF OF THEOREM 3. The upperboundin (13) is provedby inductionon

d. The case d = 1 having been settled by Schanuel, we may assume the
validity of N(d - 1, H) < c7Hnfor all H > 1 with c7 = c7(d - 1). Applying
Lemma 11 withe = 1, we findN(d, H') < cl2H'Aforall sufficiently large H',
whenceN(d, H) < c7(d)Hnforall H > 1. The lowerboundof (13) is established
by induction from d to d - 1. Since the case d = n - 1 was settled by
Schanuel,we may assume we know N(d, H) > c6(d)HnforH > 1. We also
know N(d - 1, H) < c7(d - 1)Hn for H >- 1. Suppose there are H', H"
satisfyingthe conditionsof Lemma 11, in particularhavingN(d - 1, H") <
d, c7(d- ))8dlnH'n. This
SC7(d- 1)H"t. ThenN(d, H')< c12(n, c12(* yields
)8d/n ?
c6(d),whencea lowerboundfor m.Hence forsufficiently large H",
N(d - 1, H") > c*(d -)Hfn
.
By Lemma8 this is even true forH" > 1 ifwe replacec*(d - 1) bya smaller
constant c6(d - 1), if necessary.
II. PAIRS OF SUBSPACES OF UNITARY U%.
6. Successive inner products

For the mostpart,theresultsofthischapterare notnew. See Seidel[17],
Kendall [8], Zassenhaus[21]. They also appear, somewhatdisguised,in cor-

relationtheory[7, Ch. 28.] Nevertheless,since neitherof these sources is
quite satisfactoryforour purpose,it seems most practical to startfromthe
beginning.The theorydevelopedhere is valid foreuclideanEn as well as for
unitaryU".
GivenvectorsX # 00,Y# 0 of U" write X(X, Y) XYI X -1YIK.
Let Ad, Be be subspaces of U", f = min(d, e) > 0. Let X1 be the maximum
of X(X, Y), takenover all pairs X, Y where Xe Ad, X # 0, Ye Be, Y# 0.
Thereare X1,Yi withX1C Ad, Y Be, IX Y11= 1,X1Y1= X1.
Supposef > 1,and Ad-1 is the orthogonalcomplement ofXKin Ad, Be-1 the
orthogonalcomplement of Y, in Be. Let X e Ad, X I = 1, and s a complex
number. Set X, = X1 + 8X. Then X(X2,Y) = (1 + I')s/2 X1Y1 ? 8XY1
,?l + XY, I + 0(82) for small s. Thus if XY, ? 0, therewill be an s having
X(X2, Y1) > X1, contradicting our choice of X1. Hence XY, = 0, and Ad-1 is
orthogonalto Y1. Similarly,Be-l is orthogonalto X1.
Next, let X2 be themaximumof x(X, Y) overall X e Ad-, Ye Be-1,X#0,
Y# 0. Pick X2eAd-i, YeBe-1having IX2I =# Y21 = 1, X2Y2 = x2. By the
last paragraph, X, Y2 = X2 Y, = 0. Continuingin this way one findsXi, -* , Xf;
X1,I.. ** Xf; Y1, ..** Yf. Here XiXj = Yj Yj = 6ij, Xi Yj = Xiaij (1 < i, < f ).
If, say, d = f, e _ f, X1, ..., Xf is an orthonormal basis of Ad, and one can
findan orthonormal basis of Be of the type Yi, *--, Yf, * Ye. We proved
the firstpart of the following
THEOREM4. Let Ad,Be, be subspaces of Un,f = min (d, e) > 0. There
are orthonormalbases X1, **-, Xd and Y1,.. , Ye of Ad, Be, respectively,
and reals 1 _ X, > > Xf O such that
( 1) Xi Yj = Hiaiti (1 < i < d; 1 < i < e).
The numbers X1, *.., Xf are independent of any freedom of choice in Xj, Yj
and are invariant under unitary transformationsapplied simultaneously
to Ad, B .
PROOF. Onlythe independenceof the xi - s of our choiceof Xi, Yj still
requiresa proof. Let X1, ... , Xd and Y, ... Ye be arbitrary bases of Ad, Be,
respectively.Constructthe matricesM(X) = (XiXj) (1 < i, i < d), M( Y) =
(YYj))(1 < ?ij e), M(X, Y) = (XiYj)(1 < i< d, 1 < j < e) andthetrans-
pose M( Y, X) of M(X, Y). Let P(X) be the polynomial
Y) MX (,Y
P(X) =D(X,,.. Xd) D(Yi,
M(YX) XM(Y)
As is easy to see, a changeofbases forAd and Be leaves P(X) invariant.Hence
P(X) dependson Ad, Be only,P(X) = P(A, B; X). For unitarytransformations

a, P(zA, TB; X) = P(A, B; X).
Set h = max (d, e). Usingtheparticularbases X1, ***, Xd and Y1,. .., Ye
constructedearlier, one finds P(X) = (X2 - XI) ... (2 _ X )Xh-f* Hence
+X1, -***, +Xf and h - f zeros are the roots of P(X), with propermultiplicities.
This provesthe theorem.
We call x,, ***, Xf successiveinner productsof Ad, Be. Given a vector
X # 0 and a subspace S of positive dimension,put x(X, S) = X1(<X>,S).
Anothercharacterization of X,, ***, Xf is providedby
LEMMA 12. Let Ad, Be be subspaces of Un,f = f(Ad, Be) = min(d, e),
1 
PROOF. The proofis leftto the reader.
COROLLARY. Let A' Q A, B' c B be subspaces. Then f' f(A', B') <
f = f(A, B) and Xi(A', B') < Xi(A, B) (i = 1, ***,f').
7. Quantities 2h, ***, v,
The inner products xi, *., Xf are not quite arbitrary. If d + e > n,
at leastd + e
Ad n Be hasdimension - n, whencex, =d+e-n = 1. Put
g = d + e-n,
(2) t = min(d, e, n - d, n - e) = min(d, e, e - g, d - g) .
We definev , v, as follows. If d + e < n, then t=f, and set v*=
Xj(Ad,Be) (i = ..., t). If d + e> n, thent = f-g, and set of = Xi+,(Ad,Bd)
(i 1, .*,. 9One has 1 > vi >-... >-vt >-?.
Call two pairs of subspaces Ad, Be and A*d, B'e similar if there is a
unitarytransformation T withz(Ad) = A*d, z(B8) = B*e. This is an equivalence
relation. Similar pairs have equal vj, , Vt.
THEOREM 5. Given 0 < d < n, 0 < e < n and 1 >-vi > .. _ vt >-?
wheret is definedby(2), thereis up to similarity exactly one pair of sub-
spaces Ad, Be having 2? = >*(Ad,Be) (i = 1, ***, t).
PROOF. (a) Existence. Assume d < e. Choose an orthonormalbasis
El, ***, E. of Un. First case: d + e < n, whence t = d. Put s* (1 2)1/2 -
(i = . . .
1, ., d). Set Ad= <X1, .., Xd>, Be = <Y1, ..., Ye> where
X* = E(i= 1, * *,d)y Y*= >*E*+(o)Ed+i(i= 1, * * * ,d), Yj = Ed+j(j= d +1,. * A
Then X1, *.**, Xd are orthonormal, Y1, **, Ye are orthonormal, and Xi Yj =
v*a*j(1 n, whencet = n-e. Set
=Xqt = 1 (g = d + e-n),
Xi = *** X+ = (i = 1, ** *,t), and put (i)=
(1-_\)12(i = 1s ,d). Set Ad = <X1, ... , Xd>, Be = <Y, *.**, Ye> where
X*= E*(i = 1s ...,d) and
{E; if 1 < j < g

Yj =XjEj + (-(jEn-e+; if g < j < d
(En-e+j if d < j < e.
(b) Uniqueness. We are going to show that d < e, Xj(Ad, Be) = X(A*dB*e)
(i = 1, ..,f ) implies the similarity of Ad, Be and A*d, B*e. Let X1, ** *, Xd
and Yi, * , Ye be orthonormal bases of Ad, Be, as described in Theorem 4.
Similarly choose X1*, ... , Xd and Y1*,... , Ye*. Z = ajX* + Sj3Yj = 0
if and only if ZXj = 0 (i = 1, ... , d)andZYj = 0 (j ... =
, e). Thisistrue
if and only if Z*Xi* = 0(i = 1, *.. , d) and Z*Yj* = 0 (1 = 1s... e), where *
Z a*= E MaX* +-I3EA Yj*. The latter d + e equations hold if and only if Z * =
0. Hence T(Z) = Z* definesa 1 - 1 linear transformationz from A + B onto
A* + B* with T(A) = A*, T(B) = B*. Since z preserves inner products, we
can extend z to a unitary transformationof Un.
THEOREM6 (Duality-principle). Let A, B be subspaces of U1, A', B'
their orthogonal complements. Then t(A', B) = t(A, B) and
VJA1, B 1) = vi(AgB) (i = 1, . ..
t).
PROOF. The relation for t is obvious. Dim A+ dim B+ dim A' + dim B'
2n. By symmetrywe may assume d + e = dim A + dim B < n. Without loss
of generality assume d < e, whence t = d.
Now we make a simple observation. Suppose A is the orthogonal sum of
V and A1, B the orthogonal sum of V and B1. Then the successive inner
products of A, B consist of the successive inner products of A1, B1, plus r
dim V times the number 1.
To prove the theorem, set V= A n B and A1, B1 for the orthogonal
complement of V in A, B, respectively. Our observation applies. Since
A1rnl = 0, 1 does not occur among the innerproducts of Al, B1. If A1,...* *,d-r
are the inner products of A1, B1, then the inner products of A, B are 1, *..., 1
(r times), Xi ..., _d-r. There are orthonormal bases X1, ... , Xd-r and
...
Y, * Ye-r of A1 B1, respectively, such that Xi Yj = Xi&ij(1 ? i < d -
1 < j < e-r). Put

J(1- )-"2( X~X - YA) if 1 d-,
are the successive inner productsof A* = <X1, * , XA~> and B=
< Y1,** *,Ydt-r>
SetW= (A+B)A*= W +A* B*= W + B1*. The last two sums
are orthogonal.By the observation,the innerproductsof A*, B* are 1, ***
1(dimW= r+n-d- etimes),\1, . , d-r. Now
dimA* dim W + dimA* = r + n-d-e + e-r = n-d = dimA'
Since A* c A', one obtains A* = A'. Similarly, B* = B'. Hence
(V1(A , B), *..., It(A', B')) = (1, *..., 1 (r times), X1,*. . , d-r)
B)y ...*, vt(AYB))

=(.v,(Ay
8. Angles of inclination
GivenvectorsX # 0, Y # 0 of Us put wo(X,Y) = (1 - X2(X, Y))"2. We
leave it to the readerto prove
( 3) coj(X Z) < coj(X Y) + cojY. Z)
forany threevectorsX # 0, Y 0,. Z # 0. Given subspaces Ad, BC of UN
withf = min(d, e) > 0, set
(4) w%(A,B) = (1 - (A, B))112 (i 1, . . .,f)
The numbers(p with 0 < (p <7 w/2and cos (p = xi,sin(p = cot (i = 1, ... f)
are called angles of inclination of Ad, Be. Introduce
(5) *i(AYB) = (1 - v(A B))1/2 (i=1 *** t) .
Then *i = cot if d + e < n, *j = wi+, if d + e > n. Finallyput

(6) e(AlB) = *1*2 . . *t .
Let d + e < n, t f. SubstitutingX = 1 in the polynomialP(X) of ? 6,
we find
a= ((1 _ X2) ... (1 _ X2))1/2 = P(1)1/2
= D(X1 , * , XdY, Y1, . . ., Ye) D(X1, * , Xd)-1 D(Y1 , . . *, Ye)- ,
whereX1, *., Xd and Y1, **, Ye are arbitrary bases of Ad, Be, respectively.
If X is a vector 7 0, B a subspace # 0, put aj(X, B) = aol(<X>, B). As
is easy to see,
(8) aj2(X, B) + a()2(X, B') = 1
foreverysubspaceBe, 0 < e < n.
LEMMA 13. Let 0 < d < n, 0 < e < n, f =min (d, e), and a a non-
singular linear transformationof Us. Thereis a c = c(a) > 0 such that

w*(o(Ad), o(Be)) < c(a)(o(Ad, Be) (i = 1, ..., f)
for everypair of subspacesAd, B .
PROOF. There are constantsc1> 0, c2 > 0 such that c1jX I 0. Then wt2(X,Y) = (1-XY) (1+XY)_1-XY= 1(X2+ Y2- 2XY)
1j X_- Y12. Therefore
wj 2(a(X), ( Y))
= (1 - I u(X)u( Y) II(X) I- I U(Y) 1-j) (1 + I u(X)u( Y) I I v(X) 1-1I i( Y) 1-1)
< 21v(X) 1-1Io(Y) 1-1(I v(X) I I o(Y) I - I (X)if(IY) I)
_
<c 2 1 (I U(X)
I+ 2_
((7(X) (Y) q(}) U(X) 12_ I (y) 12))
2
? cj21 (X - Y) 2 < c2c-2C X _ y 12 < 2cT 2c202(X, Y)
and (9) follows. By Lemma 12, there is a subspace Ai c: Ad so that forany

Xe A*, X # 0, thereis a Ye Be, Y # 0 havingX(X, Y) > X*(Ad, Be), whence
ao(X, Y) < wo*(Ad,Be). Furthermore, wo*(Ad,Be) is the smallestnumberwith
thisproperty.Givenany v(X) e a(Ai) ci v(A), there is a u( Y) e v(B) having
wo(a(X),a( Y)) < 2l12cllc2wi(Ad, Be). Hence w(o(A), v(B)) < 2112c1'c2ai(A, B).
9. Some inequalities
THEOREM7. Let Ad, Be besubspacesof Un, and let 1 satisfies
-X(Xjl A5-1) < 1 - < 1 2j I,**
.. i) .
Further assume the existence of i points Y1, *.**, CY. B , none of them 0,
satisfying
(O (Xj, Yj) < a)(
OSi =I
Then
(0 (Ad, B e) -< (216)i't2 (O
PROOF. We may assume (2/1)'2w0< 1. Under this assumption,we will

actuallyshow
(10) wj(Ai, Be) < (2/a)(j-1)/2O (j = 1 * * i)
using inductionon j. For j = 1, (10) is obvious. We next deal with the case
j = 2. By our assumption,co < 1/2, by hypothesis,X(X1,X2) < 1 - a whence

X2) ! 26 -32 > a. It Y1,IY2 were linearlydependent,(3) would give
wO2(X1,
w(X1,X2) < wo(X1, Yj) + wo(X2,Y2) < 2wo< 6, whence w2(X1, X2) < 62 < 0, a
contradiction.ThereforeY1, Y2are linearlyindependent.
Set B2 <Y1, Y2>. We will show
2 YB2) :<
(11) )~~~~~~~(2(A (216)1/2(o
For thispurposeassume I X1I= I X2 I = 1, and writewoj(A2,B2) -), Xj(A2, B2)
xj (j = 1, 2). Choose an orthonormalbasis Z1,Z, of A2 and an orthonormal
basis W1, M2 of B2 so that ZkWj = 6kjxj. Let X = c1Z1+ c Z2 with
12 + c
C 1. An easy computation gives X2(X, B2) c812\ + C2 2\2
Puttings6 c XZ2 |, we obtain\2(X, B2) (( 62)\2 + 62\2 whence

2(X B2) 1 (1 - 62) (1 - 0) 62(1- _02) =(1-2)w02 + 62W2 > 02
Now write the given vectors X1,X2 in the form X1 = c11Z, + C12Z2,IX =
c21Z1 + C22Z2,and set s = max(I C12 I I C2 1). Then I cjj | _ 1 - (j 1, 2) and
1 - ~> \(XI, X2) =X1X21 = I C11C21 + c12c22? 1 26, whences > 6/2. If,
say, 6s =c C121 > (X1,B) > 62wD ? G2/2, whence (11). This proves(10)
forj = 2.
Now suppose(10) has beenshownforj - 1. We have to show co(X,Be) <
(2/0)(6-11'/o2 foreveryX e Ai. This is true forX = Xi, whencewe mayassume
X, Xi to be linearlyindependent.Set A2(X) = <X, Xi>, and let Xj* # 0 be in
the one-dimensionalsubspace A2(X) n Ai-1. Then X(Xj, Xj*) < 1 - and
ao(Xj, B) < w, o(Xj*,B) < (2/0)(i-2)'2w by induction.
Since (2/1)(2/1)j2 '2wo <1,
we may apply the case j 2 of (10) on Aj(X) and obtain (02(A2(X), B) <
(2/1)(lj-1)2aw, whence w)(X,B) < (216)'i-!'/2
COROLLARY. Let Ad, Be,I, i be as in the theorem. Let X1, ... , XiG Ad,
Y I* Y, e Be be vectors,none of them0. Assume
Xk) < 4-i
X(Xjy (1 < j < k < i),
9X3 I Y3) < 60 U
( ,*oi
Then
wJ(A,B) < 2iwo.
PROOF. We have to show X1, ..., X3 are linearly independent,and Ai
<Xi I ... , Xj> satisfies X(X,, Ai-') < I (j = 2, ... , i). We may assume X1 =
* Xi = 1.
+ cjXj = 0 with, say, I Ck I = max(I cl 1, ...

Let c1X1+ * c 1). Taking
the innerproductwith Xk, we find
C
Ck (C1 I + + C
Ck-1 I + I Ck-1 I + + I ci 1)4i <- Ck I i4 < 1Ck 1/2,
whence cj = 0. Hence X1, ***,Xi are linearly independent. Choose orthonormal

vectors X1*, ***, X* so that Ai <X1,*.. 9 X*> and XJX)* is real and > 0
(j-1,, i). Write
(12) Xi-j cjX* + + jjXr ( 1,.**, i).
Here ch,is real and > 0. We will use inductionon j to show I Xj -X* l< 4i-i,
and I cjj I + |i2 I + *** + cijj-l I < 4-1/2. This is obvious for j = 1. To prove
it for j when the case j - 1 has been settled, take the inner product of (12)
with X,* where 1 < k < j. One obtains Cjk = XjX* = X3Xk + Xj(Xk - Xk),
hence CjkC < 4-i + 4k-i, I Cjj I + * * * + I cjj-, I < j4- + 41-i + * * + 4i t <
j 4-i + 4ji-/3 < 4j-'/2. Therefore I cj - 1 ? cj + ***+ Icj -1
< I<
4'i/2
and I Xj -X* < cj I + * + cjj-l + c cjj1 ' < 4i-i. The corollary now
follows from
\(Xj, Ai-') i-/2? 1/2 =
III. DIOPHANTINE APPROXIMATIONS
10. A basic theorem

All the results of this chapter except ? 15 are valid for two cases (a) and
(b). In case (a) GI denotes euclidean space En, K a real number field,and
q = 1. In case (b) GI denotes unitary U1, K a complex non-real number field,
and q = 2. Unless stated otherwise, C1, C2, will be positive constants
...
depending on K, n, and dimensions d, e, ... occurring in the theorems, but

independentof subspaces Ad, *., considered.
The main goal is to show Theorems 12, 13, 15 and 16. The next two sec-
tions are a preparation for these theorems and are rather technical; a reader
might do well to skip the proofs in these section at firstreading.
THEOREM 8. Let 0 < d < n, c = rn- d, u min(c, d). Let Ad be a sub-
spaces of G" and H > 1. There are subspace B' ci B2 c * c B Ruu of G', each
definedover K, and having
( 1) H(Bi) < Hi i 1, ..
**,I)
(2 ) H(Bl)fq(Ad, Bi) $ CjIlH-dc< ClH(Bi)-d/ic (i 1, *, )
Remark. Let 1 < i <ua with i fixed. Unless Ad contains a subspace B~
that is definedover K, (2) can, for fixed Bi, be satisfied only for H ? HO(B),
and as Ha a, there will occur infinitelymany differentBi satisfying (1) and
(2).
PROOF. Let a, ... up be the isomorphismsof K into the complex numbers,
=(i) =( ) and e Vil (i = 1, *..., p) the mappings of K into the reals given
-
by (I. 7 bis).3 Given X , *.., n)eKn, set X ,

n)), X[] =
(G (i)i= *..,
d
(, *... in) As before, I will denote the ring of integers of K. With
X e Kn we associate
(3) X = p(X) = (XE1], ... YX[P])
of euclidean E-". As in Chapter I, A = A(Kn) denotes the set of all points

p(X) where Xe I(KI). A is a lattice of dimensionpn and determinantAI.
Now suppose Bi = <X1, *..*, X> (i =1, *.*, u) where Xi = (Gij, * * *, i
tje I. The ideal a, generated by i x i-subdeterminants of the matrix
d*j(1 < l < i, 1 _ j _ n) is integral, hence N(ai) > 1. Hence by (I. 7),
H(Bi) ? fl>PD(XI(, ***, Xi(i'). Therefore to achieve H(Bi) Hi, it is suf-
ficientto ask for
( 4) D (Xl') , .. I Xj(j)) _!EHTiP (i 1,*** Yj=1 .. ,p) .
The two cases (a), (b) will now be treated separately.
(a) We may now assume a, to be the identity map. X - X] is in En
and can uniquely be written
X= XI'] = XA + X*
where XA e A, X* e A'. We are going to construct lattice points X1,* .,,

of A, none of them 0, with the following properties. Namely, if XY=
(Xj= Xj"l3, Xj3, . Vj[p)\
( )i |X* i C2H-nIC+lIP (j 1,... ,u)

( ii ) I XjAXjAI _, (8uu!) |1XA (1 j_ ) 12
i <
(iii) D(X1, ..*I* XjA) -!EHjlv4-i =1, ..**, ),
(iV) I Xjlk] I_ H111P/2 (j = 1,Y.. *,u; k = 2, ... ., p).
For given X1,* , X1j-with these properties,Xj with all the required properties
will be picked with smallest possible D(XA, ..., XjA).
Let us first pick X1. The inequalities (i), (iv) have to be satisfied with
j = 1, and (iii) becomes I X ?A H1"P 4'. These inequalities define a convex,
symmetric set of Epn of volume4
(C"H-n+cIP V(c)) (4d-dHdIP V(d)) (HnIP2-n V(n))P-1

> C212-n (P+l) V(c) V(d) V(n)11-1
> Dmpn~i
if C2 is sufficientlylarge. Hence by Minkowski's theorem there is a X1e A
with the required properties. We pick X1with I XiA I as small as possible. We
now are going to construct Xj when X1,***, Xj-1 are already given. The in-
equalities (i)-(iv) definea symmetric,convex set for Xj, and to be able to apply
Minkowski's theorem, we have to show its volume exceeds 2npAn This set is
3 i.e., formula(7 bis) of Ch. I).
4 Here and throughout, V(l) is the volumeof the unitspherein Ez.
the product of 4 convex sets, definedby (i)-(iv). If Xr-, *. A, XA 1 are linearly

dependent, (iii) is always satisfied, and (ii), (iii) together definea convex set of
dimensiond and infinitevolume. Hence we may assume Xj4, *A a, Xt1 to be
linearly independent. Now (i) defines a set of dimension c and volume
C"H-H+clP V(c); (ii) definesa set of dimensionj - 1 and volume
251(8uu!) (i1) IX 21| I Xt1 | DJ(X,**A,
. . , Xj)l > (8uu!)(i')D(X1, ***, X )
(iii) gives a set of dimensiond-( - 1) and volume
(HEiP 4JD(X1A, ...,
Xj7 )-1)d-(J_1) V(d - i + 1)
_HJl 4-jD(XlA,***, Xj-,)-(i 4(fill4(j))ld V(d)/2
= Hj'P 4-jD(XA, * , Xjt1)- (H11P 4-1)d-i V(d)/2
> H dlPD(XA, * , Xf1)-' V(d) 4-l-1
Finally, (iv) definesa set of dimensionn(p - 1) and volume
(H n/P2 -n V(n))P-1 > Hn-n/P2-pn V(n)P-1
Hence our product set itself has volume
> Cc V(c) V(d) V(n)P-12-5n2_pn(n!)-n > 2npAn
for sufficiently large C2. This shows the existence of a Xj e A satisfying (i)-(iv).
We choose such a Xj with D(XA, ... , XjA) as small as possible. This finishes
our construction of X1, ... , Xu.
There are Xi e I(Kn) with XY = p(Xi). We set Bi = <X1, ** *, Xi> and are
going to verify that Bi has all the required properties. First we will show
_
(5) X1 ? 2nC2Hn/c+I/P
if H is large. If this were not, (i) and the negation of (5) gives
- 2n+lC2H n/c+l/P
I Xl I , Ilk ? 22'+1C2H-Ic+1'p
where X1 = (2jj, I i(i) I ? H1P (j

*.*., Yn). 2, .. , p). Combining
By (iv),
these estimates, we obtain for the norms N($lk) < 2n+lC2Hl-nIC < 1, if H is
large. This would imply elk = 0 (k =1, * , n), whence X1 = 0, X1 = 0.
Assume for the moment that 'H is large.
Let 1 ? k < j ? u. Yj satisfies all the inequalities (i), (ii), (iv) satisfied
by yk (in fact, (ii) is more restrictive for Xj than for Xk). Hence by our special
choice of XkY
( 6) D (X1,*A * Xk1 Xk ) DX1, * l* d k1,

k Xj ) 1_k<j<a
In particular, for k = 1, XjA < XjA Thus by (5), no X~j is 0.

Next we are going to show
(7) w Xl Aby>i
th Xs t(Xkio
/2, eie1 )
XjD (4by!)2 (1 k< . ).
We will do this by induction on j. Define Yj by XjA =iXjA I Yj (j= 1,*ly ,
Using (6) with k j -1

we find after cancellation by I X[ *
XjL. 1,
I Xjt1 ID(Y1 , Y>-2 Y_-1)< Xj ID(Y1 *, Yi-2 Yi) < Xi. Using our
inductiveassumption and developing the determinant,we findD( Y1,... ,Y -1)>
1/2,whence I X_ I > I Xjt1 1/2. By (ii),
X(Xky XjA) <(8uu!)-1| XkA |/| Xj I <s (8u,!) '2j- -<(4u,!)-l
This proves (7). By the argument of the corollary of Theorem 7, X1A, ... ,YXA
are linearly independent. Hence also X1, ... , X. are linearly independent,and
dim Bi = i (i = 1, ..* * ).
Our next aim is to verify (4). By (iv) it sufficesto take j 1. By (i), (5)
and (7)
|Xi* | < I XiA I (i=1 .. )
Also by (7), | X1A I** < 2D(X1A, *..,

XiA Xie). Hence, by (iii),
D (X1y, ** Xi ) < I X, I .. I Xi I 2i I X, I .. I Xi|
<:- 2i"lD(XAy .. * XiA) <Hi/P2i+l < HiI .
To finish the proof of our theorem, note I X1 ? X A 2iXA 2i1 Xi I
by (i), (5), (7), and I Xi I (A, Xi) = Xi* i< C2H-'6c+llp by (i), whence
i X I (A Xi) < 2-C2H--'C+l"p(i = 1 *..., au). By (iv) and since X1 has integral
components,H(B1)wo(A,Xi) < 2nC2H-dlc (i =1, *..., u). The second inequality
in (7) enables us to apply the corollary of Theorem 7, which yields
H(B')ai(Ad, Bi) < 4nC2HdI, whence (2) (i =1, * , u).
Case (a) is thereforeproved for H ? H,(n, K). If 1 ? H < H., take any
sequence of subspaces B1 c: ... c BRuof height 1. (See Lemma 8). The left
side of (2) will be at most 1, hence (2) will be true if C, ? Hd'c.
Case (b). We will only sketch this case. We now assume a, to be the
identitymap, U2 the complex conjugate map, [1] = Re('), d[2] = Imd'J) for all
~ e K. Again we consider points X = (XI1], *.. , XIP]) of euclidean EPB.With
X we associate X = X['] + iX[2] in U". (i = V 1 here). X can uniquely be
written X = XA + X*, where X4 e A, X* e A-. One now constructs lattice
points X1, ..., XX.of A having Yj # 0,

(ib) i Xj* < C2H-n12c+lP, (ii), (iii) and (iv), but (iv) only for k = 3, *.. , p.
The existence of these points is shown essentially as in case (a). Again XY is
chosen with D(XA, ... , XjA) as small as possible.
(5) is replaced by Xj* > 2nC2HnI2c+lIP, while (6) and (7) hold as before.
At the end of the proof one has I Xi w(o(A, Xi) < C2H-n2c+lIP, whence
IX 12w02(AYXi) < 22nC 2H-nc+21P, finally
H(B )(2J(AYXi) ? 22nC2Hd/C (i = 1, * *.
The desired inequality (2) now follows from (7) and the corollary to
Theorem 7.
11. Transference theorems

THEOREM9 (Going-up-theorem). Let d + e < n, Ad, Be subspaces of Gn
with Be defined over K, satisfying H(Be) < Hy
H(Be)xifi(Ady Be) < cH-Yi (i =1, **.. t = min(d, e))
for some H > 1, xi-0, yi > 0. There are C3 = C(n, e, K), C4 =
C4(n, e, K, xi, y,) such that, putting H' = C3Hn-e-l')n-e' there is a subspace
Be+1 D Be, defined over K, of height H(Be+l) < H', having
(8) IH(Be+l)xi(n-e)(nf-e-l1) i(Ad, Be+l) < cC4H'-Yi( n-e)I(n-e+l)

( ) (i = 1, *@,
~~~~~~~~~~~~
PROOF. Let C3 be the constant cl of Theorem 2. There is then a B +'D Be,
Be+1 defined over K, with H(B'e+) < CH(B'e)(-e-l)/(n-e) < H'. By the corol-
lary to Lemma 12, A4(A, B'~') ? 4i(A, Be). Combining our inequalities, one
obtains (8) for suitable C4.
THEOREM10 (Going-down-theorem). Let Ad, Be be subspaces of Gn,
with Be defined over K and of height H(Be) < H. Let 1 < h < f' -
min(d, e - 1), c _ 1 and

(9) H(B e)co4(Ad, Be) < CqH-(qyi-l) (i =1 ... h)
where y, > ... > Yh> (qh)-l. Put Y = Y1 + *. + Yh and assume
(10) pi yie(qy + e- 1)-1 > q-1 i=1,** h) .
There is a subspace B'e- cz Be, defined over K, of height
H(Be-1) < C5H(Be)H(qY-l)le < C5Hj(e+qY-l)le = H'
having
H(Be-l)(Ad, Be-') < C6C (Y-)(Y+e-1)e Cq fft-(qY'-l)
whence
c)w(Ad, B e-l) < CgcH(B"')-ys (i = 1, ..., h)
On the other hand, if instead of (9),
(11) 0) (Ad, Be) = 0 (i = 1s ... 9h))
put
Y = e(qh)-l .
Then, for given H' > C9H, there is a subspace B'e- ci B', defined over K, of
height H(B'e-) < H', having
H(Be-l)ai(Ad, B'') < CjoHsY'HJ-(Yo-l) (i = 1, ..., h) ,
whence
w-)i(Ad, Be-') < C,,HY'H(Be-l)y6 (i = 1, , h)
h)
In this theorem, C5, ** , C11depend on n, K, d, e, y1,***, yt,,but not on

Ad B e H.
PROOF. We firstassume(9) to hold. Let m = n - e and BeI = <Z1 ... ,Zm>
withZi e K". We are goingto constructa vector W e K" but not in BeI such
that
(12) Be-1 = <W, Z1, ... Z m>
has the requiredproperties.
Let xi = Xi(Ad, Be) (i = 1, *..., f = min(d, e)), and choose orthonormal
bases X1, ... , Xd of Ad and Yi, * .., Ye of Be having XiYj = Xibij, whence
(n(Xi Yi) = Wii(Ad, Be) (i = 1, *...f). One has YiZj = O (i = 1, ***,e;=
A(BeI) is a lattice in euclidean EP" of dimensionpm and determinant

AmH(Bel)= ArnH(Be). Let 1, ..zpm be basis vectors of this lattice, and
let H be the set of pointsZ = F citi withreal ci, I ci I < 1/2. The set H has
(pm-dimensional) volumeAmH(Be)and containsno latticepointof A = A(K")
but 0. Let S * be the pm-dimensional subspaceof EPn spannedby A(BeI).
(a) In thiscase we mayassumea1to be theidentitymap. Yj is orthogonal
to BeI, hence Yj = (Yj, 0, * *, 0) e EPn orthogonal to S*(j =1, **, e). An
arbitraryX e EPn can uniquelybe written
I = X* + 11 + *** + Xh + Y0 9
where X*e S, Xj <j>(j = 1, ... , h) and X0is orthogonalto S* and to

V19 * Considerthe set of all X such that
(i) IIH,
(ii) Yj I < H-(Yi-(Y-1)1(ep))
(H/H(B e))llh (j = 1, .. h)9
(iii) 10Io -< C12H'zY-1)1 ep).
and of volume
This set is convex,symmetric
?rIH(IBe) H
(M (2H-(Yi-(Y-1)/(eP))))IHH(Be)-1 V(ep - h) (C12H(-1)I(ep)eph
- Ar2h V(ep - h)C12P-h > 2 9
if C12is large. Thus by Minkowski'stheorem,thereis an X # 0, X e A in this
set, and since X* ell, XI A(BeI). Let X= p(W). Then We I(Kn), but
Wx Be'.
1 WYjI = I -V~jI = I Y-jI < H-'Yj-'Y-1)1(ep)) (HIH(B e))11h
(13)
(b) Now we may assume a1 to be the identitymap, a2 its conjugate,

V[1] = Re [2] - ImV)'' for d e K. Since Yj is orthogonal to Bel,
- (y[l] -y2] 0, . 0, - = (yj;2] yjl] 0 ... 0)
(j =1,..,h)
of Epnare orthogonalto S*. Set Tj <J+, J, *.., j j>(j = 1, *.., h).

Dim Tj = 2j. Choose orthonormalvectors 1, * *, DI so that Tj =
<T19 T12,
. . .
9 Th,MJ>(j 1, * , h). X e EPn can uniquelybe written
*
X + XT + X0,
whereX*e S *, I,, e Th and X,is orthogonalto both S * and Th. The set of X
satisfying
( ib) X*e H,
(iib) XJi < HI-(Yj-(2Y-l)/(ep)) (H/H(Be))112h (j = 1 h; i 1, 2),
(iiib) Ilo I < C12HI(2y-l)/(ep)
is convex,symmetric, and of volume > 2"An if C12is large. Thereis an I e A,
X # O,in thisset. Let X = p(W).
IWY, yJl]
1,4W[1] _ W[2] yr2] + i(W[1] y[2] + W [2]Y41])
-
IX?)j + iXW,7 I < IX
Y-JHI + I4-J7T'I 21Xji,
where Xj is the orthogonal projection of XT on Tj. By (iib), XIj I <
C13H-
(yj-(2y-1)/(ep)) (H/H(B e))1/2h , whence
(14) WYj I < 2C13H-(Yji-2Y(l)I'eP')
(H/H(Be)) ((j = 1 , h)
Now let either(a) or (b) hold. (ii), (iii) impliesin eithercase
IY- * I < C14H(qy-[)1(ep)[
because by assumptionyj > l/(qh). Write W = U + V where Ue Bel =

<Zi, **, Zm> VC B e. Then
W(P = UT) + V (i) JU(i)e Be(j)I =
<Zl(- ) . ., Zm$)>9VW e Be (j) (j = 1, . .,p) .
Now if uj is real, Ui = (0, *... 0,

0. V 0j),*0.. ) is orthogonalto S* and to
I- V. Hence IVj 12 = I Uj I = I j(XJ- X*) 1, whence I VW I = 1?Uj I <
C14HHqY-1'1'ep'.But if uj, aj+, are complex conjugate, let R c Be n Kn, i.e.,
R e Be with coordinatesin K. Then 9j+ = (0, *... ,0. R'i'- R'j+1' 0, *. .),
9-(0, *=.,0 O.,R'09 ' R' O. * ) are in S*I.
0,
*0 Hence
W[jil?[j] - WIVj+'R
ij+l] X1 =- J+ <? C14H(qY-l)I(eP) Rj+
JW4j]J [j+?1 + WIj+V'R[ji 1= ij- I < C14H (qY-l)1(eP) 9Rj-.
This implies IWVRW I < 2C14H'qy-l)l(ep) R WI, hence, since R Wis arbitrary
K(j) and thereforedense in Bedj),
in Bed() nK
(15) VWjI < 2C14H(qy-1'1'ep)
This is trueforj =1, *..., p.
Let a be the ideal of K generatedby all determinantsof m x m-sub-
matricesof the m x n-matrixwith row vectors Z1, * , Zm, and b the ideal
generatedby the (m + 1) x (m + l)-determinants of the (m + 1) x n-matrix

with row vectors W,Z, ***,Zm. The componentsof W are in I, whence
b ci a, N(b) > N(a). H(B e) = H(B eI) N(a)-' flj D(Zi), *.., Z")).
Now if Be-1 is definedby (12),
H(Be-l) = H((Be-1),) (b)-1 JjiPI D(W
= ,(i)
Z1", , Z(i))
= N(b)-1 fIJ (I V( I D(ZI(i), .. *, Zmi))) < H(Be) JI-V V(i)
< CAH(Be)H(q8-Yl)e < CHfJ(e+qy-l)/e =

H-
forsuitablylarge C5. Since YjZj = 0 and I Yj I = 1, one has

C2(B e-l)
II )
= p&2( (B e-l)1)I Y)
-2
= D2(Yi, WJ Zi, ,
Zm) I *2
i|2D((I, Z ,
(I Yi 12D2(WV Zi9 Zm)- | 2D2(Z * Z)) (D(W, Z, * Z.))-2
= 1
-iY~Wi 12D2(Z1, ** Zm) (D(W, Z1, *,
Now by (II. 8),
co)(B -l Yj) = YW
j ID(Z1, * * Zm)/D(Wg Z19 .. *I* Zm) I
Dq(W, Zi, ***, Zm) ap(B'e-, Yi) = qyWtqDq(Z1, *, Zm)
This gives
H(B e-~~(B e i)
= N(b)-'(j =q+lD(W(j)q Z1(j), *.., Zmj)))Dq(TY Z1, *, Zm)oq(Be-l, Yi)
ZP)q ... Zmi)))Dq(Z1, Zm) I

YjWVq
-N(b)-'(IIj =q.D(V(j)q *,
< ... Zmr))) (jIp=q+11 V) (HI/H(Be))llh

CQN(c')-1(HII=D(Zj', [)H-(Yi-(qy-1)(ep))q
<C16H(B e)H (V-q)(qY-1)1(eV)-q(yi-(qy-1)1(eV))HIH(B e)
= (e (i= 1,., h)
by (13, 14, 15). There is a vector Uj e Be-1having

H(B-)(0q( Ui9 Yi) <- C16H-nqil(qY-l/
Also, by hypothesis,
H(B e)soq(Xi, Yj) _ cqH-qyi+l
whence
H(Be l)q(Xig Yi
1) CH-qi+l+(qy-l)le = C5H-(qyi-')(qy+e-l)le
By these inequalitiesand (II. 3),

H(Be-~o(i Ui lH-(qil(Y It )/ (i = 19 . . . 9 h),
whence by Theorem 7, H(Bel)oq(Ad, Bel) < C6H for suitably

large C6.
We are going to sketchthe changes to be made when (11) holds. Define

H1 ? 1 by H' CHHlq~e (We will say in a momenthow C9is to be chosen
here). In case (a) replace(i), (ii), (iii) by (i),
(ii') |j |< HI(1_hlep)
(ijii) I o < CJHlhe
In case (b) replace(ib), (iib), (iiib) by (ib),

(iib') | ?'T I < HI-(1_2hlep)
(iiib') | I < ClHl h p
As analogue of (13), (14) one obtains
|WYj <2C1? H -(1_qhlep)
The inequality(15) becomes
I V ?i) < 2C20HqhleP
Later on one finds

H(Be-l) < H(Be) T21 i I < CH(B e)Hhie
Now set C9 = C, so that H(Be-l) < H'. Towardsthe end of the proof,
H(B e-1)c,)q(B e-1, Yi ) <- C21H(B e-1)Hi( p-q)qhlep-q(1-qhlep)
C HH[qJ(l-elh)/e - C10Iel~hfilelh = Y (
THEOREM11. Let 0 < d, 0 < e, d + e < n, Ad, Be be subspaces of Gi

with Be definedover K and H(Be) < H, satisfying
H(B e)q(Ad, B e) < cH-x
Thereis a subspaceBe+1 m Be, definedover K, with height
H(Be+l) < H(e+l)le - H'
and
H(Be+l)1q (Ad, Be+l) < cC22H -x-(d+e)1(e(n-d-e))
- crC22H'-(ex+(d+e)1(n-d-e))I(e+l)
PROOF. We restrictourselves to the case (a). Let q, up be as before. ...,
The lattice A(Be) in EPn of dimensionpe has determinantAeH(Be). Let

21Z *. . .pe be a basis of A(Be), and H the parallelepipedof all pointsZ =
E citz with I ci I < 1/2, which has volume AeH(Be). Let S * be the subspace
of EPnspannedby p(Be), hence by A(Be). (Noticethat in the proofof Theorem
10, S * was spannedby A(Bel)).
If ai is real, let S Wbe the space spanned by all vectors (O, O.. 0, XWi,
0, ... ) where Xe B e n Kn. S(i) is a subspace of EPn of dimensione. If
ai, oi+i are complex conjugate, let S ii+1') be the space spanned by all vectors
(0, ... . O XWiXU91],0 ... .), (0 ... .,0,- y[i1] Yi0 ) where Xe BnKn,
Yc Be n Kni. Then SI','+" is a space of dimension2e, S* is containedin the

orthogonalsum of the spaces S (i and S (i ?+1) just constructed;and a comparison
of dimensionsshowsS * to be equal to this orthogonalsum. ThereforeS * I
is the orthogonalsum of the spaces Thi, T( i+1, where Ti) is the orthogonal
complementof Si') in the space of all points (0, , 0, Zi, 0, ), Ti, i+') the
orthogonal complementof S(ii+1') in the space of all points (0.* , 0, Z4, Z4+1,
0, ..).
X C EP" can uniquely be writtenX X* + X' with X* C S*, X1CS*I.
Write X' = (Z1, * * *, ZP). Then (Z1, 0, ***, 0) C T'l), hence Z, C BeI. Let Cd
be the orthogonalcomplement of Be in <Ad, Be>. Since Ad n Be # 0 implies
p(Ad, Be) = ,(Ad, Be+l) = 0, we may assume Ad n Be = 0, whence dim Cd =
d. We can writeZ1uniquelyZ1 = Z11+ Z12,whereZ11C Cd and Z12C <Ad, Be> .
Now considerthe set of pointsX so that
(i ) X*fH,
(ii) I Z11 I '-H 1,ep
(HIH(B e))11d
(iii) I Z121| < C22H- (p-n+d+e)/ (ep(n-d-e))
(iv) I Zi
-H
l~lep (j = 2y ... . p).
This set is convex,symmetric,
and of volume
> C23H(B e) (H 11ep(H1H(Be))11d)d( C22H- (np-n+d+e)/(ep(n-d-e)) n-d-e (H ilep) (n-e) (p-1)
> 2nPAn
for large enough C22. Let X 0,. X e A be in this set. If X p( W), then
WX Be because X*E I. Set
B + = <Be, W>.
Now if Be = <X1 **, Xe>, whence
H(B e) = N(a)-l II`=, D(Xj), **, Xe( ))
then,as in the proofof Theorem10,

H(Be+l) = N(b)-1 HIp_ D(Xl'j' , . ., Xe y(W ')
< N(bD)-1(Hp=l D(Xl(j)y ..* Xe(i))) IaZ, ~P21Z
or I Zi I + IZi+11,dependingon whetherai is real or not)

< H(Be)HllPe(HIH(Be))lldHi(p-l)lepI
since by (ii), (iii), Z, I <? HlleP(H/H(Be))l1dif H is large. This yields H(Be+l) ?

H(e+l)Ie = H'.
Next,
H(B e+l)a(B e+l Ad)
=N(b)l(JP) D(XIji), ,.. Xe(i) W (P)) D( Y, ...

* Yd X Xe, V) ,
where Ad =Y1, ..., Yd> with D(Y1, ..., Yd) = 1. We obtain

H(Be+l) [e(Be+1, Ad)

< N(c)l(Ilp=2D(X(i, **, Xe(i)))(TI:'i ZP or IZj I + IZj+j [)
D( Y1, *, Yd X1K*..,* X.) C22H-(np-n+d+e)/(ep(n-d-e))
< H(Be) [e(Be, Ad) C22H-(np-n+d+e)/(ep(n-d-e))+(p-l)/ep
? cC22IJ -(d+e)I(e(n-d-e))
Small H are dealt withas at the end of part (a) of the proofof Theorem9.
12. Upper bounds

Finally, combiningthe basic theoremwith transference-theorems, we
will be able to proveresultsof the followingkind. Let 0 < d < n, 0 < e < n,
t = min(d,e, n - d, n - e), 1 < j < t. Givena subspaceAd of G' so that for
no Be definedover K, *j(Ad Be) = 0 (this equation is equivalent with
dimAd n Be > j), there are infinitely many subspaces Be, definedover K,
having
q(Ad , Be) < C24H(Be)-C25,
where C= C=(n, d, e, j, K) > 0 (i = 24, 25). The difficulty of course is to

provethisresultwithlarge C25. Afterprovingour general Theorem12, we
will proveTheorem13 which holds for special values of n, d, e, j, and has
betterexponents. As will be seen in ? 13, someofour exponentsC25are even
best possible. In ? 14 we will show in general that C25 cannot be chosentoo
large. At the end of this sectiona resulton [e will be shown.
Let 0 < d, 0 < e, d + e < n, 1 < j < t = min(d, e). Given
THEOREM 12.
a subspaceAd of Gnand H ? 1, thereis a subspaceBe, definedoverK, with
H(Be) < Hand
(16) *qf(Ad,Be) < C24HI-d(n-j)/(j(n-d)(n-e))
If j = 1, (16) may be improvedto

(17) H(Be)(n-'l)/(n-e)*q (Ad, Be) < C24IJ-d(nl1)((fn-d)(n-e))
COROLLARY. Assumefor no Be definedover K, dimAd n Be _ j. There

are infinitelymany Be, definedover K, with
*q(Ad, Be) -< C24H(Be)-d(n-j)/(j(n-d)(n-e))
If j = 1, this inequality may be replaced by

*q( d, Be) C2 e)-n(n)/((n-d)(n-e))
PROOF. We will assume j fixedand use inductionon e, beginningwith
e = j. Let H> 1, whenceH1"j > 1. By Theorem8, there is a subspaceB6,
definedover K, of heightH(Bj) < (H~li)i = H and
*qj(A
d
Bi) < H(B') lCH -dl (i(n-d)) < CHH-d/(j(n-d))
This takes care of the case e = j.
For H > 1, define H1 by H = C3Hlin-e-l)n-ewhere C3 is the constant of
the Going-up-theorem.If H is large, H1 > 1. Assumingthe truth of our
theoremfora particulare, therewill be a Be, definedover K, with H(Be) <
H1, q(Ad Be) < C24H-d(n-i)(i(n-d)(n-e)). thereis a
By the Going-up-theorem,
Be+1, definedover K, with
H(Be+1) < Hf *q(A d Be+1) C24H-dn-j)(j(n-d)(n-e))[(n-e)(-e-1)]
whichgives just the rightexponent.

The case j = 1 also is doneby inductionon e. For e = 1, Theorem8 gives
H(Bl)fq(Ad, B1) < CHIPdlc = CH -d(n-lI)((n-d)(n-1))
and can be left

The inductionis again done by using the Going-up-theorem,
to the reader.
THEOREM 13. Let O< d,9O < e, d + e < n, 1 < j < t = min(d,e),
(18) j + n-t > j(j + nn-d-e) .
Given H > 1 and a subspaceAd of G", there is a subspace Be, definedover
K, of heightH(Be) < H, satisfying
H(Be) fr(Ad, Be) < C26Hl-(j+n-t)I(j(j+n-d-e))
COROLLARY. Under the same conditionsas in the theorem,and assum-

ing thereis no Be, definedover K, with dimAd n Be > j, there will be in-
finitely5many Be, definedover K with
(19) fr(Ad,Be) < C26H(B e)-(j+f-t)/(j(j+f-d-e))
to show
PROOF. Assume firste < d, so that t = e. By duality,it suffices
for d + e > n, e > d, the existence of a subspace B6, definedover K, of
heightH(Be) ? H, having
(20) H(Be)fr*(Ad, Be) ? C26Hl-(ij+e)I(i(j+d+e-n))
providedj + e > j (j + d + e - n). This we will prove by inductionon j.

One now has
*,(A d Be) = Od+e-.+l(A dyB e).
Let Be+l be a subspace definedover K, of height 1. Then (wi(Ad,Be+l) = 0 for

Added in proof. This is obvious only if strict inequalityholds in (18). If (18) holds
5
with equality, then j > 1. If, say, e _ d, then in the proof of the dual inequality (20)
one obtains Be as a subspace of some Be+' having 1bji(Ad, Be+l) < H-c for some c > 0,
and this implies 3jbl (Aa, Be) < H-c. For fixed Be, this can hold for all H only if
Be) = 0. This equation remainsunchangedif we returnfromthe dual situation to
1j_1(Ad,
the original one. Hence if there is no Be satisfying3bj-(Ad,Be) = 0, i.e., dimAd n Be > j - 1,
then (19) will be satisfiedby infinitelymany Be. The same conclusion holds if e > d.
, h, whereh = d + e-n + 1. We will use the secondpart of the

i = 1, .*.
Going-down-theorem. For large H, H ? C, = CH(Be+6), where C9 is the
constantof the Going-down-theorem. By this theorem,there is a subspace
Be, definedover K, withH(Be) < H and
I(Be)a (Ad, Be) < C10f-(Iqy-l) = C1oH1-(e+l)l d+e-n+l)( 1, h)
uponsubstitutingy' = (e + 1) (qh)-l and h = d + e - n + 1. This showsthe
case j = 1 of (20).
Next we are goingto do the inductionfromj - 1 to j.
j(A , Be) = (Od+en+ j(Ad B e)
t
Hence set h = d + e - n + j. ChooseH1 such that CH,(e+qY)I(e+l) = H, where

y = (j + 1)/((j - 1)q) and C5 is the constantof the Going-down-theorem. If
H is large, H1 > 1. By the case e + 1, j - 1 already proved,thereis a Be-',
definedover K, with
H(Be+1) < H1, H(Be+l)f 1(Ad Be+l) C26-( j+e)((j-l)(j+d+e-n))
and w)(Ad, Be~l) for i 1, ** , h satisfythesameinequalityas *q. (Ad Be~l).
We now applythe Going-down-theorem with
Y1 = .. = Yh = (i + e)/((j - 1)qh) ? 1/(qh)
whence y (j + e)/((j - 1)q) and
y>=...
Y1 = Yf
h
= [(e + 1) (j + e)/((j 1)qh)] [(j + e)/(j - 1) + e]-1 = (i + e)/(jqh)

-
There is a subspace B , defined over K, withH(B-) < H, H(Be)o4(Ad, Be) ?

C26H1-(j+e)I(jh)(i = 1 *...
* h) witha suitable C26= C26(n,d, e, j, K) > 0. This
finishesthe case e < d of our theorem.
Next, let e > d so that t = d and d < n - d. We will proceedby induc-
tion on e, going down frome = n -d to e d. The case e = n -d was taken
care of by the proofof (20). Hence it remainsto do the step frome + 1 to e.
ChooseH1 such that C T-(e+qy)l(e+l) H, where -
y = (i + n - t)/(q(j + n
d - e - 1)). -
If H is large, H, _ 1. By the case e + 1, j, thereis a Be+ withH(Be+l) < H,

and
H(Be+ 1)o-q(AdY
Be+1) < 2l-(j+nf-t)/ j(j+nf-d-e-1)) (i .. h),Y
1,**
whereh = j. We mayapply the Going-down-theorem withy1= h=
(j + n - t)/(qj(j + n - d - e - 1)) ? l/qh and
f1= ... = Yf
= [(e + 1)(j + n- t)/(qj(j + n- d - e - 1))][(j+n-t)/(j+n-d-e-1) +e]
= (i + n - t)/(qj(j + n - d - e)) .
There is a Be with H(Be) < H, H(Be).)q (Ad, Be) ? - (j(j+n-d-e
(i = 1, ***, j) for suitable C26.

THEOREM14. Let 0 < d < n, u = min(d, n - d). Given a subspace Ad
of G7 and H > 1, there are subspaces B1 c ... c Bu, each defined over K,
with heights H(Bi) ? Hi (i = 1, ... , u) and
H(B )llq(Ad Bi) <- C27H-d/
(in-d)-(d+l)/ (n-d-l)-----(d +i-l) (,a-d-i+l)
whence
pq(A d9 Bi) < C27H(Bi)-(n/i)(l/(n-d)+l/(n-d _l)+ -+l/(n- d-i+l)) (i =S ** U).
c Bi
PROOF. The existence of B1 follows fromTheorem 8. Suppose B' c ..
with the requiredpropertieshave been constructed,wherei < u. We now

apply Theorem11 with H of that theoremreplaced by Hi and with x =
i-'(d/(n-d)+...+(d+i-l)/(n-d-i+1)). Thenix+(d+i)/(n-d-i)=
d/(n - d) + * * * + (d + i)/(n - d - i), and thereis a Bi+1 with H(Bi+') < Hi+'
and, fora suitablylarge C27,
H(Bi+1)"q (Adq Bi+') < Q27H-d/(n-d)-***-(d+i)J(n-d-i)
COROLLARY.Let 0 < d, 0 < e, d + e < n, t = min(d, e). Given a subspace

Ad of G and H > 1, there is a subspace Be, defined over K, with H(Be) ? H
and
eH(n-)/ l y(dS
p Be) < C2H(-~(t(n-e))(d/(n-d)+---+(d+t-l)/(n-d-t+l))
whence
pq(Ad , B e) < C28H(B
e)-n(n-t)/(t(n-e))(l/(n-d)+- -+l/(n-d-t+l))
PROOF. For e ? d, t = e, this followsimmediatelyfromthe theorem.

For e > d, t = d, proceed by induction on e, using the Going-up-theorem.
13. Best possible estimates

THEOREM 15. Let O < d,9O < e, d + e < n, t = min(d, e). Let L be a
number field containing K of relative degree [L: K] = n. Also assume in
case (a) that L and all its conjugates over K in the field C of complex
numbers are real, and in case (b) that L c C. There are subspaces Ad of Gn,
defined over the least normal extension of L over Q, and constants C29 =
C29(n, d, e, K, Ad) so that for every Be defined over K,
kt(Ad, Be) > C29f(Be)-n(qt(+t-d-e))
COROLLARY.Let O < d,0 < e, d + e < n, t =min(d, e),

(21) n _ t(t + n-d-e).
Given a subspace Ad of G having6dim Ad n Be < t for every Be defined over
6 and having dimAd n Be < t - 1 if (21) holds with equality.
K, thereare infinitelymany subspacesBe, definedoverK with

*t(A d, B e) ' C29H(B e)-n/qt't+n-d-e))
The exponent - n/(qt(t + n - d - e)) is best possible.
The inequality (21) is always satisfied if t = 1, and hence our corollary
contains (except for the explicit value of C29) all the classical approximation
theorems.
PROOF OF THE COROLLARY.The positive part of the assertion is a special
case of the corollary to Theorem 13. Best possible follows from Theorem 15.
PROOF OF THE THEOREM. Set c = X- d and pick a basis a,, ..*, a,
**1, * 8d of LIK. Let al, *.., ou be the isomorphismsof K into the complex
numbers. We may assume al to be the identity map, and in case (b), we may
assume a2 to be the complex conjugate map of al. Let zij(l , say, are the K-isomorphismsof L into C. In case
(b) we may assume ril, Z-c2 to be complex conjugate. The matrix (asi)
(1 < i < n, 1 < j < c) has rank c, and we may and will assume the c x c-
matrix (asi) (1 < i, j < c) to have rank c. Pick yj,(l ad. (? d
and set Ad 1<Y, *,
Now let B1 be an arbitrary 1-dimensional subspace defined over K. Say
B' = <X>, X = (1, ...*, E%) with ~i e I (integers of K). We may, because of
the finitenessof the class-number, assume the ideal a generated by 1, ...,
to have norm < C30= C30(K). Define c0 by
V,(Ad, B') = coH(B l)-nIqc

Then
* *, Yd) = p (Ad B') I X JD(Y19..** Yd)
D(X9 Y, ..
= *,(Ad, B') I X D(Y19, ..., Yd)
= jolX D( Y1, ..., Yd)H(B 1)-n'qC
Hence each (d + 1) x (d + 1)-determinant of the matrix with row vectors

X, Y1, Yd has an absolute value at most this large. Looking in particular
. . .,
at the determinants Dk with column vectors number 1, 2, ... , d, d + k

(1 ? k < c), we find
I Y11k+ + .+* eddk - ed+k <? colX ID( Y1, **, Yd)H(B l) nIc
Multiplyingby ari and summingover k from1 to c, we obtain

L i(X) I= |1/'i + * + Adfrdi- -d~jar -na- i I < CoC311
X H(B l)nIqc
(1 < i < c)
where L is the linear form L(X) = 1,f1+ + 3dg - id+lal - - nac
(C31, ** C39 depend on Ad). For c < i < d, I LrTi(X)I < C321
, X I, whence
JHni= L(X) - JIn

i Lri(X) <? ccOC331
X InH(Bl)nI
J=1 jjq=j I L(X)Trij I < cqC3q I X InqH(Bl)-n
Finally,since IL(X)rii I < C341Xij 19

J=1 IIJ=J I L(X)rii <-c
? C c351 X InqH(Bl)-nI Pq+l In ... I Xr In
- cqcC35H(Bl)nN(a)nH(Bl)-n ? CoC36
On the other hand, the left side, being the absolute value of the normof
L(X) # 0, whereX e I(Kn) and the coefficients of L(X) are fixedelementsof
the field L, is > C39. This proves c0 C29,
> and hence our theorem for t =
e = 1.
We next take care of the case wheree < d, whencet = e, n + t- d - e =
n - d. The same subspaceAdas beforewill do. This followsby inductionon
e. Suppose
*t(Adq B e) = c~oH(B e)-nlqtc
whereBe is definedover K. There is by part (b) of Theorem2 a subspace

Be-1 c Be, definedover K, with H(Be-l) < cjH(Be)(e-l)le. Since #,-,(Ad, Be-1)<
#t(Ad, Be) (this follows easily from Lemma 12), we obtain #t,1(Ad, Be-1) <
By induction,cOC38,
cOC38H(BHe-1)-nH'q(t-1). hencec0cannotbe too small.
Finally, we deal with the case e > d, whence t = d, n + t - d - e =
n - e. Now d < n - d, and we are goingto proveour resultby inductionon
e, going down from e = n -d to e = d. The case e = n-d, that is,
d + e = n, followsby dualityfromthe previouscase. It suffices to go from
e to e - 1. Assume
*t(A dq B e-l) = coH(B e-1)-n/(qt(n-e+1) )
thereis a Be with*t(Ad,Be) < COC39H(B

By the Going-up-theorem, e)-njqt'n-e".
By induction COC39,hence c0 cannot be too small.
14. Lower Bounds

Givena real a, let {a} be the integerwitha ? {o} < a + 1.
THEOREM16. Let O< d,0 < e, d + e < n,
Let L be a numberfield containingK, of relative degree [L: K] = _ > m,
so thatL is real in case (a) and complexin case (b). Thereare subspacesAd
of Gl, definedoverL, so thatfor everyBe, definedover K,
pq(Ad, B e) > C4oH(Be) I S
where C40 = C40(n,d, e, K, L, Ad).
COROLLARY 1. Let n, d, e, m, be as before. There is a subspaceAd of Ga

so that/jq(Ad, Be) > C4,H(Be)-rn for everyBe definedover K.
COROLLARY 2. Let n, d, e, m, be as before,1 < i < t = min(d,e). There
is a subspaceAd of Ga so thatfor everyBe definedover K,
*q(Ad, Be) _ C42H(Be)-rnmi
PROOF OF COROLLARY 2. Use Corollary 1 together with = ... <
*1 ..*i _t< *ii
Theorem16 is an immediateconsequenceof the followinglemmaand
followingtheorem.
LEMMA14. Let 0 d, 0 < e, d + e < n. Let Adcd Ga be definedovera
fieldL whereL K, [L: K] = 1 and L is real in case (a), complexin case
m
(b), and assume Ad n Be = 0 for every Be definedover K. Then every Be
defined over K satisfies /iq(Ad,Be) > C40H(Be)-1.
THEOREM17. Let n, d, e, m, be as in Theorem16. Let thefield L be a
separable finite algebraic extension of some infinite field K, of degree
[L: K] = I > m. Thereare subspacesAd of LT so thatAd n Be = 0 for every
subspaceBe of La thatis definedoverK.
To findthe smallestvalue of m forwhichthis theoremstill holds is an
unsolvedproblem.
PROOF OF LEMMA 14. As in the proof of Theorem 15, let ul, ..., up be
the isomorphism of K intoC, z-j(l < i < 1, 1 < j < p) the isomorphisms of
L intoC, so thatthe restrictionof rzjto K is a. We mayassumez11,henceul,
to be theidentitymap,and in case (b) we mayassumeTZ2 to be the complexcon-
...*, z1 = ZI,
jugate of Tz1,hence U2 the complex conjugate of a1. Then z-1= arm
say, are the K-isomorphismsof L intoC.
Let Ad be as describedin the lemma,and Be a subspace of Gn defined
over K. Define c0 by /i(Ad, Be) = coH(Be)-lq. Let Ad = <X1, ..., Xd>, Be =
< Y1 ..**, Ye>. We may assume Yi to have integral coordinates, and the ideal
b associated with Y1, ..., Yd to have N(b) < C43. D(X1, ...,
* Xd, Yi, .* *, Ye) =
d ** Ye) = coH(B e)IqC44D(Y1, ** Ye). (The
p(A Be) D(X1, ** Xd)D(Yl,
constantsC44, C46, C46 depend on Ad). Each (d + e) x (d + e)-subdeterminant
of the matrix with row vectors X1, *.., Xd, Y, ..., Ye has absolute value at
mostthis large. Since Ad n Be # 0, one of the determinats,say D0, is # 0.
D. is of the formD. = -ik + XiYk, wherethe xi are d x d-subdeterminants of
the matrixwithrow vectorsX1, ... , Xd, and the Yk are similarlydefined.
J1_R
I < coC46H(Be)-lIqD(Yi, , Ye)
fll~~lRl2= [Dij I oCqH(B6)-1D( Yj, .. * .e)lq9
J1=J=1I oij ? c(CH(Be)-l IL D( Yf1i,* *,eY
< C Cq5H(Be)-1 H(Be)lN(b)l < CqC46
For some fixed t # 0, t E L, xit are integers 1 N(t)-1P,and this yields c3 > N(t)-'PC4-1,
whencecq > C40. This proves
our lemma.
LEMMA15. Let K c L c &?befields,whereK is infinite,L/K a separable
finite algebraic extension of degree 1, and &i algebraically closed. Let
U**, a be theisomorphismsof L/K in &2. Finally, let h(X('', *. . , X'V) =
(x),* .., x...
***, , ***.., x() be a non-vanishing polynomial in sl variables
and coefficients in K. There is an X E L3 so thath(X01,.* *, Xci) + 0.
PROOF. Let 8l,9 ..., f be a basis of LIK. Let X = (x1, ... , x8) e Ls and
Xij = (xoi, *...,x). There are y'j) in K(1 < i < s, 1 < i < 1) with xi
y1)581 + *. + y('),S5, whence xzi = ylf)lij + *a + Let Y(j) = (yj*i),
y'd') (j =1 *.., 1). Then h(X01, *..., Xlz) Y (l)), where k is a
- k((1), *...,
non-vanishing polynomial.This is true since the transitionXn'e,..., X01
s
Y(1)..., Y(1) is accomplishedby a linear transformation of determinant
lf3 j Is # 0. Now since K is infinite,one may choose Y(l), ** , Y(1) in Ks such
that k(Y(1), ..., Y(1)) # 0.
We now turnto the proofof Theorem17. The basic notionsof algebraic
geometryneeded can be found in Artin[1] or Lang [12]. An expositionof
Grassmanvarieties can he found in Hodge-Pedoe[5, ch. VII]. Given fields
K1 c K2, let Td(K2/K1)denotethe transcendency degree of K2 over K1. For
therestof thissection,Q willdenotetheprimefieldof the fieldK of Theorem
17, &?(universal domain) an algebraicallyclosed fieldof infinitedegree of
transcendencyover K, L. All the fieldsconsideredwill be subfieldsof &a.
Givenan algebraicset S, dimS will be the maximumof the dimensionsof its
componentvarieties.
To everysubspaceAdof &P, we let correspondthe one-dimensional sub-
=
space y(Ad) <Y> of &WN where Y (C... , N) N =() and (, **, rN
is a set of Grassmancoordinatesof Ad. The union of all the subspacesy(Ad)
so obtainedformsa varietyG" ofDN; it is a Grassmannvariety,definedover

Q, homogeneousand of dimensiond(n - d) + 1. Call a subspace Ad generic
(overQ) if thereis in y(Ad) a generic point Y of G71over Q, i.e., a point Y
having Td(Q( Y)/Q) = d(n - d) + 1. An l-tuple of subspaces Al', * , A,' is a
generic1-tupleif thereare points Yi e y(A4)(i = 1, *..., 1) so that
Yl)/Q) = l(d(n - d) + 1).
Td(Q( Y1,...,
This meansthat (Y1, *..., Y,) is a genericpointof G4 x ... x GdA(l
times).
LEMMA16. Let n, d, e, m, be as in Theorem17, and let Al, *.*, Ad be
a genericm-tupleof subspaces of En. Then for every subspace Be of &? ,
thereis an i having Be f Ai = 0.
PROOF. Set N = ()M = (). Givena subspace Ad c &Yn,let S(Ad) of
saM be the union of all subspaces 7(Be) whereBe runsthroughall subspaces
Be c flnhaving B fnAd # 0. As is easily seen (see also [5, ch. VII, ?5]),
S(Ad) is an algebraic set. For 1 < 1 < m, let S(l) = S(Ad) n ... n S(Ad),
and put
b(l) = max (e(n - e) + 1 - l(n + 1 - d - e), 0) .
S(l) is a homogeneous algebraic set definedover Q, = Q( Y1, ... , Y1), where as
before Yi E 7(A4) and Td(Q( Yl, * , Ym)/Q)= m(d(n - d) + 1). To prove
Lemma16, it will sufficeto show dimS(m) = 6(m) = 0. We will proceedby
induction on 1 to show dim S(l) < 6(l) (1 = 1, ***, m).
We beginwith 1 = 1 and show dimS(Ad) < 6(1) for arbitraryAd. Given
a linear transformationco of &?", S(Co(Ad)) = Old)(S(Ad)), where o(d) is a linear
transformationof &2M, the dthcompound of o. Hence we may assume without
loss of generalitythat Ad consistsof all points (x1, . ., Xd, 0, *.., 0). Now
S(Ad) is definedover Q. Let Behave B e n Ad # 0 and Ze C(Be). Let X1, .. *,
Xe be a basis of Be such that X1 C Ad and Q(Z) = Q(X1, ... , Xe). Choose
X1,yij(2< i < e,1 < i < e) algebraicallyindependent overQ(Z) and construct

Xi' = X1X1, Xi' = -, jXj (i = 2,
XX=1 ... , e). The basis X1, ... , Xe' of Be gives
rise to a point Z' e y(Be). Z is a multipleof Z', say Z = aZ'. Then Q(a,
X1', * * * Xe) containsQ(Z) and Td(Q(a, X,* *. X)/Q(Z)) = e(e - 1) + 1,
whence Td(Q(a, X,, ..., Xe')/Q) = e(e - 1) + 1 + TdQ(Z)/Q. But a, X1', ... ,
Xe' togetherhave at most 1 + d + (e - 1)n non-zerocomponents,whence
Td(Q(a, X,9 ..., Xe')/Q) ? 1 + d + (e - 1)n. This yields Td(Q(Z)/Q) <
1 + d + (e - 1)n - e(e - 1) - 1 = 3(1),whence the case 1 = 1 of the desired
inequality.
Next we go from1 to 1 + 1. In f2Nx f?m denotethe set of points(Y, Z)
where Ye Gil(whence Y = 0 or Ye y(Ad) for a unique Ad), Ze S(l) (whence
Z =0Oor Z E7(Be) whereBe nfA,'O, ...,B e nAl A O), andwhereBefnAd

0 if the secondalternativeshold. These points (Y, Z) forman algebraicset
T(l), definedover Q1.
Let (Y, Z) E T(l), Z # 0. Td(Q1(Z)/Ql)< 6(l) by induction.
Td(Q1(Z, Y)/Q1(Z)) < d(n - d) + 1 - (n - d - e + 1)
by thecase 1= 1, withtherolesof d, e, interchanged.Thus Td(Q1(Z, Y)/Q1)<
d(n-d) d- 1 + e(n -e) + 1 -( + 1) (n -d-e + 1). On the otherhand,
for(Y, 0) E T(l), Td(Q1(Y)/Q) < d(n - d) + 1. Combiningbothestimateswe
find
dim T(l) < d(n - d) + 1 + 6(l + 1).
S(l + 1) consistspreciselyof all Z with( Y +?,Z) E T(l). Since Td(Q1(Y1+,)/Ql)
d(n - d) + 1, we obtainTd(Q,+,(Z)/Q,+,)< 6(l + 1). This provesdimS(l + 1) <
6(l + 1), whenceLemma16.
Conclusion of the proof of Theorem17. Let Ye G1, Ze Ge1, Y 0,
Z # 0. If, say, Ye 7(Ad), Ze 7(Be), then Ad n Be # 0 if and onlyif certain
bilinear forms b( Y, Z) vanish. (i = 1, ... , C47). Let gj(Z) (j = 1 ... , C48)be
a homogeneous basis of the ideal belonging to Gil c f2M. Now let Y1, ..., Ym
be in &2?, and consider the system of equations
b,(Yk,Z) = O (i 1, ** C47; k = 1, * , m)
bj(Z) = O ( 1j 1, .. C48) -
These equationsare homogeneousin Z. By eliminationtheory([1, ch. V] or
[19, ch. XI]), there is an algebraic set R of &aN x ... x &aN (m times) such that
our systemof equations has a non-trivialsolutionZ if and onlyif (Y1, **
Yin)e R. By Lemma 16, Gn x ... x G7nis not containedin R. Hence R'
R nl(Gn X ... x Gil)is a properalgebraicsubset of Ga x ... x Ga. R' is m
times homogeneous.
Gilhas a rationalparameterrepresentation,i.e., there are rationalfunc-
tions r1,
*,* *, r, with rational coefficientsin d(n - d) + 1 variables, such that
whenwe substitutea genericpoint W= (wi, ..., wd(,,-d)+1) of f2d(n-d)+1 (that
is, w1,..., Wd(.-d)+, are algebraicallyindependentover Q), then (r1(W), ..,
r,(W)) is a generic point of Gn. Now if W'i) = (w'', *..., wd)+l) (i 1,
***, m) and the m(d(n - d) + 1) quantities &P are algebraically independent
over Q, (r1(W'1)),... , r,(W(W)'), ... r1(W(nm), ... r((W(m))) is a genericpoint
* *
of Gn x ... x Gn, hence is not in R'. Multiplyingr1(W'i)), ..., r,(Wi) by

d( Wi) where d is a commondenominatorof r1, ..., rv, and using the m-fold
of R', we obtaina point
homogeneity
in Gdn x ... x Gd but notinR', wherefi, * , fDxare polynomialswithrational

coefficients.Let g be a polynomialin Nm variables, vanishingon R' but not
on P. Construct a polynomial h(XI'', *.., X~m') in m(d(n - d) + 1) variables
by setting
) m -X~m))= g(fi(X(')), *..,fN(X''), *.., fi(Xm), ..,) fX
Now h(W~'l, *.*, W(mn)# 0, hence h does not vanish identically.

Let a, * *, a, be the isomorphismsof LIK in I2. By Lemma 15, and since
1 > m, there is a Xe Ld(n-d)+l such that h(X0', *.., Xam) # 0. Let Ad be the
subspaceof &27withGrassmanncoordinates(f1(X), *.., ff(X)), and (Ad)ai the
subspace with Grassmann coordinates (fi(XAi), *.. fN(XLi)) (i 1, *.., 1).
Ad is definedover L. We claimAd n B = 0 foreveryBe definedover K: If
AdnBe 0, then (Ad)i nfBee O for i = 1, * ., 1, in particular for
i = 1, ***, m. But since (f1(X0L), .., fV(XL'), .., f1(Xam), ..., f(Xam)) is
not in R', hencenot in R, this cannotbe.
15. A special result
By the case K = Q, n = 2, d = e = t = 1 of the corollaryto Theorem 15,

the followingholds. Let Al be a subspace of E2, not definedover Q (not
manyrationalsubspacesBl having
rational). Then thereare infinitely
*1(A1,B') < C29H(B1)-2.
Here the exponent-- 2 is smallestpossible. The followingresultis a variant
of a classical theoremof Hurwitz[6] and gives us informationon how small
we may chooseC29.
THEOREM 18. Let a = (v/5- 1)/2, and let Al, ..., Al be the lines
X1- aX2 = 0, ax1 - X2 = 0, x1 + aX2 = 0, ax1 + X2 = 0, respectively. Given
A1c E2 where A1 is not rational and is not among Al, ..., A , there are in-
finitelymany rational B1 with
(23) B1) < 5-1 2H(B')-2
j1(A1,
here 5-112is smallest possible. If A' is among Al, ..., Al, there are for every
s > 0 infinitelymany rational B1 having
(24) ad(A1,B1) < 5-1"2H(B1)-2+ (500-1/2+ S)H(B1)-6
here5-1/2 and 500-1/2 are bestpossible.
PROOF. Let Al contain the point (fS,1), B1 the point (p, q). We may
assume f > 0. Set s(p/q,,) = ((1 + (p/q)2)/(l + fl2))1/2*
Then
*(A'1, B1) -
ISq -
p I (1 + 2)-f12(p2 + q2)-1/2
I| - p/qIq2(p2+ q2)-1s(p/q,S))
Case I. e is not equivalentto a (in the sense of continuedfractions;see

[4, ch. X, XI]). Let pn/qn (n = 0, 1, *.. ) be the convergentsto fe. Then
s(pn/qn,e)-1 as n -o , and for infinitelymany n, J - pn/qn[qn< 8-1.
manyB. = <(Pnqqn)>.
Hence (23) is true forinfinitely
Case II. f is equivalentto a but is not a or a-1. (Hence Al is not Al or
Al). The continuedfractionof e is of the typef = [b0,b, *.. br 1,1,, .]
wherebr> 1. By replacingf by S-4 if necessary(this just changesthe roles
of the coordinateaxes), we may assume r to be odd. Let p,/q.(n = 0, 1, * *. )
be the convergentsto fi. By a standardformulaof continuedfractiontheory,
and since br> 1, qrlqr+l= [0O19br, ... 9bi] > [0, 1,1, ...] =a. Nowif nor
and q,/q,+? > a, q,+?/qn+21/(1+ q./q,.1) < 1/(1+ a) = a. Similarly,q,/q,+?< a
impliesq.+l/qn+2 > a. Hence for n > r and n even, q,-1/q. > a. Also, for
everyeven n, p,/q. < e. For such n, s(p./q., fS) < 1 and, using the notation
=
= qn/((l+ a)q, + qn-1) 1/(1+ a + qn-1/qn)
of [4, ? 11.8], - pn/qnIqn= qn/(qnqn+1)
1/(V 5 + qn-1/qn-a) < 1/ 5 . Therefore(23) is true for B. = <(Pnqqn)>.
Clearlythe constant5-1/2of (23) is bestpossibleforall subspacesAl of case II.
Case III. f = a or 8 = a-1. We may assume f = a. If (23) or (24) is
true fora subspaceB1 = <(pq q)> and q > q,(a), thennecessarilyla - p/q K
<
(5-1/2 + a)q-2. By [4, Th. 184], we may thereforerestrictour attentionto
subspacesB. = <(Pnqqn)> wherep,/q,(n= 0, 1, ***) are theconvergentsto a.
This remarkwill explainwhythe constantsof (24) are best possible.
Set A. pn/qn- a and es = sgn a.. Then
an en/(qn( 5 + q,.1/q - a)) - 5 + pn/qn- a))

se/(qn(V/
5 + an))
n/(qn(V
whence
an = Sn( 5 -1 esn(5qn) + 2(25q') ) + O(q(8)
Also
a)
s(pn/qn, (1 + an(&n+ 2a)/(1 + a 2)) /2
1 + aV 5 +n(3 + V5 )/20O+ n)
as n o . A substitution of these formulas gives
H(B )2/(A1, B')- I an I q s(p./q,, a) = 5-1/2(1+ (3 + 1 5 ) (100q)1) + O(qn-).
Since q2 (p2 + q2) (1 + a 2)-1= H(BI)2(1 + a2)-1, q-4 , H(Bl)-(1 + a2)2 one
obtains H(B1)2*(A', B') = 5-1/2 + 500-1/2H(B1)-4 + O(H(B)6). This proves
(24) (and actuallya littlemore).
16. Comments
Let d + e < n, 1 <i < t = min(d,e) and Ad be a subspace of Gi having
Ad n Be = 0 for every Be definedover K. There are by Theorem12 in-

finitelymany Be, defined over K, with *q(Ad, Be) ? C24H(Be)-C25.Let C49 =
C49(n, d, e, i, K) be the least upperboundof all C25such that this holds. The
determination of Cogis an openproblem.C49 is determined onlyfori = t when
(21) holds. In particular,it is knownwhen t = 1. I conjectureC49 to be
independentof K. Perhaps it is a symmetricfunctionof d, e. There is a
similarproblemwithsimilarconjectureswithregardto the invariantP.
The simplestunknowncase is forn = 4, d = e = t = 2. By theCorollary
to Theorem15, C49(4, 2, 2, 2, K) = 1. But C49(4, 2, 2, 1, K) is not known. By
Theorem12, C49(4, 2, 2, 1, K) _ 3, and by Theorem16, Corollary2,
C49(4,2, 2, 1, K) < 5. As for p, let A2ci G4,withA2 n B2 = 0 for everyB2
definedover K. By Theorem14 thereare infinitely manyB2, definedover K,
havingp(A2,B2) ! H(B2)-3. By Theorem16, Corollary1, the number3 in
the exponentmaynot be replacedby a numberlargerthan 5.
There are many ways to classify subspaces Ad. For given d + e < n,
1 0, let Q(n, d, e, i, C, K) be the set of Ad G
such that there is a C* = C*(Ad) and infinitely many Be, definedover K,
having /q(Ad,Be) C*H(Be)f. By (1.6) and Lemma 13, this class Q is in-
<
variant under linear transformations definedover K. This classification of
subspaces is a generalizationof the classical classificationof irrationals
(Koksma[11, ? III. 4]).
Let Z(d; K) be the class of subspaces Ad such that for everys > 0 and
everyC > 0 thereare onlyfinitelymanysubspacesB', definedoverK, having
*,(Ad, B') < CH(Bl)-n'In-d)-e. Again Z(d; K) is invariant under linear trans-
formationsdefinedover K. Let Ad e Z(d; K), 1 < e 0 infinitelymany Be, definedover K, such that ke(Ad, Be) < H(Be)-n/ce+e.
Using the Going-up-theorem, this leads for our particularAd to an improved
versionof Theorem12.
One can in a naturalway introducea measurein the space of subspaces
Ad of GI (i.e., a measureon the GrassmannvarietyG,). It can be shownthat
almosteveryAd in the sense of this measure belongs to Z(d; K). Following
the classical case (see [2, Ch. VII]), one could develop a metrical theoryof
the whole subject. Such a metricaltheoryprobablywouldlead to improved
versionsof the corollariesof Theorem16.
One could tryto developa similarorgeneralizedtheoryusing fieldsother
than algebraic numberfields(in particularfunctionfields)and spaces other
thaneuclideanor unitaryspaces.
UNIVERSITY OF COLORADO
REFERENCES
1. ARTIN, E., Elements of Algebraic Geometry,Lecture notes N. Y. U. Spring 1955.

2. CASSELS, J. W. S., An Introductionto DiophantineApproximation,CambridgeTracts
in Math. and Math. Phys. 45. Camb. Univ. Press, 1957.
3. , An Introductionto the Geometry of Numbers, Springer Grundlehren99,
1959.
4. HARDY, G. H. and WRIGHT, E. M., An Introductionto the Theory of Numbers, 3rd
ed. Oxford,Clarendon Press, 1954.
5. HODGE, W. V. D. and PEDOE, D., Methodsof Algebraic Geometry,Camb. Univ. Press,
1947.
6. HURWITZ, A., Uber die angenaherteDarstellung der Irrationalzahlendurch rationale
Bruche, Math. Ann., 39 (1891),279-284.
7. KENDALL, M. G., The Advanced Theory of Statistics, vol. II. Charles Griffin& Co.,
London, 1946.
8. , A Course in the Geometryof n Dimensions,Griffin's Statistical monographs
8. Hafner, New York, 1961.
9. KHINTCHINE, A., Zwei Bemerkungenzu einer Arbeitdes Herrn Perron, Math. Z., 22
(1925),274-284.
10. , Uber eine Klasse linearer DiophantischerApproximationen,Rend. Circ. mat.
Palermo, 50 (1926),170-195.
11. KOKSMA, J. F., DiophantischeApproximationen,Ergebnisse d. Math. u. Grenzgeb.,4
(1935).
12. LANG, S., Introduction to Algebraic Geometry,Interscience,New York, 1958.
13. , Diophantine Geometry,Interscience,New York (1961).
14. NORTHCOTT, D. G., An inequalityin thetheoryof arithmeticon algebraicvarieties.Proc.
Camb. Phil. Soc., 45 (1949),502-509.
15. PERRON, O., Uber diophantischeApproximationen,Math. Ann., 83 (1921),77-84.
16. SCHANUEL, S., On heightsin numberfields, Bull. Am. Math. Soc., 70 (1964),262-263.
17. SEIDEL, J., Angles and distancesin n-dimensionaleuclideanand non-euclideangeometry
I, II, III, Indag Math., 17 (1955),329-335,336-340,535-541.
18. SIEGEL, C. L., UbereinigeAnwendungenDiophantischer Approximationen.Abh. Preuss.
Akad. Wiss., Phys. Math. Kl. (1929),41-69.
19. VAN DER WAERDEN, B. L., Algebra II., Springer Grundlehren34 (3rd ed.), 1955.
20. WEIL, A., Arithmeticon algebraicvarieties. Ann. of Math., 53 (1951),412-444.
21. ZASSENHAUS, H., Problem5076.,Am. Math. Monthly,70 (1963),p. 215.
(Received May 3, 1966)

Schmidt. On Heights of Algebraic Subspaces and Diophantine Approximations

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Schmidt. On Heights of Algebraic Subspaces and Diophantine Approximations

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Annals of Mathematics

On Heights of Algebraic Subspaces and Diophantine Approximations

As one can easily see, and as we show in detail in ? 15, Hurwitz'well-

startout witha complexnon-realnumberfieldand studysubspacesof unitary

F,,(x) = I Xl I + ***+ l xn.

a11+ + + andn withat C I). Finally,if F is a distancefunction,set

wherev runsthroughall absolutevalues of K, normalizedin the properway.

is even or odd. Finally,let z-be the lineartransformation of EN whichmaps

Now if Sd is a subspaceof Kn, set

(4) HF(S) = HF(S).

This also holdsif d = 0 or d = n.

is an orthonormalbasis of <X1, *, Xm> (i.e., ZZj = aij), and Xi cijZj,

(iii) D(XKi . * tXk* = tI

( v) D(z-X1, ***, zXm) = D(X1, ***, Xm) if z-is a unitary transformation.

with equality if and only if D(X1, * XJ = 0 or D( Y1, ..., Yk) = 0 or the

For a singlevectorX write i X D(X).

independentpoints of Sd. Form Y = (), -

F(vj(21),**, vJY).)) = D(Xl'i, *.*.* Xd'j')

Interpretp(X) as a point of euclideanEM whereM np. If X is any set of

We may assume 0 < d < n. Let X1, ..., Xd be in I(S), linearly

type a1X, + + adXd where each ao is in I. Then A(X1, **, Xd) =

form a basis of A(X1, *., Xd). Also introduce

Zjk ((Sjdkl)(1), ** (Sjdki)(P), * ,(asjk.)(1) .. (a kn)(p))

(1<j <p, 1<kl<d). Then

Let M(Z*) be the matrixwithrow vectorsZ1*, ***, Zp*7,. I *, * Zp*d.

LEMMA6. Let e, f g1, * *, . gd be rationalintegerswith0 < e ? gk < f

(11) BRk 0 (modeg'k) (k = 1, *.., d)

PROOF OF LEMMA 6. We proceed by inductionon e. Let e= 0. The

4. Existence of certain subspaces

(b) Let 0 < f < d ? n. Then Sd containsa subspaceSf with

Here c1> 0 is a constantdependingonlyon n, K.

I p(eX) I' C21p(X) I

for a suitable c2, whence I p(SX) 12< c21p(X) 12.

(12) | G | <? C3IJ(Sd)-lI/p(n-d)

d(A*) _< C4Il(Sd)(n-d-l)/(n-d)

op(XA) <? 2C3H(ISd)-lIp(n-d)

p(SjX0) = p(iSjX) p(/SjX*) = Gj-p(/SjX*).

Case (b) now followsby duality. T = Sd I is of dimensionn - d. By (a) it

5. The number of subspaces of height < H.

LEMMA 8. H(Sd) > 1. There are exactly (d) subspaces Sd c Kn having

H(Sd) = 1, namely the subspaces Sd spanned by coordinate axes.

(13) c6Hn = N(d, H) < c7H

where V(m - r) is the volume of the (m - r)-dimensional unitsphere, and

PROOF. Choose B. > 0 so large that every point X e Em is congruent

N(S1, H) < cqgHni+-dHhd-n .

PROOF. Set m = np and Am A(K7). The m-dimensional latticeAmin

Now let S D Si be of dimensiond and height < H. The latticeA(S) has

By Minkowski'stheorem,thereis a latticepointG' # 0 of A' having

Thus witheverysubspace S having the desiredproperties,we can associate

wherec1> 0 is theconstantof Theorem2. Finally assume N(d - 1, H") <

and hence,usingthis lemma,

?< C14H'n+l-d (HPfd-nN(d - 1, H") + Mlch< H" hd-n-lN(d - 1, h))

PROOF OF THEOREM 3. The upperboundin (13) is provedby inductionon

II. PAIRS OF SUBSPACES OF UNITARY U%.

6. Successive inner products

Kendall [8], Zassenhaus[21]. They also appear, somewhatdisguised,in cor-

P(X) dependson Ad, Be only,P(X) = P(A, B; X). For unitarytransformations

7. Quantities 2h, ***, v,

{E; if 1 < j < g

1 < j < e-r). Put

Xi* , Xe,. is an orthonormal (e - r)-tuple, Y1*,* , YtL7an orthonormal

B)y ...*, vt(AYB))

Then *i = cot if d + e < n, *j = wi+, if d + e > n. Finallyput

singular linear transformationof Us. Thereis a c = c(a) > 0 such that

( v) D(z-X1, , zXm) = D(X1, , Xm) if z-is a unitary transformation.

F(vj(21),**, vJY).)) = D(Xl'i, ..* Xd'j')

Let M(Z) be the matrixwithrow vectorsZ1, ***, Zp7,. I , * Zp*d.

p(SjX0) = p(iSjX) p(/SjX) = Gj-p(/SjX).

Xi* , Xe,. is an orthonormal (e - r)-tuple, Y1, , YtL7an orthonormal

Then i = cot if d + e < n, j = wi+, if d + e > n. Finallyput

( 6) D (X1,A Xk1 Xk ) DX1, * l* d k1,

In this theorem, C5, , C11depend on n, K, d, e, y1,*, yt,,but not on

where Xe S, Xj <j>(j = 1, ... , h) and X0is orthogonalto S and to

of Epnare orthogonalto S. Set Tj <J+, J, .., j j>(j = 1, *.., h).

= N(b)-'(j =q+lD(W(j)q Z1(j), .., Zmj)))Dq(TY Z1, , Zm)oq(Be-l, Yi)