Chapter 73

K-theory

Elements of K-theory are taken from [484, 438].

73.1 The group K0

Let A be an unital C ˚ -algebra and MN pAq, the C ˚ -algebra of N ˆ N matrices with coefficients
in A. We have
MN pAq » A b MN p q. (73.1)
The isomorphism being given by ÿ
a ބ aij b Eij
ij

if aij P A are the coefficients of a P MN pAq. Two projectors p, q P MN pAq are equivalent in the
sense of Murray-von Neumann if there exists a matrix u P MN pAq such that p “ u˚ u and
q “ uu˚ . In that case, the matrix u is a partial isometry by lemma 57.13. Notice that this notion
of equivalence was already developed on page 2777 when speaking of projectors in von Neumann
algebras.
We consider
§8
M8 pAq “ MN pAq,
N “1
with the inclusion map
„ : MN pAq Ñ MN `1 pAq
ˆ ˙
a 0 (73.2)
a fiÑ „paq “ .
0 0
We consider the equivalence p „ q in M8 pAq if and only if there exists u P M8 pAq such that
p “ u˚ u and q “ uu˚ . The class of q is denoted by rqs and the set of classes is denoted by V pAq.
The set V pAq is a semigroup for the addition
„ˆ ˙⇢
p 0
rps ` rqs “ .
0 q
Some elements are not invertible.
Problèmes et choses à faire

Pour bien faire, il faut encore prouver que cette somme est bien définie.

Proposition 73.1.
The semigroup V pAq is abelian.
ˆ ˙
u
Proof. If p “ uu˚ and q “ vv ˚ and a “ , we have
v
„ˆ ˚ ˙⇢ „ˆ ˙ˆ ˚ ˙⇢
uu u u
rps ` rqs “ “ “ raa˚ s “ ra˚ as,
vv ˚ v v˚

2843
2844 CHAPTER 73. K-THEORY

but ˆ ˙ˆ ˙ ˆ ˚ ˙ ˆ ˙
v˚ u v v q
a˚ a “ “ “ .
u˚ v u˚ u p

We pose, on V pAq ˆ V pAq, the equivalence relation

` ˘ ` ˘
rps, rqs „ rp1 s, rq 1 s

if and only if there exists rrs P V pAq such that

rps ` rq 1 s ` rrs “ rp1 s ` rqs ` rrs. (73.3)

Now the group K0 pAq is defined as

` ˘
V pAq ˆ V pAq
K0 pAq “ .
„
That construction is not a particularity of K-theory. When S is a semigroup, the group KpSq “
S ˆ S{ „ where ps, tq „ pu, vq if and only if there exists a r P S such that s ` v ` r “ t ` u ` r is
the Grothendiek group of the semigroup S. The group KpSq is always abelian. For example,
Kp , `q “ and Kp , · q “ .
An addition in K0 pAq is defined by
” ı ” ı ” ı
rps, rqs ` rp1 s, rq 1 s “ rps ` rp1 s, rqs ` rq 1 s .
´ ¯ ´ ¯ ” ı
From definition we have rps, rps „ rqs, rqs and rps, rps is the neutral for addition in K0 pAq.
The invert is given by ” ı ” ı
´ rps, rqs “ rqs, rps .
We have a natural homomorphism

ŸA : V pAq Ñ K0 pAq
” ı (73.4)
rps ބ rps, r0s .

We say that V pAq has the simplification property if

rps ` rrs “ rqs ` rrs ñ rps “ rqs.

Proposition 73.2.
This map is injective if and only if V pAq has the simplification property.

Proof. First, we suppose that ŸA is”injective ı and” we suppose

ı the equality rps ` rrs “ rqs ` rrs for
a certain rrs P V pAq. This implies rps, r0s “ rqs, r0s and then injectivity of ŸA gives rps “ rqs
and the simplification property is proved.
Now we suppose that A”is such ıthat”V pAq fulfils
ı the simplification
´ property.
¯ ´Let rps ¯ and rqs such
that ŸA prpsq “ ŸA prqsq, or rps, r0s “ rqs, r0s which means that rps, r0s „ rqs, r0s . From the
definition of the classes, it provides the existence of a rrs P V pAq such that rps ` 0 ` rrs “ rqs ` rrs
which in turn proves that rps “ rqs by the simplification rule.

Notice that every element in K0 pAq can be written under the form of a difference

ŸA prpsq ´ ŸA prgsq,

namely,
” ı ” ı ” ı ” ı
rps, rqs “ rps, r0s ` r0s, rqs “ ŸA rps ´ rqs, r0s “ ŸA rps ´ ŸA rqs.
73.1. THE GROUP K0 2845

73.1.1 Example
In the case A “ , the space V p q is determined by the simple following result.

Proposition 73.3.
Two projectors of p, q P MN p q are equivalent if and only if the dimensions of their image are
equal.

Proof. From what was said about projectors on page 2691 , there exists a u P MN p q such that
p “ uu˚ . Moreover p and q are both diagonalisable, and from the dimension assumption, their
diagonal form are the same. In particular, Trppq “ Trpqq is their common dimension of image
space.
If p “ uu˚ , then p can be written as uA u˚A with uA “ uA for every matrix A such that AA˚ “ .
We are going to find such a matrix A for which q “ u˚A uA , i.e. q “ A˚ pu˚ uqA. Notice that u˚ u
and A are diagonalisable; the proposition should be proved if their diagonal form are the same: in
that case A is the unitary matrix which diagonalises u˚ u in the basis in which q is diagonal.
We have pu˚ uq2 “ u˚ uu˚ u “ u˚ pu, and using the fact that p2 “ p, we find pu˚ uq3 “ pu˚ uq2 , so
that the eigenvalues of u˚ u are 0 and 1. From that and the assumptions, we deduce
` ˘ ` ˘ ` ˘
dim Imagepu˚ uq “ Trpu˚ uq “ Trpuu˚ q “ Trppq “ dim Imageppq “ dim Imagepqq ,
` ˘ ` ˘
so that dim Imagepqq “ dim Imagepu˚ uq and they have the same diagonal form.

Since two projectors are equivalent if and only if the dimensions of their respective image are
equal, the set of equivalence classes is V p q “ . The Grothendieck group associated with the
semigroup is , so that K0 p q “ .

73.1.2 Universality
Proposition 73.4. ` ˘
Let G be an abelian group and : V pAq Ñ G, a semigroup homomorphism such that V pAq is
invertible in G. Then extends in an unique way to an homomorphism : K0 pAq Ñ G such that
˝ ŸA “ .

In other words, one can invent the map is such a way the following diagram commutes:

K0 pAq
ŸA
✏ "
V pAq / G.

Proof. For unicity, consider 1 , 2: K0 pAq Ñ G, two maps extending the map , so
`“ ‰˘ ` ˘ `“ ‰˘
1 rps, rqs “ 1 ŸA rps ´ ŸA rqs “ rps ´ rqs “ 2 rps, rqs , (73.5)

where we used the assumption 1 ˝ ŸA “ .

For existence, we define : K0 pAq Ñ G by the formula
`“ ‰˘
rqs, rps “ rqs ´ rps. (73.6)
` ˘ ` 1 ˘
Let us prove that it is well defined. `Suppose ˘ that rps, rqs „ rp s, rq s , and consider a rrs such
1

that condition (73.3) holds. Since V pAq is invertible in G, it makes sense to compute
`“ 1 ‰˘ `“ ‰˘
rp s, rq 1 s ´ rps, rqs “ rp1 s ´ rq 1 s ´ rps ` rqs
` ˘
“ ´ rp1 s ` rqs ` rrs ` rp1 s ` rqs ` rrs
(73.7)
“ r0s
“0
2846 CHAPTER 73. K-THEORY

where we used the fact that G is abelian in order to rearrange terms and the fact that is an
homomorphism. We have ˝ ŸA “ because
` ˘ `“ ‰˘
ŸA rps “ rps, r0s “ rps.

Proposition 73.5.
If – : A Ñ B is an homomorphism of C ˚ -algebra, then the map

–˚ : V pAq Ñ V pBq
(73.8)
ras fiÑ r–paqs

is a well defined group homomorphism which extends to a group homomorphism –˚ : K0 pAq Ñ

K0 pBq.

Proof. Let consider a projector paij q P M8 pAq. Since – is an homomorphism, the matrix –paij q is
a projector of M8 pBq. Since – preserves the involution (by definition of a C ˚ -algebra homomor-
phism), we have that a „ b implies –paq „ –pbq. Thus the induced map –˚ : V pAq Ñ V pBq is an
homomorphism.
In order to get the extension, we use the universality property. We know that – is a semigroup
homomorphism and “ ŸB ˝ –˚ is a semigroup homomorphism from the semigroup V pAq and the
group K0 pBq. Then universality provides : K0 pAq Ñ K0 pBq.

Proposition 73.6.
If A is a C ˚ -algebra obtained as the inductive limit

A “ limtAi , ij ui,jP ,
Ñ

then tK0 pAi q, p ij q˚ u is an inductive system of groups and

` ˘
K0 pAq “ K0 lim Ai “ lim K0 pAi q. (73.9)
Ñ Ñ

73.2 Vector bundle and K-theory

We follow [484] in which one finds the proofs that are omitted here. In this section, we only
deal with complex vector bundles over compact Hausdorff base. We accept that, when the basis
is non connected, the vector bundle has different dimensions on different components.
We denote by ‘n Ñ X the trivial bundle of dimension n over X and we say that two vector
bundles E1 and E2 are stably isomorphic if there exists a n such that E1 ‘ ‘n » E2 ‘ ‘n . We
write it by E1 »s E2 .
We also define the relation E1 „ E2 if and only if E1 ‘ ‘n » E2 ‘ ‘m for some n and m. One
can prove that »s and „ are equivalence relations.

Proposition 73.7.
If X is compact and Hausdorff, the set of equivalence classes for „ is an abelian group for the
direct sum.

Proof. No proof.

That group is denoted by K̃pXq

The set of equivalence classes for »s cannot be a group because the inverse does not exists.
Indeed if E ‘ E 1 »s ‘0 , then we have a n such that E ‘ E 1 ‘ ‘n “ ‘n , which implies that E and
E 1 are zero dimensional.
73.2. VECTOR BUNDLE AND K-THEORY 2847

Proposition 73.8.
The set of equivalence classes with respect to »s has the simplification property

F ‘ E1 »s F ‘ E2 ñ E1 »s E2 (73.10)

on every compact of X.

Proof. Using proposition 53.2, we can add on both sides of F ‘ E1 »s F ‘ E2 a vector bundle F 1
such that F ‘ F 1 “ ‘n . Thus we get E1 ‘ ‘n »s E2 ‘ ‘n , which means that E1 »s E2 .

We know that the positive rational numbers ` are build from the integers by taking the pairs
pa, bq P 2 and the quotient by
pa, bq „ pc, dq ô ad “ bc.
We perform the same construction with vectors bundle and we define KpXq “ tpE, E 1 qu{ „ where

pE1 , E11 q „ pE2 , E21 q ô E1 ‘ E21 »s E2 ‘ E11 . (73.11)

Let us prove that that relation is transitive. For this, we suppose pE1 , E11 q „ pE2 , E21 q, and
pE2 , E21 q „ pE{ , E31 q, i.e. there exists integers n and q such that

E1 ‘ E21 ‘ ‘n ‘ E31 ‘ ‘q “ E2 ‘ E11 ‘ ‘n ‘ E31 ‘ ‘q .

Now we use the relation E2 ‘ E31 ‘ ‘q “ E3 ‘ E21 ‘ ‘q in the right hand side and we use the
simplification property by E21 , we get

E1 ‘ E31 ‘ ‘n`q “ E3 ‘ E11 ‘ ‘n`q ,

which means that pE1 , E11 q „ pE3 , E31 q. Notice that the capacity assumption was used when we
made the simplification by E2 . The simplification would have added a ‘m which was implicitly
absorbed in the n or the q.
In that context, the class of the pair pE, E 1 q is often denoted by E ´E 1 . The set KpXq becomes
a group for the addition

pE1 ´ E11 q ` pE2 ´ E21 q “ pE1 ‘ E2 q ´ pE11 ‘ E21 q. (73.12)

The zero of the group KpXq is E ´ E for any E and the inverse of E ´ E 1 is E 1 ´ E. Since
E ‘ pE 1 ‘ F q “ E 1 ‘ pE ‘ F q, we have

E ´ E 1 “ pE ‘ F q ´ pE 1 ‘ F q. (73.13)

Taking an inverse of E 1 as F , we find that E ´ E 1 “ E ‘ F ´ ‘n , so that every element of KpXq

can be written as a difference
E ´ ‘n .

Proposition 73.9.
The map
Ï : KpXq Ñ K̃pXq
(73.14)
E ´ ‘n fiÑ rEs„
is a surjective homomorphism.

Proof. We prove first that it is well defined. Suppose that E ´ ‘n “ E 1 ´ ‘m , so E ‘ ‘m “ E 1 ‘ ‘m ,

so that E 1 „ E. Surjectivity is clear.

The kernel of that map of made from the differences E ´ ‘n with E „ ‘0 , or in other words,
E »s ‘m for a certain m,
kerpÏq “ t‘m ´ ‘n u Ä KpXq. (73.15)
This is isomorphic to .
2848 CHAPTER 73. K-THEORY

73.2.1 Reduced group

Let us fix a base point x0 P X. We have a natural homomorphism KpXq Ñ Kpx0 q “ . By
the proposition 73.9, this homomorphism restricts to an isomorphism t‘m ´ ‘n u Ñ . Thus we
have a decomposition
KpXq “ K̃pXq ‘ (73.16)
which depends on the choice of the base point x0 . For this reason, we says that K̃pXq is reduced
of KpXq.
Since KpXq is an additive group, we can turn it into a ring by the following multiplication:

pE1 ´ E11 qpE2 ´ E21 q “ E1 b E2 ´ E1 b E21 ´ E11 b E2 ` E11 b E21 . (73.17)

One can check that KpXq becomes a ring with ‘1 as identity.

73.2.2 Functorial description

If f : X Ñ Y is a map between two compact Hausdorff topological spaces, we have an induces
map
f ˚ : KpY q Ñ KpXq
(73.18)
E ´ E 1 fiÑ f ˚ pEq ´ f ˚ pE 1 q
which satisfies
(1) f ˚ pE1 ‘ E2 q » f ˚ pE1 q ‘ f ˚ pE2 q,
(2) f ˚ pE1 b E2 q “ f ˚ pE1 q b f ˚ pE2 q,
and is then a ring homomorphism. We are then lead to see K as a functor between
— the category of compact Hausdorff topological spaces with continuous maps as arrows, C ,
and
— the category of rings, D.
The functor K makes the correspondence X Ñ KpXq for the objects and for the arrows,

Kf : KpXq Ñ KpY q
(73.19)
KF fiÑ pf ´1 q˚ .

Since KpIdX q “ IdKpXq and Kpg ˝f q “ Kg ˝Kf for every f : X Ñ Y and g : Y Ñ Z, the operation
K is a functor.

73.2.3 External product

One has the external product

µ : KpXq b KpY q Ñ KpX ˆ Y q

(73.20)
µpa b bq “ proj˚X paq proj˚Y pbq

where projX and projY are the projections of X ˆ Y onto X and Y . So we have proj˚X : KpXq Ñ
KpX ˆ Y q and the product proj˚X paq proj˚Y pbq is the internal product in KpX ˆ Y q. It is a general
fact that tensor product of rings is a ring with the rule

pa b bqpc b dq “ ac b bd. (73.21)

In our case, KpXq b KpY q is a ring. We are going to prove that µ is a ring homomorphism. Let
us denote by f ˚ pEq the function given by proposition 53.3. We have
` ˘
µ pa b bqpc b dq “ µpac b bdq “ proj˚X pacq proj˚Y pbdq.
73.2. VECTOR BUNDLE AND K-THEORY 2849

Now suppose that a “ Ea ´Ea1 and c “ Ec ´Ec1 . We have ab “ Ea bEc ´Ea bEc1 “ Ea1 bEc `Ea1 bEc1 ,
and using the properties (53.8), we find
` ˘
µ pa b bqpc b dq “ proj˚X paq proj˚X pcq proj˚Y pbq proj˚Y pdq
“ proj˚X paq proj˚Y pbq proj˚X pcq proj˚Y pdq
“ µpa b bqµpc b dq,

and µ is an homomorphism. We have in particular an homomorphism

µ : KpXq b KpS 2 q Ñ KpX b S 2 q. (73.22)

The main content of Bott periodicity is to prove that (73.22) is in fact an isomorphism.

73.2.4 Clutching function

Let p : E Ñ X be a vector bundle and f : E ˆ S 1 Ñ E ˆ S 1 be an homomorphism where E ˆ S 1
denotes the bundle pp ˆ Idq : E ˆ S 1 Ñ X ˆ S 1 . For each x P X and z P S 1 , the map f produces
an isomorphism f px, zq : p´1 pxq Ñ p´1 pxq. Notice that, the S 1 part being trivial, we immediately
restrict to X. If not, we would have written pp ˆ Idq´1 px, zq.
If we identify the boundary of the two copies of D2 in D2 Y D2 (i.e. we identify the two copies
of S 1 ), what we obtain is the sphere S 2 . So we take two copies of E ˆ D2 and we identify the
boundaries S 1 with f . What we get is a vector bundle over X ˆ S 1 that we name re, f s. The
function f is the clutching for rE, f s.
Let ft : E ˆ S 1 Ñ E ˆ S 1 , be an homotopy of clutching functions. It allows us to build a vector
bundle on X ˆ S 2 ˆ I (I is the interval r0, 1s in which t varies) which restricts to rE, f0 s and rE, f1 s
on X ˆ S 2 ˆ t0u and X ˆ S 2 ˆ t1u. So we have rE, f0 s » rE, f1 s.