Invent. math.

140, 693–704 (2000)

Digital Object Identifier (DOI) 10.1007/s002220000077

New bounds on the Lieb-Thirring constants

D. Hundertmark1 , A. Laptev2 , T. Weidl2,3

1 Mathematics 253-37, California Institute of Technology, Pasadena, CA 91125, USA
(e-mail: dirkh@its.caltech.edu)
2 Royal Institute of Technology, Department of Mathematics, S-10044 Stockholm, Sweden
(e-mail: {laptev,weidl}@math.kth.se)
3 Universität Regensburg, Naturwissenschaftliche Fakultät I, D-93040 Regensburg,
Germany

Oblatum 18-VI-1999 & 13-I-2000

Published online: 29 March 2000 –  Springer-Verlag 2000

Abstract. Improved estimates on the constants L γ,d , for 1/2 < γ < 3/2,
d ∈ N, in the inequalities for the eigenvalue moments of Schrödinger
operators are established.

1. Introduction

Let us consider a Schrödinger operator in L 2 (Rd )

(1.1) −∆ + V,

where V is a real-valued function. The inequalities

Z
γ γ+d
(1.2) tr(−∆ + V )− ≤ L γ,d V− 2 dx ,
Rd
are known as Lieb-Thirring bounds and hold true with finite constants L γ,d
if and only if γ ≥ 1/2 for d = 1, γ > 0 for d = 2 and γ ≥ 0 for d ≥ 3. Here
and in the following, A± = (|A| ± A)/2 denote the positive and negative
parts of a self-adjoint operator A. The case γ > (1 − d/2)+ was shown
by Lieb and Thirring in [21]. The critical case γ = 0, d ≥ 3 is known as
the Cwikel-Lieb-Rozenblum inequality, see [8, 19, 22] and also [18, 7]. The
remaining case γ = 1/2, d = 1 was verified in [25].

Mathematics Subject Classification (1991): 35P15, 35L15, 47A75, 35J10

694 D. Hundertmark et al.

It is known that as soon as V ∈ L γ +d/2(Rd ) and the constant L γ,d is

finite, then we have Weyl’s asymptotic formula
ZZ
1 γ 1 γ dxdξ
lim tr(−∆ + αV )− = lim (|ξ|2 + αV )−
α→+∞ αγ + d2 α→+∞ αγ + d2 Rd ×Rd (2π)d
Z
γ+ d
(1.3) = L cl
γ,d V− 2 dx ,
Rd

where the so-called classical constant L cl

γ,d is defined by

(1.4) Z
cl −d γ Γ(γ + 1)
L γ,d = (2π) (|ξ|2 − 1)− dξ = , γ ≥ 0.
R d 2d π d/2 Γ(γ
+ d2 + 1)

This immediately implies L clγ,d ≤ L γ,d .

Until recently the sharp values of L γ,d were known only for γ ≥ 3/2,
d = 1, (see [21, 1]), where they coincide with L clγ,d . In [17] Laptev and
Weidl extended this result to all dimensions. They proved that L γ,d = L clγ,d ,
for γ ≥ 3/2, d ∈ N. Recently, Hundertmark, Lieb and Thomas showed in
[15] that the sharp value of L 1/2,1 is equal to 1/2.
The purpose of this paper is to give some new bounds on the constants
L γ,d for 1/2 < γ < 3/2 and all d ∈ N (see §4). In particular, one of our
main results given in Theorem 4.1, says that

(1.5) L γ,d ≤ 2L clγ,d , 1 ≤ γ < 3/2, d ∈ N,

√
whereas for large dimensions it was only known that L γ,d ≤ C d L clγ,d with
some constant C > 0.
For the important case γ = 1, d = 3 we have L 1,3 ≤ 2L cl1,3 < 0.013509
compared with L 1,3 < 5.96677L cl1,3 < 0.040303 obtained in [20] and its
improvement L 1,3 < 5.21803L cl1,3 < 0.035246 obtained in [5].
Note also that our estimates on the constant L γ,d imply that L 1,d ≤
2L cl1,d < L cl0,d as was conjectured in [23].
In order to get our results we give a version of the proof obtained in
[15] for matrix-valued potentials (see §3). Note that E.H.Lieb has informed
us that the original proof obtained in [15] also works for matrix-valued
potentials. After that in §4 we apply the equality L γ,d = L clγ,d , for γ ≥ 3/2
and d ∈ N shown in [17] by using the “lifting” argument with respect
to the dimension d already suggested in [16]. The same arguments as in
[17] yield the corresponding inequalities for Schrödinger operators with
magnetic fields.
Finally, we are very grateful to L.E. Thomas who was also involved in
the new proof of Theorem 3.1 as well as making many valuable remarks.
Lieb-Thirring constants 695

2. Notation and auxiliary material

Let G be a separable Hilbert space with the norm k · kG and the scalar
product h·, ·iG and let 0G and 1G be the zero and the identity operator
on G. Denote by B(G) the Banach space of all bounded operators on G
and by K(G) the (separable) ideal of all compact operators. Let S1 (G)
and S2 (G) be the classes of trace and Hilbert-Schmidt operators on G
respectively. For a nonnegative operator A ∈ K(G)
λ1 (A) ≥ λ2 (A) ≥ . . . ≥ 0
is the ordered sequence of its eigenvalues (including multiplicities). We use
the symbol “tr” to denote traces of operators (matrices) in different Hilbert
spaces.
The Hilbert space H = L 2 (Rd , G) is the space of all measurable func-
tions u : Rd → G such that
Z
kukH :=
2
kuk2G dx < ∞.
Rd
The Sobolev space H 1 (Rd , G) consists of all functions u ∈ H whose norm
X
d
kuk2H 1 (Rd ,G) = k∂u/∂xk k2H + kuk2H
k=1

is finite. Obviously the quadratic form

X
d
h[u, u] = k∂u/∂xk k2H
k=1

is closed in L 2 (Rd , G) on the domain u ∈ H 1 (Rd , G). Let

V(·) : Rd → B(G)
be an operator-valued function satisfying
(2.1) kV(·)k B(G) ∈ L p (Rd )
for some finite p with
p ≥ 1 if d = 1 ,
p > 1 if d = 2 ,
p ≥ d/2 if d ≥ 3 .
Then the quadratic form
Z
v[u, u] = hVu, uiG dx
Rd
696 D. Hundertmark et al.

is bounded with respect to h[·, ·] and thus the form

(2.2) h[u, u] + v[u, u]
is closed and semi-bounded from below on H 1 (Rd , G). It generates the
self-adjoint operator
(2.3) Q = − (∆ ⊗ 1G ) + V(x)
in L 2 (Rd , G). It is not difficult to see, that if the operator V(x) belongs to
K(G) for a.e. x ∈ Rd and satisfies the condition (2.1), then the negative
spectrum
−E 1 ≤ −E 2 ≤ · · · ≤ −E n ≤ · · · < 0
of the operator Q is discrete.

3. An upper bound for the eigenvalue moment in the critical case

d = 1 and γ = 1/2
3.1. A sharp Lieb-Thirring inequality for d = 1 and γ = 1/2. In this
section we give a version of the proof from [15] which will be applied to
the Schrödinger operators with operator-valued potentials. The main result
of this section is the following statement:
Theorem 3.1. Let V(x) be a nonpositive operator-valued function, such
that V(x) ∈ S1 (G) for a.e. x ∈ R and tr V− (·) ∈ L 1 (R). Then
 1/2 X p Z
d2 1 ∞
(3.1) tr − 2 ⊗1G + V = Ej ≤ tr V− dx .
dx −
j
2 −∞

Remark. The constant L 1/2,1 = 1/2 = 2L cl 1/2,1 is the best possible. Indeed,
1/2 is achieved by the operator of rank one V(x) = δ(x) h·, ei e, where
e ∈ G and δ is Dirac’s δ-function (see [15]).
We follow the strategy of [15] quite closely but give a different proof of
the monotonicity lemma.

3.2. Monotonicity Lemma. In order to prove the monotonicity lemma we

need an auxiliary “majorization” result. Let A ∈ K(G) and let us denote
X
n
p
kAkn = λ j (A∗ A).
j=1

Then by Ky-Fan’s inequality (see for example [12, Lemma 4.2]) the func-
tionals k · kn , n = 1, 2, . . . , are norms on K(G) and thus for any unitary
operator U in G we have
kU ∗ AUkn = kAkn .
Lieb-Thirring constants 697

Definition 3.2. Let A, B be two compact operators on G. We say that A

majorizes B or B ≺ A, iff
kBkn ≤ kAkn for all n ∈ N .
Lemma 3.3 (Majorization). Let A be a nonnegative compact operator G,
{U(ω)}ω∈Ω be a family of unitary operators on G, and let g be a probability
measure on Ω. Then the operator
Z
B := U ∗ (ω)AU(ω) g(dω)
Ω

is majorized by A.
Proof. This is a simple consequence of the triangle inequality
Z
kBkn ≤ kU ∗ (ω)AU(ω)kn g(dω) = g(Ω)kAkn = kAkn .
Ω
t
u

Remark. The notion of majorization is well-known in matrix theory

(see [3]). For finite dimensional Hilbert spaces G even the converse state-
ment of Lemma 3.3 is true, cf. [2, Theorem 7.1]:
If A and B are nonnegative matrices and tr A = tr B, then the condition
B ≺ A implies that there exist unitary matrices U j and t j > 0, j = 1, . . . , N,
such that
X
N X
N
t j = 1, B= t j U ∗j AU j .
j=1 j=1

Let W(·) : R → S2 (G) be an operator-valued function and let kW(·)kS2 ∈

L 2 (R). Denote
  −1 
d2
(3.2) Lε := W ∗ 2ε − 2 + ε2 ⊗1G W .
dx

Obviously, Lε is a nonnegative, trace class operatorRon L 2 (R, G), its trace

is independent of ε, 0 ≤ ε < ∞ and equals tr Lε = kW(x)k2S2 dx.
Lemma 3.4 (Monotonicity). The operator Lε is majorized by Lε0
Lε ≺ Lε 0
for all 0 ≤ ε0 ≤ ε.
Proof. Using the majorization Lemma 3.3 the proof is basically reduced to
a right choice of notation. Let A be the nonnegative compact operator in
698 D. Hundertmark et al.

L 2 (R, G), given by the integral kernel1 A(x, y) := W ∗ (x)W(y). Further-

more let

ε(π( p2 +ε2 ))−1 d p if ε > 0
(3.3) gε (d p) =
δ(d p) if ε = 0
be the Cauchy distribution and {U( p)} p∈R be the group of unitary multi-
plication operators (U( p)ψ)(x) = e−i px ψ(x) on L 2 (R, G). Passing to the
Fourier representation of the Green function in (3.2) we obtain
Z ∞
(3.4) Lε = U ∗ ( p)AU( p) gε (d p) .
−∞

Of course, L0 = A. In particular, Lemma 3.3 and (3.4) immediately imply

Lε ≺ L0 . The Cauchy distribution is a convolution semigroup, i.e. gε =
gε 0 ∗ gε−ε0 . If we insert this into (3.4) and change variables using the group
property of the unitary operators U( p), then Lemma 3.3 yields
Z
Lε = U ∗ ( p)Lε0 U( p) gε−ε0 ( p)d p ≺ Lε0 .

This completes the proof. t

u
√
3.3. Proof of Theorem 3.1. Let W(x) = V−(x), so W ∗ = W. Then from
the assumptions made in Theorem 3.1, we find that W(x) is a family of
nonnegative Hilbert-Schmidt operators such that kW(·)kS2 ∈ L 2 (R). Let
 −1 
1 √
d2
(3.5) K E := √ L E = W − 2 +E ⊗1G W ,
2 E dx
where Lε is defined in (3.2). According to the Birman-Schwinger principle
[4, 24] we have
1 = λ j (K E j )
for all negative eigenvaluesp{−E j } j of the Schrödinger operator (2.3). Mul-
tiplying this equality by 2 E j and summing over j we obtain
Xp X
(3.6) 2 Ej = λ j (L√ E j ).

In contrast to K E the operator L√ E is well-behaved for small energies. We

now use the same monotonicity argument as in [15] to dispose of the energy
dependence of the operator inP (3.6). Namely, for any n ∈ N, Lemma 3.4
implies that the partial traces j≤n λ j (Lε ) are monotone decreasing in ε.
Given this monotonicity, a simple induction argument yields
X X
λ j (L√ E j ) ≤ λ j (L√ En ) for all n ∈ N.
j≤n j≤n

1 In the scalar case A would just be the rank one operator |WihW| (in Dirac notation).
Lieb-Thirring constants 699

Hence, by (3.6) we also have the bound

Xp X Z ∞ Z ∞
2 Ej ≤ λ j (L0 ) = tr L0 = tr W (x) dx =
2
tr V− (x) dx.
−∞ −∞

The proof is complete. t

u

3.4. A priori estimate for moments γ ≥ 1/2. Following Aizenman and

Lieb [1] we can “lift” the bound of Theorem 3.1 to moments γ ≥ 1/2.
Corollary 3.5. Assume that V(x) is a nonpositive operator-valued function
for a.e. x ∈ R and that tr V− (·) ∈ L γ + 2 (R) for some γ ≥ 1/2. Then
1

 γ X γ Z ∞
d2 cl γ+1
(3.7) tr − 2 ⊗1G + V = E j ≤ 2L γ,1 tr V− 2 dx .
dx −
j −∞

Proof. Note that Theorem 3.1 is equivalent to

 1/2 ZZ
d2 1/2 dpdx
tr − 2 ⊗ 1G + V ≤2 tr( p2 − V− (x))− .
dx − R×R 2π
Scaling gives the simple identity for all s ∈ R
Z ∞ 
γ 1 3
t γ − 2 (s + t)− dt , Cγ−1 = B γ − ,
3 1/2
s− = Cγ ,
0 2 2
where B is the Beta function. Let µ j (x) the eigenvalues of V− (x). Then
 γ Z ∞  1/2
d2 d2
dt t γ − 2 tr − 2 ⊗1G + V + t
3
tr − 2 ⊗1G + V = Cγ
dx − dx −
Z ∞ 0
ZZ
dpdx
dt t γ − 2 2
3 1/2
≤ Cγ tr( p2 − V− + t)−
0 2π
X∞ Z Z  Z ∞ 
γ − 32 1/2 dpdx
=2 Cγ dt t ( p − µ j + t)−
2

j=1 0 2π
ZZ Z
γ dpdx γ +1/2
=2 tr( p2 − V− )− = 2 L clγ,1 tr V− dx .
2π
t
u

4. New estimates on the constants L γ,d for 1/2 ≤ γ < 3/2, d ∈ N

4.1. The Main result. We consider now the Schrödinger operator (2.3) in
L 2 (Rd , G) for an arbitrary d ∈ N. Assume that V is a nonpositive operator-
valued function satisfying the condition

tr V(·) ∈ L γ + 2 (Rd )
d
(4.1)
700 D. Hundertmark et al.

for some appropriate γ . We shall discuss bounds on the optimal constants

in the Lieb-Thirring inequalities
Z d
γ +γ
(4.2) tr(−∆ ⊗ 1 + V )− ≤ L γ,d tr V−2 dx .
Rd
In [17] it has been shown that

(4.3) L γ,d = L cl
γ,d for all γ ≥ 3/2, d ∈ N.

The main result of the paper concerns 1/2 ≤ γ < 3/2.

Theorem 4.1. Let V be a nonpositive operator-valued function and let

the condition (4.1) be satisfied. Then the following estimates on the sharp
constants L γ,d hold

(4.4) L γ,d ≤ 2L cl
γ,d for all 1 ≤ γ < 3/2 , d ∈N,
(4.5) L γ,d ≤ 2L cl
γ,d for all 1/2 ≤ γ < 3/2 , d = 1,
cl
(4.6) L γ,d ≤ 4L γ,d for all 1/2 ≤ γ < 1 , d ≥ 2.

Remark. For the special case γ = 1 we find that

L cl cl
1,d ≤ L 1,d ≤ 2L 1,d for all d ∈ N.

Even in the scalar case G = C this is a substantial improvement of the

previously known numerical estimates on these constants in high dimensions
obtained in [5] and [20].

Remark. In fact, our proof of Theorem 4.1 yields

L γ,1 cl
L γ,d ≤ L γ,d , d ∈ N, 1 ≤ γ < 3/2 .
L cl
γ,1

According to Corollary 3.5 we know that L 1,1 ≤ 2L cl

1,1 . In the scalar case
Lieb and Thirring conjectured that
 
L γ,1 γ − 1/2 γ −1/2
= 2 , 1/2 ≤ γ < 3/2 .
L cl
γ,1
γ + 1/2

In particular, if this were true in the matrix case for γ = 1, our approach
would imply L cl 1,1 ≤ L 1,d < 1.16 L 1,d .
cl

Proof of Theorem 4.1. We apply an induction argument similar to the one

used in [17]. For d = 1 and 1/2 ≤ γ < 3/2 the bound (4.5) is identical
to (3.7).
Lieb-Thirring constants 701

Consider the operator (2.3) in the (external) dimension d. We rewrite the

quadratic form h[u, u] + v[u, u] for u ∈ H 1 (Rd , G) as
Z +∞ Z +∞
h[u, u] + v[u, u] = h(xd )[u, u] dxd + w(xd )[u, u] dxd ,
−∞ −∞
Z 2
∂u
h(xd )[u, u] = dx1 · · · xd−1 ,
Rd−1 ∂xd G 
Z Xd−1 2
 ∂u
w(xd )[u, u] = + hV(x)u, uiG  dx1 · · · xd−1 .
Rd−1 j=1 ∂x j G

The form w(xd ) is closed on H 1 (Rd−1 , G) for a.e. xd ∈ R and it induces

the self-adjoint operator
X
d−1
∂2
W(xd ) = − ⊗ 1G + V(x1 , . . . , xd−1 ; xd )
k=1
∂xk2

on L 2 (Rd−1, G). For a fixed xd ∈ R this is a Schrödinger operator in d − 1

dimensions. Its negative spectrum is discrete, hence W− (xd ) is compact on
L 2 (Rd−1 , G).
Assume that we have (4.4)–(4.5) for the dimension d − 1 and all γ from
γ + 12
the interval 1/2 ≤ γ < 3/2. Then tr W− (xd ) satisfies the bound
(4.7) Z
γ+1 γ + d2
tr W− 2 (xd ) ≤ L γ + 1 ,d−1 tr V− (x1 , . . . , xd−1 ; xd ) dx1 · · · dxd−1
2
Rd−1
for a.e. xd ∈ R. Here
(4.8) L γ + 1 ,d−1 = L cl
γ + 1 ,d−1
for γ ≥ 1,
2 2

(4.9) L γ + 1 ,d−1 ≤ 2L cl
γ + 1 ,d−1
for 1/2 ≤ γ < 1 .
2 2

Indeed, (4.8) follows from (4.3) and (4.9) follows from (4.4)–(4.5) in di-
mension d − 1.
Let w− (xd )[·, ·] be the quadratic form corresponding to the operator
W− (xd ) on H = L 2 (Rd−1 , G). We have w(xd )[u, u] ≥ −w− (xd )[u, u] and
Z +∞ " #
∂u 2
(4.10) h[u, u] + v[u, u] ≥ − hW− (xd )u, uiH dxd
−∞ ∂xd H

for all u ∈ H 1 (Rd , G). According to Sect. 2.2 the form on the r.h.s. of (4.10)
can be closed to H 1 (R, H) and induces the self-adjoint operator
d2
− ⊗ 1H − W− (xd )
dxd2
702 D. Hundertmark et al.

on L 2 (R, H). Then (4.10) implies

 γ
γ d2
(4.11) tr(−∆ ⊗ 1G + V )− ≤ tr − 2 ⊗ 1H − W− (xd ) .
dxd −

γ+1
The assumption V ∈ L γ + 2 (Rd ) implies that tr W− 2 is an integrable func-
d

tion and we can apply Corollary 3.5 to the r.h.s. of (4.11). In view of (4.7)
we find
 γ Z +∞
d2 γ+1
tr − 2 ⊗ 1H − W− (xd ) ≤ L γ,1 tr W− 2 (xd ) dxd
dxd − −∞
Z
γ+d
≤ L γ,1 L γ + 1 ,d−1 tr V− 2 dx
2
Rd
for γ ≥ 1/2. The bounds (4.5), (4.8) or (4.9) and the calculation

Γ(γ + 1) Γ(γ + 1
+ 1)
L cl cl
γ,1 L γ + 1 ,d−1 = 1
· d−1
2
2 2π Γ(γ + + 1) 2d−1 π
2
1
2
2 Γ(γ + + 1
2
d−1
2
+ 1)
Γ(γ + 1)
= d
= L cl
γ,d
2 π Γ(γ + 2 + 1)
d 2
d

complete the proof. t

u

4.2. Estimates for magnetic Schrödinger operators. Following a remark

by B. Helffer [13] and using the arguments from [17] we can extend Theo-
rem 4.1 to Schrödinger operators with magnetic fields. Let Q(a) be a self-
adjoint operator in L 2 (Rd , G)

(4.12) Q(a) = (i∇ + a(x))2 ⊗ 1G + V(x),

where

a(x) = (a1 (x), · · · , ad (x))t , d ≥ 2,

is a magnetic vector potential with real-valued entries ak ∈ L loc

2
(Rd ).
We consider the inequality
Z d
γ +γ
(4.13) tr(Q(a))− ≤ L̃ γ,d V−2 dx ,
Rd
where the nonpositive operator function V(·) satisfies (4.1). In [17] it has
been shown, that

(4.14) L̃ γ,d = L cl
γ,d for all γ ≥ 3/2 , d ∈ N.
Lieb-Thirring constants 703

In general, the sharp constant L̃ γ,d in (4.14) might differ from the sharp
constant L γ,d in (4.2)

L cl
γ,d ≤ L γ,d ≤ L̃ γ,d .

By combining the arguments from [17] and those used in the prove of
Theorem 4.1 we immediately obtain the following result:
Theorem 4.2. The following estimates on the sharp constants L̃ γ,d in (4.13)
hold
(4.15) L̃ γ,d ≤ 2L cl
γ,d for all 1 ≤ γ < 3/2 , d ≥ 2,
(4.16) L̃ γ,d ≤ 4L cl
γ,d for all 1/2 ≤ γ < 1 , d ≥ 2.

Acknowledgements The second and the third authors wish to express their gratitude to
B. Helffer for his valuable comments on magnetic Schrödinger operators. D. Hundertmark
thanks E.H. Lieb for piquing his curiosity in the topic, the Mathematical Department of
the Royal Institute of Technology in Stockholm for its warm hospitality and the Deutsche
Forschungsgemeinschaft for financial support under grant Hu 773/1-1. A. Laptev has been
supported by the Swedish Natural Sciences Research Council, Grant M-AA/MA 09364-320,
T. Weidl has been supported by the Swedish Natural Science Council dnr 11017-303.
Partial financial support from the European Union through the TMR network FMRX-CT
96-0001 is gratefully acknowledged.

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