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Springer Proceedings in Mathematics & Statistics

Zair Ibragimov
Norman Levenberg
Utkir Rozikov
Azimbay Sadullaev Editors

Algebra, Complex
Analysis, and
Pluripotential
Theory
2 USUZCAMP, Urgench, Uzbekistan,
August 8–12, 2017
Springer Proceedings in Mathematics & Statistics

Volume 264
Springer Proceedings in Mathematics & Statistics
This book series features volumes composed of selected contributions from
workshops and conferences in all areas of current research in mathematics and
statistics, including operation research and optimization. In addition to an overall
evaluation of the interest, scientific quality, and timeliness of each proposal at the
hands of the publisher, individual contributions are all refereed to the high quality
standards of leading journals in the field. Thus, this series provides the research
community with well-edited, authoritative reports on developments in the most
exciting areas of mathematical and statistical research today.

More information about this series at http://www.springer.com/series/10533

Zair Ibragimov Norman Levenberg
•

Utkir Rozikov Azimbay Sadullaev

•

Editors

Algebra, Complex Analysis,

and Pluripotential Theory
2 USUZCAMP, Urgench, Uzbekistan,
August 8–12, 2017

123
Editors
Zair Ibragimov Utkir Rozikov
Department of Mathematics Institute of Mathematics
California State University Uzbekistan Academy of Sciences
Fullerton, CA, USA Tashkent, Uzbekistan

Norman Levenberg Azimbay Sadullaev

Department of Mathematics Department of Mathematics
Indiana University National University of Uzbekistan
Bloomington, IN, USA Tashkent, Uzbekistan

ISSN 2194-1009 ISSN 2194-1017 (electronic)

Springer Proceedings in Mathematics & Statistics
ISBN 978-3-030-01143-7 ISBN 978-3-030-01144-4 (eBook)
https://doi.org/10.1007/978-3-030-01144-4
Library of Congress Control Number: 2018955922

Mathematics Subject Classification (2010): 17A32, 31B15, 32U30, 37K15, 41A17, 46L57, 46S10,
60J10

© Springer Nature Switzerland AG 2018

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Preface

The second USA-Uzbekistan Conference on Analysis and Mathematical Physics

was held on August 8–12, 2017, at Urgench State University, Uzbekistan. The
conference aimed to stimulate interactions among US mathematicians and their
counterparts in Uzbekistan and other countries, and to serve as a catalyst for future
collaborations. The main themes discussed were algebra and functional analysis;
dynamical systems; mathematical physics and partial differential equations; prob-
ability theory and mathematical statistics; and pluripotential theory. A number of
significant results were recently established in these areas; these were disseminated
in our conference through the plenary talks. The invited talks in parallel sessions
allowed for the presentation of a broad spectrum of further results. In addition,
poster presentations afforded more junior mathematicians and students the oppor-
tunity to speak on their work.
This volume contains papers which were presented in the special sessions on
algebra and functional analysis, complex analysis, and pluripotential theory. The
research articles are devoted to topics such as slow convergence, spectral expansion,
holomorphic extension, m-subharmonic functions; pseudo-Galilean groups; invo-
lutive algebras; log-integrable measurable functions; Gibbs measures; harmonic and
analytic functions; local automorphisms; Lie algebras; and Leibniz algebras. Some
extensive survey papers related to topics of the volume are also included.
Readers of the volume are anticipated to be graduate students and research
mathematicians interested in functional analysis, complex analysis, operator alge-
bras, and non-associative algebras.

Fullerton, USA Zair Ibragimov

Bloomington, USA Norman Levenberg
Tashkent, Uzbekistan Utkir Rozikov
Tashkent, Uzbekistan Azimbay Sadullaev

v
Acknowledgements

We thank all contributing authors and referees for their efforts. We also thank
Springer for the opportunity to publish this volume.

vii
Contents

Removable Singular Sets of m-Subharmonic Functions . . . . . . . . . . . . . 1

B. I. Abdullaev, S. A. Imomkulov and R. A. Sharipov
Extensions of Bernstein’s Lethargy Theorem . . . . . . . . . . . . . . . . . . . . . 13
Asuman Güven Aksoy
Local Automorphisms on Finite-Dimensional Lie and Leibniz
Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Shavkat Ayupov and Karimbergen Kudaybergenov
Integration of the Toda-Type Chain with a Special
Self-consistent Source . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
B. A. Babajanov
Ground States for Potts Model with a Countable Set of Spin
Values on a Cayley Tree . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
G. I. Botirov and M. M. Rahmatullaev
Isomorphic Classification of -Algebras of Log-Integrable
Measurable Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
R. Z. Abdullaev and V. I. Chilin
Matrix Differential Equations for Pseudo-orthogonal Groups . . . . . . . . 85
V. I. Chilin and K. K. Muminov
Polynomial Estimates over Exponential Curves in C2 . . . . . . . . . . . . . . 93
Shirali Kadyrov and Yershat Sapazhanov
Carleman Formula for Matrix Ball of the Third Type . . . . . . . . . . . . . . 101
G. Khudayberganov and U. S. Rakhmonov
A Multidimensional Boundary Analogue of Hartogs’s
Theorem on n-Circular Domains for Integrable Functions . . . . . . . . . . . 109
Bairambay Otemuratov

ix
x Contents

On the Number of Real Zeros of Entire Functions of Finite

Order of Grows . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
B. B. Prenov
On Extensions of Some Classes of Algebras . . . . . . . . . . . . . . . . . . . . . . 131
Isamiddin Rakhimov
Holliday Junctions for the Potts Model of DNA . . . . . . . . . . . . . . . . . . . 151
Utkir Rozikov
Further Developments of the Pluripotential Theory (Survey) . . . . . . . . . 167
Azimbay Sadullaev
Properties of Solutions of the Cauchy Problem for Degenerate
Nonlinear Cross Systems with Convective Transfer
and Absorption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
Sh. A. Sadullaeva and M. B. Khojimurodova
Class R of Gonchar in Cn . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
Azimbay Sadullaev and Zafar Ibragimov
On a Generalised Samarskii-Ionkin Type Problem
for the Poisson Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
Aishabibi A. Dukenbayeva, Makhmud A. Sadybekov
and Nurgissa A. Yessirkegenov
Ergodicity Properties of p-Adic (2, 1)-Rational Dynamical
Systems with Unique Fixed Point . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
Iskandar A. Sattarov
Removable Singular Sets
of m-Subharmonic Functions

B. I. Abdullaev, S. A. Imomkulov and R. A. Sharipov

Abstract In this article we consider the removable singularities of m − sh functions.

We prove a few theorems on removable sets in terms of capacities and Hausdorff
measure.

Keywords Subharmonic function · m-subharmonic function · Hausdorff

measure · Polar sets · Capacity

1 Introduction

In this work, we study removable singular sets for the certain classes of subharmonic
and m−subharmonic functions in the domain D of complex space Cn .

Definition 1 The function u(z) ∈ L loc

1
(D) given in the domain D ⊂ Cn is called
m − sh function in D (subharmonic function on m-dimensional complex planes,
1 ≤ m ≤ n), if
1. it is upper semi-continuous in D, that is

lim u(z) = lim sup u(z) ≤ u(z 0 );

z→z 0 ε→0 B(z 0 ,ε)

2. for any m-dimensional complex plane Π ⊂ Cn the restriction u|Π is subharmonic

(sh) function on Π ∩ D.

B. I. Abdullaev · R. A. Sharipov (B)

Urgench State University, Urgench, Uzbekistan
e-mail: sharipovr80@mail.ru
B. I. Abdullaev
e-mail: abakhrom1968@mail.ru
S. A. Imomkulov
Navoi State Pedagogical Institute, Navoi, Uzbekistan
e-mail: sevdiyor_i@mail.ru

© Springer Nature Switzerland AG 2018 1

Z. Ibragimov et al. (eds.), Algebra, Complex Analysis, and Pluripotential Theory,
Springer Proceedings in Mathematics & Statistics 264,
https://doi.org/10.1007/978-3-030-01144-4_1
2 B. I. Abdullaev et al.

Note that the upper semi-continuous function u(z) on D is m − sh function if and

only if the current
 m−1
dd c u ∧ dd c |z|2 ≥ 0 on D, i.e.

 m−1  m−1
dd c u ∧ dd c |z|2 (ω) = u dd c |z|2 ∧ dd c ω ≥ 0, (1)

for any ω ∈ F (n−m,n−m) , ω ≥ 0. Here the space F (n−m,n−m) is finite and C ∞ - smooth
on D differential forms of bidegree (n − m, n − m).
The class of such functions are considered in works of Z. Khusanov [13, 14], R.
Harvey and B. Lausson [10], M. Verbitsky [27], D. Joyce [12] and others. In works
[1, 2] first author has proved a series of potential properties of m− subharmonic
functions.
The class of m − sh functions is wider than the class of plurisubharmonic func-
tions, but it strictly contains in the class of subharmonic functions. In addition, the
class of 1 − sh functions coincides with the class of subharmonic functions and the
class of n − sh functions coincides with the class of subharmonic functions.

2 Preliminary Results on Removable Singularities

Definition 2 A closed subset E of a domain D is called removable singular set

for some class of functions , if for each function u(x) ∈ (D\E) there exists a
function ũ(x) ∈ (D) such that ũ(x) = u(x) for any x ∈ D\E.
For example, the polar set E ⊂ D is removable singular set for functions, m−
subharmonic in D\E and locally bounded from above in D.
For the class of subharmonic functions (case m = n) and plurisubharmonic (case
m = 1), there are sufficiently complete results on removable singular sets. In terms of
a Hausdorff measure, the condition for removing a singular set of harmonic functions
of Hölder class Li pα was studied in the works of L. Carleson [5] (for 0 < α ≤ 1) and
E.P. Dolzhenko [7, 8] (for 0 < α ≤ 2), R. Harvey and J. Polking [9], A. Dauzhanov
[6]. Singular sets of subharmonic functions from the Li pα class were studied in the
work of V.L. Shapiro [25] (case (0 < α < 1)) and in the work of A. Sadullaev and
Zn. Yarmetov [21] (case (1 ≤ α ≤ 2)).
Theorem 1 Let E be a closed set in a domain D ⊂ Rn with the Hausdorff measure

Hn−2+α = 0, 0 < α ≤ 2,

then any subharmonic function in D\E from the class Li pα (D) subharmonically
extends into the domain D.
In the works of A. Sadullaev and B. Abdullaev (see [20, 22, 23]) a number of
theorems have been proved about removable singular sets for the bounded from above
Removable Singular Sets of m-Subharmonic Functions 3

class m − sh (D\E) and for the class Li pα (D) ∩ m − sh (D\E) of functions. Since
the methods of proving these results are directly related to the problems studied here,
we provide these results.

Theorem 2 (A. Sadullaev, B. Abdullaev [20]) If a closed in D set E is polar, i.e. its
newtonian capacity
C(E) = 0,

then any function u ∈ m − sh (D\E) bounded from above is m− subharmoni-

cally extends into the domain D, i.e. there is a function w ∈ m − sh(D) such that
w| D\E ≡ u.

In the proof of Theorem 2 used upper estimation for the capacities of E ∩ Π ,

dim Π = k, which were obtained in the work of A. Sadullaev [24] (see also [15]): let
E be a closed polar set in the space Rn (x) × Rk (y), n ≥ 1, k ≥ 2. Then for almost
all (with respect to Lebesgue measure) x 0 ∈ Rn (x) the intersection E ∩ {x = x 0 } is
a polar set in space Rk (y). Note that instead of the family of parallel planes, one can
consider other families of planes, for example, a pencil of planes passing through
some fixed plane.
Since m − sh(D) ⊂ sh(D), then the function u(z), considered in the theorem
is subharmonically extends into D (see, for example [11]). This extended function
again we denote by u(z). For almost all m–dimensional complex planes Π ⊂ Cn the
intersection E ∩ Π is a polar set and for such planes the restriction u|Π subharmoni-
cally continues to D ∩ Π . Since the composite set of these planes is dense in the space
of all m-dimensional complex planes, then for all such planes Π ⊂ Cn , restrictions
u|Π are subharmonic functions. Consequently, it follows that u(z) ∈ m − sh(D).

Theorem 3 (A. Sadullaev, B. Abdullaev [22]) If the Hausdorff measure

H2n−2+α (E) = 0,

where 0 < α ≤ 2, then any function u ∈ Li pα (D) ∩ m − sh(D\E) continues m−

subharmonically into the domain D, that is, ∃w ∈ m − sh(D) : w| D\E ≡ u.

In the proof of this theorem, authors used the following theorem of W. Schiffman
[26] (see also [15, 24]): if E ⊂ Rn (x) × Rk (y), n ≥ 1, k ≥ 1, Hn+α (E) = 0, 0 ≤
α ≤ k, then for almost all x 0 ∈ Rn (x) the intersection E ∩ Πx 0 , where Πx 0 = {x =
x 0 }, has a zero α−Hausdorff measure, Hα (E ∩ Πx 0 ) = 0 in Rk (y).
Applying this theorem to E ⊂ Cn = C(n−m)+m ≈ R2(n−m)+2m , we obtain that
for almost all z  = (z 1 , z 2 , . . . , z n−m ) ∈ Cn−m the intersection E ∩ Πz  has the zero
(2m − 2 + α) Hausdorff measure. (The case m = n is trivial. In this case Πz  ≈ Cn
and E ∩ Πz  = E.)
From the definition of m − sh functions, the restriction u|Π is subharmonic in
(D\E) ∩ Πz  and belongs to the class Li pα (D ∩ Πz  ). Hence, for the planes Πz 
for which H2m−2+α (E ∩ Πz  ) = 0 the restriction u|Π is subharmonic in D ∩ Πz  ,
because of the Theorem 1 stated above, since dimC Πz  = m.
4 B. I. Abdullaev et al.

Since, the set of such planes has full measure then, they are dense everywhere.
From the fact that the function u belongs to the class Li pα and is continuous in
the domain D, it follows that the restriction u|Π is subharmonic in D ∩ Πz  for all
planes Πz  . Considering unitary transformations of the space Cn , we get that the
restriction u|Π ∈ sh (D ∩ Π ) for any Π ⊂ Cn , where dim Π = m. This means that
u ∈ m − sh (D) .

3 (n − s, q)-Capacity

Below, we study removable singular sets of m−subharmonic functions that have

certain smoothness. In order to formulate the main results, we need to introduce
a quantity, Cn−s,q - capacity, 1 < q ≤ ns . Consider in space Rn the kernel K s (x) =
1/ |x|n−s , when 0 < s < n and the kernel K s (x) = ln |x| , when s = n. For a
positive Borel measure μ, as usual, we define the Riesz potential:

μ
Un−s (x) = K s (x − y) dμ(y) .

A capacitive quantity arbitrary compact set E ⊂ Rn , is defined as follows

Definition 3 (see [18])

Cn−s,q (E) = sup μ(E) , 1 < q < +∞,

where the upper bound is taken all over positive Borel measures concentrated on the
set E and satisfying the condition
  1p
 μ   μ  1 1
Un−s (x) = Un−s (x) p d x ≤ 1, + = 1. (2)
p p q

For p > n
n−s
, that is qs < n the integral

 μ 
Un−s (x) p d x
|x|≥1

exists. However, when p = n−sn

, i.e. qs = n, in the definition of the capacity Cn−s,q ,
μ
which we mentioned above there is inconvenience that for such s a potential Un−s (x)
may not belong to the class L p (Rn ) and the integral in (2), is not defined in general,
because of the behavior of the kernel K s (x) in a neighborhood of infinity. In this
case, we may assume that E ⊂ B (0, 1) and define the capacity only for such sets:

Cn−s,q (E) = sup μ(E) , 1 < q < +∞,

Removable Singular Sets of m-Subharmonic Functions 5

where, now the upper bound is taken over all positive Borel measures concentrated
on the set E and satisfying condition
⎡ ⎤ 1p

 μ   μ 
Un−s (x) = ⎢
⎣ Un−s (x) p d x ⎥
⎦ ≤ 1, p=
n
.
p n−s
B(0,1)

We provide a following equivalent definition of (n − s, q)-capacity (see [16, 17]).

Definition 4 Let E be a compact set in Rn , and let

 
Φ(E) = ϕ ∈ C0∞ (Rn ) : ϕ(x) > 1 for any x ∈ E .

We call (n − s, q)- capacity of the set E, a number

 
γn−s,q (E) = inf ϕq,s : ϕ ∈ Φ(E) .

Here ⎛ ⎞ q1

 s q
ϕq,s = ⎝ ∇ ϕ(x) d x ⎠ =
x
Rn

⎧  ⎫1
⎨   2  q2 ⎬q
s! ∂sϕ
= dx .
⎩
α1 +α2 +···+αn =s
α1 !α2 ! . . . αn ! ∂ x1 ∂ x2α2 . . . ∂ xnαn
α1
⎭
Rn

We note that there are constants 0 < A1 < A2 depending only on n, s and q, the
following estimation holds:
n
A1 Cn−s,q (E) ≤ γn−s,q (E) ≤ A2 Cn−s,q (E), 1 < q ≤ . (3)
s
Cn−s,q -capacity has the following metric properties (see [16]):
(a) if qs < n, 0 < α < n − qs and Hα (E) = 0, then Cn−s,q (E) = 0;
(b) if qs < n, n − qs < α and Hα (E) > 0, then Cn−s,q (E) > 0;
(c) if qs = n, ϕ(r ) = |ln r |1−q , q > 1 and Hϕ (E) < ∞, then Cn−s,q (E) = 0;
(d) if qs = n, α > 0 and Hα (E) > 0, then Cn−s,q (E) > 0.
It follows that the dimension the set of zero Cn−s,q -capacity is not greater than
n − qs.
In the classical case n > 2, 0 < s ≤ m, P. Matthila [15] (see also [24]) obtained
the following result: let E be a compact set in Rn+m = Rnx × Rmy . If the newtonian
capacity Cn+m−s (E) = 0, 0 < s ≤ m, defined by the Riesz kernel K (x) = |x|s−m−n
is zero, then for almost all a ∈ Rnx intersection E ∩ {x = a} ⊂ Rmy has a newtonian
6 B. I. Abdullaev et al.

capacity zero in the plane {x = a} ∈ Rmy : Cm−s (E ∩ {x = a}) = 0 (if m = s, then

C0 -capacity in Rmy by definition is logarithmic capacity).
We provide more general theorem.

Theorem 4 Let E ⊂ Rn+m be a compact set and let

m!
Cn+m−s,q (E) = 0, 0 < s < m, 1 < q ≤ .
s

Then, for almost all a ∈ Rnx , the intersection E ∩ {x = a} ⊂ Rmy has zero (m − s, q)-
capacity, i.e
Cm−s,q (E ∩ {x = a}) = 0.

The proof of Theorem 4 is based on the definition 4 of (n − s, q)-capacity.

Proof Let E ⊂ Rn+m = Rnx × Rmy is a compact set and

 
Φ(E) = ϕ ∈ C0∞ (Rn+m ) : ϕ(x, y) > 1, (x, y) ∈ E .

According to the Whitney’s theorem (see [28]), for any plane Πa = {x = a},
such that E ∩ Πa = ∅, the set of restrictions ϕ|Πa = {ψ(y) = ϕ(a, y), ϕ ∈ Φ(E)}
of functions ϕ(x, y) ∈ Φ(E) coincides with the set of functions
 
Φ(E ∩ Πa ) = ψ(y) ∈ C0∞ (Rm ) : ψ(y) > 1, y ∈ E ∩ Πa .

Obviously,
⎛ ⎛ ⎞ ⎞ q1 ⎛ ⎞ q1
   
 s q  s q
⎝ ⎝ ∇ ϕ(x, y) dy ⎠ d x ⎠ ≤ ⎝ ∇ ϕ(x, y) d xd y ⎠
y x,y
Rn Rm Rn Rm

and
⎛ ⎛ ⎞ ⎞ q1 ⎛ ⎛ ⎞ ⎞ q1
   
 s q  s q
⎝ inf ⎝ ∇ ϕ(x, y) dy ⎠ d x ⎠ ≤ inf ⎝ ⎝ ∇ ϕ(x, y) dy ⎠ d x ⎠ ≤
ϕ y ϕ y
Rn Rm Rn Rm

⎛ ⎞ q1
 
 s q
≤ inf ⎝ ∇ ϕ(x, y) d xd y ⎠ .
ϕ x,y
Rn Rm

Consequently, and by the Definition 4, we get an inequality

Removable Singular Sets of m-Subharmonic Functions 7

⎛ ⎞ q1

" #q
⎝ γm−s,q (E ∩ Πx ) d x ⎠ ≤ γn+m−s,q (E).
Rn

According to the conditions of the theorem and the estimation (3) we have

" #q
γm−s,q (E ∩ Πx ) d x = 0.
Rn

Consequently, for almost all x ∈ Rn the value γm−s,q (E ∩ Πx ) = 0 and, hence

Cm−s,q (E ∩ Πx ) = 0.

The proof of the Theorem 4 is complete. 

4 Main Results

The main results of this paper are Theorems 5 and 6 which we provide below.

Theorem 5 Let F be a compact subset of the domain D ⊂ Cn , n ≥ 2, if a following

equality holds
C2n−2,q (F) = 0,

where
p 2m
q= and m > 1, ≤ p < +∞,
p−1 2m − 2

then it is removable for a functions u ∈ m − sh (D\F) ∩ L p, loc (D).

Theorem 6 Let F be a compact subset of the domain D ⊂ Cn , n ≥ 2, if a following

equality holds
C2n−1,q (F) = 0,

where
p 2m
q= and m ≥ 1, ≤ p < +∞,
p−1 2m − 1

then it is removable for a functions u ∈ m − sh (D\F) ∩ L 1p, loc (D).

In the proofs of these theorems we will use the Theorems 4, 7 and 8 which will be
provided below on the properties of removable singular sets of subharmonic (n − sh)
functions in the class of L p and L 1p . Here L kp (D)(k is a fixed entire number) denotes
the class of functions having all derivatives up to k, furthermore k-order derivatives
belonging to L p (D).
8 B. I. Abdullaev et al.

Theorem 7 (see [3]) A closed set E ⊂ D ⊂ Rn , n > 2, is removable for a class

L p,loc (D) ∩ sh (D\E), n−2
n
≤ p < ∞, if and only if the capacity

p
Cn−2,q (E) = 0, q = .
p−1

Sketch of proof. (1) First we assume that there exists a compact set E, which is
n
removable for all subharmonic functions in D\E of the class L p , n−2 ≤ p < +∞
p
and Cn−2,q (E) > 0, q = p−1 . Then, by the definition of the capacity Cn−2,q , there
exists a positive Borel measure, such that suppμ ⊂ E, μ(E) > 0 and the potential

dμ(y)
u(x) =
|x − y|n−2

belongs to the class L p . The function u(x) is harmonic, and consequently subhar-
monic outside of E . By the assumption, it extends subharmonically into E. However,
it is not subharmonic in D, since −u(x) is a subharmonic function. We came to the
contradiction, i.e., Cn−2,q (E) = 0.
(2) Now suppose that Cn−2,q (E) = 0 and u(x) is subharmonic function in D\E,
and belong to L p (D), 1p + q1 = 1.
Further we use the following statement (see [19]): let E be a compact subset of
the space Rn , and D ⊃ E is a neighborhood of the set E. Then for a fixed integer k
the following statements are equivalent:
(1) Ck,q (E) = 0;
(2) The set of test-functions C0∞ (D\E) is dense in the set of test-functions C0∞ (D)
with respect to the norm L kp .
If now ψ(x) is a positive test-function supp ψ  D, then according to this state-
ment there is a sequence of positive basic functions ϕ j (x), supp ϕ j  D\E and
converges to ψ(x) with respect to the norm L kp . Then
 
   
 u(x)Δ(ψ − ϕ j )d x  ≤ C u L ψ − ϕ j  2 ,
  p Lq

where C = const. From this inequality it follows that

 
uΔψd x = lim uΔϕ j d x ≥ 0,
j→∞
D D\E

for any positive basic test-function ψ(x) ∈ C0∞ (D). Therefore, the function u(x)
subharmonically extends in whole D. The Theorem 7 is proved. 

Theorem 8 A closed set E ⊂ D ⊂ Rn , n ≥ 2, is removable for a class L 1p,loc (D) ∩

sh (D\E) , n−1
n
≤ p < +∞, if and only if
Removable Singular Sets of m-Subharmonic Functions 9

p
Cn−1,q (E) = 0 , q = .
p−1

The proof of Theorem 8 is analogous to the proof of Theorem 7, and it is also

carried out mainly due to Theorem 4.
Proof of Theorem 5. Since the case m = n is considered in Theorems 7 and 8,
we can assume that m < n. The m−subharmonic function is subharmonic, so the
function u (z) extends subharmonically into the domain D. The extended function we
again denote by u (z) . Applying Theorem 4 for F ⊂ Cn = C(n−m)+m ≈ R2(n−m)+2m
we state the fact, that for almost all z  = (z 1 , . . . , z n−m ) the intersection F ∩ Πz  has
capacity
C2m−2,q (F ∩ Πz  ) = 0.

Hence, according to Theorem 7, we obtain that for almost all Πz  planes restriction
u(z)|Πz is subharmonic in D ∩ Πz  .
This implies that the restriction u(z)|Πz is subharmonic in D ∩ Πz  for all planes
Πz . Using a unitary change of variables Cn , we get that u(z)|Π is subharmonic in


D ∩ Π for all planes Π. Theorem 5 is proved. 

The proof of Theorem 6 is analogous to the proof of Theorem 5.
Remark. The class L 2p is characterized by the fact that functions from the class L 2p
have derivatives up to the second order, with the second derivatives belonging to L p .
Therefore, for p ≥ 1 a closed set F ⊂ D, mes F = 0, appears removable singular set
for m − sh(D\F) ∩ L 2p . If u ∈ m − sh(D\F) ∩ C 2 (D), then the set F ⊂ D, which
is nowhere dense, is removable for u. Therefore, the cases m − sh(D\F) ∩ L 2p and
m − sh(D\F) ∩ C 2 (D) are trivial and we shall not focus on them in this paper.

5 Appendix

For the completeness of the materials of subject, we present one theorem on remov-
able singular sets of sub-solutions of elliptic operators from the class L kp (see [4]):
let G ⊂ Rn be a domain in space Rn and F  (G) be the space of distributions in the
domain G and 
P (D) = aα D α ,
|α|≤m

∂ |α|
Dα = , α = (α1 , α2 , . . . , αn ) , |α| = |α1 | + |α2 | + · · · + |αn | ,
∂ x1α1 ∂ x2α2 . . . ∂ xnαn

be elliptic differential operator of order m ≥ 2 with constant coefficients aα .

Definition 5 An upper semi-continuous function defined in a domain G ⊂ Rn is

called sub-solution of the elliptic operator P(D) in the domain G if P(D)u(x) ≥ 0,
in terms of distributions, that is,
10 B. I. Abdullaev et al.

(P(D)u, ϕ) = (u, P(D)ϕ) = u (x) · P(D)ϕ (x) d x ≥ 0
G

for all positive test-functions ϕ ∈ F(G).

Theorem 9 A compact set E in a domain G ⊂ Rn , n > 2 is removable for sub-

solutions u(x) from a class L kp (G), of an elliptic operator P(D) (of order m),
n
n−m+k
≤ p < +∞, 0 < m − k < n, if and only if

p
Cm−k,q (E) = 0, q = .
p−1

Corollary 1 A compact set E in a domain G ⊂ Rn , n > 2 is removable for sub-

solutions u(x) of an elliptic equation P(D)u(x) = 0 (order m) in G\E from a class
L kp (G), n−m+k
n p
≤ p < +∞, 0 < m − k < n, if and only if Cm−k,q (E) = 0, q = p−1 .

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Extensions of Bernstein’s Lethargy
Theorem

Asuman Güven Aksoy

Abstract In this paper, we examine the aptly-named “Lethargy Theorem” of Bern-

stein and survey its recent extensions. We show that one of these extensions shrinks
the interval for best approximation by half while the other gives a surprising connec-
tion to the space of bounded linear operators between two Banach spaces.

Keywords Best approximation · Bernstein’s Lethargy theorem · Approximation

numbers

Mathematics Subject Classification (2000) 41A25 · 41A50 · 46B20

1 Introduction

The formal beginnings of approximation theory date back to 1885, with Weierstrass’
celebrated approximation theorem [31]. The discovery that every continuous function
defined on a closed interval [a, b] can be uniformly approximated as closely as desired
by a polynomial function immediately prompted many new questions. One such
question concerned approximating functions with polynomials of limited degree.
That is, if we limit ourselves to polynomials of degree at most n, what can be said of
the best approximation? As it turns out, there is no unified answer to this question.
In fact, S. N. Bernstein [11] in 1938 showed that there exist functions whose best
approximation converges arbitrarily slowly as the degree of the polynomial rises.
In this paper, we take up this aptly-named “Lethargy Theorem” of Bernstein and
present two extensions. For f ∈ C([0, 1]), the sequence of the best approximation
errors is defined as:

ρ( f, Pn ) = inf{|| f − p|| : p ∈ Pn } (1)

A. G. Aksoy (B)
Department of Mathematical Sciences, Claremont McKenna College,
Claremont, CA 91711, USA
e-mail: aaksoy@cmc.edu

© Springer Nature Switzerland AG 2018 13

Z. Ibragimov et al. (eds.), Algebra, Complex Analysis, and Pluripotential Theory,
Springer Proceedings in Mathematics & Statistics 264,
https://doi.org/10.1007/978-3-030-01144-4_2
14 A. G. Aksoy

where Pn denotes the space of all polynomials of degree ≤ n. Clearly,

ρ( f, P1 ) ≥ ρ( f, P2 ) ≥ · · ·

and {ρ( f, Pn )} form a non-increasing sequence of numbers. Bernstein [11] proved

that if {dn }n≥1 is a non-increasing null sequence (i.e. lim dn = 0) of positive num-
n→∞
bers, then there exists a function f ∈ C[0, 1] such that

ρ( f, Pn ) = dn , for all n ≥ 1.

This remarkable result is called Bernstein’s Lethargy Theorem (BLT) and is used in
the constructive theory of functions [37], and it has been applied to the theory of quasi
analytic functions in several complex variables [33, 34]. Also see [18] and references
therein for an application of BLT to the study Gonchar quasianalytic functions of
several variables.
Bernstein’s proof is based on a compactness argument and only works when the
subspaces are finite dimensional. Note that the density of polynomials in C[0, 1] (the
Weierstrass Approximation Theorem) implies that

lim ρ( f, Pn ) = 0.
n→∞

Weierstrass Approximation Theorem gives no information about the speed of con-

vergence for ρ( f, Pn ), but Bernstein’s Lethargy Theorem does. Bernstein Lethargy
Theorem has been extended, replacing C[0, 1] by an arbitrary Banach space X and
replacing Pn by arbitrary closed subspaces {Yn } of X where Y1 ⊂ Y2 ⊂ · · · by Shapiro
[36]. Using Baire’s category theorem and Riesz’s lemma, he proved that for each
null sequence {dn } of non-negative numbers, there exists a vector x ∈ X such that

ρ(x, Yn ) = O(dn ), as n → ∞.

That is, there is no M > 0 such that

ρ(x, Yn ) ≤ Mdn , for all n ≥ 1.

Note that Shapiro’s result is not restricted to finite dimensional subspaces Yn . This
result was later strengthened by Tyuriemskih [39] . He showed that the sequence of
errors of the best approximation from x to Yn , {ρ(x, Yn )} may converge to zero at an
arbitrary slow rate. More precisely, for any expanding sequence {Yn } of subspaces
of X and for any null sequence {dn } of positive numbers, he constructed an element
x ∈ X such that

lim ρ(x, Yn ) = 0, and ρ(x, Yn ) ≥ dn for all n ≥ 1.

n→∞
Extensions of Bernstein’s Lethargy Theorem 15

However, it is also possible that the errors of the best approximation {ρ(x, Yn )} may
converge to zero arbitrarily fast; for results of this type see [9].
We refer the reader to [14] for an application of Tyuriemskih’s Theorem to con-
vergence of sequences of bounded linear operators.
We also refer to [3, 5, 9, 10, 23, 24] for other versions of Bernstein’s Lethargy
Theorem and to [4, 6, 26, 32, 41] for Bernstein’s Lethargy Theorem for Fréchet
spaces.
Given an arbitrary Banach space X , a strictly increasing sequence {Yn } of sub-
spaces of X and a non-increasing null sequence {dn } of non-negative numbers, one
can ask the question whether there exists x ∈ X such that ρ(x, Yn ) = dn for each
n? For a long time, no sequence {dn } of this type was known for which such an
element x exists for all possible Banach spaces X . The only known spaces X in
which the answer is always “yes” are the Hilbert spaces (see [7, 8, 40]). For a gen-
eral (separable) Banach space X , a solution x is known to exist whenever all Yn are
finite-dimensional (see [38]). Moreover, it is known that if X has the above property,
then it is reflexive (see [40]).

2 Extensions of BLT to Banach Spaces

The following lemma is a Bernstein’s Lethargy type of a result restricted to finite

number of subspaces, and for the proof of this lemma we refer the reader to Timan’s
book [38].

Lemma 1 Let (X, · ) be a normed linear space, Y1 ⊂ Y2 ⊂ . . . ⊂ Yn ⊂ X be a

finite system of strictly nested subspaces, d1 > d2 > · · · > dn ≥ 0 and z ∈ X \Yn .
Then, there is an element x ∈ X for which ρ(x, Yk ) = dk (k = 1, . . . , n), x ≤
d1 + 1, and x − λz ∈ Yn for some λ > 0.

Borodin [12] proved the above Lemma 1 by taking (X, · ) to be a Banach space.
Returning to the question posed before, namely given an arbitrary Banach space
X , a strictly increasing sequence {Yn } of subspaces of X and a non-increasing null
sequence {dn } of non-negative numbers, one can ask the question whether there exists
x ∈ X such that ρ(x, Yn ) = dn for each n? For a long time no sequence {dn } of this
type was known for which such an element x exists for all possible Banach spaces
X . Borodin in [12] uses the above lemma for Banach space to establish the existence
of such an element in case of rapidly decreasing sequences; more precisely, in 2006
he proves the following theorem:

Theorem 1 (Borodin [12]) Let X be an arbitrary Banach space (with finite or infi-
nite dimension), Y1 ⊂ Y2 ⊂ · · · be an arbitrary countable system of strictly nested
subspaces in X , and fix a numerical sequence {dn }n≥1 satisfying: there exists a natural
number n 0 ≥ 1 such that
16 A. G. Aksoy

∞

dn > dk for all n ≥ n 0 at which dn > 0. (2)
k=n+1

Then there is an element x ∈ X such that

ρ(x, Yn ) = dn , for all n ≥ 1. (3)

The condition (2) on the sequence {dn } is the key to the derivation of (3) in
Theorem 1. Based on this result, Konyagin [22] in 2013 takes a further step to
show that, for a general non-increasing null sequence {dn }, the deviation of x ∈ X
from each subspace Yn can range in some interval depending on dn .
Theorem 2 (Konyagin [22]) Let X be a real Banach space, Y1 ⊂ Y2 ⊂ · · · be a
sequence of strictly nested closed linear subspaces of X , and d1 ≥ d2 ≥ · · · be a
non-increasing sequence converging to zero, then there exists an element x ∈ X
such that the distance ρ(x, Yn ) satisfies the inequalities

dn ≤ ρ(x, Yn ) ≤ 8dn , for n ≥ 1. (4)

Note that the condition (2) is satisfied when dn = (2 + ε)−n for ε > 0 arbitrarily
small, however it is not satisfied when dn = 2−n . Of course there are two natural
questions to ask:
Question 1 Is the condition (2) necessary for the results in Theorem 1 to hold, or
does Theorem 1 still hold for the sequence dn = 2−n , n ≥ 1?
Question 2 Under the same conditions given in Theorem 2, can the lower and
upper bounds of ρ(x, Yn ) in (4) be improved?
Both of these questions are answered and two improvements on a theorem of S. N.
Bernstein for Banach spaces are presented in [2]. A positive answer to Question 1 is
obtained in [2] by showing that Theorem 1 can be extended by weakening the strict
inequality in (2) to a non-strict one:
∞

dn ≥ dk , for every n ≥ n 0 . (5)
k=n+1

Clearly, the condition (5) is weaker than (2), but unlike the condition (2), (5) is

∞
satisfied by the sequences {dn }n≥1 verifying dn = dk for all n ≥ n 0 . For a
k=n+1
typical example of such a sequence one can take {dn } = {2−n }. We have also shown
that if X is an arbitrary infinite-dimensional Banach space, {Yn } is a sequence of
strictly nested subspaces of X , and if {dn } is a non-increasing sequence of non-
negative numbers tending to 0, then for any c ∈ (0, 1] we can find xc ∈ X , such that
the distance ρ(xc , Yn ) from xc to Yn satisfies

cdn ≤ ρ(xc , Yn ) ≤ 4cdn for all n ∈ N.

Extensions of Bernstein’s Lethargy Theorem 17

We prove the above inequality by first improving [12] result for Banach spaces
by weakening his condition on the sequence {dn }. The weakened condition on dn
requires a refinement of Borodin’s construction to extract an element in X , whose
distances from the nested subspaces are precisely the given values dn .
Now, we are ready to state the following theorem [2] which improves the theorem
of Borodin [12].
Theorem 3 (Aksoy, Peng [2]) Let X be an arbitrary infinite-dimensional Banach
space, {Yn }n≥1 be an arbitrary system of strictly nested subspaces with the prop-
erty Y n ⊂ Yn+1 for all n ≥ 1, and let the non-negative numbers {dn }n≥1 satisfy the
following property: there is an integer n 0 ≥ 1 such that
∞

dn ≥ dk , for every n ≥ n 0 .
k=n+1

Then, there exists an element x ∈ X such that ρ(x, Yn ) = dn for all n ≥ 1.

Proof of this theorem depends on some technical lemmas, details can be found in
[2]. Next we state an improvement of the Konyagin’s result.

Theorem 4 (Aksoy, Peng [2]) Let X be an infinite-dimensional Banach space, {Yn }

be a system of strictly nested subspaces of X satisfying the condition Y n ⊂ Yn+1 for
all n ≥ 1. Let {dn }n≥1 be a non-increasing null sequence of strictly positive num-
bers. Assume that there exists an extension {(d̃n , Ỹn )}n≥1 ⊇ {(dn , Yn )}n≥1 satisfying:
{d̃n }n≥1 is a non-increasing null sequence of strictly positive values, Ỹ n ⊂ Ỹn+1 for
n ≥ 1; and there is an integer i 0 ≥ 1 and a constant K > 0 such that

{K 2−n }n≥i0 ⊆ {d̃n }n≥1 .

Then, for any c ∈ (0, 1], there exists an element xc ∈ X (depending on c) such that

cdn ≤ ρ(xc , Yn ) ≤ 4cdn , for n ≥ 1. (6)

Proof We first show (6) holds for c = 1. By assumption, there is a subsequence

{n i }i≥i0 of N such that
d̃ni = K 2−i , for i ≥ i 0 .

Since the sequence {d̃n }n=1,2,...,ni0 −1 ∪ {d̃ni }i≥i0 satisfies the condition (5) and Ỹ n ⊂
Ỹn+1 for all n ≥ 1, then we can apply Theorem 3 to get x ∈ X so that

ρ(x, Ỹn ) = d̃n , for n = 1, . . . , n i0 − 1, and ρ(x, Ỹni ) = d̃ni , for all i ≥ i 0 . (7)

Therefore for any integer n ≥ 1, we can consider the following cases:

Case 1 if n ≤ n i0 − 1 or n = n i for some i ≥ i 0 , then it follows from (7) that
18 A. G. Aksoy

ρ(x, Ỹn ) = d̃n ;

Case 2 if n i < n < n i+1 for some i ≥ i 0 , then the fact that {d̃n } is non-increasing
and Ỹni ⊂ Ỹn ⊂ Ỹni+1 leads to
   
ρ(x, Ỹn ) ∈ ρ(x, Ỹni+1 ), ρ(x, Ỹni ) = K 2−(i+1) , K 2−i

and 
d̃n ∈ K 2−i , K 2−i+1 .

It follows that
ρ(x, Ỹn ) K 2−i−1 K 2−i 1
∈ , = ,1 .
d̃n K 2−i+1 K 2−i 4

Putting the above cases together yields

1
d̃n ≤ ρ(x, Ỹn ) ≤ d̃n for all n ≥ 1.
4
For c ∈ (0, 1], taking xc = 4cx in the above inequalities, we obtain

cd̃n ≤ ρ(xc , Ỹn ) ≤ 4cd̃n , for all n ≥ 1.

Remembering that {(dn , Yn )}n≥1 ⊆ {(d̃n , Ỹn )}n≥1 , we then necessarily have

cdn ≤ ρ(xc , Yn ) ≤ 4cdn , for all n ≥ 1.

Hence Theorem 4 is proved.

1
Remark 1 Taking c = in Theorem 4, we obtain existence of x ∈ X for which
4
1 ρ(x, Yn )
≤ ≤ 1, for all n ≥ 1.
4 dn

3 1 ρ(x, Yn )
The interval length makes , 1 the “narrowest” estimating interval of
4 4 dn
that Theorem 4 could provide.

The subspace condition given in Theorem 4 states that the nested sequence {Yn }
has “enough gaps” so that the sequence

{(dn , Yn )}n≥1 = {(dn , Yn )}n≥1 ∪ {(K 2−i , Ỹni )}i≥i0

satisfies dn ≥ dn+1 → 0 and Yn ⊂ Yn+1 for all n ≥ 1. For another subspace condition
see the results in [1].
Extensions of Bernstein’s Lethargy Theorem 19

Observe that in Konyagin’s paper [22] it is assumed that {Yn } are closed and
strictly increasing. In Borodin’s paper [12], this is not specified, but from the proof
of Theorem 1 it is clear that his proof works only under the assumption that Y n is
strictly included in Yn+1 . The subspace condition Yn ⊂ Yn+1 does not come at the
expense of our assumption to weaken the condition on the sequence dn . This is a
natural condition. To clarify the reason why almost all Lethargy theorems have this
condition on the subspaces, we give the following example.
Example 1 Let X = L ∞ [0, 1] and consider C[0, 1] ⊂ L ∞ [0, 1] and define the sub-
spaces of X as follows:
1. Y1 = space of all polynomials;
2. Yn+1 =span[Yn ∪ { f n }] where f n ∈ C[0, 1] \ Yn , for n ≥ 1.
Observe that by the Weierstrass Theorem we have Y n = C[0, 1] for all n ≥ 1. Take
any f ∈ L ∞ [0, 1] and consider the following cases:
(a) If f ∈ C[0, 1] , then

ρ( f, Yn ) = ρ( f, C[0, 1]) = 0 for all n ≥ 1.

(b) If f ∈ L ∞ [0, 1] \ C[0, 1], then

ρ( f, Yn ) = ρ( f, C[0, 1]) = d > 0 (independent of n).

Note that in the above, we have used the fact that ρ( f, Yn ) = ρ( f, Y n ). Hence
in this case BLT does not hold.

3 Extension of BLT to Fréchet Spaces

Fréchet spaces are locally convex spaces that are complete with respect to a translation
invariant metric, and they are generalization of Banach spaces which are normed
linear spaces, complete with respect to the metric induced by the norm. However,
there are metric spaces which are not normed spaces. This can be easily seen by
considering the space s the set of all sequence x = (xn ) and defining d(x, y) =
∞
|xi − yi |
2−i as a metric on s. If we let λ ∈ R then
i=1
(1 + |xi − yi |)

∞
1 |λ||xi − yi |
d(λx, λy) = i (1 + |λ||x − y |)
= |λ|d(x, y) (no homogeneity).
i=1
2 1 i

Definition 1 (X, · F ) is called a Fréchet space, if it is a metric linear space which

is complete with respect to its F-norm ||.|| F giving the topology. An F-norm ||.|| F
satisfies the following conditions [35]:
20 A. G. Aksoy

1. ||x|| F = 0 if and only if x = 0,

2. ||αx|| F = ||x|| F for all real or complex α with |α| = 1 (no homogeneity),
3. ||x + y|| F ≤ ||x|| F + ||y|| F ,

Many Fréchet spaces X can also be constructed using a countable family of semi-
norms ||x||k where X is a complete space with respect to this family of semi-norms.
For example a translation invariant complete metric inducing the topology on X can
be defined as
∞
||x − y||k
d(x, y) = 2−k for x, y ∈ X.
k=0
1 + ||x − y||k

Clearly, every Banach space is a Fréchet space, and the other well known example of
a Fréchet space is the vector space C ∞ [0, 1] of all infinitely differentiable functions
f : [0, 1] → R where the semi-norms are

|| f ||k = sup{| f (k) (x)| : x ∈ [0, 1]}.

For more information about Fréchet spaces the reader is referred to [20, 35].
Recently in [4] a version of Bernstein Lethargy Theorem (BLT) was given for
Fréchet spaces. More precisely, let X be an infinite-dimensional Fréchet space and
let V = {Vn } be a nested sequence of subspaces of X such that Vn ⊆ Vn+1 for any
n ∈ N. Let dn be a decreasing sequence of positive numbers tending to 0. Under an
additional natural condition on sup{dist(x, Vn )}, we proved that there exists x ∈ X
and n o ∈ N such that
dn
≤ ρ(x, Vn ) ≤ 3dn ,
3
for any n ≥ n o . By using the above theorem, it is also possible to obtain an extension
of both Shapiro’s [36] and Tyuremskikh’s [39] theorems for Fréchet spaces as well.
Notation. Let (X, . F ) be a Fréchet space and assume that V = {Vn } is a nested
sequence of linear subspaces of X satisfying Vn ⊂ Vn+1 . Let dn,V denote the devia-
tion of Vn from Vn+1 defined as:

dn,V = sup{ρ(v, Vn ) : v ∈ Vn+1 } (8)

and throughout this paper we assume:

dV = inf{dn,V : n ∈ N} > 0. (9)

The necessity of this assumption is illustrated in the following example.

Example 2 Let X = {(xn ) : xn ∈ R for any n ∈ N} equipped with the F-norm
 ∞
|x j |
x F= j (1 + |x |)
, where x = (x1 , . . . , x j , . . .). Let
j=1
2 j
Extensions of Bernstein’s Lethargy Theorem 21

Vn = {x ∈ X : xk = 0 for k ≥ n + 1}.

It is easy to see that for any x ∈ X

∞
 |x j | 1
ρ(x, Vn ) = ≤ n.
j=n+1
2 j (1+ |x j |) 2

2 1 2
Let dn = and observe that for any x ∈ X, ρ(x, Vn ) ≤ n < . Also observe that
n 2 n
1
dn,V = n+1 which implies that dV = 0.
2
Thus in the case when dV = 0, we cannot even hope to prove Shapiro’s theorem.
Above example also shows that it is impossible to prove the Tyuriemskih Theorem
or Konyagin’s type result in Fréchet spaces without additional assumptions, because
they are stronger statements than Shapiro’s theorem. Note that if X is a Banach space,
then the condition dV = inf{dn,V : n ∈ N} > 0 is satisfied automatically. It can be
seen easily that dn,V = +∞ for Banach spaces. because

ρ(t x, Vn ) = tρ(x, Vn )

and the supremum taking over all v ∈ Vn+1 and Vn is strictly included in Vn+1 . The
next, example illustrates that there is a natural way to build Fréchet spaces where
dn,V = 1 .
Example 3 Let (X, . ) be a Banach space. Define in X an F-norm F by: x F =
x /(1 + x ). Then dn,V = 1 for any n ∈ N independently of V . Because the
mapping
t
t →
1+t

is increasing for t > −1 and

ρ(t x, Vn )
ρ F (t x, Vn ) = →1
1 + ρ(t x, Vn )

as t → ∞.
Theorem 5 (Aksoy, Lewicki, [4]) Let X be a Fréchet space and and assume that
V = {Vn } is a nested sequence of linear subspaces of X satisfying Vn ⊆ Vn+1 , where
the closure is taken with respect to · F . Let dn,V be defined as above and {en } be
a decreasing sequence of positive numbers satisfying
∞

2 j−n (δ j + e j ) < min{dn,V , en−1 }
j=n

with a fixed sequence of positive numbers δ j . Then, there exists x ∈ X such that
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