Elementary Operator Theory 1st Edition

Marat V. Markin
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Elementary Operator Theory
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Marat V. Markin

Elementary
Operator Theory

|
Mathematics Subject Classification 2010
47-01, 47A10, 47A30, 47A35, 47A56, 47A60, 47B07, 47B25, 46-01, 46A30, 46A35, 46A45, 46E15

Author
Dr. Marat V. Markin
California State University, Fresno
Department of Mathematics
5245 N. Backer Avenue, M/S PB 108
Fresno, California 93740-8001
USA
mmarkin@csufresno.edu

ISBN 978-3-11-060096-4
e-ISBN (PDF) 978-3-11-060098-8
e-ISBN (EPUB) 978-3-11-059888-9
DOI https://doi.org/10.1515/9783110600988

Library of Congress Control Number: 2019951807

Bibliographic information published by the Deutsche Nationalbibliothek

The Deutsche Nationalbibliothek lists this publication in the Deutsche Nationalbibliografie;
detailed bibliographic data are available on the Internet at http://dnb.dnb.de.

© 2020 Walter de Gruyter GmbH, Berlin/Boston

Cover image: Mordolff/Getty Images
Typesetting: VTeX UAB, Lithuania
Printing and binding: CPI books Lecks, GmbH

www.degruyter.com
|
To the beauty and power of mathematics.
Preface
Mathematics is the most beautiful and most powerful creation of the human spirit.
Stefan Banach

A Few Words on the Subject of Operator Theory

As was shrewdly observed by S. Krein and Yu. Petunin, “To study a problem, one must
choose a space and study the corresponding functionals, operators, etc. in it. . . . The
choice of the space in which the problem is studied is partly connected with the sub-
jective aims set by the investigator. Apparently, the objective data are only the opera-
tors that appear in the equations of the problem. On this account, it seems to us that
the original and basic concept of functional analysis is that of an operator” (see, e. g.,
[44]). Thus, in the context of the ancient chicken-egg argument, the concept of space
emerges as consequential to that of an operator.
Operator theory is a modern, vast, and rapidly developing branch of functional
analysis, which addresses operators, most notably linear. Combining profoundly ab-
stract nature with extensive applicability, which encompasses ordinary and partial
differential equations, integral equations, calculus of variations, quantum mechanics,
and much more, operator theory is a powerful apparatus for solving diverse problems.
A course in it, most certainly, deserves to be a vital part of a contemporary graduate
mathematics curriculum, increasing its value not only for graduate students majoring
in mathematics but also for those majoring in physics, science, and engineering.

Book’s Purpose and Targeted Audience

The book is intended as a text for a one-semester Master’s level graduate course in op-
erator theory to be taught within the existing constraints of the standard for the United
States graduate curriculum (fifteen weeks with two seventy-five-minute lectures per
week). Considering the above, this is an introductory text on the fundamentals of op-
erator theory with prerequisites intentionally set not high, the students not being as-
sumed to have taken graduate courses either in analysis (real or complex) or general
topology, to make the course accessible and attractive to a wider audience of STEM
(science, technology, engineering, and mathematics) graduate students or advanced
undergraduates with a solid background in calculus and linear algebra. Designed to
teach a one-semester operator theory course “from scratch”, not as a sequel to a func-
tional analysis course, this book cannot but have a certain nontrivial material overlap
with the author’s recent textbook [45] remaining, however, very distinct from the lat-
ter by the scope and the learning outcomes, with the basics of the spectral theory of
linear operators taking the center stage.

https://doi.org/10.1515/9783110600988-202
VIII | Preface

Book’s Scope and Specifics

The book consists of six chapters and an appendix, taking the reader from the funda-
mentals of abstract spaces (metric, vector, normed vector, and inner product), the Ba-
nach Fixed-Point Theorem and its applications, such as Picard’s Existence and Unique-
ness Theorem, through the basics of linear operators, two of the three fundamental
principles (the Uniform Boundedness Principle and the Open Mapping Theorem and its
equivalents: the Inverse Mapping and Closed Graph Theorems), to the elements of the
spectral theory, including Gelfand’s Spectral Radius Theorem and the Spectral Theo-
rem for Compact Self-Adjoint Operators, and its applications, such as the celebrated
Lyapunov Stability Theorem and the Mean Ergodicity Theorem [48, Theorem 4.1], the
latter being a result of the author’s own research.
The course is designed to be taught starting with Chapter 2, Chapter 1 outlining
certain necessary preliminaries and being referred to whenever the need arises.
The Appendix gives a concise treatise of the Axiom of Choice, its equivalents (the
Hausdorff Maximal Principle, Zorn’s Lemma, and Zermelo’s Well-Ordering Principle),
and ordered sets, which underlie several fundamental statements of the course, such
as the Basis Theorem (Theorem 3.2).
Conceived as a text to be used in a classroom, the book constantly calls for the stu-
dent’s actively mastering the knowledge of the subject matter. There are problems at
the end of each chapter, starting with Chapter 2 and totaling 150. These problems are
indispensable for understanding the material and moving forward. Many important
statements, such as the Fundamental Sequence with Convergent Subsequence Proposi-
tion (Proposition 2.22, Section 2.18, Problem 25), are given as problems; a lot of them
are frequently referred to and used in the book. There are also 432 Exercises through-
out the text, including Chapter 1 and the Appendix, which require of the student to
prove or verify a statement or an example, fill in certain details in a proof, or provide
an intermediate step or a counterexample. They are also an inherent part of the ma-
terial. More difficult problems, such as Section 4.7, Problem 25, are marked with an
asterisk; many problems and exercises are supplied with “existential” hints.
The book is generous on Examples and contains numerous Remarks accompany-
ing every definition and virtually each statement to discuss certain subtleties, raise
questions on whether the converse assertions are true, whenever appropriate, or
whether the conditions are essential.
As amply demonstrated by experience, students tend to better remember state-
ments by their names rather than by numbers. Thus, a distinctive feature of the book
is that every theorem, proposition, corollary, and lemma, unless already possessing a
name, is endowed with a descriptive one, making it easier to remember, which, in this
author’s humble opinion, is quite a bargain when the price for better understanding
and retention of the material is only a little clumsiness while making a longer refer-
ence. Each statement is referred to by its name and not just the number, e. g., the Norm
Equivalence Theorem (Theorem 3.9), as opposed to merely Theorem 3.9.
 Acknowledgments | IX

With no pretense on furnishing the history of the subject, the text provides certain
dates and lists every related name as a footnote.

Acknowledgments
First and foremost, I wish to express my heartfelt gratitude to my mother, Svetlana
A. Markina, for her unfailing love and support, without which this and many other
endeavors of mine would have been impossible.
My utmost appreciation goes to Mr. Edward Sichel, my pupil and graduate ad-
visee, for his invaluable assistance with proofreading and improving the manuscript.
I am very thankful to Dr. Przemyslaw Kajetanowicz (Department of Mathematics,
CSU, Fresno) for his kind aid with graphics.
My sincere acknowledgments are also due to Dr. Apostolos Damialis, formerly
Walter de Gruyter GmbH Acquisitions Editor in Mathematics, for seeing value in my
manuscript and making authors his highest priority, Ms. Nadja Schedensack, Wal-
ter de Gruyter GmbH Project Editor in Mathematics and Physics, for superb efficiency
in managing all project related matters, as well as Ms. Ina Talandienė and Ms. Ieva
Spudulytė, VTeX Book Production, for their expert editorial and LATEX typesetting con-
tributions.

Clovis, California, USA Marat V. Markin

June–July 2019
Contents
Preface | VII

1 Preliminaries | 1
1.1 Set-Theoretic Basics | 1
1.1.1 Some Terminology and Notations | 1
1.1.2 Cardinality and Countability | 2
1.2 Terminology Related to Functions | 4
1.3 Upper and Lower Limits | 6
1.4 Certain Facts from Linear Algebra | 6
1.4.1 Coordinate Vector Mapping | 7
1.4.2 Matrix Representations of Linear Operators | 7
1.4.3 Change of Basis, Transition Matrices | 10
1.4.4 Cayley–Hamilton Theorem | 13

2 Metric Spaces | 15
2.1 Definition and Examples | 15
2.2 Hölder’s and Minkowski’s Inequalities | 17
2.2.1 Conjugate Indices | 17
2.2.2 Young’s Inequality | 18
2.2.3 The Case of n-Tuples | 19
2.2.4 Sequential Case | 21
2.3 Subspaces of a Metric Space | 22
2.4 Function Spaces | 23
2.5 Further Properties of Metric | 25
2.6 Convergence and Continuity | 26
2.6.1 Convergence | 26
2.6.2 Continuity, Uniform Continuity, and Lipschitz Continuity | 28
2.7 Balls, Separation, and Boundedness | 30
2.8 Interior Points, Interiors, Open Sets | 33
2.9 Limit and Isolated Points, Closures, Closed Sets | 34
2.10 Exterior and Boundary | 38
2.11 Dense Sets and Separability | 39
2.12 Equivalent Metrics, Homeomorphisms and Isometries | 40
2.12.1 Equivalent Metrics | 40
2.12.2 Homeomorphisms and Isometries | 41
2.13 Completeness | 43
2.13.1 Cauchy/Fundamental Sequences | 43
2.13.2 Complete Metric Spaces | 45
2.13.3 Subspaces of Complete Metric Spaces | 49
2.13.4 Nested Balls Theorem | 50
XII | Contents

2.14 Category and Baire Category Theorem | 53

2.14.1 Nowhere Denseness | 53
2.14.2 Category | 56
2.14.3 Baire Category Theorem | 57
2.15 Banach Fixed-Point Theorem and Applications | 61
2.15.1 Fixed Points | 61
2.15.2 Contractions | 61
2.15.3 Banach Fixed-Point Theorem | 63
2.15.4 Applications | 65
2.16 Compactness | 76
2.16.1 Total Boundedness | 77
2.16.2 Compactness, Precompactness | 82
2.16.3 Hausdorff Criterion | 88
2.16.4 Compactness in Certain Complete Metric Spaces | 90
2.16.5 Other Forms of Compactness | 92
2.16.6 Equivalence of Different Forms of Compactness | 93
2.16.7 Compactness and Continuity | 95
2.17 Arzelà–Ascoli Theorem | 99
2.17.1 Space (C(X , Y ), ρ∞ ) | 100
2.17.2 Uniform Boundedness and Equicontinuity | 102
2.17.3 Arzelà–Ascoli Theorem | 103
2.17.4 Application: Peano’s Existence Theorem | 105
2.18 Problems | 108

3 Vector Spaces, Normed Vector Spaces, and Banach Spaces | 119

3.1 Vector Spaces | 119
3.1.1 Definition, Examples, Properties | 119
3.1.2 Homomorphisms and Isomorphisms | 122
3.1.3 Subspaces | 123
3.1.4 Spans and Linear Combinations | 125
3.1.5 Linear Independence, Hamel Bases, Dimension | 126
3.1.6 New Spaces from Old | 131
3.1.7 Disjoint and Complementary Subspaces, Direct Sum Decompositions,
Deficiency and Codimension | 134
3.2 Normed Vector and Banach Spaces | 138
3.2.1 Definitions and Examples | 138
3.2.2 Series and Completeness Characterization | 141
3.2.3 Comparing Norms, Equivalent Norms | 143
3.2.4 Isometric Isomorphisms | 145
3.2.5 Topological and Schauder Bases | 146
3.3 Finite-Dimensional Spaces and Related Topics | 148
3.3.1 Norm Equivalence and Completeness | 149
 Contents | XIII

3.3.2 Finite-Dimensional Subspaces and Bases of Banach Spaces | 151

3.4 Riesz’s Lemma and Implications | 153
3.5 Problems | 155

4 Linear Operators | 161

4.1 Linear Operators and Functionals | 161
4.1.1 Definitions and Examples | 161
4.1.2 Kernel, Range, and Graph | 163
4.1.3 Rank-Nullity and Extension Theorems | 164
4.2 Bounded Linear Operators and Functionals | 167
4.2.1 Definitions, Properties, Examples | 167
4.2.2 Kernel | 172
4.2.3 Space of Bounded Linear Operators, Dual Space | 172
4.3 Uniform Boundedness Principle | 177
4.4 Open and Inverse Mapping Theorems | 179
4.4.1 Open Mapping Theorem | 180
4.4.2 Inverse Mapping Theorem and Applications | 184
4.5 Closed Linear Operators, Closed Graph Theorem | 188
4.5.1 Definition, Characterizations, Examples | 188
4.5.2 Kernel | 191
4.5.3 Closed Graph Theorem | 191
4.5.4 Application: Projection Operators | 193
4.6 Equivalence of OMT, IMT, and CGT | 198
4.7 Problems | 199

5 Elements of Spectral Theory in a Banach Space Setting | 207

5.1 Algebraic Operations on Linear Operators | 207
5.2 Resolvent Set and Spectrum of a Closed Linear Operator | 208
5.2.1 Definitions | 208
5.2.2 Spectrum Classification, Geometric Multiplicity | 209
5.2.3 Examples | 210
5.3 Spectral Radius | 216
5.4 Resolvent of a Closed Linear Operator | 218
5.4.1 Definition and Examples | 218
5.4.2 Resolvent Identity | 222
5.4.3 Analytic Vector Functions | 223
5.4.4 Neumann Expansion Theorem | 226
5.4.5 Properties of Resolvent Set and Resolvent Function | 227
5.4.6 Spectrum | 229
5.5 Spectral Theory of Bounded Linear Operators | 230
5.5.1 Gelfand’s Spectral Radius Theorem | 230
5.5.2 Quasinilpotent Operators | 237
XIV | Contents

5.5.3 Operator Polynomials | 237

5.5.4 Operator Exponentials | 242
5.6 Spectral Theory in a Finite-Dimensional Setting | 242
5.6.1 Basics | 243
5.6.2 Special Matrix Representations | 246
5.6.3 Spectral Decomposition | 252
5.6.4 Application: Abstract Evolution Equations | 255
5.7 Compact Linear Operators | 266
5.7.1 Definition, Characterization, Examples | 267
5.7.2 Compactness of the Identity Operator | 271
5.7.3 Properties | 272
5.7.4 Approximation by Finite-Rank Operators | 275
5.7.5 Fredholm Alternative | 278
5.7.6 Spectrum of a Compact Operator, Riesz–Schauder Theorem | 279
5.7.7 Application: Fredholm Integral Equations of the Second Kind | 283
5.8 Problems | 284

6 Elements of Spectral Theory in a Hilbert Space Setting | 293

6.1 Inner Product and Hilbert Spaces | 293
6.1.1 Definitions and Examples | 293
6.1.2 Inner Product Norm, Cauchy–Schwarz Inequality | 295
6.1.3 Hilbert Spaces | 298
6.1.4 Geometric Properties of Inner Product Norm | 299
6.2 Convexity and Nearest Point Property | 304
6.2.1 Convexity | 304
6.2.2 Nearest Point Property | 306
6.3 Projection Theorem | 308
6.3.1 Orthogonal Complements | 308
6.3.2 Projection Theorem | 310
6.3.3 Orthogonal Projections | 313
6.4 Riesz Representation Theorem | 315
6.5 Orthogonal and Orthonormal Sets | 318
6.6 Gram–Schmidt Process | 323
6.7 Generalized Fourier Series | 325
6.7.1 Finite Orthonormal Set | 325
6.7.2 Arbitrary Orthonormal Set | 328
6.7.3 Orthonormal Sequence | 332
6.8 Orthonormal Bases and Orthogonal Dimension | 332
6.9 Adjoint Operators | 338
6.9.1 Definition, Linearity, Examples | 338
6.9.2 Existence, Graph, and Closedness | 341
6.9.3 Second Adjoint | 343
 Contents | XV

6.9.4 Properties | 344

6.9.5 Inverse of Adjoint, Orthogonal Sum Decompositions | 347
6.9.6 Spectrum of Adjoint Operator | 348
6.10 Symmetry and Self-Adjointness | 351
6.10.1 Definitions, Examples, Properties | 351
6.10.2 Spectrum and Eigenvectors of a Self-Adjoint Operator | 354
6.10.3 Bounded Self-Adjoint Operators | 356
6.11 Compact Operators | 356
6.11.1 Fredholm Alternative in a Hilbert Space Setting | 356
6.11.2 Compact Self-Adjoint Operators, Spectral Theorem | 363
6.12 Problems | 374

A The Axiom of Choice and Equivalents | 383

A.1 The Axiom of Choice | 383
A.1.1 The Axiom of Choice | 383
A.1.2 Controversy | 383
A.1.3 Timeline | 384
A.2 Ordered Sets | 384
A.3 Equivalents | 388

Bibliography | 395

Index | 399
1 Preliminaries
In this chapter, we outline certain terminology, notations, and preliminary facts es-
sential for our subsequent discourse.

1.1 Set-Theoretic Basics

1.1.1 Some Terminology and Notations

– The logic quantifiers ∀, ∃, and ∃! stand for “for all”, “there exist(s)”, and “there
exists a unique”, respectively.
– ℕ := {1, 2, 3, . . . } is the set of natural numbers.
– ℤ := {0, ±1, ±2, . . . } is the set of integers.
– ℚ is the set of rational numbers.
– ℝ is the set of real numbers.
– ℂ is the set of complex numbers.
– ℤ+ , ℚ+ , and ℝ+ are the sets of nonnegative integers, rationals, and reals, respec-
tively.
– ℝ := [−∞, ∞] is the set of extended real numbers (extended real line).
– For n ∈ ℕ, ℝn and ℂn are the n-spaces of all ordered n-tuples of real and complex
numbers, respectively.

Let X be a set. Henceforth, all sets are supposed to be subsets of X.

– P (X) is the power set of X, i. e., the collection of all subsets of X.
– 2X is the set of all binary functions f : X → {0, 1}, provided that X ≠ 0.
– Sets A, B ⊆ X with A ∩ B = 0 are called disjoint.
– Let I be a nonempty indexing set. The sets of a collection {Ai }i∈I of subsets of X are
said to be pairwise disjoint if

Ai ∩ Aj = 0, i, j ∈ I, i ≠ j.

– For A, B ⊆ X, A \ B := {x ∈ X | x ∈ A, but x ∉ B} is the difference of A and B, in

particular, Ac := X \ A = {x ∈ X | x ∉ A} is the complement of A and A \ B = A ∩ Bc ;
– Let I be a nonempty indexing set and {Ai }i∈I be a collection of subsets of X. De
Morgan’s laws state that
c c
(⋃ Ai ) = ⋂ Aci and (⋂ Ai ) = ⋃ Aci .
i∈I i∈I i∈I i∈I

More generally,

B \ ⋃ Ai = ⋂ B \ Ai and B \ ⋂ Ai = ⋃ B \ Ai .
i∈I i∈I i∈I i∈I

https://doi.org/10.1515/9783110600988-001
2 | 1 Preliminaries

– The Cartesian product of sets Ai ⊆ X, i = 1, . . . , n (n ∈ ℕ),

A1 × ⋅ ⋅ ⋅ × An := {(x1 , . . . , xn ) | xi ∈ Ai , i = 1, . . . , n}.

1.1.2 Cardinality and Countability

Definition 1.1 (Similarity of Sets). Sets A and B are said to be similar if there exists a
one-to-one correspondence (bijection) between them.

Notation. A ∼ B.

Remark 1.1. Similarity is an equivalence relation (reflexive, symmetric, and transitive)

on the power set P (X) of a nonempty set X.

Exercise 1.1. Verify.

Thus, in the context, we can use the term “equivalence” synonymously to “simi-
larity”.

Definition 1.2 (Cardinality). Equivalent sets are said to have the same number of ele-
ments or cardinality. Cardinality is a characteristic of an equivalence class of similar
sets.

Notation. P (X) ∋ A 󳨃→ |A|.

Remark 1.2. Thus, A ∼ B iff |A| = |B|. That is, two sets are equivalent iff they share the
same cardinality.

Examples 1.1.
1. For a nonempty set X, P (X) ∼ 2X .
2. ∀ n ∈ ℕ : |{1, . . . , n}| = n, |{0, ±1, . . . , ±n}| = 2n + 1.
3. |ℕ| = |ℤ| = |ℚ| := ℵ0 .
4. |[0, 1]| = |ℝ| = |ℂ| := c.

See, e. g., [29, 33].

Definition 1.3 (Domination). If sets A and B are such that A is equivalent to a subset
of B, we write

A⪯B

and say that B dominates A. If, in addition, A ≁ B, we write

A≺B

and say that B strictly dominates A.

 1.1 Set-Theoretic Basics | 3

Remark 1.3. The relation ⪯ is a partial order (reflexive, antisymmetric, and transitive)
on the power set P (X) of a nonempty set X (see Appendix A).

Exercise 1.2. Verify reflexivity and transitivity.

The antisymmetry of ⪯ is the subject of the following celebrated theorem:

Theorem 1.1 (Schröder–Bernstein Theorem). If, for sets A and B, A ⪯ B and B ⪯ A, then
A ∼ B.1

For a proof, see, e. g., [29].

Remark 1.4. The set partial order ⪯ defines a partial order ≤ on the set of cardinals:

|A| ≤ |B| ⇔ A ⪯ B.

Thus, the Schröder–Bernstein theorem can be equivalently reformulated in terms

of cardinalities as follows:
If, for sets A and B, |A| ≤ |B| and |B| ≤ |A|, then |A| = |B|.

Theorem 1.2 (Cantor’s Theorem). Every set X is strictly dominated by its power set
P (X)2 :

X ≺ P (X).

Equivalently,
󵄨 󵄨
|X| < 󵄨󵄨󵄨P (X)󵄨󵄨󵄨.

For a proof, see, e. g., [29].

In view of Examples 1.1, we obtain the following corollary:

Corollary 1.1. For a nonempty set X, X ≺ 2X , i. e., |X| < |2X |.

Definition 1.4 (Countable/Uncountable Set). A countable set is a set with the same
cardinality as a subset of the set ℕ of natural numbers, i. e., equivalent to a subset
of ℕ.
A set that is not countable is called uncountable.

Remarks 1.5.
– A countable set A is either finite, i. e., equivalent to a set of the form {1, . . . , n} ⊂ ℕ
with some n ∈ ℕ, in which case, we say that A has n elements, or countably infinite,
i. e., equivalent to the entire ℕ.

1 Ernst Schröder (1841–1902), Felix Bernstein (1878–1956).

2 Georg Cantor (1845–1918).
4 | 1 Preliminaries

– For a finite set A of n elements (n ∈ ℕ),

|A| = 󵄨󵄨󵄨{1, . . . , n}󵄨󵄨󵄨 = n.

󵄨 󵄨

For a countably infinite set A,

|A| = |ℕ| = ℵ0

(see Examples 1.1).

– In some sources, the term “countable” is used in the sense of “countably infinite”.
To avoid ambiguity, the term “at most countable” can be used when finite sets are
included in consideration.

The subsequent statement immediately follows from Cantor’s theorem (Theo-

rem 1.2).

Proposition 1.1 (Uncountable Sets). The sets P (ℕ) and 2ℕ (the set of all binary se-
quences) are uncountable.

Theorem 1.3 (Properties of Countable Sets).

(1) Every infinite set contains a countably infinite subset (based on the Axiom of Choice
(see Appendix A)).
(2) Any subset of a countable set is countable.
(3) The union of countably many countable sets is countable.
(4) The Cartesian product of finitely many countable sets is countable.

Exercise 1.3. Prove that

(a) the set ℤ of all integers and the set of all rational numbers are countable;
(b) for any n ∈ ℕ, ℤn and ℚn are countable;
(c) the set of all algebraic numbers (the roots of polynomials with integer coefficients)
is countable.

Subsequently, we also need the following useful result:

Proposition 1.2 (Cardinality of the Collection of Finite Subsets). The cardinality of the
collection of all finite subsets of an infinite set coincides with the cardinality of the set.

For a proof, see, e. g., [33, 41, 52].

1.2 Terminology Related to Functions

Let X and Y be nonempty sets, 0 ≠ D ⊆ X, and

f : D → Y.
 1.2 Terminology Related to Functions | 5

– The set D is called the domain (of definition) of f .

– The value of f corresponding to an x ∈ D is designated by f (x).
– The set
{f (x) | x ∈ D}

of all values of f is called the range of f (also codomain or target set).

– For a set A ⊆ D, the set

f (A) := {f (x) | x ∈ A}

of values of f corresponding to all elements of A is called the image of A under the

function f .
Thus, the range of f is the image f (D) of the whole domain D.
– For a set B ⊆ Y, the set

f −1 (B) := {x ∈ D | f (x) ∈ B}

of all elements of the domain that map to the elements of B is called the inverse
image (or preimage) of B.

Example 1.2. For X = Y := ℝ and f (x) := x2 with D := [−1, 2],

– f ([−1, 2]) = [0, 4] and f ([1, 2]) = [1, 4],
– f −1 ([−2, −1]) = 0, f −1 ([0, 1]) = [−1, 1], and f −1 ([1, 4]) = {−1} ∪ [1, 2].

Theorem 1.4 (Properties of Inverse Image). Let X and Y be nonempty sets, 0 ≠ D ⊆ X,

and

f : D → Y.

Then, for an arbitrary nonempty collection {Bi }i∈I of subsets of Y,

(1) f −1 (⋃i∈I Bi ) = ⋃i∈I f −1 (Bi ),
(2) f −1 (⋂i∈I Bi ) = ⋂i∈I f −1 (Bi ), and
(3) for any B1 , B2 ⊆ Y, f −1 (B1 \ B2 ) = f −1 (B1 ) \ f −1 (B2 ).

That is, the preimage preserves all set operations.

Exercise 1.4.
(a) Prove.
(b) Show that image preserves unions. That is, for an arbitrary nonempty collection
{Ai }i∈I of subsets of D:

f (⋃ Ai ) = ⋃ f (Ai ),
i∈I i∈I

and unions only. Give corresponding counterexamples for intersections and dif-
ferences.
6 | 1 Preliminaries

1.3 Upper and Lower Limits

Definition 1.5 (Upper and Lower Limits). Let (xn )n∈ℕ (another notation is {xn }∞
n=1 ) be a
sequence of real numbers.
The upper limit or limit superior of (xn )n∈ℕ is defined as follows:

lim x := lim sup xk = inf sup xk ∈ ℝ.

n→∞ n n→∞ k≥n n∈ℕ k≥n

The lower limit or limit inferior of (xn )n∈ℕ is defined as follows:

lim xn := lim inf xk = sup inf xk ∈ ℝ.

n→∞ n→∞ k≥n n∈ℕ k≥n

Alternative notations are lim supn→∞ xn and lim infn→∞ xn , respectively.

Example 1.3. For

n, n ∈ ℕ is odd,
xn := {
−1/n, n ∈ ℕ is even,
lim x =∞ and lim xn = 0.
n→∞ n n→∞

Exercise 1.5.
(a) Verify.
(b) Explain why the upper and lower limits, unlike the regular limit, are guaranteed
to exist for an arbitrary sequence of real numbers.
(c) Show that

lim xn ≤ lim xn .
n→∞ n→∞

Proposition 1.3 (Characterization of Limit Existence). For a sequence of real numbers

(xn )n∈ℕ ,

lim x ∈ℝ
n→∞ n

exists iff

lim xn = lim xn ,
n→∞ n→∞

in which case

lim x = lim xn = lim xn .

n→∞ n n→∞ n→∞

1.4 Certain Facts from Linear Algebra

Throughout this section, 𝔽 stands for the scalar field of real or complex numbers (i. e.,
𝔽 = ℝ or 𝔽 = ℂ).
 1.4 Certain Facts from Linear Algebra | 7

1.4.1 Coordinate Vector Mapping

Let X be an n-dimensional vector space (n ∈ ℕ) over 𝔽 with an (ordered) basis B :=

{x1 , . . . , xn }.
By the Basis Representation Theorem (Theorem 3.3), each vector x ∈ X has a
unique representation relative to basis B:
n
x = ∑ ck xk ,
k=1

where cj ∈ 𝔽, j = 1, . . . , n, are the coordinates of x relative to basis B (see Section 3.1.5.2).

The coordinate vector mapping
n
X ∋ x = ∑ ck xk 󳨃→ Tx := [x]B := (c1 , . . . , cn ) ∈ 𝔽n ,
k=1

where

[x]B := (c1 , . . . , cn ) ∈ 𝔽n ,

is the coordinate vector of x relative to basis B (see, e. g., [34, 49, 54]), being an isomor-
phism (see Section 3.1.2) between the vector spaces X and 𝔽n .

Exercise 1.6. Verify that the coordinate mapping is an isomorphism between X

and 𝔽n .

In this sense, every n-dimensional vector space is identical to 𝔽n .

1.4.2 Matrix Representations of Linear Operators

Theorem 1.5 (Matrix Representation). Let X be an n-dimensional vector space (n ∈ ℕ)

over 𝔽 and let B := {x1 , . . . , xn } and B󸀠 := {x1󸀠 , . . . , xn󸀠 } be (ordered) bases for X. Then, for
an arbitrary linear operator A : X → X (see Section 4.1),

[Ax]B󸀠 = B󸀠 [A]B [x]B , x ∈ X,

where [x]B ∈ 𝔽n is the coordinate vector of x relative to basis B, [Ax]B󸀠 ∈ 𝔽n is the

coordinate vector of Ax relative to basis B󸀠 , and

B󸀠 [A]B := [[Ax1 ]B󸀠 [Ax2 ]B󸀠 ⋅⋅⋅ [Axn ]B󸀠 ]

is the n × n matrix with entries from 𝔽 whose columns are the coordinate vectors [Axj ]B󸀠 ,
j = 1, . . . , n, of Axj , j = 1, . . . , n, relative to basis B󸀠 .

For a proof, see, e. g., [34, 49, 54].

8 | 1 Preliminaries

Remarks 1.6.
– The matrix B󸀠 [A]B is called the matrix representation of A relative to bases B and B󸀠 .
– If B󸀠 = B, the matrix representation B [A]B is denoted by [A]B and called the matrix
representation of A relative to basis B, in which case, we have

[Ax]B = [A]B [x]B , x ∈ X.

In particular, if X = 𝔽n and if

B := {e1 := (1, 0, . . . , 0), e2 := (0, 1, . . . , 0), . . . , en := (0, 0, . . . , 1)}

is the standard basis:

∀ x := (x1 , . . . , xn ) ∈ 𝔽n : [x]B = (x1 , . . . , xn ) = x,

and hence, by the Matrix Representation Theorem, we have

∀ x ∈ 𝔽n : Ax = [Ax]B = [A]B [x]B = [A]B x.

In this case, the matrix representation of A relative to the standard basis

[A]B := [Ae1 Ae2 ⋅⋅⋅ Aen ]

is the n × n matrix whose columns are the vectors Aej , j = 1, . . . , n.

Hence, any linear operator A : 𝔽n → 𝔽n is an operator of multiplication by an n × n
matrix. The converse is true as well (see Examples 4.1).

Examples 1.4.
1. For the zero and identity operators on a finite-dimensional vector space X, relative
to an arbitrary basis B:

[0]B = 0 and [I]B = I,

where 0 and I stand for both the zero and identity operators and matrices, respec-
tively.

Exercise 1.7. Verify.

2. On 𝔽2 , let A, C, and D be the linear operators of multiplication by the matrices

1 0 0 1 0 1
[ ], [ ] , and [ ],
0 2 0 0 −1 0

respectively (see Examples 4.1).

Then, relative to the standard basis B := {[ 01 ], [ 01 ]},

1 0 0 1 0 1
[A]B = [ ] , [C]B = [ ] , and [D]B = [ ]
0 2 0 0 −1 0
 1.4 Certain Facts from Linear Algebra | 9

and, relative to bases B and B󸀠 := {[ 11 ], [ 01 ]},

1 0 0 1 0 1
B󸀠 [A]B =[ ], B󸀠 [C]B =[ ] , and B󸀠 [D]B = [ ].
−1 2 0 −1 −1 −1

Exercise 1.8. Verify.

3. For the differentiation operator

P3 ∋ p 󳨃→ Dp := p󸀠 ∈ P3 ,

where P3 is the four-dimensional space of polynomials with coefficients from 𝔽 of

degree at most 3 (see Examples 3.1), the matrix representation of D relative to the
standard basis

B := {1, x, x2 , x3 },

is
0 1 0 0
[0 0 2 0]
[ ]
[D]B = [ ].
[0 0 0 3]
[0 0 0 0]

Exercise 1.9. Verify.

For any polynomial

c0
[c ]
p(x) = c0 + c1 x + c2 x2 + c3 x3 ∈ P3 with [p]B = [ 1 ] ,
[ ]
[ c2 ]
[ c3 ]

we have

c1
[2c ]
(Dp)(x) = c1 + 2c2 x + 3c3 x2 with [Dp]B = [ 2 ] ,
[ ]
[3c3 ]
[0]

which is consistent with what we get by the Matrix Representation Theorem:

0 1 0 0 c0 c1
[0 0 2 0]] [ c1 ] [2c2 ]
[ ] [ ]
[
[Dp]B = [D]B [p]B = [ ][ ] = [ ].
[0 0 0 3 ] [ c2 ] [3c3 ]
[0 0 0 0] [ c3 ] [ 0 ]
10 | 1 Preliminaries

1.4.3 Change of Basis, Transition Matrices

Theorem 1.6 (Change of Basis). Let X be an n-dimensional vector space (n ∈ ℕ) over

𝔽 and let B := {x1 , . . . , xn } and B󸀠 := {x1󸀠 , . . . , xn󸀠 } be (ordered) bases for X. The change of
coordinates from basis B to basis B󸀠 is carried out by the following change-of-coordinates
formula:
[x]B󸀠 = B󸀠 [I]B [x]B ,

where

B󸀠 [I]B := [[x1 ]B󸀠 [x2 ]B󸀠 ⋅⋅⋅ [xn ]B󸀠 ]

is the n × n matrix whose columns are the coordinate vectors [xj ]B󸀠 , j = 1, . . . , n, of the
vectors xj , j = 1, . . . , n, of basis B relative to basis B󸀠 .

For a proof, see, e. g., [34, 49, 54].

Remark 1.7. The matrix B󸀠 [I]B , called the transition matrix from basis B to basis B󸀠 , is,
in fact, the matrix representation of the identity operator I : X → X relative to bases B
and B󸀠 .
Thus, the Change of Basis Theorem is a particular case of the Matrix Representation
Theorem (Theorem 1.5) for A = I, which explains the use of the notation B󸀠 [I]B .

Examples 1.5.
1. Consider the standard basis
1 0
B := {e2 := [ ] , e1 := [ ]}
0 1

in the space 𝔽2 .
(a) The transition matrix from B to the basis

0 1
B󸀠 := {[ ] , [ ]}
1 0

is
0 1
B󸀠 [I]B =[ ].
1 0

Indeed, since
1 0 1
e1 = [ ] = 0 [ ] + 1 [ ]
0 1 0

and
0 0 1
e2 = [ ] = 1 [ ] + 0 [ ] ,
1 1 0
 1.4 Certain Facts from Linear Algebra | 11

we have
0 1
[e1 ]B󸀠 = [ ] and [e2 ]B󸀠 = [ ] .
1 0

Therefore, the change-of-coordinates formula from basis B to basis B󸀠 is

y 0 1 x
[ ]=[ ][ ].
x 1 0 y

(b) The transition matrix from B to the basis

1 0
B󸀠 := {[ ] , [ ]}
1 1

is
1 0
B󸀠 [I]B =[ ].
−1 1

Indeed, since

1 1 0
e1 = [ ] = 1 [ ] + (−1) [ ]
0 1 1

and
0 1 0
e2 = [ ] = 0 [ ] + 1 [ ] ,
1 1 1

we have
1 0
[e1 ]B󸀠 = [ ] and [e2 ]B󸀠 = [ ] .
−1 1

Therefore, the change-of-coordinates formula from basis B to basis B󸀠 is

x 1 0 x
[ ]=[ ][ ].
y−x −1 1 y

2. In the space P2 of polynomials with coefficients from 𝔽 of degree at most 2 (see

Examples 3.1), the transition matrix from the standard basis B := {1, x, x 2 } to the
basis B󸀠 := {1 − x, 1 − x2 , 1 + 2x} is

2/3 −1/3 2/3

[ ]
B󸀠 [I]B = [ 0 0 −1] .
[ 1/3 1/3 1/3]
12 | 1 Preliminaries

Indeed, since

1 = (2/3)(1 − x) + 0(1 − x 2 ) + (1/3)(1 + 2x),

x = (−1/3)(1 − x) + 0(1 − x 2 ) + (1/3)(1 + 2x),
x2 = (2/3)(1 − x) + (−1)(1 − x 2 ) + (1/3)(1 + 2x),

we have
2/3 −1/3 2/3
and [x2 ]B󸀠 = [ −1] .
[ ] [ ] [ ]
[1]B󸀠 = [ 0] , [x]B󸀠 = [ 0] ,
[ 1/3] [ 1/3] [ 1/3]
3
Therefore, for the polynomial p(x) := 3 − x + x2 ∈ P2 with [p]B = [−1], the change-
1
of-coordinates formula from basis B to basis B yields 󸀠

2/3 −1/3 2/3 3 3

[ ][ ] [ ]
[p]B󸀠 = [ 0 0 −1] [−1] = [−1] .
[ 1/3 1/3 1/3] [ 1] [ 1]

Remark 1.8. Interestingly enough, for the given polynomial, the coordinates rel-
ative to both bases are identical.

Theorem 1.7 (Inverse of Transition Matrix). Let X be an n-dimensional vector space

(n ∈ ℕ) over 𝔽 and let B := {x1 , . . . , xn } and B󸀠 := {x1󸀠 , . . . , xn󸀠 } be ordered bases for X. The
n × n transition matrix from basis B to basis B󸀠 is invertible, and
−1
B󸀠 [I]B = B [I]B󸀠 := [[x1󸀠 ]B [x2󸀠 ]B ⋅⋅⋅ [xn󸀠 ]B ] .

That is, the inverse of the transition matrix B󸀠 [I]B from basis B to basis B󸀠 is the transition
matrix B [I]B󸀠 from basis B󸀠 to basis B whose columns are the coordinate vectors [xj󸀠 ]B ,
j = 1 . . . , n, of the vectors xj󸀠 , j = 1 . . . , n, of the basis B󸀠 relative to the basis B.

For a proof, see, e. g., [34, 49, 54].

Example 1.6. As follows from Examples 1.5, in the space P2 , the transition matrix from
the standard basis B := {1, x, x2 } to the basis B󸀠 := {1 − x, 1 − x 2 , 1 + 2x} is

2/3 −1/3 2/3

[ ]
B󸀠 [I]B = [ 0 0 −1] .
[ 1/3 1/3 1/3]

By the Inverse of Transition Matrix Theorem,

1 1 1
[ ]
B [I] B 󸀠 = B 󸀠 [I]B
−1
= [ −1 0 2] .
[ 0 −1 0]
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carried back a long way to Boston, New York, Philadelphia, and
other parts of the East.
Glass mills form an important part of the city’s industries and
have been in operation for a long time. Bottle glass is manufactured
here, besides three fourths of all the plate glass of the United States.
Perhaps it is because bottles are made in Pittsburg that we find here
also the largest cork factory in the world.
Pittsburg is proud of the fact that she handles more tons of
freight in a year than any other city in the world. Indeed, the tonnage
is greater than that of New York and Chicago taken together.
The old “point” between the rivers is filled with tall buildings.
Inclined railways run up the steep bluffs on the further side of each
river and lead to the beautiful streets and the homes where many of
the people live. For Pittsburg is not all coal and furnaces and smoke,
but has fine churches, the great Carnegie Library and Museum, and
many schools. But it is mostly because of the coal and the rivers that
we find here a splendid city.
Sixty-three miles down the Ohio river, on its left bank, is
Wheeling, the largest city in West Virginia. The business streets lie
close to the Ohio, and the houses extend up the steep slope to the
east, while over a high ridge comes the old National Road from the
valley of Wheeling creek. Wheeling was the goal of many heavily
laden wagons in the days of the pike, and because of the river and
many railroads has a large trade to-day. It was settled in 1770 and is
one of the oldest towns on the river.
On the north bank of the great stream, in the southwest corner of
Ohio, is the largest city on the river. As late as 1900 Cincinnati had a
few thousand more people than Pittsburg, but a “greater Cincinnati”
would not be so large as a “greater Pittsburg.”
In Cincinnati, as in Pittsburg, men do business on the low
grounds by the river, where offices and mills and shops crowd one
another, and the smoke of soft coal hangs as a cloud above.
Business hours over, the well-to-do merchants climb out of the grimy
town to the top of the bluffs, and there find, in a clearer air and along
open and beautiful avenues, their comfortable homes. Down town
the turbulent river sometimes comes up forty or fifty feet beyond its
usual level and makes trouble in the busy city, but Mt. Auburn and
Walnut Hills are disturbed neither by smoke nor by floods.
Rivers do not often flow in straight lines, and it is very common
for them to change their courses along their flood plains. This habit
of shifting belongs alike to great and small streams, whether the
Mississippi or the brook in the meadow. The Ohio, like other rivers,
often writes the letter S, and in so doing at this point has swung off
from its old north bank, leaving a low plain with room enough for a
hundred thousand people to carry on their business. There is always
some good reason which has led to the settlement and growth of a
town, and the history of Cincinnati shows no exception.
It was in early winter, 1788, when cakes of ice were already
floating on the river, that a number of men sailing downstream
stopped here and began a settlement. The place was not readily
named. It is said that the matter was left to a frontier schoolmaster,
and he did not lose the chance to show how much he knew. He saw
that the Licking river comes into the Ohio on the Kentucky side just
opposite. So he set down an L. He next remembered an ancient
word os, meaning “mouth,” and he put that down. Then he
considered that anti means “opposite” and that ville means “town.”
So he wrote the whole name,—L-os-anti-ville,—Losantiville,—“the
town opposite the mouth of Licking.”
We might wonder whether a town with a name like that would
ever grow into a great city. It did not have to try, for it was not long
before General St. Clair, who had come there, made fun of the name
and insisted upon a new one. He and other officers of the American
army had formed a society commemorating their experience in the
Revolution, and in honor of the Roman patriot Cincinnatus had called
themselves the Order of Cincinnati. St. Clair thought this a good
name for the town, and Cincinnati it has been since that time.
The place has its nickname also, and its people like to call it the
Queen City, which seems to go very well with Beautiful River.
Another name, rarely used and not very pleasing, perhaps, to those
who live there, is “Porkopolis,” which came from the fact that for forty
years before the American Civil War more pork packing was done in
Cincinnati than anywhere else in the country.

Fig. 49. River Front, Cincinnati

Sir Charles Lyell, an Englishman who saw Cincinnati in 1842,
speaks of the “pork aristocracy,” explaining that he means the men
that had grown rich by packing pork, and not the pigs that he saw
running in the streets. This shows how new some of our large
business centers are, though it would be a great mistake to suppose
that pigs and cows now run loose in western cities. In those days
such places were teaching the country how to “pack fifteen bushels
of corn into a pig,” and how to send the produce of the farms to
distant cities or other lands in such a way as to get the most money
for the least freight.
When Charles Dickens visited this country many years ago he
went to Cincinnati, and spoke well of the place. This was a great
compliment, for the famous English story-teller was hard to suit when
he was looking at anything American. If he could come back to
Cincinnati now, he might find even more to please and surprise him.
 Cincinnati has always made much use of the river. There were
little boats in which the owners carried notions and such things as a
country store sells, peddling them from one settlement to another
along the banks. There were barges and flatboats bearing families
and farm produce. Then came steamboats, which carried everything,
—passengers, grain, coal, merchandise, and even circuses and
menageries. We can imagine the excitement among the small boys
of a river town when the circus boat told of its arrival by the fierce
blast of a loud steam whistle. There are steamboats yet and a busy
river front, but great railroads center here, and trains run to Pittsburg
and Philadelphia, Cleveland and New York, Chicago and St. Louis,
Nashville and New Orleans. A vast business is done. There are
many schools, and to-day Cincinnati can boast of her music, of her
pictures and museums, and of the fine pottery that she makes. She
has thrown off the schoolmaster’s clumsy name, she has many
better things than pork, and she is widely known as one of America’s
great cities.
An early writer says that the Ohio is “by far the noblest river in
the universe.” He writes this in the beginning of a history of
Louisville, a book which was printed in 1819. This in itself shows that
Louisville is one of the old cities of the Ohio valley. It is not so large
as Cincinnati or Pittsburg, but it is the chief city of the great state of
Kentucky.
The old boatmen, finding that the current was rapid at a certain
point, called it the “falls of the Ohio.” A ledge of hard rocks in the bed
of the river caused the rapids and made it no easy task to navigate
boats. Finally a canal was dug by which the rapids might be avoided
at low water.
It was this ledge in the river that started the town and finally
made a city out of Louisville, for boats going in either direction
naturally stopped at the falls. There was another reason, too, as we
shall see when we learn something of the “Wilderness Road,” which
crossed Kentucky from the eastern mountains and came out on the
river at Louisville. Back from the river also lay the rich and fertile
Blue Grass country for which Kentucky is famous.
 The canal was ready to take steamboats around the ledge in
1831. Some of these boats had interesting names, such as the
Enterprise, the Vesuvius, the Comet, the Volcano, the New Orleans,
the Cincinnati, the Experiment, the Rifleman, and the Rising States.
It was a wonderful life on the river, and Louisville got her share of
the gain of it, as she now shares the traffic of the railroads. To-day
she is a rich and beautiful city of two hundred thousand people.
 CHAPTER XI
THE GREAT VALLEY

Alexander Spotswood was a famous governor of the colony of

Virginia. He was of Scottish parentage, but he was born in Morocco,
where his father was a surgeon. The lad grew up to serve his
country as a soldier, and was wounded by a cannon ball in a great
war then going on in Europe. In 1710 the king sent him to Virginia to
be governor, an office which he filled for twelve years. The people
liked him, though he made some enemies because he kept his
soldierly ways and did not always speak in gentle phrases. He was a
kind, warm-hearted man, nevertheless, loving his family and friends.
His energy, too, was well known, and he was always ready to further
a new scheme.
Because he started the first iron furnaces in America he was
called the “Tubal Cain of Virginia,” Tubal Cain being known in sacred
history as the first of metal workers. Nothing was more important to
the colonists than iron, for they could not always bring tools and
kettles and nails and gun metal from England. The governor showed
his practical ability in other ways. He brought over Germans who
knew how to raise grapes and make wine. He was interested in
teaching the Indians, and at one time he sent out ships and caught
“Blackbeard,” who, with his fellow-pirates, was prowling about the
coast. When the young Benjamin Franklin, in Boston, heard of the
capture he wrote a poem about it.
In that day nearly all of Virginia was in the “tide-water country,”
but Spotswood had often heard of the valley beyond the Blue Ridge.
He made up his mind to go and see this region, and brought together
a party to make the journey. They took their servants and pack
horses and carried provisions and many bottles of the wine which
the Germans had made. There was good hunting in the unbroken
forest and they had all the venison and other wild meat they could
have wished.
A good map of Virginia will show us Harpers Ferry, where the
Potomac river runs through a deep gap in the Blue Ridge. Looking
along the range to the southwest, we shall find, about eighty miles
away, Swift Run Gap, not so low a pass, but one which made it easy
to cross the mountains and go down into the lowlands along the
Shenandoah river.
Spotswood and his friends climbed one of the peaks of the Blue
Ridge and named it Mt. George, after the king. Another peak was
named Alexander for the governor. Down by the Shenandoah they
buried a bottle (the historian of Virginia thinks that by this time they
must have had several that were empty), and in the bottle was a
paper stating that they took possession in the name of the king. They
called the river the Euphrates, but the name did not cling to it. We
may be glad of that, for the Indian name of Shenandoah is much
more musical.
 Fig. 50. Luray, Shenandoah Valley
If Spotswood had crossed the lowlands, he would have found
himself among other mountains running parallel to the Blue Ridge.
Between the two ranges is the valley of the Shenandoah, or, as it is
quite as often called, the valley of Virginia. The land is flat and the
soil deep and rich. The soft shales and limestone of ancient higher
lands have wasted away here, between the higher mountains on
either side, and thus we find a valley and a fertile valley floor.
The place was wild and lonely when this band of explorers
visited it, but to-day it is a country rich in interest and associations. If
we go northeast we shall pass Winchester, which became famous in
the Civil War. In another part of the valley is Luray, where the
limestones have been dissolved under the ground, making a large
cavern with beautiful stalactites. Still going northward, we shall pass
Harpers Ferry on our right and cross the Potomac. On our right also,
after we cross the river, is Antietam, where a severe battle was
fought between Lee and McClellan. A little farther on is Hagerstown,
Colonel Rochester’s old home, in the state of Maryland.
 The next move would take us over into Pennsylvania, through
Chambersburg and Carlisle, about which we already know, and
across the Susquehanna to Harrisburg. On our right, as we go up
into Pennsylvania, is the low South mountain, which is the Blue
Ridge continued. All this time we are in the Great Valley. The valley
of Virginia is but a part of the whole, which reaches through several
states and everywhere has the Blue Ridge on the southeast and
other ridges of the Appalachian mountains on the northwest. Every
part of the valley is thickly settled and has fine houses and homes,
because its soil produces good crops and makes the people
prosperous.

Southern Appalachian Region

Spotswood’s journey opened the way for families from the tide-
water region to settle beyond the mountains, but they were not the
only settlers. It was easy for the people of the Great Valley in
Pennsylvania, where the land was earlier taken up, to push to the
southwest along the same valley. They found smoother traveling and
better farms than if they had gone up into the mountains on the west.
So we see that the valley, leading southwest, guided the stream of
emigrants in that direction. The result was that the valley of Virginia
was occupied partly by people entering through Pennsylvania, and
partly by those who, like Spotswood, came through passes in the
Blue Ridge. It was thirty years later, when most of the land was still a
wilderness, that we find George Washington crossing these same
mountains to survey for Lord Fairfax. His path lay between Harpers
Ferry and Swift Run Gap.
In this valley, during the Civil War, “Stonewall” Jackson,
Sheridan, and other well-known generals took their armies up and
down, and fought a number of battles. The rich farms and full barns
of the valley played no small part in the strife by furnishing food for
the soldiers.
The headwaters of the James river are in the Great Valley. One
branch flows southwest and another northeast. These come together
and go out to the southeast by a gap in the Blue Ridge. To-day we
come up the Shenandoah by the Norfolk and Western Railway,
which continues along these branches of the James. Before long we
reach Roanoke, a flourishing city just inside the Blue Ridge. Then
follows the crossing of the New river, which flows northwest across
the valley on its long course to the Ohio.

Fig. 51. James River Gap in the

Blue Ridge, from the West

Now we are looking toward Tennessee, and the Great Valley

soon takes us to several long streams which help to form the
Tennessee river. The heads of these streams we shall find in
Virginia, and their names are the Holston, the Clinch, and Powell’s
river. The Great Valley in this southwestern part of Virginia is really
divided into several valleys by long and rather high ridges that
separate these rivers.
The main line of the Southern Railway, between Washington and
Knoxville, runs along the valley of the Holston river and crosses from
Virginia into Tennessee at Bristol.
After we come into Tennessee the ridges that separate the
streams fall away again, and we find one great valley, about forty
miles wide. On the northwest the Cumberland plateau and the
Cumberland mountains rise above it. On the southeast there loom
up the Great Smoky mountains on the border of North Carolina.
Great Smoky is only another name for the Blue Ridge, for it is the
same range, only higher and wider than it is farther north.
Although this valley is a part of the Great Valley, it is commonly
called the valley of east Tennessee, its people using the home name
as they do in Virginia. The Holston, the Clinch, and Powell’s river are
not the only branches of the Tennessee. Out of the Great Smoky
mountains there flow from the east the French Broad, the Little
Tennessee, and the Hiwassee. Knoxville stands a little below the
place where the Holston and French Broad flow together, and
Chattanooga is a hundred miles farther down, where the Tennessee,
now a lordly stream, leaves the Great Valley and flows westward
through a deep valley in the Cumberland plateau. This lesson in
geography we must learn well, with the help of a map, and we shall
then see what the pioneers did as they followed the rivers between
the mountains.
It is an old road that runs from Pennsylvania to Tennessee by the
valley. It took the pioneer across the Potomac through Winchester
and Staunton in Virginia. Farther on was a fortified place, Fort
Chissel, built in 1758, which was on the way to the Watauga
Settlement and Cumberland Gap. Of Watauga we must now tell, and
of the Cumberland Gap in the next chapter.
Watauga is the name of a small river which flows out of the
mountains on the east, into the Great Valley, and enters the Holston.
In a pleasant spot on the banks of this stream the first settlement of
white men in Tennessee was made. Some of the people had come
along the valley from Pennsylvania and Virginia, and others had
climbed over the mountains from North Carolina because of the
wrongs they had suffered there.
Many of these men and women had come from the north of
Ireland. They were not of Irish but of Scotch blood, their ancestors
having originally come from Scotland to make the north of Ireland
their home. For this reason they are often called Scotch-Irish, but
whatever we name them, we are to remember that they were sturdy
and intelligent people. Conscientious and loyal Presbyterians they
were in faith, and by nature brave and full of endurance. Their
fathers had shed their blood for freedom on Scottish fields, and the
sons were not likely to be frightened by a wilderness full of red
savages.

Fig. 52. Hilly Farm Lands in the Great Valley, near Knoxville
Besides the Scotch-Irish, there were many Germans who had
followed the valley from Pennsylvania, and there were Huguenots
also, besides a few Hollanders and Swedes. A fort was built on the
little river, and around this defense grew up the Watauga Settlement.
There was no Tennessee in those days.
Many of the settlers had followed down the valleys from earlier
homes in Virginia, and it never occurred to them that they were not
still living in Virginia, and able to call on the colony for help. But after
a time a man came to the settlement who was a surveyor, and for
some reason he thought that he would run the boundary line of
Virginia farther west. When he had done it, what was the surprise of
every one to find that they were not in Virginia at all! If they belonged
to any colony, it was to North Carolina. Unfortunately there was a
lack of good government in that colony, and the prospect of
belonging to it was not a pleasant one; indeed, some of the settlers
had run away from North Carolina, and had felt safer because the
great mountains rose between them and their former home.
There seemed nothing to do but to make a government of their
own, so they formed the Watauga Association, about which writers of
American history have said a good deal. It would be interesting to
see a copy of the constitution that was drawn up by these
backwoodsmen, but it has been lost, with little hope that it will ever
be recovered. It is known, however, that there was a committee of
thirteen, really a legislature. This committee chose five of their own
number to form a court, which had a clerk and a sheriff and made
laws for all the settlers. Roosevelt, in his Winning of the West, says
that these pioneers were the first to build a “free and independent
community” in America.
The two most important men of this little state in the wild forest
show us that the settlers came from widely different places. James
Robertson was one, and he came over the mountains from North
Carolina. John Sevier was the other, and he came down the valley
from Virginia. We shall need to know what sort of men these were.
James Robertson belonged to the Scotch-Irish people. He was
not one of the very first settlers at Watauga, but came in the second
year, 1770. He had no early education, and his wife, an intelligent
woman, taught him to read. He went alone over the mountains, with
only his horse and gun, in search of a place for a home. He found
the settlers and admired the place which they had chosen, but on his
way back in the fall he lost his horse and got his powder wet. He
wandered about, almost starved, until he met some hunters, who
helped him home. He told his neighbors of the lands in the valley,
and as soon as the winter was over his own family and sixteen
others started out for Watauga. He built a log house, went to work on
the land, and by his wisdom and energy soon came to be a leader of
the new colony.
John Sevier did not come until 1772. His father had been a
settler in the Shenandoah valley, and John followed the streams, as
we have traced them, to the Great Valley. He was by birth a
gentleman, using that word to mean a man born of cultivated parents
and familiar with the world. He was well educated and was
acquainted with prominent men, such as Franklin and Madison. Both
he and Robertson were good fighters, as we shall see.
It was not long before seven hundred Indian warriors, angry
because the white people had made homes on their hunting
grounds, stole in upon the settlement. An Indian woman, Nancy
Ward by name, who felt kindly toward the whites, secretly warned
them of the attack, so that when the savages came they found all the
men, women, and children in the fort. It was not much of a fort, but it
saved their lives. The Indians kept up the attack for six days, but the
colonists, led by Sevier and Robertson, held out against them and
killed a number of their braves. When nearly a week had passed the
red men, tired of the siege, went off through the forest.
 Fig. 53. From the Pinnacle, Cumberland Gap, looking
Northeast along the Cumberland Mountains. The
Great Valley at the Right

At one time, when some lawless whites had killed an Indian

without reason, the members of the tribe were very angry and
threatened to avenge the murder. Robertson, thinking that he could
soften their anger, went alone among the fierce Cherokees. He told
them that the Watauga people were very sorry the man had been
killed, and that they would try to find and punish the murderer. As the
Indians believed Robertson to be an honest man, they did as he
asked them to do and the settlers were not disturbed.
The Watauga colonists had to live in a very rough and simple
way. They built their cabins of logs, with what were called puncheon
floors,—that is, floors made of thick, rude slabs. Frequently a big
slab served for a table, three-legged stools for chairs, and a row of
pegs for a wardrobe. Roosevelt says that the dress of the men was
largely copied from that of the Indians, and included a fur cap,
leggings of buckskin or elk hide, and a fringed hunting shirt. A heavy
rifle was carried, which was usually fired from a rest.
 Garments and bed clothing were made of wool, which was spun
at home by the wives and daughters. The women worked hard from
morning till night, and the men had many things to do. There were
lands to be cleared, crops to be raised, and game to be hunted and
dressed. Besides all these occupations it was necessary to keep a
constant lookout for hostile savages and to have all means of
defense ready in case of a sudden attack. The Indians were so crafty
and deceitful that only the closest watchfulness saved the palefaces
from danger and death. Sometimes an unwary hunter, hearing the
gobbling of a turkey or the call of an owl, would come out into an
open place only to be laid low by the red man’s bullet. These
experiences developed a strong and brave people.
The settlers often bartered things because they had no money,
and they were ignorant of many of the ways of civilized life. Some of
the frontiersmen did not know that tea leaves should be steeped and
used for a drink, and tried to eat them with butter or salt.
When a boy was twelve years old he had to begin to take a
man’s part. A gun was given to him, and he was placed at a loophole
in the fort to help keep off the savage foe. Thus the boys grew up to
be real men, knowing little fear, able to take care of themselves, and
helping to build one of the great states of the American Union.
 CHAPTER XII
TO KENTUCKY BY THE CUMBERLAND GAP

Dr. Thomas Walker was a man of Virginia. He had attended

William and Mary College, and was well educated for his times. As
the agent of a land company which had a grant of new lands in
Kentucky, he, with several companions, made a hard journey of six
months into the wilderness. They started at Charlottesville in
Virginia, went through the Blue Ridge into the Great Valley, and then
followed the valley southwest. One of Walker’s companions bore the
name of Ambrose Powell, and as they followed one of the long
streams that flow to the southwest to form the Tennessee, they
named it Powell’s river. His son afterwards was an officer in the
Revolution, and it is said that A. P. Hill, a well-known Confederate
general in the Civil War, was his great-grandson.
These were, in fact, no common men who, in the year 1750,
ventured out into the forest, over the roughest trails we can imagine,
among wild animals and savage men. Following down Powell’s river,
the travelers saw rugged mountains on their right, the Cumberland
range. As they wished to explore the forests of Kentucky, they were
looking for a chance to pass the mountains, and by and by they
came in sight of a deep notch, cut at least a thousand feet below the
top of the mountain ridge (Fig. 54).
 Fig. 54. Cumberland Gap from the East
They turned aside to this and followed it out of the Great Valley.
They had to climb up about five hundred feet through a wooded
ravine in order to reach the top of the pass, and there was a similar
slope on the other side. This brought them to an open valley and to a
river, which they followed through a gap in another mountain range,
the Pineville mountains.
Dr. Walker called the first pass the Cumberland Gap, in honor of
a well-known Englishman, and the name has survived even to the
present day. In like manner we have the Cumberland mountains.
Walker did not go far enough west to find the beautiful Kentucky
lands on the Ohio river. After wandering about in the high, rough
country of eastern Kentucky, he finally reached his Virginia home
without having accomplished much in the service of his company.
But he had found and named what has become one of the most
famous historical places in America, the Cumberland Gap. He was
not the first man to go through it, for the Indians had long been
familiar with it. Their trail had traversed it for no one knows how
many generations. Not only did it lead directly to the open, fertile
country west of the mountains, but beyond it the warrior’s trail
stretched northward through the woods to the Ohio river.
 The Watauga Settlement was about fifty miles eastward from the
Cumberland Gap. As the hardy pioneers did not make much of
following a forest trail for fifty miles, the Watauga colony was next
door to Kentucky, and the great gap in the Cumberland mountains
was only a step farther on, either for them or for travelers to the West
who might choose this route.
We must now follow the fortunes of the most famous of Kentucky
hunters and pioneers, who, while he did not find or name the
Cumberland Gap, often went through it, and is remembered by most
people in connection with it. This man was Daniel Boone.
We could not find a better example of the movement along the
Great Valley to the southwest than the life of Boone; for his
childhood was spent on what was then the frontier, and his
experience was like that of hundreds of others similarly reared.

Fig. 55. Daniel Boone

 Boone was born near the Schuylkill river in Pennsylvania in
1734, two years after the birth of Washington. This part of
Pennsylvania was still on the edge of the wilderness, and from his
early boyhood Boone knew all about the Indians. His family were
Quakers, and he himself was quiet and thoughtful, learning to read
from the Quaker wife of his eldest brother, but getting most of his
education in the fields and woods. Though he could read, he spelled
almost as badly as did Nicholas Herkimer. Boone had some
experience as a blacksmith, which, his biographer says, taught him
how to mend his traps and guns. He used to hunt in the woods in
winter, helping thus to feed the family, and with the skins which he
took to Philadelphia he bought powder, lead, and hunting knives.
When Boone was about sixteen years old his family decided to
move. They went along the Great Valley, as many were doing in
those days, crossed the Potomac, and traveled far through the valley
of Virginia. Then they turned east, crossed the Blue Ridge, and
made a home in the valley of the Yadkin river in North Carolina. They
were thus east of the mountains, and across, to the west, was the
Watauga Settlement.
While his home was in North Carolina Boone had an experience
which helped him to be a rugged pioneer, for he went up to Virginia
and across the mountains with General Braddock, serving as
wagoner and blacksmith. He found himself in dangerous quarters in
the battle, where many of the teamsters were shot, but he managed
to cut his horses loose, mounted one of them, and escaped.
On this expedition he made friends with John Finley, and
together they planned to go at some future time to Kentucky by the
Cumberland Gap and enjoy the fine hunting in the forests of the
West. Finley had already made a journey down to the falls of the
Ohio river.
At home Boone lived, like all others in those valleys, in a small
log cabin chinked with clay and warmed by a large fireplace, in
which, says his biographer, “the young wife (for Boone was now
married) cooked simple meals of corn mush, pumpkins, squashes,
beans, potatoes, and pork, or wild meat of many kinds.”