Elements of Hilbert Spaces and

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Harkrishan Lal Vasudeva

Elements of Hilbert Spaces

and Operator Theory
With contributions from Satish Shirali

123
Harkrishan Lal Vasudeva
Indian Institute of Science Education
and Research
Mohali, Punjab
India

ISBN 978-981-10-3019-2 ISBN 978-981-10-3020-8 (eBook)

DOI 10.1007/978-981-10-3020-8
Library of Congress Control Number: 2016957499

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To
Siddhant, Ashira and Shrayus
Preface

Algebraic and topological structures compatibly placed on the same underlying set
lead to the notions of topological semigroups, groups and vector spaces, among
others. It is then natural to consider concepts such as continuous homomorphisms
and continuous linear transformations between above-said objects. By an ‘operator’,
we mean a continuous linear transformation of a normed linear space into itself.
Functional analysis was developed around the turn of the last century by the
pioneering work of Banach, Hilbert, von Neumann, Riesz and others. Within a few
years, after an amazing burst of activity, it was well developed as a major branch of
mathematics. It is a unifying framework for many diverse areas such as Fourier
series, differential and integral equations, analytic function theory and analytic
number theory. The subject continues to grow and attracts the attention of some
of the finest mathematicians of the era.
A generalisation of the methods of vector algebra and calculus manifests itself in
the mathematical concept of a Hilbert space, named after the celebrated mathe-
matician Hilbert. It extends these methods from two-dimensional and
three-dimensional Euclidean spaces to spaces with any finite or infinite dimension.
These are inner product spaces, which allow the measurement of angles and
lengths; once completed, they possess enough limits in the space so that the
techniques of analysis can be used. Their diverse applications attract the attention of
physicists, chemists and engineers alike in good measure.
Chapter 1 establishes notations used in the text and collects results from vector
spaces, metric spaces, Lebesgue integration and real analysis. No attempt has been
made to prove the results included under the above topics. It is assumed that the
reader is familiar with them. Appropriate references have, however, been provided.
Chapter 2 includes in some details the study of inner product spaces and their
completions. The space L2(X, M, l), where X, M and l denote, respectively, a
nonempty set, a r-algebra of subsets of it and an extended nonnegative real-valued
measure, has been studied. The theorem of central importance in the analysis due to
Riesz and Fischer, namely that L2(X, M, l) is a complete metric space, has been
proved. So has been the result, namely, the space A(X) of holomorphic functions
defined on a bounded domain X is complete. To make the book useful to

vii
viii Preface

probabilists, statisticians, physicists, chemists and engineers, we have included

many applied topics: Legendre, Hermite, Laguerre polynomials, Rademacher
functions, Fourier series and Plancherel’s theorem. Such applications of the abstract
theory are also of significance for the pure mathematician who wants to know the
origin of the subject. This chapter also contains the study of linear functionals on
Hilbert spaces; more specifically, Riesz Representation Theorem, the dual of a
Hilbert space is itself a Hilbert space and the fact that these spaces constitute
important examples of reflexive normed linear spaces. Applications of Hilbert space
theory to different branches of mathematics, such as approximation theory (Müntz’
Theorem), measure theory (Radon–Nikodým Theorem), Bergman kernel and
conformal mapping (analytic function theory), are included in Chap. 2.
A major portion of this book is devoted to the study of operators in Hilbert
spaces. It is carried out in Chaps. 3 and 4. The set of operators in a Hilbert space H,
equipped with the uniform norm, is denoted by BðH Þ. Some well-known classes of
operators have been defined. Under compact operators, Fredholm theory has been
discussed. The Mean Ergodic Theorem has been proved as an application at the end
of Chap. 3. Spectrum of an operator is the key to the understanding of the operator.
Properties of the spectrum of different classes of operators, such as normal oper-
ators, self-adjoint operators, unitaries, isometries and compact operators, have been
discussed under appropriate headings. Here, the properties of the spectrum specific
to the class of operators under consideration are studied. A large number of
examples of operators together with their spectrum and its splitting into point
spectrum, continuous spectrum, residual spectrum, approximate point spectrum and
compression spectrum have been painstakingly worked out. It is expected that the
treatment will aid the understanding of the reader. The treatment of polar decom-
position of an operator is different from the ones available in books. Numerical
range and numerical radius of an operator have been defined. The spectral radius
and the numerical radius of an operator have been compared. Professor Ajit Iqbal
Singh deserves special thanks for the help she rendered while this part was being
written. Spectral theorems, which reveal almost everything about the operators,
have been accorded special treatment in the text. After proving the spectral theorem
for compact normal operators, spectral theorems for self-adjoint operators and
normal operators have been proved. Here, we have been guided by the fundamental
principle of pedagogy that repetition helps in imbibing rather subtle techniques
needed for proving the spectral theorems. A bird’s eye view of invariant subspaces
with special attention to the Volterra operator is included. We close the chapter with
a brief introduction to unbounded operators.
Chapter 5 contains important theorems followed by applications from Banach
spaces.
The final chapter contains hints and solutions to the 166 problems listed under
various sections. These are over and above the numerous detailed examples scat-
tered all over the text.

Chandigarh, India Harkrishan Lal Vasudeva

Contents

1 Preliminaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Vector Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Metric Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.3 Lebesgue Integration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
1.4 Zorn’s Lemma . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
1.5 Absolute Continuity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
2 Inner Product Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
2.1 Definition and Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
2.2 Norm of a Vector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
2.3 Inner Product Spaces as Metric Spaces . . . . . . . . . . . . . . . . . . . . . 34
2.4 The Space L2 (X, M, µ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
2.5 A Subspace of L2(X, M, µ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
2.6 The Hilbert Space A(X) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
2.7 Direct Sum of Hilbert Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
2.8 Orthogonal Complements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
2.9 Complete Orthonormal Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
2.10 Orthogonal Decomposition and Riesz Representation . . . . . . . . . . 102
2.11 Approximation in Hilbert Spaces . . . . . . . . . . . . . . . . . . . . . . . . . 123
2.12 Weak Convergence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
2.13 Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
3 Linear Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
3.1 Basic Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
3.2 Bounded and Continuous Linear Operators . . . . . . . . . . . . . . . . . 156
3.3 The Algebra of Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167
3.4 Sesquilinear Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
3.5 The Adjoint Operator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
3.6 Some Special Classes of Operators . . . . . . . . . . . . . . . . . . . . . . . . 192
3.7 Normal, Unitary and Isometric Operators . . . . . . . . . . . . . . . . . . . 205

ix
x Contents

3.8 Orthogonal Projections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216

3.9 Polar Decomposition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 222
3.10 An Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
4 Spectral Theory and Special Classes of Operators . . . . . . . . . . . . . . . 233
4.1 Spectral Notions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233
4.2 Resolvent Equation and Spectral Radius . . . . . . . . . . . . . . . . . . . . 238
4.3 Spectral Mapping Theorem for Polynomials . . . . . . . . . . . . . . . . . 242
4.4 Spectrum of Various Classes of Operators . . . . . . . . . . . . . . . . . . 248
4.5 Compact Linear Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
4.6 Hilbert–Schmidt Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279
4.7 The Trace Class . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285
4.8 Spectral Decomposition for Compact Normal Operators . . . . . . . . 294
4.9 Spectral Measure and Integral . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305
4.10 Spectral Theorem for Self-adjoint Operators . . . . . . . . . . . . . . . . . 317
4.11 Spectral Mapping Theorem For Bounded Normal Operators . . . . 331
4.12 Spectral Theorem for Bounded Normal Operators . . . . . . . . . . . . 337
4.13 Invariant Subspaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343
4.14 Unbounded Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 351
5 Banach Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
5.1 Definition and Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
5.2 Finite-Dimensional Spaces and Riesz Lemma. . . . . . . . . . . . . . . . 384
5.3 Linear Functionals and Hahn–Banach Theorem . . . . . . . . . . . . . . 393
5.4 Baire Category Theorem and Uniform Boundedness
Principle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... 401
5.5 Open Mapping and Closed Graph Theorems . . . . . . . ......... 409
6 Hints and Solutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 417
6.1 Problem Set 2.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 417
6.2 Problem Set 2.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 418
6.3 Problem Set 2.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 422
6.4 Problem Set 2.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427
6.5 Problem Set 2.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 428
6.6 Problem Set 2.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 428
6.7 Problem Set 2.8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429
6.8 Problem Set 2.9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 437
6.9 Problem Set 2.10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 442
6.10 Problem Set 2.11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 448
6.11 Problem Set 2.12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 450
6.12 Problem Set 3.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454
6.13 Problem Set 3.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 462
6.14 Problem Set 3.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465
6.15 Problem Set 3.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 466
6.16 Problem Set 3.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 466
6.17 Problem Set 3.7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 470
Contents xi

6.18 Problem Set 3.8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 475

6.19 Problem Set 3.9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 478
6.20 Problem Set 4.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 479
6.21 Problem Set 4.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 485
6.22 Problem Set 4.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 487
6.23 Problem Set 4.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 487
6.24 Problem Set 4.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 504
6.25 Problem Set 4.7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 507
6.26 Problem Set 4.8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 511
6.27 Problem Set 4.9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 512
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 515
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 517
About the Author

Harkrishan Lal Vasudeva was a visiting professor of mathematics at Indian

Institute of Science Education and Research, Mohali, India from 2010 to 2016.
Earlier, he taught at Panjab University, Chandigarh, India, and held visiting
positions at the University of Sheffield, the UK, and the University of Graz, Austria,
for research projects. He has numerous research articles to his credit in various
international journals and has co-authored several books, two of which have been
published by Springer.

xiii
Chapter 1
Preliminaries

1.1 Vector Spaces

The important underlying structure in every Hilbert space is a vector space (linear
space). The present section contains preparatory material on these spaces. The
reader who is already familiar with their basic theory can pass directly to Sect. 1.2,
for there is nothing in the present section which is particularly oriented to the study
of Hilbert spaces.
Definition 1.1.1 Let X be a nonempty set of elements x, y, z, … and F be a field of
scalars k, l, m, …. To each pair of elements x and y of X, there corresponds a third
element x + y in X, the sum of x and y, and to each k 2 F and x 2 X corresponds
the element k
x or simply kx in X, called the scalar product of k and x such that the
operations of addition and multiplication satisfy the following rules:
(A1) x + y = y + x,
(A2) x + (y + z) = (x + y) + z,
(A3) there is a unique element 0 in X, called zero element, such that x + 0 = x for
all x 2 X,
(A4) for each x 2 X, there is a unique element (−x) in X such that x + (−x) = 0,
(M1) k(x + y) = kx + ky,
(M2) (kl)x = k(lx) and
(M3) 1x = x,
where 1 2 F is the identity in F, for all k, l 2 F and x, y, z 2 X.
Then, (X, +,
) satisfying properties (A1)–(A4) and (M1)–(M3) is called a vector
space over F. The elements of X are called vectors or points, and those of F are
called scalars.
If F is the field of complex numbers C [resp. real numbers R], then (X, +,
) is
called a complex [resp. real] vector space or a complex [resp. real] linear space.
In what follows, F will denote the field C of complex numbers or the field R of
real numbers.

© Springer Nature Singapore Pte Ltd. 2017 1

H.L. Vasudeva, Elements of Hilbert Spaces and Operator Theory,
DOI 10.1007/978-981-10-3020-8_1
2 1 Preliminaries

Remarks 1.1.2
(i) It is more satisfying to apply the term vector space over F to the ordered
triple (X, +,
), but if this sort of thing is done systematically in all mathe-
matics, the terminology will become extremely cumbersome. In order to
avoid this difficulty, we shall apply the term vector space over F to X, where
it is understood that X is equipped with the operations ‘+’ and ‘
’, the latter
being scalar multiplication of elements of X by those of F.
(ii) We shall mainly restrict our attention to the ‘complex’ vector spaces. The
strong motivational factor for this choice is that the complex numbers con-
stitute an algebraically closed field; that is, a polynomial of degree n has
precisely n roots (counting multiplicity) in the field of complex numbers,
whereas the field of real numbers does not have this property. This property
of complete factorisation of polynomials into linear factors is an appropriate
setting for a satisfactory treatment of the theory of operators in a Hilbert
space. It is also useful in dealing with the spaces of functions.
(iii) The additive identity element of the field will be denoted by 0 and so shall
be the identity element of vector addition. It is unlikely that any confusion
will result from this practice.
(iv) The following immediate consequences of the axioms of a vector space are
easy to prove:
(a) The vector equation x + y = z, where y and z are given vectors in X, has
one and only one solution;
(b) If x + z = z, then x = 0;
(c) k0 = 0 for every scalar k;
(d) 0x = 0 for every x 2 X;
(e) If kx = 0, then either k = 0 or x = 0.
For given vectors x and y in X, the vector x + (−y) is called the difference
of x and y and is denoted by x − y.
(f) (−k)x = k(−x) = −(kx);
(g) k(x − y) = kx − ky;
(h) (k − l)x = kx − lx.
(v) It is easy to check that Y  X is a vector space over F if, and only if,
x, y 2 Y, k, l 2 F imply kx + ly 2 Y.
Examples abound. We shall give at this point a few elementary ones: the real
field or the complex field with usual operations is a real or complex vector space
(scalar multiplication coinciding with the usual binary operation of multiplication).
The complex field may also be considered as a real vector pace. The set of all
n-tuples x = (x1, …, xn), xi 2 F, i = 1, 2, …, n, is a vector space Rn or Cn , where
F ¼ R or C. The set of all real or complex functions defined on some fixed set is a
vector space, the operations being the usual ones. The vector space consisting of the
zero vector only is called the trivial vector space.
1.1 Vector Spaces 3

The Cartesian product X  Y of vector spaces X and Y over the same field can
be made into a vector space over that field in an obvious way.
Definition 1.1.3 A sequence of vectors x1, x2, …, xn is said to be linearly inde-
pendent if the relation

k1 x 1 þ k 2 x 2 þ


þ k n x n ¼ 0 ð1:1Þ

holds only in the trivial case when k1 = k2 =


= kn = 0; otherwise, the sequence
x1, x2, …, xn is said to be linearly dependent.
The left member of (1.1) is said to be a linear combination of the finite sequence
x1, x2, …, xn. Thus, linear independence of the vectors x1, x2, …, xn means that
every nontrivial linear combination of these vectors is different from zero. If one of
the vectors is equal to zero, then these vectors are evidently linearly dependent. In
fact, if for some i, xi = 0, then we obtain the nontrivial relation on taking ki = 1 and
kj = 0, 1  j  n, j 6¼ i. A repetition of a vector in a sequence renders it linearly
dependent. An arbitrary nonempty collection of vectors is said to be linearly
independent if every finite sequence of distinct terms belonging to the collection is
linearly independent.
Definition 1.1.4 A basis or a Hamel basis for a vector space X is a collection B of
linearly independent vectors with the property that any vector x 2 X can be
expressed as a linear combination of some subset of B.
Remarks 1.1.5
(i) Observe that a linear combination of vectors in a collection is always a finite
sum even though the collection may contain an infinite number of vectors. In
fact, infinite sums do not make any sense until the notion of ‘limit’ of a
sequence of vectors has been defined in X.
(ii) The space X is said to be finite-dimensional, more precisely, n-dimensional
if B contains precisely n linearly independent vectors. In this case, any
(n + 1) elements of X are linearly dependent. If B contains arbitrarily many
linearly independent vectors, then X is said to be infinite-dimensional. The
trivial vector space has dimension zero.
(iii) Permuting the vectors in a sequence does not alter its linear independence.
(iv) If x and y are linearly dependent and both are nonzero, then each is a nonzero
scalar multiple of the other.

Definition 1.1.6 A nonempty subset Y of a vector space X that is also a vector

space with respect to the same operations of vector addition and scalar multipli-
cation as in X is called a vector subspace (or a linear subspace). In other words, if
x, y 2 Y, k, l 2 F imply kx + ly 2 Y, then Y is a vector subspace (or a linear
subspace) of X.
One of the common methods of constructing a linear subspace Y is to consider
the set of all finite linear combinations
4 1 Preliminaries

k1 x1 þ k2 x2 þ


þ kn xn

of elements x1, x2, …, xn of M, where M is a nonempty finite or infinite set of

elements of X. This set Y is the smallest subspace of X that contains M. It is called
the linear span of M or the linear subspace [or manifold] spanned by M, and we
write Y = [M].
Definition 1.1.7 Given two vector spaces X and Y (over the same field), we can
form a new vector space V as follows: define vector operations on the Cartesian
product of X and Y, the set of all ordered pairs hx; yi; where x 2 X and y 2 Y. We
define

k1 hx1 ; y1 i þ k2 hx2 ; y2 i ¼ hk1 x1 þ k2 x2 ; k1 y1 þ k2 y2 i:

The vector space V so formed is called the external direct sum of X and Y; we
denote it by X ⊕ Y. The vector hx; 0i in V, if identified with the vector x 2 X,
permits one to think of X as a subspace of V. Similarly, Y can be viewed as a
subspace of V. The mapping hx; yi ! hx; 0i [resp. h0; yi] is called the projection of
X ⊕ Y onto X [resp. Y].
Let Y1,Y2, …, Yn be subspaces of X. By Y1 + Y2 +


+ Yn, we shall mean all
sums x1 + x2 +


+ xn, where xj 2 Yj, j = 1, 2, …, n. The spaces Y1, Y2, …, Yn are
said to be linearly independent if for any i = 1, 2, …, n,

Yi \ ðY1 þ Y2 þ


þ Yi 1 þ Yi þ 1 þ


þ Yn Þ ¼ f0g:

If Y1, Y2, …, Yn are linearly independent and X = Y1 + Y2 + ⋯ + Yn, the spaces

fYi gni¼1 are said to form a direct sum decomposition of X, and we write

X ¼ Y1  Y2 


 Yn :

In case {Yi : i = 1, 2, …, n} [or fYi gni¼1 ] constitute a direct sum decomposition of X,

each element x 2 X can be uniquely written in the form y1 + y2 +


+ yn, where
yj 2 Yj, j = 1, 2, …, n.
Let Y be a subspace of a vector space X (Y  X). Let x + Y = {x + y : y 2 Y} for
all x 2 X, and let X/Y = {x + Y : x 2 X}. The sets x + Y are called the cosets of Y in
X. We observe that 0 + Y = Y. Obviously, x1 + Y = x2 + Y if, and only if,
x1 − x2 2 Y, and consequently, for each pair x1, x2, either x1 + Y = x2 + Y or
(x1 + Y) \ (x2 + Y) = ∅. If x1 þ Y ¼ x01 þ Y and x2 þ Y ¼ x02 þ Y, then
ðx1 þ x2 Þ þ Y ¼ ðx1 þ x2 Þ þ Y and ax1 þ Y ¼ ax01 þ Y. The vector space X/Y with
0 0

addition and scalar multiplication defined as

ðx1 þ YÞ þ ðx2 þ YÞ ¼ ðx1 þ x2 Þ þ Y and aðx þ YÞ ¼ ax þ Y

for all x1, x2 2 X and a 2 C (or R) is called the quotient space of X modulo Y.
1.1 Vector Spaces 5

Definition 1.1.8 Two vector spaces H and K are said to be isomorphic if there
exists a bijective linear map between H and K, i.e. if there exists a bijective linear
mapping A : H ! K such that

Aða1 x1 þ a2 x2 Þ ¼ a1 Aðx1 Þ þ a2 Aðx2 Þ;

for all x1, x2 2 H and scalars a1 and a2.

1.2 Metric Spaces

A vector space is a purely algebraic object, and if the processes of analysis are to be
meaningful in it, a measure of distance between any two of its vectors (or elements)
must be defined. Many of the familiar analytical concepts such as convergence in
R3 with the usual distance can be fruitfully generalised to inner product spaces (to
be studied in Chap. 2).
Intuitively, one expects a distance to be a nonnegative real number, symmetric
and to satisfy the triangle inequality. These considerations motivate the following
definitions.
Definition 1.2.1 A nonempty set X, whose elements we call ‘points’ is said to be a
metric space if with any two points x, y of X is associated with a real number d(x, y),
called the distance from x to y, such that
(i) d(x, y)  0 and d(x, y) = 0 if, and only if, x = y,
(ii) d(x, y) = d(y, x) and
(iii) d(x, z)  d(x, y) + d(y, z), for any x, y, z 2 X [triangle inequality].
The function d: X  X ! R þ ; where R þ denotes nonnegative reals, with
these properties is called a distance function or a metric on X.
It should be emphasised that a metric space is not the set of its points; it is, in
fact, the pair (X, d) consisting of the set of its points together with the metric d.
(R; d) [resp. (C; d)], where dðx; yÞ ¼ jx yj; x; y 2 R [resp. C] are examples of
metric spaces.
Any nonempty subset of a metric space is itself a metric space if we restrict the
metric to it and is called a subspace.
Certain standard notions from the topology of real numbers have natural gen-
eralisations to metric spaces.
Definition 1.2.2 By a sequence {xn}n  1 in a metric space X is meant a mapping of
N, the set of natural numbers, into X. A sequence {xn}n  1 in a metric space is said
to converge to the point x 2 X if limnd(xn, x) = 0, and we write limnxn = x. This
means: given any number e > 0, there is an integer n0 such that d(xn, x) < e
whenever n  n0. It is easy to see that if limnxn = x and limnxn = y, then x = y. In
fact,
6 1 Preliminaries

0  dðx; yÞ  dðx; xn Þ þ dðxn ; yÞ:

The element x is called the limit of the sequence {xn}n  1.

A sequence {xn}n  1 in X is said to be Cauchy if for every e > 0, there is an
integer n0 such that d(xn, xm) < e whenever n, m  n0, and we write d(xn, xm) ! 0
as n, m ! ∞.
Note that every convergent sequence is Cauchy. In fact, if limnxn = x

dðxn ; xm Þ  dðxn ; xÞ þ dðx; xm Þ ! 0 as n; m ! 1:

The converse is however not true; that is, not every Cauchy sequence is convergent.
In fact, the sequence xn ¼ 1n, n = 1,2,… in the open interval (0, 1) with the metric
d(x, y) = |x − y|, x, y 2 (0, 1), is Cauchy but the only possible limit, namely, 0 does
not belong to the interval.
In the metric space (R, d) [resp. (C, d)], where d(x, y) = |x − y|, x, y 2 R
[resp. C], a sequence {xn}n  1 is convergent if, and only if, it is Cauchy (this is the
well-known Cauchy criterion of convergence).
An important class of metric spaces in which the analogue of the Cauchy cri-
terion holds are known as ‘complete’ metric spaces. More precisely, we have the
following definitions.
Definition 1.2.3 A metric space (X, d) is said to be complete in case every Cauchy
sequence in the space converges. Otherwise, (X, d) is said to be incomplete.
Proposition 1.2.4 Let (X, d) be a metric space. Then
(a) |d(x, y) − d(z, y)|  d(x, z) for all x, y, z 2 X;
(b) If limnd(xn, x) = 0 and limnd(yn, y) = 0 then limnd(xn, yn) = d(x, y);
(c) If {xn}n  1 and {yn}n  1 are Cauchy sequences in (X, d), then d(xn, yn) is a
convergent sequence of real numbers.

Proof
(a) By the triangle inequality,

dðx; yÞ  dðx; zÞ þ dðz; yÞ:

Transposing d(z, y), we get

dðx; yÞ dðz; yÞ  dðx; zÞ: ð1:2Þ

Interchanging the roles of x and z, we get

dðz; yÞ dðx; yÞ  dðz; xÞ;

that is,
1.2 Metric Spaces 7

ðd ðx; yÞ dðz; yÞÞ  d ðx; zÞ: ð1:3Þ

Combining (1.2) and (1.3), the desired inequality follows.

(b) Using the triangle inequality for real numbers and (a), we have

jdðx; yÞ dðxn ; yn Þj  jdðx; yÞ d ðxn ; yÞj þ jdðxn ; yÞ dðxn ; yn Þj

ð1:4Þ
 dðx; xn Þ þ d ðy; yn Þ:

Since limnd(xn, x) = 0 = limnd(yn, y), it follows that limnd(xn, yn) = d(x, y).
(c) Again,

jdðxn ; yn Þ d ðxm ; ym Þj  jdðxn ; yn Þ d ðxm ; yn Þj þ jdðxm ; yn Þ d ð xm ; ym Þ j

 dðxn ; xm Þ þ d ðyn ; ym Þ
ð1:5Þ

and the right-hand side of (1.5) tends to zero as m, n ! ∞ because {xn}n  1

and {yn}n  1 are Cauchy sequences. Thus, the sequence {d(xn, yn)}n  1 is
Cauchy, and since the real numbers are complete, it converges. h

Definition 1.2.5 Let x0 be a fixed point of the metric space X and r > 0 be a fixed
real number. Then, the set of all points x in X such that d(x, x0) < r is called the
open ball with centre x0 and radius r. We denote it by S(x0, r). Thus

Sðx0 ; rÞ ¼ fx 2 X: dðx; x0 Þ\rg: ð1:6Þ

We speak of a closed ball if the inequality in (1.6) is replaced by d(x, x0)  r, and
we denote the set by S(x0, r). Thus

Sðx0 ; rÞ ¼ fx 2 X: dðx; x0 Þ  rg: ð1:7Þ

A set O in a metric space is said to be open if it contains an open ball about each
of its points. In other words, for every x 2 O, there exists an r > 0 such that all
y with d(y, x) < r belong to O. A set F in a metric space X is closed if its com-
plement X\F (or Fc) is open in X. An open ball is an open set in X, and a closed ball
is a closed set in X.
An open ball is easily seen to be an open set. Indeed, if y 2 S(x0, r), then the
open ball about y with radius r − d(y, x0) is a subset of S(x0, r) because any z in the
latter ball satisfies d(z, y) < r − d(y, x0) and therefore also satisfies d(z, x0) 
d(z, y) + d(y, x0) < (r − d(y, x0)) + d(y, x0) = r.
It is immediate from the definition of an open set that it is a union of open balls
with centres in the set. Conversely, any union of open balls is an open set, because
any union of open sets is clearly an open set and open balls are open sets.
Let (X, d) be a metric space and ∅ 6¼ A  X. Then, d can be restricted to A in
the obvious sense, and it is trivial to check that the restriction dA provides a metric
on A. It is called the metric induced on A by d, or simply induced metric for short.
1.5 Absolute Continuity 19

The following results are well known [25]:

(i)An absolutely continuous R function is continuous.
(ii)The indefinite integral ½a;xŠ f dl; f 2 L1 ½a; bŠ, is absolutely continuous.
(iii)If f is absolutely continuous, then f has a derivative almost everywhere.
(iv) Let f be an absolutely continuous function on [a, b], and suppose that f 0 ðxÞ ¼ 0
a.e. Then, f is a constant.
(v) A function f on [a, b] has the form

Zx
f ðxÞ ¼ f ðaÞ þ uðsÞds
a

for some u 2 L1[a, b] if, and only if, f is absolutely continuous on [a, b].
In this case, u0 ðxÞ ¼ f ðxÞ a.e. on [a, b].
Another random document with
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might have gone farther back and mentioned the Negro contingent in
the army of Xerxes the Great (when Britons were savages) and
about which Herodotus so glowingly writes.
But even if Mr. Wells likes to take a popular crack at history, he is
none the less a first-rate novelist in the tradition of Charles Dickens
and I don't think he imagines himself a historian any more than I do,
so one must be tolerant if his Outline has the earmarks of a glorified
Research Magnificent.
Also, I did not like Mr. Wells's inspired articles on the Naval
Conference. Paradoxically, I found myself sympathizing with the
Daily Mail, which rebuked him for his offensive against Japan. Mr.
Wells injected much violent prejudice into what should have been
unbiased reporting. While Mr. Wells was outlining history, he might
have reserved a little of his English sentimentality for Japan, from the
knowledge that Japan might not have been a "yellow peril" today if
the white powers hadn't broken open her door and forced their
civilization upon her.
Wells's little Liberator reception was a question-time picnic for the
Liberator collaborators—especially for the ladies, to whom Wells is
exceptionally attractive. They asked him many questions about the
war and the peace and the aftermath, about Russia and Europe,
Japan and America and universal peace. Mr. Wells smilingly and
slickly disposed of all problems to the satisfaction of all.
William Gropper, the artist, and I had concocted a plan to ask some
impish questions. But everybody was very pleasant. It was a nice
party. So we said nothing. I was standing, leaning against the
mantelpiece, and Mr. Wells approached me in a sly way as if he
desired a close-up scrutiny of me without my knowing it. I seized the
opportunity to take a good quick look at Mr. Wells's eyes. Journalists
always write about the jolly twinkle in Mr. Wells's eyes. I didn't like
them. They made me think of a fox.
Some years later, after my trip to Russia and returning to France, I
met Frank Harris in Nice. I was in the company of a brilliant
American writer who was meeting Frank Harris for the first time. We
went to the Taverne Alsacienne for our drinks. Mr. Wells had recently
published his William Clissold, which we had all read and were
discussing.
Frank Harris said that what amazed him about H.G. Wells was the
fact that the more he tried consciously to expand his writings on a
world scale, the more provincial they became. I said, "The higher a
monkey climbs, the more he shows his tail." Frank Harris roared.
Then he said that perhaps Wells himself was not aware that his early
novels of fantasy and sentiment were his most universal things.
The American writer, said that an English gentleman had remarked
to him in London that Wells as a writer was a cockney. I didn't like
the reference to class, especially as I had at least two very dear
cockney friends. Harris said that Wells wasn't a cockney as a writer;
that he was a fifth-form public school boy, the same as Kipling. I said
I always thought of Kipling as the bugler of the British Empire, and
that perhaps Wells was the sub-officer.
It was interesting, after another little lot of years had passed along, to
read what Wells had to say about Harris in his Experiment in
Autobiography. Wells's first encounter with Frank Harris interested
me, especially because of the fact that my own meeting with Harris
was one of the high spots of my life. But it appears as if Wells could
not forgive Harris for once being a big and successful editor and
discovering him a poor and unknown writer. He writes of Harris's roar
receding with the years until it sounded something like a bark. But a
lion may lose its voice through age and worry. Wells mentions one
interesting fact, which must be one of the reasons why Harris was
such a great editor. The first story he sent to Harris was excellent;
the second, Wells admits, was bad. And Harris summoned and gave
him a loud talking to over the bad one. Yet when Harris became
editor of another magazine, he remembered only the good story and
wrote to Wells asking him to become one of his special contributors.
And that gave Wells his real start. The point is that many editors
wouldn't remember at all, or if they did, they would remember only
that the second contribution was bad.
The American writer left us for Cannes, and Harris invited me to
drink champagne with him. We went to the terrace of a café on the
Promenade. Harris was not a steady free drinker as he was when I
had known him seven years before in New York. His skilful hands
trembled under the weight and accumulated cares of three-score
years. His hair was dyed, and from the heat of the Midi and of
alcohol some of the color had dissolved and mixed with the
perspiration oozing from the deep lines of his face, which resembled
an antique many-grooved panel with some of the paint peeled off.
Again Frank Harris talked reminiscently and interestingly as always
of his acumen in perceiving greatness in Bernard Shaw and H.G.
Wells and getting them to write for him when they were unknown.
"But I am prouder of Shaw," he said. "Shaw is really a great genius. I
don't always agree with what he says, and he went wrong about the
War, but his 'Common Sense' was a great piece of polemic. Shaw
has intellectual integrity. But I don't think Wells understands what
intellectual integrity means. He is too full of vanity to be a serious
intellect. He is a modernistic fiction writer who is discontented with
his talent and wants to be a social philosopher. But he is impossible
because he has never learned to think."
I said I thought it was a marvelous thing, something like second-
sight, for a man to pick a genius by his first inadequate efforts. Harris
said that it took a genius like himself to discover geniuses, and that
as an editor, he never played favorites. When he found good stuff he
accepted it. But he didn't go back-slapping and printing bad verses
by pretty women. He had had great temptations, but he never let his
desires interfere with his intellectual judgment.
His manner was boastful but not offensively so, for I think Frank
Harris had something to boast about. After all, he was Gaelic, and I
preferred his manner to the hypocritical English way of boasting by
studied understatement. And when he spoke of the enormous
financial as well as artistic success of Shaw and Wells, there was no
envy, but I could detect a shade of personal defeat and frustration in
his voice.
Frank Harris's phrase, "intellectual integrity," kept agitating my
thoughts like a large blue-bottle against a window pane. For a long
long time I had carried something on my mind which I had hesitated
to get off. But now, with the champagne working in my head and a
warm and mellow feeling suffusing me, and with Frank Harris's
features softening a little, I was emboldened to let go.
During my second year as assistant editor on The Liberator a
woman called to see me one day bringing a little book of poems. She
offered me ten dollars if I would review it in The Liberator. I said that
The Liberator did not accept money for printing reviews, but if her
poems seemed worth while, we would review them. She said that
she had paid Frank Harris a thousand dollars to get the book printed,
yet he hadn't even reviewed it in Pearson's. And afterward, she said,
she had seen a literary agent who informed her that the cost of
printing was about two hundred dollars. She thought that Frank
Harris had swindled her. I did not review the verses, because to my
mind, they were not worth while.
Also, I had heard stories of Frank Harris posing as an art
connoisseur and palming off fake pictures as old masters, and of his
getting material for his magazine from writers who thought they
would be paid and then not paying them—tales of petty racketeering
that were more funny than vicious. And so, being champagne drunk
with Harris on a café terrace looking out on the calm blue
Mediterranean, and feeling elastic and free, I, who admired the
extraordinary ways of Frank Harris more than any other intellectual
of my acquaintance, was interested to hear from himself the truth. I
told him the story of that woman who had visited The Liberator and
complained about him.
Frank Harris was wonderful to look at under the influence of the
champagne, his lion-roaring, his face like a pirate's, yet with a
sublime gleam of genuine kindliness in his eyes! What I said he did
not affirm or deny. He just exploded with a mighty sermon about the
artist and intellectual integrity. He said that the way of the artist was
hard, for if he had a talent that appealed to popular imagination,
everybody desired to use him—women and men, politicians,
philanthropists, reformers, revolutionists, organizations,
governments. Many artists won success by sacrificing their
intellectual integrity. He himself had had large success. But
whenever he felt the urge and the bounden duty to declare his
opinion, he could not restrain himself, and so he had not remained
successful. He had not been a puritan about life. Perhaps he had
done things that Jesus would not have done. But he had not given
his soul entirely to Mammon. Perhaps he had taken gifts from
persons who thought they had been swindled and who were better
off perhaps, if they were. But whatever he did he had reserved intact
his intellectual integrity.
It was a great sermon and I felt that Frank Harris was greater
because of it. He was no hypocrite. He had no social pretensions,
although he delighted in the company of smart and fashionable
people. He was aware, that there was plenty of dross inseparable
from the gold of life, and he embraced the whole. Nobody could deny
that he was indeed a follower of the Jesus who dominated his mind,
that he sincerely believed in sin and redemption.

XII
"He Who Gets Slapped"
MY radical days on The Liberator were sometimes rosy with
romance. Friends vied with friends in giving me invitations to their
homes for parties and car rides and in offering tickets for plays and
concerts. And even more. I remember I had a pressing debt of honor
to settle. And one day a staunch friend of The Liberator, Elizabeth
Sage Hare, handed me a check for five hundred dollars. She also
invited me to tea at her house in Park Avenue or Fifth, I don't quite
remember, but it was somewhere in the exclusive Faubourg
Bourgeoisie.
Liberator friends introduced me to a few of those Greenwich Village
tearooms and gin mills which were not crazy with colorphobia. And I
reciprocated by inviting some of them up to the cabarets and cozy
flats of Harlem. I did not invite my friends to the nice homes of the
Negro élite, simply because I did not have an entrée.
Once Sanina condescended to entertain I think four friends—all
men. When we arrived we found Sanina set in a circle of dark-brown
girls, all cunningly arranged to heighten her quadroon queenliness. It
was an exciting tableau, with a couple of sweetmen decorating the
background.
But Sanina knew that I held a genteel position, sitting in an editor's
chair among the whites downtown. (She was a faithful reader of True
Stories.) So more than ever that night Sanina invested her unique
position in Harlem with majesty. She was the antithesis of the Little
Brown Jug of Charlie Chaplin's party. She brought out a bottle of rum
for the glory of Jamaica, and holding it like a scepter, she poured
royally. I believe my friends were thinking that they also would have
to pay royally. But the evening was Sanina's affair. She provided
everything free and formally and with the air of a colored queen of
respectability and virtue. Meanwhile her shrewd brown eyes seemed
to be saying: "I'll show you white folks!" She was a different Sanina
to me. Indeed, she was a creature of two races that night, with the
blood of both warring in her veins.
Our editor-in-chief possessed none of the vulgar taste for cellar
cabarets. Yet one evening Max Eastman said he would like to go on
a cabaret party to Harlem. He was accompanied by another friend.
We were welcomed at Barron's, where white people were always
welcome and profitable business. Barron was a big man in Tammany
politics. But I wanted particularly to go with my white friends to Ned's
Place on Fifth Avenue. Ned and I had been friends when I had run a
restaurant in Brooklyn some years previously. He was living in
Brooklyn and often dropped in at my place to eat. Then my business
went bankrupt and we lost sight of each other. A few years later,
when I was waitering on the railroad, I discovered Ned operating a
cabaret on Fifth Avenue in Harlem. I introduced all of my railroad
friends to the place. Our crew used to rendezvous there and unload
ourselves of our tips.
Ned's Place was a precious beehive of rare native talent and
customers. A big black girl from Brooklyn with a mellow flutelike
voice was the high feature. And there was an equivocal tantalizing
boy-and-girl dancing team that I celebrated in Home to Harlem.
When that boy and girl started to shake together they gave
everybody the sweet shivers. The place was small and Ned was his
own master of ceremonies. With a few snappy flashes he could start
everybody swaying together in a merry mood, like a revival leader
warming up his crowd.
Ned's was one place of amusement in Harlem in which white people
were not allowed. It was a fixed rule with him, and often he turned
away white slummers. This wasn't entirely from pride-of-race feeling,
but because of the white unwritten law which prohibits free social
intercourse between colored and white. The big shots of the
amusement business in Harlem, such as Barron, got by the law, for
they were Tammany men. But even they were surprised and messed
up sometimes by the vice squads. Ned said he preferred to run a
"small and clean business" rather than to start treading in the
quicksands of bribes.
However, I had become so familiar with Max Eastman, and his ideas
and ways were so radically opposed to the general social set-up of
white-without-black, that it was impossible to feel about him as a
black does about a white alien. And I was such a good and regular
customer of Ned's that I thought he would waive his rule for me. But I
thought wrong that time.
We arrived at the door of the cabaret, from where Max Eastman
could get a glimpse inside. He was highly excited by the scene, and
eager to enter. But the doorman blocked the way. I beckoned to Ned,
but his jovial black face turned ugly as an aard-vark's and he acted
as if I was his worst enemy. He waved his fist in my face and roared:
"Ride back! Ride back, or I'll sick mah bouncers on you-all!"
Max Eastman and his friend and I made a quick retreat. Eastman
didn't mind. He said he was happy that there was one place in
Harlem that had the guts to keep white people out. There are no
such places left today. Harlem is an all-white picnic ground and with
no apparent gain to the blacks. The competition of white-owned
cabarets has driven the colored out of business, and blacks are
barred from the best of them in Harlem now.
Always I was inflamed by the vision of New York as an eye-dazzling
picture. Fascinated, I explored all points in my leisure moments, by
day and by night. I rode all the ferries. I took long trips, from the
Battery to the Bowery, from Broadway through Harlem to the Bronx. I
liked to walk under the elevated tracks with the trains clashing and
clanging overhead. There was excitement when the sudden roaring
of the train abruptly blotted out conversation. Even the clothes
suspended in the canyon tenements appeared endowed with a
strange life of their own. In the stampeding hours of morning, noon,
and evening, when the crowds assumed epic proportions, I was so
exalted by their monster movement that I forgot that they were white.
I particularly remember some nocturnal wanderings with Adolf Dehn,
the artist, spanning blocks upon blocks along the East River, and the
vast space-filling feeling of the gigantic gas tanks. One loves in New
York its baroque difference from the classic cities, the blind chaotic
surging of bigness of expression. I remember how, when I worked in
the West Eighties and spent my rest time loitering along Riverside
Drive, the black giants of the New York Central, belching flame and
smoke and dust along the façades of the fine palaces, created a
picture like a caravan of modern pirates coming home in a rolling
cloud of glory. The grim pioneer urge of the great pragmatic
metropolis was a ferment in my feeling.
Often I was possessed with the desire to see New York as when I
first saw it from the boat—one solid massive mammoth mass of
spiring steel and stone. And I remember one week-end when Eugen
Boissevain offered a ride over to Jersey, whence one could see New
York in that way. Max Eastman was with us. We drove up to a
summit commanding a grand view of the city. We stood there a long
time drinking in the glory of the pyramids. Afterward we drove
aimlessly around the country. Finally we became hungry. We
stopped at several hotels and restaurants, but none would serve the
three of us together. At last one place offered to serve us in the
kitchen. So, being hungry, all three of us went into the kitchen. The
cooks were frying and roasting at the stove. Kitchen help were
peeling potatoes, washing dishes, cleaning up garbage. We sat
down at the servants' table, where a waiter served us.
It was one of the most miserable meals I ever ate. I felt not only my
own humiliation, but more keenly the humiliation that my presence
had forced upon my friends. The discomfort of the hot bustling
kitchen, the uncongenial surroundings—their splendid gesture, but
God! it was too much. I did not want friends to make such sacrifices
for me. If I had to suffer in hell, I did not want to make others suffer
there too. The physical and sensual pleasures of life are precious,
rare, elusive. I have never desired to restrict the enjoyment of others.
I am a pagan; I am not a Christian. I am not white steel and stone.
On many occasions when I was invited out by white friends I
refused. Sometimes they resented my attitude. For I did not always
choose to give the reason. I did not always like to intrude the fact of
my being a black problem among whites. For, being born and reared
in the atmosphere of white privilege, my friends were for the most
part unconscious of black barriers. In their happy ignorance they
would lead one into the traps of insult. I think the persons who
invented discrimination in public places to ostracize people of a
different race or nation or color or religion are the direct descendants
of medieval torturers. It is the most powerful instrument in the world
that may be employed to prevent rapproachement and
understanding between different groups of people. It is a cancer in
the universal human body and poison to the individual soul. It saps
the sentiment upon which friendliness and love are built. Ultimately it
can destroy even the most devoted friendship. Only super-souls
among the whites can maintain intimate association with colored
people against the insults and insinuations of the general white
public and even the colored public. Yet no white person, however
sympathetic, can feel fully the corroding bitterness of color
discrimination. Only the black victim can.
It was at this time that I wrote a series of sonnets expressing my
bitterness, hate and love. Some of them were quoted out of their
context to prove that I hate America. Mr. Lothrop Stoddard was the
chief offender in his The Rising Tide of Color.
Here are the sonnets:
BAPTISM
Into the furnace let me go alone;
Stay you without in terror of the heat.
I will go naked in—for thus 'tis sweet—
Into the weird depths of the hottest zone.
I will not quiver in the frailest bone,
You will not note a flicker of defeat;
My heart shall tremble not its fate to meet,
My mouth give utterance to any moan.
The yawning oven spits forth fiery spears;
Red aspish tongues shout wordlessly my name.
Desire destroys, consumes my mortal fears,
Transforming me into a shape of flame.
I will come out, back to your world of tears,
A stronger soul within a finer frame.
THE WHITE CITY
I will not toy with it nor bend an inch.
Deep in the secret chambers of my heart
I brood upon my hate, and without flinch
I bear it nobly as I live my part.
My being would be a skeleton a shell,
If this dark Passion that fills my every mood,
And makes my heaven in the white world's hell,
Did not forever feed me vital blood.
I see the mighty city through a mist—
The strident trains that speed the goaded mass,
The fortressed port through which the great ships pass,
The tides, the wharves, the dens I contemplate,
Are sweet like wanton loves because I hate.
THE WHITE HOUSE
Your door is shut against my tightened face,
And I am sharp as steel with discontent;
But I possess the courage and the grace
 To bear my anger proudly and unbent.
The pavement slabs burn loose beneath my feet,
And passion rends my vitals as I pass,
A chafing savage down the decent street,
Where boldly shines your shuttered door of glass.
Oh I must search for wisdom every hour,
Deep in my wrathful bosom sore and raw,
And find in it the superhuman power
To hold me to the letter of your law!
Oh I must keep my heart inviolate,
Against the poison of your deadly hate!
AMERICA
Although she feeds me bread of bitterness,
And sinks into my throat her tiger's tooth,
Stealing my breath of life, I will confess
I love this cultured hell that tests my youth!
Her vigor flows like tides into my blood,
Giving me strength erect against her hate.
Her bigness sweeps my being like a flood.
Yet as a rebel fronts a king in state,
I stand within her walls with not a shred
Of terror, malice, not a word of jeer.
Darkly I gaze into the days ahead,
And see her might and granite wonders there,
Beneath the touch of Time's unerring hand,
Like priceless treasures sinking in the sand.

The Liberator was gaining strength in its stride. We were always

receiving praiseful letters and faithful promises of support. And we
were preparing to celebrate our struggling through to a happy New
Year. But suddenly the magazine was knocked off its feet. Our
bookkeeper, Mylius, disappeared, and with him went the four
thousand dollars left from The Liberator's government bonds.
Unfortunately Mylius had been intrusted with the key to the bank's
vault in which they were kept. I always felt that I could have trusted
my friend, Michael, the gangster, with my life, while I wouldn't have
trusted Mylius with my shadow.
Max Eastman was discouraged. Always worried about the raising of
money to run the magazine, he had never had the necessary leisure
for his own creative writing. Most of the money he raised came from
liberal rentiers. And now that the magazine editorially had taken a
stand for Lenin and Trotsky and the Bolshevik revolution, it was less
easy to obtain money from these rentiers, whose class had been
ruthlessly expropriated in Russia.
Max Eastman wanted to relinquish the editorship and go abroad to
live and write as he desired. We called a meeting of Liberator artists
and writers and sympathizers. All of us wanted to carry on with the
magazine. But money mocked at us. None of us had Eastman's
combination of talents for the money-raising job. That had been no
picnic for him, either, in spite of his fine platform personality and
attractive presence.
The only person at that meeting who felt that The Liberator could
carry on without Max Eastman was Michael Gold. Gold was always
critical about the way in which the magazine was run. He thought
that Eastman was too much of an esthete, too Baudelaire-like in his
poetic expression. He maintained that The Liberator should express
more of the punch and the raw stuff of life and labor. Max Eastman
had made up his mind to get out from under. We decided that all the
collaborators should endeavor to keep the magazine going as a
collective enterprise. And upon Eastman's suggestion, Michael Gold
and myself were appointed executive editors. There could have been
no worse combination, because personally and intellectually and
from the first time we met, Michael Gold and I were opposed to each
other.
Michael Gold's idea of The Liberator was that it should become a
popular proletarian magazine, printing doggerels from lumberjacks
and stevedores and true revelations from chambermaids. I
contended that while it was most excellent to get material out of the
forgotten members of the working class, it should be good stuff that
could compare with any other writing.
I knew that it was much easier to talk about real proletarians writing
masterpieces than to find such masterpieces. As a peasant and
proletarian aspirant to literary writing I had come in contact with
reams of stuff, pathetic attempts of working people toward adequate
literary expression. My sympathy was with them, but my attitude was
not mawkish. Because I was also an ordinary worker, without benefit
of a classic education. And I had had the experience of the hard
struggle and intellectual discipline and purposefulness that were
necessary to make a fine stanza of verse or a paragraph of prose.
And Michael Gold also knew. He was still intellectually battling up
from the depths of proletarian starvation and misery. And like myself
he was getting hard criticism and kind encouragement from Max
Eastman. But Michael Gold preferred sentimentality above
intellectuality in estimating proletarian writing and writers.
I preferred to think that there were bad and mediocre, and good and
great, literature and art, and that the class labels were incidental. I
cannot be convinced of a proletarian, or a bourgeois, or any special
literature or art. I thought and still think that it is possible to have a
proletarian period of literature, with labor coming into its heritage as
the dominating social factor, exactly as we have had a Christian
period, a Renaissance period, and the various pagan periods. But I
believe that whenever literature and art are good and great they leap
over narrow group barriers and periods to make a universal appeal.
The intelligentsia of our southern states may boycott a Negro's book
or a Negro's painting. Hitler may burn the creative work of Jews,
liberals and radicals, Mussolini may proscribe literature and art that
he considers anti-Fascist, the Pope may index works that he
interprets as anti-Catholic, and the Communists may damn works of
literature and art that appear to them unfavorable to international
Communism. I don't minimize the danger of the obstruction of talent
and the destruction of art. But if the works are authentic they will
eventually survive the noise and racket of the times, I think.
Michael Gold and I on The Liberator endeavored to team along. But
that was impossible. Gold's social revolutionary passion was
electrified with personal feeling that was sometimes as acid as lime-
juice. When he attacked it was with rabbinical zeal, and often his
attacks were spiteful and petty. One day I was informed that he had
entered the Civic Club (a rendezvous of liberals and radicals) in his
shirt sleeves and with an insulting attitude. I remarked that I didn't
see any point in doing that to the pacifist Civic Club; that he might
have gone instead to the Union League Club.
Someone repeated my comment, and one evening when I was
dining with Marguerite Tucker at John's Italian restaurant in Twelfth
Street, Gold came in and challenged me to box. He had been a
champion of some note on the East Side. I shrugged and said the
difference between us was intellectual and not physical, but that I
was willing to box, if he thought that would settle it. So we laughed
the matter off and drank a bottle of dago red together. However, I
saw clearly that our association could not continue. Shortly after that
we called a meeting of Liberator editors and I resigned.
Meanwhile I had been devoting most of my time to dramatic
criticism. Happy Harlem had come down to Broadway in a titillating
musical piece called Shuffle Along. The metropolitan critics
dismissed it casually at first. There were faults. Technically the piece
was a little too rhythmically lazy and loose-jointed. But there were
some luscious songs and singing: "Shuffle Along," "Love Will Find a
Way," and "Bandanna Land." And there was Florence Mills. Florence
Mills was so effortless in her perfect mimicry and elfin brown voice
that the Negro impressarios were not even aware that they
possessed in her a priceless gold star. For they had given her a
secondary rôle in the revue.
Never had I seen a colored actress whose artistry was as fetching as
Florence Mills's. After the show I went backstage to see her. I said:
"You're the star of the show." No, she said, the stars were Lottie Gee
and someone else whose name I don't remember. I said, "You're the
star for me, and I'm going to say so in my review." She laughed
deliciously.
I thought I'd feature Shuffle Along in The Liberator. I wanted
especially to do this because the Negro radicals of those days were
always hard on Negro comedy. They were against the trifling,
ridiculous and common side of Negro life presented in artistic form.
Radical Negroes take this attitude because Negroes have
traditionally been represented on the stage as a clowning race. But I
felt that if Negroes can lift clowning to artistry, they can thumb their
noses at superior people who rate them as a clowning race.
I asked William Gropper, the cartoonist, to go along with me to see
Shuffle Along and make some drawings. Gropper made some
excellent things, but they were too savagely realistic for the airy fairy
fascination of Negro comedy. Gropper realized this, and didn't mind
my asking Hugo Gellert to take a stroke at them, because I thought
Gellert's style more suitable to the kind of thing I wanted. I did not
rate Gellert's talent anywhere near Gropper's. But Gellert possessed
a more receptive mind and cunning hand for illustrative work. Gellert
made some clever drawings with a modernistic accent. We printed
them with my article, and that issue of The Liberator was a sensation
among the theatrical set of Harlem.
Florence Mills ran away with the show, mimicking and kicking her
marvelous way right over the heads of all the cast and sheer up to
the dizzying heights until she was transformed into a glorious star.
Shuffle Along was conceived, composed and directed by Negroes.
There had been nothing comparable to it since the Williams and
Walker Negro shows. It definitely showed the Negro groping,
fumbling and emerging in artistic group expression. When its best
artists were bought out by white producers and it was superseded by
such elaborate super-productions as Blackbirds, which was
projected and directed by a white impresario, there was no artistic
gain for the Negro group. But the Negro artistes made more money,
and thoughtless Negroes, like all good Americans, think that the
commercially successful standard is the only standard by which
Negro artistic achievement may be judged.
I have no prejudice against white persons leading and directing
Negroes artistically and otherwise, if they can do it with more than
merely technical competence. Negroes using the technique of the
white peoples to express themselves must necessarily have to go to
school to the whites. But it is no easy achievement for any outsider
to get on the inside of a segregated group of people and express
their hidden soul. Many white people see Negroes from a white point
of view and imagine that they know all about the Negro soul and can
express it even better than the blacks themselves. When I saw the
white man's Blackbirds in Paris and remembered Shuffle Along I was
very sad. The Blackbirds flashed like a whip from beginning to end,
rushing the actors through their parts like frightened animals. There
was not a suggestion in it of the inimitably lazy tropical drawl that
characterizes Negro life even in the coldest climate. And that was
the secret of the success of the charming Shuffle Along.
In the midst of my career as a dramatic critic I bumped into one of
those acute snags which remain in the memory even as the scar of a
bad wound that has been healed remains in the body. It wasn't
because I was thin-skinned. When I went to work on The Liberator I
knew that I would have to face social problems even greater than
before, but I was determined to face them out. But what happened to
me hurt more because it came from an unexpected source.
I think that instead of rewriting it, I will let the article I wrote at the
time (for The Liberator of May, 1922) tell the story for me:
"Wouldn't your dramatic critic like to see He Who Gets Slapped?"
So, very graciously, wrote the Theater Guild's publicity agent to The
Liberator. Our sometime dramatic critic, Charles W. Wood, having
deserted us for the season, I elected myself dramatic critic by
acclamation. It would be pleasant to sit in a free front-row parquet
seat along with "The Press," instead of buying a ticket for the second
balcony. And as for the other seat—free seats come in pairs—I
decided to take along William Gropper, Liberator artist of the
powerful punch and vindictive line, and master of the grotesque.
So on the appointed night we presented ourselves at the box office
of the Fulton. It was with keen pleasure that I anticipated seeing this
fantastic play of Leonid Andreyev's, He, the One Who Gets Slapped.
A curious and amusing theme!
The stubs were handed to Gropper and we started toward the
orchestra. But the usher, with a look of quizzical amazement on his
face, stopped us. Snatching the stubs from Gropper and muttering
something about seeing the manager, he left us wondering and
bewildered. In a moment he returned, with the manager. "The—the
wrong date," the manager stammered and, taking the stubs marked
"orchestra," he hurried off to the box office, returning with others
marked "balcony." Suddenly the realization came to me. I had come
here as a dramatic critic, a lover of the theater, and a free soul. But—
I was abruptly reminded—those things did not matter. The important
fact, with which I was suddenly slapped in the face, was my color. I
am a Negro—He, the One Who Gets Slapped....
Gropper and I were shunted upstairs. I was for refusing to go, but
Gropper, quite properly, urged compromise. So, brooding darkly,
madly, burnt, seared and pierced, and over-burdened with hellish
thoughts, I, with Gropper beside me half-averting his delicate pale
face, his fingers, run through his unkempt mop of black hair, shading
his strangely child-like blue eyes, sat through Leonid Andreyev's
play.
Andreyev's masterpiece, they call it. A masterpiece? A cleverly
melodramatic stringing together of buffoonery, serio-comic
philosophy, sensational love-hungriness and doll-baby impossibilism,
staged to tickle the mawkish emotions of the bourgeois mob! So I
thought. I sat there, apart, alone, black and shrouded in blackness,
quivering in every fiber, my heart denying itself and hiding from every
gesture of human kindliness, hard in its belief that kindliness is to be
found in no nation or race. I sat inwardly groaning through what
seemed a childish caricature of tragedy. Ah! if the accident of birth
had made Andreyev a Negro, if he had been slapped, kicked,
buffeted, pounded, niggered, ridiculed, sneered at, exquisitely
tortured, near-lynched and trampled underfoot by the merry white
horde, and if he still preserved through the terrible agony a sound
body and a mind sensitive and sharp to perceive the qualities of life,
he might have written a real play about being slapped. I had come to
see a tragic farce—and I found myself unwillingly the hero of one. He
who got slapped was I. As always in the world-embracing Anglo-
Saxon circus, the intelligence, the sensibilities of the black clown
were slapped without mercy.

Poor, painful black face, intruding into the holy places of the whites.
How like a specter you haunt the pale devils! Always at their elbow,
always darkly peering through the window, giving them no rest, no
peace. How they burn up their energies trying to keep you out! How
apologetic and uneasy they are—yes, even the best of them, poor
devils—when you force an entrance, Blackface, facetiously,
incorrigibly, smiling or disturbingly composed. Shock them out of
their complacency, Blackface; make them uncomfortable; make them
unhappy! Give them no peace, no rest. How can they bear your
presence, Blackface, great, unappeasable ghost of Western
civilization!

Damn it all! Goodnight, plays and players. The prison is vast, there is
plenty of space and a little time to sing and dance and laugh and
love. There is a little time to dream of the jungle, revel in rare scents
and riotous colors, croon a plantation melody, and be a real original
Negro in spite of all the crackers. Many a white wretch, baffled and
lost in his civilized jungles, is envious of the toiling, easy-living
Negro.

XIII
"Harlem Shadows"
MEANWHILE I was full and overflowing with singing and I sang in all
moods, wild, sweet and bitter. I was steadfastly pursuing one object:
the publication of an American book of verse. I desired to see "If We
Must Die," the sonnet I had omitted in the London volume, inside of
a book.
I gathered together my sheaf of songs and sent them to Professor
Spingarn. He was connected with a new publishing firm. Many years
before I had read with relish his little book, entitled Creative
Criticism. I wrote to him then. He introduced me to James
Oppenheim and Waldo Frank of The Seven Arts, and they published
a couple of my poems under a nom de plume. That was way back in
1917. Now, five years later, I asked Professor Spingarn to find me a
publisher.
I had traveled over many other ways besides the railroad since those
days. Professor Spingarn was appreciative of me as a Negro poet,
but he did not appreciate my radicalism, such as it was!
Paradoxically, Professor Spingarn supported and advocated Negro
racial radicalism and abhorred social radicalism. Professor Spingarn
preferred my racial jeremiads to my other poems. Well, I was blunt
enough to tell Professor Spingarn that he was a bourgeois. He didn't
like it. Nevertheless he found me a publisher.
When I told a Yankee radical about myself and Professor Spingarn,
this radical said that it was impossible for any man to be pro-Negro
and anti-radical. He said, he believed that Professor Spingarn was
pro-Negro not from broad social and humanitarian motives, but
because he was a Jew, baffled and bitter. I said, "But Oswald
Garrison Villard is also pro-Negro, and he is not a radical nor a Jew."
The radical said, "Oh, Villard is an abolitionist by tradition." And I
said, "Isn't it possible that Professor Spingarn is also an abolitionist,
and by even a greater tradition?"
If only individual motives were as easy to categorize and analyze as
they appear to be! Anyway, Professor Spingarn got Harcourt Brace
and Company to accept my poems. Max Eastman wrote a splendid
preface, and the book was published in the spring of 1922.
Harlem Shadows was a succès d'estime. The reviews were
appreciative, some flattering, flattering enough to make a fellow feel
conceited about being a poet. But I was too broke and hungry and
anxious about the future to cultivate conceit. However, I was not
discouraged. The publication of my first American book uplifted me
with the greatest joy of my life experience. When my first book was
published in Jamaica, I had the happy, giddy feeling of a young goat
frolicking over the tropical hills. The English edition of my poems had
merely been a stimulant to get out an American book. For to me
America was the great, difficult, hard world. I had gone a long,
apparently roundabout way, but at least I had achieved my main
purpose.
The last Liberator affair in which I actively participated was an
international dance. The winter had been cold on our spirits and our
feelings warmed currently to celebrate the spring. We trumpeted
abroad our international frolic and the response was exhilarating. All
shades of radicals responded, pink and black and red; Left liberals,
Socialists, Anarchists, Communists, Mayflower Americans and
hyphenated Americans, Hindus, Chinese, Negroes. The spirit of The
Liberator magnetized that motley throng. There was a large freedom
and tolerance about The Liberator which made such a mixing
possible. (How regrettable that nothing like the old Liberator exists
today! Social thinking is still elastic, even chaotic, in America. Class
lines and ideas here are not crystallized to such an extent as to
make impossible friendly contact between the different radical
groups.)
Our spring frolic brought that international-minded multitude into
Forty-second Street. But the metropolitan police resented the
invasion. They were aghast at the spectacle of colored persons
mixed with white in a free fraternal revel. So they plunged in and
broke it up, hushed the saxophones, turned the crowd out of the hall,
and threw protesting persons downstairs, lamming them with their
billies.

After leaving The Liberator I took a holiday from work. I had not had
one for over a year. I was in a small circle of friends and we convived
together, consuming synthetic gin. Meanwhile I was thinking about a