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A vanishing eigengap allows a fixed eigenvector rotation

Statement refuted

The following uniform claim is false: among all real symmetric matrices with a simple leading eigenvalue, an operator-norm perturbation tending to zero forces the leading eigenvector line to rotate by an angle tending uniformly to zero, without any lower bound on the eigengap.

Witness construction

For every δ>0, take Aδ=(1+δ001),Eδ=(0δ/4δ/40). The unperturbed leading line is span⁡(e1) and the gap is gδ=δ. The perturbation norm is δ/4→0, but the perturbed leading line makes the fixed positive angle arctan⁡(5−2) with span⁡(e1), independent of δ. Thus an absolute perturbation bound alone cannot give uniform eigenspace stability as the gap vanishes.

Facts & Assumptions

Given: A real parameter δ>0, the matrices Aδ,Eδ above, and the false uniform claim stated in ## Statement refuted.

[F1]

The operator norm is zero on the zero domain and otherwise is max_{||v||=1} ||Tv||: the operator norm is the maximum of ∥Eu∥2 over unit vectors.

[F2]

Local leading-eigenvector stability under a spectral gap: when ϵ<g/2, the sign-free sine-angle is bounded by ϵ/(g−ϵ).

Refutation

technique · direct
1.1F1givenalgebra

The eigenvalues of Aδ are 1+δ and 1, so its leading line is span⁡(e1) and its gap is gδ=δ. Also EδTEδ=(δ/4)2I2, whence [F1] gives ∥Eδ∥op=δ/4.

1.2givenalgebra

The characteristic polynomial of Aδ+Eδ=(1+δδ/4δ/41) has roots 1+δ/2±(δ/2)2+(δ/4)2=1+δ/2±5 δ/4, so the larger root is the leading eigenvalue. If (x,y)T is its leading eigenvector, the first row of the eigenvalue equation gives y/x=4(λ1(Aδ+Eδ)−1−δ)/δ=5−2. Thus its line makes angle arctan⁡(5−2)>0 with span⁡(e1), independently of δ.

2.1F2step 1.1step 1.2∎

Letting δ↓0 makes ∥Eδ∥op→0 by step 1.1 while the angle in step 1.2 stays fixed and positive, contradicting the proposed uniform claim. Here ϵδ=gδ/4<gδ/2, so [F2] still applies; its gap-dependent bound is consistent with the example.

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