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James nonreflexivity sequence separated from an annihilator

Statement

Assume the ultrafilter lemma, the Axiom of Dependent Choice (DC), and the relative Hahn–Banach principle HB. If a real Banach space X is not reflexive, then for every θ∈(0,1) there are a separable closed linear subspace M⊆X and a sequence (xn∗)n∈N in BX∗ such that

xn∗(m)⟶0(m∈M)

and

dist⁡ ⁣(M⊥,co⁡{xn∗:n∈N})≥θ,

where M⊥={w∗∈X∗:w∗(m)=0 for every m∈M} and co⁡ means finite convex hull.

Facts & Assumptions

Given: the ultrafilter lemma, DC, HB, a nonreflexive real Banach space X, and θ∈(0,1).

[F1]

Under the ultrafilter lemma, DC and HB, a Banach space is reflexive if and only if every norm-bounded sequence has a weakly convergent subsequence (Reflexivity is equivalent to weak subsequential compactness of bounded sequences). Its proof combines the weak compact unit-ball criterion (Reflexive iff unit ball weakly compact) with Eberlein–Šmulian (Eberlein–Šmulian theorem), whose compactness branch uses compact-Hausdorff Tychonoff under the ultrafilter lemma (Assuming the ultrafilter lemma, an arbitrary product of compact Hausdorff spaces is compact).

[F2]

Under HB, the norm-closed scalar span of a sequence in a Banach space is a separable Banach subspace, is weakly closed, and has intrinsic weak topology equal to its relative ambient weak topology (Eberlein–Šmulian separable reduction).

[F3]

Reflexivity is surjectivity of the canonical map, and under HB that map is a scalar-linear isometry (Reflexivity is surjectivity of the canonical map, Relative Hahn–Banach makes the canonical bidual map an isometry).

[F4]

DC is the entire-relation chain principle. Countable Choice ACω selects from a supplied sequence of nonempty sets (The axiom of dependent choice: a relation in which every element is related to something admits an N-indexed chain, The Axiom of Countable Choice (ACω)).

[F5]

Under ACω, a complete normed subspace of a normed space is closed (A complete normed subspace is closed under countable choice).

[F6]

A nonempty at most countable set admits a surjection from N; separability means having an at most countable dense subset (A nonempty set is at most countable iff it is a surjective image of N, Separability: the existence of an at most countable dense subset).

[F7]

Under HB, a bounded linear functional on any real linear subspace has an ambient extension of the same norm (Relative norm-preserving Hahn–Banach extension over the real and complex fields), derived from the relative dominated-extension principle (Dominated extension conditional on the relative principle, The real dominated-extension principle as an additional hypothesis over ZF).

[F8]

The dual norm is the supremum over the closed unit ball, and annihilators use the notation M⊥={f:f(M)=0} (The dual space X^* of a normed space and its dual norm, Annihilator notation and the preannihilator).

Proof

technique · separable reduction followed by finite annihilator duality and countable Hahn–Banach selection
1.1F4construct

We first derive the exact Countable Choice instance used below. For a sequence (En) of nonempty sets, let S consist of all finite histories s with s(j)∈Ej for j<dom⁡s, starting with the empty history, and relate s to every one-term extension by a member of Edom⁡s. This relation is entire. DC gives a chain of successively extended histories, whose union chooses one element of every En. Thus the assumed DC supplies every application of ACω below; we do not use the unproved bibliographic remark “DC implies ACω” as a theorem.

1.2F1F2algebra

By the contrapositive of [F1], choose a norm-bounded sequence (zn) in X with no weakly convergent subsequence. If R bounds all ∥zn∥, then R>0, since an R=0 sequence is constantly zero. Replacing zn by zn/R, which preserves and reflects weak convergence of subsequences, we may assume zn∈BX. Put M=span⁡R{zn:n∈N}‾. By [F2], M is a separable closed Banach subspace, and its intrinsic weak topology is the relative weak topology inherited from X.

2.1step 1.2F1F2

The space M is not reflexive. Otherwise [F1], applied to the bounded sequence (zn) in the Banach space M, would give a subsequence converging weakly in M. Equality of the two weak topologies in [F2] would make the same subsequence weakly convergent in X, contrary to step 1.2. In particular M≠{0}.

3.1step 1.1step 2.1F3F5

Let JM:M→M∗∗ be the canonical map and Y=JM(M). By [F3], JM is an isometry, so Y is isometric to the complete space M. Step 1.1 and [F5] therefore make Y norm closed in M∗∗. It is proper because M is not reflexive.

4.1step 3.1givenalgebrachoose

Choose q∈M∗∗∖Y and put d=dist⁡(q,Y). Closedness of Y gives d>0. Since d/θ>d and d is the infimum of the nonempty set {∥q−y∥:y∈Y}, choose y∈Y with ∥q−y∥<d/θ. Define F=(q−y)/∥q−y∥. Then ∥F∥=1, translation by y∈Y does not change distance to the linear subspace Y, and hence dist⁡(F,Y)=d∥q−y∥>θ. No simultaneous family is chosen here.

5.1step 2.1step 4.1F6choose

Since M is nonzero and separable, take a nonempty at most countable norm-dense subset D⊆M and, by [F6], one surjection j↦mj from N onto D. Repetitions are harmless.

6.1step 3.1step 5.1F3constructalgebra

For n∈N set Kn={u∈M∗:u(mj)=0 for 0≤j≤n},En=span⁡{JMmj:0≤j≤n}. Then En=Kn⊥ inside M∗∗. The inclusion En⊆Kn⊥ follows by evaluation. Conversely, if H∈M∗∗ vanishes on Kn, define T:M∗→Rn+1 by T(u)=(u(m0),…,u(mn)). Since ker⁡T=Kn, the rule λ(Tu)=H(u) is a well-defined linear functional on im⁡T. Finite-dimensional linear algebra extends λ to a functional (t0,…,tn)↦∑j=0najtj on Rn+1, using only finitely many choices. Thus H=∑j=0najJMmj∈En.

7.1step 4.1step 6.1F7F8

The quotient-norm identity ∥F∣Kn∥=dist⁡(F,En) holds. For H∈En=Kn⊥, restriction gives ∥F−H∥≥∥F∣Kn∥. Conversely [F7] extends F∣Kn to some G∈M∗∗ with ∥G∥=∥F∣Kn∥; then F−G vanishes on Kn, so step 6.1 puts F−G in En and yields the reverse inequality. Since En⊆Y, step 4.1 now gives ∥F∣Kn∥=dist⁡(F,En)≥dist⁡(F,Y)>θ.

8.1step 7.1F7F8algebra

For each n, the last strict inequality and the dual-norm definition supply v∈Kn with ∥v∥≤1 and ∣F(v)∣>θ. Replacing v by −v if necessary and then setting u=θv/F(v) gives u∈Kn, ∥u∥<1, and F(u)=θ. By [F7], u has an extension x∗∈X∗ with ∥x∗∥=∥u∥<1. Therefore the set Pn of all such pairs (u,x∗) is nonempty.

9.1step 1.1step 5.1step 8.1F6

Apply the ACω instance from step 1.1 to (Pn), writing the selected pair as (un,xn∗). Then xn∗∈BX∗, xn∗∣M=un, F(un)=θ, and un(mj)=0 whenever j≤n. For fixed m∈M and ε>0, density supplies mj with ∥m−mj∥<ε; for n≥j, ∣xn∗(m)∣=∣un(m−mj)∣≤∥un∥ ∥m−mj∥<ε. Hence xn∗(m)→0 for every m∈M.

10.1step 4.1step 9.1F8algebra

Let x∗=∑k=1rakxnk∗ be any finite convex combination, where r≥1, ak≥0, and ∑kak=1, and let w∗∈M⊥. Restriction to M and step 9.1 give F ⁣((x∗−w∗)∣M)=∑k=1rakF(unk)=θ. Since ∥F∥=1, restriction cannot increase norm, and therefore ∥x∗−w∗∥≥∥(x∗−w∗)∣M∥≥θ. Taking the infimum over both nonempty sets proves dist⁡(M⊥,co⁡{xn∗:n∈N})≥θ.

11.1step 1.1step 1.2step 2.1step 9.1step 10.1F1F2F3F7∎

Steps 1.2 and 2.1 provide the required separable closed M, step 9.1 gives the pointwise-null dual-ball sequence, and step 10.1 gives the asserted annihilator separation. The endpoints θ=0,1 are excluded exactly as stated; X={0} cannot satisfy the nonreflexivity hypothesis. The argument is real: the sign change and the order comparison in step 8.1 are not offered as a complex proof. The ultrafilter lemma and HB enter through [F1], HB also enters through [F2], [F3] and [F7], and DC enters exactly through the finite-history derivation in step 1.1.

Source notes

Megginson's Theorem 1.13.11(a)→(b), printed pp. 125–126, supplies the separable finite-test bidual construction. Theorem 1.13.14(a)→(b), printed p. 132, first reduces an arbitrary nonreflexive real Banach space to a separable closed nonreflexive subspace and then extends the resulting functionals to the ambient space. The proof above expands the finite annihilator identity and records every choice principle used.

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