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Eberlein–Šmulian theorem
Statement
Assume the ultrafilter lemma, the Axiom of Dependent Choice (DC), and HB. For every subset of a real or complex Banach space , the following are equivalent:
- is relatively weakly compact;
- is relatively weakly sequentially compact;
- is relatively weakly countably compact.
All closures, limits, cluster points, and compactness assertions use the weak topology and the ambient space .
Facts & Assumptions
Given: the ultrafilter lemma, DC, HB, a real or complex Banach space , and .
Relative weak compactness means compactness of the weak closure; relative weak sequential compactness gives a weakly convergent subsequence with ambient limit; relative weak countable compactness gives an ambient weak cluster point with arbitrarily late terms in every neighborhood (Relative weak compactness and three sequential notions).
Under HB, the closed scalar span of one sequence in is a separable Banach subspace, is weakly closed in , and its intrinsic weak topology is the relative ambient weak topology (Eberlein–Šmulian separable reduction).
Assuming and HB, every weakly compact subset of a separable normed space is weakly metrizable (Eberlein–Šmulian metrization on the relevant dual ball).
DC gives a chain through every entire relation from a prescribed initial state, whereas is a choice function for each supplied sequence of nonempty sets (The axiom of dependent choice: a relation in which every element is related to something admits an -indexed chain, The Axiom of Countable Choice ()).
In a metric space, compactness implies sequential compactness without any choice principle, by least-index recursion (In any metric space compactness implies countable compactness and limit point compactness, and each of countable compactness and limit point compactness implies sequential compactness; every implication here is proved without a choice principle, claims 1 and 3).
Under the ultrafilter lemma, DC and HB, a relatively weakly countably compact is norm bounded and satisfies (Countable compactness closes in the bidual).
Under the ultrafilter lemma, the closed unit ball of the dual of any normed space is weak-star compact (Banach–Alaoglu).
The weak and weak-star topologies are initial for their scalar evaluations, and under HB the canonical map is scalar-linear and isometric (Weak topology on a normed space, The weak-star topology from finite evaluations, Relative Hahn–Banach makes the canonical bidual map an isometry).
A closed subset of a compact space is compact, and continuous images of compact spaces are compact (A closed subspace of a compact space is compact, and a finite union of compact subspaces is compact, A continuous image of a compact space is compact; a continuous real-valued map on a nonempty compact space attains a maximum and a minimum; and a continuous bijection from a compact space to a Hausdorff space is a homeomorphism, claim 1).
Strictly increasing natural-number indices satisfy (A strictly increasing index map satisfies ), and HB is the named dominated-extension principle (The real dominated-extension principle as an additional hypothesis over ZF).
Proof
Proof technique: prove the cycle compact sequential countable compact.
We first derive the exact choice fragment needed by [F3], rather than citing the unproved remark that DC implies . Given any sequence of nonempty sets, let be the set of all finite histories with domain for some and for . The empty history belongs to . Relate to when extends by exactly one value from . The relation is entire because that next set is nonempty. DC from the empty history gives a chain with of length and extending ; its union is a function on with . Thus the assumed DC proves the instance of required below.
If , its weak closure is empty and compact and there is no sequence in , so all three conditions hold. If and , then , its weak topology is the singleton topology, and every sequence is constant, so again all three conditions hold. Hence the remaining implications may be proved without special conventions for these cases.
The evaluation identity shows from [F8] that is continuous and that its inverse is continuous: every subbasic evaluation on either side pulls back to the corresponding evaluation on the other. HB makes injective through its isometry, so it is a homeomorphism onto its image.
Assume is relatively weakly compact and let be a sequence in . Put and let be the norm-closed scalar span of the sequence. By [F1], is weakly compact, and by [F2], is a separable Banach subspace, weakly closed in , with its intrinsic weak topology equal to the relative ambient weak topology. Set , which contains every .
Assume is relatively weakly sequentially compact and let be any sequence in . Take strictly increasing indices and with weakly. Given a weak neighborhood of and , convergence gives with for ; for , [F10] gives . Thus contains an arbitrarily late term of the original sequence, so is its weak cluster point and is relatively weakly countably compact.
Assume is relatively weakly countably compact. By [F6], choose with for every and put ; then .
In the situation of step 1.4, is weakly closed in the compact space , because is weakly closed in . Hence [F9] makes compact, and [F2] identifies this topology with its intrinsic relative weak topology as a subset of the separable space .
In the situation of step 1.6, apply [F7] to the normed space : its dual unit ball is weak-star compact. Fixed scalar multiplication is weak-star continuous by [F8], since every evaluation of is times the corresponding evaluation of . Therefore [F9] makes weak-star compact, including , when it is the singleton .
By step 1.1 the assumptions of [F3] hold, so step 2.1 makes a compact metric space in its weak topology. The choice-free implication [F5] gives a subsequence of converging to a point of in that metric, hence weakly in and, by [F2], weakly in . Since the original sequence was arbitrary, is relatively weakly sequentially compact.
The set from step 1.6 lies in . Indeed, for , and , the weak-star neighborhood meets , so some satisfies . If , taking half the positive gap as is a contradiction; hence for every , including , and . The closure is weak-star closed in , so it is closed in the compact subspace and therefore compact by [F9].
Since step 1.6 gives , the weak-star closure of in equals its closure in the subspace : an ambient neighborhood and its trace meet in exactly the same way at points of . The homeomorphism in step 1.3 carries weak closure to subspace weak-star closure, so . Its inverse restricted to the compact set is continuous, and [F9] makes weakly compact. Thus is relatively weakly compact.
Step 3.1 proves relative weak compactness implies relative weak sequential compactness, step 1.5 proves sequential compactness implies countable compactness, and step 4.1 proves countable compactness implies compactness. Together with the empty and zero-space cases in step 1.2, this proves all three conditions equivalent over both scalar fields. The ultrafilter lemma is spent in steps 1.6 and 2.2 through [F6] and Alaoglu; DC is spent in [F6] and locally at step 1.1; HB is spent in [F2], [F3], [F6] and the canonical isometry in step 1.3.
Source notes
Haase's Theorem E.17, printed pp. 355–356, gives the canonical embedding into and the compact/sequential equivalence; Theorems E.2–E.3 and E.14 on printed pp. 345–347 and 354–355 supply its complete pointwise- compactness route. The local lemma [F6] contains that argument with BPI, DC and HB exposed. The proof here additionally derives DC from finite histories before using [F3], rather than consuming the unproved bibliographic remark in the choice definitions.
Depends on
- Relative weak compactness and three sequential notions
- Weak topology on a normed space
- The weak-star topology from finite evaluations
- Eberlein–Šmulian separable reduction
- Eberlein–Šmulian metrization on the relevant dual ball
- Countable compactness closes in the bidual
- Banach–Alaoglu
- Relative Hahn–Banach makes the canonical bidual map an isometry
- The axiom of dependent choice: a relation in which every element is related to something admits an $\mathbb{N}$-indexed chain
- The Axiom of Countable Choice ($\mathrm{AC}_\omega$)
- The real dominated-extension principle as an additional hypothesis over ZF
- A closed subspace of a compact space is compact, and a finite union of compact subspaces is compact
- In any metric space compactness implies countable compactness and limit point compactness, and each of countable compactness and limit point compactness implies sequential compactness; every implication here is proved without a choice principle
- A continuous image of a compact space is compact; a continuous real-valued map on a nonempty compact space attains a maximum and a minimum; and a continuous bijection from a compact space to a Hausdorff space is a homeomorphism
- A strictly increasing index map satisfies $n_k \ge k$
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Sources
- Haase, The Functional Analysis of Quantum Information Theory (standard reference, not scraped)