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James reflexivity theorem

Statement

Assume the ultrafilter lemma, the Axiom of Dependent Choice (DC), and the relative Hahn–Banach principle HB. A real or complex Banach space X is reflexive if and only if every fX attains its norm on the closed unit ball: there is xBX with f(x)=f. This includes X={0}.

Facts & Assumptions

Given: the ultrafilter lemma, DC, HB, and a real or complex Banach space X.

[F1]

Reflexivity is surjectivity of the canonical map JX:XX; under HB the canonical map is an isometry (Reflexivity is surjectivity of the canonical map, Relative Hahn–Banach makes the canonical bidual map an isometry).

[F2]

Under HB, every bounded scalar-linear functional on a scalar-linear subspace of a normed space has a norm-preserving extension (Relative norm-preserving Hahn–Banach extension over the real and complex fields, The real dominated-extension principle as an additional hypothesis over ZF).

[F3]

Under DC and HB, and under the ultrafilter lemma for its nonreflexive consequence, the James convex-block criterion says that every nonreflexive real Banach space has a bounded real functional that does not attain its norm (James convex-block norm-attainment criterion, The axiom of dependent choice: a relation in which every element is related to something admits an N-indexed chain, Assuming the ultrafilter lemma, an arbitrary product of compact Hausdorff spaces is compact).

[F4]

The continuous dual consists of bounded scalar-linear functionals and its norm is the supremum on the closed unit ball; a Banach space is complete for its norm (The dual space X^* of a normed space and its dual norm, Banach space).

Proof

Proof technique: Hahn–Banach representation for the forward implication, then contrapositive and realification for the reverse implication.

1.1

Suppose X is reflexive and let fX. If f=0, then x=0BX attains its norm. If f0, define g on the one-dimensional scalar-linear subspace spanK{f}X by g(cf)=cf. Then g(cf)=cf, so g=1. By [F2] it extends to GX with G=1. Reflexivity and [F1] give xX with G=JXx and x=G=1. Hence f(x)=G(f)=f, so f attains its norm on BX.

F1F2F4given
1.2

For the reverse implication, first suppose that X is real and every member of X attains its norm. If X were nonreflexive, [F3] would supply zX that attains its norm nowhere on BX, a contradiction. Thus X is reflexive.

F3givenassume-contradischarge-contradiction
1.3

Now suppose X is complex and every complex-linear member of X attains its norm. Let XR be the same additive normed space with scalars restricted to R. It remains a real Banach space because its norm and Cauchy sequences are unchanged. For u(XR) define fu(x)=u(x)iu(ix). Real linearity gives fu(ix)=ifu(x), hence fu is complex linear, and Refu=u. The inequalities ufu and fuu follow respectively from u=Refu and, for each x, choosing a unit scalar a with afu(x)=fu(x) and observing fu(x)=u(ax). Thus fu=u.

F4constructalgebra
2.1

By hypothesis, fu attains its norm at some xBX. Choose a unit scalar a with afu(x)=fu(x) (take a=1 if the value is zero). Then axBX and u(ax)=Refu(ax)=Re(afu(x))=fu=u. Hence every member of (XR) attains its norm. The real implication in step 1.2 shows that XR is reflexive.

step 1.2step 1.3givenalgebra
3.1

To pass back to the complex space without an unproved slogan, let HX be complex linear. For u(XR) put U(u)=ReH(fu). Step 1.3 makes U a bounded real-linear functional on (XR), with U(u)Hu. Real reflexivity from step 2.1 supplies xXR such that U(u)=u(x) for every real-dual u. If fX and u=Ref, then the formula in step 1.3 gives fu=f, so ReH(f)=Ref(x). Apply the same equality to the complex functional if: complex linearity gives ReH(if)=ImH(f) and Re(if(x))=Imf(x). Thus H(f)=f(x)=JXx(f) for every fX. Therefore JX is onto and X is complex-reflexive.

F1step 1.3step 2.1algebra
4.1

Steps 1.1 and 1.2 prove both implications over the reals; steps 1.3–3.1 prove the complex reverse implication, while step 1.1 already covers the complex forward implication. If X={0}, its dual and bidual are zero and the unique functional attains norm zero at zero. The forward implication uses only HB; UL and DC enter the reverse implication exactly through [F3].

step 1.1step 1.2step 1.3step 2.1step 3.1F1F2F3

Source notes

Megginson's Theorem 1.13.14 proves the real contrapositive through the full convex-block argument. Theorem 1.13.15, printed p. 134, passes from complex norm attainment to real norm attainment using fu(x)=u(x)iu(ix) and a unit-modulus rotation. The final passage from real reflexivity to complex reflexivity is expanded here by representing an arbitrary complex bidual functional and recovering both of its scalar parts.

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