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Eberlein–Šmulian theorem

Statement

Assume the ultrafilter lemma, the Axiom of Dependent Choice (DC), and HB. For every subset A of a real or complex Banach space X, the following are equivalent:

  1. A is relatively weakly compact;
  2. A is relatively weakly sequentially compact;
  3. A is relatively weakly countably compact.

All closures, limits, cluster points, and compactness assertions use the weak topology σ(X,X∗) and the ambient space X.

Facts & Assumptions

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

[F1]

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).

[F2]

Under HB, the closed scalar span of one sequence in X is a separable Banach subspace, is weakly closed in X, and its intrinsic weak topology is the relative ambient weak topology (Eberlein–Šmulian separable reduction).

[F3]

Assuming ACω and HB, every weakly compact subset of a separable normed space is weakly metrizable (Eberlein–Šmulian metrization on the relevant dual ball).

[F4]

DC gives a chain through every entire relation from a prescribed initial state, whereas ACω 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 N-indexed chain, The Axiom of Countable Choice (ACω)).

[F6]

Under the ultrafilter lemma, DC and HB, a relatively weakly countably compact A is norm bounded and satisfies JX(A)‾ w∗⊆JX(X) (Countable compactness closes in the bidual).

[F7]

Under the ultrafilter lemma, the closed unit ball of the dual of any normed space is weak-star compact (Banach–Alaoglu).

[F8]

The weak and weak-star topologies are initial for their scalar evaluations, and under HB the canonical map JX:X→X∗∗ 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).

[F10]

Strictly increasing natural-number indices satisfy nk≥k (A strictly increasing index map satisfies nk≥k), and HB is the named dominated-extension principle (The real dominated-extension principle as an additional hypothesis over ZF).

Proof

technique · prove the cycle compact $\Rightarrow$ sequential $\Rightarrow$ countable $\Rightarrow$ compact
1.1F4construct

We first derive the exact choice fragment needed by [F3], rather than citing the unproved remark that DC implies ACω. Given any sequence (En)n∈N of nonempty sets, let S be the set of all finite histories s with domain n for some n and s(k)∈Ek for k<n. The empty history belongs to S. Relate s to t when t extends s by exactly one value from Edom⁡s. The relation is entire because that next set is nonempty. DC from the empty history gives a chain (sn) with sn of length n and sn+1 extending sn; its union is a function f on N with f(n)∈En. Thus the assumed DC proves the instance of ACω required below.

1.2F1F8algebra

If A=∅, its weak closure is empty and compact and there is no sequence in A, so all three conditions hold. If X={0} and A≠∅, then A={0}, 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.

1.3F8F10

The evaluation identity JXx(u)=u(x) shows from [F8] that JX:(X,σ(X,X∗))→(JX(X),σ(X∗∗,X∗)∣JX(X)) 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 JX injective through its isometry, so it is a homeomorphism onto its image.

1.4F1F2

Assume A is relatively weakly compact and let (an) be a sequence in A. Put C=A‾ w and let Y be the norm-closed scalar span of the sequence. By [F1], C is weakly compact, and by [F2], Y is a separable Banach subspace, weakly closed in X, with its intrinsic weak topology equal to the relative ambient weak topology. Set K=C∩Y, which contains every an.

1.5F1F10

Assume A is relatively weakly sequentially compact and let (an) be any sequence in A. Take strictly increasing indices (nk) and x∈X with ank→x weakly. Given a weak neighborhood U of x and N∈N, convergence gives k0 with ank∈U for k≥k0; for k≥max⁡{k0,N}, [F10] gives nk≥k≥N. Thus U contains an arbitrarily late term of the original sequence, so x is its weak cluster point and A is relatively weakly countably compact.

1.6F6

Assume A is relatively weakly countably compact. By [F6], choose R≥0 with ∥a∥≤R for every a∈A and put D=JX(A)‾ w∗⊆X∗∗; then D⊆JX(X).

2.1F2F9step 1.4

In the situation of step 1.4, K is weakly closed in the compact space C, because Y is weakly closed in X. Hence [F9] makes K compact, and [F2] identifies this topology with its intrinsic relative weak topology as a subset of the separable space Y.

2.2F7F8F9step 1.6

In the situation of step 1.6, apply [F7] to the normed space X∗: its dual unit ball BX∗∗ is weak-star compact. Fixed scalar multiplication SR(z)=Rz is weak-star continuous by [F8], since every evaluation of SRz is R times the corresponding evaluation of z. Therefore [F9] makes RBX∗∗=SR[BX∗∗] weak-star compact, including R=0, when it is the singleton {0}.

3.1F2F3F5step 1.1step 2.1

By step 1.1 the assumptions of [F3] hold, so step 2.1 makes K a compact metric space in its weak topology. The choice-free implication [F5] gives a subsequence of (an) converging to a point of K in that metric, hence weakly in Y and, by [F2], weakly in X. Since the original sequence was arbitrary, A is relatively weakly sequentially compact.

3.2F8F9step 1.6step 2.2

The set D from step 1.6 lies in RBX∗∗. Indeed, for z∈D, u∈X∗ and ε>0, the weak-star neighborhood {w:∣(w−z)(u)∣<ε} meets JX(A), so some a∈A satisfies ∣z(u)∣<∣u(a)∣+ε≤R∥u∥+ε. If ∣z(u)∣>R∥u∥, taking half the positive gap as ε is a contradiction; hence ∣z(u)∣≤R∥u∥ for every u, including u=0, and ∥z∥≤R. The closure D is weak-star closed in X∗∗, so it is closed in the compact subspace RBX∗∗ and therefore compact by [F9].

4.1F1F6F9step 1.3step 1.6step 3.2

Since step 1.6 gives D⊆JX(X), the weak-star closure of JX(A) in X∗∗ equals its closure in the subspace JX(X): an ambient neighborhood and its trace meet JX(A) in exactly the same way at points of JX(X). The homeomorphism in step 1.3 carries weak closure to subspace weak-star closure, so D=JX(A‾ w). Its inverse restricted to the compact set D is continuous, and [F9] makes A‾ w=JX−1[D] weakly compact. Thus A is relatively weakly compact.

5.1F1F2F3F4F6F7F8F10step 1.2step 1.5step 3.1step 4.1∎

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 Cp(BX∗) 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 ⇒ ACω from finite histories before using [F3], rather than consuming the unproved bibliographic remark in the choice definitions.

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