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Sequential characterization of compact operators

Statement

Facts & Assumptions

[A1]

T is compact exactly when T(B‾X)‾ is a compact subset of Y, where B‾X={x∈X:∥x∥≤1} (Compact linear operator).

[A2]

Assume ACω and DC. For a metric space (M,d), compactness, countable compactness, limit point compactness, sequential compactness and "complete and totally bounded" are equivalent; only "sequentially compact implies totally bounded" spends DC and only "complete and totally bounded implies compact" spends ACω, so every other implication is a theorem of ZF (For a metric space, compact, countably compact, limit point compact, sequentially compact, and complete together with totally bounded are all equivalent, given countable choice and dependent choice).

[A3]

In ZF, DC implies ACω (Dependent choice implies countable choice); and DC is the statement that for every nonempty set X, every relation R on X entire on X and every a∈X there is x:N→X with x0=a and xnRxn+1 for all n (The axiom of dependent choice: a relation in which every element is related to something admits an N-indexed chain).

[A4]

A subset A of a metric space is bounded when A=∅ or A⊆B(x0,r) for some point x0 and real r>0 (Bounded subset, diameter, distance from a point to a set, and distance between two sets in a metric space, Open ball, closed ball and sphere in a metric space).

[A5]

In a normed space, ∥x∥≤R implies x∈RB‾X; convergence is metric convergence for d(y,y′)=∥y−y′∥; a set F⊆Y is closed exactly when F=F‾; for nonempty A the closure is A‾={y:d(y,A)=0}; and the closure of A is contained in every closed set containing A (A norm on a real vector space, the induced metric, and the dictionary with the metric axioms, Realification preserves a complex norm and its metric, Convergence of a sequence in a metric space: xk→x iff d(xk,x)→0 in R, The closure of a nonempty A is {x:d(x,A)=0}, equals A together with its limit points, and is the smallest closed superset).

Proof

technique · direct

Given: DC, normed spaces X,Y over one scalar field, a bounded linear T:X→Y, and the notation B‾X={x:∥x∥≤1}.

1.1A4A5algebra

Suppose T compact and let (xk) be a bounded sequence in X. By [A4] the range {xk} is empty or contained in some ball B(x0,r); because ∥xk∥≤∥xk−x0∥+∥x0∥ for every k, there is a real R≥0 with ∥xk∥≤R for all k (if the range is empty take R=0), and then Txk∈R T(B‾X)‾ for every k, because xk∈R B‾X and T is linear.

1.2A3A5

Conversely assume every bounded sequence in X has a subsequence whose T-images converge, and put C:=T(B‾X)‾. Let (yk) be a sequence in C. For each k the set Sk:={x∈B‾X:∥yk−Tx∥<1/(k+1)} is nonempty, because yk∈T(B‾X)‾, the set T(B‾X) is nonempty, and [A5] then gives a point of T(B‾X) within 1/(k+1) of yk; selecting xk∈Sk for every k is a countable selection from nonempty sets, which [A3] licenses.

2.1step 1.1A1A2

By [A1] the set T(B‾X)‾ is compact, and multiplication by the scalar R is continuous, so R T(B‾X)‾ is a compact subset of Y (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); by [A2] its metric subspace is sequentially compact, so the sequence (Txk) of [step 1.1] has a subsequence converging in Y.

2.2step 1.2A4A5

The sequence (xk) of [step 1.2] is bounded, since its range lies in B‾X; by hypothesis some subsequence (xkj) has Txkj→y for some y∈Y, and since every Txkj lies in T(B‾X)⊆C while C is closed, [A5] gives y∈C.

3.1step 2.1

Therefore compactness of T implies the stated sequential property for every bounded sequence.

3.2step 1.2step 2.2algebra

Along that subsequence ∥ykj−y∥≤∥ykj−Txkj∥+∥Txkj−y∥<1/(kj+1)+∥Txkj−y∥, and both terms tend to 0, so ykj→y with y∈C.

4.1step 3.2A1A2∎

Thus every sequence in C has a subsequence converging in C, that is, C is sequentially compact; by [A2] C is compact, and then T is compact by [A1].

Depends on

Dependency tree · 2 levels

Sources