Abstract
It is known that no two roots of the polynomial equation
where \(0 < r_1 \le r_2 \le \cdots \le r_n\), can be equal and the gaps between the roots of (1) in the upper half-plane strictly increase as one proceeds upward, and for \(0< h< r_k\), the roots of
and the roots of (1) in the upper half-plane lie alternatively on the imaginary axis. In this paper, we study how the roots and the critical points of (1) and (2) are located.
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1 Introduction
There is an extensive literature concerning roots of sums of polynomials. Many authors [5,6,7] have written about these polynomials. Perhaps the most immediate question of sums of polynomials, \(A+B=C\) is: ‘given bounds for the roots of A and B, what bounds can be given for the roots of C?’ By Fell [3], if all roots of A and B lie in \([-1, 1]\) with A, B monic and \(\deg \, A=\deg \, B=n\), then no root of C can have modulus exceeding \(\cot {(\pi /2n)}\), the largest root of \((x+1)^n+(x-1)^n\). This suggests to study polynomials having a form something like \(A(x)+B(x)\), where all roots of A(x) are negative and all roots of B(x) are positive.
All (conjugate) roots of the polynomial equation (1) lie on the imaginary axis. Kim [4] showed as follows.
Theorem 1
[4]. No two roots of (1) can be equal and the gaps between the roots of (1) in the upper half-plane strictly increase as one proceeds upward.
Given a polynomial f(x), all of whose roots are real, if we move some of the roots, the critical points also change. A fundamental result in this area is the polynomial root dragging theorem [1] that explains the change qualitatively.
Theorem 2
(Polynomial root dragging theorem). Let f(x) be a degree n polynomial with n real roots. When we drag some or all of the roots a distance at most \(\epsilon \) to the right, the critical points will all follow to the right, and each of them will move less than \(\epsilon \) units.
Possibly the first question about the polynomial equation (1) in the vein of “root dragging” is how the roots and the critical points of (1) and (2) are arranged, and we will obtain some answers to this question in this paper in section 2. As reference, the polynomial equation (2) is still in the form of (1) so that its roots lie on the imaginary axis and the gaps between the roots in the upper half-plane strictly increase as one proceeds upward. From this motivation, throughout the paper, we let
where
and
About the roots of p(x) and \(p_h(x)\), Chong and Kim [2] recently proved that if \(0< h< r_k\), their roots in the upper half-plane lie alternatively on the imaginary axis.
Theorem 3
[2] . If \(0< h< r_k,\) then
When we consider \(h <0\) instead of \(0< h< r_k\) in Theorem 3, (3) is replaced by
In section 2, we will state new results in the form of (3) about the roots and the critical points of p(x) and \(p_h(x)\), and section 3 will be devoted to the proofs of all these results.
2 Results and examples
In this section, we state new results, and at the end of the section, we will provide some numerical evidences so that we compare them with our results. First, like (3), the critical points of p(x) and \(p_h(x)\) in the upper half-plane also lie alternatively on the imaginary axis.
Theorem 4
If \(0< h< r_k,\) then
The proof of Theorem 4 will be based on Theorem 2. Another proof for \(s_i' < t_i'\) in the elementary way without using Theorem 2 will also be provided. Next, we compare each root of p(x) with its corresponding root of \(p_h(x)\). From Theorem 3, when \(0< h< r_k\), \(s_i<t_i\) for each i. However we have the following opposite inequality.
Theorem 5
For each i,
where \(h>0\).
The next two theorems are about gaps of the roots of p(x) and \(p_h(x)\).
Theorem 6
For any i and j with \(i>j,\)
Theorem 7
For each i,
Theorem 7 can be easily obtained from Theorems 5 and 6. But we will give another proof of Theorem 7 based on a result in [4] in section 3. This result in [4] will also play a central role in the proofs of Theorem 10 and Theorem 11 below.
The following theorem explains that the gaps between the critical points of p(x) in the upper half-plane strictly increase as one proceeds upward.
Theorem 8
We have
Let f be a polynomial of degree \(n>2\) with only real, simple roots. Then Riesz’s result (see [8]) states that the distance between consecutive roots of f is less than the corresponding quantity associated with \(f'\). In our case, the corresponding inequality is \(s_{2}'-s_1'>s_{2}-s_1\) by Theorems 1 and 8. We do not have a proof for this inequality, but we can prove at least \((s_{2}')^2-(s_1')^2 > s_2^2-s_1^2\). In fact, we prove the general case of this as follows.
Theorem 9
For each i, \(s'^2_{i+1}-s'^2_i>s^2_{i+1}-s^2_i\).
After the proof of the above theorem in Section 3, we will present another elementary proof of \((s_{2}')^2-(s_1')^2 > s_2^2-s_1^2\).
It is not known that \(s_{i+1}'-s_i'>s_{i+1}-s_i\) for each i, but we may prove the following.
Theorem 10
For each i,
Let us denote that all roots on the upper-half plane of the j-th derivative of \(p(x)=\prod \limits _{i=1}^{n}(x-r_i)+\prod \limits _{i=1}^{n}(x+r_i)\) are
where \(s_{(1,j)}< s_{(2,j)}<s_{(3,j)}<\cdots \). Then we finally present Theorem 11.
Theorem 11
For each i, j,
The example below is given to check Theorems 4–10 above with numerical evidences.
Example 12
Consider
Then
and
3 Proofs
We first prove Theorem 4.
Proof of Theorem 4
Let
and
Then
By Theorem 2, the roots
of \(p_{1,h}'(x)\) all follow to the right, and each of them moves less than h units and so for each i,
where the \(r_i'\)s are the roots of \(p_{1}'(x)\). On the one hand, from symmetry, each root of \(p_{2,h}'(x)\) follows to the left with the same distance as that of the corresponding root movement of \(p_{1,h}'(x)\). Then Theorem 3 completes the proof. \(\square \)
Remark 13
We may prove an inequality \(s_i' < t_i'\) for each i in an elementary way without using Theorem 2 as follows. Assume that n is even. Then
Since \(p'(is_i')=0\) for \(1 \le i \le n/2-1\), we choose any i with
and then fix it. By Theorem 1, all roots of p(x) are simple, and
which implies that
In the same way, we have
But by Theorem 3,
for all j. If \(s_i' \ge t_i'\), then
which is a contradiction to
and so \(s_i' < t_i'\). The case n odd can be proved by the same method.
Next we prove Theorems 5, 6, 7. To prove these, we need a lemma.
Lemma 14
For each i,
Proof
Taking a partial derivative with respect to the k-th derivative \(r_k\) of each side of
yields
Since \(\prod _{j=1}^n (s_i i-r_j)+\prod _{j=1}^n (s_i i+r_j)=0\),
So
and
But
and
By Theorem 3, \(\partial s_i/\partial r_k>0\), and comparing (5) and (6) gives
and finally
\(\square \)
Using the above, we prove Theorem 5 and Theorem 6.
Proof of Theorem 5
Consider a function \( f(r_1, r_2, \ldots , r_k, \cdots , r_n) = \dfrac{s_i}{\sqrt{r_k}}\). Then it is enough to show that f is a decreasing function with respect of \( r_k \). To prove this, we partially differentiate f by \( r_k \) and ensure that for all possible \( r_k \), the value of f is less than 0. In this case,
holds, and by Lemma 14,
So for \(r_k>0\),
which concludes the proof. \(\square \)
Proof of Theorem 6
By Lemma 14,
and this increases as i increases, which follows \(t_i^2-s_i^2>t_j^2-s_j^2\) for \(i>j\). \(\square \)
Proof of Theorem 7
Combining these two inequalities completes the proof. \(\square \)
We give another proof of Theorem 7. This proof is basically based on the following proposition from [4]. This proposition will also play a central role in the proofs of Theorem 10 and Theorem 11.
PROPOSITION 15
If \(\alpha _j(s_k)\) denotes the angle formed at the real number \(r_j\) by the triangle joining \(r_j,\) \(is_k\) and the origin, then the sums
for \(k=\lfloor n/2 \rfloor , \ldots , 2, 1\) are, respectively, the numbers
where \(c=0\) if n is odd and \(c=1\) if n is even. In particular, these are independent of the \(r_j\)’s. Moreover, for each k,
We give Lemmas 16–20 for another proof of Theorem 7.
Lemma 16
Let r be a fixed positive number, and ia, ib the purely imaginary numbers above the real axis, where \(b-a=m\) is a fixed positive number. Let O, R, A and B be the points in the complex plane that represent the origin, r, ia and ib, respectively. Then \(\angle ARB\) is increasing as a is decreasing.
Proof
Since
\(\tan (\angle ARB)\) is a decreasing function of a, and \(\angle ARB\) is increasing as a is decreasing. \(\square \)
Recall, from p(x), if we shift \(r_l\) to the right by a distance h and \(-r_l\) to the left by h where \(0<h<r_l\), then a zero \(is_i\) of p(x) is shifted to \(it_i\) and so is \(is_{i+1}\) to \(it_{i+1}\). Let \(R_l\), \(R_{l,h}\), \(S_i\), \(S_{i+1}\), \(T_i\) and \(T_{i+1}\) be the points that represent \(r_l\), \(r_l+h\), \(is_i\), \(is_{i+1}\), \(it_i\) and \(it_{i+1}\), respectively. We also denote by \(S_i^*\) and \(S_{i+1}^*\) the points so that \(S_{i}R_l\) and \(S_{i+1}R_l\) are parallel to \(S_{i}^*R_{l,h}\) and \(S_{i+1}^*R_{l,h}\), respectively. The points \(S_i^*\) and \(S_{i+1}^*\) will correspond to the purely imaginary numbers \(is_i^*\) and \(is_{i+1}^*\), respectively.
Then it is obvious that
and by Theorem 3,
Lemma 17
For each i,
Proof
We consider two sums of angles
and
which is obtained after dragging \(r_l\) by a distance h (\(0<h<r_l\)) to the right. Then by Proposition 15, we see that
Since \(OT_i>OS_i\), we have \(\angle T_i R_j O>\angle S_i R_j O\) for every \(j \ne l\), and so
i.e., \(\angle T_i R_{l,h} O<\angle S_i R_l O\). This implies that
\(\square \)
Remark 18
Since the triangles \(\bigtriangleup S_iR_lO\) and \(\bigtriangleup S_i^*R_{l,h}O\) are similar,
By the above lemma, \(t_i<s_i \frac{r_l+h}{r_l}\), which implies that
Lemma 19
If \(s_{i+1}-s_i>t_{i+1}-t_i,\) then
Proof
Let \(R_j\) denote the point for representing \(r_j\). By Proposition 15,
and so
But it follows from by Lemma 16 and \(s_{i+1}-s_i>t_{i+1}-t_i\) that for any j with \(j\ne l\),
So
because \(S_{i}R_l\) and \(S_{i+1}R_l\) are parallel to \(S_{i}^*R_{l,h}\) and \(S_{i+1}^*R_{l,h}\), respectively. Due to the inequalities \(t_i<s_i^*\) and \(t_{i+1}<s_{i+1}^*\), there are two possible ways of ordering four points \(T_i, S_i^*,T_{i+1}, S_{i+1}^*\). These possible orders are, starting from the origin,
and
When \(s_i^*<t_{i+1}\), subtracting the angle \(\angle T_{i+1} R_{l,h} S_i^*\) on each side of (8) induces
When \(t_{i+1}<s_i^*\), by adding the angle \(\angle T_{i+1} R_{l,h} S_i^*\) on each side of (8), we get the same inequality. \(\square \)
Lemma 20
If \(s_{i+1}-s_i>t_{i+1}-t_i,\) then
Proof
By Lemma 17,
So
Let X be the point below \(S_{i+1}^*\) that represents a pure imaginary number ix above the real axis so that
Then
and
Using tangent formula for \(\tan (a-b)\), we may get
and so
and
Solving this in x easily gives
By assumption,
which implies that
So
But due to the similarity of two triangles \(\bigtriangleup R_l O S_{i+1}\), \(\bigtriangleup R_{l,h}OS_{i+1}^*\) and \(\bigtriangleup R_l O S_{i}\), \(\bigtriangleup R_{l,h}OS_{i}^*\), respectively, we have
and so
and
Thus
Write \(\dfrac{r_l+h}{r_l}=p\) so that
and solving this gives
We now repeat the above process from setting the point Y below \(S_{i}^*\) for a purely imaginary number iy above the real axis such that
Then using \(y>t_i\), it can be shown that
Adding each side of (9) and (10) gives
which completes the proof. \(\square \)
We are now ready to give another proof of Theorem 7.
Another proof of Theorem 7. If \(s_{i+1}-s_i\le t_{i+1}-t_i\), then (7) holds because \(\frac{r_l+h}{r_l}>1\). Suppose that \(s_{i+1}-s_i > t_{i+1}-t_i\). Then by Theorem 6,
But Lemma 20 gives
and so we obtain the inequality
which concludes the proof. \(\square \)
Proof of Theorem 8
Let
and
Then
The roots of \(p_1'(x)\) lies between the roots of \(p_1(x)\) and
By symmetry,
Then Theorem 1 asserts the result. \(\square \)
Proof of Theorem 9
Consider two polynomials
Then we may regard p(x) as a dragged polynomial from \(xp'(x)/(2n)\), dragging from 0 to \(r_1\) and from \(r_j'\) to \(r_{j+1}\) for \(1\le j \le n-1\), since each \(r_j'\) lies between \(r_{j}\) and \(r_{j+1}\). This directly leads to the theorem because the square gap increases when dragged by Theorem 6. \(\square \)
Another proof of \((s_{2}')^2-(s_1')^2 > s_2^2-s_1^2\). Assume n is even. By (4), it suffices to show that for any i with \(1\le i \le n/2-1\),
Observe that
Let \(is_{i}'\) and \(i s_{i+1}'\) be successive two zeros of \(p'(x)\) in the upper half plane. Suppose
for all \(1\le l \le n/2-1\). Then
since both \(-(s_{i+1}')^2+s_{l+1}^2\) and \(-(s_{i}')^2+s_{l}^2\) are either positive or negative. But
and so
Since
it follows from (11) that the right hand side of the equality (12) is negative, which is a contradiction. This implies that
for some l, \(1\le l \le n/2-1\). By Theorem 1,
The case n odd can be proved in the same way. \(\square \)
Using Proposition 15, we will prove Theorem 10 and Theorem 11. The below lemma will be useful for the proof of Theorem 10.
Lemma 21
On xy-plane, let \(X_1,\, X_2,\, \ldots ,\, X_n\) be distinct points on the x-axis, and \(A,\, B,\, C,\, D\) distinct points on the positive y-axis such that for some positive numbers \(\phi \), \(\phi '\) and c with \(\phi \le \phi '\) \(,\)
Then \(AC<BD\).
Proof
From the conditions, it is obvious that
Since \(\sum \nolimits _{j=1}^{n} \angle AX_jO<\sum \nolimits _{j=1}^{n} \angle BX_jO\), we have \(OA<OB\) and similarly, \(OC<OD\). Now, suppose \(AC>BD\). Then, for all j, \(\angle AX_jC>\angle BX_jD\) by Lemma 16. Then, \(c=\sum \nolimits _{j=1}^{n} \angle AX_jC>\sum \nolimits _{j=1}^{n-1} \angle BX_jD=c\), which leads to a contradiction. \(\square \)
Proof of Theorem 10
Assume that n is even. We recall that \(is_1,\, is_2,\, \ldots ,\, is_{n/2}\) are roots on the upper half-plane of
and \(S_1,\, S_2,\, \ldots ,\, S_{n/2}\) represent the points \(is_1,\, is_2,\, \ldots ,\, is_{n/2}\), and \(R_1, \, R_2,\, \ldots ,\, R_{n}\) represent the points \(r_1,r_2,\ldots , r_{n}\) on the complex plane, respectively. We now consider the polynomial
and say their roots that are not on the lower half-plane are \(0, iu_1, iu_2,\ldots , iu_{n/2-1}\) with the corresponding points \(O,\, U_1,\, U_2,\, \ldots , \, U_{n/2-1}\) on the complex plane. Then using Proposition 15, we may compute that for each i,
As \(S_i,\, S_{i+1},\, U_i, \,U_{i+1}\) satisfy the conditions of Lemma 21, we see that \(U_iU_{i+1}>S_iS_{i+1}\), which means
We now consider relations between \(u_{i+1}-u_i\) and \(s_{i+1}'-s_{i}'\). The polynomial
with the roots \(0, \,is_1', \, is_2', \, \ldots , \, is_{n/2-1}'\) that are not on the lower-half plane is a dragged polynomial from
So by Theorem 7, we get
Combining this with (13) gives
which is desired. The case n odd can be proved in the same way. \(\square \)
The two lemmas below will be used to prove Theorem 11.
Lemma 22
For two points \(X_1,\) \(X_2\) on the x-axis and a point Y on the y-axis that are not the origin, if \(OX_1<OX_2,\) \(\angle YX_1O>YX_2O\).
Proof
Since \(\tan (\angle YX_1O)=\dfrac{OY}{OX_1}\) and \(\tan (\angle YX_2O)=\dfrac{OY}{OX_2}\), we have
This completes the proof because both angles are less than \(\pi /2\). \(\square \)
Lemma 23
Let \(f(x)=\prod _{j=1}^{n}(x-a_j),\) where \(a_1<a_2<\dots <a_n\), and its inflection points are \(a''_1,\, a''_2, \, \ldots ,\, a''_{n-2}\) in ascending order. Then for all i, we have
Proof
By Rolle’s theorem, for each i,
which follows the result. \(\square \)
Let us denote that all roots on the upper-half plane of the j-th derivative of \(p(x)=\prod \nolimits _{i=1}^{n}(x-r_i)+\prod \nolimits _{i=1}^{n}(x+r_i)\) are
where \(s_{(1,j)}< s_{(2,j)}<s_{(3,j)}<\ldots \).
Proof of Theorem 11
We note that
for some integers \(k_1\) and \(k_2\), where \(r'_i\)s are the critical points of the polynomial \(\prod \nolimits _{i=1}^{n}(x-r_i)\) and \(r''_i\)s are the inflection points of \(\prod \nolimits _{i=1}^{n}(x-r_i)\) . Now, we denote the corresponding points on the complex plane to \(s_{(i,1)}\) and \(s_{(i,2)}\) by \(S'_i\) and \(S''_i\), respectively. Let
Then by Proposition 15,
and
since n and \(n-2\) have the same parity. Now, by Lemma 23, \(OR_{j+2}>OR''_j\), so Lemma 22 leads to
for all j with \(1\le j\le n-2\), and summing up similar angles we get
Since \(\angle S_{i+1}R_jO<\dfrac{\pi }{2}\), we have
by (14), and
But \(\sum \nolimits _{j=1}^{n-2}\angle S''_{i}R''_jO=\phi \) and so
This inequality directly leads to \(OS''_i<OS_{i+1}\), and
Similarly, by Lemma 23, \(OR''_j>OR_j\) and Lemma 22 leads to
for all j. Summing up all the similar angles we get
Since \(\angle S_iR_jO>0\), we have
But \(\sum \limits _{j=1}^{n-2}\angle S''_{i}R''_jO=\phi \), so
This inequality directly leads to \(OS''_i>OS_i\), and
Thus by (15) and (16), we have
and in fact we may generalize this to
\(\square \)
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Kim, SH., Kim, S.Y., Kim, T.H. et al. Root and critical point behaviors of certain sums of polynomials. Proc Math Sci 128, 23 (2018). https://doi.org/10.1007/s12044-018-0402-7
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DOI: https://doi.org/10.1007/s12044-018-0402-7