Diophantine approximation with nonsingular integral transformations
S.G. Dani, Arnaldo Nogueira

TL;DR
This paper studies how well points in a high-dimensional space can be approximated by orbits of integer matrices with positive determinant, establishing a specific approximation exponent for most points outside a null set.
Contribution
It introduces a new Diophantine approximation result for orbits under nonsingular integral matrix transformations, identifying the approximation exponent for generic points.
Findings
Approximation exponent is (n-p)/p for almost all points outside a null set.
The effectiveness of approximation depends on the Diophantine properties of the initial point.
The results extend classical Diophantine approximation to matrix orbits in higher dimensions.
Abstract
Let be the multiplicative semigroup of all matrices with integral entries and positive determinant. Let and ( copies). We consider the componentwise action of on . Let be such that is dense in . We discuss the effectiveness of the approximation of any target point by the orbit , in terms of , and prove in particular that for all in the complement of a specific null set described in terms of a certain Diophantine condition, the exponent of approximation is ; that is, for any , for infinitely many .
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Taxonomy
TopicsMathematical Dynamics and Fractals · Analytic Number Theory Research · semigroups and automata theory
Diophantine approximation with nonsingular integral transformations
S.G. Dani and Arnaldo Nogueira
2010 Mathematics Subject Classification: 11J20, 11J82.
Abstract. Let be the multiplicative semigroup of all matrices with integral entries and positive determinant. Let and ( copies). We consider the componentwise action of on . Let be such that is dense in . We discuss the effectiveness of the approximation of any target point by the orbit , in terms of , and prove in particular that for all in the complement of a specific null set described in terms of a certain Diophantine condition, the exponent of approximation is ; that is, for any , for infinitely many .
1. Introduction
Let , , denote the algebra of all matrices with entries in , and be the multiplicative semigroup of all matrices in with integral entries and positive determinant. Let and ( copies), equipped with the Cartesian product topology. Consider the action of on , given by the natural action on each component, by matrix multiplication on the left. Then for , the -orbit is dense in if and only if there exists no linear combination , where for all and for some , which is a rational vector in ; in fact the assertion holds also for the orbit of the subgroup that is contained in (see [3]; also [2] for the case ), and is implied by it.
When is such that the -orbit is dense, given and one may ask for such that , with a bound on in terms of . There has been considerable interest in the literature in effective results of this kind, for various group actions. In particular it was shown in [7], for , that given an irrational vector in and any target vector there exist a constant and infinitely many in such that ; there are also stronger results proved in [7] under some restrictions on , which we shall not go into here; see also [9], [6] and [4] for analogous results for various actions; it may be mentioned that these results are broader in their framework, but weaker in terms of the exponents involved. Here we describe some results along this theme for the action of as above; for the case the result is stronger in import than the result recalled above for , in the sense that for almost all initial points the corresponding statement holds for all less than , in place of for ; see also Remark 4.3.
In the sequel we denote by the subring of consisting of all matrices with entries in . For any , where , the maximum of the absolute values of the coordinate entries of , , is called the norm of and will be denoted by ; for a matrix , the norm is defined to be the norm of the -tuple formed by its column vectors, or equivalently the maximum of the absolute values of the entries. For any and a -tuple we denote by the -tuple .
We prove the following:
Theorem 1.1**.**
Let and , with linearly independent vectors in Let be such that
[TABLE]
and let . Then for any and there exists a such that
[TABLE]
It is easy to see that for any for which condition (1.1) holds the subspace of spanned by contains no nonzero rational vector.
It would be instructive to understand when condition (1.1) holds, in terms of classical notions in Diophantine approximation. Towards this we introduce the following definition.
Definition 1.2**.**
Let and . We define the homogeneous exponent of , denoted by , to be the infimum of for which there exists a such that for all . **
We note that a with linearly independent, as above, can be realised, up to a permutation of the indices, as a matrix , where is a real matrix and a real nonsingular matrix. It turns out that then the homogeneous exponent as above coincides with the exponent of in the classical sense; see Proposition 4.1.
Corollary 1.3**.**
Let . Let , with linearly independent vectors in , be such that and . Let
[TABLE]
Then for any and any there exists a such that
[TABLE]
Consequently, if then for all there exist infinitely many such that .
In analogy with the classical notion of very well approximable vectors we shall say that is projectively very well approximable if is greater than ; see § 4 for details. From the correspondence with the classical situation noted above, viz. from Proposition 4.1, it follows that the set of projectively very well approximable -tuples has Lebesgue measure [math] in . For convenience we shall also present a direct proof of this statement (see Proposition 4.2). For the tuples that are not projectively very well approximable we have the following.
Corollary 1.4**.**
Let and . Then for any such that are linearly independent and is not projectively very well approximable, and thus for almost all , the following holds: for any and there exist infinitely many such that
[TABLE]
Corollary 1.4 means, in common parlance (see § 5 for details), that for as in the Corollary the exponent of approximation of the action associated to the pair is at least . We shall also show that
Theorem 1.5**.**
For almost all in the exponent is exactly .
The paper is organized as follows. In the next section we prove a result on intersections of affine lattices with certain special sets being nonempty, on which the proof of the main theorem is based. Theorem 1.1 is proved in § 3. In § 4 we discuss the relation between the homogeneous exponent and the classical exponents, and related issues of approximability, and prove Corollaries 1.3 and 1.4. Theorem 1.5 is proved in § 5.
2. A result on affine lattices in
Towards the proof of Theorem 1.1 we first prove in this section a result on intersection of affine lattices in with parallelopipeds, Proposition 2.1. The proof of the proposition is by application of Theorem IV of [10]. Here we consider as a -dimensional vector space over , with a fixed basis . We denote by the lattice consisting of integral vectors with respect to the basis .
Proposition 2.1**.**
Let , with , and let and be vector subspaces of of dimensions and such that Suppose that there exist and such that for any , with and ,
[TABLE]
and let . Let and be compact convex subsets of and respectively, with nonempty interiors in the respective subspaces, and for all let
[TABLE]
Then there exist constants and such that for all and all ,
Proof.
The statement is independent of the norm, and hence by modifying the norm, for convenience, we may assume that for any and we have , and that and are contained in , the open ball in with radius and center at [math].
Let be the Lebesgue measure on such that has measure . We note that if is a compact subset such that the set of differences contains no nonzero point of then .
Now let be arbitrary and and . Consider any , with and . If then
[TABLE]
while on the other hand if then we have . Hence by the condition in the hypothesis does not contain any nonzero element of . Since is a compact subset, by the observation above this implies that .
Let , the smallest integer exceeding . Then by [10], Theorem IV, page 9, for all . We shall deduce from this the desired assertion as in the Proposition.
Let and denote the Lebesgue measures on and respectively such that . There exists such that . Then we have
[TABLE]
where . As and , we have . It follows that the set , which equals , is contained in the set
[TABLE]
and hence also intersects nontrivially for all , for each .
We now show that the desired assertion holds for the choices
[TABLE]
to that end we prove that for any there exists such that the set as above is contained in , which by the preceding observation yields the desired conclusion. Let be given. Since and , and hence there exists such that . For this choice of we have
[TABLE]
as . Applying the observation above for this we get that the corresponding set is contained in and consequently is nonempty for all . This proves the proposition. ∎
3. Proof of Theorem 1.1
The proof will be by application of the Proposition 2.1 to the vector space , realized as with , and identified with . We follow the notation as in the statement of the theorem. Let be as in the hypothesis and let be chosen so that are linearly independent.
For each let be the matrix such that for all , if and [math] otherwise. For each let be the subspace of spanned by . Let and . Then and are vector subspaces, and as are linearly independent it follows that and are of dimensions and respectively and . On we define a (new) norm by setting
[TABLE]
By linear independence of there exists a such that for all ,
[TABLE]
We note also that for with and , we have
[TABLE]
Now let be as in the hypothesis of the theorem and let . Then . By condition (1.1) there exists such that
[TABLE]
We recall that and . In view of (3.1) and (3.2), (3.3) therefore implies that there exists a constant such that for , if , with and , then
[TABLE]
Hence condition (2.1) in the hypothesis of Proposition 2.1 is satisfied for , and as above. We note that in this case as in the Proposition is given by
[TABLE]
with the last term as defined in the statement of the theorem. We shall apply the conclusion of the Proposition in this case for the choices of compact subsets as described below.
Now let , , , be given. Let be the rank of , namely the maximal number of linearly independent ’s; by re-indexing we shall assume, as we may, that are linearly independent.
We shall now first consider the case with for all . Let and be the subspaces defined by
[TABLE]
we note that .
Now let be the (unique) element such that for all and for . Then . Let be its decomposition with and . Let
[TABLE]
Since by assumption are linearly independent, has rank . We can choose with rank , so that , and by adjusting the sign in one of the columns of we can further arrange so that . Using the continuity of the determinant function we conclude that there exist neighbourhoods and of [math] in and respectively, such that for all and ; we shall further choose and to be compact and convex, contained in , and such that ; we note that since the rank of is , in particular it is a non-zero element.
Let , with , be the decomposition of as above. For each let be a compact convex subset of satisfying the following conditions:
i) for , is a compact neighbourhood of [math] in , contained in ;
ii) if , is a compact neighbourhood of in , contained in .
For application of Proposition 2.1 we now choose and . We note that , and are compact convex subsets of and , with nonempty interior in the respective subspaces. Thus the condition in the proposition is satisfied for . As in Proposition 2.1, for any positive real numbers let
[TABLE]
Then by the proposition there exist constants and such that for any and we have We shall also assume, as we may that .
We choose . Let be given. Then and hence there exist and such that . Let , where be the decomposition of in . Then from the definition of the sets we get that for for all and for .
We now show that the inequalities (1.2) as in the theorem hold for this . Consider first . The choice of as the -component of , implies that if and if . Also, by assumption we have for . Together this implies that for all . Also, for these we have , and hence . Thus
[TABLE]
as . Now consider . Then we have , so and since we get
[TABLE]
since . Since by choice , the inequalities (3.4) and (3.5) together imply also that . This shows that the inequalities (1.2) in the statement of the theorem hold for the matrix .
We shall now show that , namely that . Consider the element
[TABLE]
For , , and since is a convex neighbourhood of [math] in it follows that . For we have , and similarly for , . Recalling that is a convex neighbourhood of [math] in we deduce from this that
[TABLE]
Altogether we get that is an element of the form , with and . By the choices of and this implies that . We now note that for , for and for . Since is a basis of this implies that , showing that as sought to be proved. This proves the theorem in the case under consideration, namely when for .
Now consider the general case, with possibly nonzero for . Let , (with zeros inserted). There exists a nonsingular matrix such that . Let . It is straightforward to see that the condition in Theorem 1.1 involving (1.1) holds for in place of . Applying the special case as above to , with in place of , we get that there exists a constant such that for any , there exists such that and . There exists a constant such that for any matrix , , and thus we get
[TABLE]
Choosing such a for in place of we get such that and where . This proves the assertion in the theorem in the general case as well. ∎
4. Homogeneous exponents and projective approximability
Let and . For any natural numbers we denote by the lattice in (notation as in § 1) consisting of elements whose coordinates are integers. We recall that for any the Diophantine exponent , in the classical sense, is the supremum of all such that
[TABLE]
Let be given. For we define
[TABLE]
We note that if for some , there exists such that for all then , and conversely if then there exists such that for all . Thus is the infimum of such that for some we have for all .
Proposition 4.1**.**
Let , , and . Then . In particular is projectively very well approximable if and only if is very well approximable.
Proof.
It is easy to see that the homogeneous exponents of and , where is the identity matrix, are the same. Hence we may assume, as we shall, that .
We now write in the form , with and , expressed canonically. Let be arbitrary. It is easy to see that
[TABLE]
When we have . Hence we get that
[TABLE]
Then is by definition the infimum of ’s for which the middle term in the above inequalities is positive, while by the observation preceding the proposition the infimum of ’s for which the extreme terms are positive is . Hence we get that . This proves the first assertion in the Proposition. The second assertion follows immediate from the first, since being projectively very well approximable is defined by the condition that , while being very well approximable corresponds to . ∎
It is well known that very well approximable matrices (viewed as vectors) in form a set of Lebegue measure [math] in the latter space. From the correspondence as above it follows that the set of projectively very well approximable form a set of [math] Lebesgue measure in . We include here a direct proof of this for the convenience of the reader.
Proposition 4.2**.**
Let . Then the set of in which are projectively very well approximable has Lebesgue measure [math] in .
Proof.
Let and . We denote by be the restriction of the Lebesgue measure on to . Let be given and let . To prove the first assertion of the Proposition clearly it suffices to show that has measure [math].
For let denote the set of matrices in with rank , and the subset consisting of all integral matrices in it. It is straightforward to verify that there exists a constant such that for all with , for any we have
[TABLE]
For any and let
[TABLE]
Then for any and we have , and hence by (4.2) we get
[TABLE]
We fix and for let
[TABLE]
the cardinality of . Then it follows from the second assertion in Theorem 1 of [5] that there exists a positive constant constant such that, for every ,
[TABLE]
Together with (4.3) and (4.4) this implies that for all and we have
[TABLE]
Rewriting the right hand side of the preceding inequality we obtain
[TABLE]
Using the mean value Theorem, we get , thus
[TABLE]
[TABLE]
Since , this shows that . Hence by the Borel-Cantelli lemma for almost all , is contained in for at most finitely many ’s. Hence we get that , as sought to be proved. ∎
Proof of Corollary 1.3:
We follow the notation as in the hypothesis of the Corollary. Let be given. Then there exists such that . We note that . From the definition of the homogeneous exponent this implies that condition (1.1) of Theorem 1.1 is satisfied for . The first statement in the corollary therefore follows immediately from the theorem. Now suppose that and let be given. Let , so . By the first part, there exists a constant such that for every there exists satisfying and ; the latter condition implies that , and hence . Since , it follows that the set of obtained in this way (even corresponding to a sequence of ’s tending to [math]) contains infinitely many distinct elements. This proves the Corollary. ∎
Proof of Corollary 1.4: The corollary follows immediately from Corollary 1.3 and Proposition 4.2. ∎
Remark 4.3**.**
In the case and , namely the -action on , Corollary 1.3 holds for for which . We recall that the result in [7] for the -action is available for all points which are not multiples of rational vectors, without the condition on exponents. Moreover, for for which the value of as in the conclusion exceeds , whereas existence of solutions is assured with by the result in [7] for the action of and hence that of . Thus for with , [7] offers better results; however the set of for which that happens has measure [math]. **
Extending further the correspondence as above, we now discuss the analogue of badly approximable matrices, and their significance to our main theorem.
Definition 4.4**.**
Let and . We say that the matrix is projectively badly approximable if there exists a constant such that for every .**
Badly approximable vectors have been a subject of much study. It would be worth recalling here the following theorem (cf. [11]); see also the note at the end of the section.
Theorem 4.5**.**
For , the set of badly approximable vectors in is a set of Lebesgue null measure, of Hausdorff dimension .
Proposition 4.6**.**
Let and . Let and . Then the matrix is projectively badly approximable if and only if is badly approximable.
Proof.
We shall follow the pattern of the proof of Proposition 4.1. As in that proposition it suffice to prove the assertion here when , the identity matrix, as we shall now assume. We shall follow the notation as in Proposition 4.1. We note that is projectively badly approximable if and only if
[TABLE]
whereas is badly approximable if and only if
[TABLE]
The desired assertion therefore follows from the inequalities (4.1) as in the proof of Proposition 4.1, for the value . ∎
Note: W.M. Schmidt proved (see [11]), apart from Theorem 4.5 as above, stronger results about the class of badly approximable systems of vectors, in various respects. It should be evident to the interested reader that via the connection described in Proposition 4.6, correspondingly stronger results could be deduced for projectively badly approximable systems as introduced above. We shall however not go into the details of this here.
5. Exponent of diophantine approximation
For , where , following [1] and [7] we define the exponent of approximation of the action of , corresponding to the pair , as
[TABLE]
In this section we prove the following result, which is a restatement of Theorem 1.5 stated in the introduction.
Theorem 5.1**.**
Let . Then, for Lebesgue almost every pair , .
Proof.
As the set of pairs such that is a set of full Lebesgue measure in , it follows immediately from Corollary 1.4 that for almost all .
Let with linearly independent vectors in . We shall show that for almost all . The proof of this is along the lines of the proof of the upper bound of the generic density approximation exponent of the linear action of the modular group on given in [8], Section 5.
For and , let . It suffices to show that for any , for almost all . Let be given and . Clearly, for and , if is such that then .
We note that there exists a positive constant such that for all ,
[TABLE]
This follows from Minkowski’s theorem, since for each , the set as above consists of lattice points in , which is a convex symmetric body in the vector space whose Lebesgue measure is , for a suitable constant .
Now let be given, say , where . Let be the standard Lebesgue measure on . We note that for any and we have .
For , let and , the cardinality of . By (5.1) we have
[TABLE]
For all we have
[TABLE]
[TABLE]
[TABLE]
Using that , and we now obtain
[TABLE]
As , it follows that the right hand side term of the above inequality converges as . Thus . Applying the Borel-Cantelli Lemma, we get that the set
[TABLE]
is a null measure set. For any in which is in the complement of this subset there are only be finitely many such that , namely such that , and hence . As this holds for all we get that for any as above, for almost all . Since this holds for all this proves the assertion in the theorem. ∎
Acknowledgements. We graciously acknowledge the support of Région Provence-Alpes-Côte d’Azur through the project APEX Systèmes dynamiques: Probabilités et Approximation Diophantienne PAD, CEFIPRA through the project No. 5801-B and the projet MATHAMSUD No. 38889 DCS: Dynamics of Cantor Systems.
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