Generating Functions

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 464
 Young men should prove theorems,
old men should write books.
— Godfrey Harold Hardy (1877–1947),
A Mathematician’s Apology (1940)

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 465
 Generating Functions
• Let a0 , a1 , a2 , . . . be a sequence of real numbers.
• The function
∞

f (x) = a0 + a1 x + a2 x2 + · · · = ai xi
i=0

is called the generating function for the sequence

{ ai }i=0,1,... .

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 466
 Convergence Issues
• We treat
f (x) = a0 + a1 x + a2 x2 + · · ·
as a formal power series.
• Convergence is not an issue unless
– We substitute a numerical value for x or
– a0 + a1 x + a2 x2 + · · · represents some function rather
than being an asymptotic series of some function.
• These issues will arise but will not lead to problems.a
a N.G.
de Bruijn (1958), Asymptotic Methods in Analysis; George E.
Andrews (1971), Number Theory.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 467
 Examples
(1 + x)n is the generating function for sequence
     
n n n
, ,..., , 0, 0, . . . .
0 1 n
• Because
n  
n n i
(1 + x) = x.
i=0
i

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 468
 Examples (continued)
(1 − xn+1 )/(1 − x) is the generating function for the sequence
n+1
  
1, 1, . . . , 1, 0, 0, . . . .

• Because

(1 − xn+1 )/(1 − x) = 1 + x + x2 + · · · + xn .

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 469
 Examples (continued)
1/(1 − x) is the generating function for

1, 1, 1, . . . .

• Because

1/(1 − x) = 1 + x + x2 + x3 + · · · .

1/(1 − ax) is the generating function for

1, a, a2 , . . . .

• Because

1/(1 − ax) = 1 + ax + (ax)2 + (ax)3 + · · · .

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 470
 Examples (continued)
−(1/x) ln(1 − x) is the generating function fora
1 1 1
1, , , , . . . .
2 3 4
• Because
1 2 1 3 1 4
− ln(1 − x) = x + x + x + x + · · · .
2 3 4
a Corrected by Mr. Tony Yun-Chih Chen (B03902074) on May 7, 2015.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 471
 Examples (continued)
Lemma 65 If f (x) is the generating function for

a0 , a1 , a2 , . . . ,

then f  (x) is the generating function fora

a1 , 2a2 , 3a3 , . . . .

•
∞ ∞
d
f  (x) = ai xi = iai xi−1 .
i=0
dx i=1

a Equivalently, f  (x) is the generating function for { (i +

1) ai+1 }i=0,1,... or xf  (x) is the generating function for { iai }i=0,1,... .

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 472
 Examples (continued)
1/(1 − x)2 is the generating function for

1, 2, 3, 4, . . . .

• 1/(1 − x) is the generating function for 1, 1, 1, . . .

(p. 470).
• As
1 d 1
2
= ,
(1 − x) dx 1 − x
1/(1 − x)2 is the generating function for

1 × 1, 2 × 1, 3 × 1, . . . = 1, 2, 3, . . . ,

as desired.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 473
 Examples (continued)
∞
Lemma 66 If f (x) = i=0 ai xi is the generating function
for
a0 , a1 , a2 , . . . ,
∞ i
then xf (x) = i=1 a i−1 x is the generating function for

0, a0 , a1 , a2 , . . . .

• This operation is called the shift operator in signal

processing or the operator E in difference equations.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 474
 Examples (continued)
(x + 1)/(1 − x)3 is the generating function for the square
numbers
12 , 22 , 32 , 42 , . . . .
• Because
x+1 d x
=
(1 − x)3 dx (1 − x)2
∞
d  i
= ix from p. 473 and p. 474
dx i=1
∞

= i2 xi−1 .
i=1

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 475
 Examples (continued)
Lemma 67 If f (x) is the generating function for

a0 , a1 , a2 , . . .

and g(x) is the generating function for

b0 , b1 , b2 , . . . ,

then f (x) + g(x) is the generating function for

a0 + b 0 , a1 + b 1 , a2 + b 2 , . . . .

• This is because
∞

f (x) + g(x) = (ai + bi ) xi .
i=0

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 476
 Examples (concluded)
As an application,


1 x+1
x +
(1 − x)2 (1 − x)3
is the generating function for the sequence

{ n + n2 }n=0,1,2,...

(see p. 473 and p. 475).

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 477
 Binomial Coefficients Revisited (P. 31)
     
n n−1 n−1
= + .
r r r−1
n
n
• (1 + x) is the generating function for { r }r=0,1,...,n
(p. 468).
• (1 + x)n−1 is the generating function for
n−1
{ r }r=0,1,...,n−1 .
• x(1 + x)n−1 is the generating function for
n−1 n−1 n−1
0, 0 , 1 , . . . , n−1 .
• Finally, (1 + x)n = (1 + x)n−1 + x(1 + x)n−1 .

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 478
 From Generating Function to Sequence
∞ i
Lemma 68 Let f (x) = i=0 a i x be the generating function
for { ai }i=0,1,... . Then

1 d f (x) 
i
ai = i  , i = 0, 1, 2, . . . .
i! dx x=0
• By the Taylor expansion.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 479
 Convolution and Generating Functions

• Let f (x) = ∞ i
i=0 ai x be the generating function for
a0 , a1 , a2 , . . . .
∞
• Let g(x) = i=0 bi xi be the generating function for
b0 , b1 , b2 , . . . .
• Then f (x) g(x) is the generating function for
h0 , h1 , h2 , . . ., where
i

hi = ak bi−k (61)
k=0

called the convolution of ai ’s and bi ’s.a

a Augustin Louis Cauchy (1789–1857), who published more than 800
papers.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 480
 Augustin Louis Cauchy (1789–1857)

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 481
 An Example
• Let f (x) = a0 + a1 x + a2 x2 and g(x) = b0 + b1 x + b2 x2 .
• Then

f (x) g(x) = a0 b0 + (a1 b0 + a0 b1 ) x

+(a2 b0 + a1 b1 + a0 b2 ) x2
+(a2 b1 + a1 b2 ) x3
+a2 b2 x4 .

• The convolution of two finite sequences can be

computed using the fast Fourier transform (FFT).a
a Cooley & Tukey (1965).

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 482
 2n n n 2
Identity n
= k=0 k
for n ∈ Z+ (P. 61)
2n 
   
2n 2n
(1 + x)2n = xi = · · · + xn + · · · ,
i=0
i n
 n   2
2
 n
[ (1 + x)n ] = xi
i=0
i
2n
 i    
  n n
= xi
i=0 k=0
k i−k
n   
n n
= ···+ xn + · · ·
k n−k
k=0
n  2
n
= ···+ xn + · · · .
k
k=0

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 483
 Vandermonde’s Convolution Revisited (P. 49)
   n   
r+s r s
= , n ∈ N. (62)
n k n−k
k=0
r
r k
• (1 + x) = k≥0 k x .
s
s k
• (1 + x) = k≥0 k x .
  
n r s
• (1 + x)r (1 + x)s = n≥0 k=0 k n−k xn .
r s r+s
r+s n
• But (1 + x) (1 + x) = (1 + x) = n≥0 n x .

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 484
 Reciprocal of a Generating Function
∞
Theorem 69 Every generating function f (x) = i=0 ai xi
with a0 = 0 has a unique generating function g(x) such that
f (x) g(x) = 1.
• Let
∞

Δ
g(x) = bi xi ,
i=0
∞

Δ
h(x) = f (x) g(x) = hi xi .
i=0

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 485
 The Proof (concluded)
• By Eq. (61) on p. 480,
i

hi = ak bi−k .
k=0

• By the requirements, h(x) = 1; hence h0 = 1 and

h1 = h2 = · · · = 0.
• First, h0 = 1 = a0 b0 implies that b0 = 1/a0 .
• Inductively, hj = 0 implies that
j
k=1 ak bj−k
bj = − .
a0

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 486
 The Summation Operator
∞
• Let f (x) = i=0 ai xi be the generating function for

a0 , a1 , a2 , . . . .

• Then f (x)/(1 − x) is the generating function of prefix

sumsa
a0 , a0 + a1 , a0 + a1 + a2 , . . . .
−1
∞ i
– Let g(x) = (1 − x) = i=0 x be the generating
function of 1, 1, 1, . . . (p. 470).
– Then f (x) g(x) is the generating function of the said
sum by Eq. (61) on p. 480 with b1 = b2 = · · · = 1.
a Ofman (1963); Stone (1971); Blelloch (1990).

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 487
 1 + 2 + · · · + n = n(n + 1)/2 Revisited (p. 37)
2
∞
• We have g(x) = x/(1 − x) = i=1 ixi (p. 475).
• By the summation operator, f (x) = x/(1 − x)3 is the
generating function for { 0 + 1 + 2 + · · · + i }i=0,1,2,... .
∞
• g (x) = 1/(1 − x) + (2x)/(1 − x) = i=1 ixi−1 + 2f (x)
 2 3
∞
as 1/(1 − x) = i=1 ixi−1 (p. 473).
2


∞ 2 i−1
• Alternatively, g (x) = i=1 i x .
• Combine the above two equations to obtain
∞ ∞
 ∞
   i(i + 1) i
2 i−1 i−1
f (x) = i x − ix /2 = x.
i=1 i=1 i=0
2

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 488
 Generalized Binomial Coefficients
• For n ∈ R, define
 
n Δ n(n − 1) · · · (n − i + 1)
= , (63)
i i!
where i ∈ Z+ .
• For n ∈ R+ ,
 
−n (−n)(−n − 1) · · · (−n − i + 1)
=
i i!
 
n+i−1
= (−1)i . (64)
i
n
• The convention is that 0 = 1.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 489
 Generalized Binomial Coefficients (concluded)
• In particular, by Eq. (64) on p. 489,
   
−1 1 + i − 1
= (−1)i = (−1)i , (65)
i i
   
−2 i 2+i−1
= (−1) = (−1)i (i + 1). (66)
i i

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 490
 n
The Generating Function for { i }i=0,1,2,...
For n ∈ R, the Maclaurin series expansion for (1 + x)n is
(n)(n − 1) 2
(1 + x)n = 1 + nx + x
2!
n(n − 1)(n − 2) 3
+ x + ···
3!
∞  
n i
= x, (67)
i=0
i

where the last equality is by Eq. (63) on p. 489.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 491
 −n
The Generating Function for { i }i=0,1,2,...
For n ∈ R+ , the Maclaurin series expansion for (1 + x)−n is

−n (−n)(−n − 1) 2
(1 + x) = 1 + (−n) x + x
2!
(−n)(−n − 1)(−n − 2) 3
+ x + ···
3!
∞  
n+i−1 i
= (−1)i x (68)
i=0
i
∞  
−n i
= x, (69)
i=0
i

where the last equality is by Eq. (64) on p. 489.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 492
 n+i−1
The Generating Function for { i }i=0,1,2,...
For n ∈ Z+ ,
∞
  
n+i−1
(1 − x)−n = (−1)i (−x)i
i=0
i
∞  
n+i−1 i
= x (70)
i=0
i

from the Maclaurin series expansion for [ 1 + (−x) ]−n and

Eq. (68) on p. 492.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 493
 The Generating Function for {(−1)i (i + 1)}i=0,1,2,...
• (1 + x)−2 = 1/(1 + x)2 is the generating function for
−2
{ i }i=0,1,2,... by Eq. (69) on p. 492.
• But by Eq. (66) on p. 490,
 
−2
= (−1)i (i + 1).
i

• So the answer is (1 + x)−2 .

• Below is an alternative proof.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 494
 The Proof (continued)
• The convolutiona of {(−1)i }i=0,1,2,... and
{(−1)i }i=0,1,2,... is
i
 i

(−1)k (−1)i−k = (−1)i = (−1)i (i + 1).
k=0 k=0

• So {(−1)i (i + 1)}i=0,1,2,... is the convolution of

{(−1)i }i=0,1,2,... and {(−1)i }i=0,1,2,... .
a Recall Eq. (61) on p. 480.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 495
 The Proof (concluded)
• By Eq. (65) on p. 490, The generating function for
 i

(−1) i=0,1,2,... is
1
.
1+x
• So 1/(1 + x)2 is the generating function for our sequence.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 496
 Integer Solutions of a Linear Equation Revisited (P. 85)
n+r−1
There are r integer solutions to

x1 + x2 + · · · + xn = r, xi ≥ 0.

• Note that

f (x) = (x0 + x1 + x2 + · · · + xr )n

= xx1 +x2 +···+xn .
0≤x1 ,x2 ,...,xn ≤r

• The desired number is the coefficient of xr because it

counts the number of ways x1 + x2 + · · · + xn = r.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 497
 The Proof (continued)
• For example, for n = 4 and r = 3,

(x0 + x1 + · · · )(x0 + x1 + x2 + · · · )( x0 + · · · )( x0 + · · · )
= · · · + x3 + · · · .

• Clearly, each solution to the linear equation contributes

one to the coefficient of x3 .

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 498
 The Proof (continued)
• Now,
 n
1 − xr+1
f (x) =
1−x
= (1 − xr+1 )n (1 − x)−n
 r 
 n + i − 1
= (1 − xr+1 )n xi by Eq. (70) on p. 493
i=0
i
r 
 n + i − 1
= xi + xr+1 (· · · ).
i=0
i

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 499
 The Proof (concluded)
• The coefficient of xr is
 
n+r−1
,
r
as desired.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 500
 An Example
14
• There are 10 = 1001 nonnegative integer solutions to

x1 + x2 + x3 + x4 + x5 = 10.

• Now,

(1 − x11 )5 (1 − x)−5
= 1 + 5x + 15x2 + 35x3 + 70x4 + 126x5 + 210x6
+330x7 + 495x8 + 715x9 + 1001x10 + · · · .

• The coefficient of x10 is indeed 1001.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 501
 A Simplified Proof
• For each variable xi , the exponents of the series
1 + x + x2 + · · · represents the possible values for that
variable: 0, 1, 2, . . . .
• The desired number is the coefficient of xr in

(1 + x + x2 + · · · )n .

• Now,
∞ 
 
n+i−1
(1 + x + x2 + · · · )n = (1 − x)−n = xi
i=0
i

by Eq. (70) on p. 493.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 502
 Integer Solutions of a Linear Equation with Upper Bounds
Revisited (P. 445)
• The number of integer solutions of

x1 + x2 + · · · + xn = r,

where 0 ≤ x1 , x2 , . . . , xn < b, was solved on p. 445.

• The solution appears as the coefficient of xr in

(1 + x + x2 + · · · + xb−1 )n .

• For example, for n = 3, r = 3, and b = 3,

(x0 + x1 + x2 )(x0 + x1 + x2 )( x0 + x1 + x2 )
= · · · + x3 + · · · .

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 503
 An Example
• What is the number of positive integers x, where
x ≤ 999, whose sum of the digits equals 20?
• As

(1 + x + x2 + · · · + x9 )3
= (· · · ) + 36x20 + (· · · ),

the answer is 36.

• The same problem was solved more tediously on p. 450
by the principle of inclusion and exclusion.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 504
 Compositions of Positive Integers Revisited (P. 102)
• A composition for m is a sum of positive integers whose
order is relevant and which sum to m.
• Next we use the generating function to reprove the fact
that the number of compositions for m is 2m−1 .
• First, x/(1 − x) = x + x2 + x3 + · · · .
• A summand in a composition can be 1 or 2 or 3 or . . ..
• So the coefficient of xm in [ x/(1 − x) ]i is the number of
compositions with i summands for m.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 505
 Compositions of Positive Integers Revisited
(continued)
• The generating function for the number of compositions
is therefore
∞  i
x
.
i=1
1−x
• Now,
∞  i ∞  i
x x  x
=
i=1
1−x 1 − x i=0 1−x
x 1
= x
1 − x 1 − 1−x
x
= .
1 − 2x

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 506
 Compositions of Positive Integers Revisited
(concluded)
• Observe that
x  2

= x 1 + (2x) + (2x) + · · ·
1 − 2x
= x + 2x2 + 22 x3 + · · ·
∞
= 2i−1 xi .
i=1

• So the number of compositions for m is indeed 2m−1 ,

confirming Theorem 19 (p. 103).

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 507
 Partition of Integers
• We ask for the number of partitions of m ∈ Z+ into
positive integers where the order of summands is
irrelevant.
– Let p(m) denote the number of partitions of m.
– The number of partitions of m = 3 is p(3) = 3 as

3, 2 + 1, 1 + 1 + 1.

• Contrast it with composition on p. 102 and p. 505.

• Observation: The number m can be a sum of a few 1s, a
few 2s, a few 3s, . . ., and a few m’s.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 508
 Partition of Integers (concluded)
• The desired number p(m) is the coefficient of xm in

(1 + x + x2 + · · · )(1 + x2 + x4 + · · · )
(1 + x3 + x6 + · · · ) · · · (1 + xm + x2m + · · · )
1 1 1 1
= · · · . (71)
1−x 1−x 1−x2 3 1−x m

• The generating function for { p(n) }n=0,1,2,... is thereforea

1 1 1
2 3
··· . (72)
1−x 1−x 1−x
a Euler.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 509
 An Example
• Note that
1
(1 − x)(1 − x2 )(1 − x3 )(1 − x4 )(1 − x5 )
= 1 + x + 2x2 + 3x3 + 5x4 + 7x5 + · · · .

• So there are 7 ways to partition 5.a

• Indeed, the partitions are: 5, 4 + 1, 3 + 2, 3 + 1 + 1,
2 + 2 + 1, 2 + 1 + 1 + 1, 1 + 1 + 1 + 1 + 1.
• No known closed-form formulas.b
a In fact, the above also gives p(1), p(2), p(3), and p(4) as bonus!
b Björner & Stanley (1999).

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 510
 Comments on Calculation
• In Eq. (71) on p. 509, we were asked to calculate the
coefficient of xn of
1 1 1 1
··· .
1 − x 1 − x2 1 − x3 1 − xn
• But it is a product of infinite power series!
• The trick is to calculate only
[ 1 + x + x2 + · · · + xn ]
[ 1 + x2 + x4 + · · · + x2n/2 ]
[ 1 + x3 + x6 + · · · + x3n/3 ]
· · · [ 1 + xn ].

• Cut also any terms beyond xn in the process.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 511
 Application: Number of Groupings
• How many ways are there for m identical objects to
form groups?a
• Well, it is the same as the number of partitions of m
into positive integers, i.e., p(m) (p. 508).
– Each partition of m, say

m = m1 + m2 + · · · ,

incurs a grouping of sizes m1 , m2 , . . ., and vice versa.

a The
number of ways for m distinct objects to form groups is the Bell
number (p. 299).

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 512
 Weighted Integer Solutions of a Linear Equation
• What is the number of integer solutions to

x1 + 2x2 + 3x3 + · · · + nxn = n,

where xi ≥ 0?
• For example, the number of solutions for n = 5 is 7:

(x1 , x2 , x3 , x4 , x5 ) ∈ {(5, 0, 0, 0, 0), (3, 1, 0, 0, 0),

(2, 0, 1, 0, 0), (1, 2, 0, 0, 0), (1, 0, 0, 1, 0),
(0, 1, 1, 0, 0), (0, 0, 0, 0, 1)}.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 513
 Weighted Integer Solutions of a Linear Equation
(concluded)
• This problem is the partition-of-integers problem in
disguise.
– Every solution (x1 , x2 , . . . , xn ) implies a partition of
n in which there are xi i’s, and vice versa.
• The desired number is again p(n), the coefficient of xn in
1 1 1 1
···
1 − x 1 − x2 1 − x3 1 − xn
from Eq. (71) on p. 509.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 514
 No Summands Appear More Than Twice
• What is the number of partitions of m ∈ Z+ into positive
integers where no summands appear more than twice?
• The desired number is the coefficient of xm in

(1 + x + x2 )(1 + x2 + x4 )(1 + x3 + x6 )(1 + x4 + x8 ) · · ·

∞ 3i
1 − x3 1 − x6 1 − x9 1 − x12 i=1 (1 − x )
= · · · = ∞
1 − x 1 − x2 1 − x3 1 − x4 i
i=1 (1 − x )
1 1 1 1 1
= ··· .
1 − x 1 − x2 1 − x4 1 − x5 1 − x7
• Same as partitions into positive summands not divisible
by 3.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 515
 Partition of Integers into Distinct Summandsa
• We ask for the number of partitions of m ∈ Z+ into
distinct positive integers.
– Let p# (m) denote the number of such partitions of
m.
– The number of such partitions of m = 3 is p# (3) = 2:
3, 2 + 1.
• The desired number p# (m) is the coefficient of xm in

(1 + x)(1 + x2 )(1 + x3 ) · · · (1 + xm ). (73)

a Euler.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 516
 Partition of Integers into Distinct Summands
(concluded)
• There are no known closed-form formulas for p# (m).
• Can we compute p# (m) in o(m3 ) steps?a
• What is a good upper bound on p# (m)?b
• How fast can we compute all the actual solutions?
a Inthe word model.
b Thanks to a lively discussion on November 29, 2004.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 517
 An Example
• Note that
 2  3  4  5  6
(1 + x) 1 + x 1+x 1+x 1+x 1+x
= 1 + x + x2 + 2x3 + 2x4 + 3x5 + 4x6 + · · · .

• So there are 4 ways to partition 6.

• Indeed, the partitions are: 6, 5 + 1, 4 + 2, 3 + 2 + 1.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 518
 Partition of Integers into Odd Summandsa
• What is the number of partitions of m ∈ Z+ into odd
positive integers?
– The number of such partitions of m = 3 is 2: 3,
1 + 1 + 1.
• The desired number is the coefficient of xm in
 2  3 6  5 10 
1 + x + x + ··· 1 + x + x + ··· 1+x +x + ··· ··· .

a Euler (1748).

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 519
 The Proof (concluded)
• But,

(1 + x + x2 + · · · )(1 + x3 + x6 + · · · )(1 + x5 + x10 + · · · ) · · ·

1 1 1 1 − x2 1 − x4 1 − x6 1 − x8
= ··· = ···
1 − x 1 − x3 1 − x5 1 − x 1 − x2 1 − x3 1 − x4
= (1 + x)(1 + x2 )(1 + x3 )(1 + x4 ) · · · (1 + xm ) · · · .

• Hence the count is the same as that of partitions into

distinct positive summands p# (m) by Eq. (73) on p. 516.
• This is called Euler’s theorem or Euler’s identity.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 520
 Partition of Integers into Even Summands
• How about the number of partitions of m ∈ Z+ into
even positive integers?
• The desired number is the coefficient of xm in
  
1 + x2 + x4 + · · ·
1 + x4 + x8 + · · ·
   
6 12 2m/2 4m/2
1 + x + x + ··· ··· 1 + x +x + ··· .

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 521
 Partition of Integers into Even Numbers of Each Summand
• We ask for the number of partitions of m ∈ Z+ into
positive integer summands.
• Furthermore, each summand appears an even number of
times.
• The desired number remains the coefficient of xm in
 2 4  4 8 
1 + x + x + ···1 + x + x + ···
   
6 12 2m/2 4m/2
1 + x + x + ··· ··· 1 + x +x + ··· .

– 1 appears an even number of times, 2 appears an

even number of times, etc.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 522
 Partition of Integers into Distinct Summands with
Upper Bounds
• We ask for the number of partitions of m ∈ Z+ into
distinct positive integers at most n.
• The desired number is the coefficient of xm in
 2

(1 + x) 1 + x 1 + x · · · (1 + xn )
3

(compare it with Eq. (73) on p. 516.)

• No known closed-form formulas.
• Applications in computational finance.a
a Lyuu (2002).

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 523
 An Example
• Note that
 2  3  4  5  6
(1 + x) 1 + x 1+x 1+x 1+x 1+x
= 1 + x + x2 + 2x3 + 2x4 + 3x5 + 4x6 + 4x7 + · · · + x21 .

• So there are 4 ways to partition m = 7 into distinct

positive integers at most n = 6.
– Indeed, the partitions are: 6 + 1, 5 + 2, 4 + 3,
4 + 2 + 1.
• In fact, we solved 21 problems: The coefficient of xi ,
where 1 ≤ i ≤ 21, represents the number of ways to
partition i into distinct positive integers at most 6.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 524
 Partition of Integers into Positive Summands
≡ 0 mod k
• The desired number is the coefficient of xm in
 2
 2 4

1+ x+ x + ··· 1+ x + x + ··· ···
 
1 + xk−1 + x2(k−1) + · · ·
 
1 + xk+1 + x2(k+1) + · · · · · · .

• In other words, terms 1 + xik + x2ik + · · · , where i ∈ Z+ ,

are excluded.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 525
 The Proof (continued)
• Now, the desired number is the coefficient of xm in
1 1 1 1
· · · ···
1 − x 1 − x2 1 − xk−1 1 − xk+1
∞ ik
i=1 (1 − x )
= ∞ i
i=1 (1 − x )

∞
1 − xik
=
i=1
1 − xi
∞ 


i 2i (k−1)i
= 1 + x + x + ··· + x
i=1
  
2 k−1 2 4 2(k−1)
= 1 + x + x + ··· + x 1 + x + x + ··· + x ··· .

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 526
 The Proof (concluded)
• The count is the same as that of partitions into positive
integers where every summand appears ≤ k − 1 times.
• This generalizes results on p. 515 and p. 519.a
• With k = 2, we have an alternative proof of Euler’s
theorem (p. 520).b
a An alternative proof uses the principle of inclusion and exclusion.
b Observation by Mr. Ansel Lin (B93902003) on November 29, 2004.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 527
 Partition of Integers vs. Integer Solution of Linear Equations
• These two issues are often related in subtle ways.
• To wit, what is the number of partitions of m ∈ N+ into
n nonnegative integers where the order of summands is
relevant?a
• Each nonnegative integer solution of

x1 + x2 + · · · + xn = m

corresponds to a valid partition.

n+m−1 b
• The answer is thus m .
a Like composition.
b See p. 85 and p. 497.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 528
 Partition of Integers as Linear Equations
• What is the number of integer solutions of

x1 + x2 + · · · + xn = n,

where 0 ≤ x1 ≤ x2 ≤ · · · ≤ xn ?
• A solution corresponds to a partition of n into positive
integers (the order of summands is irrelevanta ).
– (0, 0, 0, 1, 2, 3) ⇐⇒ 6 = 1 + 2 + 3.
a Because of the constraints 0 ≤ x1 ≤ x2 ≤ · · · ≤ xn .

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 529
 Partition of Integers as Linear Equations (continued)
• From Eq (71) on p. 509, the number equals the
coefficient p(n) of xn in
1
2 n
.
(1 − x)(1 − x ) · · · (1 − x )

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 530
 Partition of Integers as Linear Equations (continued)
• In general, what is the number of integer solutions of

x1 + x2 + · · · + xn = m, (74)

where 0 ≤ x1 ≤ x2 ≤ · · · ≤ xn ?
• Each solution corresponds to a partition of integer m
into n nonnegative integers (equivalently, at most n
positive integers)!a
a Professor Andrews, private communications, October 2001.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 531
 Partition of Integers as Linear Equations (continued)
• For example, with m = 6 and n = 5,

(0, 0, 1, 2, 3) ⇐⇒ 6 = 1 + 2 + 3.

• Alternatively, each solution corresponds to a partition of

m into positive summands at most n.
– See the Ferrers graph on the next page.
• The desired number hence equals the coefficient of xm in
1
2 n
. (75)
(1 − x)(1 − x ) · · · (1 − x )

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 532
 The Ferrers Graph

9=4+4+1
x1 x2 x3 x4 x5 x6
9=0+0+2+2+2+3

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 533
 Partition of Integers as Linear Equations (continued)
• For instance,
1 2 3 4 5
= 1 + x + 2x + 3x + 4x + 5x
(1 − x)(1 − x2 )(1 − x3 )
+ 7x6 + 8x7 + 10x8 + 12x9 + 14x10 + 16x11 + 19x12 + · · · .

• There are 7 ways to partition m = 6 into n = 3

nonnegative integers:

0 + 0 + 6, 0 + 1 + 5,
0 + 2 + 4, 0 + 3 + 3,
1 + 1 + 4, 1 + 2 + 3, 2 + 2 + 2.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 534
 Partition of Integers as Linear Equations (continued)
• What is the number of integer solutions to

x1 + 2x2 + 3x3 + · · · + nxn = m, (76)

where xi ≥ 0?a
• Well, it is the same partition-of-integers problem
considered at Eq. (74) on p. 531.
– As on p. 514, each solution corresponds to a partition
m into x1 1s, x2 2s, etc.
a See p. 513 when n = m.

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 535
 Partition of Integers as Linear Equations (continued)
• The desired number is therefore the coefficient of xm in
1 1 1 1
··· (77)
1−x 1−x 1−x
2 3 1−x n

from Eq. (75) on p. 532.

• In summary, if pn (m) denotes the number of partitions
of m into positive summands at most n, then Eq. (77) is
the generating function for { pn (m) }m=0,1,... .
• If qn (m) denotes the number of partitions of m into at
most n positive summands, then

pn (m) = qn (m) (78)

(recall p. 532).

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 536
 Partition of Integers as Linear Equations (concluded)
• Furthermore, p(m) = pn (m) for all n > m.
– Recall that p(m) is the number of partitions of m
(p. 508).
– Recall that pn (m) equals the number of partitions of
m into positive summands at most n (p. 536).

c
2018 Prof. Yuh-Dauh Lyuu, National Taiwan University Page 537