Zalcman Theorem
Zalcman Theorem
INFINITE CONNECTIVITY
BY
LAWRENCE ZALCMANC)
Received by the editors May 27, 1968 and, in revised form, August 8, 1968.
P) Part of this research was carried out while the author held a National Science
Foundation Graduate Fellowship. Research at Stanford supported by contract AF 49(638)1345.
241
'»-¿t.fS'-Bt.S*-**♦♦«*
for large enough n. The integral I2(n) is bounded by ||/|| ven[d(z, C„)]-1, where
d(z, Cn) is the distance from z to C„. Thus as n -> co, /2(«) -»■0. If we take limits on
both sides, we obtain the desired conclusion.
Proposition 2.2 remains valid for domains whose (rectifiable) boundary consists
of a countable number of disjoint smooth simple closed curves r„ which accumulate
on a (totally disconnected) set S of Hausdorff linear measure 0. (S may, but need
not, intersect (J t„.) Indeed, in this case, each bounded analytic function has
appropriately defined boundary values (cf. §7), and the proof of 2.2 can be applied
with only slight modification. It seems likely that the Hausdorff measure condition
can be weakened to the requirement that 5" have zero analytic capacity [29].
Generally speaking, however, the representation of 2.2 fails utterly. Of course,
if 8R is not rectifiable, the boundary function may not exist in the proper sense;
and, if it does exist, the integral will still fail to converge absolutely. Moreover, if
dR is rectifiable or even analytic 2.2 may break down if the set at which the boundary
curves accumulate is too large. For instance, we have
Example 2.3. Let S be the slit [—iß, i¡2], and let R be the region obtained by
deleting from the slit disc A\5 a disjoint sequence An (n= 1, 2,...) of closed discs
with radii rn such that 2rn<°° ana" the A„ accumulate at every point of S (on
both sides) and at no other points. Let i-n= 3An (oriented clockwise), r0 = y0. If
f e B(R), then/has nontangential boundary values at almost every (ds) point of
(J t„. However, in general, / will not have well-defined boundary values at points
of S. We claim that there exists fe B(R) such that
(3) **-hb.M*-
and let C<=R be a smooth curve which surrounds S once. We have
where the integral is taken in the counterclockwise direction and f'(oo) is the
coefficient of z_1 in the expansion of/at oo; this coefficient is nonzero since/is
schlicht in the complement of S. However,
Since
SÀLn«h-LM-Lêè«-
,« =—: -= = 1 if £ lies inside C,
(6) 27rjJcz-£
= 0 otherwise,
it follows from (2) and (6) that the right-hand side of (5) above is 0, contradicting
the conjunction of (3) and (4). Hence (1) holds, as was claimed.
The informed reader will have noted that what is of relevance to the above
construction is that 5" has positive analytic capacity; S could have been replaced
by any closed set of positive analytic capacity. For instance, one could have chosen
any compact subset of the segment (—/', i) of positive linear measure.
Remark. In 2.3 above it is not hard to see that if g e A(R) one still has
M if Ä«.
Itti Jut» £-z
However, in general, even this sort of representation will fail; one need only choose
the set at which the "nice" boundary accumulates to be sufficiently thick. For
instance, let R be a region whose boundary consists of a union of circles t„ of
finite total length plus a set of positive AC capacity [29, p. 77] (e.g., an arc of
positive two-dimensional measure) at which the circles accumulate. Then it is not
true that each function in A(R) can be represented as the Cauchy integral of its
(continuous!) boundary function taken over (J rn (cf. [29, pp. 69-76]). On the
other hand, in such cases 8R is not rectifiable. Indeed, it is easy to show that if a
set has finite Hausdorff linear measure it has zero AC capacity.
We shall also need the following result from the theory of rational approximation.
Theorem 2.4. Let D be a domain of type (L). Each function in A(D) can be
approximated uniformly on D by rational functions with poles off D. These poles may
be chosen to lie in the set {oo, xlt x2,...}.
Proof. Let gn be a C °° function defined on the plane such that
(l) gn=lon{\z\él¡n},
(2)gn=0on{|z|^2/«},
(3) pgJdzU^lOn.
Suppose feA(D), and let o0 be given. Extend /continuously to a (bounded)
function on the complex sphere and set
■/W-ZWafe**
w —z 8w
'•<*>-;/!•
= ñz)gn{zHX-\\M-zd-§dxdy, w = x + iy.
Theorem 2.5. Let Rbea bounded domain and let ledRbea nonisolated boundary
point. Then iff is meromorphic on R
3(C1(/;0)CC1B (/;£).
Proof. [26, pp. 332-335].
Of course, we shall be interested in the case R = D,fe B(D).
3. Weak star density. According to 2.1 and 2.2, the correspondence between
bounded analytic functions on D and their boundary-value functions is an iso-
morphism between B(D) and a subalgebra ofLco(dD; ds). There are various ways
of seeing that this isomorphism is actually an isometry. For instance, we may
observe that, by 2.2, evaluation at z e D is a continuous homomorphism of the
boundary value algebra onto the complex numbers and hence extends to the L00
closure of this algebra. Since this latter algebra is complete, the homomorphism
must actually have unit norm. Letting z vary over D, we obtain the required
conclusion. It is now obvious that the boundary algebra was actually closed to
begin with. We shall identify B(D) with its (closed) boundary-value algebra and,
by an abuse of language, denote the latter algebra also by B(D). A similar con-
vention will hold for A(D), which we regard as a closed subalgebra of B{D).
Thus, in the sequel, context will determine whether functions of B(D) or A(D)
are to be regarded as defined on D or on 8D.
By the weak * topology on B(D) we mean the weak topology B(D) inherits as a
closed subspace of LX(8D; ds) in the pairing (¿"(cfc), L\ds)). The principal result
of this section is
The proof will proceed by a series of auxiliary propositions. First of all, we have
(1) £/(£)g(£) ¿£ = 0
(4) m=m-ihiLMdè-
Suppose g e A(Dn). Then if v is a finite measure on r\rn we have the following
balayage formula :
,. f g(í)<Kí)=
Jr\r„ f (¿f
Jr\rn \2irl Jr„ «(OÄiiö
£-f/
'■»-¿US*
V' lid Jrn C-z 2tt¡ Jr„ \2m Jr\r„ f-£ 7 i-z
-UrßMUU,xrere^
A partial fraction decomposition and the residue theorem show that the last
integral in (9) vanishes. Thus
do) '*>-¿US*
and so
no /(*)=/»(*)+¿í £&dt.
2m Jr\rn f-z
Since /n e H1{DV), /„(z) ->/„(£) a.e. on Tn as z^îeT, nontangentially [22].
Thus, for a.a. £ e Tn
Proof. The proof uses a technique due to Arens [2, pp. 644-646]. Let H(z) = zh(z) ;
then HeA(D). Let H(z)=0, z$D, and write
, , . n2 rr H(w)-H(z) , ,
77 JJsn w —z
where 5'n= {|w| á 1/«}. Here z is allowed to vary over the whole plane. Then hn,
being (essentially) the sum of convolutions, is continuous on D; moreover, it is
not hard to see that it is analytic on D [2, p. 644]. Thus «„(z) e A(D). Now
so
(2) JAQKQ<Z
= 0-
For each k we have (by 3.2 and the Cauchy theorem)
Now let hn be as in 3.3. Then hn e A(D') and hn(z) -* h(z) pointwise boundedly on
8D'\{0}. Hence, by (6), we have
(8)
Hence
(9)
(11) ^iMzmd^o
2-TTtJr L,—z
for z$ D. By (9) and (11)
(12) JrCAO-*(9)¿# = o
for any z £ <5Z).It follows by the theorem of Hartogs and Rosenthal [29, p. 110] that
(i3) £(/(o-^(owo^ = o
for any k e C(8D). Evidently, /(£)=#(£) a.e. on 8D, i.e., /e B(D). The proof is
complete.
Corollary 3.5. If ¡j. is a positive measure on 8D which is absolutely continuous
with respect to ds then B{D) is the weak * closure of A(D) in £"(4*).
Proof. Obvious.
In particular, if z e D is fixed and fiz denotes harmonic measure for z, we have
dfts<Kds,so that 3.5 applies.
As an application of 3.1 we have
Theorem 3.6. Given fe B{D), there exists a sequence {/„} of functions in A(D)
such that
for each feV-(ds). In other words, we must show that the functional which/
induces on B(D) has the same norm as that of the functional which / induces on
A(D). Denote the norm of the latter functional by N. By the Hahn-Banach theorem
and the Riesz representation theorem, there exists a measure ft on 8D such that
| g dfi=§ gfds for all geA(D), and ||/*|=JV. We may choose /u to satisfy the
additional condition /j.({0})= 0. Indeed, suppose ¡j.({0})= c^0. Then 0 is not a peak
point for A(D), so there exists a probability measure v on 8D such that J"g dv=g(0)
for all geA(D) and K{°})= °- (A reference for these facts is [29, pp. 4-8].) Let
fj.' = (ji-cS0) + cv. Clearly, if g e A(D), { g 4t = J g d\x and furthermore,
||/*'|| = ||0.-c8o) +o|| Ú ||^-cSo|+c = (|H|-c) + c = |/i||;
as required.
Corollary 3.7. B(D) is the weak * closure in ^{SD; ds) of the set of rational
functions with poles off D. The functions /„ in 3.6 may be chosen to be rational
functions.
Proof. By 2.4, rational functions analytic on D are uniformly dense in A(D).
4. The maximal ideal space. If R is a bounded domain and z e R then evaluation
at z gives rise to a complex homomorphism <f>zof B(R) defined by </>z(f)=f(z).
Thus, R can be regarded as a subset of M= M(R), the maximal ideal space of B(R).
In fact, the map z^<f>z embeds R homeomorphically as an open subset R of M
[17, p. 160]. It is natural to ask if the closure of R (in M) is all of M. Even in the
simplest of cases, this question, the so-called corona conjecture, is exceedingly
difficult. For R = A, the open unit disc, the answer is affirmative [5]. Armed with
this fact, it is rather easy to show that the answer remains yes if R is a finite open
Riemann surface (in particular, a plane domain with finite connectivity). On the
other hand, virtually nothing seems to be known about the case of infinite con-
nectivity : at present there are no examples of planar sets of infinite connectivity
for which the corona conjecture is known either to be true or false. Although the
results below do not shed much light on the answer to this question, they do
indicate where some of the major difficulties lie. Much of our discussion will be
framed in terms of a fixed domain D of type (L).
Recall that for a e D, Ma denotes the set of all homomorphisms <f> e M such that
4>{z)= a. We call Ma the fiber over a. Since (z —a)'1 e B(D) for a^ D, it is clear
that {Ma: a e D} is a partition of M; moreover, if a e D, then Ma={<j>a}, as we
have observed above.
If £ e 8D\{0}, it is easy to see that Afç is naturally homeomorphic to the fiber
over 1 in the maximal ideal space of //". This follows, for instance, from the fact
that each fe B(D) has the representation /=/„ +/„, where /„ is analytic on a
neighborhood of yn while /„ is bounded and analytic on the (simply-connected)
component of the complement of yn in the sphere which intersects D. Explicitly,
¿»-¿/.g* «»-¿JL8*
The reasoning for the disc also shows that, for each n, LWn ^c ¡s connected and
homeomorphic to Af(A)\A. Furthermore, the Shilov boundary X of B(D) is the
maximal ideal space of L^ÇdD; ds). These facts and their unstated ramifications
follow in a routine fashion from the H" theory, so we shall omit their proofs.
What should be obvious at this point is that for domains of type (L) the only point
where anything new can happen is the origin. Accordingly, we shall concentrate
our attention at that point.
The first observation worth making is
Proposition 4.1. D is dense in M\M0.
Proof. Let <j>eMK, £e3Z)\{0}; we claim there exists a net {z¡}cD such that
<f>Zi
—>(f>.To simplify notation we may assume that £ e y0. Let <j> denote the restric-
tion of <j>to Hm = 5(A). By the corona theorem there exists a net {z(}in A such that
«¿2,-*■ip in M(A). In particular, <f>z¡(z)
-> ifi(z)= £ so that z¡ -*■£. Thus, we may
assume {z¡}<=Z).Let/e B(D). We have
<t>(f)
= Wo+/o) = <Mfo)
+ <Kfo)= Wo)+/o(£)
and
tzjj) = /«(*«)+/ofe) ■*Hfo)+/o(£),
so that <f>Si(f)
-> <f>(f)for each/e B{D), as required.
The argument above, dependent as it is on the case of the disc, disguises the
essential difficulty involved in the corona conjecture. The problem in question is
made more explicit in
Proposition 4.2. These are equivalent:
(1) È. is dense in M{R).
(2) Givenfu /2, ...,/„ e B(R) such that
1/iWI+ l/af»!+ ■••+ [fM ^ S > 0, zeR,
there exist gu g2, ■■-,gne B(R) such that
Proposition 4.3. Let R be a bounded plane domain, le8R. Then the following
conditions are equivalent.
(1) IffeB{R) satisfies |z-£| + |/(z)| aS>0 on R then there exist g,heB(R)
such that (z-£)g+/« = l on R.
(2) Iff s B(R)thenf(M^C\ (/; £).
Proof. Suppose (2) is false. Then there exists fe B(R) such that 0 e/(Afc) but
0 £ Cl (/; £). Clearly, / satisfies the condition of (1) for an appropriately small 8,
so (z-C)g+fh= 1 for some g, « e B(R). Choosing <f>eMc such that 4>(J')=/(</>)
=0,
we obtain a contradiction. Conversely, if (1) is false for some/e B(R) it follows
Proposition 4.4. Letfe B(D) and suppose \z\ + |/(z)| ä S > Ofor z e D. Then there
exist g, he B(D) such thatf(z)g(z) + zh(z)=l, ze D.
Proof. Let y = {|z|=e} be a circle in D such that |/(z)|>8/2 on and inside y.
Let Ty be that part of 8D lying inside of y and set
m aM _Lf_L^_J_f J_dl_
K) g{) 2ni)yf(0 £ 2ni]ry M)i-Z
where the integrals are taken in the counterclockwise direction. Then
as z -> 0. It follows from (1) that g is analytic off the compact set bounded by r„
and it is clear from (2) and the maximum modulus principle that g is bounded;
hence geB(D). Since / is bounded away from 0 near 0 we have g(z)/(z)—1
= 0(|z|), z -> 0. Set h(z) = (\ -g(z)f(z))lz. Done.
The elegant proof of 4.4 was communicated to me by Lennart Carleson.
Combining 4.3 and 4.4 we obtain
Proposition 4.5. Letfe B(D). Thenf(M0) = Cl (/; 0).
Corollary 4.6. M0 is connected.
Proof. (Cf. [18, p. 188].) First of all, we note that M0 is a hull; indeed, it is the
zero set of the function z. Hence [20, p. 116], M0 is the maximal ideal space of the
Banach algebra B(D)jI, where / is the ideal of all functions whose Gelfand trans-
forms vanish identically on M0. Suppose M0=K0 u Ku where the K, are disjoint
compact sets. By the Shilov idempotent theorem [20, p. 168], there exists/e B(D)/I
such that/^=y on K¡. Let n: B(D)-^ B(D)¡I be the quotient map, and choose
feB(D) such that Tr(f)=f. Clearly,/(A/o) = {0, 1}. But /(M0) = Cl (/; 0) by 6.5,
and Cl (/; 0) is connected since D is locally connected at 0 [5, p. 3]. This contra-
diction shows that M0 must be connected.
There is an alternative argument, independent of Proposition 4.4, which is also
worth presenting. We argue as above to conclude that/(Mo) = {0, 1}. Since Cl (/; 0)
is connected and contained in f(M0) it must be a singleton, say Cl(/;0)={0}.
We will show that K1 does not meet the closure cl (D) of D in M. First of all, note
that since K1= MQn{/=l}, we must have/(<£)=l for each <j>eK^. Suppose that
<j>
e Kx C\ cl (D). Then there exists a net {z¡} in D such that <j>Zt -> <f>in M ; i.e.,
«(z¡) -* h(4>)for each « e B(D). Taking « = z, we have zt -> 0 in D. Thus,/(z¡) -> 0
since 0 is the unique cluster value of/at 0. This contradicts/(z¡) ->/(0) = 1. Thus
A^ncl(Z>)=0. We now obtain a contradiction by observing that the Shilov
boundary of B(D) is contained in cl (£>), yet meets each component of M.
The content of the preceding paragraph can be summarized in
Proposition 4.7. Let R be a bounded plane domain, fe B(R). If t,e8R and R is
locally connected at £ then MKis connected.
It is easy to see that if R fails to be locally connected at £, Mc can be disconnected.
In fact, the example of 2.3 shows that this may happen even if R is the interior of
its closure.
In concluding this section, let us point out that when the conditions of 4.3 are
satisfied the Gelfand theory allows us to reduce (2) of 4.2 to a local condition. More
precisely, we have
Proposition 4.8. Let R be a bounded plane domain and suppose /(MC) = C1 (/; £)
for every fe B(R) and every £ e 8R. Then these are equivalent:
(1) Ê is dense in M(R).
(2) Givenfx,f2, ...,/„ e B(R) such that
\fi(z)\ + |/2(z)| + • • • + |/n(z)| a; 8 > 0, zeR,
there exist for each £ e 8R functions gx(z; £), g2(z; £),..., g„(z; £) e B(R) such that
hdz) = A(z)gl(z; £)+••• +fn(z)gn(z; £)
is bounded away from 0 in a neighborhood (in R) oft.
Proof. Clearly, the / do not all vanish at any point of R. If <f>
e Afc(£ £ 8R),
then <f>(fj)=0,l&jZn, implies that ¿(nt) = 0; but <¿(«c)=¿0,since 0£C1(«C;£).
Hence, if (2) holds the/ belong to no common maximal ideal. It follows that there
exist gug2,-..,gne B(R) such that/ gx +/2g2 + • • • +/ng„ s 1. By 4.2, we are done.
In particular, it follows from 4.8 and 4.4 that for domains of type (L) it is enough
to exhibit functions gu ..., gn e B(D) such that
\fi(z)gi(z)+ ■■■+fn(z)griz)\ ^ r¡ > 0 near 0
n=l An
we have
j/WH(Qds = 0, feA(D).
f «(£)//(£)ds= 0, heB(D),
Theorem 5.2. The point 0 e 8D fails to be a peak point for A(D) if and only if
limx^0_ h(x) exists for every heB(D). In this case, the limit actually exists for
approach off any wedge \9\ < 8, and one has
Proof. First suppose 0 is a peak point for A(D) and let / be a function that
peaks there. Let the sequence {zn}<=Z),zn-^-0 be given. Clearly, we can choose a
subsequence {znJ such that f(zni<) -> 1 as rapidly as we like ; in particular, the znic
may be chosen in such a way that {f(znJ} is an interpolating sequence for H"
[17, pp. 194-206].Let heü™ be such that «(/(znJ) = (-l)fc. Then h°feB(D)
and « o/does not tend to a limit on {zn}.Thus, for any curve in D with an endpoint
at 0 there exists a function in B(D) which fails to tend to a limit along that curve.
Suppose next that 0 is not a peak point for A(D). Then 2 trn\xn< co, and so
2 rn\(xn - rn) < co (since rn < xn). Let
I \ux)\ú\\f\u2 7^-°
-L f É.
2"Jr'\r'N \w\
Mdw.
w
Hence,
\uf)-uf¿\s\±-A
I•«« Jrj, ^*+fc
w
The identification of the parts of B(D) remains an open question. Since each
point of 8D\{0} is a peak point for A(D), any part which lies in (J {Afc: £ g 8D\{0}}
must actually lie in a single fiber. In this case, the problem reduces to the identifica-
tion of the parts of H™, for which see Hoffman [18]. Thus, only those parts which
contain points of M0 need be considered.
To conclude this section, we prove
Proof. By [10], there exists/e B(D) such that/is nonconstant and continuous
on D\{0} and |/| = 1 on 8D\{0}. Since the Shilov boundary X of B(D) is just the
maximal ideal space of L°°(SZ); ds) (§4), |/0/>)| = l for any tfieX. On the other
hand, since </>0
lies in the same part as D, \<f>0(J)\
< 1. Hence <^0i X.
A similar proof, not depending on the results of [10], can be based on an abstract
extremal technique due to Bishop [4].
where S(r) -*■0 as /• -*■1 and r is chosen so large that 8(r) á ||e|| „. Since «r e /I, we
have
(1) inf ||/+g|| ^ ||(s-A)+Är||0Dú ||«IU+ ||A-A,||. Ú 4|HL.
se.4
Since the left-hand side of (1) is the norm of the coset p(f) in C/A, it follows that
IkOC/n))! ^0 implies |p(/n)|| —>0. Since the reverse implication is trivial, <1>is a
topological isomorphism, and we are done.
It is easy to see that //OT+ C has as its maximal ideal space A/(A)\A and that its
Shilov boundary is the maximal ideal space W oíLx(dd) (cf. [17, p. 193]). Thus, we
can regard the algebra of Gelfand transforms (H°° + C)~ as a closed subalgebra of
C(W). Let Wa (|a| = 1) be the fiber of W over a, i.e., the set of all complex homo-
morphisms <j>eW such that <f>(z) = a. Then we have
Proposition 6.2. The algebra (H^ + C)" consists of all functions in C{W) such
that for each a e y0 there exists gae H™ satisfying ga=f on Wa.
Proof. This follows from Theorem 1.1 of [14] and the observation that the
fibers Wa are unions of maximal sets of antisymmetry for (H°° + C)~.
It is worth noting that 6.2 gives an "abstract" answer to the question posed by
Devinatz which is independent of 6.1. For the proof, we need only replace
(Hw + Cy (wherever it appears) by [Z/00,¿T\
Now suppose R is a finitely connected region whose boundary 8R consists of
finitely many disjoint simple closed curves. It is easy to extend 6.1 (and 6.2) to
this case. For simplicity, we may formulate our assertion as [B(R), C(8R)] =
B(R) + C(8R). Here all functions are understood to be defined on 8R, and
[B(R), C(8R)] is the smallest closed subalgebra of Lœ(8R; ds) which contains both
B(R) and C(8R). However, we shall not insist on the details of the proof since
another proof of this result will appear (implicitly) below.
When R is a domain of infinite connectivity the techniques that make possible
the reduction of the finitely connected case to the situation on the disc are no
longer available, and one must proceed differently. Below, we shall prove the
analogue of 6.1 for domains D of type (L). In the process, we shall obtain a proof
for the finitely connected case that differs somewhat from that already given. We
shall continue, with the obvious modifications, the notation established above.
First of all, we need the following generalization of the classical F. and M. Riesz
theorem [17, p. 46].
Proposition 6.3. Let ¡x be a finite complex Baire measure on 3D and suppose
J"r/(£) d/x(£)= 0 for eachfeA(D). Then d¡j.= k ds + c80, where keL\ds), c is a
complex constant, and 80 is the point mass at 0.
- •>r„
f g(X)Wn{Q+Fn(jÇ)di]=
f «(0^,(0.
Jr„
l/-*L-»»|.-l/li|..
Now let £o g /, {zfc}c D, zk -> £0. We may assume {zjc £/. Then {A_1(zfc)}cA and
A"1(zfc)-^A"1(£o). But examination of the Poisson kernel shows that
limsup|/(zfc)|
fc-»oo
â I/ML á I/ÜL,
as required.
For convenience, we shall write B = B(D), A = A(D), C= C(8D), L°°=L'°(dD; ds),
L1=L1(8D; ds). All algebras will be viewed on the boundary.
Theorem 6.5. [B, C] = B+C.
Proof. It is enough to show that B+C is a closed subalgebra of L°°. Fix z0 e D
and denote by Q the set of all rational functions holomorphic on D\{z0}. By the
Hartogs-Rosenthal theorem, the restriction of Q to T is uniformly dense in C.
Thus, B+ Q is dense in B+C. It is also easy to see that B+ Q is an algebra. Indeed,
let q e Q, « e B. We have q(z) = (z-z0)'nqi(z), where q1e B n Q, and h(z) = h1(z)
+ (z—z0)"«2(z), where h1 is a polynomial of degree at most «—1 and h2eB.
Hence, qh=q1h2 + (z~z0)'nq1h1 e B+ Q, as required. It remains only to show that
B+C is uniformly closed.
Let tt: C^ CIA be the quotient map and ¿: C¡A ->(C//4)** the natural (iso-
metric) injection. Since (C/A)* = A1, we have (CIA)** = (AL)*. Let I: (A1)* ->
(A1 n L1)* be the restriction map. Then I: (C/A)** -> LM/(^X n L1)1=La>//i. Here
we have used the fact that B=(AL n L1)1, i.e. 5 is the weak * closure of A in Va
(3.1). Consider now the sequence
where Q: L™-^ L^/B is the quotient map. Obviously, the image of C under this
sequence of maps is (canonically isomorphic to) B+C. It is enough, therefore, to
show that I o i o tt(C) is closed. In other words, we must show that the norms on
tt(C) induced by (C/A)** and Lx/B are equivalent.
It will be convenient to reformulate this condition in function theoretic terms.
By 6.3, each element n of A1 has the form ¡x= k ds + c80, \\n\\=j \k\ ds+\c\. Set,
for/e C,
ll/lli = sup{!//</,*| : ?eA\ H £ 1}= inf
A
\\f+g\\„,
||/||2 = sup{|J/^|:/,£^nLM|/i|| ^ 1} . inf |/+*|..
We claim that ||/||i<A||/||2 for some universal constant A>0. Actually, it is enough
for our purposes to show that, for any sequence {/n}cC, ||/„||2^0 implies
ll/nlli ~* 0- Of course, if A1 = A1n L1, i.e., if each measure in A1 is absolutely
continuous, there is nothing to prove. This situation will occur when and only
when 0 is a peak point for A. Hence, in the sequel, we may assume that 0 is not a
peak point for A.
Now suppose {/„}<=C and ||/n||2 -*■0. Without loss of generality we may assume
/n(0)=0 for all «. Since ||/B||2 = infB |/„ + «||«, we have/„ = £„-«„, where eneLx,
The first term on the right-hand side is bounded by ||eB||«>J" \k\ ds< ||e„|oo -*■0.
To estimate the second term, write
where Kds = (2m)~1C~1 dl. Now k + cKe A1 n L1, so that the first integral above
vanishes by 3.1. Hence
for any/e C. Actually, as Professor T. W. Gamelin pointed out, (*) remains true
even if 0 fails to be a peak point. For in this case, set dm = ds + o0 and let H be the
weak * closure of A in Lœ(dm). One can show without difficulty that
Thus, it remains to prove that infH ||/+A| =infB ||/+A||, and this can be done by
using Iversen's theorem. Details are left to the reader. It is also worth noting that
(*) holds true for A=A(R), B=B(R), where R is a finitely connected domain with
smooth boundary.
Finally, let us note that the obvious analogue of 6.2 trivially holds true for our
algebra [B, Cf.
plus a set of (arc length) measure 0. Actually, the requirement of analyticity can be
weakened considerably: it is enough, for instance, that the boundary be con-
tinuously differentiable. For then, as before, / will have a (unique) asymptotic
value/a(£) at almost every point £ of dR; then by Lindelöf's theorem/(z)->/a(£)
as z -> £ nontangentially from within R. Of course, if the boundary is merely
Jordan,/will still have a unique asymptotic value at a set of points on the curve
that corresponds to a set of full measure on the unit circle. Quite plainly, the
existence of boundary values is a local phenomenon; the global structure of R
comes into play in the requirement that the set of accumulation points of the
"nice" boundary curves have zero arc length.
Generalizations of 2.2, 2.3, and 2.4 have already been discussed in §2; accord-
ingly, we shall offer no further comment on these results.
Iversen's theorem (2.5) is one of the most beautiful and certainly one of the most
important theorems of cluster set theory; it deserves to be better known. General-
izations have proceeded in various directions, most notably by replacing C1B(/; a)
by even smaller sets. For instance, the theorem remains true if a set of capacity 0
is deleted from the boundary. A survey of what is known (stated for the case of the
disc) is in [28, p. 5]. Classical cluster set theory has limited its attention almost
entirely to (meromorphic) functions defined on the disc; it seems high time that
more general (infinitely connected) domains were studied. Part of the reason for
including the results of §5 is to show that interesting new things can happen in the
case of infinite connectivity.
§3. Theorems 3.1 and 3.6 are valid for a much larger class of domains than those
of type (L). For instance, the linear disposition of the holes was completely
irrelevant: nothing is altered if D is replaced by a domain R whose boundary
consists of countably many simple closed analytic curves of finite total length
which accumulate at a single degenerate boundary component (a point). More
generally, the boundary curves of R may be allowed to accumulate at a finite
number of degenerate boundary components. Indeed, if A g B(R), one can use the
Cauchy integral formula to write A= 2" =i hu, where each hk is analytic in a domain
Rk=>R whose boundary accumulates at a single point. We can approximate each
hk pointwise boundedly by functions in A(Rk), and the sum of these functions
approximates h. It seems likely that 3.1 and 3.6 remain true if the set of accumula-
tion points of the boundary has Hausdorff linear measure zero or zero analytic
capacity; however, we have not pursued this line of thought to any extent. In any
case, most of the argument of 3.6 remains valid if the boundary is allowed to
accumulate at countably many degenerate boundary components.
We should point out that there are very definite limitations to the generality of
3.1 and 3.6. For instance, the example of 2.3 shows that neither theorem can hold
in this case. Indeed, if k=x^n we have \rkgdl=0, g e A(R), but §rkfdC^0.
Similarly, it is easy to see (by perturbing the curves t„ to the interior of R) that/
cannot be approximated pointwise boundedly by functions in A(R).
We restrict the rest of our comments to 4.4. This result is obviously local : it
depends only on the nature of the boundary near the point in question. To be
precise, suppose £ e 8R is a boundary component and one can find a sequence of
(rectifiable) curves Ck in R surrounding £ and tending to it. Assume further that
the Cauchy integral formula (2.2) is valid in the subregion of R cut off by Cfc;
this necessitates, in particular, that the portion of 8R lying inside Ck be rectifiable.
Then clearly the argument of 4.4 applies. Actually, it is not difficult to see that the
rectifiability requirement can be avoided. Indeed, suppose that R is a domain such
that 0 e 8R is a component of 8R and there exists an exhaustion of R by subdomains
Rn, each of which has rectifiable boundary, such that 0 is a component of 8Rn.
For a fixed/e B(R) the argument of 4.4 gives functions gn, hn e B(Rn) such that
/gn+z«„=l on Rn, and these functions are uniformly bounded. It follows that
there exist g, heB(R) such that fg+zh = 1 on R, as required. (We have assumed
that the representation of 2.2 holds on a suitable subregion of each Rn.)
§5. For further information on peak points for algebras of analytic functions
see [29] and the references cited there.
A few comments on Theorem 5.2 are in order. For certain domains, the asymp-
totic value <f>0(f)may exist for approach even more general than that allowed by the
theorem. For instance, Rudin [23] has given an example of a domain D of type (L)
such that each/G B(D) has an asymptotic value along any curve which terminates
at 0 and misses a suitable annular neighborhood of each boundary curve yk. It is
easy to see in this case that each function in B(D) has a unique asymptotic value
at 0. Of course, generally speaking, Cl (/; 0) can be large; indeed, as we have
noticed in §5, there exist functions /g B(D) such that ||/||«> = 1 and Cl (/; 0)
= {|z|^l}. More generally, Rudin [23] has shown that if £ g 8R is not an AB-
removable point for R then there exists an/g B(R) as above; cf. [3].
The metric condition which insures the existence of limÄ_0- A(x), h e B(D), can
be strengthened to guarantee the existence of lim^o- h(lc)(x), k = 0, 1, 2,..., n.
In fact, one can give conditions for every derivative to extend continuously to
{z : |z| < 1, Re z^O}. However, since the derivative of a bounded analytic function
is, in general, badly unbounded (on the disc, an Hm function may have a derivative
of unbounded characteristic), we shall not concern ourselves with this extension.
It should be noted, nonetheless, that Rudin has shown [24] that for any compact
set K on {Re z = 0} of (linear) measure 0 there exists a domain R, whose boundary
consists of K and of circles in the open right half plane which accumulate to K,
such that for each/G B(R) and each &= 0, 1,2,.. .,fm(z) can be extended to be
continuous on the closed left half plane.
See also the comments on §6.
§6. As we remarked earlier, Sarason's proof of 6.1 was somewhat different from
the one we have presented. In particular, his argument relies on the F. and M. Riesz
theorem and is closely related to the technique of 6.5. It seems rather remarkable
that 6.1 can be obtained so simply as a consequence of the geometry of the disc.
The result of 6.3 is really quite general. If R is an arbitrary plane region and if
the rectifiable simple closed curve y is a component of 8R which lies at a positive
distance from 8R\y, then the argument of 7.1 shows that each p e A(R)1 is absolutely
continuous with respect to arc length on y. It follows that if the (closed) boundary
curves of R accumulate at a countable set of degenerate boundary components
{£i, lz, ■■•} and p _|_A(R) then p = Fds+J, cn8n, where 2 k„| <°° and S„ is the
point mass at £„.
Similarly, it is a general fact for completely arbitrary R that B+Q is a sub-
algebra. It is also true that B+Q is dense in B+ C. For each point of 8R is in the
closure of R, so that each point of 8R is a peak point for the uniform closure on 8R
of rational functions analytic on 8R [29, p. 52]. By Bishop's theorem [29, p. 123],
gis dense in C=C(8R).
The proof of 6.5 depends strongly on the fact that B is the weak * closure of A,
and this fact is available to us only if 8R clusters at finitely many point components
of the boundary. However, if we assume the weak * density of A in B, the final part
of the proof remains valid even if the curves of 8R are allowed to cluster at a
In a recent U.C.L.A. thesis, Michael Behrens has settled special cases of several
of the problems left open here. In particular, he has proved the corona conjecture
for domains of type (L) which satisfy "Zrnlxn< oo and xn+1/xn^c< 1 and has
succeeded in describing the intersection of M0 with the part containing D in this
and other cases. His techniques, which are related to the nonstandard analysis of
Robinson [31], consist of an ingenious reduction of problems on D to known
results on the disc.
Added in proof. Behrens' work will appear in [32]. Gamelin [33] has recently shown
that the corona problem on an arbitrary domain is local; this enables him to exhibit
a large class of infinitely connected domains for which the corona conjecture is true.
The results of §5 have just been generalized to arbitrary domains in a beautiful paper
by Gamelin and Garnett [34].
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