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GIUSEPPE CALAFIORE AND L AU R E N T E L G H AO U I

O P T I M I Z AT I O N M O D E L S

SOLUTIONS MANUAL

CAMBRIDGE

Ver. 0.1 - Oct. 2014

DISCLAIMER
This is the first draft of the Solution Manual
for exercises in the book "Optimization Models"
by Calafiore & El Ghaoui.
This draft is under construction. It is still
incomplete and it is very likely to contain
errors.
This material is offered "as is," non commercial-
ly, for personal use of instructors.
Comments and corrections are very welcome.
Contents

2. Vectors 4
3. Matrices 10
4. Symmetric matrices 21
5. Singular Value Decomposition 35
6. Linear Equations 46
7. Matrix Algorithms 58
8. Convexity 68
9. Linear, Quadratic and Geometric Models 81
10. Second-Order Cone and Robust Models 94
11. Semidefinite Models 107
12. Introduction to Algorithms 124
13. Learning from Data 140
14. Computational Finance 152
15. Control Problems 174
16. Engineering Design 183
4

2. Vectors

Exercise 2.1 (Subpaces and dimensions) Consider the set S of points

such that
x1 + 2x2 + 3x3 = 0, 3x1 + 2x2 + x3 = 0.
Show that S is a subspace. Determine its dimension, and find a basis
for it.

Solution 2.1 The set S is a subspace, as can be checked directly: if

x, y ∈ S , then for every λ, µ ∈ R, we have λx + µy ∈ S . To find
the dimension, we solve the equation and find that any solution to
the equations is of the form x1 = −1/2x2 , x3 = −1/3x2 , where x2 is
free. Hence the dimension of S is 1, and a basis for S is the vector
(−1/2, 1, −1/3).

Exercise 2.2 (Affine sets and projections) Consider the set in R3 , de-
fined by the equation
n o
P = x ∈ R3 : x1 + 2x2 + 3x3 = 1 .

1. Show that the set P is an affine set of dimension 2. To this end,

express it as x (0) + span( x (1) , x (2) ), where x (0) ∈ P , and x (1) , x (2)
are linearly independent vectors.

2. Find the minimum Euclidean distance from 0 to the set P , and a

point that achieves the minimum distance.

Solution 2.2

1. We can express any vector x ∈ P as x = ( x1 , x2 , 1/3 − x1 /3 −

2x2 /3), where x1 , x2 are arbitrary. Thus

x = x (0) + x 1 x (1) + x 2 x (2) ,

where
     
0 1 0
     
x (0) =  0  , x (1) =  0  , x (2) =  1  .
1
3 − 13 − 23

Since x (1) and x (2) are linearly independent, P is of dimension 2.

2. The set P is defined by a single linear equation a> x = b, with

a> = [1 2 3] and b = 1, i.e., P is a hyperplane. The minimum
Euclidean distance from 0 to P is the `2 norm of the projection of
0 onto P , which can be determined as discussed in Section 2.3.2.2.
That is, the projection x ∗ of 0 onto P is such that x ∗ ∈ P and x ∗
 5

is orthogonal to the subspace generating P (which coincides with

the span of a), that is x ∗ = αa. Hence, it must be that a> x ∗ = 1,
thus αk ak22 = 1, and α = 1/k ak22 . We thus have that
a
x∗ = ,
k ak22
√
and the distance we are seeking is k x ∗ k2 = 1/k ak2 = 1/ 14.

Exercise 2.3 (Angles, lines and projections)

1. Find the projection z of the vector x = (2, 1) on the line that passes
through x0 = (1, 2) and with direction given by vector u = (1, 1).

2. Determine the angle between the following two vectors:

   
1 3
   
x =  2 , y =  2 .
3 1

Are these vectors linearly independent?

Solution 2.3

1. We can observe directly that u> ( x − x0 ) = 0, hence the projection

of x is the same as that of x0 , which is z = x0 itself.
Alternatively, as seen in Section (2.3.2.1), the projection is

u > ( x − x0 )
z = x0 + u
u> u
which gives z = x0 .
Another method consists in solving

min k x0 + tu − x k22 = min t2 u T u − 2tu> ( x − x0 ) + k x − x0 k22

t t
= min (u> u)(t − t0 )2 + constant,
t

where t0 = ( x − x0 )> u/(u T u). This leads to the optimal t∗ = t0 ,

and provides the same result as before.

2. The angle cosine is given by

x> y 10
cos θ = = ,
k x k2 k y k2 14
which gives θ ≈ 41◦ .
The vectors are linearly independent, since λx + µy = 0 for λ, µ ∈
R implies that λ = µ = 0. Another way to prove this is to observe
that the angle is not 0◦ nor 180◦ .
6

Exercise 2.4 (Inner product) Let x, y ∈ Rn . Under which condition

on α ∈ Rn does the function
n
f ( x, y) = ∑ αk xk yk
k =1

define an inner product on Rn ?

Solution 2.4 The axioms of 2.2 are all satisfied for any α ∈ Rn , except
the conditions

f ( x, x ) ≥ 0;
f ( x, x ) = 0 if and only if x = 0.

These properties hold if and only if αk > 0, k = 1, . . . , n. Indeed, if

the latter is true, then the above two conditions hold. Conversely, if
if there exist k such that αk ≤ 0, setting x = ek (the k-th unit vector
in Rn ) produces f (ek , ek ) ≤ 0; this contradicts one of the two above
conditions.

Exercise 2.5 (Orthogonality) Let x, y ∈ Rn be two unit-norm vectors,

that is, such that k x k2 = kyk2 = 1. Show that the vectors x − y and
x + y are orthogonal. Use this to find an orthogonal basis for the
subspace spanned by x and y.

Solution 2.5 When x, y are both unit-norm, we have

( x − y)> ( x + y) = x > x − y> y − y> x + x > y = x > x − y> y = 0,

as claimed.
We can express any vector z ∈ span( x, y) as z = λx + µy, for some
λ, µ ∈ R. We have z = αu + βv, where

λ+µ λ−µ
α= , β= .
2 2
Hence z ∈ span(u, v). The converse is also true for similar reasons.
Thus, (u, v) is an orthogonal basis for span( x, y). We finish by nor-
malizing u, v, replacing them with (u/kuk2 , v/kvk2 ). The desired or-
thogonal basis is thus given by (( x − y)/k x − yk2 , ( x + y)/k x + yk2 ).

Exercise 2.6 (Norm inequalities)

1. Show that the following inequalities hold for any vector x:

1 √
√ k x k2 ≤ k x k ∞ ≤ k x k2 ≤ k x k1 ≤ n k x k2 ≤ n k x k ∞ .
n

Hint: use the Cauchy-Schwartz inequality.

 7

2. Show that for any non-zero vector x,

k x k21
card( x ) ≥ ,
k x k22

where card( x ) is the cardinality of the vector x, defined as the num-

ber of non-zero elements in x. Find vectors x for which the lower
bound is attained.

Solution 2.6

1. We have
n
k x k22 = ∑ xi2 ≤ n · max
i
xi2 = n · k x k2∞ .
i =1
q
Also, k x k∞ ≤ x12 + . . . + xn2 = k x k2 .
The inequality k x k2 ≤ k x k1 is obtained after squaring both sides,
and checking that
!2
n n n
∑ xi2 ≤ ∑ xi2 + ∑ |xi x j | = ∑ |xi | = k x k21 .
i =1 i =1 i6= j i =1

√
Finally, the condition k x k1 ≤ nk x k2 is due to the Cauchy-Schwartz
inequality
| z > y | ≤ k y k2 · k z k2 ,

applied to the two vectors y = (1, . . . , 1) and z = | x | = (| x1 |, . . . , | xn |).

2. Let us apply the Cauchy-Schwartz inequality with z = | x | again,

and with y a vector with yi = 1 if xi 6= 0, and yi = 0 otherwise.
√
We have kyk2 = k, with k = card( x ). Hence
√
| z > y | = k x k1 ≤ k y k2 · k z k2 = k · k x k2 ,

which proves the result. The bound is attained for vectors with k
non-zero elements, all with the same magnitude.

Exercise 2.7 (Hölder inequality) Prove Hölder’s inequality (2.4). Hint:

consider the normalized vectors u = x/k x k p , v = y/kykq , and ob-
serve that

| x > y | = k x k p k y k q · | u > v | ≤ k x k p k y k q ∑ | u k v k |.
k

Then, apply Young’s inequality (see Example 8.10) to the products

|uk vk | = |uk ||vk |.
8

Solution 2.7 The inequality is trivial if one of the vectors x, y is zero.

We henceforth assume that none is, which allows us to define the
normalized vectors u, v. We need to show that

∑ |uk vk | ≤ 1.
k

Using the hint given, we apply Young’s inequality, which states that
for any given numbers a, b ≥ 0 and p, q > 0 such that

1 1
+ = 1,
p q

it holds that
1 p 1 q
ab ≤ a + b .
p q
We thus have, with a = |uk | and b = |vk |, and summing over k:

1 1
∑ |uk vk | ≤
p ∑ |uk | p + q ∑ |vk |q
k k k
1 p 1 q
= kuk p + kvkq
p q
1 1
= + = 1,
p q

where we have used the fact that kuk p = kvkq = 1.

Exercise 2.8 (Linear functions)

1. For a n-vector x, with n = 2m − 1 odd, we define the median of

x as the scalar value x a such that exactly n of the values in x are
≤ x a and n are ≥ x a (i.e., x a leaves half of the values in x to its left,
and half to its right). Now consider the function f : Rn → R, with
values f ( x ) = x a − n1 ∑in=1 xi . Express f as a scalar product, that is,
find a ∈ Rn such that f ( x ) = a> x for every x. Find a basis for the
set of points x such that f ( x ) = 0.

2. For α ∈ R2 , we consider the “power law” function f : R 2++ → R,

α
with values f ( x ) = x1 1 x2α2 . Justify the statement: “the coefficients
αi provide the ratio between the relative error in f to a relative
error in xi ”.

Solution 2.8 (Linear functions) TBD

Exercise 2.9 (Bound on a polynomial’s derivative) In this exercise,

you derive a bound on the largest absolute value of the derivative
of a polynomial of a given order, in terms of the size of the coeffi-
cients1 . For w ∈ Rk+1 , we define the polynomial pw , with values 1
See the discussion on regularization
in Section 13.2.3 for an application of
this result.
 9

.
p w ( x ) = w1 + w2 x + . . . + w k +1 x k .

Show that, for any p ≥ 1

dpw ( x )
∀ x ∈ [−1, 1] : ≤ C (k, p)kvk p ,
dx

where v = (w2 , . . . , wk+1 ) ∈ Rk , and



 k p = 1,
C (k, p) = k3/2 p = 2,

 k ( k +1)
2 p = ∞.

Hint: you may use Hölder’s inequality (2.4) or the results from Exer-
cise 2.6.

Solution 2.9 (Bound on a polynomial’s derivative) We have, with z =

(1, 2, . . . , k), and using Hölder’s inequality:

dpw ( x )
= w2 + 2w3 x + . . . + kwk+1 x k−1
dx
≤ | w2 | + 2 | w3 | + . . . + k | w k +1 |
= |v> z|
≤ kvk p · kzkq .

When p = 1, we have

kzkq = kzk∞ = k.

When p = 2, we have
p √
k z k q = k z k2 = 1 + 4 + . . . + k2 ≤ k · k2 = k3/2 .

When p = ∞, we have

k ( k + 1)
k z k q = k z k1 = 1 + 2 + . . . + k = .
2
10

3. Matrices

Exercise 3.1 (Derivatives of composite functions)

1. Let f : Rm → Rk and g : Rn → Rm be two maps. Let h : Rn → Rk

be the composite map h = f ◦ g, with values h( x ) = f ( g( x )) for
x ∈ Rn . Show that the derivatives of h can be expressed via a
matrix-matrix product, as Jh ( x ) = J f ( g( x )) · Jg ( x ), where Jh ( x ) is
the Jacobian matrix of h at x, i.e., the matrix whose (i, j) element
∂hi ( x )
is ∂x .
j

2. Let g be an affine map of the form g( x ) = Ax + b, for A ∈ Rm,n ,

b ∈ Rm . Show that the Jacobian of h( x ) = f ( g( x )) is

Jh ( x ) = J f ( g( x )) · A.

3. Let g be an affine map as in the previous point, let f : Rn → R (a

scalar-valued function), and let h( x ) = f ( g( x )). Show that

∇ x h( x ) = A> ∇ g f ( g( x ))
∇2x h( x ) = A> ∇2g f ( g( x )) A.

Solution 3.1

1. We have, by the composition rule for derivatives:

m
∂hi ( x ) ∂f ∂g
[ Jh ( x )]i,j = = ∑ i (x) l (x)
∂x j l =1
∂gl ∂x j
m
= ∑ [ J f ( g(x))]i,l [ Jg (x)]l,j ,
l =1

which proves the result.

2. Since gi ( x ) = ∑nk=1 aik xk + bi , i = 1, . . . , m, we have that the (i, j)-th

element of the Jacobian of g is

∂gi ( x )
[ Jg ( x )]ij = = aij ,
∂x j

hence Jg ( x ) = A, and the desired result follows from applying

point 1. of this exercise.

3. For a scalar-valued function, the gradient coincides with the tran-

sopose of the Jacobian, hence the expression for the gradient of h
w.r.t. x follows by applying the previous point. For the Hessian,
 11

we have instead
∂2 h ( x ) ∂ ∂h( x ) ∂ >
[∇2x h( x )]ij = = = a ∇ g f ( g( x ))
∂xi ∂x j ∂x j ∂xi ∂x j i
m m
∂ ∂ f ( g( x )) ∂ ∂ f ( g( x ))
=
∂x j ∑ aik ∂gk
= ∑ aik
∂x j ∂gk
k =1 k =1
m m  
∂ ∂ f ( g( x )) ∂g p ( x )
= ∑ aik ∑ ∂g p ∂gk ∂x j
k =1 p =1
m m
∂2 f ( g( x )) ∂g p ( x )
= ∑ aik ∑ ∂g p ∂gk ∂x j
k =1 p =1
m m
∂2 f ( g( x ))
= ∑ aik ∑ ∂g p ∂gk pj
a
k =1 p =1

= ai> ∇2g f ( g( x )) a j ,

which proves the statement.

Exercise 3.2 (Permutation matrices) A matrix P ∈ Rn,n is a permu-

tation matrix if its columns are a permutation of the columns of the
n × n identity matrix.

1. For a n × n matrix A, we consider the products PA and AP. De-

scribe in simple terms what these matrices look like with respect
to the original matrix A.

2. Show that P is orthogonal.

Solution 3.2

1. Given the matrix A, the product PA is the matrix obtained by per-

muting the rows of A; AP corresponds to permuting the columns.

2. Every pair of columns ( pk , pl ) of P is of the form (ek , el ), where

ek , el are the k-th and the l-th standard basis vectors in Rn . Thus,
k pk k2 = 1, and p> k pl = 0 if k 6 = l, as claimed.

Exercise 3.3 (Linear maps) Let f : Rn → Rm be a linear map. Show

how to compute the (unique) matrix A such that f ( x ) = Ax for every
x ∈ Rn , in terms of the values of f at appropriate vectors, which you
will determine.

Solution 3.3 For i = 1, . . . , n, let ei be the i-th unit vector in Rn . We

have
f (ei ) = Aei = ai ,
where ai is the i-th column of A. Hence we can compute the matrix
A column-wise, by evaluating f at the points e1 , . . . , en .
12

Exercise 3.4 (Linear dynamical systems) Linear dynamical systems

are a common way to (approximately) model the behavior of physical
phenomena, via recurrence equations of the form2 2
Such models are the focus of Chap-
ter 15.
x (t + 1) = Ax (t) + Bu(t), y(t) = Cx (t), t = 0, 1, 2, . . . ,

where t is the (discrete) time, x (t) ∈ Rn describes the state of the

system at time t, u(t) ∈ R p is the input vector, and y(t) ∈ Rm is the
output vector. Here, matrices A, B, C, are given.

1. Assuming that the system has initial condition x (0) = 0, express

the output vector at time T as a linear function of u(0), . . . , u( T −
1); that is, determine a matrix H such that y( T ) = HU ( T ), where
 
u (0)
.  .. 
U (T ) = 
 .


u ( T − 1)

contains all the inputs up to and including at time T − 1.

2. What is the interpretation of the range of H?

Solution 3.4

1. We have

x (1) = Bu(0)
x (2) = Ax (1) + Bu(1) = ABu(0) + Bu(1)
x (3) = Ax (2) + Bu(2) = A2 Bu(0) + ABu(1) + Bu(2).

We now prove by induction that, for T ≥ 1:

T −1 h i
x(T ) = ∑ Ak Bu( T − 1 − k) = A T −1 B ... AB B U ( T ).
k =0

The formula is correct for T = 1. Let T ≥ 2. Assume the formula

is correct for T − 1; we have
!
T −2
x ( T ) = Ax ( T − 1) + Bu( T − 1) = A ∑ Ak Bu( T − 2 − k) + Bu( T − 1)
k =0
T −2
= ∑ Ak+1 Bu( T − 2 − k) + Bu( T − 1)
k =0
T −1
= ∑ Ak Bu( T − 1 − k) + Bu( T − 1)
k =1
T −1
= ∑ Ak Bu( T − 1 − k),
k =0
 13

as claimed. Finally, we have y( T ) = HU ( T ), with

h i
H = C · A T −1 B . . . AB B .

2. The range of H is the set of output vectors that are attainable at

time T by the system by proper choice of the sequence of inputs,
starting from the initial state x (0) = 0.

Exercise 3.5 (Nullspace inclusions and range) Let A, B ∈ Rm,n be

two matrices. Show that the fact that the nullspace of B is contained
in that of A implies that the range of B> contains that of A> .

Solution 3.5 Assume that the nullspace of B is contained in that of

A. This means that
Bx = 0 =⇒ Ax = 0.

Let z ∈ R( A> ): there exist y ∈ Rm such that z = A> y. We have thus,

for any element x ∈ N ( A), z> x = y> Ax = 0. Hence, z is orthogonal
to the nullspace of A, so it is orthogonal to the nullspace of B. We
have obtained R( A> ) ⊆ N ( B)⊥ = R( B> ), as claimed. Here, we
have used the fundamental theorem of linear algebra (3.1).

Exercise 3.6 (Rank and nullspace) Consider the image in Figure 3.6,
a gray-scale rendering of a painting by Mondrian (1872-1944). We
build a 256 × 256 matrix A of pixels based on this image by ignoring
grey zones, assigning +1 to horizontal or vertical black lines, +2 at
the intersections, and zero elsewhere. The horizontal lines occur at
Figure 3.1: A gray-scale rendering of
row indices 100, 200 and 230, and the vertical ones, at columns indices
a painting by Mondrian.
50, 230.

1. What is nullspace of the matrix?

2. What is its rank?

Solution 3.6

1. Denote by ei the i-th unit vector in R256 , by z1 ∈ R256 the vector

with all first 50 components equal to one, by z2 ∈ R256 the vector
with all last 26 components equal to one, and by z3 ∈ R256 the
vector with all last 56 components equal to one. Finally, 1 denotes
the vector of all ones in R256 . We can express the matrix as
>
M = e100 z1> + e200 1> + e230 z3> + 1e50 >
+ z3 e230 .

The condition Mx = 0, for some vector x ∈ Rn , translates as

(z1> x )e100 + (1> x )e200 + (z3> x )e230 + (e50

> >
x )1 + (e230 x )z3 = 0.
14

Since the vectors (e100 , e200 , e230 , 1, z3 ) are linearly independent, we

obtain that the five coefficients in the above must be zero:

0 = z1> x = 1> x = z3> x = e50

> >
x = e230 x.

It is easy to check that the corresponding subspace of R256 is of

dimension 256 − 5 = 251. Indeed, two elements of x are zero
(x50 = x230 = 0), the remaining ones satisfy three independent
equality constraints. From these we can express (say) x1 , x201 , x51
from the remaining variables, which then are free of any con-
straints. We can eliminate a total of five variables from the above
five conditions, so the nullspace is of dimension 251.

2. The rank is 5.

Exercise 3.7 (Range and nullspace of A> A) Prove that, for any ma-
trix A ∈ Rm,n , it holds that

N ( A> A) = N ( A)
R ( A > A ) = R ( A > ). (3.1)

Hint: use the fundamental theorem of linear algebra.

Solution 3.7 First, suppose x ∈ N ( A), then Ax = 0 and obviously

A> Ax = 0. Conversely, suppose x ∈ N ( A> A), we show by contra-
diction that it must be x ∈ N ( A), hence proving the first claim. In-
deed, suppose x ∈ N ( A> A) but x 6∈ N ( A). Define then v = Ax 6= 0.
Such a v is by definition in the range of A, and A> v = A> Ax = 0,
so v is also in the nullspace of A> , which is impossible since, by the
fundamental theorem of linear algebra, R( A)⊥ N ( A> ). Next,

R ( A > ) = N ( A ) ⊥ = N ( A > A ) ⊥ = R ( A > A ),

which proves (3.1).

Exercise 3.8 (Cayley-Hamilton theorem) Let A ∈ Rn,n and let

.
p(λ) = det(λIn − A) = λn + cn−1 λn−1 + · · · + c1 λ + c0

be the characteristic polynomial of A.

1. Assume A is diagonalizable. Prove that A annihilates its own

characteristic polynomial, that is

p( A) = An + cn−1 An−1 + · · · + c1 A + c0 In = 0.

Hint: use Lemma 3.3.

 15

2. Prove that p( A) = 0 holds in general, i.e., also for non-diagona-

lizable square matrices. Hint: use the facts that polynomials are
continuous functions, and that diagonalizable matrices are dense
in Rn,n , i.e., for any e > 0 there exist ∆ ∈ Rn,n with k∆k F ≤ e such
that A + ∆ is diagonalizable.

Solution 3.8

1. The result is immediate from Lemma 3.3: if A = UΛU −1 is a

diagonal factorization of A, then p(Λ) = 0, since by definition
eigenvalues are roots of the characteristic polynomial, hence

p( A) = U p(Λ)U −1 = 0.

2. The map p : Rn,n → Rn,n with values p( A) = An + cn−1 An−1 +

· · · + c1 A + c0 In is continuous on Rn,n . This map is identically zero
on the dense subset of Rn,n formed by diagonalizable matrices
(proved in the previous point of the exercise), hence by continuity
it must be zero everywhere in Rn,n .

Exercise 3.9 (Frobenius norm and random inputs) Let A ∈ Rm,n be

a matrix. Assume that u ∈ Rn is a vector-valued random variable,
with zero mean and covariance matrix In . That is, E{u} = 0, and
E{uu> } = In .

1. What is the covariance matrix of the output, y = Au?

2. Define the total output variance as E{ky − ŷk22 }, where ŷ = E{y}

is the output’s expected value. Compute the total output variance
and comment.

Solution 3.9

1. The mean of the output is zero: ŷ = Ey = AEu = 0. Hence the

covariance matrix is given by

E(yy> ) = E( Auu> A> )

= AE(uu> ) A>
= AA> .

2. The total variance is

E( y > y ) = trace E(yy> )

= trace( AA> )
= k Ak2F .
16

The total output variance is the square of the Frobenius norm of

1 2
the matrix. Hence the Frobenius norm captures the response of the
matrix to a class of random inputs (zero mean, and unit covariance
3
matrix).

Exercise 3.10 (Adjacency matrices and graphs) For a given undirec- 5 4

ted graph G with no self-loops and at most one edge between any
pair of nodes (i.e., a simple graph), as in Figure 3.2, we associate a Figure 3.2: An undirected graph with
n × n matrix A, such that n = 5 vertices.
(
1 if there is an edge between node i and node j,
Aij =
0 otherwise.

This matrix is called the adjacency matrix of the graph3 . 3

The graph in Figure 3.2 has adja-
cency matrix
1. Prove the following result: for positive integer k, the matrix Ak 
0 1 0 1 1

has an interesting interpretation: the entry in row i and column j  1
 0 0 1 1 

gives the number of walks of length k (i.e., a collection of k edges) A=  0 0 0 0 1 .

 1 1 0 0 0 
leading from vertex i to vertex j. Hint: prove this by induction on 1 1 1 0 0
k, and look at the matrix-matrix product Ak−1 A.

2. A triangle in a graph is defined as a subgraph composed of three

vertices, where each vertex is reachable from each other vertex
(i.e., a triangle forms a complete subgraph of order 3). In the
graph of Figure 3.2, for example, nodes {1, 2, 4} form a triangle.
Show that the number of triangles in G is equal to the trace of A3
divided by 6. Hint: For each node in a triangle in an undirected
graph, there are two walks of length 3 leading from the node to
itself, one corresponding to a clockwise walk, and the other to a
counter-clockwise walk.

Solution 3.10

1. We can prove the result by induction on k. For k = 1, the re-

sult follows from the very definition of A. Let Lk (i, j) denote the
number of paths of length k between nodes i and j, and assume
that the result we wish to prove is true for some given h ≥ 1,
so that Lh (i, j) = [ Ah ]i,j . We next prove that it must also hold
that Lh+1 (i, j) = [ Ak+1 ]i,j , thus proving by inductive argument that
Lk (i, j) = [ Ak ]i,j for all k ≥ 1.
Indeed, to go from a node i to a node j with a walk of length h + 1,
one needs first reach, with a walk of length h, a node l linked to j
by an edge. Thus:

Lh+1 (i, j) = ∑ Lh (i, l ),

l ∈V ( j )
 17

where V ( j) is the neighbor set of j, which is the set of nodes con-

nected to the j-th node, that is, nodes l such that Al,j 6= 0. Thus:

n
Lh+1 (i, j) = ∑ Lh (i, l ) Al,j .
l =1

But we assumed that Lh (i, j) = [ Ah ]i,j , hence the previous equation

can be written as
n
Lh+1 (i, j) = ∑ [ Ah ]i,l Al,j .
l =1

In the above we recognize the (i, j)-th element of the product

Ah A = Ah+1 , which proves that Lh+1 (i, j) = [ Ah+1 ]i,j , and hence
concludes the inductive proof.

2. Following the hint, we observe that for each node in a triangle in

an undirected graph there are two walks of length 3 leading from
the node to itself, one corresponding to a clockwise walk, and the
other to a counter-clockwise walk. Therefore, each triangle in the
graph produces 6 walks of length 3 (two walks for each vertex
composing the triangle). From the previous result, the number of
walks of length 3 from node i to itself is given by [ A3 ]i,i , hence the
total number of of walks of length 3 from each node to itself is
∑in=1 [ A3 ]i,i = trace( A3 ), and therefore the number of triangles is
trace( A3 )/6.

Exercise 3.11 (Nonnegative and positive matrices) A matrix A ∈ Rn,n

is said to be nonnegative (resp. positive) if aij ≥ 0 (resp. aij > 0) for all
i, j = 1, . . . , n. The notation A ≥ 0 (resp. A > 0) is used to denote
nonnegative (resp. positive) matrices.
A nonnegative matrix is said to be column (resp. row) stochastic,
if the sum of the elements along each column (resp. row) is equal to
one, that is if 1> A = 1> (resp. A1 = 1). Similarly, a vector x ∈ Rn
is said to be nonnegative if x ≥ 0 (element-wise), and it is said to
be a probability vector, if it is nonnegative and 1> x = 1. The set of
probability vectors in Rn is thus the set S = { x ∈ Rn : x ≥ 0, 1> x =
1}, which is called the probability simplex. The following points you
are requested to prove are part of a body of results known as the
Perron-Frobenius theory of nonnegative matrices.

1. Prove that a nonnegative matrix A maps nonnegative vectors into

nonnegative vectors (i.e., that Ax ≥ 0 whenever x ≥ 0), and that
a column stochastic matrix A ≥ 0 maps probability vectors into
probability vectors.
18

2. Prove that if A > 0, then its spectral radius ρ( A) is positive. Hint:

use the Cayley-Hamilton theorem.

3. Show that it holds for any matrix A and vector x that

| Ax | ≤ | A|| x |,

where | A| (resp. | x |) denotes the matrix (resp. vector) of moduli

of the entries of A (resp. x). Then, show that if A > 0 and λi , vi is
an eigenvalue/eigenvector pair for A, then

|λi ||vi | ≤ A|vi |.

4. Prove that if A > 0 then ρ( A) is actually an eigenvalue of A (i.e., A

has a positive real eigenvalue λ = ρ( A), and all other eigenvalues
of A have modulus no larger than this “dominant” eigenvalue),
and that there exist a corresponding eigenvector v > 0. Further,
the dominant eigenvalue is simple (i.e., it has unit algebraic mul-
tiplicity), but you are not requested to prove this latter fact.
Hint: For proving this claim you may use the following fixed-point
theorem due to Brouwer: if S is a compact and convex set4 in Rn , and 4
See Section 8.1 for definitions of
compact and convex sets.
f : S → S is a continuous map, then there exist an x ∈ S such that
.
f ( x ) = x. Apply this result to the continuous map f ( x ) = 1>AxAx ,
with S being the probability simplex (which is indeed convex and
compact).

5. Prove that if A > 0 and it is column or row stochastic, then its

dominant eigenvalue is λ = 1.

Solution 3.11 (Nonnegative and positive matrices)

1. Let A ≥ 0, x ≥ 0, y = Ax, and denote with ai> the i-th row of A.

Then obviously
n
yi = ai> x = ∑ aij x j ≥ 0, i = 1, . . . , n,
j =1

which shows that a nonnegative matrix maps nonnegative vectors

into nonnegative vectors. Further, if x is a probability vector and
A is stochastic, then

1> y = 1> Ax = 1> x = 1,

which shows that y is also a probability vector.

2. Suppose by contradiction that A > 0 and ρ( A) = 0. This would

imply that A has an eigenvalue of maximum modulus in λ = 0,
 19

thus, all eigenvalues of A are actually zero. This means that the
characteristic polynomial of A is p A (s) = sn and, by the Cayley-
Hamilton theorem, it must hold that An = 0, which is impossible
since An is the n-fold product of positive matrices, hence it must
be positive.

3. By the triangle inequality, we have that, for i = 1, . . . , n,

n n
| ai> x | ≤ ∑ |aij x j | = ∑ |aij ||x j |
j =1 j =1

= | ai> || x |,

whih proves the first part. If A > 0 the above relation reads | Ax | ≤
A| x | which, for x = vi , becomes

A|vi | ≥ | Avi | = |λi vi | = |λi ||vi |.

.
4. Let S be the probability simplex, and f ( x ) = 1>AxAx . From Brouwer’s
fixed-point theorem there exist v ∈ S such that f (v) = v, that is
such that
.
Av = (1> Av)v = λv, λ = 1> Av.
Moreover, since A > 0, it holds that λ > 0 and v > 0; thus A has a
positive eigenvalue and a corresponding positive eigenvector. We
next apply the same result to A> , obtaining that there exist w ∈ S
such that
.
A> w = (1> A> w)w = µw, µ = 1> A> w,

where again µ > 0 and w > 0. Now, v> w > 0, and

λv> w = v> A> w = µv> w,

which implies that µ = λ, whence A> w = λw.

Next, consider any eigenvalue/eigenvector pair λi , vi for A, and
apply the result of point 3. in this exercise, to obtain that

|λi ||vi | ≤ A|vi |, i = 1, . . . , n.

Multiply both sides on the left by w> to get

w> |λi ||vi | ≤ w> A|vi | = λw> |vi |,

from which we obtain that

|λi | ≤ λ, i = 1, . . . , n,

which proves that λ (which is real and positive, as shown above)

is indeed a maximum modulus eigenvalue of A (thus, λ = ρ( A)),
and the corresponding eigenvector v is positive.
20

5. By definition, if A is column stochastic then 1> A = 1> , which

means that λ = 1 is an eigenvalue of A. Next, recall from Sec-
tion 3.6.3.1 that the spectral radius of A is no larger than its in-
duced `1 norm:
m
ρ( A) ≤ k Ak1 = max
j=1,...,n
∑ |aij | = 1,
i =1

hence λ = 1 is indeed the dominant eigenvalue. An analogous

argument applies to row stochastic matrices.
 21

4. Symmetric matrices

Exercise 4.1 (Eigenvectors of a symmetric 2 × 2 matrix) Let p, q ∈ Rn

be two linearly independent vectors, with unit norm (k pk2 = kqk2 =
.
1). Define the symmetric matrix A = pq> + qp> . In your derivations,
.
it may be useful to use the notation c = p> q.

1. Show that p + q and p − q are eigenvectors of A, and determine

the corresponding eigenvalues.

2. Determine the nullspace and rank of A.

3. Find an eigenvalue decomposition of A, in terms of p, q. Hint: use

the previous two parts.

4. What is the answer to the previous part if p, q are not normalized?

Solution 4.1

1. We have
Ap = (cp + q), Aq = p + cq,

from which we obtain

A( p − q) = (c − 1)( p − q), A( p + q) = (c + 1)( p + q).

Thus u± := p ± q is an (un-normalized) eigenvector of A, with

eigenvalue c ± 1.

2. The condition on x ∈ Rn : Ax = 0, holds if and only if

0 = (q> x ) p + ( p> x )q = 0.

Since p, q are linearly independent, the above is equivalent to p> x =

q> x = 0. The nullspace is the set of vectors orthogonal to p and q.
The range is the span of p, q. The rank is thus 2.

3. Since the rank is 2, there is a total of two non-zero eigenvalues.

Note that, since p, q are normalized, c is the cosine angle between
p, q; |c| < 1 since p, q are independent. We have found two lin-
early independent eigenvectors u± = p ± q that do not belong to
the nullspace (since |c| < 1). We can complete this set with eigen-
vectors corresponding to the eigenvalue zero; simply choose an
orthonormal basis for the nullspace.
Then, the eigenvalue decomposition is

A = ( c − 1) v − v > >
− + ( c + 1) v + v + ,
22

where v± are the normalized vectors v± = u± /ku± k2 . We have

1
v± = p ( p ± q ),
2(1 ± c )
so that the eigenvalue decomposition amounts to the trivial iden-
tity
1 
A= ( p + q)( p + q)> − ( p − q)( p − q)> .
2
4. We can always scale the matrix: with p̄ = p/k pk2 , q̄ = q/kqk2 , we
have  
A = k pk2 kqk2 p̄q̄> + q̄ p̄> .

The eigenvalues are scaled accordingly: with c = ( p/k pk2 )> (q/kqk2 ),

λ ± = k p k2 k q k2 ( c ± 1) = p > q ± k p k2 k q k2 .

Note that, since p, q are independent, none of these eigenvalues

is zero; one is positive, the other negative. This is due to the
Cauchy-Schwartz inequality, which says that | p> q| ≤ k pk2 kqk2 ,
with equality if and only if p, q are linearly dependent.
The corresponding (un-normalized) eigenvectors are p̄ ± q̄. The
eigenvalue decomposition obtained before leads to
k p k2 k q k2  
A= ( p̄ + q̄)( p̄ + q̄)> − ( p̄ − q̄)( p̄ − q̄)> .
2

Exercise 4.2 (Quadratic constraints) For each of the following cases,

determine the shape of the region generated by the quadratic con-
straint x > Ax ≤ 1.
" #
2 1
1. A = .
1 2
" #
1 −1
2. A = .
−1 1
" #
−1 0
3. A = .
0 −1
Hint: use the eigenvalue decomposition of A, and discuss depending
on the sign of the eigenvalues.

Solution 4.2 The region determined by x > Ax ≤ 1 is best understood

in terms of an eigenvalue decomposition of A: A = UΛU > , with
Λ = diag (λ1 , λ2 ) are the two eigenvalues of A, with by convention
λ1 ≥ λ2 . We have

x > Ax ≤ 1 ⇐⇒ λ1 x̄12 + λ2 x̄22 ≤ 1,

 23

where x̄ = U > x (so that x = U x̄). Several cases can occur.

If λi > 0, i = 1, 2, in the rotated space where x̄ lives, the above
set takes the shape of an ellipsoid centered at zero, with semi-axes
√
lengths given by 1/ λi , and principal directions x̄ (i) = ei (the i-th
unit vector), i = 1, 2. The principal directions in the original space
are given by x (i) = Uei = ui , where ui is the i-th column of U, i = 1, 2.
Those vectors are nothing else than the eigenvectors of A.
If λi < 0, i = 1, 2, the set is the whole space R2 .
If λ1 > 0, λ2 < 0, the set is an hyperboloid centered at zero, with
principal directions given by the eigenvectors.
If one of the eigenvalues is zero, the set is a cylinder, again cen-
tered at zero. If λ1 > λ2 = 0, then the set is characterized by
√
| x̄1 | ≤ 1/ λ1 . If 0 = λ1 > λ2 , the set is the outside of the set
√
characterized by | x̄2 | ≤ 1/ −λ2 .

1. The eigenvalues are characterized by

0 = det(λI − A) = (λ − 2)2 − 1,

which gives λ = 3, 1. We then solve for u ∈ R2 in Au = λu, which

gives two equations that are redundant by construction. We obtain
from the first one u1 = u2 (if λ = 3) and u1 = −u2 (if λ = 1). Two
normalized eigenvectors for λ = 3, 1 respectively, are
" # " #
1 1 1 1
u1 = √ , u2 = √ .
2 1 2 −1

We obtain
" #" #> " #" #>
3 1 1 1 1 1
A= + .
2 1 −1 2 −1 1

The region determined by x > Ax ≤ 1 is

3x̄12 + x̄22 ≤ 1,
√ √
with x̄1 = ( x1 − x2 )/ 2, x̄2 = ( x1 + x2 ) 2. This corresponds to
an ellipsoid centered at zero with semi-axis length of 3, 1, with
√
length 1/ 3 associated with the direction (1, 1) and the length 1
associated with the direction (1, −1); the ellipsoid is rotated anti-
clockwise by a 45◦ degree angle.

2. The set is characterized by

1 ≥ x > Ax = x1 ( x1 − x2 ) + x2 (− x1 + x2 ) = ( x1 − x2 )2 ,

which translates as the slab −1 ≤ x1 − x2 ≤ 1. The slab is parallel

to the direction (1, 1), and is between the two lines x2 = x1 ± 1.
24

3. The set is characterized by − x12 − x22 ≤ 1, which is the whole space

R2 .

Exercise 4.3 (Drawing an ellipsoid)

1. How would you efficiently draw an ellipsoid in R2 , if the ellipsoid

is described by a quadratic inequality of the form
n o
E = x > Ax + 2b> x + c ≤ 0 ,

where A is 2 × 2 and symmetric, positive-definite, b ∈ R2 , and

c ∈ R? Describe your method as precisely as possible.

2. Draw the ellipsoid

n o
E = 4x12 + 2x22 + 3x1 x2 + 4x1 + 5x2 + 3 ≤ 1 .

Solution 4.3

1. Since A is positive-definite, it admits a Cholesky decomposition,

if the form A = R> R, with R upper-triangular and invertible. In
terms of the new variable x̄ = Rx, we have x ∈ E if and only if

1 ≥ x̄ > x̄ − 2x̄0> x̄ + c = k x̄ − x̄0 k22 + c − k x̄0 k22 .

where x̄0 = −( R> )−1 b. The set is empty when 1 + k x̄0 k22 < c. Oth-
erwise, the inequality writes k x̄ − x̄0 k2 ≤ ρ, with ρ2 = 1 + k x̄0 k22 −
c. In the x̄-space, the set is a circle with center x0 and radius ρ.
The set in the x-space is then obtained by the linear transforma-
tion x = R−1 x̄. The resulting set is an ellipsoid is centered at
x0 = R−1 x̄0 = − A−1 b, and principal axes and directions given
by the singular value decomposition of R (we don’t need to detail
those to draw the ellipsoid).
To produce a set of N points on the ellipsoid, encoded in a 2 × N
matrix X, the method starts by generating a set of N points on a
unit circle, encoded in a 2 × N matrix Z; the set of points in x-
space is then obtained by scaling by ρ, adding x̄0 defined above to
each column, and multiplying the resulting matrix by the matrix
R−1 . That is:  
X = R−1 ρ · Z + x̄0 1> ,

with 1 the vector of ones in R N .

2. We have now
" # " #
4 3/2 2
A= , b= , c = 2.
3/2 2 5/2
 25

A Cholesky decomposition of A is A = R T R, with

" #
2 3/4
R= .
0 1.19

We have x̄0 = −( R> )−1 b = (−1, −1.4596), and ρ = 1.4596. The

result is shown in Fig 4.3.

Exercise 4.4 (Minimizing a quadratic function) Consider the uncon-

strained optimization problem

1 >
p∗ = min x Qx − c> x
x 2 Figure 4.3: An ellipsoid in two dimen-
sions.
where Q = Q> ∈ Rn,n , Q  0, and c ∈ Rn are given. The goal of this
exercise is to determine the optimal value p∗ and the set of optimal
solutions, X opt , in terms of c and the eigenvalues and eigenvectors
of the (symmetric) matrix Q.

1. Assume that Q  0. Show that the optimal set is a singleton, and

that p∗ is finite. Determine both in terms of Q, c.

2. Assume from now on that Q is not invertible. Assume further

that Q is diagonal: Q = diag (λ1 , . . . , λn ), with λ1 ≥ . . . ≥ λr >
λr+1 = . . . = λn = 0, where r is the rank of Q (1 ≤ r < n). Solve
the problem in that case (you will have to distinguish between two
cases).

3. Now we do not assume that Q is diagonal anymore. Under what

conditions (on Q, c) is the optimal value finite? Make sure to ex-
press your result in terms of Q and c, as explicitly as possible.

4. Assuming that the optimal value is finite, determine the optimal

value and optimal set. Be as specific as you can, and express your
results in terms of the pseudo-inverse5 of Q. 5
See Section 5.2.3.

Solution 4.4

1. When Q  0, it admits a Cholesky decomposition Q = R> R, with

R upper-triangular and invertible. We can define the new variable
x̄ = Rx, which leads to the problem

1 >
min x̄ x̄ − c̄> x̄,
x̄ 2

where c̄ = ( R−1 )> c. We can express the objective in the above

problem as
1
k x̄ − c̄k22 − kc̄k22 ,
2
26

from which it is clear that the unique minimizer is x̄ = c̄. In terms

of the x-variable, the unique solution is x = R−1 c̄ = Q−1 b.
The same result can be obtained by invoking the fact that the
minimizers of a convex differentiable function f without any con-
straints, are characterized by the optimality condition 6 ∇ f ( x ) = 6
See Section 8.4.1.
0. In our case, we have ∇ f ( x ) = Qx − c.
2. The objective function writes
r   n
1
f (x) = ∑ λi xi − ci xi + ∑ ci xi .
2
i =1
2 i =r +1

If any element ci , i = r + 1, . . . , n, is non-zero, the optimal value

is −∞. Otherwise, that is, when c is in the range of Q, the opti-
mal value is obtained with xi = ci /λi , i = 1, . . . , r, and the other
variables xr+1 , . . . , xn free. That value is
1 r c2i
2 i∑
p∗ = − .
λ
=1 i

3. We use the eigenvalue decomposition of Q: Q = UΛU > , with

Λ = diag (λ1 , . . . , λn ). The problem is more conveniently formu-
lated in terms of the new variable x̄ = U > x:
1
p∗ = min x̄ > Λ x̄ − c̄> x̄,
x̄ 2
.
with c̄ = Uc.
Assuming as before λ1 ≥ . . . ≥ λr > λr+1 = . . . = λn = 0,
where r is the rank of Q (1 ≤ r < n), we are lead to the similar
conclusions. In particular, the optimal value is finite if and only if
the last n − r components of c̄ are zero. This means that c must be
in the range of Q, in order for the value to be finite.
4. Let us assume that the optimal value is finite. In that case, the
optimal set is the set of points U x̄, where x̄r+1 , . . . , x̄n are free, and
xi = c̄i /λi , i = 1, . . . , r. The solution corresponding to x̄r+1 =
. . . = x̄n = 0 is nothing else than Q† c, where Q† = UΛ† U > is the
pseudo-inverse of Q, defined via

Λ† = diag (1/λ1 , . . . , 1/λr , 0, . . . , 0) .

The optimal value is then

1 r c̄2i 1
2 i∑
p∗ = − = − c> Q† c,
λ
=1 i
2
and the optimal set is of the form

x = Q† c + ( I − QQ† )v,

with v a free variable.

 27

Exercise 4.5 (Interpretation of covariance matrix) As in Example 4.2,

we are given m data points x (1) , . . . , x (m) in Rn , and denote by Σ the
sample covariance matrix:
m
. 1
Σ=
m ∑ (x(i) − x̂)(x(i) − x̂)> ,
i =1

where x̂ ∈ Rn is the sample average of the points:

m
. 1
x̂ =
m ∑ x (i ) .
i =1

We assume that the average and variance of the data projected along
a given direction does not change with the direction. In this exercise
we will show that the sample covariance matrix is then proportional
to the identity.
We formalize this as follows. To a given normalized direction
w ∈ Rn , kwk2 = 1, we associate the line with direction w passing
through the origin, L(w) = {tw : t ∈ R }. We then consider the
projection of the points x (i) , i = 1, . . . , m, on the line L(w), and look
at the associated coordinates of the points on the line. These projected
values are given by
.
ti (w) = arg min ktw − x (i) k2 , i = 1, . . . , m.
t

We assume that for any w, the sample average t̂(w) of the projected
values ti (w), i = 1, . . . , m, and their sample variance σ2 (w), are both
constant, independent of the direction w. Denote by t̂ and σ2 the
(constant) sample average and variance. Justify your answer to the
following questions as carefully as you can.

1. Show that ti (w) = w> x (i) , i = 1, . . . , m.

2. Show that the sample average x̂ of the data points is zero.

3. Show that the sample covariance matrix Σ of the data points is

of the form σ2 In . Hint: the largest eigenvalue λmax of the matrix
Σ can be written as: λmax = maxw {w> Σw : w> w = 1}, and a
similar expression holds for the smallest eigenvalue.

Solution 4.5

1. The result is obtained by noting that, when kwk2 = 1, we have for

any x ∈ Rn :

ktw − x k22 = (t − t∗ )2 + constant,

where t∗ = x > w. Minimizing the above over t gives t = t∗ .

28

2. We have that
m
∑ ti (w) = x̂> w
i =1
is a constant on the unit sphere, independent of w. This is only
possible if x̂ = 0. Indeed, taking w = ei (the i-th unit vector in Rn ),
we see that all the elements of x̄ must be equal, so that x̄ = β1,
with β ∈ R and 1 the vector of ones in R. If β 6= 0, we obtain
that the linear fuction w → 1> w is constant over the unit sphere, a
contradiction. Hence β = 0, and thus x̂ = 0.

3. The sample variance of the projected values is given by

m m
1 1
σ2 ( w ) =
m ∑ t i ( w )2 = m ∑ (w> x(i) )2 = w> Σw,
i =1 i =1

where we have used that x̂ = 0, which implies

m
1
Σ=
m ∑ x (i ) ( x (i ) ) > .
i =1

Since σ2 (w) is a constant on the unit sphere, the function w →

w> Σw is also constant on the unit sphere. Thus, the largest and
smallest eigenvalues coincide, and Σ is proportional to the iden-
tity: Σ = αI, with α ∈ R. The proportion factor is σ2 , since
σ2 = w> Σw = αw> w = α.
Picture 1.png 250×165 pixels
Exercise 4.6 (Connected graphs and the Laplacian) We are given a
graph as a set of vertices in V = {1, . . . , n}, with an edge joining any
pair of vertices in a set E ⊆ V × V. We assume that the graph is
undirected (without arrows), meaning that (i, j) ∈ E implies ( j, i ) ∈
E. As in Section 4.1, we define the Laplacian matrix by


 −1 if (i, j) ∈ E, Figure 4.4: Example of an undirected
Lij = d(i ) if i = j, graph.

 0 otherwise.
Here, d(i ) is the number of edges adjacent to vertex i. For example,
d(4) = 3 and d(6) = 1 for the graph in Figure 4.4.

1. Form the Laplacian for the graph shown in Figure 4.4.

2. Turning to a generic graph, show that the Laplacian L is symmet-

ric.

3. Show that L is positive-semidefinite, proving the following iden-

tity, valid for any u ∈ Rn :
. 1
2 (i,j∑
u> Lu = q(u) = ( u i − u j )2 .
)∈ E

http://cnx.org/content/m29399/1.1/Picture%201.png
 29

Hint: find the values q(k), q(ek ± el ), for two unit vectors ek , el such
that (k, l ) ∈ E.

4. Show that 0 is always an eigenvalue of L, and exhibit an eigenvec-

tor. Hint: consider a matrix square-root7 of L. 7
See Section 4.4.4.

5. The graph is said to be connected if there is a path joining any

pair of vertices. Show that if the graph is connected, then the zero
eigenvalue is simple, that is, the dimension of the nullspace of L
is 1. Hint: prove that if u> Lu = 0, then ui = u j for every pair
(i, j) ∈ E.

Solution 4.6

1. The Laplacian for the graph is

 
2 −1 0 0 −1 0
 
 −1 3 −1 0 −1 0 
 
 0 −1 2 −1 0 0 
L=  0
.
 0 −1 3 −1 −1 

 
 −1 −1 0 −1 3 0 
0 0 0 −1 0 1

2. L is symmetric, by definition of the edge set E.

3. Let us prove that the expression is valid by looking at the values

of the quadratic form at specific points. Let

. 1
2 (i,j∑
q(u) = ( u i − u j )2 .
)∈ E

Clearly, q is of the form u> Qu for some symmetric matrix Q. Note

that q(u) ≥ 0 for every u, hence Q is positive semi-definite. Let us
show that Q = L, which will imply that L is positive semi-definite.
Expanding, we obtain

q(u) = ∑ d(i )u2i − ∑ ui u j .

(i,j)∈ E i 6= j, (i,j)∈ E

We have for every k ∈ {1, . . . , n}:

Qkk = q(ek ) = ∑ 1 = d ( k ),
j : (k,j)∈ E

We next find Qkl for k 6= l, thanks to the formula

1
Qkl = (q(ek + el ) − q(ek − el )).
2
30

If (k, l ) ∈ E, k 6= l, we have

q(ek + el ) = d(k) + d(l ) − 1, q(ek − el ) = d(k) + d(l ) + 1,

which implies that Qkl = −1. Otherwise, both terms are zero, and
Qkl = 0. This proves the desired result.

4. Since L is PSD, we can write L = R> R, for some matrix R. Let 1

be the vector of ones in Rn . We have

q(1) = k R1k22 = 0,

which implies R1 = 0, and in turn, L1 = 0. Hence 0 is always an

eigenvalue of L, associated for the eigenvector 1.

5. If u is a vector such that q(u) = 0, then from the expression of q,

uk = ul for every pair of vertices (k, l ) ∈ E. Now let (k, l ) ∈ V × V,
(k, l ) 6∈ E be a pair of vertices that are not directly connected.
Since the graph is connected, there is a path of vertices connecting
vertex k and l, that is, a sequence of indices such that i0 = k ≤ i1 ≤
. . . ≤ im = l, for some path length m > 1, and with (is , is+1 ) ∈ E,
s = 0, . . . , m − 1. Since uis = uis+1 , we obtain by induction on s
that uk = ui0 = uim = ul , which shows that u is proportional to
the vector of ones, as claimed.

Exercise 4.7 (Component-wise product and PSD matrices) Let A, B

∈ Sn be two symmetric matrices. Define the component-wise product
of A, B, by a matrix C ∈ Sn with elements Cij = Aij Bij , 1 ≤ i, j ≤ n.
Show that C is positive semidefinite, provided both A, B are. Hint:
prove the result when A is rank-one, and extend to the general case
via the eigenvalue decomposition of A.

Solution 4.7 If A is rank-one, we can express it as A = vv> for some

v ∈ Rn . We then have, for an arbitrary vector z ∈ Rn :

z> Cz = ∑ zi z j Aij Bij = ∑ zi z j vi v j Bij = y> By,

i,j i,j

where y is the n-vector with i-th component vi zi , i = 1, . . . , n. The

proof follows from the positive semi-definiteness of B.
When A is of arbitrary rank r ≤ n, we can write
r
A= ∑ v(k) ( v(k) )> ,
k =1

for some vectors v(k) , k = 1, . . . , r. For an arbitrary vector z ∈ Rn :

r r
(k) (k)
z> Cz = ∑ ∑ zi z j vi v j Bij = ∑ (y(k) )> By(k) ,
k=1 i,j k =1
 31

where, for k = 1, . . . , r, y(k) is the n-vector with i-th component

(k)
vi zi , i = 1, . . . , n. The proof again follows from the positive semi-
definiteness of B.

Exercise 4.8 (A bound on the eigenvalues of a product) Let A, B ∈

Sn be such that A  0, B  0.

1. Show that all eigenvalues of BA are real and positive (despite the
fact that BA is not symmetric, in general).
.

2. Let A  0, and let B−1 = diag k a1> k1 , . . . , k a> >
n k1 , where ai ,
i = 1, . . . , n, are the rows of A. Prove that

0 < λi ( BA) ≤ 1, ∀ i = 1, . . . , n.

3. With all terms defined as in the previous point, prove that

ρ( I − αBA) < 1, ∀α ∈ (0, 2).

Solution 4.8 (A bound on the eigenvalues of a product)

1. This point is an immediate consequence of Corollary 4.5.

2. From the first point, we have that

0 < λmax ( BA) = max |λi ( BA)| = ρ( BA) ≤ k BAk∞ ,

i =1,...,n

where the last inequality is proved in Section 3.6.3.1. Further, since

B is positive and diagonal,

k BAk∞ = max[ B| A|1]i = max Bii | ai> |1 = 1,

i i

whence
0 < λmax ( BA) ≤ 1,

as desired.

3. We have that ρ( I − αBA) < 1 iff |1 − αλi ( BA)| < 1 for all i, iff

0 < αλi ( BA) < 2, for all i.

Since 0 < λi ( BA) ≤ 1 for all i, the above condition requires α > 0
and
α max λi ( BA) < 2,
i

which is satisfied if α < 2, since maxi λi ( BA) ≤ 1.

32

Exercise 4.9 (Hadamard’s inequality) Let A ∈ Sn be positive semidef-

inite. Prove that
n
det A ≤ ∏ aii .
i =1
Hint: Distinguish the cases det A = 0 and det A 6= 0. In the lat-
.
ter case,
 consider thenormalized matrix à = DAD, where D =
−1/2
diag a11 , . . . , a−
nn
1/2
, and use the geometric/arithmetic mean in-
equality (see Example 8.9).

Solution 4.9 (Hadamard’s inequality) First observe that A  0 im-

plies aii ≥ 0 for all i, hence ∏i aii ≥ 0. Thus, the inequality is
satisfied if det A = 0. Suppose next det A 6= 0, that is, A is in-
vertible (hence
 positive definite),
 thus aii > 0 for all i. Let then
−1/2
D = diag a11 , . . . , a−
nn
1/2
and observe that
.
à = DAD

has all diagonal entries equal to one, and det à ≤ 1 if an only if

det A ≤ ∏i aii . Therefore, it sufficies to prove that det à ≤ 1. Indeed,
!n  n
1 1
det à = ∏ λi ( Ã) ≤
n∑
λi ( Ã) = trace à = 1,
i i
n

where the first inequality follows from the geometric/arithmetic mean

inequality.

Exercise 4.10 (A lower bound on the rank) Let A ∈ Sn+ be a sym-

metric, positive semi-definite matrix.

1. Show that the trace, trace A, and the Frobenius norm, k Ak F , de-
pend only on its eigenvalues, and express both in terms of the
vector of eigenvalues.

2. Show that
(trace A)2 ≤ rank( A)k Ak2F .

3. Identify classes of matrices for which the corresponding lower

bound on the rank is attained.

Solution 4.10

1. We begin with an eigenvalue decomposition of A = UΛU > , where

Λ = diag (λ, . . . , λn ) contains the (non-negative) eigenvalues, and
the columns of the matrix U are eigenvectors. Since UU > = I, we
have
n
trace A = trace(UΛU > ) = trace(ΛU > U ) = trace Λ = ∑ λi .
i =1
 33

Since λi ≥ 0, i = 1, . . . , n, we obtain that the trace is simply the

.
`1 -norm of the vector of eigenvalues λ = (λ1 , . . . , λn ):

trace A = kλk1 .

Likewise, the Frobenius norm depends only on the eigenvalues:

k Ak2F = trace( A> A)

= trace(UΛU > UΛU > )
= trace(UΛ2 U > )
= trace(Λ2 )
n
= ∑ λ2i .
i =1

We obtain k Ak F = kλk2 .

2. The rank of A is simply the number of eigenvalues that are non-

zero. Without loss of generality, we assume that the eigenvalues
are ordered in decreasing fashion:

λ1 ≥ . . . ≥ λr > λr+1 = . . . = λn = 0.

Define the vector µ = (λ1 , . . . , λr ) ∈ Rr . We have

trace A = kµk1 , k Ak F = kµk2 .

The inequality follows from the Cauchy-Schwartz inequality: with

1r the vector of ones in Rr , we have
√
k µ k1 = µ > 1r ≤ k 1r k2 · k µ k2 = r k µ k2 ,

which proves the desired result.

√
3. The lower bound is attained when kµk1 = r kµk2 . According
to the Cauchy-Schwartz inequality result8 , this implies that µ, 1r 8
See Section 2.2.
are collinear, which means that µ = α1r for some α ∈ R+ . The
matrices for which the lower bound on the rank is attained are of
the form
. r
A = αB, B = ∑ u(k) (u(k) )> ,
k =1

where α ≥ 0, u(k) ,
k = 1, . . . , r are r orthonormal vectors in Rn . Up
to a non-negative scaling factor α, such matrices are orthogonal
projections on subspaces (with basis given by the vectors u(k) ).

Exercise 4.11 (A result related to Gaussian distributions) Let Σ ∈ Sn++

be a symmetric, positive definite matrix. Show that
Z √
1 > −1
e− 2 x Σ x dx = (2π )n/2 det Σ.
Rn
34

You may assume known that the result holds true when n = 1. The
above shows that the function p : Rn → R with (non-negative) val-
ues
1 1 > −1
p( x ) = √ e− 2 x Σ x
(2π )n/2 · det Σ
integrates to one over the whole space. In fact, it is the density func-
tion of a probability distribution called the multivariate Gaussian (or
Normal) distribution, with zero mean and covariance matrix Σ. Hint:
you may use the fact that for any integrable function f , and invertible
n × n matrix P, we have
Z Z
f ( x )dx = | det P| · f ( Pz)dz.
x ∈Rn z ∈Rn

Solution 4.11 Let Σ = R> R be Cholesky decomposition of Σ  0, so

that Σ = R> R, with R a n × n upper-triangular, invertible matrix. We
have Σ−1 = R−1 ( R−1 )> , and thus
.
q( x ) = x > Σ −1 x
= x > R −1 ( R −1 ) > x
= z> z,

where R> z = x. The transformation x → z is a valid change of

variable, and the infinitesimal volume dx is expressed as γdz, with
√
γ = | det R> | = | det R| = det Σ.
We have, using the hint,
Z Z
1 > Σ −1 x 1 −1 ) > x k 2
e− 2 x dx = e− 2 k( R 2 dx
Rn Rn
Z
1 2
= γ· e− 2 kzk2 dz
Rn
Z
1 2
= γ · Πin=1 e− 2 zi dzi
z i ∈R
Z n
− 12 η 2
= γ· e dη .
η ∈R

The result follows from the fact that, as implied from the case n = 1,
Σ = 1: Z √
1 2
e− 2 η dη = 2π.
η ∈R
 35

5. Singular Value Decomposition

Exercise 5.1 (SVD of an orthogonal matrix) Consider the matrix

 
−1 2 2
1 
A =  2 −1 2 .
3
2 2 −1

1. Show that A is orthogonal.

2. Find a singular value decomposition of A.

Solution 5.1

1. The columns are easily shown to be mutually orthogonal, and

have unit Euclidean norms.

2. Since A is orthogonal, a valid SVD of A is UΣV > , with U = A,

Σ = V = I. As usual, there is no unicity: we can also choose
U = I, V = A> .

Exercise 5.2 (SVD of a matrix with orthogonal columns) Assume a

matrix A = [ a1 , . . . , am ] has columns ai ∈ Rn , i = 1, . . . , m that are
orthogonal to each other: ai> a j = 0 for 1 ≤ i 6= j ≤ n. Find an SVD
for A, in terms of the ai ’s. Be as explicit as you can.

Solution 5.2 Assume first that none of the ai ’s is zero.Let σi = k ai k2 ,

.
ui = ai /σi , i = 1, . . . , n. By assumption the matrix U = (u1 , . . . , un ) is
orthogonal. In addition, we have

A = UΣ,

where Σ = diag (σ1 , . . . , σn ). The above is an SVD of A, with right

singular vector matrix V = I.

Exercise 5.3 (Singular values of augmented matrix) Let A ∈ Rn,m ,

with n ≥ m, have singular values σ1 , . . . , σm .

1. Show that the singular values of the (n + m) × m matrix

" #
. A
à =
Im
q
are σ̃i = 1 + σi2 , i = 1, . . . , m.

2. Find an SVD of the matrix Ã.

Solution 5.3
36

1. We have Ã> Ã = A> A + I. Since the eigenvalues of A> A are

σi2 , i = 1, . . . , m, those of the shifted matrix Ã> Ã are σi2 + 1,
i = 1, . . . , m. Hence, the singular values of à satisfy the desired
relation with those of A.

2. Let A = USV > be an SVD of A, with the familiar notation. The

SVD of à = Ũ S̃Ṽ > has S̃ = diag (σ̃1 , . . . , σ̃m ); matrix Ũ contain
the eigenvectors of à Ã> , while Ṽ contains those of Ã> Ã. Since
Ã> Ã = A> A + I, we can choose Ṽ = V.
The condition for (ũ, ṽ) to be a pair of left- and right-singular vec-
tors of à are that both vectors must be unit-norm, and

Ãṽ = σ̃ũ, Ã> ũ = σ̃ṽ.

We have seen that we can choose ṽ = v to be an eigenvector of

A> A (that is, a right singular vector of A). Further, decomposing
ũ = (ũ1 , ũ2 ), with ũ1 ∈ Rn , we obtain

Av = σ̃ũ1 , v = σ̃ũ2 , A> ũ1 + ũ2 = σ̃v.

Solving for the second equation: ũ2 = v/σ̃, we obtain from the
third A> ũ1 = (σ̃ − 1/σ̃)v. Multiplying by A, and with the first
equation, we then obtain

AA> ũ1 = σ̃(σ̃ − 1/σ̃)ũ1 = σu1 .

This shows that we can set ũ1 to be proportional to a left singular

vector u of A, and ũ2 = v/σ̃ proportional to v. We have
" #
αu
ũ = 1 ,
σ̃ v

where α must be chosen so that the above has unit Euclidean norm,
that is:
σ
α= √ .
2
σ +1
We have obtained that a generic pair of left- and right singular
√
vectors (ũ, ṽ) of à corresponding to the singular value σ2 + 1,
can be constructed from a generic pair of left- and right singular
vectors (u, v) of A corresponding to the singular value σ, with the
choice " #
√ σ u
2 +1
ũ = σ , ṽ = v.
√ 1 v
2
σ +1

Exercise 5.4 (SVD of score matrix) An exam with m questions is gi-

ven to n students. The instructor collects all the grades in a n × m
 37

matrix G, with Gij the grade obtained by student i on question j. We

would like to assign a difficulty score to each question, based on the
available data.

1. Assume that the grade matrix G is well approximated by a rank-

one matrix sq> , with s ∈ Rn and q ∈ Rm (you may assume that
both s, q have non-negative components). Explain how to use the
approximation to assign a difficulty level to each question. What
is the interpretation of vector s?

2. How would you compute a rank-one approximation to G? State

precisely your answer in terms of the SVD of G.

Solution 5.4

1. We have Gij ≈ si q j , i = 1, . . . , n, j = 1, . . . , m. In this rank-one

model, each student i is characterized by an ability level si , and
each question j has a difficulty level j.

2. We solve for the rank-one approximation problem

min k G − sq> k F
q≥0, s≥0

Ignoring the non-negativity constraints, we obtain s, q by the SVD

of G. If σ1 is the largest singular value, and (u1 , v1 ) corresponding
√ √
left- and right singular vectors, we set s = σ1 u1 , q = σ1 v1 .

Exercise 5.5 (Latent semantic indexing) Latent semantic indexing is

an SVD-based technique that can be used to discover text documents
similar to each other. Assume that we are given a set of m docu-
ments D1 , . . . , Dm . Using a “bag-of-words” technique described in
Example 2.1, we can represent each document D j is described by an
n-vector d j , where n is the total number of distinct words appearing
in the whole corpus. In this exercise, we assume that the vectors d j
are constructed as follows: d j (i ) = 1 if word i appears in document
D j , and 0 otherwise. We refer to the n × m matrix M = [d1 , . . . , dm ]
as the “raw” term-by-document matrix. We will also use a normal-
ized9 version of that matrix: M̃ = [d˜1 , . . . , d˜m ], where d˜j = d j /kd j k2 , 9
In practice, other numerical repre-
j = 1, . . . , m. sentation of text documents can be
used. For example we may use the
Assume we are given another document, referred to as the “query relative frequencies of words in each
document,” which is not part of the collection. We describe that document, instead of the l2 -norm nor-
malization employed here.
query document as a n-dimensional vector q, with zeros everywhere,
except a 1 at indices corresponding to the terms that appear in the
query. We seek to retrieve documents that are “most similar” to
the query, in some sense. We denote by q̃ the normalized vector
q̃ = q/kqk2 .
38

1. A first approach is to select the documents that contain the largest

number of terms in common with the query document. Explain
how to implement this approach, based on a certain matrix-vector
product, which you will determine.

2. Another approach is to find the closest document by selecting the

index j such that kq − d j k2 is the smallest. This approach can
introduce some biases, if for example the query document is much
shorter than the other documents. Hence a measure of similarity
based on the normalized vectors, kq̃ − d˜j k2 , has been proposed,
under the name of “cosine similarity”. Justify the use of this name
for that method, and provide a formulation based on a certain
matrix-vector product, which you will determine.

3. Assume that the normalized matrix M̃ has an SVD M̃ = UΣV > ,

with Σ a n × m matrix containing the singular values, and the
unitary matrices U = [u1 , . . . , un ], V = [v1 , . . . , vm ] of size n × n,
m × m respectively. What could be an interpretation of the vectors
ul , vl , l = 1, . . . , r? Hint: discuss the case when r is very small, and
the vectors ul , vl , l = 1, . . . , r, are sparse.

4. With real-life text collections, it is often observed that M is effec-

tively close to a low-rank matrix. Assume that a optimal rank-k
approximation (k  min(n, m)) of M̃, M̃k , is known. In the Latent
Semantic Indexing approach10 to document similarity, the idea is 10
In practice, it is often observed that
this method produces better results
to first project the documents and the query onto the sub-space
than cosine similarity in the original
generated by the singular vectors u1 , . . . , uk , and then apply cosine space, as in part 2.
similarity approach to the projected vectors. Find an expression
for the measure of similarity.

Solution 5.5

1. If d ∈ Rn is a specific document, with di indicating the presence

or absence of word i in the document, then q> d is the number of
common terms between the document and the query.

For j = 1, . . . , m, the number of common terms between the query

q and the j-th document D j is given by q> Me j , with e j the j-th
unit vector in Rm . Hence the m-vector M> q gives the number of
co-occurring terms between the query and each document. We
select the closest documents by selecting indices j that achieve the
maximum, that is
j ∈ arg max ( M> q) j .
1≤ j ≤ m
 39

2. With d˜ the normalized vector corresponding to a generic docu-

ment, we have

kq̃ − d˜k22 = kq̃k22 + kd˜k22 − 2q̃> d˜

= kq̃k22 + 1 − 2 cos(θ ),

where θ is the angle between the two vectors11 d, q. This explains 11

See Section 2.2.2.2.
the name of the method, which seeks the document D j such that
the angle between q and d j is the smallest.
The cosine similarity approach is based on the matrix-vector
product M̃> q̃: it involves ordering that vector by decreasing mag-
nitude, and selecting the index j with the largest:

j ∈ arg max ( M̃> q̃) j .

1≤ j ≤ m

3. We can write
r
M= ∑ σl ul v>l ,
l =1

which can be interpreted as follows. Each ul corresponds to a n-

vector assigning a (positive or negative) weight to each term in
the dictionary. Hence ul corresponds to a synthetic document.
The vectors vl assign a weight to each document, hence can be
understood as a “concept”, if we accept the idea that a concept
is a weighted list of words. Indeed, if vl is sparse, the indices
where it is non-zero correspond to a short list of terms that can
be understood as a concept. The term-by-document matrix M is a
linear combination of concept and synthetic document pairs.
4. For a generic document D j in the text collection, we have

r
d j = Me j = ∑ σl (v>l e j )ul .
l =1

Thus, the coordinates of d j in the orthonormal basis (u1 , . . . , un )

are (σl (v>
l e j ))1≤ j≤n , with the convention σr +1 = . . . = σn = 0. The
projection onto the subspace spanned by the first k vectors of the
basis is the k-vector dˆj with the same k first coordinates as d:

k
dˆj = ∑ σl (v>l e j )ul .
l =1

For a query document q, we can write

n
q= ∑ (q> ul )ul .
l =1
40

The projection q̂ onto the subspace spanned by the (u1 , . . . , uk ) is

k
q̂ = ∑ (q> ul )ul .
l =1

The Latent Semantic Indexing approach is based on evaluating the

angles between the projected query q̂ and the projected documents
dˆj , j = 1, . . . , m.

Exercise 5.6 (Fitting a hyperplane to data) We are given m data points

d1 , . . . , dm ∈ Rn , and we seek an hyperplane 4

3
.
H(c, b) = { x ∈ Rn : c> x = b} 2

where c ∈ Rn , c 6= 0, and b ∈ R, that best “fits” the given points, in 0

−1
the sense of a minimum sum of squared distances criterion.
−2

Formally, we need to solve the optimization problem −3

−4
m −3 −2 −1 0 1 2 3

min
c,b
∑ dist 2
(di , H(c, b)) : kck2 = 1,
Figure 5.5: Fitting an hyperplane to
i =1
data.
where dist(d, H) is the Euclidean distance from a point d to H. Here
the constraint on c is imposed without loss of generality, in a way
that does not favor a particular direction in space.

1. Show that the distance from a given point d ∈ Rn to H is given by

dist(d, H(c, b)) = |c> d − b|.

2. Show that the problem can be expressed as

min f 0 (b, c)
b,c : kck2 =1

where f 0 is a certain quadratic function, which you will determine.

3. Show that the problem can be reduced to

min c> ( D̃ D̃ > )c

c
s.t.: kck2 = 1,

where D̃ is the matrix of centered data points: the i-th column of

.
D̃ is di − d,¯ where d¯ = (1/m) ∑im=1 di is the average of the data
points. Hint: you can exploit the fact that at optimum, the partial
derivative of the objective function with respect to b must be zero,
a fact justified in Chapter 8.4.1.

4. Explain how to find the hyperplane via SVD.

 41

Solution 5.6

1. We have from (2.6) that

" #
> > c
dist(d, H) = |c d − b| = [d − 1] .
b

2. Letting D ∈ Rn,m be the matrix having di as columns, D = [d1 · · · dm ],

the problem objective becomes
" #!2
m
c
f0 = ∑ [di> − 1] b
i =1
" # 2
c
= [ D> − 1]
b
2
" #> " #" #
c DD > −md¯ c
=
b −md¯> m b
= c> ( DD > )c − 2mbc> d¯ + mb2 ,

where
m
1 1
d¯ = D1 =
m m ∑ di
i =1

is the barycenter (average) of the given points.

3. Since the problem is unconstrained in variable b, we can partially

minimize f 0 with respect to b by simply imposing that

∂ f0
= −2mc> d¯ + 2mb = 0,
∂b
resulting in
b = c> d,¯

which, substituted back in f 0 gives

 
. 1 >
f˜0 (c) = c> Hc, H = DD > − md¯d¯> = D Im − 11 D> .
m

Notice that matrix

. 1
E = Im − 11>
m
is symmetric and idempotent, that is EE = E, therefore H = D̃ D̃ > ,
where  
1 > ¯ >
D̃ = DE = D Im − 11 = D − d1
m
represent the matrix of centered data points, i.e., the i-th column of
D̃ is di − d,¯ where d¯ is the average of the data points.
42

4. From Theorem 4.3, the optimal objective value of our problem

min c> ( D̃ D̃ > )c

c
s.t.: kck2 = 1,

is the minimum eigenvalue of H = D̃ D̃ > , which coincides with

the smallest singular value of D̃. The optimal value is

f 0∗ = λmin ( D̃ D̃ > ) = σn2 ,

with σn the smallest singular value of D̃. The optimal value is

achieved for c = un , being un the left singular vector of D̃ corre-
sponding to the smallest singular value σn .
To summarize, the problem of finding the hyperplane that best
fits given points d1 , . . . , dm can be solved as follows: we construct
the centered data points matrix D̃ ∈ Rn,m , and find its minimum
singular value σn and the corresponding left singular vector un .
Then, the best fitting hyperplane is

H = { x : u> > ¯
n x = u n d },

where d¯ is the barycenter of the data points.

An interesting interpretation of this result is that we found a direc-
tion in data space, un , along which the centered data have the least
variation, in the mean-square sense, meaning that the mean-square
deviation of the centered data from the flat H, along the direction
un , is minimal and equal to σn2 .

Exercise 5.7 (Image deformation) A rigid transformation is a map-

ping from Rn to Rn that is the composition of a translation and a
rotation. Mathematically, we can express a rigid transformation φ as
φ( x ) = Rx + r, where R is an n × n orthogonal transformation and
r ∈ Rn a vector.
We are given a set of pairs of points ( xi , yi ) in Rn , i = 1, . . . , m,
and wish to find a rigid transformation that best matches them. We
can write the problem as
m

R ∈R
min
n,n, r ∈Rn
∑ k Rxi + r − yi k22 : R> R = In , (5.2)
i =1

where In is the n × n identity matrix.

The problem arises in image processing, to provide ways to de-
form an image (represented as a set of two-dimensional points) based
on the manual selection of a few points and their transformed coun-
terparts.

Figure 5.6: Image deformation via

rigid transformation. The image on
the left is the original image, and that
on the right is the deformed image.
Yellow dots indicate points for which
the deformation is chosen by the user.
 43

1. Assume that R is fixed in problem (5.2). Express an optimal r as a

function of R.

2. Show that the corresponding optimal value (now a function of R

only) writes as the original objective function, with r = 0 and xi , yi
replaced with their centered counterparts,
m m
1 1
x̄i = xi − x̂, x̂ =
m ∑ xj, ȳi = yi − ŷ, ŷ =
m ∑ yj.
j =1 j =1

3. Show that the problem can be written as

min k RX − Y k F : R> R = In ,
R

for appropriate matrices X, Y, which you will determine. Hint:

explain why you can square the objective; then expand.

4. Show that the problem can be further written as

max trace RZ : R> R = In ,

R

for an appropriate n × n matrix Z, which you will determine.

5. Show that R = VU > is optimal, where Z = USV > is the SVD of

Z. Hint: reduce the problem to the case when Z is diagonal, and
use without proof the fact that when Z is diagonal, In is optimal
for the problem.

6. Show the result you used in the previous question: assume Z is

diagonal, and show that R = In is optimal for the problem above.
Hint: show that R> R = In implies | Rii | ≤ 1, i = 1, . . . , n, and
using that fact, prove that the optimal value is less than or equal
to trace Z.

7. How woud you apply this technique to make Mona Lisa smile
more? Hint: in Figure 5.6, the two-dimensional points xi are given
(as yellow dots) on the left panel, while the corresponding points
yi are shown on the left panel. These points are manually selected.
The problem is to find how to transform all the other points in the
original image.

Solution 5.7

1. For fixed R, denoting by zi = yi − Rxi , i = 1, . . . , m, we obtain the

problem in variable r
m
min
r
∑ kr − zi k22
i =1
44

The solution to this unconstrained least-squares problem can be

obtained by setting the derivative to zero. This yields a (unique)
optimal point r ∗
m
1
r ∗ = ẑ =
m ∑ zi = ŷ − Rx̂
i =1

2. At optimum, the objective is

m m m
∑ kzi − ẑk22 = ∑ kyi − ŷ − R(xi − x̂)k22 = ∑ kȳi − Rx̄i k22 ,
i =1 i =1 i =1

as claimed.

3. We now consider the problem

m
minn,n
R ∈R
∑ k R x̄i − ȳi k22 : R> R = In ,
i =1

We can express the objective as stated, with

X = [ x̄1 , . . . , x̄m ] ∈ Rn,m , Ȳ = [ȳ1 , . . . , ȳm ] ∈ Rn,m .

Indeed, the columns of the matrix RX − Y are R x̄i − ȳi , i = 1, . . . , m.

4. We can safely square the objective, since it is always non-negative.

We have, for any R with R> R = In :

k RX − Y k2F = trace( RX − Y )> ( RX − Y )

= trace X > R> RX − 2 trace Y > RX + trace Y > Y
= c − 2 trace Y > RX,

where c := trace X > X + trace Y > Y is a constant. We note that

trace Y > RX = trace RXY > . Hence, the problem can be expressed
as claimed, with Z = XY > ∈ Rn,n .

5. Let Z = USV > be the SVD of Z, with U, V n × n and orthogonal,

and S diagonal. Then the objective of the problem writes

trace RZ = trace R(USV > ) = trace(V > RU )S = trace MS,

where M is the new variable M = V > RU. We note that R> R = In

translates as M> M = In . We have reduced the problem to the case
when Z is replaced with the diagonal matrix S:

max trace MS : M> M = In .

M

Using the fact that M = I is optimal in that case, we obtain

V > RU = In at optimum, which leads to the desired result.
 45

6. The fact that M = In is optimal for the above problem stems from
the fact that since M is orthogonal, | Mii | ≤ 1, i = 1, . . . , n. Indeed,
for every i = 1, . . . , m, defining ei to be the i-th unit vector in Rn :
n
1 = ( M> M )ii = ei> M> Mei = k Mei k22 = ∑ Mki2 ≥ Mii2 .
k =1

Thus, with p ≤ m the rank of Z, and σ1 , . . . , σp its singular values:

p p
trace MS = ∑ Mii σi ≤ ∑ σi .
i =1 i =1

The result follows from the fact that the upper bound is attained
when M = In .

7. For the image deformation problem, we find the matrix R and

vector r based on the input-output pairs ( xi , yi ), i = 1, . . . , m. We
then apply the transformation to every point x ∈ R2 on the origi-
nal image (left panel in Fig. 5.6), to obtain the transformed points
y = Rx + r, and form a new image (right panel in Fig. 5.6).
46

6. Linear Equations

Exercise 6.1 (Least-squares and total least-squares) Find the least

squares line and the total least-squares12 line for the data points 12
See Section 6.7.5.
( xi , yi ), i = 1, . . . , 4, with x = (−1, 0, 1, 2), y = (0, 0, 1, 1). Plot both
lines on the same set of axes.

Solution 6.1 A perfect line would have

yi = w1 xi + w2 , i = 1, 2, 3, 4,

for some scalars w1 , w2 .

To find the least-squares line, we solve

min k X > w − yk2 ,

x

where w = (w1 , w2 ), and

 
" # y1
x1 x2 x3 x4  y2 
 
X= , y= .
1 1 1 1  y3 
y4

Since not all coordinates of x are equal, X is full row rank, and hence
the LS solution is
" #
0.4
wLS = ( XX > )−1 Xy = .
0.3

To find the TLS solution, we have the formula

wTLS = (( XX > − σmin

2
I )−1 Xy,

with σmin the smallest singular value of [ X > , y]. We obtain

" #
0.4207
wTLS = .
0.3217

As expected, both coefficients are slightly larger in magnitude.

Exercise 6.2 (Geometry of least-squares) Consider a least-squares

problem
p∗ = min k Ax − yk2 ,
x
where A ∈ Rm,n ,
y∈ We assume that y 6∈ R( A), so that p∗ > 0.
Rm .
Show that, at optimum, the residual vector r = y − Ax is such that
r > y > 0, A> r = 0. Interpret geometrically the result. Hint: use the
SVD of A. You can assume that m ≥ n, and that A is full column
rank.
 47

Solution 6.2 Assuming m ≥ n and using the SVD of the full column-
rank matrix A:
" #
> Σ
A = U Σ̃V , Σ̃ = , Σ = diag (σ1 , . . . , σn ) ,
0

we can easily reduce the problem to the case when A is diagonal.

Precisely, we set ȳ = U > y = (ȳ1 , ȳ2 ), with ȳ1 ∈ Rn , and ȳ2 6= 0. The
optimal point is x ∗ = V x̄ ∗ , with x̄ ∗ = Σ−1 ȳ1 , and the corresponding
optimal residual r ∗ = y − Ax ∗ satisfies
" #
0
U > r ∗ = U > (y − Ax ∗ ) = ȳ − Σ̃ x̄ ∗ = .
ȳ2

We do have A> r ∗ = 0, since

" #
h i 0
> ∗ > > ∗
VA r = Σ̃ U r = Σ 0 = 0,
y2

and
y> r ∗ = ȳ> (U > r ∗ ) = kȳ2 k22 > 0. 0

The geometrical interpretation is apparent from Figure 6.7. The

residual vector r = y − Ax forms an acute angle with the point y. In
addition, it is orthogonal to the range of A. Figure 6.7: Projection onto the range
of A.

Exercise 6.3 (Lotka’s law and least-squares) Lotka’s law describes

the frequency of publication by authors in a given field. It states
that X a Y = b, where X is the number of publications, Y the relative
frequency of authors with X publications, and a and b are constants
(with b > 0) that depend on the specific field. Assume that we have
data points ( Xi , Yi ), i = 1, . . . , m, and seek to estimate the constants a
and b.

1. Show how to find the values of a, b according to a linear least-

squares criterion. Make sure to define precisely the least-squares
problem involved.

2. Is the solution always unique? Formulate a condition on the data

points that guarantees unicity.

Solution 6.3

1. If the model was exactly true, we would have b = xia yi , i =

1, . . . , m, or taking logarithms:

log b = a log xi + log yi , i = 1, . . . , m.

48

This leads to a least-squares problem with variables θ = ( a, log b):

min k Aθ − zk2 ,
θ

where z = −(log y1 , . . . , log ym ) is the response vector, and

 
log x1 −1
 .. .. 
A=  .

. .
log xm −1

2. The answer is unique if and only if A is full column rank. This is

always the case except when all the xi ’s are equal.

Exercise 6.4 (Regularization for noisy data) Consider a least-squares

problem
min k Ax − yk22 ,
x
in which the data matrix A ∈ Rm,n is noisy. Our specific noise model
assumes that each row ai> ∈ Rn has the form ai = âi + ui , where
the noise vector ui ∈ Rn has zero mean and covariance matrix σ2 In ,
with σ a measure of the size of the noise. Therefore, now the matrix
A is a function of the uncertain vector u = (u1 , . . . , un ), which we
denote by A(u). We will write  to denote the matrix with rows âi> ,
i = 1, . . . , m. We replace the original problem with

min Eu {k A(u) x − yk22 },

x

where Eu denotes the expected value with respect to the random

variable u. Show that this problem can be written as

min k Âx − yk22 + λk x k22 ,

x

where λ ≥ 0 is some regularization parameter, which you will deter-

mine. That is, regularized least-squares can be interpreted as a way
to take into account uncertainties in the matrix A, in the expected
value sense. Hint: compute the expected value of (( âi + ui )> x − yi )2 ,
for a specific row index i.

Solution 6.4 Consider a fixed row index i, and drop the dependence
of the vectors on that index. Define r = y − â> x. We consider the
expected value
 
Eu (( â + u)> x − y)2 = E (u> x )2 − 2r (u> x ) + r2
 
= E ( u > x )2 + r 2
= σ2 k x k22 + r2 ,
 49

where we have used Eu u = 0 in the second line, and in the third, the
expression

Eu (u> x )2 = E( x > uu> x ) = E trace(uu> )( xx > ) = trace xx > = x > x.

Summing we obtain the desired result, with regularization parameter

λ = σ2 .

Exercise 6.5 (Deleting a measurement in least-squares) In this exer-

cise, we revisit Section 6.3.5, and assume now that we would like to
delete a measurement, and update the least-squares solution accord-
ingly13 . 13
This is useful in the context of cross-
We are given a full column rank matrix A ∈ Rm,n , with rows ai> , validation methods, as evoked in Sec-
tion 13.2.2.
i = 1, . . . , m, and a vector y ∈ Rm , and a solution to the least-squares
problem
m
x ∗ = arg min
x
∑ (ai> x − yi )2 = arg min
x
k Ax − yk2 .
i =1

Assume now we delete the last measurement, that is, replace ( am , ym )

by (0, 0). We assume that the matrix obtained after deleting any one
of the measurements is still full column rank.

1. Express the solution to the problem after deletion, in terms of

the original solution, similar to the formula (6.15). Make sure to
explain why any quantities you invert are positive.

2. In the so-called leave-one-out analysis, we would like to efficiently

compute all the m solutions corresponding to deleting one of the
m measurements. Explain how you would compute those solu-
tions computationally efficiently. Detail the number of operations
(flops) needed. You may use the fact that to invert a n × n matrix
costs O(n3 ).

Solution 6.5

1. We have " # " #

A− y−
A= , y=
a> η
where A− , y− corresponds to the least-squares problem with the
last measurement deleted, a = am and η = ym corresponds to the
. .
last measurement. With H = A> A, H− = A> − A− , the current so-
∗ − 1 >
lution expresses x = H A y, while the solution with the last
measurement deleted is x−∗ = H −1 A> y . We would like to ex-
− − −
∗ in a computationally efficient way, as a modification of
press x−
x.
50

We have

H− = A> > > > >

− A− = AA − aa , A− y− = A y − aη.

Using the rank-one perturbation formula (3.10), we obtain

−1 1 −1 > −1 .
H− = H −1 + H aa H , γ = 1 − a> H −1 a.
γ
Note that γ > 0, since the matrix H− is full rank.
We then have
 
∗ −1 > 1 −1 > −1  > 
x− = H− A− y− = H −1 + H aa H A y − aη
γ
( a > x ∗ − η ) −1
= x∗ + H a.
γ
Compare with the similar formula (6.15), which was obtained in
the context of adding a measurement.
.
2. In a leave-one-out approach, we can first find K = H −1 , where
H = A> A corresponds to all the measurements. Then we set P =
KA> , and x ∗ = Py. We then obtain the solution corresponding to
the i-th measurement deleted as
( ai> x ∗ − yi )
xi∗ = x ∗ + pi , i = 1, . . . , m,
γi
where pi = H −1 ai is the i-th column of P, and γi = 1 − a> pi ,
i = 1, . . . , m.
Let us compare the complexity of the above method, with a more
brute-force approach that involves solving each least-squares prob-
lem with one measurement deleted. The complexity of solving a
least-squares problem with n variables and m measurements is
C (m, n) = O(mn2 + n3 ), so solving m such problems is mC (m, n).
The above method, in contrast, requires:

• forming n × n matrix H (O(n2 m)) and its inverse K (O(n3 ));

• forming n × m matrix P = KA> (O(n2 m));
• forming x ∗ and xi∗ , i = 1, . . . , m (O(nm)).

In total, the complexity is C (m, n) = O(mn2 + n3 ), which is the

same as one least-squares problem.

Exercise 6.6 The Michaelis-Menten model for enzyme kinetics re-

lates the rate y of an enzymatic reaction, to the concentration x of
a substrate, as follows:
β1 x
y= ,
β2 + x
where β i , i = 1, 2, are positive parameters.
Other documents randomly have
different content
 g q ,
Viget et impietas, blind, the lame, the deaf,
veritas vilescit! the dumb, and paralytics,
Nempe Thomæ bonitas, by his prayer obtain the
Ejus atque sanctitas, help they desire.—Praise
indies acrescit; and honour, virtue and
Ad cujus tumbam sospitas power be to the Trinity,
Ægris datur, ut veritas Father, Son, and Holy
cunctis nunc clarescit. Ghost, for ever, which
Copiosæ caritatis preserve us from sin
Thoma pugil strenue, through the intercession of
Qui pro lege libertatis Thomas! Amen.
decertasti Angliæ,
Interpella pro peccatis O now the piety of
nostris patrem gloriæ Christ, and the charity of
Ut ascribat cum beatis Thomas, shine openly!
nos cœlestis curiæ. Amen. Alas! equity now pines
away, and impiety
flourishes, truth is made
vile! Yet the goodness of
Thomas, and his sanctity,
daily increase; at whose
tomb health is given to the
sick, that the truth may
now be clear to all.

O Thomas, strenuous
champion of plentiful
charity, who didst combat
for the law of England’s
liberty, intercede for our
sins with the Father of
Glory, that he may give us
a place with the blessed in
the heavenly court. Amen.
 APPENDIX.

E X T R A C TS F R O M P E T E R LA N G TO F T ’ S
CHRONICLE.

E DWA R D T H E F I R S T ’ S WA R W I T H S C OT LA N D I N 1 2 9 4.

[From a MS. in the Public Library of the University of Cambridge, Gg. I. 1,

fol. 337, written early in the reign of Edw. II.—The Collations are from
MS. Cotton. Julius, A. V. fol. 137, vo. (C.), of about the same age; and
MSS. Reg. 20, A. II. fol. 123, ro. (R. 1), and 20, A. XI. fol. 105, ro. (R.
2), both of the fourteenth century.]
 * * * * *
Gales soit maldit de Deus e de Saint Translation.—May Wales
Symoun! be accursed of God and of
Car tuz jours ad esté pleins de St. Simon!—for it has
tresoun. always been full of treason.

EscoceE soitparfount
maldit de la Mere Dé!
à diable Gales
May Scotland
accursed of the mother of
be

enfoundré! God!—and may Wales be

sunk down deep to the
Various Readings.—The two first lines devil!—In neither of them
are wanting in C.—1. Dieu, R. 1 and 2.— was there ever truth.—For
2. plein, R. 1 and 2.—3. maudite, C. as soon as war was
commenced in Wales,—and
En l’un ne en li autre fust unkes the covenant which had
verité. been cut out in Aquitaine—
Car si toust en Gales guere est was broken and refused by
comencé, the King of France,—and
Et de Aquitaine le covenaunt taillé Edward and Philip began
Fu par le rai de Fraunce rumpu e hostilities,—the foolish King
refusé, of Scotland, named John
E Edward e Philippe comencent Baliol,—who was brought
medlé, to the kingdom by King
Li fol rai de Escoce, Jon Baliol nomé, Edward,—by the seductions
Qe par le ray Edward al 10 of his false baronage,—
regne est aproché, against his homage and
Par l’enticement de sun faus barné, against his fealty,—sent
Encuntre sun homage e encuntre sa messengers to the court of
fealté, Rome—to pope Celestin,
Ad la court de Rome ad messagers who at the time held the
maundé, see,—by a trick falsely
A Celestine la pape, ke al houre tint le showed—that the kingdom
sé, of Scotland with the dignity
Par suggestioun ad fausement —ought to hold of him by
demustré testimony of ancient times
 demustré testimony of ancient times,
Qe le regne d’Escoce ouf la dignité —and that King Edward by
Dait de li tenir par antiquité, force and might—made him
Et li rais Edward par poer e posté do homage against his will;
Li fist fere homage encuntre volonté; —and prays that he may be
20 absolved and delivered—
Various Readings.—5. ne l’autre fu, C.— from his faith to the king,
9. Et Sir Eduuard, C. comenscait, R. 1.— to whom he was sworn.—
10. Bayllolf, C. Baylliolf, R. 1. Johan Pope Celestin, too
Baillol, R. 2.—12. Par le consail ... fol b., unadvised,—absolves the
C.—15. que cel h., R. 2.—16. ount ...
moustré, C. ad ... moustré, R. 1 and 2.— King of Scotland by his
19. le rei, R. 2. bull.—As soon as the thing
is announced in Scotland,—
E prie q’il seit assolz e devolupé the barons have made to
De la fay le ray, à ki il fu joré. their disgrace—twelve
La pape Celestine, trop desayvisé, peers of Scotland, and
Assolt le rai d’Escoce par lettre have taken counsel—to
enbullé. disinherit Edward of the
Si toust cum en Escoce [la] chose est sovereignty.—For the great
nuncié, honour which Edward the
Les barnez unt fest ad lour hounteté prudent—did to John Baliol,
Duze peres d’Escoce, et sunt such is the goodness—with
counsaillé which King Edward—by
Desheriter Edward de la souverainté. King John the sleeveless—
Pour le graunt honur ke Edward le is rewarded.—With
sené Scotland let it be as it may,
Fist à Johan Bailloil, tele est la bounté —it is needful for us to
Dunt le rays 30 complete—the history
Edward before mentioned.
Du ray Johan musard
est regwerdoné.
De Escoce sait cum pot,
Parfornir nus estoet
la geste avaunt parlé.
When Morgan has
Quant Morgan est renduz, e Madok
t i
submitted, and Madoc is
Q est pris,
sub tted, a d adoc s
taken,—the king returns to
Le ray revient à Loundres, par
London by the advice of his
cunsail des amys.
friends.—Two cardinals of
Rome the pope has sent
Various Readings.—22. la fay ly roys, R.
there,—who had talked
1.—23. fu trop, R. 2.—25. la chose, C.,
R. 1.—27. en Escoce, C.—28. Sire with the King of France at
Edward à la s., R. 1.—30. Bayllof, C., R. Paris;—the pope has
1.—32. mosard, R. 1.—37. Morgar, R. 2. interfered to establish love
between them.—The
Deus chardinals de Rome la pape i ad cardinals have stated their
transmys, object to the king;—
Ke ouf le ray de Fraunce parleint à pressingly they have
Parys; 40 requested Edward and
Del amur entre eus la pape est Philip—to remain in peace
entremys. each in his country,—like
Les chardinals al rai ount dist lur avis; good people of power and
Edward e Philippe ount durement value,—who on no side
requis make themselves enemies;
Reposer une pesce chascoun en son —or that the pope himself
pais, should be their judge,—to
Issint qe bone gent de poer e de pris, effect the reconciliation
Qe ad nule parte se facent enemys; wherever might be the
Ou la pape meissme sait par là justis, trespass.
Ad parfere l’acorde de quant qe sait
mespris. Whilst the cardinals were
talking of the peace,—the

Taunt cum les cardinales de la pes people of Normandy came

parlaint, to Dover,—along with them
Les gens de Normendie suz were those of Calais.—They
Dover arivaint, 50 entered suddenly into the
En la compaignie les Kauleys estaint. town of Dover,—and began
En la vile de Dover sodainement to burn a part of the town;
entraint, —of young and old they
E parti du burge arder comensaynt; killed thirteen men.—When
they came to the
Various Readings.—40. plaint, R. 1.— reckoning, they left ten for
 p ,
41. ad entremys, R. 1. s’est entremis, R. one.—The keeper of the
2.—42. al rays, C. le reis, R. 1.—43. Sir castle and those who
Eduuard, C. E Edward, R. 2.—45. Issi ke, remained,—and the monks
C., R. 1. This line is omitted in R. 2.—47,
48. soit, R. 2.—50. suth Dover, C.—51. of the cell, who bare
les Kalays, C. Calays, R. 1 and 2. themselves well,—took to
their defence and cried out
Des joevenes e des vels .xiii. homes upon them;—Normans and
tuaynt. Picards who had put
Quant vindrent à la cunte .x. pur un themselves in debt,—were
lessaint. let out of pledge; the hats
Li gardain du chastel e cels qe remained—with the heads
manaynt, of some, the others went
En meismes de la celle, ke bien se away.—There was a monk
gwiaint, in truth, to whom twenty
Se pristrent à defense, e les escriaint; bowed down,—and he
Normaunz e Picards, ke forfet avaint, absolved them all, they
Furent degagés; les chapels knew not a word more.—
demorraint 60 The cardinals afterwards
Ouf le chef des uns, le[s] autres s’en repaired to Paris;—I do not
alaint. know what answer they
Un moygne i fu pur veir, à ki .xx. carried from the king.—
enclinaint, Nevertheless divers among
E si les assoit, mot plus ne savaint. them said,—that all the
Les cardinals après ad Paris conversations would come
repeiraint; to this at last,—that
Ne sai leqel respouns du ray Edward and Philip should
enportaint. withdraw their people,—so
Noun pur ceo plusurs entre els that people should go by
disaint, sea and by land,—in
Qe toutes les parlaunces à drein sufferance of peace, as
descendaint, friends could;—the English
Ke Edward e Philippe lur gent would perform the
sustrarraint, agreement,—if the
Germans would agree with
them.
Various Readings.—54. i tuaynt, C.—55.
.xx. pur un, R. 1.—56. del chastel et cel
 p ,
ke la m., C.—57. Et moynes de la c., C. E
moignes, R. 1 and 2.—59. Pikard, C.
forfez, R. 1.—61. Of les chefs, C., R. 1
and 2.—62. Un moyne de la celle à ky,
C.—63. Et cyl les ... sonaynt, C., R. 1 and
2.—65. Ne sai quels respouns, C., R. 2.
Whilst the cardinals are
Ne say quel respons, R. 1. reportaient,
R. 2. 67. Qe totes ... descendraint, R. 1. interfering—to re-establish
—68. lur genz suthrayeraynt, C., R. 2. the peace, and to make the
gentz, R. 1. kings friends,—Thomas de
Turbevile, who was taken
Issi qe genz par mer et par tere at Rion,—has talked so
irraint much to the Provost of
En soffraunce de pesse, ke amys Paris,—that he has done
purraint; 70 his homage to him, and
Parfournir l’acorde les Englais volaint, given as hostages—his two
Et les Alemaunz ad sei se sons in keeping, and
assentiraint. solemnly promised—to go
to England to spy the

Tauntentremis
cum les cardinals se sunt country,—and to say to
King Edward that he came
De reformer la pes, e fere les a fugitive—escaped from
rays amis, prison among his enemies.
Thomas de Turbevile, ke ad Rouns fu —The Provost agreed to it,
pris, and put in his writing—a
Taunt ad parlé al provost de Parys, hundred pounds of land on
Ke fet l’ad soun homage, et hostages such a devise;—and
mys Thomas pledges on the
Ses deuz fiz en garde, e seurement Gospels,—that all England,
promis and Wales and the
Aler en Engletere espier le pais, Marches,—and all who are
E dire al ray Edward k’il vent futifs, of value in the kingdom of
Eschapé de prisoun par mi 80 Scotland,—shall bow to
ses amys. Philip the son of Louis.
Le provost l’ad graunté, e fet en ses
escris
Cent lievre de tere par autel devis;
 Various Readings.—69. ou par tere, R.
1. Issint que gent, R. 2.—71. le volaynt,
C. la volaint, R. 1.—72. à ço se as., C. Si Hear now how the grace
les A. ... à ceo, R. 1.—74. De perfornir, of Jesus Christ—warned
R. 1.—75. Tourbevyle ... à Ryouns, C. à the gentle King Edward of
Riouns, R. 1 and 2.—76. en taunt ... of le
p., C. En taunt, R. 1.—77. hostage, C., R.
the treason.—Thomas
2.—80. al rays ... ke il vynt, C.—81. came to England and said
Eschapa de p. par my ses enemys, C. to the king,—that he had
enemys, R. 1 and 2.—83. liverez, C. escaped out of prison by
liveres, R. 2. night,—and that he had
run so great a risk out of
Et Thomas l’affiaunce sur les love to Sir Edward.—The
evangelis, king showed him in return
Ke tut Engletere e Walays e Marchis, courtesy enough;—and
E du regne d’Escoce quanke sunt de afterwards Turbeville
pris, inquired day by day—the
Serrunt enclinaunz à Philippe fiz state of the land, and
Lowis. provided for his going—
from place to place to seek
Escotez
Crist
ore coment la grace Jhesu of great and of little,—how
he could do such injury to
Li gentil rays Edward de la the English,—that King
traisoun garnist. Edward should lose his
Thomas en Engletere vint 90 land.—The condition of
ad rais e dist, every part, as he
Ke hors de la prisoun nutauntre issist, understood it,—he sent
E pur amur Sire Edward à tel peril se over with the cardinals by
prist. one of his own servants—
Curtaise assez li ray li countrefist; to the Provost of Paris, who
Et Turbevile après de jour en jour made joy enough about it.
enquist —The clerk who wrote the
L’estate de la tere, et sun aler purvist letter for Turbeville,—made
De leu en leu enqueir de graunt e de known its contents to the
petist, king’s most secret
Coment as Englais peut fere tel counsellor.—The thief got
despit, to know this, and
K li i Ed d di i
Ke li rais Edward sa tere perdisist. immediately took to flight;
—a serjeant at arms, who
Various Readings.—86. kant ke, C.—87. followed him very closely,—
enclynaunt, C., R. 1 and 2.—89. Ly
surprised Turbeville the
gentiz ray Ed., C. rei, R. 2.—90. al ray, C.
au rei, R. 2.—91. nuyt auntre issist, C. third day after.
nutaunte, R. 2.—92. This line is omitted
in C. l’amur Edward à tielle se p., R. 1 The traitor is taken, and
and 2.—93. Curtaisye ... li rays, C., R. 1. brought to London,—with
Curtaisie, R. 2. very great wickedness
which was found upon him.
L’estate de tote part, tel cum —The things which are
entendist, aforesaid, which he had
Of les cardinals par un de sons agreed to do,—by the
tramist 100 king’s will are put under
Al provost de Paris, ke joie assez en foot,—until the world is
fist. otherwise turned.—
Li cleirs ke la lettre ad Turbevile Turbeville is judged in the
escrit, court as a traitor;—he was
Ad plus privé le rais l’entente first drawn through the
descoverist. town of London,—and then
Li lers l’aparcust, ad fust tost se mist, hanged like a thief, for his
Un serjaunt as armes, ke plus près malpractices.—For our King
suist, Edward God has interfered
Le tierz jour après le Turbevile much—now and at other
surprist. times for his safety.

L
e traitour est pris, e à Lundres
remené,
When vengeance is done
upon Turbeville,—the
Ouf mult grant fausine ke sur lui cardinals of Rome, who
fust trové. had repaired to France—
Chose[s] que sunt dites, quels il ad have had frequent
graunté, conversation with King
Par volunté le rai sunt mis desuz pié, Philip,—and have often
Jeskes seo sècle seit 110 besought the King of
autrement turné. Germany,—and have
Turbeville en curt cum traitur est demonstrated by clerks and
jugé; laymen to the gentle King
 jugé; laymen—to the gentle King
Par my la vile de Lundres primes fu Edward, that the variance
trainé, is hard—about which he
and King Philip are at
Various Readings.—99. Les estat de discord;—whereby they
tote parz, C. L’estat de totes partz, R. 2. have so ordained the
—102. Li clerk, C.—103. le rei, R. 2.— matter,—that he and the
104. Ly leers tost l’ap., R. 1.—106. Le
tierce jour après le traytour soupryst, C.
two kings shall send
—109. Choses, C., R. 1 and 2.—110. le without delay—to Cambrai
rays, C., R. 1. mis suth pé, R. 2.—111. clerks and laymen of great
Jekes à ço ... chaungé, C., R. 1. knowledge,—to treat of the
chaungé, R. 2.—113. This line is omitted peace, and to judge the
in C.
grievances,—and to make
the amends for the war.—
E puis pendu cum lers, pur sa King Edward agrees to it
malfeté. with good faith;—to
Pur nostre rais Edward mult ad Deus Cambrai he has sent
overé without any delay—bishops
Ore et autre fiez ad sa sauveté. and barons of great
account.—May God by his
Quant de Turbeville fet est la
vengaunce,
power guard them from
treason!
Les cardinales de Rome repeirez
en Fraunce
Ont ouf le rei Phelippe sovent eu
parlaunce,
Et sovent requis li rais des
Alemaunce, 120
E par clers e leys ount fet While these lords are
demoustraunce gone upon this message,—
Ad gentil rais Edward, ke dure est les Sir Edward the brother of
destaunce the King of gentle spirit,—
Dunt li e Philippe sunt en the Earl of Lincoln with all
descordaunce; his retainers,—Sir William
Par ount il unt fet une tele de Vescy, a good and
ordinaunce, prudent knight,—barons
Ke li e les deus rais enverrount sanz and vavasors of gentle
 a d a aso s o ge t e
tarjaunce lineage,—knights and
A Kaumbré clers e lays de grant sergeants with their
conyssaunce, cousinage,—footmen
Ad trere de la pees, e juger la without number from moor
grevance, and wood,—and Welshmen
who know how to fight
Various Readings.—114. E pendu ... from frequent practice,—
malveté, R. 1. maveisté, R. 2.—115. rei, are gone into Gascony, and
R. 2.—118. repairent, C.—120. ly ray, C.
entered on the passage,—
del Almaunz, R. 1. le rei, R. 2.—122. rey,
R. 1 and 2.—125. Ke ly e ly altre env., R. with thirty-six banners of
1 and 2.—126. à Kaumbray, C. Kambrai, the best escuage—that was
R. 1. Kaunbrai, R. 2.—127. à treter, C., in England, except the
R. 1 and 2. vassalage—of those who
now perform their
E fere les amendes de la seignorage.—For those who
contrariaunce. are left to guard their
Ly rays Edward s’assent en bone inheritance,—the king has
affiaunce; required and taken into his
A Kaumbray ad maundé saunz nule expedition—against the
delaiaunce 130 King of Scotland and his
Eveskes e barouns de graunt false baronage,—who have
apparaunce: withdrawn their homage
Les garde de tresoun Dieu par sa from King Edward.—The
puissaunce! first day of March, in all the
great storm,—comes King
Tauntmessage,
cum cels seignurs sunt alez cel Edward with very great
purveyance,—to Newcastle-
Sire Edmund frere le rai de gentil upon-Tyne, for the great
corage, outrage—which the wicked
Le counte de Nincole ouf toute sun dogs have effected in their
menage, folly.—May our King
Sir Willeam de Vescy, chivaler prus e Edward suffer the “male
sage, rage,”—if he does not take
Barouns e vavasours de gentil them and hold them so fast
linnage, in cage,—that nothing shall
Chivalers e serjaunce ouf lur remain after his taillage,—
 g ,
cosynage, except only their rivelings
Genz à pié saunz noumbre de more e and their bare backsides.
de boscage,
E Galais qe sevent combatir par Robert de Ros of Wark
usage, 140 fled from the English,—and
Sunt alez en Gascoyn, e entrés en entered into the war with
passage, the people of Scotland.—
Ouf .xxx. et .vi. baners de meillur The King Sir Edward seized
escuage his castle,—held the
Ke feust en Engletere, salve le festival of Easter there, and
vacellage afterwards went—towards
Berwick-on-Tweed, and
Various Readings.—134. le rays, C. ly besieged the town.—The ill-
roys, R. 1.—135. Nicole of tote ses fated people at first
menages, C.—139. gent, R. 2.—142. Of surprised—two ships of
.xxvj. baneresce del m., C. Ouf .xx. et
English, and put them to
.vj., R. 1. od vint e sis, R. 2.—143.
vassellage, R. 1 and 2. death.—King Edward heard
of it, and attacked the
gates;—the English passed
De cels qe ore ne faillent ad lour
the ditches without respite.
seignurage.
—On Easter Friday in the
Car cels qe sunt remis garder lur
afternoon he conquered—
heritage.
the town of Berwick; the
Ad le rei requis e pris en sun veiage
English slew there—four
Sur le ray d’Escoce e sur sun fals
thousand Scotchmen, and
barnage,
many others perished.—Sir
Ke ad ray Edward dedient lur
Edward lost there one
homage.
knight and no more,—
Le primer jour de Marce, en tot le
Richard de Cornwall [was
graunt orage,
he], a Fleming struck him—
Vint le ray Edward à trop grant
with an arrow which he
costage 150
shot out of the red hall.—
A Novechastel-sur-Tyne, pur le graunt
Soon was the hall taken,
utrage
the fire cleared the way.—
Ke les fels mastins ount bracé par
The keeper of the castle
folage.
when he saw the necessity,
Nostre rays Edward ait la male rage!
Nostre rays Edward ait la male rage!
—delivered the castle to
Et ne les prenge e tiènge si estrait en
King Edward before it was
kage,
assaulted.—William
Ke rien lour demourge après sun
Douglas was chosen in it,—
taliage,
and Richard Fraser, to do
Fors soul les rivelins et la nue nage.
injury to the king;—the

Robert de Ros de Werke des Englais king has them prisoners.

s’en fuist, Jesus Christ be thanked!
E ouf les genz d’Escoce à la
gwere se mist.
Li rais Sire Edward sun chastel seisist,

Various Readings.—146. en son

menage, R. 1.—147. et sun fol barnage,
C.—148. ke al rays, C.—150. ly rois, R. 1. The Earl of the March,
—151. Newechaustel, R. 1.—152. ke les the famous Patrick,—of his
fols, C. bracez, R. 1.—153. rays Sir own free will came in to
Eduuard, C.—154. Si il ne les, R. 1. S’il the king’s peace;—Gilbert
ne les, R. 2.—156. rivelinges, C. à la nue de Umfraville before
n., R. 1.—158. od le rei se mist, R. 2.—
159. le rei, R. 2. remained—with King
Edward, to whom he was
sworn;—Sir Robert de
La feste de pasche y tint, après s’en
Bruce with all his
partist 160
household—holds always
Devers Berwike-sur-Twede, e la vile
his fealty to King Edward,—
assist.
and has shown him love in
Le people maluré al primour surprist
his wars against the Scots.
Deus navez des Englais, e tuer le fist.
—When Berwick was taken,
Li rays Edward l’oit dire, les portes
there was found within it—
assailist;
gold and silver without
Les fossés passait li Englais sanz
measure, and plenty of the
respit.
other metals,—and all the
Le vendredi de pasche ad truele
nobility which belonged to
conquist
a city.—The Baliol has lost
La vile de Berwike; li Englais lo occist
the issue and entry—of the
Quatre mile de Escoce, e autres plus
noblest town that was in
perdist.
his power —King Edward
 his power.—King Edward
Chivaler un saunz plus Sire Edward i
holds it conquered by the
perdist,
sword,—causes it to be
Richard de Cornewalle, un Fleming li
surrounded with a ditch
ferist 170
large and broad,—in
Hors de [la] sale rouge d’u[n] quarel
reproof of the Scot who
qu’il tendist.
had sung of him,—and
Tost fu la sale pris, le fu en fist tut
made rhymes in English for
quist.
mockery.—Let him pike and
Li gardein du chasteil quant la force
let him dike,—they said in
vist,
scorn,—how it may best
Le chastel saunz assalt al rais Edward
be.—He pikes and he dikes,
rendist.
—in length as he likes,—as
they may best see.—
Various Readings.—160. de la paske, C.
Scattered are the Scots,—
departist, R. 1.—161. Vers B., R. 1.—
163. les fist, C.—165. les Englais, C.— huddled in their huts,—
166. al releve conquyst, C. al revele, R. they never thrive:—Right if
1. au relevée, R. 2.—167. i occyst, C. Les I read,—they tumble in
Englais oc., R. 2.—168. e ankes plus, C., Tweed—who dwelt by the
R. 1 and 2.—171. du sale, C. de la sale,
sea.
R. 1 and 2. d’un, R. 2.

Willeam de Douglasse dedens esteit

elist,
E Ricard Fresel, pur fere al ray despit;
Le ray les ad prisoune, merci Jhesu
Crist!

Li quens de la Merche, Patrik li

renomé,
Ad la pes le rays se rendist de
gré; Whilst Sir Edward with
Gilbert de Umfravile avaunt fust earls and barons—caused
demoré 180 Berwick to be surrounded
Ouf le rais Edward, à ki il fu joré; with ditches,—there are
Sire Robert de Brus of toute sa mesné issued from Scotland three
Vers le rais Edward tint tuz jours sa earls, by name—Mar, Ross,
f lé
 fealté, and Menteith, with forty
Encuntre les Escotes amurs li ad thousand rascals;—they
mustré. were going in the route in
Quant Berwike fu pris, [de]denz estait parties,—they reduced
trové Tindale to ashes and
Or e argent saunz noumbre, des cinders,—the town of
altres metals plenté, Corbridge and the two
E toute la nobley ke apendait à cité. monasteries—of Hexham
Ly Bailloill ad perdu li issu e l’entré and Lanercost they have
De la plus noble vile qe fust en sa destroyed by fire,—they
poesté. have made slaughter of the
Le rais Edward la tent conquis par people of the country,—
l’espé, 190 carried off their goods,
driven away the canons.—
Various Readings.—176. Richard Fres’, After the ravage like fools
C. Simoun Fresel, R. 1. Simon Fresele, R. and miserable wretches—
2.—177. prisouns, C., R. 1 and 2. they are gone to Dunbar to
merciez, R. 2.—179. le rei.—181. al rays,
C. od le rei, R. 2.—183. vers le roy, R. 1
their confusion.—They have
and 2.—185. dedenz estayt, C., R. 1 and taken the castle, and erect
2.—186. or, argent assez, des, C.—187. their tents,—the houses
la noblye, C.—188. Balliolf, C. belonged to the Earl of the
March.—King Edward heard
La fet environner de fossé large e lé, tell of it, and issued
En restrovant l’Escote k’ad de li summonses—to recover
chaunté, Dunbar, and take the
E par mokerie en Englais rymaié. thieves—who had made
Piket hym and diket him, destruction of holy church.
On scorne saiden he, —A little before this time,
hu best hit mai be. through the regions,—the
He pikes and he dikes, cardinal returned from
On lengthe alle him likes, Cambrai with an answer—
als by mowe best y- of the King of France, as
se. we shall hear afterwards;—
Scatered heir the Scotes, Sire Amy de Savoy, a count
Hodred in the 200 of great renown,—came in
hottes, his company, and Otho de
G Th l
 never thai ne the: Grauntsoun.—The latter
Ritht if y rede, came with his companions
Thay toumble in Twede from Cyprus,—who, when
that woned bi the se. Acres was taken, escaped
—by passing the
Various Readings.—191. This line is neighbouring sea, without
omitted in C.—192. reprovant, C., R. 1 other accidents.—I have
and 2.—193. rymeyé, C., R. 1 and 2.— told you before what evil
194. Pykit, C. Pikit ... dikit, R. 2.—195.
and what destruction—
scoren sayd, C. in scoren, R. 1. in scorn,
R. 2.—196. best may, C. Where this line were done to holy church
is given in place of line 199, which is wrongfully and without
omitted. It is the same in R. 1 and 2.— reason;—and you have
197. He dikes, he pikes, C., R. 1 and 2.— often heard in the holy
198. On lenche als hym, C. On leghe als
sermons—that God is just
hym, R. 1. als, R. 2.—200. Skaterd he
the, C. Scatird er, R. 1. are the Scottis, in all his dealings:—Now
R. 2.—201. Hoderd in thar, C. Hodird in hear of Dunbar, where
thaire, R. 1. Hodered in their, R. 2.—202. without evasions—the
nevere, R. 2.—203. ȝif, R. 2.—204. enemies of God are caught
tumbed, C., R. 2. toumbe, R. 1.—205.
in a fold like sheep.
be, R. 2.

Tauntbarouns
cum Sire Edward ouf cuntes e

Fist Berwiche enclore de fossez

envirrouns,
Issuz sunt d’Escoce trais countes, par On the first Monday in
nouns the month of May,—at
De Mar, de Ros, de Montesce, [of] .xl. Berwick-upon-Tweed the
mile felouns; king heard say,—how the
Estaint en la rute alaunt en tapisouns, foolish rascals, who had
Tyndale unt destruite en 210 burnt—Hexham and
cendres e carbouns, Lanercost, nor spared the
La vile de Corbridge e deuz religiouns monasteries,—had taken
De Exillesham e Lanercost en unt Dunbar, the castle by the
destruite par arcouns, sea,—where the Earl
Du people du pais ount fet occisiouns, Patrick kept his wife.—The
Enporté les biens en chacé les King Sir Edward forthwith
Enporté les biens, en chacé les King Sir Edward forthwith
chanouns. caused to be sent there—
Après la ravine cum foles e bricouns the Earl of Warenne with
Sunt alez de Dunbar à lur all his power,—the Earl of
confusiouns. Warwick and Hugh le
Le chastel unt pris, estendent Despenser,—barons and
pavillouns, vavasours, knights, squires;
Ad Counte de la Marche esteint les —Southerns and Northerns
mesouns. went there right
courageously;—they take
Various Readings.—209. De Mare, de there footmen enough for
Rosse, de Menethet, of .xl., C. De Ros, their need,—and come to
Assetle, de Menetz, R. 1. De Ros, Dunbar to besiege the
Ascetel, de Menetest, R. 2.—210. alaunz,
C.—211. En passan unt d., R. 1. En
castle.—They prepared for
passaunt, R. 2.—213. De Hexhilesham et the attack, and would not
Lanercost ennentiz par arsouns, C. De delay.—The foolish felons
Exilsham e Lanertoft enenty, R. 1. De within hoped to have aid;—
Exilham ... anenti, R. 2.—215. Emportez, they plotted together how
R. 1. emportez ... enchacez, R. 2.—216.
ravye cum fols, C.—217. à Dunbar, C., R.
to trick the English.—Sir
1 and 2.—218. estendi, R. 1.—219. al Richard Syward, who used
counte, C. to dwell—with our King
Edward, at robe and pay,—
Le rais Edward l’oit dire, fet fere les they send deceitfully to
somouns 220 treat with our English;—so
Dunbar pur recovre, e prendre les he comes to them, and
larouns, says, that very willingly—he
Ke de seint eglise unt fet will cause the castle to be
destrucciouns. delivered to them, if they
Poy avaunt cel houre parmis les will grant—three days’
regiouns respite, that they may
Revint le cardinal de Kaumbrai ouf consult—the King Baliol,
respouns, and tell him their condition.
E du ray de Fraunce, cum après —And if he at that time do
orrums; not come to raise the
Sire Amy de Sauvaye, quens de siege,—they will deliver the
graunt renouns, castle without further
Vint en la compagnie e Otes de delay.—Forthwith he gives
Vint en la compagnie, e Otes de delay. Forthwith he gives
Graunt-souns. hostages, and causes to be
Cil vint hors de Cypre e ses announced—to the host of
compaignouns, Scotland in the same
Ke quant Acres fu pris, la mer as manner,—as you will hear
[a]virrouns after, he caused it to be
En passaunt eschapaint, sanz autres recorded.
acheisouns. 230
Avaunt vus ai cunté quels mals e
quels tresouns
Sunt fet à seinte eglise à tort e saunz
reisouns;
E oy avez sovent en les sainz
The messenger goes,
sermouns
and soon came to—King
Ke Deus est dreitureles en tuz sels
John and to the host which
werdouns:
was with him,—he said to
them as Siward had
Various Readings.—220. This line is
instructed him:—“Sir King,
omitted in C. Le rei, R. 2.—225. en
orroums, R. 2.—226. Sir Emery de your barons remain in hard
Sauvay, C.—227. Othes, R. 1. Sire Otes, strait—in the castle of
R. 2.—228. de ses, R. 1 and 2.—229. Dunbar, in danger of being
avyrouns, C., R. 1 and 2.—232. Sont driven out.—For when King
feez, R. 1. fez, R. 2.—234. This line is
Edward knew of their being
omitted in R. 2.
there,—he caused part of
his host to be sent thither.
Ore oiez de Dunbar où saunz —The Englishman, when
evasaiouns he came there, besieged
Les enemys Deus sunt pris en faude the castle.—Sir Richard
cum motouns. Siward, who knew them all,
—issued from the castle,
An le meis de May, le mardi primer,
Ad Berwike-sur-Twede ouf le ray
and talked them over so
well,—that the English
parler,
gave him a truce for three
Coment les foles felouns, ke feseint
days.—Wherefore the
arder
company, who were there
Exillisham e Lanercost, n’esparnaynt
on your part,—commanded
muster 240
 muster, 240
me to go to you as to their
Pris avaint Dunbar, chastel sur la mer,
lord,—and to say truly, that
Ouf li quens Patrik tint sa mulier.
the man neither sits nor
Li rais Sire Edward par taunt i fist
goes,—who can hinder
maunder
your coming, unless by
Le counte de Garenne ouf tute sun
some deceit,—within the
poer,
term of truce which the
Le counte de Warwik e Huge le
English has granted us.—
[De]spencer,
To-morrow at the hour
Barouns e vavasours, chivaler,
when people eat and drink,
esquier;
—go hence hastily straight
Sorrais e Norrais i alaint de bon quer;
there;—ours in the castle
Assez de gent à pié i menent al
will watch for you;—they
mester,
will issue upon the English
E venent à Dunbar li chastel asseger.
who do not expect their
coming,—entrap them
Various Readings.—236. Deu, C., R. 1
between you and hold
and 2.—237. En le mays de May, C., R. 1
and 2.—238. oyst le ray, C. oit, R. 2.— them so tight,—that they
240. Hexlesham, C. Exilsham e shall no more come in the
Lanertoft, R. 1. Exilham, R. 2.—245. le field to do annoyance to
Despenser, C. W. Sire Hughe le yours.—You have no other
Despenser, R. 1. e is also omitted in R.
way that will avail you.—
2.—247. Surays et Norays, C. Sorais e
Norais il a., R. 1. Surrais, R. 2.—248. de Now arm, and let us go,
genz ... et menent, C. gentz ... il m., R. and may no soul survive—
1. who shall have any mercy
on our enemies when they
Se atirent al saut, ne volent demorer. are taken!—Strike with the
Les foles felouns dedenz 250 sword—Northumberland—
espairent ayde aver; will be yours by right;—All
Se sotillent coment les Englais England—by this war—you
enginner. will that it be lost:—Never
Sire Richard Syward, ke solait did Albania—by stroke of
demorer the sword—do so great an
Ouf nostre rays Edward ad robe e à exploit.”—On the green—
dener, that keen generation—
Maundent par descayt ouf nos Englais gathered like goats;—I
k i i
 treiter; reckon—on some it is seen,
Si les vent, e dist, ke mult tres —where the bit bit.
volenter
Les fra le chastel rendre, si il volent
graunter
Treis jours de respit, ke il puissent
consailler
Li ray de Ballioll, e lur estate
At the saying of the
maunder.
messenger the rout of
E si il cel houre ne venge le sege
vagabonds—begin to
remover, 260
arrange themselves in
Le chastel renderunt sanz plus par là
order of battle.—Sir Richard
targer.
Siward, who gave this
Hostage par taunt i mette, e fet
counsel,—comes to the
nuncier
English, and says, “God
Al hoste de Escoce en meisme la
help me!—I see people
maner,
coming in very great
Cum vus orrez après, le fet recorder.
apparel,—as though they
would give battle, without
Various Readings.—250. al assaut ...
esparnyer, C.—254. rei, R. 2.—255. à number of footmen.—I go,
nos, C.—256. Cyl les vynt, C.—259. Le if you think well, to hinder
rays de Bayllof et lur maunder, C.—260. them,—that they may not
E si cel h., R. 1 and 2. come nearer.”—Our people
say, “Do not trouble

Li messager s’en va, e tost aprochait

Al ray Johan e al hoste ke ouf li
yourself!”—And they take
Siward, that he may
estait, proceed no further;—they
Lur dist cum li Siward enfourmez place guards at the gate
l’avait. and at the wall;—
“Sire rais, vos barouns demourent en Humphrey de Bohun the
dure plait younger is keeper of the
En la chastel de Dunbar, en chaunce guard,—to hinder aid from
les chascait; the castle from attacking
Car quant li rais Edward lur estre là their rear;—and they
saveit, 270 mount their steeds, and
Parti de sun hoste illeukes maunder spur to the hill;—he who
Parti de sun hoste illeukes maunder spur to the hill; he who
fesait. can run fastest springs
Li Englais quant là vint le chastel before the others.—The
assegait. Scot sees them come, and
Sire Richard Siward, ke tuz les turns his tail like a quail,—
conussait, he flies away as straw does
Issist du chastel e taunt bien parlait, before the wind.—The
Qe treve pur treis jours li Englais li English pursue them like a
otrait. sheep—when it flies at the
Pour quai la compaignie, ke illoek par sight of the wolf issuing
vus alait, from the wood.—The proud
Ad vus cum à seignur aler me Scot imagines that he is as
commandait, good as—the Duke Sir
E dire veraiment ke home ne set ne Corineus, who conquered
vait Cornwall.—Of so many men
Dunt vus les porrez vendre, si non at arms I marvel very much
par descait, —that there is not one of
them all worth a farthing in
Various Readings.—266. Al ray Jon action,—except Patrick de
Bayllof là ou il estayt, C.—267. Graham, who remains and
enfourmé, R. 1.—268. dur esplayt, C., R. strikes—with the burnished
1. sire rei, R. 2.—269. en chauns, C.—
sword, but he is slain
272. quant vynt, C.—274. taunt cum il
porrait, C. taunt beel parlait, R. 1.—275. without fail.—Ten thousand
Pur trewe de .iij. ... grauntait, C.—276. and fifty-four are slain in
par quai, C.—279. Omitted in R. 2. the engagement;—they are
all Scots, I have the
Dedenz le terme de treve ke l’Englais number by reckoning.—
nus grauntait. 280 These were the caitiffs who
A demayn cele hour k’em butchered the cattle—in
manghehust e bait, Northumberland, and left
Alez de ceste part hastivement the entrails to the dogs.—
l’andrait; They were
Les nos du chastel vous verrunt par excommunicated by book
agait; and candle,—because
Istrunt sur li Englais ke lour venir ne neither holy church nor
creit; priest or clergy—they
Happés-les entre vous si tenés-les si spared no more than bake-
Happés les entre vous, si tenés les si spared no more than bake
estreit, house or barn.—Sin has
Ke mès en champ ne venent fere à driven them to such a hap
les voz surfait. —that they have lost in the
Vous ne avez autre vaie qe valer vous field the head with the
dait. ears.—The foot-people—
Ore armez-vous, si aloums, nul alme put the Scots in the poke,
ne se trait —and made bare their
Qe nos enemis quant serrunt pris backsides:—By way—heard
merci nul en ayt. I never tell—of readier
Ferrez du braund; 290 pages,—to pick—the robes
Northumberlaund off the men,—who in the
le vostre ert de drait; field fell.—They took of
Tote Engletere each man;—the rough
Par ceste guere ragged devil—tear them in
volez qe perdu sait: hell!
Unkes Albanie
Par coup d’espeie

Various Readings.—280. All which

follows, to line 354, is omitted in R. 1.—
281. k’em mangeust, C.—284. sur les, C.
—286. pur fere les voz, C.—288. ne se
retrayt, C.—289. qe serrunt ... n’eit, R. 2.
—295. voyliez, C.

fist si bon esplait.”

On grene, In battle or encounter it
That kindrede kene 300 was never recorded—that
gaderid als gait; so many people were
Y wene destroyed so soon,—or
On sum it is sene, thus turned their backs
ware the bit bait. without making any
defence.—May the crows
Al dit le messager la route de rascaylle have the bodies, and the
Arenger se comence al foer de devils the souls—of all that
bataille. thus have conducted the
Sir Richard Siward qe dona ceste ! F f thi t
Sir Richard Siward, qe dona ceste wars!—For of this part
counsaille, there was never once,—
Vent à nos Englais, dis[t], “Si Dieu me within town or without, a
vaille! good action proved,—but
Jeo voy gent venir de mult grant only prowling and robbing
apparaille, the towns,—burning holy
Cum batailler vousissent, saunz church, killing the clergy,—
numbre de pittaille. 310 may God be praised who
Je vois, si vous [loez], feir .i. has revenged it at Dunbar!
desturbaille, —The earls who had done
Ke plus [près] ne venent.” Les nos the wicked deeds,—as soon
dient, “nun kaille,” as they knew and were
E pernent li Siward, ke plus avaunt n’i aware—of the defeat of
aille; their kindred,—have
delivered the castle to the
Various Readings.—299. on the g., R. 2. English on their return,—
—300. kynered, C. kinred, R. 2.—301. and without conditions
als the gait, R. 2.—303. summe it es, C.
obliged themselves—to the
summe is it, R. 2.—304. whar, C. whare,
R. 2.—305. al route, C.—308. et dist si, King Sir Edward, to do his
C.—309. genz, C.—311. vus loez fere .i. will.—The king next day
d., C.—312. plus près, R. 2. noun kaylle, came there to his
C., R. 2. baronage,—the prisoners
who are taken they have
Establient gardayns al porte e al presented to him,—three
muraille; earls, three barons, three
Umfray de Boune le jovene tent le bannerets,—and besides
garde en baille, them twenty-eight dubbed
Ke aide du chastel lur rergarde ne knights,—with five score
assaille; gentlemen who were found
E mountent les destrers, les there;—two clerks and two
brouchent al mountaille, Picards are counted among
Ke plus tost peust coure avaunt li them.—The Earls are sent
altre saille. to the Tower of London.—
L’Escote les vait venir, la cowe les Some of the barons are
turne cum quaille, associated with them;—the
En enfuaunt se vole al vent cum fet la others are sent to different
paille 320 castles two by two
 paille. 320 castles,—two by two
Les Englais après les chacent cum mounted together on a
owaille, hackney;—some with their
Cum feust quant veit le lowe venir de feet fettered in carts;—in
boscaille. such kind of dance their
Li surquider Escote quide ke game ended!—Throughout
countrevaille England in every country—
Le duk sire Corynée, qe conquist people will always talk of
Cornwaille. their pride—as long as the
De taunt des genz as armes mult ai world lasts, people have
grant mervaille scoffed at their action.—For
Ke nes un de tuz al fet vaut un maille, the Scots—I reckon for
Fors Patrick de Graham, ke demourt e sots,—and wretches
daille unwary;—ill luck—to give
Del espé furbie, mes tuez est saunz blows—drew them to
faille. Dunbar.
Dis mil .l. et .iiij. sunt tuez al travaille;

Various Readings.—316. lur’ ne regard

ne, C. rereward, R. 2.—320. S’en vole, C.
—322. Ke fuist, C.—323. surquiders, C.—
325. De taunz de gens armez, C., R. 2.
Now it is time to tell the
Trestuz sunt d’Escoce, le noumbre ai plot—of the twelve peers of
par taille. 330 Scotland, who thought
Cels furent les cheitifs [qe] surely—to destroy England,
demaglaynt le aumaille I will just tell you how.—
Par mi Northumberlaund, as chiens When the King of France,
lessaint le[n]traille; after the breaking off—of
Escomegez estaint al livre e that marriage which was
kaundaille, often talked of,—would
Pur ceo ke saint eglise, ne prestre, ne retain Gascony by
clerjaille, abatement,—and King
Nent plus esparnent ke four ou Edward sent thither his
toraille. people,—and re-took a part
Pecché les ad chacé à tele arivaille, by war from the French;—
Ke perduz unt al champ le chief King John of Scotland, by
 Ke perduz unt al champ le chief g Jo o Scot a d, by
oufveke l’oraille. the enticement—of earls
The fote folke and barons, and of clerks
Puth the Scotes in the polke, also,—sent to France by
and nakned their common agreement—the
nages: bishop of St. Andrew’s, by
By waie 340 whose procurement—the
Herd i never saie brother of the King of
of prestre pages, France, namely, Charles,—
To pike made an alliance for the
The robes of the riche son of the King of Scotland,
—who was to marry his
Various Readings.—331. les cheftayns daughter, and afterwards
ke demaglerent, C. qe de., R. 2.—332. by oath—the French and
l’entraylle, C., R. 2.—337. les chefs of le Scots should go conjointly
oraylle, C.—338. fotfolk, R. 2.—339. That
—into England to destroy
the, R. 2.—340. nackened thair nages, C.
nakid their nages, R. 2.—341. By wai | from the Tweed to Kent;—
her I nevere sai | of prestere p., R. 2.— and that the King of France
343. prester, C.—345. rike, C., R. 2. should land,—when he
would, suddenly in the
that in the felde felle. Tweed,—forthwith he
Thai token ath tulke; should suddenly take all
The roglre raggi sculke Northumberland,—and
rug ham in helle! then all the land without
hindrance;—that he should

De recordez,
bataille ne puingce feust unkes
350
not leave a man alive,
neither father nor kindred.
Ke taunt de genz si tost estaient —The traitorous
outraiez, negotiation being entered
N’ensint saunz defence lez renes upon without completion,—
rethornez. the seneschal of Scotland is
Corfs ayent les cors, les almes les come in without more ado
malfez —to the King Sir Edward,
De trestuz k’esint gweres ount gwiez! with all that belongs to
Car de cele part fut unkes une fez, him,—earls and barons and
Deinz vile ne dehors, un bon fet bishops fully,—are come to
esprovez, his peace all at his desire.—
 p , p
Mès for gopiller e robber les vilez, King John and his son,
Arder seint eglise, tuer les ordinez, without land or tenement,
Cil Dieu sait loé k’ad Dunbar l’ad —are led to London to
vengez! support judgment.—Now
Les countes qe avaint fet les King Edward possesses
malvestez, 360 Scotland entirely,—like
Si toust cum savoint e furent avisez Albanac had it at the
beginning.—The Welsh and
Various Readings.—346. For this line Irish—to our English—aid
and the three following, R. 2 has—And in doughtily.—Whereby the
the dik souue | Thou wiffin | Scot of Scots—have through ours—
Abrenityn, | cloutid is thi houue.—348.
imprisonment;—and that
roghe raggy sculke, C.—351. Ke taunz,
C.—352. Ne issynt, C.—353. seient land—by this war—is lost
sauvez, R. 2.—354. ke issint, C. for ever.—The Welsh are
gone home,—and the Irish
De la desconfiture sur lur parentez, returned—with sail and
As Englais quant repairent le chastel with wind.—You English
ount liverez, remain there;—you ought
E saunz condiciouns els memes to pray devoutly—that the
obligez Lord God forbid,—to take
Al ray Sire Edward, dunt fere ses Aman into favour again,—
voluntez. and exile Mardocheus,—in
Li rais lendemayn i vint à ses barnez, royal parliament.—Edward,
Le[s] prisouns ke sunt pris li unt amid all your accusations,
presentez, —please to remember the
Treis countes, treis barouns, treis burnings,—of the temple of
banerés nomez, God Almighty,—at Hexham,
E saunz eus .xxviij. chivalers adubbez, where that host—of the
Ouf .v. vinz gentilles homes ke cross made roast,—the
illeukes sunt trovez; 370 figure of human salvation.
Deus clers e deus Pikards par entre —Herod strikes there, the
sunt numbrez. child dies,—in this anguish
A la Tour de Loundres les countes Rachael weeps;—Edward,
sunt maundez. wreak vengeance for it.—
Les uns de[s] baro[uns] les sunt Thou wilt be judge, judge
associez; according to right;—let him
 associez;
A diverse chasteles les autres ad hang who ought to hang,—
envoiez, the law wills it certainly.—
Par deus e deus ensemble une The punishment is hard
hakenai muntez, and cruel,—for it is
Les uns en charrettes enfirgez les everlasting,—for all who
peez; give judgment otherwise.—
En tel pleit de carole lour jue est Now chastise your
terminez! enemies,—that they may
Par my Engletere en toutes les not stir again—in a new
countrez, mischief.—We ought to
have mercy;—but that
Various Readings.—362. de lur, R. 1.— ought not to avail a traitor,
365. Al reis, R. 1.—366. e ses b., R. 1.— —there the law suspends
367. les prisouns ... li sunt p., C., R. 1 it.—For love nor for pence,
and 2.—373. Les uns des barons, R. 1 —a king ought not to
and 2.—375. sur hakenays, R. 1.—378. spare,—so as not to judge
This line is omitted in C.
equally.—If the king will
serve God,—it is right he
De lur surquideri ert tuz jours parlés should maintain the law;—
Taunt cum le siècle dure, lour fet les if he does not, he sins and
ad mokés. 380 errs very much.—In truth
For S[c]ottes when John Baliol—left his
Telle I for sottes, book at school,—he was
and wirches unwarre; too ill deceived.—¶ For bale
Unsele bred in his book,—when he
Dintes to dele lost what he took—with the
thaim drohg to kingdom;—for he has over-
Dunbarre. hopped,—his tippet is
tipped,—his tabard is
Des ore est tens à dire du
compassement
empty.—He laughed while
it pleased him,—his pack
Les .xii. peres d’Escoce, qe
(?) is pierced through,—he
quidaint seurement
thought he was loyal;—....
Engletere destrure, bien vous dirrai
coment.
Quant le ray de Fraunce, après le
dayllement 390
 dayllement 390
De cele mariage dunt fu parlé sovent,
Volait tenir Gascoyn par abatement;
E le rays Edward illok maunda sa
gent,
E partie par gwere de su Frauncays
reprent;
Li rai Johan d’Escoce, par l’enticement

Various Readings.—380. fet ad mokez,

R. 2.—381. For Scottes, C., R. 1. For the
Scottis, R. 2.—383. And wrecches unwar,
C. wreches, R. 1. wecchis unwar, R. 2.—
386. tham drohu to Dunbar, C. droght,
R. 1. drouh to Dunbar, R. 2.—390. le
dallyement, C. daliement, R. 1.—394.
guere sur Fr., C. sur Français, R. 1 and 2.

De countes e barouns, de clers

ensement,
Ad maundez en Fraunce par
commune assent
L’eveske de Seint Andreu, par ki
procurement
Frere le rai de Fraunce, Charles
nomément,
Pur fiz le ray d’Escoce ad fet aliement,
Dount marier sa fille, e 400
après par serment Pride in a country, is like
Fraunsays e les Escoce irraint a nettle in the garden,—
uniement which overgrows the rose
En Engletere destrure de Twede jekes and pushes it back;—so it
en Kent; is with Baliol, that, by him
E ke le rai de Fraunce prendrait the twelve peers—are
arivement fallen down for their wicked
Qe l’houre q’il vousist, en Twede proceeding,—he has lost
prestement, his realm, and is gone to
Parunt Northumberlaund prendrait lodge in the To e of
Parunt Northumberlaund prendrait lodge—in the Tower of
sodainement, London, at another’s
E peus la tere toute sanz expense.—The King Sir
desturbement; Edward makes guard
Ne larrait home en vie, ne pere ne enough;—the Earl John de
parent. Warenne is chief justice,—
La faus purparlauns saunz espleit and Henry de Percy has
attent; Galway to rule;—at
Le seneschall d’Escoce est venu Berwick-upon-Tweed is
bonement 410 established the exchequer,
Al rays sire Edward, auf quanke à li —and Hugh de
apent, Cressingham is treasurer
there;—and Walter de
Various Readings.—397. maundé, R. 1. Amundisham is chancellor.
—400. Pur le fiz, C.—402. les Escoz, R. —The King to nourish the
1.—403. En, at the beginning of this line,
is omitted in C., and R. 1 and 2.—406.
peace causes his bench to
prendraynt, C.—408. ne frere, R. 2.— be proclaimed there,—and
410. venu fayntement, C. venuz b., R. 1. five judges to govern the
law.—Sheriffs and bailiffs
Countes e barouns e esveskes are established for the
pleinement, need—of the English who
Sunt venuz à sa pes tut à sun talent. could and would judge
Le ray Johan e sun fiz, saunz tere e according to right.—The
tenement, guard is established so
Sunt menez à Lundres à tenir good and so perfect,—
jugement. neither Fleming nor
Ore ad li rays Edward Escoce Frenchman henceforth shall
enterement, have the power,—to enter
Cum Albanak l’avait al comencement. into Scotland, unless it be
Galays, Yrays, for commerce.—Of all
Ad nos Englais those of most account who
aident durement. were to remain—the
Dunt les Escoz 420 homages are taken, the
Ount par les noz King makes them swear—
emprisounement; that they will be loyal by
Et cele tere land and by sea.—They
who began the war and the
 Par ceste gwere who began the war and the
est perdu advisers of it—are sent
finablement. beyond the Trent to repose
Les Galais sunt repairés, in the south,—so long as
E les Irrays retournez the war lasts in Gascony.—
al sigle e al vent. Thus ought the lord to
chastise his men.—The
Various Readings.—413. encountre lur bishop of Durham, who did
talent, C.—415. attender jugement, C.— much worthy of praise,—in
416. le rei, R. 2.—417. Omitted in R. 2.— conquering the land was
425. par cel gwere, R. 1.—426. always the first,—were it
finablement, C. finalment, R. 1 and 2.— not for his activity and
427. Les Walays, C. qe sont, R. 1.
boldness of heart,—things
now finished would be to
Vous Englais i demorrez; begin.—The twelve peers—
Devoutement prier 430 go away to the friars—to
devez confess them,—the
ke Dampne-Deu judgment—which awaits
defent, them—they may fear.—
Aman recosilier, Kambynoy—holds himself
E Mardocheum exiler all coy,—he will not help.—
en regal parlement. The sorcery—of Albania—
Edward, par my tuz vos reisuns, cannot avail.—Andrew
Volez penser des arsouns sleeps,—or he is dead—at
du temple Deu the monastery.—What will
omnipotent, the Scot do,—when he will
Ad Exlysham, où cel hoste hear—the King talk,—at St.
De la croiz fesait roste, 440 Edmund’s,—and of treason
figure de humaine —accuse—earl and baron,
salvement. —who by burning—
Herodes i fert, l’emphle mourt, destroys the altar?—He can
En ceste anguisse Rachel plourt; go no further,—there he
Edward, or fa le must—stand like a thief;—
vengement. and by judgment—King
Tu averas jugé, jugez à dreit; Edward—determine.—And
Soffrez qu’il pent ke pendre deit, so may man teach—the
Scots to run —and begin
 Scots to run,—and begin
Various Readings.—431. Doucement, C. war.—To some is left
—432. Dampne Deu omnipotent, C.—
nothing—but his torn
434. E Marche, R. 2.—436. vos respons,
R. 2.—437. Voilliez, C.—438. En temple, riveling—to hop therein.—
R. 1.—439. Hexelesham, C. Exilsham, R. Their King’s seat of Scone
1.—440. de la croice fesaint, C. croice —is driven over down,—
fesaunt, R. 1.—442. emphele, R. 1. and led to London.—In
Herodes fert, l’enfant murt, R. 2.—445.
town I heard tell,—the ...
avera, R. 1.—446. suffrez pendre, R. 2.
and the bell—are stolen
and fled.
la ley le vol[t]
certeinement.
La peine est dure e cruele,
Car ele est perpetuele,
à tuz qe jugent
autrement.
Vos enemys ore 450
chastiez,
K’il ne se movent altre fez,
en un novele torment.
Home dait mercy aver;
Mès à traitour ne dait valer,
ilokes la ley la
suspent.
Pur amy ne pur dener
Ray ne dait esparnier,
k’il ne juge
owelement.
Si li ray volt Dieu servir, 460
La lei le convient maintenir;
si noun, il pecche e
mult mesprent.
Pur veir quant Johan Balliolle
Leissa sun livre e l’escole,

Various Readings.—448. molt cruele, C. O God! how often Merlin

—453. turnayment, R. 1. un novel
said truth—in his
 turnement, R. 2.—456. la lei les, R. 2.— said truth in his
460. Si li rays, C.—463. J. de Bailliole, R. prophecies! As you read,—
1.—464. sun liver à l’escol, C. now are the two waters
come into one,—which
desceu fut trop have been separated by
malement. great mountains; and one
¶ For boule bred in his boke, realm is made out of two
Whenne he tint that he toke different kingdoms,—which
with the kinge-dome; used to be governed by
For he haves ovirhipped, two kings.—Now are the
Hise typeth is typped, islanders all brought
hise 470 together,—and Albania is
tabard es rejoined to its regalities,—
tome. of which King Edward is
He loghe wil him liked, proclaimed lord;—Cornwall
His paclir es thurck piked, and Wales are in his power,
he wende e were —and Ireland the great is
liale; at his will.—There is no
Begkot an bride, longer any king of all the
Rede him at ride countries—except King
in the dismale. Edward who has thus
visited them.—Arthur had

Orgoyl en pays est urtille en herber,

Ke surcrest la rose e la boute
never so fully
feudalities.—Henceforth he
the

arer; has nothing to do but to

Einsint est du Baliol, ke par li [li] .xii. look after his goings,—to
per 480 conquer his inheritance
Sunt chay aval pur lur vil mister, from the King of France,—
and then to carry the cross
Various Readings.—466. bredde, R. 1. where Jesus Christ was
his book, R. 2.—467. Wen, R. 1. Whan ... born.—His enemies,—thank
took, R. 2.—468. kyngdome, R. 1. God!—are chastised;—they
kingdom, R. 2.—469. over-hippede, R. 1.
are all vanquished,—and
has, R. 2.—470. tipet, C., R. 1 and 2.
typpede, R. 1.—472-477. These six lines taken like rats,—and
are omitted in C., and R. 1 and 2.—478. bound.—He has run about
urtiz, R. 2.—479. suztret, C. reboute, R. —and fought—quite
2.—480. This line is omitted in R. 1 and enough —with two kings—
 enough, with two kings
2.—481. This line is omitted in C.
at one time,—and
overthrown them;—the one
Perduz ait realme, e va sojorner on this side—now goes to
A la Tour de Loundres sur autri dener. that side—with his
Li reis Sire Edward eces fet garder; baronage.—John and
Li quens Jon de Gwarenne est chief Thomas—will not leave him
justicer, —unassisted;—Cuthbert
E Henri de Perci aid Galwei à gwier; comes to him,—who holds
A Berwick-sur-Twede a la cheker, with him—in the combats.
Et Huge de Cressingham illokes est —In God, I tell you,—
tresorer; Merlin of him—prophesied;
Et li Amundisham Walter est —three regions—in his
chanceler. possession—shall be
Li reis puis pes norir baunc i fet crier, gained.—Let not be blamed
Et justis .v. le rei à 490 —the prophecy—sinfully;—
guverner. Lord God Almighty,—at St.
Viscuntes e baillifs sunt mis al mester Edmund’s at the parliament
Des Engleis qe sevent e voleint dreit —give him counsel.—And
juger. on false Philip of France—
La garde est establi si bon e si enter, by thy virtue to have
Ne Flemyng ne Fraunceis de quer vengeance,—that he may
avera poer never be advanced—for his
Entrer en Escoce, si non pur mere falseness.
marchaunder.
De tuz les mels vanez ke deivent
demorer

Various Readings.—484. Escoce fet g.,

C., R. 1. Le rei ... Escoce, R. 2.—485.
quens de G. i est, C. q. Johan de G. i est
j., R. 1.—487. Twede assise est le
escheker, C. assise ad l’esc., R. 1 and 2.
—489. Hamundesham, C.
Aymundesham, R. 2.—490. pur pes ...
baunk, C., R. 1 and 2.—491. la lay à g.,
C., R. 1 and 2.—495. dès ore n’avera, C.
dès or av., R. 1.
Pris sunt les homages, li reis le[s] fist
jurer,
Ke leals li seront par tere e par mer.
Ki comensaint la gwere e li consailler
Sunt maundés delà la 500
Trent en sew à repoter,
Taunt cum en Gascoyne la gwer deit
durer.
Issint deit li sires ses homes chacer.
Le eveske de Duram, ke mout fet à
loer,
En conquerant la tere fu tuz jours li
To the borough of St.
primer;
Edmund, on the day which
Ne fussent ses enprises e hardiment
was fixed,—are come the
de quouer,
bishops, with the company
Choses or chyviaus serraint à
—of laymen and clerks, of
comencer.
whom the king prays—aid
Les duze peres
and courtesy of the goods
S’en vount as freres
of holy church,—as they
els confesser;
had promised before in the
Le jugement 510
abbey—of Westminster,
Ke les attent
whereby the king trusts to
purrount doter.
it—for the help of his war
Kambynoy
which is not finished.—
Se tent tut coy,
Earls and barons, with the
knights,—for themselves
Various Readings.—498. les fist, C., R.
and for the people grant in
1. pris unt, R. 2.—501. reposer, C., R. 1.
delà Tr. en southe reposer, R. 2.—503. li aid—the tenth penny, and
sire, ... chastier, R. 2.—506. quer, R. 1.— for the merchants—the
507. ore chevyes, C., R. 1 and 2.—510. seventh part for the aid of
pur els, C., R. 2.—513. il doter, C. his treasury.—And the
archbishop, who holds the
ne volt aider. primacy—of the see of
La sorcerye Canterbury, studies for an
De Albanye answer,—and explains to
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