Functional Analysis Notes

6 The Uniform Boundedness Principle

This section is about another cornerstone of functional analysis, the Banach
Steinhaus Theorem, commonly known as the uniform boundedness principle.
6.1 Statement and applications
The uniform boundedness principle answers the question of whether a point-
wise bounded sequence of bounded linear operators must also be uniformly
bounded. The answer is armative, but one needs completeness, unlike for
the HahnBanach theorem.
Uniform Boundedness Principle (BanachSteinhaus). Let X be a Ba-
nach space and Y be a normed space. Suppose the sequence {T
n
} B(X, Y )
has the property that for every x X, the sequence {T
n
(x)} Y is bounded.
Then the sequence {T
n
} R of norms is bounded.
Remark. More concisely, we say if X is Banach, then pointwise bound-
edness implies uniform boundedness.
The proof of the uniform boundedness principle (UBP) uses Baires cate-
gory theorem, which is important for the role it plays in the proofs of various
essential results of functional analysis. We will come back to it.
Let us rst look at some interesting consequences of the uniform bound-
edness principle.
Example (The non-Banach space of polynomials). Consider
X =
_
p(x) =
0
+
1
x +
2
x
2
+ +
d
x
d
|
i
F, d N {0}
_
,
the set of all polynomials, and consider the norm dened by p = max
i
|
i
|.
We readily see that this turns X into a normed space. But we claim that
X is not complete, and is therefore not a Banach space:
Since we want to use the uniform boundedness principle to prove this, the
natural thing to do is to show that the conclusion of the UBP does not hold
on X, and therefore X cannot be complete.
1
In other words, we must nd a
sequence {T
n
} B(X, X) that is bounded pointwise, but not uniformly.
The sequence we choose is a simple one. We take T
n
(p) =
0
+ +
n1
,
and if p = 0, then T(p) = 0. The linear operator T
n
is bounded because
1
We are using the contrapositive of the statement if X is complete, then pointwise
bounded sequences in B(X) are uniformly bounded.
1
6.1 Statement and applications Functional Analysis Notes

j
max
i
|| = p for every j. Hence, T
n
(p) np, and we indeed have
{T
n
} B(X, X).
Now, xing some polynomial p(x) =
0
+
1
x + +
d
x
d
, we examine
the sequence {T
n
(p)}
nN
. For any n, we have
T
n
(p) = |
0
+
1
+ +
n1
|
|
0
+
1
+ +
d
|
|
0
| +|
1
| + +|
d
|
d p,
and for a xed polynomial, p and d are xed numbers, so we have shown
that the sequence {T
n
(p)}
nN
is a bounded sequence.
Now we claim that {T
n
}
nN
, the sequence of norms of T
n
, is not bounded.
For every T
n
we choose an inconvenient polynomial, p
n
(x) = 1 + x +
x
2
+ + x
n1
. Then p
n
= 1. But T
n
(p
n
) = n, which informs us that
T
n
n . So {T
n
} is not bounded as a sequence in B(X, X), con-
trary to the conclusion of the uniform boundedness principle. So X cannot
be complete.
Example. Heres one: suppose we have a sequence of complex numbers x =
(x
1
, x
2
, . . . ) C with the property that whenever y = (y
1
, y
2
, . . . ) C is a
sequence that converges to y
n
0, we have that the sum

i
x
i
y
i
converges.
Show that

i
|x
i
| converges.
Solution. The rst step is of course to translate this problem into familiar
functional analytic terms. The condition that the sequence y converges to 0
is simply the statement that y is a member of
c
0
= {y

| y
n
0} = {the set of sequences converging 0},
and we will use the fact that c
0
is a Banach space with norm

. (Exercise.)
And x is just some sequence, which we would like to show is an element of

1
.
Since we would like to use the Uniform Boundedness Principle in some
way, let us start by nding a sequence {T
n
} B(c
0
, Y ) where Y is some
normed space. One natural choice is to let
T
n
(y) =
n

i=1
x
i
y
i
where y = (y
1
, y
2
, . . . ) c
0
be the truncated sum which we have assumed converges. It is clear that
T
n
B(c
0
, C) = (c
0
)

. Indeed, the calculation

|T
n
(y)| =

i=1
x
i
y
i

i=1
|x
i
y
i
|
_
n

i=1
|x
i
|
_
y

2
6.2 Baires Category Theorem Functional Analysis Notes
shows that the T
n
are bounded operators. In fact, we can do better: the as-
sumption that

i
x
i
y
i
converges for any y c
0
implies that for any y c
0
,
the sequence {T
n
(y)} is convergent, hence bounded. So {T
n
} is a pointwise
bounded sequence of operators. Therefore, by the uniform boundedness prin-
ciple, it is uniformly bounded, meaning that there is some M > 0 such that
T
n
M for all n N.
Now, another way to express T
n
is to let x
(n)
= (x
1
, . . . , x
n
, 0, . . . ) be a
truncated version of x (so that {x
(n)
}
nN
is a sequence in
1
), and let
T
n
(y) =

i=1
x
(n)
i
y
i
where y = (y
1
, y
2
, . . . ) c
0
.
Suppose we dene y
(n)
= (y
(n)
1
, y
(n)
2
, . . . ) c
0
by
y
(n)
k
=
_
x
(n)
k
/|x
(n)
k
| if x
(n)
k
= 0
0 if x
(n)
k
= 0.
Then T
n
(y
(n)
) = x
(n)

1
= x
(n)

1
y
(n)

. This implies that T

n
x
(n)

1
,
which in turn implies that x
(n)

1
M for all n. But it is clear from the def-
inition of x
(n)
that {x
(n)

1
} R is an increasing sequence of real numbers.
Being bounded above by M, it must converge, hence

i=1
|x
i
| <
and x
1
, as desired.
6.2 Baires Category Theorem
We now state and prove Baires category theorem, which is used in the proof
of the uniform boundedness principle. It is good to be aware that the map
{terminology} {concepts} is 2-to-1 in the following denitions.
Denition (rare = nowhere dense, meager = of rst category, nonmeager =
not meager = of second category). A subset M in a metric space X is. . .
rare in X if its closure M has no interior points.
meager in X if it is a countable union of rare sets in M.
nonmeager if it is not meager.
3
6.2 Baires Category Theorem Functional Analysis Notes
Example. Q is not rare in R because its closure is all of R. But Q{0} is
rare in R
2
, its closure being R{0}, which has no interior points as a subset
of R
2
. Q
n
is meager in R
n
, being a countable union of points.
Baires Category Theorem. A nonempty complete metric space X is non-
meager in itself. Hence, if X is the union of countably many closed sets
{A
k
}
kN
, then at least one of the A
k
s must contain an open set.
Proof. The proof is a contradiction. Suppose X is meager in itself. This
means that we can express X as
X =
_
kN
M
k
(1)
as a union of sets M
k
, each of which is rare in X. We will exhibit a Cauchy
sequence {x
k
} X whose limit x X cannot be a member of any
M
k
, which will contradict (1).
The construction is as follows: Since M
1
is rare, the complement

M
c
1
of its closure is open and nonempty. So we can choose x
1


M
c
1
and an open
ball B
1
:= B(x
1
, r
1
) of radius r
1
, contained in

M
c
1
. Now, M
2
is a rare set, so

M
c
2
B(x
1
,
r
1
2
) is nonempty and in fact must contain some ball B
2
:= B(x
2
, r
2
)
of radius r
2
< r
1
/2. Proceeding inductively, we nd
B
k
:= B(x
k
, r
k
)

M
c
k
B(x
k1
,
r
k1
2
), where r
k
<
r
k1
2
<
r
1
2
k
.
The sequence {x
k
}
kN
X is Cauchy: Notice that for any m < n, we
have that
dist(x
m
, x
n
) dist(x
m
, x
m+1
) + dist(x
m+1
, x
m+2
) + + dist(x
n1
, x
n
)
=
nm

i=1
dist(x
m+i1
, x
m+i
) (by repeated triangle inequality)

i=1
dist(x
m+i1
, x
m+i
) (we only added positive terms)
<

i=1
r
1
2
m+i
=
r
1
2
m
.
So clearly, for any > 0, we can ensure that dist(x
m
, x
n
) < just by making
the smaller of m and n large enough. So {x
k
}
kN
is a Cauchy sequence.
4
6.3 Proof of the UBP Functional Analysis Notes
Since X is assumed to be complete, our Cauchy sequence {x
k
} must
have a limit, x X. But the way we have constructed our sequence ensures
that x B
k
for every k N: For consider
dist(x, x
k
) dist(x, x
k+
) + dist(x
k+
, x
k
) (for every N)
< dist(x, x
k+
) +
r
k
2
(by the construction)
and since this holds for any , we may take large enough that
dist(x, x
k+
) <
r
k
2
hence dist(x, x
k
) < r
k
and x B
k
.
Finally, since B
k


M
k
= for all k, the point x cannot belong to any of
the M
k
s, giving us the contradiction we had aimed for. Therefore, X is
nonmeager in itself.
6.3 Proof of the UBP
The proof of the uniform boundedness principle is just an application of
Baires category theorem:
Proof of the Uniform Boundedness Principle. Let X be a Banach space, Y
a normed space, and {T
n
} B(X, Y ) be a pointwise bounded sequence of
operators. Let us dene the sets
A
k
:= {x X | T
n
(x) k} .
It is easy to see that these are closed sets, and the fact that {T
n
} is a pointwise
bounded sequence implies that
X =
_
kN
A
k
.
Baires category theorem now guarantees that one of these closed
sets contains an open ball,
2
say B
0
:= B(x
0
, r) A
k
0
. We therefore have
that T
n
(x) k
0
for any x B
0
and n N.
2
This is all we need Baires category theorem for in this proof.
5
6.3 Proof of the UBP Functional Analysis Notes
Now let x X. Of course, there is some z B
0
such that z x
0
points
in the direction of x, meaning that x = R(z x
0
) for some R > 0. In fact,
we may choose z with the added restriction that it be a distance of r/2 away
from x
0
, i.e. z x
0
= r/2. In this way, we have
x =
2 x
r
(z x
0
).
Now, we calculate
T
n
(x) =
2 x
r
T
n
(z x
0
)
=
2 x
r
T
n
(z) T
n
(x
0
)

2 x
r
(T
n
(z) +T
n
(x
0
))

4k
0
x
r
. (because x
0
, z B
0
A
k
0
)
This holds for any n, and any x, so we have shown that T
n

4k
0
r
for all
n N, proving that the sequence is uniformly bounded.
6