Generalising Fibonacci Numbers and Their

Applications in Probability and Statistics

Jemma Davies

April 29, 2010

 Abstract

This project is a focused study of the Fibonacci sequence and its

generalisations. It will consider several properties of the sequence and its
generalisations, including the relationship with the Golden Ratio,
polynomials and the Tribonacci sequence. This leads to an examination of
sequences and polynomials of order k, paying particular attention to their
applications in probability and statistics.
Contents

1 Introduction 4
1.1 Biography of Leonardo Fibonacci . . . . . . . . . . . . . . . . 4
1.2 The Fibonacci Sequence . . . . . . . . . . . . . . . . . . . . . 6
1.3 Lucas and The Lucas Sequence . . . . . . . . . . . . . . . . . 6
1.4 Relationships between Fibonacci and Lucas Sequences . . . . . 7
1.5 The Generalised Fibonacci Sequence . . . . . . . . . . . . . . 9

2 Golden Ratio 11
2.1 History of the Golden Ratio . . . . . . . . . . . . . . . . . . . 11
2.2 Fibonacci Sequence and the Golden Ratio . . . . . . . . . . . 12
2.3 Binet’s Formula . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.4 Binet’s Formula and Generalised Fibonacci Numbers . . . . . 15

3 Polynomials 18
3.1 Fibonacci Polynomials . . . . . . . . . . . . . . . . . . . . . . 18
3.2 Generalised Fibonacci Polynomials . . . . . . . . . . . . . . . 18
3.3 Binet’s Formula and Factorisations . . . . . . . . . . . . . . . 20
3.4 More Fibonacci Polynomial Expressions . . . . . . . . . . . . 23

4 Further Generalisations 28
4.1 Tribonacci Sequence . . . . . . . . . . . . . . . . . . . . . . . 28
4.2 Characteristic Equation . . . . . . . . . . . . . . . . . . . . . 30
4.3 Binet’s Formula . . . . . . . . . . . . . . . . . . . . . . . . . . 30

5 Order K 32
5.1 Fibonacci Sequence of Order K . . . . . . . . . . . . . . . . . 32
5.2 Fibonacci Polynomials of Order K . . . . . . . . . . . . . . . . 35
5.3 Fibonacci-Type Polynomials of Order K . . . . . . . . . . . . 35

6 Applications 40
6.1 Arrangements . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

2
 6.2 Coin Tossing . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
6.3 Bernoulli Trials . . . . . . . . . . . . . . . . . . . . . . . . . . 44
6.4 Geometric Distribution of Order K . . . . . . . . . . . . . . . 46
6.5 Longest Runs . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
6.6 Reliability of a Consecutive-k-out-of-n:F System . . . . . . . . 50

7 Conclusion 52

Bibliography 52

A Fundamentals 55
A.1 Binomial Coefficients . . . . . . . . . . . . . . . . . . . . . . . 55
A.2 Multinomial Coefficients . . . . . . . . . . . . . . . . . . . . . 55
A.3 Generating Functions . . . . . . . . . . . . . . . . . . . . . . . 56

B Solving a Cubic Equation 57

3
Chapter 1

Introduction

1.1 Biography of Leonardo Fibonacci

Leonardo Fibonacci, also known as Leonardo of Pisa, was born around 1170
in Italy. Son of Bonacci, a merchant, Fibonacci was educated in North Africa
where he was taught the Hindu-Arabic system of numbers instead of the
Roman numerals which was the customary system used in Western Europe
at the time.[VAJ, pg 9]

Figure 1.1: Leonardo Fibonacci [MAC]

On his return to Italy in the early 13th century, Fibonacci began writing
Liber Abaci (Book of the Abacus), a book based on the arithmetic and alge-
bra he had learned whilst travelling, which was published in 1202 and later
revised in 1228. It was this book which introduced the Hindu-Arabic system
of numbers to Western Europe, a notable event, as it is the same system used
today. He later went on to write Practica Geometriae (Practice of Geometry)
in 1220 and Flos (Flower) in 1225. Fibonacci’s most outstanding contribu-
tion to mathematics was his last publication Liber Quadratorum (Book of

4
Square Numbers) which, written in 1225, was a book based on number theory
that included techniques for finding Pythagorean triples.[MAC]
Fibonacci however, is most well known for the recurrence relation which
bears his name and is the solution to a small problem which he posed in
Liber Abaci about the population of rabbits.
The rabbit problem can be described by the following, which has been
adapted from [DUN].

‘A pair of newly born rabbits is placed in a confined space. This pair, and
every later pair, produces one pair of newly born rabbits every month, once
they reach their 2nd month of age. How many pairs will there be after 1,
2,... months assuming that no deaths occur?’

To solve the problem, let us first establish some useful notation. If we let
n represent the beginning of the nth month, then let Fn denote the number
of pairs of rabbits there are at the start of the nth month.
When n = 0, clearly we have no pairs of rabbits, so F0 = 0. At the start of
the first month we have 1 pair of rabbits, the ancestor pair, therefore F1 = 1.
There will still only be 1 pair of rabbits at the start of the second month
as the ancestor pair are only one month old and have not reached breeding
age yet, so F2 = 1 also. However, at the begining of the third month, the
ancestor pair have given birth to a pair of rabbits so we now have 2 pairs of
rabbits. When n = 4 we will have F4 = 3 as the ancestor pair would have
had a second pair of rabbits, but their first pair of offspring would not have
reached breeding age yet. Table 1.1 displays these results and the following
numbers of pairs of rabbits up to the beginning of the tenth month.

n 0 1 2 3 4 5 6 7 8 9 10
Fn 0 1 1 2 3 5 8 13 21 34 55

Table 1.1: Number of pairs of rabbits at the start of the nth month

In general there will be Fn pairs of rabbits at the start of the nth month,
and Fn+1 at the beginning of the (n+1)th month. At the start of the (n+2)th
month there will still be all the pairs from the (n + 1)th month, but there will
also be all the offspring of the pairs that were present in the nth month as
these will all be at breeding age. So for any n ≥ 0 the solution to the rabbit
problem is the recurrence relation Fn+2 = Fn+1 + Fn .

5
1.2 The Fibonacci Sequence
The Fibonacci sequence is one of the most interesting number sequences and
provides mathematicians of all ages and abilities with vast opportunities to
make conjectures and increase their knowledge in many areas of mathemat-
ics. The sequence has even led to the formation of The Fibonacci Association,
an organization of mathematicians who study Fibonacci and related integer
sequences. Founded in 1963 by Verner E.Hoggatt, Jr. (1921-1980), the orga-
nization produces articles related to these integer sequences in its publication
The Fibonacci Quarterly.[WIK]

Definition 1.2.1
We define the Fibonacci sequence by the recurrence relation

Fn+2 = Fn+1 + Fn n≥0 (1.1)

and setting the initial values as F0 = 0 and F1 = 1. This gives us the Fi-
bonacci numbers: 0, 1, 1, 2, 3, 5, 8, 13, 21, 34,...

The sequence did not appear in Fibonacci’s Liber Abaci, but was given
its name in 1876 by the French mathematician Francois Edouard Anatole
Lucas, who made many contributions to the study of the Fibonacci sequence,
as shall be seen later. It is widely believed that the Fibonacci sequence did
not originate from Fibonacci himself however, but was explained by him in
his book to make the Hindu-Arabic number system more understandable to
Western Europe. The sequence appears to have been studied prior to the
publication of Liber Abaci by Indian scholars, who were exploring rhythmic
patterns.[SUR]

1.3 Lucas and The Lucas Sequence

Edouard Lucas (1842-1891) was a French mathematician most noted for his
contributions to number theory. In addition to this he is also known for his
four-volume publication Récréations Mathématiques (Recreational Mathe-
matics), the most famous of these problems being the Tower of Hanoi.[MAC]
Lucas is well known for his contributions to the study of the Fibonacci
sequence, one of which was investigating the effect of using different initial
values, or ‘seed values’. In the Fibonacci sequence we have the seed values
0 and 1, yet using the seed values 2 and 1 Lucas obtained a new sequence of
numbers, which was named in his honour.[KOS, pg 8]

6
Definition 1.3.1
We define the Lucas sequence by the recurrence relation
Ln+2 = Ln+1 + Ln n≥0 (1.2)

and setting the seed values as L0 = 2 and L1 = 1. This gives us the Lucas
numbers: 2, 1, 3, 4, 7, 11, 18, 29, 47, 76,...

1.4 Relationships between Fibonacci and Lu-

cas Sequences
In this section, we shall explore several of the vast number of relationships
among the Fibonacci numbers, beginning with an identity involving terms of
the Fibonacci sequence.[KOS, pg 74]

Theorem 1.4.1(Cassini’s Formula)

Fn−1 Fn+1 − Fn2 = (−1)n n≥1 (1.3)

Proof
Cassini’s Formula can be proved easily by induction.
When n = 1 in equation (1.3), we have F0 F2 − F12 = 0 · 1 − 12 = (−1)1 , so
the formula holds in this case.
We now assume the formula holds for any positive integer k, i.e. we assume
Fk−1 Fk+1 − Fk2 = (−1)k is true.
Then we find for n = k + 1, using the recurrence relation for the Fibonacci
numbers,
2 2
Fk Fk+2 − Fk+1 = (Fk+1 − Fk−1 )(Fk + Fk+1 ) − Fk+1
2 2
= Fk Fk+1 + Fk+1 − Fk Fk−1 − Fk−1 Fk+1 − Fk+1 .

Using the induction hypothesis this equals

2
Fk Fk+2 − Fk+1 = Fk Fk+1 − Fk Fk−1 − Fk2 − (−1)k
= Fk Fk+1 − Fk (Fk−1 + Fk ) + (−1)k+1
= Fk Fk+1 − Fk Fk+1 + (−1)k+1
= (−1)k+1 .

7
So Cassini’s formula works for n = k + 1. Therefore by induction the formula
holds for all n ≥ 1. 

Cassini’s formula is an important identity which shall appear in later chap-

ters.

Since Fn and Ln satisfy the same recurrence relation, it follows that there
would be many relations between the two sequences, one of which we shall
now look at in detail.[VAJ, pg 24]

Theorem 1.4.2
Ln+1 = Fn + Fn+2 n≥0 (1.4)
It can be seen by Table 1.2 that this relation holds, for example, L5 = 11 =
F4 + F6 . However, for a more rigorous proof we will use induction.

n 0 1 2 3 4 5 6 7 8 9 10
Fn 0 1 1 2 3 5 8 13 21 34 55
Ln 2 1 3 4 7 11 18 29 47 76 123

Table 1.2: Fibonacci and Lucas Numbers

Proof
When n = 0 in equation (1.4) we have L1 = F0 + F2 = 0 + 1 = 1 so the
relation is true in this case.
We now assume the formula holds for any positive integer k, i.e. we assume
Lk+1 = Fk + Fk+2 is true.
Then we find for n = k + 1,

L(k+1)+1 = Lk+1 + Lk .

Using the induction hypothesis this equals

L(k+1)+1 = Fk + Fk+2 + Fk−1 + Fk+1

= Fk+1 + Fk+3 .

So the relation holds for any n = k + 1. Therefore by induction the relation

holds for all n ≥ 0. 

8
1.5 The Generalised Fibonacci Sequence
By looking at number sequences that follow the same recurrence relation as
the Fibonacci and Lucas sequences, but have arbitrary integer seed values, it
is possible to find common properties of the two sequences. These sequences
are called generalised Fibonacci sequences.[KOS, pg 109]

Definition 1.5.1
We define the generalised Fibonacci sequence as

Gn+2 = Gn + Gn+1 n≥0 (1.5)

with seed values G0 = a and G1 = b, where a, b ∈ Z.

The generalised Fibonacci sequence gives the following sequence:

a, b, a + b, a + 2b, 2a + 3b, 3a + 5b, 5a + 8b, 8a + 13b,...

Clearly if a = 0 and b = 1 this leads to the Fibonacci sequence. If we change

the seed values to a = 2 and b = 1 we get the Lucas numbers:

2, 1, 3, 4, 7, 11, 18, ...

The coefficients of each term in the generalised Fibonacci sequence are the
Fibonacci numbers, which leads us on to the following theorem.

Theorem 1.5.2
Let Gn denote the nth term of the generalised Fibonacci sequence. Then

Gn+2 = aFn + bFn+1 n ≥ 1. (1.6)

Proof
The theorem can be proved by induction.
When n = 1, G3 = aF1 + bF2 = a + b, so the theorem holds in this case.
We shall now assume that the theorem holds for n = k, so Gk+2 = aFk +bFk+1
is assumed to be true.
Then we find for n = k + 1,

G(k+1)+2 = Gk+1 + Gk+2 .

9
Using the induction hypothesis this equals

G(k+1)+2 = (aFk−1 + bFk ) + aFk + bFk+1

= a(Fk + Fk−1 ) + b(Fk+1 + Fk )
= aFk+1 + bFk+2 .

So the theorem holds for any n = k+1 and therefore the theorem is true for all
n ≥ 1. 
Theorem 1.5.2 is a key relation that will be useful in the following chapters.

The main focus of this report is to expand upon the basics of the Fi-
bonacci sequence which have been discussed in this first chapter. The next
chapter will introduce the most well-known value associated with the Fibon-
naci sequence, the Golden Ratio. Progressing on to the third chapter, we
will study the Fibonacci polynomials, which will be followed by a chapter
concerning an expansion of the Fibonacci sequence, namely the Tribonacci
sequence. Chapter five will cover the Fibonacci sequence and polynomials of
order k, and finally we shall investigate their applications in probability and
statistics.

10
Chapter 2

Golden Ratio

There are many associations with the Golden Ratio, most common of which
is that of aesthetics. It is widely known that the Golden Ratio appears in
art, architecture and even nature, however this chapter will focus on the link
between the Golden Ratio and the Fibonacci sequence. It will show that the
Golden Ratio is vital to a key theorem for finding large Fibonacci numbers.

2.1 History of the Golden Ratio

The Golden Ratio or Golden Section was known sixteen centuries before
Fibonacci, by the Greeks. It is denoted by the Greek letter τ which is the
first letter of the Greek word ‘τ oµη’ or ‘the section’. The idea of the Golden
Ratio originates from plane geometry, specifically, locating a point on a line
segment such that the line segment is divided into two parts in a certain
ratio.[GOL]
A line segment, like the one shown below, is divided into two parts by the
Golden Ratio if the ratio of the smaller part of the line (AB) to the larger
part (BC) is equal to the ratio of the larger part (BC) to the whole line (AC).
In other words
AB BC
= .
BC AC

Definition 2.1.1
The Golden Ratio (τ ) is an irrational number which can be expressed as the
fraction √
1+ 5
τ= = 1.618033... (2.1)
2

11
2.2 Fibonacci Sequence and the Golden Ra-
tio
It was discovered by the German mathematician Johannes Kepler (1571-
1630) that the ratio of two consecutive Fibonacci numbers approaches a limit
as n becomes large. This is also true for the Lucas sequence and generalised
Fibonacci sequence. The following table 2.1 demonstrates this convergence.

Fn+1 Ln+1
n Fn Ln

1 3
1 1
= 1.000000 1
= 3.000000

2 4
2 1
= 2.000000 3
= 1.333333...

3 7
3 2
= 1.500000 4
= 1.750000

5 11
4 3
= 1.666666... 7
= 1.571428...

8 18
5 5
= 1.600000 11
= 1.636363...

89 199
10 55
= 1.618181... 123
= 1.617886...

987 2207
15 610
= 1.618032... 1364
= 1.618035...

10946 24476
20 6765
= 1.618033... 15127
= 1.618033...

Table 2.1: Ratios of consecutive Fibonacci and Lucas Numbers

This observation is best expressed by the following theorem.[KOS, pg 240]

Theorem 2.2.1
Fn+1 Gn+1
lim = τ = lim (2.2)
n→∞ Fn n→∞ Gn

We shall prove the theorem in the case of the generalised Fibonacci sequence,
so that it will also hold in the case of the Fibonacci and Lucas sequences.

12
Proof
Using Definition 1.5.1, the recurrence relation of the generalised Fibonacci
sequence, we see that
Gn+1 Gn−1 1
=1+ =1+ Gn
.
Gn Gn Gn−1

As n → ∞, lim GGn+1
n
= lim GGn−1
n
and so by setting x = lim GGn+1
n
, the
equation above becomes

1
x=1+ ⇐⇒ x2 = x + 1
x
⇐⇒ x2 − x − 1 = 0.

√
1+ 5
√
Solving this quadratic equation we get the solutions x = 2
and x =
1− 5
2
. As the limit is positive it follows that
√
Gn+1 1+ 5
lim = = τ.
n→∞ Gn 2


This formula demonstrates the link between the (generalised) Fibonacci num-
bers and the Golden Ratio. An important relation arises from this proof
which shall now be defined.

Definition 2.2.2
The characteristic equation for the recurrence relation for the (generalised)
Fibonacci numbers is
x2 − x − 1 = 0, (2.3)

√ √
1+ 5 1− 5
which has solutions τ = 2
and σ = 2
, the conjugate to τ .

2.3 Binet’s Formula

Binet’s Formula for the Fibonacci sequence, which was discovered in 1843 by
the French mathematician Jacques Philippe Marie Binet (1786-1856), makes
it simpler to find large Fibonacci numbers. We no longer need the two pre-
vious terms to calculate the next Fibonacci number, only τ , σ and n.[KOS,

13
pg 79]

Theorem 2.3.1(Binet’s Formula for the Fibonacci Sequence)

τ n − σn
Fn = n≥0 (2.4)
τ −σ

Proof
Since τ is a root of the characteristic equation (2.3) it can be written as

τ 2 − τ − 1 = 0. (2.5)

Rearranging equation (2.5) and multiplying it by τ we find

τ2 =τ +1
τ3 = τ 2 + τ = 2τ + 1
τ4 = τ 3 + τ 2 = 3τ + 2
τ5 = τ 4 + τ 3 = 5τ + 3.

Here the coefficients are the Fibonacci numbers and we can form the equation

τ n = τ Fn + Fn−1 , (2.6)

and similarly for σ we find

σ n = σFn + Fn−1 . (2.7)

Equating equations (2.6) and (2.7) we get

τ n − τ Fn = σ n − σFn
τ n − σ n = (τ − σ)Fn
τ n − σn
= Fn .
τ −σ


Binet’s Formula can also be used to find large Lucas numbers.[KOS, pg 79]

Theorem 2.3.2 (Binet’s Formula for the Lucas Sequence)

Ln = τ n + σ n n≥0 (2.8)

14
Proof
Using Theorem 1.4.2 and Theorem 2.3.1 we find
Ln = Fn−1 + Fn+1
τ n−1 − σ n−1 τ n+1 − σ n+1
= +
τ −σ τ −σ
1 −1
( + τ) ( − σ)
= τn τ√ + σn σ √ .
5 5

Using the characteristic equation (2.3), we get τ1 = τ − 1 and similarly for σ,

this gives
2τ − 1 1 − 2σ
Ln = τ n √ + σn √
5 5
n n
=τ +σ .


2.4 Binet’s Formula and Generalised Fibonacci

Numbers
If we let G0 = a and G1 = b, where a, b ∈ Z, be the first 2 terms of any
generalised Fibonacci sequence, then Binet’s formula can be generalised for
generalised Fibonacci sequences.[KOS, pg 111]

Theorem 2.4.1 (Binet’s Formula for the Generalised Fibonacci Sequence)

cτ n − dσ n
Gn = n≥1 (2.9)
τ −σ
where c = a + (a − b)σ and d = a + (a − b)τ .

Proof
We find by using Theorem 1.5.2 and Theorem 2.3.1 that
Gn = aFn−2 + bFn−1
a(τ n−2 − σ n−2 ) + b(τ n−1 − σ n−1 )
=
τ −σ
τ ( τ 2 + τ ) − σ n ( σa2 + σb )
n a b
= .
τ −σ

15
 1 1
Since τ σ = −1 this gives us τ
= −σ and σ
= −τ , so the equation becomes
τ n (aσ 2 − bσ) − σ n (aτ 2 − bτ )
Gn = .
τ −σ

Setting n = 2 in equations (2.6) and (2.7) we get τ 2 = τ + 1 and σ 2 = σ + 1,

which gives us
τ n [a + (a − b)σ] − σ n [a + (a − b)τ ]
Gn =
τ −σ
cτ n − dσ n
= .
τ −σ


As previously discussed, Binet’s formula can be used to find large (gen-

eralised) Fibonacci numbers. In addition to this important function, Binet’s
formula can lead us to a generalisation of Cassini’s formula. The gener-
alised form was produced by the Belgian mathematician Eugene Charles
Catalan(1814-1894) in 1879.[WOL]

Theorem 2.4.2 (Catalan’s Formula)

Fn2 − Fn+k Fn−k = (−1)n−k Fk2 n≥k (2.10)
where k is a positive integer.
Proof
Using Theorem 2.3.1, Binet’s formula for the Fibonacci sequence, we find
1 1 1
Fn2 − Fn+k Fn−k = ( √ (τ n − σ n ))2 − √ (τ n+k − σ n+k ) √ (τ n−k − σ n−k )
5 5 5
1 n
= ((τ − σ n )2 − (τ n+k − σ n+k )(τ n−k − σ n−k ))
5
1
= (τ 2n − 2τ n σ n + σ 2n − τ 2n + τ n+k σ n−k + σ n+k τ n−k − σ 2n )
5
1 n+k n−k
= (τ σ − 2τ n σ n + σ n+k τ n−k )
5
1
= (τ n−k σ n−k (τ 2k − 2τ k σ k + σ 2k ))
5
1
= (τ n−k σ n−k (τ k − σ k )2 )
5
k k 2
n−k (τ − σ )
= (τ σ) .
5

16
Since τ σ = −1 and by using Binet’s formula again, this gives us

Fn2 − Fn+k Fn−k = (−1)n−k Fk2 .


From this we can see Catalan’s Formula is equal to Theorem 1.4.1 (Cassini’s
Formula) when k = 1.
As we have seen in this chapter, there are strong links between the Fi-
bonacci sequence and the Golden Ratio. The relations that we have found
will be important in the following chapters. In particular, Binet’s formula
will be useful and continually appears in proofs of theorems covered in the
next chapter, which examines the Fibonacci polynomials.

17
Chapter 3

Polynomials

3.1 Fibonacci Polynomials

Recurrence relations that are similar to that of the Fibonacci sequence can
be used to define large classes of polynomials which generate the Fibonacci
numbers. Polynomials of this form are called Fibonacci polynomials, and the
type that we shall look at were first studied by Catalan in 1883.[KOS, pg 443]

Definition 3.1.1
The Fibonacci polynomials fn (x) are defined as
fn+2 (x) = xfn+1 (x) + fn (x) n ≥ 0, (3.1)
where the initial values are f0 (x) = 0 and f1 (x) = 1.
The first ten Fibonacci polynomials are shown in table 3.1.

At first glace, the link between the Fibonacci polynomials and the Fibonacci
sequence may be difficult to see, however if you sum the coefficients of each
term you will find they equal the Fibonacci sequence. Furthermore, you can
see we obtain the Fibonacci numbers by letting x = 1 so that fn (1) = Fn .

3.2 Generalised Fibonacci Polynomials

Similarly to the Fibonacci sequence, the Fibonacci polynomials also gener-
alise easily.

Definition 3.2.1
The generalised Fibonacci polynomials gn (x) are defined as
gn+2 (x) = xgn+1 (x) + gn (x) n ≥ 0, (3.2)

18
 n fn (x)
0 0
1 1
2 x
3 x2 + 1
4 x3 + 2x
5 x4 + 3x2 + 1
6 x5 + 4x3 + 3x
7 x6 + 5x4 + 6x2 + 1
8 x7 + 6x5 + 10x3 + 4x
9 x8 + 7x6 + 15x4 + 10x2 + 1
10 x9 + 8x7 + 21x5 + 20x3 + 5x

Table 3.1: Fibonacci Polynomials

where the initial values are g0 = a(x) and g1 = b(x).

As with the Fibonacci polynomials, if we let x = 1 we obtain the generalised
Fibonacci numbers, i.e gn (1) = Gn .

We shall now investigate the convergence of two consecutive Fibonacci poly-

nomials, as done previously with the generalised Fibonacci sequence.

Theorem 3.2.2
√
fn+1 (x) x + x2 + 4 gn+1 (x)
lim = τ (x) = = lim (3.3)
n→∞ fn (x) 2 n→∞ gn (x)

Again we shall prove the theorem in the case of the generalised Fibonacci
polynomials, so that it will also hold in the case of the Fibonacci polynomials.

Proof
Using Definition 3.2.1, the recurrence relation for the generalised Fibonacci
polynomials, we see that

gn+1 (x) gn−1 (x) 1

=x+ =x+ gn (x)
. (3.4)
gn (x) gn (x)
gn−1 (x)

19
As n → ∞, lim gn+1 (x)
gn (x)
gn (x)
= lim gn−1 (x)
and so by setting y = lim gn+1 (x)
gn (x)
, equation
(3.4) becomes
1
y =x+ ⇐⇒ y 2 = xy + 1 (3.5)
y
⇐⇒ y 2 − xy − 1 = 0. (3.6)
√
x+ x2 +4
Solving
√
the equation for y gives us the solutions y = 2
and y =
x− x2 +4
2
. Since the limit is positive it follows that
√
gn+1 (x) x + x2 + 4
lim = = τ (x).
n→∞ gn (x) 2


So the limit as n → ∞ of the ratio of two consecutive generalised Fibonacci

polynomials is τ (x). Setting x = 1 in equation (3.3) we find
√
fn+1 (1) 1+ 1+4
lim = τ (1) = = τ.
n→∞ fn (1) 2
Fn+1
This gives us the result limn→∞ Fn
= τ , as found in Chapter 2.

3.3 Binet’s Formula and Factorisations

It is also possible to generalise Binet’s Formula for Fibonacci polynomials,
simplifying the task of finding large Fibonacci polynomials.[KOS, pg 446]

Theorem 3.3.1 (Binet’s Formula for the Fibonacci Polynomials)

τ n (x) − σ n (x)
fn (x) = n ≥ 0, (3.7)
τ (x) − σ(x)
√ √
2 2
where τ (x) = x+ 2x +4 and σ(x) = x− 2x +4 are the solutions to the charac-
teristic equation y 2 − xy − 1 = 0 and τ (1) = τ , σ(1) = σ.

Proof
The proof of this theorem follows the same pattern as that of Theorem 2.3.1
(Binet’s formula for the Fibonacci numbers). Since τ (x) is a root of the
characteristic equation (3.6), it can be written as

τ 2 (x) − xτ (x) − 1 = 0.

20
Rearranging this and multiplying by τ (x) we find that

τ 2 (x) = xτ (x) + 1
τ 3 (x) = xτ 2 (x) + τ (x) = (x2 + 1)τ (x) + x
τ 4 (x) = xτ 3 (x) + τ 2 (x) = (x3 + 2x)τ (x) + x2 + 1
τ 5 (x) = xτ 4 (x) + τ 3 (x) = (x4 + 3x2 + 1)τ (x) + x3 + 2x.

We see that the coefficients are the Fibonacci polynomials and we can form
the equation
τ n (x) = τ (x)fn (x) + fn−1 (x). (3.8)
Similarly for σ(x) we find

σ n (x) = σ(x)fn (x) + fn−1 (x). (3.9)

Equating (3.8) and (3.9) we get

τ n (x) − τ (x)fn (x) = σ n (x) − σ(x)fn (x)

τ n (x) − σ n (x) = (τ (x) − σ(x))fn (x)
τ n (x) − σ n (x)
= fn (x).
τ (x) − σ(x)

When classifying polynomials we typically consider the order and the

zeros of the polynomials. Whilst it is clear from table 3.1 that the or-
der of a Fibonacci polynomial fn (x) is n − 1, it is far less obvious how
to find the zeros of the Fibonacci polynomials. In 1973, V.E.Hoggatt,Jr.
and M.Bicknell investigated zeros of Fibonacci polynomials using hyperbolic
z −z z −z
functions sinh z = e −e
2
and cosh z = e +e
2
where z = x + iy.[KOS, pg 477]
2 2
Using the identities cosh z − sinh z = 1, cosh iy = cos y and sinh iy = i sin y
we can define τ (x), σ(x) and fn (x) in terms of z.

Definition 3.3.2 √
If we let x = 2i cosh z, then x2 + 4 = 2 sinh z and we define

τ (x) = i(cosh z + sinh z) = iez (3.10)

σ(x) = i(cosh z − sinh z) = ie−z . (3.11)

21
Using these values in Theorem 3.3.1 we can also define
(τ (x))n − (σ(x))n
fn (x) =
τ (x) − σ(x)
i e − in e−nz
n nz
e − e−nz
 nz 
n−1
= =i .
iez − ie−z ez − e−z

ez −e−z
Since sinh z = 2
this gives us
sinh nz
fn (x) = in−1 . (3.12)
sinh z
To find the zeros of the Fibonacci polynomials we need to look at the values of
z such that fn (x) = 0. This occurs if and only if sinh nz = 0 and sinh z 6= 0.
sinh nz = sinh n(x + iy)
en(x+iy) − e−n(x+iy)
= =0
2
This leads us to
e2n(x+iy) = 1
e2nx (cos 2ny + i sin 2ny) = 1.
Equating the real parts we find e2nx cos 2ny = 1. As e2nx ≥ 1 for nx ≥ 0, we
must have x = 0, which implies cos 2ny = 1. This is the case when y = ± kπ n
.
kπ
Equating the imaginary parts we find sin 2ny = 0, which implies y = ± 2n .
Combining these results we can see that sinh nz = 0 when x = 0 and y =
± kπ
n
, which implies z = ± kπ
n
i.
Using the identity i cosh iy = i cos y, we get x = 2i cosh z = 2i cos kπ


n
,
where 1 ≤ k ≤ n − 1 and find the zeros of the Fibonacci polynomials are
 
kπ
x = 2i cos 1 ≤ k ≤ n − 1. (3.13)
n

Now that we have the zeros of the Fibonacci polynomials it is possible to

factorise them.

Definition 3.3.3
The Fibonacci polynomials can be factorised using the following expression
n−1  
Y kπ
fn (x) = (x − 2i cos ). (3.14)
k=1
n

22
Setting x = 1 in the above equation we also find
n−1  
Y kπ
Fn = (1 − 2i cos ). (3.15)
k=1
n

A working example of factorising can now be seen by setting n = 3. Using

Definition 3.3.4 we find
2  
Y kπ
f3 (x) = (x − 2i cos )
k=1
3
π   
2π
= (x − 2i cos )(x − 2i cos )
3 3
= (x − i)(x + i)

It can easily be seen by multiplying out the brackets that we have found the
factors of f3 (x) = x2 + 1.

3.4 More Fibonacci Polynomial Expressions

Similarly to the Fibonacci sequence, there are many different ways to ex-
press the Fibonacci polynomials. In this section we will investigate Fibonacci
polynomials in terms of binomial coefficients and generating functions. An
explanation of the binomial coefficients and binomial theorem as well as gen-
erating functions can be found in Appendix. A.1 and A.3 respectively.

Theorem 3.4.1
The generating function for the Fibonacci polynomials is given by
t
g(t) = . (3.16)
1 − xt − t2

[KOS, pg 447]

Proof
Let g(t) = ∞ n
P
n=0 fn (x)t be the generating function for the Fibonacci poly-

23
nomials. Using Definition 3.1.1 we find by putting in the initial values that
∞
X
g(t) = t + fn (x)tn
n=2
∞
X
=t+ (xfn−1 (x) + fn−2 (x))tn
n=2
X∞ ∞
X
r+1
=t+x fr (x)t + fs (x)ts+2
r=1 s=0

if we set n = r + 1 = s + 2. We can now include r = 0 in the first summation

as f0 (x) = 0 so does not affect the sum. This leads us to
∞
X ∞
X
r 2
g(t) = t + xt fr (x)t + t fs (x)ts
r=0 s=0
= t + xtg(t) + t2 g(t).

Rearranging the above equation gives us the generating function

t
g(t) = .
1 − xt − t2

Splitting this into partial fractions we get

 
1 1 1
g(t) = √ − .
x2 + 4 1 − τ (x)t 1 − σ(x)t
Using the binomial theorem we find
∞ ∞
1 X
n n
X
g(t) = √ ( τ (x)t − σ n (x)tn )
x2 + 4 n=0 n=0
1 X
= (τ n (x) − σ n (x))tn
τ (x) − σ(x)
∞
X (τ n (x) − σ n (x)) n
= t .
n=0
τ (x) − σ(x)

So by the equality of generating functions we get

(τ n (x) − σ n (x))
fn (x) = ,
τ (x) − σ(x)

24
which is Binet’s formula for the Fibonacci polynomials. Therefore we have
proved equation (3.16) is the generting function for the Fibonacci polynomi-
als. 

As you can see, if we set x = 1 in equation (3.16) we find the generating

function for the Fibonacci numbers is given by
t
g(t) = . (3.17)
1 − t − t2
Using the generating function for the Fibonacci polynomials, it is possible to
prove the following theorem, which expresses the Fibonacci polynomials in
terms of the binomial coefficients.

Theorem 3.4.2
The Fibonacci polynomials can be expressed explicitly in terms of binomial
coefficients by the formula
n−1
2  
X n−j−1
fn (x) = xn−2j−1 n ≥ 0. (3.18)
j
j=0

[KOS, pg 448]
Before we can prove this theorem, it is necessary to define another type of
polynomial which has a recursive relation like the Fibonacci polynomials.

Definition 3.4.3
We define the Chebyshev polynomials of second kind Un (y) as

Un+2 (y) = 2yUn+1 (y) − Un (y) n≥0 (3.19)

with seed values U0 (y) = 1 and U1 (y) = 2y.

The Chebyshev polynomial of second kind can also be written as
n
2  
X
j n−j
Un (y) = (−1) (2y)n−2j ,
j
j=0

which has the generating function

∞
1 X
= Un (y)z n . (3.20)
1 − 2yz + z 2 n=0

[PLA]

25
Proof Theorem (3.4.2)
This proof has been adapted from that found in [KOS, pg 448]. Using the
generating function for the Fibonacci polynomials
t
g(t) = ,
1 − xt − t2
we have ∞
t X
= fn (x)tn .
1 − xt − t2 n=0

If we let z = it and y = 2ix , where i2 = −1 in equation (3.20), then the

generating function for the Chebyshev polynomial of second kind becomes
∞
1 X
n
x
2
= i U n tn .
1 − xt − t n=0
2i

Here we can see how similar this is to the generating function for the Fi-
bonacci polynomials, which we get by multiplying through by t, leading us
to ∞
t X
n
x
= i Un tn+1
1 − xt − t2 n=0
2i
∞
X ∞
X x
n
fn (x)t = in Un tn+1 .
n=0 n=0
2i
P∞ n
P∞
Since n=0 fn (x)t = n=0 fn+1 (x)tn+1 this gives
∞
X ∞
X x
n+1
fn+1 (x)t = in Un tn+1 .
n=0 n=0
2i

Equating the coefficients of tn+1 we find

x
fn+1 (x) = in Un
2i
n
2  
n
X
j n − j  x n−2j
=i (−1)
j i
j=0

using definition 3.4.3. Taking in into the summation gives

n
2  
X n−j
fn+1 (x) = xn−2j .
j
j=0

26
So we find
n−1
2  
X n−j−1
fn (x) = xn−2j−1 .
j
j=0


By setting x = 1 in Theorem 3.4.2 we get the following result, which gives us
another way of finding the Fibonacci numbers, this time by using binomial
coefficients.

Corollary 3.4.4
n−1
2  
X n−j−1
Fn = (3.21)
j
j=0

This can be illustrated by a simple example, say when n = 7.

3  
X 7−j−1
f7 (x) = x7−2j−1
j
j=0
       
6 6 5 4 4 2 3
= x + x + x +
0 1 2 3
= x6 + 5x4 + 6x2 + 1

Setting x = 1 we find F7 = 13, as expected.

In this chapter we have found a sequence of polynomials which behave

in a similar way to the Fibonacci sequence, and in the special case where
x = 1, equals the Fibonacci sequence. Furthermore, we have seen that there
is a generating function for the Fibonacci polynomials and an expression for
them in terms of the binomial coefficients. Both of these will be expanded
upon in chapters 5 and 6, once we have studied another similar generalisation
of the Fibonacci sequence.

27
Chapter 4

Further Generalisations

4.1 Tribonacci Sequence

We shall now investigate a slightly different type of generalisation of the Fi-
bonacci sequence. In the Fibonacci sequence, all terms are the sum of the
two previous terms, however we will now look at the effects of adding the
three previous terms instead.

Definition 4.1.1
The Tribonacci sequence satisfies the recurrence relation

Tn+3 = Tn + Tn+1 + Tn+2 n ≥ 0, (4.1)

where the seed values are T0 = 0, T1 = 1 and T2 = 1 [KOS, pg 527]. This

gives us the Tribonacci numbers, the first ten of which can be seen in table
4.1.

n 0 1 2 3 4 5 6 7 8 9 10
Tn 0 1 1 2 4 7 13 24 44 81 149

Table 4.1: Tribonacci Numbers

Similarly to the Fibonacci sequence, the ratio of two consecutive Tribonacci

numbers converges to a limit, as can be seen in table 4.2.
The limit of the ratio of consecutive Tribonacci numbers differs from that
of the (generalised) Fibonacci sequence, which tends to τ as n approaches
infinity. The ratio of two consecutive Tribonacci numbers instead tends to
another irrational number, 1.839286..., the Tribonacci constant.[WOL]

28
 Tn+1
n Tn

1 1.000000
2 2.000000
3 2.000000
4 1.750000
5 1.857142...
10 1.838926...
15 1.839285...

Table 4.2: Ratios of Consecutive Tribonacci Numbers

The Tribonacci sequence, as with the Fibonacci sequence, can also be

generalised to polynomials.[KOS, pg 533]

Definition 4.1.2
The Tribonacci polynomials tn (x) are defined by

tn+3 (x) = x2 tn+2 (x) + xtn+1 (x) + tn (x) n ≥ 0, (4.2)

with the initial values t0 (x) = 0, t1 (x) = 1 and t2 (x) = x2 . The first five
Tribonacci polynomials are shown in table 4.3.

n tn (x)
0 0
1 1
2 x2
3 x4 + x
4 x6 + 2x3 + 1
5 x8 + 3x5 + 3x2

Table 4.3: Tribonacci Polynomials

As you can see when we set x = 1 we find tn (1) = Tn .

29
4.2 Characteristic Equation
From the recurrence relation for the Tribonacci sequence we find that the
characteristic equation is

x3 − x2 − x − 1 = 0. (4.3)

To find the roots of the characteristic equation we need to solve the cubic
equation. The method to do this can be found in Appendix. B, which gives
the roots
√ √
q q
1 3 3
α = (1 + 19 + 3 33 + 19 − 3 33)
3
√ √
q q
1 1 3 3
β = − ( 19 + 3 33 + 19 − 3 33)
3 6 q
√ √
q
i 3 3
+ √ ( 19 + 3 33 − 19 − 3 33)
2 3
√ √
q q
1 1 3 3
γ = − ( 19 + 3 33 + 19 − 3 33)
3 6 q
√ √
q
i 3 3
− √ ( 19 + 3 33 − 19 − 3 33),
2 3
where β and γ are complex conjugates to the real root α, which is the Tri-
bonacci constant.

4.3 Binet’s Formula

Using the characteristic equation we can find Binet’s formula for the Tri-
bonacci sequence. However, since there are three roots, instead of the two
as for the Fibonacci sequence, it is a more complex formula. Despite this, it
does simplify the task of finding large Tribonacci numbers as we only need
to know α, β, γ and n.[WOL]

Theorem 4.3.1 (Binet’s formula for the Tribonacci sequence)

αn+1 β n+1 γ n+1

Tn = + + n ≥ 0 (4.4)
(α − β)(α − γ) (β − α)(β − γ) (γ − α)(γ − β)

Proof
We can prove Binet’s formula for the Tribonacci sequence using induction

30
on n, in the same way that we proved Binet’s formula for the Fibonacci
sequence.

This chapter has shown that the Fibonacci sequence and Fibonacci poly-
nomials can be generalised from the sum of two terms to three. An obvious
progression from this is to find the Fibonacci sequence and Fibonacci poly-
nomials of order k, which will be investigated in the next chapter.

31
Chapter 5

Order K

5.1 Fibonacci Sequence of Order K

So far we have looked at the Fibonacci sequence where each term has been
the sum of the previous two terms and the case of the Tribonacci sequence
where each term is the sum of the previous three terms. We shall now extend
these to the case where each term is the sum of the previous k terms. The
material in this section is based on section 2 of [MUW]1

Definition 5.1.1
(k)
We define the Fibonacci sequence of order k as Fn if
(k) (k)
F0 = 0, F1 = 1 and
(
(k) (k)
Fn−1 + ... + F0 2≤n≤k
Fn(k) = (k) (k) (5.1)
Fn−1 + ... + Fn−k n ≥ k + 1
(
(k)
2Fn−1 2≤n≤k
= (k) (k) (5.2)
2Fn−1 − Fn−1−k n ≥ k + 1.

(2) (2)
By setting k = 2 we get F0 = 0, F1
= 1 and
(
(2) (2)
F2−1 + F0 n=2
Fn(2) = (2) (2)
Fn−1 + Fn−2 n ≥ (2 + 1),
1
The notation I have used to define the Fibonacci sequence of order k differs from that
(k)
used in the literature. Specifically, the Fibonacci sequence of order k is denoted by fn ,
whilst I have used an upper case F for the sequence. By doing this, there is no change
from the earlier notation used in the definition of the Fibonacci sequence, so the material
is more comprehensible.

32
which is the Fibonacci sequence. Similarly it can be shown that when k = 3
we obtain the Tribonacci sequence.

In chapter 3 we established that the Fibonacci sequence could be expressed

in terms of binomial coefficients. Similarly, the Fibonacci sequence of order
k can be expressed in terms of multinomial coefficients. For a definition of
the multinomial coefficients and the multinomial theorem see Appendix. A,
section A.2.

Theorem 5.1.2
(k)
X  n1 + ... + nk 
Fn+1 = n ≥ 0, (5.3)
n1 , ..., nk
n1 ,...,nk

where the summation is over all non-negative integers n1 , ...nk satisfying

n1 + 2n2 + ... + knk = n.

In order to prove this theorem, we will need to use two relations that are
discussed in detail and proved in chapter 6.

Proof
By equating Lemma 6.1.1 and equation (6.9) we find that the Fibonacci se-
quence of order k is equal to the number of arrangements of n elements (r
or s) where the last is r and there are no k adjacent that are all s, denoted
by akn (r). This gives
k
Fn+1 = akn (r),
with ak0 (r) = 1.
It is necessary to note that an arrangement of n elements (r or s) is of the
form akn (r) if and only if n1 of the elements are e1 = r, n2 are e2 = sr,..., and
nk are ek = |{z}
s...s r. In other words n1 + 2n2 + ... + knk = n.
k−1

For fixed non-negative integers n1 , ..., nk , the number of arrangements of

n1 + ... + nk e’s is  
n1 + ... + nk
.
n1 , ..., nk
Since n1 , ..., nk can vary subject to the condition n1 + 2n2 + ... + knk = n, we
get
X  n1 + ... + nk 
k
an (r) =
n1 , ..., nk
n1 ,...,nk
(k)
= Fn+1 ,

33
where the summation is over all non-negative integers n1 , ..., nk such that
n1 + 2n2 + ... + knk = n.

From theorem 5.1.2 we get the following corollary

Corollary 5.1.3
n
2  
X n−i
Fn+1 = n≥0 (5.4)
i
i=0
n n−2i
2 3
X X  i + j   n − i − 2j 
Tn+1 = (5.5)
i i+j
i=0 j=0
To show how Corollary 5.1.3 follows from Theorem 5.1.2, we need to set
k = 2 in Theorem 5.1.2 to find equation (5.4). This gives
(2)
X  n1 + n2 
Fn+1 = .
n1 , n2
n1 ,n2

Since the summation is over all non-negative integers n1 , n2 satisfying n1 +

2n2 = n we find n1 = n − 2n2 . Substituting this value for n1 into the
summation, we find
(2)
X  n − n2 
Fn+1 = .
n − 2n2 , n2
n−2n2 ,n2

Let N = n − n2 , k1 = N − n2 and k2 = n2 , which gives

(2)
X N 
Fn+1 = .
k1 , k2
k1 ,k2

By using the multinomial theorem we get

(2)
X  k1   k1 + k2 
Fn+1 =
k1 k2
k1 ,k2
X N   X  n − n2 
= = .
k2 n2
k2 n2

As n = n1 + 2n2 and n1 is non-negative, 0 ≤ n2 ≤ n2 , so we find

n
2  
(2)
X n−i
Fn+1 = Fn+1 = .
i
i=0

Equation (5.5) can be found in a similar way by setting k = 3 in Theorem

5.1.2.

34
5.2 Fibonacci Polynomials of Order K
It is also possible to generalise Fibonacci polynomials up to order k in a
similar way to the Fibonacci sequence.

Definition 5.2.1
(k)
We define the Fibonacci polynomials of order k as fn (x) if
(k) (k)
f0 (x) = 0, f1 (x) = 1 and
(P
n k−i (k)
(k) i=1 x fn−i (x) 2 ≤ n ≤ k + 1
fn (x) = Pk k−i (k)
i=1 x fn−i (x) n ≥ k + 2

[PHI, pg 213].
Setting k = 2 and k = 3 gives us the Fibonacci and Tribonacci polynomials
respectively. Also, when x = 1 we obtain the Fibonacci sequence of order k,
however there is another generalisation of the Fibonacci polynomials which
is much more useful in applications, which we will now look at in depth.

5.3 Fibonacci-Type Polynomials of Order K

The material in this section is based on that found in section 2 of [GEO].
Definition 5.3.1
(k)
We define the Fibonacci-type polynomials of order k as Fn (x) if
(k) (k)
F0 (x) = 0, F1 (x) = 1 and
(
(k) (k)
(k) x[Fn−1 (x) + ... + F0 (x)] 2 ≤ n ≤ k
Fn (x) = (k) (k) (5.6)
x[Fn−1 (x) + ... + Fn−k (x)] n ≥ k + 1.

(2) (2)
When we set k = 2 we get F0 (x) = 0, F1 (x) = 1 and
(
(2) (2)
x[F2−1 (x) + F0 (x)] n = 2
Fn(2) (x) = (2) (2)
x[Fn−1 (x) + Fn−2 (x)] n ≥ (2 + 1).

The first five Fibonacci-type polynomials of order 2 are shown in table 5.1.
As you can see, the Fibonacci-type polynomials of order 2 are not the same
as the Fibonacci polynomials as you might expect. However when x = 1 we
find that they behave in a similar way to the Fibonacci polynomials as

Fn(k) (1) = Fn(k) . (5.7)

35
 n Fn2 (x)
0 0
1 1
2 x
3 x2 + x
4 x3 + 2x2
5 x4 + 3x3 + x2

Table 5.1: Fibonacci-Type Polynomials of order 2

The Fibonacci-type polynomials of order k can also be defined in terms

of multinomial coefficients.

Theorem 5.3.2

(k)
X  n1 + ... + nk 
Fn+1 (x) = xn1 +...+nk n ≥ 0, (5.8)
n1 , ..., nk
n1 ,...,nk

where the summation is over all non-negative integers n1 , ..., nk satisfying

n1 + 2n2 + ... + knk = n.

In order to prove this theorem, we must first establish the formula for the
generating function for the Fibonacci-type polynomials of order k.

Lemma 5.3.3
(k)
The generating function of Fn (x), denoted by gk (s; x) is expressed by the
formula
s − s2 s
gk (s; x) = k+1
= , (5.9)
1 − (1 + x)s + xs 1 − xs − xs2 − ... − xsk

1
where |s| < 1+x
.

Proof (Lemma 5.3.3 )

(k)
From Definition 5.3.1 we have F2 (x) = x and we can see that for
3≤n≤k+1
(k) (k) (k) (k) (k)
xFn(k) (x) − Fn−1 (x) = x2 [Fn−1 (x) + ... + F0 (x)] − x[Fn−2 (x) + ... + F0 (x)]
(k)
= (x2 + x − 1)Fn−1 (x),

36
which leads us to
(k)
Fn(k) (x) = (1 + x)Fn−1 (x)
(k)
= (1 + x)2 Fn−2 (x) = ... = x(1 + x)n−2 2 ≤ n ≤ k + 1.

Similarly for the case when n ≥ k + 2,

(k) (k) (k) (k) (k)
xFn(k) (x) − Fn−1 (x) = x2 [Fn−1 (x) + ... + Fn−k (x)] − x[Fn−2 (x) + ... + Fn−k−1 (x)]
(k) (k)
= (x2 + x − 1)Fn−1 (x) − x2 Fn−k−1 (x),

which leads us to
(k) (k)
Fn(k) (x) = (1 + x)Fn−1 (x) − xFn−1−k (x) n ≥ k + 2.

Combining these results we find

(
(k) x(1 + x)n−2 2≤n≤k+1
Fn (x) = (k) (k) (5.10)
(1 + x)Fn−1 (x) − xFn−1−k (x) n ≥ k + 2.

(k)
By induction on n, this implies Fn (x) ≤ x(1 + x)n−2 for n ≥ 2, which shows
1
the convergence of gk (s; x) for |s| < 1+x . Using equation (5.10) we find
∞
X
gk (s; x) = sn Fn(k) (x) (5.11)
n=0
k+1
X ∞
X
n n−2
=s+ s x(1 + x) + sn Fn(k) (x), (5.12)
n=2 n=k+2

where, using equation (5.10) again,

∞
X ∞
X ∞
X
n (k) (k)
s Fn(k) (x) =(1 + x) s n
Fn−1 (x) −x sn Fn−1−k (x)
n=k+2 n=k+2 n=k+2
∞
X k+1
X
n−1 (k)
=s(1 + x)[ s Fn−1 (x) −s− sn−1 x(1 + x)n−3 ]
n=1 n=3
∞
X (k)
− xsk+1 sn−k−1 Fn−k−1 (x)
n=0
k+1
X
=[s(1 + x) − sk+1 ]Gk (s, x) − s2 − sn x(1 + x)n−2 .
n=2

37
Substituting this value into equation (5.12) we find

gk (s; x) = s + [s(1 + x) − sk+1 ]gk (s, x) − s2 .

Rearranging this we get

s − s2
gk (s; x) = .
1 − (1 + x)s + xsk+1

We can now use Lemma 5.3.3 to prove Theorem 5.3.2.

Proof (Theorem 5.3.2 )

1
If we let |s| < 1+x , then using Lemma 5.3.3 we find
∞
X (k)
sn+1 Fn+1 (x) = gk (s, x)
n=0
∞
X (k) 1
sn Fn+1 (x) = gk (s, x) = [1 − x(s + s2 + ... + sk )]−1 .
n=0
s

Using the binomial theorem we find

∞
X ∞
X
(k)
sn Fn+1 (x) = (xs + xs2 + ... + xsk )n .
n=0 n=0

Using the multinomial theorem leads us to

X∞ X∞ X  n1 + ... + nk 
n (k) n
s Fn+1 (x) = x (sn1 s2n2 · · · sknk ),
n1 , ..., nk
n=0 n=0 n1 ,...,nk

where the summation is over all non-negative integers n1 , ..., nk that satisfy
the condition n = n1 + n2 P
+ ... + nk .
If we replace n with n − ki=1 (i − 1)ni , i.e. n = n1 + 2n2 + ... + knk this
becomes
X∞ ∞
X X  n1 + ... + nk 
n (k) n
s Fn+1 (x) = s xn1 +...+nk n ≥ 0.
n1 , ..., nk
n=0 n=0 n1 ,...,nk

Equating coefficients leads us to the result (5.8),

(k)
X  n1 + ... + nk 
Fn+1 (x) = xn1 +...+nk n ≥ 0,
n1 , ..., nk
n1 ,...,nk

38
where the summation is over all non-negative integers n1 , ..., nk which satisfy
the condition n = n1 + 2n2 + ... + knk .

Using the theorems stated and proved in this chapter, it is now possible
to explain the applications that the Fibonacci sequence and Fibonacci-type
polynomials of order k have with regards to probability and statistics.

39
Chapter 6

Applications

In this chapter we will cover the main applications of the Fibonacci sequence
of order k and the Fibonacci-type polynomials of order k which appear in
the probability and statistical areas of mathematics.

6.1 Arrangements
From our definition of the Fibonacci sequence of order k (5.1.1) we get
the following lemma, which shows how it can be used to find numbers of
arrangements.[MUW]

Lemma 6.1.1
(k)
If we let An denote the number of arrangements of (n + k) elements (r or
s) such that no k adjacent elements are all s except the last k. Then
(k)
A(k)
n = Fn+1 n≥0 (6.1)

To explain how this works, we will examine the simple case when k = 2 and
(2)
n = 4. So A4 is the number of arrangements of 6 elements (r or s) such
that no 2 elements are all s except the last 2. The arrangements of this form
are

rrrrss
srrrss
rsrrss
rrsrss
srsrss.

40
 (2) (2)
This gives us A4 = 5 = F4+1 .
Before we can prove this lemma, it is necessary to make several definitions
to set up some notation.

Definition 6.1.2
The number of arrangements of n elements (r or s) where the last is r and
there is not a sequence of k adjacent elements that are all s is denoted by

a(k)
n (r) n ≥ 1, (6.2)
(k)
with a0 (r) = 1.
The number of arrangements of n elements (r or s) where the last is s and
there is not a sequence of k adjacent elements that are all s is denoted by

an(k) (s) n ≥ 1, (6.3)

(k)
with a0 (s) = 0.
The number of arrangements of n elements (r or s) where there is not a
sequence of k adjacent elements that are all s is denoted by

a(k)
n n ≥ 1, (6.4)
(k)
with a0 = 1.
To clarify these definitions, we will look at the simple example when k = 2
(2)
and n = 4. a4 (r) is the number of arrangements of 4 elements (r or s) where
2 s’s are not found together and the last element is r. So we have (rrrr, srrr,
(2)
rsrr, rrsr and srsr) 5 such sequences, i.e. a4 (r) = 5. Similarly we find
(2)
a4 (s) = 3 since the arrangements of this type are (rrrs, srrs and rsrs). As
(2)
the final element is unrestricted for a4 , we find it is equal to the sum of the
number of arrangements ending in r and the number of arrangements ending
(2)
in s, i.e. a4 = 5 + 3 = 8.

Proof (Lemma 6.1.1 )

(k)
Since an is the total number of arrangements of n elements (r or s) where
there is not a sequence of k adjacent elements that are all s and the arrange-
ments end in either r or s, we get

a(k) (k) (k)

n = an (r) + an (s) n ≥ 0. (6.5)

Also, we find
(k)
an+1 (r) = a(k)
n n ≥ 0, (6.6)

41
 (k)
since an+1 (r) is the number of arrangements of n elements where no k adja-
(k)
cent elements are s with an extra r at the end. This is also true for an+1 (s)
when 0 ≤ n ≤ k − 2, however when n ≥ k − 1 we need to subtract the
(k)
number of arrangements of an which end in k − 1 s’s as these would give us
k consecutive s’s. So we find
(
(k)
(k) an 0≤n≤k−2
an+1 (s) = (k) (k) (6.7)
an − an+1−k (r) n ≥ k − 1.

Substituting equations (6.5) and (6.6) into (6.7) we obtain

(
(k)
(k) 2an+1 (r) 0≤n≤k−2
an+2 (r) = (k) (k) (6.8)
2an+1 (r) − an+1−k (r) n ≥ k − 1.

(k) (k)
From the definition of An and an (r) we find that

a(k) (k)
n (r) = An n≥0 (6.9)
(k) (k) (k)
where A0 = A1 = 1, since An is the number of arrangements of n elements
r or s) where the last is r and there is not a sequence of k adjacent elements
that are all s, with an extra k s’s at the end.
This leads us to

1
 n = 0, 1
(k) (k)
An = 2An−1 2≤n≤k
 (k)
 (k)
2An−1 − An−1−k n ≥ k + 1,

which is equal to the Fibonacci sequence of order k found in definition 5.1.1,

equation (5.2), and so this gives us Lemma 6.1.1.

6.2 Coin Tossing

The Fibonacci numbers can also be applied to find probabilities in coin toss-
ing. In particular, if for example, we have a fair coin that is tossed until two
consecutive heads appear and we wish to find the probability that there are
n tosses before this event.[VAJ, pg 54]

Theorem 6.2.1

42
The probability of waiting for n tosses of a coin before two consecutive heads
appear is
(2)
Fn+1 Fn+1
P [n + 2] = n+2 = n+2 n ≥ 0. (6.10)
2 2

Proof
In the case where n = 0 the probability of seeing two consecutive heads (HH)
is clearly 41 . To find a general formula for P [n + 2], it is necessary to study
the first of the (n + 2) tosses.
If the sequence begins with a head, H then a tail, T must be next so that
the sequence continues. In this case the sequence will be HT... followed by n
other terms. If however a T is the first to be flipped then there are no limits
on the second term. So the sequence will be T... followed by n + 1 other
terms.
Since these are the only possibilities for the first toss, and the probability
of H or T is 12 we find
1 1
P [n + 2] = P [n + 1] + P [n]. (6.11)
2 4

F2
In the case where n = 0, the formula holds since P [0+2] = 21 · 12 + 14 ·0 = 1
4
= 22
.
Using induction, we assume that the formula holds for n = k i.e.
1 1 Fk
P [k + 2] = P [k + 1] + P [k] = k+2
2 4 2
and look at the case where n = k + 1.
So we find
1 1
P [(k + 1) + 2] = P [(k + 1) + 1] + P [k + 1].
2 4
Using the induction hypothesis we find
1 Fk+1 1 Fk
P [(k + 1) + 2] = +
2 2k+2 4 2k+1
Fk+1 + Fk
=
2k+3
Fk+2
= k+3 .
2
So we find the formula works for n = k+1, therefore by induction the formula
holds for all n ≥ 0.


43
Similarly, the probability of waiting for n tosses before 3 consecutive heads
appear is
Tn+1
n ≥ 0. (6.12)
2n+3

6.3 Bernoulli Trials

In this section we will look at a theorem which expresses P [Nk = n + k] in
terms of the multinomial coefficients, where Nk denotes a random variable
for the number of Bernoulli trials, n, until the occurrence of k consecutive
successes. From this expression we will be able to make a link to the Fi-
bonacci sequence of order k. The material in this section is based on section
3 of [MUW].

Theorem 6.3.1

If we let Nk denote a random variable for the number of Bernoulli trials,

n, until the occurrence of k consecutive successes in independent trials with
probability of success p (0 < p < 1) then
X  n1 + ... + nk 
P [Nk = n + k] = (1 − p)n1 +...+nk pn+k−(n1 +...+nk )
n1 , ..., nk
n1 ,...,nk
(6.13)
X  n1 + ... + nk   q n1 +...+nk
= pn+k n≥0
n1 , ..., nk p
n1 ,...,nk
(6.14)
where the summation is over all non-negative integers n1 , ..., nk and n1 +
2n2 + ... + knk = n and q = 1 − p.

Proof
A typical element of the event [Nk = n + k] is an arrangement
x1 x2 · · · xk s· · · s},
| {z
k

such that n1 of the x’s are e1 = r, n2 of the x’s are e2 = sr,..., nk of the x’s
are ek = s· · · s} r and n1 + 2n2 + ... + knk = n.
| {z
k−1
Fixing n1 , ..., nk we find the number of the above arrangements is
 
n1 + ... + nk
,
n1 , ..., nk

44
each with the probability

P [x1 x2 · · · xk s· · · s}] = [P (e1 )]n1 [P (e2 )]n2 · · · [P (ek )]nk P (s·

| {z · · s}),
| {z
k k

since the trials are independent. As P (s) = p and P (r) = (1 − p) we find

P [x1 x2 · · · xk s· · · s}] = [(1 − p)]n1 [p(1 − p)]n2 · · · [pk−1 (1 − p)]nk pk

| {z
k

= (1 − p)n1 +...+nk pn2 +2n3 +...+(k−1)nk +k

= (1 − p)n1 +...+nk pn+k−(n1 +...+nk ) .

So the probability of all arrangements of the form x1 x2 · · · xk s· · · s} is given

| {z
k
by  
n1 + ... + nk
(1 − p)n1 +...+nk pn+k−(n1 +...+nk ) ,
n1 , ..., nk
where n1 , ...nk are all non-negative integers satisfying n1 +2n2 +...+knk = n.
However, since the non-negative integers n1 , ...nk may vary subject to the
condition n1 + 2n2 + ... + knk = n, we find
X  n1 + ... + nk 
P [Nk = n + k] = (1 − p)n1 +...+nk pn+k−(n1 +...+nk ) .
n1 , ..., nk
n1 ,...,nk


If we set k = 2 in Theorem 6.3.1, in other words we want to find the proba-
bility of having to wait for n trials before we see two consecutive successes,
(6.13) reduces to the formula defined by the following corollary.

Corollary 6.3.2
When k = 2 in Theorem 6.3.1 we find that
n
2  
X n−i
P [N2 = n + 2] = pi+2 (1 − p)n−i n≥0 (6.15)
i
i=0
n
2    n−i
n+2
X n−i q
=p n ≥ 0. (6.16)
i p
i=0

By looking at this simplified case of Theorem 6.3.1 it is possible to see how

it relates to the Fibonacci sequence of order k, by comparing it to Corollary

45
5.1.3.

Corollary 6.3.3
When p = 12 in Theorem 6.3.1 we find
(k)
Fn+1
P [Nk = n + k] = n+k n ≥ 0, (6.17)
2

which is the generalised form of the coin tossing example seen in section 6.2.

It is also possible to establish a relationship between the Fibonacci-type

polynomials of order k and probability.

Theorem 6.3.4
The probability that we have to wait n trials before we see k consecutive
successes, with constant probability of success p is given by
 
n+k (k) q
P (Nk = n + k) = p Fn+1 n ≥ 0, (6.18)
p
where q = 1 − p.

Proof
q
It is clear to see that using the formula (6.14) and setting x = p
in equation
(5.8), that we get the result found in Theorem 6.3.4.

From this, we can easily follow on to look at applications of the Fibonacci-

type polynomials of order k in distributions.

6.4 Geometric Distribution of Order K

We shall begin this section by looking at the geometric distribution of order
k. This can be described informally through an example. If we have a con-
stant probability p of winning the lottery, and probability q = 1 − p of not
winning, then the event that after n plays of the lottery we win k consecutive
times would have a geometric distribution of order k.
Formally, it can be defined by the following definition.

Definition 6.4.1

46
A random variable X has a geometric distribution of order k ≥ 1 with prob-
ability p, denoted Gk (x; p) if
X  x1 + ... + xk   q x1 +...+xk
P (X = x) = px x ≥ k, (6.19)
x1 , ..., xk p
x1 ,...,xk

where the summation is over all non-negative integers x1 , ..., xk such that
x1 + 2x2 + ... + kxk = x − k and q = 1 − p.
The distribution function of X is given by
 !
1 − p[x]+1
 P x 1 + ... + x k
 x1 +...+xk
q
q x1 ,...,xk p
x≥k
P (X ≤ x) = x1 , ..., xk

0 otherwise


Where the summation is over all non-negative integers x1 , ..., xk such that
x1 + 2x2 + ... + kxk = x + 1.[GEN]

From this definition we can find the relation between the geometric distri-
bution of order k and the Fibonacci-type polynomials of order k, using the
random variable Nk as defined in section 6.3. The following material is based
on section 3 of [GEO].

Theorem 6.4.2
The distribution of a random variable X with geometric distribution of order
k can be expressed as
( [x]+1 (k)
1 − p q F[x]+2 ( pq ) x ≥ k
P (X ≤ x) = (6.20)
0 otherwise,

where q = 1 − p.
Before we can prove this theorem, it is necessary to establish the following
lemma.

Lemma 6.4.3
(k)
For the Fibonacci-type polynomials of order k, Fn (x),
m (k) (k)
X Fn+1 (x) Fm+k+2 (x)
=1− m ≥ 0. (6.21)
n=0
(1 + x)n+k x(1 + x)m+k

47
Proof
We can prove the lemma by using induction. For m = 0 we find both sides
(k)
of equation (6.21) equal (1 + x)−k as Fk+2 (x) = x(1 + x)k − x by equation
(5.10), so the relation holds in this case.
We now assume the formula holds for any positive integer m, i.e.
m (k) (k)
X Fn+1 (x) Fm+k+2 (x)
=1−
n=0
(1 + x)n+k x(1 + x)m+k
is true.
Then we find for n = m + 1
m+1
X Fn+1 (k) (k) m (k)
(x) Fm+2 (x) X Fn+1 (x)
= + .
n=0
(1 + x)n+k (1 + x)m+k+1 n=0 (1 + x)n+k
Using the induction hypothesis this equals
m+1 (k) (k) (k)
X Fn+1 (x) Fm+2 (x) F (x)
n+k
= m+k+1
+ 1 − m+k+2 m+k
n=0
(1 + x) (1 + x) x(1 + x)
(k) (k)
(1 + x)Fm+k+2 (x) − xFm+2 (x)
=1− .
x(1 + x)m+k+1
Using the definition of the Fibonacci-Type polynomials of order k given in
equation (5.10) gives
m+1 (k) (k)
X Fn+1 (x) Fm+k+3 (x)
n+k
=1− .
n=0
(1 + x) x(1 + x)m+k+1
So the relation holds for m + 1, therefore by induction, the relation holds for
all m ≥ 0.


Proof (Theorem 6.4.2 )

If x < k then it is clear that
P (X ≤ x) = P (∅) = 0 (6.22)
Then we see by using Theorem 6.3.4 that
[x] [x]−k
X X
P (X ≤ x) = P (X = n) = P (X = n + k)
n=k n=0
[x]−k  
X
n+k (k) q
= p Fn+1 .
n=0
p

48
 1 z
If we let p = 1+z
and q = 1+z
this becomes

[x]−k
(k)
X Fn+1 (z)
P (X ≤ x) = .
n=0
(1 + z)n+k

By Lemma 6.4.3 we get

(k)
F[x]+2 (z)
P (X ≤ x) = 1 − .
z(1 + z)[x]

Substituting our values of p and q back in to the equation,

p[x]+1 (k)
 
q
P (X ≤ x) = 1 − F[x]+2
q p

we obtain the result of the theorem.

This can easily be adapted to give us the probability distribution function of

the random variable Nk as defined in section 6.3 to give
( n+1
 
(k)
1 − p q Fn+2 pq x≥k
P (Nk ≤ n) = . (6.23)
0 otherwise

Also, if we set p = 12 we find the case when the distribution function of a

geometric distribution of order k can be expressed in terms of the Fibonacci
sequence of order k.
( (k)
1 − p[x] F[x]+2 x ≥ k
P (X ≤ x) = .
0 otherwise

6.5 Longest Runs

We will now examine how Fibonacci-type polynomials of order k can be
used to find lengths of longest runs of successes in Bernoulli trials [PHI, pg
216]. Let Sn denote the random variable for the length of the longest run of
successes in n Bernoulli trials, then we find the following theorem gives the
probability distribution of Sn .

49
Theorem 6.5.1
The probability distribution of Sn is given by

pn+1 (k+1) q
 
P (Sn ≤ k) = F 0≤k≤n (6.24)
q n+2 p

Proof

P (Sn ≤ k) = 1 − P (Sn ≥ k + 1)
= 1 − P (Nk+1 ≤ n)

by the definition of Nk+1 found in section 6.3. Using equation (6.23) gives us

pn+1 (k+1) q
 
P (Sn ≤ k) = 1 − (1 − F )
q n+2 p
pn+1 (k+1) q
 
= F .
q n+2 p


It follows from this theorem, that if p = 12 , equation (6.24) reduces to
(k)
Fn+2
P (Sn ≥ k) = 1 − 0≤k≤n (6.25)
2n

6.6 Reliability of a Consecutive-k-out-of-n:F

System
A consecutive-k-out-of-n: F system is an important method used to increase
the reliability of a system without the need to duplicate the system itself.
The system has n (≥ 1) ordered components and fails if and only if at
least k (1 ≤ k ≤ n) of these components fail consecutively. We also make
the assumptions that each component is either operational or not, all the
components are independent and each has the same probability of functioning
p. This method was first introduced in connection with telecommunications
and oil pipeline systems, and since then has been found to have several other
uses. [PHI, pg 218]
First it is necessary to clarify some notation. We denote the reliability of
a system by R(p; k, n), where n is the number of ordered components in the
system and k is the minimum number of consecutive fails needed to cause

50
the entire system to fail.

Theorem 6.6.1
Assuming the components are ordered linearly and function independently
with probability p, the reliability of a consecutive k-out-of-n: F system is

q n+1 (k) p
 
R(p; k, n) = F n ≥ k. (6.26)
p n+2 q

Proof
Let S̃n denote the length of the longust run of failures among n components.
Then, by the definition of R(p; k, n) we find

R(p; k, n) = 1 − P (S̃n ≥ k).

Using Theorem 6.5.1 we get

P (S̃n ≥ k) = 1 − P (S̃n ≤ k − 1)
q n+1 (k) p
 
=1− F n ≥ k,
p n+2 q

which leads us to the result

q n+1 (k)
 
p
R(p; k, n) = F n ≥ k.
p n+2 q

51
Chapter 7

Conclusion

The Fibonacci sequence extends far beyond the sequence of numbers 0, 1, 1,

2, 3, 5, 8,... made famous by the rabbit problem over 800 years ago. As with
any sequence it can be altered by changing the seed values and generalised
to form the generalised Fibonacci sequence, yet this is merely the beginning
of numerous properties of the Fibonacci sequence. This report has demon-
strated the extraordinary link between the (generalised) Fibonacci sequence
and the Golden Ratio. We have also seen that the properties of the sequence
generalise to polynomials, and that both the Fibonacci sequence and poly-
nomials can be generalised up to order k.

Whilst a large number of generalisations of the Fibonacci sequence have

been covered in this report, there are still many more. For example, the Fi-
bonacci polynomials of order k, which were briefly mentioned in this report,
can be studied in more depth, as can Binet’s formula for sequences of order
k. Also, more applications can be explored, such as other distributions of
order k.

This report focused on the main applications of the Fibonacci sequence in

probability and statistics, however this is just one small part of a vast number
of areas in which the Fibonacci sequence appears. From nature to computing,
and geometry to finance, the range of topics to which the Fibonacci numbers
can be applied seems endless. It is obvious why this simple sequence of
numbers has captured the attention of people of all mathematical abilities for
so long. Not only is it useful, but it is also an interesting area of mathematics
in its own right.

52
Bibliography

[DUN] R A Dunlap, The Golden Ratio and Fibonacci Numbers, World Sci-
entific 1997.

[GEN] A N Philippou, C Georghiou and G N Philippou, A Generalized Ge-

ometric Distribution and Some of its Properties, Statistics and Prob-
ability Letters Volume 1, Issue 4 1983.

[GEO] A N Philippou, C Georghiou and G N Philippou, Fibonacci-Type

Polynomials of order k with Probability Applications, The Fibonacci
Quarterly 23, no.2 1985.

[GOL] The Golden Ratio,

freemasonry.bcy.ca/symbolism/goldenratio/index.html

[KOS] T Koshy, Fibonacci and Lucas Numbers with Applications, John Wi-
ley and Sons, Inc 2001.

[MAC] The MacTutor History of Mathematics Archive,

www-history.mcs.st-and.ac.uk/Biographies/

[MAR] N Martin, Discrete Mathematics lecture notes 2007

[MUW] A N Philippou and A A Muwafi, Waiting for the kth Consecutive

Success and the Fibonacci Sequence, The Fibonacci Quarterly 20,
no.1 1982.

[PHI] A N Philippou, G E Bergum and A F Horadam (Eds), Fibonacci

Numbers and Their Applications, D Reidel Publishing Company 1986.

[PLA] PlanetMath, planetmath.org/encyclopedia/

[SPR] Springer Online Reference Works, eom.springer.de/

[SUR] University of Surrey,

www.maths.surrey.ac.uk/host-sites/R.Knott/Fibonacci/fibBio.html

53
[VAJ] S Vajda, Fibonacci and Lucas Numbers, and the Golden Section, Ellis
Horwood Limited 1989.

[WIK] Wikipedia,
en.wikipedia.org/wiki/The Fibonacci Association

[WOL] Wolfram MathWorld, mathworld.wolfram.com/

54
Appendix A

Fundamentals

A.1 Binomial Coefficients

 
n
The binomial coefficient is the coefficient of xr when we expand in
r
(1 + x)n . For integers r and n,
 
n n!
= 0 ≤ r ≤ n.
r r!(n − r)!

Binomial Theorem
n  
X
n n
(a + b) = ar bn−r .
r
r=0

In particular,
n  
X n
n
(1 + x) = xr ,
r
r=0
and ∞  
−n
X n+r−1
(1 − x) = xr .
n−1
r=0

[MAR]

A.2 Multinomial Coefficients

 
n
The multinomial coefficient , where n1 + ... + nk = n, is the
n1 , ..., nk
coefficient of xn1 1 · · · xnk k in the expansion of the polynomial (x1 + ... + xk )n .

55
Multinomial Theorem
X  n

(x1 + ... + xk ) =n
xn1 1 · · · xnk k ,
n1 , ..., nk
n1 ...,nk

where n1 + ... + nk = n.

In combinatorics, the multinomial coefficients are used for two main rea-
sons. Firstly, they are used to express the number of possible permutations
of n elements of which n1 are of one form, n2 of another form,..., and nk
are of the k th form. They can also be used to express the number of ways
of locating n different cells in which cell i contains ni elements, i = 1, ..., k
without taking the order of elements into account.[SPR]

A.3 Generating Functions

Let an , 0 ≤ n ≤ ∞, be an infinite sequence of numbers, then the generating
function g(t) for the sequence is the power series
∞
X
g(t) = an tn = a0 + a1 t + ... + an tn + ...
n=0

where the coefficients give the sequence a0 , a1 , ...[WOL]

56
Appendix B

Solving a Cubic Equation

The method we will use to solve a cubic equation is known as Cardano’s

method as described in [WOL].
To solve a general cubic equation of the form

z 3 + a2 z 2 + a1 z + a0 = 0, (B.1)

we begin by eliminating a2 using the substitution z = x − λ. This gives

(x − λ)3 + a2 (x − λ)2 + a1 (x − λ) + a0 = 0

(x3 − 3λx2 + 3λ2 x − λ3 ) + a2 (x2 − 2λx + λ2 ) + a1 (x − λ) + a0 = 0

x3 + (a2 − 3λ)x2 + (a1 − 2a2 λ + 3λ2 )x + (a0 − a1 λ + a2 λ2 − λ3 ) = 0.
a2 a2
We can eliminate the x2 term by letting λ = 3
so z = x − 3
.
(B.1) becomes

a22 2 2 −a3 a3 a1 a2
x3 + (−a2 + a2 )x2 + ( − a2 + a1 )x + ( 2 + 2 − + a0 ) = 0
3 3 27 9 3
a22 a1 a2 2
x3 + (a1 − )x − ( − a32 − a0 ) = 0
3 3 27
2
3a1 − a2 9a1 a2 − 27a0 − 2a32
x3 + 3 · x−2· = 0.
9 27
If we define
3a1 − a22 9a1 a2 − 27a0 − 2a32
p= and q= ,
3 54
then (B.1) can be written in the standard form

x3 + px = q. (B.2)

57
 p
Making Vieta’s substitution, x = w − 3w
, reduces the cubic to

p3
w3 − − q = 0.
27w3
This can be turned in to a quadratic equation in w3 by multiplying through
by w3 , to get
1
(w3 )2 − q(w3 ) − p3 = 0.
27
Solving this using the quadratic formula we find
r
3 1 4
w = (q ± q 2 + p3 ) (B.3)
2 27
r
1 1 2 1
= q± q + p3 (B.4)
2 4 27
p
= R ± R2 + Q3 . (B.5)

This gives us 6 solutions for w, however substituting w back in to (B.3) gives

3 pairs of solutions and each pair is equal, leaving us with 3 solutions to the
cubic equation.
(B.2) can also be explicitly factored by attempting to pull out a term of the
form (x − B) from the cubic equation, leaving a quadratic equation which
can be factored by the quadratic formula. Firstly we need to define

p 3a1 − a22 q 9a1 a2 − 27a0 − 2a32

Q= = and R= = .
3 9 2 54
(B.2) then becomes
x3 + 3Qx − 2R = 0. (B.6)
If we let B and C denote arbitrary constants, an identity satisfied by perfect
cubic polynomial1 equations is

x3 − B 3 = (x − B)(x2 + Bx + B 2 ). (B.7)

The general cubic equation would therefore be directly factorable if it did

not have the x term, i.e. Q = 0. However since Q 6= 0, add a multiple of
(x − B), say C(x − B), to both sides of (B.7) to give

(x3 − B 3 ) + C(x − B) = (x − B)(x2 + Bx + B 2 + C)

x3 + Cx − (B 3 + BC) = (x − B)[x2 + Bx + (B 2 + C)] = 0. (B.8)

1
A polynomial that can be factored into a linear and quadratic term.

58
Matching the coefficients C and −(B 3 + BC) with those of (B.6) we find

C = 3Q and B 3 + BC = 2R,

which leads us to
B 3 + 3QB = 2R. (B.9)
Therefore, if we can find a value of B satisfying the above identity we have
factored a linear term from the cubic equation, reducing it to a quadratic
equation.
The solution accomplishing this is
p 1 p 1
B = [R + Q3 + R2 ] 3 + [R − Q3 + R2 ] 3 .

Taking the second and third powers of B gives

p 2 1 p 2
B 2 =[R + Q3 + R2 ] 3 + 2[R2 − (Q3 + R2 )] 3 + [R − Q3 + R2 ] 3
p 2 p 2
=[R + Q3 + R2 ] 3 + [R − Q3 + R2 ] 3 − 2Q
p 1 p 1
B 3 = − 2QB + ([R + Q3 + R2 ] 3 + [R − Q3 + R2 ] 3 )x
p 2 p 2
([R + Q3 + R2 ] 3 + [R − Q3 + R2 ] 3 )
p p
= − 2QB + [R + Q3 + R2 ] + [R − Q3 + R2 ]
p 1 p 2
+ [R + Q3 + R2 ] 3 [R − Q3 + R2 ] 3
p 2 p 1
+ [R + Q3 + R2 ] 3 [R − Q3 + R2 ] 3
1 p 1 p 1
=2R − 2QB + [R2 − (Q3 + R2 )] 3 [(R + Q3 + R2 ) 3 + (R − Q3 + R2 ) 3 ]
= − 3QB + 2R.

Substituting B 3 and B in to the left side of (B.9) gives

(−3QB + 2R) + 3QB = 2R,

so we have found the factor (x − B) of (B.9).

We now need to factor the quadratic part. Substituting C = 3Q into the
quadratic part of equation (B.8) we find

x2 + Bx + (B 2 + 3Q) = 0.

Solving this gives

1 p 1 1p
x = [−B ± B 2 − 4(B 2 + 3Q)] = − B ± −3B 2 − 12Q
2 2 2
1 1√ p 2
=− B± 3i B + 4Q.
2 2

59
This can be simplified by defining
p 1 p 1
A = [R + Q3 + R2 ] 3 − [R − Q3 + R2 ] 3
p 2 1 p 2
A2 = [R + Q3 + R2 ] 3 − 2[R2 − (Q3 + R2 )] 3 + [R − Q3 + R2 ] 3
p 2 p 2
= [R + Q3 + R2 ] 3 + [R − Q3 + R2 ] 3 + 2Q
= B 2 + 4Q.

So the solutions to the quadratic part can be written as

1 1√
x=− B± 3iA.
2 2
Defining
√ √
q q
3 3
3 2
D =Q +R S = R+ D and T = R − D,

we find
A=S−T and B = S + T.
The roots of the cubic equation in z are therefore
1
z1 = − a2 + (S + T )
3
1 1 1 √
z2 = − a2 − (S + T ) + i 3(S − T )
3 2 2
1 1 1 √
z3 = − a2 − ((S + T ) − i 3(S − T ).
3 2 2

60
 This piece of work is a result of my own work except where it forms an
assessment based on group project work. In the case of a group project, the
work has been prepared in collaboration with other members of the group.
Material from the work of others not involved in the project has been
acknowledged and quotations and paraphrases suitably indicated.

61