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LINEAR ALGEBRA AS AN INTRODUCTION TO ABSTRACT MATHEMATICS

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November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page v

Preface

“Linear Algebra - As an Introduction to Abstract Mathematics” is an introductory

textbook designed for undergraduate mathematics majors and other students who
do not shy away from an appropriate level of abstraction. In fact, we aim to intro-
duce abstract mathematics and proofs in the setting of linear algebra to students
for whom this may be the first step toward advanced mathematics. Typically, such
a student will have taken calculus, though the only prerequisite is suitable math-
ematical maturity. The purpose of this book is to bridge the gap between more
conceptual and computational oriented lower division undergraduate classes and
more abstract oriented upper division classes.
The book begins with systems of linear equations and complex numbers, then re-
lates these to the abstract notion of linear maps on finite-dimensional vector spaces,
and covers diagonalization, eigenspaces, determinants, and the spectral theorem.
Each chapter concludes with both proof-writing and computational exercises.
We wish to thank our many undergraduate students who took MAT67 at UC
Davis in the past several years and our colleagues who taught from our lecture notes
that eventually became this book. Their comments on earlier drafts were invaluable.
This book is dedicated to them and all future students and teachers who use it.
I. Lankham

B. Nachtergaele

A. Schilling

California, October 2015

v
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November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page vii

Contents

Preface v

1. What is Linear Algebra? 1

1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 What is Linear Algebra? . . . . . . . . . . . . . . . . . . . . . . . . 1
1.3 Systems of linear equations . . . . . . . . . . . . . . . . . . . . . . 3
1.3.1 Linear equations . . . . . . . . . . . . . . . . . . . . . . . . 3
1.3.2 Non-linear equations . . . . . . . . . . . . . . . . . . . . . . 4
1.3.3 Linear transformations . . . . . . . . . . . . . . . . . . . . 5
1.3.4 Applications of linear equations . . . . . . . . . . . . . . . 6
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

2. Introduction to Complex Numbers 9

2.1 Definition of complex numbers . . . . . . . . . . . . . . . . . . . . 9
2.2 Operations on complex numbers . . . . . . . . . . . . . . . . . . . . 10
2.2.1 Addition and subtraction of complex numbers . . . . . . . 10
2.2.2 Multiplication and division of complex numbers . . . . . . 11
2.2.3 Complex conjugation . . . . . . . . . . . . . . . . . . . . . 12
2.2.4 The modulus (a.k.a. norm, length, or magnitude) . . . . . 13
2.2.5 Complex numbers as vectors in R2 . . . . . . . . . . . . . . 14
2.3 Polar form and geometric interpretation for C . . . . . . . . . . . . 15
2.3.1 Polar form for complex numbers . . . . . . . . . . . . . . . 15
2.3.2 Geometric multiplication for complex numbers . . . . . . . 16
2.3.3 Exponentiation and root extraction . . . . . . . . . . . . . 17
2.3.4 Some complex elementary functions . . . . . . . . . . . . . 18
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

3. The Fundamental Theorem of Algebra and Factoring Polynomials 21

3.1 The Fundamental Theorem of Algebra . . . . . . . . . . . . . . . . 21
3.2 Factoring polynomials . . . . . . . . . . . . . . . . . . . . . . . . . 24

vii
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page viii

viii Linear Algebra: As an Introduction to Abstract Mathematics

Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

4. Vector Spaces 29
4.1 Definition of vector spaces . . . . . . . . . . . . . . . . . . . . . . . 29
4.2 Elementary properties of vector spaces . . . . . . . . . . . . . . . . 31
4.3 Subspaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
4.4 Sums and direct sums . . . . . . . . . . . . . . . . . . . . . . . . . 34
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

5. Span and Bases 39

5.1 Linear span . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
5.2 Linear independence . . . . . . . . . . . . . . . . . . . . . . . . . . 40
5.3 Bases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
5.4 Dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

6. Linear Maps 51
6.1 Definition and elementary properties . . . . . . . . . . . . . . . . . 51
6.2 Null spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
6.3 Range . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
6.4 Homomorphisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
6.5 The dimension formula . . . . . . . . . . . . . . . . . . . . . . . . . 56
6.6 The matrix of a linear map . . . . . . . . . . . . . . . . . . . . . . 57
6.7 Invertibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

7. Eigenvalues and Eigenvectors 67

7.1 Invariant subspaces . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
7.2 Eigenvalues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
7.3 Diagonal matrices . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
7.4 Existence of eigenvalues . . . . . . . . . . . . . . . . . . . . . . . . 71
7.5 Upper triangular matrices . . . . . . . . . . . . . . . . . . . . . . . 72
7.6 Diagonalization of 2 × 2 matrices and applications . . . . . . . . . 75
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76

8. Permutations and the Determinant of a Square Matrix 81

8.1 Permutations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
8.1.1 Definition of permutations . . . . . . . . . . . . . . . . . . 81
8.1.2 Composition of permutations . . . . . . . . . . . . . . . . . 84
8.1.3 Inversions and the sign of a permutation . . . . . . . . . . 85
8.2 Determinants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
8.2.1 Summations indexed by the set of all permutations . . . . 87
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Contents ix

8.2.2 Properties of the determinant . . . . . . . . . . . . . . . . 88

8.2.3 Further properties and applications . . . . . . . . . . . . . 91
8.2.4 Computing determinants with cofactor expansions . . . . . 92
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93

9. Inner Product Spaces 95

9.1 Inner product . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
9.2 Norms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
9.3 Orthogonality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
9.4 Orthonormal bases . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
9.5 The Gram-Schmidt orthogonalization procedure . . . . . . . . . . . 102
9.6 Orthogonal projections and minimization problems . . . . . . . . . 104
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107

10. Change of Bases 111

10.1 Coordinate vectors . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
10.2 Change of basis transformation . . . . . . . . . . . . . . . . . . . . 112
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

11. The Spectral Theorem for Normal Linear Maps 117

11.1 Self-adjoint or hermitian operators . . . . . . . . . . . . . . . . . . 117
11.2 Normal operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
11.3 Normal operators and the spectral decomposition . . . . . . . . . . 120
11.4 Applications of the Spectral Theorem: diagonalization . . . . . . . 121
11.5 Positive operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
11.6 Polar decomposition . . . . . . . . . . . . . . . . . . . . . . . . . . 125
11.7 Singular-value decomposition . . . . . . . . . . . . . . . . . . . . . 126
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

Appendices 129

Appendix A Supplementary Notes on Matrices and Linear Systems 129

A.1 From linear systems to matrix equations . . . . . . . . . . . . . . . 129
A.1.1 Definition of and notation for matrices . . . . . . . . . . . 130
A.1.2 Using matrices to encode linear systems . . . . . . . . . . . 132
A.2 Matrix arithmetic . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
A.2.1 Addition and scalar multiplication . . . . . . . . . . . . . . 134
A.2.2 Multiplication of matrices . . . . . . . . . . . . . . . . . . . 137
A.2.3 Invertibility of square matrices . . . . . . . . . . . . . . . . 140
A.3 Solving linear systems by factoring the coefficient matrix . . . . . . 142
A.3.1 Factorizing matrices using Gaussian elimination . . . . . . 142
A.3.2 Solving homogeneous linear systems . . . . . . . . . . . . . 149
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x Linear Algebra: As an Introduction to Abstract Mathematics

A.3.3 Solving inhomogeneous linear systems . . . . . . . . . . . . 152

A.3.4 Solving linear systems with LU-factorization . . . . . . . . 155
A.4 Matrices and linear maps . . . . . . . . . . . . . . . . . . . . . . . 159
A.4.1 The canonical matrix of a linear map . . . . . . . . . . . . 159
A.4.2 Using linear maps to solve linear systems . . . . . . . . . . 160
A.5 Special operations on matrices . . . . . . . . . . . . . . . . . . . . . 164
A.5.1 Transpose and conjugate transpose . . . . . . . . . . . . . 164
A.5.2 The trace of a square matrix . . . . . . . . . . . . . . . . . 165
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166

Appendix B The Language of Sets and Functions 171

B.1 Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
B.2 Subset, union, intersection, and Cartesian product . . . . . . . . . 173
B.3 Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174
B.4 Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175

Appendix C Summary of Algebraic Structures Encountered 177

C.1 Binary operations and scaling operations . . . . . . . . . . . . . . . 177
C.2 Groups, fields, and vector spaces . . . . . . . . . . . . . . . . . . . 180
C.3 Rings and algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . 183

Appendix D Some Common Math Symbols and Abbreviations 185

Index 191
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 1

Chapter 1

What is Linear Algebra?

1.1 Introduction

This book aims to bridge the gap between the mainly computation-oriented lower
division undergraduate classes and the abstract mathematics encountered in more
advanced mathematics courses. The goal of this book is threefold:

(1) You will learn Linear Algebra, which is one of the most widely used math-
ematical theories around. Linear Algebra finds applications in virtually every
area of mathematics, including multivariate calculus, differential equations, and
probability theory. It is also widely applied in fields like physics, chemistry,
economics, psychology, and engineering. You are even relying on methods from
Linear Algebra every time you use an internet search like Google, the Global
Positioning System (GPS), or a cellphone.
(2) You will acquire computational skills to solve linear systems of equations,
perform operations on matrices, calculate eigenvalues, and find determinants of
matrices.
(3) In the setting of Linear Algebra, you will be introduced to abstraction. As
the theory of Linear Algebra is developed, you will learn how to make and use
definitions and how to write proofs.

The exercises for each Chapter are divided into more computation-oriented exercises
and exercises that focus on proof-writing.

1.2 What is Linear Algebra?

Linear Algebra is the branch of mathematics aimed at solving systems of linear

equations with a finite number of unknowns. In particular, one would like to obtain
answers to the following questions:

• Characterization of solutions: Are there solutions to a given system of

linear equations? How many solutions are there?
• Finding solutions: How does the solution set look? What are the solutions?

1
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 2

2 Linear Algebra: As an Introduction to Abstract Mathematics

Linear Algebra is a systematic theory regarding the solutions of systems of linear

equations.

Example 1.2.1. Let us take the following system of two linear equations in the
two unknowns x1 and x2 :

2x1 + x2 = 0
.
x1 − x2 = 1

This system has a unique solution for x1 , x2 ∈ R, namely x1 = 13 and x2 = − 23 .

The solution can be found in several different ways. One approach is to first
solve for one of the unknowns in one of the equations and then to substitute the
result into the other equation. Here, for example, we might solve to obtain

x1 = 1 + x2

from the second equation. Then, substituting this in place of x1 in the first equation,
we have

2(1 + x2 ) + x2 = 0.

From this, x2 = −2/3. Then, by further substitution,

 
2 1
x1 = 1 + − = .
3 3
Alternatively, we can take a more systematic approach in eliminating variables.
Here, for example, we can subtract 2 times the second equation from the first
equation in order to obtain 3x2 = −2. It is then immediate that x2 = − 23 and, by
substituting this value for x2 in the first equation, that x1 = 13 .

Example 1.2.2. Take the following system of two linear equations in the two
unknowns x1 and x2 :

x1 + x2 = 1
.
2x1 + 2x2 = 1

We can eliminate variables by adding −2 times the first equation to the second
equation, which results in 0 = −1. This is obviously a contradiction, and hence this
system of equations has no solution.

Example 1.2.3. Let us take the following system of one linear equation in the two
unknowns x1 and x2 :

x1 − 3x2 = 0.

In this case, there are infinitely many solutions given by the set {x2 = 13 x1 | x1 ∈
R}. You can think of this solution set as a line in the Euclidean plane R2 :
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 3

What is Linear Algebra? 3

x2

1 x2 = 13 x1

x1
−3 −2 −1 1 2 3
−1

In general, a system of m linear equations in n unknowns x1 , x2 , . . . , xn

is a collection of equations of the form
⎫
a11 x1 + a12 x2 + · · · + a1n xn = b1 ⎪
⎪
⎪
a21 x1 + a22 x2 + · · · + a2n xn = b2 ⎬
.. .. , (1.1)
. . ⎪
⎪
⎪
⎭
am1 x1 + am2 x2 + · · · + amn xn = bm

where the aij ’s are the coefficients (usually real or complex numbers) in front of the
unknowns xj , and the bi ’s are also fixed real or complex numbers. A solution is a
set of numbers s1 , s2 , . . . , sn such that, substituting x1 = s1 , x2 = s2 , . . . , xn = sn
for the unknowns, all of the equations in System (1.1) hold. Linear Algebra is a
theory that concerns the solutions and the structure of solutions for linear equations.
As we progress, you will see that there is a lot of subtlety in fully understanding
the solutions for such equations.

1.3 Systems of linear equations

1.3.1 Linear equations

Before going on, let us reformulate the notion of a system of linear equations into
the language of functions. This will also help us understand the adjective “linear”
a bit better. A function f is a map

f :X→Y (1.2)

from a set X to a set Y . The set X is called the domain of the function, and the
set Y is called the target space or codomain of the function. An equation is

f (x) = y, (1.3)

where x ∈ X and y ∈ Y . (If you are not familiar with the abstract notions of sets
and functions, please consult Appendix B.)

Example 1.3.1. Let f : R → R be the function f (x) = x3 − x. Then f (x) =

x3 − x = 1 is an equation. The domain and target space are both the set of real
numbers R in this case.
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4 Linear Algebra: As an Introduction to Abstract Mathematics

In this setting, a system of equations is just another kind of equation.

Example 1.3.2. Let X = Y = R2 = R × R be the Cartesian product of the set of
real numbers. Then define the function f : R2 → R2 as
f (x1 , x2 ) = (2x1 + x2 , x1 − x2 ), (1.4)
and set y = (0, 1). Then the equation f (x) = y, where x = (x1 , x2 ) ∈ R , describes 2

the system of linear equations of Example 1.2.1.

The next question we need to answer is, “What is a linear equation?”. Building
on the definition of an equation, a linear equation is any equation defined by a
“linear” function f that is defined on a “linear” space (a.k.a. a vector space as
defined in Section 4.1). We will elaborate on all of this in later chapters, but let
us demonstrate the main features of a “linear” space in terms of the example R2 .
Take x = (x1 , x2 ), y = (y1 , y2 ) ∈ R2 . There are two “linear” operations defined on
R2 , namely addition and scalar multiplication:
x + y := (x1 + y1 , x2 + y2 ) (vector addition) (1.5)
cx := (cx1 , cx2 ) (scalar multiplication). (1.6)
A “linear” function on R2 is then a function f that interacts with these operations
in the following way:
f (cx) = cf (x) (1.7)
f (x + y) = f (x) + f (y). (1.8)
You should check for yourself that the function f in Example 1.3.2 has these two
properties.

1.3.2 Non-linear equations

(Systems of) Linear equations are a very important class of (systems of) equations.
We will develop techniques in this book that can be used to solve any systems of
linear equations. Non-linear equations, on the other hand, are significantly harder
to solve. An example is a quadratic equation such as
x2 + x − 2 = 0, (1.9)
which, for no completely obvious reason, has exactly two solutions x = −2 and
x = 1. Contrast this with the equation
x2 + x + 2 = 0, (1.10)

√ within the set R of√real numbers. Instead, it has two complex

which has no solutions
solutions 12 (−1 ± i 7) ∈ C, where i = −1. (Complex numbers are discussed in
more detail in Chapter 2.) In general, recall that the quadratic equation x2 +bx+c =
0 has the two solutions

b b2
x=− ± − c.
2 4
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What is Linear Algebra? 5

1.3.3 Linear transformations

The set R2 can be viewed as the Euclidean plane. In this context, linear functions of
the form f : R2 → R or f : R2 → R2 can be interpreted geometrically as “motions”
in the plane and are called linear transformations.

Example 1.3.3. Recall the following linear system from Example 1.2.1:


2x1 + x2 = 0
.
x1 − x2 = 1

Each equation can be interpreted as a straight line in the plane, with solutions
(x1 , x2 ) to the linear system given by the set of all points that simultaneously lie on
both lines. In this case, the two lines meet in only one location, which corresponds
to the unique solution to the linear system as illustrated in the following figure:

1 y =x−1

x
−1 1 2
−1
y = −2x

Example 1.3.4. The linear map f (x1 , x2 ) = (x1 , −x2 ) describes the “motion” of
reflecting a vector across the x-axis, as illustrated in the following figure:

1 (x1 , x2 )

x
1 2
−1 (x1 , −x2 )

Example 1.3.5. The linear map f (x1 , x2 ) = (−x2 , x1 ) describes the “motion” of
◦
rotating a vector by 90 counterclockwise, as illustrated in the following figure:
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 6

6 Linear Algebra: As an Introduction to Abstract Mathematics

(−x2 , x1 ) 2

1 (x1 , x2 )

x
−1 1 2
This example can easily be generalized to rotation by any arbitrary angle using
Lemma 2.3.2. In particular, when points in R2 are viewed as complex numbers,
then we can employ the so-called polar form for complex numbers in order to model
the “motion” of rotation. (Cf. Proof-Writing Exercise 5 on page 20.)

1.3.4 Applications of linear equations

Linear equations pop up in many different contexts. For example, you can view the
df
derivative dx (x) of a differentiable function f : R → R as a linear approximation of
f . This becomes apparent when you look at the Taylor series of the function f (x)
centered around the point x = a (as seen in calculus):
df
f (x) = f (a) + (a)(x − a) + · · · . (1.11)
dx
In particular, we can graph the linear part of the Taylor series versus the original
function, as in the following figure:

f (x) f (x)

3 f (a) + df
dx
(a)(x − a)

x
1 2 3

df df
Since f (a) and dx (a) are merely real numbers, f (a)+ dx (a)(x−a) is a linear function
in the single variable x.
Similarly, if f : Rn → Rm is a multivariate function, then one can still view the
derivative of f as a form of a linear approximation for f (as seen in a multivariate
calculus course).
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 7

What is Linear Algebra? 7

What if there are infinitely many variables x1 , x2 , . . .? In this case, the system
of equations has the form
⎫
a11 x1 + a12 x2 + · · · = y1 ⎬
a21 x1 + a22 x2 + · · · = y2 .
⎭
···
Hence, the sums in each equation are infinite, and so we would have to deal with
infinite series. This, in particular, means that questions of convergence arise, where
convergence depends upon the infinite sequence x = (x1 , x2 , . . .) of variables. These
questions will not occur in this course since we are only interested in finite systems
of linear equations in a finite number of variables. Other subjects in which these
questions do arise, though, include

• Differential equations;
• Fourier analysis;
• Real and complex analysis.

In algebra, Linear Algebra is also seen to arise in the study of symmetries, linear
transformations, and Lie algebras.

Exercises for Chapter 1

Calculational Exercises
(1) Solve the following systems of linear equations and characterize their solution
sets. (I.e., determine whether there is a unique solution, no solution, etc.)
Also, write each system of linear equations as an equation for a single function
f : Rn → Rm for appropriate choices of m, n ∈ Z+ .
(a) System of 3 equations in the unknowns x, y, z, w:
⎫
x + 2y − 2z + 3w = 2 ⎬
2x + 4y − 3z + 4w = 5 .
⎭
5x + 10y − 8z + 11w = 12
(b) System of 4 equations in the unknowns x, y, z:
⎫
x + 2y − 3z = 4 ⎪⎪
⎬
x + 3y + z = 11
.
2x + 5y − 4z = 13 ⎪
⎪
⎭
2x + 6y + 2z = 22
(c) System of 3 equations in the unknowns x, y, z:
⎫
x + 2y − 3z = −1 ⎬
3x − y + 2z = 7 .
⎭
5x + 3y − 4z = 2
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 8

8 Linear Algebra: As an Introduction to Abstract Mathematics

(2) Find all pairs of real numbers x1 and x2 that satisfy the system of equations
x1 + 3x2 = 2, (1.12)
x1 − x2 = 1. (1.13)

Proof-Writing Exercises
(1) Let a, b, c, and d be real numbers, and consider the system of equations given
by
ax1 + bx2 = 0, (1.14)
cx1 + dx2 = 0. (1.15)
Note that x1 = x2 = 0 is a solution for any choice of a, b, c, and d. Prove that
if ad − bc = 0, then x1 = x2 = 0 is the only solution.
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 9

Chapter 2

Introduction to Complex Numbers

Let R denote the set of real numbers, which should be a familiar collection of
numbers to anyone who has studied calculus. In this chapter, we use R to build the
equally important set of so-called complex numbers.

2.1 Definition of complex numbers

We begin with the following definition.

Definition 2.1.1. The set of complex numbers C is defined as

C = {(x, y) | x, y ∈ R}.

Given a complex number z = (x, y), we call Re(z) = x the real part of z and
Im(z) = y the imaginary part of z.

In other words, we are defining a new collection of numbers z by taking every

possible ordered pair (x, y) of real numbers x, y ∈ R, and x is called the real part of
the ordered pair (x, y) in order to imply that the set R of real numbers should be
identified with the subset {(x, 0) | x ∈ R} ⊂ C. It is also common to use the term
purely imaginary for any complex number of the form (0, y), where y ∈ R. In
particular, the complex number i = (0, 1) is special, and it is called the imaginary
unit. (The use of i is standard when denoting this complex number, though j is
sometimes used if i means something else. E.g., i is used to denote electric current
in Electrical Engineering.)
Note that if we write 1 = (1, 0), then we can express z = (x, y) ∈ C as

z = (x, y) = x(1, 0) + y(0, 1) = x1 + yi = x + yi.

It is often significantly easier to perform arithmetic operations on complex numbers

when written in this form, as we illustrate in the next section.

9
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10 Linear Algebra: As an Introduction to Abstract Mathematics

2.2 Operations on complex numbers

Even though we have formally defined C as the set of all ordered pairs of real
numbers, we can nonetheless extend the usual arithmetic operations on R so that
they also make sense on C. We discuss such extensions in this section, along with
several other important operations on complex numbers.

2.2.1 Addition and subtraction of complex numbers

Addition of complex numbers is performed component-wise, meaning that the real

and imaginary parts are simply combined.

Definition 2.2.1. Given two complex numbers (x1 , y1 ), (x2 , y2 ) ∈ C, we define

their (complex) sum to be

(x1 , y1 ) + (x2 , y2 ) = (x1 + x2 , y1 + y2 ).

Example 2.2.2. (3, 2) + (17, −4.5) = (3 + 17, 2 − 4.5) = (20, −2.5).

As with the real numbers, subtraction is defined as addition with the so-called
additive inverse, where the additive inverse of z = (x, y) is defined as −z =
(−x, −y).
√ √ √ √
Example 2.2.3. (π, 2) − (π/2, 19) = (π, 2) + (−π/2, − 19), where
√ √ √ √ √ √
(π, 2) + (−π/2, − 19) = (π − π/2, 2 − 19) = (π/2, 2 − 19).

The addition of complex numbers shares many of the same properties as the
addition of real numbers, including associativity, commutativity, the existence and
uniqueness of an additive identity, and the existence and uniqueness of additive
inverses. We summarize these properties in the following theorem, which you should
prove for your own practice.

Theorem 2.2.4. Let z1 , z2 , z3 ∈ C be any three complex numbers. Then the fol-
lowing statements are true.

(1) (Associativity) (z1 + z2 ) + z3 = z1 + (z2 + z3 ).

(2) (Commutativity) z1 + z2 = z2 + z1 .
(3) (Additive Identity) There is a unique complex number, denoted 0, such that,
given any complex number z ∈ C, 0 + z = z. Moreover, 0 = (0, 0).
(4) (Additive Inverse) Given any complex number z ∈ C, there is a unique complex
number, denoted −z, such that z + (−z) = 0. Moreover, if z = (x, y) with
x, y ∈ R, then −z = (−x, −y).

The proof of this theorem is straightforward and relies solely on the definition of
complex addition along with the familiar properties of addition for real numbers.
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Introduction to Complex Numbers 11

For example, to check commutativity, let z1 = (x1 , y1 ) and z2 = (x2 , y2 ) be complex

numbers with x1 , x2 , y1 , y2 ∈ R. Then
z1 + z2 = (x1 + x2 , y1 + y2 ) = (x2 + x1 , y2 + y1 ) = z2 + z1 .

2.2.2 Multiplication and division of complex numbers

The definition of multiplication for two complex numbers is at first glance somewhat
less straightforward than that of addition.
Definition 2.2.5. Given two complex numbers (x1 , y1 ), (x2 , y2 ) ∈ C, we define
their (complex) product to be
(x1 , y1 )(x2 , y2 ) = (x1 x2 − y1 y2 , x1 y2 + x2 y1 ).
According to this definition, i2 = −1. In other words, i is a solution of the
polynomial equation z 2 + 1 = 0, which does not have solutions in R. Solving such
otherwise unsolvable equations was the main motivation behind the introduction of
complex numbers. Note that the relation i2 = −1 and the assumption that complex
numbers can be multiplied like real numbers is sufficient to arrive at the general
rule for multiplication of complex numbers:
(x1 + y1 i)(x2 + y2 i) = x1 x2 + x1 y2 i + x2 y1 i + y1 y2 i2
= x 1 x 2 + x 1 y 2 i + x 2 y 1 i − y1 y2
= x1 x2 − y1 y2 + (x1 y2 + x2 y1 )i.
As with addition, the basic properties of complex multiplication are easy enough
to prove using the definition. We summarize these properties in the following the-
orem, which you should also prove for your own practice.
Theorem 2.2.6. Let z1 , z2 , z3 ∈ C be any three complex numbers. Then the fol-
lowing statements are true.
(1) (Associativity) (z1 z2 )z3 = z1 (z2 z3 ).
(2) (Commutativity) z1 z2 = z2 z1 .
(3) (Multiplicative Identity) There is a unique complex number, denoted 1, such
that, given any z ∈ C, 1z = z. Moreover, 1 = (1, 0).
(4) (Distributivity of Multiplication over Addition) z1 (z2 + z3 ) = z1 z2 + z1 z3 .
Just as is the case for real numbers, any non-zero complex number z has a unique
multiplicative inverse, which we may denote by either z −1 or 1/z.

Theorem 2.2.6 (continued).

(5) (Multiplicative Inverse) Given z ∈ C with z = 0, there is a unique complex
number, denoted z −1 , such that zz −1 = 1. Moreover, if z = (x, y) with x, y ∈ R,
then  
x −y
z −1 = , .
x2 + y 2 x2 + y 2
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12 Linear Algebra: As an Introduction to Abstract Mathematics

Proof. (Uniqueness.) A complex number w is an inverse of z if zw = 1 (by the

commutativity of complex multiplication this is equivalent to wz = 1). We will first
prove that if w and v are two complex numbers such that zw = 1 and zv = 1, then
we necessarily have w = v. This will then imply that any z ∈ C can have at most
one inverse. To see this, we start from zv = 1. Multiplying both sides by w, we
obtain wzv = w1. Using the fact that 1 is the multiplicative unit, that the product
is commutative, and the assumption that w is an inverse, we get zwv = v = w.
(Existence.) Now assume z ∈ C with z = 0, and write z = x + yi for x, y ∈ R.
Since z = 0, at least one of x or y is not zero, and so x2 + y 2 > 0. Therefore, we
can define
 
x −y
w= , ,
x2 + y 2 x2 + y 2
and one can check that zw = 1.

Now, we can define the division of a complex number z1 by a non-zero complex

number z2 as the product of z1 and z2−1 . Explicitly, for two complex numbers
z1 = x1 + iy1 and z2 = x2 + iy2 , z2 = 0, we have that their quotient is
z1 x1 x2 + y1 y2 + (x2 y1 − x1 y2 ) i
= .
z2 x22 + y22
Example 2.2.7. We illustrate the above definition with the following example:
     
(1, 2) 1·3+2·4 3·2−1·4 3+8 6−4 11 2
= , = , = , .
(3, 4) 32 + 42 32 + 42 9 + 16 9 + 16 25 25

2.2.3 Complex conjugation

Complex conjugation is an operation on C that will turn out to be very useful
because it allows us to manipulate only the imaginary part of a complex number.
In particular, when combined with the notion of modulus (as defined in the next
section), it is one of the most fundamental operations on C.
The definition and most basic properties of complex conjugation are as follows.
(As in the previous sections, you should provide a proof of the theorem below for
your own practice.)
Definition 2.2.8. Given a complex number z = (x, y) ∈ C with x, y ∈ R, we define
the (complex) conjugate of z to be the complex number
z̄ = (x, −y).
Theorem 2.2.9. Given two complex numbers z1 , z2 ∈ C,

(1) z1 + z 2 = z1 + z2 .
(2) z1 z2 = z1 z2 .
(3) 1/z1 = 1/z1 , for all z1 = 0.
(4) z1 = z1 if and only if Im(z1 ) = 0.
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Introduction to Complex Numbers 13

(5) z1 = z1 .
(6) the real and imaginary parts of z1 can be expressed as
1 1
Re(z1 ) = (z1 + z1 ) and Im(z1 ) = (z1 − z1 ).
2 2i

2.2.4 The modulus (a.k.a. norm, length, or magnitude)

In this section, we introduce yet another operation on complex numbers, this time
based upon a generalization of the notion of absolute value of a real number.
To motivate the definition, it is useful to view the set of complex numbers as the
two-dimensional Euclidean plane, i.e., to think of C = R2 being equal as sets. The
modulus, or length, of z ∈ C is then defined as the Euclidean distance between
z, as a point in the plane, and the origin 0 = (0, 0). This is the content of the
following definition.
Definition 2.2.10. Given a complex number z = (x, y) ∈ C with x, y ∈ R, the
modulus of z is defined to be

|z| = x2 + y 2 .
In particular, given x ∈ R, note that

|(x, 0)| = x2 + 0 = |x|

under the convention that the square root function takes on its principal positive
value.
Example 2.2.11. Using the above definition, we see that the modulus of the
complex number (3, 4) is

√ √
|(3, 4)| = 32 + 42 = 9 + 16 = 25 = 5.
To see this geometrically, construct a figure in the Euclidean plane, such as
y

5
(3, 4)
4 •
3
2
1
0 x
0 1 2 3 4 5
and apply the Pythagorean theorem to the resulting right triangle in order to find
the distance from the origin to the point (3, 4).
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14 Linear Algebra: As an Introduction to Abstract Mathematics

The following theorem lists the fundamental properties of the modulus, and
especially as it relates to complex conjugation. You should provide a proof for your
own practice.

Theorem 2.2.12. Given two complex numbers z1 , z2 ∈ C,

(1) |z
 1 z2 | = |z1 | · |z2 |.
 z1  |z1 |
(2)   = , assuming that z2 = 0.
z2 |z2 |
(3) |z1 | = |z1 |.
(4) |Re(z1 )| ≤ |z1 | and |Im(z1 )| ≤ |z1 |.
(5) (Triangle Inequality) |z1 + z2 | ≤ |z1 | + |z2 |.
(6) (Another Triangle Inequality) |z1 − z2 | ≥ | |z1 | − |z2 | |.
(7) (Formula for Multiplicative Inverse) z1 z1 = |z1 |2 , from which

z1
z1−1 =
|z1 |2

when we assume that z1 = 0.

2.2.5 Complex numbers as vectors in R2

When complex numbers are viewed as points in the Euclidean plane R2 , several
of the operations defined in Section 2.2 can be directly visualized as if they were
operations on vectors.
For the purposes of this Chapter, we think of vectors as directed line segments
that start at the origin and end at a specified point in the Euclidean plane. These
line segments may also be moved around in space as long as the direction (which we
will call the argument in Section 2.3.1 below) and the length (a.k.a. the modulus)
are preserved. As such, the distinction between points in the plane and vectors is
merely a matter of convention as long as we at least implicitly think of each vector
as having been translated so that it starts at the origin.
As we saw in Example 2.2.11 above, the modulus of a complex number can be
viewed as the length of the hypotenuse of a certain right triangle. The sum and
difference of two vectors can also each be represented geometrically as the lengths
of specific diagonals within a particular parallelogram that is formed by copying
and appropriately translating the two vectors being combined.

Example 2.2.13. We illustrate the sum (3, 2) + (1, 3) = (4, 5) as the main, dashed
diagonal of the parallelogram in the left-most figure below. The difference (3, 2) −
(1, 3) = (2, −1) can also be viewed as the shorter diagonal of the same parallelogram,
though we would properly need to insist that this shorter diagonal be translated so
that it starts at the origin. The latter is illustrated in the right-most figure below.
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Introduction to Complex Numbers 15

y y

5 • (4, 5) 5 • (4, 5)
4 (1, 3) 4 (1, 3)
3 • 3 •
2 • (3, 2) 2 • (3, 2)
1 1
0 x 0 x
0 1 2 3 4 5 0 1 2 3 4 5

2.3 Polar form and geometric interpretation for C

As mentioned above, C coincides with the plane R2 when viewed as a set of ordered
pairs of real numbers. Therefore, we can use polar coordinates as an alternate
way to uniquely identify a complex number. This gives rise to the so-called polar
form for a complex number, which often turns out to be a convenient representation
for complex numbers.

2.3.1 Polar form for complex numbers

The following diagram summarizes the relations between cartesian and polar coor-
dinates in R2 :

z
•⎫
⎪
⎪ ⎪
⎪
⎪
⎪
r ⎪
⎬
y = r sin(θ)
⎪
⎪
⎪
⎪
θ ⎪
⎪
⎪
⎭
x
  
x = r cos(θ)

We call the ordered pair (x, y) the rectangular coordinates for the complex
number z.
We also call the ordered pair (r, θ) the polar coordinates for the complex
number z. The radius r = |z| is called the modulus of z (as defined in Section 2.2.4
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 16

16 Linear Algebra: As an Introduction to Abstract Mathematics

above), and the angle θ = Arg(z) is called the argument of z. Since the argument
of a complex number describes an angle that is measured relative to the x-axis, it is
important to note that θ is only well-defined up to adding multiples of 2π. As such,
we restrict θ ∈ [0, 2π) and add or subtract multiples of 2π as needed (e.g., when
multiplying two complex numbers so that their arguments are added together) in
order to keep the argument within this range of values.
It is straightforward to transform polar coordinates into rectangular coordinates
using the equations
x = r cos(θ) and y = r sin(θ). (2.1)
In order to

transform rectangular coordinates into polar coordinates, we first note
that r = x2 + y 2 is just the complex modulus. Then, θ must be chosen so that
it satisfies the bounds 0 ≤ θ < 2π in addition to the simultaneous equations (2.1)
where we are assuming that z = 0.
Summarizing:
z = x + yi = r cos(θ) + r sin(θ)i = r(cos(θ) + sin(θ)i).
Part of the utility of this expression is that the size r = |z| of z is explicitly part of
the very definition since it is easy to check that | cos(θ) + sin(θ)i| = 1 for any choice
of θ ∈ R.
Closely related is the exponential form for complex numbers, which does
nothing more than replace the expression cos(θ)+sin(θ)i with eiθ . The real power of
this definition is that this exponential notation turns out to be completely consistent
with the usual usage of exponential notation for real numbers.
Example 2.3.1. The complex number i in polar coordinates is expressed as eiπ/2 ,
whereas the number −1 is given by eiπ .

2.3.2 Geometric multiplication for complex numbers

As discussed in Section 2.3.1 above, the general exponential form for a complex
number z is an expression of the form reiθ where r is a non-negative real number and
θ ∈ [0, 2π). The utility of this notation is immediately observed when multiplying
two complex numbers:
Lemma 2.3.2. Let z1 = r1 eiθ1 , z2 = r2 eiθ2 ∈ C be complex numbers in exponential
form. Then
z1 z2 = r1 r2 ei(θ1 +θ2 ) .

Proof. By direct computation,

z1 z2 = (r1 eiθ1 )(r2 eiθ2 ) = r1 r2 eiθ1 eiθ2
= r1 r2 (cos θ1 + i sin θ1 )(cos θ2 + i sin θ2 )
 
= r1 r2 (cos θ1 cos θ2 − sin θ1 sin θ2 ) + i(sin θ1 cos θ2 + cos θ1 sin θ2 )
 
= r1 r2 cos(θ1 + θ2 ) + i sin(θ1 + θ2 ) = r1 r2 ei(θ1 +θ2 ) ,
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 17

Introduction to Complex Numbers 17

where we have used the usual formulas for the sine and cosine of the sum of two
angles.

In particular, Lemma 2.3.2 shows that the modulus |z1 z2 | of the product is the
product of the moduli r1 and r2 and that the argument Arg(z1 z2 ) of the product
is the sum of the arguments θ1 + θ2 .

2.3.3 Exponentiation and root extraction

Another important use for the polar form of a complex number is in exponentiation.
The simplest possible situation here involves the use of a positive integer as a power,
in which case exponentiation is nothing more than repeated multiplication. Given
the observations in Section 2.3.2 above and using some trigonometric identities, one
quickly obtains the following fundamental result.

Theorem 2.3.3 (de Moivre’s Formula). Let z = r(cos(θ) + sin(θ)i) be a complex

number in polar form and n ∈ Z+ be a positive integer. Then

(1) the exponentiation z n = rn (cos(nθ) + sin(nθ)i) and

(2) the nth roots of z are given by the n complex numbers
     
1/n θ 2πk θ 2πk i
zk = r cos + + sin + i = r1/n e n (θ+2πk) ,
n n n n
where k = 0, 1, 2, . . . , n − 1.

Note, in particular, that we are not only always guaranteed the existence of an
nth root for any complex number, but that we are also always guaranteed to have
exactly n of them. This level of completeness in root extraction is in stark contrast
with roots of real numbers (within the real numbers) which may or may not exist
and may be unique or not when they exist.
An important special case of de Moivre’s Formula yields n nth roots of unity.
By unity, we just mean the complex number 1 = 1 + 0i, and by the nth roots of
unity, we mean the n numbers
     
0 2πk 0 2πk
zk = 11/n cos + + sin + i
n n n n
   
2πk 2πk
= cos + sin i
n n
= e2πi(k/n) ,
where k = 0, 1, 2, . . . , n − 1. The fact that these numbers are precisely the complex
numbers solving the equation z n = 1, has many interesting applications.
Example 2.3.4. To find all solutions of the equation z 3 + 8 = 0 for z ∈ C, we
may write z = reiθ in polar form with r > 0 and θ ∈ [0, 2π). Then the equation
z 3 + 8 = 0 becomes z 3 = r3 ei3θ = −8 = 8eiπ so that r = 2 and 3θ = π + 2πk
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 18

18 Linear Algebra: As an Introduction to Abstract Mathematics

for k = 0, 1, 2. This means that there are three distinct solutions when θ ∈ [0, 2π),
namely θ = π3 , θ = π, and θ = 5π
3 .

2.3.4 Some complex elementary functions

We conclude this chapter by defining three of the basic elementary functions that
take complex arguments. In this context, “elementary function” is used as a tech-
nical term and essentially means something like “one of the most common forms of
functions encountered when beginning to learn Calculus.” The most basic elemen-
tary functions include the familiar polynomial and algebraic functions, such as the
nth root function, in addition to the somewhat more sophisticated exponential func-
tion, the trigonometric functions, and the logarithmic function. For the purposes of
this chapter, we will now define the complex exponential function and two complex
trigonometric functions. Definitions for the remaining basic elementary functions
can be found in any book on Complex Analysis.
The basic groundwork for defining the complex exponential function was
already put into place in Sections 2.3.1 and 2.3.2 above. In particular, we have
already defined the expression eiθ to mean the sum cos(θ) + sin(θ)i for any real
number θ. Historically, this equivalence is a special case of the more general Euler’s
formula
ex+yi = ex (cos(y) + sin(y)i),
which we here take as our definition of the complex exponential function applied to
any complex number x + yi for x, y ∈ R.
Given this exponential function, one can then define the complex sine func-
tion and the complex cosine function as
eiz − e−iz eiz + e−iz
sin(z) = and cos(z) = .
2i 2
Remarkably, these functions retain many of their familiar properties, which should
be taken as a sign that the definitions — however abstract — have been well thought-
out. We summarize a few of these properties as follows.
Theorem 2.3.5. Given z1 , z2 ∈ C,

(1) ez1 +z2 = ez1 ez2 and ez = 0 for any choice of z ∈ C.

(2) sin2 (z1 ) + cos2 (z1 ) = 1.
(3) sin(z1 + z2 ) = sin(z1 ) · cos(z2 ) + cos(z1 ) · sin(z2 ).
(4) cos(z1 + z2 ) = cos(z1 ) · cos(z2 ) − sin(z1 ) · sin(z2 ).

Exercises for Chapter 2

Calculational Exercises
(1) Express the following complex numbers in the form x + yi for x, y ∈ R:
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 19

Introduction to Complex Numbers 19

(a) (2 + 3i) + (4 + i)
(b) (2 + 3i)2 (4 + i)
2 + 3i
(c)
4+i
1 3
(d) +
i 1+i
(e) (−i)−1 √
(f) (−1 + i 3)3
(2) Compute the real and imaginary parts of the following expressions, where z is
the complex number x + yi and x, y ∈ R:
1
(a) 2
z
1
(b)
3z + 2
z+1
(c)
2z − 5
(d) z 3
√
(3) Find r > 0 and θ ∈ [0, 2π) such that (1 − i)/ 2 = reiθ .
(4) Solve the following equations for z a complex number:
(a) z5 − 2 = 0
(b) z4 + i = 0
(c) z6 + 8 = 0
(d) z 3 − 4i = 0
(5) Calculate the
(a) complex conjugate of the fraction (3 + 8i)4 /(1 + i)10 .
(b) complex conjugate of the fraction (8 − 2i)10 /(4 + 6i)5 .
(c) complex modulus of the fraction i(2 + 3i)(5 − 2i)/(−2 − i).
(d) complex modulus of the fraction (2 − 3i)2 /(8 + 6i)2 .
(6) Compute the real and imaginary parts:
(a) e2+i
(b) sin(1 + i)
(c) e3−i
(d) cos(2 + 3i)
z
(7) Compute the real and imaginary parts of ee for z ∈ C.

Proof-Writing Exercises
(1) Let a ∈ R and z, w ∈ C. Prove that
(a) Re(az) = aRe(z) and Im(az) = aIm(z).
(b) Re(z + w) = Re(z) + Re(w) and Im(z + w) = Im(z) + Im(w).
(2) Let z ∈ C. Prove that Im(z) = 0 if and only if Re(z) = z.
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 20

20 Linear Algebra: As an Introduction to Abstract Mathematics

(3) Let z, w ∈ C. Prove the parallelogram law |z − w|2 + |z + w|2 = 2(|z|2 + |w|2 ).
(4) Let
 z, w ∈ C with zw = 1 such that either |z| = 1 or |w| = 1. Prove that
 z−w 
 
 1 − zw  = 1.
(5) For an angle θ ∈ [0, 2π), find the linear map fθ : R2 → R2 , which describes the
rotation by the angle θ in the counterclockwise direction.
Hint: For a given angle θ, find a, b, c, d ∈ R such that fθ (x1 , x2 ) = (ax1 +
bx2 , cx1 + dx2 ).
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 21

Chapter 3

The Fundamental Theorem of Algebra

and Factoring Polynomials

The similarities and differences between R and C are elegant and intriguing, but
why are complex numbers important? One possible answer to this question is the
Fundamental Theorem of Algebra. It states that every polynomial equation
in one variable with complex coefficients has at least one complex solution. In
other words, polynomial equations formed over C can always be solved over C.
This amazing result has several equivalent formulations in addition to a myriad of
different proofs, one of the first of which was given by the eminent mathematician
Carl Friedrich Gauss (1777-1855) in his doctoral thesis.

3.1 The Fundamental Theorem of Algebra

The aim of this section is to provide a proof of the Fundamental Theorem of Algebra
using concepts that should be familiar from the study of Calculus, and so we begin
by providing an explicit formulation.

Theorem 3.1.1 (Fundamental Theorem of Algebra). Given any positive integer

n ∈ Z+ and any choice of complex numbers a0 , a1 , . . . , an ∈ C with an = 0, the
polynomial equation

an z n + · · · + a1 z + a0 = 0 (3.1)

has at least one solution z ∈ C.

This is a remarkable statement. No analogous result holds for guaranteeing that

a real solution exists to Equation (3.1) if we restrict the coefficients a0 , a1 , . . . , an to
be real numbers. E.g., there does not exist a real number x satisfying an equation
as simple as πx2 + e = 0. Similarly, the consideration of polynomial equations
having integer (resp. rational) coefficients quickly forces us to consider solutions that
cannot possibly be integers (resp. rational numbers). Thus, the complex numbers
are special in this respect.
The statement of the Fundamental Theorem of Algebra can also be read as
follows: Any non-constant complex polynomial function defined on the complex

21
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22 Linear Algebra: As an Introduction to Abstract Mathematics

plane C (when thought of as R2 ) has at least one root, i.e., vanishes in at least one
place. It is in this form that we will provide a proof for Theorem 3.1.1.
Given how long the Fundamental Theorem of Algebra has been around, you
should not be surprised that there are many proofs of it. There have even been
entire books devoted solely to exploring the mathematics behind various distinct
proofs. Different proofs arise from attempting to understand the statement of the
theorem from the viewpoint of different branches of mathematics. This quickly
leads to many non-trivial interactions with such fields of mathematics as Real and
Complex Analysis, Topology, and (Modern) Abstract Algebra. The diversity of
proof techniques available is yet another indication of how fundamental and deep
the Fundamental Theorem of Algebra really is.
To prove the Fundamental Theorem of Algebra using Differential Calculus, we
will need the Extreme Value Theorem for real-valued functions of two real vari-
ables, which we state without proof. In particular, we formulate this theorem in
the restricted case of functions defined on the closed disk D of radius R > 0 and
centered at the origin, i.e.,

D = {(x1 , x2 ) ∈ R2 | x21 + x22 ≤ R2 }.

Theorem 3.1.2 (Extreme Value Theorem). Let f : D → R be a continuous func-

tion on the closed disk D ⊂ R2 . Then f is bounded and attains its minimum and
maximum values on D. In other words, there exist points xm , xM ∈ D such that

f (xm ) ≤ f (x) ≤ f (xM )

for every possible choice of point x ∈ D.

If we define a polynomial function f : C → C by setting f (z) = an z n + · · · +

a1 z + a0 as in Equation (3.1), then note that we can regard (x, y) → |f (x + iy)| as
a function R2 → R. By a mild abuse of notation, we denote this function by |f ( · )|
or |f |. As it is a composition of continuous functions (polynomials and the square
root), we see that |f | is also continuous.

Lemma 3.1.3. Let f : C → C be any polynomial function. Then there exists a

point z0 ∈ C where the function |f | attains its minimum value in R.

Proof. If f is a constant polynomial function, then the statement of the Lemma is

trivially true since |f | attains its minimum value at every point in C. So choose,
e.g., z0 = 0.
If f is not constant, then the degree of the polynomial defining f is at least one.
In this case, we can denote f explicitly as in Equation (3.1). That is, we set

f (z) = an z n + · · · + a1 z + a0
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 23

The Fundamental Theorem of Algebra 23

with an = 0. Now, assume z = 0, and set A = max{|a0 |, . . . , |an−1 |}. We can

obtain a lower bound for |f (z)| as follows:
 an−1 1 a0 1 
|f (z)| = |an | |z|n 1 + + ··· +
an z an z n
∞
 A  1   A 1 
≥ |an | |z|n 1 − = |an | |z|n 1 − .
|an | |z| k |an | |z| − 1
k=1

For all z ∈ C such that |z| ≥ 2, we can further simplify this expression and obtain
 2A 
|f (z)| ≥ |an | |z|n 1 − .
|an ||z|
It follows from this inequality that there is an R > 0 such that |f (z)| > |f (0)|, for
all z ∈ C satisfying |z| > R. Let D ⊂ R2 be the disk of radius R centered at 0, and
define a function g : D → R, by
g(x, y) = |f (x + iy)|.
Since g is continuous, we can apply Theorem 3.1.2 in order to obtain a point
(x0 , y0 ) ∈ D such that g attains its minimum at (x0 , y0 ). By the choice of R
we have that for z ∈ C \ D, |f (z)| > |g(0, 0)| ≥ |g(x0 , y0 )|. Therefore, |f | attains its
minimum at z = x0 + iy0 .

We now prove the Fundamental Theorem of Algebra.

Proof of Theorem 3.1.1. For our argument, we rely on the fact that the function
|f | attains its minimum value by Lemma 3.1.3. Let z0 ∈ C be a point where the
minimum is attained. We will show that if f (z0 ) = 0, then z0 is not a minimum,
thus proving by contraposition that the minimum value of |f (z)| is zero. Therefore,
f (z0 ) = 0.
If f (z0 ) = 0, then we can define a new function g : C → C by setting
f (z + z0 )
g(z) = , for all z ∈ C.
f (z0 )
Note that g is a polynomial of degree n, and that the minimum of |f | is attained at
z0 if and only if the minimum of |g| is attained at z = 0. Moreover, it is clear that
g(0) = 1.
More explicitly, g is given by a polynomial of the form
g(z) = bn z n + · · · + bk z k + 1,
with n ≥ 1 and bk = 0, for some 1 ≤ k ≤ n. Let bk = |bk |eiθ , and consider z of the
form
z = r|bk |−1/k ei(π−θ)/k , (3.2)
with r > 0. For z of this form we have
g(z) = 1 − rk + rk+1 h(r),
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 24

24 Linear Algebra: As an Introduction to Abstract Mathematics

where h is a polynomial. Then, for r < 1, we have by the triangle inequality that

|g(z)| ≤ 1 − rk + rk+1 |h(r)|.

For r > 0 sufficiently small we have r|h(r)| < 1, by the continuity of the function
rh(r) and the fact that it vanishes in r = 0. Hence

|g(z)| ≤ 1 − rk (1 − r|h(r)|) < 1,

for some z having the form in Equation (3.2) with r ∈ (0, r0 ) and r0 > 0 sufficiently
small. But then the minimum of the function |g| : C → R cannot possibly be equal
to 1.

3.2 Factoring polynomials

In this section, we present several fundamental facts about polynomials, including

an equivalent form of the Fundamental Theorem of Algebra. While these facts
should be familiar, they nonetheless require careful formulation and proof. Before
stating these results, though, we first present a review of the main concepts needed
in order to more carefully work with polynomials.
Let n ∈ Z+ ∪{0} be a non-negative integer, and let a0 , a1 , . . . , an ∈ C be complex
numbers. Then we call the expression

p(z) = an z n + · · · + a1 z + a0

a polynomial in the variable z with coefficients a0 , a1 , . . . , an . If an = 0, then we

say that p(z) has degree n (denoted deg(p(z)) = n), and we call an the leading
term of p(z). Moreover, if an = 1, then we call p(z) a monic polynomial.
If, however, n = a0 = 0, then we call p(z) = 0 the zero polynomial and set
deg(0) = −∞.
Finally, by a root (a.k.a. zero) of a polynomial p(z), we mean a complex number
z0 such that p(z0 ) = 0. Note, in particular, that every complex number is a root of
the zero polynomial.
Convention dictates that

• a degree zero polynomial be called a constant polynomial,

• a degree one polynomial be called a linear polynomial,
• a degree two polynomial be called a quadratic polynomial,
• a degree three polynomial be called a cubic polynomial,
• a degree four polynomial be called a quadric polynomial,
• a degree five polynomial be called a quintic polynomial,
• and so on.

Addition and multiplication of polynomials is a direct generalization of the

addition and multiplication of complex numbers, and degree interacts with these
operations as follows:
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The Fundamental Theorem of Algebra 25

Lemma 3.2.1. Let p(z) and q(z) be non-zero polynomials. Then

(1) deg (p(z) ± q(z)) ≤ max{deg(p(z)), deg(q(z))}
(2) deg (p(z)q(z)) = deg(p(z)) + deg(q(z)).
Theorem 3.2.2. Given a positive integer n ∈ Z+ and any choice of a0 , a1 , . . . , an ∈
C with an = 0, define the function f : C → C by setting
f (z) = an z n + · · · + a1 z + a0 , ∀ z ∈ C.
In other words, f is a polynomial function of degree n. Then

(1) given any complex number w ∈ C, we have that f (w) = 0 if and only if there
exists a polynomial function g : C → C of degree n − 1 such that
f (z) = (z − w)g(z), ∀ z ∈ C.
(2) there are at most n distinct complex numbers w for which f (w) = 0. In other
words, f has at most n distinct roots.
(3) (Fundamental Theorem of Algebra, restated) there exist exactly n + 1 complex
numbers w0 , w1 , . . . , wn ∈ C (not necessarily distinct) such that
f (z) = w0 (z − w1 )(z − w2 ) · · · (z − wn ), ∀ z ∈ C.
In other words, every polynomial function with coefficients over C can be fac-
tored into linear factors over C.

Proof.

(1) Let w ∈ C be a complex number.

(“=⇒”) Suppose that f (w) = 0. Then, in particular, we have that
an wn + · · · + a1 w + a0 = 0.
Since this equation is equal to zero, it follows that, given any z ∈ C,
f (z) = an z n + · · · + a1 z + a0 − (an wn + · · · + a1 w + a0 )
= an (z n − wn ) + an−1 (z n−1 − wn−1 ) + · · · + a1 (z − w)

n−1 
n−2
= an (z − w) z k wn−1−k + an−1 (z − w) z k wn−2−k + · · · + a1 (z − w)
k=0 k=0
 

n 
m−1
= (z − w) am z k wm−1−k .
m=1 k=0

Thus, upon setting

 

n 
m−1
g(z) = am k
z w m−1−k
, ∀ z ∈ C,
m=1 k=0

we have constructed a degree n − 1 polynomial function g such that

f (z) = (z − w)g(z), ∀ z ∈ C.
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26 Linear Algebra: As an Introduction to Abstract Mathematics

(“⇐=”) Suppose that there exists a polynomial function g : C → C of degree

n − 1 such that
f (z) = (z − w)g(z), ∀ z ∈ C.
Then it follows that f (w) = (w − w)g(w) = 0, as desired.
(2) We use induction on the degree n of f .
If n = 1, then f (z) = a1 z +a0 is a linear function, and the equation a1 z +a0 = 0
has the unique solution z = −a0 /a1 . Thus, the result holds for n = 1.
Now, suppose that the result holds for n − 1. In other words, assume that
every polynomial function of degree n − 1 has at most n − 1 roots. Using the
Fundamental Theorem of Algebra (Theorem 3.1.1), we know that there exists
a complex number w ∈ C such that f (w) = 0. Moreover, from Part 1 above,
we know that there exists a polynomial function g of degree n − 1 such that
f (z) = (z − w)g(z), ∀ z ∈ C.
It then follows by the induction hypothesis that g has at most n − 1 distinct
roots, and so f must have at most n distinct roots.
(3) This part follows from an induction argument on n that is virtually identical
to that of Part 2, and so the proof is left as an exercise to the reader.

Exercises for Chapter 3

Calculational Exercises
(1) Let n ∈ Z+ be a positive integer, let w0 , w1 , . . . , wn ∈ C be distinct complex
numbers, and let z0 , z1 , . . . , zn ∈ C be any complex numbers. Then one can
prove that there is a unique polynomial p(z) of degree at most n such that, for
each k ∈ {0, 1, . . . , n}, p(wk ) = zk .
(a) Find the unique polynomial of degree at most 2 that satisfies p(0) = 0,
p(1) = 1, and p(2) = 2.
(b) Can your result in Part (a) be easily generalized to find the unique poly-
nomial of degree at most n satisfying p(0) = 0, p(1) = 1, . . . , p(n) = n?
(2) Given any complex number α ∈ C, show that the coefficients of the polynomial
(z − α)(z − α)
are real numbers.

Proof-Writing Exercises
(1) Let m, n ∈ Z+ be positive integers with m ≤ n. Prove that there is a degree n
polynomial p(z) with complex coefficients such that p(z) has exactly m distinct
roots.
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The Fundamental Theorem of Algebra 27

(2) Given a polynomial p(z) = an z n + · · · + a1 z + a0 with complex coefficients,

define the conjugate of p(z) to be the new polynomial
p(z) = an z n + · · · + a1 z + a0 .
(a) Prove that p(z) = p(z).
(b) Prove that p(z) has real coefficients if and only if p(z) = p(z).
(c) Given polynomials p(z), q(z), and r(z) such that p(z) = q(z)r(z), prove
that p(z) = q(z)r(z).
(3) Let p(z) be a polynomial with real coefficients, and let α ∈ C be a complex
number.
Prove that p(α) = 0 if and only p(α) = 0.
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 29

Chapter 4

Vector Spaces

With the background developed in the previous chapters, we are ready to begin the
study of Linear Algebra by introducing vector spaces. Vector spaces are essential
for the formulation and solution of linear algebra problems and they will appear on
virtually every page of this book from now on.

4.1 Definition of vector spaces

As we have seen in Chapter 1, a vector space is a set V with two operations defined
upon it: addition of vectors and multiplication by scalars. These operations must
satisfy certain properties, which we are about to discuss in more detail. The scalars
are taken from a field F, where for the remainder of this book F stands either for
the real numbers R or for the complex numbers C. The sets R and C are examples
of fields. The abstract definition of a field along with further examples can be found
in Appendix C.
Vector addition can be thought of as a function + : V × V → V that maps
two vectors u, v ∈ V to their sum u + v ∈ V . Scalar multiplication can similarly
be described as a function F × V → V that maps a scalar a ∈ F and a vector v ∈ V
to a new vector av ∈ V . (More information on these kinds of functions, also known
as binary operations, can be found in Appendix C.) It is when we place the right
conditions on these operations, also called axioms, that we turn V into a vector
space.

Definition 4.1.1. A vector space over F is a set V together with the operations
of addition V × V → V and scalar multiplication F × V → V satisfying each of the
following properties.

(1) Commutativity: u + v = v + u for all u, v ∈ V ;

(2) Associativity: (u + v) + w = u + (v + w) and (ab)v = a(bv) for all u, v, w ∈ V
and a, b ∈ F;
(3) Additive identity: There exists an element 0 ∈ V such that 0 + v = v for all
v ∈V;

29
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30 Linear Algebra: As an Introduction to Abstract Mathematics

(4) Additive inverse: For every v ∈ V , there exists an element w ∈ V such that
v + w = 0;
(5) Multiplicative identity: 1v = v for all v ∈ V ;
(6) Distributivity: a(u + v) = au + av and (a + b)u = au + bu for all u, v ∈ V
and a, b ∈ F.

A vector space over R is usually called a real vector space, and a vector space
over C is similarly called a complex vector space. The elements v ∈ V of a vector
space are called vectors.
Even though Definition 4.1.1 may appear to be an extremely abstract definition,
vector spaces are fundamental objects in mathematics because there are count-
less examples of them. You should expect to see many examples of vector spaces
throughout your mathematical life.

Example 4.1.2. Consider the set Fn of all n-tuples with elements in F. This is a
vector space with addition and scalar multiplication defined componentwise. That
is, for u = (u1 , u2 , . . . , un ), v = (v1 , v2 , . . . , vn ) ∈ Fn and a ∈ F, we define
u + v = (u1 + v1 , u2 + v2 , . . . , un + vn ),
au = (au1 , au2 , . . . , aun ).
It is easy to check that each property of Definition 4.1.1 is satisfied. In par-
ticular, the additive identity 0 = (0, 0, . . . , 0), and the additive inverse of u is
−u = (−u1 , −u2 , . . . , −un ).

An important case of Example 4.1.2 is Rn , especially when n = 2 or n = 3. We

have already seen in Chapter 1 that there is a geometric interpretation for elements
of R2 and R3 as points in the Euclidean plane and Euclidean space, respectively.

Example 4.1.3. Let F∞ be the set of all sequences over F, i.e.,

F∞ = {(u1 , u2 , . . .) | uj ∈ F for j = 1, 2, . . .}.
Addition and scalar multiplication are defined as expected, namely,
(u1 , u2 , . . .) + (v1 , v2 , . . .) = (u1 + v1 , u2 + v2 , . . .),
a(u1 , u2 , . . .) = (au1 , au2 , . . .).
∞
You should verify that F becomes a vector space under these operations.

Example 4.1.4. Verify that V = {0} is a vector space! (Here, 0 denotes the zero
vector in any vector space.)

Example 4.1.5. Let F[z] be the set of all polynomial functions p : F → F with
coefficients in F. As discussed in Chapter 3, p(z) is a polynomial if there exist
a0 , a1 , . . . , an ∈ F such that
p(z) = an z n + an−1 z n−1 + · · · + a1 z + a0 . (4.1)
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Vector Spaces 31

Addition and scalar multiplication on F[z] are defined pointwise as

(p + q)(z) = p(z) + q(z),
(ap)(z) = ap(z),
where p, q ∈ F[z] and a ∈ F. For example, if p(z) = 5z + 1 and q(z) = 2z 2 + z + 1,
then (p + q)(z) = 2z 2 + 6z + 2 and (2p)(z) = 10z + 2.
It can be easily verified that, under these operations, F[z] forms a vector space
over F. The additive identity in this case is the zero polynomial, for which all
coefficients are equal to zero, and the additive inverse of p(z) in Equation (4.1) is
−p(z) = −an z n − an−1 z n−1 − · · · − a1 z − a0 .

Example 4.1.6. Extending Example 4.1.5, let D ⊂ R be a subset of R, and let

C(D) denote the set of all continuous functions with domain D and codomain R.
Then, under the same operations of pointwise addition and scalar multiplication,
one can show that C(D) also forms a vector space.

4.2 Elementary properties of vector spaces

We are going to prove several important, yet simple, properties of vector spaces.
From now on, V will denote a vector space over F.
Proposition 4.2.1. In every vector space the additive identity is unique.

Proof. Suppose there are two additive identities 0 and 0 . Then

0 = 0 + 0 = 0,
where the first equality holds since 0 is an identity and the second equality holds
since 0 is an identity. Hence 0 = 0 , proving that the additive identity is unique.

Proposition 4.2.2. Every v ∈ V has a unique additive inverse.

Proof. Suppose w and w are additive inverses of v so that v +w = 0 and v +w = 0.

Then
w = w + 0 = w + (v + w ) = (w + v) + w = 0 + w = w .
Hence w = w , as desired.

Since the additive inverse of v is unique, as we have just shown, it will from now
on be denoted by −v. We also define w − v to mean w + (−v). We will, in fact,
show in Proposition 4.2.5 below that −v = −1v.
Proposition 4.2.3. 0v = 0 for all v ∈ V .
Note that the 0 on the left-hand side in Proposition 4.2.3 is a scalar, whereas
the 0 on the right-hand side is a vector.
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32 Linear Algebra: As an Introduction to Abstract Mathematics

Proof. For v ∈ V , we have by distributivity that

0v = (0 + 0)v = 0v + 0v.
Adding the additive inverse of 0v to both sides, we obtain
0 = 0v − 0v = (0v + 0v) − 0v = 0v.

Proposition 4.2.4. a0 = 0 for every a ∈ F.

Proof. As in the proof of Proposition 4.2.3, if a ∈ F, then

a0 = a(0 + 0) = a0 + a0.
Adding the additive inverse of a0 to both sides, we obtain 0 = a0, as desired.

Proposition 4.2.5. (−1)v = −v for every v ∈ V .

Proof. For v ∈ V , we have

v + (−1)v = 1v + (−1)v = (1 + (−1))v = 0v = 0,
which shows that (−1)v is the additive inverse −v of v.

4.3 Subspaces

As mentioned in the last section, there are countless examples of vector spaces. One
particularly important source of new vector spaces comes from looking at subsets
of a set that is already known to be a vector space.
Definition 4.3.1. Let V be a vector space over F, and let U ⊂ V be a subset of
V . Then we call U a subspace of V if U is a vector space over F under the same
operations that make V into a vector space over F.
To check that a subset U ⊂ V is a subspace, it suffices to check only a few of
the conditions of a vector space.
Lemma 4.3.2. Let U ⊂ V be a subset of a vector space V over F. Then U is a
subspace of V if and only if the following three conditions hold.
(1) additive identity: 0 ∈ U ;
(2) closure under addition: u, v ∈ U implies u + v ∈ U ;
(3) closure under scalar multiplication: a ∈ F, u ∈ U implies that au ∈ U .

Proof. Condition 1 implies that the additive identity exists. Condition 2 implies
that vector addition is well-defined and, Condition 3 ensures that scalar multipli-
cation is well-defined. All other conditions for a vector space are inherited from V
since addition and scalar multiplication for elements in U are the same when viewed
as elements in either U or V .
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Vector Spaces 33

Remark 4.3.3. Note that if we require U ⊂ V to be a nonempty subset of V , then

condition 1 of Lemma 4.3.2 already follows from condition 3 since 0u = 0 for u ∈ U .

Example 4.3.4. In every vector space V , the subsets {0} and V are easily verified
to be subspaces. We call these the trivial subspaces of V .

Example 4.3.5. {(x1 , 0) | x1 ∈ R} is a subspace of R2 .

Example 4.3.6. U = {(x1 , x2 , x3 ) ∈ F3 | x1 + 2x2 = 0} is a subspace of F3 . To see

this, we need to check the three conditions of Lemma 4.3.2.
The zero vector (0, 0, 0) ∈ F3 is in U since it satisfies the condition x1 + 2x2 =
0. To show that U is closed under addition, take two vectors v = (v1 , v2 , v3 )
and u = (u1 , u2 , u3 ). Then, by the definition of U , we have v1 + 2v2 = 0 and
u1 + 2u2 = 0. Adding these two equations, it is not hard to see that the vector
v +u = (v1 +u1 , v2 +u2 , v3 +u3 ) satisfies (v1 +u1 )+2(v2 +u2 ) = 0. Hence v +u ∈ U .
Similarly, to show closure under scalar multiplication, take u = (u1 , u2 , u3 ) ∈ U and
a ∈ F. Then au = (au1 , au2 , au3 ) satisfies the equation au1 +2au2 = a(u1 +2u2 ) = 0,
and so au ∈ U .

Example 4.3.7. U = {p ∈ F[z] | p(3) = 0} is a subspace of F[z]. Again, to check

this, we need to verify the three conditions of Lemma 4.3.2.
Certainly the zero polynomial p(z) = 0z n + 0z n−1 + · · · + 0z + 0 is in U since
p(z) evaluated at 3 is 0. If f (z), g(z) ∈ U , then f (3) = g(3) = 0 so that (f + g)(3) =
f (3) + g(3) = 0 + 0 = 0. Hence f + g ∈ U , which proves closure under addition.
Similarly, (af )(3) = af (3) = a0 = 0 for any a ∈ F, which proves closure under
scalar multiplication.

Example 4.3.8. As in Example 4.1.6, let D ⊂ R be a subset of R, and let C ∞ (D)

denote the set of all smooth (a.k.a. continuously differentiable) functions with do-
main D and codomain R. Then, under the same operations of point-wise addition
and scalar multiplication, one can show that C ∞ (D) is a subspace of C(D).

Example 4.3.9. The subspaces of R2 consist of {0}, all lines through the origin,
and R2 itself. The subspaces of R3 are {0}, all lines through the origin, all planes
through the origin, and R3 . In fact, these exhaust all subspaces of R2 and R3 ,
respectively. To prove this, we will need further tools such as the notion of bases
and dimensions to be discussed soon. In particular, this shows that lines and planes
that do not pass through the origin are not subspaces (which is not so hard to
show!).

Note that if U and U  are subspaces of V , then their intersection U ∩ U  is also

a subspace (see Proof-writing Exercise 2 on page 38 and Figure 4.1). However, the
union of two subspaces is not necessarily a subspace. Think, for example, of the
union of two lines in R2 , as in Figure 4.2.
November 4, 2015 9:29 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 34

34 Linear Algebra: As an Introduction to Abstract Mathematics

Fig. 4.1 The intersection U ∩ U  of two subspaces is a subspace

4.4 Sums and direct sums

Throughout this section, V is a vector space over F, and U1 , U2 ⊂ V denote sub-

spaces.

Definition 4.4.1. Let U1 , U2 ⊂ V be subspaces of V . Define the (subspace) sum

of U1 and U2 to be the set

U1 + U2 = {u1 + u2 | u1 ∈ U1 , u2 ∈ U2 }.

Check as an exercise that U1 + U2 is a subspace of V . In fact, U1 + U2 is the

smallest subspace of V that contains both U1 and U2 .

Example 4.4.2. Let

U1 = {(x, 0, 0) ∈ F3 | x ∈ F},
U2 = {(0, y, 0) ∈ F3 | y ∈ F}.

Then

U1 + U2 = {(x, y, 0) ∈ F3 | x, y ∈ F}. (4.2)

If, alternatively, U2 = {(y, y, 0) ∈ F3 | y ∈ F}, then Equation (4.2) still holds.

If U = U1 + U2 , then, for any u ∈ U , there exist u1 ∈ U1 and u2 ∈ U2 such that

u = u1 + u2 . If it so happens that u can be uniquely written as u1 + u2 , then U is
called the direct sum of U1 and U2 .
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Vector Spaces 35

/ U ∪ U
u+v ∈
u

v
U
U

Fig. 4.2 The union U ∪ U  of two subspaces is not necessarily a subspace

Definition 4.4.3. Suppose every u ∈ U can be uniquely written as u = u1 + u2

for u1 ∈ U1 and u2 ∈ U2 . Then we use

U = U1 ⊕ U2

to denote the direct sum of U1 and U2 .

Example 4.4.4. Let

U1 = {(x, y, 0) ∈ R3 | x, y ∈ R},
U2 = {(0, 0, z) ∈ R3 | z ∈ R}.

Then R3 = U1 ⊕ U2 . However, if instead

U2 = {(0, w, z) | w, z ∈ R},

then R3 = U1 + U2 but is not the direct sum of U1 and U2 .

Example 4.4.5. Let

U1 = {p ∈ F[z] | p(z) = a0 + a2 z 2 + · · · + a2m z 2m },
U2 = {p ∈ F[z] | p(z) = a1 z + a3 z 3 + · · · + a2m+1 z 2m+1 }.
Then F[z] = U1 ⊕ U2 .

Proposition 4.4.6. Let U1 , U2 ⊂ V be subspaces. Then V = U1 ⊕ U2 if and only

if the following two conditions hold:

(1) V = U1 + U2 ;
(2) If 0 = u1 + u2 with u1 ∈ U1 and u2 ∈ U2 , then u1 = u2 = 0.
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36 Linear Algebra: As an Introduction to Abstract Mathematics

Proof.
(“=⇒”) Suppose V = U1 ⊕ U2 . Then Condition 1 holds by definition. Certainly
0 = 0 + 0, and, since by uniqueness this is the only way to write 0 ∈ V , we have
u1 = u2 = 0.

(“⇐=”) Suppose Conditions 1 and 2 hold. By Condition 1, we have that, for all
v ∈ V , there exist u1 ∈ U1 and u2 ∈ U2 such that v = u1 + u2 . Suppose v = w1 + w2
with w1 ∈ U1 and w2 ∈ U2 . Subtracting the two equations, we obtain
0 = (u1 − w1 ) + (u2 − w2 ),
where u1 − w1 ∈ U1 and u2 − w2 ∈ U2 . By Condition 2, this implies u1 − w1 = 0
and u2 − w2 = 0, or equivalently u1 = w1 and u2 = w2 , as desired.

Proposition 4.4.7. Let U1 , U2 ⊂ V be subspaces. Then V = U1 ⊕ U2 if and only

if the following two conditions hold:
(1) V = U1 + U2 ;
(2) U1 ∩ U2 = {0}.

Proof.
(“=⇒”) Suppose V = U1 ⊕U2 . Then Condition 1 holds by definition. If u ∈ U1 ∩U2 ,
then 0 = u + (−u) with u ∈ U1 and −u ∈ U2 (why?). By Proposition 4.4.6, we have
u = 0 and −u = 0 so that U1 ∩ U2 = {0}.

(“⇐=”) Suppose Conditions 1 and 2 hold. To prove that V = U1 ⊕ U2 holds,

suppose that
0 = u1 + u2 , where u1 ∈ U1 and u2 ∈ U2 . (4.3)
By Proposition 4.4.6, it suffices to show that u1 = u2 = 0. Equation (4.3) implies
that u1 = −u2 ∈ U2 . Hence u1 ∈ U1 ∩ U2 , which in turn implies that u1 = 0. It
then follows that u2 = 0 as well.

Everything in this section can be generalized to m subspaces U1 , U2 , . . . , Um ,

with the notable exception of Proposition 4.4.7. To see this consider the following
example.
Example 4.4.8. Let
U1 = {(x, y, 0) ∈ F3 | x, y ∈ F},
U2 = {(0, 0, z) ∈ F3 | z ∈ F},
U3 = {(0, y, y) ∈ F3 | y ∈ F}.
Then certainly F3 = U1 + U2 + U3 , but F3 = U1 ⊕ U2 ⊕ U3 since, for example,
(0, 0, 0) = (0, 1, 0) + (0, 0, 1) + (0, −1, −1).
But U1 ∩ U2 = U1 ∩ U3 = U2 ∩ U3 = {0} so that the analog of Proposition 4.4.7
does not hold.
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 37

Vector Spaces 37

Exercises for Chapter 4

Calculational Exercises
(1) For each of the following sets, either show that the set is a vector space or
explain why it is not a vector space.
(a) The set R of real numbers under the usual operations of addition and mul-
tiplication.
(b) The set {(x, 0) | x ∈ R} under the usual operations of addition and multi-
plication on R2 .
(c) The set {(x, 1) | x ∈ R} under the usual operations of addition and multi-
plication on R2 .
(d) The set {(x, 0) | x ∈ R, x ≥ 0} under the usual operations of addition and
multiplication on R2 .
(e) The set {(x, 1) | x ∈ R, x ≥ 0} under the usual operations of addition and
 on R . 
2
multiplication 
a a+b
(f) The set | a, b ∈ R under the usual operations of addition
a+b a
and multiplication
 on R2×2. 
a a+b+1
(g) The set | a, b ∈ R under the usual operations of addi-
a+b a
tion and multiplication on R2×2 .
(2) Show that the space V = {(x1 , x2 , x3 ) ∈ F3 | x1 + 2x2 + 2x3 = 0} forms a vector
space.
(3) For each of the following sets, either show that the set is a subspace of C(R) or
explain why it is not a subspace.
(a) The set {f ∈ C(R) | f (x) ≤ 0, ∀ x ∈ R}.
(b) The set {f ∈ C(R) | f (0) = 0}.
(c) The set {f ∈ C(R) | f (0) = 2}.
(d) The set of all constant functions.
(e) The set {α + β sin(x) | α, β ∈ R}.
(4) Give an example of a nonempty subset U ⊂ R2 such that U is closed under
scalar multiplication but is not a subspace of R2 .
(5) Let F[z] denote the vector space of all polynomials with coefficients in F, and
define U to be the subspace of F[z] given by
U = {az 2 + bz 5 | a, b ∈ F}.
Find a subspace W of F[z] such that F[z] = U ⊕ W .

Proof-Writing Exercises
(1) Let V be a vector space over F. Then, given a ∈ F and v ∈ V such that av = 0,
prove that either a = 0 or v = 0.
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38 Linear Algebra: As an Introduction to Abstract Mathematics

(2) Let V be a vector space over F, and suppose that W1 and W2 are subspaces of
V . Prove that their intersection W1 ∩ W2 is also a subspace of V .
(3) Prove or give a counterexample to the following claim:
Claim. Let V be a vector space over F, and suppose that W1 , W2 , and W3 are
subspaces of V such that W1 + W3 = W2 + W3 . Then W1 = W2 .
(4) Prove or give a counterexample to the following claim:
Claim. Let V be a vector space over F, and suppose that W1 , W2 , and W3 are
subspaces of V such that W1 ⊕ W3 = W2 ⊕ W3 . Then W1 = W2 .
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 39

Chapter 5

Span and Bases

The intuitive notion of dimension of a space as the number of coordinates one needs
to uniquely specify a point in the space motivates the mathematical definition of
dimension of a vector space. In this Chapter, we will first introduce the notions of
linear span, linear independence, and basis of a vector space. Given a basis, we
will find a bijective correspondence between coordinates and elements in a vector
space, which leads to the definition of dimension of a vector space.

5.1 Linear span

As before, let V denote a vector space over F. Given vectors v1 , v2 , . . . , vm ∈ V ,

a vector v ∈ V is a linear combination of (v1 , . . . , vm ) if there exist scalars
a1 , . . . , am ∈ F such that

v = a1 v1 + a2 v2 + · · · + am vm .

Definition 5.1.1. The linear span (or simply span) of (v1 , . . . , vm ) is defined as

span(v1 , . . . , vm ) := {a1 v1 + · · · + am vm | a1 , . . . , am ∈ F}.

Lemma 5.1.2. Let V be a vector space and v1 , v2 , . . . , vm ∈ V . Then

(1) vj ∈ span(v1 , v2 , . . . , vm ).
(2) span(v1 , v2 , . . . , vm ) is a subspace of V .
(3) If U ⊂ V is a subspace such that v1 , v2 , . . . vm ∈ U , then span(v1 , v2 , . . . , vm ) ⊂
U.

Proof. Property 1 is obvious. For Property 2, note that 0 ∈ span(v1 , v2 , . . . , vm )

and that span(v1 , v2 , . . . , vm ) is closed under addition and scalar multiplication. For
Property 3, note that a subspace U of a vector space V is closed under addition
and scalar multiplication. Hence, if v1 , . . . , vm ∈ U , then any linear combination
a1 v1 + · · · + am vm must also be an element of U .

Lemma 5.1.2 implies that span(v1 , v2 , . . . , vm ) is the smallest subspace of V

containing each of v1 , v2 , . . . , vm .

39
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40 Linear Algebra: As an Introduction to Abstract Mathematics

Definition 5.1.3. If span(v1 , . . . , vm ) = V , then we say that (v1 , . . . , vm ) spans V

and we call V finite-dimensional. A vector space that is not finite-dimensional is
called infinite-dimensional.

Example 5.1.4. The vectors e1 = (1, 0, . . . , 0), e2 = (0, 1, 0, . . . , 0), . . . , en =

(0, . . . , 0, 1) span Fn . Hence Fn is finite-dimensional.

Example 5.1.5. The vectors v1 = (1, 1, 0) and v2 = (1, −1, 0) span a subspace of
R3 . More precisely, if we write the vectors in R3 as 3-tuples of the form (x, y, z),
then span(v1 , v2 ) is the xy-plane in R3 .

Example 5.1.6. Recall that if p(z) = am z m + am−1 z m−1 + · · · + a1 z + a0 ∈ F[z]

is a polynomial with coefficients in F such that am = 0, then we say that p(z) has
degree m. By convention, the degree of the zero polynomial p(z) = 0 is −∞. We
denote the degree of p(z) by deg(p(z)). Define

Fm [z] = set of all polynomials in F[z] of degree at most m.

Then Fm [z] ⊂ F[z] is a subspace since Fm [z] contains the zero polynomial and is
closed under addition and scalar multiplication. In fact, Fm [z] is a finite-dimensional
subspace of F[z] since

Fm [z] = span(1, z, z 2 , . . . , z m ).

At the same time, though, note that F[z] itself is infinite-dimensional. To see this,
assume the contrary, namely that

F[z] = span(p1 (z), . . . , pk (z))

is spanned by a finite set of k polynomials p1 (z), . . . , pk (z). Let

m = max(deg p1 (z), . . . , deg pk (z)). Then z m+1 ∈ F[z], but z m+1 ∈ /
span(p1 (z), . . . , pk (z)).

5.2 Linear independence

We are now going to define the notion of linear independence of a list of vectors.
This concept will be extremely important in the sections that follow, and especially
when we introduce bases and the dimension of a vector space.

Definition 5.2.1. A list of vectors (v1 , . . . , vm ) is called linearly independent if

the only solution for a1 , . . . , am ∈ F to the equation

a1 v1 + · · · + am vm = 0

is a1 = · · · = am = 0. In other words, the zero vector can only trivially be written

as a linear combination of (v1 , . . . , vm ).
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Span and Bases 41

Definition 5.2.2. A list of vectors (v1 , . . . , vm ) is called linearly dependent if it

is not linearly independent. That is, (v1 , . . . , vm ) is linear dependent if there exist
a1 , . . . , am ∈ F, not all zero, such that
a1 v1 + · · · + am vm = 0.
Example 5.2.3. The vectors (e1 , . . . , em ) of Example 5.1.4 are linearly indepen-
dent. To see this, note that the only solution to the vector equation
0 = a1 e1 + · · · + am em = (a1 , . . . , am )
is a1 = · · · = am = 0. Alternatively, we can reinterpret this vector equation as the
homogeneous linear system
⎫
a1 = 0⎪ ⎪
⎪
a2 = 0⎬
.. .. .. ⎪ ,
. . .⎪ ⎪
⎭
am = 0
which clearly has only the trivial solution. (See Section A.3.2 for the appropriate
definitions.)
Example 5.2.4. The vectors v1 = (1, 1, 1), v2 = (0, 1, −1), and v3 = (1, 2, 0) are
linearly dependent. To see this, we need to consider the vector equation
a1 v1 + a2 v2 + a3 v3 = a1 (1, 1, 1) + a2 (0, 1, −1) + a3 (1, 2, 0)
= (a1 + a3 , a1 + a2 + 2a3 , a1 − a2 ) = (0, 0, 0).
Solving for a1 , a2 , and a3 , we see, for example, that (a1 , a2 , a3 ) = (1, 1, −1) is a
non-zero solution. Alternatively, we can reinterpret this vector equation as the
homogeneous linear system
⎫
a1 + a3 = 0 ⎬
a1 + a2 + 2a3 = 0 .
⎭
a1 − a2 =0
Using the techniques of Section A.3, we see that solving this linear system is equiv-
alent to solving the following linear system:

a1 + a3 = 0
.
a2 + a3 = 0
Note that this new linear system clearly has infinitely many solutions. In particular,
the set of all solutions is given by
N = {(a1 , a2 , a3 ) ∈ Fn | a1 = a2 = −a3 } = span((1, 1, −1)).
Example 5.2.5. The vectors (1, z, . . . , z m ) in the vector space Fm [z] are linearly
independent. Requiring that
a0 1 + a1 z + · · · + am z m = 0
means that the polynomial on the left should be zero for all z ∈ F. This is only
possible for a0 = a1 = · · · = am = 0.
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42 Linear Algebra: As an Introduction to Abstract Mathematics

An important consequence of the notion of linear independence is the fact that

any vector in the span of a given list of linearly independent vectors can be uniquely
written as a linear combination.

Lemma 5.2.6. The list of vectors (v1 , . . . , vm ) is linearly independent if and only
if every v ∈ span(v1 , . . . , vm ) can be uniquely written as a linear combination of
(v1 , . . . , vm ).

Proof.
(“=⇒”) Assume that (v1 , . . . , vm ) is a linearly independent list of vectors. Suppose
there are two ways of writing v ∈ span(v1 , . . . , vm ) as a linear combination of the
vi :
v = a1 v1 + · · · am vm ,
v = a1 v1 + · · · am vm .
Subtracting the two equations yields 0 = (a1 − a1 )v1 + · · · + (am − am )vm . Since
(v1 , . . . , vm ) is linearly independent, the only solution to this equation is a1 − a1 =
0, . . . , am − am = 0, or equivalently a1 = a1 , . . . , am = am .
(“⇐=”) Now assume that, for every v ∈ span(v1 , . . . , vm ), there are unique
a1 , . . . , am ∈ F such that
v = a1 v1 + · · · + am vm .
This implies, in particular, that the only way the zero vector v = 0 can be written
as a linear combination of v1 , . . . , vm is with a1 = · · · = am = 0. This shows that
(v1 , . . . , vm ) are linearly independent.

It is clear that if (v1 , . . . , vm ) is a list of linearly independent vectors, then the

list (v1 , . . . , vm−1 ) is also linearly independent.
For the next lemma, we introduce the following notation: If we want to drop
a vector vj from a given list (v1 , . . . , vm ) of vectors, then we indicate the dropped
vector by a hat. I.e., we write
(v1 , . . . , v̂j , . . . , vm ) = (v1 , . . . , vj−1 , vj+1 , . . . , vm ).

Lemma 5.2.7 (Linear Dependence Lemma). If (v1 , . . . , vm ) is linearly depen-

dent and v1 = 0, then there exists an index j ∈ {2, . . . , m} such that the following
two conditions hold.

(1) vj ∈ span(v1 , . . . , vj−1 ).

(2) If vj is removed from (v1 , . . . , vm ), then span(v1 , . . . , v̂j , . . . , vm ) =
span(v1 , . . . , vm ).

Proof. Since (v1 , . . . , vm ) is linearly dependent there exist a1 , . . . , am ∈ F not all

zero such that a1 v1 + · · · + am vm = 0. Since by assumption v1 = 0, not all of
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 43

Span and Bases 43

a2 , . . . , am can be zero. Let j ∈ {2, . . . , m} be the largest index such that aj = 0.

Then we have
a1 aj−1
vj = − v1 − · · · − vj−1 , (5.1)
aj aj
which implies Part 1.
Let v ∈ span(v1 , . . . , vm ). This means, by definition, that there exist scalars
b1 , . . . , bm ∈ F such that
v = b 1 v 1 + · · · + bm v m .
The vector vj that we determined in Part 1 can be replaced by Equation (5.1)
so that v is written as a linear combination of (v1 , . . . , v̂j , . . . , vm ). Hence,
span(v1 , . . . , v̂j , . . . , vm ) = span(v1 , . . . , vm ).

Example 5.2.8. The list (v1 , v2 , v3 ) = ((1, 1), (1, 2), (1, 0)) of vectors spans R2 . To
see this, take any vector v = (x, y) ∈ R2 . We want to show that v can be written as
a linear combination of (1, 1), (1, 2), (1, 0), i.e., that there exist scalars a1 , a2 , a3 ∈ F
such that
v = a1 (1, 1) + a2 (1, 2) + a3 (1, 0),
or equivalently that
(x, y) = (a1 + a2 + a3 , a1 + 2a2 ).
Clearly a1 = y, a2 = 0, and a3 = x − y form a solution for any choice of x, y ∈ R,
and so R2 = span((1, 1), (1, 2), (1, 0)). However, note that
2(1, 1) − (1, 2) − (1, 0) = (0, 0), (5.2)
which shows that the list ((1, 1), (1, 2), (1, 0)) is linearly dependent. The Linear
Dependence Lemma 5.2.7 thus states that one of the vectors can be dropped from
((1, 1), (1, 2), (1, 0)) and that the resulting list of vectors will still span R2 . Indeed,
by Equation (5.2),
v3 = (1, 0) = 2(1, 1) − (1, 2) = 2v1 − v2 ,
and so span((1, 1), (1, 2), (1, 0)) = span((1, 1), (1, 2)).
The next result shows that linearly independent lists of vectors that span a
finite-dimensional vector space are the smallest possible spanning sets.
Theorem 5.2.9. Let V be a finite-dimensional vector space. Suppose that
(v1 , . . . , vm ) is a linearly independent list of vectors that spans V , and let
(w1 , . . . , wn ) be any list that spans V . Then m ≤ n.

Proof. The proof uses the following iterative procedure: start with an arbitrary
list of vectors S0 = (w1 , . . . , wn ) such that V = span(S0 ). At the k th step of the
procedure, we construct a new list Sk by replacing some vector wjk by the vector
vk such that Sk still spans V . Repeating this for all vk then produces a new list Sm
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44 Linear Algebra: As an Introduction to Abstract Mathematics

of length n that contains each of v1 , . . . , vm , which then proves that m ≤ n. Let us

now discuss each step in this procedure in detail.
Step 1. Since (w1 , . . . , wn ) spans V , adding a new vector to the list makes the
new list linearly dependent. Hence (v1 , w1 , . . . , wn ) is linearly dependent. By
Lemma 5.2.7, there exists an index j1 such that
wj1 ∈ span(v1 , w1 , . . . , wj1 −1 ).
Hence S1 = (v1 , w1 , . . . , ŵj1 , . . . , wn ) spans V . In this step, we added the vector v1
and removed the vector wj1 from S0 .
Step k. Suppose that we already added v1 , . . . , vk−1 to our spanning list and
removed the vectors wj1 , . . . , wjk−1 . It is impossible that we have reached the situa-
tion where all of the vectors w1 , . . . , wn have been removed from the spanning list at
this step if k ≤ m because then we would have V = span(v1 , . . . , vk−1 ) which would
allow vk to be expressed as a linear combination of v1 , . . . , vk−1 (in contradiction
with the assumption of linear independence of v1 , . . . , vn ).
Now, call the list reached at this step Sk−1 , and note that V = span(Sk−1 ).
Add the vector vk to Sk−1 . By the same arguments as before, adjoining the extra
vector vk to the spanning list Sk−1 yields a list of linearly dependent vectors. Hence,
by Lemma 5.2.7, there exists an index jk such that Sk−1 with vk added and wjk
removed still spans V . The fact that (v1 , . . . , vk ) is linearly independent ensures
that the vector removed is indeed among the wj . Call the new list Sk , and note
that V = span(Sk ).
The final list Sm is S0 but with each v1 , . . . , vm added and each wj1 , . . . , wjm
removed. Moreover, note that Sm has length n and still spans V . It follows that
m ≤ n.

5.3 Bases

A basis of a finite-dimensional vector space is a spanning list that is also linearly

independent. We will see that all bases for finite-dimensional vector spaces have the
same length. This length will then be called the dimension of our vector space.

Definition 5.3.1. A list of vectors (v1 , . . . , vm ) is a basis for the finite-dimensional

vector space V if (v1 , . . . , vm ) is linearly independent and V = span(v1 , . . . , vm ).

If (v1 , . . . , vm ) forms a basis of V , then, by Lemma 5.2.6, every vector v ∈ V

can be uniquely written as a linear combination of (v1 , . . . , vm ).

Example 5.3.2. (e1 , . . . , en ) is a basis of Fn . There are, of course, other bases.

For example, ((1, 2), (1, 1)) is a basis of F2 . Note that the list ((1, 1)) is also linearly
independent, but it does not span F2 and hence is not a basis.

Example 5.3.3. (1, z, z 2 , . . . , z m ) is a basis of Fm [z].

November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 45

Span and Bases 45

Theorem 5.3.4 (Basis Reduction Theorem). If V = span(v1 , . . . , vm ), then

either (v1 , . . . , vm ) is a basis of V or some vi can be removed to obtain a basis of
V.

Proof. Suppose V = span(v1 , . . . , vm ). We start with the list S = (v1 , . . . , vm ) and

sequentially run through all vectors vk for k = 1, 2, . . . , m to determine whether to
keep or remove them from S:
Step 1. If v1 = 0, then remove v1 from S. Otherwise, leave S unchanged.
Step k. If vk ∈ span(v1 , . . . , vk−1 ), then remove vk from S. Otherwise, leave S
unchanged.
The final list S still spans V since, at each step, a vector was only discarded if it
was already in the span of the previous vectors. The process also ensures that no
vector is in the span of the previous vectors. Hence, by the Linear Dependence
Lemma 5.2.7, the final list S is linearly independent. It follows that S is a basis of
V.

Example 5.3.5. To see how Basis Reduction Theorem 5.3.4 works, consider the
list of vectors

S = ((1, −1, 0), (2, −2, 0), (−1, 0, 1), (0, −1, 1), (0, 1, 0)).

This list does not form a basis for R3 as it is not linearly independent. However,
it is clear that R3 = span(S) since any arbitrary vector v = (x, y, z) ∈ R3 can be
written as the following linear combination over S:

v = (x + z)(1, −1, 0) + 0(2, −2, 0) + (z)(−1, 0, 1) + 0(0, −1, 1) + (x + y + z)(0, 1, 0).

In fact, since the coefficients of (2, −2, 0) and (0, −1, 1) in this linear combination
are both zero, it suggests that they add nothing to the span of the subset

B = ((1, −1, 0), (−1, 0, 1), (0, 1, 0))

of S. Moreover, one can show that B is a basis for R3 , and it is exactly the basis
produced by applying the process from the proof of Theorem 5.3.4 (as you should
be able to verify).

Corollary 5.3.6. Every finite-dimensional vector space has a basis.

Proof. By definition, a finite-dimensional vector space has a spanning list. By the

Basis Reduction Theorem 5.3.4, any spanning list can be reduced to a basis.

Theorem 5.3.7 (Basis Extension Theorem). Every linearly independent list of

vectors in a finite-dimensional vector space V can be extended to a basis of V .
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46 Linear Algebra: As an Introduction to Abstract Mathematics

Proof. Suppose V is finite-dimensional and that (v1 , . . . , vm ) is linearly independent.

Since V is finite-dimensional, there exists a list (w1 , . . . , wn ) of vectors that spans
V . We wish to adjoin some of the wk to (v1 , . . . , vm ) in order to create a basis of
V.
Step 1. If w1 ∈ span(v1 , . . . , vm ), then let S = (v1 , . . . , vm ). Otherwise, S =
(v1 , . . . , vm , w1 ).
Step k. If wk ∈ span(S), then leave S unchanged. Otherwise, adjoin wk to S.
After each step, the list S is still linearly independent since we only adjoined wk if
wk was not in the span of the previous vectors. After n steps, wk ∈ span(S) for
all k = 1, 2, . . . , n. Since (w1 , . . . , wn ) was a spanning list, S spans V so that S is
indeed a basis of V .

Example 5.3.8. Take the two vectors v1 = (1, 1, 0, 0) and v2 = (1, 0, 1, 0) in R4 .

One may easily check that these two vectors are linearly independent, but they do
not form a basis of R4 . We know that (e1 , e2 , e3 , e4 ) spans R4 . (In fact, it is even a
basis.) Following the algorithm outlined in the proof of the Basis Extension Theo-
rem, we see that e1 ∈ span(v1 , v2 ). Hence, we adjoin e1 to obtain S = (v1 , v2 , e1 ).
Note that now

e2 = (0, 1, 0, 0) = 1v1 + 0v2 + (−1)e1

so that e2 ∈ span(v1 , v2 , e1 ), and so we leave S unchanged. Similarly,

e3 = (0, 0, 1, 0) = 0v1 + 1v2 + (−1)e1 ,

and hence e3 ∈ span(v1 , v2 , e1 ), which means that we again leave S unchanged.

Finally, e4 ∈ span(v1 , v2 , e1 ), and so we adjoin it to obtain a basis (v1 , v2 , e1 , e4 ) of
R4 .

5.4 Dimension

We now come to the important definition of the dimension of a finite-dimensional

vector space, which corresponds to the intuitive notion that R2 has dimension 2, R3
has dimension 3, and, more generally, that Rn has dimension n. This is precisely the
length of every basis for each of these vector spaces, which prompts the following
definition.

Definition 5.4.1. We call the length of any basis for V (which is well-defined by
Theorem 5.4.2 below) the dimension of V , and we denote this by dim(V ).

Note that Definition 5.4.1 only makes sense if, in fact, every basis for a given
finite-dimensional vector space has the same length. This is true by the following
theorem.
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Span and Bases 47

Theorem 5.4.2. Let V be a finite-dimensional vector space. Then any two bases
of V have the same length.

Proof. Let (v1 , . . . , vm ) and (w1 , . . . , wn ) be two bases of V . Both span V . By

Theorem 5.2.9, we have m ≤ n since (v1 , . . . , vm ) is linearly independent. By the
same theorem, we also have n ≤ m since (w1 , . . . , wn ) is linearly independent. Hence
n = m, as asserted.

Example 5.4.3. dim(Fn ) = n and dim(Fm [z]) = m + 1. Note that dim(Cn ) = n as

a complex vector space, whereas dim(Cn ) = 2n as a real vector space. This comes
from the fact that we can view C itself as a real vector space of dimension 2 with
basis (1, i).

Theorem 5.4.4. Let V be a finite-dimensional vector space with dim(V ) = n.

Then:

(1) If U ⊂ V is a subspace of V , then dim(U ) ≤ dim(V ).

(2) If V = span(v1 , . . . , vn ), then (v1 , . . . , vn ) is a basis of V .
(3) If (v1 , . . . , vn ) is linearly independent in V , then (v1 , . . . , vn ) is a basis of V .

Point 1 implies, in particular, that every subspace of a finite-dimensional vector

space is finite-dimensional. Points 2 and 3 show that if the dimension of a vector
space is known to be n, then, to check that a list of n vectors is a basis, it is enough
to check whether it spans V (resp. is linearly independent).

Proof. To prove Point 1, first note that U is necessarily finite-dimensional (otherwise

we could find a list of linearly independent vectors longer than dim(V )). Therefore,
by Corollary 5.3.6, U has a basis, (u1 , . . . , um ), say. This list is linearly independent
in both U and V . By the Basis Extension Theorem 5.3.7, we can extend (u1 , . . . , um )
to a basis for V , which is of length n since dim(V ) = n. This implies that m ≤ n,
as desired.
To prove Point 2, suppose that (v1 , . . . , vn ) spans V . Then, by the Basis Re-
duction Theorem 5.3.4, this list can be reduced to a basis. However, every basis of
V has length n; hence, no vector needs to be removed from (v1 , . . . , vn ). It follows
that (v1 , . . . , vn ) is already a basis of V .
Point 3 is proven in a similar fashion. Suppose (v1 , . . . , vn ) is linearly inde-
pendent. By the Basis Extension Theorem 5.3.7, this list can be extended to a
basis. However, every basis has length n; hence, no vector needs to be added to
(v1 , . . . , vn ). It follows that (v1 , . . . , vn ) is already a basis of V .

We conclude this chapter with some additional interesting results on bases and
dimensions. The first one combines the concepts of basis and direct sum.

Theorem 5.4.5. Let U ⊂ V be a subspace of a finite-dimensional vector space V .

Then there exists a subspace W ⊂ V such that V = U ⊕ W .
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 48

48 Linear Algebra: As an Introduction to Abstract Mathematics

Proof. Let (u1 , . . . , um ) be a basis of U . By Theorem 5.4.4(1), we know that

m ≤ dim(V ). Hence, by the Basis Extension Theorem 5.3.7, (u1 , . . . , um ) can
be extended to a basis (u1 , . . . , um , w1 , . . . , wn ) of V . Let W = span(w1 , . . . , wn ).
To show that V = U ⊕ W , we need to show that V = U + W and U ∩ W =
{0}. Since V = span(u1 , . . . , um , w1 , . . . , wn ) where (u1 , . . . , um ) spans U and
(w1 , . . . , wn ) spans W , it is clear that V = U + W .
To show that U ∩ W = {0}, let v ∈ U ∩ W . Then there exist scalars
a1 , . . . , am , b1 , . . . , bn ∈ F such that

v = a 1 u 1 + · · · + a m u m = b 1 w 1 + · · · + bn w n ,

or equivalently that

a1 u1 + · · · + am um − b1 w1 − · · · − bn wn = 0.

Since (u1 , . . . , um , w1 , . . . , wn ) forms a basis of V and hence is linearly independent,

the only solution to this equation is a1 = · · · = am = b1 = · · · = bn = 0. Hence
v = 0, proving that indeed U ∩ W = {0}.

Theorem 5.4.6. If U, W ⊂ V are subspaces of a finite-dimensional vector space,

then

dim(U + W ) = dim(U ) + dim(W ) − dim(U ∩ W ).

Proof. Let (v1 , . . . , vn ) be a basis of U ∩ W . By the Basis Extension Theorem 5.3.7,

there exist (u1 , . . . , uk ) and (w1 , . . . , w ) such that (v1 , . . . , vn , u1 , . . . , uk ) is a basis
of U and (v1 , . . . , vn , w1 , . . . , w ) is a basis of W . It suffices to show that

B = (v1 , . . . , vn , u1 , . . . , uk , w1 , . . . , w )

is a basis of U + W since then

dim(U + W ) = n + k +  = (n + k) + (n + ) − n = dim(U ) + dim(W ) − dim(U ∩ W ).

Clearly span(v1 , . . . , vn , u1 , . . . , uk , w1 , . . . , w ) contains U and W , and hence U +W .

To show that B is a basis, it remains to show that B is linearly independent. Suppose

a1 v1 + · · · + an vn + b1 u1 + · · · + bk uk + c1 w1 + · · · + c w = 0, (5.3)

and let u = a1 v1 + · · · + an vn + b1 u1 + · · · + bk uk ∈ U . Then, by Equation (5.3), we

also have that u = −c1 w1 − · · · − c w ∈ W , which implies that u ∈ U ∩ W . Hence,
there exist scalars a1 , . . . , an ∈ F such that u = a1 v1 + · · · + an vn . Since there is a
unique linear combination of the linearly independent vectors (v1 , . . . , vn , u1 , . . . , uk )
that describes u, we must have b1 = · · · = bk = 0 and a1 = a1 , . . . , an = an .
Since (v1 , . . . , vn , w1 , . . . , w ) is also linearly independent, it further follows that
a1 = · · · = an = c1 = · · · = c = 0. Hence, Equation (5.3) only has the trivial
solution, which implies that B is a basis.
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 49

Span and Bases 49

Exercises for Chapter 5

Calculational Exercises
(1) Show that the vectors v1 = (1, 1, 1), v2 = (1, 2, 3), and v3 = (2, −1, 1) are
linearly independent in R3 . Write v = (1, −2, 5) as a linear combination of v1 ,
v2 , and v3 .
(2) Consider the complex vector space V = C3 and the list (v1 , v2 , v3 ) of vectors in
V , where
v1 = (i, 0, 0), v2 = (i, 1, 0), v3 = (i, i, −1) .
(a) Prove that span(v1 , v2 , v3 ) = V .
(b) Prove or disprove: (v1 , v2 , v3 ) is a basis for V .
(3) Determine the dimension of each of the following subspaces of F4 .
(a) {(x1 , x2 , x3 , x4 ) ∈ F4 | x4 = 0}.
(b) {(x1 , x2 , x3 , x4 ) ∈ F4 | x4 = x1 + x2 }.
(c) {(x1 , x2 , x3 , x4 ) ∈ F4 | x4 = x1 + x2 , x3 = x1 − x2 }.
(d) {(x1 , x2 , x3 , x4 ) ∈ F4 | x4 = x1 + x2 , x3 = x1 − x2 , x3 + x4 = 2x1 }.
(e) {(x1 , x2 , x3 , x4 ) ∈ F4 | x1 = x2 = x3 = x4 }.
(4) Determine the value of λ ∈ R for which each list of vectors is linear dependent.
(a) ((λ, −1, −1), (−1, λ, −1), (−1, −1, λ)) as a subset of R3 .
(b) sin2 (x), cos(2x), λ as a subset of C(R).
(5) Consider the real vector space V = R4 . For each of the following five statements,
provide either a proof or a counterexample.
(a) dim V = 4.
(b) span((1, 1, 0, 0), (0, 1, 1, 0), (0, 0, 1, 1)) = V .
(c) The list ((1, −1, 0, 0), (0, 1, −1, 0), (0, 0, 1, −1), (−1, 0, 0, 1)) is linearly inde-
pendent.
(d) Every list of four vectors v1 , . . . , v4 ∈ V , such that span(v1 , . . . , v4 ) = V , is
linearly independent.
(e) Let v1 and v2 be two linearly independent vectors in V . Then, there exist
vectors u, w ∈ V , such that (v1 , v2 , u, w) is a basis for V .

Proof-Writing Exercises
(1) Let V be a vector space over F and define U = span(u1 , u2 , . . . , un ), where for
each i = 1, . . . , n, ui ∈ V . Now suppose v ∈ U . Prove
U = span(v, u1 , u2 , . . . , un ) .
(2) Let V be a vector space over F, and suppose that the list (v1 , v2 , . . . , vn ) of
vectors spans V , where each vi ∈ V . Prove that the list
(v1 − v2 , v2 − v3 , v3 − v4 , . . . , vn−2 − vn−1 , vn−1 − vn , vn )
also spans V .
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50 Linear Algebra: As an Introduction to Abstract Mathematics

(3) Let V be a vector space over F, and suppose that (v1 , v2 , . . . , vn ) is a linearly
independent list of vectors in V . Given any w ∈ V such that
(v1 + w, v2 + w, . . . , vn + w)
is a linearly dependent list of vectors in V , prove that w ∈ span(v1 , v2 , . . . , vn ).
(4) Let V be a finite-dimensional vector space over F with dim(V ) = n for some
n ∈ Z+ . Prove that there are n one-dimensional subspaces U1 , U2 , . . . , Un of V
such that
V = U1 ⊕ U2 ⊕ · · · ⊕ Un .
(5) Let V be a finite-dimensional vector space over F, and suppose that U is a
subspace of V for which dim(U ) = dim(V ). Prove that U = V .
(6) Let Fm [z] denote the vector space of all polynomials with degree less than or
equal to m ∈ Z+ and having coefficient over F, and suppose that p0 , p1 , . . . , pm ∈
Fm [z] satisfy pj (2) = 0. Prove that (p0 , p1 , . . . , pm ) is a linearly dependent list
of vectors in Fm [z].
(7) Let U and V be five-dimensional subspaces of R9 . Prove that U ∩ V = {0}.
(8) Let V be a finite-dimensional vector space over F, and suppose that
U1 , U2 , . . . , Um are any m subspaces of V . Prove that
dim(U1 + U2 + · · · + Um ) ≤ dim(U1 ) + dim(U2 ) + · · · + dim(Um ).
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 51

Chapter 6

Linear Maps

As discussed in Chapter 1, one of the main goals of Linear Algebra is the charac-
terization of solutions to a system of m linear equations in n unknowns x1 , . . . , xn ,
⎫
a11 x1 + · · · + a1n xn = b1 ⎪
⎬
.. .. ..
. . . ⎪,
⎭
am1 x1 + · · · + amn xn = bm
where each of the coefficients aij and bi is in F. Linear maps and their properties
give us insight into the characteristics of solutions to linear systems.

6.1 Definition and elementary properties

Throughout this chapter, V and W denote vector spaces over F. We are going
to study functions from V into W that have the special properties given in the
following definition.

Definition 6.1.1. A function T : V → W is called linear if

T (u + v) = T (u) + T (v), for all u, v ∈ V , (6.1)
T (av) = aT (v), for all a ∈ F and v ∈ V . (6.2)
The set of all linear maps from V to W is denoted by L(V, W ). We sometimes write
T v for T (v). Linear maps are also called linear transformations.
Moreover, if V = W , then we write L(V, V ) = L(V ) and call T ∈ L(V ) a linear
operator on V .

Example 6.1.2.

(1) The zero map 0 : V → W mapping every element v ∈ V to 0 ∈ W is linear.

(2) The identity map I : V → V defined as Iv = v is linear.
(3) Let T : F[z] → F[z] be the differentiation map defined as T p(z) = p (z).
Then, for two polynomials p(z), q(z) ∈ F[z], we have
T (p(z) + q(z)) = (p(z) + q(z)) = p (z) + q  (z) = T (p(z)) + T (q(z)).

51
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52 Linear Algebra: As an Introduction to Abstract Mathematics

Similarly, for a polynomial p(z) ∈ F[z] and a scalar a ∈ F, we have

T (ap(z)) = (ap(z)) = ap (z) = aT (p(z)).
Hence T is linear.
(4) Let T : R2 → R2 be the map given by T (x, y) = (x − 2y, 3x + y). Then, for
(x, y), (x , y  ) ∈ R2 , we have
T ((x, y) + (x , y  )) = T (x + x , y + y  ) = (x + x − 2(y + y  ), 3(x + x ) + y + y  )
= (x − 2y, 3x + y) + (x − 2y  , 3x + y  ) = T (x, y) + T (x , y  ).
Similarly, for (x, y) ∈ R2 and a ∈ F, we have
T (a(x, y)) = T (ax, ay) = (ax − 2ay, 3ax + ay) = a(x − 2y, 3x + y) = aT (x, y).
Hence T is linear. More generally, any map T : Fn → Fm defined by
T (x1 , . . . , xn ) = (a11 x1 + · · · + a1n xn , . . . , am1 x1 + · · · + amn xn )
with aij ∈ F is linear.
(5) Not all functions are linear! For example, the exponential function f (x) = ex
is not linear since e2x = 2ex in general. Also, the function f : F → F given by
f (x) = x − 1 is not linear since f (x + y) = (x + y) − 1 = (x − 1) + (y − 1) =
f (x) + f (y).
An important result is that linear maps are already completely determined if
their values on basis vectors are specified.
Theorem 6.1.3. Let (v1 , . . . , vn ) be a basis of V and (w1 , . . . , wn ) be an arbitrary
list of vectors in W . Then there exists a unique linear map
T :V →W such that T (vi ) = wi , ∀ i = 1, 2, . . . , n.

Proof. First we verify that there is at most one linear map T with T (vi ) = wi . Take
any v ∈ V . Since (v1 , . . . , vn ) is a basis of V , there are unique scalars a1 , . . . , an ∈ F
such that v = a1 v1 + · · · + an vn . By linearity, we have
T (v) = T (a1 v1 + · · · + an vn ) = a1 T (v1 ) + · · · + an T (vn ) = a1 w1 + · · · + an wn , (6.3)
and hence T (v) is completely determined. To show existence, use Equation (6.3) to
define T . It remains to show that this T is linear and that T (vi ) = wi . These two
conditions are not hard to show and are left to the reader.

The set of linear maps L(V, W ) is itself a vector space. For S, T ∈ L(V, W )
addition is defined as
(S + T )v = Sv + T v, for all v ∈ V .
For a ∈ F and T ∈ L(V, W ), scalar multiplication is defined as
(aT )(v) = a(T v), for all v ∈ V .
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Linear Maps 53

You should verify that S + T and aT are indeed linear maps and that all properties
of a vector space are satisfied.
In addition to the operations of vector addition and scalar multiplication, we
can also define the composition of linear maps. Let V, U, W be vector spaces
over F. Then, for S ∈ L(U, V ) and T ∈ L(V, W ), we define T ◦ S ∈ L(U, W ) by

(T ◦ S)(u) = T (S(u)), for all u ∈ U .

The map T ◦ S is often also called the product of T and S denoted by T S. It has
the following properties:

(1) Associativity: (T1 T2 )T3 = T1 (T2 T3 ), for all T1 ∈ L(V1 , V0 ), T2 ∈ L(V2 , V1 )

and T3 ∈ L(V3 , V2 ).
(2) Identity: T I = IT = T , where T ∈ L(V, W ) and where I in T I is the identity
map in L(V, V ) whereas the I in IT is the identity map in L(W, W ).
(3) Distributivity: (T1 + T2 )S = T1 S + T2 S and T (S1 + S2 ) = T S1 + T S2 , where
S, S1 , S2 ∈ L(U, V ) and T, T1 , T2 ∈ L(V, W ).

Note that the product of linear maps is not always commutative. For example,
if we take T ∈ L(F[z], F[z]) to be the differentiation map T p(z) = p (z) and S ∈
L(F[z], F[z]) to be the map Sp(z) = z 2 p(z), then

(ST )p(z) = z 2 p (z) but (T S)p(z) = z 2 p (z) + 2zp(z).

6.2 Null spaces

Definition 6.2.1. Let T : V → W be a linear map. Then the null space

(a.k.a. kernel) of T is the set of all vectors in V that are mapped to zero by
T . I.e.,

null (T ) = {v ∈ V | T v = 0}.

Example 6.2.2. Let T ∈ L(F[z], F[z]) be the differentiation map T p(z) = p (z).
Then

null (T ) = {p ∈ F[z] | p(z) is constant}.

Example 6.2.3. Consider the linear map T (x, y) = (x−2y, 3x+y) of Example 6.1.2.
To determine the null space, we need to solve T (x, y) = (0, 0), which is equivalent
to the system of linear equations

x − 2y = 0
.
3x + y = 0
We see that the only solution is (x, y) = (0, 0) so that null (T ) = {(0, 0)}.

Proposition 6.2.4. Let T : V → W be a linear map. Then null (T ) is a subspace

of V .
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54 Linear Algebra: As an Introduction to Abstract Mathematics

Proof. We need to show that 0 ∈ null (T ) and that null (T ) is closed under addition
and scalar multiplication. By linearity, we have

T (0) = T (0 + 0) = T (0) + T (0)

so that T (0) = 0. Hence 0 ∈ null (T ). For closure under addition, let u, v ∈ null (T ).
Then

T (u + v) = T (u) + T (v) = 0 + 0 = 0,

and hence u + v ∈ null (T ). Similarly, for closure under scalar multiplication, let
u ∈ null (T ) and a ∈ F. Then

T (au) = aT (u) = a0 = 0,

and so au ∈ null (T ).

Definition 6.2.5. The linear map T : V → W is called injective if, for all u, v ∈ V ,
the condition T u = T v implies that u = v. In other words, different vectors in V
are mapped to different vectors in W .

Proposition 6.2.6. Let T : V → W be a linear map. Then T is injective if and

only if null (T ) = {0}.

Proof.
(“=⇒”) Suppose that T is injective. Since null (T ) is a subspace of V , we know
that 0 ∈ null (T ). Assume that there is another vector v ∈ V that is in the kernel.
Then T (v) = 0 = T (0). Since T is injective, this implies that v = 0, proving that
null (T ) = {0}.
(“⇐=”) Assume that null (T ) = {0}, and let u, v ∈ V be such that T u = T v. Then
0 = T u − T v = T (u − v) so that u − v ∈ null (T ). Hence u − v = 0, or, equivalently,
u = v. This shows that T is indeed injective.

Example 6.2.7.

(1) The differentiation map p(z) → p (z) is not injective since p (z) = q  (z) implies
that p(z) = q(z) + c, where c ∈ F is a constant.
(2) The identity map I : V → V is injective.
(3) The linear map T : F[z] → F[z] given by T (p(z)) = z 2 p(z) is injective since it is
easy to verify that null (T ) = {0}.
(4) The linear map T (x, y) = (x − 2y, 3x + y) is injective since null (T ) = {(0, 0)},
as we calculated in Example 6.2.3.
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Linear Maps 55

6.3 Range

Definition 6.3.1. Let T : V → W be a linear map. The range of T , denoted by

range (T ), is the subset of vectors in W that are in the image of T . I.e.,

range (T ) = {T v | v ∈ V } = {w ∈ W | there exists v ∈ V such that T v = w}.

Example 6.3.2. The range of the differentiation map T : F[z] → F[z] is range (T ) =
F[z] since, for every polynomial q ∈ F[z], there is a p ∈ F[z] such that p = q.

Example 6.3.3. The range of the linear map T (x, y) = (x − 2y, 3x + y) is R2 since,
for any (z1 , z2 ) ∈ R2 , we have T (x, y) = (z1 , z2 ) if (x, y) = 17 (z1 + 2z2 , −3z1 + z2 ).

Proposition 6.3.4. Let T : V → W be a linear map. Then range (T ) is a subspace

of W .

Proof. We need to show that 0 ∈ range (T ) and that range (T ) is closed under
addition and scalar multiplication. We already showed that T 0 = 0 so that 0 ∈
range (T ).
For closure under addition, let w1 , w2 ∈ range (T ). Then there exist v1 , v2 ∈ V
such that T v1 = w1 and T v2 = w2 . Hence

T (v1 + v2 ) = T v1 + T v2 = w1 + w2 ,

and so w1 + w2 ∈ range (T ).
For closure under scalar multiplication, let w ∈ range (T ) and a ∈ F. Then there
exists a v ∈ V such that T v = w. Thus

T (av) = aT v = aw,

and so aw ∈ range (T ).

Definition 6.3.5. A linear map T : V → W is called surjective if range (T ) = W .

A linear map T : V → W is called bijective if T is both injective and surjective.

Example 6.3.6.

(1) The differentiation map T : F[z] → F[z] is surjective since range (T ) = F[z].
However, if we restrict ourselves to polynomials of degree at most m, then the
differentiation map T : Fm [z] → Fm [z] is not surjective since polynomials of
degree m are not in the range of T .
(2) The identity map I : V → V is surjective.
(3) The linear map T : F[z] → F[z] given by T (p(z)) = z 2 p(z) is not surjective
since, for example, there are no linear polynomials in the range of T .
(4) The linear map T (x, y) = (x − 2y, 3x + y) is surjective since range (T ) = R2 , as
we calculated in Example 6.3.3.
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56 Linear Algebra: As an Introduction to Abstract Mathematics

6.4 Homomorphisms

It should be mentioned that linear maps between vector spaces are also called
vector space homomorphisms. Instead of the notation L(V, W ), one often sees
the convention
HomF (V, W ) = {T : V → W | T is linear}.
A homomorphism T : V → W is also often called
• Monomorphism iff T is injective;
• Epimorphism iff T is surjective;
• Isomorphism iff T is bijective;
• Endomorphism iff V = W ;
• Automorphism iff V = W and T is bijective.

6.5 The dimension formula

The next theorem is the key result of this chapter. It relates the dimension of the
kernel and range of a linear map.
Theorem 6.5.1. Let V be a finite-dimensional vector space and T : V → W be a
linear map. Then range (T ) is a finite-dimensional subspace of W and
dim(V ) = dim(null (T )) + dim(range (T )). (6.4)

Proof. Let V be a finite-dimensional vector space and T ∈ L(V, W ). Since null (T )

is a subspace of V , we know that null (T ) has a basis (u1 , . . . , um ). This implies that
dim(null (T )) = m. By the Basis Extension Theorem, it follows that (u1 , . . . , um )
can be extended to a basis of V , say (u1 , . . . , um , v1 , . . . , vn ), so that dim(V ) = m+n.
The theorem will follow by showing that (T v1 , . . . , T vn ) is a basis of range (T )
since this would imply that range (T ) is finite-dimensional and dim(range (T )) = n,
proving Equation (6.4).
Since (u1 , . . . , um , v1 , . . . , vn ) spans V , every v ∈ V can be written as a linear
combination of these vectors; i.e.,
v = a 1 u 1 + · · · + a m u m + b1 v 1 + · · · + bn v n ,
where ai , bj ∈ F. Applying T to v, we obtain
T v = b1 T v 1 + · · · + bn T v n ,
where the terms T ui disappeared since ui ∈ null (T ). This shows that
(T v1 , . . . , T vn ) indeed spans range (T ).
To show that (T v1 , . . . , T vn ) is a basis of range (T ), it remains to show that this
list is linearly independent. Assume that c1 , . . . , cn ∈ F are such that
c1 T v1 + · · · + cn T vn = 0.
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Linear Maps 57

By linearity of T , this implies that

T (c1 v1 + · · · + cn vn ) = 0,

and so c1 v1 + · · · + cn vn ∈ null (T ). Since (u1 , . . . , um ) is a basis of null (T ), there

must exist scalars d1 , . . . , dm ∈ F such that

c 1 v 1 + · · · + c n v n = d1 u1 + · · · + d m um .

However, by the linear independence of (u1 , . . . , um , v1 , . . . , vn ), this implies that

all coefficients c1 = · · · = cn = d1 = · · · = dm = 0. Thus, (T v1 , . . . , T vn ) is linearly
independent, and this completes the proof.

Example 6.5.2. Recall that the linear map T : R2 → R2 defined by T (x, y) =

(x − 2y, 3x + y) has null (T ) = {0} and range (T ) = R2 . It follows that

dim(R2 ) = 2 = 0 + 2 = dim(null (T )) + dim(range (T )).

Corollary 6.5.3. Let T ∈ L(V, W ).

(1) If dim(V ) > dim(W ), then T is not injective.

(2) If dim(V ) < dim(W ), then T is not surjective.

Proof. By Theorem 6.5.1, we have that

dim(null (T )) = dim(V ) − dim(range (T ))
≥ dim(V ) − dim(W ) > 0.
Since T is injective if and only if dim(null (T )) = 0, T cannot be injective.
Similarly,
dim(range (T )) = dim(V ) − dim(null (T ))
≤ dim(V ) < dim(W ),
and so range (T ) cannot be equal to W . Hence, T cannot be surjective.

6.6 The matrix of a linear map

Now we will see that every linear map T ∈ L(V, W ), with V and W finite-
dimensional vector spaces, can be encoded by a matrix, and, vice versa, every
matrix defines such a linear map.
Let V and W be finite-dimensional vector spaces, and let T : V → W be a linear
map. Suppose that (v1 , . . . , vn ) is a basis of V and that (w1 , . . . , wm ) is a basis for
W . We have seen in Theorem 6.1.3 that T is uniquely determined by specifying the
vectors T v1 , . . . , T vn ∈ W . Since (w1 , . . . , wm ) is a basis of W , there exist unique
scalars aij ∈ F such that

T vj = a1j w1 + · · · + amj wm for 1 ≤ j ≤ n. (6.5)

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58 Linear Algebra: As an Introduction to Abstract Mathematics

We can arrange these scalars in an m × n matrix as follows:

⎡ ⎤
a11 . . . a1n
⎢ .. ⎥ .
M (T ) = ⎣ ... . ⎦
am1 . . . amn
Often, this is also written as A = (aij )1≤i≤m,1≤j≤n . As in Section A.1.1, the set of
all m × n matrices with entries in F is denoted by Fm×n .
Remark 6.6.1. It is important to remember that M (T ) not only depends on the
linear map T but also on the choice of the bases (v1 , . . . , vn ) and (w1 , . . . , wm )
for V and W , respectively. The j th column of M (T ) contains the coefficients of
the j th basis vector vj when expanded in terms of the basis (w1 , . . . , wm ), as in
Equation (6.5).

Example 6.6.2. Let T : R2 → R2 be the linear map given by T (x, y) = (ax +

by, cx + dy) for some a, b, c, d ∈ R. Then, with respect to the canonical basis of R2
given by ((1, 0), (0, 1)), the corresponding matrix is
 
ab
M (T ) =
cd
since T (1, 0) = (a, c) gives the first column and T (0, 1) = (b, d) gives the second
column.
More generally, suppose that V = Fn and W = Fm , and denote the standard
basis for V by (e1 , . . . , en ) and the standard basis for W by (f1 , . . . , fm ). Here, ei
(resp. fi ) is the n-tuple (resp. m-tuple) with a 1 in position i and zeroes everywhere
else. Then the matrix M (T ) = (aij ) is given by

aij = (T ej )i ,

where (T ej )i denotes the ith component of the vector T ej .

Example 6.6.3. Let T : R2 → R3 be the linear map defined by T (x, y) = (y, x +

2y, x + y). Then, with respect to the standard basis, we have T (1, 0) = (0, 1, 1) and
T (0, 1) = (1, 2, 1) so that
⎡ ⎤
01
M (T ) = ⎣1 2⎦ .
11

However, if alternatively we take the bases ((1, 2), (0, 1)) for R2 and
((1, 0, 0), (0, 1, 0), (0, 0, 1)) for R3 , then T (1, 2) = (2, 5, 3) and T (0, 1) = (1, 2, 1)
so that
⎡ ⎤
21
⎣
M (T ) = 5 2⎦ .
31
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Linear Maps 59

Example 6.6.4. Let S : R2 → R2 be the linear map S(x, y) = (y, x). With respect
to the basis ((1, 2), (0, 1)) for R2 , we have
S(1, 2) = (2, 1) = 2(1, 2) − 3(0, 1) and S(0, 1) = (1, 0) = 1(1, 2) − 2(0, 1),
and so
 
2 1
M (S) = .
−3 −2
Given vector spaces V and W of dimensions n and m, respectively, and given a
fixed choice of bases, note that there is a one-to-one correspondence between linear
maps in L(V, W ) and matrices in Fm×n . If we start with the linear map T , then
the matrix M (T ) = A = (aij ) is defined via Equation (6.5). Conversely, given the
matrix A = (aij ) ∈ Fm×n , we can define a linear map T : V → W by setting

m
T vj = aij wi .
i=1

Recall that the set of linear maps L(V, W ) is a vector space. Since we have
a one-to-one correspondence between linear maps and matrices, we can also make
the set of matrices Fm×n into a vector space. Given two matrices A = (aij ) and
B = (bij ) in Fm×n and given a scalar α ∈ F, we define the matrix addition and
scalar multiplication component-wise:
A + B = (aij + bij ),
αA = (αaij ).
Next, we show that the composition of linear maps imposes a product on
matrices, also called matrix multiplication. Suppose U, V, W are vector spaces
over F with bases (u1 , . . . , up ), (v1 , . . . , vn ) and (w1 , . . . , wm ), respectively. Let
S : U → V and T : V → W be linear maps. Then the product is a linear map
T ◦ S : U → W.
Each linear map has its corresponding matrix M (T ) = A, M (S) = B and
M (T S) = C. The question is whether C is determined by A and B. We have,
for each j ∈ {1, 2, . . . p}, that
(T ◦ S)uj = T (b1j v1 + · · · + bnj vn ) = b1j T v1 + · · · + bnj T vn
n n
 m

= bkj T vk = bkj aik wi
k=1 k=1 i=1
m

n

= aik bkj wi .
i=1 k=1

Hence, the matrix C = (cij ) is given by


n
cij = aik bkj . (6.6)
k=1
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60 Linear Algebra: As an Introduction to Abstract Mathematics

Equation (6.6) can be used to define the m × p matrix C as the product of an m × n

matrix A and an n × p matrix B, i.e.,
C = AB. (6.7)
Our derivation implies that the correspondence between linear maps and matrices
respects the product structure.
Proposition 6.6.5. Let S : U → V and T : V → W be linear maps. Then
M (T S) = M (T )M (S).
Example 6.6.6. With notation as in Examples 6.6.3 and 6.6.4, you should be able
to verify that
⎡ ⎤ ⎡ ⎤
21   10
2 1
M (T S) = M (T )M (S) = ⎣5 2⎦ = ⎣ 4 1⎦ .
−3 −2
31 31
Given a vector v ∈ V , we can also associate a matrix M (v) to v as follows. Let
(v1 , . . . , vn ) be a basis of V . Then there are unique scalars b1 , . . . , bn such that
v = b1 v 1 + · · · bn v n .
The matrix of v is then defined to be the n × 1 matrix
⎡ ⎤
b1
⎢ .. ⎥
M (v) = ⎣ . ⎦ .
bn
Example 6.6.7. The matrix of a vector x = (x1 , . . . , xn ) ∈ Fn in the standard
basis (e1 , . . . , en ) is the column vector or n × 1 matrix
⎡ ⎤
x1
⎢ .. ⎥
M (x) = ⎣ . ⎦
xn
since x = (x1 , . . . , xn ) = x1 e1 + · · · + xn en .
The next result shows how the notion of a matrix of a linear map T : V → W
and the matrix of a vector v ∈ V fit together.
Proposition 6.6.8. Let T : V → W be a linear map. Then, for every v ∈ V ,
M (T v) = M (T )M (v).

Proof. Let (v1 , . . . , vn ) be a basis of V and (w1 , . . . , wm ) be a basis for W . Suppose

that, with respect to these bases, the matrix of T is M (T ) = (aij )1≤i≤m,1≤j≤n .
This means that, for all j ∈ {1, 2, . . . , n},

m
T vj = akj wk .
k=1
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Linear Maps 61

The vector v ∈ V can be written uniquely as a linear combination of the basis

vectors as
v = b1 v 1 + · · · + bn v n .
Hence,
T v = b1 T v 1 + · · · + b n T v n
m 
m
= b1 ak1 wk + · · · + bn akn wk
k=1 k=1

m
= (ak1 b1 + · · · + akn bn )wk .
k=1
This shows that M (T v) is the m × 1 matrix
⎡ ⎤
a11 b1 + · · · + a1n bn
⎢ .. ⎥
M (T v) = ⎣ . ⎦.
am1 b1 + · · · + amn bn
It is not hard to check, using the formula for matrix multiplication, that M (T )M (v)
gives the same result.

Example 6.6.9. Take the linear map S from Example 6.6.4 with basis ((1, 2), (0, 1))
of R2 . To determine the action on the vector v = (1, 4) ∈ R2 , note that v = (1, 4) =
1(1, 2) + 2(0, 1). Hence,
    
2 1 1 4
M (Sv) = M (S)M (v) = = .
−3 −2 2 −7
This means that
Sv = 4(1, 2) − 7(0, 1) = (4, 1),
which is indeed true.

6.7 Invertibility

Definition 6.7.1. A map T : V → W is called invertible if there exists a map

S : W → V such that
T S = IW and ST = IV ,
where IV : V → V is the identity map on V and IW : W → W is the identity map
on W . We say that S is an inverse of T .
Note that if the map T is invertible, then the inverse is unique. Suppose S and
R are inverses of T . Then
ST = IV = RT,
T S = IW = T R.
Hence,
S = S(T R) = (ST )R = R.
We denote the unique inverse of an invertible map T by T −1 .
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62 Linear Algebra: As an Introduction to Abstract Mathematics

Proposition 6.7.2. A map T : V −→ W is invertible if and only if T is injective

and surjective.

Proof.
(“=⇒”) Suppose T is invertible.
To show that T is injective, suppose that u, v ∈ V are such that T u = T v.
Apply the inverse T −1 of T to obtain T −1 T u = T −1 T v so that u = v. Hence T is
injective.
To show that T is surjective, we need to show that, for every w ∈ W , there is a
v ∈ V such that T v = w. Take v = T −1 w ∈ V . Then T (T −1 w) = w. Hence T is
surjective.
(“⇐=”) Suppose that T is injective and surjective. We need to show that T is
invertible. We define a map S ∈ L(W, V ) as follows. Since T is surjective, we know
that, for every w ∈ W , there exists a v ∈ V such that T v = w. Moreover, since T
is injective, this v is uniquely determined. Hence, define Sw = v.
We claim that S is the inverse of T . Note that, for all w ∈ W , we have T Sw =
T v = w so that T S = IW . Similarly, for all v ∈ V , we have ST v = Sw = v so that
ST = IV .

Now we specialize to invertible linear maps.

Proposition 6.7.3. Let T ∈ L(V, W ) be invertible. Then T −1 ∈ L(W, V ).

Proof. Certainly T −1 : W −→ V so we only need to show that T −1 is a linear map.

For all w1 , w2 ∈ W , we have
T (T −1 w1 + T −1 w2 ) = T (T −1 w1 ) + T (T −1 w2 ) = w1 + w2 ,
and so T −1 w1 + T −1 w2 is the unique vector v in V such that T v = w1 + w2 = w.
Hence,
T −1 w1 + T −1 w2 = v = T −1 w = T −1 (w1 + w2 ).
The proof that T −1 (aw) = aT −1 w is similar. For w ∈ W and a ∈ F, we have
T (aT −1 w) = aT (T −1 w) = aw
so that aT −1 w is the unique vector in V that maps to aw. Hence, T −1 (aw) =
aT −1 w.

Example 6.7.4. The linear map T (x, y) = (x − 2y, 3x + y) is both injective, since
null (T ) = {0}, and surjective, since range (T ) = R2 . Hence, T is invertible by
Proposition 6.7.2.

Definition 6.7.5. Two vector spaces V and W are called isomorphic if there
exists an invertible linear map T ∈ L(V, W ).
Theorem 6.7.6. Two finite-dimensional vector spaces V and W over F are iso-
morphic if and only if dim(V ) = dim(W ).
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Linear Maps 63

Proof.
(“=⇒”) Suppose V and W are isomorphic. Then there exists an invertible linear
map T ∈ L(V, W ). Since T is invertible, it is injective and surjective, and so
null (T ) = {0} and range (T ) = W . Using the Dimension Formula, this implies that
dim(V ) = dim(null (T )) + dim(range (T )) = dim(W ).
(“⇐=”) Suppose that dim(V ) = dim(W ). Let (v1 , . . . , vn ) be a basis of V and
(w1 , . . . , wn ) be a basis of W . Define the linear map T : V → W as
T (a1 v1 + · · · + an vn ) = a1 w1 + · · · + an wn .
Since the scalars a1 , . . . , an ∈ F are arbitrary and (w1 , . . . , wn ) spans W , this means
that range (T ) = W and T is surjective. Also, since (w1 , . . . , wn ) is linearly indepen-
dent, T is injective (since a1 w1 + · · · + an wn = 0 implies that all a1 = · · · = an = 0
and hence only the zero vector is mapped to zero). It follows that T is both injective
and surjective; hence, by Proposition 6.7.2, T is invertible. Therefore, V and W
are isomorphic.

We close this chapter by considering the case of linear maps having equal domain
and codomain. As in Definition 6.1.1, a linear map T ∈ L(V, V ) is called a linear
operator on V . As the following remarkable theorem shows, the notions of injec-
tivity, surjectivity, and invertibility of a linear operator T are the same — as long
as V is finite-dimensional. A similar result does not hold for infinite-dimensional
vector spaces. For example, the set of all polynomials F[z] is an infinite-dimensional
vector space, and we saw that the differentiation map on F[z] is surjective but not
injective.
Theorem 6.7.7. Let V be a finite-dimensional vector space and T : V → V be a
linear map. Then the following are equivalent:
(1) T is invertible.
(2) T is injective.
(3) T is surjective.

Proof. By Proposition 6.7.2, Part 1 implies Part 2.

Next we show that Part 2 implies Part 3. If T is injective, then we know that
null (T ) = {0}. Hence, by the Dimension Formula, we have
dim(range (T )) = dim(V ) − dim(null (T )) = dim(V ).
Since range (T ) ⊂ V is a subspace of V , this implies that range (T ) = V , and so T
is surjective.
Finally, we show that Part 3 implies Part 1. Since T is surjective by assumption,
we have range (T ) = V . Thus, again by using the Dimension Formula,
dim(null (T )) = dim(V ) − dim(range (T )) = 0,
and so null (T ) = {0}, from which T is injective. By Proposition 6.7.2, an injective
and surjective linear map is invertible.
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64 Linear Algebra: As an Introduction to Abstract Mathematics

Exercises for Chapter 6

Calculational Exercises
(1) Define the map T : R2 → R2 by T (x, y) = (x + y, x).
(a) Show that T is linear.
(b) Show that T is surjective.
(c) Find dim (null (T )).
(d) Find the matrix for T with respect to the canonical basis of R2 .
(e) Find the matrix for T with respect to the canonical basis for the domain
R2 and the basis ((1, 1), (1, −1)) for the target space R2 .
(f) Show that the map F : R2 → R2 given by F (x, y) = (x + y, x + 1) is not
linear.
(2) Let T ∈ L(R2 ) be defined by
     
x y x
T = , for all ∈ R2 .
y −x y
(a) Show that T is surjective.
(b) Find dim (null (T )).
(c) Find the matrix for T with respect to the canonical basis of R2 .
(d) Show that the map F : R2 → R2 given by F (x, y) = (x + y, x + 1) is not
linear.
(3) Consider the complex vector spaces C2 and C3 with their canonical bases, and
let S ∈ L(C3 , C2 ) be the linear map defined by S(v) = Av, ∀v ∈ C3 , where A is
the matrix
 
i 1 1
A = M (S) = .
2i −1 −1
Find a basis for null(S).
(4) Give an example of a function f : R2 → R having the property that
∀ a ∈ R, ∀ v ∈ R2 , f (av) = af (v)
but such that f is not a linear map.
(5) Show that the linear map T : F4 → F2 is surjective if
null(T ) = {(x1 , x2 , x3 , x4 ) ∈ F4 | x1 = 5x2 , x3 = 7x4 }.
(6) Show that no linear map T : F5 → F2 can have as its null space the set
{(x1 , x2 , x3 , x4 , x5 ) ∈ F5 | x1 = 3x2 , x3 = x4 = x5 }.
(7) Describe the set of solutions x = (x1 , x2 , x3 ) ∈ R3 of the system of equations
⎫
x1 − x2 + x3 = 0 ⎬
x1 + 2x2 + x3 = 0 .
⎭
2x1 + x2 + 2x3 = 0
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Linear Maps 65

Proof-Writing Exercises
(1) Let V and W be vector spaces over F with V finite-dimensional, and let U be
any subspace of V . Given a linear map S ∈ L(U, W ), prove that there exists a
linear map T ∈ L(V, W ) such that, for every u ∈ U , S(u) = T (u).
(2) Let V and W be vector spaces over F, and suppose that T ∈ L(V, W ) is injective.
Given a linearly independent list (v1 , . . . , vn ) of vectors in V , prove that the list
(T (v1 ), . . . , T (vn )) is linearly independent in W .
(3) Let U , V , and W be vector spaces over F, and suppose that the linear maps
S ∈ L(U, V ) and T ∈ L(V, W ) are both injective. Prove that the composition
map T ◦ S is injective.
(4) Let V and W be vector spaces over F, and suppose that T ∈ L(V, W ) is surjec-
tive. Given a spanning list (v1 , . . . , vn ) for V , prove that
span(T (v1 ), . . . , T (vn )) = W.
(5) Let V and W be vector spaces over F with V finite-dimensional. Given T ∈
L(V, W ), prove that there is a subspace U of V such that
U ∩ null(T ) = {0} and range(T ) = {T (u) | u ∈ U }.
(6) Let V be a vector space over F, and suppose that there is a linear map T ∈
L(V, V ) such that both null(T ) and range(T ) are finite-dimensional subspaces
of V . Prove that V must also be finite-dimensional.
(7) Let U , V , and W be finite-dimensional vector spaces over F with S ∈ L(U, V )
and T ∈ L(V, W ). Prove that
dim(null(T ◦ S)) ≤ dim(null(T )) + dim(null(S)).
(8) Let V be a finite-dimensional vector space over F with S, T ∈ L(V, V ). Prove
that T ◦ S is invertible if and only if both S and T are invertible.
(9) Let V be a finite-dimensional vector space over F with S, T ∈ L(V, V ), and
denote by I the identity map on V . Prove that T ◦ S = I if and only if
S ◦ T = I.
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Chapter 7

Eigenvalues and Eigenvectors

In this chapter we study linear operators T : V → V on a finite-dimensional vector

space V . We are interested in finding bases B for V such that the matrix M (T )
of T with respect to B is upper triangular or, if possible, diagonal. This quest
leads us to the notions of eigenvalues and eigenvectors of a linear operator, which is
one of the most important concepts in Linear Algebra and essential for many of its
applications. For example, quantum mechanics is largely based upon the study of
eigenvalues and eigenvectors of operators on finite- and infinite-dimensional vector
spaces.

7.1 Invariant subspaces

To begin our study, we will look at subspaces U of V that have special properties
under an operator T ∈ L(V, V ).

Definition 7.1.1. Let V be a finite-dimensional vector space over F with dim(V ) ≥

1, and let T ∈ L(V, V ) be an operator in V . Then a subspace U ⊂ V is called an
invariant subspace under T if

Tu ∈ U for all u ∈ U .

That is, U is invariant under T if the image of every vector in U under T remains
within U . We denote this as T U = {T u | u ∈ U } ⊂ U .

Example 7.1.2. The subspaces null (T ) and range (T ) are invariant subspaces
under T . To see this, let u ∈ null (T ). This means that T u = 0. But, since
0 ∈ null (T ), this implies that T u = 0 ∈ null (T ). Similarly, let u ∈ range (T ). Since
T v ∈ range (T ) for all v ∈ V , in particular we have T u ∈ range (T ).

Example 7.1.3. Take the linear operator T : R3 → R3 corresponding to the matrix

⎡ ⎤
120
⎣ 1 1 0⎦
002

67
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68 Linear Algebra: As an Introduction to Abstract Mathematics

with respect to the basis (e1 , e2 , e3 ). Then span(e1 , e2 ) and span(e3 ) are both
invariant subspaces under T .
An important special case of Definition 7.1.1 is that of one-dimensional invariant
subspaces under an operator T ∈ L(V, V ). If dim(U ) = 1, then there exists a non-
zero vector u ∈ V such that
U = {au | a ∈ F}.
In this case, we must have
T u = λu for some λ ∈ F.
This motivates the definitions of eigenvectors and eigenvalues of a linear operator,
as given in the next section.

7.2 Eigenvalues

Definition 7.2.1. Let T ∈ L(V, V ). Then λ ∈ F is an eigenvalue of T if there

exists a non-zero vector u ∈ V such that
T u = λu.
The vector u is called an eigenvector of T corresponding to the eigenvalue λ.
Finding the eigenvalues and eigenvectors of a linear operator is one of the most
important problems in Linear Algebra. We will see later that this so-called “eigen-
information” has many uses and applications. (As an example, quantum mechan-
ics is based upon understanding the eigenvalues and eigenvectors of operators on
specifically defined vector spaces. These vector spaces are often infinite-dimensional,
though, and so we do not consider them further in this book.)
Example 7.2.2.
(1) Let T be the zero map defined by T (v) = 0 for all v ∈ V . Then every vector
u = 0 is an eigenvector of T with eigenvalue 0.
(2) Let I be the identity map defined by I(v) = v for all v ∈ V . Then every vector
u = 0 is an eigenvector of T with eigenvalue 1.
(3) The projection map P : R3 → R3 defined by P (x, y, z) = (x, y, 0) has eigenval-
ues 0 and 1. The vector (0, 0, 1) is an eigenvector with eigenvalue 0, and both
(1, 0, 0) and (0, 1, 0) are eigenvectors with eigenvalue 1.
(4) Take the operator R : F2 → F2 defined by R(x, y) = (−y, x). When F = R, R
◦
can be interpreted as counterclockwise rotation by 90 . From this interpreta-
tion, it is clear that no non-zero vector in R2 is mapped to a scalar multiple of
itself. Hence, for F = R, the operator R has no eigenvalues.
For F = C, though, the situation is significantly different! In this case, λ ∈ C
is an eigenvalue of R if
R(x, y) = (−y, x) = λ(x, y)
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 69

Eigenvalues and Eigenvectors 69

so that y = −λx and x = λy. This implies that y = −λ2 y, i.e., λ2 = −1. The
solutions are hence λ = ±i. One can check that (1, −i) is an eigenvector with
eigenvalue i and that (1, i) is an eigenvector with eigenvalue −i.
Eigenspaces are important examples of invariant subspaces. Let T ∈ L(V, V ),
and let λ ∈ F be an eigenvalue of T . Then
Vλ = {v ∈ V | T v = λv}
is called an eigenspace of T . Equivalently,
Vλ = null (T − λI).
Note that Vλ = {0} since λ is an eigenvalue if and only if there exists a non-zero
vector u ∈ V such that T u = λu. We can reformulate this as follows:
• λ ∈ F is an eigenvalue of T if and only if the operator T − λI is not injective.
Since the notion of injectivity, surjectivity, and invertibility are equivalent for op-
erators on a finite-dimensional vector space, we can equivalently say either of the
following:
• λ ∈ F is an eigenvalue of T if and only if the operator T − λI is not surjective.
• λ ∈ F is an eigenvalue of T if and only if the operator T − λI is not invertible.
We close this section with two fundamental facts about eigenvalues and eigenvectors.
Theorem 7.2.3. Let T ∈ L(V, V ), and let λ1 , . . . , λm ∈ F be m distinct eigenvalues
of T with corresponding non-zero eigenvectors v1 , . . . , vm . Then (v1 , . . . , vm ) is
linearly independent.

Proof. Suppose that (v1 , . . . , vm ) is linearly dependent. Then, by the Linear De-
pendence Lemma, there exists an index k ∈ {2, . . . , m} such that
vk ∈ span(v1 , . . . , vk−1 )
and such that (v1 , . . . , vk−1 ) is linearly independent. This means that there exist
scalars a1 , . . . , ak−1 ∈ F such that
vk = a1 v1 + · · · + ak−1 vk−1 . (7.1)
Applying T to both sides yields, using the fact that vj is an eigenvector with eigen-
value λj ,
λk vk = a1 λ1 v1 + · · · + ak−1 λk−1 vk−1 .
Subtracting λk times Equation (7.1) from this, we obtain
0 = (λk − λ1 )a1 v1 + · · · + (λk − λk−1 )ak−1 vk−1 .
Since (v1 , . . . , vk−1 ) is linearly independent, we must have (λk − λj )aj = 0 for all
j = 1, 2, . . . , k − 1. By assumption, all eigenvalues are distinct, so λk − λj = 0,
which implies that aj = 0 for all j = 1, 2, . . . , k − 1. But then, by Equation (7.1),
vk = 0, which contradicts the assumption that all eigenvectors are non-zero. Hence
(v1 , . . . , vm ) is linearly independent.
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 70

70 Linear Algebra: As an Introduction to Abstract Mathematics

Corollary 7.2.4. Any operator T ∈ L(V, V ) has at most dim(V ) distinct eigenval-
ues.

Proof. Let λ1 , . . . , λm be distinct eigenvalues of T , and let v1 , . . . , vm be corre-

sponding non-zero eigenvectors. By Theorem 7.2.3, the list (v1 , . . . , vm ) is linearly
independent. Hence m ≤ dim(V ).

7.3 Diagonal matrices

Note that if T has n = dim(V ) distinct eigenvalues, then there exists a basis
(v1 , . . . , vn ) of V such that

T vj = λj v j , for all j = 1, 2, . . . , n.

Then any v ∈ V can be written as a linear combination v = a1 v1 + · · · + an vn of

v1 , . . . , vn . Applying T to this, we obtain

T v = λ1 a 1 v 1 + · · · + λn a n v n .

Hence the vector

⎤
⎡
a1
⎢ ⎥
M (v) = ⎣ ... ⎦
an

is mapped to
⎡ ⎤
λ1 a 1
⎢ ⎥
M (T v) = ⎣ ... ⎦ .
λn a n

This means that the matrix M (T ) for T with respect to the basis of eigenvectors
(v1 , . . . , vn ) is diagonal, and so we call T diagonalizable:
⎡ ⎤
λ1 0
⎢ .. ⎥
M (T ) = ⎣ . ⎦.
0 λn

We summarize the results of the above discussion in the following Proposition.

Proposition 7.3.1. If T ∈ L(V, V ) has dim(V ) distinct eigenvalues, then M (T )

is diagonal with respect to some basis of V . Moreover, V has a basis consisting of
eigenvectors of T .
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Eigenvalues and Eigenvectors 71

7.4 Existence of eigenvalues

In what follows, we want to study the question of when eigenvalues exist for a given
operator T . To answer this question, we will use polynomials p(z) ∈ F[z] evaluated
on operators T ∈ L(V, V ) (or, equivalently, on square matrices A ∈ Fn×n ). More
explicitly, given a polynomial

p(z) = a0 + a1 z + · · · + ak z k

we can associate the operator

p(T ) = a0 IV + a1 T + · · · + ak T k .

Note that, for p(z), q(z) ∈ F[z], we have

(pq)(T ) = p(T )q(T ) = q(T )p(T ).

The results of this section will be for complex vector spaces. This is because
the proof of the existence of eigenvalues relies on the Fundamental Theorem of
Algebra from Chapter 3, which makes a statement about the existence of zeroes of
polynomials over C.

Theorem 7.4.1. Let V = {0} be a finite-dimensional vector space over C, and let
T ∈ L(V, V ). Then T has at least one eigenvalue.

Proof. Let v ∈ V with v = 0, and consider the list of vectors

(v, T v, T 2 v, . . . , T n v),

where n = dim(V ). Since the list contains n + 1 vectors, it must be linearly

dependent. Hence, there exist scalars a0 , a1 , . . . , an ∈ C, not all zero, such that

0 = a0 v + a1 T v + a2 T 2 v + · · · + an T n v.

Let m be the largest index for which am = 0. Since v = 0, we must have m > 0
(but possibly m = n). Consider the polynomial

p(z) = a0 + a1 z + · · · + am z m .

By Theorem 3.2.2 (3) it can be factored as

p(z) = c(z − λ1 ) · · · (z − λm ),

where c, λ1 , . . . , λm ∈ C and c = 0.
Therefore,
0 = a0 v + a1 T v + a2 T 2 v + · · · + an T n v = p(T )v
= c(T − λ1 I)(T − λ2 I) · · · (T − λm I)v,
and so at least one of the factors T − λj I must be non-injective. In other words,
this λj is an eigenvalue of T .
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72 Linear Algebra: As an Introduction to Abstract Mathematics

Note that the proof of Theorem 7.4.1 only uses basic concepts about linear
maps, which is the same approach as in a popular textbook called Linear Algebra
Done Right by Sheldon Axler. Many other textbooks rely on significantly more
difficult proofs using concepts like the determinant and characteristic polynomial of
a matrix. At the same time, it is often preferable to use the characteristic polynomial
of a matrix in order to compute eigen-information of an operator; we discuss this
approach in Chapter 8.
Note also that Theorem 7.4.1 does not hold for real vector spaces. E.g., as we
saw in Example 7.2.2, the rotation operator R on R2 has no eigenvalues.

7.5 Upper triangular matrices

As before, let V be a complex vector space.

Let T ∈ L(V, V ) and (v1 , . . . , vn ) be a basis for V . Recall that we can associate
a matrix M (T ) ∈ Cn×n to the operator T . By Theorem 7.4.1, we know that T has
at least one eigenvalue, say λ ∈ C. Let v1 = 0 be an eigenvector corresponding to
λ. By the Basis Extension Theorem, we can extend the list (v1 ) to a basis of V .
Since T v1 = λv1 , the first column of M (T ) with respect to this basis is
⎡ ⎤
λ
⎢0⎥
⎢ ⎥
⎢.⎥.
⎣ .. ⎦
0

What we will show next is that we can find a basis of V such that the matrix M (T )
is upper triangular.

Definition 7.5.1. A matrix A = (aij ) ∈ Fn×n is called upper triangular if

aij = 0 for i > j.

Schematically, an upper triangular matrix has the form

⎡ ⎤
∗ ∗
⎢ .. ⎥
⎣ . ⎦,
0 ∗

where the entries ∗ can be anything and every entry below the main diagonal is
zero.
Here are two reasons why having an operator T represented by an upper trian-
gular matrix can be quite convenient:

(1) the eigenvalues are on the diagonal (as we will see later);
(2) it is easy to solve the corresponding system of linear equations by back substi-
tution (as discussed in Section A.3).
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 73

Eigenvalues and Eigenvectors 73

The next proposition tells us what upper triangularity means in terms of linear
operators and invariant subspaces.

Proposition 7.5.2. Suppose T ∈ L(V, V ) and that (v1 , . . . , vn ) is a basis of V .

Then the following statements are equivalent:

(1) the matrix M (T ) with respect to the basis (v1 , . . . , vn ) is upper triangular;
(2) T vk ∈ span(v1 , . . . , vk ) for each k = 1, 2, . . . , n;
(3) span(v1 , . . . , vk ) is invariant under T for each k = 1, 2, . . . , n.

Proof. The equivalence of Condition 1 and Condition 2 follows easily from the
definition since Condition 2 implies that the matrix elements below the diagonal
are zero.
Clearly, Condition 3 implies Condition 2. To show that Condition 2 implies
Condition 3, note that any vector v ∈ span(v1 , . . . , vk ) can be written as v =
a1 v1 + · · · + ak vk . Applying T , we obtain

T v = a1 T v1 + · · · + ak T vk ∈ span(v1 , . . . , vk )

since, by Condition 2, each T vj ∈ span(v1 , . . . , vj ) ⊂ span(v1 , . . . , vk ) for j =

1, 2, . . . , k and since the span is a subspace of V .

The next theorem shows that complex vector spaces indeed have some basis for
which the matrix of a given operator is upper triangular.

Theorem 7.5.3. Let V be a finite-dimensional vector space over C and T ∈

L(V, V ). Then there exists a basis B for V such that M (T ) is upper triangular
with respect to B.

Proof. We proceed by induction on dim(V ). If dim(V ) = 1, then there is nothing

to prove.
Hence, assume that dim(V ) = n > 1 and that we have proven the result of the
theorem for all T ∈ L(W, W ), where W is a complex vector space with dim(W ) ≤
n − 1. By Theorem 7.4.1, T has at least one eigenvalue λ. Define

U = range (T − λI),

and note that

(1) dim(U ) < dim(V ) = n since λ is an eigenvalue of T and hence T − λI is not

surjective;
(2) U is an invariant subspace of T since, for all u ∈ U , we have

T u = (T − λI)u + λu,

which implies that T u ∈ U since (T − λI)u ∈ range (T − λI) = U and λu ∈ U .

November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 74

74 Linear Algebra: As an Introduction to Abstract Mathematics

Therefore, we may consider the operator S = T |U , which is the operator obtained

by restricting T to the subspace U . By the induction hypothesis, there exists a
basis (u1 , . . . , um ) of U with m ≤ n − 1 such that M (S) is upper triangular with
respect to (u1 , . . . , um ). This means that
T uj = Suj ∈ span(u1 , . . . , uj ), for all j = 1, 2, . . . , m.
Extend this to a basis (u1 , . . . , um , v1 , . . . , vk ) of V . Then
T vj = (T − λI)vj + λvj , for all j = 1, 2, . . . , k.
Since (T − λI)vj ∈ range (T − λI) = U = span(u1 , . . . , um ), we have that
T vj ∈ span(u1 , . . . , um , v1 , . . . , vj ), for all j = 1, 2, . . . , k.
Hence, T is upper triangular with respect to the basis (u1 , . . . , um , v1 , . . . , vk ).

The following are two very important facts about upper triangular matrices and
their associated operators.
Proposition 7.5.4. Suppose T ∈ L(V, V ) is a linear operator and that M (T ) is
upper triangular with respect to some basis of V . Then
(1) T is invertible if and only if all entries on the diagonal of M (T ) are non-zero.
(2) The eigenvalues of T are precisely the diagonal elements of M (T ).

Proof of Proposition 7.5.4, Part 1. Let (v1 , . . . , vn ) be a basis of V such that

⎡ ⎤
λ1 ∗
⎢ ⎥
M (T ) = ⎣ . . . ⎦
0 λn
is upper triangular. The claim is that T is invertible if and only if λk = 0 for all
k = 1, 2, . . . , n. Equivalently, this can be reformulated as follows: T is not invertible
if and only if λk = 0 for at least one k ∈ {1, 2, . . . , n}.
Suppose λk = 0. We will show that this implies the non-invertibility of T . If
k = 1, this is obvious since then T v1 = 0, which implies that v1 ∈ null (T ) so that
T is not injective and hence not invertible. So assume that k > 1. Then
T vj ∈ span(v1 , . . . , vk−1 ), for all j ≤ k,
since T is upper triangular and λk = 0. Hence, we may define S = T |span(v1 ,...,vk )
to be the restriction of T to the subspace span(v1 , . . . , vk ) so that
S : span(v1 , . . . , vk ) → span(v1 , . . . , vk−1 ).
The linear map S is not injective since the dimension of the domain is larger than
the dimension of its codomain, i.e.,
dim(span(v1 , . . . , vk )) = k > k − 1 = dim(span(v1 , . . . , vk−1 )).
Hence, there exists a vector 0 = v ∈ span(v1 , . . . , vk ) such that Sv = T v = 0. This
implies that T is also not injective and therefore not invertible.
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 75

Eigenvalues and Eigenvectors 75

Now suppose that T is not invertible. We need to show that at least one λk = 0.
The linear map T not being invertible implies that T is not injective. Hence, there
exists a vector 0 = v ∈ V such that T v = 0, and we can write
v = a1 v1 + · · · + ak vk
for some k, where ak = 0. Then
0 = T v = (a1 T v1 + · · · + ak−1 T vk−1 ) + ak T vk . (7.2)
Since T is upper triangular with respect to the basis (v1 , . . . , vn ), we know that
a1 T v1 + · · · + ak−1 T vk−1 ∈ span(v1 , . . . , vk−1 ). Hence, Equation (7.2) shows that
T vk ∈ span(v1 , . . . , vk−1 ), which implies that λk = 0.

Proof of Proposition 7.5.4, Part 2. Recall that λ ∈ F is an eigenvalue of T if and

only if the operator T − λI is not invertible. Let (v1 , . . . , vn ) be a basis such that
M (T ) is upper triangular. Then
⎡ ⎤
λ1 − λ ∗
⎢ .. ⎥
M (T − λI) = ⎣ . ⎦.
0 λn − λ
Hence, by Proposition 7.5.4(1), T − λI is not invertible if and only if λ = λk for
some k.

7.6 Diagonalization of 2 × 2 matrices and applications

 
ab
Let A = ∈ F2×2 , and recall that we can define a linear operator T ∈ L(F2 )
cd
 
v
on F2 by setting T (v) = Av for each v = 1 ∈ F2 .
v2
One method for finding the eigen-information of T is to analyze the solutions
of the matrix equation Av = λv for λ ∈ F and v ∈ F2 . In particular, using
the definition of eigenvector and eigenvalue, v is an eigenvector associated to the
eigenvalue λ if and only if Av = T (v) = λv.
A simpler method involves the equivalent matrix equation (A − λI)v = 0, where
I denotes the identity map on F2 . In particular, 0 = v ∈ F2 is an eigenvector for T
associated to the eigenvalue λ ∈ F if and only if the system of linear equations

(a − λ)v1 + bv2 = 0
(7.3)
cv1 + (d − λ)v2 = 0
has a non-trivial solution. Moreover, System (7.3) has a non-trivial solution if and
only if the polynomial p(λ) = (a−λ)(d−λ)−bc evaluates to zero. (See Proof-writing
Exercise 12 on page 79.)
In other words, the eigenvalues for T are exactly the λ ∈ F for which p(λ) = 0,
and the eigenvectors
  for T associated to an eigenvalue λ are exactly the non-zero
v1
vectors v = ∈ F that satisfy System (7.3).
2
v2
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 76

76 Linear Algebra: As an Introduction to Abstract Mathematics

 
−2 −1
Example 7.6.1. Let A = . Then p(λ) = (−2 − λ)(2 − λ) − (−1)(5) =
5 2
λ2 + 1, which is equal to zero exactly when λ = ±i. Moreover, if λ = i, then the
System (7.3) becomes

(−2 − i)v1 − v2 = 0
,
5v1 + (2 − i)v2 = 0
 
v
which is satisfied by any vector v = 1 ∈ C2 such that v2 = (−2 − i)v1 . Similarly,
v2
if λ = −i, then the System (7.3) becomes

(−2 + i)v1 − v2 = 0
,
5v1 + (2 + i)v2 = 0
 
v
which is satisfied by any vector v = 1 ∈ C2 such that v2 = (−2 + i)v1 .
v
 2
−2 −1
It follows that, given A = , the linear operator on C2 defined by T (v) =
5 2
Av has eigenvalues λ = ±i, with associated eigenvectors as described above.
Example 7.6.2. Take the rotation Rθ : R2 → R2 by an angle θ ∈ [0, 2π) given by
the matrix
 
cos θ − sin θ
Rθ = .
sin θ cos θ
Then we obtain the eigenvalues by solving the polynomial equation
p(λ) = (cos θ − λ)2 + sin2 θ
= λ2 − 2λ cos θ + 1 = 0,
where we have used the fact that sin2 θ + cos2 θ = 1. Solving for λ in C, we obtain

λ = cos θ ± cos2 θ − 1 = cos θ ± − sin2 θ = cos θ ± i sin θ = e±iθ .

We see that, as an operator over the real vector space R2 , the operator Rθ only
 has
x1
eigenvalues when θ = 0 or θ = π. However, if we interpret the vector ∈ R2
x2
as a complex number z = x1 + ix2 , then z is an eigenvector if Rθ : C → C maps
z → λz = e±iθ z. Moreover, from Section 2.3.2, we know that multiplication by e±iθ
corresponds to rotation by the angle ±θ.

Exercises for Chapter 7

Calculational Exercises
(1) Let T ∈ L(F2 , F2 ) be defined by
T (u, v) = (v, u)
for every u, v ∈ F. Compute the eigenvalues and associated eigenvectors for T .
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 77

Eigenvalues and Eigenvectors 77

(2) Let T ∈ L(F3 , F3 ) be defined by

T (u, v, w) = (2v, 0, 5w)
for every u, v, w ∈ F. Compute the eigenvalues and associated eigenvectors for
T.
(3) Let n ∈ Z+ be a positive integer and T ∈ L(Fn , Fn ) be defined by
T (x1 , . . . , xn ) = (x1 + · · · + xn , . . . , x1 + · · · + xn )
for every x1 , . . . , xn ∈ F. Compute the eigenvalues and associated eigenvectors
for T .
(4) Find eigenvalues and associated eigenvectors for the linear operators on F2
defined by each given 2 × 2 matrix.
     
3 0 10 −9 03
(a) (b) (c)
8 −1 4 −2 40
     
−2 −7 00 10
(d) (e) (f)
1 2 00 01
 
ab
Hint: Use the fact that, given a matrix A = ∈ F2×2 , λ ∈ F is an
cd
eigenvalue for A if and only if (a − λ)(d − λ) − bc = 0.
(5) For each matrix A below, find eigenvalues for the induced linear operator T on
Fn without performing any calculations. Then describe the eigenvectors v ∈ Fn
associated to each eigenvalue λ by looking at solutions to the matrix equation
(A − λI)v = 0, where I denotes the identity map on Fn .
⎡ ⎤ ⎡ ⎤
− 13 0 0 0 1 3 7 11
 
−1 6 ⎢ 0 −1 0 0⎥ ⎢0 1 3 8⎥
(a) , (b) ⎢ 3
⎣ 0 0 1 0 ⎦,
⎥ (c) ⎢ 2
⎣0 0 0 4⎦
⎥
05
0 0 0 12 0 00 2

(6) For each matrix A below, describe the invariant subspaces for the induced linear
operator T on F2 that maps each v ∈ F2 to T (v) = Av.
       
4 −1 01 23 10
(a) , (b) , (c) , (d)
2 1 −1 0 02 00

(7) Let T ∈ L(R2 ) be defined by

     
x y x
T = , for all ∈ R2 .
y x+y y
Define two real numbers λ+ and λ− as follows:
√ √
1+ 5 1− 5
λ+ = , λ− = .
2 2
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78 Linear Algebra: As an Introduction to Abstract Mathematics

(a) Find the matrix of T with respect to the canonical basis for R2 (both as
the domain and the codomain of T ; call this matrix A).
(b) Verify that λ+ and λ− are eigenvalues of T by showing that v+ and v− are
eigenvectors, where
   
1 1
v+ = , v− = .
λ+ λ−

(c) Show that (v+ , v− ) is a basis of R2 .

(d) Find the matrix of T with respect to the basis (v+ , v− ) for R2 (both as the
domain and the codomain of T ; call this matrix B).

Proof-Writing Exercises

(1) Let V be a finite-dimensional vector space over F with T ∈ L(V, V ), and let
U1 , . . . , Um be subspaces of V that are invariant under T . Prove that U1 + · · · +
Um must then also be an invariant subspace of V under T .
(2) Let V be a finite-dimensional vector space over F with T ∈ L(V, V ), and suppose
that U1 and U2 are subspaces of V that are invariant under T . Prove that U1 ∩U2
is also an invariant subspace of V under T .
(3) Let V be a finite-dimensional vector space over F with T ∈ L(V, V ) invertible
and λ ∈ F \ {0}. Prove that λ is an eigenvalue for T if and only if λ−1 is an
eigenvalue for T −1 .
(4) Let V be a finite-dimensional vector space over F, and suppose that T ∈ L(V, V )
has the property that every v ∈ V is an eigenvector for T . Prove that T must
then be a scalar multiple of the identity function on V .
(5) Let V be a finite-dimensional vector space over F, and let S, T ∈ L(V ) be linear
operators on V with S invertible. Given any polynomial p(z) ∈ F[z], prove that

p(S ◦ T ◦ S −1 ) = S ◦ p(T ) ◦ S −1 .

(6) Let V be a finite-dimensional vector space over C, T ∈ L(V ) be a linear operator

on V , and p(z) ∈ C[z] be a polynomial. Prove that λ ∈ C is an eigenvalue of
the linear operator p(T ) ∈ L(V ) if and only if T has an eigenvalue μ ∈ C such
that p(μ) = λ.
(7) Let V be a finite-dimensional vector space over C with T ∈ L(V ) a linear
operator on V . Prove that, for each k = 1, . . . , dim(V ), there is an invariant
subspace Uk of V under T such that dim(Uk ) = k.
(8) Prove or give a counterexample to the following claim:

Claim. Let V be a finite-dimensional vector space over F, and let T ∈ L(V )

be a linear operator on V . If the matrix for T with respect to some basis on V
has all zeroes on the diagonal, then T is not invertible.

(9) Prove or give a counterexample to the following claim:

November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 79

Eigenvalues and Eigenvectors 79

Claim. Let V be a finite-dimensional vector space over F, and let T ∈ L(V )

be a linear operator on V . If the matrix for T with respect to some basis on V
has all non-zero elements on the diagonal, then T is invertible.
(10) Let V be a finite-dimensional vector space over F, and let S, T ∈ L(V ) be linear
operators on V . Suppose that T has dim(V ) distinct eigenvalues and that,
given any eigenvector v ∈ V for T associated to some eigenvalue λ ∈ F, v is also
an eigenvector for S associated to some (possibly distinct) eigenvalue μ ∈ F.
Prove that T ◦ S = S ◦ T .
(11) Let V be a finite-dimensional vector space over F, and suppose that the linear
operator P ∈ L(V ) has the property that P 2 = P . Prove that V = null(P ) ⊕
range(P ).
(12) (a) Let a, b, c, d ∈ F and consider the system of equations given by
ax1 + bx2 = 0 (7.4)
cx1 + dx2 = 0. (7.5)
Note that x1 = x2 = 0 is a solution for any choice of a, b, c, and d. Prove
that this system of equations has a non-trivial solution if and only if ad −
bc = 0.  
ab
(b) Let A = ∈ F2×2 , and recall that we can define a linear operator
cd
 
v
T ∈ L(F2 ) on F2 by setting T (v) = Av for each v = 1 ∈ F2 .
v2
Show that the eigenvalues for T are exactly the λ ∈ F for which p(λ) = 0,
where p(z) = (a − z)(d − z) − bc.

Hint: Write the eigenvalue equation Av = λv as (A − λI)v = 0 and use

the first part.
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 81

Chapter 8

Permutations and the Determinant of a

Square Matrix

This chapter is devoted to an important quantity, called the determinant, which

can be associated with any square matrix. In order to define the determinant, we
will first need to define permutations.

8.1 Permutations

The study of permutations is a topic of independent interest with applications in

many branches of mathematics such as Combinatorics and Probability Theory.

8.1.1 Definition of permutations

Given a positive integer n ∈ Z+ , a permutation of an (ordered) list of n distinct

objects is any reordering of this list. A permutation refers to the reordering itself and
the nature of the objects involved is irrelevant. E.g., we can imagine interchanging
the second and third items in a list of five distinct objects — no matter what those
items are — and this defines a particular permutation that can be applied to any
list of five objects.
Since the nature of the objects being rearranged (i.e., permuted) is immaterial,
it is common to use the integers 1, 2, . . . , n as the standard list of n objects. Alter-
natively, one can also think of these integers as labels for the items in any list of n
distinct elements. This gives rise to the following definition.

Definition 8.1.1. A permutation π of n elements is a one-to-one and onto func-

tion having the set {1, 2, . . . , n} as both its domain and codomain.

In other words, a permutation is a function π : {1, 2, . . . , n} −→ {1, 2, . . . , n} such

that, for every integer i ∈ {1, . . . , n}, there exists exactly one integer j ∈ {1, . . . , n}
for which π(j) = i. We will usually denote permutations by Greek letters such as π
(pi), σ (sigma), and τ (tau). The set of all permutations of n elements is denoted
by Sn and is typically referred to as the symmetric group of degree n. (In
particular, the set Sn forms a group under function composition as discussed in
Section 8.1.2.)

81
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82 Linear Algebra: As an Introduction to Abstract Mathematics

Given a permutation π ∈ Sn , there are several common notations used for

specifying how π permutes the integers 1, 2, . . . , n.

Definition 8.1.2. Given a permutation π ∈ Sn , denote πi = π(i) for each i ∈

{1, . . . , n}. Then the two-line notation for π is given by the 2 × n matrix
 
1 2 ··· n
π= .
π1 π2 · · · πn

In other words, given a permutation π ∈ Sn and an integer i ∈ {1, . . . , n}, we are

denoting the image of i under π by πi instead of using the more conventional function
notation π(i). Then, in order to specify the image of each integer i ∈ {1, . . . , n}
under π, we list these images in a two-line array as shown above. (One can also use
the so-called one-line notation for π, which is given by simply ignoring the top
row and writing π = π1 π2 · · · πn .)
It is important to note that, although we represent permutations as 2 × n ma-
trices, you should not think of permutations as linear transformations from an
n-dimensional vector space into a two-dimensional vector space. Moreover, the
composition operation on permutation that we describe in Section 8.1.2 below does
not correspond to matrix multiplication. The use of matrix notation in denoting
permutations is merely a matter of convenience.

Example 8.1.3. Suppose that we have a set of five distinct objects and that we
wish to describe the permutation that places the first item into the second position,
the second item into the fifth position, the third item into the first position, the
fourth item into the third position, and the fifth item into the fourth position. Then,
using the notation developed above, we have the permutation π ∈ S5 such that

π1 = π(1) = 3, π2 = π(2) = 1, π3 = π(3) = 4, π4 = π(4) = 5, π5 = π(5) = 2.

In two-line notation, we would write π as

 
12345
π= .
31452

It is relatively straightforward to find the number of permutations of n elements,

i.e., to determine cardinality of the set Sn . To construct an arbitrary permutation
of n elements, we can proceed as follows: First, choose an integer i ∈ {1, . . . , n} to
put into the first position. Clearly, we have exactly n possible choices. Next, choose
the element to go in the second position. Since we have already chosen one element
from the set {1, . . . , n}, there are now exactly n − 1 remaining choices. Proceeding
in this way, we have n − 2 choices when choosing the third element from the set
{1, . . . , n}, then n − 3 choices when choosing the fourth element, and so on until
we are left with exactly one choice for the nth element. This proves the following
theorem.
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 83

Permutations and Determinants 83

Theorem 8.1.4. The number of elements in the symmetric group Sn is given by

|Sn | = n · (n − 1) · (n − 2) · · · · · 3 · 2 · 1 = n!

We conclude this section with several examples, including a complete description

of the one permutation in S1 , the two permutations in S2 , and the six permutations
in S3 . If you are patient you can list the 4! = 24 permutations in S4 as further
practice.

Example 8.1.5.

(1) Given any positive integer n ∈ Z+ , the identity function id : {1, . . . , n} −→

{1, . . . , n} given by id(i) = i, ∀ i ∈ {1, . . . , n}, is a permutation in Sn . This
function can be thought of as the trivial reordering that does not change the
order at all, and so we call it the trivial or identity permutation.
(2) If n = 1, then, by Theorem 8.1.4, |Sn | = 1! = 1. Thus, S1 contains only the
identity permutation.
(3) If n = 2, then, by Theorem 8.1.4, |Sn | = 2! = 2 · 1 = 2. Thus, there is only one
non-trivial permutation π in S2 , namely the transformation interchanging the
first and the second elements in a list. As a function, π(1) = 2 and π(2) = 1,
and, in two-line notation,
   
1 2 12
π= = .
π1 π2 21

(4) If n = 3, then, by Theorem 8.1.4, |Sn | = 3! = 3 · 2 · 1 = 6. Thus, there are five

non-trivial permutations in S3 . Using two-line notation, we have that
           
123 123 123 123 123 123
S3 = , , , , , .
123 132 213 231 312 321

Keep in mind the fact that each element in S3 is simultaneously both a function
and a reordering operation. E.g., the permutation
   
1 2 3 123
π= =
π 1 π2 π3 231

can be read as defining the reordering that, with respect to the original list,
places the second element in the first position, the third element in the second
position, and the first element in the third position. This permutation could
equally well have been identified by describing its action on the (ordered) list
of letters a, b, c. In other words,
   
123 abc
= ,
231 bca

regardless of what the letters a, b, c might happen to represent.

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84 Linear Algebra: As an Introduction to Abstract Mathematics

8.1.2 Composition of permutations

Let n ∈ Z+ be a positive integer and π, σ ∈ Sn be permutations. Then, since π
and σ are both functions from the set {1, . . . , n} to itself, we can compose them to
obtain a new function π ◦ σ (read as “pi after sigma”) that takes on the values
(π ◦ σ)(1) = π(σ(1)), (π ◦ σ)(2) = π(σ(2)), ... (π ◦ σ)(n) = π(σ(n)).
In two-line notation, we can write π ◦ σ as
     
1 2 ··· n 1 2 ··· n 1 2 ··· n
or or .
π(σ(1)) π(σ(2)) · · · π(σ(n)) πσ(1) πσ(2) · · · πσ(n) πσ1 πσ2 · · · πσn
Example 8.1.6. From S3 , suppose that we have the permutations π and σ given
by
π(1) = 2, π(2) = 3, π(3) = 1 and σ(1) = 1, σ(2) = 3, σ(3) = 2.
Then note that
(π ◦ σ)(1) = π(σ(1)) = π(1) = 2,

(π ◦ σ)(2) = π(σ(2)) = π(3) = 1,

(π ◦ σ)(3) = π(σ(3)) = π(2) = 3.

In other words,
       
123 123 1 2 3 123
◦ = = .
231 132 π(1) π(3) π(2) 213
Similar computations (which you should check for your own practice) yield compo-
sitions such as
       
123 123 1 2 3 123
◦ = = ,
132 231 σ(2) σ(3) σ(1) 321
       
123 123 1 2 3 123
◦ = = ,
231 123 σ(1) σ(2) σ(3) 231
and
       
123 123 1 2 3 123
◦ = = .
123 231 id(2) id(3) id(1) 231
In particular, note that the result of each composition above is a permutation, that
composition is not a commutative operation, and that composition with id leaves
a permutation unchanged. Moreover, since each permutation π is a bijection, one
can always construct an inverse permutation π −1 such that π ◦ π −1 = id. E.g.,
       
123 123 1 2 3 123
◦ = = .
231 312 π(3) π(1) π(2) 123
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Permutations and Determinants 85

We summarize the basic properties of composition on the symmetric group in

the following theorem.
Theorem 8.1.7. Let n ∈ Z+ be a positive integer. Then the set Sn has the following
properties.

(1) Given any two permutations π, σ ∈ Sn , the composition π ◦ σ ∈ Sn .

(2) (Associativity of Composition) Given any three permutations π, σ, τ ∈ Sn ,
(π ◦ σ) ◦ τ = π ◦ (σ ◦ τ ).
(3) (Identity Element for Composition) Given any permutation π ∈ Sn ,
π ◦ id = id ◦ π = π.
(4) (Inverse Elements for Composition) Given any permutation π ∈ Sn , there exists
a unique permutation π −1 ∈ Sn such that
π ◦ π −1 = π −1 ◦ π = id.

In other words, the set Sn forms a group under composition.

Note that the composition of permutations is not commutative in general. In
particular, for n ≥ 3, it is easy to find permutations π and σ such that π ◦ σ = σ ◦ π.

8.1.3 Inversions and the sign of a permutation

Let n ∈ Z+ be a positive integer. Then, given a permutation π ∈ Sn , it is natural
to ask how “out of order” π is in comparison to the identity permutation. One
method for quantifying this is to count the number of so-called inversion pairs in
π as these describe pairs of objects that are out of order relative to each other.
Definition 8.1.8. Let π ∈ Sn be a permutation. Then an inversion pair (i, j) of
π is a pair of positive integers i, j ∈ {1, . . . , n} for which i < j but π(i) > π(j).
Note, in particular, that the components of an inversion pair are the positions
where the two “out of order” elements occur. An inversion pair is often referred to
simply as an inversion.
Example 8.1.9. We classify all inversion pairs for elements in S3 :
 
123
• id = has no inversion pairs since no elements are “out of order”.
123
 
123
• π= has the single inversion pair (2, 3) since π(2) = 3 > 2 = π(3).
132
 
123
• π= has the single inversion pair (1, 2) since π(1) = 2 > 1 = π(2).
213
 
123
• π = has the two inversion pairs (1, 3) and (2, 3) since we have that
231
both π(1) = 2 > 1 = π(3) and π(2) = 3 > 1 = π(3).
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86 Linear Algebra: As an Introduction to Abstract Mathematics

 
123
• π = has the two inversion pairs (1, 2) and (1, 3) since we have that
312
both π(1) =3 > 1 = π(2) and π(1) = 3 > 2 = π(3).
123
• π= has the three inversion pairs (1, 2), (1, 3), and (2, 3), as you can
321
check.

Example 8.1.10. As another example, for each i, j ∈ {1, . . . , n} with i < j, we

define the transposition tij ∈ Sn by
 
1 2 ··· i ··· j ··· n
tij = .
1 2 ··· j ··· i ··· n
In other words, tij is the permutation that interchanges i and j while leaving all
other integers fixed in place. One can check that the number of inversions in tij is
exactly 2(j − i) − 1. Thus, the number of inversions in a transposition is always
odd. E.g.,
 
1234
t13 =
3214
has inversion pairs (1, 2), (1, 3), and (2, 3).
For our purposes in this text, the significance of inversion pairs is mainly due to
the following fundamental definition.
Definition 8.1.11. Let π ∈ Sn be a permutation. Then the sign of π, denoted by
sign(π), is defined by
+1, if the number of inversions in π is even
sign(π) = (−1)# of inversion pairs in π = .
−1, if the number of inversions in π is odd
We call π an even permutation if sign(π) = +1, whereas π is called an odd
permutation if sign(π) = −1.
Example 8.1.12. Based upon the computations in Example 8.1.9 above, we have
that
     
123 123 123
sign = sign = sign = +1
123 231 312
and that
     
123 123 123
sign = sign = sign = −1.
132 213 321
Similarly, from Example 8.1.10, it follows that any transposition is an odd permu-
tation.
We summarize some of the most basic properties of the sign operation on the
symmetric group in the following theorem.
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Permutations and Determinants 87

Theorem 8.1.13. Let n ∈ Z+ be a positive integer. Then,

(1) for id ∈ Sn the identity permutation,

sign(id) = +1.
(2) for tij ∈ Sn a transposition with i, j ∈ {1, . . . , n} and i < j,
sign(tij ) = −1. (8.1)
(3) given any two permutations π, σ ∈ Sn ,
sign(π ◦ σ) = sign(π) sign(σ), (8.2)
−1
sign(π ) = sign(π). (8.3)
(4) the number of even permutations in Sn , when n ≥ 2, is exactly 12 n!.
(5) the set An of even permutations in Sn forms a group under composition.

8.2 Determinants

Now that we have developed the appropriate background material on permutations,

we are finally ready to define the determinant and explore its many important
properties.

8.2.1 Summations indexed by the set of all permutations

Given a positive integer n ∈ Z+ , we begin with the following definition:
Definition 8.2.1. Given a square matrix A = (aij ) ∈ Fn×n , the determinant of
A is defined to be

det(A) = sign(π)a1,π(1) a2,π(2) · · · an,π(n) , (8.4)
π ∈ Sn

where the sum is over all permutations of n elements (i.e., over the symmetric
group).
Note that each permutation in the summand of (8.4) permutes the n columns
of the n × n matrix.
Example 8.2.2. Suppose that A ∈ F2×2 is the 2 × 2 matrix
 
a11 a12
A= .
a21 a22
To calculate the determinant of A, we first list the two permutations in S2 :
   
12 12
id = and σ= .
12 21
The permutation id has sign 1, and the permutation σ has sign −1. Thus, the
determinant of A is given by
det(A) = a11 a22 − a12 a21 .
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88 Linear Algebra: As an Introduction to Abstract Mathematics

If one attempted to compute determinants directly using Equation (8.4), then

one would need to sum up n! terms, where each summand is itself a product of n
factors. This is an incredibly inefficient method for finding determinants since n!
increases in size very rapidly as n increases. E.g., 10! = 3628800. Thus, even if
you could compute one summand per second without stopping, it would still take
you well over a month to compute the determinant of a 10 × 10 matrix using Equa-
tion (8.4). Fortunately, there are properties of the determinant (as summarized in
Section 8.2.2 below) that can be used to greatly reduce the size of such computa-
tions. These properties of the determinant follow from general properties that hold
for any summation taken over the symmetric group, which are in turn themselves
based upon properties of permutations and the fact that addition and multiplication
are commutative operations in the field F (which, as usual, we take to be either R
or C).
Let T : Sn → V be a function defined on the symmetric group Sn that takes
values in some vector space V . E.g., T (π) could be the term corresponding to the
permutation π in Equation (8.4). Then, since the sum

T (π)
π ∈ Sn

is finite, we are free to reorder the summands. In other words, the sum is indepen-
dent of the order in which the terms are added, and so we are free to permute the
term order without affecting the value of the sum. Some commonly used reorderings
of such sums are the following:
 
T (π) = T (σ ◦ π) (8.5)
π ∈ Sn π ∈ Sn

= T (π ◦ σ) (8.6)
π ∈ Sn

= T (π −1 ), (8.7)
π ∈ Sn

where σ is a fixed permutation.

Equation (8.5) follows from the fact that, if π runs through each permutation
in Sn exactly once, then σ ◦ π similarly runs through each permutation but in a
potentially different order. I.e., the action of σ upon something like Equation (8.4)
is that σ merely permutes the permutations that index the terms. Put another
way, there is a one-to-one correspondence between permutations in general and
permutations composed with σ.
Similar reasoning holds for Equations (8.6) and (8.7).

8.2.2 Properties of the determinant

We summarize some of the most basic properties of the determinant below. The
proof of the following theorem uses properties of permutations, properties of the
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Permutations and Determinants 89

sign function on permutations, and properties of sums over the symmetric group as
discussed in Section 8.2.1 above. In thinking about these properties, it is useful to
keep in mind that, using Equation (8.4), the determinant of an n × n matrix A is
the sum over all possible ways of selecting n entries of A, where exactly one element
is selected from each row and from each column of A.
Theorem 8.2.3 (Properties of the Determinant). Let n ∈ Z+ be a positive integer,
and suppose that A = (aij ) ∈ Fn×n is an n × n matrix. Then

(1) det(0n×n ) = 0 and det(In ) = 1, where 0n×n denotes the n × n zero matrix and
In denotes the n × n identity matrix.
(2) det(AT ) = det(A), where AT denotes the transpose of A.
(3) denoting by A(·,1) , A(·,2) , . . . , A(·,n) ∈ Fn the columns of A, det(A) is a linear
function of column A(·,i) , for each i ∈ {1, . . . , n}. In other words, if we denote
! "
A = A(·,1) | A(·,2) | · · · | A(·,n)
then, given any scalar z ∈ F and any vectors a1 , a2 , . . . , an , c, b ∈ Fn ,
det [a1 | · · · | ai−1 | zai | · · · | an ] = z det [a1 | · · · | ai−1 | ai | · · · | an ] ,
det [a1 | · · · | ai−1 | b + c | · · · | an ] = det [a1 | · · · | b | · · · | an ]
+ det [a1 | · · · | c | · · · | an ] .
(4) det(A) is an antisymmetric function of the columns of A. In other
words,
 (·,1) given any positive
 integers 1 ≤ i < j ≤ n and denoting A =
A | A(·,2) | · · · | A(·,n) ,
! "
det(A) = − det A(·,1) | · · · | A(·,j) | · · · | A(·,i) | · · · | A(·,n) .

(5) if A has two identical columns, det(A) = 0.

(6) if A has a column of zeroes, det(A) = 0.
(7) Properties (3)–(6) also hold when rows are used in place of columns.
(8) given any other matrix B ∈ Fn×n ,
det(AB) = det(A) det(B).
(9) if A is either upper triangular or lower triangular,
det(A) = a11 a22 · · · ann .

Proof. First, note that Properties (1), (3), (6), and (9) follow directly from the sum
given in Equation (8.4). Moreover, Property (5) follows directly from Property (4),
and Property (7) follows directly from Property (2). Thus, we only need to prove
Properties (2), (4), and (8).
Proof of (2). Since the entries of AT are obtained from those of A by inter-
changing the row and column indices, it follows that det(AT ) is given by

det(AT ) = sign(π) aπ(1),1 aπ(2),2 · · · aπ(n),n .
π ∈ Sn
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90 Linear Algebra: As an Introduction to Abstract Mathematics

Using the commutativity of the product in F and Equation (8.3), we see that

det(AT ) = sign(π −1 ) a1,π−1 (1) a2,π−1 (2) · · · an,π−1 (n) ,
π ∈ Sn

which equals det(A) by Equation

 (8.7). 
Proof of (4). Let B = A(·,1) | · · · | A(·,j) | · · · | A(·,i) | · · · | A(·,n) be the ma-
trix obtained from A by interchanging the ith and the jth column. Then note
that

det(B) = sign(π) a1,π(1) · · · aj,π(i) · · · ai,π(j) · · · an,π(n) .
π ∈ Sn

Define π̃ = π ◦ tij , and note that π = π̃ ◦ tij . In particular, π(i) = π̃(j) and
π(j) = π̃(i), from which

det(B) = sign(π̃ ◦ tij ) a1,π̃(1) · · · ai,π̃(i) · · · aj,π̃(j) · · · an,π̃(n) .
π ∈ Sn

It follows from Equations (8.2) and (8.1) that sign(π̃ ◦ tij ) = −sign (π̃). Thus, using
Equation (8.6), we obtain det(B) = − det(A).
Proof of (8). Using the standard expression for the matrix entries of the
product AB in terms of the matrix entries of A = (aij ) and B = (bij ), we have that
 
n 
n
det(AB) = sign(π) ··· a1,k1 bk1 ,π(1) · · · an,kn bkn ,π(n)
π ∈ Sn k1 =1 kn =1
 n 
n 
= ··· a1,k1 · · · an,kn sign (π)bk1 ,π(1) · · · bkn ,π(n) .
k1 =1 kn =1 π ∈ Sn

Note that, for fixed k1 , . . . , k n ∈ {1, . . . , n}, the sum

#
π ∈ Sn sign (π)b k 1 ,π(1) · · · b k n ,π(n) is the determinant of a matrix composed of rows
k1 , . . . , kn of B. Thus, by Property (5), it follows that this expression vanishes
unless the ki are pairwise distinct. In other words, the sum over all choices of
k1 , . . . , kn can be restricted to those sets of indices σ(1), . . . , σ(n) that are labeled
by a permutation σ ∈ Sn . In other words,
 
det(AB) = a1,σ(1) · · · an,σ(n) sign(π) bσ(1),π(1) · · · bσ(n),π(n) .
σ ∈ Sn π ∈ Sn

Now, proceeding with the same arguments as in the proof of Property (4) but with
the role of tij replaced by an arbitrary permutation σ, we obtain
 
det(AB) = sign(σ) a1,σ(1) · · · an,σ(n) sign(π◦σ −1 ) b1,π◦σ−1 (1) · · · bn,π◦σ−1 (n) .
σ ∈ Sn π ∈ Sn

Using Equation (8.6), this last expression then becomes (det(A))(det(B)).

Note that Properties (3) and (4) of Theorem 8.2.3 effectively summarize how
multiplication by an Elementary Matrix interacts with the determinant operation.
These Properties together with Property (9) facilitate numerical computation of
determinants of larger matrices.
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Permutations and Determinants 91

8.2.3 Further properties and applications

There are many applications of Theorem 8.2.3. We conclude this chapter with
a few consequences that are particularly useful when computing with matrices.
In particular, we use the determinant to list several characterizations for matrix
invertibility, and, as a corollary, give a method for using determinants to calculate
eigenvalues. You should provide a proof of these results for your own benefit.
Theorem 8.2.4. Let n ∈ Z+ and A ∈ Fn×n . Then the following statements are
equivalent:
(1) A is invertible.
⎡ ⎤
x1
⎢ ⎥
(2) denoting x = ⎣ ... ⎦, the matrix equation Ax = 0 has only the trivial solution
xn
x = 0. ⎡ ⎤
x1
⎢ .. ⎥
(3) denoting x = ⎣ . ⎦, the matrix equation Ax = b has a solution for all b =
xn
⎡ ⎤
b1
⎢ .. ⎥
⎣ . ⎦ ∈ Fn .
bn
(4) A can be factored into a product of elementary matrices.
(5) det(A) = 0.
(6) the rows (or columns) of A form a linearly independent set in Fn .
(7) zero is not an eigenvalue of A.
(8) the linear operator T : Fn → Fn defined by T (x) = Ax, for every x ∈ Fn , is
bijective.

1
Moreover, should A be invertible, then det(A−1 ) = .
det(A)

Given a matrix A ∈ Cn×n and a complex number λ ∈ C, the expression

P (λ) = det(A − λIn )
is called the characteristic polynomial of A. Note that P (λ) is a basis indepen-
dent polynomial of degree n. Thus, as with the determinant, we can consider P (λ)
to be associated with the linear map that has matrix A with respect to some basis.
Since the eigenvalues of A are exactly those λ ∈ C such that A−λI is not invertible,
the following is then an immediate corollary.
Corollary 8.2.5. The roots of the polynomial P (λ) = det(A − λI) are exactly the
eigenvalues of A.
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92 Linear Algebra: As an Introduction to Abstract Mathematics

8.2.4 Computing determinants with cofactor expansions

As noted in Section 8.2.1, it is generally impractical to compute determinants di-
rectly with Equation (8.4). In this section, we briefly describe the so-called cofactor
expansions of a determinant. When properly applied, cofactor expansions are par-
ticularly useful for computing determinants by hand.

Definition 8.2.6. Let n ∈ Z+ and A ∈ Fn×n . Then, for each i, j ∈ {1, 2, . . . , n},
the i-j minor of A, denoted Mij , is defined to be the determinant of the matrix
obtained by removing the ith row and j th column from A. Moreover, the i-j cofactor
of A is defined to be
Aij = (−1)i+j Mij .

Cofactors themselves, though, are not terribly useful unless put together in the right
way.

Definition 8.2.7. Let n ∈ Z+ and A = (aij ) ∈ Fn×n . Then, for each i, j ∈

{1, 2, . . . , n}, the ith row (resp. j th column) cofactor expansion of A is the sum
n  n
aij Aij (resp. aij Aij ).
j=1 i=1

Theorem 8.2.8. Let n ∈ Z+ and A ∈ Fn×n . Then every row and column factor
expansion of A is equal to the determinant of A.

Since the determinant of a matrix is equal to every row or column cofactor

expansion, one can compute the determinant using a convenient choice of expansions
until the calculation is reduced to one or more 2 × 2 determinants. We close with
an example.

Example 8.2.9. By first expanding along the second column, we obtain

 
 1 2 −3 4     
   −4 1 3   1 −3 4 
 −4 2 1 3     
     
 3 0 0 −3  = (−1) (2)  3 0 −3  + (−1) (2)  3 0 −3  .
1+2 2+2
   2 −2 3   2 −2 3 
 2 0 −2 3 

Then, each of the resulting 3×3 determinants can be computed by further expansion:
 
 −4 1 3     
     
 3 0 −3  = (−1)1+2 (1)  3 −3  + (−1)3+2 (−2)  −4 3  = −15 + 6 = −9.
  2 3  3 −3 
 2 −2 3 

 
 1 −3 4     
   4   1 −3 
 3 0 −3  = (−1)2+1 (3)  −3 + (−1) 2+3
(−3)  
   −2 3  2 −2  = 3 + 12 = 15.
 2 −2 3 

It follows that the original determinant is then equal to −2(−9) + 2(15) = 48.
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Permutations and Determinants 93

Exercises for Chapter 8

Calculational Exercises
(1) Let A ∈ C3×3 be given by
⎡ ⎤
1 0 i
A = ⎣ 0 1 0 ⎦.
−i 0 −1
(a) Calculate det(A).
(b) Find det(A4 ).
(2) (a) For each permutation π ∈ S3 , compute the number of inversions in π, and
classify π as being either an even or an odd permutation.
(b) Use your result from Part (a) to construct a formula for the determinant
of a 3 × 3 matrix.
(3) (a) For each permutation π ∈ S4 , compute the number of inversions in π, and
classify π as being either an even or an odd permutation.
(b) Use your result from Part (a) to construct a formula for the determinant
of a 4 × 4 matrix.
(4) Solve for the variable x in the following expression:
⎛⎡ ⎤⎞
  1 0 −3
x −1
det = det ⎝⎣2 x −6 ⎦⎠ .
3 1−x
1 3 x−5
(5) Prove that the following determinant does not depend upon the value of θ:
⎛⎡ ⎤⎞
sin(θ) cos(θ) 0
det ⎝⎣ − cos(θ) sin(θ) 0⎦ ⎠ .
sin(θ) − cos(θ) sin(θ) + cos(θ) 1
(6) Given scalars α, β, γ ∈ F, prove that the following matrix is not invertible:
⎡ 2 ⎤
sin (α) sin2 (β) sin2 (γ)
⎣cos2 (α) cos2 (β) cos2 (γ)⎦ .
1 1 1
Hint: Compute the determinant.

Proof-Writing Exercises
(1) Let a, b, c, d, e, f ∈ F be scalars, and suppose that A and B are the following
matrices:
   
ab de
A= and B = .
0c 0f
 
b a−c
Prove that AB = BA if and only if det = 0.
e d−f
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94 Linear Algebra: As an Introduction to Abstract Mathematics

(2) Given a square matrix A, prove that A is invertible if and only if AT A is

invertible.
(3) Prove or give a counterexample: For any n ≥ 1 and A, B ∈ Rn×n , one has
det(A + B) = det(A) + det(B).
(4) Prove or give a counterexample: For any r ∈ R, n ≥ 1 and A ∈ Rn×n , one has
det(rA) = r det(A).
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 95

Chapter 9

Inner Product Spaces

The abstract definition of a vector space only takes into account algebraic properties
for the addition and scalar multiplication of vectors. For vectors in Rn , for example,
we also have geometric intuition involving the length of a vector or the angle formed
by two vectors. In this chapter we discuss inner product spaces, which are vector
spaces with an inner product defined upon them. Using the inner product, we will
define notions such as the length of a vector, orthogonality, and the angle between
non-zero vectors.

9.1 Inner product

In this section, V is a finite-dimensional, non-zero vector space over F.

Definition 9.1.1. An inner product on V is a map

·, · : V × V → F
(u, v) → u, v

with the following four properties.

(1) Linearity in first slot: u + v, w = u, w + v, w and au, v = au, v for
all u, v, w ∈ V and a ∈ F;
(2) Positivity: v, v ≥ 0 for all v ∈ V ;
(3) Positive definiteness: v, v = 0 if and only if v = 0;
(4) Conjugate symmetry: u, v = v, u for all u, v ∈ V .

Remark 9.1.2. Recall that every real number x ∈ R equals its complex conjugate.
Hence, for real vector spaces, conjugate symmetry of an inner product becomes
actual symmetry.

Definition 9.1.3. An inner product space is a vector space over F together with
an inner product ·, ·.

95
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96 Linear Algebra: As an Introduction to Abstract Mathematics

Example 9.1.4. Let V = Fn and u = (u1 , . . . , un ), v = (v1 , . . . , vn ) ∈ Fn . Then

we can define an inner product on V by setting

n
u, v = ui v i .
i=1

For F = R, this reduces to the usual dot product, i.e.,

u · v = u1 v 1 + · · · + un v n .
Example 9.1.5. Let V = F[z] be the space of polynomials with coefficients in F.
Given f, g ∈ F[z], we can define their inner product to be
( 1
f, g = f (z)g(z)dz,
0

where g(z) is the complex conjugate of the polynomial g(z).

For a fixed vector w ∈ V , one can define a map T : V → F by setting T v = v, w.
Note that T is linear by Condition 1 of Definition 9.1.1. This implies, in particular,
that 0, w = 0 for every w ∈ V . By conjugate symmetry, we also have w, 0 = 0.
Lemma 9.1.6. The inner product is anti-linear in the second slot, that is, u, v +
w = u, v + u, w and u, av = au, v for all u, v, w ∈ V and a ∈ F.

Proof. For additivity, note that

u, v + w = v + w, u = v, u + w, u
= v, u + w, u = u, v + u, w.
Similarly, for anti-homogeneity, note that
u, av = av, u = av, u = av, u = au, v.

We close this section by noting that the convention in physics is often the exact
opposite of what we have defined above. In other words, an inner product in physics
is traditionally linear in the second slot and anti-linear in the first slot.

9.2 Norms

The norm of a vector in an arbitrary inner product space is the analog of the length
or magnitude of a vector in Rn . We formally define this concept as follows.
Definition 9.2.1. Let V be a vector space over F. A map
·:V →R
v → v
is a norm on V if the following three conditions are satisfied.
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Inner Product Spaces 97

(1) Positive definiteness: v = 0 if and only if v = 0;

(2) Positive homogeneity: av = |a| v for all a ∈ F and v ∈ V ;
(3) Triangle inequality: v + w ≤ v + w for all v, w ∈ V .

Remark 9.2.2. Note that, in fact, v ≥ 0 for each v ∈ V since

0 = v − v ≤ v +  − v = 2v.
Next we want to show that a norm can always be defined from an inner product
·, · via the formula

v = v, v for all v ∈ V . (9.1)

Properties (1) and (2) follow easily from Conditions (1) and (3) of Definition 9.1.1.
The triangle inequality requires more careful proof, though, which we give in The-
orem 9.3.4 below.
If we take V = Rn , then the norm defined by the usual dot product is related to
the usual notion of length of a vector. Namely, for v = (x1 , . . . , xn ) ∈ Rn , we have
)
v = x21 + · · · + x2n . (9.2)
We illustrate this for the case of R3 in Figure 9.1.

v
x3

x2

x1

Fig. 9.1 The length of a vector in R3 via Equation 9.2

While it is always possible to start with an inner product and use it to define
a norm, the converse does not hold in general. One can prove that a norm can be
written in terms of an inner product as in Equation (9.1) if and only if the norm
satisfies the Parallelogram Law (Theorem 9.3.6).
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98 Linear Algebra: As an Introduction to Abstract Mathematics

9.3 Orthogonality

Using the inner product, we can now define the notion of orthogonality, prove that
the Pythagorean theorem holds in any inner product space, and use the Cauchy-
Schwarz inequality

to prove the triangle inequality. In particular, this will show
that v = v, v does indeed define a norm.
Definition 9.3.1. Two vectors u, v ∈ V are orthogonal (denoted u⊥v) if u, v =
0.
Note that the zero vector is the only vector that is orthogonal to itself. In fact,
the zero vector is orthogonal to every vector v ∈ V .
Theorem 9.3.2 (Pythagorean Theorem).

If u, v ∈ V , an inner product space, with
u⊥v, then  ·  defined by v := v, v obeys
u + v2 = u2 + v2 .

Proof. Suppose u, v ∈ V such that u⊥v. Then

u + v2 = u + v, u + v = u2 + v2 + u, v + v, u
= u2 + v2 .

Note that the converse of the Pythagorean Theorem holds for real vector spaces
since, in that case, u, v + v, u = 2Reu, v = 0.
Given two vectors u, v ∈ V with v = 0, we can uniquely decompose u into two
pieces: one piece parallel to v and one piece orthogonal to v. This is called an
orthogonal decomposition. More precisely, we have
u = u1 + u2 ,
where u1 = av and u2 ⊥v for some scalar a ∈ F. To obtain such a decomposition,
write u2 = u − u1 = u − av. Then, for u2 to be orthogonal to v, we need
0 = u − av, v = u, v − av2 .
Solving for a yields a = u, v/v2 so that
 
u, v u, v
u= v+ u− v . (9.3)
v2 v2
This decomposition is particularly useful since it allows us to provide a simple
proof for the Cauchy-Schwarz inequality.
Theorem 9.3.3 (Cauchy-Schwarz Inequality). Given any u, v ∈ V , we have
|u, v| ≤ uv.
Furthermore, equality holds if and only if u and v are linearly dependent, i.e., are
scalar multiples of each other.
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Inner Product Spaces 99

Proof. If v = 0, then both sides of the inequality are zero. Hence, assume that
v = 0, and consider the orthogonal decomposition
u, v
u= v+w
v2
where w⊥v. By the Pythagorean theorem, we have
* *
* u, v *2
* + w2 = |u, v| + w2 ≥ |u, v| .
2 2
u = *
2 * v
v2 * v2 v2
Multiplying both sides by v2 and taking the square root then yields the Cauchy-
Schwarz inequality.
Note that we get equality in the above arguments if and only if w = 0. But, by
Equation (9.3), this means that u and v are linearly dependent.

The Cauchy-Schwarz inequality has many different proofs. Here is another one.

Alternate proof of Theorem 9.3.3. Given u, v ∈ V , consider the norm square of the
vector u + reiθ v:
0 ≤ u + reiθ v2 = u2 + r2 v2 + 2Re(reiθ u, v).
Since u, v is a complex number, one can choose θ so that eiθ u, v is real. Hence,
the right-hand side is a parabola ar2 + br + c with real coefficients. It will lie above
the real axis, i.e., ar2 + br + c ≥ 0, if it does not have any real solutions for r. This
is the case when the discriminant satisfies b2 − 4ac ≤ 0. In our case this means
4|u, v|2 − 4u2 v2 ≤ 0.
Moreover, equality only holds if r can be chosen such that u + reiθ v = 0, which
means that u and v are scalar multiples.

Now that we have proven the Cauchy-Schwarz inequality, we are finally

able to
verify the triangle inequality. This is the final step in showing that v = v, v
does indeed define a norm. We illustrate the triangle inequality in Figure 9.2.
Theorem 9.3.4 (Triangle Inequality). For all u, v ∈ V we have
u + v ≤ u + v.

Proof. By a straightforward calculation, we obtain

u + v2 = u + v, u + v = u, u + v, v + u, v + v, u
= u, u + v, v + u, v + u, v = u2 + v2 + 2Reu, v.
Note that Reu, v ≤ |u, v| so that, using the Cauchy-Schwarz inequality, we obtain
u + v2 ≤ u2 + v2 + 2uv = (u + v)2 .
Taking the square root of both sides now gives the triangle inequality.
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100 Linear Algebra: As an Introduction to Abstract Mathematics

u+v

v
u+v‘
v‘
u

Fig. 9.2 The triangle inequality in R2

Remark 9.3.5. Note that equality holds for the triangle inequality if and only if
v = ru or u = rv for some r ≥ 0. Namely, equality in the proof happens only
if u, v = uv, which is equivalent to u and v being scalar multiples of one
another.

Theorem 9.3.6 (Parallelogram Law). Given any u, v ∈ V , we have

u + v2 + u − v2 = 2(u2 + v2 ).

Proof. By direct calculation,

u + v2 + u − v2 = u + v, u + v + u − v, u − v
= u2 + v2 + u, v + v, u + u2 + v2 − u, v − v, u
= 2(u2 + v2 ).

Remark 9.3.7. We illustrate the parallelogram law in Figure 9.3.

9.4 Orthonormal bases

We now define the notions of orthogonal basis and orthonormal basis for an inner
product space. As we will see later, orthonormal bases have special properties that
lead to useful simplifications in common linear algebra calculations.
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Inner Product Spaces 101

u−v u+v

v
h

u g

Fig. 9.3 The parallelogram law in R2

Definition 9.4.1. Let V be an inner product space with inner product ·, ·. A list
of non-zero vectors (e1 , . . . , em ) in V is called orthogonal if
ei , ej  = 0, for all 1 ≤ i = j ≤ m.
The list (e1 , . . . , em ) is called orthonormal if
ei , ej  = δi,j , for all i, j = 1, . . . , m,
where δij is the Kronecker delta symbol. I.e., δij = 1 if i = j and is zero otherwise.

Proposition 9.4.2. Every orthogonal list of non-zero vectors in V is linearly in-

dependent.

Proof. Let (e1 , . . . , em ) be an orthogonal list of vectors in V , and suppose that

a1 , . . . , am ∈ F are such that
a1 e1 + · · · + am em = 0.
Then
0 = a1 e1 + · · · + am em 2 = |a1 |2 e1 2 + · · · + |am |2 em 2 .
Note that ek  > 0, for all k = 1, . . . , m, since every ek is a non-zero vector. Also,
|ak |2 ≥ 0. Hence, the only solution to a1 e1 + · · · + am em = 0 is a1 = · · · = am =
0.

Definition 9.4.3. An orthonormal basis of a finite-dimensional inner product

space V is a list of orthonormal vectors that is basis for V .
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102 Linear Algebra: As an Introduction to Abstract Mathematics

Clearly, any orthonormal list of length dim(V ) is an orthonormal basis for V .

Example 9.4.4. The canonical basis for Fn is an orthonormal basis.
Example 9.4.5. The list (( √12 , √12 ), ( √12 , − √12 )) is an orthonormal basis for R2 .
The next theorem allows us to use inner products to find the coefficients of a
vector v ∈ V in terms of an orthonormal basis. This result highlights how much
easier it is to compute with an orthonormal basis.
Theorem 9.4.6. Let (e1 , . . . , en ) be an orthonormal basis for V . Then, for all
v ∈ V , we have
v = v, e1 e1 + · · · + v, en en
#n
and v = 2
k=1 |v, ek | .
2

Proof. Let v ∈ V . Since (e1 , . . . , en ) is a basis for V , there exist unique scalars
a1 , . . . , an ∈ F such that
v = a1 e1 + · · · + an en .
Taking the inner product of both sides with respect to ek then yields v, ek  =
ak .

9.5 The Gram-Schmidt orthogonalization procedure

We now come to a fundamentally important algorithm, which is called the Gram-

Schmidt orthogonalization procedure. This algorithm makes it possible to
construct, for each list of linearly independent vectors (resp. basis) in an inner
product space, a corresponding orthonormal list (resp. orthonormal basis).
Theorem 9.5.1. If (v1 , . . . , vm ) is a list of linearly independent vectors in an inner
product space V , then there exists an orthonormal list (e1 , . . . , em ) such that
span(v1 , . . . , vk ) = span(e1 , . . . , ek ), for all k = 1, . . . , m. (9.4)

Proof. The proof is constructive, that is, we will actually construct vectors
e1 , . . . , em having the desired properties. Since (v1 , . . . , vm ) is linearly indepen-
dent, vk = 0 for each k = 1, 2, . . . , m. Set e1 = vv11  . Then e1 is a vector of norm 1
and satisfies Equation (9.4) for k = 1. Next, set
v2 − v2 , e1 e1
e2 = .
v2 − v2 , e1 e1 
This is, in fact, the normalized version of the orthogonal decomposition Equa-
tion (9.3). I.e.,
w = v2 − v2 , e1 e1 ,
where w⊥e1 . Note that e2  = 1 and span(e1 , e2 ) = span(v1 , v2 ).
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Inner Product Spaces 103

Now, suppose that e1 , . . . , ek−1 have been constructed such that (e1 , . . . , ek−1 )
is an orthonormal list and span(v1 , . . . , vk−1 ) = span(e1 , . . . , ek−1 ). Then define
vk − vk , e1 e1 − vk , e2 e2 − · · · − vk , ek−1 ek−1
ek = .
vk − vk , e1 e1 − vk , e2 e2 − · · · − vk , ek−1 ek−1 
Since (v1 , . . . , vk ) is linearly independent, we know that vk ∈ span(v1 , . . . , vk−1 ).
Hence, we also know that vk ∈ span(e1 , . . . , ek−1 ). It follows that the norm in
the definition of ek is not zero, and so ek is well-defined (i.e., we are not dividing
by zero). Note that a vector divided by its norm has norm 1 so that ek  = 1.
Furthermore,
+ ,
vk − vk , e1 e1 − vk , e2 e2 − · · · − vk , ek−1 ek−1
ek , ei  = , ei
vk − vk , e1 e1 − vk , e2 e2 − · · · − vk , ek−1 ek−1 
vk , ei  − vk , ei 
= = 0,
vk − vk , e1 e1 − vk , e2 e2 − · · · − vk , ek−1 ek−1 
for each 1 ≤ i < k. Hence, (e1 , . . . , ek ) is orthonormal.
From the definition of ek , we see that vk ∈ span(e1 , . . . , ek ) so that
span(v1 , . . . , vk ) ⊂ span(e1 , . . . , ek ). Since both lists (e1 , . . . , ek ) and (v1 , . . . , vk )
are linearly independent, they must span subspaces of the same dimension and
therefore are the same subspace. Hence Equation (9.4) holds.

Example 9.5.2. Take v1 = (1, 1, 0) and v2 = (2, 1, 1) in R3 . The list (v1 , v2 )

is linearly independent (as you should verify!). To illustrate the Gram-Schmidt
procedure, we begin by setting
v1 1
e1 = = √ (1, 1, 0).
v1  2
Next, set
v2 − v2 , e1 e1
e2 = .
v2 − v2 , e1 e1 
The inner product v2 , e1  = √1 (1, 1, 0), (2, 1, 1)
2
= √3 ,
2
so

3 1
u2 = v2 − v2 , e1 e1 = (2, 1, 1) − (1, 1, 0) = (1, −1, 2).
2 2
) √
Calculating the norm of u2 , we obtain u2  = 14 (1 + 1 + 4) = 26 . Hence, nor-
malizing this vector, we obtain
u2 1
e2 = = √ (1, −1, 2).
u2  6
The list (e1 , e2 ) is therefore orthonormal and has the same span as (v1 , v2 ).

Corollary 9.5.3. Every finite-dimensional inner product space has an orthonormal

basis.
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104 Linear Algebra: As an Introduction to Abstract Mathematics

Proof. Let (v1 , . . . , vn ) be any basis for V . This list is linearly independent and
spans V . Apply the Gram-Schmidt procedure to this list to obtain an orthonormal
list (e1 , . . . , en ), which still spans V by construction. By Proposition 9.4.2, this list
is linearly independent and hence a basis of V .

Corollary 9.5.4. Every orthonormal list of vectors in V can be extended to an

orthonormal basis of V .

Proof. Let (e1 , . . . , em ) be an orthonormal list of vectors in V . By Proposi-

tion 9.4.2, this list is linearly independent and hence can be extended to a basis
(e1 , . . . , em , v1 , . . . , vk ) of V by the Basis Extension Theorem. Now apply the Gram-
Schmidt procedure to obtain a new orthonormal basis (e1 , . . . , em , f1 , . . . , fk ). The
first m vectors do not change since they are already orthonormal. The list still spans
V and is linearly independent by Proposition 9.4.2 and therefore forms a basis.

Recall Theorem 7.5.3: given an operator T ∈ L(V, V ) on a complex vector space

V , there exists a basis B for V such that the matrix M (T ) of T with respect to B
is upper triangular. We would like to extend this result to require the additional
property of orthonormality.
Corollary 9.5.5. Let V be an inner product space over F and T ∈ L(V, V ). If T is
upper triangular with respect to some basis, then T is upper triangular with respect
to some orthonormal basis.

Proof. Let (v1 , . . . , vn ) be a basis of V with respect to which T is upper triangular.

Apply the Gram-Schmidt procedure to obtain an orthonormal basis (e1 , . . . , en ),
and note that
span(e1 , . . . , ek ) = span(v1 , . . . , vk ), for all 1 ≤ k ≤ n.
We proved before that T is upper triangular with respect to a basis (v1 , . . . , vn ) if
and only if span(v1 , . . . , vk ) is invariant under T for each 1 ≤ k ≤ n. Since these
spans are unchanged by the Gram-Schmidt procedure, T is still upper triangular
for the corresponding orthonormal basis.

9.6 Orthogonal projections and minimization problems

Definition 9.6.1. Let V be a finite-dimensional inner product space and U ⊂ V be

a subset (but not necessarily a subspace) of V . Then the orthogonal complement
of U is defined to be the set
U ⊥ = {v ∈ V | u, v = 0 for all u ∈ U }.
Note that, in fact, U ⊥ is always a subspace of V (as you should check!) and
that
{0}⊥ = V and V ⊥ = {0}.
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Inner Product Spaces 105

In addition, if U1 and U2 are subsets of V satisfying U1 ⊂ U2 , then U2⊥ ⊂ U1⊥ .

Remarkably, if U ⊂ V is a subspace of V , then we can say quite a bit more
about U ⊥ .

Theorem 9.6.2. If U ⊂ V is a subspace of V , then V = U ⊕ U ⊥ .

Proof. We need to show two things:

(1) V = U + U ⊥ .
(2) U ∩ U ⊥ = {0}.

To show that Condition (1) holds, let (e1 , . . . , em ) be an orthonormal basis of U .

Then, for all v ∈ V , we can write
v = v, e1 e1 + · · · + v, em em + v − v, e1 e1 − · · · − v, em em . (9.5)
     
u w

The vector u ∈ U , and

w, ej  = v, ej  − v, ej  = 0, for all j = 1, 2, . . . , m,
since (e1 , . . . , em ) is an orthonormal list of vectors. Hence, w ∈ U ⊥ . This implies
that V = U + U ⊥ .
To prove that Condition (2) also holds, let v ∈ U ∩ U ⊥ . Then v has to be
orthogonal to every vector in U , including to itself, and so v, v = 0. However, this
implies v = 0 so that U ∩ U ⊥ = {0}.

Example 9.6.3. R2 is the direct sum of any two orthogonal lines, and R3 is the
direct sum of any plane and any line orthogonal to the plane (as illustrated in
Figure 9.4). For example,
R2 = {(x, 0) | x ∈ R} ⊕ {(0, y) | y ∈ R},
R3 = {(x, y, 0) | x, y ∈ R} ⊕ {(0, 0, z) | z ∈ R}.
Another fundamental fact about the orthogonal complement of a subspace is as
follows.

Theorem 9.6.4. If U ⊂ V is a subspace of V , then U = (U ⊥ )⊥ .

Proof. First we show that U ⊂ (U ⊥ )⊥ . Let u ∈ U . Then, for all v ∈ U ⊥ , we have

u, v = 0. Hence, u ∈ (U ⊥ )⊥ by the definition of (U ⊥ )⊥ .
Next we show that (U ⊥ )⊥ ⊂ U . Suppose 0 = v ∈ (U ⊥ )⊥ such that v ∈ U , and
decompose v according to Theorem 9.6.2, i.e., as
v = u1 + u2 ∈ U ⊕ U ⊥
with u1 ∈ U and u2 ∈ U ⊥ . Then u2 = 0 since v ∈ U . Furthermore, u2 , v =
 0. But then v is not in (U ⊥ )⊥ , which contradicts our initial assumption.
u2 , u2  =
Hence, we must have that (U ⊥ )⊥ ⊂ U .
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 106

106 Linear Algebra: As an Introduction to Abstract Mathematics

Fig. 9.4 R3 as a direct sum of a plane and a line, as in Example 9.6.3

By Theorem 9.6.2, we have the decomposition V = U ⊕ U ⊥ for every subspace

U ⊂ V . This allows us to define the orthogonal projection PU of V onto U .
Definition 9.6.5. Let U ⊂ V be a subspace of a finite-dimensional inner product
space. Every v ∈ V can be uniquely written as v = u + w where u ∈ U and w ∈ U ⊥ .
Define
PU : V → V,
v → u.
Note that PU is called a projection operator since it satisfies PU2 = PU . Further,
since we also have
range (PU ) = U,
null (PU ) = U ⊥ ,
it follows that range (PU )⊥null (PU ). Therefore, PU is called an orthogonal projec-
tion.
The decomposition of a vector v ∈ V as given in Equation (9.5) yields the
formula
PU v = v, e1 e1 + · · · + v, em em , (9.6)
where (e1 , . . . , em ) is any orthonormal basis of U . Equation (9.6) is a particularly
useful tool for computing such things as the matrix of PU with respect to the basis
(e1 , . . . , em ).
Let us now apply the inner product to the following minimization problem:
Given a subspace U ⊂ V and a vector v ∈ V , find the vector u ∈ U that is closest
to the vector v. In other words, we want to make v − u as small as possible. The
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 107

Inner Product Spaces 107

next proposition shows that PU v is the closest point in U to the vector v and that
this minimum is, in fact, unique.

Proposition 9.6.6. Let U ⊂ V be a subspace of V and v ∈ V . Then

v − PU v ≤ v − u for every u ∈ U .

Furthermore, equality holds if and only if u = PU v.

Proof. Let u ∈ U and set P := PU for short. Then

v − P v2 ≤ v − P v2 + P v − u2
= (v − P v) + (P v − u)2 = v − u2 ,

where the second line follows from the Pythagorean Theorem 9.3.2 since v−P v ∈ U ⊥
and P v − u ∈ U . Furthermore, equality holds only if P v − u2 = 0, which is
equivalent to P v = u.

Example 9.6.7. Consider the plane U ⊂ R3 through 0 and perpendicular to the

vector u = (1, 1, 1). Using the standard norm on R3 , we can calculate the distance
of the point v = (1, 2, 3) to U using Proposition 9.6.6. In particular, the distance
d between v and U is given by d = v − PU v. Let ( √13 u, u1 , u2 ) be a basis for R3
such that (u1 , u2 ) is an orthonormal basis of U . Then, by Equation (9.6), we have
1
v − PU v = ( v, uu + v, u1 u1 + v, u2 u2 ) − (v, u1 u1 + v, u2 u2 )
3
1
= v, uu
3
1
= (1, 2, 3), (1, 1, 1)(1, 1, 1)
3
= (2, 2, 2).
√
Hence, d = (2, 2, 2) = 2 3.

Exercises for Chapter 9

Calculational Exercises
(1) Let (e1 , e2 , e3 ) be the canonical basis of R3 , and define

f1 = e 1 + e2 + e3
f2 = e2 + e3
f3 = e3 .

(a) Apply the Gram-Schmidt process to the basis (f1 , f2 , f3 ).

(b) What do you obtain if you instead applied the Gram-Schmidt process to
the basis (f3 , f2 , f1 )?
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 108

108 Linear Algebra: As an Introduction to Abstract Mathematics

(2) Let C[−π, π] = {f : [−π, π] → R | f is continuous} denote the inner product

space of continuous real-valued functions defined on the interval [−π, π] ⊂ R,
with inner product given by
( π
f, g = f (x)g(x)dx, for every f, g ∈ C[−π, π].
−π

Then, given any positive integer n ∈ Z+ , verify that the set of vectors
 
1 sin(x) sin(2x) sin(nx) cos(x) cos(2x) cos(nx)
√ , √ , √ ,..., √ , √ , √ ,..., √
2π π π π π π π
is orthonormal.
(3) Let R2 [x] denote the inner product space of polynomials over R having degree
at most two, with inner product given by
( 1
f, g = f (x)g(x)dx, for every f, g ∈ R2 [x].
0

Apply the Gram-Schmidt procedure to the standard basis {1, x, x2 } for R2 [x]
in order to produce an orthonormal basis for R2 [x].
(4) Let v1 , v2 , v3 ∈ R3 be given by v1 = (1, 2, 1), v2 = (1, −2, 1), and v3 = (1, 2, −1).
Apply the Gram-Schmidt procedure to the basis (v1 , v2 , v3 ) of R3 , and call the
resulting orthonormal basis (u1 , u2 , u3 ).
(5) Let P ⊂ R3 be the plane containing 0 perpendicular to the vector (1, 1, 1).
Using the standard norm, calculate the distance of the point (1, 2, 3) to P .
(6) Give an orthonormal basis for null(T ), where T ∈ L(C4 ) is the map with canon-
ical matrix
⎛ ⎞
1111
⎜1 1 1 1⎟
⎜ ⎟
⎝1 1 1 1⎠ .
1111

Proof-Writing Exercises
(1) Let V be a finite-dimensional inner product space over F. Given any vectors
u, v ∈ V , prove that the following two statements are equivalent:
(a) u, v = 0
(b) u ≤ u + αv for every α ∈ F.
(2) Let n ∈ Z+ be a positive integer, and let a1 , . . . , an , b1 , . . . , bn ∈ R be any
collection of 2n real numbers. Prove that
 n 2  n  n 
   b2
a k bk ≤ ka2k k
.
k
k=1 k=1 k=1

(3) Prove or disprove the following claim:

November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 109

Inner Product Spaces 109

Claim. There is an inner product · , · on R2 whose associated norm  ·  is

given by the formula
(x1 , x2 ) = |x1 | + |x2 |
for every vector (x1 , x2 ) ∈ R2 , where | · | denotes the absolute value function on
R.
(4) Let V be a finite-dimensional inner product space over R. Given u, v ∈ V , prove
that
u + v2 − u − v2
u, v = .
4
(5) Let V be a finite-dimensional inner product space over C. Given u, v ∈ V , prove
that
u + v2 − u − v2 u + iv2 − u − iv2
u, v = + i.
4 4
(6) Let V be a finite-dimensional inner product space over F, and let U be a sub-
space of V . Prove that the orthogonal complement U ⊥ of U with respect to
the inner product · , · on V satisfies
dim(U ⊥ ) = dim(V ) − dim(U ).
(7) Let V be a finite-dimensional inner product space over F, and let U be a sub-
space of V . Prove that U = V if and only if the orthogonal complement U ⊥ of
U with respect to the inner product · , · on V satisfies U ⊥ = {0}.
(8) Let V be a finite-dimensional inner product space over F, and suppose that
P ∈ L(V ) is a linear operator on V having the following two properties:
(a) Given any vector v ∈ V , P (P (v)) = P (v). I.e., P 2 = P .
(b) Given any vector u ∈ null(P ) and any vector v ∈ range(P ), u, v = 0.
Prove that P is an orthogonal projection.
(9) Prove or give a counterexample: For any n ≥ 1 and A ∈ Cn×n , one has
null(A) = (range(A))⊥ .
(10) Prove or give a counterexample: The Gram-Schmidt process applied to an
orthonormal list of vectors reproduces that list unchanged.
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 111

Chapter 10

Change of Bases

In Section 6.6, we saw that linear operators on an n-dimensional vector space are
in one-to-one correspondence with n × n matrices. This correspondence, however,
depends upon the choice of basis for the vector space. In this chapter we address
the question of how the matrix for a linear operator changes if we change from one
orthonormal basis to another.

10.1 Coordinate vectors

Let V be a finite-dimensional inner product space with inner product ·, · and
dimension dim(V ) = n. Then V has an orthonormal basis e = (e1 , . . . , en ), and,
according to Theorem 9.4.6, every v ∈ V can be written as
n
v= v, ei ei .
i=1
This induces a map
[ · ]e : V → Fn
⎡ ⎤
v, e1 
⎢ ⎥
v → ⎣ ... ⎦ ,
v, en 
which maps the vector v ∈ V to the n × 1 column vector of its coordinates with
respect to the basis e. The column vector [v]e is called the coordinate vector of
v with respect to the basis e.
Example 10.1.1. Recall that the vector space R1 [x] of polynomials over R of
degree at most 1 is an inner product space with inner product defined by
( 1
f, g = f (x)g(x)dx.
√ 0
Then e = (1, 3(−1 + 2x)) forms an orthonormal basis for R1 [x]. The coordinate
vector of the polynomial p(x) = 3x + 2 ∈ R1 [x] is, e.g.,
 
1 7
[p(x)]e = √ .
2 3

111
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112 Linear Algebra: As an Introduction to Abstract Mathematics

Note also that the map [ · ]e is an isomorphism (meaning that it is an injective

and surjective linear map) and that it is also inner product preserving. Denote the
usual inner product on Fn by

n
x, yFn = xk y k .
k=1

Then

v, wV = [v]e , [w]e Fn , for all v, w ∈ V ,

since

n 
n
v, wV = v, ei ei , w, ej ej  = v, ei w, ej ei , ej 
i,j=1 i,j=1

n 
n
= v, ei w, ej δij = v, ei w, ei  = [v]e , [w]e Fn .
i,j=1 i=1

It is important to remember that the map [ · ]e depends on the choice of basis

e = (e1 , . . . , en ).

10.2 Change of basis transformation

Recall that we can associate a matrix A ∈ Fn×n to every operator T ∈ L(V, V ).

More precisely, the j th column of the matrix A = M (T ) with respect to a basis
e = (e1 , . . . , en ) is obtained by expanding T ej in terms of the basis e. If the basis
e is orthonormal, then the coefficient of ei is just the inner product of the vector
with ei . Hence,

M (T ) = (T ej , ei )1≤i,j≤n ,

where i is the row index and j is the column index of the matrix.
Conversely, if A ∈ Fn×n is a matrix, then we can associate a linear operator
T ∈ L(V, V ) to A by setting

n 
n 
n
Tv = v, ej T ej = T ej , ei v, ej ei
j=1 j=1 i=1
⎛ ⎞

n n 
= ⎝ aij v, ej ⎠ ei = (A[v]e )i ei ,
i=1 j=1 i=1

where (A[v]e )i denotes the ith component of the column vector A[v]e . With this
construction, we have M (T ) = A. The coefficients of T v in the basis (e1 , . . . , en )
are recorded by the column vector obtained by multiplying the n × n matrix A with
the n × 1 column vector [v]e whose components ([v]e )j = v, ej .
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 113

Change of Bases 113

Example 10.2.1. Given

 
1 −i
A= ,
i 1
we can define T ∈ L(V, V ) with respect to the canonical basis as follows:
      
z 1 −i z1 z − iz2
T 1 = = 1 .
z2 i 1 z2 iz1 + z2
Suppose that we want to use another orthonormal basis f = (f1 , . . . , fn ) for V .
#n #n
Then, as before, we have v = i=1 v, fi fi . Comparing this with v = j=1 v, ej ej ,
we find that ⎛ ⎞
n 
n 
n
v= v, ej ej , fi fi = ⎝ ej , fi v, ej ⎠ fi .
i,j=1 i=1 j=1

Hence,
[v]f = S[v]e ,
where
S = (sij )ni,j=1 with sij = ej , fi .
th
The j column of S is given by the coefficients of the expansion of ej in terms of
the basis f = (f1 , . . . , fn ). The matrix S describes a linear map in L(Fn ), which is
called the change of basis transformation.
We may also interchange the role of bases e and f . In this case, we obtain the
matrix R = (rij )ni,j=1 , where
rij = fj , ei .
Then, by the uniqueness of the expansion in a basis, we obtain
[v]e = R[v]f
so that
RS[v]e = [v]e , for all v ∈ V .
Since this equation is true for all [v]e ∈ F , it follows that either RS = I or R = S −1 .
n

In particular, S and R are invertible. We can also check this explicitly by using the
properties of orthonormal bases. Namely,
n n
(RS)ij = rik skj = fk , ei ej , fk 
k=1 k=1
n
= ej , fk ei , fk  = [ej ]f , [ei ]f Fn = δij .
k=1
Matrix S (and similarly also R) has the interesting property that its columns are
orthonormal to one another. This follows from the fact that the columns are the
coordinates of orthonormal vectors with respect to another orthonormal basis. A
similar statement holds for the rows of S (and similarly also R). More information
about orthogonal matrices can be found in Appendix A.5.1, in particular Defini-
tion A.5.3.
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114 Linear Algebra: As an Introduction to Abstract Mathematics

Example 10.2.2. Let V = C2 , and choose the orthonormal bases e = (e1 , e2 ) and
f = (f1 , f2 ) with
   
1 0
e1 = , e2 = ,
0 1
   
1 1 1 −1
f1 = √ , f2 = √ .
2 1 2 1
Then
   
e1 , f1  e2 , f1  1 1 1
S= =√
e1 , f2  e2 , f2  2 −1 1
and
   
f1 , e1  f2 , e1  1 1 −1
R= =√ .
f1 , e2  f2 , e2  2 1 1
One can then check explicitly that indeed
    
1 1 −1 1 1 10
RS = = = I.
2 1 1 −1 1 01
So far we have only discussed how the coordinate vector of a given vector v ∈ V
changes under the change of basis from e to f . The next question we can ask is
how the matrix M (T ) of an operator T ∈ L(V ) changes if we change the basis. Let
A be the matrix of T with respect to the basis e = (e1 , . . . , en ), and let B be the
matrix for T with respect to the basis f = (f1 , . . . , fn ). How do we determine B
from A? Note that

[T v]e = A[v]e

so that

[T v]f = S[T v]e = SA[v]e = SAR[v]f = SAS −1 [v]f .

This implies that

B = SAS −1 .

Example 10.2.3. Continuing Example 10.2.2, let

 
11
A=
11
be the matrix of a linear operator with respect to the basis e. Then the matrix B
with respect to the basis f is given by
        
1 1 1 1 1 1 −1 1 1 1 20 20
B = SAS −1 = = = .
2 −1 1 1 1 1 1 2 −1 1 2 0 00
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 115

Change of Bases 115

Exercises for Chapter 10

Calculational Exercises
(1) Consider R3 with two orthonormal bases: the canonical basis e = (e1 , e2 , e3 )
and the basis f = (f1 , f2 , f3 ), where
1 1 1
f1 = √ (1, 1, 1), f2 = √ (1, −2, 1), f3 = √ (1, 0, −1) .
3 6 2
Find the matrix, S, of the change of basis transformation such that
[v]f = S[v]e , for all v ∈ R3 ,
where [v]b denotes the column vector of v with respect to the basis b.
(2) Let v ∈ C4 be the vector given by v = (1, i, −1, −i). Find the matrix (with
respect to the canonical basis on C4 ) of the orthogonal projection P ∈ L(C4 )
such that
null(P ) = {v}⊥ .
(3) Let U be the subspace of R3 that coincides with the plane through the origin
that is perpendicular to the vector n = (1, 1, 1) ∈ R3 .
(a) Find an orthonormal basis for U .
(b) Find the matrix (with respect to the canonical basis on R3 ) of the orthog-
onal projection P ∈ L(R3 ) onto U , i.e., such that range(P ) = U .
(4) Let V = C4 with its standard inner product. For θ ∈ R, let
⎛ ⎞
1
⎜ eiθ ⎟
vθ = ⎜ ⎟
⎝e2iθ ⎠ ∈ C .
4

e3iθ
Find the canonical matrix of the orthogonal projection onto the subspace
{vθ }⊥ .

Proof-Writing Exercises
(1) Let V be a finite-dimensional vector space over F with dimension n ∈ Z+ , and
suppose that b = (v1 , v2 , . . . , vn ) is a basis for V . Prove that the coordinate
vectors [v1 ]b , [v2 ]b , . . . , [vn ]b with respect to b form a basis for Fn .
(2) Let V be a finite-dimensional vector space over F, and suppose that T ∈ L(V )
is a linear operator having the following property: Given any two bases b and
c for V , the matrix M (T, b) for T with respect to b is the same as the matrix
M (T, c) for T with respect to c. Prove that there exists a scalar α ∈ F such
that T = αIV , where IV denotes the identity map on V .
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 117

Chapter 11

The Spectral Theorem for Normal Linear

Maps

In this chapter we come back to the question of when a linear operator on an inner
product space V is diagonalizable. We first introduce the notion of the adjoint
(a.k.a. hermitian conjugate) of an operator, and we then use this to define so-called
normal operators. The main result of this chapter is the Spectral Theorem, which
states that normal operators are diagonal with respect to an orthonormal basis. We
use this to show that normal operators are “unitarily diagonalizable” and generalize
this notion to finding the singular-value decomposition of an operator. In this
chapter, we will always assume F = C.

11.1 Self-adjoint or hermitian operators

Let V be a finite-dimensional inner product space over C with inner product ·, ·.
A linear operator T ∈ L(V ) is uniquely determined by the values of
T v, w, for all v, w ∈ V .
This means, in particular, that if T, S ∈ L(V ) and
T v, w = Sv, w for all v, w ∈ V ,
then T = S. To see this, take w to be the elements of an orthonormal basis of V .
Definition 11.1.1. Given T ∈ L(V ), the adjoint (a.k.a. hermitian conjugate)
of T is defined to be the operator T ∗ ∈ L(V ) for which
T v, w = v, T ∗ w, for all v, w ∈ V .
Moreover, we call T self-adjoint (a.k.a. hermitian) if T = T ∗ .
The uniqueness of T ∗ is clear by the previous observation.
Example 11.1.2. Let V = C3 , and let T ∈ L(C3 ) be defined by T (z1 , z2 , z3 ) =
(2z2 + iz3 , iz1 , z2 ). Then
(y1 , y2 , y3 ), T ∗ (z1 , z2 , z3 ) = T (y1 , y2 , y3 ), (z1 , z2 , z3 )
= (2y2 + iy3 , iy1 , y2 ), (z1 , z2 , z3 )
= 2y2 z1 + iy3 z1 + iy1 z2 + y2 z3
= (y1 , y2 , y3 ), (−iz2 , 2z1 + z3 , −iz1 )

117
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118 Linear Algebra: As an Introduction to Abstract Mathematics

so that T ∗ (z1 , z2 , z3 ) = (−iz2 , 2z1 + z3 , −iz1 ). Writing the matrix for T in terms of
the canonical basis, we see that
⎡ ⎤ ⎡ ⎤
02i 0 −i 0
M (T ) = ⎣ i 0 0⎦ and M (T ∗ ) = ⎣ 2 0 1⎦ .
010 −i 0 0

Note that M (T ∗ ) can be obtained from M (T ) by taking the complex conjugate

of each element and then transposing. This operation is called the conjugate
transpose of M (T ), and we denote it by (M (T ))∗ .

We collect several elementary properties of the adjoint operation into the follow-
ing proposition. You should provide a proof of these results for your own practice.

Proposition 11.1.3. Let S, T ∈ L(V ) and a ∈ F.

(1) (S + T )∗ = S ∗ + T ∗ .
(2) (aT )∗ = aT ∗ .
(3) (T ∗ )∗ = T .
(4) I ∗ = I.
(5) (ST )∗ = T ∗ S ∗ .
(6) M (T ∗ ) = M (T )∗ .

When n = 1, note that the conjugate transpose of a 1 × 1 matrix A is just

the complex conjugate of its single entry. Hence, requiring A to be self-adjoint
(A = A∗ ) amounts to saying that this sole entry is real. Because of the transpose,
though, reality is not the same as self-adjointness when n > 1, but the analogy does
nonetheless carry over to the eigenvalues of self-adjoint operators.

Proposition 11.1.4. Every eigenvalue of a self-adjoint operator is real.

Proof. Suppose λ ∈ C is an eigenvalue of T and that 0 = v ∈ V is a corresponding

eigenvector such that T v = λv. Then

λv2 = λv, v = T v, v = v, T ∗ v

= v, T v = v, λv = λv, v = λv2 .

This implies that λ = λ.

 
2 1+i
Example 11.1.5. The operator T ∈ L(V ) defined by T (v) = v is
1−i 3
self-adjoint, and it can be checked (e.g., using the characteristic polynomial) that
the eigenvalues of T are λ = 1, 4.
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 119

The Spectral Theorem for Normal Linear Maps 119

11.2 Normal operators

Normal operators are those that commute with their own adjoint. As we will see,
this includes many important examples of operations.

Definition 11.2.1. We call T ∈ L(V ) normal if T T ∗ = T ∗ T .

Given an arbitrary operator T ∈ L(V ), we have that T T ∗ = T ∗ T in general.

However, both T T ∗ and T ∗ T are self-adjoint, and any self-adjoint operator T is
normal. We now give a different characterization for normal operators in terms of
norms.

Proposition 11.2.2. Let V be a complex inner product space, and suppose that
T ∈ L(V ) satisfies

T v, v = 0, for all v ∈ V .

Then T = 0.

Proof. You should be able to verify that

1
T u, w = {T (u + w), u + w − T (u − w), u − w
4
+iT (u + iw), u + iw − iT (u − iw), u − iw} .
Since each term on the right-hand side is of the form T v, v, we obtain 0 for each
u, w ∈ V . Hence T = 0.

Proposition 11.2.3. Let T ∈ L(V ). Then T is normal if and only if

T v = T ∗ v, for all v ∈ V .

Proof. Note that

T is normal ⇐⇒ T ∗ T − T T ∗ = 0
⇐⇒ (T ∗ T − T T ∗ )v, v = 0, for all v ∈ V
⇐⇒ T T ∗ v, v = T ∗ T v, v, for all v ∈ V
⇐⇒ T v2 = T ∗ v2 , for all v ∈ V .

Corollary 11.2.4. Let T ∈ L(V ) be a normal operator.

(1) null (T ) = null (T ∗ ).

(2) If λ ∈ C is an eigenvalue of T , then λ is an eigenvalue of T ∗ with the same
eigenvector.
(3) If λ, μ ∈ C are distinct eigenvalues of T with associated eigenvectors v, w ∈ V ,
respectively, then v, w = 0.
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 120

120 Linear Algebra: As an Introduction to Abstract Mathematics

Proof. Note that Part 1 follows from Proposition 11.2.3 and the positive definiteness
of the norm.
To prove Part 2, first verify that if T is normal, then T − λI is also normal with
(T − λI)∗ = T ∗ − λI. Therefore, by Proposition 11.2.3, we have
0 = (T − λI)v = (T − λI)∗ v = (T ∗ − λI)v,
and so v is an eigenvector of T ∗ with eigenvalue λ.
Using Part 2, note that
(λ − μ)v, w = λv, w − v, μw = T v, w − v, T ∗ w = 0.
Since λ − μ = 0 it follows that v, w = 0, proving Part 3.

11.3 Normal operators and the spectral decomposition

Recall that an operator T ∈ L(V ) is diagonalizable if there exists a basis B for

V such that B consists entirely of eigenvectors for T . The nicest operators on V
are those that are diagonalizable with respect to some orthonormal basis for V . In
other words, these are the operators for which we can find an orthonormal basis for
V that consists of eigenvectors for T . The Spectral Theorem for finite-dimensional
complex inner product spaces states that this can be done precisely for normal
operators.
Theorem 11.3.1 (Spectral Theorem). Let V be a finite-dimensional inner product
space over C and T ∈ L(V ). Then T is normal if and only if there exists an
orthonormal basis for V consisting of eigenvectors for T .

Proof.
(“=⇒”) Suppose that T is normal. Combining Theorem 7.5.3 and Corollary 9.5.5,
there exists an orthonormal basis e = (e1 , . . . , en ) for which the matrix M (T ) is
upper triangular, i.e.,
⎡ ⎤
a11 · · · a1n
⎢ . . .. ⎥
M (T ) = ⎣ . . ⎦.
0 ann
We will show that M (T ) is, in fact, diagonal, which implies that the basis elements
e1 , . . . , en are eigenvectors of T .
Since M (T ) = (aij )ni,j=1 with aij = 0 for i > j, we have T e1 = a11 e1 and
∗
#n
T e1 = k=1 a1k ek . Thus, by the Pythagorean Theorem and Proposition 11.2.3,

n 
n
|a11 |2 = a11 e1 2 = T e1 2 = T ∗ e1 2 =  a1k ek 2 = |a1k |2 ,
k=1 k=1

from which it follows that |a12 | = · · · = |a1n | = 0. Repeating this argument,

#n
T ej 2 = |ajj |2 and T ∗ ej 2 = k=j |ajk |2 so that aij = 0 for all 2 ≤ i < j ≤ n.
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 121

The Spectral Theorem for Normal Linear Maps 121

Hence, T is diagonal with respect to the basis e, and e1 , . . . , en are eigenvectors of

T.
(“⇐=”) Suppose there exists an orthonormal basis (e1 , . . . , en ) for V that consists
of eigenvectors for T . Then the matrix M (T ) with respect to this basis is diagonal.
Moreover, M (T ∗ ) = M (T )∗ with respect to this basis must also be a diagonal
matrix. It follows that T T ∗ = T ∗ T since their corresponding matrices commute:
M (T T ∗ ) = M (T )M (T ∗ ) = M (T ∗ )M (T ) = M (T ∗ T ).

The following corollary is the best possible decomposition of a complex vector

space V into subspaces that are invariant under a normal operator T . On each
subspace null (T − λi I), the operator T acts just like multiplication by scalar λi . In
other words,
T |null (T −λi I) = λi Inull (T −λi I) .
Corollary 11.3.2. Let T ∈ L(V ) be a normal operator, and denote by λ1 , . . . , λm
the distinct eigenvalues of T .
(1) V = null (T − λ1 I) ⊕ · · · ⊕ null (T − λm I).
(2) If i = j, then null (T − λi I)⊥null (T − λj I).
As we will see in the next section, we can use Corollary 11.3.2 to decompose the
canonical matrix for a normal operator into a so-called “unitary diagonalization”.

11.4 Applications of the Spectral Theorem: diagonalization

Let e = (e1 , . . . , en ) be a basis for an n-dimensional vector space V , and let T ∈

L(V ). In this section we denote the matrix M (T ) of T with respect to basis e by
[T ]e . This is done to emphasize the dependency on the basis e. In other words, we
have that
[T v]e = [T ]e [v]e , for all v ∈ V ,
where
⎤⎡
v1
⎢ ⎥
[v]e = ⎣ ... ⎦
vn
is the coordinate vector for v = v1 e1 + · · · + vn en with vi ∈ F.
The operator T is diagonalizable if there exists a basis e such that [T ]e is diag-
onal, i.e., if there exist λ1 , . . . , λn ∈ F such that
⎡ ⎤
λ1 0
⎢ ⎥
[T ]e = ⎣ . . . ⎦ .
0 λn
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122 Linear Algebra: As an Introduction to Abstract Mathematics

The scalars λ1 , . . . , λn are necessarily eigenvalues of T , and e1 , . . . , en are the cor-

responding eigenvectors. We summarize this in the following proposition.
Proposition 11.4.1. T ∈ L(V ) is diagonalizable if and only if there exists a basis
(e1 , . . . , en ) consisting entirely of eigenvectors of T .
We can reformulate this proposition using the change of basis transformations as
follows. Suppose that e and f are bases of V such that [T ]e is diagonal, and let S be
the change of basis transformation such that [v]e = S[v]f . Then S[T ]f S −1 = [T ]e
is diagonal.
Proposition 11.4.2. T ∈ L(V ) is diagonalizable if and only if there exists an
invertible matrix S ∈ Fn×n such that
⎡ ⎤
λ1 0
⎢ ⎥
S[T ]f S −1 = ⎣ . . . ⎦ ,
0 λn
where [T ]f is the matrix for T with respect to a given arbitrary basis f = (f1 , . . . , fn ).
On the other hand, the Spectral Theorem tells us that T is diagonalizable with
respect to an orthonormal basis if and only if T is normal. Recall that
[T ∗ ]f = [T ]∗f
for any orthonormal basis f of V . As before,
A∗ = (aji )nij=1 , for A = (aij )ni,j=1 ,
is the conjugate transpose of the matrix A. When F = R, note that A∗ = AT is
just the transpose of the matrix, where AT = (aji )ni,j=1 .
The change of basis transformation between two orthonormal bases is called
unitary in the complex case and orthogonal in the real case. Let e = (e1 , . . . , en )
and f = (f1 , . . . , fn ) be two orthonormal bases of V , and let U be the change of
basis matrix such that [v]f = U [v]e , for all v ∈ V . Then
ei , ej  = δij = fi , fj  = U ei , U ej .
Since this holds for the basis e, it follows that U is unitary if and only if
U v, U w = v, w for all v, w ∈ V . (11.1)
This means that unitary matrices preserve the inner product. Operators that pre-
serve the inner product are often also called isometries. Orthogonal matrices also
define isometries.
By the definition of the adjoint, U v, U w = v, U ∗ U w, and so Equation (11.1)
implies that isometries are characterized by the property
U ∗ U = I, for the unitary case,
T
O O = I, for the orthogonal case.
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The Spectral Theorem for Normal Linear Maps 123

The equation U ∗ U = I implies that U −1 = U ∗ . For finite-dimensional inner product

spaces, the left inverse of an operator is also the right inverse, and so
UU∗ = I if and only if U ∗ U = I,
(11.2)
OOT = I if and only if OT O = I.
It is easy to see that the columns of a unitary matrix are the coefficients of the
elements of an orthonormal basis with respect to another orthonormal basis. There-
fore, the columns are orthonormal vectors in Cn (or in Rn in the real case). By
Condition (11.2), this is also true for the rows of the matrix.
The Spectral Theorem tells us that T ∈ L(V ) is normal if and only if [T ]e is
diagonal with respect to an orthonormal basis e for V , i.e., if there exists a unitary
matrix U such that
⎡ ⎤
λ1 0
⎢ ⎥
UTU∗ = ⎣ ... ⎦ .
0 λn
Conversely, if a unitary matrix U exists such that U T U ∗ = D is diagonal, then
T T ∗ − T ∗ T = U ∗ (DD − DD)U = 0
since diagonal matrices commute, and hence T is normal.
Let us summarize some of the definitions that we have seen in this section.
Definition 11.4.3. Given a square matrix A ∈ Fn×n , we call
(1) symmetric if A = AT .
(2) Hermitian if A = A∗ .
(3) orthogonal if AAT = I.
(4) unitary if AA∗ = I.
Note that every type of matrix in Definition 11.4.3 is an example of a normal
operator. An example of a normal operator N that is neither Hermitian nor unitary
is
 
−1 −1
N =i .
−1 1
You can easily verify that N N ∗ = N ∗ N and that iN is symmetric (not Hermitian).
Example 11.4.4. Consider the matrix
 
2 1+i
A=
1−i 3
from Example 11.1.5. To unitarily diagonalize A, we need to find a unitary matrix
U and a diagonal matrix D such that A = U DU −1 . To do this, we need to first
find a basis for C2 that consists entirely of orthonormal eigenvectors for the linear
map T ∈ L(C2 ) defined by T v = Av, for all v ∈ C2 .
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124 Linear Algebra: As an Introduction to Abstract Mathematics

To find such an orthonormal basis, we start by finding the eigenspaces of T. We


10
already determined that the eigenvalues of T are λ1 = 1 and λ2 = 4, so D = .
04
It follows that
C2 = null (T − I) ⊕ null (T − 4I)
= span((−1 − i, 1)) ⊕ span((1 + i, 2)).
Now apply the Gram-Schmidt procedure to each eigenspace in order to obtain the
columns of U . Here,
/ 0 / 0−1
−1−i
√ 1+i
√ −1−i
√ 1+i
√
−1 3 6 1 0 3 6
A = U DU =
√1 √2 04 √1 √2
3 6 3 6
/ 0 / 0
−1−i
√ 1+i
√ −1+i
√ √ 1
3 6 10 3 3
= .
√1 √2 04 1−i
√ √2
3 6 6 6

As an application, note that such diagonal decomposition allows us to easily

compute powers and the exponential of matrices. Namely, if A = U DU −1 with D
diagonal, then we have
An = (U DU −1 )n = U Dn U −1 ,
∞
∞ 
 1 k  1
exp(A) = A =U D U −1 = U exp(D)U −1 .
k
k! k!
k=0 k=0

Example 11.4.5. Continuing Example 11.4.4,

   
1 0 6 5 + 5i
A2 = (U DU −1 )2 = U D2 U −1 = U U∗ = ,
0 16 5 − 5i 11

   2 n−1 1+i 2n

n −1 n n −1 1 0 ∗ 3 (1 + 2 ) 3 (−1 + 2 )
A = (U DU ) = UD U =U 2n U = 1−i 2n 1 2n+1 ,
02 3 (−1 + 2 ) 3 (1 + 2 )

   
−1 e 0 −1 1 2e + e4 e4 − e + i(e4 − e)
exp(A) = U exp(D)U =U U = .
0 e4 3 e4 − e + i(e − e4 ) e + 2e4

11.5 Positive operators

Recall that self-adjoint operators are the operator analog for real numbers. Let us
now define the operator analog for positive (or, more precisely, non-negative) real
numbers.
Definition 11.5.1. An operator T ∈ L(V ) is called positive (denoted T ≥ 0) if
T = T ∗ and T v, v ≥ 0 for all v ∈ V .
(If V is a complex vector space, then the condition of self-adjointness follows
from the condition T v, v ≥ 0 and hence can be dropped.)
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The Spectral Theorem for Normal Linear Maps 125

Example 11.5.2. Note that, for all T ∈ L(V ), we have T ∗ T ≥ 0 since T ∗ T is

self-adjoint and T ∗ T v, v = T v, T v ≥ 0.
Example 11.5.3. Let U ⊂ V be a subspace of V and PU be the orthogonal
projection onto U . Then PU ≥ 0. To see this, write V = U ⊕ U ⊥ and v = uv + u⊥ v
for each v ∈ V , where uv ∈ U and u⊥ v ∈ U ⊥
. Then P U v, w = u v , u w + u ⊥
w  =
uv , uw  = uv + u⊥ ∗
v , uw  = v, PU w so that PU = PU . Also, setting v = w in the
above string of equations, we obtain PU v, v = uv , uv  ≥ 0, for all v ∈ V . Hence,
PU ≥ 0.
If λ is an eigenvalue of a positive operator T and v ∈ V is an associated eigen-
vector, then T v, v = λv, v = λv, v ≥ 0. Since v,√
v ≥ 0 for all vectors v ∈ V ,
it follows that λ ≥ 0. This fact can be used to define T by setting
√

T e i = λi e i ,
where λi are the eigenvalues of T with respect to the orthonormal basis e =
(e1 , . . . , en ). We know that these exist by the Spectral Theorem.

11.6 Polar decomposition

Continuing the analogy between C and L(V ), recall the polar form of a complex
number z = |z|eiθ , where |z| is the absolute value or modulus of z and eiθ lies on
the unit circle in R2 . In terms of an operator T ∈ L(V ), where V is a complex inner
product space, a unitary operator U takes the role of eiθ ,√and |T | takes the role of
the modulus. As in Section 11.5, T ∗ T ≥ 0 so that |T | := T ∗ T exists and satisfies
|T | ≥ 0 as well.
Theorem 11.6.1. For each T ∈ L(V ), there exists a unitary U such that
T = U |T |.
This is called the polar decomposition of T .

Sketch of proof. We start by noting that

T v2 =  |T | v2 ,
√ √
since T v, T v = v, T ∗ T v =  T ∗ T v, T ∗ T v. This implies that null (T ) =
null (|T |). By the Dimension Formula, this also means that dim(range (T )) =
dim(range (|T |)). Moreover, we can define an isometry S : range (|T |) → range (T )
by setting
S(|T |v) = T v.
The trick is now to define a unitary operator U on all of V such that the restriction
of U onto the range of |T | is S, i.e.,
U |range (|T |) = S.
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126 Linear Algebra: As an Introduction to Abstract Mathematics

Note that null (|T |)⊥range (|T |), i.e., for v ∈ null (|T |) and w = |T |u ∈ range (|T |),

w, v = |T |u, v = u, |T |v = u, 0 = 0

since |T | is self-adjoint.
Pick an orthonormal basis e = (e1 , . . . , em ) of null (|T |) and an orthonormal basis
f = (f1 , . . . , fm ) of (range (T ))⊥ . Set S̃ei = fi , and extend S̃ to all of null (|T |)
by linearity. Since null (|T |)⊥range (|T |), any v ∈ V can be uniquely written as
v = v1 + v2 , where v1 ∈ null (|T |) and v2 ∈ range (|T |). Now define U : V → V by
setting U v = S̃v1 + Sv2 . Then U is an isometry. Moreover, U is also unitary, as
shown by the following calculation application of the Pythagorean theorem:

U v2 = S̃v1 + Sv2 2 = S̃v1 2 + Sv2 2

= v1 2 + v2 2 = v2 .

Also, note that U |T | = T by construction since U |null (|T |) is irrelevant.

11.7 Singular-value decomposition

The singular-value decomposition generalizes the notion of diagonalization. To

unitarily diagonalize T ∈ L(V ) means to find an orthonormal basis e such that
T is diagonal with respect to this basis, i.e.,
⎡ ⎤
λ1 0
⎢ ⎥
M (T ; e, e) = [T ]e = ⎣ . . . ⎦ ,
0 λn

where the notation M (T ; e, e) indicates that the basis e is used both for the domain
and codomain of T . The Spectral Theorem tells us that unitary diagonalization can
only be done for normal operators. In general, we can find two orthonormal bases
e and f such that
⎡ ⎤
s1 0
⎢ ⎥
M (T ; e, f ) = ⎣ . . . ⎦ ,
0 sn
which means that T ei = si fi even if T is not normal. The scalars si are called
singular values of T . If T is diagonalizable, then these are the absolute values of
the eigenvalues.

Theorem 11.7.1. All T ∈ L(V ) have a singular-value decomposition. That is,

there exist orthonormal bases e = (e1 , . . . , en ) and f = (f1 , . . . , fn ) such that

T v = s1 v, e1 f1 + · · · + sn v, en fn ,

where si are the singular values of T .

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The Spectral Theorem for Normal Linear Maps 127

Proof. Since |T | ≥ 0, it is also self-adjoint. Thus, by the Spectral Theorem, there

is an orthonormal basis e = (e1 , . . . , en ) for V such that |T |ei = si ei . Let U be
the unitary matrix in the polar decomposition of T . Since e is orthonormal, we can
write any vector v ∈ V as

v = v, e1 e1 + · · · + v, en en ,

and hence

T v = U |T |v = s1 v, e1 U e1 + · · · + sn v, en U en .

Now set fi = U ei for all 1 ≤ i ≤ n. Since U is unitary, (f1 , . . . , fn ) is also an

orthonormal basis, proving the theorem.

Exercises for Chapter 11

Calculational Exercises
(1) Consider R3 with two orthonormal bases: the canonical basis e = (e1 , e2 , e3 )
and the basis f = (f1 , f2 , f3 ), where
1 1 1
f1 = √ (1, 1, 1), f2 = √ (1, −2, 1), f3 = √ (1, 0, −1) .
3 6 2
Find the canonical matrix, A, of the linear map T ∈ L(R3 ) with eigenvectors
f1 , f2 , f3 and eigenvalues 1, 1/2, −1/2, respectively.
(2) For each of the following matrices, verify that A is Hermitian by showing that
A = A∗ , find a unitary matrix U such that U −1 AU is a diagonal matrix, and
compute exp(A).
     
4 1−i 3 −i 6 2 + 2i
(a) A = (b) A = (c) A =
1+i 5 i 3 2 − 2i 4
⎡ −i ⎤
⎡ ⎤ 2 √i2 √
  5 0 0 2
0 3+i ⎢ −i ⎥
(d) A = (e) A = ⎣ 0 −1 −1 + i ⎦ (f) A = ⎢ √
⎣ 2
2 0 ⎥
⎦
3 − i −3
0 −1 − i 0 √i
0 2
2
(3) For each of the following matrices, either find a matrix P (not necessarily uni-
tary) such that P −1 AP is a diagonal matrix, or show why no such matrix exists.
⎡ ⎤ ⎡ ⎤ ⎡ ⎤
19 −9 −6 −1 4 −2 500
(a) A = ⎣ 25 −11 −9 ⎦ (b) A = ⎣ −3 4 0 ⎦ (c) A = ⎣ 1 5 0 ⎦
17 −9 −4 −3 1 3 015
⎡ ⎤ ⎡ ⎤ ⎡ ⎤
000 −i 1 1 00i
(d) A = ⎣ 0 0 0 ⎦ (e) A = ⎣ −i 1 1 ⎦ (f) A = ⎣ 4 0 i ⎦
301 −i 1 1 00i
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128 Linear Algebra: As an Introduction to Abstract Mathematics

(4) Let r ∈ R and let T ∈ L(C2 ) be the linear map with canonical matrix
 
1 −1
T = .
−1 r
(a) Find the eigenvalues of T .
(b) Find an orthonormal basis of C2 consisting of eigenvectors of T .
(c) Find a unitary matrix U such that U T U ∗ is diagonal.
(5) Let A be the complex matrix given by:
⎡ ⎤
5 0 0
A = ⎣ 0 −1 −1 + i ⎦
0 −1 − i 0
(a) Find the eigenvalues of A.
(b) Find an orthonormal
√ basis of eigenvectors of A.
(c) Calculate |A| = A∗ A.
(d) Calculate eA .
(6) Let θ ∈ R, and let T ∈ L(C2 ) have canonical matrix
 
1 eiθ
M (T ) = −iθ .
e −1
(a) Find the eigenvalues of T .
(b) Find an orthonormal basis for C2 that consists of eigenvectors for T .

Proof-Writing Exercises
(1) Prove or give a counterexample: The product of any two self-adjoint operators
on a finite-dimensional vector space is self-adjoint.
(2) Prove or give a counterexample: Every unitary matrix is invertible.
(3) Let V be a finite-dimensional vector space over F, and suppose that T ∈ L(V )
satisfies T 2 = T . Prove that T is an orthogonal projection if and only if T is
self-adjoint.
(4) Let V be a finite-dimensional inner product space over C, and suppose that
T ∈ L(V ) has the property that T ∗ = −T . (We call T a skew Hermitian
operator on V .)
(a) Prove that the operator iT ∈ L(V ) defined by (iT )(v) = i(T (v)), for each
v ∈ V , is Hermitian.
(b) Prove that the canonical matrix for T can be unitarily diagonalized.
(c) Prove that T has purely imaginary eigenvalues.
(5) Let V be a finite-dimensional vector space over F, and suppose that S, T ∈ L(V )
are positive operators on V . Prove that S + T is also a positive operator on T .
(6) Let V be a finite-dimensional vector space over F, and let T ∈ L(V ) be any
operator on V . Prove that T is invertible if and only if 0 is not a singular value
of T .
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 129

Appendix A

Supplementary Notes on Matrices and

Linear Systems

As discussed in Chapter 1, there are many ways in which you might try to solve a sys-
tem of linear equation involving a finite number of variables. These supplementary
notes are intended to illustrate the use of Linear Algebra in solving such systems.
In particular, any arbitrary number of equations in any number of unknowns — as
long as both are finite — can be encoded as a single matrix equation. As you
will see, this has many computational advantages, but, perhaps more importantly,
it also allows us to better understand linear systems abstractly. Specifically, by
exploiting the deep connection between matrices and so-called linear maps, one can
completely determine all possible solutions to any linear system.
These notes are also intended to provide a self-contained introduction to matrices
and important matrix operations. As you read the sections below, remember that
a matrix is, in general, nothing more than a rectangular array of real or complex
numbers. Matrices are not linear maps. Instead, a matrix can (and will often) be
used to define a linear map.

A.1 From linear systems to matrix equations

We begin this section by reviewing the definition of and notation for matrices. We
then review several different conventions for denoting and studying systems of linear
equations. This point of view has a long history of exploration, and numerous
computational devices — including several computer programming languages —
have been developed and optimized specifically for analyzing matrix equations.

129
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130 Linear Algebra: As an Introduction to Abstract Mathematics

A.1.1 Definition of and notation for matrices

Let m, n ∈ Z+ be positive integers, and, as usual, let F denote either R or C. Then
we begin by defining an m × n matrix A to be a rectangular array of numbers
⎡ ⎤⎫
a11 · · · a1n ⎪ ⎬
⎢ ⎥
A = (aij )m,n
i,j=1 = (A )i,j=1 = ⎣ ... . . . ... ⎦ m numbers
(i,j) m,n
⎪
⎭
am1 · · · amn
  
n numbers
where each element aij ∈ F in the array is called an entry of A (specifically, aij
is called the “i, j entry”). We say that i indexes the rows of A as it ranges over
the set {1, . . . , m} and that j indexes the columns of A as it ranges over the set
{1, . . . , n}. We also say that the matrix A has size m × n and note that it is a
(finite) sequence of doubly-subscripted numbers for which the two subscripts in no
way depend upon each other.
Definition A.1.1. Given positive integers m, n ∈ Z+ , we use Fm×n to denote the
set of all m × n matrices having entries in F.
 
1 02
Example A.1.2. The matrix A = ∈ C2×3 , but A ∈
/ R2×3 since the “2, 3”
−1 3 i
entry of A is not in R.
Given the ubiquity of matrices in both abstract and applied mathematics, a
rich vocabulary has been developed for describing various properties and features
of matrices. In addition, there is also a rich set of equivalent notations. For the
purposes of these notes, we will use the above notation unless the size of the matrix
is understood from the context or is unimportant. In this case, we will drop much
of this notation and denote a matrix simply as
A = (aij ) or A = (aij )m×n .
To get a sense of the essential vocabulary, suppose that we have an m × n
matrix A = (aij ) with m = n. Then we call A a square matrix. The elements
a11 , a22 , . . . , ann in a square matrix form the main diagonal of A, and the elements
a1n , a2,n−1 , . . . , an1 form what is sometimes called the skew main diagonal of A.
Entries not on the main diagonal are also often called off-diagonal entries, and a
matrix whose off-diagonal entries are all zero is called a diagonal matrix. It is
common to call a12 , a23 , . . . , an−1,n the superdiagonal of A and a21 , a32 , . . . , an,n−1
the subdiagonal of A. The motivation for this terminology should be clear if
you create a sample square matrix and trace the entries within these particular
subsequences of the matrix.
Square matrices are important because they are fundamental to applications of
Linear Algebra. In particular, virtually every use of Linear Algebra either involves
square matrices directly or employs them in some indirect manner. In addition,
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 131

Supplementary Notes on Matrices and Linear Systems 131

virtually every usage also involves the notion of vector, by which we mean here
either an m × 1 matrix (a.k.a. a row vector) or a 1 × n matrix (a.k.a. a column
vector).
Example A.1.3. Suppose that A = (aij ), B = (bij ), C = (cij ), D = (dij ), and
E = (eij ) are the following matrices over F:
⎡ ⎤ ⎡ ⎤ ⎡ ⎤
3   15 2 613
4 −1  
A = ⎣ −1 ⎦, B = , C = 1, 4, 2 , D = ⎣ −1 0 1 ⎦, E = ⎣ −1 1 2 ⎦.
0 2
1 32 4 413
Then we say that A is a 3 × 1 matrix (a.k.a. a column vector), B is a 2 × 2 square
matrix, C is a 1 × 3 matrix (a.k.a. a row vector), and both D and E are square
3 × 3 matrices. Moreover, only B is an upper-triangular matrix (as defined below),
and none of the matrices in this example are diagonal matrices.
We can discuss individual entries in each matrix. E.g.,
• the 2nd row of D is d21 = −1, d22 = 0, and d23 = 1.
• the main diagonal of D is the sequence d11 = 1, d22 = 0, d33 = 4.
• the skew main diagonal of D is the sequence d13 = 2, d22 = 0, d31 = 3.
• the off-diagonal entries of D are (by row) d12 , d13 , d21 , d23 , d31 , and d32 .
• the 2nd column of E is e12 = e22 = e32 = 1.
• the superdiagonal of E is the sequence e12 = 1, e23 = 2.
• the subdiagonal of E is the sequence e21 = −1, e32 = 1.
A square matrix A = (aij ) ∈ Fn×n is called upper triangular (resp. lower
triangular) if aij = 0 for each pair of integers i, j ∈ {1, . . . , n} such that i > j
(resp. i < j). In other words, A is triangular if it has the form
⎡ ⎤ ⎡ ⎤
a11 a12 a13 · · · a1n a11 0 0 · · · 0
⎢ 0 a22 a23 · · · a2n ⎥ ⎢ a21 a22 0 · · · 0 ⎥
⎢ ⎥ ⎢ ⎥
⎢ 0 0 a33 · · · a3n ⎥ ⎢ ⎥
⎢ ⎥ or ⎢ a31 a32 a33 · · · 0 ⎥ .
⎢ . . . . ⎥ ⎢ ⎥
⎣ .. .. .. . . ... ⎦ ⎣ ... ... ... . . . ... ⎦
0 0 0 · · · ann an1 an2 an3 · · · ann
Note that a diagonal matrix is simultaneously both an upper triangular matrix and
a lower triangular matrix.
Two particularly important examples of diagonal matrices are defined as follows:
Given any positive integer n ∈ Z+ , we can construct the identity matrix In and
the zero matrix 0n×n by setting
⎡ ⎤ ⎡ ⎤
1 0 0 ··· 0 0 0 0 0 ··· 0 0
⎢ 0 1 0 · · · 0 0⎥ ⎢ 0 0 0 · · · 0 0⎥
⎢ ⎥ ⎢ ⎥
⎢ ⎥ ⎢ ⎥
⎢ 0 0 1 · · · 0 0⎥ ⎢ 0 0 0 · · · 0 0⎥
⎥
In = ⎢ . . . . . . ⎥ and 0n×n = ⎢ . . . . . . ⎥
⎢ ⎢
⎥,
⎢ .. .. .. . . .. .. ⎥ ⎢ .. .. .. . . .. .. ⎥
⎢ ⎥ ⎢ ⎥
⎣ 0 0 0 · · · 1 0⎦ ⎣ 0 0 0 · · · 0 0⎦
0 0 0 ··· 0 1 0 0 0 ··· 0 0
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132 Linear Algebra: As an Introduction to Abstract Mathematics

where each of these matrices is understood to be a square matrix of size n × n. The

zero matrix 0m×n is analogously defined for any m, n ∈ Z+ and has size m × n. I.e.,

⎡ ⎤⎫
0 0 0 ··· 0 0 ⎪ ⎪
⎢ 0 0 0 · · · 0 0⎥ ⎪ ⎪
⎢ ⎥⎪⎪
⎢ ⎥⎪⎪
⎢ 0 0 0 · · · 0 0⎥ ⎬
0m×n ⎢ ⎥
= ⎢ . . . . . . ⎥ m rows
⎢ .. .. .. . . .. .. ⎥⎪⎪
⎢ ⎥⎪⎪
⎣ 0 0 0 · · · 0 0⎦ ⎪ ⎪
⎪
⎪
⎭
0 0 0 ··· 0 0
  
n columns

A.1.2 Using matrices to encode linear systems

Let m, n ∈ Z+ be positive integers. Then a system of m linear equations in n
unknowns x1 , . . . , xn looks like
⎫
a11 x1 + a12 x2 + a13 x3 + · · · + a1n xn = b1 ⎪
⎪
⎪
⎪
a21 x1 + a22 x2 + a23 x3 + · · · + a2n xn = b2 ⎪
⎪
⎪
⎪
⎬
a31 x1 + a32 x2 + a33 x3 + · · · + a3n xn = b3 , (A.1)
⎪
⎪
.. ⎪
⎪
. ⎪
⎪
⎪
⎪
⎭
am1 x1 + am2 x2 + am3 x3 + · · · + amn xn = bm
where each aij , bi ∈ F is a scalar for i = 1, 2, . . . , m and j = 1, 2, . . . , n. In other
words, each scalar b1 , . . . , bm ∈ F is being written as a linear combination of the
unknowns x1 , . . . , xn using coefficients from the field F. To solve System (A.1)
means to describe the set of all possible values for x1 , . . . , xn (when thought of
as scalars in F) such that each of the m equations in System (A.1) is satisfied
simultaneously.
Rather than dealing directly with a given linear system, it is often convenient to
first encode the system using less cumbersome notation. Specifically, System (A.1)
can be summarized using exactly three matrices. First, we collect the coefficients
from each equation into the m × n matrix A = (aij ) ∈ Fm×n , which we call the
coefficient matrix for the linear system. Similarly, we assemble the unknowns
x1 , x2 , . . . , xn into an n × 1 column vector x = (xi ) ∈ Fn , and the right-hand sides
b1 , b2 , . . . , bm of the equation are used to form an m×1 column vector b = (bi ) ∈ Fm .
In other words,
⎡ ⎤ ⎡ ⎤ ⎡ ⎤
a11 a12 · · · a1n x1 b1
⎢ a21 a22 · · · a2n ⎥ ⎢ x2 ⎥ ⎢ b2 ⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥
A=⎢ . .. . . .. ⎥ , x = ⎢ .. ⎥ , and b = ⎢ .. ⎥ .
⎣ .. . . . ⎦ ⎣ . ⎦ ⎣ . ⎦
am1 am2 · · · amn xn bm
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Supplementary Notes on Matrices and Linear Systems 133

Then the left-hand side of the ith equation in System (A.1) can be recovered by
taking the dot product (a.k.a. Euclidean inner product) of x with the ith row
in A:
  
n
ai1 ai2 · · · ain · x = aij xj = ai1 x1 + ai2 x2 + ai3 x3 + · · · + ain xn .
j=1
In general, we can extend the dot product between two vectors in order to form
the product of any two matrices (as in Section A.2.2). For the purposes of this
section, though, it suffices to define the product of the matrix A ∈ Fm×n and the
vector x ∈ Fn to be
⎡ ⎤⎡ ⎤ ⎡ ⎤
a11 a12 · · · a1n x1 a11 x1 + a12 x2 + · · · + a1n xn
⎢ a21 a22 · · · a2n ⎥ ⎢ x2 ⎥ ⎢ a21 x1 + a22 x2 + · · · + a2n xn ⎥
⎢ ⎥⎢ ⎥ ⎢ ⎥
Ax = ⎢ . .. . . .. ⎥ ⎢ .. ⎥ = ⎢ .. ⎥. (A.2)
⎣ .. . . . ⎦⎣ . ⎦ ⎣ . ⎦
am1 am2 · · · amn xn am1 x1 + am2 x2 + · · · + amn xn
Then, since each entry in the resulting m × 1 column vector Ax ∈ Fm corresponds
exactly to the left-hand side of each equation in System (A.1), we have effectively
encoded System (A.1) as the single matrix equation
⎡ ⎤
a11 x1 + a12 x2 + · · · + a1n xn ⎡ ⎤
⎢ a21 x1 + a22 x2 + · · · + a2n xn ⎥ b1
⎢ ⎥ ⎢ .. ⎥
Ax = ⎢ .. ⎥ = ⎣ . ⎦ = b. (A.3)
⎣ . ⎦
bm
am1 x1 + am2 x2 + · · · + amn xn
Example A.1.4. The linear system
⎫
x1 + 6x2 + 4x5 − 2x6 = 14 ⎬
x3 + 3x5 + x6 = −3
⎭
x4 + 5x5 + 2x6 = 11
has three equations and involves the six variables x1 , x2 , . . . , x6 . One can check that
possible solutions to this system include
⎡ ⎤ ⎡ ⎤ ⎡ ⎤ ⎡ ⎤
x1 14 x1 6
⎢x ⎥ ⎢ 0 ⎥ ⎢x ⎥ ⎢ 1 ⎥
⎢ 2⎥ ⎢ ⎥ ⎢ 2⎥ ⎢ ⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎢x3 ⎥ ⎢−3⎥ ⎢x3 ⎥ ⎢−9⎥
⎢ ⎥ = ⎢ ⎥ and ⎢ ⎥ = ⎢ ⎥ .
⎢x4 ⎥ ⎢ 11 ⎥ ⎢x4 ⎥ ⎢−5⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎣x6 ⎦ ⎣ 0 ⎦ ⎣ x6 ⎦ ⎣ 2 ⎦
x6 0 x6 3
Note that, in describing these solutions, we have used the six unknowns
x1 , x2 , . . . , x6 to form the 6 × 1 column vector x = (xi ) ∈ F6 . We can similarly
form the coefficient matrix A ∈ F3×6 and the 3 × 1 column vector b ∈ F3 , where
⎡ ⎤ ⎡ ⎤ ⎡ ⎤
1 6 0 0 4 −2 b1 14
A = ⎣0 0 1 0 3 1 ⎦ and ⎣b2 ⎦ = ⎣−3⎦ .
00015 2 b3 11
You should check that, given these matrices, each of the solutions given above
satisfies Equation (A.3).
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134 Linear Algebra: As an Introduction to Abstract Mathematics

We close this section by mentioning another common convention for encoding

linear systems. Specifically, rather than attempting to solve Equation (A.1) di-
rectly, one can instead look at the equivalent problem of describing all coefficients
x1 , . . . , xn ∈ F for which the following vector equation is satisfied:
⎡ ⎤ ⎡ ⎤ ⎡ ⎤ ⎡ ⎤ ⎡ ⎤
a11 a12 a13 a1n b1
⎢ a21 ⎥ ⎢ a22 ⎥ ⎢ a23 ⎥ ⎢ a2n ⎥ ⎢ b2 ⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
x1 ⎢ a31 ⎥ + x2 ⎢ a32 ⎥ + x3 ⎢ a33 ⎥ + · · · + xn ⎢ a3n ⎥ = ⎢ b3 ⎥ . (A.4)
⎢ . ⎥ ⎢ . ⎥ ⎢ . ⎥ ⎢ . ⎥ ⎢ . ⎥
⎣ .. ⎦ ⎣ .. ⎦ ⎣ .. ⎦ ⎣ .. ⎦ ⎣ .. ⎦
am1 am2 am3 amn bm

This approach emphasizes analysis of the so-called column vectors A(·,j) (j =

1, . . . , n) of the coefficient matrix A in the matrix equation Ax = b. (See in Sec-
tion A.2 for more details about how Equation (A.4) is formed.) Conversely, it is
also common to directly encounter Equation (A.4) when studying certain questions
about vectors in Fn .
It is important to note that System (A.1) differs from Equations (A.3) and (A.4)
only in terms of notation. The common aspect of these different representations is
that the left-hand side of each equation in System (A.1) is a linear sum. Because of
this, it is also common to rewrite System (A.1) using more compact notation such
as

n 
n 
n 
n
a1k xk = b1 , a2k xk = b2 , a3k xk = b3 , . . . , amk xk = bm .
k=1 k=1 k=1 k=1

A.2 Matrix arithmetic

In this section, we examine algebraic properties of the set Fm×n (where m, n ∈ Z+ ).

Specifically, Fm×n forms a vector space under the operations of component-wise
addition and scalar multiplication, and it is isomorphic to Fmn as a vector space.
We also define a multiplication operation between matrices of compatible size
and show that this multiplication operation interacts with the vector space structure
on Fm×n in a natural way. In particular, Fn×n forms an algebra over F with respect
to these operations. (See Section C.3 for the definition of an algebra.)

A.2.1 Addition and scalar multiplication

Let A = (aij ) and B = (bij ) be m × n matrices over F (where m, n ∈ Z+ ), and let

α ∈ F. Then matrix addition A + B = ((a + b)ij )m×n and scalar multiplication
αA = ((αa)ij )m×n are both defined component-wise, meaning

(a + b)ij = aij + bij and (αa)ij = αaij .

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Supplementary Notes on Matrices and Linear Systems 135

Equivalently, A + B is the m × n matrix given by

⎡ ⎤ ⎡ ⎤ ⎡ ⎤
a11 · · · a1n b11 · · · b1n a11 + b11 · · · a1n + b1n
⎢ .. . . . ⎥ ⎢ . . . ⎥ ⎢ .. .. .. ⎥
⎣ . . .. ⎦ + ⎣ .. . . .. ⎦ = ⎣ . . . ⎦,
am1 · · · amn bm1 · · · bmn am1 + bm1 · · · amn + bmn
and αA is the m × n matrix given by
⎡ ⎤ ⎡ ⎤
a11 · · · a1n αa11 · · · αa1n
⎢ ⎥ ⎢ .. ⎥ .
α ⎣ ... . . . ... ⎦ = ⎣ ... . . . . ⎦
am1 · · · amn αam1 · · · αamn
Example A.2.1. With notation as in Example A.1.3,
⎡ ⎤
765
D + E = ⎣ −2 1 3 ⎦ ,
737
and no two other matrices from Example A.1.3 can be added since their sizes are
not compatible. Similarly, we can make calculations like
⎡ ⎤ ⎡ ⎤
−5 4 −1 000
D − E = D + (−1)E = ⎣ 0 −1 −1 ⎦ and 0D = 0E = ⎣ 0 0 0 ⎦ = 03×3 .
−1 1 1 000
It is important to note that the above operations endow F m×n
with a natural
vector space structure. As a vector space, F m×n
is seen to have dimension mn since
we can build the standard basis matrices
E11 , E12 , . . . , E1n , E21 , E22 , . . . , E2n , . . . , Em1 , Em2 , . . . , Emn
by analogy to the standard basis for Fmn . That is, each Ek = ((e(k,) )ij ) satisfies
1, if i = k and j = 
(e(k,) )ij = .
0, otherwise
This allows us to build a vector space isomorphism Fm×n → Fmn using a bijection
that simply “lays each matrix out flat”. In other words, given A = (aij ) ∈ Fm×n ,
⎡ ⎤
a11 · · · a1n
⎢ .. . . . ⎥
. .. ⎦ → (a11 , a12 , . . . , a1n , a21 , a22 , . . . , a2n , . . . , am1 , am2 , . . . , amn ) ∈ F .
mn
⎣ .
am1 · · · amn
Example A.2.2. The vector space R2×3 of 2 × 3 matrices over R has standard
basis       
100 010 001
E11 = , E12 = , E13 = ,
000 000 000
     
000 000 000
E21 = , E22 = , E23 = ,
100 010 001
which is seen to naturally correspond with the standard basis {e1 , . . . , e6 } for R6 ,
where
e1 = (1, 0, 0, 0, 0, 0), e2 = (0, 1, 0, 0, 0, 0), . . . , e6 = (0, 0, 0, 0, 0, 1).
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136 Linear Algebra: As an Introduction to Abstract Mathematics

Of course, it is not enough to just assert that Fm×n is a vector space since
we have yet to verify that the above defined operations of addition and scalar
multiplication satisfy the vector space axioms. The proof of the following theorem
is straightforward and something that you should work through for practice with
matrix notation.
Theorem A.2.3. Given positive integers m, n ∈ Z+ and the operations of matrix
addition and scalar multiplication as defined above, the set Fm×n of all m × n
matrices satisfies each of the following properties.

(1) (associativity of matrix addition) Given any three matrices A, B, C ∈ Fm×n ,

(A + B) + C = A + (B + C).
(2) (additive identity for matrix addition) Given any matrix A ∈ Fm×n ,
A + 0m×n = 0m×n + A = A.
(3) (additive inverses for matrix addition) Given any matrix A ∈ Fm×n , there exists
a matrix −A ∈ Fm×n such that
A + (−A) = (−A) + A = 0m×n .
(4) (commutativity of matrix addition) Given any two matrices A, B ∈ Fm×n ,
A + B = B + A.
(5) (associativity of scalar multiplication) Given any matrix A ∈ Fm×n and any
two scalars α, β ∈ F,
(αβ)A = α(βA).
(6) (multiplicative identity for scalar multiplication) Given any matrix A ∈ Fm×n
and denoting by 1 the multiplicative identity of F,
1A = A.
(7) (distributivity of scalar multiplication) Given any two matrices A, B ∈ Fm×n
and any two scalars α, β ∈ F,
(α + β)A = αA + βA and α(A + B) = αA + αB.

In other words, Fm×n forms a vector space under the operations of matrix addition
and scalar multiplication.
As a consequence of Theorem A.2.3, every property that holds for an arbitrary
vector space can be taken as a property of Fm×n specifically. We highlight some of
these properties in the following corollary to Theorem A.2.3.
Corollary A.2.4. Given positive integers m, n ∈ Z+ and the operations of matrix
addition and scalar multiplication as defined above, the set Fm×n of all m × n
matrices satisfies each of the following properties:
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Supplementary Notes on Matrices and Linear Systems 137

(1) Given any matrix A ∈ Fm×n , given any scalar α ∈ F, and denoting by 0 the
additive identity of F,
0A = A and α0m×n = 0m×n .
(2) Given any matrix A ∈ Fm×n and any scalar α ∈ F,
αA = 0 =⇒ either α = 0 or A = 0m×n .
(3) Given any matrix A ∈ Fm×n and any scalar α ∈ F,
−(αA) = (−α)A = α(−A).
In particular, the additive inverse −A of A is given by −A = (−1)A, where −1
denotes the additive inverse for the additive identity of F.

While one could prove Corollary A.2.4 directly from definitions, the point of recog-
nizing Fm×n as a vector space is that you get to use these results without worrying
about their proof. Moreover, there is no need for separate proofs for F = R and
F = C.

A.2.2 Multiplication of matrices

Let r, s, t ∈ Z+ be positive integers, A = (aij ) ∈ Fr×s be an r × s matrix, and B =
(bij ) ∈ Fs×t be an s × t matrix. Then matrix multiplication AB = ((ab)ij )r×t is
defined by

s
(ab)ij = aik bkj .
k=1

In particular, note that the “i, j entry” of the matrix product AB involves a sum-
mation over the positive integer k = 1, . . . , s, where s is both the number of columns
in A and the number of rows in B. Thus, this multiplication is only defined when
the “middle” dimension of each matrix is the same:

⎧⎡ ⎤ ⎡ ⎤⎫
⎪
⎨ a11 ··· a1s · · · b1t ⎪
b11 ⎬
⎢ .. ⎥ ⎢ ... . .. ⎥
(aij )r×s (bij )s×t = r ⎣ ... ..
. . ⎦ ⎣ . ⎦
. . ⎪s
⎪
⎩ ⎭
ar1 ··· ars · · · bst
bs1
     
s t
⎡#s #s ⎤⎫
k=1 ···
a1k bk1 k=1 a1k bkt ⎪ ⎬
⎢ .. .. .. ⎥
= ⎣ . . . ⎦ r
#s #s ⎪
⎭
···
k=1 ark bk1 k=1 ark bkt
  
t
Alternatively, if we let n ∈ Z+ be a positive integer, then another way of viewing
matrix multiplication is through the use of the standard inner product on Fn =
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138 Linear Algebra: As an Introduction to Abstract Mathematics

F1×n = Fn×1 . In particular, we define the dot product (a.k.a. Euclidean inner
product) of the row vector x = (x1j ) ∈ F1×n and the column vector y = (yi1 ) ∈
Fn×1 to be
⎡ ⎤
y11
  ⎢ . ⎥  n
x · y = x11 , · · · , x1n · ⎣ .. ⎦ = x1k yk1 ∈ F.
k=1
yn1
We can then decompose matrices A = (aij )r×s and B = (bij )s×t into their con-
stituent row vectors by fixing a positive integer k ∈ Z+ and setting
   
A(k,·) = ak1 , · · · , aks ∈ F1×s and B (k,·) = bk1 , · · · , bkt ∈ F1×t .
Similarly, fixing  ∈ Z+ , we can also decompose A and B into the column vectors
⎡ ⎤ ⎡ ⎤
a1 b1
⎢ .. ⎥ ⎢ .. ⎥
A(·,) =⎣ . ⎦∈F r×1
and B (·,)
= ⎣ . ⎦ ∈ Fs×1 .
ar bs
It follows that the product AB is the following matrix of dot products:
⎡ (1,·) ⎤
A · B (·,1) · · · A(1,·) · B (·,t)
⎢ .. .. .. ⎥
⎦∈F .
r×t
AB = ⎣ . . .
A(r,·) · B (·,1) · · · A(r,·) · B (·,t)
Example A.2.5. With the notation as in Example A.1.3, the reader is advised to
use the above definitions to verify that the following matrix products hold.
⎡ ⎤ ⎡ ⎤
3   3 12 6
AC = ⎣ −1 ⎦ 1, 4, 2 = ⎣ −1 −4 −2 ⎦ ∈ F3×3 ,
1 1 4 2
⎡ ⎤
  3
CA = 1, 4, 2 ⎣ −1 ⎦ = 3 − 4 + 2 = 1 ∈ F,
1
    
4 −1 4 −1 16 −6
2
B = BB = = ∈ F2×2 ,
0 2 0 2 0 4
⎡ ⎤
  613  
CE = 1, 4, 2 ⎣ −1 1 2 ⎦ = 10, 7, 17 ∈ F1×3 , and
413
⎡ ⎤⎡ ⎤ ⎡ ⎤
152 3 0
DA = ⎣ −1 0 1 ⎦ ⎣ −1 ⎦ = ⎣ −2 ⎦ ∈ F3×1 .
324 1 11
Note, though, that B cannot be multiplied by any of the other matrices, nor does it
make sense to try to form the products AD, AE, DC, and EC due to the inherent
size mismatches.
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Supplementary Notes on Matrices and Linear Systems 139

As illustrated in Example A.2.5 above, matrix multiplication is not a commuta-

tive operation (since, e.g., AC ∈ F3×3 while CA ∈ F1×1 ). Nonetheless, despite the
complexity of its definition, the matrix product otherwise satisfies many familiar
properties of a multiplication operation. We summarize the most basic of these
properties in the following theorem.

Theorem A.2.6. Let r, s, t, u ∈ Z+ be positive integers.

(1) (associativity of matrix multiplication) Given A ∈ Fr×s , B ∈ Fs×t , and C ∈

Ft×u ,

A(BC) = (AB)C.

(2) (distributivity of matrix multiplication) Given A ∈ Fr×s , B, C ∈ Fs×t , and

D ∈ Ft×u ,

A(B + C) = AB + AC and (B + C)D = BD + CD.

(3) (compatibility with scalar multiplication) Given A ∈ Fr×s , B ∈ Fs×t , and α ∈ F,

α(AB) = (αA)B = A(αB).

Moreover, given any positive integer n ∈ Z+ , Fn×n is an algebra over F.

As with Theorem A.2.3, you should work through a proof of each part of Theo-
rem A.2.6 (and especially of the first part) in order to practice manipulating the
indices of entries correctly. We state and prove a useful followup to Theorems A.2.3
and A.2.6 as an illustration.

Theorem A.2.7. Let A, B ∈ Fn×n be upper triangular matrices and c ∈ F be any

scalar. Then each of the following properties hold:

(1) cA is upper triangular.

(2) A + B is upper triangular.
(3) AB is upper triangular.

In other words, the set of all n × n upper triangular matrices forms an algebra over
F.
Moreover, each of the above statements still holds when upper triangular is
replaced by lower triangular.

Proof. The proofs of Parts 1 and 2 are straightforward and follow directly from
the appropriate definitions. Moreover, the proof of the case for lower triangular
matrices follows from the fact that a matrix A is upper triangular if and only if AT
is lower triangular, where AT denotes the transpose of A. (See Section A.5.1 for
the definition of transpose.)
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140 Linear Algebra: As an Introduction to Abstract Mathematics

To prove Part 3, we start from the definition of the matrix product. Denoting
A = (aij ) and B = (bij ), note that AB = ((ab)ij ) is an n × n matrix having “i-j
entry” given by

n
(ab)ij = aik bkj .
k=1

Since A and B are upper triangular, we have that aik = 0 when i > k and that
bkj = 0 when k > j. Thus, to obtain a non-zero summand aik bkj = 0, we must
have both aik = 0, which implies that i ≤ k, and bkj = 0, which implies that k ≤ j.
In particular, these two conditions are simultaneously satisfiable only when i ≤ j.
Therefore, (ab)ij = 0 when i > j, from which AB is upper triangular.

At the same time, you should be careful not to blithely perform operations on
matrices as you would with numbers. The fact that matrix multiplication is not a
commutative operation should make it clear that significantly more care is required
with matrix arithmetic. As another example, given a positive integer n ∈ Z+ , the
set Fn×n has what are called zero divisors. That is, there exist non-zero matrices
A, B ∈ Fn×n such that AB = 0n×n :
 2     
01 01 01 00
= = = 02×2 .
00 00 00 00
Moreover, note that there exist matrices A, B, C ∈ Fn×n such that AB = AC but
B = C:
     
01 10 0 1 01
= 02×2 = .
00 00 0 0 00
As a result, we say that the set Fn×n fails to have the so-called cancellation
property. This failure is a direct result of the fact that there are non-zero matrices
in Fn×n that have no multiplicative inverse. We discuss matrix invertibility at length
in the next section and define a special subset GL(n, F) ⊂ Fn×n upon which the
cancellation property does hold.

A.2.3 Invertibility of square matrices

In this section, we characterize square matrices for which multiplicative inverses
exist.
Definition A.2.8. Given a positive integer n ∈ Z+ , we say that the square matrix
A ∈ Fn×n is invertible (a.k.a. non-singular) if there exists a square matrix B ∈
Fn×n such that
AB = BA = In .
We use GL(n, F) to denote the set of all invertible n × n matrices having entries
from F.
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Supplementary Notes on Matrices and Linear Systems 141

One can prove that, if the multiplicative inverse of a matrix exists, then the
inverse is unique. As such, we will usually denote the so-called inverse matrix of
A ∈ GL(n, F) by A−1 . Note that the zero matrix 0n×n ∈ / GL(n, F). This means
that GL(n, F) is not a vector subspace of Fn×n .
Since matrix multiplication is not a commutative operation, care must be taken
when working with the multiplicative inverses of invertible matrices. In particular,
many of the algebraic properties for multiplicative inverses of scalars, when properly
modified, continue to hold. We summarize the most basic of these properties in the
following theorem.
Theorem A.2.9. Let n ∈ Z+ be a positive integer and A, B ∈ GL(n, F). Then

(1) the inverse matrix A−1 ∈ GL(n, F) and satisfies (A−1 )−1 = A.
(2) the matrix power Am ∈ GL(n, F) and satisfies (Am )−1 = (A−1 )m , where m ∈
Z+ is any positive integer.
(3) the matrix αA ∈ GL(n, F) and satisfies (αA)−1 = α−1 A−1 , where α ∈ F is any
non-zero scalar.
(4) the product AB ∈ GL(n, F) and has inverse given by the formula
(AB)−1 = B −1 A−1 .

Moreover, GL(n, F) has the cancellation property. In other words, given any
three matrices A, B, C ∈ GL(n, F), if AB = AC, then B = C.
At the same time, it is important to note that the zero matrix is not the only
non-invertible matrix. As an illustration of the subtlety involved in understanding
invertibility, we give the following theorem for the 2 × 2 case.
 
a a
Theorem A.2.10. Let A = 11 12 ∈ F2×2 . Then A is invertible if and only if
a21 a22
A satisfies
a11 a22 − a12 a21 = 0.
Moreover, if A is invertible, then
⎡ a22 −a12 ⎤
⎢ a11 a22 − a12 a21 a11 a22 − a12 a21 ⎥
⎢ ⎥
A−1 = ⎢ ⎥.
⎣ −a21 a11 ⎦
a11 a22 − a12 a21 a11 a22 − a12 a21

A more general theorem holds for larger matrices. Its statement requires the no-
tion of determinant and we refer the reader to Chapter 8 for the definition of the
determinant. For completeness, we state the result here.
Theorem A.2.11. Let n ∈ Z+ be a positive integer, and let A = (aij ) ∈ Fn×n be
an n × n matrix. Then A is invertible if and only if det(A) = 0. Moreover, if A
is invertible, then the “i, j entry” of A−1 is Aji / det(A). Here, Aij = (−1)i+j Mij ,
November 2, 2015 14:50 ws-book961x669 Linear Algebra: As an Introduction to Abstract Mathematics 9808-main page 142

142 Linear Algebra: As an Introduction to Abstract Mathematics

and Mij is the determinant of the matrix obtained when both the ith row and j th
column are removed from A.

We close this section by noting that the set GL(n, F) of all invertible n × n
matrices over F is often called the general linear group. This set has many
important uses in mathematics and there are several equivalent notations for it,
including GLn (F) and GL(Fn ), and sometimes simply GL(n) or GLn if it is not
important to emphasize the dependence on F. Note that the usage of the term
“group” in the name “general linear group” has a technical meaning: GL(n, F)
forms a group under matrix multiplication, which is non-abelian if n ≥ 2. (See
Section C.2 for the definition of a group.)

A.3 Solving linear systems by factoring the coefficient matrix

There are many ways in which one might try to solve a given system of linear
equations. This section is primarily devoted to describing two particularly popular
techniques, both of which involve factoring the coefficient matrix for the system
into a product of simpler matrices. These techniques are also at the heart of many
frequently used numerical (i.e., computer-assisted) applications of Linear Algebra.
Note that the factorization of complicated objects into simpler components is
an extremely common problem solving technique in mathematics. E.g., we will
often factor a given polynomial into several polynomials of lower degree, and one
can similarly use the prime factorization for an integer in order to simplify certain
numerical computations.

A.3.1 Factorizing matrices using Gaussian elimination

In this section, we discuss a particularly significant factorization for matrices known

as Gaussian elimination (a.k.a. Gauss-Jordan elimination). Gaussian elim-
ination can be used to express any matrix as a product involving one matrix in
so-called reduced row-echelon form and one or more so-called elementary ma-
trices. Then, once such a factorization has been found, we can immediately solve
any linear system that has the factorized matrix as its coefficient matrix. Moreover,
the underlying technique for arriving at such a factorization is essentially an ex-
tension of the techniques already familiar to you for solving small systems of linear
equations by hand.
Let m, n ∈ Z+ denote positive integers, and suppose that A ∈ Fm×n is an m × n
matrix over F. Then, following Section A.2.2, we will make extensive use of A(i,·)
and A(·,j) to denote the row vectors and column vectors of A, respectively.

Definition A.3.1. Let A ∈ Fm×n be an m × n matrix over F. Then we say that A

is in row-echelon form (abbreviated REF) if the rows of A satisfy the following
conditions:
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Supplementary Notes on Matrices and Linear Systems 143

(1) either A(1,·) is the zero vector or the first non-zero entry in A(1,·) (when read
from left to right) is a one.
(2) for i = 1, . . . , m, if any row vector A(i,·) is the zero vector, then each subsequent
row vector A(i+1,·) , . . . , A(m,·) is also the zero vector.
(3) for i = 2, . . . , m, if some A(i,·) is not the zero vector, then the first non-zero
entry (when read from left to right) is a one and occurs to the right of the initial
one in A(i−1,·) .
The initial leading one in each non-zero row is called a pivot. We furthermore say
that A is in reduced row-echelon form (abbreviated RREF) if

(4) for each column vector A(·,j) containing a pivot (j = 2, . . . , n), the pivot is the
only non-zero element in A(·,j) .

The motivation behind Definition A.3.1 is that matrix equations having their
coefficient matrix in RREF (and, in some sense, also REF) are particularly easy to
solve. Note, in particular, that the only square matrix in RREF without zero rows
is the identity matrix.
Example A.3.2. The following matrices are all in REF:
⎡ ⎤ ⎡ ⎤ ⎡ ⎤ ⎡ ⎤
1111 1110 1101 1100
A1 = ⎣0 1 1 1⎦ , A2 = ⎣0 1 1 0⎦ , A3 = ⎣0 1 1 0⎦ , A4 = ⎣0 0 1 0⎦ ,
0011 0010 0001 0001
⎡ ⎤ ⎡ ⎤ ⎡ ⎤ ⎡ ⎤
1010 0010 0001 0000
A5 = ⎣0 0 0 1⎦ , A6 = ⎣0 0 0 1⎦ , A7 = ⎣0 0 0 0⎦ , A8 = ⎣0 0 0 0⎦ .
0000 0000 0000 0000
However, only A4 through A8 are in RREF, as you should verify. Moreover, if we
take the transpose of each of these matrices (as defined in Section A.5.1), then only
AT6 , AT7 , and AT8 are in RREF.
Example A.3.3.
(1) Consider the following matrix in RREF:
⎡ ⎤
10 0 0
⎢0 1 0 0⎥
A=⎢ ⎣0 0
⎥.
1 0⎦
00 0 1
Given any vector b = (bi ) ∈ F4 , the matrix equation Ax = b corresponds to the
system of equations
⎫
x1 = b1 ⎪
⎪
⎬
x2 = b2
.
x3 = b3 ⎪
⎪
⎭
x 4 = b4
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144 Linear Algebra: As an Introduction to Abstract Mathematics

Since A is in RREF (in fact, A = I4 is the 4 × 4 identity matrix), we can

immediately conclude that the matrix equation Ax = b has the solution x = b
for any choice of b.
Moreover, as we will see in Section A.4.2, x = b is the only solution to this
system.
(2) Consider the following matrix in RREF:
⎡ ⎤
1 6 0 0 4 −2
⎢0 0 1 0 3 1 ⎥
A=⎢ ⎥
⎣0 0 0 1 5 2 ⎦ .
00000 0

Given any vector b = (bi ) ∈ F4 , the matrix equation Ax = b corresponds to the

system of equations
⎫
x1 + 6x2 + 4x5 − 2x6 = b1 ⎪⎪
⎬
x3 + 3x5 + x6 = b2
.
x4 + 5x5 + 2x6 = b3 ⎪⎪
⎭
0 = b4

Since A is in RREF, we can immediately conclude a number of facts about

solutions to this system. First of all, solutions exist if and only if b4 = 0.
Moreover, by “solving for the pivots”, we see that the system reduces to
⎫
x1 = b1 −6x2 − 4x5 + 2x6 ⎬
x 3 = b2 − 3x5 − x6 ,
⎭
x 4 = b3 − 5x5 − 2x6

and so there is only enough information to specify values for x1 , x3 , and x4 in

terms of the otherwise arbitrary values for x2 , x5 , and x6 .
In this context, x1 , x3 , and x4 are called leading variables since these are
the variables corresponding to the pivots in A. We similarly call x2 , x5 , and
x6 free variables since the leading variables have been expressed in terms of
these remaining variables. In particular, given any scalars α, β, γ ∈ F, it follows
that the vector
⎡ ⎤ ⎡ ⎤ ⎡ ⎤ ⎡ ⎤ ⎡ ⎤ ⎡ ⎤
x1 b1 − 6α − 4β + 2γ b1 −6α −4β 2γ
⎢x ⎥ ⎢ ⎥ ⎢0⎥ ⎢ α ⎥ ⎢ 0 ⎥ ⎢ 0 ⎥
⎢ 2⎥ ⎢ α ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎢x3 ⎥ ⎢ b2 − 3β − γ ⎥ ⎢b2 ⎥ ⎢ 0 ⎥ ⎢−3β ⎥ ⎢ −γ ⎥
x=⎢ ⎥=⎢ ⎥=⎢ ⎥+⎢ ⎥+⎢ ⎥+⎢ ⎥
⎢x4 ⎥ ⎢ b3 − 5β − 2γ ⎥ ⎢b3 ⎥ ⎢ 0 ⎥ ⎢−5β ⎥ ⎢−2γ ⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎣ x5 ⎦ ⎣ β ⎦ ⎣0⎦ ⎣ 0 ⎦ ⎣ β ⎦ ⎣ 0 ⎦
x6 γ 0 0 0 γ

must satisfy the matrix equation Ax = b. One can also verify that every solution
to the matrix equation must be of this form. It then follows that the set of all
solutions should somehow be “three dimensional”.
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Supplementary Notes on Matrices and Linear Systems 145

As the above examples illustrate, a matrix equation having coefficient matrix in

RREF corresponds to a system of equations that can be solved with only a small
amount of computation. Somewhat amazingly, any matrix can be factored into a
product that involves exactly one matrix in RREF and one or more of the matrices
defined as follows.

Definition A.3.4. A square matrix E ∈ Fm×m is called an elementary matrix

if it has one of the following forms:

(1) (row exchange, a.k.a. “row swap”, matrix) E is obtained from the identity
(r,·) (s,·)
matrix Im by interchanging the row vectors Im and Im for some particular
choice of positive integers r, s ∈ {1, 2, . . . , m}. I.e., in the case that r < s,
⎡ ⎤
1 0 0 ··· 0 0 0 ··· 0 0 0 ··· 0
⎢0 1 0 ··· 0 0 0 ··· 0 0 0 ··· 0⎥
⎢ ⎥
⎢0 0 1 ··· 0 0 0 ··· 0 0 0 ··· 0⎥
⎢ ⎥
⎢ . . . . . . . . . . . . .⎥
⎢ . . . .. . . . .. . . . .. . ⎥
⎢. . . . . . . . . .⎥
⎢ ⎥
⎢0 0 0 ··· 1 0 0 ··· 0 0 0 ··· 0⎥
⎢ ⎥
⎢ 0 0 0 · · · 0 0 0 · · · 0 1 0 · · · 0 ⎥ ← rth row
⎢ ⎥
⎢ ⎥
E = ⎢0 0 0 ··· 0 0 1 ··· 0 0 0 ··· 0⎥
⎢ . . . . . . . . . . . . .⎥
⎢ .. .. .. . . .. .. .. . . .. .. .. . . .. ⎥
⎢ ⎥
⎢0 0 0 ··· 0 0 0 ··· 1 0 0 ··· 0⎥
⎢ ⎥
⎢ ⎥
⎢ 0 0 0 · · · 0 1 0 · · · 0 0 0 · · · 0 ⎥ ← s row.
th
⎢ ⎥
⎢0 0 0 ··· 0 0 0 ··· 0 0 1 ··· 0⎥
⎢ ⎥
⎢ .. .. .. . . .. .. .. . . .. .. .. . . .. ⎥
⎣ . . . . . . . . . . . . .⎦
0 0 0 ··· 0 0 0 ··· 0 0 0 ··· 1

(2) (row scaling matrix) E is obtained from the identity matrix Im by replacing
(r,·) (r,·)
the row vector Im with αIm for some choice of non-zero scalar 0 = α ∈ F
and some choice of positive integer r ∈ {1, 2, . . . , m}. I.e.,
⎡ ⎤
1 0 ··· 0 0 0 ··· 0
⎢ 0 1 · · · 0 0 0 · · · 0⎥
⎢ ⎥
⎢. . . . . . . .⎥
⎢ .. .. . . .. .. .. . . .. ⎥
⎢ ⎥
⎢ ⎥
⎢ 0 0 · · · 1 0 0 · · · 0⎥
E = Im + (α − 1)Err = ⎢ ⎥
⎢0 0 · · · 0 α 0 · · · 0⎥ ← rth row,
⎢ ⎥
⎢ 0 0 · · · 0 0 1 · · · 0⎥
⎢ ⎥
⎢ .. .. . . .. .. .. . . .. ⎥
⎣. . . . . . . .⎦
0 0 ··· 0 0 0 ··· 1

where Err is the matrix having “r, r entry” equal to one and all other entries
equal to zero. (Recall that Err was defined in Section A.2.1 as a standard basis
vector for the vector space Fm×m .)
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146 Linear Algebra: As an Introduction to Abstract Mathematics

(3) (row combination, a.k.a. “row sum”, matrix) E is obtained from the identity
(r,·) (r,·) (s,·)
matrix Im by replacing the row vector Im with Im + αIm for some choice
of scalar α ∈ F and some choice of positive integers r, s ∈ {1, 2, . . . , m}. I.e., in
the case that r < s,
⎡ ⎤
1 0 0 ··· 0 0 0 ··· 0 0 0 ··· 0
⎢0 1 0 ··· 0 0 0 ··· 0 0 0 ··· 0⎥
⎢ ⎥
⎢0 0 1 ··· 0 0 0 ··· 0 0 0 ··· 0⎥
⎢ ⎥
⎢ . . . . . . . . . . . . .⎥
⎢ . . . .. . . . .. . . . .. . ⎥
⎢. . . . . . . . . .⎥
⎢ ⎥
⎢0 0 0 ··· 1 0 0 ··· 0 0 0 ··· 0⎥
⎢ ⎥
⎢ 0 0 0 · · · 0 1 0 · · · 0 α 0 · · · 0 ⎥ ← rth row
⎢ ⎥
⎢ ⎥
E = Im + αErs = ⎢ 0 0 0 · · · 0 0 1 · · · 0 0 0 · · · 0 ⎥
⎢ . . . . . . . . . . . . .⎥
⎢ .. .. .. . . .. .. .. . . .. .. .. . . .. ⎥
⎢ ⎥
⎢0 0 0 ··· 0 0 0 ··· 1 0 0 ··· 0⎥
⎢ ⎥
⎢ ⎥
⎢0 0 0 ··· 0 0 0 ··· 0 1 0 ··· 0⎥
⎢ ⎥
⎢0 0 0 ··· 0 0 0 ··· 0 0 1 ··· 0⎥
⎢ ⎥
⎢ .. .. .. . . .. .. .. . . .. .. .. . . .. ⎥
⎣ . . . . . . . . . . . . .⎦
0 0 0 ··· 0 0 0 ··· 0 0 0 ··· 1
↑
sth column
where Ers is the matrix having “r, s entry” equal to one and all other entries
equal to zero. (Ers was also defined in Section A.2.1 as a standard basis vector
for Fm×m .)
The “elementary” in the name “elementary matrix” comes from the correspon-
dence between these matrices and so-called “elementary operations” on systems of
equations. In particular, each of the elementary matrices is clearly invertible (in
the sense defined in Section A.2.3), just as each “elementary operation” is itself
completely reversible. We illustrate this correspondence in the following example.
Example A.3.5. Define A, x, and b by
⎡ ⎤ ⎡ ⎤ ⎡ ⎤
253 x1 4
A = ⎣1 2 3⎦ , x = ⎣x2 ⎦ , and b = ⎣5⎦ .
108 x3 9
We illustrate the correspondence between elementary matrices and “elementary”
operations on the system of linear equations corresponding to the matrix equation
Ax = b, as follows.

System of Equations Corresponding Matrix Equation

2x1 + 5x2 + 3x3 = 5

x1 + 2x2 + 3x3 = 4 Ax = b
x1 + 8x3 = 9
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Supplementary Notes on Matrices and Linear Systems 147

To begin solving this system, one might want to either multiply the first equa-
tion through by 1/2 or interchange the first equation with one of the other equa-
tions. From a computational perspective, it is preferable to perform an interchange
since multiplying through by 1/2 would unnecessarily introduce fractions. Thus,
we choose to interchange the first and second equation in order to obtain

System of Equations Corresponding Matrix Equation

⎡ ⎤
x1 + 2x2 + 3x3 = 4 010
2x1 + 5x2 + 3x3 = 5 E0 Ax = E0 b, where E0 = ⎣1 0 0⎦ .
x1 + 8x3 = 9 001
Another reason for performing the above interchange is that it now allows us to use
more convenient “row combination” operations when eliminating the variable x1
from all but one of the equations. In particular, we can multiply the first equation
through by −2 and add it to the second equation in order to obtain

System of Equations Corresponding Matrix Equation

⎡ ⎤
x1 + 2x2 + 3x3 = 4 1 00
x2 − 3x3 = −3 E1 E0 Ax = E1 E0 b, where E1 = ⎣−2 1 0⎦ .
x1 + 8x3 = 9 0 01
Similarly, in order to eliminate the variable x1 from the third equation, we can next
multiply the first equation through by −1 and add it to the third equation in order
to obtain

System of Equations Corresponding Matrix Equation

⎡ ⎤
x1 + 2x2 + 3x3 = 4 1 00
x2 − 3x3 = −3 E2 E1 E0 Ax = E2 E1 E0 b, where E2 = ⎣ 0 1 0⎦ .
−2x2 + 5x3 = 5 −1 0 1
Now that the variable x1 only appears in the first equation, we can somewhat sim-
ilarly isolate the variable x2 by multiplying the second equation through by 2 and
adding it to the third equation in order to obtain

System of Equations Corresponding Matrix Equation

⎤ ⎡
x1 + 2x2 + 3x3 = 4 100
x2 − 3x3 = −3 E3 · · · E0 Ax = E3 · · · E0 b, where E3 = ⎣0 1 0⎦ .
−x3 = −1 021
Finally, in order to complete the process of transforming the coefficient matrix into
REF, we need only rescale row three by −1. This corresponds to multiplying the
third equation through by −1 in order to obtain
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148 Linear Algebra: As an Introduction to Abstract Mathematics

System of Equations Corresponding Matrix Equation

⎡⎤
x1 + 2x2 + 3x3 = 4 10 0
x2 − 3x3 = −3 E4 · · · E0 Ax = E4 · · · E0 b, where E4 = ⎣0 1 0 ⎦ .
x3 = 1 0 0 −1
Now that the coefficient matrix is in REF, we can already solve for the variables
x1 , x2 , and x3 using a process called back substitution. In other words, starting
from the third equation we see that x3 = 1. Using this value and solving for x2 in
the second equation, it then follows that
x2 = −3 + 3x3 = −3 + 3 = 0.
Similarly, by solving the first equation for x1 , it follows that
x1 = 4 − 2x2 − 3x3 = 4 − 3 = 1.
From a computational perspective, this process of back substitution can be ap-
plied to solve any system of equations when the coefficient matrix of the corre-
sponding matrix equation is in REF. However, from an algorithmic perspective, it
is often more useful to continue “row reducing” the coefficient matrix in order to
produce a coefficient matrix in full RREF.
There is more than one way to reach the RREF form. We choose to now work
“from bottom up, and from right to left”. In other words, we now multiply the
third equation through by 3 and then add it to the second equation in order to
obtain

System of Equations Corresponding Matrix Equation

⎤⎡
x1 + 2x2 + 3x3 = 4 100
x2 =0 E5 · · · E0 Ax = E5 · · · E0 b, where E5 = ⎣0 1 3⎦ .
x3 = 1 001
Next, we can multiply the third equation through by −3 and add it to the first
equation in order to obtain

System of Equations Corresponding Matrix Equation

⎡⎤
x1 + 2x2 =1 1 0 −3
x2 =0 E6 · · · E0 Ax = E6 · · · E0 b, where E6 = ⎣0 1 0 ⎦ .
x3 = 1 00 1
Finally, we can multiply the second equation through by −2 and add it to the first
equation in order to obtain

System of Equations Corresponding Matrix Equation

⎡⎤
x1 =1 1 −2 0
x2 =0 E7 · · · E0 Ax = E7 · · · E0 b, where E7 = ⎣0 1 0⎦ .
x3 = 1 0 0 1
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Supplementary Notes on Matrices and Linear Systems 149

Previously, we obtained a solution by using back substitution on the linear system

E4 · · · E0 Ax = E4 · · · E0 b.
However, in many applications, it is not enough to merely find a solution. Instead,
it is important to describe every solution. As we will see in the remaining sections of
these notes, Linear Algebra is a very useful tool to solve this problem. In particular,
we will use the theory of vector spaces and linear maps.
To close this section, we take a closer look at the following expression obtained
from the above analysis:
E7 E 6 · · · E1 E0 A = I 3 .
It follows from their definition that elementary matrices are invertible. In particular,
each of the matrices E0 , E1 , . . . , E7 is invertible. Thus, we can use Theorem A.2.9
in order to “solve” for A:
A = (E7 E6 · · · E1 E0 )−1 I3 = E0−1 E1−1 · · · E7−1 I3 .
In effect, since the inverse of an elementary matrix is itself easily seen to be an
elementary matrix, this has factored A into the product of eight elementary matrices
(namely, E0−1 , E1−1 , . . . , E7−1 ) and one matrix in RREF (namely, I3 ). Moreover,
because each elementary matrix is invertible, we can conclude that x solves Ax = b
if and only if x solves
(E7 E6 · · · E1 E0 A) x = (I3 ) x = (E7 E6 · · · E1 E0 ) b.
Consequently, given any linear system, one can use Gaussian elimination in order to
reduce the problem to solving a linear system whose coefficient matrix is in RREF.

Similarly, we can conclude that the inverse of A is

⎡ ⎤
13 −5 −3
A−1 = E7 E6 · · · E1 E0 = ⎣−40 16 9 ⎦ .
5 −2 1
Having computed this product, one could essentially “reuse” much of the above
computation in order to solve the matrix equation Ax = b for several different
right-hand sides b ∈ F3 . The process of “resolving” a linear system is a common
practice in applied mathematics.

A.3.2 Solving homogeneous linear systems

In this section, we study the solutions for an important special class of linear sys-
tems. As we will see in the next section, though, solving any linear system is fun-
damentally dependent upon knowing how to solve these so-called homogeneous
systems.
As usual, we use m, n ∈ Z+ to denote arbitrary positive integers.
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150 Linear Algebra: As an Introduction to Abstract Mathematics

Definition A.3.6. The system of linear equations, System (A.1), is called a ho-
mogeneous system if the right-hand side of each equation is zero. In other words,
a homogeneous system corresponds to a matrix equation of the form
Ax = 0,
where A ∈ F m×n
is an m × n matrix and x is an n-tuple of unknowns. We also call
the set
N = {v ∈ Fn | Av = 0}
the solution space for the homogeneous system corresponding to Ax = 0.
When describing the solution space for a homogeneous linear system, there are
three important cases to keep in mind:
Definition A.3.7. The system of linear equations System (A.1) is called
(1) overdetermined if m > n.
(2) square if m = n.
(3) underdetermined if m < n.
In particular, we can say a great deal about underdetermined homogeneous systems,
which we state as a corollary to the following more general result.
Theorem A.3.8. Let N be the solution space for the homogeneous linear system
corresponding to the matrix equation Ax = 0, where A ∈ Fm×n . Then
(1) the zero vector 0 ∈ N .
(2) N is a subspace of the vector space Fn .
This is an amazing theorem. Since N is a subspace of Fn , we know that either
N will contain exactly one element (namely, the zero vector) or N will contain
infinitely many elements.
Corollary A.3.9. Every homogeneous system of linear equations is solved by the
zero vector. Moreover, every underdetermined homogeneous system has infinitely
many solutions.
We call the zero vector the trivial solution for a homogeneous linear system. The
fact that every homogeneous linear system has the trivial solution thus reduces
solving such a system to determining if solutions other than the trivial solution
exist.
One method for finding the solution space of a homogeneous system is to first
use Gaussian elimination (as demonstrated in Example A.3.5) in order to factor
the coefficient matrix of the system. Then, because the original linear system is
homogeneous, the homogeneous system corresponding to the resulting RREF matrix
will have the same solutions as the original system. In other words, if a given matrix
A satisfies
Ek Ek−1 · · · E0 A = A0 ,
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Supplementary Notes on Matrices and Linear Systems 151

where each Ei is an elementary matrix and A0 is an RREF matrix, then the

matrix equation Ax = 0 has the exact same solution set as A0 x = 0 since
E0−1 E1−1 · · · Ek−1 0 = 0.
Example A.3.10. In the following examples, we illustrate the process of determin-
ing the solution space for a homogeneous linear system having coefficient matrix in
RREF.
(1) Consider the matrix equation Ax = 0, where A is the matrix given by
⎡ ⎤
100
⎢ 0 1 0⎥
A=⎢ ⎥
⎣ 0 0 1⎦ .
000
This corresponds to an overdetermined homogeneous system of linear equations.
Moreover, since there are no free variables (as defined in Example A.3.3), it
should be clear that this system has only the trivial solution. Thus, N = {0}.
(2) Consider the matrix equation Ax = 0, where A is the matrix given by
⎡ ⎤
101
⎢ 0 1 1⎥
A=⎢ ⎥
⎣ 0 0 0⎦ .
000
This corresponds to an overdetermined homogeneous system of linear equations.
Unlike the above example, we see that x3 is a free variable for this system, and
so we would expect the solution space to contain more than just the zero vector.
As in Example A.3.3, we can solve for the leading variables in terms of the free
variable in order to obtain

x1 = − x3
.
x2 = − x3
It follows that, given any scalar α ∈ F, every vector of the form
⎡ ⎤ ⎡ ⎤ ⎡ ⎤
x1 −α −1
x = ⎣x2 ⎦ = ⎣−α⎦ = α ⎣−1⎦
x3 α 1
is a solution to Ax = 0. Therefore,
4 5
N = (x1 , x2 , x3 ) ∈ F3 | x1 = −x3 , x2 = −x3 = span ((−1, −1, 1)) .
(3) Consider the matrix equation Ax = 0, where A is the matrix given by
⎡ ⎤
111
A = ⎣ 0 0 0⎦ .
000
This corresponds to a square homogeneous system of linear equations with two
free variables. Thus, using the same technique as in the previous example, we
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152 Linear Algebra: As an Introduction to Abstract Mathematics

can solve for the leading variable in order to obtain x1 = −x2 − x3 . It follows
that, given any scalars α, β ∈ F, every vector of the form
⎡ ⎤ ⎡ ⎤ ⎡ ⎤ ⎡ ⎤
x1 −α − β −1 −1
x = ⎣x2 ⎦ = ⎣ α ⎦ = α ⎣ 1 ⎦ + β ⎣ 0 ⎦
x3 β 0 1
is a solution to Ax = 0. Therefore,
4 5
N = (x1 , x2 , x3 ) ∈ F3 | x1 + x2 + x3 = 0 = span ((−1, 1, 0), (−1, 0, 1)) .

A.3.3 Solving inhomogeneous linear systems

In this section, we demonstrate the relationship between arbitrary linear systems
and homogeneous linear systems. Specifically, we will see that it takes little more
work to solve a general linear system than it does to solve the homogeneous system
associated to it.
As usual, we use m, n ∈ Z+ to denote arbitrary positive integers.
Definition A.3.11. The system of linear equations System (A.1) is called an in-
homogeneous system if the right-hand side of at least one equation is not zero.
In other words, an inhomogeneous system corresponds to a matrix equation of the
form
Ax = b,
where A ∈ Fm×n is an m × n matrix, x is an n-tuple of unknowns, and b ∈ Fm is a
vector having at least one non-zero component. We also call the set
U = {v ∈ Fn | Av = b}
the solution set for the linear system corresponding to Ax = b.
As illustrated in Example A.3.3, the zero vector cannot be a solution for an
inhomogeneous system. Consequently, the solution set U for an inhomogeneous
linear system will never be a subspace of any vector space. Instead, it will be a
related algebraic structure as described in the following theorem.
Theorem A.3.12. Let U be the solution space for the inhomogeneous linear system
corresponding to the matrix equation Ax = b, where A ∈ Fm×n and b ∈ Fm is a
vector having at least one non-zero component. Then, given any element u ∈ U , we
have that
U = u + N = {u + n | n ∈ N } ,
where N is the solution space to Ax = 0, or the kernel of A. In other words,
if B = (n(1) , n(2) , . . . , n(k) ) is a list of vectors forming a basis for N, then every
element of U can be written in the form
u + α1 n(1) + α2 n(2) + . . . + αk n(k)
for some choice of scalars α1 , α2 , . . . , αk ∈ F.
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Supplementary Notes on Matrices and Linear Systems 153

As a consequence of this theorem, we can conclude that inhomogeneous linear sys-

tems behave a lot like homogeneous systems. The main difference is that inhomo-
geneous systems are not necessarily solvable. This, then, creates three possibilities:
an inhomogeneous linear system will either have no solution, a unique solution, or
infinitely many solutions. An important special case is as follows.
Corollary A.3.13. Every overdetermined inhomogeneous linear system will neces-
sarily be unsolvable for some choice of values for the right-hand sides of the equa-
tions.
The solution set U for an inhomogeneous linear system is called an affine sub-
space of Fn since it is a genuine subspace of Fn that has been “offset” by a vector
u ∈ Fn . Any set having this structure might also be called a coset (when used
in the context of Group Theory) or a linear manifold (when used in a geometric
context such as a discussion of hyperplanes).
In order to actually find the solution set for an inhomogeneous linear system, we
rely on Theorem A.3.12. Given an m × n matrix A ∈ Fm×n and a non-zero vector
b ∈ Fm , we call Ax = 0 the associated homogeneous matrix equation to
the inhomogeneous matrix equation Ax = b. Then, according to Theorem A.3.12,
U can be found by first finding the solution space N for the associated equation
Ax = 0 and then finding any so-called particular solution u ∈ Fn to Ax = b.
As with homogeneous systems, one can first use Gaussian elimination in order
to factorize A, and so we restrict the following examples to the special case of RREF
matrices.
Example A.3.14. The following examples use the same matrices as in Exam-
ple A.3.10.

(1) Consider the matrix equation Ax = b, where A is the matrix given by

⎡ ⎤
100
⎢ 0 1 0⎥
A=⎢ ⎥
⎣ 0 0 1⎦
000
and b ∈ F4 has at least one non-zero component. Then Ax = b corresponds
to an overdetermined inhomogeneous system of linear equations and will not
necessarily be solvable for all possible choices of b.
In particular, note that the bottom row A(4,·) of A corresponds to the equation
0 = b4 ,
from which we conclude that Ax = b has no solution unless the fourth com-
ponent of b is zero. Furthermore, the remaining rows of A correspond to the
equations
x1 = b1 , x2 = b2 , and x3 = b3 .
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154 Linear Algebra: As an Introduction to Abstract Mathematics

It follows that, given any vector b ∈ Fn with fourth component zero, x = b is

the only solution to Ax = b. In other words, U = {b}.
(2) Consider the matrix equation Ax = b, where A is the matrix given by
⎡ ⎤
101
⎢ 0 1 1⎥
A=⎢ ⎥
⎣ 0 0 0⎦
000

and b ∈ F4 . This corresponds to an overdetermined inhomogeneous system of

linear equations. Note, in particular, that the bottom two rows of the matrix
correspond to the equations 0 = b3 and 0 = b4 , from which we see that Ax = b
has no solution unless the third and fourth components of the vector b are both
zero. Furthermore, we conclude from the remaining rows of the matrix that x3
is a free variable for this system and that

x 1 = b1 − x 3
.
x 2 = b2 − x 3
It follows that, given any scalar α ∈ F, every vector of the form
⎡ ⎤ ⎡ ⎤ ⎡ ⎤ ⎡ ⎤
x1 b1 − α b1 −1
x = ⎣x2 ⎦ = ⎣b2 − α⎦ = ⎣b2 ⎦ + α ⎣−1⎦ = u + αn
x3 α 0 1
is a solution to Ax = b. Recall from Example A.3.10 that the solution space
for the associated homogeneous matrix equation Ax = 0 is
4 5
N = (x1 , x2 , x3 ) ∈ F3 | x1 = −x3 , x2 = −x3 = span ((−1, −1, 1)) .

Thus, in the language of Theorem A.3.12, we have that u is a particular solution

for Ax = b and that (n) is a basis for N . Therefore, the solution set for Ax = b
is
4 5
U = (b1 , b2 , 0) + N = (x1 , x2 , x3 ) ∈ F3 | x1 = b1 − x3 , x2 = b2 − x3 .

(3) Consider the matrix equation Ax = b, where A is the matrix given by

⎡ ⎤
111
A = ⎣ 0 0 0⎦
000

and b ∈ F4 . This corresponds to a square inhomogeneous system of linear

equations with two free variables. As above, this system has no solutions unless
b2 = b3 = 0, and, given any scalars α, β ∈ F, every vector of the form
⎡ ⎤ ⎡ ⎤ ⎡ ⎤ ⎡ ⎤ ⎡ ⎤
x1 b1 − α − β b1 −1 −1
⎣
x = x2 = ⎦ ⎣ α ⎦ ⎣ ⎦ ⎣ ⎦ ⎣
= 0 + α 1 + β 0 ⎦ = u + αn(1) + βn(2)
x3 β 0 0 1
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Supplementary Notes on Matrices and Linear Systems 155

is a solution to Ax = b. Recall from Example A.3.10, that the solution space

for the associated homogeneous matrix equation Ax = 0 is
4 5
N = (x1 , x2 , x3 ) ∈ F3 | x1 + x2 + x3 = 0 = span ((−1, 1, 0), (−1, 0, 1)) .
Thus, in the language of Theorem A.3.12, we have that u is a particular solution
for Ax = b and that (n(1) , n(2) ) is a basis for N . Therefore, the solution set for
Ax = b is
4 5
U = (b1 , 0, 0) + N = (x1 , x2 , x3 ) ∈ F3 | x1 + x2 + x3 = b1 .

A.3.4 Solving linear systems with LU-factorization

Let n ∈ Z+ be a positive integer, and suppose that A ∈ Fn×n is an upper triangular
matrix and that b ∈ Fn is a column vector. Then, in order to solve the matrix
equation Ax = b, there is no need to apply Gaussian elimination. Instead, we can
exploit the triangularity of A in order to directly obtain a solution.
Using the notation in System (A.1), note that the last equation in the linear
system corresponding to Ax = b can only involve the single unknown xn , and so we
can obtain the solution
bn
xn =
ann
as long as ann = 0. If ann = 0, then we must be careful to distinguish between
the two cases in which bn = 0 or bn = 0. Thus, for reasons that will become
clear below, we assume that the diagonal elements of A are all non-zero. Under this
assumption, there is no ambiguity in substituting the solution for xn into the penul-
timate (a.k.a. second-to-last) equation. Since A is upper triangular, the penultimate
equation involves only the single unknown xn−1 , and so we obtain the solution
bn−1 − an−1,n xn
xn−1 = .
an−1,n−1
We can then similarly substitute the solutions for xn and xn−1 into the antepenul-
timate (a.k.a. third-to-last) equation in order to solve for xn−2 , and so on until a
complete solution is found. In particular,
#n
b1 − k=2 ank xk
x1 = .
a11
As in Example A.3.5, we call this process back substitution. Given an ar-
bitrary linear system, back substitution essentially allows us to halt the Gaussian
elimination procedure and immediately obtain a solution for the system as soon as
an upper triangular matrix (possibly in REF or even RREF) has been obtained
from the coefficient matrix.
A similar procedure can be applied when A is lower triangular. Again using the
notation in System (A.1), the first equation contains only x1 , and so
b1
x1 = .
a11
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156 Linear Algebra: As an Introduction to Abstract Mathematics

We are again assuming that the diagonal entries of A are all non-zero. Then, acting
similarly to back substitution, we can substitute the solution for x1 into the second
equation in order to obtain
b2 − a21 x1
x2 = .
a22
Continuing this process, we have created a forward substitution procedure. In
particular,
#n−1
bn − k=1 ank xk
xn = .
ann
More generally, suppose that A ∈ Fn×n is an arbitrary square matrix for which
there exists a lower triangular matrix L ∈ Fn×n and an upper triangular matrix
U ∈ Fn×n such that A = LU . When such matrices exist, we call A = LU an
LU-factorization (a.k.a. LU-decomposition) of A. The benefit of such a fac-
torization is that it allows us to exploit the triangularity of L and U when solving
linear systems having coefficient matrix A.
To see this, suppose that A = LU is an LU-factorization for the matrix A ∈ Fn×n
and that b ∈ Fn is a column vector. (As above, we also assume that none of the
diagonal entries in either L or U is zero.) Furthermore, set y = U x, where x is the
as yet unknown solution of Ax = b. Then, by substitution, y must satisfy

Ly = b.

Then, since L is lower triangular, we can immediately solve for y via forward sub-
stitution. In other words, we are using the associativity of matrix multiplication
(cf. Theorem A.2.6) in order to conclude that

(A)x = (LU )x = L(U x) = L(y).

Then, once we have obtained y ∈ Fn , we can apply back substitution in order to

solve for x in the matrix equation

U x = y.

In general, one can only obtain an LU-factorization for a matrix A ∈ Fn×n when
there exist elementary “row combination” matrices E1 , E2 , . . . , Ek ∈ Fn×n and an
upper triangular matrix U such that

Ek Ek−1 · · · E1 A = U.

There are various generalizations of LU-factorization that allow for more than just
elementary “row combinations” matrices in this product, but we do not mention
them here. Instead, we provide a detailed example that illustrates how to obtain an
LU-factorization and then how to use such a factorization in solving linear systems.
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Supplementary Notes on Matrices and Linear Systems 157

Example A.3.15. Consider the matrix A ∈ F3×3 given by

⎡ ⎤
23 4
A = ⎣4 5 10⎦ .
48 2
Using the techniques illustrated in Example A.3.5, we have the following matrix
product:
⎡ ⎤⎡ ⎤⎡ ⎤⎡ ⎤ ⎡ ⎤
100 1 00 1 00 23 4 2 3 4
⎣0 1 0⎦ ⎣ 0 1 0⎦ ⎣−2 1 0⎦ ⎣4 5 10⎦ = ⎣0 −1 3 ⎦ = U.
021 −2 0 1 0 01 48 2 0 0 −2
In particular, we have found three elementary “row combination” matrices, which,
when multiplied by A, produce an upper triangular matrix U .
Now, in order to produce a lower triangular matrix L such that A = LU , we
rely on two facts about lower triangular matrices. First of all, any lower triangular
matrix with entirely non-zero diagonal is invertible, and, second, the product of
lower triangular matrices is always lower triangular. (Cf. Theorem A.2.7.) More
specifically, we have that
⎡ ⎤ ⎡ ⎤−1 ⎡ ⎤−1 ⎡ ⎤−1 ⎡ ⎤
23 4 1 00 1 00 100 2 3 4
⎣4 5 10⎦ = ⎣−2 1 0⎦ ⎣ 0 1 0⎦ ⎣0 1 0⎦ ⎣0 −1 3 ⎦ ,
48 2 0 01 −2 0 1 021 0 0 −2
where
⎡ ⎤−1 ⎡ ⎤−1 ⎡ ⎤−1 ⎡ ⎤⎡ ⎤⎡ ⎤
1 00 1 00 100 100 100 1 0 0
⎣−2 1 0⎦ ⎣ 0 1 0⎦ ⎣0 1 0⎦ = ⎣2 1 0⎦ ⎣0 1 0⎦ ⎣0 1 0⎦
0 01 −2 0 1 021 001 201 0 −2 1
⎡ ⎤
1 0 0
= ⎣2 1 0⎦ .
2 −2 1
We call the resulting lower triangular matrix L and note that A = LU , as desired.
Now, define x, y, and b by
⎡ ⎤ ⎡ ⎤ ⎡ ⎤
x1 y1 6
x = ⎣x2 ⎦ , y = ⎣y2 ⎦ , and b = ⎣16⎦ .
x3 y3 2
Applying forward substitution to Ly = b, we obtain the solution
⎫
y 1 = b1 = 6⎬
y2 = b2 − 2y1 = 4 .
⎭
y3 = b3 − 2y1 + 2y2 = −2
Then, given this unique solution y to Ly = b, we can apply backward substitution
to U x = y in order to obtain
⎫
2x1 = y1 − 3x2 − 4x3 = 8 ⎬
−1x2 = y2 − 2x3 = 2 .
⎭
−2x3 = y3 = −2
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158 Linear Algebra: As an Introduction to Abstract Mathematics

It follows that the unique solution to Ax = b is

⎫
x1 = 4 ⎬
x2 = −2 .
⎭
x3 = 1

In summary, we have given an algorithm for solving any matrix equation Ax = b

in which A = LU , where L is lower triangular, U is upper triangular, and both L
and U have nothing but non-zero entries along their diagonals.
We note in closing that the simple procedures of back and forward substitution
can also be used for computing the inverses of lower and upper triangular matrices.
E.g., the inverse U = (uij ) of the matrix
⎡ ⎤
2 3 4
U −1 = ⎣0 −1 3 ⎦
0 0 −2

must satisfy
⎡ ⎤ ⎡ ⎤
2u11 + 3u21 + 4u31 2u12 + 3u22 + 4u32 2u13 + 3u23 + 4u33 100
⎣ −u21 + 3u31 −u22 + 3u32 −u23 + 3u33 ⎦= U −1 U= I3= ⎣0 1 0⎦ ,
−2u31 −2u32 −2u33 001

from which we obtain the linear system

⎫
2u11 +3u21 +4u31 = 1⎪⎪
⎪
2u12 +3u22 +4u32 = 0⎪⎪
⎪
⎪
2u13 +3u23 +4u33 = 0⎪⎪
⎪
⎪
−u21 +3u31 = 0⎪⎪
⎬
−u22 +3u32 = 1
⎪
−u23 +3u33 = 0⎪⎪
⎪
⎪
−2u31 = 0⎪⎪
⎪
⎪
⎪
−2u32 = 0⎪⎪
⎪
⎭
−2u33 = 1

in the nine variables u11 , u12 , . . . , u33 . Since this linear system has an upper trian-
gular coefficient matrix, we can apply back substitution in order to directly solve
for the entries in U .
The only condition we imposed upon the triangular matrices above was that
all diagonal entries were non-zero. Since the determinant of a triangular matrix is
given by the product of its diagonal entries, this condition is necessary and sufficient
for a triangular matrix to be non-singular. Moreover, once the inverses of both L
and U in an LU-factorization have been obtained, we can immediately calculate the
inverse for A = LU by applying Theorem A.2.9(4):

A−1 = (LU )−1 = U −1 L−1 .

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Supplementary Notes on Matrices and Linear Systems 159

A.4 Matrices and linear maps

This section is devoted to illustrating how linear maps are a fundamental tool for
gaining insight into the solutions to systems of linear equations with n unknowns.
Using the tools of Linear Algebra, many familiar facts about systems with two
unknowns can be generalized to an arbitrary number of unknowns without much
effort.

A.4.1 The canonical matrix of a linear map

Let m, n ∈ Z+ be positive integers. Then, given a choice of bases for the vector
spaces Fn and Fm , there is a correspondence between matrices and linear maps.
In other words, as discussed in Section 6.6, every linear map in the set L(Fn , Fm )
uniquely corresponds to exactly one m × n matrix in Fm×n . However, you should
not take this to mean that matrices and linear maps are interchangeable or indistin-
guishable ideas. By itself, a matrix in the set Fm×n is nothing more than a collection
of mn scalars that have been arranged in a rectangular shape. It is only when a
matrix appears in a specific context in which a basis for the underlying vector space
has been chosen, that the theory of linear maps becomes applicable. In particular,
one can gain insight into the solutions of matrix equations when the coefficient ma-
trix is viewed as the matrix associated to a linear map under a convenient choice of
bases for Fn and Fm .
Given a positive integer, k ∈ Z+ , one particularly convenient choice of basis
for Fk is the so-called standard basis (a.k.a. the canonical basis) e1 , e2 , . . . , ek ,
where each ei is the k-tuple having zeros for each of its components other than in
the ith position:
ei = (0, 0, . . . , 0, 1, 0, . . . , 0).
↑
i
Then, taking the vector spaces F and F with their canonical bases, we say that
n m

the matrix A ∈ Fm×n associated to the linear map T ∈ L(Fn , Fm ) is the canonical
matrix for T . With this choice of bases we have
T (x) = Ax, ∀ x ∈ Fn . (A.5)
In other words, one can compute the action of the linear map upon any vector in
Fn by simply multiplying the vector by the associated canonical matrix A. There
are many circumstances in which one might wish to use non-canonical bases for
either Fn or Fm , but the trade-off is that Equation (A.5) will no longer hold as
stated. (To modify Equation (A.5) for use with non-standard bases, one needs to
use coordinate vectors as described in Chapter 10.)
The utility of Equation (A.5) cannot be over-emphasized. To get a sense of this,
consider once again the generic matrix equation (Equation (A.3))
Ax = b,
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160 Linear Algebra: As an Introduction to Abstract Mathematics

which involves a given matrix A = (aij ) ∈ Fm×n , a given vector b ∈ Fm , and the
n-tuple of unknowns x. To provide a solution to this equation means to provide a
vector x ∈ Fn for which the matrix product Ax is exactly the vector b. In light of
Equation (A.5), the question of whether such a vector x ∈ Fn exists is equivalent
to asking whether or not the vector b is in the range of the linear map T .
The encoding of System (A.1) into Equation (A.3) is more than a mere change
of notation. The reinterpretation of Equation (A.3) using linear maps is a genuine
change of viewpoint. Solving System (A.1) (and thus Equation (A.3)) essentially
amounts to understanding how m distinct objects interact in an ambient space of
dimension n. (In particular, solutions to System (A.1) correspond to the points of
intersect of m hyperplanes in Fn .) On the other hand, questions about a linear map
involve understanding a single object, i.e., the linear map itself. Such a point of
view is both extremely flexible and fruitful, as we illustrate in the next section.

A.4.2 Using linear maps to solve linear systems

Encoding a linear system as a matrix equation is more than just a notational trick.
Perhaps most fundamentally, the resulting linear map viewpoint can then be used
to provide clear insight into the exact structure of solutions to the original linear
system. We illustrate this in the following series of revisited examples.
Example A.4.1. Consider the following inhomogeneous linear system from Exam-
ple 1.2.1:

2x1 + x2 = 0
,
x1 − x2 = 1
where x1 and x2 are unknown real numbers. To solve this system, we can first form
the matrix A ∈ R2×2 and the column vector b ∈ R2 such that
      
x 2 1 x1 0
A 1 = = = b.
x2 1 −1 x2 1
In other words, we have reinterpreted solving the original linear system as asking
when the column vector
    
2 1 x1 2x1 + x2
=
1 −1 x2 x1 − x2
is equal to the column vector b. Equivalently, this corresponds to asking what input
vector results in b being an element of the range of the linear map T : R2 → R2
defined by
   
x1 2x1 + x2
T = .
x2 x1 − x2
More precisely, T is the linear map having canonical matrix A.
It should be clear that b is in the range of T , since, from Example 1.2.1,
   
1/3 0
T = .
−2/3 1
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Supplementary Notes on Matrices and Linear Systems 161

In addition, note that T is a bijective function. (This can be proven, for example,
by noting that the canonical matrix A for T is invertible.) Since T is bijective, this
means that
   
x1 1/3
x= =
x2 −2/3
is the only possible input vector that can result in the output vector b, and so we
have verified that x is the unique solution to the original linear system. Moreover,
this technique can be trivially generalized to any number of equations.

Example A.4.2. Consider the matrix A and the column vectors x and b from
Example A.3.5:
⎡ ⎤ ⎡ ⎤ ⎡ ⎤
2 5 3 x1 4
A = ⎣1 2 3⎦ , x = ⎣x2 ⎦ , and b = ⎣5⎦ .
1 0 8 x3 9
Here, asking if the equation Ax = b has a solution is equivalent to asking if b is an
element of the range of the linear map T : F3 → F3 defined by
⎛⎡ ⎤ ⎞ ⎡ ⎤
x1 2x1 + 5x2 + 3x3
T ⎝⎣x2 ⎦⎠ = ⎣ x1 + 2x2 + 3x3 ⎦ .
x3 2x1 + 8x3
In order to answer this corresponding question regarding the range of T , we take a
closer look at the following expression obtained in Example A.3.5:
A = E0−1 E1−1 · · · E7−1 .
Here, we have factored A into the product of eight elementary matrices. From the
linear map point of view, this means that we can apply the results of Section 6.6 in
order to obtain the factorization
T = S0 ◦ S1 ◦ · · · ◦ S7 ,
where Si is the (invertible) linear map having canonical matrix Ei−1 for i = 0, . . . , 7.

This factorization of the linear map T into a composition of invertible linear

maps furthermore implies that T itself is invertible. In particular, T is surjective,
and so b must be an element of the range of T . Moreover, T is also injective, and
so b has exactly one pre-image. Thus, the solution that was found for Ax = b in
Example A.3.5 is unique.

In the above examples, we used the bijectivity of a linear map in order to prove
the uniqueness of solutions to linear systems. As discussed in Section A.3, many
linear systems do not have unique solutions. Instead, there are exactly two other
possibilities: if a linear system does not have a unique solution, then it will either
have no solution or it will have infinitely many solutions. Fundamentally, this is
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162 Linear Algebra: As an Introduction to Abstract Mathematics

because finding solutions to a linear system is equivalent to describing the pre-image

(a.k.a. pullback) of an element in the codomain of a linear map.
In particular, based upon the discussion in Section A.3.2, it should be clear that
solving a homogeneous linear system corresponds to describing the null space of
some corresponding linear map. In other words, given any matrix A ∈ Fm×n , finding
the solution space N to the matrix equation Ax = 0 (as defined in Section A.3.2)
is the same thing as finding null(T ), where T ∈ L(Fn , Fm ) is the linear map having
canonical matrix A. (Recall from Section 6.2 that null(T ) is a subspace of Fn .)
Thus, the fact that every homogeneous linear system has the trivial solution then
is equivalent to the fact that the image of the zero vector under any linear map
always results in the zero vector, and determining whether or not the trivial solution
is unique can be viewed as a dimensionality question about the null space of a
corresponding linear map.
We close this section by illustrating this, along with the case for inhomogeneous
systems, in the following examples.
Example A.4.3. The following examples use the same matrices as in Exam-
ple A.3.10.

(1) Consider the matrix equation Ax = b, where A is the matrix given by

⎡ ⎤
100
⎢ 0 1 0⎥
A=⎢ ⎥
⎣ 0 0 1⎦
000
and b ∈ F4 is a column vector. Here, asking if this matrix equation has a
solution corresponds to asking if b is an element of the range of the linear map
T : F3 → F4 defined by
⎡ ⎤
⎛⎡ ⎤⎞ x1
x1 ⎢ x2 ⎥
T ⎝⎣x2 ⎦⎠ = ⎢ ⎥
⎣ x3 ⎦ .
x3
0
From the linear map point of view, it should be clear that Ax = b has a solution
if and only if the fourth component of b is zero. In particular, T is not surjective,
so Ax = b cannot have a solution for every possible choice of b.
However, it should also be clear that T is injective, from which null(T ) = {0}.
Thus, when b = 0, the homogeneous matrix equation Ax = 0 has only the
trivial solution, and so we can apply Theorem A.3.12 in order to verify that
Ax = b has a unique solution for any b having fourth component equal to zero.
(2) Consider the matrix equation Ax = b, where A is the matrix given by
⎡ ⎤
101
⎢0 1 1⎥
A=⎢ ⎣0 0 0⎦
⎥

000
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Supplementary Notes on Matrices and Linear Systems 163

and b ∈ F4 is a column vector. Here, asking if this matrix equation has a

solution corresponds to asking if b is an element of the range of the linear map
T : F3 → F4 defined by
⎡ ⎤
⎛⎡ ⎤ ⎞ x1 + x3
x1 ⎢ x2 + x 3 ⎥
T ⎝⎣ x 2 ⎦ ⎠ = ⎢ ⎣ 0 ⎦.
⎥
x3
0
From the linear map point of view, it should be clear that Ax = b has a solution
if and only if the third and fourth components of b are zero. In particular,
2 = dim(range (T )) < dim(F4 ) = 4 so that T cannot be surjective, and so
Ax = b cannot have a solution for every possible choice of b.
In addition, it should also be clear that T is not injective. E.g.,
⎡ ⎤
⎛⎡ ⎤ ⎞ 0
−1 ⎢ 0⎥
T ⎝⎣−1⎦⎠ = ⎢ ⎥
⎣ 0⎦ .
1
0
Thus, {0}  null(T ), and so the homogeneous matrix equation Ax = 0 will
necessarily have infinitely many solutions since dim(null(T )) > 0. Using the
Dimension Formula,
dim(null(T )) = dim(F3 ) − dim(range (T )) = 3 − 2 = 1,
and so the solution space for Ax = 0 is a one-dimensional subspace of F3 .
Moreover, by applying Theorem A.3.12, we see that Ax = b must then also
have infinitely many solutions for any b having third and fourth components
equal to zero.
(3) Consider the matrix equation Ax = b, where A is the matrix given by
⎡ ⎤
111
A = ⎣ 0 0 0⎦
000
and b ∈ F3 is a column vector. Here, asking if this matrix equation has a
solution corresponds to asking if b is an element of the range of the linear map
T : F3 → F3 defined by
⎛⎡ ⎤⎞ ⎡ ⎤
x1 x1 + x2 + x3
T ⎝⎣x2 ⎦⎠ = ⎣ 0 ⎦.
x3 0
From the linear map point of view, it should be extremely clear that Ax = b
has a solution if and only if the second and third components of b are zero. In
particular, 1 = dim(range (T )) < dim(F3 ) = 3 so that T cannot be surjective,
and so Ax = b cannot have a solution for every possible choice of b.
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164 Linear Algebra: As an Introduction to Abstract Mathematics

In addition, it should also be clear that T is not injective. E.g.,

⎛⎡ ⎤⎞ ⎡ ⎤
1/2 0
T ⎝⎣1/2⎦⎠ = ⎣0⎦ .
−1 0
Thus, {0}  null(T ), and so the homogeneous matrix equation Ax = 0 will
necessarily have infinitely many solutions since dim(null(T )) > 0. Using the
Dimension Formula,
dim(null(T )) = dim(F3 ) − dim(range (T )) = 3 − 1 = 2,
and so the solution space for Ax = 0 is a two-dimensional subspace of F3 .
Moreover, by applying Theorem A.3.12, we see that Ax = b must then also
have infinitely many solutions for any b having second and third components
equal to zero.

A.5 Special operations on matrices

In this section, we define three important operations on matrices called the trans-
pose, conjugate transpose, and the trace. These will then be seen to interact with
matrix multiplication and invertibility in order to form special classes of matrices
that are extremely important to applications of Linear Algebra.

A.5.1 Transpose and conjugate transpose

Given positive integers m, n ∈ Z+ and any matrix A = (aij ) ∈ Fm×n , we define the
transpose AT = ((aT )ij ) ∈ Fn×m and the conjugate transpose A∗ = ((a∗ )ij ) ∈
Fn×m by
(aT )ij = aji and (a∗ )ij = aji ,
where aji denotes the complex conjugate of the scalar aji ∈ F. In particular, if
A ∈ Rm×n , then note that AT = A∗ .
Example A.5.1. With notation as in Example A.1.3,
⎡ ⎤
  1
  40
AT = 3 −1 1 , B T = , C T = ⎣ 4 ⎦,
−1 2
2
⎡ ⎤ ⎡ ⎤
1 −1 3 6 −1 4
DT = ⎣ 5 0 2 ⎦, and E T = ⎣ 1 1 1 ⎦.
2 14 3 23
One of the motivations for defining the operations of transpose and conjugate
transpose is that they interact with the usual arithmetic operations on matrices in
a natural manner. We summarize the most fundamental of these interactions in the
following theorem.
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Supplementary Notes on Matrices and Linear Systems 165

Theorem A.5.2. Given positive integers m, n ∈ Z+ and any matrices A, B ∈

Fm×n ,

(1) (AT )T = A and (A∗ )∗ = A.

(2) (A + B)T = AT + B T and (A + B)∗ = A∗ + B ∗ .
(3) (αA)T = αAT and (αA)∗ = αA∗ , where α ∈ F is any scalar.
(4) (AB)T = B T AT .
(5) if m = n and A ∈ GL(n, F), then AT , A∗ ∈ GL(n, F) with respective inverses
given by
(AT )−1 = (A−1 )T and (A∗ )−1 = (A−1 )∗ .

Another motivation for defining the transpose and conjugate transpose opera-
tions is that they allow us to define several very special classes of matrices.
Definition A.5.3. Given a positive integer n ∈ Z+ , we say that the square matrix
A ∈ Fn×n

(1) is symmetric if A = AT .
(2) is Hermitian if A = A∗ .
(3) is orthogonal if A ∈ GL(n, R) and A−1 = AT . Moreover, we define the (real)
orthogonal group to be the set O(n) = {A ∈ GL(n, R) | A−1 = AT }.
(4) is unitary if A ∈ GL(n, C) and A−1 = A∗ . Moreover, we define the (complex)
unitary group to be the set U (n) = {A ∈ GL(n, C) | A−1 = A∗ }.

A lot can be said about these classes of matrices. Both O(n) and U (n), for exam-
ple, form a group under matrix multiplication. Additionally, real symmetric and
complex Hermitian matrices always have real eigenvalues. Moreover, given any ma-
trix A ∈ Rm×n , AAT is a symmetric matrix with real, non-negative eigenvalues.
Similarly, for A ∈ Cm×n , AA∗ is Hermitian with real, non-negative eigenvalues.

A.5.2 The trace of a square matrix

Given a positive integer n ∈ Z+ and any square matrix A = (aij ) ∈ Fn×n , we define
the trace of A to be the scalar
n
trace(A) = akk ∈ F.
k=1

Example A.5.4. With notation as in Example A.1.3 above,

trace(B) = 4 + 2 = 6, trace(D) = 1 + 0 + 4 = 5, and trace(E) = 6 + 1 + 3 = 10.
Note, in particular, that the traces of A and C are not defined since these are not
square matrices.
We summarize some of the most basic properties of the trace operation in the
following theorem, including its connection to the transpose operations defined in
the previous section.
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166 Linear Algebra: As an Introduction to Abstract Mathematics

Theorem A.5.5. Given positive integers m, n ∈ Z+ and square matrices A, B ∈

Fn×n ,

(1) trace(αA) = α trace(A), for any scalar α ∈ F.

(2) trace(A + B) = trace(A) + trace(B).
(3) trace(AT ) = trace(A) and trace(A∗ ) = trace(A).
n n
(4) trace(AA∗ ) = |ak |2 . In particular, trace(AA∗ ) = 0 if and only if A =
k=1 =1
0n×n .
(5) trace(AB) = trace(BA). More generally, given matrices A1 , . . . , Am ∈ Fn×n ,
the trace operation has the so-called cyclic property, meaning that

trace(A1 · · · Am ) = trace(A2 · · · Am A1 ) = · · · = trace(Am A1 · · · Am−1 ).

Moreover, if we define a linear map T : Fn → Fn by setting T (v) = Av for each


n
v ∈ Fn and if T has distinct eigenvalues λ1 , . . . , λn , then trace(A) = λk .
k=1

Exercises for Appendix A

Calculational Exercises

(1) In each of the following, find matrices A, x, and b such that the given system
of linear equations can be expressed as the single matrix equation Ax = b.
⎫
⎫ 4x1 − 3x3 + x4 = 1 ⎪
2x1 − 3x2 + 5x3 = 7 ⎬ ⎪
⎬
5x1 + x2 − 8x4 = 3
(a) 9x1 − x2 + x3 = −1 ⎭ (b) 2x − 5x + 9x − x = 0 ⎪
x1 + 5x2 + 4x3 = 0
1 2 3 4 ⎪
⎭
3x2 − x3 + 7x4 = 2
(2) In each of the following, express the matrix equation as a system of linear
equations.
⎡ ⎤⎡ ⎤ ⎡ ⎤
⎡ ⎤⎡ ⎤ ⎡ ⎤ 3 −2 0 1 w 0
3 −1 2 x1 2 ⎢ 5 0 2 −2 ⎥ ⎢ x ⎥ ⎢ 0 ⎥
(a) ⎣ 4 3 7 ⎦ ⎣ x2 ⎦ = ⎣ −1 ⎦ (b) ⎢ ⎥⎢ ⎥ ⎢ ⎥
⎣ 3 1 4 7⎦⎣ y⎦ = ⎣0⎦
−2 1 5 x3 4
−2 5 1 6 z 0
(3) Suppose that A, B, C, D, and E are matrices over F having the following sizes:

A is 4 × 5, B is 4 × 5, C is 5 × 2, D is 4 × 2, E is 5 × 4.

Determine whether the following matrix expressions are defined, and, for those
that are defined, determine the size of the resulting matrix.
(a) BA (b) AC + D (c) AE + B (d) AB + B (e) E(A + B) (f) E(AC)
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Supplementary Notes on Matrices and Linear Systems 167

(4) Suppose that A, B, C, D, and E are the following matrices:

⎡ ⎤
30    
4 −1 142
A = ⎣ −1 2 ⎦, B = , C= ,
0 2 315
11
⎡ ⎤ ⎡ ⎤
152 613
D = ⎣ −1 0 1 ⎦, and E = ⎣ −1 1 2 ⎦.
324 413
Determine whether the following matrix expressions are defined, and, for those
that are defined, compute the resulting matrix.
(a) D + E (b) D − E (c) 5A (d) −7C (e) 2B − C
(f) 2E − 2D (g) −3(D + 2E) (h) A − A (i) AB (j) BA
(k) (3E)D (l) (AB)C (m) A(BC) (n) (4B)C + 2B (o) D − 3E
(p) CA + 2E (q) 4E − D (r) DD
(5) Suppose that A, B, and C are the following matrices and that a = 4 and b = −7.
⎡ ⎤ ⎡ ⎤ ⎡ ⎤
152 613 152
A = ⎣ −1 0 1 ⎦, B = ⎣ −1 1 2 ⎦, and C = ⎣ −1 0 1 ⎦ .
324 413 324
Verify computationally that
(a) A + (B + C) = (A + B) + C (b) (AB)C = A(BC)
(c) (a + b)C = aC + bC (d) a(B − C) = aB − aC
(e) a(BC) = (aB)C = B(aC) (f) A(B − C) = AB − AC
(g) (B + C)A = BA + CA (h) a(bC) = (ab)C
(i) B − C = −C + B
(6) Suppose that A is the matrix
 
31
A= .
21
Compute p(A), where p(z) is given by
(a) p(z) = z − 2 (b) p(z) = 2z 2 − z + 1
(c) p(z) = z − 2z + 4 (d) p(z) = z 2 − 4z + 1
3

(7) Define matrices A, B, C, D, and E by

⎡ ⎤
    2 −3 5
31 4 −1
A= , B= , C = ⎣ 9 −1 1 ⎦,
21 0 2
1 54
⎡ ⎤ ⎡ ⎤
152 613
D = ⎣ −1 0 1 ⎦, and E = ⎣ −1 1 2 ⎦.
324 413
(a) Factor each matrix into a product of elementary matrices and an RREF
matrix.
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168 Linear Algebra: As an Introduction to Abstract Mathematics

(b) Find, if possible, the LU-factorization of each matrix.

(c) Determine whether or not each of these matrices is invertible, and, if pos-
sible, compute the inverse.
(8) Suppose that A, B, C, D, and E are the following matrices:
⎡ ⎤
30    
4 −1 142
A = ⎣ −1 2 ⎦, B = , C= ,
0 2 315
11

⎡ ⎤ ⎡ ⎤
152 613
D = ⎣ −1 0 1 ⎦, and E = ⎣ −1 1 2 ⎦.
324 413
Determine whether the following matrix expressions are defined, and, for those
that are defined, compute the resulting matrix.
(a) 2AT + C (b) DT − E T (c) (D − E)T
T
(d) B + 5C T
(e) 2 C − 4 A
1 T 1
(f) B − B T
(g) 3E − 3D
T T
(h) (2E − 3D )
T T T
(i) CC T
(j) (DA) T T
(k) (C B)A T
(l) (2DT − E)A
(m) (BAT − 2C)T (n) B T (CC T − AT A) (o) DT E T − (ED)T
(p) trace(DDT ) (q) trace(4E T − D) (r) trace(C T AT + 2E T )

Proof-Writing Exercises
(1) Let n ∈ Z+ be a positive integer and ai,j ∈ F be scalars for i, j = 1, . . . , n.
Prove that the following two statements are equivalent:
(a) The trivial solution x1 = · · · = xn = 0 is the only solution to the homoge-
neous system of equations
⎫
n
⎪
a1,k xk = 0 ⎪
⎪
⎪
⎪
⎪
⎪
k=1 ⎬
..
. ⎪.
 ⎪
⎪
n
⎪
an,k xk = 0 ⎪
⎪
⎪
⎭
k=1

(b) For every choice of scalars c1 , . . . , cn ∈ F, there is a solution to the system

of equations
⎫
 n
⎪
a1,k xk = c1 ⎪⎪
⎪
⎪
⎪
⎪
k=1 ⎬
.. .
. ⎪
 ⎪
⎪
n
⎪
an,k xk = cn ⎪ ⎪
⎪
⎭
k=1
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Supplementary Notes on Matrices and Linear Systems 169

(2) Let A and B be any matrices.

(a) Prove that if both AB and BA are defined, then AB and BA are both
square matrices.
(b) Prove that if A has size m × n and ABA is defined, then B has size n × m.
(3) Suppose that A is a matrix satisfying AT A = A. Prove that A is then a
symmetric matrix and that A = A2 .
(4) Suppose A is an upper triangular matrix and that p(z) is any polynomial. Prove
or give a counterexample: p(A) is a upper triangular matrix.
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Appendix B

The Language of Sets and Functions

All of mathematics can be seen as the study of relations between collections of

objects by rigorous rational arguments. More often than not the patterns in those
collections and their relations are more important than the nature of the objects
themselves. The power of mathematics has a lot to do with bringing patterns to the
forefront and abstracting from the “real” nature of the objects. In mathematics, the
collections are usually called sets and the objects are called the elements of the set.
Functions are the most common type of relation between sets and their elements.
It is therefore important to develop a good understanding of sets and functions
and to know the vocabulary used to define sets and functions and to discuss their
properties.

B.1 Sets

A set is an unordered collection of distinct objects, which we call its elements. A

set is uniquely determined by its elements. If an object a is an element of a set A,
we write a ∈ A, and say that a belongs to A or that A contains a. The negation of
this statement is written as a ∈ A, i.e., a is not an element of A. Note that both
statements cannot be true at the same time.
If A and B are sets, they are identical (this means one and the same set), which
we write as A = B, if they have exactly the same elements. In other words, A = B
if and only if for all a ∈ A we have a ∈ B, and for all b ∈ B we have b ∈ A.
Equivalently, A = B if and only if there is a difference in their elements: there
exists a ∈ A such that a ∈ B or there exists b ∈ B such that b ∈ A.

Example B.1.1. We start with the simplest examples of sets.

(1) The empty set (a.k.a. the null set), is what it sounds like: the set with no
elements. We usually denote it by ∅ or sometimes by { }. The empty set, ∅,
is uniquely determined by the property that for all x we have x ∈ ∅. Clearly,
there is exactly one empty set.
(2) Next up are the singletons. A singleton is a set with exactly one element. If

171
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172 Linear Algebra: As an Introduction to Abstract Mathematics

that element is x we often write the singleton containing x as {x}. In spoken

language, ‘the singleton x’ actually means the set {x} and should always be
distinguished from the element x: x = {x}. A set can be an element of another
set but no set is an element of itself (more precisely, we adopt this as an axiom).
E.g., {{x}} is the singleton of which the unique element is the singleton {x}.
In particular we also have {x} =  {{x}}.
(3) One standard way of denoting sets is by listing its elements. E.g., the set
{α, β, γ} contains the first three lower case Greek letters. The set is completely
determined by what is in the list. The order in which the elements are listed
is irrelevant. So, we have {α, γ, β} = {γ, β, α} = {α, β, γ}, etc. Since a set
cannot contain the same element twice (elements are distinct) the only reason-
able meaning of something like {α, β, α, γ} is that it is the same as {α, β, γ}.
Since x = {x}, {x, {x}} is a set with two elements. Anything can be considered
as an element of a set and there is not any kind of relation required between
the elements in a set. E.g., the word ‘apple’ and the element uranium and the
planet Pluto can be the three elements of a set. There is no restriction on the
number of different sets a given element can belong to, except for the rule that
a set cannot be an element of itself.
(4) The number of elements in a set may be infinite. E.g., Z, R, and C, denote the
sets of all integer, real, and complex numbers, respectively. It is not required
that we can list all elements.

When introducing a new set (new for the purpose of the discussion at hand) it is
crucial to define it unambiguously. It is not required that from a given definition of
a set A, it is easy to determine what the elements of A are, or even how many there
are, but it should be clear that, in principle, there is a unique and unambiguous
answer to each question of the form “is x an element of A?”. There are several
common ways to define sets. Here are a few examples.
Example B.1.2.
(1) The simplest way is a generalization of the list notation to infinite lists that can
be described by a pattern. E.g., the set of positive integers N = {1, 2, 3, . . .}.
The list can be allowed to be bi-directional, as in the set of all integers
Z = {. . . , −2, −1, 0, 1, 2, . . .}. Note the use of triple dots . . . to indicate the
continuation of the list.
(2) The so-called set builder notation gives more options to describe the mem-
bership of a set. E.g., the set of all even integers, often denote by 2Z, is defined
by
2Z = {2a | a ∈ Z} .
Instead of the vertical bar, |, a colon, :, is also commonly used. For example,
the open interval of the real numbers strictly between 0 and 1 is defined by
(0, 1) = {x ∈ R : 0 < x < 1}.
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The Language of Sets and Functions 173

B.2 Subset, union, intersection, and Cartesian product

Definition B.2.1. Let A and B be sets. B is a subset of A, denoted by B ⊂ A,

if and only if for all b ∈ B we have b ∈ A. If B ⊂ A and B = A, we say that B is a
proper subset of A.
If B ⊂ A, one also says that B is contained in A, or that A contains B, which is
sometimes denoted by A ⊃ B. The relation ⊂ is called inclusion. If B is a proper
subset of A the inclusion is said to be strict. To emphasize that an inclusion is not
necessarily strict, the notation B ⊆ A can be used but note that its mathematical
meaning is identical to B ⊂ A. Strict inclusion is sometimes denoted by B  A,
but this is less common.
Example B.2.2. The following relations between sets are easy to verify:

(1) We have N ⊂ Z ⊂ Q ⊂ R ⊂ C, and all these inclusions are strict.

(2) For any set A, we have ∅ ⊂ A, and A ⊂ A.
(3) (0, 1] ⊂ (0, 2).
(4) For 0 < a ≤ b, [−a, a] ⊂ [−b, b]. The inclusion is strict if a < b.

In addition to constructing sets directly, sets can also be obtained from other
sets by a number of standard operations. The following definition introduces the
basic operations of taking the union, intersection, and difference of sets.
Definition B.2.3. Let A and B be sets. Then
(1) The union of A and B, denoted by A ∪ B, is defined by
A ∪ B = {x | x ∈ A or x ∈ B}.
(2) The intersection of A and B, denoted by A ∩ B, is defined by
A ∩ B = {x | x ∈ A and x ∈ B}.
(3) The set difference of B from A, denoted by A \ B, is defined by
A \ B = {x | x ∈ A and x ∈
/ B}.
Often, the context provides a ‘universe’ of all possible elements pertinent to a
given discussion. Suppose, we have given such a set of ‘all’ elements and let us call
it U . Then, the complement of a set A, denoted by Ac , is defined as Ac = U \ A.
In the following theorem the existence of a universe U is tacitly assumed.
Theorem B.2.4. Let A, B, and C be sets. Then

(1) (distributivity) A∩(B∪C) = (A∩B)∪(A∩C) and A∪(B∩C) = (A∪B)∩(A∪C).

(2) (De Morgan’s Laws) (A ∪ B)c = Ac ∩ B c and (A ∩ B)c = Ac ∪ B c .
(3) (relative complements) A \ (B ∪ C) = (A \ B) ∩ (A \ C) and A \ (B ∩ C) =
(A \ B) ∪ (A \ C).
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174 Linear Algebra: As an Introduction to Abstract Mathematics

To familiarize yourself with the basic properties of sets and the basic operations
of sets, it is a good exercise to write proofs for the three properties stated in the
theorem.
The so-called Cartesian product of sets is a powerful and ubiquitous method
to construct new sets out of old ones.

Definition B.2.5. Let A and B be sets. Then the Cartesian product of A and
B, denoted by A × B, is the set of all ordered pairs (a, b), with a ∈ A and b ∈ B.
In other words,
A × B = {(a, b) | a ∈ A, b ∈ B} .

An important example of this construction is the Euclidean plane R2 = R×R. It

is not an accident that x and y in the pair (x, y) are called the Cartesian coordinates
of the point (x, y) in the plane.

B.3 Relations

In this section we introduce two important types of relations: order relations and
equivalence relations. A relation R between elements of a set A and elements of
a set B is a subset of their Cartesian product: R ⊂ A × B. When A = B, we also
call R simply a relation on A.
Let A be a set and R a relation on A. Then,

• R is called reflexive if for all a ∈ A, (a, a) ∈ R.

• R is called symmetric if for all a, b ∈ A, if (a, b) ∈ R then (b, a) ∈ R.
• R is called antisymmetric if for all a, b ∈ A such that (a, b) ∈ R and (b, a) ∈ R,
a = b.
• R is called transitive if for all a, b, c ∈ A such (a, b) ∈ R and (b, c) ∈ R, we
have (a, c) ∈ R.

Definition B.3.1. Let R be a relation on a set A. R is an order relation if R

is reflexive, antisymmetric, and transitive. R is an equivalence relation if R is
reflexive, symmetric, and transitive.

The notion of subset is an example of an order relation. To see this, first define
the power set of a set A as the set of all its subsets. It is often denoted by P(A).
So, for any set A, P(A) = {B : B ⊂ A}. Then, the inclusion relation is defined as
the relation R by setting
R = {(B, C) ∈ P(A) × P(A) | B ⊂ C}.
Important relations, such as the subset relation, are given a convenient notation of
the form a <symbol> b, to denote (a, b) ∈ R. The symbol for the inclusion relation
is ⊂.

Proposition B.3.2. Inclusion is an order relation. Explicitly,

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The Language of Sets and Functions 175

(1) (reflexive) For all B ∈ P(A), B ⊂ B.

(2) (antisymmetric) For all B, C ∈ P(A), if B ⊂ C and C ⊂ B, then B = C.
(3) (transitive) For all B, C, D ∈ P(A), if B ⊂ C and C ⊂ D, then B ⊂ D.

Write a proof of this proposition as an exercise.

For any relation R ⊂ A × B, the inverse relation, R−1 ⊂ B × A, is defined by

R−1 = {(b, a) ∈ B × A | (a, b) ∈ R}.

B.4 Functions

Let A and B be sets. A function with domain A and codomain B, denoted by

f : A → B, is a relation between the elements of A and B satisfying the properties:
for all a ∈ A, there is a unique b ∈ B such that (a, b) ∈ f . The symbol used to
denote a function as a relation is an arrow: (a, b) ∈ f is written as a → b (often
also a → b). It is not necessary, and a bit cumbersome, to remind ourselves that
functions are a special kind of relation and a more convenient notation is used all
the time: f (a) = b. If f is a function we then have, by definition, f (a) = b and
f (a) = c implies b = c. In other words, for each a ∈ A, there is exactly one b ∈ B
such that f (a) = b. b is called the image of a under f . When A and B are sets of
numbers, a is sometimes referred to as the argument of the function and b = f (a)
is often referred to as the value of f in a.
The requirement that there is an image b ∈ B for all a ∈ A is sometimes relaxed
in the sense that the domain of the function is a, sometimes not explicitly specified,
subset of A. It is important to remember, however, that a function is not properly
defined unless we have also given its domain.
When we consider the graph of a function, we are relying on the definition of a
function as a relation. The graph G of a function f : A → B is the subset of A × B
defined by

G = {(a, f (a)) | a ∈ A}.

The range of a function f : A → B, denoted by range (f ), or also f (A), is the

subset of its codomain consisting of all b ∈ B that are the image of some a ∈ A:

range (f ) = {b ∈ B | there exists a ∈ A such that f (a) = b}.

The pre-image of b ∈ B is the subset of all a ∈ A that have b as their image. This
subset is often denoted by f −1 (b).

f −1 (b) = {a ∈ A | f (a) = b}.

Note that f −1 (b) = ∅ if and only if b ∈ B \ range (f ).

Functions of various kinds are ubiquitous in mathematics and a large vocabulary
has developed, some of which is redundant. The term map is often used as an
alternative for function and when the domain and codomain coincide the term
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176 Linear Algebra: As an Introduction to Abstract Mathematics

transformation is often used instead of function. There is a large number of terms

for functions in a particular context with special properties. The three most basic
properties are given in the following definition.
Definition B.4.1. Let f : A → B be a function. Then we call f
(1) injective (f is an injection) if f (a) = f (b) implies a = b. In other words, no
two elements of the domain have the same image. An injective function is also
called one-to-one.
(2) surjective (f is a surjection if range (f ) = B. In other words, each b ∈ B is
the image of at least one a ∈ A. Such a function is also called onto.
(3) bijective (f is a bijection) if f is both injective and surjective, i.e., one-to-
one and onto. This means that f gives a one-to-one correspondence between
all elements of A and all elements of B.
Let f : A → B and g : B → C be two functions so that the codomain of f
coincides with the domain of g. Then, the composition ‘g after f ’, denoted by
g ◦ f , is the function g ◦ f : A → C, defined by a → g(f (a)).
For every set A, we define the identity map, which we will denote here by idA
or id for short. idA : A → A is defined by idA (a) = a for all a ∈ A. Clearly, idA is
a bijection.
If f is a bijection, it is invertible, i.e., the inverse relation is also a function,
denoted by f −1 . It is the unique bijection B → A such that f −1 ◦ f = idA and
f ◦ f −1 = idB .
Proposition B.4.2. Let f : A → B and g : B → C be bijections. Then, their
composition g ◦ f is a bijection and
(g ◦ f )−1 = f −1 ◦ g −1 .
Prove this proposition as an exercise.
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Appendix C

Summary of Algebraic Structures

Encountered

Loosely speaking, an algebraic structure is any set upon which “arithmetic-

like” operations have been defined. The importance of such structures in abstract
mathematics cannot be overstated. By recognizing a given set S as an instance of
a well-known algebraic structure, every result that is known about that abstract
algebraic structure is then automatically also known to hold for S. This utility is,
in large part, the main motivation behind abstraction.
Before reviewing the algebraic structures that are most important to the study
of Linear Algebra, we first carefully define what it means for an operation to be
“arithmetic-like”.

C.1 Binary operations and scaling operations

When we are presented with the set of real numbers, say S = R, we expect a great
deal of “structure” given on S. E.g., given any two real numbers r1 , r2 ∈ R, one
can form the sum r1 + r2 , the difference r1 − r2 , the product r1 r2 , the quotient
r1 /r2 (assuming r2 = 0), the maximum max{r1 , r2 }, the minimum min{r1 , r2 }, the
average (r1 + r2 )/2, and so on. Each of these operations follows the same pattern:
take two real numbers and “combine” (or “compare”) them in order to form a new
real number. Such operations are called binary operations. In general, a binary
operation on an arbitrary non-empty set is defined as follows.

Definition C.1.1. A binary operation on a non-empty set S is any function

that has as its domain S × S and as its codomain S.

In other words, a binary operation on S is any rule f : S × S → S that assigns

exactly one element f (s1 , s2 ) ∈ S to each pair of elements s1 , s2 ∈ S. We illustrate
this definition in the following examples.

Example C.1.2.

(1) Addition, subtraction, and multiplication are all examples of familiar binary

177
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178 Linear Algebra: As an Introduction to Abstract Mathematics

operations on R. Formally, one would denote these by something like

+ : R × R → R, − : R × R → R, and ∗ : R × R → R, respectively.
Then, given two real numbers r1 , r2 ∈ R, we would denote their sum by
+(r1 , r2 ), their difference by −(r1 , r2 ), and their product by ∗(r1 , r2 ). (E.g.,
+(17, 32) = 49, −(17, 32) = −15, and ∗(17, 32) = 544.) However, this level
of notational formality can be rather inconvenient, and so we often resort to
writing +(r1 , r2 ) as the more familiar expression r1 + r2 , −(r1 , r2 ) as r1 − r2 ,
and ∗(r1 , r2 ) as either r1 ∗ r2 or r1 r2 .
(2) The division function ÷ : R×(R \ {0}) → R is not a binary operation on R since
it does not have the proper domain. However, division is a binary operation on
R \ {0}.
(3) Other binary operations on R include the maximum function max : R × R → R,
the minimum function min : R × R → R, and the average function (· + ·)/2 :
R × R → R.
(4) An example of a binary operation f on the set S = {Alice, Bob, Carol} is given
by
s1 if s1 alphabetically precedes s2 ,
f (s1 , s2 ) =
Bob otherwise.
This is because the only requirement for a binary operation is that exactly one
element of S is assigned to every ordered pair of elements (s1 , s2 ) ∈ S × S.

Even though one could define any number of binary operations upon a given
non-empty set, we are generally only interested in operations that satisfy additional
“arithmetic-like” conditions. In other words, the most interesting binary operations
are those that share the salient properties of common binary operations like addition
and multiplication on R. We make this precise with the definition of a “group” in
Section C.2.
In addition to binary operations defined on pairs of elements in the set S, one
can also define operations that involve elements from two different sets. Here is an
important example.
Definition C.1.3. A scaling operation (a.k.a. external binary operation) on
a non-empty set S is any function that has as its domain F × S and as its codomain
S, where F denotes an arbitrary field. (As usual, you should just think of F as being
either R or C.)
In other words, a scaling operation on S is any rule f : F × S → S that assigns
exactly one element f (α, s) ∈ S to each pair of elements α ∈ F and s ∈ S. As such,
f (α, s) is often written simply as αs. We illustrate this definition in the following
examples.
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Summary of Algebraic Structures Encountered 179

Example C.1.4.

(1) Scalar multiplication of n-tuples in Rn is probably the most familiar scaling

operation. Formally, scalar multiplication on Rn is defined as the following
function:

(α, (x1 , . . . , xn )) −→ α(x1 , . . . , xn ) = (αx1 , . . . , αxn ), ∀ α ∈ R, ∀ (x1 , . . . , xn ) ∈ Rn .

In other words, given any α ∈ R and any n-tuple (x1 , . . . , xn ) ∈ Rn , their scalar
multiplication results in a new n-tuple denoted by α(x1 , . . . , xn ). This new
n-tuple is virtually identical to the original, each component having just been
“rescaled” by α.
(2) Scalar multiplication of continuous functions is another familiar scaling oper-
ation. Given any real number α ∈ R and any function f ∈ C(R), their scalar
multiplication results in a new function that is denoted by αf , where αf is
defined by the rule

(αf )(r) = α(f (r)), ∀ r ∈ R.

In other words, this new continuous function αf ∈ C(R) is virtually identical to

the original function f ; it just “rescales” the image of each r ∈ R under f by α.
(3) The division function ÷ : R × (R \ {0}) → R is a scaling operation on R \ {0}.
In particular, given two real numbers r1 , r2 ∈ R and any non-zero real number
s ∈ R \ {0}, we have that ÷(r1 , s) = r1 (1/s) and ÷(r2 , s) = r2 (1/s), and so
÷(r1 , s) and ÷(r2 , s) can be viewed as different “scalings” of the multiplicative
inverse 1/s of s.
This is actually a special case of the previous example. In particular, we can
define a function f ∈ C(R \ {0}) by f (s) = 1/s, for each s ∈ R \ {0}. Then,
given any two real numbers r1 , r2 ∈ R, the functions r1 f and r2 f can be defined
by

r1 f (·) = ÷(r1 , ·) and r2 f (·) = ÷(r2 , ·), respectively.

(4) Strictly speaking, there is nothing in the definition that precludes S from
equalling F. Consequently, addition, subtraction, and multiplication can all
be seen as examples of scaling operations on R.

As with binary operations, it is easy to define any number of scaling operations

upon a given non-empty set S. However, we are generally only interested in op-
erations that are essentially like scalar multiplication on Rn , and it is also quite
common to additionally impose conditions for how scaling operations should inter-
act with any binary operations that might also be defined upon S. We make this
precise when we present an alternate formulation of the definition for a vector space
in Section C.2.
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180 Linear Algebra: As an Introduction to Abstract Mathematics

C.2 Groups, fields, and vector spaces

We begin this section with the following definition, which is one of the most funda-
mental and ubiquitous algebraic structures in all of mathematics.
Definition C.2.1. Let G be a non-empty set, and let ∗ be a binary operation on
G. (In other words, ∗ : G × G → G is a function with ∗(a, b) denoted by a ∗ b, for
each a, b ∈ G.) Then G is said to form a group under ∗ if the following three
conditions are satisfied:

(1) (associativity) Given any three elements a, b, c ∈ G,

(a ∗ b) ∗ c = a ∗ (b ∗ c).
(2) (existence of an identity element) There is an element e ∈ G such that, given
any element a ∈ G,
a ∗ e = e ∗ a = a.
(3) (existence of inverse elements) Given any element a ∈ G, there is an element
b ∈ G such that
a ∗ b = b ∗ a = e.

You should recognize these three conditions (which are sometimes collectively
referred to as the group axioms) as properties that are satisfied by the operation of
addition on R. This is not an accident. In particular, given real numbers α, β ∈ R,
the group axioms form the minimal set of assumptions needed in order to solve the
equation x + α = β for the variable x, and it is in this sense that the group axioms
are an abstraction of the most fundamental properties of addition of real numbers.
A similar remark holds regarding multiplication on R \ {0} and solving the
equation αx = β for the variable x. Note, however, that this cannot be extended
to all of R.
The familiar property of addition of real numbers that a + b = b + a, is not part
of the group axioms. When it holds in a given group G, the following definition
applies.
Definition C.2.2. Let G be a group under binary operation ∗. Then G is called an
abelian group (a.k.a. commutative group) if, given any two elements a, b ∈ G,
a ∗ b = b ∗ a.
We now give some of the more important examples of groups that occur in Linear
Algebra, but note that these examples far from exhaust the variety of groups studied
in other branches of mathematics.
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Summary of Algebraic Structures Encountered 181

Example C.2.3.

(1) If G ∈ {Z, Q, R, C}, then G forms an abelian group under the usual definition
of addition.
Note, though, that the set Z+ of positive integers does not form a group under
addition since, e.g., it does not contain an additive identity element.
(2) Similarly, if G ∈ { Q \ {0}, R \ {0}, C \ {0}}, then G forms an abelian group
under the usual definition of multiplication.
Note, though, that Z \ {0} does not form a group under multiplication since
only ±1 have multiplicative inverses.
(3) If m, n ∈ Z+ are positive integers and F denotes either R or C, then the set
Fm×n of all m × n matrices forms an abelian group under matrix addition.
Note, though, that Fm×n does not form a group under matrix multiplication
unless m = n = 1, in which case F1×1 = F.
(4) Similarly, if n ∈ Z+ is a positive integer and F denotes either R or C, then the set
GL(n, F) of invertible n×n matrices forms a group under matrix multiplications.
This group, which is often called the general linear group, is non-abelian
when n ≥ 2.
Note, though, that GL(n, F) does not form a group under matrix addition for
any choice of n since, e.g., the zero matrix 0n×n ∈ / GL(n, F).

In the above examples, you should notice two things. First of all, it is important
to specify the operation under which a set might or might not be a group. Second,
and perhaps more importantly, all but one example is an abelian group. Most
of the important sets in Linear Algebra possess some type of algebraic structure,
and abelian groups are the principal building block of virtually every one of these
algebraic structures. In particular, fields and vector spaces (as defined below) and
rings and algebra (as defined in Section C.3) can all be described as “abelian groups
plus additional structure”.
Given an abelian group G, adding “additional structure” amounts to imposing
one or more additional operations on G such that each new operation is “compat-
ible” with the preexisting binary operation on G. As our first example of this, we
add another binary operation to G in order to obtain the definition of a field:

Definition C.2.4. Let F be a non-empty set, and let + and ∗ be binary operations
on F . Then F forms a field under + and ∗ if the following three conditions are
satisfied:

(1) F forms an abelian group under +.

(2) Denoting the identity element for + by 0, F \ {0} forms an abelian group under
∗.
(3) (∗ distributes over +) Given any three elements a, b, c ∈ F ,

a ∗ (b + c) = a ∗ b + a ∗ c.
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182 Linear Algebra: As an Introduction to Abstract Mathematics

You should recognize these three conditions (which are sometimes collectively
referred to as the field axioms) as properties that are satisfied when the operations
of addition and multiplication are taken together on R. This is not an accident. As
with the group axioms, the field axioms form the minimal set of assumptions needed
in order to abstract fundamental properties of these familiar arithmetic operations.
Specifically, the field axioms guarantee that, given any field F , three conditions are
always satisfied:

(1) Given any a, b ∈ F , the equation x + a = b can be solved for the variable x.
(2) Given any a ∈ F \ {0} and b ∈ F , the equation a ∗ x = b can be solved for x.
(3) The binary operation ∗ (which is like multiplication on R) can be distributed
over (i.e., is “compatible” with) the binary operation + (which is like addition
on R).

Example C.2.5. It should be clear that, if F ∈ {Q, R, C}, then F forms a field
under the usual definitions of addition and multiplication.
Note, though, that the set Z of integers does not form a field under these oper-
ations since Z \ {0} fails to form a group under multiplication. Similarly, none of
the other sets from Example C.2.3 can be made into a field.
The fields Q, R, and C are familiar as commonly used number systems. There
are many other interesting and useful examples of fields, but those will not be used
in this book.
We close this section by introducing a special type of scaling operation called
scalar multiplication. Recall that F can be replaced with either R or C.
Definition C.2.6. Let S be a non-empty set, and let ∗ be a scaling operation on
S. (In other words, ∗ : F × S → S is a function with ∗(α, s) denoted by α ∗ s or
even just αs, for every α ∈ F and s ∈ S.) Then ∗ is called scalar multiplication
if it satisfies the following two conditions:

(1) (existence of a multiplicative identity element for ∗) Denote by 1 the multiplica-

tive identity element for F. Then, given any s ∈ S, 1 ∗ s = s.
(2) (multiplication in F is quasi-associative with respect to ∗) Given any α, β ∈ F
and any s ∈ S,
(αβ) ∗ s = α ∗ (β ∗ s).

Note that we choose to have the multiplicative part of F “act” upon S because
we are abstracting scalar multiplication as it is intuitively defined in Example C.1.4
on both Rn and C(R). This is because, by also requiring a “compatible” additive
structure (called vector addition), we obtain the following alternate formulation
for the definition of a vector space.
Definition C.2.7. Let V be an abelian group under the binary operation +, and
let ∗ be a scalar multiplication operation on V with respect to F. Then V forms
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Summary of Algebraic Structures Encountered 183

a vector space over F with respect to + and ∗ if the following two conditions are
satisfied:

(1) (∗ distributes over +) Given any α ∈ F and any u, v ∈ V ,

α ∗ (u + v) = α ∗ u + α ∗ v.

(2) (∗ distributes over addition in F) Given any α, β ∈ F and any v ∈ V ,

(α + β) ∗ v = α ∗ v + β ∗ v.

C.3 Rings and algebras

In this section, we briefly mention two other common algebraic structures. Specif-
ically, we first “relax” the definition of a field in order to define a ring, and we
then combine the definitions of ring and vector space in order to define an alge-
bra. Groups, rings, and fields are the most fundamental algebraic structures, with
vector spaces and algebras being particularly important within the study of Linear
Algebra and its applications.

Definition C.3.1. Let R be a non-empty set, and let + and ∗ be binary operations
on R. Then R forms an (associative) ring under + and ∗ if the following three
conditions are satisfied:

(1) R forms an abelian group under +.

(2) (∗ is associative) Given any three elements a, b, c ∈ R, a ∗ (b ∗ c) = (a ∗ b) ∗ c.
(3) (∗ distributes over +) Given any three elements a, b, c ∈ R,

a ∗ (b + c) = a ∗ b + a ∗ c and (a + b) ∗ c = a ∗ c + b ∗ c.

As with the definition of group, there are many additional properties that can be
added to a ring; here, each additional property makes a ring more field-like in some
way.

Definition C.3.2. Let R be a ring under the binary operations + and ∗. Then we
call R

• commutative if ∗ is a commutative operation; i.e., given any a, b ∈ R, a ∗ b =

b ∗ a.
• unital if there is an identity element for ∗; i.e., if there exists an element i ∈ R
such that, given any a ∈ R, a ∗ i = i ∗ a = a.
• a commutative ring with identity (a.k.a. CRI) if it is both commutative
and unital.

In particular, note that a commutative ring with identity is almost a field; the
only thing missing is the assumption that every element has a multiplicative inverse.
It is this one difference that results in many familiar sets being CRIs (or at least
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184 Linear Algebra: As an Introduction to Abstract Mathematics

unital rings) but not fields. E.g., Z is a CRI under the usual operations of addition
and multiplication, yet, because of the lack of multiplicative inverses for all elements
except ±1, Z is not a field.
In some sense, Z is the prototypical example of a ring, but there are many other
familiar examples. E.g., if F is any field, then the set of polynomials F [z] with
coefficients from F is a CRI under the usual operations of polynomial addition and
multiplication, but again, because of the lack of multiplicative inverses for every
element, F [z] is itself not a field. Another important example of a ring comes from
Linear Algebra. Given any vector space V , the set L(V ) of all linear maps from V
into V is a unital ring under the operations of function addition and composition.
However, L(V ) is not a CRI unless dim(V ) ∈ {0, 1}.
Alternatively, if a ring R forms a group under ∗ (but not necessarily an abelian
group), then R is sometimes called a skew field (a.k.a. division ring). Note that
a skew field is also almost a field; the only thing missing is the assumption that
multiplication is commutative. Unlike CRIs, though, there are no simple examples
of skew fields that are not also fields.
We close this section by defining the concept of an algebra over a field. In
essence, an algebra is a vector space together with a “compatible” ring structure.
Consequently, anything that can be done with either a ring or a vector space can
also be done with an algebra.
Definition C.3.3. Let A be a non-empty set, let + and × be binary operations
on A, and let ∗ be scalar multiplication on A with respect to F. Then A forms an
(associative) algebra over F with respect to +, ×, and ∗ if the following three
conditions are satisfied:

(1) A forms an (associative) ring under + and ×.

(2) A forms a vector space over F with respect to + and ∗.
(3) (∗ is quasi-associative and homogeneous with respect to ×) Given any element
α ∈ F and any two elements a, b ∈ R,
α ∗ (a × b) = (α ∗ a) × b and α ∗ (a × b) = a × (α ∗ b).

Two particularly important examples of algebras were already defined above:

F [z] (which is unital and commutative) and L(V ) (which is, in general, just unital).
On the other hand, there are also many important sets in Linear Algebra that are
not algebras. E.g., Z is a ring that cannot easily be made into an algebra, and R3
is a vector space but cannot easily be made into a ring (note that the cross product
operation from Vector Calculus is not associative).
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Appendix D

Some Common Mathematical Symbols

and Abbreviations
(with History)

This Appendix contains a list of common mathematical symbols as well as a list of

common Latin abbreviations and phrases. While you will not necessarily need all
of the included symbols for your study of Linear Algebra, this list will give you an
idea of where much of our modern mathematical notation comes from.

Binary Relations

= (the equals sign) means “is the same as” and was first introduced in the 1557
book The Whetstone of Witte by physician and mathematician Robert Recorde
(c. 1510–1558). He wrote, “I will sette as I doe often in woorke use, a paire of
parralles, or Gemowe lines of one lengthe, thus: =====, bicause noe 2 thynges
can be moare equalle.” (Recorde’s equals sign was significantly longer than the
one in modern usage and is based upon the idea of “Gemowe” or “identical”
lines, where “Gemowe” means “twin” and comes from the same root as the
name of the constellation “Gemini”.)
Robert Recorde also introduced the plus sign, “+”, and the minus sign, “−”,
in The Whetstone of Witte.
< (the less than sign) means “is strictly less than”, and > (the greater than
sign) means “is strictly greater than”. These first appeared in the book Ar-
tis Analyticae Praxis ad Aequationes Algebraicas Resolvendas (“The Analyti-
cal Arts Applied to Solving Algebraic Equations”) by mathematician and as-
tronomer Thomas Harriot (1560–1621), which was published posthumously in
1631.
Pierre Bouguer (1698–1758) later refined these to ≤ (“is less than or equals”)
and ≥ (“is greater than or equals”) in 1734. Bouger is sometimes called “the
father of naval architecture” due to his foundational work in the theory of naval
navigation.
:= (the equal by definition sign) means “is equal by definition to”. This is a
common alternate form of the symbol “=Def ”, the latter having first appeared in
the 1894 book Logica Matematica by logician Cesare Burali-Forti (1861–1931).

185
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186 Linear Algebra: As an Introduction to Abstract Mathematics

def
Other common alternate forms of the symbol “=Def ” include “ =” and “≡”,
with “≡” being especially common in applied mathematics.
≈ (the approximately equals sign) means “is approximately equal to” and
was first introduced in the 1892 book Applications of Elliptic Functions by
mathematician Alfred Greenhill (1847–1927).
.
Other modern symbols for “approximately equals” include “=” (read as “is
nearly equal to”), “∼
=” (read as “is congruent to”), “” (read as “is similar to”),
“ ” (read as “is asymptotically equal to”), and “∝” (read as “is proportional
to”). Usage varies, and these are sometimes used to denote varying degrees of
“approximate equality” within a given context.

Some Symbols from Mathematical Logic

∴ (three dots) means “therefore” and first appeared in print in the 1659 book
Teusche Algebra (“Teach Yourself Algebra”) by mathematician Johann Rahn
(1622–1676).
Teusche Algebra also contains the first use of the obelus, “÷”, to denote
division.
∵ (upside-down dots) means “because” and seems to have first appeared in
the 1805 book The Gentleman’s Mathematical Companion. However, it is
much more common (and less ambiguous) to just abbreviate “because” as
“b/c”.
" (the such that sign) means “under the condition that” and first appeared
in the 1906 edition of Formulaire de mathématiques by the logician Giuseppe
Peano (1858–1932). However, it is much more common (and less ambiguous)
to just abbreviate “such that” as “s.t.”.
There are two good reasons to avoid using “"” in place of “such that”. First
of all, the abbreviation “s.t.” is significantly more suggestive of its meaning
than is “"”. More importantly, the symbol “"” is now commonly used to
mean “contains as an element”, which is a logical extension of the usage of
the standard symbol “∈” to mean “is contained as an element in”.
⇒ (the implies sign) means “logically implies that”, and ⇐ (the is implied
by sign) means “is logically implied by”. Both have an unclear historical
origin. (E.g., “if it’s raining, then it’s pouring” is equivalent to saying “it’s
raining ⇒ it’s pouring.”)
⇐⇒ (the iff symbol) means “if and only if” (abbreviated “iff”) and is used to
connect two logically equivalent mathematical statements. (E.g., “it’s raining
iff it’s pouring” means simultaneously that “if it’s raining, then it’s pouring”
and that “if it’s pouring, then it’s raining”. In other words, the statement
“it’s raining ⇐⇒ it’s pouring” means simultaneously that “it’s raining ⇒
it’s pouring” and “it’s raining ⇐ it’s pouring”.)
The abbreviation “iff” is attributed to the mathematician Paul Halmos
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Some Common Math Symbols and Abbreviations 187

(1916–2006).
∀ (the universal quantifier) means “for all” and was first used in the 1935
publication Untersuchungen über das logische Schliessen (“Investigations on
Logical Reasoning”) by logician Gerhard Gentzen (1909–1945). He called it
the All-Zeichen (“all character”) by analogy to the symbol “∃”, which means
“there exists”.
∃ (the existential quantifier) means “there exists” and was first used in the
1897 edition of Formulaire de mathématiques by the logician Giuseppe Peano
(1858–1932).
 (the Halmos tombstone or Halmos symbol) means “Q.E.D.”, which is
an abbreviation of the Latin phrase quod erat demonstrandum (“which was
to be proven”). “Q.E.D.” has been the most common way to symbolize the
end of a logical argument for many centuries, but the modern convention of
the “tombstone” is now generally preferred both because it is easier to write
and because it is visually more compact.
The symbol “” was first made popular by mathematician Paul Halmos
(1916–2006).

Some Notation from Set Theory

⊂ (the is included in sign) means “is a subset of” and ⊃ (the includes sign)
means “has as a subset”. Both symbols were introduced in the 1890 book
Vorlesungen über die Algebra der Logik (“Lectures on the Algebra of the Logic”)
by logician Ernst Schröder (1841–1902).
∈ (the is in sign) means “is an element of” and first appeared in the 1895 edition
of Formulaire de mathématiques by the logician Giuseppe Peano (1858–1932).
Peano originally used the Greek letter “” (viz. the first letter of the Latin word
est for “is”). The modern stylized version of this symbol was later introduced in
the 1903 book Principles of Mathematics by logician and philosopher Betrand
Russell (1872–1970).
It is also common to use the symbol “"” to mean “contains as an element”,
which is not to be confused with the more archaic usage of “"” to mean “such
that”.
∪ (the union sign) means “take the elements that are in either set”, and ∩ (the
intersection sign) means “take the elements that the two sets have in com-
mon”. These were both introduced in the 1888 book Calcolo geometrico sec-
ondo l’Ausdehnungslehre di H. Grassmann preceduto dalle operazioni della log-
ica deduttiva (“Geometric Calculus based upon the teachings of H. Grassman,
preceded by the operations of deductive logic”) by logician Giuseppe Peano
(1858–1932).
∅ (the null set or empty set) means “the set without any elements in it” and
was first used in the 1939 book Éléments de mathématique by Nicolas Bour-
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188 Linear Algebra: As an Introduction to Abstract Mathematics

baki. (Bourbaki is the collective pseudonym for a group of primarily European

mathematicians who have written many mathematics books together.) It was
borrowed simultaneously from the Norwegian, Danish and Faroese alphabets by
group member André Weil (1906–1998).
∞ (infinity) denotes “a quantity or number of arbitrarily large magnitude” and
first appeared in print in the 1655 publication De Sectionibus Conicus (“Tract
on Conic Sections”) by mathematician John Wallis (1616–1703).
Possible explanations for Wallis’ choice of “∞” include its resemblance to the
symbol “oo” (used by ancient Romans to denote the number 1000), to the final
letter of the Greek alphabet ω (used symbolically to mean the “final” number),
and to a simple curve called a “lemniscate”, which can be endlessly traversed
with little effort.

Some Important Numbers in Mathematics

π (the ratio of the circumference to the diameter of a circle) denotes the

number 3.141592653589 . . ., and was first used in the 1706 book Synopsis pal-
mariorum mathesios (“A New Introduction to Mathematics”) by mathematician
William Jones (1675–1749). The use of π to denote this number was then pop-
ularized by the great mathematician Leonhard Euler (1707–1783) in his 1748
book Introductio in Analysin Infinitorum. (It is speculated that Jones chose the
letter “π” because it is the first letter in the Greek word perimetron, πριμτ ρoν,
which roughly means “around”.)
e = limn→∞ (1 + n1 )n (the natural logarithm base, also sometimes called Eu-
ler’s number) denotes the number 2.718281828459 . . ., and was first used in
the 1728 manuscript Meditatio in Experimenta explosione tormentorum nuper
instituta (“Meditation on experiments made recently on the firing of cannon”)
by Leonhard Euler. (It is speculated that Euler chose “e” because it is the first
letter in the Latin word for “exponential”.)
The mathematician Edmund Landau (1877–1938) once wrote that, “The letter e
may now no longer be used to denote anything other than this positive universal
constant.”
√
i = −1 (the imaginary unit) was first used in the 1777 memoir Institutionum
calculi integralis (“Foundations of Integral Calculus”) by Leonhard Euler.
The five most important numbers in mathematics are widely considered to be
(in order) 0, 1, i, π, and e. These numbers are even remarkably linked by the
equation eiπ + 1 = 0, which the physicist Richard Feynman (1918–1988) once
called “the most remarkable formula in mathematics”.
#n
γ = limn→∞ ( k=1 k1 − ln n) (the Euler-Mascheroni constant, also known as
just Euler’s constant), denotes the number 0.577215664901 . . ., and was first
used in the 1792 book Adnotationes ad Euleri Calculum Integralem (“Anno-
tations to Euler’s Integral Calculus”) by geometer Lorenzo Mascheroni (1750–
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Some Common Math Symbols and Abbreviations 189

1800).
The number γ is widely considered to be the sixth most important number in
mathematics due to its frequent appearance in formulas from number theory
and applied mathematics. However, as of this writing, it is still not even known
whether or not γ is an irrational number.

Some Common Latin Abbreviations and Phrases

i.e. (id est) means “that is” or “in other words”. (It is used to paraphrase
a statement that was just made, not to mean “for example”, and is
always followed by a comma.)
e.g. (exempli gratia) means “for example”. (It is usually used to give an
example of a statement that was just made and is always followed by
a comma.)
viz. (videlicet) means “namely” or “more specifically”. (It is used to clarify
a statement that was just made by providing more information and is
never followed by a comma.)
etc. (et cetera) means “and so forth” or “and so on”. (It is used to sug-
gest that the reader should infer further examples from a list that has
already been started and is usually not followed by a comma.)
et al. (et alii ) means “and others”. (It is used in place of listing multiple
authors past the first. The abbreviation “et al.” can also be used in
place of et alibi, which means “and elsewhere”.
cf. (conferre) means “compare to” or “see also”. (It is used either to draw
a comparison or to refer the reader to somewhere else that they can
find more information, and it is never followed by a comma.)
q.v. (quod vide) means “which see” or “go look it up if you’re interested”.
(It is used to cross-reference a different written work or a different part
of the same written work, and it is never followed by a comma.) The
plural form of “q.v.” is “q.q.”
v.s. (vide supra) means “see above”. (It is used to imply that more infor-
mation can be found before the current point in a written work and is
never followed by a comma.)
N.B. (Nota Bene) means “note well” or “pay attention to the following”.
(It is used to imply that the wise reader will pay especially careful
attention to what follows and is never followed by a comma. Cf. the
abbreviation “verb. sap.”)
verb. sap. (verbum sapienti sat est) means “a word to the wise is enough” or
“enough has already been said”. (It is used to imply that, while some-
thing may still be left unsaid, enough has been said for the reader to
infer the entire meaning.)
vs. (versus) means “against” or “in contrast to”. (It is used to contrast two
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190 Linear Algebra: As an Introduction to Abstract Mathematics

things and is never followed by a comma.) The abbreviation “vs.” is

also often written as “v.”
c. (circa) means “around” or “near”. (It is used when giving an approx-
imation, usually for a date, and is never followed by a comma.) The
abbreviation “c.” is also commonly written as “ca.”, “cir.”, or “circ.”
ex lib. (ex libris) means “from the library of”. (It is used to indicate ownership
of a book and is never followed by a comma.).
• vice versa means “the other way around” and is used to indicate that an
implication can logically be reversed. (This is sometimes abbreviated
as “v.v.”)
• a fortiori means “from the stronger” or “more importantly”.
• a priori means “from before the fact” and refers to reasoning that is
done while an event still has yet to happen.
• a posteriori means “from after the fact” and refers to reasoning that
is done after an event has already happened.
• ad hoc means “to this” and refers to reasoning that is specific to an
event as it is happening. (Such reasoning is regarded as not being
generalizable to other situations.)
• ad infinitum means “to infinity” or “without limit”.
• ad nauseam means “causing sea-sickness” or “to excess”.
• mutatis mutandis means “changing what needs changing” or “with the
necessary changes having been made”.
• non sequitur means “it does not follow” and refers to something that
is out of place in a logical argument. (This is sometimes abbreviated
as “non seq.”)
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Index

γ, 188 orthonormal, 100, 101, 104

π, 188 standard, 159
Basis Extension Theorem, 45
abbreviation, 189 Basis Reduction Theorem, 45
abelian group, 180 bijection, 176
absolute value, 13 bijectivity, 55
abstraction, 177 binary operation, 29, 177
addition, 177 Bouguer, Pierre, 185
affine subspace, 153 Bourbaki, Nicolas, 187
algebra, 183, 184 Burali-Forti, Cesare, 185
algebraic structure, 177
analysis calculus, 6
complex, 7, 18 multivariate, 1
real, 7 cancellation property, 140, 141
angle, 95 canonical basis, 159
antisymmetric, 174, 175 canonical matrix, 159
approximately equals sign, 186 Cartesian product, 4, 173, 174
argument, 15 Cauchy-Schwarz inequality, 98
argument of a function, 175 change of basis, 111
arithmetic change of basis transformation, 112
matrix, 134 change of basis transformation
associativity, 10, 11, 29, 53, 136, 139, 180, orthogonal, 122
183 unitary, 122
associativity characteristic polynomial, 91, 118
of composition, 85 closed disk, 22
automorphism, 56 closure
axioms, 1, 29 under addition, 32
axioms under scalar multiplication, 32
group, 180 codomain, 3, 31, 175
coefficient matrix, 132
back substitution, 148 cofactor expansion, 92
basis, 39, 44, 159 column vector, 131, 134, 138
basis commutative, 183
canonical, 159 commutative group, 180
change of, 111 commutative ring with identity, 183

191
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192 Linear Algebra: As an Introduction to Abstract Mathematics

commutativity, 10, 11, 29, 136 differentiation map, 51

complement dimension, 39, 44, 46
orthogonal, 104 dimension formula, 56, 163
complement of set, 173 direct sum, 47
complex conjugation, 12 direct sum
complex multiplication, 11 of vector spaces, 34
complex numbers, 21 disk
complex numbers closed, 22
addition, 10 distance
polar form, 6 Euclidean, 13
subtraction, 10 distributivity, 11, 29, 53, 136, 139, 181,
composition 183
of functions, 176 distributivity
of linear maps, 53 of sets, 173
of permutations, 84 division, 12
congruent, 186 division ring, 184
conjugate, 12, 27 domain, 3, 31, 175
conjugate dot product, 133, 138
hermitian, 117
conjugate symmetry e, 188
inner product, 95 eigenspace, 69, 124
conjugate transpose, 118, 164 eigenvalue, 67, 68, 118
conjugation eigenvalue
complex, 12 existence of, 71
continuous functions eigenvector, 67, 68
vector space, 31 elementary function, 18
coordinate vector, 111, 159 elementary matrix, 142, 145, 161
coordinates elements of a set, 171
polar, 15 elimination
coset, 153 Gaussian, 142, 150, 153
cyclic property of trace, 166 empty set, 171, 187
endomorphism, 56
de Moivre’s formula, 17 epimorphism, 56
De Morgan’s laws, 173 equal by definition sign, 185
decomposition equal sign, 185
LU, 155, 156 equation
orthogonal, 98 matrix, 146
polar, 125 quadratic, 4
singular-value, 117, 126 solution, 21
spectral, 120 vector, 134
derivative, 6 equations
determinant, 1, 81, 87, 141 differential, 7
determinant non-linear, 4
properties of, 89 equivalence relation, 174
diagonal matrix, 67, 70, 130 Euclidean inner product, 133, 138
diagonalizability, 117, 126 Euclidean plane, 5, 30
diagonalizable, 70 Euclidean space, 30
diagonalization, 121 Euler number, 188
difference of sets, 173 Euler’s formula, 18
differential equations, 1 Euler, Leonhard, 188
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Index 193

Euler-Mascheroni constant, 188 Gauss-Jordan elimination, 142

even permutation, 86 Gaussian elimination, 142, 149, 150, 153
existence of identity element, 180 general linear group, 142, 181
existence of inverse element, 180 Gentzen, Gerhard, 187
existential quantifier, 187 Gram-Schmidt orthogonalization
expansion procedure, 102, 124
cofactor, 92 graph of a function, 175
exponential form, 16 greater than sign, 185
exponential function, 18 Greenhill, Alfred, 186
extraction group, 178, 180
root, 17 group
extreme value theorem, 22 abelian, 180
commutative, 180
factorization general linear, 142
LU, 155, 156 nonabelian, 142
polynomial, 24 group axioms, 180
Feynman, Richard, 188
field, 29, 181 Halmos symbol, 187
form Halmos, Paul, 186, 187
exponential, 16 Harriot, Thomas, 185
formula hermitian conjugate, 117
de Moivre, 17 hermitian matrix, 165
Euler, 18 hermitian operator, 117, 123
Fourier analysis, 7 homogeneous system of linear equations,
free variable, 144 149, 153
function, 3, 171, 175 homomorphism, 56
function
argument, 175 i, 9, 188
bijective, 176 identity, 53
complex cosine, 18 identity
composition, 176 additive, 10, 29, 31, 32, 136
continuous, 22 composition, 85
elementary, 18 multiplicative, 11, 29
exponential, 18 identity element
graph of, 175 existence, 180
image, 175 identity function, 176
injective, 176 identity map, 51, 176
invertible, 176 identity matrix, 131
linear, 51 iff symbol, 186
one-to-one, 176 image of a function, 175
one-to-one and onto, 176 imaginary part, 9
onto, 176 imaginary unit, 9, 188
pre-image, 175 implies sign, 186
range, 175 included in sign, 187
surjective, 176 inclusion of sets, 173
value, 175 inequality
Fundamental Theorem of Algebra, 21, 24, Cauchy-Schwarz, 98
25, 71 triangle, 14, 99
proof, 22 infinity sign, 188
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194 Linear Algebra: As an Introduction to Abstract Mathematics

inhomogeneous system of linear equations, Lie algebras, 7

152, 162 linear combination, 39
injection, 176 Linear Dependence Lemma, 42
injectivity, 54, 61 linear equations
inner product, 95 solutions, 1, 132
inner product system of, 51, 132
conjugate symmetry, 95 linear function, 51
Euclidean, 133, 138 linear independence, 39, 40
linearity, 95 linear manifold, 153
positive definiteness, 95 linear map, 51, 129, 159
positiviy, 95 linear map
inner product space, 95, 104, 117 composition, 53
interpretation invertible, 161
geometric, 15 kernel, 53
intersection of sets, 173 matrix, 57, 159
intersection sign, 187 null space, 53
invariant subspace, 67 range, 55, 161
inverse linear operator, 51, 63, 111, 117
additive, 10, 29, 31, 136 linear span, 39
composition, 85 linear system
multiplicative, 11, 14, 140 of equations, 1, 129, 132, 142
inverse element linear transformation, 51
existence, 180 linearity
inverse matrix, 141 inner product, 95
inverse relation, 175 lower triangular matrix, 131
inversion, 85 LU decomposition, 155, 156
inversion pair, 85 LU factorization, 155, 156
invertibility, 61
invertibility of square matrices, 140 magnitude, 13
invertible function, 176 magnitude
is in sign, 187 of vector, 96
isometry, 122 manifold
isomorphic, 62 linear, 153
isomorphism, 56, 62 map, 176
Mascheroni, Lorenzo, 188
Jones, William, 188 matrix, 129
matrix
kernel, 53, 56, 106, 153, 162 canonical, 159
coefficient, 132
Landau, Edmund, 188 column index, 130
Latin abbreviation and phrases, 189 diagonal, 70, 130
law elementary, 142, 145, 161
parallelogram, 100 entry, 130
leading variable, 144 hermitian, 165
Lemma identity, 131
Linear Dependence, 42 invertible, 140
length, 13 lower triangular, 131
length main diagonal, 130
of vector, 96 non-singular, 140
less than sign, 185 of linear map, 57, 159
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Index 195

off-diagonal, 130 self-adjoint, 117, 124

orthogonal, 165 skew hermitian, 128
row exchange, 145 symmetric, 123
row index, 130 unitary, 123
row scaling, 145 order relation, 174
row sum, 145 orthogonal, 98
skew main diagonal, 130 orthogonal change of basis
square, 81, 111, 130 transformation, 122
subdiagonal, 130 orthogonal complement, 104
superdiagonal, 130 orthogonal decomposition, 98
symmetric, 165 orthogonal group, 165
trace, 165 orthogonal matrix, 165
triangular, 155 orthogonal operator, 123
two-by-two, 75 orthogonal projection, 106
unitary, 165 orthogonality, 95, 98
upper triangular, 72, 131, 155 orthonormal basis, 100, 101, 104
zero, 132 overdetermined system of linear
matrix addition, 59, 134 equations, 150, 153
matrix arithmetic, 134
matrix equation, 129, 133, 146 parallelogram law, 100
matrix multiplication, 59, 137 Peano, Giuseppe, 186, 187
minus sign, 185 permutation, 81
modulus, 13 permutation
monic polynomial, 24 even, 86
monomorphism, 56 identity, 83
multiplication, 177 odd, 86
multiplication sign of, 85, 86
matrix, 59 trivial, 83
scalar, 134 permutations
composition of, 84
norm, 13, 98 pivot, 143
norm of vector, 96 plus sign, 185
normal operator, 117, 119 polar coordinates, 15
notation polar decomposition, 125
one-line, 82 polynomial
two-line, 82 coefficients, 24
null set, 171, 187 constant, 24
null space, 53, 106, 162 cubic, 24
numbers degree, 24
complex, 4, 9 leading term, 24
real, 3, 9 linear, 24
monic, 24
obelus, 186 quadratic, 24
odd permutation, 86 quadric, 24
one-line notation, 82 quintic, 24
operator root, 22, 24
hermitian, 117, 123 vector space, 30
normal, 117, 119 zero, 24
orthogonal, 123 polynomial equation, 21, 76
positive, 124 positive definiteness
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196 Linear Algebra: As an Introduction to Abstract Mathematics

inner product, 95 Russell, Betrand, 187

of norm, 97
positive homogeneity scalar multiplication, 4, 29, 59, 134, 179,
of norm, 97 182
positive operator, 124 scalar multiplication
positivity compatibility, 139
inner product, 95 scaling operation, 178
power set, 174 Schröder, Ernst, 187
pre-image of a function, 175 self-adjoint operator, 117, 118, 124
probability theory, 1 set, 171
product, 53 set
product complement, 173
complex, 11 difference, 173
dot, 133 elements of a, 171
projection empty, 171
orthogonal, 106 inclusion, 173
proof, 1 intersection, 173
Pythagorean theorem, 13, 98 null, 171
singleton, 171
q.e.d., 187 union, 173
quantifier sign
existential, 187 approximately equals, 186
universal, 187 equal, 185
quod erat demonstrandum, 187 equal by definition, 185
quotient greater than, 185
complex, 12 implies, 186
included in, 187
Rahn, Johann, 186 infinity, 188
range, 55, 56, 106, 161 intersection, 187
range of a function, 175 is in, 187
real part, 9 less than, 185
Recorde, Robert, 185 minus, 185
reduced row-echelon form, 142, 148–150, plus, 185
153, 155 such that, 186
REF, 142, 147, 155 union, 187
reflexive, 174, 175 sign of permutation, 85, 86
relative set complements, 173 singleton set, 171
ring, 183 singular value, 126
root, 22, 24 singular-value decomposition, 117, 126
root extraction, 17 skew field, 184
root of unity, 17 skew hermitian operator, 128
rotation, 6 solution
row exchange matrix, 145 infinitely many, 2, 150, 153, 162
row scaling matrix, 145 none, 153, 162
row sum matrix, 145 of linear system of equations, 129, 142,
row vector, 131, 138 148, 150, 159
row-echelon form, 142, 147, 155 particular, 153
row-echelon form trivial, 150
reduced, 142 unique, 2, 153, 161, 162
RREF, 143, 148–150, 153, 155 solution space
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Index 197

of system of linear equations, 149 trace

spectral decomposition, 120 cyclic property, 166
spectral theorem, 120 transformation, 176
square matrix, 111 transformation
square system of linear equations, 150 change of basis, 112
standard basis, 159 linear, 5, 7
standard basis matrices, 135 transitive, 174, 175
straight line, 5 transpose, 164
subset, 173 transposition, 86
subspace, 105, 150 triangle inequality, 14, 97, 99
subspace triangular matrix, 155
affine, 153 trivial solution, 150
intersection, 33 two-line notation, 82
of vector space, 32
trivial, 33 underdetermined system of linear
union, 33 equations, 150
substitution, 3, 148, 155 union of sets, 173
subtraction, 177 union sign, 187
such that sign, 186 unital, 183
surjection, 176 unitary change of basis transformation,
surjectivity, 55, 61 122
symbol unitary group, 165
Halmos, 187 unitary matrix, 165
iff, 186 unitary operator, 123
mathematical logic, 186 universal quantifier, 187
numbers, 188 unknown, 3
set theory, 187 upper triangular matrix, 67, 72, 131, 155
symmetric, 174 upper triangular operator, 104
symmetric group, 81 upside-down dots, 186
symmetric matrix, 165
symmetric operator, 123 value
symmetry, 7 absolute, 13
system of linear equations, 51, 132, 142 value of a function, 175
system of linear equations variable, 2
homogeneous, 149 variable
inhomogeneous, 152, 162 free, 144
overdetermined, 150, 153 leading, 144
square, 150 vector, 131
underdetermined, 150 vector
column, 131, 134, 138
target space, 3 coordinate, 111, 159
Taylor series, 6 length, 95
theorem row, 131, 138
basis extension, 45 vector addition, 4, 29
basis reduction, 44 vector equation, 134
Pythagorean, 13, 98 vector space, 4, 29, 159, 182
spectral, 120 vector space
triangle inequality, 99 complex, 30
three dots, 186 direct sum, 34
trace, 164, 165 finite-dimensional, 39
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198 Linear Algebra: As an Introduction to Abstract Mathematics

infinite-dimensional, 39 Wallis, John, 188

real, 30 Weil, André, 188
vectors
linearly dependent, 40 zero divisor, 140
linearly independent, 40, 101 zero map, 51
orthogonal, 101 zero matrix, 132