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 Modular Forms on Schiermonnikoog

Modular forms are functions with an enormous amount of symmetry which play a
central role in number theory connecting it with analysis and geometry. They have
played a prominent role in mathematics since the 19th century and their study
continues to flourish today. They pop up in string theory and played a decisive role in
the proof of Fermat’s Last Theorem. Modular forms formed the inspiration to
Langlands’ conjectures and are expected to play an important role in the description of
the cohomology of varieties defined over number fields.
This collection of up-to-date articles originated from the conference
“Modular Forms” held on the Island of Schiermonnikoog in the Netherlands
in the autumn of 2006.

Bas Edixhoven is Professor of Mathematics in the Mathematical

Institute at Leiden University.

Gerard van der Geer is Professor of Algebra in the Korteweg-de Vries

Institute for Mathematics at the University of Amsterdam.

Ben Moonen is Associate Professor in the Korteweg-de Vries

Institute for Mathematics at the University of Amsterdam.
Modular Forms on Schiermonnikoog

BAS EDIXHOVEN
GERARD VAN DER GEER
BEN MOONEN
CAMBRIDGE UNIVERSITY PRESS
Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo

Cambridge University Press

The Edinburgh Building, Cambridge CB2 8RU, UK
Published in the United States of America by Cambridge University Press, New York

www.cambridge.org
Information on this title: www.cambridge.org/9780521493543
© Bas Edixhoven, Gerard van der Geer and Ben Moonen 2008

This publication is in copyright. Subject to statutory exception and to the

provision of relevant collective licensing agreements, no reproduction of any part
may take place without the written permission of Cambridge University Press.
First published in print format 2008

ISBN-13 978-0-511-45754-8 eBook (NetLibrary)

ISBN-13 978-0-521-49354-3 hardback

Cambridge University Press has no responsibility for the persistence or accuracy

of urls for external or third-party internet websites referred to in this publication,
and does not guarantee that any content on such websites is, or will remain,
accurate or appropriate.
 Contents

Preface page vii

List of contributors viii

1 Modular Forms
Bas Edixhoven, Gerard van der Geer and Ben Moonen 1
2 On the basis problem for Siegel modular forms
with level
Siegfried Böcherer, Hidenori Katsurada and Rainer
Schulze-Pillot 13
3 Mock theta functions, weak Maass forms, and
applications
Kathrin Bringmann 29
4 Sign changes of coefficients of half integral weight
modular forms
Jan Hendrik Bruinier and Winfried Kohnen 57
5 Gauss map on the theta divisor and Green’s
functions
Robin de Jong 67
6 A control theorem for the images of Galois actions
on certain infinite families of modular forms
Luis Dieulefait 79
7 Galois realizations of families of Projective
Linear Groups via cusp forms
Luis Dieulefait 85

v
vi Contents

8 A strong symmetry property of Eisenstein series

Bernhard Heim 93
9 A conjecture on a Shimura type correspondence
for Siegel modular forms, and Harder’s conjecture
on congruences
Tomoyoshi Ibukiyama 107
10 Petersson’s trace formula and the Hecke eigenvalues
of Hilbert modular forms
Andrew Knightly and Charles Li 145
11 Modular shadows and the Lévy–Mellin ∞–adic
transform
Yuri I. Manin and Matilde Marcolli 189
12 Jacobi forms of critical weight and Weil
representations
Nils-Peter Skoruppa 239
13 Tannakian Categories attached to abelian varieties
Rainer Weissauer 267
14 Torelli’s theorem from the topological point of view
Rainer Weissauer 275
15 Existence of Whittaker models related to four
dimensional symplectic Galois representations
Rainer Weissauer 285
16 Multiplying Modular Forms
Martin H. Weissman 311
17 On projective linear groups over finite fields
as Galois groups over the rational numbers
Gabor Wiese 343
 Preface

This volume grew out of a very succesful conference on Modular Forms that
was held in October 2006 on the Dutch island of Schiermonnikoog and that
was organised with financial support from the Foundation Compositio Math-
ematica. For some of the participants the journey to the island was a long
one, but once on the island this was soon forgotten, and we look back at a
very pleasant conference in beautiful surroundings. We thank the Foundation
Compositio Mathematica for making this conference possible.
The present volume contains, in addition to an introduction by the editors,
sixteen refereed papers, not necessarily related to lectures at the conference.
We thank all authors and all referees for their contributions.

Bas Edixhoven
Gerard van der Geer
Ben Moonen

vii
 Contributors

Bas Edixhoven
Mathematisch Instituut, Universiteit Leiden,
P.O. Box 9512, 2300 RA Leiden, The Netherlands
[email protected]

Gerard van der Geer

Korteweg-de Vries Instituut, Universiteit van Amsterdam, Plantage
Muidergracht 24, 1018 TV Amsterdam, The Netherlands
[email protected]

Ben Moonen
Korteweg-de Vries Instituut, Universiteit van Amsterdam, Plantage
Muidergracht 24, 1018 TV Amsterdam, The Netherlands
[email protected]

Siegfried Böcherer
Kunzenhof 4B, 79117 Freiburg, Germany
[email protected]

Kathrin Bringmann
School of Mathematics, University of Minnesota, Minneapolis,
MN 55455, U.S.A.
[email protected]

Jan Hendrik Bruinier

Technische Universität Darmstadt, Fachbereich Mathematik,
Schlossgartenstrasse 7, D–64289 Darmstadt, Germany
[email protected]

viii
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 List of contributors ix

Luis Dieulefait
Departament d’Algebra i Geometria, Universitat de Barcelona,
Gran Via de les Corts Catalanes 585, 08007 – Barcelona, Spain
[email protected]

Bernhard Heim
Max-Planck Institut für Mathematik, Vivatsgasse 7, 53111 Bonn,
Germany
[email protected]

Tomoyoshi Ibukiyama
Department of Mathematics, Graduate School of Science, Osaka
University, Machikaneyama 1-16, Toyonaka, Osaka, 560-0043 Japan
[email protected]

Robin de Jong
Mathematisch Instituut, Universiteit Leiden, P.O. Box 9512,
2300 RA Leiden, The Netherlands
[email protected]

Hidenori Katsurada
Muroran Institute of Technology, 27-1 Mizumoto, Muroran,
050-8585, Japan
[email protected]

Andrew Knightly
Department of Mathematics and Statistics,
University of Maine, Neville Hall, Orono, ME 04469-5752, USA
[email protected]

Winfried Kohnen
Mathematisches Institut, Universität Heidelberg,
Im Neuenheimer Feld 288, D–69120 Heidelberg, Germany
[email protected]

Charles Li
Department of Mathematics, Chinese University of
Hong Kong, Shatin NT, Hong Kong, Peoples Republic of China
[email protected]
x List of contributors

Yuri I. Manin
Max-Planck Institut für Mathematik, Vivatsgasse 7,
53111 Bonn, Germany
[email protected]
Department of Mathematics, Northwestern University,
2033 Sheridan Road, Evanston, IL 60208-2730, USA
[email protected]

Matilde Marcolli
Max-Planck Institut für Mathematik, Vivatsgasse 7,
53111 Bonn, Germany
[email protected]

Rainer Schulze-Pillot
Fachrichtung Mathematik, Universität des Saarlandes,
Postfach 151150, 66041 Saarbrücken, Germany
[email protected]

Nils-Peter Skoruppa
Fachbereich Mathematik, Universität Siegen, Walter-Flex-Straße 3,
57068 Siegen, Germany
[email protected]

Rainer Weissauer
Mathematisches Institut, Universität Heidelberg, Im Neuenheimer
Feld 288, 69120 Heidelberg, Germany
[email protected]

Martin H. Weissman
Department of Mathematics, University of California,
Santa Cruz, U.S.A.
[email protected]

Gabor Wiese
Institut für Experimentelle Mathematik, Ellernstraße 29, 45326
Essen, Germany
[email protected]
 Modular Forms
Bas Edixhoven, Gerard van der Geer and Ben Moonen

There are five fundamental operations in mathematics: addition,

subtraction, multiplication, division and modular forms
—M. Eichler1
Modular functions played a prominent role in the mathematics of the 19th
century, where they appear in the theory of elliptic functions, i.e., elements of
the function field of an elliptic curve, but also in the theory of binary quadratic
forms. The term seems to stem from Dirichlet, but the functions are clearly
present in the works of Gauss, Abel and Jacobi. They play an important role
in the work of Kronecker, Eisenstein and Weierstrass, and later in that century
they appear as central themes in the work of Poincaré and Klein. The theory
of Riemann surfaces developed by Riemann became an important tool, and
Klein and Fricke studied and popularized the Riemann surfaces defined by
congruence subgroups of the modular group SL(2, Z).
Modular forms appear as theta functions in the work of Jacobi in the 1820’s,
and, up to a factor q 1/24 , already in Euler’s identity
 
(1 − q n ) = (−1)k q k(3k−1)/2 .
n≥1 k∈Z

They show up in a natural way in the expansions of elliptic functions and

as such they were studied by Eisenstein, but the concept of modular forms
was formalized only later. Apparently, it was Klein who introduced the term
“Modulform”, cf. page 144 of Klein-Fricke [12].
One had to wait till Hecke for the first systematic study of modular forms
on SL(2, Z) and its congruence subgroups. The first appearance of the word
“Modulform” in Hecke’s work seems to be in [11].
1 Apocryphal statement ascribed to Martin Eichler, March 29, 1912–October 7, 1992.

1
2 Bas Edixhoven, Gerard van der Geer and Ben Moonen

A crucial point in our story came when Hecke introduced the “averaging”
operators that bear his name and that give essential arithmetic information
on modular forms. Given (in modern terminology) a Hecke eigenform f on

1 (N ) with Fourier series a(n)q n , normalised by the condition a(1) = 1,
Hecke could interpret the Fourier coefficient a(n) as the eigenvalue of his oper-
ator T (n). This also enabled him to express the Dirichlet series L( f, s) =
 −s
  −1
n≥1 a(n)n as an Euler product p 1 − a( p) p −s + ε( p) p k−1−2s ,
where k is the weight of f and ε : (Z/N Z)× → C× its character. Thus
he generalized a result of Mordell, who had proved in 1917 the multiplica-
tivity of the Ramanujan τ -function that gives the Fourier coefficients of the
weight 12 cusp form . (This property of the τ -function had been observed
by Ramanujan in 1916.) Though the eigenvalues of eigenforms showed a def-
inite arithmetic flavour, it remained at that time a mystery why there should
be arithmetic information in the Fourier coefficients of eigenforms. Hecke
did not know, at that time, that the space of cusp forms of a given weight
and level possesses a basis of eigenforms for the Hecke operators T (n) with
n prime to the level. But a little later Petersson defined an inner product
with respect to which these T (n) are normal, and with this it followed that
such a basis exists. Hecke also proved, using the Mellin transform, that the
Dirichlet series L( f, s) associated to a cusp form f of weight k on 1 (N )
has an analytic continuation to a holomorphic function on the whole com-
plex plane and satisfies a functional equation relating L( f, s) to L(g, k − s),
where g(τ ) = τ k f (−1/N τ ).
The second important step that Hecke made was to characterise the Dirichlet

series n>0 a(n)n −s of the form L( f, s) with f a cusp form of weight k on
SL(2, Z) by regularity conditions and a functional equation relating L( f, s) to

L( f, k − s). Indeed, a Fourier series f = n≥1 a(n)q n that is holomorphic
on the upper half plane is a cusp form of weight k on SL(2, Z) precisely when
f (−1/τ ) = τ k f (τ ). This so-called converse theorem generalized a theorem
of Hamburger, saying that a sufficiently regular Dirichlet series that satisfies
the functional equation of the Riemann zeta function is in fact a multiple of the
Riemann zeta function.
The L-function that Hecke associates to a cusp form has its roots in earlier
work of Gauss, Dirichlet and Riemann. But although Hecke was working at
the same mathematics department (in Hamburg) as Artin, who was then work-
ing on his Artin L-series for representations of the Galois group of a number
field, it seems that neither of them appreciated the link between the two types
of L-functions. This may seem odd to us, but it is good to realize that the
moment that the link was recognized in its full conjectural setting represents
a second turning point in our history. Indeed, looking from a large distance
 Modular Forms 3

one may distinguish two turning points for the history of modular forms in the
20th century: Hecke’s introduction of the Hecke operators and his converse
theorem, and Langlands’s letter of January 1967 to Weil, in which he laid out a
grand program in which modular forms are an incarnation of non-abelian class
field theory. Langlands’s letter pointed out the common source for the L-series
of Hecke and Artin, and brought the two types of L-functions together in a
larger framework. We will come to that later.
But at the time that Hecke revolutionized the topic, it also lost its promi-
nence, as novel developments in topology and algebra started to attract more
attention. This was a time when many new concepts appeared, like the notions
of algebraic topology and homology theory, and when new algebraic struc-
tures like rings and algebras were studied. These notions completely changed
the face of mathematics at the time. Klein writes in this connection: “Es hat
sich hier ein merkwürdiger Umschwung vollzogen. Als ich studierte, galten
die Abelschen Funktionen—in Nachwirkung der Jacobischen Tradition—als
der unbestrittene Gipfel der Mathematik, und jeder von uns hatte den selbst-
verständlichen Ehrgeiz, hier selbst weiter zu kommen. Und jetzt? Die junge
Generation kennt die Abelschen Funktionen kaum mehr.”(Vorlesungen über
die Entwicklung der Mathematik, VII.)
In retrospect these developments, like the construction of homology and
cohomology, the emergence of new algebraic structures and the develop-
ment of an algebraic foundation for algebraic geometry, were the necessary
ingredients for the later growth of the theory of modular forms.
The fact that there was a shift of focus to new topics in mathematics does
not mean that the theory of modular forms came to a standstill. Throughout
the 20th century there have been new ideas and generalizations, broadening
but also deepening the subject. Some of these generalizations dealt with the
extension of the notion of modular forms to other groups. An example of this
is the step from SL(2, Z) to the group SL(2, O K ) with O K the ring of inte-
gers of a totally real field, the Hilbert modular group. Hilbert was inspired by
Kronecker’s “Jugendtraum” about generating abelian extensions of imaginary
quadratic fields. The Kronecker-Weber theorem says that all abelian exten-
sions of Q are contained in the field generated, over Q, by all roots of unity,
i.e., by the torsion points of the circle group. It was also found that for an
imaginary quadratic field K , the values of a suitable elliptic function at the
torsion points of an elliptic curve with complex multiplication by O K could
be used to generate abelian extensions of K . Hilbert envisioned an analogue
of the Kronecker-Weber theorem and the theory of complex multiplication
for abelian extensions of CM-fields (totally imaginary quadratic extensions
of totally real number fields). He devoted to this the 12th of his famous
4 Bas Edixhoven, Gerard van der Geer and Ben Moonen

Mathematische Probleme, presented at the ICM 1900 in Paris.2 As part of his

investigations, Hilbert had worked out a theory of modular functions for totally
real fields, more precisely for modular functions for the action of SL(2, O K )
on the product of n = [K : Q] upper half planes. He wrote an unpublished
manuscript about it, and under his guidance his student Blumenthal wrote his
Habilitationsschrift about the basics of the theory. Hecke, also a student of
Hilbert, wrote his thesis about it, this time with the purpose of setting up a
theory of abelian extensions of quartic CM-fields. After these beginnings this
development seemed to dry up, and though impressive progress has been made,
Hilbert’s 12th problem is to date unsolved. But recently two new ideas have
been launched: Manin’s “Alterstraum”, and Darmon’s “Stark-Heegner points”.
In the years after Hecke the number of mathematicians involved in modular
forms shrank to a small group, including Eichler, Maass, Petersson and Rankin,
but they continued to contribute. In 1946 Maass, working under difficult
circumstances in postwar Germany, showed that one could sacrifice holomor-
phicity by considering eigenfunctions of the Laplacian y 2 (∂ 2 /∂ x 2 + ∂ 2 /∂ y 2 )
that are invariant under the modular group.
In another direction, Siegel generalized the notion of the modular group
inspired by his quantitative theory of representations of quadratic forms by
quadratic forms, and also by the theory of period matrices of Riemann surfaces;
see [19]. He made a detailed study of the symplectic group and its geome-
try, thus picking up a thread left by Riemann and neglected by many, Scorza
being one of the exceptions. In his groundbreaking paper of 1857, Riemann
had introduced the period matrix of a Riemann surface of genus g, and had
shown that it can be normalized in the form of a complex symmetric g by g
matrix with positive definite imaginary part. Siegel considered the so-called
Siegel upper half space Hg of all such period matrices, on which the symplectic
group acts by fractional linear transformations. He determined a fundamen-
tal domain and its natural volume, studied the function field of the quotient
space Sp(2g, Z)\Hg , and he introduced the notion of a (Siegel) modular form.
Siegel’s main motivation was his desire to describe in a quantitive way the rep-
resentations of integral quadratic forms by other quadratic forms. His central
result can be expressed as an equality of a theta series with an Eisenstein series
for the Siegel modular group.
In the 1950’s and 1960’s another vast generalization of the theory of modular
forms was conceived by the introduction of the general notion of automorphic
form, and of the subsequent adèlisation of this concept. According to Borel

2 See [15] for further historical information on Hilbert’s 12th problem and Kronecker’s
“Jugendtraum”.
 Modular Forms 5

and Jacquet in [3] and [4], it had first been observed by Gelfand and Fomin
that modular forms and other automorphic forms on the upper half plane and
other bounded symmetric domains can be viewed as smooth vectors in rep-
resentations of the ambient Lie group G on suitable spaces of functions on G
that are invariant under the discrete subgroup . A general definition was given
by Harish-Chandra in [9] for a semisimple connected Lie group G, a discrete
subgroup  and a maximal compact subgroup K . An automorphic form on G
with respect to K and  is then a left--invariant and right-K -finite smooth
function f : G → C, finite under the center of the enveloping algebra of
the Lie algebra of G, and satisfying a certain growth condition. The consid-
eration of the system of all congruence subgroups of a connected reductive
group G over Q then led to the notion of automorphic forms on the group
G(A) of adèlic points of G, and this notion was then further generalised to
connected reductive groups over global fields F. An important consequence
of this point of view is that the space of automorphic forms on G(A) can be
studied as a representation of the group G(A f ), as well as of K and the Lie
algebra of G(R). Irreducible representations thus obtained are called automor-
phic representations; they can be decomposed as restricted tensor products of
irreducible representations of the local groups G(Fv ). In a precise way, these
local representations generalise the systems of eigenvalues of a Hecke eigen-
form. Especially the Russian school contributed to the early development in
this direction (Gelfand, Graev, Piatetskii-Shapiro,. . . ). The necessary theory of
algebraic groups, arithmetic subgroups and adèle groups had been developed
in the meantime, see for example [5].
On another stage but also during the 1950’s and 1960’s, weight two modular
forms for congruence subgroups of SL(2, Z) were related to differential forms
on modular curves, and hence to the Jacobian varieties of modular curves, also
in positive characteristic. Advances in algebraic geometry made it possible to
study the reduction of curves and Jacobians at almost all primes. This led to
the identification of the (partial) Hasse-Weil zeta functions of modular curves
with a product of L-functions of such modular forms, at least at almost all
primes (Eichler, Shimura; see [17]), thus proving the meromorphic continua-
tion and the existence of a functional equation for these zeta functions. Kuga
and Shimura were even able to do the same for forms of higher weight on the
unit group of a quaternion algebra (see [13]).
In particular, the Hasse-Weil L-functions of elliptic curves over Q occur-
ring as isogeny factor of the Jacobian of a modular curve were identified
(up to finitely many Euler factors) with L-functions of modular forms.
Deuring proved in 1955 that the L-function of an elliptic curve with com-
plex multiplication is a product of two Hecke L-functions associated to
6 Bas Edixhoven, Gerard van der Geer and Ben Moonen

“Grössencharaktere”. In the same year, Taniyama [20] raised the question

whether the meromorphicity and functional equation of the Hasse-Weil zeta
functions of elliptic curves over number fields could be proved by finding suit-
able automorphic forms (see [18], where Shimura evokes a vivid portrait of
their interaction in that time). Taniyama’s idea was that the expected functional
equation should imply modularity for the associated Fourier series along the
lines of Hecke who characterized modular forms on SL(2, Z) by the functional
equation of their associated Dirichlet series.
In [24] Weil extended Hecke’s argument by showing that if for sufficiently

many Dirichlet characters χ the Dirichlet series χ (n)a(n)n −s associated

to a function f on the upper half plane given by a Fourier series a(n)q n
have a suitable continuation to C and satisfy an explicitly given functional
equation then f is a modular form on a congruence subgroup 0 (N ) (with N
determined by the functional equations). At the end Weil states the modularity
question for an elliptic curve E over Q in a precise form: the complete Hasse-
Weil L-function is defined, as well as the conductor of E, and the expected
functional equations. It was this paper of Weil that drew renewed attention to
the modularity question for elliptic curves over Q.
In January 1967 Langlands wrote a letter [14] to Weil that marked the start of
the “Langlands program”. The main idea of this program is that the L-function
associated to a Galois representation should coincide with the L-function
that can be associated to some “algebraic” automorphic representation (gen-
eralising algebraic Hecke characters on idèle groups), and therefore has an
analytic continuation and satisfies a functional equation. For example, the
Artin L-function for an irreducible continuous n-dimensional complex rep-
resentation of the Galois group of a number field F should be the L-function
associated to an automorphic cuspidal representation of GL(n, A F ). This leads
to conjectural correspondences, both global and local, between Galois repre-
sentations and automorphic representations, characterised by being compatible
with suitable L-factors and ε-factors. Also compatible systems of l-adic rep-
resentations can be taken into account, and general reductive groups G over
number fields F are considered. The Langlands dual group L G is introduced
in order to formulate the natural (conjectural) relations between automor-
phic representations on different reductive groups: the functoriality principle.
In collaboration with Jacquet, Langlands gave support for the functoriality
principle by working it out and establishing the Jacquet-Langlands correspon-
dence for the group GL(2) and its inner twists (unit groups of quaternion
algebras). Here, trace formulas (Selberg) play the main role. The Langlands
program constitutes a grand framework for number theory, representation
 Modular Forms 7

theory and algebraic geometry, and has become one of the focal points in pure
mathematics.
By that time the new methods of algebraic geometry, after the revolution in
that field led by Grothendieck, came to play their role in the theory of modu-
lar forms. Eichler and Shimura had shown that the space of modular forms of
weight k ≥ 2 and level N can be interpreted as the (k − 1, 0)-part of the Hodge
decomposition of the cohomology of a suitable local system on the modular
curve X 1 (N ): the k − 2 symmetric power of the rank two local system given
by the fiberwise cohomology of the universal family of elliptic curves. In 1968
Deligne showed that the l-adic étale cohomology of a non-singular projec-
tive model of the k − 2 power of the universal elliptic curve over the j-line
provides the Galois representations then conjecturally associated to modular
forms. Here Deligne had to deal with the technical difficulties caused by the
presence of cusps. As a consequence of his results, the Ramanujan conjecture
on the absolute value of the Fourier coefficients of these modular forms would
follow from the Weil conjectures on the cohomology of non-singular projec-
tive varieties over finite fields. Six years later Deligne himself proved the last
open part of these conjectures, and Ramanujan’s conjecture followed. A clear
link between modular forms and Galois representations was established.
The new methods of algebraic geometry were also needed strongly to over-
come the hurdles in extending results for GL(2) to other groups, like the
symplectic group. The main reason for this is that the associated modular
varieties are of higher dimension. Moreover, the fact that the spaces that are
considered are usually not complete presents serious obstacles. Satake showed
how the quotient space Sp(2g, Z)\Hg can be compactified by adding the orbits
of the rational boundary components Hi with 0 ≤ i ≤ g in Hg , thus obtaining
a normal analytic space, which however for g > 1 is very singular. Baily and
Borel generalized his construction to the so-called Baily-Borel compactifica-
tion where the quotient of a bounded symmetric domain under an arithmetic
subgroup is compactified to a projective variety that contains the original as a
quasi-projective open subvariety. The embedding in projective space is given
by modular forms of an appropriate weight. In other words, the homogeneous
coordinate rings of these compactifications are the graded algebras of mod-
ular forms. These Baily-Borel compactifications are in general very singular.
Igusa constructed a smooth compactification of Sp(2g, Z)\Hg for g ≤ 3 by
blowing up the Satake compactification along the ideal of the boundary. Mum-
ford launched a big program to construct smooth compactifications by toroidal
methods. A drawback of these compactifications is that they are not canonical,
but depend on combinatorial data (cone decompositions).
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