Lecture 2 FA Compact

Functional Analysis
Compact Operators – Lecture 2

Binod Chandra Tripathy
Theorem. Let X, Y be normed linear spaces. Then the

following are equivalent.
(a) Every closed and bounded subset of X is compact.
(b) The subset {xX: ||x|| ≤1} of X is compact.
(c) X is finite dimensional.
Remark. A compact subset of Y is bounded, so a

compact linear map is continuous. The converse of the
statement is not necessarily true. This is clear from the
following example.
Example. Consider the normed linear space   , the
class of all bounded sequences and c00, the class of all
finite sequences. that is
  ={(xn) w : sup |xn|<∞},
where w is the class of all sequences.

c00={(xn)w: (xn) = (x1, x2, . . ., xn, 0, 0, . . .)}.
Consider the identity map I: c00 → c00. Clearly I is
continuous. Consider the sequence (xn) in c00 defined by
1
xn = (1, 2-1, . . ., 0, 0, . . .), for each nN.
We have,
lim x n = (1, 2-1, 3-1, . . ., n-1, (n+1)-1, . . .)  c00 ,

n
since the limiting sequence will have infinite number of

terms, those are non-zero.
Thus, I is a continuous map and I(xn) = xn, for all nN
and xn  c00, for each nN.
n
lim
However, n   x  c00 .
Hence, I is not compact.
Theorem. Let F: X→Y be a map. If F is a compact

map, then F(U) is a totally bounded subset of Y,
conversely, if Y is a Banach space and F(U) is totally
bounded subset of Y, then F is a compact map.
Proof. Let F: X→Y be a compact map. Then by the
________
definition F (U ) is compact for U the unit ball in X.
________
Hence, by a known result F (U ) is totally bounded.
________
Since, F(U)  F (U ) , so F(U) is totally bounded.
2
Conversely, let Y be a Banach space. Let F(U) be totally
________
bounded subset of Y. To show that F (U ) is compact
i.e. F is a compact map.
________
Since, Y is a Banach space, so we have F (U ) is
complete.
________
Hence, by a known result F (U ) is totally bounded.
________
Thus, we have F (U ) is compact by a known result
Therefore, F is a compact map.
Theorem. Let F: X→Y be a map. If F is continuous and

of finite rank, then F is a compact map and R(F) is
closed in Y. Conversely, if X and Y are Banach spaces,
F is a compact map and R(F) is closed in Y, then F is
continuous and of finite rank.
Proof. Let F be a continuous map and of finite rank.
Then R(F) is of finite dimensional, Hence, by a known
result, R(F) is closed in Y.
Let U be the unit ball in X. Then F(U)  R(F).
3
________
Since, R(F) is closed, so F (U ) R(F). Since R(F) is of
finite dimensional, so we have F(U) is compact by a
known result.
Conversely, let X and Y be Banach spaces. Let F be a
compact map such that, R(F) is closed in Y.
Hence, R(F) is compact. Also we have by hypothesis F
is surjective (on to map). [We confine to F: X→R(F)
Y].
Since, R(F) is compact, so it is bounded. Hence F is a
bounded map and so is continuous, by a known result.
By open mapping theorem, F(U) is open in R(F).
Hence, there exists >0 such that
E ={y R(F) : ||y|| <}  F(U)
________
 E ={yR(F) : ||y||≤} F (U ) = R(F). . . .. . (1)
Since, R(F) is closed, by hypothesis F is compact, so
________
F (U ) is compact.
________ __
By (1) and the compactness of F (U ) , it follows that E
is compact.
Thus by a known result F is of finite rank.
4
Theorem. Let kK and F, G  CL(X,Y), Then kF and
F+G belong to CL(X,Y).
Proof. Let kK and FCL(X,Y). Since FCL(X,Y), so

for (xn) a bounded sequence in X. (F(xn)) has a
convergent subsequence in Y.
 
Let F ( xn j ) be the convergent subsequence of (F(xn))
in Y.
 
Since, kK is a fixed scalar, so we have kF( xn j )

converges in Y. This implies (kF)( xn j ) converges in
Y. Thus we have (xn) a bounded sequence in X, the
sequence (kF )( xn )  has a convergent subsequence,
(kF)(x ) in Y. Thus by a known result kF is a
nj
compact linear map i.e. kFCL(X,Y).
Next let F, GCL(X,Y). Let FCL(X,Y) and (xn) be a

bounded sequence in X. Then (F(xn)) has a convergent
 
subsequence F ( xn j ) is Y. We have by assumption,
(xn) a bounded sequence implies ( xn j ) is a bounded
sequence is X. By hypothesis, G is a compact map, so
5
G(x ) has a convergent subsequence in Y. Let
nj
G( z ) be the convergent subsequence of G( x ) .

nk nj
Also, F ( x ) is convergent implies all its

nj

subsequences are convergent. Thus, F ( z nk ) is
convergent in Y.
Then we have
( F  G)(z ) = F ( z ) + G( z )
nk nk nk
is convergent in Y. Thus for (xn) a bounded sequence we

 
have ( F  G )( znk ) a convergent subsequence.
Hence, F+G is a compact map i.e. F+GCL(X,Y).

Lecture 2 FA Compact

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Functional Analysis

Compact Operators – Lecture 2

Theorem. Let X, Y be normed linear spaces. Then the

Remark. A compact subset of Y is bounded, so a

where w is the class of all sequences.

lim x n = (1, 2-1, 3-1, . . ., n-1, (n+1)-1, . . .)  c00 ,

since the limiting sequence will have infinite number of

Hence, I is not compact.

Theorem. Let F: X→Y be a map. If F is a compact

Theorem. Let F: X→Y be a map. If F is continuous and

Proof. Let kK and FCL(X,Y). Since FCL(X,Y), so

compact linear map i.e. kFCL(X,Y).

Next let F, GCL(X,Y). Let FCL(X,Y) and (xn) be a

G( z ) be the convergent subsequence of G( x ) .

Also, F ( x ) is convergent implies all its

is convergent in Y. Thus for (xn) a bounded sequence we

Hence, F+G is a compact map i.e. F+GCL(X,Y).

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