Analytic Number Theory Exponent Database

4 Exponential sum growth exponents

4.1 Phase functions

Definition 4.1 Phase function
#

A phase function is a (variable) smooth function F:[1,2]R. A phase function F will be called a model phase function if there exists a fixed exponent σ>0 with the property that

F(p+1)(u)dpdupuσ=o(1)
1

for all (variable) u[1,2] and all fixed p0, where F(p+1) denotes the (p+1)st derivative of F.

For instance, ulogu is a model phase function (with σ=1), and for any fixed σ1, uu1σ/(1σ) is also a model phase function. Informally, a model phase function is a function which asymptotically behaves like ulogu (for σ=1) or uu1σ/(1σ) (for σ1), up to constants. This turns out to be a good class for exponential sum estimates, as it is stable under Weyl differencing and Legendre transforms, which show up in the van der Corput A-process and B-process respectively.

Note from Proposition 2.1 that the o(1) decay rate in 1 can be made uniform, after passing to a subsequence if necessary.

4.2 Exponential sum exponent

The main purpose of this chapter is to introduce and establish the basic properties of the following exponent function.

Definition 4.2 Exponent sum growth exponent

For any fixed α0, let β(α)R denote the least possible (fixed) exponent for which the following claim holds: whenever N,T1 are (variable) quantities with T unbounded and N=Tα+o(1), F is a model phase function, and I[N,2N] is an interval, then

nIe(TF(n/N))Tβ(α)+o(1).

Implemented at bound_beta.py as:
Bound_beta

It is easy to see that the set of possible candidates for β(α) is closed (thanks to underspill), non-empty, and bounded from below, so β is well-defined as a (fixed) function from [0,+) to R. Specializing to the logarithmic phase F(u)=logu, and performing a complex conjugation, we see in particular that

nIniTTβ(α)+o(1)
2

whenever T is unbounded, N=Tα+o(1), and I is an interval in [N,2N]. Thus it is clear that knowledge of β is of relevance to understanding the Riemann zeta function.

The quantity β(α) can also be formulated without asymptotic notation, but at the cost of introducing some “epsilon and delta” parameters:

Lemma 4.3 Non-asymptotic definition of β

Let α0 and βR be fixed. Then the following are equivalent:

  • β(α)β.

  • For every (fixed) ε>0 and σ>0 there exists (fixed) δ>0, P1, C1 with the following property: if TC, TαδNTα+δ are (fixed) real numbers, I[N,2N] is a (fixed) interval, and F is a (fixed) phase function such that

    |F(p+1)(u)dpdupuσ|δ
    3

    for all (fixed) 0pP and u[1,2], then

    |nIe(TF(n/N))|CTβ+ε.
Proof

We will however work with the asymptotic formulation of β throughout this database, as it makes the proofs somewhat cleaner.

We record the trivial bounds on β:

Lemma 4.4 Trivial bounds on β

For any fixed α>1, we have

β(α)=α1.

For fixed 0α1, we have

α2β(α)α.

In particular

β(0)=0.
4

Implemented at bound_beta.py as:
trivial_beta_bound_1
trivial_beta_bound_2

Proof

As we shall see, the exponent pair conjecture is equivalent to the lower bound here being sharp, thus it is conjectured that

β(α)={α/2,0α1α1,α>1.

Note the discontinuity at 1. Despite this, we have:

Lemma 4.5 Upper semicontinuity

β is an upper semicontinuous function.

Proof

We record the classical bounds on β:

Lemma 4.6 Van der Corput A process for β

If 0α2/3 and h0 then

2β(α)max(2αh,2h,αh+sup2α1hh((h+1α)β(αh+1α)+h)).

Implemented at bound_beta.py as:
apply_van_der_corput_process_for_beta(bounds)

Proof
Proposition 4.7 Van der Corput inequality

For any natural number k2 and any α>0, one has

β(α)max(α+1kα2k2,(122k)α1α2k2).

Thus for instance when k=2 we have

β(α)max(12,2α12),

so in particular

β(1)=12,
8

by Lemma 4.4, when k=3 one has

β(α)max(1+3α6,6α13),

and when k=4 one has

β(α)max(10α+114,29α228).

This form of upper bound of β(α) - as the maximum of a finite number of linear functions of α - is extremely common in the literature.

Proof
Corollary 4.8 Optimizing the van der Corput inequality

For any α>0 one has

β(α)infkN:k2α+1kα2k2.

Thus for instance

β(α)min(12,1+3α6,10α+114).
Proof

We can remove the role of I in the definition of β:

In Definition 4.2, one can take the interval I to be [N,2N].

Proof
Lemma 4.10 Reflection

For any 0<α<1, we have β(α)α2=β(1α)1α2, or equivalently β(1α)=12α+β(α).

TODO: implement this in python

Proof

4.3 Known bounds on β

\includegraphics[width=0.5\linewidth ]{chapter/van_der_corput_beta.png}
Figure 4.1 The bounds in Proposition 4.7 for k=2,3,4,5, compared against the optimized bound in Corollary 4.8.
\includegraphics[width=0.5\linewidth ]{chapter/van_der_corput_beta_vs_conjectured.png}
Figure 4.2 The bound in Corollary 4.8, compared against the trivial upper and lower bounds in Lemma 4.4.

We remark that this corollary also follows from Proposition 5.10.

Theorem 4.11 1989 Watt bound

For any 3/7α1/2, one has

β(α)89560+12α.

Recorded in literature.py as:
add_beta_bound_watt_1989()

Proof
Theorem 4.12 1991 Huxley–Kolesnik bound

For any 2/5α1/2 one has

β(α)max(1+8α22,11+112α158,1+17α22).

Recorded in literature.py as:
add_beta_bound_huxley_kolesnik_1991()

Proof
Theorem 4.13 1993 Huxley bound

For any 0α49/114, one has

β(α)max(1360+720α,11120+1320α).

Furthermore, for any 49/114α1/2, one has

β(α)89570+12α.

Recorded in literature.py as:
add_beta_bound_huxley_1993()

Proof
Theorem 4.14 Second 1993 Huxley bound

If 0α1, then β(α) is bounded by

1146(13+94α) for α872751244(11+191α) for 87275α423129511282(89+908α) for 4231295α2276011280(29+173α) for 227601α12311128(4+103α) for 1231α1.

Recorded in literature.py as:
add_beta_bound_huxley_1993_3()

Proof
Theorem 4.15 1995 Sargos bound
#

[ 202 , Th é or è me 2.4, Lemme 2.6 ] For any 0α1, one has

β(α)max(α+3(14α)40,78α,13α14α6,0)

and

β(α)max(α+14α14,56α,13α14α6,0).

Recorded in literature.py as:
add_beta_bound_sargos_1995()

Table 4.1 Huxley table 17.1.

β0(α)

X

Y

4+39α60

712

517873=0.5922

29+42α120

65114

712=0.5833

89+285α570

49114

65114=0.5701

11+78α120

512

49114=0.4298

13+21α60

356873

512=0.4166

4+103α128

1231

356873=0.4546

29+173α280

227601

1231=0.3870

89+908α1282

4231295

227601=0.3777

11+191α244

87275

4231295=0.3266

13+94α146

14244747

87275=0.3163

4+235α264

120419

14244747=0.2999

49+1351α1614

9673428

120419=0.2863

29+464α600

199716

9673428=0.2820

89+2243α2706

1974

199716=0.2779

11+428α492

161646

1974=0.2567

13+253α318

284812173=0.2339

161646=0.2492

Table 4.2 Huxley table 19.2.

β0(α)

X

Y

89+285α570

106822246639

139817246639=0.5668

2387+17972α27290

6751574

106822246639=0.4331

2819+19177α29855

6993711647930

6751574=0.4288

11897+88442α134680

156527370694

6993711647930=0.4243

113+897α1345

263638

156527370694=0.4222

491+3624α5530

143349

263638=0.4122

569+1053α2800

307761

143349=0.4097

1273+2484α6410

68682171139

307761=0.4034

4+103α128

1231

68682171139=0.4013

29+173α280

227601=0.3777

1231=0.3870

Theorem 4.16 1996 Huxley table

One can bound β(α) by β0(α) for XαY for β0,X,Y given by Tables 4.1, 4.2.

Recorded in literature.py as:
add_beta_bound_huxley_1996()

add_beta_bound_huxley_1996_2()

Proof
Theorem 4.17 2001 Huxley–Kolesnik bound

For any 2/5α1/2 one has

β(α)max(780+79120α,332+103160α,940+1340α).

Recorded in literature.py as:
add_beta_bound_huxley_kolesnik_2001()

Proof
Theorem 4.18 2002 Robert–Sargos bound

For any α>0 one has

β(α)max(α+14α13,7(14α)13).

Recorded in literature.py as:
add_beta_bound_robert_sargos_2002()

Proof
Theorem 4.19 Sargos 2003 bound

For any α>0 one has

β(α)max(α+18α204,95(18α)204)

and

β(α)max(α+7(19α)2640,1001(19α)2640).

Recorded in literature.py as:
add_beta_bound_sargos_2003()

Proof
Theorem 4.20 Huxley bound

For any 1/3α1/2, one has

β(α)max(37+59α170,63+449α690).

Recorded in literature.py as:
add_beta_bound_huxley_2005()

Proof
Theorem 4.21 2016 Robert bound

For any 0<α3/7 one has

β(α)max(α+14α12,1112α).

Recorded in literature.py as:
add_beta_bound_robert_2016()

Proof
Theorem 4.22 Second 2016 Robert bound

If k4 and α(1kα)k12k3 then

β(α)α+max(1kα2(k1)(k2),12(k1)(k2)).

Recorded in literature.py as:
add_beta_bound_robert_2016_2(Constants.BETA_TRUNCATION)

Proof
Theorem 4.23 2017 Heath-Brown bound

For any α>0 and any natural number k3 one has

β(α)α+max(1kαk(k1),αk(k1),2αk(k1)2(1kα)k2(k1)).

Recorded in literature.py as:
add_beta_bound_heath_brown_2017(Constants.BETA_TRUNCATION)

Proof
Theorem 4.24 2017 Bourgain bound

One has

β(α){29+13α,13<α512,112+23α,512<α37,1384+12α,37<α12.

Recorded in literature.py as:
add_beta_bound_bourgain_2017()

Proof
Theorem 4.25 2020 Heath-Brown bound

[ 46 , Theorem 11.2 ] If α is fixed with 14α12 (i.e., 1/2α3/4), then

β(α)max(α(14α14(4α1)+8),89α).

TODO: implement this in python

Theorem 4.26 Combined bound

For XαY, one has β(α)β0(α), where β0,X,Y are given by Table 4.3.

Proof
Table 4.3 Bounds on β(α) of the form β(α)β0(α),(XαY)

β0(α)

X

Y

Reference

13414+346414α

0

284812173=0.2339

Exponent pair A2(1384,5584)

13318+253318α

284812173

161646=0.2492

Theorem 4.16

11492+107123α

161646

1974=0.2567

Theorem 4.16

892706+22432706α

1974

199716=0.2779

Theorem 4.16

29600+5875α

199716

9673428=0.2820

Theorem 4.16

491614+13511614α

9673428

120419=0.2863

Theorem 4.16

166+235264α

120419

13284447=0.2986

Theorem 4.16

13194+139194α

13284447

104343=0.3032

Exponent pair A(1384,5584)

13146+4773α

104343

87275=0.3163

Theorem 4.16

11244+191244α

87275

4231295=0.3266

Theorem 4.16

891282+454641α

4231295

227601=0.3777

Theorem 4.16

29280+173280α

227601

1231=0.3870

Theorem 4.16

132+103128α

1231

15083825=0.3942

Theorem 4.16

18199+521796α

15083825

62831155153=0.4049

Exponent pair D(1384,5584)

5692800+10532800α

62831155153

143349=0.4097

Theorem 4.16

4915530+18122765α

143349

263638=0.4122

Theorem 4.16

1131345+8971345α

263638

16734038=0.4143

Theorem 4.16

29+13α

16734038

512=0.4166

Theorem 4.24

112+23α

512

37=0.4285

Theorem 4.24

1384+12α

37

12

Theorem 4.24

Recorded in literature.py as:
add_beta_bound_trudgian_yang_2024()

\includegraphics[width=0.5\linewidth ]{chapter/van_der_corput_vs_best_beta.png}
Figure 4.3 The bounds in Proposition 4.7, compared against the best-known bound on β(α).