Analytic Number Theory Exponent Database

11 Zero density theorems

Definition 11.1 Zero density exponents
#

For σR and T>0, let N(σ,T) denote the number of zeroes ρ of the Riemann zeta function with Re(ρ)σ and |Im(ρ)|T.

If 1/2σ<1 is fixed, we define the zero density exponent A(σ)[,) to be the infimum of all (fixed) exponents A for which one has

N(σδ,T)TA(1σ)+o(1)

whenever T is unbounded and δ>0 is infinitesimal.

The shift by δ is for technical convenience, it allows for A(σ) to control (very slightly) the zeroes to the left of Res=σ. In non-asymptotic terms: A(σ) is the infimum of all A such that for every ε>0 there exists C,δ>0 such that

N(σδ,T)CTA(1σ)+ε

whenever TC.

Lemma 11.2 Basic properties of A
  • σ(1σ)A(σ) is non-increasing and left-continuous, with A(1/2)=2.

  • If the Riemann hypothesis holds, then A(σ)= for all 1/2<σ1.

Proof
Remark 11.3
#

One can ask what happens if one omits the δ shift. Thus, define A0(σ) to be the infimum of all fixed exponents A for which N(σ,T)TA(1σ)+o(1) for unbounded T. Then it is not difficult to see that

limσσ+A(σ)A0(σ)A(σ)

for any fixed 1/2<σ<1; thus A0 is basically the same exponent at A, except possibly at jump discontinuities of the left-continuous function A, in which case it could theoretically take on a different value. (But we do not expect such discontinuities to actually exist.) Thus there is not a major difference between A(σ) and A0(σ), but the former has some very slight technical advantages (such as the aforementioned left continuity).

The quantity A:=sup1/2σ<1A(σ) is of particular importance to the theory of primes in short intervals; see Section 13. From Lemma 11.2 we have A2. It is conjectured that this is an equality.

Heuristic 11.4 Density hypothesis

One has A=2. Equivalently, A(σ)2 for all 1/2σ<1.

Indeed, the Riemann hypothesis implies the stronger assertion that A(σ)= for all 12<σ<1. However, for many applications to the prime numbers in short intervals, the density hypothesis is almost as powerful; see Section 13.

Upper bounds on A(σ) can be obtained from large value theorems via the following relation.

Lemma 11.5 Zero density from large values

Let 1/2<σ<1. Then

A(σ)(1σ)max(supτ2LVζ(σ,τ)/τ,lim supτLV(σ,τ)/τ).
Proof

Recently, a partial converse to the above lemma was established:

Lemma 11.6 Large values from zero density

[ 125 , Theorem 1.2 ] If τ>0 and 1/2σ1 are fixed, then

LVζ(σ,τ)/τmax(12,supσσ1A(σ)(1σ)+σσ2).
Proof

The suprema in Lemma 11.5 require unbounded values of τ, but thanks to the ability to raise to a power, we can reduce to a bounded range of τ. Here is a basic such reduction, suited for machine-assisted proofs:

Corollary 11.7

Let 1/2<σ<1 and τ0>0. Then

A(σ)(1σ)max(sup2τ<τ0LVζ(σ,τ)/τ,supτ0τ2τ0LV(σ,τ)/τ)

with the convention that the first supremum is if it is vacuous (i.e., if τ0<2).

Implemented at zero_density_estimate.py as:
lv_zlv_to_zd(hypotheses, sigma_interval, tau0)

Proof

For machine assisted proofs, one can simply take τ0 to be a sufficiently large quantity, e.g., τ0=3 for σ not too close to 1, and larger for σ approaching 1, to recover the full power of Lemma 11.5. However, the amount of case analysis required increases with τ0. For human written proofs, the following version of Corollary 11.7 is more convenient:

Corollary 11.8

Let 1/2<σ<1 and τ0>0. Then

A(σ)(1σ)max(sup2τ<4τ0/3LVζ(σ,τ)/τ,sup2τ0/3ττ0LV(σ,τ)/τ).

Implemented at zero_density_estimate.py as:
lv_zlv_to_zd(hypotheses, sigma_interval, tau0)

Proof

The following special case of the above corollary is frequently used in practice to assist with the human readability of zero density proofs:

Let 1/2<σ<1 and τ0>0. Suppose that one has the bounds

LV(σ,τ)(33σ)ττ0
6

for 2τ0/3ττ0, and

LVζ(σ,τ)(33σ)ττ0
7

for 2τ<4τ0/3. Then A(σ)3τ0.

The reason why this particular special case is convenient is because the inequality

22σ(33σ)ττ0
8

obviously holds for τ2τ0/3. That is to say, we automatically verify 6 in regimes where the Montgomery conjecture holds. In fact, we can do a bit better, thanks to subdivision:

Let 1/2<σ<1 and τ0>0. Suppose that one has the bound 7 for 2τ<4τ0/3, and the Montgomery conjecture LV(σ,τ)22σ whenever 0ττ0+σ1. Then A(σ)3τ0.

Proof

11.1 Known zero density bounds

Let us see some examples of these corollaries in action.

Theorem 11.11

The Montgomery conjecture implies the density hypothesis.

Proof

The Lindelof hypothesis implies the density hypothesis, and also that A(σ)0 for 3/4<σ1.

Proof

There are similar results assuming weaker versions of the Lindelof hypothesis. For instance, we have

Theorem 11.13 Ingham’s first bound

[ 82 ] (See also [ 168 ] ) For any 1/2<σ<1, we have

A(σ)2+4μ(1/2).
Proof
Theorem 11.14 Ingham’s second bound

[ 83 ] For any 1/2<σ<1, one has A(σ)32σ.

Recorded in literature.py as:
add_zero_density_ingham_1940()
Derived in derived.py as:
prove_zero_density_ingham_1940()
prove_zero_density_ingham_1940_v2()

Proof

Either of Theorem 11.13 or Theorem 11.14 implies an older result of Carlson [ 18 ] that A(σ)4σ for 1/2<σ<1. Recorded in literature.py as:
add_zero_density_carlson_1921()

[ 68 ] For any 1/2<σ<1, one has A(σ)33σ1. (In particular, the density hypothesis holds for σ5/6.)

Recorded in literature.py as:
add_zero_density_huxley_1972()
Derived in derived.py as:
prove_zero_density_huxley_1972()
prove_zero_density_huxley_1972_v2()

Proof

For any 1/2<σ<1, one has A(σ)153+5σ.

Recorded in literature.py as:
add_zero_density_guth_maynard_2024()
Derived in derived.py as:
prove_zero_density_guth_maynard_2024()
prove_zero_density_guth_maynard_2024_v2()

Proof
Theorem 11.17 Jutila zero density theorem

[ 102 ] The zero density hypothesis is true for σ11/14.

Derived in derived.py as:
prove_zero_density_jutila_1977()
prove_zero_density_jutila_1977_v2()

Proof

In fact, we can do better:

Theorem 11.18 Heath-Brown zero density theorem

[ 59 ] For 11/14σ<1, one has A(σ)97σ1 (in particular, this recovers Theorem 11.17). For any 3/4σ1, one has A(σ)max(310σ7,44σ1) (which is a superior bound when σ20/23).

Recorded in literature.py as:
add_zero_density_heathbrown_1979()
Derived in derived.py as:
prove_zero_density_heathbrown_1979a()
prove_zero_density_heathbrown_1979b()
prove_zero_density_heathbrown_1979a_v2()
prove_zero_density_heathbrown_1979b_v2()

Proof

With the aid of computer assistance, we were able to strengthen the second claim here. We first need a lemma:

(3/40,31/40) is an exponent pair. In particular, by Corollary 6.8, μ(7/10)3/40.

Derived in derived.py as:
best_proof_of_exponent_pair(frac(3,40), frac(31,40))

Proof
Theorem 11.20 Improved Heath-Brown zero density theorem

For any 7/10<σ1, one has A(σ)310σ7.

Derived in derived.py as:
prove_zero_density_heathbrown_extended()

Proof
Theorem 11.21 Bourgain result on density hypothesis

The density hypothesis holds for σ>25/32.

Recorded in literature.py as:
add_zero_density_bourgain_2000()

Proof

We can improve this bound as follows:

Theorem 11.22 Improved Bourgain density hypothesis bound

For 17/22σ4/5, one has A(σ)max(29σ6,98(2σ1)). Thus one has A(σ)98(2σ1) for 38/49σ4/5 and A(σ)29σ6 for 17/22σ38/49.

Derived in derived.py as:
prove_zero_density_bourgain_improved()

The arguments can be pushed to some σ below 17/22, but in that range the estimate in Corollary 11.31 becomes superior, so we do not pursue this further.

Proof
Theorem 11.23 Bourgain zero density theorem

[ 15 , Proposition 3 ] Let (k,) be an exponent pair with k<1/5, >3/5, and 15+20k>13. Then, for any σ>+12(k+1), one has

A(σ)4k2(1+k)σ1

assuming either that k<1185, or that 1185<k<15 and σ>144k1111170k22.

Corollary 11.24 Special case of Bourgain’s zero density theorem

[ 15 , Corollary 4 ] One has

A(σ)430σ25

for 1516σ1 and

A(σ)27σ5

for 1719σ1516.

Recorded in literature.py as:
add_zero_density_bourgain_1995()

Proof

It was remarked in [ 15 ] that further zero density estimates could be obtained by using additional exponent pairs. This we do here:

Corollary 11.25 Optimized Bourgain zero density bound

One has

A(σ){1112(4σ3)34<σ1415,3912493σ20141415<σ28413016,22232163248σ13476528413016<σ859908,3562742σ2279859908<σ16251692,260958820732766σ1731376716251692<σ33345853447984,758729(81024σ69517)33345853447984<σ9746051005296,2883616σ31979746051005296<σ58576032,861521447460σ131150958576032<σ<1.

Implemented at zero_density_estimate.py as:
bourgain_ep_to_zd()

Proof
Lemma 11.26 1980 Ivic zero density bound

[ 87 ] , [ 88 , Theorem 11.2 ] We have

A(σ)42σ+1

for 17/18σ1, and

A(σ)2430σ11

for 155/174σ17/18.

Recorded in literature.py as:
add_zero_density_ivic_1980()

Proof

One can also use bounds on μ to obtain zero density theorems:

Lemma 11.27 Zero density from μ bound

[ 130 , Theorem 12.3 ] If 1/2α1 and α+12σ1, then

A(σ)μ(α)2(3σ12α)(2σ1α)(σα).
Corollary 11.28 1971 Montgomery zero density bound

[ 130 ] , [ 88 , Theorem 11.3 ] For any 9/10σ1 and 1/2α1 one has

A(σ)(1σ)76μ(5σ4).

In particular, for 152/155σ1, one has

A(σ)min(35/36,1600(1σ)1/2).

Recorded in literature.py as:
add_zero_density_montgomery_1971()

Proof
Lemma 11.29 Preliminary large values estimate

If m2 is an integer, 3/4<σ1, and (k,) is an exponent pair, then

LV(σ,τ)max(22σ,m(24σ)+mτ,min(X,Y))

where

X:=2τ/3+4m(34σ)/3

and

Y:=max(τ+3m(34σ),(k+)τ/k+k(1+2k+2)(34σ)/k).
Proof
Lemma 11.30 General zero density estimate

[ 88 , (11.76), (11.77) ] If (k,) is an exponent pair, and m2 an integer, then

A(σ)3m(3m2)σ+2m

whenever

σmin(6m25m+28m27m+2,max(9m24m+212m26m+2,3m2(1+2k+2)(4k+2)m+2k+24m2(1+2k+2)(6k+4)m+2k+2)).

Implemented at zero_density_estimate.py as:
ivic_ep_to_zd(exp_pairs, m=2)

Proof
Corollary 11.31 1980-1984 Ivic zero density bound

[ 87 ] , [ 88 , Theorem 11.4 ] One can bound A(σ) by

32σ for 38314791σ1;97σ1 for 4153σ1;65σ1 for 1317σ1;1513σ3 for 127167σ1;98σ2 for 4762σ1;

Recorded in literature.py as:
add_zero_density_ivic_1980()
add_zero_density_ivic_1984()
Derived in derived.py as:
prove_zero_density_ivic_1984()

Proof

The first bound has been improved:

Theorem 11.32 2000 Bourgain zero density theorem

[ 13 ] One has A(σ)3/2σ for 3734/4694σ1.

Recorded in literature.py as:
add_zero_density_bourgain_2002()

Lemma 11.33 Preliminary large values theorem

If 1/2σ1 and τ<8σ5, then

LV(σ,τ)max(22σ,6τ/5+(2032σ)/5).
Proof
Corollary 11.34 Zero density estimates for σ close to 3/4

[ 88 , Theorem 11.5 ] One has A(σ)37σ4 for 3/4σ10/13, and A(σ)98σ2 for 10/13σ1.

Proof
Theorem 11.35 Pintz zero density theorem

[ 141 , Theorem 1 ] If k4, 3 are integers and σ=1η is such that

1k(k+1)η<1k(k1)
34

and

12(+1)η<12(1)
35

then

A(σ)max(3(12(1)η),4k(1(k1)η)).

Recorded in literature.py as:
add_zero_density_pintz_2023()

Proof

The range of the second bound in Lemma 11.26 was recently extended:

Theorem 11.36 Chen-Debruyne-Vidas density theorem

[ 19 ] For any 279/314σ17/18, one has A(σ)2430σ11.

Recorded in literature.py as:
add_zero_density_chen_debruyne_vindas_2024()

The following result appears in an unpublished preprint of Kerr, and is based on the large values theorems in Theorem 10.32:

Proposition 11.37

[ 103 , Theorems 6, 7 ] One has A(σ)32σ for σ23/29, and

A(σ)max(36138σ89,114σ79(1σ)(138σ89))

for 127/168σ107/138.

The current best known zero density estimates (excepting the unpublished result in Proposition 11.37) are summarized in Table 11.1.

Derived in derived.py as:
compute_best_zero_density()

Table 11.1 Current best upper bound on A(σ)

A(σ) bound

Range

Reference

32σ

12σ710=0.7

Theorem 11.14

153+5σ

710σ<1925=0.76

Theorem 11.16

98σ2

1925σ<127167=0.7604

Corollary 11.31

1513σ3

127167σ<1317=0.7647

Corollary 11.31

65σ1

1317σ<1722=0.7727

Corollary 11.31

29σ6

1722σ<4153=0.7735

Theorem 11.22

97σ1

4153σ<79=0.7777

Corollary 11.31

98(2σ1)

79σ<18672347=0.7954

Theorem 11.22

32σ

18672347σ<45=0.8

Theorem 11.32

32σ

45σ<78=0.875

Corollary 11.31

310σ7

78σ<279314=0.8885

Theorem 11.18

2430σ11

279314σ<155174=0.8908

Theorem 11.36

2430σ11

155174σ910=0.9

Theorem 11.26

310σ7

910<σ3134=0.9117

Theorem 11.20

1148σ36

3134<σ<1415=0.9333

Corollary 11.25

3912493σ2014

1415σ<28413016=0.9419

Corollary 11.25

22232163248σ134765

28413016σ<859908=0.9460

Corollary 11.25

3562742σ2279

859908σ<2324=0.9583

Corollary 11.25

324σ20

2324σ<22114872274732=0.9721

Theorem 11.35

861521447460σ1311509

22114872274732σ<3940=0.975

Corollary 11.25

215σ12

3940σ<4142=0.9761

Theorem 11.35

340σ35

4142σ<5960=0.9833

Theorem 11.35

3n(12(n1)(1σ))

112n(n1)σ<112n(n+1)

(for integer n6)

Theorem 11.35

\includegraphics[width=0.5\linewidth ]{chapter/zero_density_estimate_plot.png}
Figure 11.1 The bounds in Table 11.1, compared against the existing literature bounds on A(σ).

For completeness, we list in Table 11.2 some historical zero density theorems not already covered, which have now been superseded by more recent estimates.

Table 11.2 Historical upper bounds on A(σ)

A(σ) bound

Range

Reference

4σ

12σ1

Carlson (1921) [ 18 ]

2

4/5σ1

Montgomery (1969) [ 129 ]

2

0.8080σ1

Forti–Viola (1972) [ 40 ]

39115σ75

55/67σ189/230

Huxley (1973) [ 78 ]

2

189/230σ78/89

Huxley (1973) [ 78 ]

4837(2σ1)

78/89σ61/74

Huxley (1973) [ 78 ]

32σ

37/42σ1

Huxley (1975) [ 79 ]

4837(2σ1)

61/74σ37/42

Huxley (1975) [ 79 ]

2

0.80119σ1

Huxley (1975) [ 79 ]

2

4/5σ1

Huxley (1975) [ 80 ]

65σ1

67/87σ1

Ivić (1979) [ 90 ]

334σ25

28/37σ74/95

Ivić (1979) [ 90 ]

97σ1

74/95σ1

Ivić (1979) [ 90 ]

32σ

4/5σ1

Ivić (1979) [ 90 ]

6898σ47

115/166σ1

Ivić (1979) [ 90 ]

32σ

3831/4791σ1

Ivić (1980) [ 87 ]

97σ1

41/53σ1

Ivić (1980) [ 87 ]

65σ1

13/17σ1

Ivić (1980) [ 87 ]

42σ+1

17/18σ1

Ivić (1980) [ 87 ]

2430σ11

155/174σ17/18

Ivić (1980) [ 87 ]

37σ4

3/4σ10/13

Ivić (1983) [ 84 ]

98σ2

10/13σ1

Ivić (1983) [ 84 ]

1522σ10

10/13σ5/6

Ivić (1984) [ 85 ]

3k(3k2)σ+2k

9k23k+212k25k+2σ1; k2

Ivić (1984) [ 85 ]

58.05(1σ)1/2

1/2σ1

Ford (2002) [ 39 ]

6.42(1σ)1/2

9/10σ1

Heath-Brown (2017) [ 63 ]

32(1σ)1/2+18(1σ)

17/18σ1

Pintz (2023) [ 141 ]

TODO: enter this table into literature.py

11.2 Estimates for σ very close to 1/2 or 1

Some additional estimates were established for σ sufficiently close to 1/2 or 1.

Turán [ 170 ] introduced the power sum method to establish

A(1η)2+η0.14

for η small enough. Halász and Turán [ 45 ] combined this method with the large values approach of Halász [ 44 ] to improve the bound to

A(1η)Cη1/2
38

with C=12,000 for sufficiently small η. See [ 140 ] for an alternate proof of these results.

The constant C in 38 was improved to 1304.37 by Montgomery [ 130 , Theorem 12.3 ] (see also the remark after [ 88 , (11.97) ] for a correction), to 58.05 by Ford [ 39 ] , to 5.03 by Heath-Brown [ 63 ] (the latter exploiting the resolution of the Vinogradov mean value conjecture [ 17 ] ), and to any C>32=4.242 in [ 141 ] . See also an explicit version at [ 7 ] .

“Log-free” zero density estimates of the form

N(1η,T)TBη

for various B were established starting with the work of Linnik [ 118 , 119 ] and developed further in [ 170 ] , [ 38 ] , [ 11 ] , [ 101 ] , [ 41 ] , [ 42 ] , [ 62 ] . An explicit version of such estimates may be found in [ 8 ] .

There is some work establishing bounds on N(σ,T) for σ very close to 1/2 (and not necessarily fixed), although these bounds do not make further improvements on A(σ). Specifically, bounds of the form

N(σ,T)T1θ(2σ1)logT

for T2 (say) were established for θ=1/8 by Selberg [ 159 ] (see [ 160 ] for an explicit version), any 0<θ<1/2 by Jutila [ 100 ] , and any 0<θ<4/7 by Conrey (claimed in [ 23 ] , with a full proof given in [ 6 ] ). Note that the density hypothesis would follow if we could establish the claim for all 0<θ<1, but an improvement to Ingham’s bound (Theorem 11.14) would only occur once θ exceeded 2/3.

11.3 A heuristic for zero density estimates

We can now state a rough heuristic as to what zero density estimates to expect from a given large value theorem:

[Predicting a zero density estimate from a large value theorem] Suppose that 1/2σ1 and τ01 are such that one can prove LV(σ,τ0)33σ (i.e., the Montgomery conjecture holds here with a multiplicative loss of 3/2). Then in principle, one can hope to prove A(σ)3/τ0. Conversely, if one cannot prove LV(σ,τ0)33σ, then the bound A(σ)3/τ0 is likely out of reach.

We justify this heuristic as follows, though we stress that the arguments that follow are not fully rigorous. In the first part, we simply apply Corollary 11.9. In practice, the 6 is often more delicate than 7 and ends up being the limiting factor for the bounds; furthermore, within 6, it is the right endpoint τ=τ0 of the range 2τ0/3ττ0 that ends up being the bottleneck; but this is precisely the claimed criterion LV(σ,τ0)33σ. We remark that in some cases (particularly for σ close to one), the estimate 7 ends up being more of the bottleneck than 6, and so one should view 3/τ0 here as a theoretical upper limit of methods rather than as a guaranteed bound. (In particular, the need to also establish the bound LVζ(σ,43τ0ε)<44σ for ε>0 small can sometimes be a more limiting factor.)

Conversely, suppose that

LV(σ,τ0)>33σ,
39

but that one still wants to prove the bound A(σ)3/τ0. Heuristically, Theorem 11.6 suggests that in order to do this, it is necessary to establish the bound LVζ(σ,τ)/τ3τ0(1σ) for all τ2. In particular, one should show that

LVζ(σ,2τ0)66σ.

Let us consider the various options one has to do this. There are ways to control zeta large values that do not apply to general large value estimates, such as moment estimates of the zeta function, exponent pairs, or control of β and μ. However, at our current level of understanding, these techniques only control LVζ(σ,τ) for relatively small values of τ, and in practice 2τ0 is too large for these methods to apply; this exponent also tends to be too large for direct application of standard large value theorems to be useful. Hence, the most viable option in practice is raising to a power (Lemma 7.8), using

LVζ(σ,2τ0)kLVζ(σ,2τ0/k)

for some natural number k2. However, the most natural choice k=2 is blocked due to our hypothesis 39, while in practice the k3 choice is blocked because of Lemma 7.5. Hence it appears heuristically quite difficult to establish A(σ)3/τ0 with current technology, in the event that 39 occurs.

In Table 11.3 we list some examples in which the heuristic can actually be attained. Note that this only covers some, but not all, of the best known zero density estimates in Table 11.1, as there are often other bounds that need to be established that prevent the heuristic limit of 3/τ0 from actually being attained; so one should take the heuristic with a certain grain of salt.

Table 11.3 Examples of large value theorems, the values of τ0 and A(σ) they suggest, and rigorous zero density theorems that attain the predicted value for at least some ranges of σ.

Large value theorem

Predicted choice of τ0

Predicted bound 3τ0 on A(σ)

Matching zero density theorem(s)

Theorem 7.9

2σ

32σ

Theorem 11.14

Theorem 7.12

3σ1

33σ1

Theorem 11.15

Theorem 7.14

10σ7

310σ7

Theorems 11.18, 11.20

Theorem 7.16, k=3

7σ13

97σ1

Theorems 11.18, 11.31

Lemma 11.29, m=2

4σ2

32σ

Corollary 11.31, Theorem 11.32

Lemma 11.29, m=3

7σ13

97σ1

Theorems 11.18, Corollary 11.31

Lemma 11.29, m=4

10σ24

65σ1

Corollary 11.31

Lemma 11.33

7σ4

37σ4

Corollary 11.34

Lemma 11.33

8σ23

98σ2

Corollary 11.34

Theorem 10.27

5σ33

155σ3

Theorem 11.16

One consequence of Heuristic 11.3 is that, in the regimes where the heuristic is accurate, combining multiple large values theorems together are unlikely to achieve new zero density theorems that could not be accomplished with each large value theorem separately.