spaces, characteristic functions and Štraus extensions

Pacific Journal ofMathematics

UNITARY COLLIGATIONS IN 5κ -SPACES, CHARACTERISTICFUNCTIONS AND STRAUS EXTENSIONS

AAD DIJKSMA, HEINZ K. LANGER AND HENDRIK S. V. DE SNOO

Vol. 125, No. 2 October 1986

PACIFIC JOURNAL OF MATHEMATICS

Vol. 125, No. 2,1986

UNITARY COLLIGATIONS IN ΠK-SPACES,

CHARACTERISTIC FUNCTIONS AND

STRAUS EXTENSIONS

A. DIJKSMA, H. LANGER AND H. S. V. DE SNOO

Dedicated to Earl A. Coddington on the occasion of his 65 th birthday.

The main result of this paper is the description of certain linearmanifolds Γ(λ), associated with a symmetric operator, in terms ofcertain boundary values of the characteristic function of a unitarycolligation.

1. Introduction. Let φ be a Hubert space and let φ be a ττrsρace,i.e., a Pontryagin space with K negative squares, such that φ contains φand the indefinite inner product on φ restricted to φ coincides with theHubert inner product on φ; we denote this situation by $ c s § . Let A bea selfadjoint subspace in |>2 with nonempty resolvent set p(A). With A weassociate as in [8] a family { Γ ( / ) | / G C U {OO}} of linear manifoldsΓ ( / ) c φ 2 defined by

Here P denotes the orthogonal projection from |> onto φ. We note thatA Π φ 2 is a symmetric subspace in φ 2 , with adjoint (P ( 2l4) c, i.e., theclosure in φ 2 of the set

= {{Pf,Pg}\{f,g}<EA}.

The following inclusions are obvious:

A Π § 2 c T(l) c P<2>Λ, l e C u f o o } ,

and also

Γ ( / ) c Γ ( / ) * , / e C u { o o } ,

with equality when / e p(^4).Now let S be a symmetric subspace in φ 2 . We consider the selfadjoint

extensions^ c |>2 of S, with nonempty resolvent set ρ(A), where § C 5 § .The corresponding families { Γ ( / ) | / G C U {oo}}, form the class of Strausextensions of S and T(l) for / e C \ R was characterized in [8], to which

347

348 A. DIJKSMA, H. LANGER AND H. S. V. DE SNOO

we refer for notations and definitions. An important tool in this note is

the characteristic function of a unitary colligation of the form

(l>, S, @; U), where the inner space § is a 77^-space, the outer spaces are

fixed and given by g = v(S* - μ) and ® = v(S* - μ), the correspond-

ing defect spaces of S, and where U is the restriction of Cμ(A)9 the Cayley

transform of A, where μ e p(A) \ R . The main result of this paper is the

description of T(λ) for real λ, i.e., λ e R U {oo}, in terms of certain

boundary values of this characteristic function. Straus [19], [21], [22]

investigated the case where fc = 0 and the manifolds involved are single-

valued, i.e., (graphs of) linear operators. His method we could not easily

extend to the case where K > 0 and the manifolds are multivalued.

However, by generalizing the theory of unitary colligations from the case

where the inner space is a Hubert space (see Brodskii [4]) to the case

where it is a πκ-space, we obtain a method which is simpler than the one

used by Straus (for instance, the two cases λ e R and λ = 00 need not be

treated separately) and, at the same time, works just as well in the more

general situation.

We outline the contents of this paper. In §2 we consider unitary

colligations and their characteristic functions and state results to be used

in the rest of this paper. The proofs will appear in [9]. Such characteristic

functions associated with 7rκ-spaces were also considered by Krein and

Langer [12], [13], [14]. The new ingredient in our treatment is the sys-

tematic use of unitary colligations. Closely related results are announced

by Arov and Grossman [2], Azizov [3] and Filimonov [10]. In §3 we give

the above mentioned characterization of Γ(λ), λ e R U {00}. We give a

sufficient condition for Γ(λ), λ e R u {00} to be selfadjoint. This in-

cludes a result of Stenger [17]. Also we will characterize the symmetric

linear manifold A Π φ 2 as the intersection of a finite number of mani-

folds Γ(/), thereby sharpening and generalizing a result of Brown [5]. In

[20] Straus presented a characterization of the subspaces {{/, g} ^ S*\g

= λ / } , λ e R, for the case of a densely defined symmetric operator. In

order to apply his previous theorems from [19], [21], he had to introduce

special Straus extensions in an auxiliary Hubert space. In §4 we show that

such results when S is a symmetric subspace follow directly by making use

of the theory of unitary colligations.

We dedicate this paper to Earl A. Coddington, whose work in the

theory of subspaces and its applications to ordinary differential equations

has been very stimulating for us. The first and last author wish to express

their gratitude to Prof. Coddington for many inspiring ideas and many

years of cooperation.

UNITARY COLLIGATIONS IN ΠK-SPACES 349

2. Unitary colligations. In this section we will collect some state-ments about unitary colligations in τrκ-spaces, which will be proved in [9].Let g and @ be arbitrary Hubert spaces and let § be a τrκ-space. We shalluse [ , ] as the notation for the scalar or inner product for these and otherspaces; it should be clear from the context to which space it refers. BySκ(%> ®) w e denote the class of all functions Θ with the following twoproperties:

(a) Θ is defined and meromorphic o n D = { z e C | | z | < l ) , with0 e © θ , the domain of holomorphy of Θ in D, and has values in [g, ©].

(b) The kernel

has K negative squares, i.e., for arbitrary choices of n G N, z,- e ® θ andf. E g , i = l,,,,,«, the n X n hermitian matrix

has at most K and for at least one such choice exactly K negativeeigenvalues.

Let Δ be a unitary colligation, i.e., a quadruple of the form Δ =( $ , S , ® ; t f ) , where

is unitary, i.e., isometric and surjective. Here ( | ) (( | )) is the orthogonaldirect sum of $ and g (©, respectively), T e [|>, |>], F e [g, §], G G[ § , ®] and ffe[g, ©]. According to M. G. Krein the characteristicfunction Θ = ΘΔ of Δ is defined by

(2.2) Θ(z) = H + zG(l - zTyλF, z"1 e p(Γ),

see Brodskii [4]. As U is unitary, it is easy to see that T is a contractionand hence the spectrum σ(Γ) of T consists of points from Dc, the closureof D in C, and of at most K points from C \ D C , which are normaleigenvalues of T, cf. [11]. Thus Θ(z) is defined for z e D, with theexception of at most K points.

The unitary colligation Δ is called closely connected if the linear spanof all elements of the form Γ T / or (T*)nG*g with m, n e N U {0},/e gand g e ©, is dense in $, or, equivalently, if there exists no nontrivialsubspace S c | with Γ(®) = β and Γ| f t is isometric. In particular, if Δ isclosely connected, Γhas no eigenvalues on the unit circle 3D. Finally, two


unitary colligations Δ = (φ, g, © U) and Δ' = ( $ ' , g, © W) are calledunitarily equivalent if there exists a unitary operator Z e [ § , §'] suchthat

THEOREM 2.1. (i) Le/ Δ = (§,g,@;t/)&efl unitary colligation whereI? w α πκ-space. Then ΘΔ e S ^ g , ©) /or some κf with 0 < κr < K. If Δ isclosely connected then κf = /c.

(ii) // Θ e 5κ(2ί5 ©) Λ « /Λ r ejcύ/j a unitary colligation Δ =(|>, gf, © £/), wΛer φ w β πκ-space, such that Θ = ΘΔ. ΓΛe colligation Δαz« Z>e chosen such that it is closely connected also, in which case it isuniquely determined up to unitary equivalence, and 2)Θ = { z e C | z ~ 1 £

It follows from the construction, that if the colligation Δ is closelyconnected, the dimension of the inner space |> is equal to the sum of thenumbers of negative and positive squares of the kernel SΘΔ.

The next theorem deals with the behaviour of Θ e S^g, ©) on theboundary 3D of D. By lim z^ ? we denote the nontangentiallimit a s z G Dtends to ξ e 3D.

THEOREM 2.2. Let Θ <Ξ S^g, ©), ξ e 3D, ψ e g. Then the followingstatements are equivalent:

(i) there exists an element φ e ©, such that \\φ\\ = ||ψ|| <

lim -—1 -

(ϋ)

lim1-1*1

(iii) there exists a sequence (zn) in © θ with zn

sup < 00.

//" one o/ ίΛese statements is valid, then φ in (i) w uniquely determined andψ = l im z J H θ(z)ψ.

If Θ = ΘΔ wAere Δ is β closely connected unitary colligation, thenequivalent to (i), (ii) or (iii) is

(iv)


and then (iv) implies

Let Θ e Sκ(g, @) and let Θ = ΘΔ where Δ is as in Theorem 2.2. Asζ ^ 3D is not an eigenvalue of T we may extend the definition of Θ to ζby putting

In general, 2)0(Θ(£)) need not be closed, but, of course, if we also havethat £-1 G p(Γ), then © 0 ( Θ (f)) = S and the definition of θ(f) coincideswith the one in (2.2). Theorem 2.2 shows that this extension of Θ to D c

can be described without making use of the fact that it is a characteristicfunction of a colligation: for f G 3D we have

®o(β(£)) = {ψ ^ g | lim m

1 i ^ ^ 1 1 existsj

and

(z)ψ, strongly, ψ e δ o ( θ ( f ) ) .

We note that for f G 3D, Θ(f) is an isometry on ©0(Θ(£)). W e remarkthat ®o(®(£)) i s i n general contained in the set

< ψ G g I lim Θ(z)ψ exists strongly!,

cf. [19]. Also we note that if ξ G 3D and 1/? G p(Γ), then Θ(f) is aunitary mapping from g onto ©. In particular, this happens whendim $ < oo, for then 3D c p(Γ).

THEOREM 2.3 (maximumprinciple). Letθ e 5K(g, ©), ψ G g, φ G ©αwJ assume that the relation φ = Θ(z)ψ holds for more than K pointsz G Φ θ . ΓΛen we Λαt e ίΛe inequality | |φ | | < ||ψ||. //"we have | |φ | | = ||ψ||, ίΛeπ

φ = Θ(z)ψforallz G Φ θ .

If Δ = (|>, g, © U) is a unitary colligation, where U is of the form(2.1), then it is clear that H maps the nullspace v(F) isometrically ontothe nullspace v(G*) with inverse H*. In terms of the characteristicfunction Θ = ΘΔ, we have that


and hence with ψ e v{F) and φ = #ψ, that

(2.3) φ = θ(z)ψ, ||Φ|| = JIΨH, z e ® Θ .

Conversely, if we have (2.3) and Δ is closely connected if /c > 0, then

ψ e ι>(,F), φ ε *>(<?*) and φ = i/ψ.

3. Straus extensions. Let § be a Hubert space and let S c $ 2 be asymmetric subspace. It is well-known that S* can be written as

S* = S + M, + M;, direct sum in § 2 ,

where / e C \ R and Mι = {{/, g} e 5* | g = //}, is the defect subspaceof 5 at / G C. We fix μ e C \ R and consider a selfadjoint extension4 c φ2 of S with μ e p(A) where § is a Pontryagin space with K negative

squares such that φ D5 φ. The condition μ G ρ ( i ) is a restriction only ifK: > 0. For, if /c = 0 φ is a Hubert space and then C \ R c p(A). But ifK: > 0 then either p(A) = 0 or C \ R c ρ(A) with the exception of atmost 2κ points, which are normal eigenvalues of A, and one of these couldcoincide with μ. We denote the Cayley transform and its inverse at/ e C \ R by Cι and Fι respectively. Then

Cμ(A) = Cμ(S) + U, C-μ(A) = C-μ(S) + ί/*, direct sums in § 2 ,

and

(3.1) A = S 4- FM(l/) = 5 + Fp(ί/*), direct sums in | 2 ,

where ί/ is (the graph of) a unitary operator with a matrix representationof the form (2.1) in which | = § θ φ is a Pontryagin space with Knegative squares,

g = Φ(M~) = *>(£*- μ) and © = ©(ΛfJ = i>(S* - μ).

Writing the equalities in (3.1) in full detail, we obtain:

(3.2) φ —(T*(p 4- G*φ) \ I μφ — μ(T*φ + C/*φ)

φ ~ ( F * φ + H*φ)J\μφ - μ(F*φ + H*φ)

direct sums in φ 2 .

A direct consequence of these formulas is a description of A Π φ 2 :

A Π ίp == *S-l-ί{ψ — /f ψ, μ ψ — μi/ψ } |ψ ^ ϊ'(i^))

= 5 4- {{<p - H*φ,μφ - μi7*φ} | φ G *>(G*)}, direct sums in $ 2 .

UNITARY COLLIGATIONS IN Π-SPACES 353

Using definition (1.1) we obtain from (3.2)

S +{{ψ -(Gψ

(3.3)

= S + { { φ -(F*φ + ff*φ), μ<p - μ{F*ψ + H*φ)} \

φ e © , φ <Ξ § , (/ - μ) φ = (/ - μ)(Γ*φ + G*<p) } ,

direct sums in § 2 ,

Γ(oo) = S +{{ψ -(Gψ + tfψ),μψ - μ(Gψ +

/ e C,

+ H*φ)} |

φ e G , φ e § , φ = F*φ + G*φ}, direct sums in φ 2 .

Let CM = { / € C I Im /Im μ > 0}, let z: Cμ-+Ό be the fractional lineartransformation z(l) = (/ — μ)/(/ — μ) and put z(oo) = 1. Then (3.3) im-plies that the Straus extension of S associated with A via formula (1.1) canbe written in the following way: for all / e Cμ with z{l) e ® θ

(3.4) T(l) = S + {{ψ - Θ(z)ψ, μψ - μΘ(z)ψ} | ψ e v{S* - ji)},

and

(3.5) = S +{{φ - Θ(z)*φ, juφ - φ

direct sums in § 2 , where Θ = ΘΔ is the characteristic function of theunitary colligation Δ = ( $ , g, © t/) and belongs to class S^g, ©) forsome ic' with 0 < κf < K. We note that Δ is closely connected if and onlyif A is closely connected, i.e., the linear span of all elements of the form(A — iγιhy A e $ , / G p(^4), together with the elements of § is dense in| ) . It follows from Theorem 2.1 that iiA is closely connected, then K' = K.Theorem 2.1 and (3.3) imply the following result

THEOREM 3.1. Let S be a symmetricsubspace in φ 2 andfieC\R.(i) Let { Γ ( / ) | / G C U {OO}} be a Straus extension of S associated

with a self adjoint extension A of S in | ) 2 with μ e p(A), where § ^>s& is aπκ-space. Then there exist uniquely a κf with 0 < κf < K and a functionΘ e Sκ.(v(S* ~ μ), v(S* - μ)) such that, for all I e Cμ with z(l) e ©Θ,T(l) is given by (3.4). Furthermore, for these values of 1(3.5) is valid. If A isclosely connected then K' = K.

(ϋ) If for some Θ e Sκ(v(S* - μ), ^(S* - μ)) and all I e Cμ

z(/) e 35θ, Γ(/) c $ 2 ώ gwe/i ί/ G C U ( O O ) SWCA ίΛαί {Γ(/) | /

(3.4), /Λ « Γ(/) cα« Z? extended to all

C U {OO}} is a Straus extension of S


associated with a self adjoint extension A of S in | ) 2 with μ ^ p(A), whereφ D 5 § is a πκ-space and then T(ϊ)9 z(l) e ©Θ, w gwe/i by (3.5). Λ α«d $can be chosen such that A is closely connected, in which case they areuniquely determined up to isomorphisms which, when restricted to φ, areequal to the identity on φ.

This theorem is actually another formulation of Theorem 5.1 of [8]and shows that the description of Straus extensions given there is one interms of characteristic functions of unitary colligations. In [18] Strausidentified the mapping Θ in (3.4), restricted to the operator case withK = 0, with a characteristic function (in his sense) of some operator in $.It can be shown that this notion is equivalent to that of a characteristicfunction of a colligation associated with this operator.

For λ E R U { o o } w e reformulate (3.3) as follows

(3.6) Γ(λ) = S + {{ψ -(if + ζG(I -

ψ e g, Fψ €= 3t(/ - fΓ)}, direct sum in § 2 ,

where f = (λ - μ)/(λ - μ) if λ e R and f = 1 if λ = oo. Theorem 2.2now implies that T(λ) for these values of λ can be characterized as aboundary value of Γ(/), / e Cμ.

THEOREM 3.2. Let S be a symmetric subspace / n § 2 , μ e C \ R and letT(l) c φ 2 te gjircn ty (3.4), / e Cμ, z(/) e ®θ, wterβ θ e 5,(^(5* - μ),

= (λ -we have

T(λ) = S + {{ψ - θ(f )ψ, μψ - μθ(f )Ψ} I Ψ

= lim θ(z)ψ, ψ e ϊ

Theorem 3.1 restricted to the operator case with K = 0 coincides withthe main results of Straus in [19], [21] and [22].


As Γ(/)* = T(ϊ)9 1 e p(A\ T(l) is a subspace for / e p(Λ). How-ever, for those λ e R u { o o ) which do not belong to ρ(A) T(λ) need notbe closed in general. Sufficient conditions for T(λ) to be closed for allλ e R u {00} are that dim v(S* - μ) < 00 and dim v(S* - μ) < 00.Another sufficient condition is that dim φ < 00, as follows from thefollowing theorem.

THEOREM 3.3. Let A be a selfadjoint subspace in |>2 with ρ(A) Φ 0,where φ is a πκ-space, and let φ c ^ be a Hubert space such thatdim | θ φ < oo. Let P be the orthogonal projection from φ onto φ. Then

T(λ)={{Pf,Pg)\{f,g}eA,g-\feξ>}, λ e R,

and

Γ(oo) = {{/, Pg) I {/, g } e Λ / e i } = PA\9,

are selfadjoint in φ 2.

f. Let μ e p(A) n (C\R) and let Δ = (φ, φ, φ; ί/) where § =§ θ φ and U = Cμ(Λl). Then Δ is a unitary colligation and without loss ofgenerality we may assume that it is closely connected. Write

T F

and let Θ = ΘΔ. Then, as dim φ < oo, for all ξ e 3D we have thatl/ζ e ρ(T) and therefore

is unitary for all ξ G 3D. Formula (3.6) with S = {{0,0}} c φ 2 andS = φ now implies that Γ(λ) is selfadjoint for all λ e R U { oo}.

The statement in Theorem 3.3 about Γ(oo) coincides with a result ofStenger [17] in case fc = 0 and A is a selfadjoint operator. The theorem isstill valid when φ is a 77 -subspace of φ, 0 < /c' < /c.

THEOREM 3.4. Lei § be a Hubert space and ^ be a mκ-space withφ C5 φ. Lei A be a selfadjoint subspace in φ 2 w/iΛ p( 4) # 0, wΛ/cΛ wclosely connectedifκ>0. We assume μ e p(^4)\R, 5 iΛαi /Ae correspond-ing Straus family is represented for all I e Cμ w/YΛ z(/) e ΦΘ Ay

Γ(/) = {{ψ - θ(z(/))ψ,μψ - |»θ(z(/))ψ} |ψ e $}/or 5ome Θ e Sκ(φ, φ). // SΊ c φ 2 is α symmetric subspace in φ 2,


for more than Kpoints I e Cμ with z(l) e φ θ , then we have

Proof. We assume S1 c Γ(/), for / = ll9... ,/ κ + 1 in Cμ w i t h z ^ ) G © Θ ,

i = 1,... ,κ + 1. Let (α, /?} G Sv then

for some ψ e φ , The symmetry of SΊ implies \\β - μa\\ = \\β - μα||, so

that we have

for more than K points /z such that z(lt) e © Θ . Using Theorem 2.3 and the

formula following (3.2) with S = {{0,0}}, we obtain the desired result.

This result, stated in a slightly different way, can be found in [8]. The

present proof is similar to the one given by McKelvey [16] who showed

this result for the case of a Hubert space |> and operators S and A. A

direct consequence of Theorem 3.4 is

() < K + l ,/κ + 1 \

A n £ 2 = Π HIM n r(/, ), l <

where /,., i = 1,... ,/c + 1, are distinct points in Cμ with z(/z) e ® θ . This

can be seen by checking that the set on the right-hand side is symmetric.A more general result is contained in the following corollary.

COROLLARY. Let $ be a Hubert space and |> be a πκ-space with

§ c s | , Let A be a self adjoint subspace in | ) 2 with p(A) Φ 0 , which is

closely connected if K > 0. We assume μ ^ ρ(^4)\R, so that the correspond-

ing Straus family is represented by Θ e Sκ(φ9 § ) . Let ll9... Jκ+1 e C^ be

K + 1 distinct points such that z(lt) e ® θ , i = l , . , . ,κ + l, and let

mv.. .,mκ+ι G Cμ be K + 1 distinct points such that z{mt) ^ Φ θ , i =

l,...,fc + 1. Then

κ + 1

( ( / ) n r(m,)).

Proof. It is sufficient to show that the manifold on the right-hand is

symmetric, because then we may apply Theorem 3.4. So we assume

Π


which implies by (3.4) and (3.5) that

{β - μα, jβ - μa) = {ψ,θ(z(/,))ψ} = {Θ(z(mz))*φ, φ}?

for ψ , φ e § , i = l,...,/c + 1. This representation yields ||ψ|| = ||φ||, seeTheorem 2.3, or, equivalently, Im(α, β) = 0, and the proof is complete.

This corollary contains a result of Brown [5]. He considered a denselydefined symmetric operator S in φ, and assumed that A is a self adjointoperator extension of S in the Hubert space φ. In that case he proved

/eC\R

or, strictly speaking, the equivalent result

ίeC\R

4. A special extension of a symmetric subspace. Let φ be a Hubertspace and let S c § 2 be a symmetric subspace. We define the linearmanifolds S(l), I e C U {oo}, by

fs(/) S + , /eC,

In this section we will study the boundary behaviour of S(l) as / tends toλ ^ R U {oo}, analogous to the results in Theorem 3.2. First we notesome obvious consequences of the definition. We have S c S(/) c S*,/ G C U {oo}; S(/) is maximal dissipative for I G C + , S(l) is maximaldissipative for / e C", S(/)* = S(ϊ) for / G C \ R and S(λ) is a (notnecessarily closed) symmetric linear manifold for λ G R U {OO}. Notethat for λ e R S(λ) is selfadjoint if and only if

dl(S - λ) = 9i(S* - λ) n($l(S - λ)) c ,

while (see [7]) S^oo) is selfadjoint if and only if

The manifold *S(oo) plays a role in determining whether an extension of Sis an operator or not, cf. [6] and [22].

THEOREM 4.1. Let S be a symmetric subspace in φ 2 and let μ e C \ R,

C . Then we have


where Θ e S0(v(S* — μ),v(S* — μ)) is the characteristic function of the

unitary operator colligation

,(s*-\

where Pμ denotes the orthogonal projection from φ onto v(S* — μ).

. For a fixed μ e C \ R we have for / e C^

φ = 9ΐ(5 - /) + P(S* - μ), direct sum.

This decomposition defines a projection of φ onto y(S* - μ), parallel to9l(S - /), which we denote by P / μ . Completely analogous to Straus [20]we obtain

ϊ+-£*;*>(* Hi-fi)(s(μ)-1)'1),

where Pμ denotes the orthogonal projection from § onto v(S* - μ).Using the identity

we obtain

Note that the identity

CjtiSiμ)) = aμ(S)\m(S_-μ)® 0\v(S*_μ),

shows that CμiSiμ)) is a partial isometry on φ. We have for all ψ e^(S* - μ) that Cμ(S(/))ψ e ^(S* - μ) and

(/ - μ)ψ - ( / - μ)Cμ(5(/))ψ e SR(S - /).

Using the notion of parallel projection we obtain the desired result.

Applying Schwarz' lemma to this characteristic function Θ, noteΘ(0) = 0, we obtain the following corollary.

COROLLARY. For μ G C \ R and I e C^ we have

l-μ


If for some ψ e v(S* — μ) and some I e C^

I I Ψ I I ,l-μ

l-μ

then ψ G v(S*) Π Sf*(0) *md, consequently,

I — μ μ

Let λ G R U {oo}, then it is not difficult to show that Cμ(S(λ))\HS*-μ)is the boundary value of Cμ(S(l))\v(S^_]i) as / -> λ, / e C . In order toapply Theorem 2.2 we remark that the symmetric subspace S c § 2 can bewritten as an orthogonal sum Sx Θ if, where Sτ is a simple closedsymmetric operator in φj, if is a selfadjoint subspace in §\ and φ y ,y = 1,2, are subspaces of φ with φ = φ x Θ φ 2 , cf. [15]. This shows thatf o r / G C U {oo}

where

{ } e 5f| g = //}, / e C,

In terms of the colligation the above splitting implies

i.e., a splitting in a unitary operator and a partial isometry, which does nothave a non-trivial unitary part. Hence without loss of generality weassume S to be simple, which is equivalent to the corresponding unitarycolligation being closely connected.

THEOREM 4.2. Let S be a simple symmetric closed operator in § 2 and letS{\\ λ e R U {00}, be given by (4.1). Let μ e C \ R am/ let Θ e^(^(S 1 * - μ), KS* - M)) 6* as g ^ « w Theorem 4.1. ΓΛew w/YΛ f =(λ — /x)/(λ - μ) //λ e R α«Jf = 1 ifλ = 00 we

S(λ) = S

®o(Θ(n)= ψ e r(S - p) I lim Ji^L^viivαi ^ lI - f x ~ lzl

Θ(z)ψ, ψ e S


Straus [19], [21] obtained this result by extending the operator to aself adjoint operator in a larger Hubert space and then used his previousresults about Straus extensions [18]. We prove this result by directlyrelying on Theorem 2.2. In [20] Straus gives necessary and sufficientconditions for the operator S in Theorem 4.2 to be densely defined. Amore general version is given in the following theorem.

THEOREM 4.3. Let g and © be Hilbert spaces and let Θ <Ξ SΌ(g, @)with Θ(0) = 0. Then there exists a Hilbert space ίρ, a simple symmetricclosed operator S c § 2 , μ G C \ R , α n isometry F from g onto v(S* — μ)and an isometry Gfrom v(S* — μ) onto ©, such that

The operator S is densely defined if and only if for α,

ti?} 1 _ ι - f = °°'z->l 1 |Z|

or, equivalently, if for allψ e g and for all φ e © wzϊλ ||ψ|| = | |φ| |

lim1 - z

= 0 0 .

Proof. According to Theorem 2.1 there exists a closely connectedunitary colligation Δ = ( § , g, © [/), where § is a Hilbert space and Uhas the form

IT

\G oj \%! ' \%rwhere T is a completely non-unitary partial isometry. If we denote theisometric part of Γby F, we have

and we have

Θ(z) = G[zP*iV),(I- z Γ ) " 1 / ^ ^ ] ^ z e D,

where i 7 and G are isometries from g onto 9i(Y)± , and from S)(V) x onto '© respectively. For μ e C \ R w e define S = /^(K), so that S is a simplesymmetric closed operator in φ. Note that

UNITARY COLLIGATIONS IN Π.-SPACES 361

so that

Φ(F) X = p(S* - μ), ?H(V)±=v(S*-μ).

Hence we obtain

T

pμ

Cn(S(μ))

P , 0

and hence

Next we observe that S is densely defined if and only if S*(0) = {0}. IfS*(0) = {0}, then 5(oo) = S, which by Theorem 4.2 implies that©O(Θ(1)) = {0}. Conversely, if <£)0(θ(l)) = {0}, then we have by Theo-rem 4.2 that ^(oo) = S, which implies S*(0) = {0}. The final statement inour theorem follows from Theorem 2.2.

If we have © = g> then we may write G = F*W, where if is aunitary extension of V in $, see [12]. Our result resembles a similarstatement in [15]. The special case g = @ = C goes back to Livsic, andcan be found in [1].

REFERENCES

[1] N. I. Achieser and I. M. Glasmann, Theorie der linear en Operator en im HubertRaum, 8th edition, Akademie Verlag, Berlin, 1981.

[2] D. Z. Arov and L. Z. Grossman, Scattering matrices in the theory of dilations ofisometric operators, Dokl. Akad. Nauk SSSR, 270 (1983), 17-20 (English transl.:Sov. Math. Dokl., 27 (1983), 518-522).

[3] T. Ya. Azizov, Extensions of J-isometric and J-symmetric operators, Funkcional.Anal.: Prilozen, 18 (1984), 57-58 (English transl.: Functional Anal. Appl., 18 (1984),46-48).

[4] M. S. Brodskii, Unitary operator colligations and their characteristic functions, UspekhiMat. Nauk, 33: 4 (1978), 141-168 (English transl.: Russian Math. Surveys, 33: 4(1978), 159-191).

[5] K. J. Brown, A symmetric operator maximal with respect to a generalised resolution ofthe identity, J. London Math. Soc, (2) 7 (1974), 609-616.

[6] E. A. Coddington, Extension theory of formally normal and symmetric subspaces,Mem. Amer. Math. Soc, 134 (1973).

[7] E. A. Coddington and H. S. V. de Snoo, Positive self adjoint extensions of positivesymmetric subspaces, Math. Z., 159 (1978), 203-214.

[8] A. Dijksma, H. Langer and H. S. V. de Snoo, Self adjoint πκ-extensions of symmetric

subspaces: an abstract approach to boundary problems with spectral parameter in theboundary conditions, Integral equations and operator theory, 7 (1984), 459-515.

[9] , Characteristic functions of unitary operator colligations in πk-spaces, to bepublished.


[10] O. P. Filimonov, On the inverse problem of the theory of characteristic operatorfunctions of metric nodes in the space Uκ, Dokl. Akad. Nauk Ukrain. SSR, Ser. A, no.9 (1977), 798-802.

[11] I. S. Iohvidov, M. G. Krein and H. Langer, Introduction to the Spectral Theory ofOperators in Spaces with an indefinite Metric, Akademie Verlag, Berlin 1982.

[12] M. G. Krein and H. Langer, Uber die verallgemeinerten Resolventen und die char-akteristische Funktion eines isometrischen Operators in Raume Uκ, Hilbert SpaceOperators and Operator Algebras (Proc. Int. Conf., Tihany, 1970) Colloquia Math.Soc. Janos Bolyai, no. 5, North-Holland, Amsterdam (1972), 353-399.

[13] , Uber einige Fortsetzungsprobleme, die eng mit der Theorie hermitescherOperator en im Raume Π κ zusammenhάngen, Teil I: Einige Funktionenklassen undihre Darstellungen, Math. Nachr., 77 (1977), 187-236.

[14] , Some propositions on analytic matrix functions related to the theory ofoperators in the space Π κ , Acta Sci. Math. (Szeged), 43 (1981), 181-205.

[15] H. Langer and B. Textorius, On generalized resolvents and Q-functions of symmetriclinear relations (subspaces) in Hilbert space, Pacific J. Math., 72 (1977), 135-165.

[16] R. McKelvey, Spectral measures, generalized resolvents and functions of positive type,J. Math. Anal. Appl., 11 (1965), 447-477.

[17] W. Stenger, On the projection of a selfadjoίnt operator, Bull. Amer. Math. Soc, 74(1968), 369-372.

[18] A. V. Straus, Characteristic functions of linear operators, Izv. Akad. Nauk SSSR Ser.Mat., 24 (1960), 43-74 (English transl.: Amer. Math. Soc. Transl., (2) 40 (1964),1-37).

[19] , On the extensions of symmetric operators depending on a parameter, Izv.Akad. Nauk SSSR Ser. Mat., 29 (1965), 1389-1416 (English transl.: Amer. Math.Soc. Transl., (2) 61 (1967), 113-141).

[20] , On the extensions and the characteristic function of a symmetric operator, Izv.Akad. Nauk SSSR Ser. Mat., 32 (1968), 186-207 (English transl.: Math. USSR Izv.,2 (1968), 181-204).

[21] , On one-parameter families of extensions of a symmetric operator, Izv. Akad.Nauk SSSR Ser. Mat., 30 (1966), 1325-1352 (English transl.: Amer. Math. Soc.Transl., (2) 90 (1970), 135-164).

[22] , Extensions and generalized resolvents of a symmetric operator which is notdensely defined, Izv. Akad. Nauk SSSR Ser. Mat., 34 (1970), 175-202 (Englishtransl.: Math. USSR Izv., 4 (1970), 179-208).

Received July 1, 1985 and in revised form October 10, 1985. This work was supported bythe Netherlands Organization for the Advancement of Pure Research (Z.W.O.).

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Dale Edward Alspach, On Lp,λ spaces for small λ . . . . . . . . . . . . . . . . . . . . . . . 257Jong Sook Bae and Sangsuk Yie, Range of Gateaux differentiable operators

and local expansions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289Hubert Berens and Lothar Hetzelt, On accretive operators on l∞n . . . . . . . . . 301Marie-Françoise Bidaut-Véron, Global existence and uniqueness results

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colligations in 5κ -spaces, characteristic functions and Štrausextensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347

Michel Enock and Jean-Marie Schwartz, Algèbres de Kacmoyennables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363

Seppo Granlund, Peter Lindqvist and Olli Martio, Note on thePWB-method in the nonlinear case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 381

Palle E. T. Jorgensen, Analytic continuation of local representations of Liegroups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397

Robert P. Kaufman, Plane curves and removable sets . . . . . . . . . . . . . . . . . . . . . 409José M. Montesinos and Wilbur Carrington Whitten, Constructions of

two-fold branched covering spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 415Benedict Seifert, Highly transitive group actions on trees and normalizing

Tits systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 447Charles Stuart Stanton, Counting functions and majorization for Jensen

measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 459Luen-Fai Tam, On existence criteria for capillary free surfaces without

gravity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 469Zhuocheng Yang, Exposed points of left invariant means . . . . . . . . . . . . . . . . . . 487

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