CoveringSpacesProject

2 Roots of Complex Polynomials

Lemma 1
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The image of a connected set under a continuous map is connected.

Lemma 2
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Any nonempty connected subset of \(\mathbb Z\) is a singleton.

Lemma 3
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If a map into \(\mathbb Z\) is continuous after coercion to \(\mathbb {C}\), then it is continuous.

2.1 Results from LEAN

Here are basic definitions and results already in LEAN:

Definition 1
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\(f\colon X\to Y\) a local trivialization for \(f\) on \(U\) is:

  • an open subset \(U\subset Y\)

  • a discrete space set \(I\)

  • a homeomorphism \(\varphi \colon f^{-1}(U)\to U\times I\)

such that letting \(p_1\colon U\times I\to U\) be the projection onto the first factor, we have \(p_1\circ \varphi (x)=f(x)\) for all \(x\in f^{-1}(U)\)

Definition 2
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Let \(f\colon X\to Y\) be a continuous map and \(A\subset Y\). Then \(f\) is an even cover on \(A\subset X\) if every \(a\in A\) has a neighborhood which is contained in the target of a trivialization

Definition 3
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\(CSexp\colon \mathbb {C}\to \mathbb {C}\) defined by the usual power series.

Lemma 4
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\(CSexp\colon \mathbb {C}\to \mathbb {C}\) is continuous.

Proof

In Mathlib.

Lemma 5
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\[ CSexp(r+\theta *I)=exp_\mathbb {R}(r)*CSexp(\theta * I) =exp_\mathbb {R}(r)*({\rm cos}(\theta +{\rm sin}(\theta )*I), \]

for \(r,\theta \in \mathbb {R}\).

Proof

In Mathlib.

Lemma 6
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\(CSexp(z+w)=CSexp(z)* CSexp(w)\).

Proof

In Mathlib.

Lemma 7
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\(CSexp\colon \mathbb {C}\to \mathbb {C}\) is periodic of period \(2\pi i\) and with no smaller period.

Proof

In Mathlib.

Definition 4
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There is a map \(PBlog\colon \mathbb {C}\to \mathbb {C}\).

Lemma 8
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The image of \(PBlog\) is contained in \(\{ z\in \mathbb {C}|-\pi {\lt} Im(z)\le \pi \} \) and for all \(\{ z\in \mathbb {C}| z\not=0\} \) \(CSexp(PBlog(z))=z\).

Proof

This is immediate from Definition 4 and Lemma 5.

Definition 5
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\(T=\{ z\in \mathbb {C}|Re(z){\gt}0 \cup Im(z)\not= 0\} \)

Missing Mathlib lemma: if ‘z.re ≥ 0 ∨ z.im ≠ 0‘ then ‘log z.im < π‘.

Lemma 9
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\(PBlog\) is continuous on \(T\) and if \(z\in T\) then \(PBlog(z)\in \{ z\in \mathbb {C}|-\pi {\lt} Im(z) {\lt} \pi \} \).

Proof

By Lemma 5 for \(x\in T\) \(Re(cos(x))\not=-1\) and hence by Lemma 8 \(PBlog(x)\in S\).

2.2 \(CSexp\colon \mathbb {C}\to \mathbb {C}\) is a covering projection on \(Cstar\)

Definition 6
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\(Cstar=\{ z\in \mathbb {C}| z\not= 0\} \)

Definition 7
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Let \(f\colon X\to Y\) be a continuous map between topological spaces and \(\alpha \colon A\to Y\) a continuous map. A lift of \(\alpha \) through \(f\) is a continuous map \(\tilde\alpha \colon A\to X\) such that \(f\circ \tilde\alpha = \alpha \).

Definition 8
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For any \(a, b\in \mathbb {R}\) (in practice, we assume \(a {\lt} b\)), we define \(S(a,b)=\{ z\in \mathbb {C}| a {\lt} Im{z} {\lt} b\} \).

Definition 9
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Define \(S\subset \mathbb {C}\) by \(S=S(-\pi ,\pi )\).

Lemma 10
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For \(w\in S\), \(CSexp(w)\in T\).

Proof

A calculation.

Proposition 1
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Then \(CSexp\colon S\to T\) and \(PBlog\colon T\to S\) are inverse homeomorphisms.

Proof

By Lemma 5 \(CSexp(z)\in \mathbb {R}^-\) if and only if \(CSexp({\rm Im}(z))\in \mathbb {R}^-\) if and only if \(\{ {\rm Im}(z)\in \{ \pi +(2\pi )\mathbb {Z}\} \} \). Since, by Definition 8 for \(z∈ S\), \(-\pi {\lt} Im(z) {\lt} \pi \). It follows that \(CSexp(S)\subset T\). Conversely, by Lemma 9 if \(z\in T\) then \(PBlog(z)\in S\).

By Lemma 4 \(CSexp\) is continuous and, by Lemma 9, \(PBlog\) is continuous on \(T\). Suppose that \(z,w\in S\) and \(CSexp(z)=CSexp(w)\). By Lemma 7 there is an integer \(n\) such that \(z-w =2\pi * n * I\) and \(-2\pi {\lt} Im(z)-Im(w){\lt}2\pi \). It follows that \(n=0\) and hence that \(z=w\). This shows that \(CSexp|_S\) is one-to-one. Since \(CSexp|_S\) is one-to-one and \(CSexp({\rm PBlog}(z))=z\) for all \(z\in T\), it follows that \(CSexp\colon S\to T\) and \({PBlog}\colon T\to S\) are inverse functions. Since each is continuous, they are inverse homeomorphisms.

Definition 10
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\(\tilde S\subset \mathbb {C}\) is the subset \(\{ r+\theta * I|r,\theta \in \mathbb {R}\text{\ and\ } \theta \not= (2k+1)\pi \text{ for any } k\in \mathbb {Z}\} \).

Lemma 11
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Define \(\varphi \colon S\times \mathbb {Z}\to \mathbb {C}\) by \(\varphi (z,k)=z+2k\pi *I\). Then \(\varphi \colon S\times \mathbb {Z}\to \tilde S\) is a homeomorphism.

Lemma 12
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For each \(w\in \tilde S\), the number \(\frac{\Im (w)+\pi }{2\pi }\) is not an integer.

Lemma 13
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The map \(w\mapsto \left\lfloor \frac{\Im (w)+\pi }{2\pi }\right\rfloor \) is continuous on \(\tilde S\).

Definition 11
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Define \(\varphi \colon \mathbb {C}\times \mathbb {Z}\to \mathbb {C}\) by \(\varphi (z,n)=z+2n\pi i\).

Lemma 14
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If \(z\in S\), then \(\varphi (z,n)\in \tilde S\).

Definition 12
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Define \(N(w)=\left\lfloor \frac{\Im (w)+\pi }{2\pi }\right\rfloor \).

Definition 13
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Define \(\tilde\varphi ^{-1}_{\mathbb {C}}(w)=w-2N(w)\pi i\).

Lemma 15
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If \(w\in \tilde S\), then \(\tilde\varphi ^{-1}_{\mathbb {C}}(w)\in S\).

Definition 14
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Define \(\tilde\varphi ^{-1}(w)=(\tilde\varphi ^{-1}_{\mathbb {C}}(w),N(w))\in \mathbb {C}\times \mathbb {Z}\).

Definition 15
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Restrict \(\tilde\varphi ^{-1}\) to a map \(\tilde S\to S\times \mathbb {Z}\).

Lemma 16
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The maps \(\tilde\varphi \) and \(\tilde\varphi ^{-1}\) are left inverses on \(S\times \mathbb {Z}\).

Lemma 17
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The maps \(\tilde\varphi \) and \(\tilde\varphi ^{-1}\) are right inverses on \(\tilde S\).

Lemma 18
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The forward map \(S\times \mathbb {Z}\to \tilde S\) is continuous.

Lemma 19
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The inverse map \(\tilde S\to S\times \mathbb {Z}\) is continuous.

Proof

According to Definition 8 image of \(S\) under the translation action of \((2\pi )\mathbb {Z}\) on \(\mathbb {C}\) is the union of all strips \(S(2n-1)\pi ,(2n+1)\pi )\). By Definition 10 this union is \(\tilde S\). Thus we have a map \(S\times \mathbb {Z}\to \tilde S\) defined by \((z,n)\mapsto z+2\pi *n *I\). Since translation is a homeomorphism of \(\mathbb {C}\to \mathbb {C}\), this map is a local homeomorphism onto its image \(\tilde S\). If \(n ,n'\in \mathbb {Z}\) with \(n\not=n'\) then \(S((2n-1)\pi ,(2n+1)\pi )\cap S((2n'-1)\pi ,(2n'+1)\pi )=\emptyset \). Also \(\tilde S=\coprod _{n\in \mathbb {Z}}S((2n-1)\pi ,(2n+1)\pi )\). It follows that \(\varphi \) is a bijective map and hence a homeomorphism.

Definition 16
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Let \(\widetilde{PBlog}\colon T\times \mathbb {Z}\to S\times \mathbb {Z}\) be defined by \(\widetilde{PBlog}(z,n)=(PBlog(z),n)\) for all \(z\in T\) and \(n\in \mathbb {Z}\).

Lemma 20

\(\widetilde{PBlog}\colon T\times \mathbb {Z}\to S\times \mathbb {Z}\) is a homeomorphism.

Proof

By Definition 16\(\widetilde PBlog\) is the product of \(PBlog\colon T\to S\) and \({\rm Id}_\mathbb {Z}\colon \mathbb {Z}\to \mathbb {Z}\). By Lemma 1 the first of these factors is a homeomorphism. Since \({\rm Id}_\mathbb {Z}\) is a homeomorphism. it follows from basic properties of homeomorphisms that the product \(\widetilde{PBlog}\) is a homeomorphism.

Lemma 21
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The set \(T=\{ z\in \mathbb {C}\mid \Re (z){\gt}0 \text{ or } \Im (z)\neq 0\} \) is open.

Proof

By Definition 5, \(T\) is the union of \(\{ z\mid \Re (z){\gt}0\} \) and \(\{ z\mid \Im (z)\neq 0\} \). Both are open: the first is an open strict inequality set, and the second is the complement of the closed set \(\{ \Im (z)=0\} \). Hence \(T\) is open.

If \(x\in CSexp^{-1}(T)\), then \(x\in \widetilde S\).

Proof

By contradiction, suppose \(\Im (x)=(2k+1)\pi \) for some \(k\in \mathbb {Z}\). Then \(\Im (CSexp(x))=0\) and \(\Re (CSexp(x)){\lt}0\), so \(CSexp(x)\notin T\). This contradicts \(x\in CSexp^{-1}(T)\). Hence no odd multiple of \(\pi \) occurs as \(\Im (x)\), i.e. \(x\in \widetilde S\).

For every \(x\in \mathbb {C}\), one has \(CSexp(\tilde\varphi ^{-1}_{\mathbb {C}}(x))=CSexp(x)\).

Proof

By Definition 13, \(\tilde\varphi ^{-1}_{\mathbb {C}}(x)=x-2N(x)\pi i\), where \(N(x)\) is an integer (Definition 12). By periodicity of \(CSexp\) (Lemma 7), shifting by an integer multiple of \(2\pi i\) does not change the value.

If \(x\in CSexp^{-1}(T)\), then \(PBlog(CSexp(x))=\tilde\varphi ^{-1}_{\mathbb {C}}(x)\).

Proof

From Lemma 22, \(x\in \widetilde S\). Then Lemma 15 gives \(\tilde\varphi ^{-1}_{\mathbb {C}}(x)\in S\). Applying the left-inverse identity from Lemma 1 to \(\tilde\varphi ^{-1}_{\mathbb {C}}(x)\) gives \(PBlog(CSexp(\tilde\varphi ^{-1}_{\mathbb {C}}(x)))=\tilde\varphi ^{-1}_{\mathbb {C}}(x)\). Finally use Lemma 23.

Lemma 25
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For \(z\in T\) and \(n\in \mathbb {Z}\),

\[ \left\lfloor \frac{\Im (PBlog(z)+2n\pi i)+\pi }{2\pi }\right\rfloor =n. \]
Proof

By Lemma 9, for \(z\in T\) we have \(-\pi {\lt}\Im (PBlog(z)){\lt}\pi \). Hence \(2n\pi -\pi {\lt}\Im (PBlog(z)+2n\pi i){\lt}2n\pi +\pi \), which is exactly the interval characterization of

\[ \left\lfloor \frac{\Im (PBlog(z)+2n\pi i)+\pi }{2\pi }\right\rfloor =n. \]
Proposition 2

The composition \(\psi =\varphi \circ \widetilde{PBlog}\colon T\times \mathbb {Z}\to \tilde S\) defines a trivialization of \(CSexp\) on \(T\)

Proof

\(\varphi \) is a homeomorphism by Lemma 11. By Lemma 20 \(\widetilde{PBlog}\colon T\times \mathbb {Z}\to S\times \mathbb {Z}\) is a homemorphism. Thus, the composition \(\varphi \circ \widetilde{PBlog}\colon T\times \mathbb {Z}\to \tilde S\) is a homeomorphism. For \((z,n)\in T\times \mathbb {Z}\),

\[ CSexp\circ \varphi \circ \widetilde{PBlog}(z,n)=CSexp(\varphi (PBlog(z),n)=CSexp(PBlog(z)+2\pi * n * I). \]

By Lemma 7, \(CSexp(PBlog(z)+2\pi * n * I)=CSexp(PBlog(z))\), which by Lemma 20 equals \(z\). This establishes that \(\psi \) satisfies all the conditions of the Definition 1 on \(T⊆ \).

Lemma 26

Suppose \(f\colon E\to X\) is a map between topological spaces and \(U\subset X\) is an open subset and there is a trivialization for \(f\) on \(U\). Suppose also that there are homeomorphisms \(\varphi \colon X\to X\) and \(\tilde\varphi \colon E\to E\) with \(f\circ \tilde\varphi =\varphi \circ f\). The there is a trivialization for \(f\) on \(\varphi (U)\).

Proof

Since \(f\circ \tilde\varphi =\varphi \circ f\), we have \(\tilde\varphi \colon f^{-1}(U)\to f^{-1}(\varphi (U))\). Since \(\varphi \) and \(\tilde\varphi \) are homeomorphisms the induced map \(\tilde\varphi \colon f^{-1}(U) \to f^{-1}(\varphi (U))\) is a homeomorphism. Let \(\psi \colon f^{-1}(U)\to U\times I\) be a homeomorphism with \(p_1\circ \psi \) being the map \(f\colon f^{-1}U\to U\). Such a map is equivalent to a trivialization for \(f\) with base \(U\). Then

\[ f^{-1}\varphi (U) \buildrel \tilde\varphi ^{-1}\over \longrightarrow f^{-1}(U)\buildrel \psi \over \longrightarrow U\times I \buildrel \varphi \times {\rm Id}_I\over \longrightarrow \varphi (U)\times I \]

is a homeomorphism. Furthrmore, projection to the first factor is

\[ f^{-1}(\varphi (U))\buildrel \varphi ^{-1}\over \longrightarrow f^{-1}(U) \buildrel f\over \longrightarrow U\buildrel \varphi \over \longrightarrow \varphi (U). \]

This composition is \(f\colon f^{-1}(\varphi (U))\to \varphi (U)\), so that this homeomorphism determines a trivialization for \(f\) with base \(\varphi (U)\).

Definition 17
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Let \(T'=\{ z\in \mathbb {C}| Re(z){\lt}0\cup z\in \mathbb {C}| Im(z)\not= 0\} \).

Corollary 1

\(T'\) is the base of a trivialization for \(CSexp\colon \mathbb {C}\to \mathbb {C}\) with non-empty fiber.

Proof

We have homeomorphism \(\mu \colon \mathbb {C}\to \mathbb {C}\) that sends \(z \to CSexp(\pi *I)z)\) and the homeomorphism \(\tilde\mu \colon \mathbb {C}\to \mathbb {C}\) defined by \(\tilde\mu (z)=z+\pi *I\) Clearly by Lemma 6 and Lemma 5 \(CSexp(\tilde\mu (z))= \mu (CSexp(z))\). By Definition 5 and Definition 17 \(\mu (T)=T'\). The result now follows from Lemma 26 and Proposition 2.

Lemma 27

For \(x\in \mathbb {C}\) with \(x\not= 0\), either \(x\in T\) or \(x\in T'\).

Proof

Suppose that \(x\in \mathbb {C}\) and \(x\not= 0\). Then either \(Re(x){\gt} 0\) or \(Re(x)\le 0\). If \(Re(x){\gt}0\), then by Definition 5 \(x\in T\). if \(Re(x){\lt} 0\) then by Definition 17 \(x\in T'\). Finally, if \(Re(z)=0\) and \(z\not=0\), then \(Im(z)\not= 0\) and \(z\in T\).

Corollary 2

\(T\cup T'=\{ z\in \mathbb {C}| z∈ Cstar\} \).

Proof

Immediate from Lemma 27 and Definition 6.

Corollary 3

\(CSexp\colon \mathbb {C}\to \mathbb {C}\) is a covering projection over \(Cstar\) with source \(\mathbb {C}\). The image of \(CSexp\) is \(Cstar\).

Proof

By Corollary 2 \(T\cup T'= Cstar\). By Proposition 2 and Corollary 1 \(CSexp\) is a trivialization on \(T\) and on \(T'\). Hence, every point of \(Cstar\) lies in the base of a trivialization for \(CSexp\). By definition, this shows that \(CSexp\colon \mathbb {C}\to \mathbb {C}\) is a covering on \(Cstar\). Since \(CSexp(z)\not=0\) for all \(z\in \mathbb {C}\), it follows that \(CSexp^{-1}(Cstar)=\mathbb {C}\). Lastly, by Lemma 8 if \(z\in \mathbb {C}\) and \(z\not= 0\) then \(CSexp(PBlog)(z)=z\). This proves that \(CSexp\) is onto \(\{ z\in \mathbb {C}| z\not=0\} \), which by Lemma 6, is equal to \(Cstar\).

Corollary 4

Given a path \(\omega \colon [ a , b]\to \mathbb {C}\) with \(\omega (t)\not=0\) for all \(t\in [ a, b]\), and \(\tilde a_0\in CSexp^{-1}(\omega (a))\), there is a unique map \(\tilde\omega \colon [ a, b ]\to \mathbb {C}\) with \(\tilde\omega (a)=\tilde a_0\) and \(exp(\tilde\omega )=\omega \).

Proof

By Corollary 3 and the basic result about covering projections.

Corollary 5

\(CSexp\) satisfies the homotopy lifting property on \(Cstar\).

Proof

This is immediate from Corollary 3 and the theorem that covering projections have the homotopy lifting property.

2.3 Homotopy Classes of Loops and maps of \(S^1\) into \(Cstar\)

Definition 18
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Let \(X\) be a topological space and \(a, b ∈ ℝ\) with \(b {\gt} a\). A loop in \(X\) is a map \(\omega \colon [ a, b]\to X\) with \(\omega (b)=\omega (a)\). A loop is based at \(x_0\in X\) if \(\omega (a)=x_0\).

Definition 19
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A homotopy of loops is a one parameter family \(\Omega \colon [a, b]\times [0, 1]\to X\) with \(\Omega |_{[a, b]\times \{ s\} }\) a loop for all \(s\in [0, 1]\). A homotopy of loops based at \(x_0\) is a one parameter family indexed by \([0, 1]\) of loops based at \(x_0\).

Lemma 28

Let \(\omega \colon [a, b]\to \mathbb {C}\) be a loop. Assume that \(\omega (t)\in Cstar\) for all \(t\in [a, b]\). There is a lift of \(\omega \) through \(exp\).

Proof

By Corollary 3 \(CSexp^{-1}(\omega (a))\not=\emptyset \). Fix a point \(x\in CSexp^{-1}(\omega (a))\) and let \(\tilde\omega _x\colon [a, b]\to \mathbb {C}\) be lift of \(\omega \) through the \(CSexp\) with initial point \(x\) as guaranteed by Corollary 4.

Definition 20
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Suppose given a loop \(\omega \colon a\colon [a, b]\to \mathbb {C}\) with \(\omega (t)\in Cstar\) for all \(t\in [a, b]\), and given a lift \(\tilde\omega \) of \(\omega \) through \(CSexp\) the winding number of the lift \(\tilde\omega \), denoted \(w(\tilde\omega )\), is \((\tilde\omega _x(b)-\tilde\omega _x(a))/2\pi *I\).

Lemma 29
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Let \(\omega \colon [a, b]\to \mathbb {C}\) be continuous with \(\omega (t)\in Cstar\) for all \(t\in [a ,b]\). Suppose that \(\tilde\omega \) and \(\tilde\omega '\) are lifts of \(\omega \) through \(CSexp\). Then DefWNlift\((\tilde\omega )\in \mathbb {Z}\) and DefWNlift\((\tilde\omega ')=\)DefWNlift\((\tilde\omega )\).

Proof

By the Definition 7 we have \(CSexp(\tilde\omega (b))=\omega (b)\) and \(CSexp(\tilde\omega (a)=\omega (a)\). By Definition 18 \(\omega (b)=\omega (a)\). Thus, \(CSexp(\tilde\omega (b))=CSexp(\tilde\omega (a))\). By Lemma 7, there is \(k\in \mathbb {Z}\), such that \(\tilde\omega (b)-\tilde\omega (b)=2\pi *k* I\). By Definition 20, the winding number of \(\tilde\omega \) is \(k\)

Let \(\tilde\omega '\) be another lift of \(\omega \). Since \(CSexp(\tilde\omega '(t))=CSexp(\tilde\omega (t))\) for every \(t\in [ a, b]\), there is an integer \(k(t)\in \mathbb {Z}\) with \(\tilde\omega '(t)-\tilde\omega _x(t)=2\pi k(t)*I\). Since \(\tilde\omega '\) and \(\tilde\omega \) are continuous functions of \(t\) so is \(k(t)\). Since the \([ a, b]\) is connected and \(\mathbb {Z}\) is discrete, \(k(t)\) is a constant function; i.e., there is an integer \(k_0\) such that for all \(t\in [ a, b]\), we have \(\tilde\omega '(t)=\tilde\omega (t)+2\pi * k_0*I\). Thus, \(\tildeω'(b) -\tildeω'(b)=\tildeω'(a)-\tildeω(a)\). It follows from Definition 20 \(w(\tildeω')=w(\tildeω).\)

Corollary 6

Let \(\omega \colon [ a, b]\to \mathbb {C}\) be a loop with \(\omega (t)\in Cstar\) for all \(t\in [ a, b]\). There is a lift \(\tilde\omega \colon [ a, b]\to \mathbb {C}\) of \(\omega \) through \(CSexp\). There is a constant \(w(\omega )\in \mathbb {Z}\) such that for every lift \(\tilde\omega \colon [ a, b]\to \mathbb {C}\) the winding number of \(\tilde\omega \) is \(w(\omega )\).

Proof

This is immediate from Lemmas 29 and Lemma 28.

Definition 21
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Suppose that \(\omega \colon [ a, b ]\to \mathbb {C}\) is a loop with \(\omega (t)\in Cstar\) for all \(t\in [ a, b ]\). Then the constant \(w(\omega )\) given in Corollary 6 is the winding number of \(\omega \).

Lemma 30

If \(\omega \colon [ a, b ]\to \mathbb {C}\) and \(\omega '\colon [ a, b ]\to \mathbb {C}\) are loops with \(\omega (t) , \omega '(t) \in Cstar\) for all \(t\in [ a, b ]\) and if \(H\colon [ a, b ]\times [ 0, 1 ]\to \mathbb {C}\) is a homotopy of loops from \(\omega \) to \(\omega '\) with \(H(t,s)\in Cstar\) for all \(t\in [ a, b ]\) and \(s\in [ 0, 1 ]\), then \(w(\omega )=w(\omega ')\)

Proof

By Definition 19 for all \(\{ t∈ ℝ : 0≤t≤1\} \) \(H(a,t)=H(b,t)\). Let \(\mu \colon \{ t∈ ℝ : 0≤t≤1\} \to \mathbb {C}\) be the path \(μ(t)=H(a,t)\). By Corollary 5 since the image of \(H\) is contained in \(Cstar\), there is a lift \(\tilde H\colon [ a, b]\times I\) of \(H\) through \(CSexp\). Then \(\tilde H|_{\{ a\} \times I}\) and \(\tilde H|_{\{ b\} \times I}\) are two liftings of \(\mu \). So by Lemma 29 \(\tilde H(b,1)-\tilde H(b,0)=\tilde H(a,1)-\tilde H(a,0)\). Rewriting we have \(⁀ H(b,1)-⁀ H(a,1)= \tilde H(b,0)-\tilde H(a,0)\). Since \(\tilde H(t,0)\) is a lift of \(\omega \) through \(CSexp\) and \(\tilde H(t,1)\) is a lift of \(\omega '\) through \(CSexp\), by Definition 21 \(w(\omega ')=w(ω)\).

Corollary 7

Suppose that \(\omega \colon [ a, b ]\to \mathbb {C}\) is a loop and \(\omega (t)\in Cstar\) for all \(t\in [ a, b ]\). Suppose that \(H\colon [ a, b ]\times [ 0, 1 ]\to \mathbb {C}\) is a homotopy of loops from \(\omega \) to a constant loop and \(H(t,s)\in Cstar\) for all \((t,s)\in [ a, b ]\times [ 0, 1 ]\). Then the winding number of \(\omega \) is zero

Proof

By Lemma 30 the winding number of the loop \(\omega \) is equal to the winding number of a constant loop. By Lemma 4 the lift of a constant loop through \(CSexp\) is a constant path. Thus, the endpoints of the lift of the constant loop are equal and hence by Definition 21 the winding number of a constant loop is zero.

Definition 22
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Given a map of the circle \(\psi \colon S^1\to X\) the associated loop is \(\omega \colon [ 0, 2\pi ]\to X\) is defined by \(\omega (t)=\psi (CSexp(it))\).

Lemma 31

Let \(ρ : S^1→ \mathbb {C}\) be a map with \(ρ(z)∈ Cstar\) for all \(z∈ S^1\). Let \(ω\) be the loop associated with \(ρ\). Then the image of \(ω\) is contained in \(Cstar\).

Proof

Let \(ω \colon [ 0, 2\pi ] \to \mathbb {C}\) be the loop associated to \(ρ\). Then by Definition 22 for all \(t∈ [ 0 ,1 ]\) \(ω(t)=ρ(2\pi * t *I)∈ Cstar\).

Definition 23

The winding number of a map \(\rho \colon S^1\to \mathbb {C}\) with \(\rho (z)\in Cstar\) for all \(z\in S^1\) is the winding number of the associated loop.

Lemma 32

If \(f\colon S^1\to \mathbb {C}\) is a constant map to a point \(z\in Cstar\), then \(w(f)=0\).

Proof

By Definition 22 the loop associated with the constant map \(f\colon S^1\to Cstar\) is a constant loop at a point of \(Cstar\). By Lemma 23 the winding number of \(f\) is equal to the winding number of the constant loop at \(f(S^1)\in Cstar\). By Lemma 7 this winding number is zero.

Lemma 33

Let \(\psi , \psi '\colon S^1\to \mathbb {C}\) be maps and \(H : S^1→ \mathbb {C}\) a homotopy between them whose image lies in \(Cstar\). Then the winding numbers of \(\psi \) and \(\psi '\) are equal.

Proof

Let \(H\colon S^1\times I\to \mathbb {C}\) be a homotopy from \(\psi \) to \(\psi '\) whose image lies in \(Cstar\). Let \(ω\) and \(ω'\) be the loops associated to \(ψ\) and \(ψ'\) respectively Define \(\hat H\colon [ 0, 2\pi ]\times [ 0, 1 ]\to X\) by \(\hat H(t,s)=H(CSexp(it),s)\). Then by Definition 22 \(\hat H\) is a homotopy from the loop \(\omega \) to the loop \(\omega '\). The images of \(H\) and \(\hat H\) are the same so that the image of \(\hat H\) lies in \(Cstar\). By Lemma 30 the winding numbers of \(\omega \) and \(\omega '\) are equal. By Definition 23 this means that the winding numbers of \(\psi \) that the winding numbers of \(ψ\) and \(ψ'\) are equal.

Theorem 1

Let \(\rho \colon S^1\to \mathbb {C}\) be a map with \(\rho (z)\in Cstar\) for all \(z\in S^1\). Suppose there is a map \(\hat f\colon D^2\to \mathbb {C}\) with \(\hat f|_{S^1}=f\) and with the image of \(\hat f\) contained in \(Cstar\). Then the winding \(w(\rho )=0\).

Proof

Define a continuous map \(J\colon S^1\times [ 0,1 ]\to D^2\) by \((z,t)\mapsto (1-t)z\). Then \(\hat f\circ J(z,0)= \rho (z)\) and \(\hat f\circ J(z,1)=\hat f(0)\) for all \(z\in S^1\). This is a homotopy in \(Cstar\) from \(\rho \) to a constant map of \(S^1\to Cstar\). By Lemma 33 the winding number of \(\rho \) is equal to the winding number of a constant map \(S^1\to C\star \). By Lemma 32, the winding number of a constant map \(S^1\to \hat f(0)\in Cstar\) is zero.

Since there is a homotopy \(H\) from \(\rho \) to a constant map with image in \(Cstar\), it follows from Lemma 33 that the winding number of \(\rho \) is zero.

2.4 Winding numbers at Infinity for complex polynomials

Lemma 34

For any \(\alpha _0\in \mathbb {C}\) and any \(k\in \mathbb {Z}\) \(k≥ 0\), define \(\psi _{\alpha _0,k}\colon \mathbb {C}\to \mathbb {C}\) by \(\psi _{\alpha _0,k}(z)=\alpha _0 z^k\). Then for any \(R{\gt}0\) if \(\alpha _0\not=0\) and \(k{\gt}0\) the winding number of the map of the restriction of \(\psi _{\alpha _0,k}\) to the circle of radius \(R\) is \(k\)

Proof

By Definition‘22 and by Lemma 6 the loop \(\omega \colon [ 0, 2\pi ]\to \mathbb {C}\) associated to \(\psi _{\alpha _0,t}\) restricted to the circle of radius \(R\) is given by \(\omega (t)= \alpha _0 R^kCSexp(kt *I)\).

By Lemma 3 there is an \(\tilde\alpha _0\in \mathbb {C}\) with \(CSexp(\tilde\alpha _0)=\alpha _0 R^k\). Define \(\tilde\omega (t)=\tilde\alpha _0+kt *I\) for \(0\le t\le 2\pi \). Then by Lemma 6

\[ CSexp(\tilde\alpha _0 +kt*I)=\alpha _0 R^kCSexp (kt*I). \]

By Definition 7 this means that \(\tilde\omega \) is a lift of \(\omega \) through \(CSexp\). By Definition 21 \(w(\omega )=(2\pi k*I-0)/2\pi * I = k\). By Definition 23, this means that the winding number of \(\psi _{\alpha _0,k}\) is \(k\).

Lemma 35

Suppose that \(\psi \colon S^1\to \mathbb {C}\) and \(\psi '\colon S^1\to \mathbb {C}\) are maps and for each \(z\in S^1\), we have \(|\psi (z)-\psi '(z)|{\lt}|\psi (z)|\). Then there is a homotopy \(H\) from \(\psi \) to \(\psi '\) whose image lies in \(Cstar\).

Proof

Since for all \(z\in S^1\), \(|\psi (z)-|\psi '(z)|{\lt}|\psi (z)|\), it follows that \(|\psi (z)|{\gt}0\) and \(|\psi '(z)|{\gt}0\) for all \(z\in S^1\). Define a homotopy \(H\colon S^1× [ 0, 2\pi ]\to \mathbb {C}\) by \(H(z,t)=t\psi '(z)+(1-t)\psi (z)\). \(H(z,0)=\psi (z)\) and \(H(z,1)=\psi '(z)\), so \(H\) is a homotopy from \(\psi \) to \(\psi '\).

We establish that \(H(z,t)\not= 0\). For all \(z\in S^1\) and \(t\in [ 0, 1 ]\) \(|\psi (z)-(t\psi (z)-(1-t)\psi '(z)|=|(1-t)(\psi -\psi ')|\). Since \(0\le t\le 1\), \(0\le (1-t)\le 1\). Then, \(|\psi (z)-H(z,t)|=|\psi (z)-(t\psi (z)-(1-t)\psi '(z)|=(1-t)|\psi (z)-\psi '(z)|{\lt}|\psi (z)|\). So \(H(z,t)\not=0\) for all \(z\in S^1\) and all \(t\in [ 0, 1 ]\).

Consequently, \(H\) is a homotopy \(S^1\times [ 0 , 1 ]\to \mathbb {C}\) from \(\psi \) to \(\psi '\) whose image lies in \(Cstar\).

Corollary 8

Suppose that \(\psi ,\psi '\colon S^1\to \mathbb {C}\) with \(|\psi (z)-\psi '(z)|{\lt}|\psi (z)|\) for all \(s\in [ 0, 2\pi ]\). Then \(\psi \) and \(\psi '\) have the same winding number.

Proof

By Lemma 35, there is a homotopy \(H\) from \(\psi \) to \(\psi '\) whose image lies in \(Cstar\). Thus, by Lemma 33, \(\psi \) and \(\psi '\) have the same winding number.

Lemma 36

Let \(p(z)\) be a complex polynomial of degree \(k\); \(p(z)=\sum _{i=0}^k\alpha _iz^{k-i}\) with \(\alpha _i\in \mathbb {C}\) and \(\alpha _0\not= 0\). For all \(R\) sufficiently large \(|\alpha _0|R^k{\gt}|\alpha _0z^k - p(z)|\) for any \(z\) with \(|z|=R\).

Proof

For each \(1\le i\le k\) set \(\beta _i=\alpha _i/\alpha _0\) Choose \(R{\gt}\sum _{i=1}^k|\beta _j|\) and \(R{\gt}1\). For any \(z\in \mathbb {C}\) with \(|z|=R\), we have

\[ |\alpha _0z^k-p(z)|=|\sum _{i=1}^k\alpha _iz^{k-i}| \le \sum _{i=1}^k|\alpha _i|R^{k-i}=|\alpha _0|\sum _{i=1}^k|\beta _i|R^{k-1} {\lt}|\alpha _0|R^k=|\alpha _0R^k|. \]
Theorem 2

Let \(p(z)\) be a complex polynomial of degree \(k{\gt}1\) given by \(p(z)=\sum _{i=0}^k\alpha _iz^{k-i}\) with \(α_i∈ℂ\) for all \(i\) and \(α_0\not= 0\). Then for \(R\) sufficiently large, the map \(f : S^1\to \mathbb {C}\) given by \(f(z)= p(R* z)\) for \(z\in S^1\) has winding number \(k\).

Proof

By Lemma 36 for \(R{\gt}{\rm max}(1,\sum _{i=1}^k|\beta _j|)\), and for any \(z\in \mathbb {C}\) with \(|z|=1\) \(|\alpha _0(R*z)^k-f(z)| {\lt}|\alpha _0 R^k|\). By Lemma 8 the maps defined on \(S^1\) by \(z ↦\alpha _0*(R* z)^k\) and by \(f\) have the same winding number.

But according the Lemma 34 the winding number of the map \(S^1\mapsto \mathbb {C}\) given by \(z\mapsto \alpha _0(R*z)^k=(α_0R^k)*z^k\) is \(k\). Thus, the winding number of \(f\) is also \(k\).

Theorem 3

Every complex polynomial of degree \(k{\gt}0\) has a complex root.

Proof

The proof is by contradiction. Suppose that \(p(z)=\sum _{i=0}^k\alpha _iz^{k-i} \) with \(\alpha _0\not= 0\). Suppose that \(p(z)\not= 0\) for all \(z\in \mathbb {C}\). By Theorem  2 for \(R{\gt}0\) sufficiently large the winding number of the restriction of \(p(z)\) to the circle of radius \(R\) is \(k\). Fix such an \(R\)

Let \(D^2\to \mathbb {C}\) be the map \(z\mapsto Rz\). Define \(\rho \colon D^2\to \mathbb {C}\) by \(z\mapsto p(Rz)\). The restriction of this map to the boundary circle is the restriction of \(p(z)\) to the circle of radius \(R\). Since \(p(z)\not=0 \) for all \(z\in \mathbb {C}\), the image of \(\rho \) is contained in \(Cstar\). According to Lemma 1, this implies that the winding number of of \(p\) on the circle of radius \(R\) is zero.

Since \(k{\gt}0\), this is a contradiction.