4

In this paper, Lagarias makes the following claim in section 2.7 (Do divergent trajectories exist?).

Context

$$T(x) = \left\{ \begin{array}{rl} \dfrac{3x + 1}{2}, & 2 \nmid x \\ \dfrac{x}{2}, & 2 \mid x \end{array} \right.$$

$$\begin{align*} \tag{2.30} \lim_{k \to \infty} |T^{(k)}(n_0)| = \infty \end{align*}$$

Claim

If a divergent trajectory $\{T^{(k)}(n_0) : 0 \leq k < \infty\}$ exists, it cannot be equidistributed $\pmod{2}$. Indeed if one defines

$N^*(k) = |\{j : j \leq k \mathrm{\ and\ } T^{(j)}(n_0) \equiv 1 \pmod{2}\}|$,

then it can be proved that the condition (2.30) implies that

$$\begin{align*} \tag{2.31} \liminf_{k \to \infty} \dfrac{N^*(k)}{k} \geq (\log_2 3)^{-1} \approx .63097 \end{align*}$$

Question

How can this statement be proved?

Difficulty

It seems like the author may be ignoring the $+1$ term under the assumption that the factors will dominate. (I've seen this assumption made often for heuristic arguments for the truth of the Collatz conjecture.) I don't see how such an assumption can be justified.

Given any length $n$ sequence of $n - k$ zeros and $k$ ones, we can find an $x \in \mathbb{N}$ such that

$$T^n(x) = \dfrac{3^k x + m}{2^n}$$

where

$$3^k - 2^k \leq m \leq 2^{n-k}(3^k - 2^k)$$

Now, suppose, for example, $n = 2k$. Then, we have the bound

$$T^n(x) \leq \dfrac{3^k x + 2^{n-k}(3^k - 2^k)}{2^n} = \left(\dfrac{3}{4}\right)^k x + \left(\dfrac{3}{2}\right)^k - 1$$

and the exponential "$+1$" term dominates for large $n$. Now, of course, $m$ won't always be as large as possible, but even if we look at "random" $m$, that only introduces a constant factor in front of the exponential.

Additional Questions

Is the proof of this statement difficult? Is that why the author doesn't include it? Is there a paper containing a proof?

  • @rukhin, $T^n(x)$ is maximized by the pattern $00\ldots011\ldots1$, with $k$ zeros followed by $k$ ones. If $\sigma(x) = (3x+1)/2$ and $\tau(x) = x/2$, then this corresponds to the situation when $T^n(x) = \sigma^k(\tau^k(x)) = (3^k x + 2^{k}(3^k - 2^k))/2^{2k} = 3^k/2^{2k}x + 3^k/2^k - 2^k/2^k = (3/4)^k x + (3/2)^k - 1$. Did that help? –  Jun 28 '19 at 11:40
  • It is unhelpful in working out what part you don't understand, that you have conflated Lagarias' $k$ which counts the same thing as your $n$, then reused $k$ for his $N^*(k)$ – it's a hire car baby Jul 19 '19 at 04:12
  • With $n=2k$, you will always have $T^n(x)\leq x$ whatever large $k$ you choose. And you will always have $\left(\dfrac{3}{4}\right)^k x \geq \left(\dfrac{3}{2}\right)^k$ – Collag3n Jul 21 '19 at 08:20
  • @Collag3n, can you prove that $T^{(n)}(x) \leq x$ for all $x, k \in \mathbb{N}$ with $n = 2k$? –  Jul 21 '19 at 15:12
  • Of course I can prove what I said above for your "k zeroes, k ones" trajectory. But it is pretty obvious. – Collag3n Jul 21 '19 at 18:57
  • @Collag3n $$T^n(x) = \dfrac{3^kx+m}{2^n}$$ where the bounds $$3^k-2^k\leq m\leq 2^{n-k}(3^k-2^k)$$ are sharp, meaning there are always integers that attain those values. What you are claiming is that for every single one of the $$\binom{n}{k}$$ different cosets of integers $x+r2^n$ that satisfy $n=2k$, for every single $k$, absolutely none of them satisfy $$m>(2^n-3^k)x$$ which is making a statement relating the size of $x$ to the parity of its trajectory. This statement is not at all obvious, and a proof would probably be very informative and likely solve the whole conjecture. –  Jul 21 '19 at 19:23
  • I talked about the maximized v-shape one. not about solving the whole conjecture – Collag3n Jul 21 '19 at 19:38
  • Why does the $\left(\frac{3}{2}\right)^k$ term (where $k=k(n)$ is presumably increasing in $n$) give you difficulty as an upper bound? Is that the "+1 term" you are referring to? – rukhin Jul 22 '19 at 15:13
  • @rukhin, yes, that is the "+1" term in that example. This upper bound is sharp and shows that the term can increase exponentially. This example just demonstrates that care needs to be taken to control the value of this term in a proof (i.e., you can't just say it's obvious because it isn't). –  Jul 22 '19 at 15:39
  • 2
    I contacted the author, and he sent me an 11 page handwritten proof sketch. I tried to make it better (shorter, so less typing) to post, but I accidentally had an inequality backwards in my head (sigh). The proof is technical (many epsilons) and long, which is why it was cut from the paper by the editor. The trick is to use a result from lattice theory to find a spot where you can bound the "+1" term. Then, you can use the divergence of the trajectory to find a large enough value such that it actually gets smaller than the initial value, contradicting a certain choice of divergent elements. –  Jul 23 '19 at 14:03

3 Answers3

2

I contacted the author, and he was kind enough to write up a proof for me. I have attempted to simplify his proof for presentation here. I also use some notation without explanation to reduce clutter; the meanings should be clear. The trick is to use an apparently well known result from lattice theory.

Proposition 1 (Lattice Theory rotation trick)

If $b_1, b_2, \ldots, b_\ell$ are real numbers such that \begin{align*} b_1 + b_2 + \cdots + b_\ell = r \ell \end{align*} ($\ell \geq 2$) then the lattice path \begin{align*} (0, 0), (1, b_1), (2, b_1 + b_2), \ldots, (\ell, b_1 + b_2 + \cdots + b_\ell) = (\ell, r \ell) \end{align*} has a cyclic forward shift by some $k$ with $0 \leq k \leq \ell - 1$ \begin{align*} (0, 0), (1, b_{k+1}), (2, b_{k+1} + b_{k+2}), \ldots, (\ell, b_{k+1} + b_{k+2} + \cdots + b_\ell + b_1 + b_2 + \cdots + b_k) = (\ell, r \ell) \end{align*} so that \begin{align*} b_{\overline{k+1}} + b_{\overline{k+2}} + \cdots + b_{\overline{k+j}} \leq jr \end{align*} for all $1 \leq j \leq \ell$, where $\overline{k+i} \equiv k + i \pmod{\ell}$ and $1 \leq \overline{k+i} \leq \ell$.

Proof

Let $k$ be the smallest index such that the point $(k, b_1 + b_2 + \cdots + b_k)$ is not above the line $y = rx$ and the distance between this point and the line is maximum. Notice that $k \leq \ell - 1$ by the extreme value theorem.

Corollary 2

If $n_1 < n_2 < \ldots < n_k$ and $r = n_k/k$, then there is some $\hat{k}$ with $1 \leq \hat{k} \leq k - 1$ such that \begin{align*} n_{k-\hat{k}+1} - n_j \geq (k - \hat{k} + 1 - j) r \end{align*} for all $1 \leq j \leq k - \hat{k}$.

Proof

Apply Propositon 1 to the sequence \begin{align*} b_1 = n_k - n_{k-1}, b_2 = n_{k-1} - n_{k-2}, \ldots, b_{k-1} = n_2 - n_1, b_k = n_1 \end{align*}

Lemma 3 (bound on additive term)

For odd $x \in \mathbb{N}$, suppose that \begin{align*} T^n(x) = \dfrac{3^k}{2^n}x + e(x, k)\;\;\;\;\; e(x, k) = \sum_{i=0}^{k-1} \dfrac{3^i}{2^{n_k - n_{k-1-i}}} \end{align*} where $r = n/k \geq \log_2 3$. Then there is a $1 \leq \hat{k} < k$ such that \begin{align*} e(x,k-\hat{k}) \leq \dfrac{1}{2^r - 3} \end{align*}

Proof

Let $r = n/k = (\log_2 3)(1 + \delta)$, where $\delta > 0$, and apply Corollary 2 to $0 = n_0 < n_1 < \cdots < n_{k-1}$ to find an index $\hat{k}$ such that $1 \leq \hat{k} < k$ and \begin{align*} n_{k-\hat{k}} - n_{j-1} \geq (k - \hat{k} - j + 1)r \end{align*} for all $1 \leq j \leq k - \hat{k}$. Then, \begin{align*} 2^{n_{k-\hat{k}} - n_{i-1}} \geq 2^{(k-\hat{k}-i+1)r} = 3^{(k-\hat{k}-i+1)(1+\delta)} \end{align*} and \begin{align*} e(x, k - \hat{k}) & = \sum_{i=1}^{k-\hat{k}} \dfrac{3^{k-\hat{k}-i}}{2^{n_{k-\hat{k}}-n_{i-1}}} \\ & \leq \sum_{i=1}^{k-\hat{k}} \dfrac{3^{k-\hat{k}-i}}{3^{(k-\hat{k}-i+1)(1 + \delta)}} \\ & = \dfrac{1}{3} \sum_{i=1}^{k-\hat{k}} \dfrac{1}{3^{(k-\hat{k}-i+1)\delta}} \\ & \leq \dfrac{1}{3^{1+\delta} - 3} \\ & = \dfrac{1}{2^r - 3} \end{align*}

Remark

The key fact about Lemma 3 is that the bound is independent of both $x$ and $e(x,k)$, depending only on the value of $r = n/k$. It achieves this by making the choice $\hat{k}$ that depends on $x$ and showing that such a choice must exist for every $x$ with $r \geq \log_2 3$. This is the ``trick."

Theorem 4

If $x, T(x), T^2(x), \ldots$ is a divergent trajectory with \begin{align*} k(x, n) = |\{T^j(x) \equiv 1 \pmod{2} : 0 \leq j < n\}| \end{align*} then \begin{align*} \liminf_{n \to \infty} \dfrac{k(x, n)}{n} \geq \log_3 2 \end{align*}

Proof

Since $x$ has a divergent trajectory, there must be a sequence $y_0 < y_1 < y_2 < \cdots$ such that $y_j = T^{n_j}(x)$, for some natural numbers $n_0 < n_1 < n_2 < \cdots$, and such that $T^n(y_j) > y_j$ for all $n \in \mathbb{N}$. For each (fixed) $y_j$, we have \begin{align*} \liminf_{n \to \infty} \dfrac{k(x, n)}{n} = \liminf_{n \to \infty} \dfrac{k(x, n) - k(x, n_j)}{n - n_j} = \liminf_{n \to \infty} \dfrac{k(y_j, n)}{n} \end{align*} Now, suppose that \begin{align*} \liminf_{n \to \infty} \dfrac{k(x, n)}{n} < \log_3 2 \end{align*} Then, there is some constant $c$ such that \begin{align*} \dfrac{k(x, n)}{n} \leq \dfrac{1}{c} < \log_3 2 \end{align*} infinitely often, and, in particular, for each $y_j$, there is always an $n$ such that \begin{align*} \dfrac{k(y_j, n)}{n} \leq \dfrac{1}{c} < \log_3 2 \end{align*} Let $d = c - \log_2 3 > 0$. Then, $n \geq k(y_j, n)(\log_2 3 + d)$ implies \begin{align*} 2^n \geq 3^{k(y_j, n)} 2^{kd} \geq 3^{k(y_j, n)} 2^d \iff \dfrac{3^{k(y_j, n)}}{2^n} \leq 2^{-d} \end{align*} Let $r = n/k(y_j, n) \geq c$. Applying Lemma 3, we have an $n^*$ such that \begin{align*} T^{n^*}(y_j) \leq 2^{-d} y_j + \dfrac{1}{2^r - 3} \leq 2^{-d} y_j + \dfrac{1}{2^c - 3} \end{align*} where the values $c$ and $d$ are constant across all the $y_j$ (i.e., for each $y_j$, there is an $n^*$ such that the bound holds). Since $2^{-d} < 1$ and $y_j$ grow unbounded, there is a \begin{align*} y_j > \dfrac{1}{(2^c - 3)(1 - 2^{-d})} \end{align*} at which point \begin{align*} T^{n^*}(y_j) < y_j \end{align*} contradicting our construction of the $y_j$ and proving \begin{align*} \liminf_{n \to \infty} \dfrac{k(x,n)}{n} \geq \log_3 2 \end{align*}

Remark

If you find any errors in the above, it is almost certainly from my attempt to simplify the proof I was given and not from the author.

  • I'm surprised such heavyweight machinery is necessary to formalise this. Scanning it, it looks like he's essentially done what I tried to communicate in a nutshell - namely that you can consider the $1$ to vanish over successive subsequences of some longer sequence, by taking a sequence of subsequences that diverges. – it's a hire car baby Jul 25 '19 at 13:12
  • 1
    @user334732, yes, but first he has to place a bound on the "+1" term (Lemma 3). The trick makes this bound depend only on the ratio of the exponents. This is the key step that allows one to move to larger and larger numbers. –  Jul 25 '19 at 13:59
0

The "+1" term is just included in the bound, $$3^{N^*(k)}\leq\frac{T^{(k)}(n_0)}{n_0}2^{k}$$

see construction here: A possible way to prove non-cyclicity of eventual counterexamples of the Collatz conjecture?

If you start with this:

$$T^{(k)}(n_0) = \frac{3^{N^*(k)}}{2^{m_1+m_2+...+m_i}}\cdot n_0+\frac{3^{N^*(k)-1}}{2^{m_1+m_2+...+m_i}}+\frac{3^{N^*(k)-2}}{2^{m_1+m_2+...+m_{i-1}}}+...+\frac{3^0}{2^{m_1}}$$ see construction here: $(n_0) \to (n_i)$ and $(n_0+k\cdot2^j)\to(n_i+k\cdot3^i)$, same Glide?

This can be simplified to $$T^{(k)}(n_0) = \frac{3^{N^*(k)}}{2^k}\cdot n_0+\alpha N^*(k)$$ where $\alpha < \frac{1}{3}$ as shown in this paper: https://arxiv.org/abs/1710.01525v1

$$2^k = 3^{N^*(k)}\frac{n_0}{T^{(k)}(n_0)-\alpha N^*(k)}$$ $$k = N^*(k)\log_23+\log_2(\frac{n_0}{T^{(k)}(n_0)-\alpha N^*(k)})$$

Now as long as $T^{(k)}(n_0)-\alpha N^*(k)>=n_0$

$$k \leq N^*(k)\log_2(3)$$ $$\frac{N^*(k)}{k} \geq \frac{1}{\log_23}$$

I didn't check Theorem F, but i guess this is linked to his remark "cannot go too slowly"

Collag3n
  • 2,556
  • Comments are not for extended discussion; this conversation has been moved to chat. – Aloizio Macedo Jul 20 '19 at 05:54
  • 1
    This answer is wrong. Please do not upvote. $$3^{N(k)}\leq \dfrac{T^{(k)}(n_0)}{n_0}2^k$$ and $$T^{(k)}(n_0)-\alpha N^(k)\geq n_0\implies\dfrac{N^*(k)}{k}\geq\dfrac{1}{\log_2 3}$$ are trivial: just plug in definition of $T^{(k)}(n_0)$ and simplify. $$\alpha < \dfrac{1}{3}$$ was NOT shown in that paper. This answer did not prove anything, nor did it contribute in any way toward finding a proof. –  Jul 20 '19 at 12:48
  • You gonna tell everyone how to vote? what is your problem ? There is a contribution towards finding a proof, and even though, this is not a prerequisite for anyone to find something usefull in what is written. – Collag3n Jul 20 '19 at 16:22
  • 2
    @Collag3n, I put a bounty on this question with my own reputation. It's looking like a solution to this problem is just as hard as the conjecture itself. If I don't select an answer, then half the bounty will automatically go to the highest upvoted question with at least two upvotes. It's not personal; I just don't want my bounty to go to a completely useless and wrong answer, especially when that person is so adamant that they are right about something so obviously wrong. –  Jul 20 '19 at 16:59
  • what a beautifull mind – Collag3n Jul 20 '19 at 17:31
  • @Collag3n, bounty on this site represents control of the content. People who hold obviously false convictions about mathematics should not be in control. Like I said, it's not personal, and I was obviously very willing to help you understand, as I spent a good deal of my time explaining every aspect in the comments that were removed. But this answer is not helpful, and it should not award you more control of the content on this site. If you truly believe that your answer contributed in any way to this question, then I implore you to edit it and elaborate how because I certainly don't see it. –  Jul 20 '19 at 17:42
  • Obviously "control" is what is driving you. – Collag3n Jul 20 '19 at 18:13
0

Lagarias likely hasn't included it because it's trivial.

Let the down transform $t_d$ be an instance of $(3x+1)/4$ and the up transform $t_u$ be an instance of $(3x+1)/2$.

Then take as a representative of a sequence equidistributed mod $2$ the following: $t_d,t_d,t_d,\ldots$

Mod 2, this goes $1,0,1,0,1\ldots$

Now supposing the ones vanished, i.e. $T(x)=3x/2$ or $x/2^r$, then $T^{(2k)}(x)=(3/4)^kx$ which is clearly descending so this equidistributed sequence falls.

With a little work on what ratio of $t_l$ to $t_d$ are required to make a sequence constant, Lagarias' inequality instantly follows from his earlier assumption that the sequence diverges and is therefore greater than constant:

$\begin{align*} \tag{2.31} \liminf_{k \to \infty} \dfrac{N^*(k)}{k} \geq (\log_2 3)^{-1} \approx .63097 \end{align*}$

Now, on the vanishing of the $1$ part of $3x+1$:

Since the sequence is assumed to diverge, for every subsequence $S_{x_0}$ of length $n_0+1$ and satistying $x_n>x_0$ we can identify a higher subsequence $S_{x_{n_0+1}}$ of length $n_1$ which also satisfies $x_{n_0+n_1+1}>x_{n_0+1}$.

Then by induction over the $p$ in $n_p$, we see that:

$\lim_{p\to\infty}T^{(k)}(x_{n_p})/x_{n_p}=3^r/2^q$ where $r$ counts $3x+1$ and $q$ counts $/2$.


It then follows from the commutativity of multiplication, that as $x\to\infty$ the order of $t_l,t_d$ in the sequence ceases to matter and the result above for $1,0,1,0,\ldots\pmod2$ holds for all equidistributed sequences.


I haven't accommodated for e.g. divisions by $8$ or greater but this is throguh lack of time, care and skill rather than these being difficult to accommodate.