Proof
Prerequisite proofs used below
The theorem and its prerequisites
Every nonconstant polynomial has a complex root; consequently every degree- complex polynomial is a product of linear factors, counted with multiplicity. We prove this conclusion through Goursat, the Cauchy estimate and Liouville, with the prerequisites given below.
Holomorphic means complex differentiable at every point of an open set; entire means holomorphic on all of . The elementary foundations used below are real one-variable integration and its chain rule, continuity and differentiation of polynomials, the complex modulus laws, and compactness in the Euclidean plane (including shrinking compact triangles, uniform continuity and a Lebesgue number for a compact cover). These real-analysis and topology foundations are explicitly prerequisites. No complex polynomial-root theorem, maximum-modulus theorem, analytic power-series representation, identity theorem, residue theorem or argument principle is assumed.
Complex differentiability implies continuity, since . Expanding a product difference quotient gives . Where ,
Thus products and nonvanishing quotients of holomorphic functions are holomorphic. In particular is holomorphic away from , and a root-free polynomial has an entire reciprocal. These facts use difference quotients, not a polynomial-root or regularity theorem.
1. An integral records both a path and its orientation
A piecewise curve is a continuous map that is continuously differentiable on finitely many subintervals, with one-sided derivatives at the joins. It is closed when . Its length is . A contour integral of continuous along it is
with real and imaginary parts integrated separately. The differential includes the direction of motion; replacing it by would define a different integral.
A piecewise increasing change of parameter preserving endpoints leaves the integral unchanged by substitution. Reversal changes its sign. Concatenating two compatible curves adds their integrals. These statements also allow zero-speed pieces. They do not require the curve to be injective.
Estimation lemma. If on the curve, then
Indeed, the modulus of a real-parameter integral is at most the integral of the modulus, and . This simple inequality is the main tool for showing that auxiliary arcs contribute nothing in a limit.
Worked example. On the positively oriented circle , , with ,
For the integrand times is . Otherwise it is , whose integral vanishes. The answer for is independent of radius, but changes sign if orientation is reversed.
2. Primitives turn path integrals into endpoint differences
A primitive of on an open set is a holomorphic function there with . The real chain rule applied on each smooth piece gives
for every contour in . Hence a function with a primitive has zero integral around every closed contour in .
Conversely, on a domain , suppose continuous has zero integral around every closed contour. Open connected subsets of the plane are polygonally connected. Fix and define as the integral from to along any polygonal path in . Closed-path cancellation makes it path independent. For sufficiently small , the final straight segment from to stays in , and
by continuity. Thus . The same construction works if polygonal closed paths alone have zero integrals; the resulting primitive then handles all contours.
3. Goursat's triangle argument: no continuity of the derivative assumed
Theorem. If is holomorphic on an open set containing a closed triangle , then its integral around the positively oriented boundary of is zero.
Proof. Subdivide by joining side midpoints into four triangles. Interior edge integrals cancel, so the outer integral is the sum of four child integrals. At least one child has integral modulus at least . Repeat inside such a child, obtaining nested closed triangles , diameter , perimeter , and
Compactness and shrinking diameters give one common point . Differentiability at says
The constant and linear terms have primitives, so contribute zero on the triangle boundary. For any , eventually throughout . Since , the estimation lemma gives
Thus . As is arbitrary, . No continuity of was used. ∎
Corollary: a primitive on each disk. If is holomorphic on a disk , fix its centre and set . For sufficiently close, the triangle with vertices lies in . The triangle theorem gives . The limit calculation of §2 yields . Consequently all closed-contour integrals in the disk vanish. The same argument works on any open convex set.
4. Homotopy and what “no hole” actually means
A fixed-endpoint homotopy between paths is a continuous map with , , and constant in . It deforms one path into the other without leaving . A domain is simply connected if every closed path can be contracted to its basepoint by such a homotopy.
Homotopy invariance. If is holomorphic on , and two piecewise paths in are fixed-endpoint homotopic there, their integrals agree.
Proof using only local primitives. The compact image of is covered by finitely many disks on which has primitives. By the Lebesgue-number property and uniform continuity, subdivide the parameter square into a fine rectangular grid so that the image of each closed cell lies in one such disk. Join the images of adjacent grid vertices by straight segments. For each cell these segments lie in its disk because disks are convex. Its polygonal boundary integral is zero by its primitive. Sum over cells: internal segments cancel with their reversals. On the bottom and top edges, each original path subarc and its replacing straight segment lie in the same disk and have the same endpoints, hence the same integral by the local primitive. The side segments vanish because endpoints were fixed. What remains is the bottom integral minus the top integral. This proves the claim even if the homotopy's intermediate paths are not differentiable. ∎
The open set for the circular deformation
In the Cauchy proof, let be the original open holomorphy neighbourhood of , and let . Choose . The correct holomorphy set for is , including the outer circle; the open disk alone would exclude that circle. This open set includes the boundary circle, and the following inequalities justify the deformation inside it.
Put , , and . For ,
Thus the whole compact homotopy image lies in . The grid/local-primitive proof works for this free homotopy of closed loops: , so the two polygonal side tracks are identical, have opposite boundary orientations and cancel. They need not be constant. The top and bottom circles are piecewise ; no differentiability of the intervening homotopy is needed. This supplies exactly the domain and moving-basepoint step used next.
1. A boundary integral determines an interior value
For and , orient the circle counterclockwise. Suppose is holomorphic on an open neighbourhood of the closed disk . For every with ,
The denominator is never zero on . The formula is an interior-value theorem; it does not assert this value for an exterior point or a point on the contour.
Proof. Choose with . The outer circle deforms to the small circle without passing through : use centres and radii . Each moving circle encloses and stays in the original disk. Apply the grid/local-primitive proof of C02 to on the punctured disk. Although the moving basepoint is not fixed, its two side tracks are identical and cancel, so closed-loop integrals are unchanged. Hence
The final term has modulus at most , which tends to zero by continuity at . This proves the formula. ∎
This proof does not presume that has a holomorphic extension at ; that fact is a consequence of the regularity obtained below.
The first derivative, with a uniform bound
Only the first Cauchy derivative estimate is needed for Liouville. For an interior point of a fixed circle , set . When , subtraction of the two Cauchy formulas gives the difference quotient kernel
Its difference from is
If and , the estimation lemma bounds the error after division by and integration by , which tends to zero. Hence . For a circle of radius centred at , this gives . Repeating the same argument gives the higher-order formula below; Liouville uses only the first-order estimate.
2. All higher derivatives and their bounds
For in the open disk the distance from to the contour is positive. On a sufficiently small disk around , difference quotients of the kernel converge uniformly in to . The estimation lemma permits passing that limit under the contour integral. Repeating this argument yields
The uniform kernel argument proves the existence of these derivatives; it does not assume was initially . The same formula shows they are continuous locally because the denominators stay uniformly separated from zero.
On a circle centred at of radius , put . Length estimation gives the Cauchy estimates
The radius must belong to a disk on which the function is holomorphic up to a neighbourhood of its boundary. Taking a larger radius through a singularity is invalid.
Liouville and the polynomial-root theorem
For an entire function, the preceding estimate is available at every radius. Applying it to a bounded entire function gives Liouville; applying Liouville to a polynomial reciprocal proves root existence.
Liouville's theorem. A bounded entire function is constant. If on , apply the estimate on a disk of arbitrary radius about any : . Sending gives , so the function is constant on the connected plane.
Fundamental theorem of algebra. Every nonconstant complex polynomial has a complex root. If had no root, would be entire. Its leading term implies as , so is bounded outside a large disk; continuity gives boundedness on the remaining compact disk. Liouville makes constant, contradicting the degree of . Repeated division by linear factors then factors every degree- polynomial into exactly linear factors counted with multiplicity.
Elementary details of the polynomial contradiction
For completeness, a function with on is constant: along the real and imaginary parts of have derivative zero, so the real mean-value theorem gives .
Write with , , and . For ,
If had no root, its reciprocal would be continuous everywhere and holomorphic, since
The displayed growth bound makes bounded outside the radius- disk. It is bounded on the remaining closed disk by compactness and continuity. Liouville makes a constant, which is nonzero, forcing to be constant, a contradiction. Thus a root exists.
Finally gives , where has degree and leading coefficient . Apply the root theorem to if it is nonconstant and induct on degree. After exactly divisions the remaining factor is the nonzero constant . Degree and the product identity give exactly linear factors with multiplicity. This also proves the complex splitting assertion needed by finite-dimensional spectral or Jordan arguments; it does not assert splitting over an arbitrary real or other ground field.
Realification and a complete submultiplicative matrix norm
Real inner products, their norms and the needed inequalities
An inner product on a real vector space is a map that is symmetric, linear in each argument, and positive definite: for . Linearity gives . Define . It is zero exactly at zero and satisfies . The standard example on is . Vectors are orthogonal when their inner product is zero, and a list is orthonormal when distinct members are orthogonal and each member has norm one.
If , insert into the nonnegative square . Expanding by bilinearity gives , hence . If the same inequality holds directly. Equality for means , equivalently ; the zero-vector cases also give equality. Finally expand and apply the bound to its cross term to obtain . Both sides to be square-rooted are nonnegative, so the triangle inequality follows. Thus this is a norm, and normalization of any nonzero vector divides by a positive real number. No complex bilinear convention is being used.
Why a norm on a finite real coordinate space is complete
Fix an integer and the Euclidean norm on . A set is bounded if it lies in some finite-radius ball, closed if its complement is open, and compact if every cover by open subsets of has a finite subcover. We use real completeness, including the nested closed interval property.
Heine–Borel in finite-dimensional Euclidean space
Theorem. A set is compact if and only if it is closed and bounded. The empty set satisfies all three properties.
Compact implies bounded. The open balls , an integer, cover . A finite subcover puts inside the largest of these balls.
Compact implies closed. Suppose and . The balls , , cover . Choose a finite subcover with centers and set . If lies in the ball centered at , the triangle inequality gives . Hence misses , so the complement is open.
Closed and bounded implies compact. Let nonempty be closed and bounded. Enclose it in a closed cube with . Suppose an open cover of has no finite subcover. Divide each coordinate interval into two closed halves. The resulting closed subcubes cover . At least one subcube has intersection with that is not finitely coverable by the given family; otherwise the finite union of the finite subcovers would cover . Select such a subcube and repeat. This produces nested closed cubes with side length and not finitely coverable, hence nonempty.
For each coordinate, the nested interval property gives a common coordinate value. Together these give . Every pair of points in has distance at most , so the intersection contains only . Choose . Then . A closed set contains such a limit: if were in its open complement, a ball around would eventually contain outside , a contradiction. Thus .
One member of the cover contains , and openness gives for some . For sufficiently large , every point of is within of , so alone covers . This contradicts the selection of . Therefore every open cover has a finite subcover. The number is finite; replacing it by infinitely many subpieces would invalidate this argument.
Continuous images and extreme values
Theorem. If is compact and is continuous relative to , then is compact. In particular, a continuous on nonempty compact is bounded and attains its maximum and minimum.
Proof. An open cover of pulls back to relatively open sets , with open in . These cover , so finitely many suffice. Their corresponding cover , proving compactness. For scalar , the image is nonempty, closed and bounded by the theorem already proved in dimension one. Let . For each , the definition of supremum supplies with . Then , and closedness places in the image. Thus the maximum is attained. Applying the same argument to gives the minimum. This proves existence, not a formula for the maximizing input.
Let be finite and let be any norm on : it is positive except at zero, absolutely homogeneous, and satisfies the triangle inequality. Write for the standard coordinate vectors and . Put . Expanding in the standard basis gives
The reverse triangle inequality gives , so is Euclidean-continuous. The proved compactness theorem applies to the nonempty Euclidean unit sphere. Hence attains a minimum there; because every point of that sphere is nonzero. For , apply this minimum to . Including , we obtain
If is -Cauchy, each coordinate is real-Cauchy, since . Real completeness supplies limits . The finite sum of the squared coordinate differences tends to zero, so and then . Thus every -Cauchy sequence converges in . The zero-dimensional space has just the zero vector and is complete separately. No infinite-dimensional completeness or equivalence-of-norms claim is being made.
Fix or and an integer . Write . This is the Euclidean norm on , so the proved real triangle inequality applies. Direct expansion gives , hence . For define
It vanishes exactly at zero; modulus homogeneity and the scalar triangle inequality give norm homogeneity and its triangle inequality. Finite matrix multiplication gives
so and . Also .
For real matrices this is a real norm on . For complex matrices the map listing the real and imaginary parts of all entries identifies the space, as a real vector space, with . The same is a real norm on those coordinates, so the proved finite-real-norm completeness theorem applies. This is an explicit realification argument, not a change of that theorem's scalar field. In either case every -Cauchy sequence of matrices has a matrix limit in . Matrix products preserve limits: for convergent , boundedness of and
prove the claim. The zero-dimensional matrix space is handled separately by its unique map; no extremum of an empty unit sphere is used.
Absolute matrix series and their ordered Cauchy product
If , finite tails of have norm at most the corresponding scalar tails. Completeness therefore gives a matrix sum. Passing a finite norm inequality to a limit is legitimate because . Suppose also , and let the two sums be , with absolute sums . Define the finite coefficients
For each , . Thus the nonnegative scalar partial sums are bounded and converge; exists absolutely. To identify its value, put , and similarly . When , the triangle contains the square . Every extra pair has or , so
The right side tends to zero, and . This proves without changing the order of any matrix factor or exchanging unproved double limits. Only ordinary completeness of real scalar sequences and finite sums were used.
The matrix exponential: construction, product and actual derivative
For define , where . If , the series equals directly. Otherwise the positive scalar majorant converges: once the ratio is at most , so every remaining tail is bounded by a geometric tail. This proves absolute existence by the previous result.
If commute, the preceding Cauchy-product theorem and the finite binomial identity give
The finite binomial identity follows by induction, moving past only using ; it is not asserted for noncommuting matrices. In particular, for real , satisfies , and .
Here is a direct differentiation proof. Put . If , and all derivative claims follow directly. Otherwise, for nonzero real with , using for gives
The product law now yields
Thus for real , with derivative understood entrywise over for complex entries. Commutation with follows from the finite partial sums and continuity of multiplication. This argument never assumes an integration theorem for a possibly unproved limit.
Termwise differentiation is also actually justified. On each fixed , the polynomial partial sums have tails bounded by , uniformly in . Their derivative tails are bounded by . Both converge by the same geometric-ratio argument, including separately. The derivative partial sums consequently converge uniformly to , exactly the derivative independently proved above. Scalar complex exponentials mean the same construction in dimension one: . No real-only exponential profile has been relabelled as complex.
The real zero-derivative lemma needed for uniqueness
The already selected finite-Euclidean compactness/extreme-value proof supplies extrema for a continuous real function on . At an interior differentiable extremum the left and right difference quotients force its derivative to be zero. A continuous with equal endpoint values either is constant or has an interior maximum or minimum; hence, if differentiable inside, it has a zero derivative there (Rolle's argument). For a real differentiable , subtract its endpoint secant line and apply this argument: for some . Thus a real function with derivative zero on an interval is constant. Applying this separately to real and imaginary parts proves the same constant conclusion for complex-valued functions of a real parameter. There is no complex mean-value identity being assumed.
Nilpotent factors, similarity and the initial-value solution
For an integer , and , the matrices and commute. The proved product law and the terminating nilpotent series give, for real ,
This includes with the ordinary constant term one. If is invertible and , finite powers satisfy ; the absolute limit and product continuity give . Hence is differentiable, solves , and has initial value at zero. For completeness it is the only differentiable solution on any open real interval containing zero: if , differentiate . Its derivative is zero, since commutes with , and the preceding real zero-derivative lemma makes it constant equal to . Multiplying by yields . This verifies the displayed Jordan exponential formula and its full initial-value meaning over both coefficient fields, without borrowing an unadmitted matrix-ODE theorem.
All spaces are finite-dimensional over a field . The Jordan form in this chapter is the split form: its characteristic polynomial must split over , which is automatic over but not over .
1. A repeated root measures how eigenvectors can fail
For an eigenvalue , an ordinary eigenvector lies in . A generalized eigenvector is a nonzero vector killed by some positive power of . In dimension , the increasing kernels stabilize by exponent : whenever two consecutive kernels agree, all later kernels agree, since belonging to the stabilized kernel forces into the next one. Strict increases can occur at most times.
A Jordan chain of length is a list satisfying
It is independent: in a relation choose the highest index with nonzero coefficient and apply , leaving that coefficient times , a contradiction. In this order its matrix is with on the diagonal and ones immediately above it. Reversing the chain order changes the displayed convention.
2. Full existence proof for a nilpotent chain basis
An operator is nilpotent if for some positive integer . Its least such exponent, on a nonzero space, is its nilpotency index.
Theorem. A nilpotent operator on a finite-dimensional space has a basis consisting of chains.
Proof by induction on . The zero space has the empty basis. Let and set . Nilpotency implies is a proper subspace: if were surjective then every power would be surjective, contradicting a zero power on nonzero . The restriction of to is nilpotent, so by induction choose its chain basis
The case has no such chains, so . The top vectors form a basis of modulo : in a chain basis, is spanned by all entries except each chain's top.
Every top vector lies in , so choose with . Then the extended chains are jointly independent. Indeed, if with , apply to get . Their quotient-basis property makes every , after which independence of the basis of makes .
Let be the span of the extended chains. We have , , and , so rank–nullity on gives . Choose a basis of extending a basis of this intersection, and append its extra vectors to the extended chains as chains of length one. They are independent of by the definition of a complement inside . The total number of vectors is
by rank–nullity for on . Thus they form the required full chain basis. ∎
This proof also shows why arbitrarily choosing bases of successive kernels is insufficient: chain tops must be liftable and compatible. A chain construction is more than knowing the kernel dimensions.
3. Split primary decomposition gives Jordan form
Suppose splits. C02 gives
On each summand, is nilpotent. Its chain basis from §2 makes a direct sum of Jordan blocks. Combining these bases proves Jordan existence. The characteristic polynomial splits if and only if the minimal polynomial does: an eigenvalue in any extension field must be a root of the minimal polynomial, and . Thus the stated splitting hypothesis is sufficient.
On a block the characteristic polynomial is , and its minimal polynomial is the same. For a direct sum, characteristic polynomials multiply and minimal polynomials take least common multiples. Therefore the algebraic multiplicity of is the total size of its blocks; the exponent in the minimal polynomial is the largest such size; the eigenspace dimension is the number of its blocks.
Uniqueness of sizes. Set and . A block for another eigenvalue contributes zero, since its restriction is invertible. A -block of size contributes . Hence
and
The intrinsic kernel dimensions therefore determine every block size, proving Jordan uniqueness up to reordering. The increments are nonnegative and nonincreasing; proposed kernel data violating this cannot come from an operator.
Worked example. If a nilpotent operator has , its increments are . There are three blocks in total, two of size at least two and one of size at least three. The sizes are . The characteristic polynomial is and the minimal polynomial is .
4. Constructing a basis, not just naming a form
Consider
Then , , , so and . The blocks must have sizes two and one. A chain is , and is an independent kernel vector. Put
Then , which directly verifies and the chain convention. Computing an inverse is optional when the relation can be checked more simply.
Over , has no split real Jordan form because its characteristic polynomial is . Over it has two size-one blocks with eigenvalues . A real block form grouping conjugate pairs is another theorem and convention; it must not be silently confused with split Jordan form.
5. Powers and exponentials remember the nilpotent part
For with , the binomial formula yields, for nonnegative integer ,
This is polynomial evaluation: the algebraic convention is , including when . This version avoids negative powers of zero. Over or , define by its absolutely convergent matrix power series. Commutativity and absolute convergence give
Thus a nontrivial Jordan block contributes polynomial factors multiplying an exponential. For the differential equation , similarity gives . The power-series definition and derivative calculation verify the equation and initial value.
Jordan form is excellent for exact structure, but often unstable as a floating-point classification. The matrix has two distinct complex eigenvalues when , but one defective block when . Arbitrarily small perturbations can change the block structure. Numerical rank thresholds are not exact algebraic proofs of Jordan sizes.
6. Exercises
P01 — Foundation. Determine the minimal and characteristic polynomials of over .
P02 — Core. A nilpotent operator in dimension seven has kernel dimensions for powers one through four. Find its block sizes.
P03 — Diagnosis. Can kernel dimensions occur for a nilpotent operator? Explain.
P04 — Core. For , find for and .
P05 — Proof. Prove that the minimal polynomial of a direct sum is the least common multiple of the summands' minimal polynomials.
P06 — Core. Construct a Jordan basis for the matrix in §4 and verify without computing .
P07 — Proof. Explain why an operator with split characteristic polynomial is diagonalizable exactly when for every eigenvalue.
P08 — Extension. Give two non-similar nilpotent matrices with the same characteristic and minimal polynomials. Use blocks to prove they are not similar.
7. Full solutions
P01. The characteristic polynomial is , the sum of the sizes giving exponent four. The minimal polynomial is , the largest block size giving exponent three.
P02. With and , increments are . Thus there are three blocks, with sizes . Their sum is seven and their kernel dimensions are as required.
P03. No. Increments would begin , but the number of blocks of size at least two cannot exceed the number of blocks of size at least one. Equivalently the increments must be nonincreasing.
P04. With and , for , and . Also .
P05. A polynomial kills a block diagonal operator exactly when it kills every diagonal block. By C02 this is equivalent to divisibility by every summand's minimal polynomial, hence by their monic least common multiple. The unique monic least-degree annihilator is therefore that least common multiple.
P06. Use . Then , , . These column equations are exactly , with invertible because its columns are independent.
P07. For a Jordan block of size at least two, its kernel contribution rises from one at the first power to two at the second. For a size-one block it remains one. Other-eigenvalue blocks contribute zero. Equality of the two total kernels therefore excludes every block of size at least two; conversely size-one blocks give equality. Under splitting this means a diagonal form. Without splitting the condition over ground-field eigenvalues alone can be vacuous, so the hypothesis matters.
P08. Take and . Both have characteristic polynomial and minimal polynomial . But their kernel dimensions are respectively two and three, which are similarity invariants. Hence they are not similar.
8. Summary
Nilpotent image induction supplies a full chain basis, primary decomposition supplies the eigenvalue pieces, and kernel increments prove uniqueness. The characteristic polynomial, minimal polynomial and eigenspace dimensions encode different block information. Inner products add a metric structure that can remove the need for nonorthogonal chains, as the next chapter shows.