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Finite-gap CMV matrices: periodic coordinates and a magic formula. (English) Zbl 1489.15033

Given a sequence \(\{a_k\}_{k\in\mathbb Z}\subset\mathbb D\) one can construct the matrices \[ \Theta_k=\begin{bmatrix} \overline{a_k}&\sqrt{1-|a_k|^2}\\ \sqrt{1-|a_k|^2}&-a_k\end{bmatrix}. \] These can be seen as operators on \(\operatorname{span}\{\delta_k,\delta_{k+1}\}\subset\ell^2(\mathbb Z)\). Define \(L,M,C\in B(\ell^2(\mathbb Z))\) by \[ L=\bigoplus_{k\in\mathbb Z}\Theta_{2k},\qquad M=\bigoplus_{k\in\mathbb Z}\Theta_{2k+1},\qquad C=LM. \] The set \(\mathcal T_{\mathrm{CMV}}(E)\) is defined as consisting of those \(C\) that have spectrum made of a fixed finite union of disjoint non-degenerate closed circular arcs \(E\subset\partial\mathbb D\), and such that \(\{a_k\}\) is almost periodic.
By means of a Möbius transform, the authors define the class of MCMV matrices. They depend further on parameters \(\vec z\in\mathbb D^n\) and \(\vartheta\in\mathbb R/2\pi\mathbb Z\). The class \(\mathcal T_{\mathrm{MCMV}}(E,\vec z,\lambda_*)\), where \(\lambda_*\in\partial\mathbb D\setminus E\), is defined as the set of those MCMV matrices with spectrum \(E\) and discriminant \(\Delta_A(\lambda_*)\). The discriminant \(\Delta_A(z)\) is defined similarly to the CMV case in [D. Damanik et al., Ann. Math. (2) 171, No. 3, 1931–2010 (2010; Zbl 1194.47031)], and the analog “magic formula” is stated and proved by the authors: \[ A\in\mathcal T_{\mathrm{MCMV}}(E,\vec z,\lambda_*)\iff \Delta_E(A)=S^{2(g+1)}+S^{-2(g+1)}, \] where \(S\) is the bilateral shift and \(g+1\) is the number of arcs in \(E\). The authors also show that \[ \mathcal T_{\mathrm{CMV}}(E)\simeq\mathcal T_{\mathrm{MCMV}}(E,\vec z,\lambda_*) \] via a unitary bijection.
A reformulation of the above results allows the authors to solve a conjecture of B. Simon [Orthogonal polynomials on the unit circle. Part 2: Spectral theory. Providence, RI: American Mathematical Society (2005; Zbl 1082.42021)]. Namely, they show that for any \(C\in\mathcal T_{\mathrm{CMV}}(E)\) the Carathéodory function \(F_+\) associated to the half-line restriction \(C_+\) is a quadratic irrationality, which means that there exist polynomials \(a(z),b(z),c(z)\) such that \(F_+\) solves \[ a(z)F_+(z)^2+b(Z)F_+(z)+c(z)=0. \] The proofs of the above results are obtained after developing significant partial results that cover 44 pages of the paper.

MSC:

15A60 Norms of matrices, numerical range, applications of functional analysis to matrix theory
30C40 Kernel functions in one complex variable and applications
30C45 Special classes of univalent and multivalent functions of one complex variable (starlike, convex, bounded rotation, etc.)
30J10 Blaschke products
33C47 Other special orthogonal polynomials and functions
47B36 Jacobi (tridiagonal) operators (matrices) and generalizations