A NNALI DELLA
S CUOLA N ORMALE S UPERIORE DI P ISA Classe di Scienze
F RANCESCO B OTTACIN
Algebraic methods in the theory of theta functions
Annali della Scuola Normale Superiore di Pisa, Classe di Scienze 4
esérie, tome 17, n
o2 (1990), p. 283-296
<http://www.numdam.org/item?id=ASNSP_1990_4_17_2_283_0>
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of Theta Functions
FRANCESCO BOTTACIN
The functions of theta
type
were introduced for the first time in 1968by
I. Barsotti[1]
as ageneralization
of the classical theta functions. Thisgeneralization
consists inconsidering
formal power series over analgebraically
closed field k : a non-zero element
V(t)
Ek[[t]]
is called a thetatype
ifbelongs
to thequotient
field of the tensorproduct
overk, (for
a more detaileddescription
see Section1).
The first construction of theta types was
strongly geometric
and could notbe
generalized
to characteristic p > 0.Only
several years later(cfr. [2]
and[7])
the true
cohomological
nature of F wasdiscovered,
and this allowed the direct construction of 3 from the function F. The newtechnique,
which is called the"F
method", applies
inquite
differentsituations,
and inparticular
in the caseof
positive
characteristic.More
recently (cfr. [3]),
the introduction of anotherfunction,
called g, wasproposed.
This issimply
aspecialization
of the functionF, by
means of whicha
simpler
and more useful definition of theta types can begiven;
but theproof
of this fact is once more
geometric.
In this paper we propose first of all to
develop
the"g
method" and toshow that it is
perfectly equivalent
to theprevious
"Fmethod",
andfinally
to
give
analgebraic proof
of thefollowing
fundamental result: the so called"prosthaferesis
formula"is sufficient to define theta types
([3],
Theorem3.7).
We
begin,
in Section1, by recalling
some basic definitions and results onthe
theory
of theta types;then,
in Section2,
we introduce the function g and Pervenuto alla Redazione il 6 Marzo 1989.show that there exists a functional relation which is a necessary and sufficient condition for a power series
g(t 1, t2)
tosplit
asWhen g splits,
wegive
acompletely algebraic
way to construct 3starting
from g.
Finally,
in Section3,
we show that the definition of thetatype
can begiven
in terms of the function g, thusproving
thecomplete equivalence
of thetwo methods. The
proof
wegive
here is almostcompletely algebraic:
moreprecisely,
we will show in apurely algebraic
way that~92
is a theta typebut,
to conclude that also 3 is a theta
type,
we must use ageometric
argument,involving
the groupvariety
and the divisor of 3.The section ends with some remarks on the
hyperfield
C of a theta type ~:more
precisely,
we show that C isfinitely generated
over kby
the coefficients of theTaylor expansion
of g,together
with their first orderpartial
derivatives.1. - Preliminaries
We recall some basic facts on functions of theta
type, refering
the readerto the fundamental works of I. Barsotti
[1]
and[3]
for an introduction and adetailed treatment of the
subject.
Let k be an
algebraically
closed field of characteristic zero andk[[t]],
t =
(t(l),
... ,t(n)),
thering
of formal power series in n variables over k. If I isan
integral domain,
we denoteby Q(I)
itsquotient
field. A non-zero elementV(t) c Q(k[[t]])
is called afunction of
theta type, orsimply
a theta type, if thefunction
belongs
to thequotient
field of the tensorproduct
overk, k [ [t 1 ] ] ® l~ [ [t2 ] ] ® J~ [ [t3 ] ] .
Two theta types are associate if their ratio is a
quadratic exponential,
i.e. afactor of the form c exp
q(t),
where c E k andq(t)
is apolynomial
ofdegree
2with
vanishing
constant term. To a thetatype 0,
one can associate ahyperfield
C in the
following
way: C is the smallest subfield ofQ(k[[t]]), containing k,
such that F E
Q(C 0
C oC);
thecoproduct
P of C is inducedby
thecoproduct
of
k[[t]],
(for
the definition ofhyperfield,
see the briefexposition
in[1]
or the moredetailed treatment in
[8]).
We define the
transcendency
of3,
insymbols
transc t9, as transcand the dimension of
V,
dimt9,
as the leastpositive integer
m such that thereexists a theta
type 0,
associate tov,
and linear combinationsu(1), ... , u(m)
oft(l),
... ,t(n),
with coefficients ink,
such that0(t)
E Wealways
havedim v n, and 3 is called
degenerate
if dim v n. Moreover it is dim vtransc
~,
and 3 is a thetafunction
if theequality
holds.A fundamental
result,
on thehyperfield
C of a theta type 0, states that it isfinitely generated
over kby
thelogarithmic
derivatives of 3 from the seconds on, hence it is the function field C =k(A)
of a commutative groupvariety
A overk,
called the groupvariety
of 0.By
definition F EQ( C (f9 C (jl) C)
=k(A
x A xA),
so it defines a divisor on A x A x A. It can be shown that there exists a
unique
divisor X on A such that the divisor of F on A x A x A is
where pi : A x A x A -
A,
denotes the i-th canonicalprojection, i = l, 2, 3.
This divisor X on
A,
which isautomatically
on A -Ad,
whereAd
denotes thedegeneration
locus of the groupvariety A,
is the divisor of the theta X = div 3. If 3 and 0 are associated theta types,they
define the samehyperfield C,
the same
variety
A and the same divisor X. Moreover thefollowing properties
hold: if X = div
3x
and Y = div thendiv(3x3y )
= X + Y ; X = 0 if andonly
. if
3x
= 1 and X - 0 if andonly
if3x
Ek(A),
where allequalities
betweentheta
types
are considered modulo substitution of a theta type with an associateone. It can also be shown
that,
if 3 isnon-degenerate,
its divisor X has theproperty
thatT;X
= X if andonly
if P = 0, theidentity point
ofA,
whereTp :
A --> A denotes translationby P,
and a necessary and sufficientcondition,
for X to be an effectivedivisor,
is that 3satisfy
thefollowing relation,
calledholomorphic prosthaferesis:
in this case we say that ~9 is a
holomorphic
thetatype (if
k= C,
thecomplex field,
aholomorphic
thetatype
isprecisely
an entirefunction).
To
conclude,
wejust
mention a result whichexplains
therelationships
between theta types and theta
functions;
it asserts that a theta type isjust
atheta whose
arguments
arereplaced by "generic"
linear combinations of fewer arguments,precisely:
THEOREM 1.1.
If ~9(u)
EQ(k[[U1,..., un]])
is anon-degenerate
theta type, then there exists anon-degenerate
theta0(v)
EQ(k[[vl, ... , vm]]) and
elementscij E k
(i
=1,..., m; j - 1,..., n)
such that m > n, the matrix has rank n and =8(x 1, ... , xm ),
where xi =rj
cijuj. Thehomomorphism of k[[vll ]
onto
k[[u]],
which sends vi to xi, induces anisomorphism
aof Co
intoC,~,
such3)
= div 0.Conversely if 0(v)
EQ(k[[vl,...,vmll)
is anon-degenerate
theta andif
the
homomorphism just described,
with rank = n, induces anisomorphism
of Co
intoQ(k[[u]]),
then is anon-degenerate
theta type withhyperfield CO.
2. - The function g
For a
given i9(t)
E t =(t~l~, ... , t~n~), ~9(t) Q
0, let us denoteby
g thefollowing
functionIn the
sequel
we willalways
assume that79(t)
Ek[[t]]
and~9(0) -
1(this
is not restrictive if3(0) Q
0, i.e. if 3 is a unit ink[[t]])
and wewill call such an element normalized. Under these
hypotheses,
we haveg(tl, t2) E g(0, t2) -
1and,
inparticular,
we note thatBy
asimple calculation,
we can check that g satisfies thefollowing
functional relation:
which states the invariance of the left hand side under the mutual
exchange
oft2 and t3.
There are other
properties of g
which can be derived from(2.2):
if welet t1 = t2 = 0, we
get g(-t3, t4)
=g(-t3, -t4),
which shows that g is an evenfunction of the second
variable;
if we let t 1 ;:::: t4 = 0, we haveand
finally, letting
t3 = 0 andusing
the twopreceding relations,
we find another functional relationalready pointed
outby
I. Barsotti in the introduction of[3]:
g(tl
+ t2,t4)9(tl -
t2,t4)g(t1, t2)2
=g(t1,
t2 +t4)g(t1,
t2 -t4)g(t4, t2)g(-t4, t2)-
Now we come to the mostimportant
result of thissection,
i.e. to theproof
that the relation
(2.2)
is notonly
necessary but also sufficient in order that apower series
g(t 1, t2 ) splits
as in(2.1 ).
THEOREM 2.3. Let
g(tl, t2)
Et2l] satisfy (2.2),
and suppose also thatg(t1,0)
=9(0, t2)
= 1. Then there exists a power series~9(t)
Ek[[t]], uniquely
determined up to
multiplication by
aquadratic exponential,
such that(2.1)
holds.
PROOF. First of all we must introduce some notations. If tt =
(/J1, it.),
v =(vl , ... , vn)
E Nn are multiindices and r is apositive integer,
we
let + v =
+ VI, ... , ¡.,tn+ "n» TF * ro.), ITLI
= ¡.,t1 + ... +and
ti! IL 1! ... ~un!;
v means tij vi for alli, and 1L
v meansbut tij
forsome j.
In thesequel
ei willalways
denote themultiindex
(bli, ... ,
is Kronecker’ssymbol.
If t =(t~l~, ... , t(n)),
tllmeans ...
8t~~~ , ... ,
are the differentials oft~~~ , ... , t(n)
and ddenotes derivation with
respect
to the variables t. When there are more thanone set of
variables,
we used,
to mean derivation with respect to the variables~ =
(t21~, ... , ti
’ moreprecisely,
we letLet us start with ] as in the statement of the theorem.
The normalization
of g
assures us of the existence oflog g(tl, t2)
and from(2.2)
it follows that g, and also
log g,
is an even function of the secondvariable;
sowe can
expand log g
in a power series as follows:where the sum is over
all it
E Nun -{0}
such that1J.l1
- 0 mod 2.Let us consider the 1-forms
for j
=1, ... ,
n: we shall prove thatthey
are closed.In order for wj to be
closed,
we must haveTo show
this,
weapply log
to(2.2)
and use the power seriesexpansion
oflog
g,
getting
Now if we
apply d2r d3s
to(2.5)
and let t2 = t3 = t4 = 0, weeasily
obtain
(2.4).
This proves that wj is
closed,
hence it is exact(remember
we are in aring
of formal power series over a field of characteristic
zero)
and we can considerits
integral
?7j, normalizedby letting qj(0)
= 0.Let s where j
. .
ranges from 1 up to n : it follows
immediately
from the definitionof i7j that s
is
closed,
so we can take itsintegral
-y,again
normalizedby letting /y(0)
= 0.Now let v = exp -y: we claim this is the function we are
looking
for. We haveonly
to show that ~ ". I I’~ 1. 1or
equivalently:
Expanding
theright
hand side of(2.6)
in a power series in t2, we findwhile the left hand side is
simply
This shows that
(2.6)
isequivalent
toNow let us
apply
to(2.5)
and let t2 = t3 = t4 = 0, we get:From
this,
under thehypotheses IÀI -
0 mod2, Ivl -
0 mod 2 and t = tl,we find
which
becomes, by taking
This
holds, however, only
ifand 1-ij
are both > 1,otherwise,
if there isonly
one pi > 2(recall that 1J.l1 I
must beeven),
we must take i= j
and getThese two last relations are
really meaningful. They
show that allA,~’s
are
completely
determinedby
andgive explicit
formulasby
which toconstruct them. Now recall that
i.e. = 7~ from which it follows
immediately
thatIn order to prove
(2.7), just
substitute in(2.9)
or in
(2.10) according
to whether there existi, j
withi
=I j, J.Li 2::
1and pj
> 1, or there isonly
one tij > 2.It is now
straightforward
toverify
that any other solution ofis of the form c
exp(q(t))3(t),
whereq(t)
is apolynomial
ofdegree
2 suchthat
q(O)
= 0 and c is a non-zero constant; the normalizationof g
thenimplies
that c = 1 or c = -1. In the
sequel,
we shallalways
choose the normalization19(0) = 1. Q.E.D.
By
now we have shown how to construct 0starting
from g,then, using
~9,
we can also construct F; but we can find a more direct relation between the functions F and g.Let us consider
log F(t 1,
t2,t3 )
andexpand
in powerseries,
we find:the sum
being performed
over all multiindicesWe have
already
observed thatF(ti, t2, -t2)-I;
fromthis,
substituting
the power seriesexpansions
oflog F
andlog
g,by
somesimple
calculations,
we conclude thatwhich holds
for 1J.t1 -
0 mod 2.We can also find an
expression
for theB,v’s
in terms of theA, ’s:
fromthe
proof
of Theorem2.3,
we haveand also
With similar
considerations,
made on the functionF,
it can be shown that(cfr. [6],
TheoremA.4):
and
From these relations it follows
immediately
thatNote that
(2.13)
holds under the restrictivecondition |u + v|
- 0 mod 2;if we want to find an
expression
for inI
isodd,
we must use(2.12) (or
otherequivalent relations),
and the derivatives of the are also involved in such anexpression.
3. - The
prosthaferesis
For the sake of
simplicity
in this section we shall denote(¡.¿!)-1 d’ log by ~p~,(t),
for everyV(t)
EQ(k[[t]])
and everymultiindex p
> 0. It can be shown that(cfr. [3],
Section3):
where the
Q~,’s
arepolynomial
functions withpositive
rational coefficients in thepv’s,
0 v ti. Moreprecisely,
we have:LEMMA 3.2.
If
EQ(k[[t]])
multiindex> 0
and if
are all multiindices with n components, such that 0 vZjj, i
=1,...,
h, thenJ
where the sum is over all
h-tuples j = (jl, ... , jh) of non-negative integers, satisfying
the conditioni1
VI + ... +jhvh
= itFor the
proof
of this result see[3],
Section 3.We need one more
lemma,
which we cite withoutproof (cfr. [3],
Lemma3.3):
.LEMMA 3.3. Let
Sp(tl, t2)
EIf CP(t1, tz)
EkIlt2l]),
thefield generated
over kby
the derivatives0) for
all tt, is afinitely generated subfield 01
CQ(1~[[tl]]). Analogously
thefield C2, generated
over kby
the derivatives
t2),
is afinitely generated subfield of Q(l~[[t2]]). Cl
is the smallestsubfield
Cof containing k,
such thatCP(t1, t2)
EQ(CIlt2l]),
or
equivalently
such thatCP(t1, tz)
EQ(C
0Q(1~[[t2]])).
Moreover we haveC2)-
We can now prove the
following
LEMMA 3.4. Let E
k[[t]]
be aformal
power series such that~O(O)
= 1.The
following
conditions areequivalent:
i) ?9(tl
+ t2) EQ(k[[till
(9ii) g(tl, t2)
EQ(C 0 C),
where C is thesubfield of Q(k[[t]]) generated
overk
by
thelogarithmic
derivativesd’ log v(t), for
all it suchthat >
2.Moreover, under these
hypotheses,
C is afinitely generated hyperfield
over k.PROOF. That
ii)
~i)
isobvious;
the hardpart
is to show thati)
~ii).
Let
qj(t)
= d’i i =1,
..., n.By applying d1i log
toi),
we obtainwhile,
if weapply d’i log,
we getfrom these relations it follows that
Q(k[[tl ]] ® k[[t2]]),
for i =1,... ,
n.We are now under the
hypotheses
of Lemma3.3,
therefore there exists asubfield C of
Q(k[[t]])
such that Çi(t1 +t2)
C3(C 0 C).
C isfinitely generated
over k
by
the derivatives of i.e.by
the derivatives dIJlog 19(t) with 1111 ~
2,hence
P(C)
isgenerated by
dIJlog 1J(t1 +tz), actually by
a finite number of them.This shows that
P(C)
cQ(C
(g)C).
Let C’ be the field
generated
over kby d’ log I
> 2, consideredas functions of t: the same
reasoning
proves thatP(C’)
cQ(C’
0C’).
Nowlet L be the smallest subfield of
Q(k[[t]]) containing
both C and C’ : we haveP(L)
cQ(L
(DL)
and alsop(L)
c L,where p
denotes the inversion ofk[[t]],
moreover L is the
quotient
field ofk[[t]]
n L, since andare in
k[[t]].
This sufficies to conclude that L is afinitely generated hyperfield
over k
(cfr. [ 1 ],
Section2). Now,
from[ 1 ],
Lemma2.1,
it follows that C is also afinitely generated hyperfield
over k. Tocomplete
theproof
we needonly
check that
g(t 1, t2)
EQ(C
0C).
Let
~1~2) = 3(ti t2)
E (9 from Lemma3.3,
it follows that
P(tl, t2) C Q(Cl
®C2),
whereG1
andC2
are the subfields of andQ(kl[t2l]) generated
over 1~by d§p(ti,0)
andrespectively.
Lemma 3.2 states that
where the are
polynomials
in with 0 v p, andrecalling
the definition oft2),
wecan immediately
check that-
where the
Q)(pl’s
are obtained from theby replacing d’ log t2)
with 2if Ivl I
is even and with 0if v (
is odd. This shows that allQ)(pl’s
are elements ofC,
henced2 Sp(t 1, o)
is written as aproduct
ofby
an element of C.In a similar way we have:
where now the are
polynomials
ind’ log
with 0 v ti, andwe can
easily
prove thatwhere the
Q)(pl’s
are obtained from theby replacing dv log t2)
with Asbefore,
these are all elements of C, except atmost those
with v =
1, i.e. but recall thatÇi(tl + t2)
EQ(C
(9C),
henceÇi(t1 + t2) - si (t 1 ) - Q(C
®C),
and if we let t1 = -t2 in this lastexpression,
we find thatsi (t2) + s2 (-t2) E
C. Thus we have shown thatis the
product
of~(t2)~9(-t2) by
an element ofC,
therefore we can concludethat ~
Now we come to the main result of this section:
THEOREM 3.5. E
k[[t]]
be a normalized power series(i.e. 3(0)
=1).
?9(t)
is a theta. typeif
andonly if
itsatisfies
theprosthaferesis formula
PROOF. The
necessity
of this condition isstraightforward: just
recall that~1~2) = F(t1,
t2,-t2)-1
and 3 is a theta type ifF(tl,
t2,t3)
EQ(k[[tl]]
0kl[t2l]
0In order to prove that it is also
sufficient,
we recall that theprosthaferesis
formula is
equivalent, by
Lemma3.4,
to the fact thatg(t 1, t2) E Q (C 0 C),
whereC is a
finitely generated hyperfield
over k. Fromthis,
it followsimmediately
that
Recalling
the definition of F, we caneasily
check thathence
In the same way,
using
and
we get
respectively
and
Now,
if we divide(3.6) by (3.8),
we find thatand
multiplying
this last relationby (3.7),
wefinally
getwhich proves that
~2 (t)
is a theta type.To show that
3(t)
is also a theta type, we recall that C is afinitely generated hyperfield
overk,
i.e. it is the function field of a groupvariety
Aover
k,
hence~92(t), being
a theta type, has a divisor X on A.But we have shown that
g(ti , t2)
EQ(C ® C),
so it defines a divisor Y onA x
A,
and - -hence we must have:
where pi : A x A ---+
A,
denotes the i-th canonicalprojection,
i =1, 2.
Thisimplies
that X =2V,
for some divisor V on A.Let
3v(u)
be thenon-degenerate
theta function of the divisor V(see [1]), Q(k[[u]])
=Q(kC[m, ... , um]]),
wherek[[ul, ... , um]]
is thecompletion
of the local
ring
of theidentity point
of A. We know that C is embedded inQ(k[[u]]),
but also C cQ(k[[t]]);
thisgives
ahomomorphism
which induces an
isomorphism
on thehyperfields,
C * C.From X =
2V,
it follows that62(t)
is associated to hence is associated to Now use Theorem 1.1 to conclude thatO(t)
is a thetatype. Q.E.D.
We end this section with a remark on the
hyperfield
C. Let us recallthat the
hyperfield
C of a thetatype 3
is the smallest subfield ofQ(k[[t]]), containing k,
such that F EQ(C ® C 0 C).
It can be shown that such a Cexists,
and isgenerated
over kby
d’log t9(t),
with1J.t1 >
2. At thispoint,
wemay ask what are the
relationships
between thehyperfield
C and the function g. The answer isgiven by
thefollowing
PROPOSITION 3.9. Let
g(ti,t2)
Ek[[tl, t2]]
and3(t)
Ek[[t]]
be as in the statementof
Theorem 2.3. Consider the power seriesexpansion of
g:Then the
fields
C,generated
over kby
> 2, andC’, generated
over kby
andfor
every ~cfl
0 withtt
_ 0 mod 2and i =
1,
..., n, coincide.Moreover
if ~
is a theta type, i.e.if g(tl, t2) E Q(k[[till (9 kIlt2l]),
then C = C’ is afinitely generated hyperfield
over k, with thecoproduct
P and theinversion p induced
by
thoseof k[[t]].
PROOF. Let
log g (t 1, tz )
where the sum is over allI’
u E Nn -
{O},
with * 0 mod 2. From theproof
of Theorem2.3,
weknow that
Therefore it is clear that the fields
where u
e Nn -{O}, 1J.t1
5E 0 mod 2 and i =1,...,
n, andk(d" log 3(t))
where1£11
> 2, areequal.
Thus we have
only
to show that =Let hence 1
+~1,~2)
and, ’
Now if we substitute the power series
expansion
oft2)"
and compare with that oflog g(tl, t2),
we caneasily
conclude thatIn a similar way,
letting ’
1 , we haveand
finally
This proves what we wanted. The last statement of the
proposition, being
included in Lemma
3.4,
is now obvious.Q.E.D.
REFERENCES
[1]
I. BARSOTTI, Considerazioni sulle funzioni theta, Sympos. Math., 3, 1970, p. 247.[2]
I. BARSOTTI, Theta functions in positive characteristic, Astérisque, 63, 1979, p. 5.[3]
I. BARSOTTI, Le equazioni differenziali delle funzioni theta, Rend. Accad. Naz. XL, 101, 1983, p. 227.[4]
I. BARSOTTI, Le equazioni differenziali delle funzioni theta; continuazione, Rend.Accad. Naz. XL, 103, 1985, p. 215.
[5]
F. BOTTACIN, Metodi algebrici nella teoria delle equazioni differenziali delle funzioni theta, Tesi dell’Università di Padova, 1987-88.[6]
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