J
OURNAL DE
T
HÉORIE DES
N
OMBRES DE
B
ORDEAUX
A
DOLF
H
ILDEBRAND
G
ERALD
T
ENENBAUM
Integers without large prime factors
Journal de Théorie des Nombres de Bordeaux, tome
5, n
o2 (1993),
p. 411-484
<http://www.numdam.org/item?id=JTNB_1993__5_2_411_0>
© Université Bordeaux 1, 1993, tous droits réservés.
L’accès aux archives de la revue « Journal de Théorie des Nombres de Bordeaux » (http://jtnb.cedram.org/) implique l’accord avec les condi-tions générales d’utilisation (http://www.numdam.org/conditions). Toute uti-lisation commerciale ou impression systématique est constitutive d’une infraction pénale. Toute copie ou impression de ce fichier doit conte-nir la présente mention de copyright.
Article numérisé dans le cadre du programme Numérisation de documents anciens mathématiques
Integers
without
large
prime
factors
by
ADOLF HILDEBRAND* ANDGERALD
TENENBAUM0. Introduction
1. Estimates a survey
2. The Dickman function
3.
y)
for small u4.
~(x,
y)
forlarge
u5. Distribution in short intervals
6. Distribution in arithmetic
progressions
7. Other results
o. Introduction
The purpose of this paper is to
give
a survey of recent work on thedistri-bution of
integers
withoutlarge
prime
factors. A similar survey had beenpublished
abouttwenty
years agoby
K. Norton(1971),
but in theinterven-ing
time thesubject
has beenconsiderably
advanced and is now in a matureand
largely
satisfactory
state.Moreover,
the results have found some newand rather
unexpected applications
in diverse areas of numbertheory.
Wetherefore felt it
appropriate
togive
an account of thepresent
state of thesubject
which may be useful for those interested instudying
thesubject
for its own sake as well as those interested inapplying
the results. Whileintegers
without smallprime
factors may be viewed asapproximations
toprimes
and as such form a naturalobject
ofstudy
inprime
numbertheory,
the reasons for
studying integers
withoutlarge
prime
factors are lessob-vious.
Integers
withoutlarge
prime
factors,
also called "smooth"integers,
are
necessarily products
of many smallprime
factors and are, in a sense,the exact
opposite
ofprime
numbers.However,
it turns out that resultson
integers
withoutlarge
prime
factorsplay
animportant
auxiliary
rolein several
problems
inprime
numbertheory,
inparticular
in theconstruc-tion of
large
gaps betweenprimes
(Rankin (1938))
and in theanalysis
ofalgorithms
forfactoring
andprimality testing
(Pomerance (1987),
Lenstra(1987)).
They
are also relevant in some otherproblems
in numbertheory
Manuscrit regu le 15 mars 1993, version definitive le 28 d6cembre 1993.
*Supported in part by an NSF Grant while visiting the Institute for Advanced Study at
such as bounds on the least kth power non-residues
(Vinogradov (1926),
Norton
(1969,1971)),
Waring’s problem
(Vaughan (1989),
Wooley
(1992)),
and Fermat’sconjecture
(Lehmer &
Lehmer(1941),
Granville(1991b)).
Most
recently,
a result onintegers
of the form p + 1 withoutlarge
prime
factorsplayed
an essential role in the resolution of along-standing
conjec-ture of Carmichael(Alford,
Granville,
& Pomerance(1993)).
Inaddition,
thestudy
ofintegers
withoutlarge
prime
factors is aninteresting
anddiffi-cult
problem
for its own sake that can be attackedby
avariety
ofmethods,
some of which have led to advances on otherproblems
inanalytic
numbertheory.
The
principal object
ofinvestigation
is the functionwhere
P(n)
denotes thelargest
prime
factor of n, with the convention thatP(l)
= 1. The ratioiY(x,
y)j[x]
may beinterpreted
as theprobability
that a
randomly
choseninteger
from the interval~1, ~~
has all itsprime
factors y.
Non-trivial estimates for
q, (x, y)
can be obtainedby
avariety
ofmethods,
depending
on the relative size of y and x and the nature of the desired result. In Section 1 we shall survey theprincipal
results and discuss some of themethods of
proof.
Section 2 will be devoted to the Dickmanfunction,
afunction defined
by
a differential-differenceequation
which arises in thisconnection. In Sections 3 and 4 we shall
give complete proofs
of two of the main results on In Section 5 we consider the distribution ofintegers
withoutlarge
prime
factors in short intervals and prove a new resultin this context
(Theorem
5.7)
which extends a recent result of Friedlander &Lagarias.
Section 6 is devoted to the distribution in arithmeticprogressions,
and in the final section we survey various other results onintegers
withoutlarge
prime
factors. We conclude with acomprehensive bibliography
ofpapers on the
subject
that haveappeared
since thepublication
of Norton’smemoir. The reader may find another
quite
thorough
list of references inMoree’s thesis
(1993),
which also incudes a clear introduction to the matteras well as
interesting
new contributions.Notation. We let
logk x
denote the kfold iteratedlogarithm,
definedby
log, x
=log
x andlogk x
=loglogk_1 x
for k > 1. Given acomplex
num-ber s, we denote its real and
imaginary
parts
by
a and T,respectively.
The letter E denotes as usual an
arbitrarily small,
but fixedconstant;
otherconstants will be denoted
by
c, yo,etc.,
and need not be the same at eachoccurrence. We use the notations
f(x)
=0(g(x))
andf(x) «
x in a range which will
normally
be clear from the context. The constant chere is allowed to
depend
on c(if
the functions involveddepend
onE),
butany
dependence
on otherparameters
will beexplicitly
indicatedby writing
Ç)k,
~71’
etc. We writeI(x) x g(x)
if bothf (x) «
g(x)
andf (x)
hold.Acknowledgements.
We aregrateful
to Jean-MarieDeKoninck,
HeiniHalberstam,
AleksandarIvic, ,
PieterMoree,
KarlNorton,
CarlPomerance,
EricSaias,
J.Sandor,
and Jie Wu for their comments on earlier versions ofthis paper.
1. Estimates for
~(:r,~) 2013
a surveyWe
begin
by pointing
out a natural but false heuristic for the size ofBII ( x, y).
It consists of theapproximation
which is
suggested
by
asimple probabilistic
argument
and alsoby
"extrap-olation" from the sieve estimate
which holds for any set of
primes P
contained in[1, xl/2-E]
(see,
e.g.,Hal-berstam & Ri chert
(1974))
By
Mertens’theorem,
theright-hand
side of(1.1)
is of orderx/u
with u =log x/ log y.
However,
as the results belowshow,
T(x, y)lx
is in factexponentially
decreasing
in u, and therefore of much smaller order ofmagnitude.
The reason for thisdiscrepancy
is thatthe
validity
of(1.2)
depends
on certainindependence
assumptions
whichare not satisfied if the set P contains
large
primes.
Forexample,
primes
inthe interval
x~
do not actindependently
in the sense that if aninteger
n x is divisibleby
one suchprime
then it cannot be divisibleby
any otherprime
in this interval. We remark that in manyapplications
it isprecisely
this
discrepancy
between theexpected
and the actual size ofBIf(x, y)
whichis
exploited.
The failure of the heuristic
(1.1)
shows that classical sieve methods are not anappropriate
tool forestimating
T(x, y).
Indeed,
these methodswould lead to an
approximation
forconsisting
of a main term of the order of theright-hand
side in(1.1),
and an error term which in view of the above remarks would have to be of at least the same order ofmagnitude
as the main term. Thus one cannot
hope
to obtain a lower bound forT(x,
y)
in this way. An upper bound
by
theright-hand
side of(1.1)
can bededuced,
We now derive a
simple,
but nonetheless useful bound fory),
using
atechnique
known as "Rankin’smethod";
see Rankin(1938).
It is based on the observationthat,
for any >0, x > 1,
and y >
2,
If we take u = 1-
1/(2log y),
then the last sum may be estimatedby
Substituting
this into(1.3)
gives
the boundwhere here and in the
sequel
we set u =log x/ log y.
By using
aslightly
more
complicated
argument
one can remove the factorlogy
in(1.4);
seeTheorem 111.5.1 in Tenenbaum
(1990a).
An
asymptotic
formula forBl1(x, y)
was first obtainedby
Dickman(1930)
who
proved
that for any fixed u > 0where the function is defined as the
(unique)
continuous solution tothe differential-difference
equation
satisfying
the initial condition(Actually
Dickman stated his results in terms of the function#{n
x :P(n)
which, however,
iseasily
seen to beasymptotically
equal
toW(z, y) when u
isfixed.)
A morerigorous proof,
by
modernstan-dards,
was latersupplied by
Chowla andVijayaraghavan
(1947);
the firstquantitative
estimates were obtainedby
Buchstab(1949)
and Ramaswami(1949).
The "Dickman function"
p(u)
isnonnegative
for u >0,
decreasing
foru >
1,
and satisfies theasymptotic
estimateThese and other
properties
of the Dickman function will beproved
inSec-tion 2.
Substantial progress on the
problem
ofestimating
y)
was made inthe 1950s
by
deBruijn.
Among
otherestimates,
deBruijn
(1951b)
proved
a uniform version of Dickman’s
result;
when combined with thesharpest
known form of the
prime
numbertheorem,
his result states thatholds
(with u
=log
x /log y)
uniformly
in therange
While the error term in
(1.8)
isbest-possible,
Hensley
(1985)
showed that a lower bound of the formW(z, y)
>xp(u)
holds in a muchlarger
range,and the range of
validity
for(1.8)
itself has beensignificantly improved by
Maier(unpublished)
and Hildebrand(1986a).
The latter resultgives
thelargest
range in which theasymptotic
relationxp(u)
is known tohold,
and we state itformally
as a theorem.THEOREM 1.1. For any
fixed
c > 0 the relation(1.8)
holdsuniformly
inthe range
The upper limit in this range is
closely
tied to the best known errorterm in the
prime
numbertheorem,
and anyimprovements
in the errorterm would lead to
corresponding
improvements
in the range(1.10).
Infact,
thecorrespondence
is in bothdirections;
forexample,
one can showthat
(1.8)
in the form =xp(u) exp
10(log(u
+1)/logy)}
holdsuniformly
in the rangey >
2,
1 uyl/2-f., for
any fixed c >0,
if andonly
if the RiemannHypothesis
istrue;
see Hildebrand(1984a).
Theproof
which holds for
any x >
1and y >
2. Thisequation
is obtainedby
evaluating
the sum S = in two different ways. On theone
hand, partial
summation shows that S isequal
to the difference between the left-hand side. and the first term on theright
of(1.11).
On the otherhand, writing log n
log p
andinverting
the order ofsummation,
we see that S is alsoequal
to the sum on theright
of(1.11).
The estimate(1.8)
is obtained
by
firstshowing
that it holds in an initial range,say x
y2,
and then
applying
(1.11)
iteratively
to show that it continues to hold in the range xy(~+1)/2
for n > 4 aslong
as(1.10)
is satisfied. Thelimitation in the range comes from the fact that each iteration
step
involvesa small error due to
possible irregularities
in the distribution ofprimes.
These errors accumulate and aftersufficiently
many iterations become aslarge
as the main term.The
principal
difference between thisapproach
and the earlierapproach
of deBruijn
lies in the use of(1.11).
DeBruijn
based hisargument
on adifferent functional
equation,
the "Buchstabidentity"
which holds for all x > 1
and z > y
> 0.Compared
to(1.11),
thisequation
has thedisadvantage
that the secondargument
of T is notfixed,
so that aninduction
argument
based on this formula istechnically
morecomplicated.
A more severe limitation of the Buchstab
identity
is that theright-hand
side consists of two terms
having
opposite
signs
but which can benearly
equal
in size. As aresult,
the error termsarising
from inductive use ofthe Buchstab
identity
are muchlarger
than thosecoming
from(1.11),
andexceed the main term
already
forrelatively
small values of u.Using
the functionalequation
(1.11),
it isrelatively
easy tojustify,
atleast
heuristically,
the appearance of the Dickman function in(1.8)
if wesuppose that a relation of the form
~Y(x, y) r·· x f (u)
holds with somefunc-tion
f (u).
Replacing w(t,y)
by
t f (log t/ log y)
in(1.11),
we obtain underthis
assumption
y >
2Since x, we
necessarily
havef (u)
1,
so that the first termon the
right-hand
side is of orderO(x).
Moreover,
the contribution of theorder of
magnitude.
Afterdividing
by
x log x,
both of these contributions becomeo(l)
and we obtainusing
theprime
number theorem in the form?P(t) -
t.Assuming
theerror terms involved all tend to zero as x, y -~ oo, we conclude that the
function
f (u)
satisfies theintegral
equation
f (u)u
f (v)dv
for u > 1.Differentiating
both sides of thisequation
shows thatf (u)
is a solutionto the differential-difference
equation
(1.5).
Since for 0 u 1 we havetrivially
~(yu, y) _
as y --> oo,f(u)
also satisfies the initialcon-dition
(1.6).
Therefore,
f(u)
must beequal
to the Dickman functionp(u).
The range(1.10)
is thelargest
in which anasymptotic
approximation
for’I!(x, y)/x
by
a smooth function is known. This range can beconsiderably
increased if instead of an
asymptotic
formula for weonly
ask foran
asymptotic
formula for as thefollowing
result shows.THEOREM 1.2. For any
fixed
c > 0 we haveuniformly
in the range’
Moreover,
the lower bound in(1.12)
is validuniformly for
all x >y >
2.The upper bound in this result is
implicit
in deBruijn
(1966),
whereas the lower bound is due to Hildebrand(1986a).
Aslightly
weaker result had beengiven by Canfield,
Erd6s & Pomerance(1983).
Combining
(1.12)
with theasymptotic
formula(1.7)
for thelogarithm
of the Dickmanfunction,
we obtain thefollowing
simple,
butquite
usefulcorollary.
COROLLARY 1.3. For any
fixed
c > 0 we haveIn terms of the variables x and y, the ranges
(1.10)
and(1.13)
ofTheo-rems 1.1 and 1.2
correspond
torespectively.
Togive
an idea of the size ofy)
in variousparts
of theseranges, we consider the cases y = exp with 0 a 1 and
y =
(log
x)"
with a > 1. Thecorollary
yields
in the first caseand in the second case
The estimate
(1.14)
together
with themonotonicity
of shows thatI log
~~(x, y)jx)
I
is of orderlog
x whenever y is smaller than a fixedpower of
log x.
In this range it is therefore moreappropriate
to seek anapproximation
tolog
~~(x, y)~
rather than to Such anestimate has been
given by
deBruijn
(1966);
hisresult,
in aslightly
moreprecise
form due to Tenenbaum(1990a,
Theorem111.5.2),
is as follows.THEOREM 1.4.
Uniforrrtly for
x > y >2,
we havewhere
The
proof
of this result iscompletely elementary.
The upper bound is deduced from Rankin’sinequality
(1.3)
with anoptimal
choice of theparameter u. The lower bound is based on the
elementary
inequality
together
with a lower bound for theright-hand
side of(1.17)
obtainedby
Stirling’s
formula. To prove(1.17),
it suffices to note that theright-hand
side
represents
the number ofk-tuples
m2, ... ,mk)
with 0 andMi = l and
that,
by
the definition of k and the Fundamental Theoremof
Arithmetic,
the set of suchtuples
is in one-to-onecorrespondence
with the set ofintegers composed
ofexactly i
(not
necessarily
distinct)
prime
factorsy),
and hence with a subset of the set ofintegers
countedin
T(x, y).
,The estimate
(1.15)
clearly
shows that there is achange
of behavior forW ( x, y)
at y s5
log x.
If oo, then the first term in the definition of Zdominates,
whereas for y =o(log x),
Z isasymptotic
to the secondterm in
(1.16).
Thechange
in behavior is due to the fact that if y is smallcompared
tolog x,
then manyprime
factors of a"typical" integer
countedoccur to
high
powers, whereas forlarger
valuesof y
mostprime
factors occur
only
to the first power. For a closeranalysis
of T(x, y)
nearthe transition
point
y s5log
x see Granville(1989).
In the case of very small values of y, it is useful to observe
that,
by
the Fundamental Theorem ofArithmetic,
isequal
to the number ofsolutions
(mp)p~y
innonnegative
integ~rs
to theinequality
or
equivalently
the lineardiophantine inequality
The number of solutions to this
inequality
can be estimated veryprecisely
by elementary geometric
methods aslong
as the number of variables(i.e.,
~r(y))
is not toolarge.
Forexample,
it is easy to see thatif y >
2 is fixedand x ~ oo, then the number of solutions is
asymptotically equal
to the volume of thex(y)-dimensional
simplex
definedby
theinequalities
where k =
7r(y)
andpi denotes the ith
prime. By
achange
ofvariables,
thevolume of
(1.19)
is seen to beequal
toI- L
I-General
asymptotic
results of thistype
have beengiven by Specht
(1949),
Hornfeck(1959),
Beukers(1975),
Tenenbaum(1990a)
-Theorem 111.5.3
-
and Granville
(1991a).
A more carefulreasoning
leads to thefollowing
THEOREM 1.5.
Uniformly
in the rangewe have
This result is stated in Ennola
(1969),
who has alsogiven
asimilar,
butsomewhat more
complicated
formula for thelarger
range y
(log
x)3~4-E;
for a detailed
proof
see Theorem 111.5.2 of Tenenbaum(1990a).
Theorems 1.1 and 1.5 both
give
anasymptotic
formula for’li(x, y);
thefirst result is valid for
relatively
large
valuesof y
andgives
anapproximation
by
a smoothfunction,
whereas the second result holds forsmall y
andgives
anapproximation by
aquantity
depending
on theprimes
y. Betweenthe two ranges
(1.10)
and(1.20),
however,
there remains alarge
gap inwhich the results
quoted
abovegive only
much weaker estimates. This gap has been closedby
thefollowing
result of Hildebrand & Tenenbaum(1986),
whichgives
anasymptotic
formula for’li(x, y)
that is validuniformly
in xand y,
provided only
that u =log x/ log y
and y tend toinfinity.
THEOREM 1.6.
Uniformly in
the range x >y >
2, we
haveand a =
a(x,
y)
is theunique
positive
solution to theequation
The formula
(1.22)
is similar in nature to theexplicit
formula inprime
numbertheory.
It expresses in terms of thegenerating
Dirichlet seriesC(s, y)
evaluated at a certainpoint
a whichplays
a roleanalogous
tothat of the zeros in the
explicit
formula. Note that the function(0’, y)xa
is
exactly equal
to the upper bound(1.3)
fory)
obtainedby
Rankin’smethod,
and thata(x, y)
is theunique point
on thepositive
real line whichminimizes this function. Thus the denominator in
(1.22)
measures the ratiobetween
iY(x,
y)
and the upper boundgiven by
Rankin’s method with anoptimal
choice of parameters.A formula of this
type
may seem to be of little value at firstsight,
sinceit involves the parameter a which is defined
only implicitly
through
anequation
involving
prime
numbers.Nonetheless,
from asufficiently sharp
form of the
prime
number theorem one can derive the estimateuniformly
in x > y >
2(see
Hildebrand & Tenenbaum(1986)),
andusing
thisestimate,
one can show that theright-hand
of(1.22)
isapproximated
by
theright-hand
sides of the formulas of Theorems 1.1 - 1.5 in theirrespective
ranges,except
in the case of Theorem 1.1 when ulog y,
say.Thus,
Theorem 1.6implies
Theorems 1.2 - 1.5 in their fullstrength
(except
for thequality
of the error term of(1.21)
wheny W
x)2/3),
as well as the statement of Theorem 1.1 for u >
log y.
We
emphasize
that Theorem 1.6 does not lead to anyimprovements
in the ranges ofvalidity
of the above theorems. Forexample,
it does notyield
an
asymptotic approximation
toby
a smooth function in the rangeu >
exp((log
y)3/5).
This is due to our limitedknowledge
of the distributionof
primes
whichprevents
us fromobtaining
a smoothapproximation
to theright-hand
side of(1.22)
in this range.However,
even in the range where nosmooth
approximation
toBII(x, y)
isavailable,
one can use(1.22)
to obtainvery
precise
information on the local behavior ofy).
Thefollowing
is atypical
result of thistype,
which wequote
form Hildebrand & Tenenbaum(1986).
COROLLARY 1.7.
Uniformly for x >
y >
2 and 1 ~c y,
we havewhere
a(x, y)
isdefined
as in Theorem 1.6.Since
by
(1.26), a(x, y)
=0(1)
if andonly
if y-5
(logx)l+o(l),
thisshows,
forexample,
thatiY(x, y)
as x, y -+ oo holds if andonly
if’
In Section
4,
we shallgive
acomplete proof
of Theorem 1.6 for the rangeu >
(log
y)4.
The method ofproof
isanalytic;
itdepends
onrepresenting
T(x, y)
as acomplex
integral
over the functionC(s,
andevaluating
this
integral
by
the saddlepoint
method. Thepoint
a(x, y)
is a saddlepoint
for
( s, y)x-1,
and theexpression
on theright-hand
side of(1.22)
arises asThe
principal deficiency
of Theorem 1.6 is that the error term in(1.22)
increases as u decreases and for small u becomeslarger
than the error termof Theorem 1.1. Saias
(1989)
has shown that one canadapt
the saddlepoint
method to deal moreeffectively
with this range. He obtained thefollowing
result which is valid in the same range as Theorem1.1,
butgives
a much more
precise
estimate fory).
THEOREM 1.8. For any
fixed
c >0,
anduniformly for
y >
yo(c)
and1 u we have
and
p(u) is
defined by
(1.5)
and(1.6)
for u >
0 andp(u)
= 0for u
0.We shall prove this result in Section 3. The function
A(x, y)
has beenin-troduced
by
deBruijn
(1951b),
who obtained an estimate similar to(1.28),
but
only
for a much smaller range. In Lemma 3.1 we shall showthat,
uniformly
in y >
yo(E)
and1 u
y1-f.,
Thus the estimate of Theorem 1.8
implies
that of Theorem 1.1if y
issuf-ficiently large.
Infact,
one cansharpen
(1.30),
by giving
anasymptotic
expansion
of the O-term in powers of1/ log y,
resulting
in acorresponding
sharpening
of the estimate of Theorem1.1;
see,for.
example,
Saias(1989).
2. The Dickman function
In this section we
investigate
the behavior of the Dickman functionp(u)
defined
by
(1.5)
and(1.6).
Ourprincipal
result is thefollowing
asymptotic
estimate forp(u).
THEOREM 2.1. For u > 1 we have
where y is Euler’s
constant, ~ _
~(u)
is theunique
positive
solution to theequation
The
asymptotic
formulaimplicit
in(2.1)
has been firstproved by
deBruijn
(1951a)
using
contourintegration
and the saddlepoint
method. Canfield(1982)
gave a combinatorialproof
of thisformula,
and anarith-metic
proof
via the functioniY(x, y)
is contained in Hildebrand & Tenen-baum(1986).
The abovequantitative
result is due to Alladi(1982b)
who used deBruijn’s
method. It has beensharpened by
Smida(1993),
whoessentially replaces
the factor 1 +0(1/u)
in(2.1)
by
a functionhaving
anexplicit
asymptotic expansion
in terms of(negative)
powers of u and powers of~(u).
Anothertype
ofexpansion,
as aconvergent
series ofanalytic
func-tions,
may be derived from ageneral
theorem of Hildebrand & Tenenbaum(1993)
on the solutions of differential-differenceequations.
Adifferent,
butquite
complicated
expansion
hasrecently
beengiven by
Xuan(1993).
Theproof
we shallgive
for Theorem 2.1 here is taken from Tenenbaum(1990a).
We remark that
(2.1)
Call be written asa relation which is often more convenient to work with. This follows from the
identity
which can be seen on
noting
thatby
(2.2),
andsince
~(~) -~
0 as u - 1+.The function
~(u)
isnon-elementary,
but it is not hard to obtain anexpansion
for this function in powers oflog u
and1092
u. We shall prove asimple
result of this kind.Proof.
Letf (x) _ (ex - 1)/x
= fo
The functionf (x)
tends to 1 as x --30+,
and it isstrictly increasing
in x sinceThis shows that for each u > 1 the
equation
f (~) _ ~c
(i.e.,
(2.2))
has aunique
solution ~ =
~(u)
> 0. Themonotonicity
off together
with the observation that we have for anysufficiently large
constant c and >1,
writing V
=log2(u
+2)/log(u
+2),
implies
the estimate(2.4).
Differentiating
both sides of(2.2)
withrespect
to ugives
and hence the first
equality
in(2.5).
The secondequality
follows from the first and the estimate(2.4),
provided u
issufficiently large.
Tocomplete
theproof
of(2.5),
it suffices to show that1/u
holdsuniformly
inu > 1. We have
and since
~’(u)
=1//~(~),
we obtain1/u
~’(u)
4/u
asrequired.
Substituting
the estimates of the lemma into(2.1)’
we obtain thefollow-ing corollary.
COROLLARY 2.3. F’or u > 1 we have
The estimates
(2.4)
and(2.6)
can be refined and one can inprinciple
approximate
~(u)
and for anygiven
k > 1by
anelementary
function to within an error of order
0((IogU)-k);
see, forexample,
deBruijn
(1951a).
Many applications require
estimates for ratios of the formp(u -
v)/p(u)
rather than estimates forp(u)
itself. Theorem 2.1 leads to thefollowing
result of this kind.COROLLARY 2.4. For u > 2
and Ivl
u/2
we haveMoreover,
for u
> 1 and 0 v u we haveTo prove this
result,
weapply
(2.1)’
with u and with u - v,getting
for 0 v u - 1.
If,
inaddition,
0 vu/2
then 1 u - v x u and henceDifferentiating
the relationf (~)
= u twice withrespect to u,
we obtainBy
Lemma 2.2 and theinequality
If"(ç)1
=f(£)
= u thisimplies
g"(u) «
1/u2.
It followsthat,
for u > 2 and 0v
~/2,
... , , , -
, , ,
, ,
Together
with(2.10)
and(2.9)
thisimplies
(2.7)
in the case 0 vu/2,
and a similar
argument
gives
(2.7)
when-u/2 v
0.To prove
(2.8),
we may assume that 0 v u -1,
since theright-hand
side is anincreasing
function of v, while the left-hand side isequal
to 1 foru - 1 v u. We can therefore
a,pply
the first estimate of(2.10).
By
Lemma 2.2 the
integral involving
~’(t)
is of order WJ:-v(t - u
+v)/tdt
»v2/u,
whereas,
for 0 v u -1,
Thus,
for a suitable constant c >0,
theright-hand
side of(2.9)
is boundedby
and
(2.8)
follows.We now
proceed
to prove Theorem 2.1. Webegin by establishing
someelementary properties
of the functionp(u).
It is convenient here to setp(u)
= 0 for u0,
so thatLEMMA 2.5. We have
Proof.
The first relation holds for 0 u 1 sinceby
definitionp(v)
= 0for v 0 and
p(v)
= 1 for 0 v 1. It remains valid for u > 1 sincep(u)
is a continuous function and
by
(1.5)
the derivatives of both sides of(2.11)
areequal
in this range.Inequality
(2.12)
is a consequence of(2.11),
(1.5),
and thecontinuity
ofp(u).
For suppose(2.12)
isfalse,
and let uo =inf~u >
0 :p(u) 0},
sothat 1 uo oo .
By
thecontinuity
ofp(u)
this wouldimply
p(uo)
= 0and
u 0
p(u)dv
>0,
which contradicts(2.11).
Inequality
(2.13)
follows from(2.12)
and(1.5).
I The lastinequality
of the lemma is true for 0 u1,
sincep(u)
= 1and
r(u
+1)
1 in this range.Assuming
that it holds for k u k + 1for some k >
0,
we deduceby
(2.11)
and themonotonicity
ofp(u)
that fork + 1 u k + 2,
p(u)
p(u - 1)/u
1/ur(u)
= +1).
Hence,
by induction,
(2.14)
holds for all u >0,
and theproof
of the lemma iscomplete.
We next
investigate
theLaplace
transform ofp(u),
definedby
By
(2.14),
theintegral
in(2.15)
isuniformly
convergent
in anycompact
region
in thecomplex
s-plane.
LEMMA 2.6. We have
Proof.
Using
(2.11)
we obtainThe solution to tills differential
equation
is of the formwhere C is a constant. To determine the value of
C,
we examine thebehavior of
p(s)
andeE( -’)
as s ~ ooalong
thepositive
real axis. On theone
hand,
the definition ofp(s)
gives
limu-o+
p(u) =
1.On the other
hand,
the relationwhere
(cf.
Abramowitz &Stegun
(1964),
p. 228),
implies
lims-+-oo eE(-s)s
= e--t.Hence C =
el,
and(2.16)
follows.LEMMA 2.7. Let u >
1, ~ =
~(u),
and s =-~
+ ir. Then we haveand
Proof.
The second estimate followsimmediately
from Lemma2.6,
(2.17)
The first estimate is
by
Lemma 2.6equivalent
to theinequality
where
A
change
of variablesgives
For
irl
7r and 0 t 1 we have 1 -cos(tT)
>2(tr)2/7r2
and thusThe
integral
here isby
(2.2).
Thisgives
the firstinequality
in(2.20).
To prove the second
inequality
in(2.20),
we use the estimateFor bounded values
of u,
(2.20)
holdstrivially
sinceH(r) >
0. On the otherhand,
if u, andtherefore ~,
aresufficiently large
and x, thenthe main term in the last
expression
isgreater
than orequal
toProof of
Theorem 2.1. Sincep(u)
iscontinuously
differentiable for u > 1and
by
Lemma 2.5 theLaplace
transformp(s)
isabsolutely
convergent
forany s, the
Laplace
inversion formula isapplicable
andgives
for u > 1 and any E I(8. We choose r, =
-
with =
(u)
definedby
(2.2).
This choice is
suggested by
the saddlepoint method,
since thepoint 8
=-g
is a saddle
point
of theintegrand
in(2.21),
i.e.,
a zero of the functionWe
begin by showing
that the main contribution to theintegral
in(2.21)
comes from the
range Irl
b,
where 6 =7rJ2 log(u
+I) /u.
To this endwe divide the
remaining
range into the threeparts b
7r, 7rIrl
ulog(u
+1),
andIrl I
>ulog(u
+1).
Using
the bounds forpes)
provided
by
Lemma2.7,
we obtain for the contributions of these ranges the estimatesand
respectively.
Since theright-hand
side of(2.1)
is of orderby
Lemma 2.2 and sinceE(~) x
(et -
1)/~
= u, each of these contributionsis
by
a factor G1/u
smaller than theright-hand
side of(2.1)
and thus is absorbedby
the error term in(2.1).
It remains to deal with the range
I-rl
b.Using
Lemma2.6,
we writethe
integrand
in(2.21)
asand
expand
the function in theexponent
in aTaylor
series about T = 0.Since
E’(~) _
(e£ -
1)/~
=From the
inequality
we see that the two last terms in
(2.23)
are of ordero(lrl3 u)
andrespectively,
and hence of order0(1)
for17-1 :5 6
=r V2 log(u
+1)/u.
Applying
the estimatesto the
exponentials
of theseterms,
we can then write(2.22)
asIntegrating
this function over the interval -b Tb,
we obtainsince the contribution from the term to the
integral
is zerofor
symmetry
reasons. The contribution from the error term in(2.24)
isbounded
by
and
extending
the range ofintegration
in the main term to(-00,00)
intro-duces an error of order
and
2~2E"(~) _ ~r2log(u +
I)) ),
the coefficient of6"~’~~/~/jE~(~)
in both of these error terms is of order1ju.
Hence,
these terms are absorbed
by
the error term in(2.1).
The main term on theright-hand
side of(2.24)
with theintegral
taken over(201300,00)
equals
which
by
(2.25)
reduces to the main term in(2.1).
Thiscompletes
theproof
of Theorem 2.1.3.
iY(x, y)
for small uIn this
section,
we will prove Theorem 1.8. Webegin
with two lemmasgiving
estimates for theapproximating
functionA(x, y).
LEMMA 3.1. For any
fixed
c > 0 anduniformly in y >
yo(c)
and1 ~
yl-E,
, we havexp(u)
andMoreover, uniformly
in x > 1and y
> 2 we haveProof.
We may assume that x is not aninteger,
in which caseA(x, y)
isgiven by
where
It}
= t -~t~.
Using integration by
parts,
we obtainwhere the last
integral
is to beinterpreted
as zero if 0 u 1.By
(1.5)
By
Lemma2.2,
this is «p(u)ulog(u
+1)y"(i-E/2)~(u _
v)
in the range1 u
yl-’.
Hence the lastintegral
in(3.4)
is boundedby
in this range. In the same range we have
by Corollary
2.3.Inserting
these estimates in(3.3)
and(3.4)
gives
(3.1).
From(3.3)
and(3.4)
we also obtainA(x, y) >
x ~p(u) - y-"~,
andsince,
by Corollary
2.3, y-~
for y >
yo(c)
and 1 u we seethat the lower bound
A(x,y) > xp(u)
holds in this range. The bound(3.2)
follows from(3.3)
and(3.4)
for 0 u1,
and from(3.1)
and andCorollary
2.3 for 1 u~.
For u >~
we obtain(3.2)
if we estimatethe last
integral
in(3.4)
asfollows, using
(1.5),
themonotonicity
of p andCorollary
2.3,
LEMMA 3.2.
Uniformly for
any E >0,
y >yo(c),
1 uyl/3-E
and T >u5,
we havewhere cr = 1 -
~(u)/ log y,
and is
defined by
(2.15).
Proof.
It suffices to prove(3.5)
when x is not aninteger.
SetBy
Lemma3.1,
Ay(u)
is bounded on any finite interval in(0, oo),
andis
absolutely
convergent
for Re s> - 3 (log y)~3.
By
the definition ofA(y" , y)
and the convolution theorem forLaplace
transforms we haveSetting t
=Y’
and w = 1 +s/ log y,
we obtainHence
By
theLaplace
inversion formula it follows thatfor
any u >
1 and Q = 1-~(u)/ log y
> 1
such that x =y’~
is not apositive
integer.
To obtain(3.5)
(for z g N),
it therefore remains to show that theestimate
holds for (T = 1- and T >
u5,
sinceby
Lemma 2.2 and thegiven
bounds on y and u,
)
if the constantYo (f)
islarge enough.
By
Lemma 2.7 we have for (T = 1 -ç(u)/logy
andIrl
>and therefore
Since
1(8)1
« for u> 2
and1,
the second term here isbounded
by
x(7T-1/4,
and henceby
theright-hand
side of(3.7).
Using
theapproximate
functionalequation
for the zeta function in the form(see,
forexample, Corollary
11.3.5.1 in Tenenbaum(1990a)),
we obtain forthe first
integral
the boundwith
Tn =
max(T, n).
The last term in thisexpression
is of order«
x~T -2~3
and hence boundedby
theright-hand
side of(3.7).
In the first term weapply
the estimatewhich is
easily proved by
anintegration by
parts,
andsplit
the range ofsummation into two
parts
according
asT.;I/4
or not. Thisyields
the boundand
completes
theproof
of(3.7).
We next prove an
analogous
inversion formula for the functionq, ( x, y)
in terms of the
generating
Dirichlet seriesFor later use, we state the result in a somewhat more
general
form than iswith
Proof. Expanding
( s, y)
into a Dirichlet series andusing
the relationwhere
(cf.
Titchmarsh and Heath-Brown(1986),
p.61)
gives
(3.8)
withThe contribution of the terms with
I
>1/v~T-
to the series in(3.10)
is boundedby «
x(7((a,y)/VT,
and henceby
theright-hand
side of(3.9).
It therefore suffices to estimate theexpression
We have
trivially
we obtain
since
by
(3.11),
= 0 forUi.
Therequired
estimate nowfol-lows. The next lemma shows tha.t the function
F(s,
y)
closely
approximates
the function((s, y).
LEMMA 3.4. For any
given
6 > 0 the estimateholds
uniformly
in the rangewhere
L,
= = expProof.
We first notethat,
in the range(3.13),
since
The sum on the
right
of(3.14)
isessentially
aprime
number sum which canbe evaluated
using
complex
integration
andVinogradov’s
zero-freeregion
in the same way as in the
analytic
proof
of theprime
numbertheorem,
giving
the estimatefor the range
(3.13)
-cf. Tenenbaum
(1990a),
p. 419. From(3.14), (3.15),
Lemma
2.6,
and the definition ofF(s, y),
it follows thatIntegrating
this relation over thestraight
linepath
from s to 1(which
is contained in the range(3.13)
if s is in thisrange),
we obtainThe result now
follows,
sinceby
Lemma 2.6 and the estimatewhich itself follows from a
strong
form of Wertens’ theorem.Proof of
Theorem 1.8. Let E > 0 and x > y with I uLe
begiven.
Wemay assume
that y
issufhciently large
in terms of E and that u isstrictly
greater
than 1. Set-1 1
By
Lemma 2.2 we then have in the range y >yo(c),
1 uLe,
and T >
us.
Thehypotheses
of Lemmas 3.2 and3.3,
and those ofLem-ma 3.4 with s =
T,
a,ndc/2
inplace
of c, are thereforesatisfied,
and we obtain
’A 3
with
To prove the desired estimate
(1.28),
it thus remains to show that each of the termsRi
satisfiesSince
by
Theorem2.1,
Lemma2.2,
and Lemma3.1,
(3.16)
isequivalent
toTo prove
(3.17),
we first observe thatSince
T1/4
= »L,
and1
x3/4
« the term.R1
and the,E/2
-first term in the definition of
R2
satisfy
the bound in(3.17).
Moreover,
by
Lemma3.4,
Lemma2.6,
and the definition of (1 and T we havewhich
implies
(3.17)
for the second term in the definition ofR2
in view of the boundSince
I(u+ir, y)
I
(u, y),
the same estimates show that the contributions toR2
andR3
arising
from the rangeu 5
of theintegrals
in these termsalso
satisfy
(3.17).
Theremaining
pa,rts
ofR2
andR3
are boundedby
respectively,
whereTo estimate the
quantity
M,
we notethat, by
Lemmas 3.4 and2.6,
wehave in the T
The definition of Q and T
implies
that(1 - 0’)
»(10gT)-2/3-11
with asuitable 17
=77(c)
> 0.By
standard bounds for the zeta function inVino-gradov’s
zero-freeregion
we therefore havelog(T+1)
log y
for 1
IT
I
T. It follows that(log
y)2.
Thisimplies
the bound(3.17)
forR’.
By
(3.18)
the same bound holds forR’
if u >3log LE.
For1 ~
3logL,
we haveso that
(3.17)
holds in this case as well. Thiscompletes
theproof
ofTheo-rem 1.8.
4.
w(x,
y)
forlarge
uIn this section we will prove Theorem 1.6 for the
range u >
(log
y)4.
In the
complementary
range u(log
y)4,
the result can be deduced fromTheorem
1.8,
but theargument
is somewhat technical and we shall notpresent
it here. Given x > y >2,
we let a =a(x, y)
be defined as in thetheorem,
we write as usual u =log x/ log y
and setLEMMA 4.1. We have
where the
expression
on theleft of
(4.3)
is to beinterpreted
as 1if
a = 1.Proof.
By
the definition of a we haveFor u >
y/ log y
thisimplies
0I / log y,
so thatpl -
1 ~a log p
forp
y. The two middle terms in(4.4)
are therefore of the same order ofmagnitude
in the range u >y/ log y.
This proves(4.1).
The lower bound in
(4.2)
follows from the fact that a =y)
is anon-increasing
function of u andby
(4.1)
satisfies a »1/log y
for u =y/log y.
The upper bound follows from the
inequality
which is valid for
all y >
2 and u > 1 with asufficiently large
constant c.It remains to prove
(4.3).
For u >y/ log y,
theright-hand
side of(4.3)
equals
y/ log y,
andby
(4.1)
the left-hand side is of the same order ofmagnitude.
Thus(4.3)
holds in this case. To deal with theremaining
range 1 u
y/ log y,
we use the estimatewhich follows
by partial
summation andChebyshev’s
prime
number bounds. In the range 1 uy/ log y,
we have a »1/ log y
by
(4.2),
and it iseasily
checked that in this caseHence
(4.3)
remains valid for 1 uy/ log y.
We remark that the abovearguments
can be refined to show that the estimateholds
uniformly
y >2;
see Theorem 2 of Hildebrand & Tenenbaum(1986).
The next lemma
gives
estimates for the functionsy)
defined inTheorem 1.6.
LEMMA 4.2. For any
fixed
positive integer
k and x > y > 2 we haveProof.
Setting
f (t)
=1/(et -
1),
we haveSince for any
integer £
0 and real t >0,
it follows that
(-1)k~k(a,
y)
ispositive
and satisfiesUsing partial summation,
theprime
numbertheorem,
and the bounds0 a 1 + from Lemma
4.1,
it isstraightforward
toreplace
the sum over p
by
anintegral,
so thatIf u >
y/ log y,
then a «1/ log y
by
Lemma4.1,
and therefore t’ x 1and 1 - t-’ x
a log t
for 1
t y. Theright-hand
side of(4.8)
then becomesby
anotherapplication
ofLemma 4.1,
and(4.6)
follows for the rangeu >
y/ log y.
In theremaining
range 1 ~y/ log y
we have a y1/ log y
and
therefore
- ,
for
q§
t y.Using
the bound a 1 +0(1/ log y)
from Lemma4.1,
it iseasily
seen that we mayreplace
the range ofintegration
in(4.8)
by
theinterval
~~,
y]
withoutchanging
the order ofmagnitude
of theright-hand
side of(4.8).
We thus obtaini
using
the lastpart
of Lemma 4.1. This proves(4.6)
for 1 uy/ log y.
LEMMA 4.3. For anyfixed
c > 0 anduniformly
for
y >
2 and u >(log
y)4,
we have
’
(4.9)
.where
TE(y)
=exp and c is a
positive
constant.Proof.
Asimple
computation
gives
with
Thus,
to prove(4.9)
it suffices to show that in the rangeslr
1
1/log y
andI/log y
Irl
1
TE(y)
wehave, respectively,
Suppose
first thatUsing
theelementary inequality
1 -
4x2
1),
we obtainIf
(and
then we havefor p y, and hence
which proves
(4.10)
in this case. In theremaining
case aITI
1/ log y,
we have
pcx x
1 andfor
p y,
whichagain implies
(4.10).
Assume now tha,t
1 / log y
TE(y).
For bounded valuesof y,
(4.11)
holds