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§9.2 Schlicht Functions

9.2 Schlicht Functions

Definition 9.2.1.

A holomorphic function 𝑓:𝔻→ℂ is called schlicht iff it is univalent and satisfies 𝑓(0)=0 and 𝑓′(0)=1.

The power series expansion of schlicht 𝑓 around 0 is of the form

𝑓(𝑧)=∑𝑛=0∞𝑓(𝑛)(0)𝑛!𝑧𝑛,𝑧∈𝔻,

which by assumption, simplifies to

𝑓(𝑧)=𝑧+∑𝑛=2∞𝑎𝑛𝑧𝑛,𝑧∈𝔻,

where 𝑎𝑛=𝑓(𝑛)(0)𝑛! for 𝑛≥2. Two historic results regarding schlicht functions state that

  1. The only schlicht functions satisfying ∃𝑛∈ℕ with |𝑎𝑛|=𝑛 are the Koebe functions in the form of

    𝑧↦𝑧(1−ei𝜃𝑧)2.

    The Koebe functions are more extremal in the sense that it satisfies the conclusion |𝑎𝑛|=𝑛 for all 𝑛∈ℕ; its power series is given by

    𝑧↦∑𝑛=1∞𝑛ei𝜃(𝑛−1)𝑧𝑛.
  2. For any schlicht 𝑓 and ∀𝑛∈ℕ, it holds that |𝑎𝑛|≤𝑛.

Both were solved in the 20th century by Louis de Branges in the affirmative. The second statement is known as the Bieberbach Conjecture as it was originally hypothesized by Ludwig Bieberbach.

We will introduce two of the oldest results regarding schlicht functions, namely |𝑎2|≤2 and the Koebe Quarter Theorem (Theorem 9.2.6Theorem 9.2.6Theorem 9.2.6). There are many applications of the latter, for instance, we used it in the proof of Mergelyan’s Theorem (Theorem 6.2.7Theorem 6.2.7Theorem 6.2.7).

Lemma 9.2.2.

Let 𝑓:𝔻→ℂ be schlicht and define ℎ(𝑧)=1𝑓(𝑧)=1𝑧+∑𝑛=0∞𝑏𝑛𝑧𝑛. Let

𝐴𝑟={𝑧∈ℂ:𝑟<|𝑧|<1}

be an annulus for 0<𝑟<1. Then ∃𝜂>0 such that ∀𝑟>0 sufficiently small (𝜂 independent of 𝑟), ℎ(𝐴𝑟) lies in an ellipse with a semi-major axis

𝛼=(1𝑟+|𝑏1|𝜂)1+𝜂𝑟3

and a semi-minor axis

𝛽=(1𝑟−|𝑏1|𝜂)1+𝜂𝑟3.
Proof.

Let

ℎ̃(𝑧)=𝑏1‾|𝑏1|ℎ(𝑧𝑏1‾|𝑏1|)−𝑏1‾|𝑏1|𝑏0

(where the branch or value of the square root is the same across), so that

ℎ̃(𝑧)=1𝑧+∑𝑛=1∞(𝑏1‾|𝑏1|)1+𝑛2𝑏𝑛𝑧𝑛=1𝑧+∑𝑛=0∞𝑏𝑛̃𝑧𝑛,where𝑏0̃=0∧𝑏1̃=|𝑏1|.

Heuristically, we applied a rigid transformation to ℎ so that the result has no constant term and whose linear coefficient is real. Trivially, if the conclusions of the statement are satisfied for ℎ̃, then they naturally follow for ℎ. Hence, without loss of generality, we consider only ℎ(𝑧) such that 𝑏0=0 and 𝑏1∈ℝ, or when ℎ(𝑧)=1𝑧+𝑏1𝑧+𝜙(𝑧) where 𝜙(𝑧)=𝒪︀(𝑧2). For 𝑧=𝑟ei𝜃,

ℎ(𝑧)=1𝑟(cos𝜃−isin𝜃)+𝑏1𝑟(cos𝜃+isin𝜃)+𝜙(𝑟ei𝜃)=((1𝑟+𝑏1𝑟)cos𝜃+ℜ𝔢𝜙)+i((𝑏1𝑟−1𝑟)sin𝜃+ℑ𝔪𝜙).

Let 𝛼′=1𝑟+𝑏1𝑟 and let 𝛽′=1𝑟−𝑏1𝑟. Then

[ℜ𝔢ℎ(𝑟ei𝜃)]2𝛼′2+[ℑ𝔪ℎ(𝑟𝑒i𝜃)]2𝛽′2=cos2𝜃+[ℜ𝔢𝜙]2𝛼′2+2cos𝜃ℜ𝔢𝜑𝛼′+sin2𝜃+[ℑ𝔪𝜙]2𝛽′2−2sin𝜃ℑ𝔪𝜙𝛽′.

Since for all 𝛼′12𝑟=2+2𝑏1𝑟2→2, and 𝛽′12𝑟=2−2𝑏1𝑟2→2 as 𝑟→0+, for sufficiently small 𝑟, 𝛼′>12𝑟 and 𝛽′>12𝑟. Similarly, for sufficiently small 𝑟

|ℜ𝔢𝜙(𝑟ei𝜃)𝛼′|,|ℑ𝔪𝜙(𝑟ei𝜃)𝛽′|<𝒪︀(𝑟2)12𝑟=𝒪︀(𝑟3)<𝜂′𝑟3,

for some constant 𝜂′>0, so that

[ℜ𝔢ℎ(𝑟ei𝜃)]2𝛼′2+[ℑ𝔪ℎ(𝑟ei𝜃)]2𝛽′2<1+2𝜂′2𝑟6+2cos𝜃ℜ𝔢𝜙𝛼′−2sin𝜃ℑ𝔪𝜙𝛽′<1+ℴ︀(𝑟3)+4𝜂′𝑟3<1+𝜂𝑟3

for some constant 𝜂>0 and sufficiently small 𝑟. From rearrangement,

[ℜ𝔢ℎ(𝑟𝑒i𝜃)]2(𝛼′1+𝜂𝑟3)2+[ℑ𝔪ℎ(𝑟𝑒i𝜃)]2(𝛽′1+𝜂𝑟3)2<1.

Define 𝛼,𝛽 as in the theorem statement. It follows that ℎ(𝑟𝑒i𝜃) lies in the region bounded by the ellipse centered at 0 with semi-major and semi-minor axes 𝛼,𝛽, respectively.

Since ℎ(0)=∞, it follows that ℎ (which is injective by the univalence of 𝑓) maps 𝐷(0,𝑟) to a neighborhood of ∞ and maps 𝜕𝐷(0,𝑟) to the interior of the previous ellipse.

By the Jordan Curve Theorem (Theorem 1.2.5Theorem 1.2.5Theorem 1.2.5), ℂ∖ℎ(𝜕𝐷(0,𝑟)) contains two connected regions. Since ℎ maps a neighborhood 𝑈 of 𝜕𝐷(0,𝑟) to a neighborhood of ℎ(𝜕𝐷(0,𝑟)) by the Open Mapping Theorem (Theorem 5.1.1Theorem 5.1.1Theorem 5.1.1), for a point 𝑤∈ℎ(𝜕𝐷(0,𝑟)), there exists a disk 𝐷(𝑤,𝜀)⊆ℎ(𝑈), which intersects both intℎ(𝜕𝐷(0,𝑟)) and extℎ(𝜕𝐷(0,𝑟)) (because 𝑤 is an accumulation point of both sets as it lies in the boundary).

Thus, there exist points in 𝑈 which map into intℎ(𝜕𝐷(0,𝑟)), (hence map to points in the ellipse). Because ℎ maps connected sets to connected sets, and no point in ℎ(𝐷(0,𝑟)) can map to intℎ(𝜕𝐷(0,𝑟)) (as otherwise the set would be disconnected), therefore all points inside 𝐴𝑟 map into intℎ(𝜕𝐷(0,𝑟)). ⁠□

Theorem 9.2.3 (Area Principle).

If 𝑓 is schlicht and if

ℎ(𝑧)=1𝑓(𝑧)=1𝑧+∑𝑗=0∞𝑏𝑗𝑧𝑗,
then ∑𝑗=0∞𝑗|𝑏𝑗|2≤1.
Proof.

By Lemma 9.2.2Lemma 9.2.2Lemma 9.2.2, for sufficiently small 𝑟>0, ℎ(𝐴𝑟) lies in an ellipse 𝐸𝑟 with a semi-major axis

𝛼=(1𝑟+|𝑏1|𝜂)1+𝜂𝑟3

and a semi-minor axis

𝛽=(1𝑟−|𝑏1|𝜂)1+𝜂𝑟3.

The area of the ellipse is given by π𝛼𝛽=π(1𝑟2−|𝑏1|2𝜂2)(1+𝜂𝑟3). On the other hand,

π𝑟2(1+𝜂𝑟3)≥π(1𝑟2−|𝑏1|2𝜂2)(1+𝜂𝑟3)=area(𝐸𝑟)≥area(ℎ(𝐴𝑟)),

where

area(ℎ(𝐴𝑟))=12i∬𝐴𝑟|ℎ′(𝑧)|2d𝜁‾∧d𝜁(Lusin Area Theorem)=∫𝑟1∫02π|ℎ′(𝜌ei𝜃)|2𝜌d𝜃d𝜌=∫𝑟1∫02π|−𝜌−2e−2i𝜃+∑𝑗=0∞𝑗𝑏𝑗𝜌𝑗−1ei𝜃(𝑗−1)|2𝜌d𝜃d𝜌=∫𝑟1∫02π[𝜌−4+(∑𝑗=0∞𝑗𝑏𝑗𝜌𝑗−1ei𝜃(𝑗−1))∑𝑗=0∞𝑗𝑏𝑗𝜌𝑗−1ei𝜃(𝑗−1)‾+2ℜ𝔢(−𝜌−2e−2i𝜃‾∑𝑗=0∞𝑗𝑏𝑗𝜌𝑗−1ei𝜃(𝑗−1))]𝜌d𝜃d𝜌=∫𝑟1[2π𝜌−3+∫02π∑𝑗,𝑘∈ℤ≥0𝑗𝑘𝑏𝑗𝑏𝑘‾ei𝜃(𝑗−𝑘)𝜌𝑗+𝑘−1d𝜃(a)−2𝜌∫02πℜ𝔢(∑𝑗=0∞𝑗𝑏𝑗𝜌𝑗−1ei𝜃(𝑗+1))d𝜃]d𝜌=∫𝑟1[2π𝜌−3+∑𝑗,𝑘∈ℤ≥0𝑗𝑘𝑏𝑗𝑏𝑘‾(∫02πei𝜃(𝑗−𝑘)d𝜃)𝜌𝑗+𝑘−1−2𝜌ℜ𝔢(∑𝑗=0∞𝑗𝑏𝑗𝜌𝑗−1∫02πei𝜃(𝑗+1))d𝜃]d𝜌.(b)

Observe that for any 𝑛∈ℤ,

∫02πei𝑛𝜃d𝜃={2πif𝑛=0,1𝑛iei𝑛𝜃|02πotherwise={2πif𝑛=0,0otherwise.

Thus, in the second term, only terms with 𝑗=𝑘 persist. In the third term, since 𝑗+1 never vanishes, the entire third term vanishes as well.

The expansion of the summation in (a) is justified by the absolute convergence of the two factors. The switch in (b) is justified by locally uniform convergence of a power series.

As a result, we are hence left with

π𝑟2(1+𝜂𝑟3)≥∫𝑟1(2π𝜌−3+2π∑𝑗=0∞𝑗2|𝑏𝑗|2𝜌2𝑗−1)d𝜌=−π𝜌−2|𝑟1+π∑𝑗=0∞𝑗|𝑏𝑗|2𝜌2𝑗|𝑟1=π𝑟2−π+π∑𝑗=0∞𝑗|𝑏𝑗|2(1−𝑟2𝑗).

Thus,

1+𝜂𝑟3≥∑𝑗=0∞𝑗|𝑏𝑗|2(1−𝑟2𝑗).

Since each term in the right-hand side is always positive, for any 𝑁∈ℕ,

1+𝜂𝑟3≥∑𝑗=0𝑁𝑗|𝑏𝑗|2(1−𝑟2𝑗).

Taking 𝑟→0+,

1≥∑𝑗=0𝑁𝑗|𝑏𝑗|2,

which holds for any 𝑁. Thus, letting 𝑁→∞ gives the desired result. ⁠□

Theorem 9.2.4.

If 𝑓 is schlicht, then there exists a schlicht 𝑔 such that 𝑔(𝑧)2≡𝑓(𝑧2) on 𝔻.
Proof.

We aim to show 𝑓(𝑧2) has a holomorphic square root. Let 𝜇:𝑧↦𝑓(𝑧)𝑧, satisfying that 𝜇(0)=1 and that 𝜇 vanishes nowhere (because 𝑓 vanishes at 0, it may not vanish elsewhere). Therefore, 𝜇(𝑧) admits a holomorphic square root 𝑟(𝑧). Let

𝑔(𝑧)=𝑧𝑟(𝑧2)

for 𝑧∈𝔻. Then 𝑔(0)=0, 𝑔′(0)=1, and 𝑔2≡𝑓∘(𝑧↦𝑧2). We are left to show the univalence of 𝑔. Let 𝑧1,𝑧2∈𝔻 such that 𝑔(𝑧1)=𝑔(𝑧2). Then 𝑓(𝑧12)=𝑓(𝑧22), so 𝑧12=𝑧22.

Then either 𝑧1=𝑧2 or 𝑧1=−𝑧2. Assume the latter case. Since 𝑧12=𝑧12, 𝑟(𝑧12)=𝑟(𝑧22), therefore

𝑔(𝑧1)=𝑧1𝑟(𝑧12)=−𝑧2𝑟(𝑧22)=−𝑔(𝑧2),

a contradiction. Thus 𝑧1=𝑧2 and 𝑔 is schlicht. ⁠□

Theorem 9.2.5.

If 𝑓:𝔻→ℂ is schlicht and expands to 𝑧+∑𝑛=2∞𝑎𝑛𝑧𝑛, then |𝑎2|≤2.
Proof.

By Theorem 9.2.4Theorem 9.2.4Theorem 9.2.4, there exists a schlicht function 𝑔 such that 𝑔(𝑧)2=𝑓(𝑧2). Then there exists a unique Laurent series

1𝑔(𝑧)=1𝑧+∑𝑛=0∞𝑏𝑛𝑧𝑛.

By absolute convergence,

1𝑔(𝑧)2=1𝑧2+2𝑏0𝑧+(2𝑏1+𝑏02)+𝒪︀(𝑧)=1𝑓(𝑧2).

Since

1𝑓(𝑧2)=1∑𝑛=1∞𝑎𝑛𝑧2𝑛=1𝑧2⋅11+∑𝑛=1𝑎𝑛+1𝑧2𝑛=1𝑧2⋅11+𝑎2𝑧2+𝒪︀(𝑧4)=1𝑧2∑𝑗=0∞(−𝑎2𝑧2+𝒪︀(𝑧4))𝑗=1𝑧2(1−𝑎2𝑧2+𝒪︀(𝑧4))=1𝑧2−𝑎2+𝒪︀(𝑧2),

by the uniqueness of the Laurent series, the coefficients must match; therefore 2𝑏1+𝑏02=−𝑎2 and 𝑏0=0. By the Area Principle (Theorem 9.2.3Theorem 9.2.3Theorem 9.2.3) applied to 1/𝑔, we have

∑𝑛=0∞𝑛|𝑏𝑛|2≤1⟹|𝑏1|≤1,

and hence

|𝑎2|≤2|𝑏1|+|𝑏0|2≤2.□

Theorem 9.2.6 (Koebe Quarter Theorem).

If 𝑓:𝔻→ℂ is schlicht with 𝑓(𝑧)=𝑧+∑𝑛=2∞𝑎𝑛𝑧𝑛, then the image 𝑓(𝔻) contains the open disk of radius 14 centered at 𝑓(0).
Proof.

Construct a second function

𝑔(𝑧)=𝜙∘𝑓,

where 𝜙:𝑤↦𝛼𝑤𝛼−𝑤 is a Möbius transformation, holomorphic everywhere outside 𝑤=𝛼 (which 𝑓 does not attain). Since 𝜙 fixes the origin, satisfies 𝜙′(0)=1, and is univalent, 𝑔 is schlicht.

Moreover, the coefficient of 𝑧2 in the expansion of 𝑔 can be obtained from

𝑔(𝑧)=(𝑤↦𝑤1−𝑤𝛼)∘𝑓(𝑧)=𝑓(𝑧)∑𝑛=0∞(𝑓(𝑧)𝛼)𝑛=(𝑧+𝑎2𝑧2+𝒪︀(𝑧3))(1+𝑧𝛼+𝑎2𝛼𝑧2+𝒪︀(𝑧3))=𝑧+(𝑎2+1𝛼)𝑧2+𝒪︀(𝑧3),

where Theorem 9.2.5Theorem 9.2.5Theorem 9.2.5 applied to 𝑔 gives |𝑎2+1𝛼|≤2 and Theorem 9.2.5Theorem 9.2.5Theorem 9.2.5 applied to 𝑓 gives |𝑎2|≤2, therefore

|𝑎2+1𝛼|+|𝑎2|≤4⟹|1𝛼|≤4⇒|𝛼|≥14.

Then any omitted value must lie outside 𝐷(0,14), proving the result. ⁠□