Numerical Ranges of KMS Matrices

A KMS matrix is one of the form J_n(a)=[{array}{ccccc} 0 & a & a^2 &... & a^{n-1} & 0 & a & \ddots & \vdots & & \ddots & \ddots & a^2 & & & \ddots & a 0 & & & & 0{array}] for $n\ge 1$ and $a$ in $\mathbb{C}$. Among other things, we prove the following properties of its numerical range: (1) $W(J_n(a))$ is a circular disc if and only if $n=2$ and $a\neq 0$, (2) its boundary $\partial W(J_n(a))$ contains a line segment if and only if $n\ge 3$ and $|a|=1$, and (3) the intersection of the boundaries $\partial W(J_n(a))$ and $\partial W(J_n(a)[j])$ is either the singleton \{\min\sigma(\re J_n(a))\} if $n$ is odd, $j=(n+1)/2$ and $|a|>1$, or the empty set $\emptyset$ if otherwise, where, for any $n$-by-$n$ matrix $A$, $A[j]$ denotes its $j$th principal submatrix obtained by deleting its $j$th row and $j$th column ($1\le j\le n$), \re A its real part $(A+A^*)/2$, and $\sigma(A)$ its spectrum.Comment: 35 page

Power Partial Isometry Index and Ascent of a Finite Matrix

We give a complete characterization of nonnegative integers $j$ and $k$ and a positive integer $n$ for which there is an $n$-by-$n$ matrix with its power partial isometry index equal to $j$ and its ascent equal to $k$. Recall that the power partial isometry index $p(A)$ of a matrix $A$ is the supremum, possibly infinity, of nonnegative integers $j$ such that $I, A, A^2, \ldots, A^j$ are all partial isometries while the ascent $a(A)$ of $A$ is the smallest integer $k\ge 0$ for which $\ker A^k$ equals $\ker A^{k+1}$. It was known before that, for any matrix $A$, either $p(A)\le\min\{a(A), n-1\}$ or $p(A)=\infty$. In this paper, we prove more precisely that there is an $n$-by-$n$ matrix $A$ such that $p(A)=j$ and $a(A)=k$ if and only if one of the following conditions holds: (a) $j=k\le n-1$, (b) $j\le k-1$ and $j+k\le n-1$, and (c) $j\le k-2$ and $j+k=n$. This answers a question we asked in a previous paper.Comment: 11 page

Weighted Shift Matrices: Unitary Equivalence, Reducibility and Numerical Ranges

An $n$-by-$n$ ($n\ge 3$) weighted shift matrix $A$ is one of the form [{array}{cccc}0 & a_1 & & & 0 & \ddots & & & \ddots & a_{n-1} a_n & & & 0{array}], where the $a_j$'s, called the weights of $A$, are complex numbers. Assume that all $a_j$'s are nonzero and $B$ is an $n$-by-$n$ weighted shift matrix with weights $b_1,..., b_n$. We show that $B$ is unitarily equivalent to $A$ if and only if $b_1... b_n=a_1...a_n$ and, for some fixed $k$, $1\le k \le n$, $|b_j| = |a_{k+j}|$ ($a_{n+j}\equiv a_j$) for all $j$. Next, we show that $A$ is reducible if and only if $A$ has periodic weights, that is, for some fixed $k$, $1\le k \le \lfloor n/2\rfloor$, $n$ is divisible by $k$, and $|a_j|=|a_{k+j}|$ for all $1\le j\le n-k$. Finally, we prove that $A$ and $B$ have the same numerical range if and only if $a_1...a_n=b_1...b_n$ and $S_r(|a_1|^2,..., |a_n|^2)=S_r(|b_1|^2,..., |b_n|^2)$ for all $1\le r\le \lfloor n/2\rfloor$, where $S_r$'s are the circularly symmetric functions.Comment: 27 page

Higher rank numerical ranges of normal matrices

The higher rank numerical range is closely connected to the construction of quantum error correction code for a noisy quantum channel. It is known that if a normal matrix $A \in M_n$ has eigenvalues $a_1, \..., a_n$, then its higher rank numerical range $\Lambda_k(A)$ is the intersection of convex polygons with vertices $a_{j_1}, \..., a_{j_{n-k+1}}$, where $1 \le j_1 < \... < j_{n-k+1} \le n$. In this paper, it is shown that the higher rank numerical range of a normal matrix with $m$ distinct eigenvalues can be written as the intersection of no more than $\max\{m,4\}$ closed half planes. In addition, given a convex polygon ${\mathcal P}$ a construction is given for a normal matrix $A \in M_n$ with minimum $n$ such that $\Lambda_k(A) = {\mathcal P}$. In particular, if ${\mathcal P}$ has $p$ vertices, with $p \ge 3$, there is a normal matrix $A \in M_n$ with $n \le \max\left\{p+k-1, 2k+2 \right\}$ such that $\Lambda_k(A) = {\mathcal P}$.Comment: 12 pages, 9 figures, to appear in SIAM Journal on Matrix Analysis and Application

Higher-rank Numerical Ranges and Kippenhahn Polynomials

We prove that two n-by-n matrices A and B have their rank-k numerical ranges $\Lambda_k(A)$ and $\Lambda_k(B)$ equal to each other for all k, $1\le k\le \lfloor n/2\rfloor+1$, if and only if their Kippenhahn polynomials $p_A(x,y,z)\equiv\det(x Re A+y Im A+zI_n)$ and $p_B(x,y,z)\equiv\det(x Re B+y Im B+zI_n)$ coincide. The main tools for the proof are the Li-Sze characterization of higher-rank numerical ranges, Weyl's perturbation theorem for eigenvalues of Hermitian matrices and Bezout's theorem for the number of common zeros for two homogeneous polynomials.Comment: 16 pages, 1 figur

Numerical ranges of reducible companion matrices

AbstractIn this paper, we show that a reducible companion matrix is completely determined by its numerical range, that is, if two reducible companion matrices have the same numerical range, then they must equal to each other. We also obtain a criterion for a reducible companion matrix to have an elliptic numerical range, put more precisely, we show that the numerical range of an n-by-n reducible companion matrix C is an elliptic disc if and only if C is unitarily equivalent to A⊕B, where A∈Mn-2, B∈M2 with σ(B)={aω1,aω2}, ω1n=ω2n=1, ω1≠ω2, and |a|⩾|ω1+ω2|+|ω1+ω2|2+4(1+2cos(π/n))/2