A Tridiagonal Matrix
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1 A Tridiagonal Matrix We investigate the simple n n real tridiagonal matrix: α β β α β β α β M = = αi + β = αi + βt, α β β α β β α where T is defined by the preceding formula. This matrix arises in many applications, such as n coupled harmonic oscillators and solving the Laplace equation numerically. Clearly M and T have the same eigenvectors and their respective eigenvalues are related by µ = α + βλ. Thus, to understand M it is sufficient to work with the simpler matrix T. Eigenvalues and Eigenvectors of T Usually one first finds the eigenvalues and then the eigenvectors of a matrix. For T, it is a bit simpler first to find the eigenvectors. Let λ be an eigenvalue (necessarily real) and V = (v 1,v 2,...,v n ) be a corresponding eigenvector. With hindsight it will be convenient to write λ = 2c. Then 2c c c = (T λi)v = c c c 2cv 1 + v 2 v 1 2cv 2 + v 3. = v k 1 2cv k + v k+1. v n 2 2cv n 1 + v n v n 1 2cv n Except for the first and last equation, these have the form v 1 v 2 v 3. v n 2 v n 1 v n (1) v k 1 2cv k + v k+1 = 0. (2) 1
2 We can also bring the first and last equations into this same form by introducing new artificial variables v 0 and v n+1, setting their values as zero: v 0 = 0, v n+1 = 0. The result (2) is a second order linear difference equation with constant coefficients along with the boundary conditions v 0 = 0, and v n+1 = 0. As usual for such equations one seeks a solution with the form v k = r k. Equation (2) then gives 1 2cr + r 2 = 0 whose roots are r ± = c ± c 2 1 Note also 2c = r + r 1 and r + r = 1. (3) Case 1: c ±1. In this case the two roots r ± are distinct. Let r := r + = c + c 2 1. Since r = c c 2 1 = 1/r, we deduce that the general solution of (1) is v k = Ar k + + Br k = Ar k + Br k, k = 0,...,n + 1 (4) for some constants A and B. The first boundary condition, v 0 = 0, gives A + B = 0, so v k = A(r k r k ), k = 0,...,n + 1. (5) Since for a non-trivial solution we need A 0, the second boundary condition, v n+1 = 0, implies r n+1 r (n+1) = 0, so r 2(n+1) = 1. In particular, r = 1. Using (3), this gives 2 c r + r 1 = 2. Thus c 1. In fact, c < 1 because we are assuming that c ±1. Case 2: c = ±1. Then r = c and the general solution of (1) is now v k = (A + Bk)c k. The boundary condition v 0 = 0 implies that A = 0. The other boundary condition then gives 0 = v n+1 = B(n + 1)c n+1. This is satisfied only in the trivial case B = 0. Consequently the equations (1) have no non-trivial solution for c = ±1. It remains to rewrite our results in a simpler way. We are in Case 1 so r = 1. Thus r = e iθ, c = cosθ, and 1 = r 2(n+1) = e 2i(n+1)θ. Consequently 2(n + 1)θ = 2kπ for some 1 k n (we exclude k = 0 and k = n + 1 because we know that c ±1, so r ±1). Normalizing the eigenvectors V by the choice A = 1/2i, we summarize as follows: 2
3 Theorem 1 The n n matrix T has the eigenvalues and corresponding eigenvectors λ k = 2c = 2cosθ = 2cos kπ n+1, 1 k n V k = (sin n+1 kπ 2kπ nkπ,sin n+1,...,sin n+1 ). REMARK 1. If n = 2k+1 is odd, then the middle eigenvalue is zero because (k+1)π/(n+ 1) = (k + 1)π/2(k + 1) = π/2. REMARK 2. Since 2ab = a 2 + b 2 (a b) 2 a 2 + b 2 with equality only if a = b, we see that for any x R n x, T x = 2(x 1 x 2 + x 2 x x n 1 x n ) x (x x 2 n 1) + x 2 n 2 x 2 with equality only if x = 0. Similarly x, T x 2 x 2. Thus, the eigenvalues of T are in the interval 2 < λ < 2. Although we obtained more precise information above, it is useful to observe that we could have deduced this so easily. REMARK 3. Gershgorin s circle theorem is also a simple way to get information about the eigenvalues of a square (complex) matrix A = (a i j ). Let D i be the disk in the complex plane whose center is at a ii and radius is R i = j i a i j, so These are the Gershgorin disks. λ a j j R j. Theorem 2 (Gershgorin) Each eigenvalues of A lies in at least one of these Gershgorin discs. Proof: Say Ax = λx and say x i = max j x j. The i th component of Ax = λx is so That is, λ a ii R i, as claimed. (λ a ii )x i = a i j x j j i (λ a ii )x i a i j x j R i x i. j i Example By Gershgorin s theorem, we observed immediately that all of the eigenvalues of T satisfy λ 2. 3
4 Determinant of T λi We use recursion on n, the size of the n n matrix T. It will be convenient to build on (1) and let D n = det(t λi). As before, write λ = 2c. Then, expanding by minors using the first column of (1) we obtain the formula D n = 2cD n 1 D n 2 n = 3,4,... (6) Since D 1 = 2c and D 2 = 4c 2 1, we can use (6) to define D 0 := 1. The relation (6) is, except for the sign of c, is identical to (2). The solution for c ±1 is thus where D k = As k + Bs k, k = 0,1,..., (7) 2c = s + s 1 and s = c + c 2 1. (8) This time we determine the constants A, B from the initial conditions D 0 = 1 and D 1 = 2c. The result is 1 D k = 2 c 2 1 (sk+1 s (k+1) ) if c ±1, (9) ( c) k (k + 1) if c = ±1. For many purposes it is useful to rewrite this. Case 1: c < 1. Then s = c + i 1 c 2 has s = 1 so s = e iα and c = cosα for some 0 < α < π. Therefore from (9), D k = sin(k + 1)α. (10) sinα Case 2: c > 1. Write c = coshβ for some β > 0. Since e β e β = 2c = s+s 1, write s = e β. Then from (9), k sinh(k + 1)β D k = ( 1), (11) sinhβ where we chose the sign in c 2 1 = sinhβ so that D 0 = 1. Case 3: c < 1. Write c = coshβ for some β > 0. Since e t + e t = 2c = s + s 1, write s = e β. Then from (9), sinh(k + 1)β D k =, (12) sinhβ where we chose the sign in c 2 1 = +sinht so that D 0 = 1. Note that as t 0 in (10) (12), that is, as c ±1. these formulas agree with the case c = ±1 in (9). 4
5 A Vibrating String (coupled oscillators) Say we have n particles with the same mass m equally spaced on a string having tension τ. Let y k denote the vertical displacement if the k th mass. Assume the ends of the string are fixed; this is the same as having additional particles at the ends, but with zero displacement: y 0 = 0 and y n+1 = 0. Let φ k be the angle the segment of the string between the k th and k+1 st particle makes with the horizontal. Then Newton s second law of motion applied to the k th mass asserts that mÿ k = τsinφ k τsinφ k 1, k = 1,...,n. (13) If the particles have horizontal separation h, then tanφ k = (y k+1 y k )/h. For the case of small vibrations we assume that φ k 0; then sinφ k tanφ k = (y k+1 y k )/h so we can rewrite (13) as ÿ k = p 2 (y k+1 2y k + y k 1 ), (14) where p 2 = τ/mh. This is a system of second order linear constant coefficient differential equations with the boundary conditions y 0 (t) = 0 and y n+1 (t) = 0. As usual, one seeks special solutions of the form y k (t) = v k e αt. Substituting this into (14) we find α 2 v k = p 2 (v k+1 2v k + v k 1 ), that is, α 2 is an eigenvalue of p 2 (T 2I). From the work above we conclude that α 2 k = 2p2 (1 cos kπ n+1 ) = 4p2 sin 2 kπ 2(n+1), so α k = 2ipsin kπ 2(n+1), k = 1,...,n. The corresponding eigenvectors V k are the same as for T. Thus the special solutions are Y k (t) = V k e kπ 2ipt sin 2(n+1), where Y (t) = (y 1 (t),...,y n (t)). 5
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