I.

P R E L I M I N A R I E S

The purpose of this first chapter is to introduce the Z P - s p a c e s and

discuss their basic properties. For complete proofs and more de tail~
we also refer the reader to [86 | and [8~] .

I. SOME T O P O L O G I C A L PROPERTIES OF BANACH SPACES

Our aim here is to recall certain notions of general Banach space

theory and the relations between these notions. They will have their
importance especially in the study of s and Z'-spaces.
For simplicity, we only consider real Banach spaces.

A sequence (x n) in a Banach space X is called a weak Cauchy sequence

provided (xX(Xn)) converges, whenever x x is a member of the dual X ~
of X.
Let A be a subset of X. We say that A is weakly c o n d i t i o n a l l y com-
pact (WCC) if every sequence in A has a weak Cauchy subsequence.
Since a weak Cauchy sequence is always bounded, WCC sets are bounded.

We say that a bounded sequence (x n) in X is equivalent to the usual

s if there exists 6 > 0 such that

U~=.I ak XkH ~ $ Zk=ln lakl

whenever al,...,a n is a finite set of scalars.
It is clear that then the closed subspace [x n ; n] of X g e n e r a t e d
by the sequence (x n) is isomorphic to s

It is w e l l - k n o w n (and easily seen) that if (x n) is an s in X,

then (x n) has no weak Cauchy subsequences. In fact, the f o l l o w i n g
holds

PROPOSITION I.i :
I. A bounded sequence (x n) in a Banach space X either has a weak
Cauchy subsequence or has a s u b s e q u e n c e which is equivalent to
the usual s
2. Consequently, any bounded non-WCC subset of X contains an ~l-basis.

This result, due to H.P. Rosenthal [10~] , is of s e t t h e o r e t i c a l nature.

An easy proof is o b t a i n e d by u s i n g Ramsey type arguments.
Let us r e m a r k that prop. I.i also holds in c o m p l e x version, as shown
by L. Dot [~6] .

WCC sets have several nice stability properties. So for i n s t a n c e

PROPOSITION 1.2 : If A is a WCC subset of X, then also the a b s o l u t e l y

convex hull F(A) of A is WCC.

Related results can be found in [ ~ ] , [lo5] and [33].

If X and Y are Banach spaces, t h e n we say that X is h e r e d i t a r i l y Y

provided every infinite dimensional, closed subspace of X c o n t a i n s
an i s o m o r p h i c copy of Y.
If X, Y and Z are Banach spaces and T : X ~ Y an o p e r a t o r , then we
say that T fixes a copy of Z p r o v i d e d T is a n into isomorphism when
restricted to some subspace of X w h i c h is i s o m o r p h i c to Z.

The next proposition is a m o r e or less d i r e c t consequence of E b e r -

lein's theorcn cn weak c o m p a c t n e s s and the p r e c e d i n g

PROPOSITION 1.3"': For a Banach space X, the following are equivalent

1. R e l a t i v e l y weakly compact sets in X are r e l a t i v e l y n o r m compact.
2. W e a k l y convergent sequences in X are n o r m c o n v e r g e n t .
3. WCC subsets of X are r e l a t i v e l y norm compact.
4. Weak Cauchy sequences in X are norm c o n v e r g e n t .
5. A b o u n d e d subset of X is either relatively norm compact or con-
tains an s
6. If Y is a Banach space and T : Y + X an o p e r a t o r , then T is
either compact or fixes a copy of s

DEFINITION 1.4 : If X fulfils the above properties, then we say

that X has the Schur-property.

Remark that a subspace of a Banach space w i t h the Schur property

also has the Schur property. T h e best known example of a Schur space
is s itself. In fact, we have the following result, which is
immediate from 1.3.
C O R O L L A R Y 1.5 : If X has the Schur property, then X is h e r e d i t a r i l y
41 .
The c o n v e r s e however is false.

The next result is in the same spirit as 1.3.

PROPOSITION 1.6 : For a Banach space X, the f o l l o w i n g are e q u i v a l e n t

1. Every WCC subset of X is r e l a t i v e l y w e a k l y compact.
2. Weak Cauchy sequences in X are w e a k l y convergent.
3. A bounded subset of X is either r e l a t i v e l y w e a k l y compact or
contains an s
4. If Y is a Banach space and T : Y § X an operator, then T is
either weakly compact or fixes a copy of 41 .

DEFINITION 1.7 : If X satisfies the c o n d i t i o n s of 1.6, we say that

X is weakly sequentially complete (WSC).

Remark that again a subspace of a WSC space is WSC. Reflexive spaces

are o b v i o u s l y WSC. All L l ( ~ ) - s p a c e s are WSC (see [50], IV).

1,6 has the f o l l o w i n g 2 i m m e d i a t e corollaries, without converse

(cfr. [79 ] ).

COROLLARY 1.8 : If X is Schur, then X is WSC.

COROLLARY 1.9 : A n o n - r e f l e x i v e WSC space c o n t a i n s s Hence if X

is WSC and has no infinite d i m e n s i o n a l reflexive subspaces, then X
is h e r e d i t a r i l y 41 .

DEFINITION 1.10 : We will say that a Banach space X has the D u n f o r d -

Pettis property (D-P), p r o v i d e d lim x~(x n) = 0 w h e n e v e r (x n) is
n
weakly null in X and (x~) w e a k l y null in X x.
In fact, we may clearly assume one of the sequences (Xn), (x~) only
weakly Cauchy. So the D-P p r o p e r t y means that w e a k l y null sequences
in X (resp. X ~) c o n v e r g e u n i f o r m e l y to 0 on WCC subsets of X x
(resp. X).

It follows i m m e d i a t e l y from the d e f i n i t i o n that X is D-P if X ~ is

D-P. The c o n v e r s e is false.
PROPOSITION 1.11 : A Banach space X is D - P iff the following holds
If Y is a B a n a c h space and T : X § Y a weakly compact operator,
then T maps weak compact sets onto norm compact sets.

Proof : We h a v e to show that if X is D - P and T : X + Y weakly

compact, then lim lITxn 11 = 0 w h e n e v e r lim x n = 0 w e a k l y in X.
n n
Suppose not, then t h e r e e x i s t s some e > 0 a n d a s e q u e n c e (Yn
x) in Yx
so that Uy~Ll ( 1 and <Txn,Y[> > e for each n (replacing (x n) by a
subsequenee). Since also Tx : Yx § X x is w e a k l y compact, (TXy~) is
relatively weakly compact in X x. The fact that <Xn '• Yn > e for
all n gives the contradiction.
Let us now pass to the converse and assume l i m x n = 0 w e a k l y in X
n
and lim x ~ : 0 w e a k l y in X x. C o n s i d e r the operator T : X § c O
n
n
m a p p i n g x o n t o (<x,x~>). It is e a s i l y seen by d u a l i s a t i o n that T
is a w e a k compact operator. Thus, by h y p o t h e s i s , lim iITxnR = 0
n
and consequently also lim <Xn,X[> = O.
n

The next 2 corollaries are direct consequences of 1.11.

COROLLARY 1.12 : A reflexive Banach space is D-P if and only if

it is f i n i t e dimensional.

COROLLARY 1.13 : Any complemented subspace of a D-P space is a

D-P space.

It was shown by G r o t h e n d i e c k (see [63]) that LI(u) and C(K) spaces

are D-P spaces. The fact that s imbeds in L 1 shows that a subspace
of a D-P space is not necessarily a D-P space.
Obviously Schur spaces are D-P.

2. ULTRAPRODUCTS AND s

Especially in the local Banach space theory, the notion of Banach-

Mazur distance is i m p o r t a n t .

DEFINITION 1.14 : For normed linear spaces E and F, we let

d(E,F) = inf {UTIi IIT-IU ; T : E ~ F is an o n t o isomorphism}

(in case E and F are not isomorphic, take d(E,F) = ~).

DEFINITION 1.15 : Assume X and Y Banach spaces. We say t h a t X is
finitely representable in Y p r o v i d e d for any finite dimensional
subspace E of X and e > 0, t h e r e is a s u b s p a c e F of Y s a t i s f y i n g
d(E,F) < 1 + e.

We w i l l now recall the definition of u l t r a p r o d u c t of Banach spaces

and some related basic properties. This notion was introduced by
D. D a c u n h a Castelle and J.L. Krivine in [SZ] and later studied more
intensively by J. Stern [~7~] and S. H e i n r i c h [gg]

DEFINITION 1.16 : Let I be a set, (Xi)iC I a family of Banach spaces

and U a free ultrafilter on I.
The ultraproduct (Xi) U of the (X i) w i t h respect to U w i l l be the
quotient space of the space

s i ; i E !) = {(x i) ; x i 9 X i and Jl(xi)]J : sup E1xil3 < ~}

i
by its subspace

N U = {(x i) ; lim llxill = 0}

U

Let us remark _hat Ji(xi)iEU : lim E1xill for (x i) in (Xi) 8.

U

If the X i are a same space X, then there is an o b v i o u s inbedding

of X in (X i = X) U : (X) U.

PROPOSITION 1.17 : The following classes of Banach spaces are stable

under ultraproducts
1. Banach algebras
2. Banach lattices
3. C(K) spaces, for K compact Hausdorff
4. LP(~) spaces, where ~ is a o - a d d i t i v e measure and 1 ~ p < =.

The proof for (3) and (4) r e l i e s on t h e abstract lattice charac-

terization due to Kakutani [73], [80] for C(K) and LP( ) spaces.
The next three propositions are due to J. Stern [115].

PROPOSITION 1.18 : Any ultraproduct (X) of a s p a c e X is f i n i t e l y

U
representable in X.
PROPOSITION 1.19 :
I. Let B be a f a m i l y of Banach spaces, X a Banach space and c < ~
a constant. Suppose t h a t for dny fii~ite dimensL~r~a] sub,pace [i of
X and e > 0 there is some B E B and a subspace F of B so that
d(E,F) < c + s. T h e n there is an u l t r a p r o d u c t Y of elements of B
and a subspace X' of Y such that d(X,X') ( c.

2. If in p a r t i c u l a r X is f i n i t e l y representable in Y, t h e n X is
isometric to a s u b s p a c e of some ultraproduet (Y)u of Y.

PROPOSITION 1.20 :
1. Let B be a f a m i l y of Banach spaces, X a Banach space and c <
a constant. Suppose that for any finite dimensional subspace E of
X there exist some subspace F of X and some B E B so t h a t E C F
and d(F,B) ( c. T h e n the bidual X~ of X is i s o m o r p h i c to a
complemented subspace of an u l t r a p r o d u c t of elements of B.

2. In p a r t i c u l a r , X zx is i s o m e t r i c to a 1 - c o m p l e m e n t e d subspace
of some ultraproduct (X) U of X.

The proof of 1.18 and 1.19 is s t r a i g h t f o r w a r d . The last result is

a reformulation of t h e well-known principle of l o c a l reflexivity.
We now pass to the d e f i n i t i o n of s

For 1 & p ( ~ and n = 1,2,..., we d e n o t e s the space ~n

equipped with the s

DEFINITION 1.21 : Assume 1 ~ p ~ ~ and 1 ( X < =. A Banach space

X is c a l l e d a s provided for any finite dimensional sub-
space E of X, t h e r e is a f i n i t e dimensional subspace F of X s a t i s -
fying E C F and d ( F , ~ P ( n ) ) ~ 4, w h e r e n = dim F.
We say that X is s if X is s for all ~' > ~.

A s space is a s for some X < ~.

Thus s spaces are like zP f r o m the local point of view. As we

will see, this local property has however several implications on
the global structure of t h e s e spaces.
PROPOSITION 1.22 : Any ultraproduct of s is a s

Proof : This follows easily from the {lefinition ~{nd the fact that
given ,~ p o s i t i v e integer m and e > If, there e~xt~:t.,~: s~,me po,,~itive
integer n = n(m,e) such that any m-dimensional subspace E of ~P
is c o n t a i n e d in an n - d i m e n s i o n a l subspace P of s with
d(F,s < 1 + e.

PROPOSITION 1.23 :
1. If 1 < p < ~ and X is s then X is i s o m o r p h i c to a c o m p l e m e n t e d
subspace of some LP(~)-space.

2. If X is s (resp. s then X m~ is isomorphic to a c o m p l e m e n t e d

subspace of an LI(~) (resp. C(K))-space.

Proof : We will use 1.20 (1), taking for B the class of L P - s p a c e s

if 1 ~ p < ~ and C(K)-spaces if p = ~. The definition of s
yields us p r e c i s e l y the r e q u i r e d condition. Consequently, taking
also 1.17 in a c c o u n t , X~ is i s o m o r p h i c to a c o m p l e m e n t e d subspace
of some eleme:.~ of B. It f o l l o w s that X is r e f l e x i v e in c a s e
1 < p < ~ and hence itself isomorphic to a c o m p l e m e n t e d subspace
of some LP(~).

It is w e l l - k n o w n that for 1 ( p < ~ any subspace of an L P ( ~ ) - s p a c e

in w h i c h s is f i n i t e l y representable, has a further subspaee
isomorphic to s and complemented in t h i s LP(~)-space. Therefore
the following result holds

PROPOSITION 1.24 : Any infinite dimensional s (1 ~ p < =)

has a complemented subspace isomorphic to ~P.

As will be shown later, 1.24 does not extend to the case p = ~.

PROPOSITION 1.25 : If X is a s and Y a complemented sub-

space of X c o n t a i n i n g Zp (c O in case p = ~), then Y is also fP.

Proof : Take for c o n v e n i e n c e S = ~P if 1 & p < ~ and S : c O if

p : ~. Let X be a s Denote P : X ~ Y the projection and
let Z be a s u b s p a c e of Y i s o m o r p h i c to S.
Fix a f i n i t e dimensional subspace E of Y. T h e n E is c o n t a i n e d in
some subspace F of X which is k - i s o m o r p h i c Lo a f i n i l e dimensional
s Denote V = P(F) and W = (I-P)(F). Because V is f i n i t e
dimensional, it is p o s s i b l e to c h o o s e a subspaee Z I of Z s a t i s f y i n g
d(ZI,S) .< d(Z,S) and m a x (ily[l,ilzll) .< 4]ly+zU if y E V and z 6 Z I.
There is a s u b s p a c e W' of Z 1 and an isomorphism t : W ~ W', where
UtlIIl%-lll o n l y depends on k and d(Z,S). Assume llt~ .< I.
Introduce now the m a p T : F + Y d e f i n e d by Tx = Px + t (x-Px) and
1 lix II
take F' = T(F). Then lITxI[ > ~ m a x (ilPxll, ilt(x-Px)ll) ~ - - for
811t-l(I
x E F and thus d(F,F') .< 2411t-CIIIIPII, as an easy computaticn shows.
Moreover E C F', since T is the identity on E. It f o l l o w s that Y
is a s where ~ only depends on X, ~Pn and d(Z,S).

The following results are well-known facts of c l a s s i c a l Banach

space theory : C(K)-spaces have the Pelezynski-property, which
means that if X is a C ( K ) - s p a c e , Y a Banach space and T : X § Y
an o p e r a t o r , then T is e i t h e r weakly compact or fixes a copy of
the space c O . Any non-weakly compact operator T between Ll-spaces
X and Y fixes a copy of the space ~1.

Since complemented subspaces of C(K) and Ll(~)-spaces are D-P,

we d e d u c e from 1.12, 1.25 and the preceding

PROPOSITION 1.26 : C o m p l e m e n t e d subspaces of C(K) (resp. LI(B))

s
-spaces are (rasp. s

The following dualization property holds

PROPOSITION 1.27 : A Banach space X is s if and only if the dual

X ~ of X is s where p , q are as u s u a l l y related by p-I + q-I = 1
(-1 : 0).

Proof : If X ~m is s then X is a l s o s by local reflexivity.

If 1 < p < ~ and X is an infinite dimensional s then X is
isomorphic to a c o m p l e m e n t e d subspace of LP(~) and has a comple-
mented ~P-subspaee, by 1.23 and 1.24. Consequently X ~ is i s o m o r p h i c
to a c o m p l e m e n t e d subspace of Lq(~) and has an s Applying
1.2S, it f o l l o w s that X ~ is s
 10

If X is s (resp. s then X zz is isomorphic to a c o m p l e m e n t e d

subspace of an LI(u) (resp. C(K)) space. Thus X ~xx and c o n s e q u e n t l y
X ~ are isomorphic to a c o m p l e m e n t e d subspace of a C(K) (resp. LI(u))
space and it remains to apply 1.26.

PROPOSITION 1.28 : A complemented subspace of a s (resp. s

space is a s (resp. s

Proof : If X is c o m p l e m e n t e d in a s (resp. s then X ~ is

isomorphic to a complemented subspace of an LI(~) (resp. C(K))
space and hence s (resp. s (by 1.23 and 1.26). Therefore X is
also s (resp. s

Since s are isomorphic to subspaces of Ll(~)-spaces, we

find

COROLLARY 1.29 : Any s and in particular duals of f ~-spaces

are WSC.

The even dua:~ (of order ~ 2) of a s ~ s p a c e are isomorphic to

complemented subspaces of C(K)-spaces. Hence

COROLLARY 1.30 : s s and all their duals have the D-?

property.

In the next section, we will introduce s =-spaces in another way.

Further properties of separable s will be given in chapter
III. More details concerning s (1 < p < ~) are also
presented in chapter V.

3. C H A R A C T E R I Z A T I O N OF s ~ S P A C E S BY EXTENSION PROPERTIES OF OFERATORS

Let us start by recalling the d e f i n i t i o n of an injective Banach

space.

DEFINITION 1.31 : A Banach space X is called injective provided

the f o l l o w i n g holds :
 11

If Y, Z are Banach spaces such that Y is a s u b s p a c e of Z and

T : Y § X is a b o u n d e d linear operator, then t h e r e is an e x t e n s i o n
operator T : Z § X such that Ty = Ty for all y 6 y.
This gives the f o l l o w i n g diagram
T
Y ~ X

It is easy to see that if X is injective, some c o n s t a n t ~ > ~ can

be found such that the o p e r a t o r T can be c h o o s e n in such a w a y that
li~Ll ~ XLIT11. In this case, X is called a Pl-space.
Well-known examples of injective spaces are i~(F) (F being any set)
and L'(z)-spaoes. In fact, any infinite dimensional injective space
c ont a i n s an isomorphic copy of s For more d e t a i l s about injecti-
vity, we r e f e r the r e a d e r to [8~] and H.P. Rosenthal's paper [%0~] 9

In the same spirit as 1.31, we may introduce extension properties

with respect to c e r t a i n classes of operators.

DEFINITION 1.32 : We say that a B a n a c h space X has the c o m p a c t

(resp. weakly compact) extension property, if the following holds :
If Y, Z are Banach spaces such that Y is a s u b s p a c e of Z and
T : Y + X is a compact (resp. weakly compact) operator, then there
exists a compact (resp. weakly compact) extension operator
T : Z ~ X.

The compact extension property was studied and completely charac-

terized by J. L i n d e n s t r a u s s [88]. The following result holds

PROPOSITION 1.33 : For a Banach space X, f o l l o w i n g properties are

equivalent
1. X is a s
2. X has the compact extension property
3. X ~ is i n j e c t i v e
4. X ~m is a c o m p l e m e n t e d subspace of a C(K)-space.

Let us give the idea of the proof. Since s have a s

local structure, finite rank o p e r a t o r s into X can be e x t e n d e d with
a bound on the norm of the extension operator. The extension of
compact operators into X happens then by finite rank approximation.
 12

If m o r e o v e r X is i s o m o r p h i c to a dual space, then a w - c o m p a c t n e s s

argument allows us to extend any b o u n d e d operator into X and hence
X is injective.
Suppose now X has compact extension property and d e n o t e K the
closed unit ball of X ~xx. We see X x~ as subspace of C(K), K endowed
with the w X - t o p o l o g y . By local reflexivity, it is p o s s i b l e to extend
the identity on finite dimensional subspaces of X xx to b o u n d e d
operators from C(K) into X xx. Again by c o m p a c t n e s s , this gives a
projection of C(K) onto X xx.

Let us now pass to the w e a k l y compact extension property.

We will use the f o l l o w i n g result, due to W.J. DAVIS, T. Figiel,
W.B. Johnson and A. Pelczynski, for w h i c h the r e a d e r is r e f e r r e d
to [~0 l or [ ~ 1 .

PROPOSITION 1.34 : If X is a Banach space and A a r e l a t i v e l y

weakly compact subset of X, then there exist a reflexive space Y
and an o p e r a t o r T : Y ~ X such that A is c o n t a i n e d in the image of
the ball of Y.

The w e a k l y compact extension property is c h a r a c t e r i z e d by

PROPOSITION 1.35 : The f o l l o w i n g properties for a Banach space X

are equivalent
1. X has the w e a k l y compact extension property
2. X is a s possessing the Schur property

Proof :

(1) = (2) : By 1.33 and 1.34, it suffices to show that any o p e r a t o r

T : Y ~ X with Y r e f l e x i v e is compact. There exists a C(K)-space Z
in w h i c h Y imbeds isometrically (take for instance K the c l o s e d
unit ball of the dual yX). By h y p o t h e s i s , T has a w e a k l y compact
extension T : Z ~ X. Since the ball of Y is w e a k l y compact and Z
has the D-P property, T maps the ball of Y onto a norm compact sub-
set of X (1.11). Consequently T is compact.
(2) = (1) : Obvious by 1.33, since the c o m p a c t and weakly compact
operators into X are the same.
 13

For a long time, one b e l i e v e d that infinite d i m e n s i o n a l s

always have a c o - s u b s p a c e and c o n s e q u e n t l y the only Banach spaces
with weakly compact e x t e n s i o n p r o p e r l y are the fJn[te d i m e n s i o ~ a l
spaces.
In c h a p t e r llI, an infinite d i m e n s i o n a l s with the Schur
property will be constructed.

REMARKS
1. It follows from the proof of 1.33 that in fact in the d e f i n i t i o n
of compact e x t e n s i o n property, we do not have to r e q u i r e the
c o m p a c t n e s s of the e x t e n d i n g o p e r a t o r ~. This is o b v i o u s l y not
the case for the weakly compact e x t e n s i o n property.

2. There are other so called H a h n - B a n a c h c h a r a c t e r i z a t i o n s of

s where now the space is the d o m a i n of the compact
operator. These can be found in [ 8 ~ ] , [8~] or [ ~ ] .
II. GEOMETRICAL IMPLICATIONS OF CERTAIN FINITE DIMENSIONAL STRUCTURES

This chapter' [u in the f i r s t place an [ntroduct[ol, to the n e x t one.

More precisely, we w i l l discuss here Banaeh s~ace structures which
will occur in t h e particular examples constructed in t h e next
chapter.
However, we think that the matePial presented here also has an
independent interest, as w i l l be clear from several other appli-
cations.

1. G E O M E T R I C A L INTRODUCTION

We say that a Banach space X has the Radon-Nikodym property (RNP)

provided for every finite measure space (~,E,~) and every U-
continuous vectormeasure F : ~ ~ X of finite variation, there
exists a Bochner integrable function f : ~ + X such that
F(E) = f f d~ for every E 6 E 9
E

The R N P of X is e q u i v a l e n t with the fact that all uniformely

bounded X-valued martingales on a f i n i t e measure space are
convergent a.e.
Besides these probabilistic characterizations of RNP, we c a n
also introduce R N P as a g e o m e t r i c a l property. Let us say t h a t
a subset A of X is d e n t a b l e if f o r a l l e > 0 there exists x 6 A
satisfying x ~ ~(A\B(x,e)), where B(x,6) denotes the open ball
with midpoint x and radius e. If a n y (nonempty) bounded subset
o f X is d e n t a b l e , then X is c a l l e d a dentable Banach space. It is
known that RNP and dentability of a space are equivalent proper-
ties. For the equivalence of t h o s e two (and a l s o other) properties,
we r e f e r the reader to J. D i e s t e l and J.J. Uhl's book [~5] 9
In fact, a simple separation argument shows that dentability of a
set A in a s p a c e X means that for any c > 0 there exist some x
in t h e d u a l X ~ and e > 0 so t h a t the set

S(x~,A,~) = {x e A ; XX(X) ~ sup xX(A) - e}

has diameter less than E.

 15

Following R. Phelps (see [100]), we will call the set introduced

above a slice of A. It is n o w an easy exercice to see that a
dentable Banach space X satisfies the property of e x i s t e n c e of
points of c o n t i n u i t y .
(PC) : For any nonempty bounded and closed subset A of X, the
identity on A has a weak-norm point of c o n t i n u i t y .
Various authors pointed out that RNP is s e p a r a b l y determined
[cfr. [%3] , [ ~ ] ) . A similar argument shows that this is a l s o
true for (PC). More precisely, the following is t r u e

THEOREM 2.1 : Suppose X is a s p a c e failing RNP (resp. PC).

Then X has a subspace Y with a finite-dimensional Sehauder
decomposition failing RNP (resp. PC).

Recall that (Pn,Mn) is a f i n i t e dimensional Schauder decomposition

(F.D.D) for the Banach space X iff e a c h Pn is a c o n t i n u o u s linear
projection of X onto the finite dimensional Mn, Pn Pm = 0 if n ~ m
and x = ~ P (x) for each x E X.
n n
Theorem 2.1 for the RNP f o l l o w s f r o m the following result proved
in [ Z0] . As~u_.~ X w i t h o u t RNP. Then for each X > 1 there exist a
subspace ~ of X, a u n i f o r m e l y bounded ][-valued martingale ([t])
and a sequence (S n : ~ + ]( ) of finite rank projections, such
that
I. x : lira S (x) for each x E J6
n
n
2. lISnll ~ X

3. S S : S S = S if m.< n
m n n m m

4. Sn ['n+l = (n
5. ([.n) is n o w h e r e convergent

The PC-case is e a s i e r and the argument is in fact also contained

in [Z0].
In what follows, sufficient conditions on a d e c o m p o s i t i o n will be
given to e n s u r e the RNP or PC p r o p e r t y of the generated space.
 18

2. SKIPPED BLOCKING P R O P E R T I E S OF D E C O M P O S I T I O N S

Assume a Banach space X given and m s e q u e n c e (G i) of subspac~s

of X.
Denote [Gi] i the closed linear subspace of X g e n e r a t e d by the G i-
n
For 1 & m ~ n ( ~ we agree to take G[m,n] the space [Gi]i= m
g e n e r a t e d by the G i (m ~ i ~ n).

The notion of P-skipped b l o c k i n g p r o p e r t y may be i n t r o d u c e d in

general as follows

DEFINITION 2.2 : Let p be a "class of finite d i m e n s i o n a l decom-

positions". A sequence (G i) of finite d i m e n s i o n a l subspaces of a
Banach space X is a P-skipped b l o c k i n g d e c o m p o s i t i o n (p-SBD) of
X p r o v i d e d the f o l l o w i n g c o n d i t i o n s are f u l f i l l e d

a) X = [Gi]i= 1

b) G i ,~ [Gj]j~ i = {0] for all i

c) If (m k) and (n k) are sequences of p o s i t i v e integers so that

m k < n k + 1 < mk+l, then the sequence of spaces G[mk,nk] is
an FDD of class p for the subspace [ G [ m k , n k ] ] k = 1 of X.

X has the P-skipped b l o c k i n g p r o p e r t y (p-SBP) provided X pos-

sesses a p-skipped b l o c k i n g d e c o m p o s i t i o n .

Condition (b) means that for any i the space X is the direct
sum of G i and [Gj]j~ i. So we can i n t r o d u c e the p r o j e c t i o n s Pi
on the Gi, which clearly satisfy PiPj : 0 for i ~ j.
If P is " i s o m o r p h i s m invariant" then the p-SBP is clearly also
p r e s e r v e d under isomorphism.
We will c o n s i d e r two classes of FDD's, namely the b o u n d e d l y
complete d e c o m p o s i t i o n s and the l l - d e c o m p o s i t i o n s .
We recall that an FDD (M n) of a space is called b o u n d e J l y complete,
if for any sequence (Xn), x n ~ M
, the serie Zx_ c o n v e r g e s provided
n1
the partial sums are bounded~ an i - d e c o m p o s i t i o n ,
provided there exists some 6 > 0 with lJ[n XnJl ~ ~ ZnllXnIT ;
for any finite sequence (x ) with x ~ M .
n n n
 ~7

REMARKS

1. It is easily seen that in the d e f i n i t i o n of II-SBI ' ; the con-

stant ~ in the l l - d e c o m p o s i t i o n s may be c h o o s e n independent of
the blocking.
2. In the d e f i n i t i o n of P-SBP we do not require that the s e q u e n c e
(G i) is itself an F.D.D. of the space X, b e c a u s e this a d d i t i o n a l
property is not r e a l l y needed for our purpose. Let us also r e m a r k
that any separable Banach space has the P-SBP if we don't make
a r e s t r i c t i o n on the F.D.D.'s. The proof of this fact is stan-
dard (see lemma 2.4 below), by c o n s i d e r i n g the given space as
a subspace of a space with a basis.
3. In what follows, we are only i n t e r e s t e d in spaces with b o u n d e d l y
c o m p l e t e - S B P and II-sBP, but of course the above d e f i n i t i o n also
makes sense for o t h e r types of d e c o m p o s i t i o n s .

PROPOSITION 2.3 : The b o u n d e d l y c o m p l e t e - S B P and I1-SBP are

1. I s o m o r p h i s m invariant
2. H e r e d i t a r y

The first claim is obvious. The second one is a direct conse-

quence of the f o l l o w i n g lemma.

LEMMA 2.4 : Let S be an infinite d i m e n s i o n a l linear subspace of

the linear span of the G i (1 ( i < ~) in X. Then there exist
sequences of positive integers (m k) and (n k) and finite d i m e n s i o n a l
subspaces H k of S such that

1. m k < n k + 1 < mk+ 2

2. S is g e n e r a t e d by the H k

3. Hk C G[mk,nk ]

4. H k ;n [HI]I~ k = {0}

It is then indeed clear that (H k) is a b o u n d e d l y c o m p l e t e (resp.

I1)-SBD of the closure Y of S if the (G i) are a b o u n d e d l y (resp.
I1)-SBD of X.

Proof of the lemma 2.4 : Take a s e q u e n c e (x k) in S whose linear

span equals S. P r o c e e d i n g by i n d u c t i o n on k, we introduce integers
mk' nk' Pk and subspaces Hk, S k of S so that the f o l l o w i n g proper-
 18

ties hold

i. m k < Pk < nk + 1 < Pk+l

ii. mk+ 1 = Pk

iii. x k E H 1 ~ ... @ H k

iv. H k C G[mk,nk]

v. S k = G[Pk,=] N S

vi. S = H 1 @ ... @ H k @ S k

This construction is r o u t i n e . We give the inductive step.

It f o l l o w s from (vi) that Xk+ 1 = y+z for some y E H 1 ~ ... ~ H k
and z C S k. N o w S k is c o n t a i n e d in the linear space g e n e r a t e d by
the G i (mk+ 1 ( i < =) and t h e r e f o r e z E G [ m k + l , P k + l - 1 ] for some
Pk+l > nk+l. Let Sk+ 1 = G[Pk+l,~] N S. R e m a r k that
[z] + Sk+ 1 = [z] ~ Sk+ 1. B e c a u s e Sk+ 1 has finite codimension in
Sk, t h e r e is some f i n i t e dimensional subspace Hk+ 1 of S k s a t i s -
fying z E Hk+ 1 and S k : Hk+ 1 ~ Sk+ 1. T a k e nk+ 1 ~ Pk+l w i t h
Hk+l C G[mk+1,nk+l]. Clearly Xk+ 1 E H 1 @ ... ~ H k ~ Hk+ 1 and
S : H 1 @ ... ~ ~k ~ Hk+l @ Sk+l"
To c o m p l e t e the p r o o f of the lemma, we have to v e r i f y that
Hk N [ H I ] I ~ k = {0} for all k. N o w [ H I ] I ~ k = H 1 ~ ... ~ Hk_ 1
[ H I ] I > k C H 1 @ ... ~ Hk_ 1 @ G[Pk,~] and t h e r e f o r e S ,~ [ H I ] I ~ k
H 1 @ ... @ Hk_ 1 @ (S n G [ P k , = ] ) = H @ ... ~ Hk_ 1 ~ S k. From (vi)
H k N [ H I ] I ~ k = H k n (H 1 ~ ... @ Hk_ 1 ~ Sk) = {0}

A sequence (x k) in X will be c a l l e d E-separated (E > 0) p r o v i d e d

IlXk-XlI1 > s for all k ~ i.

PROPOSITION 2.5 :
1. A n y non r e l a t i v e l y compact sequence in a B a n a c h space X w i t h
boundedly complete-SBP has a d i f f e r e n c e - s u b s e q u e n c e which is
a boundedly complete basic sequence.
2. A s s u m e X with I 1 - S B P and let ~ > 0 be the d e c o m p o s i t i o n con-
stant (cfr. remark 1). Let (x k) be a b o u n d e d sequence in X w h i c h
1
is E - s e p a r a t e d . T h e n for 0 < P < 7 e6, t h e r e is a s u b s e q u e n c e
(yk) of (x k) w h i c h is a p - ! l - b a s i s , i.e.

It[k a k Y k II ) P Zk IakI
for all finite sequences (a k) of s c a l a r s .
 19

Proof : Again, this is a routine argument. For a given bounded

sequence (x k) in X and a sequence (I k) of positive numbers, it is
always possible to find sequences of integers (m k) and (nk) , a
difference subsequence (v k) of (x k) and a sequence (w k) in X such
that :
i. m k < nk+l < mk+ 1

ii. RVk-WkD < ik

iii. w k 6 G[mk,nk ]

Now suppose (x k) e-separated and Z k Ik = I < e. If the G i are a

boundedly complete-SBD, then of course (w k) is a b o u n d e d l y complete
basic sequence and hence also (Vk)k~k0 for k o big enough, as a

direct c o m p u t a t i o n shows (err. [86], prop. 1.9).

Now if (G i) is an II-sBD with constant 6, then (v k) is a
K-ll-basis, where < = s~ - (l+~)l. Indeed, for scalars (a k) we
have

NZk ak VkI[ ~ ilEk ak Wkll - E klaklIIVk-Wk u

~ ~k lak1"WkU - ~k lakllk

Therefore, the given sequence (x k) must have a p - l l - s u b s e q u e n c e

for any 0 < p < ~ (see [86], the proof of th. 2.e.5.).
This completes the proof.

COROLLARY 2.6 :

1. If X has boundedly complete-SBP and X ~ is separable, then X is

somewhat reflexive (any infinite d i m e n s i o n a l subspaee of X
contains an infinite dimensional reflexive space).
2. A Banach space with II-sBP is a Schur space.

The first assertion follows from [~Z] , p r o p . 3 and the second one
is obvious.

REMARKS

4. We say that a Banach space X has the s t r o n g - S c h u r property

provided there exists 6 > 0 such that any e-separated bounded
 20

sequence in X has a subsequence which is an e.6-11-basis. Several

examples of spaces are known which are Schur but not strong-Schur
(cfr. [~o] ). Prop. 12.5 (2) says that spaces with II-SBP are
strong-Schur. The converse however is f a l s e (see [3~ j and also
remarks 7 and 8 below).

5. In the next chapter, a construction technique is g i v e n of p a t h o -

logical s spaces. The u n d e r l y i n g structure of t h e s e spaces turns
out to be a s k i p p e d blocking property. More precisely, the first
class of spaces have I1-SBP and the second class boundedly complete-
SBP.

3. G E O M E T R I C A L PROPERTIES OF SKIPPED BLOCKING PROPERTIES

We w i l l prove the following result

Theorem 2.7 : A. Banach spaces with boundedly complete-SBP have

property PC
~. Banach spaces with I1-SBP are RNP

We start by p r o v i n g (A). The next lemma is c o m p l e t e l y elementary,

so we omit its proof (cfr. [2c ] , prop. 1).

LEMMA 2.8 : If a B a n a c h space fails PC, then there exist a non-

empty bounded subset A and some e > 0, so that diam U > e for a n y
nonempty weakly open subset U of A (diam m e a n s norm-diameter).

Let us now pass to the proof of the first part of 2.7.

Proof of (A) : Let (G i) be the boundedly complete SBD of X and

denote Pi : X ~ G i the projections. If X f a i l s PC, then there
exist a subset A of X and s > 0 such as in l e m m a 2.8. Proceeding
again by induction on k, we c o n s t r u c t sequences of integers (m k)
and (nk) , a s e q u e n c e (x k) of e l e m e n t s of A and a sequence (w k)
in X, such that
i. m k < n k + 1 < mk+ 1

ii. UXk+l-Xkll > ~2

 21

iii. ilXk-Xk_l-Wk Ii < 2 -k (x0= 0)

iv. w k 6 G[mk,nk]

Let m I = 1. T a k e x I E A and c h o o s e w I in the linear span of the

G i so t h a t fixI -Wlll < 2 -1 9 Thus w I E G[ml,nl] for n I big enough.
Now suppose x k and n k o b t a i n e d . Since
nk+l
U = {y 6 A ; E i= 1 UPi(Y-Xk)II < 2 -k-2}

is a r e l a t i v e weak neighborhood of Xk, some Xk+ 1 ~ U can be found

with liXk+1 XkU > 7" T a k e W'k+l in the linear span of the G.I so

that tlXk+1 - x k - Wk+l

' I < 2 -k-2 and E nk+l
i: 1 lIPi(W~+l)Ll < 2 -k-2

If we let
nk+l
Wk+l = w'k+l - E i:1 Pi(W~+l)

then llXk+1 - x k - Wk+lil < 2 -k-1 and Wk+ 1 E G [ m k + l , n k + l ] for

mk+ 1 : nk+2 a n d nk+ 1 l a r g e enough.

Remark that hy 'ii) and (iii) lim IlWkll >~ ~ a n d hence ~k Wk is

not c o n v e r g e n t . But on t h e o t h e r hand

lJZK
k--1 Wkll .< UZ k=l
K (x k - Xk-1 )i[ + E kK= l [iXk - Xk-1 _ WkL]

K 2-k
< llXKII + Z k : 1

.< sup Ilxll + 1 <

xEA

for e a c h integer K.
)=
This contradicts however the fact t h a t ( G [ m k , n k] k=l is a
boundedly complete decomposition.

The p r o o f of part (B) of t h e o r e m 2.7 is s o m e w h a t less direct. We

need some g e o m e t r i c a l preliminaries, which can be f o u n d in [20]
also.

LEMMA 2.9 : Let A be a b o u n d e d subset of X and let S be a slice

of A. A s s u m e further & a finite subset of X ~ and e > 0. T h e n
there exists a slice S' of A s u c h that S' C S and the o s c i l l a t i o n
0 ( x ~ [ S ') < e for a n y x ~ E $.
 22

Proof : Let S = S(f,A,~) for some f 6 X ~ and ~ > 0. D e n o t e A the

wX-closure of A in X x~ a n d consider an extreme point x xx o f A so
that xXX(f) > sup f(A) - 7 (this is p o s s i b l e by the Krein-Milman
theorem). Take 21 = min (e,e). If we let

U = {V x x e A ; ! y ~ ( x ~) -SxXX(x~) I < I for all x e ~ U (f}}

then xxx is not in t h e wX-closure of the set c ( ~ \ U ) . Therefore a

separation argument yields us some g E X x and ~ > 0 with
S(g,A,8) C S(g,A,8) C U 9 If x 6 S' = S(g,A,6), then
f(x) > xZX(f) - ~ > sup f(A) - ~ and h e n c e x 6 S.
We a l s o have f o r x , y ~ S' a n d xx 6 & :

[x~(x) - x~(y)] ~ Ix~(x) - x~(x~)[ + [x~(y) - x~(x~)[ < ~ ~

as r e q u i r e d .

LEMMA 2.10 : Let C be a b o u n d e d and convex subset of X and let 0

be a nonempty relatively weakly open subset of C. Then there is a
finite number $1, .... Sp of slices of C and positive scalars
1''" " 'lp so t h a t

i. ~ ~ = 1
q
2. ~ ~ S CU
q q q

Proof : Denote ~ the wZ-closure of C in X x~ a n d E the set o f t h e

extreme points of C. T a k e some x E U. There is a a ( X x ~ , X X ) -
neighborhood V of 0 in X z x w i t h (x + 2V) n C C U. Since now
x 6 C c ~(E), it is p o s s i b l e to f i n d points X l X , . . . , x x x in E a n d
positive scalars ll,...,lp with ~ lq = I a n d Z l q x xq~ P E x + V.

Using the extremality of t h e x ~ x we c a n find for each q = l,...,p

a slice Sq o f C so t h a t Sq C x q + V. T h e n Sq = S q N C is a s l i c e

of C and Z ~ S C Z I (x xx + V) N C C (x + 2V) n C and thus

q q q q
contained in U.

Proof of (B) of t h e o r e m 2.7 : Let (G i) be t h e !I-sBD of X and let

0 < 6 ~ 1 be t h e decomposition constant. It f o l l o w s from (A) t h a t
X has property PC. We a s s u m e X not RNP and work towards a contra-
diction. If X is not a d e n t a b l e space, then X has a bounded and
convex subset C such that diam S > e (e > 0) f o r a n y slice S of C.
 23

Because X is PC, the identity map C, weak-C, norm has a point of

continuity and this gives a nonempty weakly open subset U of C
with diam U < ~ . Applying lemma 2.10, we obtain slices S1,...,S p
of C satisfying ~ X q Sq C U, for some convex combination ll,...,Xp.
We will now make a same type of construction as in the proof of
(A). More precisely, we will introduce integers (mq)l~q~ p and
(nq)l(q(p' elements (Xq)1(q~p' (Yq)l~q&p in C and vectors
(Wq)l(q& p in X satisfying following conditions

i. mq < nq + 1 < mq+ 1 for q = 1, .... p-1

ii. Xq E Sq, yq 6 S q

iii. llxq - yqii > e

e6
iv. UXq - yq - Wq il < -4--
v. Wq E G[mq,nq]

This construction is based on lemma 2.9 and the fact that any
slice of C has diameter bigger than E. We give the inductive step.
Assume n obtained. It is then possible using lemma 2.9 to find
q, n-+l . ,,, E~
a slice Sq+ 1 ~i C so that Sq+
' 1 C Sq+ 1 and Z i~ 1 llPiLx-y;, < ~--
qt
for x,y in ~q+l (Pi is again the projection on Gi).

Choose Xq+l, Yq+l in Sq+

' 1 with ilXq+l - Yq+l il > E and let w~+ I
be in the linear span of the G i so that

n +1
q ,,
llXq+l - Yq+l - w +111 < and [i= 1 +1 ) < ~-

Take then
n +1
Wq+ 1 : w'q+1 -~i~1 Pi(W~+l)
belonging to G[mq+l,nq+ 1] for mq+ 1 = nq +2 and nq+ 1 big enough.

Clearly IIxq+1 - Yq+1 - Wq+111 < E~64

Since (G[mq'nq ] )pq=l is a skipped blocking, we get

UE ~ w il ~ ~ Z ~ ilw II
q q q q q q
and thus
llZq Xq Xq - Z q ~q yqil ~ 6 Zq ~q ~Wq II Z q ~ q ~x q - y q - Wq~

E6 e~
6 Z q Xq ilXq-yqll - (1+6) Z q lq flXq-yq-wqll > e~ - (i+6)-~- > "7-
e~
However, this is impossible, since diam Zq ~q Sq < -6-
 24

REMARKS

6. The known separable Banach spaces p o s s e s s i n g the R a d o n - N i k o d ~ m

p r o p e r t y have a b o u n d e d l y c o m p l e t e SBD. However, the structure of
general R N P - s p a c e s is not yet understood. In p a r t i c u l a r , it is
unknown if any R N P - s p a c e c o n t a i n s a b o u n d e d l y c o m p l e t e basic
sequence.

7. There exist Banaeh spaces with b o u n d e d l y c o m p l e t e SBP and

failing RNP. So RNP is not a c o n s e q u e n c e of PC. Let X be the
James-Hagler tree-space (cfr. [~6]). Then, using the t e r m i n o l o g y
of [~g ] , X ~ has a subspace F (spanned by the c o o r d i n a t e functionals
~) which turns out to have a b o u n d e d l y c o m p l e t e SBD and fail the
R a d o n - N i k o d ~ m property. The reader will find the d e t a i l s in [3Z i .

8. In [31], a subspace of L1[0,1] is c o n s t r u c t e d which fails the

R a d o n - N i k o d ~ m p r o p e r t y and has a unit ball r e l a t i v e l y compact in
L 0. In particular, this space is strong-Schur.

9. It can be shown that for subspaces of L 1 the RNP and PC-

p r o p e r t y are equivalent. Thus any subspace of L 1 w i t h b o u n d e d l y
complete SBP has RNP.

10. It seems u n k n o w n w h e t h e r or not a subspace of L 1 with I1-SBP

is always isomorphic to a subspace of 11 .
 oo
III. NEW CLASSES OF s -SPACES

We will present in this chapter a new c o n s t r u c t i o n t e c h n i q u e for

s This new spaces are important for two reasons. First,
they solve several basic problems in s Secondly, because
they answer various questions of general Banach space theory.
The m a t e r i a l of this chapter is m a i n l y c o n t a i n e d in [i~] .

1. SUMMARY

We shall construct two classes ~ and Y of Banach spaces. Any

space X of ~ will satisfy f o l l o w i n g p r o p e r t i e s
a) X is an infinite d i m e n s i o n a l separable s space.
b) X is a R a d o n - N i k o d g m space. Since, as will be shown later, an
infinite dimensional s space cannot be imbedded isomorphically
into a separable dual space, this example solves n e g a t i v e l y the
f o l l o w i n g c o n j e c t u r e of J. Uhl (see I ~ ] ). Is every separable
Radon-Nikod~m space isomorphic to a subspace of a separable dual
space ?
c) X is a Schur space. This answers n e g a t i v e l y a c o n j e c t u r e of
J. L i n d e n s t r a u s s who asked in [88J w h e t h e r a space with the
w e a k l y compact e x t e n s i o n p r o p e r t y is n e c e s s a r i l y finite dimen-
sional (cfr. 1.35).
In [8~] , A. P e l c z y n s k i and J. L i n d e n s t r a u s s and in [8~] ,
J. L i n d e n s t r a u s s and H. R o s e n t h a l asked w h e t h e r every s
c o n t a i n s a subspace isomorphic to c 0. Our example d i s p r o v e s this
conjecture.
d) X is weakly s e q u e n t i a l l y complete. Since X x is a s X~
is also weakly s e q u e n t i a l l y complete. For a long time it was
conjectured that a Banach space is r e f l e x i v e if and only if
both X and X x are weakly s e q u e n t i a l l y complete.

For members Y of V, the f o l l o w i n g hold

a') The Banach space Y is a s e p a r a b l e infinite d i m e n s i o n a l s
b') The Banach space Y is a R a d o n - N i k o d ~ m space
c') Y is somewhat reflexive, i.e. every infinite d i m e n s i o n a l sub-
space of Y contains an infinite d i m e n s i o n a l reflexive subspane.
 26

Since Y is a s it also has the D u n f o r d - P e t t i s property

and hence there are D u n f o r d - P e t t i s spaces w h i c h are somewhat
reflexive. For some time, the D u n f o r d - P e t t i s p r o p e r t y was
u n d e r s t o o d as a p r o p e r t y o p p o s i t e to reflexivity. Following
these lines W. Davis asked w h e t h e r a somewhat r e f l e x i v e space
could have the D u n f o r d - P e t t i s property.

We also show that

d') Y has a c o n t i n u u m number of n o n - i s o m o r p h i c members. Hence there
exists a c o n t i n u u m number of separable -types.

Let us recall at this point the f o l l o w i n g result due to D. Lewis

and C. Stegall (see [~Z]).

THEOREM 3.1 : Let X be an infinite d i m e n s i o n a l separable s

Then
1. X x is isomorphic either to 11 or to M[ 0,I] (the space of Radon
m e a s u r e s on [ 0,i])
2. X x is isomorphic to 11 if and only if 11 does not imbed in X.

C o n s e q u e n t l y , X x is isomorphic to M[0,1] for X in ~ and Ym is

i s o m o r p h i c to 11 for Y in Y. It is s u r p r i s i n g that there exist
isomorphic preduals of 11 not c o n t a i n i n g c O .

The c o n s t r u c t i o n given in the next section is the first where

s are built using isomorphic copies of l~(n). The k n o w n
e x a m p l e s of s -spaces w h e r e c o n s t r u c t e d using isometric copies
of l=(n) and t h e r e f o r e they all are isomorphic to p r e d u a l s of L 1.

2. THE BASIC C O N S T R U C T I O N

We will d e s c r i b e a general c o n s t r u c t i o n t e c h n i q u e for s -spaces,

leading to the classes 36 and Y by s p e c i f i c a t i o n of c e r t a i n real
parameters.

THEORE~I 3.2 : Let a, b and ~ be real numbers so that

i. 0 .< a .< 1 and 0 .< b .< 1
ii. I ~ 1
iii. a + 2bl ~
 27

Then there exist an i n c r e a s i n g sequence (d n) of p o s i t i v e integers,

an i n c r e a s i n g sequence (x n) of f i n i t e d i m e n s i o n a l subspaces of 1 =
and o p e r a t o r s Jn : En = l = ( d n ) § Xn' satisfying the f o l l o w i n g
properties
I. Ujn~ ~ l
2. Jn is an i s o m o r p h i s m a n d Zn Jn is the i d e n t i t y on E n
(~n : 1 § E n denotes the r e s t r i c t i o n to the d n first coordinates)
3. For x 6 Xn, the f o l l o w i n g holds
|xl( = m a x [il~n(X)11
%
[aH~m(x)ll + bRX-Jm~m(X)ll (m < n)

In the r e m a i n d e r of t h i s section, a, b and i w i l l be f i x e d numbers

fulfilling (i), (ii), (iii) of 3.2.

We will first show h o w the s e q u e n c e (d n) is o b t a i n e d and construct

a s y s t e m of i n j e c t i o n s i : E + E (m < n) satisfying the two
m,n m n
conditions
(~) ~m o imn = id E for m < n
m
(8) imn o ilm - iln for 1 < m < n

We shall g i v e the t e c h n i c a l description of the inductive procedure

and a f t e r w a r d s some d e t a i l s for small n.

T a k e d I = 1.
Suppose n o w d m (m ~ n) k n o w n and t h e ilm (i < m ~ n) c o n s t r u c t e d
s u c h that they satisfy (~) and (8).
For m < n ; 1 ~ i g dm ; 1 ~ j ~ dn ; e' = • ; e" = • we d e f i n e
the functional fm,i,j,s',s" 6 E xn as f o l l o w s

fm,i,j,e,,e,,(x) = a e ' x i + be" (x - imn Z m ( X ) ) j

The subscripts i and j are r e f e r r i n g to the r e s p e c t i v e coordinates.

Remark that the a b o v e definition makes sense, because ~m(X) 6 Em.
Consider then the set of f u n o t i o n a l s

Fn : {fm,i,j,s',e" 1 m < n ; 1 ~ i ~ dm ; 1 ~ j ~ dn ; s':• ; ~"=•

Let dn+ 1 = d n + card (F n) and e n u m e r a t e the elements of Fn

gd + l ' ' ' ' ' g d

n n+l
 28

The map in,n+ 1 : E n + E n+l is n o w defined as

in,n+l(x) = ( X l ' X 2 .... 'Xd 'gd +l(x)'gd +2(x)'''''gd (x))

[i n n n+ i

We put i m , n + 1 : i n , n + 1 im, n f o r m < n.

The properties (~) and (~) remain trivially verified.

The heart of the construction lies in t h e metric properties of the
injections. Before studying these properties, we give details for
n = 1,2,3.

(i) n = 1 : No possible value of m and hence d 2 = d I = 1 and

il, 2 = i d E 1 .

(ii) n = 2 : Possible value of m : 1, possible value of i = 1,

possible value of j = 1. It f o l l o w s that card (F 2) = 4.

f1,1,1,1,1(x) = a xI + b (x - ~ l ( X ) ) l = a x1

f1,1,1,1,_1(x) = a x1

f1,1,1 _~.l(x) = -a x 1

f1,1,1,_1,_1(x) = -a x 1

We obtain i2,3(x) = (Xl, a Xl, a Xl, -a Xl, -a x 1)

The number d 3 = 5.

(iii) n = 3 : Possible values of m = 1,2

(1) For m = 1, o n e value of i, 5 values of j, h e n c e 20 func-
tionals
(2) For m = 2, o n e value of i, 5 values of j, h e n c e 20 f u n c -
tionals.
Thus d 4 = d 3 + 40 = 45.
As a typical element, let us evaluate fl , l , 4 , e ' , ~ "

f1,1,4,~, e,,(x) = a g' x I + b e" (x - i l , 3 ( X l ) ) 4

= a E' x I + b g" (x 4 (-a X l ) )

= (a e' + b a g")x I + b e" x 4.

LEMMA 3.3 : The i (m < n) satisfy

m,n
(I) Ili II ~
m,n
 29

(2) ~m im,n = id E m

(3) imn ilm = iln (i < m < n)

(q) For x E En, we have

I[i
n,n+l
(x)ll : max [,xll
%
[aU~m(X)q + bDx-imn~m(X)H (m < n)

Proof : (2) and (3) were already observed.

(4) For m < n, the elements i,j,e',e" can be c h o o s e n such that

E f X 19 = II~m(X)ll

~" (x - imn ~m(X))j = nx - imn ~m(X)ll

Hence
ain,n+l(x)ll ~ fm,i,j,e, e,,(x) = allnm(X)[l + bllx- im, n ~m(X)11

The r e v e r s e inequality follows readily from the d e f i n i t i o n of

i n,n+l"

(i) Since IliI oli = i, we can proceed by induction. Suppose we

already have dil~mM ~ I for all 1 < m ~ n.
It follows from (4) that
Uin~n+l(X)~ g max Ilixi[
[allx, + b(]IxU + liimnlLllxn) (m < n)
and hence by i n d u c t i o n h y p o t h e s i s

~in,n+l(x)il .< max (IIxit, (a + b(l+l))]Ixil) .< X~xll

Consequently Rin,n+lll .< X.

If now m < n, then im,n+!(x) = in,n+ 1 im,n(X) and thus again by (4)

Uim,n+l(x)il = max Iliim,n(X)n

[aU~ 1 im~n(X)il+bilim,n(X)-ll,nnllm,n(X)H for 1 < n

It remains to e v a l u a t e the second expression for all 1 < n.
We will distinguish the case 1 g m and the case m < 1 < n.
If 1 .< m, then nl im,n = ~i and hence

aiI~l im,n(X)li + bllim,n(X) - il,n ~i im,n(X)ll =

aiI~l(x)il + biiim,n(X) - il, n ~i (x)ii

aUxll + b(IIim,nllllxll + ~il,nHUXil) ~ (a + 2bX)UxO ~ XIIxR

 30

If m < i < n, then 7 1 imn = 71 iln im] = iml and

iln ~i imn = iln iml = imn" Therefore

ali~ 1 imn(x)ll + bllimn(X)-lln' [i imn(X)l; : aJliml(X)II ( a ~llxll.

We c o n c l u d e that ilim,n+lfl ~ ~, p r o v i n g the lemma.

We will see the E n as s u b s p a c e s of i =, u s i n g the c a n o n i c a l imbedding

En C ) 1~ : x ~ (x,O,O, . . . .)
Fix now n and E n. For each k > n, the function in, k : E n ~ E k is
constructed as above and thus at each stage new c o o r d i n a t e s are
added to the e x i s t i n g ones. Moreover, for each x 6 E n the e l e m e n t s
in,k(X), k > n are u n i f o r m e l y bounded by X~xl]. Hence, the limit
lim in,k(X) exists in the w X - t o p o l o g y of 1 ~. Let us put
k+~

in(X) : lim i k(X). Thus Jn : E + i is a l i n e a r operator and

k-~oo n, n

we define X n as the image of Jn' i.e. X n = Jn(En).

The p r o p e r t i e s of the 3n and the X n are summarized in the next

lem~a, which will also complete the p r o o f of t h e o r e m 3.2.

LEMMA 3.4 :

(5) ilJnll ~ l

(6) ~n Jn = IdE
n

(7) ]m = Jn im,n for all m < n

(8) X m C Xn for m < n

(9) d ( E n , X n) ~

(10) For x E Xn, the f o l l o w i n g holds

Jlxll = max ~liTn(X)li

laiI~m(X)ll + blix-Jm ~m(X)il (m < n)

Proof :

(5) C l e a r f r o m the bound ilin,k(X)U .< xHxR if x E E n and k > n

f6) For x 6 En, we have ~n 3n (x) : lira ~n in,k(X) = x by (2).

k
 31

(7) For x 6 E m and n > m, we obtain

3n imn(X) = lim ink imn(X) = lim im,k(x) = Jm(X)

k k

(8) X m = Jm(Em) = Jn im,n(Em) C Jn(En) = Xn.

(9) Since ~n Jn = IdE , we find the following estimate for the

n
Banach-Mazur distance

d(En'Xn) "< IIJnI; H~ n ;I .<

(10) For x e Xn , we find Uxfl = liJn ~n(X)~ = lim 11~k(X)l;.

For k ~ n, it follows from (4) of lemma 3.3 that
U~k+l(X);[ = llik,k+ 1 ~k (x)n
= max [fl~k(X)II

I
aIl~m(X)ll + bii~k(X)-im, k ~m(x)]l (m < k)

Now im, k nm(X) = im, k in,m(X) = in,k(X) = ~k(X) if n ~ m < k.

Consequently

N~k+l(X)O = max Ili~k(X)n

{aa~m(X)II + bii~k(x)-im, k ~m(X)ll (m < n)

By iteration and using the fact that llZk(X) - im, k nm(X)]I

U~k+l(X) - im,k+ 1 @m(X)U, we see that

U~k+l(X)H = max lU~n(X)ll

[al[zm(x)ll + b]IZk(x)-imk ~m(X)ll (m < n)

Because llx - Jm ~m (x)[i = lim U~k(X) - i ~m(X)U we get (10).

k~ ~ m,k '
So (3.4) and (3.2) are shown.

Let us now put X equal to the closure of U n X n in i~ In fact,

the space X can also be seen as the direct limit of the system

9 i2'3 in'n+1> E ) ...

E1 11'2> E2 ~ E3 ) "'" En n+l
 32

The estimates "in,n+ 1 o in_l, n o ... o i2,111 & k or the estimates

(9) give that X is a s For m o r e details about this simple
fact, tile r e a d e r is r e f e r r e d to [8}] 9

It is c l e a r from the preceding that X only depends on the para-

meters a and b. We w i l l therefore call the space constructed
above X
a,b"

COROLLARY 3.5 : For all x E Xa, b and all m, the inequalities

Iix[I ~ alI~m(X)II + bIIx - Jm ~m (x)I1

and c o n s e q u e n t l y

llx[1 ~ all~m(X)ll + b dist (x,X m)

hold.

Proof : First, let x 6 U n Xn, i.e. suppose x ~ X n for some n.

For m < n, the inequality is p r e c i s e l y estimate (10). If m ) n,
then x = Jm ~m (x) and hence the inequality is t r i v i a l .
For x E X, we p r o c e e d by a d e n s i t y argument.

As we w i l l see, the space Xa, b t u r n s out to be "pathological"

as soon as a + b > 1. M o r e precisely, the following two classes
will be d i s t i n g u i s h e d
1
~[ = ( X 1 , ~ ; 0 < 6 < zx}

and
1
Y = {Xa, b ; 0 < b < ~ < a < 1 and a + b > 1}

The members of b o t h classes are s This follows from the

fact that some ~ > I can be f o u n d satisfying (i), (ii), (iii) of
3.2, as an e a s y calculation shows.
We will study the c l a s s e s ~ and V in the two next sections.

3. s WITH THE SCHUR PROPERTY

The structure of the m e m b e r s of ~ is m a d e clear by the following

 33

THEOREM 3.8 : For a n y 6 > 0, the s p a c e X1 has ll-skipped-blocking -

property.

Consequently, in 'virtue of 2.6 and 2.7, we have

COROLLARY 3.7 : Any member of the c l a s s ~ has the Schur p r o p e r t y

and the R a d o n - N i k o d ~ m property.

Let 6 > 0 be f i x e d and t a k e X : X1, 6. We will first construct

a s y s t e m of s u b s p a c e s of X and t h e n s h ow that it f o r m s an I1-SBD.
The same n o t a t i o n s as in the p r e v i o u s section will be used.

For e a c h n, the o p e r a t o r S : j ~ : X ~ X is a p r o j e c t i o n and

n n n n
llSnlJ ~ X. Let P1 = $1' Pn = Sn - Sn-1 (n > 1) and d e n o t e M n : Pn(X).
Then (M n) is a f i n i t e dimensional Schauder decomposition for X.
Fix no a s t r i c t l y d e c r e a s i n g s e q u e n c e (pk) of real n u m b e r s so that
1
7 < Pk < 1. P r o c e e d i n g t h e n by i n d u c t i o n on k, it is easy to c o n -
s t r uct an i n c r e a s i n g sequence (n k) of p o s i t i v e integers, such that

Pk+l
I1~ (x) II ~ - - Ilxll (~)
nk+l Pk

holds whenever x E X
nk

We i n t r o d u c e for each k the subspace G k = [M n ; nk_ 1 < n ( nk] (n0:0)

which give also a finite dimensional decomposition of X.

Suppose now (k(i)) and (l(i)) increasing sequences of p o s i t i v e

integers, such that k(i) < i(i)+1 < k(i+l). Let (yi) be a s e q u e n c e
in X so that

Yi E [G k ; k(i) ~ k ~ l(i)] = [M n ; nk(i)_l < n ~ nl(i)]

By i n d u c t i o n on j, we w i l l establish the f o l l o w i n g inequality

lIE ji=I yill ~ ~ PZ(j) ~Ji=i lJYiJl

For j = 1, the inequality is o b v i o u s .

It f o l l o w s from 3.5 and the a b o v e assumptions that, taking
n = nl(j)+l,
 34

uzj+I j+l UEj+I

i=l Yi B >" B~ n (E i=l yi)n + 6 i=l (Yi - Jn ~n(Yi ))n

: "~n(E i=l
j Yi )H + 6nYj+IB

Because X ji:l Yi E X , we obtain from (x)

nl(j)

BE ]"+i~ Pl (~)+1 j
i:l Yi u ~ PI(j) UE i=1 Yi n + 611yj+ll(

Pl(j)+l 6 PI(j) Zji=1 ~Yi II + 6nYj+l~

PI(j)

PI(j+I) 6 E j+l
i= 1 llYilI

as required.

It is an immediate consequence of the preceding that the G k form

an I1-SBD for X.

REMARKS

1. If X is a s then it turns out that X x is isometric to

an Ll-space. In this case X is called a predual of L 1.
In [11~], M. Zippin has shown that such a space contains a subspaoe
isometric to c o 9 In [84], [ ~$] , [8~] and [ 88] , it is c o n j e c t u r e d
that
(i) If a Banach space X has the weakly compact extension
property then X is finite d i m e n s i o n a l
(ii) Every s contains a subspace isomorphic to c O
(iii) Every -space is isomorphic to a predual of L 1
(iv) Every s is isomorphic to a quotient of a C(K)-space.
Since c O fails the Schur property, it follows from 1.35 that (i)
is the weakest of all four conjectures. Any Banach space of the
class ~ satisfies the hypothesis of 1.35 and hence has the weakly
compact extension property. This sk0w5 that all four conjectures
h~vc negative Solu~io~ .

2. Because X ~ is isomorphic to M[0,1] , any member X of ~ has a

weakly sequentially complete dual. Since X is Schur, X is also
WSC (1.8). As far as we know this space is the first n o n - r e f l e x i v e
space such that both X and X x are WSC.
 35

3. The argument given in the next section will also give a some-
what more direct proof of the RNP for m e m b e r s of ~.

oo
4. SOMEWHAT REFLEXIVE s -SPACES

1
In this section, we w i l l study the spaces Xa, b for 0 < b < ~ < a < 1
and a + b > i. A s s u m e a and b satisfying the above conditions fixed.
We c o n t i n u e to use the t e r m i n o l o g y of section 2 and section 3.

THEOREM 3.8 : Y = Xa, b has boundedly complete SBP.

Fix e > 0 so that y = ( a + b ) ( 1 - e ) 2 > 1. A g a i n , we introduce induc-

tively a sequence (n k) such that

I1~ (x)ll ~ (l-c) Ilxll (~)

nk+ 1

for all x ~ Xnk.

We n o w clair *~at the spaces G k = [M n ; nk_ 1 < n ~ n k] (n O = 0)

form a boundedly complete SBD for Y.
In o r d e r to prove this, let (k(i)) and (l(i)) be increasing
sequences of p o s i t i v e integers with k(i) < i(i)+1 < k(i+l) for
each i.
Let then (yi) be a s e q u e n c e in Y such that

Yi e [G k ; k(i) g k ~ l(i)] = [M n ; nk(i)_l < n ~ nl(i)].

: zr
Take zr i=1 Yi and assume (z r) a b o u n d e d sequence. We h a v e
to show that then (z r) is n o r m - c o n v e r g e n t , or w h a t amounts to
the same {z r ; r} is n o r m - p r e o o m p a c t .
If {z r ; r} is not precompact, then there exists B > 0 satisfying

]Izr - Sm(zr)ll ~ B (~x)

r

for all m.

For each m < n and r, we find by a p p l i c a t i o n of 3.5

Uzr - S m ( Z r )II = llZr - Jm ~ m ( Z r )11

 36

alI~n(Zr-Jm~m(Zr))II + bllzr-Jm~m(Zr)-Jn~n(Zr-Jm~m(Zr))ll

= all~n(Zr-Jm~m (zr))II + bUzr-'3n~n(Zr)Jl"

Choose then 1 ~ s < r and take n = nl(s)+l. For m < n, it f o l l o w s

llzr - Sm(zr)ll ~ aEl~n(Z s

- Jm~m(Zs))ll + bllz r - Jn~n(zr)ll

a(1-E) llz - S (Zs)iJ + bltzr - Sn(Zr)ll

S m

using the fact that z - Sm(Zs) E X

s nl(s)

Given m, take s so t h a t n = nl(s)+l > m and [Izs - Sm(Zs)lJ >8(1-e).

For this n, we m a y choose arbitrarily large r satisfying
IIzr - Sn(Zr)II > B(1-s). But then

[Izr - Sm(Zr)ll ~ a(1-E)26 + b(1-e)B > y~

and hence

"lim [Izr - Sm(Zr);i ~ yB.

Hence, (~m) holds for each m with 8 replaced by y.B.

Repeating this argument t times yields

> (I+X) sup ilzrl[ ~ yt. B.

r

This is h o w e v e r a contradiction since y > 1.

So far, only the lower estimates on the Y-norm were used. The next
step will be to show that 11 does not imbed in Y a n d this will
require upper estimates.

PROPOSITION 3.9 : Y has no subspace isomorphic to 11 .

Proof : Assume (e r) a s e q u e n c e in Y e q u i v a l e n t to the usual basis

of 11 . By p a s s i n g eventually to a s u b s e q u e n c e , we m a y suppose that
(e r) is w e a k ~ c o n v e r g i n g in i ~. Take now Yr = e2r - e2r-l" This
sequence is still equivalent to the usual basis of 11 and
~ m ( Y r ) + 0 for each m. By d e n s i t y of U n X n in Y, we can r e p l a c e
 37

(yr) by a s e q u e n c e (z r) such that ~m(Zr) = 0 for m < r and z E Xm

where mI < m2 < ... < mr < ...

At this point, an important simplification is o b t a i n e d by m a k i n g
use of the R.C. James regularization principle for ll-sequences.
It says that any ll-sequence in a B a n a c h space has a block-subse-
quence which behaves almost isometrically like the usual ll-basis
(see [~] for details).
Fix e > 0 with 4e < 1-a. The James result yields a block subsequence
(w r) of (z r) such that
1. HWrll = 1

2. Zm(Wr) = 0 for m < r

3. w r C Xm, w h e r e m I, < m 2, < . .. < mr

' < . . .

4. UZ r a m WrLi >. (l-E) Zr far t

Define x I : w I and n I = m 1.
' Let now r 2 be such that ~ n l ( w r) : 0

for r >. r 2 a n d let x 2 = Wr2 and n 2 = m'r2. Take then r 3 such that

nn2 (w r) = 0 for r ~ r 3. Define x 3 = Wr3 and n = m'r3. .

We now calculate the norm of x : x I + x 2 + x 3 6 X n. Of course, by

(4), we h a v e l[xl[ >~ 3 - 3e. The upper bounds of llx[[ a r e given by
application of 3.4 (10). Thus

nxll = max Ilion(X)[} : [[~n(Xl+X2+X3)][

/

J
all~m(x)l[ + bllx-Jm~m(x)ll =

[al[~m(Xl+X2+X3)]i + bL]Xl+X2+x3-Jmnm(Xl+X2+X3)[l

(m < n)

We w i l l first estimate the second type quantities by considering

the different cases for m.

(~) m ~ nI : aLl=m(X)ll + blLx-Jm=m(X)l[ =

aLl=m(Xl)[] + bllXl+X2+x3-Jm=m(Xl)ll .<

allZ,m(Xl)ll + bILXl-Jm~m(Xl)[[ + bilx2+x3Ll

llXlll + bilx2+x31L .< 1 + 2b.

 38

(8) n I < m ~ n 2 : aIlnm(X)Li + bi[x-Jmnm(X)ll =

aJX~m(Xl+X2)ll + bHXl+X2+x3-Jm~m(Xl+X2)H

.< allnm(Xl+X2)U + bilXl+X2-Jm~m(Xl+X2)U + b~x31i

-< llXl+X2Tl + b]Ix3it ~ 2 + b

(y) n 2 < m < n : Since then x I + x 2 = J m ~ m ( X l + X 2 ), we get

aU~ (x)ll + bHx-j ~ (x)II =

m m m

all~rm(Xl+X2+x3)U + bIlx3-Jm~m(X3 )il "<

ai]~rm(Xl+X2)ii + ali~m(X3)II + bIlx3-JmZm(X3)li

a ilxl+x211 + llx3il .< 2a + 1.

If the nora of x is at least 3 - 3E t h e n this norm cannot be

attained in the first dm2 coordinates since there x 3 = 0. Hence,

in o r d e r to e s t i m a t e II~n(X){i , we h a v e to give bounds for the coor-

dinates of x. situated between d + 1 and d . These coordinates
m2 n
are by c o n s t r u c t i o n bounded by the quantities

[IZn(X3)ll + ai[Zm(Xl+X2)il + b l i n n ( X l + X 2 ) - i m n ~ m ( X l + X 2)II

where m < n2 ,
and h e n c e by

1 + max {allnm(Xl+X2)U + bliXl+X2-Jmnm(Xl+X2)II ; m < n 2}

Again, we d i s t i n g u i s h two c a s e s , namely m .< n I and n I < m < n 2.

The reader will easily verify that the respective bounds 2 + b
and 2 + a are o b t a i n e d .

Summarizing (e), (B), (y) and the il~ (x)li-estimates gives

n
Uxll & m a x (1+2b, 2+b, 1+2a, 2+b, 2+a) ~ 2+a < 3-4e
by the choice of s.
This inequality contradicts however lixlt ~ 3-3s and thus proves (3.9).

REMARK : Proposition 3.9 does not say that Y does not contain sub-
spaces isomorphic (up to l+s) with ll(n). It o n l y shows that such
spaces are not spanned by "blocks".
 39

As a c o n s e q u e n c e of 3.1 (2), 3.8 and 2.6, we o b t a i n successively

THEOREM 3.10 : For any member Y of V, yX is isomorphic to 11 .

THEOREM 3.11 : Any member Y of V is s o m e w h a t reflexive.

REMARK : The D-P property was understood as a p r o p e r t y opposite to

reflexivity. From this reasoning W.B. Davis asked following ques-
tions
(1) : Suppose Z is a B a n a c h space without an infinite dimensional
reflexive subspace. Is Z a D-P space ?

(2) : Suppose Z is a s o m e w h a t reflexive Banach space. Need Z to

fail the D-P property ?

Both questions have a negative answer. Question 2 has a negative

answer because the Banach spaces Y of c l a s s V are somewhat
reflexive and have as -spaces also the D - P property. Let us also
remark that if Z is a B a n a c h space which has the D-P property and
does not contain an l l - s u b s p a c e , then Z x is a S c h u r space.

Question 1 also has a negative answer. The following example

will make this clear. Consider a sequence (pi) of real numbers
such that 1 < Pi < 2 and lim Pi = 1. Let B = ~ (i pi) be the
i+~ 11
Pi
ll-sum of the spaces i , which is a s u b s p a c e of L 1 Denote
the s e q u e n c e of the u n i t v e c t o r s of i pi. We t h e n
(ei,n)n=l,2,...
c o n s i d e r the s u b s p a c e Z of B s p a n n e d by the w e a k l y n u l l s e q u e n c e
(fn), w h e r e fn : i=1
z? 2 -ie.z,n . It is not v e r y d i f f i c u l t to see
that Z is h e r e d i t a r i l y 11 but fails the D - P p r o p e r t y .
Other counterexamples to q u e s t i o n 1 are obtained by c o n s i d e r i n g
certain Orlicz-sequence spaces.

It f o l l o w s from 2.7 and 3.8 that any m e m b e r of V has the (PC)-

property. Using a more specific argument, we w i l l prove that in fact.

THEOREM 3.12 : Any space Y in V has the Radon-Nikodym property.

The argument given here will also provide an a l t e r n a t i v e proof of

the RNP for the m e m b e r s of c l a s s ~.
 4O

We r e f e r the r e a d e r to (4~] for the following basic result on

representability of v e c t o r measures.

PROPOSITION 3.13 : Let (~,Z,~) be a p r o b a b i l i t y space, Y a Banaeh

space and F : ~ § Y a ~-continuous vector measure of b o u n d e d varia-
tion. Then F has a density if a n d o n l y if t h e r e is a s e q u e n c e of
vector measures (F n) such that each F n has finite dimensional range
and the variation norm IF-Fnl tends to 0 for n + ~.

Remark that if Y = Xa,b, then 3.5 implies for each m

IIF(A)II ~ an~ m F(A)II + biIF(A) - Jm~m F(A)[I whenever A 9

Taking the supremum over all partitions of ~, we o b t a i n following

inequality for the v a r i a t i o n norms

trl . alw m Fl * blF - JmWm rl

Proof of 3.12 : Let Y = Xa, b be a m e m b e r of Y and F : ~ § Y

a bounded variation vector measure. For fixed n, d e f i n e
G = F - Jnwn F.
As r e m a r k e d above, we find for all m

IGI ~ aI~ m GI + big - Jm~m GI

Let A 1 , . . . , A r be a p a r t i t i o n of ~ such that

IG I ~ zrs=l UG(As)Ii + 2

and t a k e m 0 large enough to ensure that

zr
s=l
ilwm G(As)U ~ zr
s=l
ItG(As)I I _ e for m ~ m0

1-a
It f o l l o w s that TGI 4 iWm G I + s and hence IG-JmwmGl~--~--IGI+ ~ 9

Now for m ~ n, we h a v e G - Jmwm G = F - Jn~n F - (JmWm F - Jn~n F)

= F - Jm=m F. H e n c e for m ~ m a x (m0,n)

9 aE
IF - 3m~ m F1 $ ~ IF - J n ~ n F1 + -~-.
 4~

Thus also ~ IF - J m ~ m rI ( ~ IF - J n ~ n F 1 + a_~

m b

9 l-a 9 as
and ~ IF - 3 m ~ m F1 ~ D ~ IF - In'In FI + -b--"
m n

Since this inequality hOlds for all e > 0 and a + b > 1, we o b t a i n

IF - J n ~ n F I : 0. T h u s F is the limit in v a r i a t i o n n o r m of the
n
finite rank measures j ~ F and by 3.13 this completes the proof.
n n

5. THE UHL CONJECTURE ON SEPARABLE RNP-SPACES

The origin of this conjecture lies in the following nice result of

C. Stegall (see [~4]) on t h e structure of d u a l spaces.

THEOREM 3.14 : If X is a B a n a c h space, then X x has the RNP if

and only if S ~ is s e p a r a b l e for all separable subspaces S of X.

For a l o n g time~ the only known examples of separable RNP spaces

were the separable duals and their subspaces. It f o l l o w s easily
from 3.14 thaz any separable subspace of an R N P d u a l imbeds in a
separable dual space. J.J. Uhl conjectured that every separable
Radon-Nikodgm space is i s o m o r p h i c to a s u b s p a c e of a s e p a r a b l e
dual (see [%~], p. 82 and p. 211-212). Different geometric charac-
terizations of the Radon-Nikodgm property are known. If U h l ' s
conjecture were true then a beautiful geometric description of
subspaces of separable dual spaces would be o b t a i n e d .
Unfortunately, the c o n j e c t u r e is w r o n g . Indeed, the members of
both classes ~ and W have the RNP a n d the following result holds

PROPOSITION 3.15 : Let X be an infinite dimensional s space.

If Y is a B a n a c h space such that X is isomorphic to a s u b s p a c e of
Y~, then Y contains a comDlemented, subspace Z which is i s o m o r p h i c
to 11 . in p a r t i c u l a r ~ Y~ is not separable.

Proof : Let i : X + yX be the inclusion map. Transposition gives

a map : T : Y ~ X ~ defined as T ( y ) ( x ) = i(x)(y). It f o l l o w s that
T 9 : X~ ~ yX and that T x 1 = i.
X
If T is a w e a k l y c o m p a c t o p e r a t o r then also T ~ is a w e a k l y compact
operator and hence the inclusion map i being a restriction of T ~
 42

is also a weakly c o m p a c t operator. Since X is an infinite d i m e n -

sional s space it is not a r e f l e x i v e space and hence i is not
w e a k l y compact. It follows that T is not weakly compact. Hence the
image T(B(Y)) is not a r e l a t i v e l y w e a k l y compact subset of X x.
We k n o w that X ~ is i s o m o r p h i c to a c o m p l e m e n t e d subspaee of an L 1
space and hence the K a d e c - P e ~ c z y n s k i t h e o r e m [ ~ ] applies. The
set T(B(Y)) contains a s e q u e n c e (en)n~ 1 such that (en)n~ 1 is equi-
valent to the usual basis of 1 1 and such that S = span (e n, n ~ i)
is c o m p l e m e n t e d in X x.
Let P : X x + S be a c o n t i n u o u s projection. Take for each n ~ 1 an
element Yn 6 B(Y) such that T(y n) = e n. It is e l e m e n t a r y to see
that (Yn)n~l is e q u i v a l e n t to the usual basis of ! 1 and also to
(en)n) !. Let now Z : span (Yn' n ~ i) and let V : S ~ Z be the
o p e r a t o r d e f i n e d by the r e l a t i o n V(y n) = e n. If Q is d e f i n e d as
Q : VoPoT then c l e a r l y Q is a p r o j e c t i o n Y + Z.

REMARK : At about the same time the Z ~ - s p a c e s presented in this

c h a p t e r were d i s c o v e r e d , P. Mc C a r t n e y and R.C. O'Brien (see [~I])
obtained i n d e p e n d e n t l y an example of a separable R a d o n - N i k o d g m
space w h i c h eoes not imbed in a s e p a r a b l e c o n j u g a t e space. The
main idea in their c o n s t r u c t i o n is a notion w h i c h they call
"neighborly-tree-property". This p r o p e r t y is an i s o m o r p h i s m
invariant and duals w i t h the n e i g h b o r l y - t r e e - p r o p e r t y always fail
the RNP (a w X - e o m p a c t n e s s a r g u m e n t allows to r e p l a c e the
"neighborly-tree" by a real diadic tree).
On the other hand, it turns out that there are easy examples of
R a d o n - N i k o d g m spaces w h i c h have n e i g h b o r l y - t r e e - p r o p e r t y and hence
cannot imbed in a R a d o n - N i k o d g m dual.
Our s are c o u n t e r e x a m p l e s to the U h l - c o n j e c t u r e for a dif-
ferent reason. It can be shown that the members of ~ not only have
RNP but also fail the n e i g h b o r l y - t r e e - p r o p e r t y .

6. ON THE N U M B E R OF S E P A R A B L E s

Of course, the best known s e p a r a b l e s are the C ( K ) - s p a c e s

for K compact metric. From the i s o m o r p h i c point of view the struc-
ture of these spaces is d e s c r i b e d in the f o l l o w i n g two results.
 43

PROPOSITION 3.16 : If K is an u n c o u n t a b l e compact metric space,

then C(K) is i s o m o r p h i c to C(&), the space of c o n t i n u o u s functions
on the Cantor set.

PROPOSITION 3.17 : Suppose K and L countable compact spaces with

respective Cantor-ordinals ~ and 6. T h e n C(K) and C(L) are iso-
morphic Banach spaces iff a m = 8 m.

(3.16) is due to M i l u t i n (see [93]) and (3.17) to Bessaga and

Pe~czynski [45]. It is an immediate consequence of t h e s e results
that there exist only ~1 m u t u a l l y non-isomorphic C(K)-spaces for
K compact metric.
The a i m of this section is to show that Y has a continuum number
of m u t u a l l y non-isomorphic members. This gives a continuum number
of separable s
1
Y consists of the spaces Xa, b w h e r e 0 < b < ~ < a < 1 and a + b > I.
More precisely, it w i l l be p r o v e d that for fixed a the Banach
spaces (Xa,b) b are mutually non-isomorphic.

To p r o v e that the spaces Xa, b are not isomorphic, we will construct

a basic sequence (e k) in Xa,b, such that the estimate

+ +
IIekl + ek2 .. 9 ekN II .< N ~

holds, whenever kI < k2 < ... < k N. Here ~ is the unique number such
that
1 1
a 1 -e + b I -e = 1.

On the other hand we show that if [iXk[l = 1 a n d x k + 0 weakly in

Xa,b, then there is a s u b s e q u e n c e (z k) of (x k) and a constant c > 0,
such that llzI + z 2 + ... + ZN11 ~ c N ~ for each N.

Since for fixed a the parameter ~ is in o n e - o n e correspondence with

b this shows that the spaces Xa, b are not isomorphic. More precisely,
Xa, b is not isomorphic to a s u b s p a c e of Xa,b, if b < b'.

Our presentation here will be sketchy. The reader will find more
details in [29].
 44

LEMMA 3.18 : There is a s e q u e n c e of n a t u r a l numbers (nk)k~ 1 w i t h

following properties

I. d 3 < n I ~ d 4 < n 2 ~ d 5 ... ~ dk+ 2 < n k ~ dl(+3 ...

2. If x 9 E m and x I = x 2 = 0 then the nk-coor~inate of Jm(X) is

zero for all k' > m.

LEMMA 3.19 : If x 9 ~ and ~ (x) : 0 then nxli : UJm(X)ll

"m m-1 '

(3.18) is i m m e d i a t e from the construction of the spaces X and

a,b
(3.19) follows from (3.4).

Let now e~ be the element of Ek+ 3 d e f i n e d as (e~) i = 1 if i = n k

and (e~) i = 0 if i ~ n k. Put then e k = J k + 3 ( e k T) . From the prece-
ding, we get IIekll = 1.

From the estimates of lemma 3.4 and from (3.18) we d e d u c e that the
sequence (e k) is an u n c o n d i t i o n a l basis (of c o n s t a n t 1) and that
for k I < ... < kN, the norm of x : ekl + ... + ekN is a t t a i n e d in

the extension Jeyond the c o o r d i n a t e dkN+3. Hence

lixIL : max (aLJ~ (x)H +

m<kN+3 m b]Ix-Jm~m(X)l])

max (allekl+...+e k li + b l l e k +...+ekNil)

n(N n n+l

For each N, d e f i n e YN = sup {Ilekl+...+ekN{[ ; kI < ... < k N]

The above estimate then gives (1) Y1 : 1

(2) YN = max (aYn + bYN_n)

heN

Proceeding by induction on N, the following is e a s i l y obtained by

elementary calculus.

LEMMA 3.20 : If (yN) is a s e q u e n c e of real numbers satisfying

(1) and (2), then

YN r N~

where ~ is the unique number between 0 and 1 satisfying

1 1
a 1 -a + b I -~ = 1
 45

Let us now pass to the r e v e r s e subsequence estimations.

Suppose (x k) a s e q u e n c e in Xa, b such that IIXkll : i and x k + 0
w e a kly.
By a d e n s i t y argument, we m a y of c o u r s e assume (x k) in U n X n.
Take a decreasing sequence (e k) of p o s i t i v e numbers with ~k(1-ek)>O.

It is p o s s i b l e to e x t r a c t a subsequence (z k) of (x k) s a t i s f y i n g
following conditions

1
9 z k E Xsk

2. ~Sk(Z I) = 0 if i > k

3. ll~Sk(X)H ~ (• k)ilxll for all x E span (Zl, .... z k)

for some sequence s I < s 2 < ... < s k < ... of n a t u r a l numbers 9

Put now ~N = inf llZk+1 + ... + Zk+Nil.

k

Clearly 61 = 1 and by (3.5)

IIZk+ 1 + ... + Zk+NL1

a11~Sk+n(Zk+1+...+Zk+N)tl + bUZk+l+...+Zk+N-JSk+n~Sk+n(Zk+l+...+Zk+N )II

= ail~ (Zk+l+...+Zk+n)il + bIIZk+n+ 1 + ... + Zk+Nii

Sk+ n

a ( 1 - e n ) 6 n + b 6N_ n.

Thus (1) 61 = 1

(2) 6 N ~ m a x ( a ( 1 - S n ) ~ n + b 6N_ n )
n,<N

The next le~ma is s i m i l a r but m o r e t e c h n i c a l than (3.20).

LEMMA 3.21 : Under the a b o v e conditions (1) and (2), there exists
a constant c > 0 such that 6N ~ c N e, w h e r e e is d e f i n e d as in
lemma 3.20 9

The proof is left as an i n s t r u c t i v e exercice for the reader.

 46

THEOREM 3.22 : If b' > b, t h e n Xa, b is not isomorphic to a s u b s p a c e

of X
a,b'"
1 1
Proof : If b < b' , t h e n o < o' w h e r e a I-~ + b 1-~ = 1 and
1 1
1-o' 1-~ v
a + b t = I. Let (e n) b e t h e sequence in Xa, b c o n s t r u c t e d
above. Since span (e n ; n ~ i) d o e s not contain a copy of 11 a n d
since (e n) is unconditional we obtain that en + 0 weakly. Suppose
n o w Xa, b i s o m o r p h i c to a s u b s p a c e Z of Xa,b,. Let x n be t h e element
of Z corresponding to e n 9 Since xn + 0 we a l s o have that
x
n
zn = ][~ ~ 0 w e a k l y . By p a s s i n g to a s u b s e q u e n c e a n d b y a p p l i c a t i o n
n
o f l e m m a 3.21, we o b t a i n a c o n s t a n t c > 0 s u c h t h a t LiZl+...+ZNl1~c N ~

Consequently Hx I + ... + XNll ~ c' N ~' , f o r some c' > 0.

On the other hand, there is some constant c" < ~, such that
UX 1 + ... + XNII ~ c"lle I + ... + eNl~ ~ c" N O.
This however is a c o n t r a d i c t i o n .

7. RELATED REs AND PROBLEMS

1. It is not clear whether or not the spaces X1, b a r e isomorphic

for different values of b.

2. O n e may raise the question if t h e spaces Xa, b a r e prime, i.e.

if a n y complemented subspace of Xa, b is f i n i t e dimensional or
isomorphic to Xa, b.

3. It t u r n s out to be d i f f i c u l t (and in f a c t we a r e u n a b l e ) to
modify the construction in o r d e r to o b t a i n s without
c0-subspace and failing the RNP.

4. One of t h e important questions in g e n e r a l Banach space theory

is t h e following :
I
Does any infinite dimensional Banach space contain c O or i- or
a reflexive subspace ?
Even for s the problem is o p e n .

5. It is not known if a n y infinite dimensional Banach space con-

tains an unconditional basic sequence. In f a c t , we d o n ' t kno~
 47

if any subspace of X (a < 1) c o n t a i n s an u n c o n d i t i o n a l basic

a,b
sequence.

6. The t e c h n i q u e d e s c r i b e d in this c h a p t e r is not only a new way

of c o n s t r u c t i n g s but also Banach spaces in general.
M o r e o v e r there are also clearly c e r t a i n m o d i f i c a t i o n s possible
w h i c h may be i n t e r e s t i n g to investigate.
 IV. A CLASS OF s

In this chapter a new family of c o m p l e m e n t e d subspaces of LP[ 0,1]

(I < p < ~) w i l l be introduced and studied. These results are
presented in [30] in a s o m e w h a t different way. For c e r t a i n facts,
the reader will also be r e f e r r e d to [8{] and {60] .

1. INTRODUCTION

Unless otherwise specified, we a l w a y s suppose 1 < p < =.

It was already pointed out in 1.23 that any s is isomorphic
to a c o m p l e m e n t e d subspace of an L P ( ~ ) - s p a c e . Conversely, a comple-
mented subspace of LP(~) containing a copy of i p is a s
(see 1.25). In fact, the following holds

PROPOSITION 4.1 : If X is a c o m p l e m e n t e d subspace of L P ( ~ ) , then

X is e i t h e r a s or isomorphic to a H i l b e r t space.

Proof : By d u a l i t y , only the case 2 ~ p < ~ must be c o n s i d e r e d .

Define for fixed n > 0 and f 6 X the quantity
i (f) = ~[ Ifl ~ nlflip]

The following two cases are distinguished

(a) inf {in(f) ; f e X} = 0 for any n > 0

(b) T h e r e exists n > 0 and p > 0 such that In(f) > p whenever f 6 X

It is e a s i l y seen t h a t in c a s e (a) the space ip embeds in X a n d

therefore X is a s
If (b), then it is c l e a r that for all f 6 X

llfll2 ~ IIflip ~ 1-!-- llffl

n/~ 2

holds. Consequently, X is i s o m o r p h i c to a s u b s p a c e of L2(~) and

thus a Hilbert space.

On the o t h e r hand, we h a v e

PROPOS!TION ~.2 : Suppose 2 ~ p < = and X a subspace of LP(~)

isomorphic to a H i l b e r t space. Then X is c o m p l e m e n t e d in L P ( ~ ) .
 49

Proof : The c a s e p : 2 is t r i v i a l . So let 2 < p < =. S i n c e X has

no i P - s u b s p a c e , we are n e c e s s a r i l y in a l t e r n a t i v e (b) of (4.1).
Thus the n gp and the M U2 norm coinciOe on X. T h e r e f o r e , the o r t o -
gonal projection P on X is b o u n d e d in ~ gp-norm, since

HP(f)Jl ~ np(f)n ~ Rfll ~ ~fll

p 2 2 p

f o r all f E LP(B).

Let us r e c a l l the c l a s s i c a l Khintchine inequalities for the R a d e -

macker functions (r n) o n [0,1].

PROPOSITION 4.3 : For a n y 1 < p < ~, t h e r e is a c o n s t a n t Kp <

such t h a t

1 (En
K-- fan 12 ) 1/2 ( lien a n r n p Kp(Z n lanI2) I/2
P
for any finitely supported sequence (a n ) of scalars.

For p = 2, we o b v i o u s l y find K 2 = 1.
(4.3) is a p a ~ i c u i a r c a s e of a m o r e general result w h i c h we will
present later.
Thus the R a d e m a c k e r functions span a H i l b e r t i a n subspace of LP[0,1]
for all 1 < p < ~.
It f o l l o w s t h e n f r o m 4.2 a n d a d u a l i z a t i o n argument that [r n ; n]
is c o m p l e m e n t e d in LP[0,1] for e a c h i < p < ~. C o n s e q u e n t l y LP[0,1]
has c o m p l e m e n t e d Hilbertian subspaces for each 1 < p < ~. Let us
remark at this point that L p also has n o n - c o m p l e m e n t e d Hilbertian
subspaces in the c a s e 1 < p < 2 (see [fl]).

As an i m m e d i a t e consequence of (1.25) and the p r e c e d i n g , we get

PROPOSITION 4.4 : The spaces Y = 12 @ I p a n d Z = (12@12~...)p,

P P
i.e. the i P - s u m of 1 2 - s p a c e s , are s

For some time, the spaces i p, L p, Y and Z w e r e the o n l y known

P P
s
The next step was H. R o s e n t h a l ' s discovery of the space Xp.
 50

Assume 2 ~ p < ~. Let ~ : (~n) be a s e q u e n c e of real numbers with

0 ~ ~ g I for all n. We t h e n c o n s i d e r the space X consisting
n p,w
of all s e q u e n c e s of r e a l s x = (Xn) , s o , t h a t

~xlt = m a x {(Z IxnlP) l/p, (z ~ IXnI2) 1/2} <

Thus X is a s u b s p a c e of Y . T h e i n t e r e s t of t h e s e spaces lies

P,~ P
in t h e i r p r o b a b i l i s t i c i n t e r p r e t a t i o n (see [I0~] and [I~0]).

PROPOSITION 4.5 : Assume 2 .< p < ~ a n d (fn) a s e q u e n c e of i n d e p e n -

1
dent r a n d o m variables on [ 0,I] with nf II = I and I 0 f (t) dt = 0
n p n
for each n. T h e n (fn) is e q u i v a l e n t to the u n i t v e c t o r basis of
Xp,m where ~ is d e f i n e d by mn = nfnU2"

It c a n be s h o w n that if t h e sequence (fn) c o n s i d e r e d a b o v e has the

additional property that for e a c h n t h e function f2 is a m u l t i p l e
n
of a c h a r a c t e r i s t i c function, then [ f ; n] is c o m p l e m e n t e d in L p
n
by the o r t o g o n a l projection. Because all the X can be r e a l i z e d
P,~
by such s e q u e n c e s , we c o n c l u d e t h a t t h e X p , ~ are e i t h e r s
or H i l b e r t sprees. As shown in [109], t h e r e are four cases to
distinguish.

PROPOSITION 4.6 :

i) If l i m ~n > 0, t h e n X p , ~ is i s o m o r p h i c to 12

ii) If Z n ~np-2 < ~, t h e n X p , ~ is i s o m o r p h i c to I p.

iii) If we c a n s p l i t the integers l~ into two d i s j o i n t infinite

sets M and N, such that
2p
p-2 < ~,
inf {w n ; n E M} > 0 and 7nEN ~n

t h e n X p,w is i s o m o r p h i c to Y p .

iv) In the o t h e r cases, the spaces X t u r n out to be i s o m o r p h i c

P,~
to a same space w h i c h we d e n o t e Xp and w h i c h is not c o m p l e m e n -
ted in Y .
P

In [95], G. Schechtman obtained infinitely many non-isomorphic

separable Z~spaces but w i t h increasing X.
 51

In this chapter, the existence will be shown of an u n c o u n t a b l e

family of m u t u a l l y non-isomorphic complemented subspaces of L p.
So this leads to u n c o u n t a b l y many sep%rable Z ~ - t y p e s for some ~ < ~.
For some time, one believed that a separable s either embeds
in Z or contains LP[0,1]. We will solve this question negatively,
P
by proving that if a separable Banach space B contains a copy of
any separable Z P - s p a c e without LP-subspace, then B has a subspace
isomorphic to L p. In particular, the separable s not
containing L p have no universal element.

Besides general Banach space arguments, crucial use is made of

classical martingale inequalities due to D. Burkholder, B. Davis,
R. Gundi and E. Stein. Also some s e t t h e o r e t i c a l techniques are
involved.

2. SOME BASIC P R O B A B I L ! S T I C FACTS

The structure of L p depends heavily on certain m a r t i n g a l e inequali-

ties. We will =~plicit here certain basic results which are needed.
For proofs and related facts, we refer to [60].

Let (~,F,p) be a fixed p r o b a b i l i t y space and assume (Fn)n=l,2,.. "

an increasing sequence of sub-o-fields of F. If f E LI(z), we
let fn = E[flFn] and assume f0 = 0. The sequence (fn) is a martin-
gale and the c o r r e s p o n d i n g martingale difference sequence is given
by Afn = fn - fn-l"

Define for each n

fXn = l&k~nmaX Ifkl and Sn (f) : (Zk=in [A fk]2) I/2

The maximal function fx and the square function S(f) are given by

fX = lim fx and S(f) : lim S (f).

n n
n~ n~

We first state Doob's inequality

PROPOSITION 4.7 : For I < p <

llfHp ~ ~f~ILp ~ ~ Kfll

 52

The f i r s t inequality is of c o u r s e trivial. The second one f o l l o w s

from a stopping time argument.

Less elementary is the Burkholder-Gundi inequality about the square

function.

PROPOSITION 4.8 : Let 1 < p < ~. T h e n t h e r e are c o n s t a n t s c > 0

P
and C < = such t h a t f o r all f E LP(~)
P
c llfIE .< lIS(f)U .< C llfll
P P P P P
holds.

We d e n o t e (h i ) the L = - n o r m a l i z e d Haar s y s t e m on [ 0 , 1 ] , i.e. the

s y s t e m of f u n c t i o n s (hn,k)n=l,2,..., where
1(k~2 n

hn, k = X X
[ ( k - 1 ) 2 - n , ( 2 k - 1 ) 2 -n-l] [ (2k-I)2 - n - l , k 2 -n]

and X m e a n s the c h a r a c t e r i s t i c function.

It is e a s i l y seen t h a t (h i ) is a m a r t i n g a l e difference sequence

and t h e r e f o r e , by 4.8

PROPOSITION 4.9 : If 1 < p < =, t h e n for any f i n i t e sequence (a i)

of s c a l a r s

Cp11Zi ai h i U p ~ ll~Zi a l
2. h211
i p & CplIZ i a i hilt p

holds.

Since LP[0,1] is g e n e r a t e d by the H a a r f u n c t i o n s , we c o n c l u d e that

(h i ) is an u n c o n d i t i o n a l basis for L p (1 < p < ~),
Let us r e m a r k at this point that the Lebesgue space [0,1] may be
replaced by any p r o b a b i l i t y space measure-theoretically isomorphic
to [ 0,1] .

If X, Y are B a n a c h spaces then a sequence (x i) in X and a s e q u e n c e

(yi) in Y are said to be e q u i v a l e n t provided the m a p x i ~ Yi induces
an i s o m o r p h i s m of [x i] and [yi] .
 $3

Following [~6] , we call a C-tree over a measure space (~,F,~) a

system (An,k)n:l,2, "'" in F satisfying following conditions
l~k~2 n

(i) An, k : An+l,2k_l u An+l,2k

(ii) An+l,2k_l ~ An+l,2k =

(iii) C -I 2 -n ( ~(An, k) ( C 2 -n

for each n and k : I,...,2 n.

The next result is due to Gamlen and Gaudet (cfr. [~$] ).

PROPOSITION 4.10 : Let C < ~ and (An,k)n, k a C-tree over the

measure space (~,F,~). Consider the sequence (Xn,k)n, k defined

by Xn, k = XAn+l,2k_l XAn+l,2k" Then for all 1 ~ p <

1. (Xn, k) in LP(~) is equivalent to (hn, k) in LP[0,1]

2. [Xn,k] is isomorphic to LP[0,1]

3. [Xn, k] is norm-i complemented in LP(~)

We will also need for our purpose the following particular case
of a general inequality involving convex functions due to Burk-
holder, Davis and Gundi.

PROPOSITION 4.11 : Let (~,F,B) be a probability space, (F n) an

increasing sequence of sub-a-fields of F and (fn) a sequence of
non-negative measurable functions on ~. Then

ilZn E[fnlFn] lip .< pnZ n fnlp

holds for all 1 ( p < ~.

We include a proof which is quite simple. It is based on the

following elementary calculus lemma left as an exercice to the
reader.

LEM>L~. ~.12 : Let al,...,a N be positive numbers and i ~ p < ~. Then

(~N : 1 an)P ~ p ~N : l(~nj : l aj)p-1 an

 54

Proof of 4.11 : From the lemma, we get the p o i n t w i s e inequality

(E n E [ f n I F n ] ) p .< p Zn(F~3= 1 E[ fjtFj] )P-I E[fnlFn] 9

By i n t e g r a t i o n and a p p l i c a t i o n of H 6 1 d e r ' s inequality, it f o l l o w s

nF~n E[ fnlFn] lip ~ piZn(7.3=l E[ fjlFj] )p-I fnll1

p11(Zn E[fnlFn] )p-i (Zn fn)lll

( pllEn E [ f n l F n] Up-1
p E[Zn f n IIp .

So lien E[fnlFn]ll p ( pIIZn fnllp, as r e q u i r e d .

3. O P E R A T O R S FIXING L p AND LP-EMBEDDINGS

Also in this section, we will omit several proofs which are r a t h e r

long a l t h o u g h mostly based on simple ideas. Our m a i n reference
here is [ ~6] (See. g, see also remark 1 on p. 263).

Our i n t e r e s t goes first to o p e r a t o r s T : LP(~) + LP(v) which fix

an LP-copy, i.e. which are isomorphisms when restricted to some
subspace o~ LP(z) isomorphic to LP[ 0,1] .

THEOREM 4.12 :

1. Let 1 ( p < ~ and p ~ 2. If T : LP(~) + LP(v) is an o p e r a t o r

fixing a copy of L p, then there exists a purely non-atomic o-field
~ of ~ - m e a s u r a b l e sets so that T induces an i s o m o r p h i s m on the
subspace LP(~IG) of LP(~) and the image T(LP(~I~)) is a c o m p l e -
mented subspace of LP(v).

2. A s s u m e 1 ~ p < 2. Let T : LP(~) + LP(v) be an o p e r a t o r and

6 > 0 such that 11Tfll ~ 6 w h e n e v e r f is a p - m e a s u r a b l e f u n c t i o n of
D
mean zero raking only the values +1 and -1. Then T fixes an LP-copy.

The case p = 1 is the E n f l o - S t a r b i r d theorem (see [[~] ).

The cases 1 < p < 2 and 2 < p < ~ are proved separately and are
due to G. S c h e c h t m a n (see { ~ ] ).
 55

As an immediate c o n s e q u e n c e of t h e o r e m 4.12 (1), we find

C O R O L L A R Y 4.13 : If 1 g p < ~ and X is a subspace of LP(~) iso-

morphic to L p, then X has a subspace Y such that Y is also iso-
morphic to L p and Y is m o r e o v e r c o m p l e m e n t e d in LP(~).

Actually, for our purpose, we need the f o l l o w i n g more precise

result, w h i c h is in fact the main step in the p r o o f of Th. 4.12.
for 1 < p < ~ (p ~ 2).

PROPOSITION 4.14 : Let 1 < p < ~, p ~ 2 and X a subspace of LP(~)

which is i s o m o r p h i c to L p. T h e n there exist a s y s t e m (hn,k) in X
and a "tree" (~n,k) of functions such that the systems (hn, k) and

(2n~n, k) are biortogonal.

We still have to point out what is meant by a tree of functions.

This n o t i o n is closely r e l a t e d to trees of sets, w h i c h we intro-
duced in previous section.

DEFINITION 4.15 : If (fi,~) is a p r o b a b i l i t y space, then a s y s t e m

{~n,k ' n=0,1,2,.., and 1 ~ k ~ 2 n} of (0,1,-1)-valued

b-measurable functions will be called a "tree of functions" pro-

vided (An, k ) is a C-tree of sets for some C < ~, w h e r e

An, k : supp ~n,k"

Given such a tree (~n,k) , we define for c o n v e n i e n c e an "elementary

function" as a sum

where s = • the ~e are ~ n , k - f u n c t i o n s with d i s j o i n t supports

and supp ~ = A0, 1.

 56

4. T R E E S AND TREE-0RDINALS

The aim of this section is to introduae the notion of "tree" and

state the Kunen-Martin boundedness result on sets of w e l l - ~ o u n d e d
trees. In a next section, we w i l l introduce certain subspaces of
L p using trees on the integers. The non-existence of universal
elements in this class of spaces is b a s e d on o r d i n a l properties of
analytic sets of trees. We w i l l suppose the reader familiar with
the notion of a n a l y t i c subset of a P o l i s h space and their stability
properties.
Basically we are only interested in t r e e s on the set ~ of posi-
tive integers. However, also trees of t r e e s will be c o n s i d e r e d .
Therefore~ we are o b l i g e d to deal with more general trees.

Let us start with an a r b i t r a r y set X. T h e set Un= 1 X n of the finite

complexes of elements of X can be p a r t i a l l y ordered in a n a t u r a l
way, by t a k i n g ( X l , . . . , x n) < (xi,...,x~) provided p ~ n and
x k = x' for k = 1, ..,n. C o m p a r a b i l i t y and i n c o m p a r a b i l i t y will
k
a l w a y s be r e l a t e d to this order. A t r e e T on X w i l l be a s u b s e t of
Un=
1~ X n with J~e p r o p e r t y that a predecessor of a m e m b e r of T
belongs also to T. Thus (x I , ... ,x n ) 6 T w h e n e v e r (x 1 , . . . , X n , X n + l )ET"
For a tree T on X, we d e f i n e
D(T) = U ~n=l {(Xl , " . ,Xn)
. E . X n . ; (Xl,. ,Xn, x) 6 T for some x e X}.

Proceeding by induction, we c a n then construct a transfinite system

of t r e e s :
Take T O = T.
If T e is o b t a i n e d , let T ~+1 = D(T~).
For limit ordinals y , define T Y = N ~<y T~ 9

The tree T on X is w e l l - f o u n d e d provided there is no sequence (x n)

in X s a t i s f y i n g ( X l , . . . , x n) E T for each n.
If T is w e l l - f o u n d e d , then the T ~ are strictly decreasing. Hence
T ~ will be empty for e s u f f i c i e n t l y large. The oreinal o[T] of the
well-founded tree T will be the smallest ordinal for which
TO[ T] : ~.

The next result relates the ordinal of a t r e e to t h e s e of c e r t a i n

subtrees.
 57

PROPOSITION 4.16 : Let T be a w e l l - f o u n d e d tree on X and take

T x = Un= 1 { ( X l , . . . , X n ) E Xn ; (X,Xl,...,Xn) E T} for a l l x E X.
Then

o[T] = sup (o[T x] + 1)

xEX

Proof : It is e a s i l y verified by induction ~ that (Tx)e = (T~)x 9

If x E X is f i x e d and e < o[T x] , t h e n (Tx)a = (T~)x ~ ~ and there-

fore x 6 T e+l. Distinguishing the cases o [ T x] is not a limit ordinal,

o[ T x]
o[T x] is a limit ordinal, we see that x E T and hence

o[T] >. o[T x] + i, So o[T] ~ sup (o[T x] + 1).

xEX
Let conversely ~ : sup (O[Tx] + i). For all x C X, we h a v e that
xEX
o[ T x] o[ T x]
(T x) : (T )x = %" But this means that no c o m p l e x e s in
o[ T x] +I
T~ C T starts with x. Thus T ~ = ~ and o[T] ~ ~.

A tree T on = ~e!ish (: c o m p l e t e metrizable and separable) space X

is said to be a n a l y t i c provided for all n E ~ the set

T(n ) : {(Xl,...,Xn) e Xn ; (Xl,...,Xn) e T}

is an a n a l y t i c subset of the product space X n.

We are now prepared to state the Kunen-Martin theorem which is

sometimes also formulated in t e r m s of w e l l - f o u n d e d relations
(cfr. [4~] ).

THEOREM 4 . 1 7 ' : An a n a l y t i c tree T on a P o l i s h space X is e i t h e r

not well-founded or o[T] < ml"

The result needed for later use is a c o n s e q u e n c e of 4.1 . We d e n o t e

C = Un=l ~qn and X = {0,1} C, endowed with the product topology.
Thus X is a c o m p a c t metrizable space. Any tree on ~ can be seen as
an element of X. The following result holds

COROLLARY 4. 18 ~ If W is a set of w e l l - f o u n d e d trees on I~ and if

W is an a n a l y t i c subset of X, then sup o[T] < ~i"
TEW
 58

We will give here o n l y a sketch of the argument. The details can be

found in [+~] also. For given W, we i n t r o d u c e a new tree T on X,
taking

T = Un=o{(T,T1,...,Tn) : T 6 W, T 1 , . . . , T n ~ ~ are trees on ~ ,

Ti C D(Ti+I ) for i=l , ...,n-I and T n C T }

It is indeed clear that T is a tree. It is not d i f f i c u l t to v e r i f y

that if W consists of w e l l - f o u n d e d trees then T is w e l l - f o u n d e d and
m o r e o v e r u s i n g previous notations, o[T] > o[T T] = o[T] for any T E W.
If now W is analytic in X, it follows from the above d e f i n i t i o n of
T that T is an a n a l y t i c tree on X. Thus o[T] < ~1' by 4.17, and
this ends the proof.

5. T R A N S L A T I O N !NVARIANT LP-EMBEDDINGS

The s o b t a i n e d in this chapter will appear as translation-

invariant subspaces of the Cantor-group. In o r d e r to e s t a b l i s h
non-embeddability of L p, we will rely on what means a n a l y t i c a l l y
an L P - e m b e d d i n g in this situation. It is the purpose of this section
to present a d e s c r i p t i o n of sets of characters on the C a n t o r - g r o u p
for which the L P - c l o s e d linear span contains an LP-copy.

Let us first recall some s t a n d a r d terminology.

In what follows, G will denote the Cantor group {1,-1} ~{ The dual
group F of G is formed by the Walsh functions w S = ~ rn, where
nES
(r n) is the R a d e m a c h e r sequence (= c o o r d i n a t e functions). For
A C F and 1 ~ p < ~ we write L~ for the subspace of LP(G) generated
by the characters {y ~ y C A}.
For 2 < p < ~, the sets A c F for which L p embeds (in the Banach
space sense) in L~ are c h a r a c t e r i z e d by the f o l l o w i n g t h e o r e m

THEOREM 4.!9 : Let A C F and 2 < p < ~. Then L p embeds in L~ if and

only if there exist two sequences (yk) and (6 k) in F such that the
Yk are independent Walsh functions and y.6 k belongs to A for all k
and y in the group g e n e r a t e d by y 1 , Y 2 , . . . , y k .
 59

We agree to call (+) the property for subsets A C F stated in

Th. 4.19. The "IF" part is a consequence of the f o l l o w i n g result.

PROPOSITION 4.20 : If A C F has (t), then there exists A' C A such

that LI, is isomorphic to L q and c o m p l e m e n t e d in Lq(G), for all
1< q < ~.

Proof : The argument is straightforward. Denote F n (n=0,1,2,...) the

diadic (= Littlewood-Paley) decomposition of F. Thus

F 0 = {1} and F n = {w S max (S) : n} for n = 1,2,...

It is clear that (eventually replacing the 6k ) one can assume

A~ = {y.6 k , y is in [y1,...,yk ] } is contained in F

nk '
where (n k) is a strictly increasing sequence of integers.
Our aim is to show that

A' = U A{
k
satisfies. Let gk be the e x p e c t a t i o n with respect to the algebra
generated by {y1,...,yk ). Notice that if for each k one considers
an Sk-measurable function fk' we get by 4.8 for 1 < q < ~

~Z fk.6k~q ~ ~([ Ifkl2)l/2~q

where % means an equivalence depending on q.

Let e be the group [yk ] generated by the sequence (yk). Since the
Yk are independent we get a trivial isometry of Lq(G) and L~.
From the above observation, it follows that the map

T : L~, § L~ defined by T(Y'6k) = Y'Yk+I for y 6 [Y1 ..... Yk ]

is an i s o m o r p h i s m for I < q < ~. In particular, L~, and L a are iso-

morphic.
It is w e l l - k n o w n that the best p r o j e c t i o n on a t r a n s l a t i o n - i n v a r i a n t
subspace is the orJogonal projection. For more details on this
matter, the reader may consult [31].
 60

Now the orthogonal projection P from Lq(G) onto L~, is given by

P(f) : E k Ek[fnko6k].6 k

where

f = E fn is the diadic d e c o m p o s i t i o n of f.

Applying again 4.8 and 4.11, we find for q ~ 2

llP(f)iiq ~ U(Z k Igk[fnk.~k] 12)I/2Hq

II<Zk Jfnkl2)a/2Uq
g HCE Ifn12)l/211
q

Ufllq,

establishing the boundedness of P for 2 ; q < -. The boundedness for

1 < q g 2 follows then by a duality argument. Let us however point
out that above estimate is valid for all 1 < q < -, replacing 4.11
by an inequality of E. Stein (cfr. [~6]).

The proof of the reverse part of Th. 4.19 is less trivial. In the
following crucial definition we consider again trees of functions as
introduced in Sec. 3, where the measure space is the Cantor group G
equipped with its Haar-measure.

DEFINITION 4.21 : We say that A C F has property (~) p r o v i d e d for

any tree of functions (~n,k) on G and g > 0, there exists a (~n,k)-
elementary function ~ for which

holds.
I
f f ~ dm I ~ E~fll2 for f 6 LA

The main ingredient of the "only if" part of 4.19 are certain
stability properties of (x).

PROPOSITION 4.22 :

(I) The class of subsets A of F v e r i f y i n g (*) is stable for finite

union.
 61

(2) A s s u m e A C F such that for any finite subset F 0 of F there exists

A 0 C A such that A 0 has (~) a n d u is not in F 0 w h e n e v e r y and
6 are distinct elements of A\A O.
Then also A verifies (~).

Prop. 4.21 suggests the following transfinite system (Se)e<ml of

classes of s u b s e t A of F.

DEFINITION 4.23 :

(1) D e n o t e S O the class of 1-element subsets of F.

(2) Suppose S o defined for e < B. T h e n S 8 is the class of the A C F

such that for all finite F 0 C F, t h e r e exists A 0 C A where A0
is a f i n i t e union of e l e m e n t s of S ~ for some e < 8 and y.6 ~ F0
for y ~ 6 in A\A O.

Using 4.22, transfinite induction gives immediately

COROLLARY 4.24 : If A 6 S ~ for some ~ < ml' then A has (~).

The "regularity" of LP-embeddings in s u b s p a c e s of L p is u s e d to show

the following fact.

PROPOSITION 4.25 : If 2 < p < ~ and Lp embeds in L p, t h e n A fails

(~).

Proof : Take (hn, k) and (~n,k) as in prop. 4.14. Consider a (~n,k)-

elementary function

= E so ~ a

to w h i c h we associate the LP-function

f = F e ha .

Notice that since p > 2

Tlfll2 g llfJl g const.

p
depending on the e q u i v a l e n c e of (h a ) and the Haar-system in L p.
 62

From the b i o r t h o g o n a l i t y , it follows

f ~ dm E <h ,~ >= 1,

because supp ~ = A0, 1.

F r o m its b e h a v i o u r w i t h respect to the tree of functions (~n,k), we

conclude that A fails (~).

For subsets A C F, the p r o p e r t i e s (+) and (~) are opposite.

PROPOSITION 4.26 : Assume A C F such that A G S ~ for any ~ < ~I"

Then A has p r o p e r t y (+).

Proof : We first observe the fact that given a finite subset Ff of F,

there is always a finite p a r t i t i o n (F i) of F, so that for each i

y6 ~ Ff whenever y ~ 6 in F i

(In fact, this p r o p e r t y extends to a r b i t r a r y groups).

Denote for convenience S = U S e . We show next that if A ~ S, then
also A D y.A ~ S for some y ~ 1. Otherwise, since F is countable,
there should exist ~ < ~1 such that

A N y.A E S for all y E F\{1}

But then A E Se+ 1. Indeed, given a finite subset F 0 of F\{1}, the

set

A0=AD U yA
YEF 0

is a finite union of elements of S~ and y.6 ~ F 0 for y,~ in AkA O.

P r o c e e d i n g by induction, we will now construct a sequence (Tk) of

distinct elements of F and a sequence A k of subsets of A, such that

(a) A k 6 S

(b) Ak+ 1 C A k ~ Yk+l Ak

Start w i t h A 0 : A. Suppose YI'" "" '7n and A n constructed.
T a k i n g Ff : {y1,...,yn }, we get from a p r e c e d i n g o b s e r v a t i o n a finite
partition (F i) of F, such that for each i and each k : 1,...,n

y.6 ~ Yk whenever y ~ 6 in F i
 63

From (a) and since A n = U .l (F.l N A n ), there is some i satisfying

r. n A = A' ~ S
1 n n
Again by the p r e c e d i n g

An+l = An' n Y n + l A'n ~ S for some Yn+l 6 F\{1).

N o w Yn+l ~ Ff, b e c a u s e f o r 7 6 Ff\{1}

A' n y A' c F n y F i :
n n i
This clearly completes the c o n s t r u c t i o n .
Denoting

Gk = [yl,...,Tk ]
an i t e r a t i o n of (b) a n d (a) s h o w in p a r t i c u l a r that

n y.A ~
YEG k

and thus contains some character 6k, w h i c h w i l l satisfy

y 6k E A whenever y E Gk

In o r d e r to p r o v e (+), it r e m a i n s to r e p l a c e the s e q u e n c e (yk) by

a sequence of independent Walshes. Now this p m o c e d u r e is s t a n d a r d
(considering suitable products of the Yk ) and left as an e x e r c i c e
to the reader.

We n o w come b a c k to the p r o o f of Prop. 4.22.

P r o o f of 4.22 (I)

Denote P the d i a d i c o r d e r on the set of i n d i c e s

A = {(n,k) , n=0,1,2,.., and 1 ~ k ~ 2 n}

Assume A,A' two (disjoint) subsets of F e a c h v e r i f y i n g (~) and fix

a tree of f u n c t i o n s (~).
For e a c h (n,k) @ A, one can c o n s i d e r the "sub-tree"

(~a)a~(n,k)
B e cause A has (~), t h e r e exists a function ~n,k w h i c h is e l e m e n t a r y
with respect to this sub-tree and such that
 64

2
If f ~n,k dml "< e 4 -n-I |f~2 for all f 6 L A.

Now (~n,k) is again a tree of functions. Since A' has (~), there
is an (~n,k)-elementary function ~ for w h i c h ,
e 2
If f ~ dm I ~ ~ nfB 2 if f 6 LA,

holds.
Notice that ~ is also (~)-elementary.

If g 6 L AoA''
2 orthogonal projection gives

g = f + f' where f 6 L 2A and f' 6 L~,.

We find

If g ~ dmI ~ II f ~ dml + IS f' ~ dml

Zn,k If f ~n,k Idm + ~ Hf'n2

e(Zn, k 4-n-1)HfU2 + ~ Df'U 2

e E = ~ggg

Since E > 0 was chosen arbitrarily, we conclude that A U A' has (M).

Proof of 4.22 (2)

It is a bit more delicate than (I).

Assume A C F satisfies the condition stated in 4.22 (2). Let (~) be
a tree of functions and (A) the c o r r e s p o n d i n g C-tree of supporting
subsets of G (C < =). Fix also e > O.
We fix an integer n, large enough to ensure that 2 -n % C 2 -n/2 < g.
For k = I,...,2 n denote for convenience Xk the c h a r a c t e r i s t i c func-
tion of An, k. Modulo a small perturbation, we can assume

Spec Xk C F 0 for k = 1,...,2n~

where F 0 is some finite subset of F.

Now, by hypothesis, there exist A 0 C A v e r i f y i n g (x) with the pro-
perty that
y.~ ~ F 0 for y ~ 6 in A\A O.
 85

Next, consider the sub-trees

(~)a~(n,l) (~e)~(n,2) "'" ( ~ a ) ~ ( n , 2 n)

Since A 0 has (X), one can find functions ~k 4 1 6 k ~ 2 n) such that

~k is (~e)e~(n,k) elementary and

if f ~k dml ~ 4 -n UfH 2 for f e L2

A0

Moreover, one can construct the ~k inductively in such a way that

they have essentially disjoint spectrum, thus

Spec ~k C Ck
and
#k N Ck' = ~ for k ~ k'

The point is that given a tree of functions on G, one can always

recombine the functions in order to obtain a new tree whose members
have a spectrum disjoint from a fixed finite subset of F. We don't
explicit this in full details, since the technique is elementary
and standard.

Let Pk the orthogonal projection on Ck" Define ~ = ~ ~k' which is

a (~a)-elementary function. We estimate I f ~ dm for f 6 L[.
If

f = fo + fl with fo 6 L AO
2 and fl E LA\Ao
2
then

If f ~ dm I ( E k If f0 Sk dml + II fl ~ dm[

-< 2 -n JJflU2 + Jl fl ~ dm[,

from the choice of the ~k"
Our purpose is to show that

Jl fl ~ dm[ .< C 2 -n/2 Ufl]J2

from which it will follow that

If f ~ dm] .< eUflt 2

and thus complete the proof.
 66

We h a v e

/ fl ~ dm = Zk I fl ~k dm = Zk I Pk(f~)~k dm,
hence

If fl ~ dml ~ Zk I IPk(fl) I X k dm

Remark that if y ~ 6 are in Spec (Pk(fl)) C (A\A0) , then

I (Xk.Y.6) dm = 0.
Consequently

f IPk(fl) I2 Xk dm = l{Pk(fl)[i 2 (/ Xk dm),

leading to the estimate

If fl ~ dml ~ Zk (/ Xk )I/2 {/IPk(fl )12 Xk }1/2

= Zk (I Xk) UPk(fl)El 2

= Zk m(An,k) NPk(fl)U2

C Zk 2-n lJPk(fl)ll2

.< C 2 -n/2 Uf1112,

as required.

So prop. 4.22 is established.

Combining 4.25, 4.24, 4.26, the "ONLY IF" part of 4.19 is obtained.

Although we don't know if 4.19 goes true for 1 < p < 2, dualization
leads to

COROLLARY 4.27 : For A C F, following properties are equivalent

(1) A has (+)
(2) There exist A 0 C A and 1 < p < ~ (p # 2) such that L~ is
0
complemented in LP(G) and contains a copy of L p.
 67

Proof : That (1) ~ (2) is a c o n s e q u e n c e of 4.20. Conversely, we

can conclude by 4.19 in case 2 < p < ~. Now if 1 < p < 2, we first
use 4.13 to obtain a c o m p l e m e n t e d e m b e d d i n g of L p in L~0. By duality,

L p' embeds in (L )~. Next, f r o m the h y p o t h e s i s and the fact that

0
o r t h o g o n a l p r o j e c t i o n is self-dual, it follows that (L~0)~ is iso-
!

morphic to L~ . Because 2 < p' < =, a p p l i c a t i o n of 4.19 ends the

0
proof.

Let us also remark f o l l o w i n g "primarity" p r o p e r t y of (+)

COROLLARY 4.28 : If A C r has (+) and A = A' U A", then e i t h e r A'

or A" will have (+).

Proof : A satisfies the c o n c l u s i o n of 4.20 and hence, by 4.25,

A fails (~).
Next, by 4.24, A ~ S ~ for all ~ < ml" Thus this will also be true
for either A' or A". It remains to use 4.26.

4.28 is a purely c o m b i n a t o r i a l result. A direct p r o o f will be

i n d i c a t e d in the remarks at the end of this chapter.

Several results of this section extend to other groups than the

Cantor group. More details on this matter will be given later.

6. A C O M P L E M E N T E D S U B S P A C E OF L p

Again we let C = Un= 1 ~ n . C o n s i d e r the group G = {-I,I} C e q u i p p e d

wi~h the Haar measure, w h i c h may o b v i o u s l y be i d e n t i f i e d with the
Cantor group, rnr all c E C, the R a d e m a c k e r f u n c t i o n r c on G is
given by rc(X) : x(c). To each finite subset F of C c o r r e s p o n d s a
Walsh f u n c t i o n WF : ~c~F rc" This s y s t e m of W a l s h f u n c t i o n s gene-

rates LP(G) for all 1 ~ p < ~.

 68

We say that a m e a s u r a b l e f u n c t i o n f on G only d e p e n d s on the coor-

dinates F C C p r o v i d e d f(x) = f(y) w h e n e v e r x,y E G with x(c) : y(c)
for all c E F. A m e a s u r a b l e subset S of G d e p e n d s only on the coor-
dinates F C C p r o v i d e d XS does.
For F C C, denote G(F) the s u b - o - a l g e b r a of t h o s e subsets of G
only d e p e n d i n g on the F-coordinates.
Remark that if F' C C, F" C C then ~(F') n ~(F") = ~(F' n F").
The c o n d i t i o n a l expectations with r e s p e c t to ~(F') and ~(F")
commute and their c o m p o s i t i o n gives the e x p e c t a t i o n with r e s p e c t
to ~(F' n F").

A b r a n c h in C will be a subset of C c o n s i s t i n g of m u t u a l l y compa-

rable elements. The f o l l o w i n g d e f i n i t i o n is crucial.

Let 1 ~ p < =. We denote X~ the closed linear span in LP(G) o v e r

all finite branches F in C of all those functions in LP(G) which
depend only on the c o o r d i n a t e s of F.
Thus X~ is the subspace of LP(G) g e n e r a t e d by the set of Walsh-
functions {w F ; F is a finite branch in C}.

T H E O R E M 4.Be ; X~ is c o m p l e m e n t e d in LP(G) for all 1 < p < ~.

The proof of this result is the main o b j e c t i v e of this section.

Let us say that a set (gi) of s u b - o - a l g e b r a s of G is c o m p a t i b l e if

for all i and j either 6. C 6. or 6. C 6. holds. It is evident
l ] ] l
that prop. 4.11 holds for c o m p a t i b l e sequences (gi) as well.
Indeed, fix n o n - n e g a t i v e m e a s u r a b l e functions fl,...,fn. The
c o m p a t i b i l i t y of the &i's implies that there is a p e r m u t a t i o n e
of {l,...,n} with go(i) C go(j) for all i ~ i < j ~ n. Hence

lIEi E[filgi] IIp : liei E [ f o ( i ) l & (i) ] ilp

p ]L i fq(i)llp = p liei fiUp 9

In fact, it will be shown that X~ is c o m p l e m e n t e d in LP(G) by the

ortogona! projection P and at the same time p - n o r m estimates on P
will be obtained.
 69

It is s u f f i c i e n t to t r e a t the case 2 .< p < ~, s i n c e c l e a r l y the

p'
conjugate PX of P is the ortogonal projection on XC in L P ' ( G )
(p' = ~)
p-i "

By the nature of the property we h a v e to d e a l with, C may be as

well replaced by a f i n i t e subtree C O of C, for instance

C O = U Nn=1 {l'2'''''N}n

for some positive integer N.

We need an e x p l i c i t order-preserving enumaration y of CO9
For c = ( C l , . . . , c n) E C0 , put

Nn - N n (ci_l) Nn-i
u = ----:--~-
N + ~i:1 + 1

Thus the enumeration is as follows

1 2 3 N

N+I N+2 2N N2+I N2+2 N2+N

Next, we introduce 3 systems of sub-o-algebra's.

N N+I - N
For i = 0,1,..., N - 1 ' take Fl ~5(c ~ C O ; y(c) ~ i).

For all maximal complexes c in C O (c e CO, Icl : N), define

a, : G<G)
e

where

F' = U N {d @ C 0 ; Idl : n and y(d) ~ y(cln)}

C n:l

a"=c G ( F c")
where

F" : UN {d E C 0 ~ Idl = n and ~(d) ~ y(cln)}

C n=l
 70

It is e a s i l y verified that (Fi) i is i n c r e a s i n g and both families

(~')c
c maximal and (&")
c c maximal are c o m p a t i b l e

We will now express the o r { o g o n a l projection P0 on X p .

C0

To do this, we need "branch-algebras".

Take B~ = t r i v i a l algebra and Bc = ~(d E C 0 ; d (c) for e a c h
c E C0 .

For c E C O and Icl = 1, let c' = %. For c E C O and Icl > 1, let
c' be the p r e d e c e s s o r of c in C
09
It is not d i f f i c u l t to see that P0 is g i v e n by

Po(f) = E[f[8~] + EcEC0 (E[fI8 c] - E[flSc, ] ) (i)

Take c e C O and let i : y(c). Clearly E[fl8 c] - E[flSc,] is

F i - m e a s u r a b l e and E [ E [ f I S c] - E[flSc,] I Fi_ I] = 0.
Indeed, by the o b s e r v a t i o n s made at the b e g i n n i n g of this section,
8 c N Fi_ 1 = 8c , = 8c, n Fi_ 1
and

E[z[f{~cl { Fi_ll ~ E[f{Bc,] = E[E[fIBc,] { Fi_ I]

So in (i), P0(f) is w r i t t e n as a sum of a m a r t i n g a l e difference
sequence. Application of the Burkholder-Gundi inequality (see 4.9)
yields the estimate

liP0 fllp ~ c -lp II{E[f]B~] 2 + Zcec0(E[fl~c] E[flBc,])2}I/2Mp (ii)

So it r e m a i n s to e s t i m a t e the r i g h t side of (ii).

By the r e v e r s e Burkholder-Gundi inequality, we get

Ug~u + zi~1 g~ll~ ~ c2p ,fll2p (iii)

2
taking go = E[~IS~ ] and gi = E[fiFi] - E [ f l F i _ 1] for i ~ 1.

N N+I N
To each i : 1,..., N - 1 , we a s s o c i a t e a maximal complex l(i)

in C O w h i c h succeeds to y-l(i), thus such that y-l(i) (i(i).

By a p r e v i o u s remark, both sequences (&'~(i))i and (&"1(i))i are
compatible.
 71

N o w we a l w a y s have that E[gl&]2 ~ E [ g 2 1 & ] and for each i

El<Igila' l(i) ] I a"l ( i ) ] = E [ g i [ a 'l ( i ) n a"l ( i ) ] "

Since p ~ 2 it follows from two successive applications of the

Burkholder-Davis-Gundi inequality (4.11) that'

Ig~ + Zi~l E[ gil a'~(i) n a"~(i)]211f ; (})2 llg02 + zi~i gillf2 (iv)
2 2
Combining (iii) and (iv), we find

n &"~(i) ] 2 tl R ~ (~)2 C 2 itfll 2 (v)

IIg~ + [i)l E [ g i l & ~ ( i ) P P
2

Now for each i holds

a, n a" : | n F" ) : ~(d E C 0 ; d & i(i)) = 8~(i)

I(i) l(i) L(i) I(i)

and taking c 6 C 0 with y(c) : i

81(i ) n F i = ~(d e C 0 ; d (l(i) and y(d) ~ i) = G(deC 0 ; d~c)=6c

B1(i ) n Fi_ 1 = ~(d @ C 0 ; d~l(i) and y(d) < i) = ~ ( d e C 0 ; d ~ c ' ) : 8 c,

Hence E [ g i ] g ' l(i) n a"I(i )] = Z[gilB I(i) ]

E [ f l f i n B1(i) ] - E [ f l f i _ 1 N B (i) ] = E [ f l B c] ~[fLSc,]

So (v) leads to

llz[fls~]~ + Zcec0(E[fl~c ] _ E[fK~c 'l)2112 ~ (~)2 c p211f11~

P
2
Consequently, by (ii), we get
C

P
Hence, the following result holds, which proves in p a r t i c u l a r 4.19

PROPOSITION Z.31 : For all 1 < p < ~, the o r t o g o n a l projection P on

X~ is b o u n d e d in L P - n o r m and more precisely

lIPII n CD, (p' = ,p{1 ) if 1 < p ; 2

p ; 2(p-1) Cp,
 72

and

C
UPHp ~ ~ ~c if 2 ~< p <
P

Obviously, to any i n f i n i t e b r a n c h in C c o r r e s p o n d s a complemented

(by c o n d i t i o n a l e x p e c t a t i o n L P - s u b s p a c e of LP(G). So also the sub-
space X~ contains c o m p l e m e n t e d LP-copies. By this o b s e r v a t i o n and
the result 4.30, it follows from P e l c z y n s k i ' s d e c o m p o s i t i o n method
(see [ ~{])

C O R O L L A R Y 4.32 : For 1 < p < =, the space X$ is isomorphic to L p.

We conclude this section with some remarks.

REMARKS

1. In the proof of (4.30), we may replace again the B u r k h o l d e r - D a v i s -

Gundi i n e q u a l i t y by the f o l l o w i n g result due to E. Stein (see [ ~ ]
for the proof).

PROPOSITION 4.33 : A s s u m e &l C &2 C ... i n c r e a s i n g o - a l g e b r a s and

fl,f2 .... a r b i t r a r y m e a s u r a b l e functions. Then

N{Ei(E[fii~i ] )2}1/2[] ( AplI{Ei f2}1/2[i

p i- p

holds for all 1 < p < =, where Ap depends only on p.

If we use the result, we don't have to use a d u a l i t y a r g u m e n t in

order to show the p - b o u n d e d n e s s of the o r ~ g o n a l p r o j e c t i o n on .X~
if 1 < p < 2. The estimate on the norm is similar, since in fact
Ap has o r d e r of m a g n i t u d e pl/2 as p ~ ~.

2. A natural q u e s t i o n w h i c h arises when we look at the proof of

4.20 is the following p r o b l e m
Let ~1,~2,... be a given sequence of s u b - o - a l g e b r a s of the m e a s u r e
space. Under what (combinatorial) conditions on the ~;'s, is it
true that there exists a constant c < ~ so that
P
 73

IIzi E[fiI&i] 11p ( Cpll Zi fillp

for all n o n - n e g a t i v e m e a s u r a b l e functions fl,f2,.., and 1 ~ p < = ?

3. E m p h a s i z i n g the group structure of G : {-1,1} C, it is c l e a r from

the d e f i n i t i o n that X~ is a t r a n s l a t i o n invariant subspace of LP(G).

7. T R E E - S U B S P A C E S OF L p

L p is identified to the space LP(G) with G = {-1,1} C. In the pre-

vious section, we introduced the space X p, w h i c h is c o m p l e m e n t e d
in LP(G) by the o r t o g o n a l p r o j e c t i o n and isomorphic to L p for
1 < p < ~.

A tree T on ~ is seen as a subset of C. For 1 ( p < ~, we define

the subspace X$ of LP(G) as follows

X~ is the closed linear span in LP(G) over all finite b r a n c h e s F

in T of all those functions in LP(G) w h i c h depend only on the coor-
dinates of F.

So X p is a subspace of X p and is o b v i o u s l y c o m p l e m e n t e d in X p by
the e x p e c t a t i o n with respect to the u - a l g e b r a ~(T). C o m b i n i n g this
fact and 4.19, it follows

T H E O R E M 4.34 : If T is a tree on ~ , then X~ is a c o m p l e m e n t e d

subspace of LP(G) for all 1 < p < ~.

Let us next study the Banach space p r o p e r t i e s of the X~.

T H E O R E M 4.35 : For I < p < ~ and p ~ 2, the f o l l o w i n g holds

1. X~ is a s w h e n e v e r o[T] is infinite.

2 . TP does
. nct
. :mbed
. in X~ 4e and only if T is we_z-~oundedl~
=
 74

Proof :

1. From 4.34 and 4.1, we deduce that X$ is e i t h e r a H i l b e r t s p a c e or

a s It is h o w e v e r easily seen that X~ contains s
and hence an s p r o v i d e d o[T] is infinite. By 1.25, this proves
(1).

2. If T contains an infinite branch, then o b v i o u s l y L p embeds in X~.

We have to show that if T is w e l l - f o u n d e d , then L p does not imbed
in ~ . Now X~ appears as complemented, translation-invariant subspace

of LP(G) and we can thus apply the results of Section 5. More preci-
sely X~ = L~ where A = {w F ; F is a b r a n c h - s e t c o n t a i n e d in T}.

By 4.27, it remains to show that A fails (+) or, e q u i v a l e n t l y , A

belongs to some class S (a < ~1 ). It is a simple e x e r c i c e to verify
inductively that in fact A 6 S
o[T] "

This completes the p r o o f of Th. 4.35.

In [30] the following result about c o m p l e m e n t e d e m b e d d i n g s of L p

into spaces with u n c o n d i t i o n a l Schauder decomposition is esta-
blished.

THEORE~I 4.36 : Let 1 < p < = and suppose L p i s o m o r p h i c to a

complemented subspaee of a Banach space X with an u n c o n d i t i o n a l
Schauder d e c o m p o s i t i o n (Xi). Then one of the f o l l o w i n g holds
1. There is some i so that L p is i s o m o r p h i c to a c o m p l e m e n t e d
subspace of X.
l
2 9 A block basic sequence of the X l.'s is e q u i v a l e n t to the Haar-
system of L p and has closed linear span c o m p l e m e n t e d in X.

A sequence (bj in X is called a block basic s e q u e n c e of the Xi's

if there exist elements x I. E X.l and integers n I < n 2 < "'" with
bj : z~i=nj+l
j+1 xl"
 75

At the end of this chapter we p r e s e n t a p r o o f of Th. 4.36 in

case 1 < p < 2.

F r o m 4.36, we get an a l t e r n a t i v e a p p r o a c h to 4.35 (2), more in the

spirit of general Banach space theory.

A l t e r n a t i v e p r o o f of 4.35 (2)

By 4.13, 4.34 and duality we can r e s t r i c t o u r s e l v e s to the case

2 < p < ~. We p r o c e e d by i n d u c t i o n on o[T].

Using the n o t a t i o n s of section 4, we have that

T = U (n,Trl), where (n,T n) : {(n,c) ; c E Tn}

n

and

o[T] : sup (O[Tn] + 1)

n

The space X~ i s generated by t h e sequence of probabilistically

mutually independent spaces B n : X~n,T ). In particular, @n Bn
n
is an unconditional decomposition o f X~. Assume Lp e m b e d s c o m p l e -
1
mentably in X~. A p p l i c a t i o n of 4.36 then leads to the f o l l o w i n g
alternative
A. There is some n such that L p is i s o m o r p h i c to a c o m p l e m e n t e d
subsnace of B
n

B. T h e r e is a block basic sequence (b r ) of the Bn'S which is

equivalent to the Haar system of LP.

Assume (A) : It is easily seen that B n is i s o m o r p h i c to

X~ @ X~ So by a n o t h e r a p p l i c a t i o n of 4.36, L p should embed
n n
complementably i n X~ This however is impossible by induction
n
hypothesis end since o[T ] < o[T] .
n

Assume (B) : A block basic sequence of the Bn'S is a sequence of

probabilistically independent functions. Since we assumed 2 ~ p < ~,
it follows from 4.5 that the span of this sequence is i s o m o r p h i c to
 76

a space X and these don't contain an LP-copy (cfr. 4.6).

p,e

Our n e x t a i m is to s h o w that L p is the only universal space for the

family (X~) T w e l l - f o u n d e d "

We r e c a l l that a Banach space B is s a i d to be u n i v e r s a l for a class

K of Banach spaces provided any member of K embeds (isomorphically)

in B.

THEOREM 4.3~ : If 1 ~ p < ~ and B is a s e p a r a b l e Banach space

which is u n i v e r s a l for the class {X~ ; T well-founded tree on ~ },
then B contains a copy of L p,

Proof : It is of settheoretical nature. Assume B with the above

property. Define for each @ > 0

W~ = {T C C ; T is a t r e e and there exists a linear operator

: X$ + B s a t i s f y i n g II~II ( 1 a n d U~(f)11 ~ 611f11 if f 6 X~}

By a s t a n d a r d argument~ we see that for some 6 > 0 the set W 6 will

contain well-founded trees of a r b i t r a r i l y large ordinal.
Our purpose is to show that W 6 is an analytic subset of {0,1} C.

Because X~ is norm-1 complemented in X~, we c a n also write

W 6 = {T C C ; T is a t r e e and there exists a linear operator

@ : X Cp ~ B s a t i s f y i n g ll~[l ~ 1 a n d li~(f)11 ~ ~llflE if f 6 X~}

The set T of all trees on ~ is a c l o s e d subspace of [0,I} C

Define

{~ 6 Z ( X ~ , B ) ; lI~il ~ I}

and endow ~ with the pointwise topology.

Since B is a s e p a r a b l e Banach space~ it is c l e a r that ~ is P o l i s h
(for d e t a i l s , see ['79 ]).
We introduce the following subset S of T x

S = {(T,~) 6 T x ~ ; I[~(f)U ~ 6[Ifll if f E XTP}

 77

We claim that S is Borel with respect to the product-topology.

To see this, fix a dense sequence (fk) in X~. C l e a r l y

11~(f)n ~ 6~flt for f 6 X~

and

n~(f )]I ~ 611fkll - 2 dist (fk' X~) for k = 1,2,...

k II li
,are equivalent conditions for any T 6 T and ~ E ~.

Moreover, the map T ~ ~ : T ~ dist (f, X~) is B o r e l - m e a s u r a b l e

for any f ~ X p. This leads to t{eilrequired conclusion.

Since now W 6 is the p r o j e c t i o n of S o n e , it follows that W6 is

analytic.
Thus 4.18 applies. By hypothesis sup o[T] = ml and therefore W6
T6W
6
contains a non-well-founded tree T 0. Because L p embeds in X~r0

(cfr. 4.35), we c o n c l u d e that B contains a copy of L p.

From 4.35 and 4.37 we deduce the following two c o n s e q u e n c e s

COROLLARY 4.38 : The class of c o m p l e m e n t e d subspaces of L p not

containing a copy of L p has no universal element (i < p < =, P ~ 2)

COROLLARY 4. 39: There exists an u n c o u n t a b l e family of m u t u a l l y

non-isomorphic complemented subspaces of L p (I < p < ~, p ~ 2).
 78

8. R E L A T E D REMARKS AND P R O B L E M S

1. A n o t h e r (combinatorial proof of 4.28 follows from a result of

K.R. Milliken (cfr. [~ ]).

PROPOSITION 4.40 : Given an abelian group G and a subset X of G,

denote <X> 1 the simple products of elements of X. If now V is an
i nf i n i t e sequence of distinct elements of G and

<V> 1 = A 0 U A 1 U . ~. U Ar_l ,

then there exists a sequence X in G such that <X> 1 C A k for some

k = 0,1,...,r-1.

In fact [~z] extends work of N. Hindman (see [ ~ ] ) .

2. The "ONLY IF" part of 4.19 e a s i l y ge n e r a l i z e s to compact abelian

groups. However (+) do not imply an L P - e m b e d d i n g in general.
In fact, there are examples of subsets X of ~_ for which L p does
not embed in L~, where A = <X> 1

3. The preceding section solves the following question of

A. Pelczynski affirmatively for the Cantor group :
Let F be an infinite compact abelian group and 1 < p < =, p ~ 2.
Are there uncountably many non-isomorphic complemented translation-
invariant subspaces of LP(F). What for the c i r c l e group ?

4. For 1 < p < =, p ~ 2, the system (X$) T w e l l - f o u n d e d is in some

sense the L P - a n a l o g u e of the spaces of c o n t i n u o u s f u n c t i o n s on a
countable compact topological space. It should be interesting to
clarify the question if there are only N1 isomorphism-types in the
system mentioned above.

S. Let u% c o n s i d e r the system (X~) T w e l l - f o u n d e d of subspaces of L 1.

Each of these spaces possesses the Radon-Nikodgm property. To show

this, we proceed of course by induction on o[T] . We use the fact
that any unconditional decomposition in L 1 is b o u n d e d l y complete
(L 1 has cotype) and that if X : ~i Xi is a b o u n d e d l y complete
decomposition where each of the spaces X i has the 9NP, then also
X has the RNP. Combination of this and 4. 37 leads to the following
result.
 79

PROPOSITION 4.41 : The class of the subspaces of L 1 possessing

the RNP has no u n i v e r s a l element.

6. Fix 1 ~ p < =. Proceeding by induction we introduce as follows

a system (RP) <~i of subspaces of Lp :

Let R0P be the one d i m e n s i o n a l space of the constant functions.

If R p has been defined we let Rp equal the LP-direct sum in L p

a ' a+l
of R p with itself.
If ~ is a l i m i t ordinal and R p has been defined for all 8 < e,
we let R p eo,~=l the indenendent LP-sum in L p of the RP's for
< (%,

It is not difficult to show that for each e < ~1 one can find a
well-founded tree T on ~ such that o[T ] = ~ and R p~ and X~

are the same spaces. We l e a v e this as an interesting exercice for

the reader.
So in p a r t i c u l a r the spaces (R~) are s for 1 < p < ~ and
L p is the only universal space for the system (R~) .
We d o n ' t see a direct way (by i n d u c t i o n on e for instance) to p r o v e
that the R p are complemented in L p. The tree-representation of
these spaces seems to be c r u c i a l there.

One m a y see in R p the LP-analogue of the space C(~) of c o n t i n u o u s

functions on the ordinal e. From where the following question
If 1 < p < ~ and p # 2, u n d e r what condition on ~ < ~I a n d 8 < ml
are the spaces Rp
~ and R~ isomorphic ?

Let us r e m a r k that this condition will be c e r t a i n l y different than

that for the C(~)-spaces. For instance, R p and Rp are not iso-
morphic. Indeed for 2 < p < -, o~le can verify that R p is in fa,~t
isomorphic to the space Xp a n d t h u s a subspace o f Yp. On t h e o t h e r
hand it is e a s i l y seen that Zp embeds in RPa~+m"
 80

7. U s i n g again induction on o[T] , one can show that the s p a c e s

X$ are spanned by a m a r t i n g a l e difference sequence and h e n c e have
an u n c o n d i t i o n a l basis for 1 < p < ~.
It is an o p e n q u e s t i o n whether or not a ny s (1 < p < =, p ~ 2)
has an u n c o n d i t i o n a l basis.

8. Is it t r u e that for 1 < p < ~ and p ~ 2 any s not con-

taining L p embeds in some space R p (e < ~1 ) ?

9. A r e t h e r e for all 1 < p < ~, p ~ 2 a c o n t i n u u m number of s e p a r a b l e

2P-types ? This question is r e l a t e d to r e m a r k

10. The "tree-technique" turns out to be an e x t r e m a l y powerful way

of proving the n o n - e x i s t e n c e of c e r t a i n universal spaces. For r e l a t e d
results on this m a t t e r , the r e a d e r is r e f e r r e d to [14] and [15].

11. A d e t a i l e d proof of 4.36 can be f o u n d in [30]. This result extends

the p r i m a r i t y property of L p (1 ~ p ~ ~). Thus if L p % X ~ Y, then
either X or Y is an i s o m o r p h of L p. In case 1 < p < 2, Th. 4.12 (2)
provides a simpler argument than p r e s e n t e d in [3o].

We start with Lhe f o l l o w i n g lemma

LEMMA 4.~L : If S : LP(~) ~ LP(v) and T : LP(~) ~ LP(v) are

operators s u c h that t h e o p e r a t o r S + T is an i n t o - i s o m o r p h i s m ,
t h e n one of the o p e r a t o r s S, T f i x e s a copy of L p.

P r o of : Let p > 0 satisfy 11(S+T)(f)Itp ~ pETfIIp for any f E LP(B).

Assume that S does not fix L p. By a p p l i c a t i o n of 4.12 (2), we can
t h e n c o n c l u d e the f o l l o w i n g :
For a n y ~ - m e a s u r a b l e set A of p o s i t i v e measure and 6 > 0, t h e r e
exists a measurable function h of m e a n 0 which is s u p p o r t e d by A,
only takes the v a l u e s • on A and such that llS(h)I1 < 6.
Proceeding by i n d u c t i o n we c a n t h e n c o n s t r u c t a l-tree
of ~ - m e a s u r a b l e sets w i t h the p r o p e r t y that
(An,k)n=l,2,...
l~k~2 n
DS(hn,k) llp < } 8-n for each n E ~ and 1 ~ k ~ 2n where

hn, k : XAn+l~ 1 XAn+l,2k"

 8~

By prop. 4.10, the system (hn, k) is equivalent to the usual Hear

system of L p. We claim that T is an i s o m o r p h i s m when restricted to
[hn,k]. Indeed, by the hypothesis and the construction, we find
for any f = Zn,k an,k hn,k

p ~fUp 6 ~S(f)IIp + HT(f)llp

Zn,k lan,k I nS(hn,k)Up + ~T(f)Hp

~ max {2 -n lan,kl ; n=l,2,... ; 1~k~2 n} + lIT(f)[Ip

2~ ilfEIp + UT(f)Up

and thus

nT(f)[Ip ~ ~ lifLl .
P

A consequence of the preceding lemma is the f o l l o w i n g fact

LEMMA 4 . ~ : Assume T i : LP(~) + LP(9) an operator for each

i : 1,...,j. If non of the T i fixes a copy of L P, then the operator
zJ T. will not fix a copy of L p
i=l l

Let us now come back to t h e o r e m 4.~. Let P. : X + X. be the

1 1
projection according to the d e c o m p o s i t i o n X = ~i Xi" Assume Y a
complemented subspace of X which is isomorphic to LP and denote
U : X § Y the p r o j e c t i o n and I : L p + Y the isomorphism.
For each i, we may introduce the o p e r a t o r T i : L p § L p given by
T. = I-i U p. I
1 1

P. i-i
Lp i , yc ) X l > Xi( ) X U ~ y ) Lp

Remark that Z i T i is the identity operator on L p.

 82

Suppose now that some operator T i fixes an LP-copy. Then, by

4.12 (i), there is a subspace Z of L p such that Z is isometric
to L p the reetriction T : TiIZ is an into-isomorphism and T (~)
is complemented in L p by a projection V. Consequently Pi I (Z) is
a subspace of X i isomorphic to L p and complemented by the operator
Pi I T -1 V 1-1 U.

Thus if non of the X i has a complemented LP-subspace, then non of

the operators T~ will fix an LP-copy. Hence, by 4.~Z, also non of
the operators Z~: 1 T i (j:l,2,...). Again from 4.12 (2), the folio-
wing is true

If A has positive measure in [0,1], then for any integer j and 6 > 0,
there exists a Lebesgue-measurable function h of mean 0 which is
supported by A, only takes the values • on A and such that
QZ~: 1 Ti(h)l] < ~.

In the same spirit as lemma 4.~, a routine construction allows us

to obtain a sequence (h I) in L p and an increasing sequence (n I) of
integers, so that following properties are satisfied
(i) (h I) is equivalent to the usual Haar system of L p and [h I]
is norm-1 complemented in L p by a projection V

(ii) llZi>nl Pi I (hl)li < a I l[hlllp

(iii) l(Zi&nl T i (hl+l)If < el+l llhl+IIfp

where E 1-1 = 41 (lil~ + ~UII) III-111.

n1
Take n O = 0 and define b I = Z.~=nl_l+l Pi I (h I) for each integer i.

We claim that (h I ) and (b I) are equivalent sequences and [bl} is

complemented in X. This will conclude the proof of 4.5g.

Because h I : Z i Ti(hl) , we have for each 1

llU(b I) - l(hl)II : IIZnl_l<i&n I I Ti(hi) - l(hl )Jl .<

UZ!&nl_l. I Ti(hl)ll + [JZi>nl U Pi I (hi)If

EI(II!U + flU]l)-llhlEl < 4 -1 lll-lll-I Uhlf [

P p
 83

and also

UV 1-1 U(b I) - hill < 4 -1 11hlUp .

From these estimates, it is not difficult to see that (hi) , (I hi) ,

(U b I) and (V 1-1 U b I) are equivalent sequences and moreover
[h I] : [V 1-1 U (bl)] (i)

Let I be the unconditionality constant of the decomposition (Xi).

For a given finite sequence (a I) of scalars, there is a finite
sequence (b~) in X x such that
x e [PX X~] nl
(iv) b I i i=nl_l+l

(v) ILZ1 e I bill ~ 21 for all signs e I = •

(vi) Z I a I <bl,blx > = ~iZl al blll"

Since also (I h I ) is unconditional of constant c only depending on

p and UlJ[ IXI-11L, we get

lieI a I l(hl)ll ~ c -I I 1 llZI a I rl(w) l(hl)Ild~

0

i I <El al rl(~)
2~c l(hl) , E1 rl(~) el b ~ d~

1
= 2-~ Zl fail l<i(hl)'b~>l

for the right choice of signs e I : •

nl
Beeause <I(hl),bl> = <Ei:nl_l+l Pi I (hl), bE> : <bl,b~>

we conclude that lIEI a I bill ~ 21e ]IZI a I I(hl)L].

This, combined with (1), implies+ that (b I) and (h I) are equivalent.

-1
Call W : [hi! + [b I] the isomorphism assigning b I to V I U (bl).
It is easily verified that [bll is complemented in X by
WVI-1U.
This ends the proof of 4.3G

iZ+ The reader will find additional results concerning s of

Y in [ ].+
P
 V. A CLASS OF s

I. INTRODUCTION

The c h a r a c t e n i z a t i o n of the c o m p l e m e n t e d subspaces of L 1 is an open

problem. It is conjectured that such a space is either isomorphic
to 11 or to L I. The answer turns out to be a f f i r m a t i v e in case of
a norm-i projection (see [8~]). It is also known that a c o m p l e m e n t e d
subspace of L 1 which has the R a d o n - N i k o d ~ m property is isomorphic
to 11 .
One may hope for relations between the failure of the R a d o n - N i k o d ~ m
property, the failure of the Schur p r o p e r t y and the imbedding of L 1
for c o m p l e m e n t e d subspace of L I. The only results in this context
is a t h e o r e m due to H. Rosenthal (see [ I~] ) c l a i m i n g that a non-
Schur c o m p l e m e n t e d subspace of L 1 has an 1 2 - s u b s p a c e and an improve-
ment of the author (see [ I~]) who obtained an $ l(12)-subspace.
1
It was shown in the first chapter that c o m p l e m e n t e d subspaces of L 1
are s The converse property however is wrong. For the proof
of the following two results, we refer to [ ~ ] 9

PROPOSITION 5.1 : Let X be a separable s and T : i I ~ X

a quotient map. Then the kernel of T is also a s

PROPOSITION 5.2 : Assume Y1 and Y2 isomorphic infinite-dimensional

subspaces of 11 so that X 1 = 11/y1 and X 2 = 12/y 2 are infinite-

dimensional s Then X 1 and X 2 are isomorphic.

We may introduce a sequence of subspaces of 11 as follows :

Take D O such that I1/D0 is isomorphic to L 1.
If D k is obtained, define Dk+ 1 such that ll/Dk+ 1 is isomorphic to

Dk 9

It is clear from (5.1) that the D k are s Applying (5.2),

we see that they are m o r e o v e r mutually non-isomorphic.
Since the D k have the RNP and are not isomorphic to 11, it follows
that they are not isomorphic to a c o m p l e m e n t e d subspaoe of L 1.

The p r o b l e m about the existence of u n c o u n t a b l y many separable s

types was solved positively by joint work of W.B. Johnson and
 85

J. L i n d e n s t r a u s s (see [~0]) and is based on some ideas due to

P.W. Mc C a r t n e y and R.C. O'Brien (see [9~] ). We sketch b r i e f l y the
construction.

Let T : 11 + L 1 be a f i x e d q u o t i e n t map and d e f i n e for each

0 < e < I X e as the subspace {(ex,Tx) ; x 6 1 I} of (11 ~ LI)I.
It can be shown that X (which is o b v i o u s l y i s o m o r p h i c to 11 ) is a
s where ~ does not depend on ~ in p a r t i c u l a r .
For a d e c r e a s i n g s e q u e n c e i > ~I > ~2 > ... t e n d i n g to 0, the 1 l-
sum Y = Y (a n ; n) is still a s s a t i s f y i n g the Schur
p r o p e r t y and the RNP. Now Y has the so c a l l e d n e i g h b o r l y - t r e e -
p r o p e r t y and t h e r e f o r e can not be e m b e d d e d in a s e p a r a b l e dual
space. Thus this gives a n o t h e r c o u n t e r e x a m p l e to the U H L - c o n j e c t u r e
mentioned in Ch. III. It turns m o r e o v e r out that, by s u i t a b l e
choices of the s e q u e n c e (~n), the p r o c e d u r e d e s c r i b e d above gives
a c o n t i n u u m number of m u t u a l l y n o n - i s o m o r p h i c s
However, all these spaces Y can be e m b e d d e d in the l l - s u m of the
spaces X where 0 < e < I and e is r a t i o n a l and the latter space
is still Schur and R a d o n - N i k o d ~ m .

The aim of this c h a D t e r is to prove the f o l l o w i n g fact, solving

a q u e s t i o n raised by A. Pelczynski (see [30]).

THEOREM 5.3 : The class of s e p a r a b l e s not c o n t a i n i n g a

copy of L 1 has no u n i v e r s a l element.

Examples will be given of s w i t h the RNP failing the Schur

p r o p e r t y and vice versa.

2. A CONSTRUCTIOi~ T E C H N I Q U E FOR s

The purpose of this section is to prove the f o l l o w i n g result, which

is the s t a r t i n g point in the c o n s t r u c t i o n of our s

THEOREM 5.4 : Assume T an o p e r a t o r on L 1 and E a subspace of L I such

that the r e s t r i c t i o n of T to E is the identity.
 88

We consider the following properties for T

(a) T does not induce an i s o m o r p h i s m on an Ll-subspace
(b) For operators S from an Ll(~)-space into L 1, the r e p r e s e n t a b i l i t y
of (I-T)S implies the r e p r e s e n t a b i l i t y of S.
(c) A weakly compact subset of L I is norm-compact, provided its image
by I-T is compact.

In the respective cases (a), (b), (c), the space E embeds in a ~1_
space B satisfying the c o r r e s p o n d i n g property (or properties)
(a') L 1 does not embed in B
(b') B has the RNP
(c') B has the Schur property.

Proof : It is rather simple. Fixing 0 > 1, one can find a sequence

of subspaees U i of L 1 satisfying the f o l l o w i n g conditions

1 Each U i is finite dimensional, let us say d i -- dim U i

2 d(Ui,s Ui))

3 U. C U .
l i+I
4 T(Ui) C Ui+ 1
5 U ~i=~ Ui is dense in L 1
6 u ~.
l=l (E ~ U i) is dense in E

That this can be done is s t r a i g h t f o r w a r d and we let the reader check

the details.
In what follows, @ will denote the direct sum in s
Define

36 = L 1 ~ ~
i=I Ui
and let P : ~ § L 1 and Pi : -36 § Ui be the projections.
We further introduce for each j the space

j = Uj @ ~ 1:1 Ui
which embeds in 96 in natural way.

For fixed j, let lj : ~j ~ ~ be the o p e r a t o r defined as follows

 87

p lj(x) = T P(x)

Pi lj(x) = Pi(x) for i=1 .... ,j

Pj+I lj(x) = P(x) - T P(x) - Zi~ j Pi(x)

Pi Ij(x) = 0 for i > j + 1

which makes sense by conditions (3) and (4) on the spaces U i.

Remark that

P(x) = (P + Z i Pi ) lj(x) (~)

for all x 6 ~ j .

Since the following inequalities are clearly satisfied

lIIxH .< Ulj(x) U .< 2(1 + IIT[I)Hx]I

we see that Ij is an i s o m o r p h i s m on its range Bj.
More precisely, we have
d(Bj,~j) .< 4(1 + llTll)
and thus
d(Bj,s g 4 p(1 + ]]T[I)

Our next claim is that Bj is a s u b s p a c e of Bj+ 1. Let indeed x E 3~.

3
and define y by

P(y) = P(x)

I
Pi(y)

IPj+I(y)
: Pi(x)

= P(x)
for

- T P(x)
i=1 .... ,j

- Eisj Pi(x)
Pi(y) = 0 for i > j + 1

which is a m e m b e r of Js A simple verification shows that

lj+l(y) = !j(x).
This shows that Bj C Bj+ 1.

L I embeds in -D6 by i d e n t i f i c a t i o n with the first coordinate.

By h y p o t h e s i s on T, one has that
I. (x) = x w h e n e v e r
]
x E E ~ Uj e ~ 3( . Thus E n U. is a subspace of Bj and we conclude
] ]
that E is a subspace of B.
 88

We show that L 1 does not e m b e d in B if T does not fix an L1-copy.

As a c o n s e q u e n c e of (~), we get

P(x) = T(P + E i Pi)(x) for all x 6 B (~)

leading to the following scheme

I P + Ei Pi
B c > L1

2~

L1
s i Ui

If B c o n t a i n s an L l - s u b s p a c e , one of the o p e r a t o r s @i Pi o I, P o I
has to fix a copy of L 1 (see [~]). Since @i Pi o I ranges in @i Ui
which is i s o m o r p h i c to s and P o I f a c t o r s o v e r T, T w i l l fix an
Ll-space. This proves (a) of the T h e o r e m .

In o r d e r to show (b), we r e w r i t e (x~) in the form

(I-T)P (x) : T(E i Pi)(x) for all x e B (~)

which gives the d i a g r a m

B i > D~ $i Pi
> Si Ui -- s

L1

s = ~i Ui
1 I - T
I
L > LI
 89

Suppose now S : LI(~) § B a non-representable operator. Since

S = PS @ (8i Pi )S and @i Pi ranges in s it follows that PS will
be non-representable. But, under hypothesis (b) of the theorem,
this implies the n o n - r e p r e s e n t a b i l i t y of the operator (I-T)PS
factoring through s a contradiction

Using the preceding diagram, we also deduce easily the Schur

property for B p r o v i d e d (c) is satisfied.
This completes the proof of 5.4.

The main point in the application of 5.4 is of course the construc-

tion of operators on L 1 and the v e r i f i c a t i o n of properties like (a)~
(b), (c).
We will first establish 5.3. The construction of "small" n o n - ~ i&
spaces will be given at the end of this chapter.

In fact, Th. 5.3 will extend the p r e c e d i n g chapter. The starting

point are the tree-spaces X~ introduced in this chapter (see sec-
tion 7). We know that they are c o m p l e m e n t e d in LP(G) for I < p < ~.
This is obviously not the case for p = 1 but we will show that the
~-spaces for T w e l l - f o u n d e d can be obtained as proper subspace of
a convolution operator on G s a t i s f y i n g (b). A p p l i c a t i o n of 5.4 will
then allow to embed X~- in a 2 1 - s p a c e with the RNP.
i

3. CONSTRUCTION OF CERTAIN MEASURES ON G

Denote by C(G) the space of continuous functions on G.

If ~ is a measure on G and S a finite subset of C, the S-Fourier

#

coefficient ~(S) of ~ is given by ~(S) = ~ w S d~.

JG
If ~ and v are two measures F
on G, the c o n v o l u t i o n ~ ~ v is defined
by (~ ~ v)(f) = I f(x.y) ~(dx) v(dy) for f e C(G).

For a subset S of C, ~S will denote the conditional expectation

with respect to the s u b - o - a l g e b r a generated by the R a d e m a c k e r func-
tions (rc)c6 S.
 90

If ~ is a m e a s u r e on G and S a subset of C, we say that ~ is

S-dependent provided ~ = ~ o ~.

For S s u b s e t of C, take ~ = {c 6 C 4 c < d for some d 6 S}.

For convenience, we introduce the "empty complex" (cfr. [~Z]),
denoted by the symbol @. Define C ~ = C U {@}.
If c 6 C, let e' 6 C ~ be the predecessor of c.

A weightfunction will be a function ~ on CM ranging in the o p e n

interval ]0,1[ such that K : N (2 T(c) -I -I) < ~.
T cER ~
If T is a w e i g h t f u n c t i o n , take IT , @] = 1 and [~ % S] = ~ T(c'),
c6S
if S is a n o n e m p t y finite subset of C.

The next lemma is n e e d e d for later purpose.

LEMMA 5.5 : Let T be a w e i g h t f u n c t i o n , e > 0 and define

Se = {S C C ~ S finite and [T ; S] > E}

Assume further (S k) a sequence of d i s j o i n t finite subsets of C

so t h a t for each k one can find S E S E with S A Ss ~ ~ for e a c h
s = 1,...,k. Then there exists a sequence (n i) of integers such
that ( n l , . . . ~ n i) 6 U k S k for each j.

Proof : Let us first remark that for fixed c E C ~ we find

[~ ; S] ~ T(c) IMI for e a c h S C C, w h e r e M = {n e ~ , (c,n) < d
for some d 6 S}.

Because T(c) < 1, this implies that IMI is u n i f o r m e l y bounded for

S ranging in S g
Since the S k are finite sets, one can p i c k elements ck E Sk such
that for all k there is some S 6 S e with { c l , c 2 , . . . , c k} C S.
It is n o w possible to construct a sequence of i n t e g e r s (ni), so
that for each j the set {k ; ( n l , . . . , n j) < Ck} is i n f i n i t e .
We i n d i c a t e briefly the inductive procedure. Suppose nl,...~n j
obtained. By h y p o t h e s i s , any finite subset of the set
{(n I ..... nj,n) % n e N) , where N = {n e ~ ; (nl, .... nj,n) < ck
for some k}, is c o n t a i n e d in ~ for some S 6 S e. By the first
 91

observation we made, we conclude that N is finite. This allows us

to choose n j + 1 so t h a t {k ; ( n l , . . . , n j , n j + 1) < c k} is a g a i n
infinite.
Clearly, for each j, ( n l , n 2 , . . . , n j) E S k f o r some k and this ends
the proof.

The main objective of this section is to p r o v e the following result

PROPOSITION 5.6 : Let T be a w e i g h t f u n c t i o n . Then there exists a

measure ~ on G satisfying the following properties

1. ~ ~ K
T
2. ~(S) : 1 if S is a b r a n c h set
3. If S is a f i n i t e subset of C and f E C(G) is (C\S)-dependent
then I] Ws(X) f(x) ~(dx) I ~ KT[~ ; S] I1fH .

Proof : For c C C ~, let

C ~ = {d E C ~ c < d} a n d C c = {d E C ~ c < d and c ~ d}.
c
We let 6 be the D i r a c - m e a s u r e on G and 6 c the D i r a e - m e a s u r e on the
c-factor {1,-1} in the p r o d u c t G.

If for fixed c E C, we define the measure ~e on G by

~c = T(c') 6 + (1 - ~(c')) ( ~ md R R 6 d)
dEC ~c dEC\ C c

then clearly

4. IIv II = 1
c
5. Oc(S) = 1 if c ~ ~ and ~c(S) = ~(c') if c e ~.

6. If S is a f i n i t e subset of C and f e C(G) is (C\S)-dependent,

then IS Ws(X) f(x) ~e(dX) I .< Oc(S) Hfll .

Let ~ be the measure on G o b t a i n e d by convolution of the ~c' thus

cEC
As an e a s y verification shows, the following holds
7. H~II = 1
s. G(s) = [~ , s]
 92

$. If s is a f i n i t e s u b s e t of C can f 6 C(G) is (C\S)-dependent,

then JJ W s ( X ) f(x) 9(dx) I ~ [ ~ , S]~fU .

Next, consider for f i x e d c 6 C M the f o l l o w i n g measure ~c on G

n c = T(c) -1 6 + (1 - Y ( c ) - l ) ( md ~ S 6 d)
dEC c deCkC c

satisfying

I0. anc~ ~ 2T(c) -1 - 1

11. no(S) = 1 if C c ~ S : @ a n d nc(S) = ~(c) -1 if C c N S ~ ~ .

Since T is a w e i g h t f u n c t i o n , we can d e f i n e the convolution n of

the ~c' thus

n = K nc
cEC ~
for w h i c h

12. llnll ~ K
T

F i na l l y , take ~ = v ~ ~. T h e n clearly Hull ~ llvll ~ N ~ K 9

T

In o r d e r to v e r i f y (2), let S be a f i n i te branch set. Then

~(S) = ~(S).~(S) = [~ ; S] . ~{T(c) -1 , c e Cx with C c N S ~ 4} =

[~ , S]. [ c e ~ T ( c ' ) - 1 = 1, as r e q u i r e d .

Let us c h e c k (3). So take $ a finite s u b s e t of C and an (C\S)-

dependent function f 6 C(G). We h a v e

f wS(x) f(x) ~(dx) = [ Ws(X.y) f(x.y) v(dx) n(dy)

and thus

If W s ( X ) f ( x ) ~ ( d x ) J ,< I Jf W s ( X ) f ( x . y ) ~ ( d x ) I J~l (dy)

Unll [ ~ ~ S] sup ltfyfl

Y
K Z [T ~ S] Ilf]l

completing the proof.

 93

5. N O N - R E P R E S E N T A B L E OPERATORS RANGING IN L 1 - P R O D U C T S P A C E S

Our purpose is to p r e s e n t here some technical ingredients needed

f o r the n e x t section.

The following result is e s s e n t i a l l y known, but we i n c l u d e its

proof here for s e l f c o n t a i n e d n e s s .

LEMMA 5.7 : Let ~, 9 be p r o b a b i l i t y spaces and S : LI(~) ~ LI(~)

a non-representable operator. Then there exist a bounded convex
subset C of LI(9) and p > 0 such that the following holds whenever
T : LI(v) + B is an o p e r a t o r w i t h TS r e p r e s e n t a b l e :
If f 6 C a n d 6 > 0, t h e n t h e r e exists some g E C so that

HT(f-g)ll < 6 and f Igl d9 ~ p for some 9 - m e a s u r a b l e set A w i t h

)A

vCA) < 6.

Proof : If S is n o t r e p r e s e n t a b l e , t h e n one can find a ~ - m e a s u r a b l e

set ~ w i t h ~(~) > 0 a n d p > 0 s u c h that for any ~' C ~, ~(~') > 0
a n d 6 > 0, t h e r e exists ~" C ~', ~(~") > 0 with

IS(~")I dv > p ~(~") for some A w i t h < 6 (cfr. [~]).

A

If now ~ l ' ' ' ' ' ~ d are s u b s e t s of ~ with positive measure and 6 > O,
there exist subsets ~i' C ~i (1 g i ~ d) of p o s i t i v e measure saris-
fying the f o l l o w i n g condition :
There exists a set A w i t h ~(A) < 6 such that

I IZi ai S(~i) I d~ ~ p Zi lai I ~(~i)

A

f o r all s c a l a r s a l , . . . , a d.
The proof of the latter fact is e l e m e n t a r y and left as an e x e r c i c e
to the r e a d e r .

We show that

C : {S(~) : ~ C L~(~), I ~ d~ : 1}

satisfies the condition of the lemma.

so fix f : s(~),~ eL~Cm, [~ d~ : I and 6 > O.

]
 94

Using the r e p r e s e n t a b i l i t y of the o p e r a t o r TS, it is possible to

find a partition ~l,...,~d of R and scalars al,...,ad, such that

TS(~ i) TS(~')
(i) ll(~i ) < T, w h e n e v e r ~' C ~i' ~(~') > 0

(ii) D~ - Zi ai X~.H1 < ~

1

(iii) Z i a i U(~i ) = 1

6
where Y =
1 + ~TSiI"

By the previous observation, one can obtain subsets ~l! C ~.1

(1 ( i ~ d) of p o s i t i v e measure and a set A with v(A) < 6, so that

I ~(~i )
A lzi a i ~ S(n!)
l I dv ~ p [.1 a.1 ~(~i ) = p.

~(~i )
Take ~ : Zi ai ~ X~ and g = S(~), belonging to C.
l i

Thus I lgl dv ~ ~ and ~T(f-g) fl : UTS(~) - TS(~)IT

J A

~(~i )
~JITSII + ~i ai [iTS(~i) ~(f~ TS(~I)~ < (1 + UTSII)~,

completing the proof.

COROLLARY 5.8 : Under the h y p o t h e s i s of Lemma 5.7, one can find

C C Ll(v) and p > 0 such that w h e n e v e r T : Ll(v) ~ L1(v) is an
operator with TS r e p r e s e n t a b l e ,r f E C and 6 > c, there exists
g e C satisfying ~f-gll > p, l|(f-g)dv I < 6 and nT(f-g)[l < 6.
J

Assume now (~i,vi)iE D a family of p r o b a b i l i t y spaces and c o n s i d e r

the p r o d u c t space (~,v) = (~i ~i' ~i vi)" For E C D, denote SE
the c o r r e s p o n d i n g conditional expectation.
We c l a i m the following
 95

LEMMA 5.9 : If S : LI(B) + LI(v) is non-representable, then D

has a finite subset E so that (I - ~D\E).S is non-representable too.

Proof : Let C C LI(v) and p > 0 be as in the ~receding corollary.

Assume the above statement wrong. Successive applications of 5.8
allow us then to construct a sequence (fk) in C and an increasing
sequence (E k) of finite subsets of D in such a way that

1. Ilfk ~ k [ fk ] Ill < 2 -k

2. H fk fk+ 111I > p

3. II(fk-fk+l)dv I < 2 -k

4. H(fk-fk+ I) - SD\Ek[fk-fk+l] U 1 < 2 -k

Take then ~1 = gE l[fl] and ~k = SEk\Ek_l[fk-fk-1 ] for k > ~.

By (1) and (4), we find that IIfk-fk_l-~kU I < 8.2 -k .

Consequently, by (2), n~kU I > p - 8.2 -k and, by (3),

II % d~l < I02 -k

Consider now the sequence ~k = ~k - [ ~k dr, which consists of

independent mean-zero functions. Since (~k) is an unconditional

basic sequence in Ll(v), (,k) is also boundedly complete. But
li~kn ~ p - 18 2 -k and on the other hand
n
BZk= 1 ~knl ~ 2HZ =1 ~kUl ~ 2Ufn~l + 8 Z nk=l 2 -k < sup {I]f~ 1 ; feC} + 8,
a contradiction.

Repeating applications of lemma 5.9 leads to the next

COROLLARY 5.10 : Suppose moreover (~i,vi) purely atomic for each

i 6 D. Then, under the hypothesis of Lemma 9, there is a sequence
(E k) of disjoint finite subsets of D, so that for all k the opera-
tor ~sk (I - ~D\Es ) o S is not representable.
 96

6. A P P L I C A T I O N TO CERTAIN O P E R A T O R S ON LI(G)

R e f e r r i n g to s e c t i o n 4, let T be a fixed w e i g h t f u n c t i o n and let U

be the measure on G c o n s t r u c t e d in p r o p o s i t i o n 5.6.
C o n s i d e r the o p e r a t o r A on LI(G) o b t a i n e d by ~ - c o n v o l u t i o n , i.e.

A(f)(x) = r f(x.y) ~(dy)

)G

The f o l l o w i n g is easily d e r i v e d f r o m p r o p o s i t i o n 5.8.

PROPOSITION 5.11 :

i. ~Ag ~ K
T
2. A(w S) = w S if S is a b r a n c h
3. If S is a finite subset of R and f 6 LI(G) is S ' - d e p e n d e n t ,
where S N S' = r then A(w S ~ f) = w S S ~ for some S ' - d e p e n d e n t
f u n c t i o n ~ in LI(G) satisfying ,fll1 ( K IT ; S] Hfn I.

For any w e l l - f o u n d e d tree T on ~ , define the o p e r a t o r A T on LI(G)

by A T = ~ o A = A o ~.

It is clear f r o m P r o p o s i t i o n 5 9 11 (2) that A T is the identity on X TI"

Finally, it remains to e s t a b l i s h

PROPOSITION 5.12 : If F : L1(k) + LI(G) is a n o n - r e p r e s e n t a b l e

operator, then (I - A T ) o F is n o n - r e p r e s e n t a b l e to, f o r any well-
f o u n d e d tree T.

Since G = {I,-i} C, a p p l i c a t i o n of c o r o l l a r y 5.10 y i e l d s a sequence

(S k) of disjoint finite subsets of C~ so that for all k the o p e r a t o r
where Ck = ~sk
#k o F is n o n - r e p r e s e n t a b l e , (I - $c\Ss ).

1
Assume (I - A T ) o F r e p r e s e n t a b l e and take s = 2-T-" Then
T

LEMMA 5.13 : For each k, there is some S 6 S s such that S C T and

S A Ss ~ ~ for each s : l,...,k.

Once this obtained, we may apply lemma 5.5, taking the s e q u e n c e

(S k ~ T) in account. This leads to a sequence (n i) of integers with
(nl,n2,...,n j) 6 T for each j, c o n t r a d i c t i n g the a s s u m p t i o n that T
was w e l l - f o u n d e d . So it remains to p r o v e the above lemma.
 97

Proof of Lemma 5 . 1 3 : Fix k, consider the s e t

F = {S C T ; S C ~s Ss and S ~ Ss ~ ~ for each s = 1,...,k}
and denote r its cardinality.
Since r o F is non-representable and, by hypothesis,
Ck o (I - A T ) o F = (I - ~ ) o Ck o F is representable, the opera-
toms A T Ck F and hence ~ #k F are non-representable.

Therefore, there exists some ~ 6 LI(k) satisfying

1
B% Ck F (~)H = 1 and ~(I-A T) Ck F (~)H < ~-~.
Define f = ~ Ck F (9), which is clearly of the following form

f = ZS6F Ws ~ fs
where each fs is (T\~s 1Ss
I
Moreover, by construction, nfU : 1 and U(I-A)fH < ~-~.

By proposition 5.11 (3), we see that A(w S e fs ) = Ws ~ ~S for some

(T\~s I Ss function ~S in LI(G) satisfying

DTSn I ~ K [T ; S] gfsn 1. Thus

A(f) = ZS6 F w S e ~S
and
f-A(f) = ZSE F w S S (fs-Ts)

For each S 6 F, we have

1
3--r > ~f-A(f) lll ~ Dfs-TsII1 ~ llfSlll - ~ S g l ~ (I - K [T ; S])Hfsn 1
and hence for S 6 F\Se, by the choice of e
2
Hfs~ 1 < ~-~.

Suppose F A S e = #. Then it would follow

1 = Uf{{ 1 ~ ZS6 F {{fs{I1 < 23--~rF,

a contradiction.

Consequently, F N S e ~ #, completing the proof.

Proof of Theorem 5.3 : By 4.37, it suffices to embed any tree-space

X$, for T well-founded, in an RN s Now A T is an operator on
LI(G) which is identity on X~ and satisfies 5.12. So we can apply
5.4 (b).
 98

We c o n c l u d e this section with some remarks and questions.

I. One can show that the o p e r a t o r s A T for T w e l l - f o u n d e d do not

fix an L1-copy and hence also satisfy condition (a) of t h e o r e m 1.

2. As far as we know the s constructed here are also the

first examples of n o n - S c h u r s which do not contain a copy
of L I .

3. R e l a t e d to this w o r k and also [~f] is the following question :

Does the class of s e p a r a b l e Schur / 1 - s p a c e s admit an u n i v e r s a l
element ? and its w e a k e r version.
Does there exist a separable Banach space not containing L 1 which
is u n i v e r s a l for latter class of spaces ?

6. s I-SPACES WITH THE SCHUR P R O P E R T Y FAILING THE RNP

As a n o t h e r application of the general construction principle

explained in section 2, we will show the e x i s t e n c e of "small"
s failing the RNP. Let us point out that the p r o b l e m
whether or not a non-RNP-subspace of L I has to contain an L 1-
copy isomorphically remained open for some time and was first
solved (negatively) in [31].

The b u i l d i n g pieces of the r e q u i r e d operator on L 1 will again be

convolution operators. Let us first introduce some notation.
For each p o s i t i v e integer N, let G N be the Cantor group {I,-1} N
and m N the H a a r - m e a s u r e of G N. For 1 ~ n ~ N, the n th R a d e m a c h e r
function r n on G N is d e f i n e d by rn(X) = x n. For 0 ~ E ~ 1 fixed,
T e is the convolution operator on LI(GN ) by the m e a s u r e
(l+er)
n
n
Thus TE(w S) = e (S) w S for Walshes wS : ~ rn, taking IsI the
nES
cardinality of S.
Let r be a fixed p o s i t i v e integer. We c o n s i d e r the p r o b a b i l i t y
space (~r,Pr) obtained as direct sum of G~ and G~ w h e r e
 99

(8 r)
N : Nr = r and w h e r e G N' and G N" are the g r o u p GN equipped with

the r e s p e c t i v e measures (1-2-r)mN and 2-rmN . Take e = I/r. For

6 GN , we i n t r o d u c e following functions on G N

d-1
= ~ ( l + U n r n) and f : 1 Z T i(e ) where d : 4 r.
e n v d i:0 s u

Finally, define as f o l l o w s an o p e r a t o r T r on L I ( U i ) :

Tr(f'@f") = (T e f, + ~1( f " - T d f..)) ~ f.,

g
In w h a t follows, we w i l l use f o l l o w i n g facts about T r.

LEMMA 5.14 : If for e a c h u 6 G N we c o n s i d e r the function

~u = f @ e on ~r, t h e n

1. D~un 2 : [ ~ du i : I

2. 2 -N Z ~v is the c o n s t a n t function 1 on ~r

1
3. H~ v - lU 1 > 2 -

-r+l
4. UTra ~ 1 + 2

5. T r ( ~ v) : ~v

The v e r i f i c a t i o n of a s s e r t i o n s (I), ([2), (4), (5) is a l m o s t imme-

diate.
Property (3) f o l l o w s f r o m the fact that by c o n s t r u c t i o n ~u is
localized on a set of s m a l l measure. We c h e c k this using standard
techniques, for i n s t a n c e by e s t i m a t i o n of n/~ HI 9

Next, define ~ : ~ ~r e q u i p p e d with product measure ~ : ~r Br"

n

Since H [[Trn < ~, we are a l l o w e d to d e f i n e T : ~r Tr as the p r o d u c t -

operator on LI(~).

Let E be the s u b s p a c e of LI(~) generated by the f u n c t i o n s

~ 1 ~ 2 a... a~ r
 100

where

r = 1,2,... and 1 6 GN1, 2 E GN 2 , ..., v r E GNr

It f o l l o w s from (1), (2), (3) of 5.14 that 'this f u n c t i o n s form a

bounded and n o w h e r e convergent tree in LI(B). H e n c e E fails RNP.
We d e d u c e from (5) t h a t T r e s t r i c t e d to E is i d e n t i t y .

By 5.4, in o r d e r to e m b e d E in a S c h u r s it s u f f i c e s to
establish following

LEMMA 5.15 : A weakly compact subset of LI(~) is n o r m - c o m p a c t ,

provided its image by I - T is c o m p a c t .

At this p o i n t , the fact that e r § 0 for r + = w i l l be of i m p o r t a n c e .

We f i r s t verify

LEMMA 5.16 : Denote ~ the e x p e c t a t i o n with respect to ~ ~s"

s~r
If F E L~(~) and $r[F] = 0, t h e n

~T(F) i]1 ~ 3/r IITit HFII .

Proof : It is in s i m i l a r spirit as 5.13. Introduce the subset

= ~ ~s x ~ G~
s~r s>r s

of ~ and the r e s t r i c t i o n G o f F to ~.
F r o m the d e f i n i t i o n o f the m e a s u r e s Ps' we find

IF-GH 2 ~ IIFII= ~ ( ~ \ ~ ) 1 1 2 ~ 2-r/2 UFn

and h e n c e

UT(F) Ii1 g IIT(G)II1 + 1/r nTH HFB 9

Take U = ~ T and V = T s. R e w r i t e G as W a l s h - e x p a n s i o n
s
s~r s>r

S
w h e r e S runs o v e r the s e q u e n c e s (Si+l,Si+2,...) of s u b s e t s S s of
 101

{I,2,...,N s} (s > r), such that S s : r for s s u f f i c i e n t l y large,

while G S is a function on ~ ~ and Wi : ~ wS on ~ G'
s~r s s>r s s>r Ns '

Thus

T(G) : ~ U(G S) ~ V(W~) and HT(G)n I ~ UUH a~ GS ~ V(W~)N 1

Also, by definition of the operators Ts, we get

= W4,
s>r

Consequently

Gs = <: s)c )21Ssl ,Gs,

2
S s>r

flGIl~ 2
) 2 + II ~r[ G] il 2
(r+ 1

So, combining previous inequalities, we see that

HT(G)~ 1 ~ IITII ~
gFII
+ DTU ~
nFg= ~
2 IITg ~Fn=

which leads to the required estimation of nT(F)~ 1.

Proof of Th. 5.15 : Let (F k) be weakly null in LI(p) and assume

moreover nF k - T(Fk) I11--~ 0. By t r u n c a t i o n and a p p l i c a t i o n of 5.16,
we see that lim F k = 0 in norm.

So T fulfils (c) of 5.4. The s B obtained from 5.4 will

fail the RNP and have Schur property.

It may be i n t e r e s t i n g to notice here that apparently it is not

clear to modify our example in order to obtain a nowhere conver-
gent diadic tree. The n o n - ~ P subspaces of L 1 c o n s t r u c t e d in [3~ ]
failed explicitely the d i a d i c - t r e e - p r o p e r t y .