We develop direct and inverse spectral analysis for finite and semi-infinite non-self-adjoint Jacobi matrices with a rank one imaginary part. It is shown that given a set of $n$ not necessarily distinct non-real numbers in the open upper (lower) half-plane uniquely determines a n x n Jacobi matrix with a rank one imaginary part having those numbers as its eigenvalues counting multiplicity. An algorithm for reconstruction for such finite Jacobi matrices is presented. A new model complementing the well known Livsic triangular model for bounded linear operators with rank one imaginary part is obtained. It turns out that the model operator is a non-self-adjoint Jacobi matrix and it follows from the fact that any bounded, prime, non-self-adjoint linear operator with rank one imaginary part acting on some finite-dimensional (resp., separable infinite-dimensional Hilbert space) is unitary equivalent to a finite (resp., semi-infinite) non-self-adjoint Jacobi matrix. This result strengthens the classical Stone theorem established for self-adjoint operators with simple spectrum. We establish the non-self-adjoint analogs of the Hochstadt and Gesztesy--Simon uniqueness theorems for finite Jacobi matrices with non-real eigenvalues as well as an extension and refinement of these theorems for finite non-self-adjoint tri-diagonal matrices to the case of mixed eigenvalues, real and non-real. A unique Jacobi matrix, unitarily equivalent to the operator of indefinite integration in the Hilbert space L_2[0,l] is found as well as spectral properties of its perturbations and connections with well known Bernoulli numbers. We also give the analytic characterization of the Weyl functions of dissipative Jacobi matrices with a rank one imaginary part.
We study the trace class perturbations of the half-line, discrete Laplacian and obtain a new bound for the perturbation determinant of the corresponding non-self-adjoint Jacobi operator. Based on this bound, we obtain the Lieb--Thirring inequalities for such operators. The spectral enclosure for the discrete spectrum and embedded eigenvalues are also discussed.
We study the trace class perturbations of the whole-line, discrete Laplacian and obtain a new bound for the perturbation determinant of the corresponding non-self-adjoint Jacobi operator. Based on this bound, we refine the Lieb--Thirring inequality due to Hansmann--Katriel. The spectral enclosure for such operators is also discussed.
We consider symmetric Jacobi operators with recurrence coefficients such that the corresponding difference equation is in the limit circle case. Equivalently, this means that the associated moment problem is indeterminate. Our main goal is to find a representation for the resolvents of self-adjoint realizations $J$ of such Jacobi operators. This representation implies the classical Nevanlinna formula for the Cauchy-Stieltjes transforms of the spectral measures of the operators $J$. We also efficiently describe domains of the operators $J$ in terms of boundary conditions at infinity.
We perform the spectral analysis of a family of Jacobi operators $J(α)$ depending on a complex parameter $α$. If $|α|\neq1$ the spectrum of $J(α)$ is discrete and formulas for eigenvalues and eigenvectors are established in terms of elliptic integrals and Jacobian elliptic functions. If $|α|=1$, $α\neq \pm 1$, the essential spectrum of $J(α)$ covers the entire complex plane. In addition, a formula for the Weyl $m$-function as well as the asymptotic expansions of solutions of the difference equation corresponding to $J(α)$ are obtained. Finally, the completeness of eigenvectors and Rodriguez-li…
We study to what extent Lieb--Thirring inequalities are extendable from self-adjoint to general (possibly non-self-adjoint) Jacobi and Schrödinger operators. Namely, we prove the conjecture of Hansmann and Katriel from [Complex Anal. Oper. Theory 5, No. 1 (2011), 197-218] and answer another open question raised therein. The results are obtained by means of asymptotic analysis of eigenvalues of discrete Schrödinger operators with rectangular barrier potential and complex coupling. Applying the ideas in the continuous setting, we also solve a similar open problem for one-dimensional Schrödinger …
We study the ground states of the one-dimensional non-self-adjoint Jacobi operators in the almost periodic media by using the method of dynamical systems. We show the existence of the ground state. Particularly, in the quasi-periodic media, we show that the lower regularity of coefficients can guarantee the existence of ground states. Besides that, we give two applications: the first application is to show the existence and uniqueness of the positive steady state of the discrete Fisher-KPP type equation; the second application is to investigate the asymptotic behavior of the discrete stationar…
In this paper we prove a subelliptic resolvent estimate for a class of semiclassical non-self-adjoint Schrödinger operators with purely imaginary potentials when the spectral parameter is in a parabolic neighborhood of the imaginary axis.
We consider a set of measures on the real line and the corresponding system of multiple orthogonal polynomials (MOPs) of the first and second type. Under some very mild assumptions, which are satisfied by Angelesco systems, we define self-adjoint Jacobi matrices on certain rooted trees. We express their Green's functions and the matrix elements in terms of MOPs. This provides a generalization of the well-known connection between the theory of polynomials orthogonal on the real line and Jacobi matrices on $\mathbb{Z}_+$ to higher dimension. We illustrate importance of this connection by proving…
We examine semiclassical magnetic Schrödinger operators with complex electric potentials. Under suitable conditions on the magnetic and electric potentials, we prove a resolvent estimate for spectral parameters in an unbounded parabolic neighborhood of the imaginary axis.
The class of three-diagonal Jacobi matrix with exponentially increasing elements is considered. Under some assumptions the matrix corresponds to unbounded self-adjoint operator in the weighted space. The weight depends on elements of the matrix and in some cases can arise indefinite metric. We proved that eigenvalue problem for this operator is equivalent to the eigenvalue problem of Sturm--Liouville operator with discrete self-similar weight. The asymptotic formulas for eigenvalues are obtained. These formulas differ for cases of definite and indefinite metrics.
In this work the method of analyzing of the absolutely continuous spectrum for self-adjoint operators is considered. For the analysis it is used an approximation of self-adjoint operator $A$ by a sequence of operators $A_n$ with absolutely continuous spectrum on a given interval $[a,b\,]$ which converges to $A$ in a strong sense on a dense set. The notion of equi-absolute continuity is also used. It was found a sufficient condition of absolute continuity of the operator $A$ spectrum on the finite interval $[a,b\,]$ and the condition for that the corresponding spectral density belongs to the cl…
The paper concerns the spectral theory for a class of non-self-adjoint block convolution operators. We mainly discuss the spectral representations of such operators. It is considered the general case of operators defined on Banach spaces. The main results are applied to periodic Jacobi matrices.
We study stability of spectral types for semi-infinite self-adjoint tridiagonal matrices under random decaying perturbations. We show that absolutely continuous spectrum associated with bounded eigenfunctions is stable under Hilbert-Schmidt random perturbations. We also obtain some results for singular spectral types.
We consider minimal non-negative Jacobi operator with $p\times p-$matrix entries. Using the technique of boundary triplets and the corresponding Weyl functions, we describe the Friedrichs and Krein extensions of the minimal Jacobi operator. Moreover, we parameterize the set of all non-negative self-adjoint extensions in terms of boundary conditions.
We study operators of the form X+Y where Y has a finite p-th Schatten norm (p<2), and X is self-adjoint and of Hilbert-Schmidt class. Our study is based on new theorems on zero distribution of entire functions of finite order.
A family $\mathcal{T}^{(ν)}$, $ν\in\mathbb{R}$, of semiinfinite positive Jacobi matrices is introduced with matrix entries taken from the Hahn-Exton $q$-difference equation. The corresponding matrix operators defined on the linear hull of the canonical basis in $\ell^{2}(\mathbb{Z}_{+})$ are essentially self-adjoint for $|ν|\geq1$ and have deficiency indices $(1,1)$ for $|ν|<1$. A convenient description of all self-adjoint extensions is obtained and the spectral problem is analyzed in detail. The spectrum is discrete and the characteristic equation on eigenvalues is derived explicitly in all c…
We study asymptotics of generalized eigenvectors associated with Jacobi matrices. Under weak conditions on the coefficients we identify when the matrices are self-adjoint and show that they satisfy strong non-subordinacy condition.
We study spectral properties of unbounded Jacobi matrices with periodically modulated or blended entries. Our approach is based on uniform asymptotic analysis of generalized eigenvectors. We determine when the studied operators are self-adjoint. We identify regions where the point spectrum has no accumulation points. This allows us to completely describe the essential spectrum of these operators.
Borg-type uniqueness theorems for matrix-valued Jacobi operators H and supersymmetric Dirac difference operators D are proved. More precisely, assuming reflectionless matrix coefficients A, B in the self-adjoint Jacobi operator H=AS^+ + A^-S^- + B (with S^\pm the right/left shift operators on the lattice Z) and the spectrum of H to be a compact interval [E_-,E_+], E_- < E_+, we prove that A and B are certain multiples of the identity matrix. An analogous result which, however, displays a certain novel nonuniqueness feature, is proved for supersymmetric self-adjoint Dirac difference operators D…
A special class of generalized Jacobi operators which are self-adjoint in Krein spaces is presented. A description of the resolvent set of such operators in terms of solutions of the corresponding recurrence relations is given. In particular, special attention is paid to the periodic generalized Jacobi operators. Finally, the spectral properties of generalized Jacobi operators are applied to prove convergence results for Padé approximants.
A modification of the well-known step-by-step process for solving Nevanlinna-Pick problems in the class of $\bR_0$-functions gives rise to a linear pencil $H-λJ$, where $H$ and $J$ are Hermitian tridiagonal matrices. First, we show that $J$ is a positive operator. Then it is proved that the corresponding Nevanlinna-Pick problem has a unique solution iff the densely defined symmetric operator $J^{-1/2}HJ^{-1/2}$ is self-adjoint and some criteria for this operator to be self-adjoint are presented. Finally, by means of the operator technique, we obtain that multipoint diagonal Padé approximants t…
We provide a complete spectral analysis of all self-adjoint operators acting on $\ell^{2}(\mathbb{Z})$ which are associated with two doubly infinite Jacobi matrices with entries given by $$ q^{-n+1}δ_{m,n-1}+q^{-n}δ_{m,n+1} $$ and $$ δ_{m,n-1}+αq^{-n}δ_{m,n}+δ_{m,n+1}, $$ respectively, where $q\in(0,1)$ and $α\in\mathbb{R}$. As an application, we derive orthogonality relations for the Ramanujan entire function and the third Jackson $q$-Bessel function.
We present pretty detailed spectral analysis of Jacobi matrices with periodically modulated entries in the case when $0$ lies on the soft edge of the spectrum of the corresponding periodic Jacobi matrix. In particular, we show that the studied operators are always self-adjoint irrespective of the modulated sequence. Moreover, if the growth of the modulated sequence is superlinear, then the spectrum of the considered operators is always discrete. Finally, we study regular perturbations of this class in the linear and the sublinear cases. We impose conditions assuring that the spectrum is absolu…
We study self-adjoint bounded Jacobi operators of the form: (J ψ)(n) = a_n ψ(n + 1) + b_n ψ(n) +a_{n-1} ψ(n - 1) on $\ell^2(\N)$. We assume that for some fixed q, the q-variation of $\{a_n\}$ and $\{b_n\}$ is square-summable and $\{a_n\}$ and $\{b_n\}$ converge to q-periodic sequences. Our main result is that under these assumptions the essential support of the absolutely continuous part of the spectrum of J is equal to that of the asymptotic periodic Jacobi operator. This work is an extension of a recent result of S.A.Denisov.
We consider self-adjoint unbounded Jacobi matrices with diagonal q_n=n and weights λ_n=c_n n, where c_n is a 2-periodical sequence of real numbers. The parameter space is decomposed into several separate regions, where the spectrum is either purely absolutely continuous or discrete. This constitutes an example of the spectral phase transition of the first order. We study the lines where the spectral phase transition occurs, obtaining the following main result: either the interval (-\infty;1/2) or the interval (1/2;+\infty) is covered by the absolutely continuous spectrum, the remainder of the …
We provide an explicit spectral representation for several weighted Hankel matrices by means of the so called commutator method. These weighted Hankel matrices are found in the commutant of Jacobi matrices associated with orthogonal polynomials from the Askey scheme whose Jacobi parameters are polynomial functions of the index. We also present two more results of general interest. First, we give a complete description of the commutant of a Jacobi matrix. Second, we deduce a necessary and sufficient condition for a weighted Hankel matrix commuting with a Jacobi matrix to determine a unique self…
For a purely imaginary sign-definite perturbation of a self-adjoint operator, we obtain exponential representations for the perturbation determinant in both upper and lower half-planes and derive respective trace formulas.
We consider infinite quasi-periodic Jacobi self-adjoint matrices for which the three main diagonals are given via values of real analytic functions on the trajectory of the shift $x\rightarrow x+ω$. We assume that the Lyapunov exponent $L(E_{0})$ of the corresponding Jacobi cocycle satisfies $L(E_{0})\geγ>0$. In this setting we prove that the number of eigenvalues $E_{j}^{(n)}(x)$ of a submatrix of size $n$ contained in an interval $I$ centered at $E_{0}$ with $|I|=n^{-C_{1}}$ does not exceed $(\log n)^{C_{0}}$ for any $x$. Here $n\ge n_{0}$, and $n_{0}$, $C_{0}$, $C_{1}$ are constants dependi…
We introduce and investigate a class of complex semi-infinite banded Toeplitz matrices satisfying the condition that the spectra of their principal submatrices accumulate onto a real interval when the size of the submatrix grows to $\infty$. We prove that a banded Toeplitz matrix belongs to this class if and only if its symbol has real values on a Jordan curve located in $\mathbb{C}\setminus\{0\}$. Surprisingly, it turns out that, if such a Jordan curve is present, the spectra of all the submatrices have to be real. The latter claim is also proven for matrices given by a more general symbol. F…
We study Jacobi matrices that are uniformly approximated by periodic operators. We show that if the rate of approximation is sufficiently rapid, then the associated quantum dynamics are ballistic in a rather strong sense; namely, the (normalized) Heisenberg evolution of the position operator converges strongly to a self-adjoint operator that is injective on the space of absolutely summable sequences. In particular, this means that all transport exponents corresponding to well-localized initial states are equal to one. Our result may be applied to a class of quantum many-body problems. Specific…
We study the spectrum of the linear operator $L = - \partial_θ - ε\partial_θ (\sin θ\partial_θ)$ subject to the periodic boundary conditions on $θ\in [-π,π]$. We prove that the operator is closed in $L^2([-π,π])$ with the domain in $H^1_{\rm per}([-π,π])$ for $|ε| < 2$, its spectrum consists of an infinite sequence of isolated eigenvalues and the set of corresponding eigenfunctions is complete. By using numerical approximations of eigenvalues and eigenfunctions, we show that all eigenvalues are simple, located on the imaginary axis and the angle between two subsequent eigenfunctions tends to z…
In this paper, we introduce and study non-local Jacobi operators, which generalize the classical (local) Jacobi operators. We show that these operators extend to generators of ergodic Markov semigroups with unique invariant probability measures and study their spectral and convergence properties. In particular, we derive a series expansion of the semigroup in terms of explicitly defined polynomials, which generalize the classical Jacobi orthogonal polynomials. In addition, we give a complete characterization of the spectrum of the non-self-adjoint generator and semigroup. We show that the vari…
One of the first theorems in perturbation theory claims that for an arbitrary self-adjoint operator A there exists a perturbation B of Hilbert-Schmidt class, which destroys completely the absolutely continuous spectrum of A (von Neumann). However, if A is the discrete free 1-D Schrödinger operator and B is a Jacobi matrix the a.c. spectrum remains perfectly the same. Moreover, Killip and Simon described explicitly the spectral properties for such A+B. Jointly with Damanik they generalized this result to the case of perturbations of periodic Jacobi matrices. Recall that the spectrum of a period…
One of the first and therefore most important theorems in perturbation theory claims that for an arbitrary self-adjoint operator A there exists a perturbation B of Hilbert-Schmidt class with arbitrary small operator norm, which destroys completely the absolutely continuos (a.c.) spectrum of the initial operator A (von Neumann). However, if A is the discrete free 1-D Schrödinger operator and B is an arbitrary Jacobi matrix (of Hilbert-Schmidt class) the a.c. spectrum remains perfectly the same, that is, the interval [-2,2]. Moreover, Killip and Simon described explicitly the spectral properties…
