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WEAK∗ DENTABILITY INDEX OF SPACES C([0,α]) PETRHA´JEK,GILLESLANCIEN,ANDANTON´INPROCHA´ZKA Abstract. Wecomputetheweak∗-dentabilityindexofthespacesC(K)where K is a countable compact space. Namely Dz(C([0,ωωα]))= ω1+α+1, when- ever 0 ≤ α < ω1. More generally, Dz(C(K)) = ω1+α+1 if K is a scattered 9 compactwhoseheightη(K)satisfiesωα<η(K)≤ωα+1withanαcountable. 0 0 2 n 1. Introduction a J The Szlenk index has been introduced in [20] in order to show that there is 6 no universal space for the class of separable reflexive Banach spaces. The general idea of assigning an isomorphically invariant ordinal index to a class of Banach ] A spaces proved to be extremely fruitful in many situations. We refer to [16] for a F survey with references. In the present note we will give an alternative geometrical . description of the Szlenk index (equivalent to the original definition whenever X h is a separable Banach space not containing any isomorphic copy of ℓ [12]), which t 1 a stressesits close relationto the weak∗-dentability index. The later index provedto m be very useful in renorming theory ([12], [13], [14]). [ Letusproceedbygivingtheprecisedefinitions. ConsiderarealBanachspaceX 1 andK aweak∗-compactsubsetofX∗. Forε>0weletV bethesetofallrelatively ∗ v weak -open subsets V of K such that the norm diameter of V is less than ε and 1 s K = K \ {V : V ∈ V}. Then we define inductively sαK for any ordinal α by ε ε 68 sεα+1K =sε(SsαεK)ands∗αεK = β<αsβεK ifαisalimitordinal. We denotebyBX∗ theclosedunitballofX . WethendefineSz(X,ε)tobetheleastordinalαsothat 0 T 1. sαεBX∗ =∅,ifsuchanordinalexists. OtherwisewewriteSz(X,ε)=∞.TheSzlenk index of X is finally defined by Sz(X) = sup Sz(X,ε). Next, we introduce the 0 ε>0 ∗ ∗ ∗ notion of weak -dentability index. Denote H(x,t) = {x ∈ K, x (x) > t}, where 9 0 x ∈ X and t ∈ R. Let K be again a weak∗-compact. We introduce a weak∗-slice : of K to be any non empty set of the form H(x,t)∩K where x ∈ X and t ∈ R. v ∗ i Then we denote by S the set of all weak -slices of K of norm diameter less than ε X and d K =K\ {S :S ∈S}. From this derivation, we define inductively dαK for ε ε r any ordinal α by dα+1K = s (dαK) and dαK = sβK if α is a limit ordinal. a S ε ε ε ε β<α ε We then define Dz(X,ε) to be the least ordinal αTso that dαε∗BX∗ = ∅, if such an ordinal exists. Otherwise we write Dz(X,ε) = ∞. The weak -dentability index is defined by Dz(X)=sup Dz(X,ε). ε>0 Letus now recallthatit followsfromthe classicaltheory ofAsplund spaces(see for instance [10], [9], [6] and references therein) that for a Banach space X, each of the following conditions: Dz(X)6= ∞ and Sz(X)6= ∞ is equivalent to X being an Asplund space. In particular, if X is a separable Banach space, each of the ∗ conditions Dz(X)<ω and Sz(X)<ω is equivalent to the separability of X . In 1 1 Date:July2008. 2000 Mathematics Subject Classification. 46B20,46B03,46E15. Keywords and phrases. Szlenkindex,dentabilityindex. Supported by grants: Institutional Research Plan AV0Z10190503, A100190801, GA CˇR 201/07/0394. 1 WEAK∗ DENTABILITY INDEX OF SPACES C([0,α]) 2 other words, both of these indices measure “quantitatively” the “Asplundness” of the space in question. Moreover,these indices are invariant under isomorphism. Itisimmediatefromthe definition,thatDz(X)≥Sz(X)foreveryBanachspace X. Relying on tools from descriptive set theory, Bossard (for the separable case, see[4]and[5])andthe secondnamedauthor([14]),provednon-constructivelythat there exists a universal function ψ : ω → ω , such that if X is an Asplund space 1 1 with Sz(X)<ω , then Dz(X)≤ψ(Sz(X)). 1 Recently,Raja[17]hasobtainedaconcreteexampleofsuchaψ,byshowingthat Dz(X) ≤ ωSz(X) for every Asplund space. This is a very satisfactory result, but it is not optimal, as we know from [8] that the optimal value ψ(ω) = ω2. Further progressinthisareadependsonthe exactknowledgeofindicesforconcretespaces. The Szlenk index has been precisely calculated for several classes of spaces, most notably for the class of C([0,α]), α countable (Samuel [19], see also [8]). We have Sz(C([0,ωωα]))=ωα+1, so it follows from the Bessaga-Pe lczyn´ski([3]) Theorem 1 below,thatthevalueoftheSzlenkindexcharacterizestheisomorphismclass([10]). Computations of the Szlenk index for other spaces may be found e.g. in [2], [1], ∗ [11]. On the other hand, the precise value of the weak -dentability index is known onlyforsuperreflexiveBanachspaces,whereDz(X)=ω ([13],[10]), andforspaces ∗ with an equivalent UKK renorming ([8]). For a detailed background information on the Szlenk anddentability indices we refer the readerto [10], [15], [16], [18] and references therein. ∗ The main result of our note, Theorem 2, is a precise evaluation of the w - dentability index for the class of C([0,α]), α countable. These spaces have been classified isomorphically by C. Bessaga and A. Pe lczyn´ski [3] in the following way. Theorem 1. (Bessaga-Pe lczyn´ski) Let ω ≤ α ≤ β < ω . Then C([0,α]) is iso- 1 morphic to C([0,β]) if and only if β <αω. Moreover, for every countable compact space K there exists a unique α<ω such that C(K) is isomorphic to C([0,ωωα]). 1 It is also well-known and easy to show that for α ≥ ω, C([0,α]) is isomorphic to C ([0,α]) where C ([0,α]) = {f ∈C([0,α]):f(α)=0}. The aim of this note 0 0 ∗ is to prove the next theorem. Note, as a particular consequence, that the weak - dentability index gives a complete isomorphic characterization of a C(K) space, when K is a metrizable compact space (similarly to the case of the Szlenk index). Theorem 2. Let 0≤α<ω . Then Dz(C([0,ωωα]))=ω1+α+1. 1 Proof. We start by proving the upper estimate Dz(C([0,ωωα]))≤ω1+α+1, (1) The method of the proof is similar to [8], where a short and direct computation of the Szlenk index of the spaces C([0,α]) is presented. Next lemma is a variant of Lemma 2.2. from [8]. We omit the proof which requires only minor notational changes. Lemma 3. Let X be a Banach space and α an ordinal. Assume that ∀ε>0 ∃δ(ε)>0 dαε(BX∗)⊂(1−δ(ε))BX∗. Then Dz(X)≤α·ω. We shall also use the following Lemma that can be found in [15]. Lemma4. LetX beaBanach spaceandL (X)betheBochnerspace L ([0,1],X). 2 2 Then Dz(X)≤Sz(L (X)). 2 WEAK∗ DENTABILITY INDEX OF SPACES C([0,α]) 3 Thus, in order to obtain the desired upper bound we only need to prove the following. Proposition 5. Let 0≤α<ω . Then Sz(L (C([0,ωωα])))≤ω1+α+1. 1 2 Proof. For a fixed α < ω and γ < ωωα, let us put Z = L (ℓ ([0,ωωα))), together 1 2 1 with the weak∗-topology induced by L (C ([0,ωωα])) and Z =L (ℓ ([0,γ])) with 2 0 γ 2 1 ∗ the weak -topologyinduced byL (C([0,γ])). We recallthat for a Banachspace X 2 ∗ ∗ with separable dual, L (X ) is canonically isometric to (L (X)) . 2 2 Let P be the canonical projection from ℓ ([0,ωωα)) onto ℓ ([0,γ]). Then, for γ 1 1 f ∈ Z and t ∈ [0,1], we define (Π f)(t) = P (f(t)). Clearly, Π is a norm one γ γ γ projection from Z onto Z (viewed as a subspace of Z). We also have that for any γ f ∈Z, kΠ f −fk tends to 0 as γ tends to ωωα. γ Next is a variant of Lemma 3.3 in [8]. Lemma 6. Let α < ω , γ < ωωα, β < ω and ε > 0. If z ∈ sβ (B ) and 1 1 3ε Z kΠ zk2 >1−ε2, then Π z ∈sβ(B ). γ γ ε Zγ Proof. Wewillproceedbytransfiniteinductioninβ. Thecasesβ =0andβ alimit ordinalareclear. Nextweassumethatβ =µ+1andthestatementhasbeenproved forallordinalslessthanorequaltoµ. Considerf ∈B withkΠ fk2 >1−ε2 and Z γ Π f ∈/ sβ(B ). Assuming f ∈/ sµ (B ) ⊃ sβ (B ) finishes the proof, so we may γ ε Zγ 3ε Z 3ε Z suppose that f ∈ sµ (B ). By the inductive hypothesis, Π f ∈ sµ(B ). Thus there exists a weak∗3-εneigZhborhood V of f such that the diamγeter oεf V Z∩γsµ(B ) ε Zγ is less than ε. We may assume that V can be written V = k H(ϕ ,a ), where i=1 i i a ∈R and ϕ ∈L (C([0,γ])). We may also assume, using Hahn-Banach theorem, i i 2 T that V ∩(1−ε2)1/2B =∅. Zγ Define Φ ∈ L (C ([0,ωωα)) by Φ (t)(σ) = ϕ (t)(σ) if σ ≤ γ and Φ (t)(σ) = 0 i 2 0 i i i otherwise. Then define W = k H(Φ ,a ). Note that for f in Z, f ∈ W if i=1 i i ∗ and only if Π f ∈ V. In particular W is a weak -neighborhood of f. Consider γ now g,g′ ∈ W ∩sµ (B ). TheTn Π g and Π g′ belong to V and therefore they 3ε Z γ γ have norms greater than (1−ε2)1/2. It follows from the induction hypothesis that Π g,Π g′ ∈sµ(B ) thus kΠ g−Π g′k≤ε. Since kΠ gk2 >1−ε2 and kgk≤1, γ γ ε Zγ γ γ ′ γ ′ we also have kg−Π gk < ε. The same is true for g and therefore kg−g k < 3ε. γ This finishes the proof of the Lemma. (cid:3) We are now in position to proveProposition5. For that purpose it is enough to show that for all α<ω : 1 ∀γ <ωωα ∀ε>0 sω1+α(B )=∅. (2) ε Zγ We will prove this by transfinite induction on α<ω . 1 Forα=0,γ isfiniteandthespaceZ isisomorphictoL andthereforesω(B ) γ 2 ε Zγ is empty. So (2) is true for α=0. Assume that (2) holds for α < ω . Let Z = L (C ([0,ωωα])). It follows from 1 2 0 Lemma 6 and the fact that for all f ∈Z kΠ f −fk tends to 0 as γ tends to ωωα, γ that ∀ε>0 sω1+α(B )⊂(1−ε2)1/2B . ε Z Z From this and Lemma 3 it follows that ∀ε>0 sω1+α+1(B )=∅. ε Z ByTheorem1weknowthatthe spacesC([0,γ]),C([0,ωωα]),andalsoC ([0,ωωα]) 0 are isomorphic, whenever ωωα ≤γ <ωωα+1. Thus sω1+α+1(B )=∅ for any ε>0 ε Zγ and γ <ωωα+1, i.e. (2) holds for α+1. Finally, the induction is clear for limit ordinals. (cid:3) WEAK∗ DENTABILITY INDEX OF SPACES C([0,α]) 4 In the rest of the note, we will focus on proving the converse inequality. Note that it suffices to deal with the spaces C([0,ωωα]) where α < ω. Indeed, in case α≥ω, our inequality (1) implies that Dz(C([0,ωωα]))=Sz(C([0,ωωα]))=ωα+1. Proposition 7. Let X,Z be Banach spaces and let Y ⊂X∗ be a closed subspace. ∗ ∗ Let there be T ∈ B(X,Z) such that T is an isometric isomorphism from Z onto Y. Let ε > 0, α be an ordinal such that BX∗ ∩Y ⊂ dαε(BX∗), and z ∈ Z∗. If z ∈dβε(BZ∗), then T∗z ∈dεα+β(BX∗). Proof. Byinductionwithrespecttoβ. Thecaseswhenβ =0orβ isalimitordinal are clear. Let β = µ+1 and suppose that T∗z ∈/ dεα+β(BX∗). If z ∈/ dµε(BZ∗), then the proof is finished. So we proceed assuming that z ∈ dµε(BZ∗), which by the inductive hypothesis implies that T∗z ∈ dεα+µ(BX∗). There exist x ∈ X, t > 0, such that T∗z ∈ H(x,t)∩dεα+µ(BX∗) = S and diamS < ε. Consider the slice S′ = H(Tx,t)∩ dµε(BZ∗). We have hTx,zi = hx,T∗zi, so z ∈ S′. Also, diamS′ ≤diamS <ε as T∗ is an isometry. We conclude that z ∈/ dβε(BZ∗), which finishes the argument. (cid:3) Let us introduce a shift operator τ : ℓ ([0,ω]) → ℓ ([0,ω]), m ∈ N, by letting m 1 1 τ h(n)=h(n−m) for n≥m, τ h(n)=0 for n<m and τ h(ω)=h(ω). m m m Corollary 8. Let h∈dα(B ). Then τ h∈dα(B ) for every m∈N. ε ℓ1([0,ω]) m ε ℓ1([0,ω]) Proof. Indeed, consider the mapping T :C([0,ω])→C([0,ω]) defined as ∗ T((x(0),x(1),...,x(ω))) = (x(1),x(2),...,x(ω)). Clearly, T = τ and the as- 1 sertion for m = 1 follows by the previous proposition. For m > 1 one may use induction. (cid:3) Definition 9. Let α be an ordinal and ε>0. We will say that a subset M of X∗ is an ε-α-obstacle for f ∈BX∗ if (i) dist(f,M)≥ε, (ii)foreveryβ <αandeveryw∗-sliceS ofdβε(BX∗)withf ∈S wehaveS∩M 6=∅. It follows by transfinite induction that if f has an ε-α-obstacle, then f ∈ dαε(BX∗). An(n,ε)-tree inaBanachspaceX isafinitesequence(x )2n+1−1 ⊂X suchthat i i=0 x +x 2i 2i+1 x = and kx −x k≥ε i 2i 2i+1 2 for i=0,...,2n−1. The element x is calledthe root ofthe tree (x )2n+1−1. Note 0 i i=0 that if (hi)2i=n+01−1 ⊂BX∗ is an (n,ε)-tree in X∗, then h0 ∈dnε(BX∗). Define f ∈ℓ ([0,α]), for α≥β, by f (ξ)=1 if ξ =β and f (ξ)=0 otherwise. β 1 β β Lemma 10. f ∈dω (B ) ω 1/2 ℓ1([0,ω]) Proof. In[7,Exercise9.20]asequenceisconstructedof(n,1)-treesinB with ℓ1([0,ω]) roots 1 1 r =( ,..., ,0,...) n 2n 2n 2n−times whoseelementsbelongtoP = h∈B :khk =1, h(n)≥0, h(ω)=0 . We | ℓ1({[0z,ω]) } 1 have r ∈ d2n (B ), and dist(f ,P) = 2. Finally, for every h ∈ P, every n 1/2 ℓ1([0,ω]) (cid:8) ω (cid:9) x∈C([0,ω]) and every t∈R such that f ∈H(x,t), there exists m∈N such that ω τ h ∈ H(x,t). Therefore the set τ r :(m,n)∈N2 is an 1-ω-obstacle for f . m m n 2 ω Thus f ∈dω (B ). (cid:3) ω 1/2 ℓ1([0,ω]) (cid:8) (cid:9) WEAK∗ DENTABILITY INDEX OF SPACES C([0,α]) 5 Proposition 11. For every α<ω, fωωα ∈dω1/12+α(Bℓ1([0,ωωα])) (3) Proof. The case α = 0 is contained in Lemma 10. Let us suppose that we have provedtheassertion(3)forallordinals(naturalnumbers,infact)lessthanorequal to α. It is enough to show, for every n∈N, that f(ωωα)n ∈dω1/12+αn(Bℓ1([0,(ωωα)n])). (4) Indeed, (4) implies f(ωωα)n ∈dω1/12+αn(Bℓ1([0,ωωα+1])). w∗ Since f(ωωα)n −→ fωωα+1 and f(ωωα)n −fωωα+1 = 2, we see that {f(ωωα)n : n ∈ N} is an 1-ω1+α+1-obstacle for f . That implies (3) for α+1. 2 (cid:13) ωωα+1 (cid:13) In order to prove (4) we will(cid:13)proceed by induc(cid:13)tion. The casen=1 follows from the inductive hypothesis as indicated above, so let us suppose that n=m+1 and (4) holds for m. Define the mapping T :C([0,(ωωα)n])→C([0,ωωα]) by (Tx)(γ)=x((ωωα)m(1+γ)), γ ≤ωωα ∗ A simple computation shows that the dual map T is given by g(ξ), if γ =(ωωα)m(1+ξ), ξ ≤ωωα ∗ (T g)(γ)= (0 otherwise Clearly, T∗ is an isometric isomorphism of ℓ ([0,ωωα]) onto rngT∗. We claim that 1 Bℓ1([0,(ωωα)n])∩rngT∗ ⊂dω1/12+αm(Bℓ1([0,(ωωα)n])). (5) ∗ Note that the set of extremal points of Bℓ1([0,(ωωα)n])∩rngT satisfies ext(Bℓ1([0,(ωωα)n])∩rngT∗)⊂{fγ,−fγ :γ =(ωωα)m(1+ξ), ξ ≤ωωα} By the inductive assumption and by symmetry, f(ωωα)m and −f(ωωα)m belong to dω1/12+αm(Bℓ1([0,(ωωα)n])). It is easy to see that more generally, fγ and −fγ belong to dω1/12+αm(Bℓ1([0,(ωωα)n])), whenever γ = (ωωα)m(1+ξ), ξ ≤ ωωα. Thus we have verified that ext(Bℓ1([0,(ωωα)n])∩rngT∗)⊂dω1/12+αm(Bℓ1([0,(ωωα)n])), and the claim (5) follows using the Krein-Milman theorem. Thistogetherwiththeinductiveassumption(3)allowsustoapplyProposition7 (with ℓ ([0,(ωωα)n]) as X∗, C([0,ωωα]) as Z, and rngT∗ as Y) to get 1 f(ωωα)n =T∗fωωα ∈dω1/12+αn(Bℓ1([0,(ωωα)n])). (cid:3) To finish the proof of Theorem 2, we use that for every Asplund space X, Dz(X)=ωξ for some ordinal ξ (see [15, Proposition3.3], [10]). Combining Propo- sition 11 with (1) we obtain Dz(C([0,ωωα]))=ω1+α+1 for α < ω. For ω ≤ α < ω , we use that ω1+α+1 = ωα+1 = Sz(C([0,ωωα])) = 1 Dz(C([0,ωωα])), which finishes the proof. (cid:3) OurnextpropositionisadirectconsequenceofTheorem2,Lemma4andPropo- sition 5. WEAK∗ DENTABILITY INDEX OF SPACES C([0,α]) 6 Proposition 12. Let 0≤α<ω . Then Sz(L (C([0,ωωα])))=ω1+α+1. 1 2 Our main result can be extended to the non separable case as follows. Theorem 13. Let 0 ≤ α < ω . Let K be a compact space whose Cantor derived 1 sets satisfy Kωα 6=∅ and Kωα+1 =∅. Then Dz(C(K))=ω1+α+1. ∗ Proof. The upper estimate follows from the separable determination of the weak - dentability index when it is countable and from Theorem 2 (the argument is iden- tical to the one given for the computation of Sz(C(K)) in [14]). On the other hand, since Kωα 6=∅, we have that Sz(C(K)) ≥ωα+1 (see [14] or Proposition7in[15]). ThereforethereisaseparablesubspaceX ofC(K)suchthat Sz(X)≥ωα+1. By considering the closed subalgebra of C(K) generated by X, we may as well assume that X is isometric to C(L), where L is a compact metrizable space. SinceSz(C(L))≥ωα+1,itfollowsfromTheorem2thatDz(C(L))≥ω1+α+1 and finally that Dz(C(K))≥ω1+α+1. (cid:3) References [1] D.Alspach,The dual of the Bourgain-Delbaen space,Isr.J.Math.117(2000), 239–259. [2] D.E. Alspach, R. Judd and E. Odell, The Szlenk index and local ℓ1-indices, Positivity, 9 (2005). [3] C.BessagaandA.Pel czyn´ski,Spaces of continuous functions (IV) (on isomorphical classi- fication of spaces of continuous functions),StudiaMath.,19(1960), 53-62. [4] B.Bossard,Codage desespacesdeBanachs´eparables. Famillesanalytiquesoucoanalytiques d’espaces de Banach,C.R.Acad.Sci.ParisS´er.IMath.,316(1993), 1005-1010. [5] B. Bossard, Th´eorie descriptive des ensembles et g´eom´etrie des espaces de Banach, Th`ese, Universit´eParisVI(1994). [6] R.Deville,G.GodefroyandV.Zizler,SmoothnessandrenormingsinBanachspaces,Pitman MonographsandSurveys 64,LongmanEd(1993). [7] M.Fabian,P.Habala,P.Ha´jek,V.Montesinos,J.PelantandV.Zizler,Functional analysis and infinite dimensional geometry,CMSBooksinMathematics (Springer-Verlag)(2001). [8] P.Ha´jekandG.Lancien,VariousslicingindicesonBanach spaces,MediterraneanJ.Math. 4(2007)179–190. [9] P. Ha´jek, G. Lancien and V. Montesinos, Universality of Asplund spaces, Proc. AMS 135, no.7(2007), 2031–2035. [10] P. Ha´jek, V. Montesinos, J. Vanderwerff and V. Zizler, Biorthogonal systems in Banach spaces, CMSBooksinMathematics (Springer-Verlag)(2007). [11] H. Knaust, E. Odell and T. Schlumprecht, On asymptotic stucture, the Szlenk index and UKK properties inBanach spaces, Positivity,3(1999), 173-199. [12] G. Lancien, Dentability indices and locally uniformly convex renormings, Rocky Mountain J.Math.,23(Spring1993), 2,635-647. [13] G. Lancien, On uniformly convex and uniformly Kadec-Klee renormings, Serdica Math. J., 21(1995), 1-18. [14] G. Lancien, On the Szlenk index and the weak∗-dentability index, Quart. J. Math. Oxford (2),47(1996), 59-71. [15] G. Lancien, A survey on the Szlenk index and some of its applications, Revista R. Acad. Cien.SerieAMath.,100(2006), 209-235. [16] E.Odell,Ordinal indicesin Banach spaces,ExtractaMath.19(2004), 93–125. [17] M.Raja,Dentability indices with respect to measures of non-compactness, JournalofFunc- tionalAnalysis253(2007), 273-286 [18] H.P.Rosenthal,TheBanachspacesC(K),HandbookoftheGeometryofBanachspacesVol. 2,W.B.JohnsonandJ.Lindenstrausseditors,ElsevierAmsterdam(2003), 1547-1602. [19] C.Samuel,Indice de Szlenk des C(K),S´eminairedeG´eom´etriedesespaces deBanach,Vol. I-II,PublicationsMath´ematiques del’Universit´eParisVII,Paris(1983), 81-91. [20] W.Szlenk,ThenonexistenceofaseparablereflexiveBanachspaceuniversalforallseparable reflexive Banach spaces,StudiaMath.,30(1968), 53-61. WEAK∗ DENTABILITY INDEX OF SPACES C([0,α]) 7 MathematicalInstitute,CzechAcademyofScience,Zˇitna´ 25,11567Praha1,Czech Republic E-mail address: [email protected] Universit´edeFrancheComt´e,Besanc¸on,16,RoutedeGray,25030Besanc¸onCedex, France E-mail address: [email protected] Charles University, Sokolovska´ 83, 186 75 Praha 8, Czech Republic and Universit´e Bordeaux 1,351cours dela liberation,33405,Talence,France. E-mail address: [email protected]

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