Definition 12.12.3 (Nuclear Operator).label Let $E, F$ be separated locally convex spaces over $K \in \RC$ and $T \in L(E; F)$, then the following are equivalent:

  1. (1)

    There exists convex and circled sets $U \in \cn_{E}(0)$ and $B \in B(F)$ such that:

    1. (a)

      The auxiliary space $F_{B}$ is a Banach space.

    2. (b)

      $T(U) \subset B$.

    3. (c)

      The induced map $\wh E_{U} \to F_{B}$ is nuclear.


  2. (2)

    There exists an equicontinuous sequence $\seq{\phi_n}\subset E^{*}$, a convex, circled, and bounded subset $B \subset F$, $\seq{y_n}\subset B$, and $\seq{\lambda_n}\subset K$ such that

    1. (a)

      The auxiliary space $F_{B}$ is a Banach space.

    2. (b)

      For each $x \in E$, $Tx = \sum_{n = 1}^{\infty} \lambda_{n} y_{n} \dpn{x, \phi_n}{E}$.

    3. (c)

      $\sum_{n \in \natp}|\lambda_{n}| < \infty$.


If the above holds, then $T$ is nuclear. The set $N(E; F)$ is the space of nuclear operators from $E$ to $F$.

Proof, [Theorem III.7.1, SW99]. (1) $\Rightarrow$ (2): Let $\pi: E \to E_{U}$ be the canonical projection map associated with $E_{U}$ and $\iota: F_{B} \to F$ be the canonical inclusion map associated with $F_{B}$. By assumption (1b), there exists an induced map $\hat T: E_{U} \to F_{B}$ such that the following diagram commutes:

\[\xymatrix{ E \ar@{->}[r]^{T} \ar@{->}[d]_{\pi} & F \\ E_U \ar@{->}[r]_{\hat T} & F_B \ar@{->}[u]_{\iota} }\]

By the linear extension theorem, $E_{U}^{*} = (\wh E_{U})^{*}$. Assume without loss of generality that $E_{U}$ is a Banach space, then (1c) implies that $\hat T \in L(E_{U}; F_{B})$ is a nuclear operator. By Lemma 12.12.2 and Theorem 12.11.3, there exists $\seq{\phi_n}\subset E_{U}^{*}$, $\seq{y_n}\subset F_{B}$, and $\seq{\lambda_n}\subset K$ such that:

  1. (i)

    $\sum_{n \in \natp}|\lambda_{n}| < \infty$.

  2. (ii)

    $\limv{n}\phi_{n} = 0$ and $\limv{n}y_{n} = 0$.

  3. (iii)

    For each $x \in E_{U}$, $\hat Tx = \sum_{n = 1}^{\infty} \lambda_{n} y_{n} \dpn{x, \phi_n}{E_U}$.

By (ii), $\sup_{n \in \natp}\norm{\phi_n}_{E_U^*}< \infty$ and $\sup_{n \in \natp}\norm{y_n}_{F_B}< \infty$, so $\seq{\phi_n}$ is equicontinuous, and there exists $R > 0$ such that $\seq{y_n}\subset RB$. After rescaling, assume without loss of generality that $\seq{y_n}\subset B$. By unraveling the factorisation, (iii) shows that for each $x \in E$,

\[Tx = \sum_{n = 1}^{\infty} \lambda_{n} y_{n} \dpn{x, \phi_n \circ \pi}{E}\]

Therefore the decomposition using $\seq{\phi_n \circ \pi}\subset E^{*}$, $B \subset F$, $\seq{y_n}\subset B$, and $\seq{\lambda_n}\subset K$ given above satisfies (2).

(2) $\Rightarrow$ (1): Since $\seq{\phi_n}$ is equicontinuous, $U = \bigcap_{n \in \natp}\phi_{n}^{-1}(B_{K}(0, 1))$ is a convex and circled neighbourhood of $0$ in $E$.

(1b): Using assumption (2c) and rescaling, assume without loss of generality that $\sum_{n = 1}^{\infty} |\lambda_{n}| < 1$. Let $\rho: F_{B} \to [0, \infty)$ be the gauge of $B$, then for any $x \in U$,

\begin{align*}\rho(Tx)&= \rho\braks{\sum_{n = 1}^\infty \lambda_n y_n \dpn{x, \phi_n}{E}}\le \sum_{n \in \natp}|\lambda_{n}| \cdot \underbrace{|\dpn{x, \phi_n}{E}|}_{\le 1}\cdot \underbrace{\rho(y_n)}_{\le 1}\\&\le \sum_{n \in \natp}|\lambda_{n}| < 1\end{align*}

so $\rho(Tx) < 1$ and $Tx \in B$. Therefore $T(U) \subset B$.

(1c): Let $\pi: E \to E_{U}$ be the canonical projection map associated with $E_{U}$ and $n \in \natp$. By construction, $U \subset \phi_{n}^{-1}(B_{K}(0, 1))$, so there exists $\hat \phi_{n} \in E_{U}^{*}$ such that the following diagram commutes:

\[\xymatrix{ E \ar@{->}[d]_{\pi} \ar@{->}[rd]^{\phi_n} & \\ E_U \ar@{->}[r]_{\hat \phi_n} & K }\]

Thus for each $x \in E$,

\[Tx = \sum_{n = 1}^{\infty} \lambda_{n} y_{n} \dpn{x, \phi_n}{E}= \sum_{n = 1}^{\infty} y_{n} \dpn{\pi(x), \lambda_n \hat \phi_n}{E_U}\]

and the induced map $\hat T: \wh E_{U} \to F_{B}$ takes the form $\hat Tx = \sum_{n = 1}^{\infty} y_{n} \dpn{x, \lambda_n \hat \phi_n}{\wh E_U}$. Finally, for each $n \in \natp$, $U \subset \phi_{n}^{-1}(B_{K}(0, 1))$, and $\normn{\hat \phi_n}_{E_U^*}\le 1$. Similarly, since $y_{n} \in B$, $\norm{y_n}_{F_B}\le 1$ as well. Therefore

\[\normn{\hat T}_{N(\wh E_U; F_B)}\le \sum_{n \in \natp}|\lambda_{n}| \cdot \norm{y_n}_{F_B}\cdot \normn{\hat \phi_n}_{E_U^*}\le \sum_{n \in \natp}|\lambda_{n}| < \infty\]

and $\hat T: \wh E_{U} \to F_{B}$ is nuclear.$\square$

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