Lecture notes for Discrete mathematics of Paul Erd˝os- NDMI107 Copyright c VaˇsekChv´atal2020
EXTREMAL SET THEORY
1 Sperner’s theorem
The Erd˝os-Radoinvestigations of ∆-systems constitute a part of extremal set theory, which concerns extremal sizes of set families with prescribed properties (such as including only k-point sets and containing no ∆-system of more than m sets). A classic of this theory comes from Emanuel Sperner (1905 – 1980): Theorem 1.1 (Sperner [49]). Let n be a positive integer. If V is an n-point set and E is a family of subsets of V such that
S, T ∈ E,S 6= T ⇒ S 6⊆ T, (1) then n |E| ≤ . (2) bn/2c Furthermore, (2) holds as equality if and only if E consists of all subsets of V that have size bn/2c or all subsets of V that have size dn/2e.
A family E of sets with property (1) is called an antichain. The original proof of Theorem 1.1 involves an intermediate result of independent interest: Lemma 1.1. Let n and k be integers such that 1 < k < n; let V be an n-point set, let F be a nonempty family of k-point subsets of V , and let F (+), F (−) be defined by
F (+) = {T ⊆ V : |T | = k + 1 and S ⊂ T for some S in F}, F (−) = {R ⊆ V : |R| = k − 1 and R ⊂ S for some S in F}.
Then
(i) if k < (n − 1)/2, then |F (+)| > |F|, n (+) (ii) if k = (n − 1)/2 and |F| < k , then |F | > |F|, (iii) if k > (n + 1)/2, then |F (−)| > |F|, n (−) (iv) if k = (n + 1)/2 and |F| < k , then |F | > |F|.
Proof. Let N denote the number of all pairs (S, T ) such that S ∈ F, S ⊂ T ⊆ V , and |T | = k + 1. Each T in F (+) appears in at most k + 1 such pairs, and so
1 N ≤ |F (+)| · (k + 1); each S in F appears in precisely n − k such pairs, and so N = |F| · (n − k); we conclude that
|F (+)| N n − k ≥ ≥ . (3) |F| (k + 1)|F| k + 1
Proof of (i): Under the assumption k < (n − 1)/2, we have (n − k)/(k + 1) > 1 and the conclusion follows from (3). Proof of (ii): Here, (3) is transformed into
|F (+)| N > = 1 : |F| (k + 1)|F| the assumption k = (n − 1)/2 means that (n − k)/(k + 1) = 1 and under the n (+) assumption |F| < k , we will prove that N < |F | · (k + 1). To do this, we will find a T in F (+) with at least one k-point subset outside F. Since |F| > 0, n there is a k-point subset S of V such that S ∈ F; since |F| < k , there is a k-point subset S0 of V such that S0 6∈ F; replacing points in S − S0 by points 0 in S − S one by one, we construct a sequence S0,S1,...,St of k-point subsets 0 Si of V such that S0 = S, St = S , and |Si−1 ∩ Si| = k − 1 for all i = 1, 2, . . . , t. If i is the smallest subscript such that Si 6∈ F, then Si−1 ∈ F and we can take T = Si ∪ Si−1. Proofs of (iii) and (iv): In (i) and (ii), replace F by {V − S : S ∈ F}.
Proof of Theorem 1.1. Let n be a positive integer, let V be an n-point set, and let E be any largest antichain of subsets of V ; write kmin = min{|S| : S ∈ E}, kmax = max{|S| : S ∈ E} and Emin = {S ∈ E : |S| = kmin}, Emax = {S ∈ E : |S| = kmax}. (+) (+) Since E is an antichain, Emin is disjoint from E and (E − Emin) ∪ Emin is an (+) antichain; since E is a largest antichain of subsets of V , it follows that |Emin| ≤ |Emin|; now part (i) of Lemma 1.1 guarantees that (i) kmin ≥ (n − 1)/2 and part (ii) of Lemma 1.1 guarantees that n (ii) if kmin = (n − 1)/2, then |Emin| = (n−1)/2 . Similar arguments show that (iii) kmax ≤ (n + 1)/2 and that n (iv) if kmax = (n + 1)/2, then |Emax| = (n+1)/2 . The conclusion of the theorem follows from (i), (ii), (iii), (iv).
2 1.1 A simple proof of Sperner’s theorem
Independently of each other, Koichi Yamamoto [55], Lev Dmitrievich Meshalkin (1934–2000) [38], and David Lubell [37] found the following inequality: Theorem 1.2 (The LYM inequality). If E is an antichain of subsets of an n-point set, then X 1 n ≤ 1. (4) S∈E |S|
Proof. Let V be an arbitrary but fixed n-point set and let E be an arbitrary but fixed antichain of subsets of V .A chain of length n + 1 is any family S0,S1,...,Sn of subsets of V such that |Si| = i for all i and S0 ⊂ S1 ⊂ ... ⊂ Sn (in particular, S0 = ∅ and Sn = V ). We will count in two different ways the number N of all pairs (C,S) such that C is a chain of length n+1 and S ∈ E ∩C.
For each k-point subset S of V , there are precisely k! choices of a sequence S0, S1,. . . , Sk of subsets of V such that |Si| = i for all i and S0 ⊂ S1 ⊂ ... ⊂ Sk = S; there are precisely (n − k)! choices of a sequence Sk,Sk+1,...,Sn of subsets of V such that |Si| = i for all i and S = Sk ⊂ Sk+1 ⊂ ... ⊂ Sn; it follows that each member S of our E participates in precisely |S|!(n − |S|)! of our pairs (C,S), and so X N = |S|!(n − |S|)! . S∈E Since each chain contains at most one member of any antichain, each C partici- pates in at most one of our pairs (C,S), and so N is at most the number of all chains of length n + 1: N ≤ n! . Comparing the exact formula for N with this upper bound, we get the inequality X |S|!(n − |S|)! ≤ n! , S∈E which is just another way of writing (4).
Let us prove Theorem 1.1 along the lines of Theorem 1.2. The first part of Theorem 1.1 — inequality (2) — is a direct consequence of Theorem 1.2: every antichain E of subsets of an n-point set satisfies n X X bn/2c n X 1 n |E| = 1 ≤ = ≤ . (5) n bn/2c n bn/2c S∈E S∈E |S| S∈E |S| To prove the second part of Theorem 1.1 — characterization of extremal an- tichains — along these lines, consider an arbitrary antichain E of subsets of an n-point set V that satisfies both inequalities in (5) with the sign of equality. n n The first of these equations implies that |S| = bn/2c for all S in E, which
3 means that |S| = n/2 when n is even and |S| = (n ± 1)/2 when n is odd. If n is even, then we are done; if n is odd, then we will argue about the second inequality-turned-equation in (5). This equality means equality in (4); review- ing the proof of Theorem 1.2, we find that • every chain of length n + 1 contains a member of E, and so (since all sets in E have size (n ± 1)/2) • for every two subsets S, T of V such that |S| = (n − 1)/2, |T | = (n + 1)/2, and S ⊂ T , precisely one of S and T belongs to E. It follows at once that • |S| = |S0| = (n − 1)/2, S ∈ E, S0 ⊂ V , |S ∪ S0| = (n + 1)/2 ⇒ S0 ∈ E (consider T = S ∪ S0) and then induction on |S ∪ S0| shows that • |S| = |S0| = (n − 1)/2, S ∈ E, S0 ⊂ V ⇒ S0 ∈ E.
2 The Erd˝os-Ko-Rado theorem
In 1938, Paul Erd˝os, Chao Ko, whose name is also transliterated as Ke Zhao (1910–2002), and Richard Rado proved a theorem that they published twenty- three years later [19, Theorem 1]. Its simplified version presented below is known as the Erd˝os-Ko-Rado theorem.
Theorem 2.1. Let n and k be positive integers such that 2k ≤ n. If V is an n-point set and E is a family of k-point subsets of V such that
S, T ∈ E ⇒ S ∩ T 6= ∅, (6) then n − 1 |E| ≤ . (7) k − 1
A family E of sets with property (6) is called an intersecting family. The original proof of Theorem 2.1 involves an intermediate result of independent interest:
Lemma 2.1. Let V be a set and let E be an intersecting family of subsets of V. Given two elements x, y of V , write
E∗ = {S ∈ E : x ∈ S, y 6∈ S, (S − {x}) ∪ {y} 6∈ E} and define f : E → 2V by
(S − {x}) ∪ {y} if S ∈ E∗, f(S) = S otherwise.
Then {f(S): S ∈ E} is an intersecting family of size |E|.
4 Proof. We will verify that S, T ∈ E ⇒ f(S) ∩ f(T ) 6= ∅ and that S 6= T ⇒ f(S) 6= f(T ). Case 1: S, T ∈ E − E∗. In this case, f(S) = S, f(T ) = T , and so both implications hold trivially. Case 2: S, T ∈ E∗. In this case, we have f(S)∩f(T ) 6= ∅ since y ∈ f(S)∩f(T ). In addition, S = (f(S) − {y}) ∪ {x}, T = (f(T ) − {y}) ∪ {x}, and so f(S) = f(T ) ⇒ S = T . Case 3: S ∈ E∗, T ∈ E − E∗. In this case, f(S) = (S − {x}) ∪ {y} 6∈ E and f(T ) = T ; in particular, f(S) 6= f(T ) since f(S) 6∈ E and f(T ) ∈ E. It remains to prove that f(S) ∩ f(T ) 6= ∅. If y ∈ T , then y ∈ f(S) ∩ f(T ) and we are done; now we may assume that y 6∈ T, and so f(S) ∩ f(T ) = (S − {x}) ∩ T . If x 6∈ T , then f(S) ∩ f(T ) = S ∩ T and we are done again; now we may assume that
x ∈ T.
Since S ∈ E∗, we have x ∈ S and y 6∈ S. Now
f(S) ∩ f(T ) = (S − {x}) ∩ T = S ∩ (T − {x}) = S ∩ ((T − {x}) ∪ {y})
Since x ∈ T , y 6∈ T , and T ∈ E − E∗, we must have (T − {x}) ∪ {y} ∈ E; since E is an intersecting family, we conclude that
f(S) ∩ f(T ) = S ∩ ((T − {x}) ∪ {y}) 6= ∅.
Proof of Theorem 2.1. Let n and k be positive integers such that 2k ≤ n and let E be any intersecting family of k-point subsets of {1, 2, . . . , n}. We will use n−1 induction on n to show that |E| ≤ k−1 . The induction basis, n = 2, is trivial; in the induction step, we assume that n ≥ 3. If k = 1, then we are done at once: E, being an intersecting family of one- point sets, cannot contain two sets. If 2k = n, then we are done again: in this case, E includes at most one set from each pair (S, {1, 2,..., 2k} − S), and so 1 2k 2k−1 |E| ≤ 2 k = k−1 . Now we may assume that k ≥ 2 and 2k ≤ n − 1.
Let us define the weight w(F) of a family F of subsets of {1, 2, . . . , n} as P P S∈F x∈S x. We may assume that among all intersecting families F of k- point subsets of {1, 2, . . . , n} such that |F| = |E|, family E has the smallest
5 weight. This assumption guarantees that
for every two points x, y in {1, 2, . . . , n} such that x > y, we have (8) S ∈ E, x ∈ S, y 6∈ S ⇒ (S − {x}) ∪ {y} ∈ E : since Lemma 2.1 transforms E into an intersecting family of k-point subsets of {1, 2, . . . , n} that has size |E| and weight w(E) − |E∗| · (x − y), minimality of w(E) implies E∗ = ∅. Finally, let us set
Ek = {S ∈ E : n 6∈ S} and Ek−1 = {S − {n} : S ∈ E, n ∈ S}
We will complete the proof by showing that Ek−1 is an intersecting family: this assertion and the induction hypothesis imply that