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Abstract
In this paper, we fully characterize the duality mapping over the space of matrices that are equipped with Schatten norms. Our approach is based on the analysis of the saturation of the Hölder inequality for Schatten norms. We prove in our main result that, for the duality mapping over the space of real-valued matrices with Schatten-p norm is a continuous and single-valued function and provide an explicit form for its computation. For the special case p = 1, the mapping is set-valued; by adding a rank constraint, we show that it can be reduced to a Borel-measurable single-valued function for which we also provide a closed-form expression.
1. Introduction
In linear algebra and matrix analysis, Schatten norms are a family of spectral matrix norms that are defined via the singular-value decomposition [Citation1]. They have appeared in many applications such as image reconstruction [Citation2, Citation3], image denoising [Citation4], and tensor decomposition [Citation5], to name a few.
Generally, the Schatten-p norm of a matrix is the norm of its singular values [Citation6]. The family contains some well-known matrix norms: The Frobenius and the spectral (operator) norms are special cases in the family, with p = 2 and
respectively. The case p = 1 (trace or nuclear norm) is of particular interest for applications as it can be used to recover low-rank matrices [Citation7]. This is the current paradigm in matrix completion, where the goal is to recover an unknown matrix given some of its entries [Citation8]. Prominent examples of applications that can be reduced to low-rank matrix-recovery problems are phase retrieval [Citation9], sensor-array processing [Citation10], system identification [Citation11], and index coding [Citation12, Citation13].
In addition to their many applications in data science, Schatten norms have been extensively studied from a theoretical point of view. Various inequalities concerning Schatten norms have been proven [Citation14–22]; sharp bounds for commutators in Schatten spaces have been given [Citation23, Citation24]; moreover, facial structure [Citation25], Fréchet differentiablity [Citation26], and various other aspects [Citation27, Citation28] have been studied already.
Our objective in this paper is to investigate the duality mapping in spaces of matrices that are equipped with Schatten norms. The duality mapping is a powerful tool to understand the topological structure of Banach spaces [Citation29, Citation30]. It has been used to derive powerful characterizations of the solution of variational problems in function spaces [Citation31, Citation32] and also to determine generalized linear inverse operators [Citation33]. Here, we prove that the duality mapping over Schatten-p spaces with is a single-valued and continuous function which, in fact, highlights the strict convexity of these spaces. Although the provided characterization is intuitive, we could not find it in the literature and this is, to the best of our knowledge, the first work which provides a direct way of computing this mapping in this case. For the special case p = 1, the mapping is set-valued. However, we prove that, by adding a rank constraint, it reduces to a single-valued Borel-measurable function. In both cases, we also derive closed-form expressions that allow one to compute them explicitly.
The paper is organized as follows: In Section 2, we present relevant mathematical tools and concepts that are used in this paper. We study the duality mapping of Schatten spaces and propose our main result in Section 3. We provide further discussions regarding the introduced mappings in Section 4.
2. Preliminaries
2.1. Dual norms, Hölder inequality, and duality mapping
Let V be a finite-dimensional vector space that is equipped with an inner-product and let
be an arbitrary norm on V. We then denote by X the space V equipped with
Clearly, X is a Banach space, because all finite-dimensional normed spaces are complete. The dual norm of X, denoted by
is defined as
(1)
(1)
for any
Following this definition, one would directly obtain the generic duality bound
(2)
(2)
for any
Saturation of Inequality (Equation2
(2)
(2) ) is the key concept of dual conjugates that is formulated in the following definition.
Definition 1.
Let V be a finite-dimensional vector space and let be a pair of dual norms that are defined over V. The pair
is said to be a
-conjugate, if
For any the set of all elements
such that
forms an
-conjugate is denoted by
We refer to the set-valued mapping
as the duality mapping. If, for all
the set
is a singleton, then we indicate the duality mapping for the X-norm via the single-valued function
with
It is worth mentioning that, for any the set
is nonempty. In fact, the closed ball
is compact and, hence, the function
attains its maximum value at some
Now, following Definition 1, one readily verifies that
is an
-conjugate.
We conclude this part by providing a classical and illustrative example. Let for some
For any
the
-norm of a vector
is defined as
(3)
(3)
It is widely known that the dual norm of is the
-norm, where (p, q) are Hölder conjugates (i.e.,
) [Citation34]. This stems from the Hölder inequality which states that
(4)
(4)
for all
In the sequel, we exclude the trivial cases
and
to avoid unnecessary complexities in our statements.
When Inequality (Equation4
(4)
(4) ) is saturated if and only if
for
and there exists a constant c > 0 such that
where
This ensures that the duality mapping is single-valued and also yields the map
(5)
(5)
For p = 1, one can verify that the equality happens if and only if, for any index with
one has that
(6)
(6)
In other words, the vector should attain its extreme values at places where
has nonzero values, with the sign being determined by the corresponding element in
Due to (Equation6(6)
(6) ), the set
is not necessarily a singleton. However, if we add an additional sparsity constraint, then the mapping becomes single-valued. This leads us to introduce the new notion of sparse duality mapping in Definition 2.
Definition 2.
Let V be a finite-dimensional vector space and let be an integer-valued function that acts as a sparsity measure. Assuming a pair
of dual norms over V, we call the pair
a sparse
-conjugate if
forms an
-conjugate pair. In other words,
The quantity
attains its minimal value over the set
We denote the set of sparse conjugates of by
Whenever
is a singleton for any
we refer to the single-valued function
with
as the sparse duality mapping.
Following Definition 2, if we use the -norm as the sparsity measure, that is
Footnote1, then we have the sparse duality mapping
(7)
(7)
Finally, we mention that, for p = + ∞, the reduced set is not single-valued. Indeed, let us define
We readily deduce from (6) that
if and only if vi = 0 whenever
and
for
with
This shows that
is a convex set with
being its extreme points, where
2.2. Schatten p-norm
It is widely known that any matrix can be decomposed as
(8)
(8)
where
and
are orthogonal matrices and
is an m by n rectangular diagonal matrix with nonnegative real entries
sorted in descending order [Citation35]. In the literature, (8) is known as the singular-value decomposition (SVD) and the entries σi are the singular values of
In general, the SVD of a matrix
is not unique. However, the diagonal matrix
and, consequently, its entries, are fully determined from
In other words, the values of σi are invariant to a specific choice of decomposition. This is why one can refer to the diagonal entries of
as the “singular values” of
When is not full rank, one can obtain a reduced version of (8). Indeed, if we denote the rank of
by r, then we have that
(9)
(9)
where
and
are (sub)-orthogonal matrices such that
and
is a diagonal matrix that contains positive singular values
of
For any the Schatten-p norm of
is defined as
(10)
(10)
We remark that (Equation10(10)
(10) ) defines a family of quasi norms for
In the extreme case p = 0, the Schatten-0 norm actually coincides with the rank of the matrix, i.e.
The Schatten quasi norms have also been studied in the literature from both theoretical and practical point of views (see, [Citation36–39], and references therein).
3. Duality mapping in Schatten spaces
For any the dual of the Schatten-p norm is the Schatten-q norm, where
is such that
[Citation1]. This is due to the generalized version of Hölder’s inequality for Schatten norms, as stated in Proposition 1. While this is a known result (see, for example, [Citation40]), it is also the basis for the present work, which is the reason why we provide a proof in A.
Proposition 1.
For any pair of Hölder conjugates with
and any pair of matrices
, we have that
(11)
(11)
In Proposition 2, we investigate the case where the Hölder inequality is saturated, in the sense that
(12)
(12)
This saturation is central to our work, as it is tightly linked to the notion of duality mapping.
Proposition 2.
Let (p, q) be a pair of Hölder conjugates and let be a pair of nonzero matrices with reduced SVDs of the form
(13)
(13)
If
, then the Hölder inequality is saturated if and only if we have that
(14)
(14) or, equivalently,
(15)
(15)
where
and
and
are the duality mappings for the
and
norms, respectively (see (Equation5
(5)
(5) )).
If p = 1, then a necessary condition for the saturation of the Hölder inequality is that
(16)
(16)
where is the multiplicity of the first singular value of
. Moreover, if we denote the first r1 singular vectors of
in (13) by
and
, then the Hölder inequality is saturated if and only if there exists a symmetric matrix
such that
(17)
(17)
Finally in the rank-equality case , we have saturation if and only if
(18)
(18)
where and the matrices Ur and Vr are defined in (13).
Remark 1.
Note that even though the reduced SVD is not unique (i.e. there are multiple choices for the sub-orthogonal matrices in (Equation13(13)
(13) )), the parametric forms given in Proposition 2 do not depend on a specific decomposition and the results are invariant to any arbitrary choice of these reduced SVDs, primarily due to the “only if” parts of the statements.
The proof of Proposition 2 can be found in B. We observe that, in the case the saturation of Hölder inequality provides a very tight link between the two matrices: If we know one of them, then the other lies in a one-dimensional ray that is parameterized by the constant c > 0. However, in the special case p = 1, the identification is not as simple. There again, for a given matrix
one can fully characterize the set of admissible matrices
However, for the reverse direction, an additional rank-equality constraint is essential to reduce the set of admissible matrices
to just one ray.
Inspired from Proposition 2, we now propose our main result in Theorem 1, where we explicitly characterize the duality mapping for the Schatten p-norms. The proof of Theorem 1 can be found in C.
Theorem 1.
Let be a pair of Hölder conjugates with
and
a matrix whose reduced SVD is specified in (Equation9
(9)
(9) ).
If
, then the single-valued duality mapping
is well-defined and can be expressed as
(19)
(19)
If p = 1 and if we consider the rank function as the sparsity measure in Definition 2, then the sparse duality mapping
is well-defined (singleton) and is given as
(20)
(20)
If p = + ∞, then the set-valued mapping
can be described as
(21)
(21)
where r1 denotes the multiplicity of the first singular value σ1 of and
are singular vectors that correspond to σ1 in (Equation9
(9)
(9) ). Finally, the set of sparse dual conjugates is the collection of rank-1 elements of
which can be characterized as
(22)
(22)
4. Discussion
Theorem 1 provides an interesting characterization of the duality mapping in three scenarios: The first case is which is the most straightforward one. Theorem 1 tells us that the mapping is single-valued and also gives a formula to compute the dual conjugate
of any matrix
We use this result to deduce the continuity of the duality mapping as well as the strict convexity of the Schatten space in this case (see Corollary 1). In the second case, with p = 1, the mapping is not single-valued. However, there is a unique element in the set of dual conjugates with the minimal rank (that is equal to the rank of
) and, hence, we can construct a single-valued sparse duality mapping. Finally, we showed in the third case, characterized by p = + ∞, that neither the set of dual conjugates nor the ones with the minimal rank are unique.
In Corollary 1, we highlight some consequences of Theorem 1 concerning the strict convexity of Schatten spaces and the continuity of the duality mapping.
Corollary 1.
The Banach space of m by n matrices equipped with the Schatten-p norm is strictly convex, if and only if . In this case, the function
is continuous.
Proof.
For we know from Theorem 1 that the duality mapping
is bijective. Moreover, it is known that all finite-dimensional Banach spaces are reflexive. Now, following [Citation41], we deduce the strict convexity of the space of m by n matrices with Schatten-p norm.
For p = 1 and p = + ∞, we can readily verify that
for all
which shows that the Schatten space is not strictly convex for
Finally, the Schatten-p norm is known to be Fréchet differentiable for [Citation26]. Moreover, the duality mapping of any Banach space with Fréchet-differentiable norms is guaranteed to be continuous [Citation42, Citation43]. Combining the two statements, we deduce the continuity of the duality mapping in this case. □
By contrast, the sparse duality mapping is not continuous. This is best explained by providing a counterexample. Specifically, let us consider the sequence of 2 by 2 matrices
It is clear that However, we have that
which shows the discontinuity of
in the space of 2 by 2 matrices. This can be generalized to space of matrices with arbitrary dimensions
Although is not continuous, we now show that it is Borel-measurable and, hence, that it can be approximated with arbitrary precision by a continuous mapping due to Lusin’s theorem [Citation34].
Proposition 3.
For any , the sparse duality mapping
is a Borel-measurable matrix-valued function over the space of m by n matrices.
Before going into the proof of Proposition 3, we present a preliminary result.
Lemma 1.
The set of m by n matrices of rank r is Borel-measurable.
Proof.
First note that
The set is the image of the continuous mapping
and, hence, is Borel-measurable.
Now, denote by the set of matrices with rank no more than r. Using the identity
we deduce that
and, consequently,
are also Borel-measurable sets. □
Proof of Proposition 3.
Consider a Borel-measurable set We show that
is also Borel-measurable. By defining
we can partition
as
Hence, it is sufficient to show that each partition is Borel-measurable.
Define the set as
The set introduces a relation over
whose domain is
In other words, we have that
Since the trace and norm are continuous (and, consequently, Borel-measurable) functions and is a Borel-measurable set (using Lemma 1), we deduce that the relation induced from
is Borel-measurable as well. Finally, we use [Citation44, Proposition 2.1] to show that its domain is Borel-measurable. □
5. Conclusion
In this paper, we studied the duality mapping in finite-dimensional Schatten spaces. Based on a careful investigation of the cases where the Hölder inequality saturates, we provided an explicit form for this mapping when Furthermore, by adding a rank constraint, we proved that the mapping becomes single-valued for the special case p = 1. As for p = + ∞, we showed that the mapping yields a convex set whose elements are explicitly characterized. Finally, we discussed our theorem and studied the continuity of the introduced mappings as well as the strict convexity of the Schatten spaces. A possible future direction of research is to extend the results of this paper to infinite-dimensional Schatten spaces and even, in full generality, to linear operators over Hilbert spaces.
A. Proof of Proposition 1
Proof.
Let us recall the reduced SVD of the matrix as
(23)
(23)
where
and
Similarly, for the matrix
we have that
(24)
(24)
where
and
A direct computation then reveals that
(25)
(25)
By using the weighted Hölder inequality for vectors [Citation45], we obtain for that
(26)
(26)
and for p = 1 that
(27)
(27)
Finally, by invoking Cauchy-Schwartz and the orthonormality of the matrices we deduce for
that
(28)
(28)
For we deduce that
(29)
(29)
The combination of these inequalities completes the proof. □
B. Proof of Proposition 2
Proof.
We separate the two cases and analyze each one independently.
Case 1: We prove (Equation14
(14)
(14) ) and deduce (Equation15
(15)
(15) ) by symmetry. Following the proof of Proposition 2 and considering the reduced SVD of the matrices
and
given in (Equation23
(23)
(23) ) and (Equation24
(24)
(24) ), we immediately see that the inequalities (Equation26
(26)
(26) ), (Equation28
(28)
(28) ), and (Equation29
(29)
(29) ) should all be saturated. The equality condition of the weighted Hölder implies the existence of a positive constant
such that, for all
we have one of the following conditions:
(30)
(30)
(31)
(31)
Moreover, the saturation of (Equation28(28)
(28) ) implies that
(32)
(32)
and also that there exists a positive constant
(positivity follows from (Equation31
(31)
(31) ) and (Equation30
(30)
(30) )) such that
(33)
(33)
However, from the normality of ui and (Equation32(32)
(32) ), we have that
(34)
(34)
which, together with the positivity of βi, leads to the conclusion that
for
Using this, we rewrite (Equation33
(33)
(33) ) in matrix form as
(35)
(35)
Similarly, the saturation of (29) implies that
(36)
(36)
for all
Putting together (Equation32
(32)
(32) ) and (Equation36
(36)
(36) ), we deduce that
and
(37)
(37)
This implies the existence of two orthogonal matrices such that
(38)
(38)
However, replacing (Equation38(38)
(38) ) in (Equation35
(35)
(35) ), we conclude that
(39)
(39)
This implies that the matrix can be represented as
(40)
(40)
where
We now show that
is a diagonal matrix. Indeed, by denoting the (i, j)-th entry of
as
such that
we rewrite (Equation30
(30)
(30) ) and (Equation31
(31)
(31) ) as
(41)
(41)
(42)
(42)
for all
Moreover, by expanding the (i, j)-th entry of the matrix
we have that
where
denotes the Kronecker delta and
is a positive constant. Finally, we obtain the announced expression in (Equation14
(14)
(14) ) by replacing the above characterization of
in (Equation40
(40)
(40) ).
For the converse, we note that, if the matrix is in the form of (Equation14
(14)
(14) ), then we have that
which shows that the equality is indeed saturated in this case.
Case 2: p = 1. In this case, the saturation of the weighted Hölder inequality implies that, for all we have that
(43)
(43)
(44)
(44)
For equality, we also need to have the saturation of (Equation28(28)
(28) ), which we showed to be equivalent to (Equation32
(32)
(32) ) and (Equation35
(35)
(35) ). From (Equation32
(32)
(32) ), we deduce the existence of matrices
such that
(45)
(45)
The replacement of these in (Equation35(35)
(35) ) implies that
(46)
(46)
and, hence, that
Now, one can rewrite the conditions (Equation43
(43)
(43) ) and (Equation44
(44)
(44) ) and deduce that, for any
we have that
(47)
(47)
From Conditions (Equation47(47)
(47) ) and following the definition of r1 (the multiplicity of the largest singular value), we deduce that
(48)
(48)
where
and
Using this form and the definition of
and
(given in the statement of the proposition), we rewrite (Equation45
(45)
(45) ) as
(49)
(49)
Therefore,
(50)
(50)
Hence, is a sub-orthogonal matrix and
The replacement of (Equation49(49)
(49) ) in the reduced SVD of
yields the announced expression with
Based on the definitions of r1, and
we note that one can rewrite the reduced SVD of
as
(51)
(51)
where and
are the remaining singular values and vectors such that
Now, if admits the form (Equation17
(17)
(17) ) and if we consider the SVD of
(the assumption that
is symmetric ensures that is has an orthogonal eigen-decomposition), then
which establishes the sufficiency in this case.
Finally, assuming that we deduce that
is an orthogonal matrix and, hence, that
Now, using (Equation49
(49)
(49) ) and the rank assumption, we can simplify the expansion (Equation51
(51)
(51) ) as
(52)
(52)
C. Proof of Theorem 1
Proof.
Case I: Assume that
forms an (Sp, Sq)-conjugate pair. Hence, we have that
which, together with Proposition 2, implies that
admits the form
Case II: p = 1. Similarly to the previous case, consider and
We have that
(53)
(53)
(54)
(54)
(55)
(55)
From (Equation53(53)
(53) ) and using Proposition 2, we deduce that
which, together with (Equation55
(55)
(55) ), implies that
should be equal to
where the last equality is obtained using (Equation54
(54)
(54) ).
Case III: p = +∞. Following Proposition 2, any matrix can be expressed as
where
is a symmetric matrix. By defining
one readily verifies that
By recalling the normalization constraint
we therefore obtain that
which implies that
To show that
is convex, consider two symmetric matrices
and
in the unit ball of Schatten-1 norm and define
for
On one hand, from the linearity of traces, we have that
On the other hand, from the definition of and
we deduce that
Hence,
However, from the Hölder inequality and the convexity of norms, we have that
This implies that the Hölder inequality is saturated and also that which, altogether, implies that
for all
Finally, we observe that the set contains all matrices of the form
for any vector
with
These are indeed all the rank-1 elements of
which, due to the Definition 2, forms the set of sparse dual conjugates. □
Additional information
Funding
Notes
1 Although this functional does not satisfy the homogeneity property of a norm, it has been widely referred to as the -norm.
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