This was my final paper for 18.099, seminar in discrete analysis, jointly with Sammy Luo and Ryan Alweiss.
We prove that every sufficiently large odd integer can be written as the sum of three primes,
conditioned on a strong form of the prime number theorem.
1. Introduction
In this paper, we prove the following result:
Theorem 1(Vinogradov)
Every sufficiently large odd integer N is the sum of three prime numbers.
In fact, the following result is also true, called the “weak Goldbach conjecture”.
Theorem 2(Weak Goldbach conjecture)
Every odd integer N≥7 is the sum of three prime numbers.
The proof of Vinogradov’s theorem becomes significantly simpler if one assumes
the generalized Riemann hypothesis;
this allows one to use a strong form of the prime number theorem (Theorem 9).
This conditional proof was given by Hardy and Littlewood in the 1923’s.
In 1997, Deshouillers, Effinger,
te Riele and Zinoviev showed that the generalized Riemann hypothesis in fact
also implies the weak Goldbach conjecture by improving the bound to 1020
and then exhausting the remaining cases via a computer search.
As for unconditional proofs, Vinogradov was able to eliminate the dependency on
the generalized Riemann hypothesis in 1937, which is why the Theorem 1 bears his name.
However, Vinogradov’s bound used the ineffective Siegel-Walfisz theorem; his student K.
Borozdin showed that 3315 is large enough.
Over the years the bound was improved,
until recently in 2013 when Harald Helfgott claimed the first unconditional
proof of Theorem 2, see here.
In this exposition we follow Hardy and Littlewood’s approach, i.e.
we prove Theorem 1 assuming the generalized Riemann hypothesis,
following the exposition of Rhee.
An exposition of the unconditional proof by Vinogradov is given by
Rouse.
2. Synopsis
We are going to prove that
a+b+c=N∑Λ(a)Λ(b)Λ(c)≍21N2G(N)(1)
where
G(N):=p∣N∏(1−(p−1)21)p∤N∏(1+(p−1)31)
and Λ is the von Mangoldt function defined as usual.
Then so long as 2∤N, the quantity G(N) will be bounded away from zero;
thus (1) will imply that in fact there are many ways to write N as
the sum of three distinct prime numbers.
The sum (1) is estimated using Fourier analysis. Let us define the following.
Definition 3. Let T=R/Z denote the circle group,
and let e:T→C be the exponential function
θ↦exp(2πiθ).
For α∈T, {α} denotes the minimal distance from α to an integer.
Note that ∣e(θ)−1∣=Θ({θ}).
Definition 4. For α∈T and x>0 we define
S(x,α)=n≤x∑Λ(n)e(nα).
Then we can rewrite (1) using S as a “Fourier coefficient”:
Proposition 5. We have
a+b+c=N∑Λ(a)Λ(b)Λ(c)=∫α∈TS(N,α)3e(−Nα)dα.(2)
Proof: We have
S(N,α)3=a,b,c≤N∑Λ(a)Λ(b)Λ(c)e((a+b+c)α),
so
In order to estimate the integral in Proposition 5,
we divide T into the so-called “major” and “minor” arcs. Roughly,
The “major arcs” are subintervals of T centered at a rational number with small denominator.
The “minor arcs” are the remaining intervals.
These will be made more precise later.
This general method is called the Hardy-Littlewood circle method,
because of the integral over the circle group T.
The rest of the paper is structured as follows.
In Section 3, we define the Dirichlet character and other number-theoretic objects,
and state some estimates for the partial sums of these objects conditioned on the Riemann hypothesis.
These bounds are then used in Section 4 to provide corresponding estimates on S(x,α).
In Section 5 we then define the major and minor arcs rigorously and
use the previous estimates to given an upper bound for the integral over both areas.
Finally, we complete the proof in Section 6.
3. Prime number theorem type bounds
In this section,
we collect the necessary number-theoretic results that we will need.
It is in this section only that we will require the generalized Riemann hypothesis.
As a reminder, the notation f(x)≪g(x), where f is a complex function and g a nonnegative real one,
means f(x)=O(g(x)), a statement about the magnitude of f.
Likewise, f(x)=g(x)+O(h(x)) simply means that for some C,
∣f(x)−g(x)∣≤C∣h(x)∣ for all sufficiently large x.
3.1. Dirichlet characters
In what follows, q denotes a positive integer.
Definition 6. A Dirichlet character modulo qχ is a
homomorphism χ:(Z/q)×→C×.
It is said to be trivial if χ=1; we denote this character by χ0.
By slight abuse of notation, we will also consider χ as a function
Z→C∗ by setting χ(n)=χ(n(modq))
for gcd(n,q)=1 and χ(n)=0 for gcd(n,q)>1.
Remark 7. The Dirichlet characters form a multiplicative group of order ϕ(q) under multiplication,
with inverse given by complex conjugation.
Note that χ(m) is a primitive ϕ(q)-th root of unity for any m∈(Z/q)×,
thus χ takes values in the unit circle.
Moreover, the Dirichlet characters satisfy an orthogonality relation
Experts may recognize that the Dirichlet characters are just the elements of the
Pontryagin dual of (Z/q)×.
In particular, they satisfy an orthogonality relationship
ϕ(q)1χ mod q∑χ(n)χ(a)={10n=a(modq)otherwise(3)
and thus form an orthonormal basis for functions (Z/q)×→C.
3.2. Prime number theorem for arithmetic progressions
Definition 8. The generalized Chebyshev function is defined by
ψ(x,χ)=n≤x∑Λ(n)χ(n).
The Chebyshev function is studied extensively in analytic number theory,
as it is the most convenient way to phrase the major results of analytic number theory.
For example, the prime number theorem is equivalent to the assertion that
ψ(x,χ0)=n≤x∑Λ(n)≍x
where q=1 (thus χ0 is the constant function 1).
Similarly, Dirichlet’s theorem actually asserts that any q≥1,
However, the error term in these estimates is quite poor (more than
x1−ε for every ε).
However, by assuming the Riemann Hypothesis for a certain “L-function” attached to χ,
we can improve the error terms substantially.
Theorem 9(Prime number theorem for arithmetic progressions)
Let χ be a Dirichlet character modulo q,
and assume the Riemann hypothesis for the L-function attached to χ.
If χ is nontrivial, then
ψ(x,χ)≪x(logqx)2.
If χ=χ0 is trivial, then
ψ(x,χ0)=x+O(x(logx)2+logqlogx).
Theorem 9 is the strong estimate that we will require when putting
good estimates on S(x,α),
and is the only place in which the generalized Riemann Hypothesis is actually required.
3.3. Gauss sums
Definition 10. For χ a Dirichlet character modulo q, the Gauss sumτ(χ) is defined by
τ(χ)=a=0∑q−1χ(a)e(a/q).
We finally require Dirichlet approximation theorem in the following form.
Theorem 12(Dirichlet approximation)
Let α∈R be arbitrary, and M a fixed integer.
Then there exists integers a and q=q(α), with 1≤q≤M and gcd(a,q)=1, satisfying
α−qa≤qM1.
4. Bounds on S(x,α)
In this section, we use our number-theoretic results to bound S(x,α).
First, we provide a bound for S(x,α) if α is a rational number with “small” denominator q.
Lemma 13. Let gcd(a,q)=1. Assuming Theorem 9, we have
S(x,a/q)=ϕ(q)μ(q)x+O(qx(logqx)2)
where μ denotes the Möbius function.
Proof: Write the sum as
S(x,a/q)=n≤x∑Λ(n)e(na/q).
First we claim that the terms gcd(n,q)>1 (and Λ(n)=0)
contribute a negligibly small ≪logqlogx. To see this, note that
The number q has ≪logq distinct prime factors, and
If pe∣q, then Λ(p)+⋯+Λ(pe)=elogp=log(pe)<logx.
So consider only terms with gcd(n,q)=1. To bound the sum, notice that
e(n⋅a/q)=b mod q∑e(b/q)⋅1(b≡an)=b mod q∑e(b/q)ϕ(q)1χ mod q∑χ(b)χ(an)
by the orthogonality relations. Now we swap the order of summation to obtain a Gauss sum:
e(n⋅a/q)=ϕ(q)1χ mod q∑χ(an)b mod q∑χ(b)e(b/q)=ϕ(q)1χ mod q∑χ(an)τ(χ).
Thus, we swap the order of summation to obtain that
S(x,α)=n≤xgcd(n,q)=1∑Λ(n)e(n⋅a/q)=ϕ(q)1n≤xgcd(n,q)=1∑χ mod q∑Λ(n)χ(an)τ(χ)=ϕ(q)1χ mod q∑τ(χ)n≤xgcd(n,q)=1∑Λ(n)χ(an)=ϕ(q)1χ mod q∑χ(a)τ(χ)n≤xgcd(n,q)=1∑Λ(n)χ(n)=ϕ(q)1χ mod q∑χ(a)τ(χ)ψ(x,χ)=ϕ(q)1τ(χ0)ψ(x,χ0)+1=χ mod q∑χ(a)τ(χ)ψ(x,χ).
Now applying both parts of Lemma 11 in conjunction with Theorem 9 gives
Thus if α is close to a fraction with small denominator, the value of S(x,α) is bounded above.
We can now combine this with the Dirichlet approximation theorem to obtain the following general result.
Corollary 15. Suppose M=N2/3 and suppose
∣α−a/q∣≤qM1 for some gcd(a,q)=1 with q≤M.
Assuming Theorem 9, we have
S(x,α)≪φ(q)x+x65+ε
for any ε>0.
We’ll write
f(α):=S(N,α)=n≤N∑Λ(n)e(nα)
for brevity in this section.
Recall that we wish to bound the right-hand side of (2) in Proposition 5.
We split [0,1] into two sets, which we call the “major arcs” and the “minor arcs.” To do so,
we use Dirichlet approximation, as hinted at earlier.
In what follows, fix
MK=N2/3=(logN)10.
5.1. Setting up the arcs
Definition 16. For q≤K and gcd(a,q)=1, 1≤a≤q, we define
M(a,q)={α∈T∣α−qa≤M1}.
These will be the major arcs. The union of all major arcs is denoted by M.
The complement is denoted by m.
Equivalently, for any α, consider q=q(α)≤M as in Theorem 12.
Then α∈M if q≤K and α∈m otherwise.
Proposition 17.M is composed
of finitely many disjoint intervals M(a,q) with q≤K.
The complement m is nonempty.
Proof: Note that if q1,q2≤K and a/q1=b/q2 then
q1a−q2b≥q1q21≫qM3. □
In particular both M and m are measurable.
Thus we may split the integral in (2) over M and m.
This integral will have large magnitude on the major arcs, and small magnitude on the minor arcs,
so overall the whole interval [0,1] it will have large magnitude.
5.2. Estimate of the minor arcs
First, we note the well known fact ϕ(q)≫q/logq.
Note also that if q=q(α) as in the last section and α is on a minor arc,
we have q>(logN)10, and thus ϕ(q)≫(logN)9.
As such Corollary 3.3 yields that f(α)≪ϕ(q)N+N.834≪(logN)9N.
using the well known bound ∑n≤NΛ(n)2≪logNN.
This bound of (logN)8N2 will be negligible compared to lower
bounds for the major arcs in the next section.
5.3. Estimate on the major arcs
We show that
∫Mf(α)3e(−Nα)dα≍2N2G(N).
By Proposition 17 we can split the integral over each interval and write