2 Proofs of Results
We will start by giving an overview of the proof of Theorem . Let be the size of the ground set. The idea of the proof is that we will first reduce the ground set to size close to . To reduce the size of the ground set we first show that it cannot be ”too big” and then we remove points belonging to few sets. If is not close to then after removing points belonging to few sets we get a set of size none of whose elements belong to too few of the remaining sets. Then we show that most subsets of are indeed unions. We can show that is close to . Then unless is close to starting with we can add elements from the ground set one by one making many more unions. This will give more unions than the lower bound we are trying to prove. For the close to case, similar to above removing elements belonging to few sets we get a set such that nearly all subsets of are unions, but this time we will have . We will get too many unions unless we have both and being the whole ground set which is then the case.
We will first prove a few lemmas. For the following lemmas and the proof of Theorem 1 we will always use the notation that where are integers such that and that is our family of -sets. We will also define . We may view as the ”ground set”.
The following lemma will be used to show that the ground set size cannot be too big.
Lemma 3.
If and then .
Proof. We will prove a more general statement. Suppose that and are subsets of such that for all . Let and suppose . Finally let
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We will show that . We will prove that there is some such that and for any non-empty there is some such that . This will prove the above statement and hence the lemma. To show this we will induct on .
For it is trivial as we may choose any and set .
Suppose it is true for some . Now consider the sets and . For every we define . Pick an with the smallest . Now without loss of generality . Let . We have . Now consider the collection of sets
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Suppose that . We cannot have since but so there must be some . But then so . Therefore
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Now by induction there is some of size such that for every non-empty there is some which is a union of some sets in such that . In other words the projection of a union-closed family containing onto contains all non-empty subsets of . From the definition of this means that there is some such that and . Now consider all possible unions of sets in the family
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and let . We get that the projection of onto contains all non-empty subsets of and . This completes the induction step and the proof. ∎
We can see that and so if then by Lemma 3 we must have . This is good as we have restricted the ground set which will make it easier to work with. The next step is showing that we can essentially remove all elements in the ground set that are in too few sets. For any define .
Also let
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In other words is the set of all subsets of of size at least for whom is one of the reasons that they are not in .
The following lemma will be used to show that after removing elements in too few sets, most subsets of the remaining elements are in fact in .
Lemma 4.
Suppose that and such that . Then we must have
Proof. Consider the family . We have that . We may assume that for some . Now we have . Notice that consists of all subsets of containing that do not have a subset in . For we define the upper shadow of a family to be
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Also define where is applied times (). For define the lex order to be the order in which if . Now let be the initial segment of lex on of size . For we define the lower shadow of a family to be
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Consider the map given by . If is given by then is a bijection that takes any initial segment of lex into a corresponding initial segment of colex. For any we have . Applying the Kruskal-Katona theorem (Kruskal [5], Katona [4] and see Bollobás [1]) we see that and hence .
Note that the upper shadow of an initial segment of lex is an initial segment of lex. We can now show by induction that for any we have that . We have by above that this is true for . If it is true for then if is the initial segment of lex of length on then we know that . Also since the upper shadow of an initial segment of lex is an initial segment of lex we have that is an initial segment of lex on and hence . Now applying the Kruskal-Katona theorem
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So by induction for all . Now if we define the total upper shadow of a family
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then by above . Notice also that . Since we want an upper bound on we just need to show that contains almost all sets in .
We know that in the number of -sets containing a fixed element is . We also know that So the number of -sets containing at least one element from is at most which also means that . Note that in lex these sets are all before sets not containing any elements in . so we must have that contains all sets with at least one element from which means that the complement of in is a subset of . So we have
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∎
The following will be a useful fact about getting many new unions.
Lemma 5.
Suppose that is a family of sets and is a set such that . Then .
Proof. Suppose that . If two sets in have then and can only differ on which is a fixed set of size at most . So at most different sets in can give the same union with . This means that
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However, no set containing is in so we get the desired result. ∎
We now come to the heart of the proof.
Lemma 6.
For any real there is a large enough constant , depending only on and , such that if and then and equality holds if and only if where is a set with .
Proof. Given suppose that and where will be chosen later. Starting with and all of the we remove elements from one by one (and hence removing any of the containing those elements) if they are in less than of the remaining sets until we get a which satisfies that no is in less than of the remaining sets. Notice that if then at some point in our process we were left with such that . We can see that at that point we have removed at most elements. This means that we have not removed that many sets either. In fact we have removed at most sets. We will make sure that to have that , and . Now we just need to make sure that
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which is possible as so we ensure that . Now the number of sets removed when we are left with is at most
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This means that for large enough we could have only removed less than sets and hence when we get we still have more than sets remaining. This is a contradiction as and hence we have that . Now we will show that if is large enough we can make sure that the vast majority of subsets of are indeed in . Define for any
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From the proof of Lemma 4, we can see that the lemma is true for any , not just . We will apply Lemma 4
on and the remaining sets when we are left with . For large enough we have so if we define we have for all . Now by Lemma 4
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Now since every set in that is not in must be in some we have by the union bound
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(1) |
Since we have for because . Since exponential beats polynomial, for large enough we have . We will take a large enough to have that .
Now if by we have
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so we are done and if then so again by
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and we are also done. So we may assume that and that . Similar to when we considered we have now removed at most sets and since we know that at most sets in are not in so for any we have
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for large enough . Now by Lemma 4 on we have that
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for large enough since for large enough . Now we have that
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From before we have and thus
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Now if there is some so by Lemma 5
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and we are done. If we must indeed have that and so . By the above we only have equality when for some set where . This proves the lemma. ∎
We now prove our main result. All we need to do is reduce the ground set size enough to apply Lemma . To do this we will apply Lemmas and .
Proof of Theorem 1. We will show that there is a such that if we have . If then by Lemma 3 we have so we may assume that . Now let . Keep removing elements from one by one (and all of the sets containing them) until no element that is left is in less than of the remaining sets. Suppose that is the set of the remaining elements. We have removed at most sets. Since for all we have that
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We will make sure . Now let . Then we have removed at most sets. But we have also removed at least sets. If then
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Since exponential beats polynomial take large enough so that
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Then if then we have removed at least
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sets which is impossible. So we must have and in fact if then we must have . We will first show that most subsets of are actually in .
Notice that if then . This means we can apply Lemma 4 to . Define as in Lemma 6. We obtain that for all we have
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This means that
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If and then if and only if there is some such that . This means that
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(2) |
We can easily bound the sum of the binomials since if then we have so just like in the proof of Lemma 6 we will take large enough so that since exponential beats polynomial. Now from (2) we have that . We will now show that there is a constant dependent on such that if then we must have . Let and . First of if then we are done so suppose that . We will now show that we can get a lot more unions by adding sets with new elements. If we can pick some and a set containing then notice that by taking and we see that by Lemma 5
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This is useful, because we have multiplied the total number of unions by a constant bigger than but dependent on and we have added at most new elements. We may keep on going as long as there are new elements and construct and with and for and . This means that if there are too many elements in we will get that the total number of unions is too big. First of notice that . Now suppose that
. This means that we can repeat the above process of adding a set and less than new elements at least times so we have that
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This means that there are constants and dependent only on such that if and we have that . If then since depends only on using Lemma 6 we get that there is a dependent only on such that if and we have the desired result. Taking proves the theorem. ∎
In the rest of this section we will prove Theorem 2 which solves the case completely. We will show that if and is the smallest positive integer such that then . We note that .
Proof of Theorem 2. As above and let be the graph with edge set and vertex set . Suppose that . Let be such that . We see that . Notice that so . For any vertex let be the degree of in . By considering all edges with we can make at least distinct unions. Thus we know that the maximal degree is bounded by . We also may assume that since if there are some such that the distance between them is then we may replace the family with the family obtained from those sets by identifying and . This will keep the size of the family to be and will not increase as it will just identify in all of the unions. Denote by the set containing and all elements adjacent to in . We prove the following claim.
Claim. For every we have .
Proof of Claim. Suppose . Since for every there is a such that . This means if we consider the family
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then we have that each singleton subset of is in . But is closed under unions and also has size at most meaning that which proves the claim. ∎
With the bound on this gives . We will show that must be small. Just like in the proof of Theorem 1 instead of counting how many sets are in we will instead count how many are in . Observe that if and then for some for all we have . So for each set in there is some element which prevents it from being in . Similar to our above definition of let
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Denote by the degree of in . We have and by the above claim for any . Note that so we have the bound
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(3) |
We also know that . If then clearly . Now consider variables for . If there are distinct such that then by above replacing with increases . So the biggest the sum could be subject to the constraints
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(4) |
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(5) |
is if all except at most one of the are either or . Let with non-negative integers and . Since the satisfy constraints (4) and (5) we must have .
By (3) this means that
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(6) |
Note that thus
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(7) |
We now want to bound in terms of and . We know that
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We can also get a lower bound on since
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Now rearranging the terms in (7) and using the lower bound on we obtain
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Now let . From the upper bound on and the previous inequality we obtain
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so we have . Note that for this does not hold and by induction if then so we must have .
Now suppose that . Then . Since we have that so either or which means that . If then so in any case Now from (6) we have . So we have
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which is a contradiction.
Since we must have . We may assume that . We now have that is minimized exactly when is maximized. Now let . We know that but if we look at we see that at least sets appear in two of the . This is because all sets corresponding to the edges in appear in two of the . This means that
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(8) |
We consider the sum over all possible with edges. Without loss of generality we may assume that . Now suppose that some edge in is not incident with . Removing this edge we decrease by at most (since two of the decrease by 1. Now we can add an edge incident to (that is not already present) because . This increases by at least . So overall we have strictly increased . This means that any which maximizes has all edges incident to the highest degree vertex so it is a star. In this case .
So we have that
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Now we have that
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Notice that a set is not in if and only if or where . This means that . Thus . This completes the proof. ∎
We have now shown that
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Which families are extremal? If we have then by above we must have and we must maximize the sum in (8) so must be a star which means that this is the only case up to isomorphism when we have equality. Therefore the extremal families are only those isomorphic to .
3 Related results
A conjecture of Roberts [7] asserts that Theorem 1 should be true for all , not just for large.
Conjecture 7.
(Roberts [7])
Let where . Let and let be a family of distinct -sets. Then
In a different direction, what happens for values between the binomial coefficients? Suppose that . It is natural to assume that to minimize over all families of distinct -sets we can pick a family on the ground set that contains and some sets containing . We can see that our proof of Theorem 1 will give that if is minimized then the size of the ground set must be close to if is sufficiently large. We can also see that for most values of we can apply the idea of Lemma 6 as well to show that the ground set must have size . With these ideas in mind we are able to solve a few special cases when is very close to . If where then for sufficiently large (even larger than we needed for ) following the same reasoning as before if then we may assume that .
Now we will show that is minimized when where is the initial segment of colex on of length and . First notice that the only sets in that are not in of size at least must have size exactly . We then show the following proposition.
Proposition 8.
Let be a positive integer and be a family of -sets where . Let be the number of -sets with the property that at least of their -subsets are in . Then .
Proof. Let be the -sets counted in . Then if then and have at most one subset of size in common. Let . The number of pairs such that must be at least by counting for each . On the other hand for any there is at most one such that both and are counted. So is counted times where is the number of pairs such that and we have . Since by taking the sum over the total number of pairs counted is at most . This gives that
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as required. ∎
Going back to our problem notice that since is with sets taken away we have that every set of size at least in is in except those -sets that have at least of its -subsets removed. By the above proposition the number of those -sets is at most the largest such that . Notice that when we have removed exactly the sets of from then that removes exactly sets of size from . This means that it is indeed optimal to take for sufficiently large .
What about the case when ? In this case we can show that if is fixed then there is a large enough depending on both such that is minimized when
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where . Suppose that . As before using Lemma 3 to get a bound on the ground set and then using the ideas in Lemma 6 and the proof of Theorem 1 we may assume that contains sets in . Now suppose that are all of the sets in that are not in . Trivially . Further we let and . Notice that if we have a set that contains one of the then there is a set such that but . This gives a lot of sets in in addition to those that are in .
Let be the proportion of sets in that are in the total upper shadow of an initial segment of lex of length on . Notice that (for sufficiently large) if then is actually the proportion of sets in that are in the total upper shadow of that same initial segment of lex because that segment is inside . The same is true if . Crucially and depend only on and notice that . We see that if we have that
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(9) |
for large . Notice that the total upper shadow of contains at least sets in where it is exactly if and only if and for all . If there are at least sets then applying the Kruskal-Katona theorem similar to the proof of Lemma 4 the total upper shadow of in has size at least . For large enough we can guarantee that . This gives that there are at least sets in that are not subsets of . Finally from (9) we have that
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which is a contradiction.
Thus we must have that and for all . Now let be the element in . This means that . Now we know that each set in the total upper shadow of gives rise to at least set in that is not contained in . So
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where is the total upper shadow of in . If and we get that . This means that for sufficiently large which is what we wanted to show. Notice that also if some then gives rise to both in so we have which is a contradiction. Thus we must have all to be the same.
We have therefore found extremal families for some that are very close to but we need to be large enough. Still, we do not know for most values in between the binomial coefficients or for small values of .
We will finish with a conjecture for the general result for all . Colex is not the right order. As noted by Leck, Roberts and Simpson [6] if we consider
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and let be the initial segment of colex on of length . Then , but . If then as mentioned before for most if then the ground set of has size so we may assume that . If we further assume that then the we have where is as above and . As before this is minimized when is the initial segment of lex on . So something like ”colex but lex inside a given maximal element” could be the correct order. Such a mixed ordering has occurred in other problems as well (see Engel and Leck [3] and also Duffus, Howard and Leader [2]). We will define the max-lex order on to be the order in which if either or else and . The following lovely conjecture of Roberts [7] includes Conjecture 7 – we strongly believe it is true.
Conjecture 9.
(Roberts [7])
Let and . If is the initial segment of max-lex on of size then