On moments of -functions over Dirichlet characters
Abstract.
We give a new proof of Heath-Brown’s full asymptotic expansion for the second moment of Dirichlet -functions and we obtain a corresponding asymptotic expansion for a twisted first moment of Hecke -functions.
Key words and phrases:
Dirichlet -functions, moments, stationary phase2020 Mathematics Subject Classification:
11M061. Introduction
The Dirichlet -functions are ubiquitous objects in analytic number theory. They arise in the study of primes in arithmetic progressions, class numbers of number fields, and many other problems. For a primitive Dirichlet character of modulus , the associated Dirichlet -function is defined initially for by the absolutely convergent Dirichlet series
and then by analytic continuation to the rest of . The behavior of within the critical strip is the most important and mysterious. An important area of research is to try to understand these -functions at the center of the critical strip by evaluating the moments
for , as . Unfortunately our knowledge of these moments is very limited, with being the largest value for which an asymptotic fornula is known. We specialize to the important case of an odd prime to describe these results. Heath-Brown [4] proved an asymptotic formula for the fourth moment (), as follows:
(1.1) |
Subsequently there was great interest in refining this asymptotic. Young [7] obtained an asymptotic formula which additionally includes all lower order main terms up to a much sharper error term: one that saves a power of over the main term, unlike (1.1) which only saves a power of . This error term was then improved in other works, the best result [1] currently being
for some degree four polynomial and any . For the second moment (, Heath-Brown [3] proved an asymptotic formula with arbitrarily high precision. That is, he obtained all main terms up to an error term that saves as large a power of as desired. Our first contribution is a new proof of this result, using the principle of analytic continuation and stationary phase analysis.
Theorem 1.
[3, cf. Equation (5)] Let be an odd prime. For any integer we have
(1.2) | ||||
(1.3) |
for some constants , where denotes the sum over the even primitive Dirichlet characters, denotes the sum over the odd primitive Dirichlet characters, and is Euler’s constant.
One may also include the trivial character in the first sum – this would contribute .
Our method is robust enough to obtain another, related moment with all main terms. Let a holomorphic Hecke cusp form for with weight and Hecke eigenvalues . For a primitive Dirichlet character mod , let denote the -function of twisted by . For , this is given by
and elsewhere by analytic continuation. The following result does not seem to already be in the literature.
Theorem 2.
Let be a holomorphic Hecke cusp form for with weight . Let be an odd prime. For any integer we have
(1.4) | ||||
for some constants , where where denotes the sum over the even primitive Dirichlet characters, denotes the sum over the odd primitive Dirichlet characters, and denotes the Gauss sum.
2. sketch
In this section, we describe the main ideas of the proof of (1.2) in Theorem 1. Fix an odd prime . Define for the entire function
Our strategy is to derive a broader statement of the form
where is a function that is holomorphic on some open neighborhood of , and then to recover Theorem 1 as the specialization at . To this end we begin by restricting to , an open set positioned far to the right in , as pictured in Figure 1, and calling the restriction . After an application of the functional equation of , we obtain
(2.1) |
Expanding the -functions as absolutely convergent Dirichlet series, opening the Gauss sum, and executing the character sum using character orthogonality shows that essentially equals
where is the divisor function. Writing as a Mellin transform, we recast this sum in terms of the integral
(2.2) |
We then move the line of integration far to the left, picking up residues that contribute to the main terms on the right hand side of (1.2), with the leading main term arising from the double pole of at . However, the shifted integral (now positioned far to the left at for large) does not converge absolutely near , and so we need additional ideas to obtain meromorphic continuation near . Keeping in mind that is far to the left in the shifted integral, we apply the functional equation of to obtain , which we can expand into an absolutely convergent Dirichlet series since is far to the right. Interchanging the order of integration and summation, we get
(2.3) |
Evaluating the inner integral is a purely analytic problem (it’s the inverse Mellin transform of a product of special functions). This may be approached via hypergeometric functions, but we prefer to use Stirling’s estimates and techniques of stationary phase analysis. We find that the integrand has oscillation given by
(2.4) |
for large . There are stationary points at , and at these points the oscillatory factor (2.4) is independent of . It is interesting to note that this step is special to the second moment, for such a simplification does not happen if we were trying to apply our method to evaluate higher moments. It turns out that the leading term of the integral is essentially , which is especially simple, and from this the leading term of the sum (2.3) is
Thus we recover the Riemann Zeta function and we are able to use its meromorphic continuation from to , and in particular evaluate at . The lower order terms arising from the stationary phase analysis are of a similar shape, their values at decreasing by factors of , and thus contribute to the non-leading main terms on the right hand side of (1.2). We denote by the sum of all these terms plus the residues obtained above, and get that .
For the proof of (1.4) in Theorem 2, we observe that the left hand side is the value at of
which is analogous to (2.1). We take the Dirichlet series expansion of for , which is analogous to , except that is replaced with . The proof proceeds as for Theorem 1, except for a few changes. In (2.2), we get the entire function instead of . As a result, when we shift contours to the left, there is no pole at , unlike the case was for , and therefore the leading main term present in (1.2) does not arise. When the functional equation is applied to , we obtain the ratio of Gamma functions instead of what is seen in (2.3). However, the oscillatory behavior (2.4) remains the same after Stirling’s estimates are applied. In the end, we do not get main terms of size and in (1.4), and we have the main term instead of the term that is present in (1.2).
3. Preliminaries
We recall here fundamental facts about Dirichlet characters, Dirichlet -functions, and the Mellin transform. Throughout, is an odd prime. Recall that a Dirichlet character of modulus satisfies , and it is called even if and odd otherwise. Since is prime, is primitive if and only if is not the principal character (which satisfies for all coprime to ). We write for the additive character .
Lemma 3 (Functional equation).
Let be an even primitive Dirichlet character of modulus . Then for all we have
where denotes the Gauss sum.
Lemma 4 (An orthogonality relation).
Suppose . Then
Proof.
The Dirichlet characters of modulus satisfy the following orthogonality property:
The result then follows from the equation
where the term serves to subtract the contribution of the trivial character and the factor serves to pick out the condition for the primitive characters. ∎
Corollary 5.
Suppose . Then
Proof.
We separate out the first and last () terms of the -sum, so
where the second equality follows from the fact that . Now we see that each sum in the last line corresponds to exactly one of the cases in the previous lemma, so executing the character sums yields
and we note that
Lemma 6 (Mellin inversion).
[5, Chapter III, Theorem 2] Suppose that is continuous and the integral
is absolutely convergent for . Then
for .
Lemma 7 (An integral representation).
Let . For , we have
(3.1) |
Further, this representation is absolutely convergent if .
Proof.
Let and define
for . This is well defined because we have for and for , so that converges absolutely for and converges conditionally for . We claim moreover that is holomorphic for . For , we can differentiate under the integral sign by absolute convergence. For , we have that equals the sum of a holomorphic function and . But by integration by parts,
which is absolutely convergent, and hence differentiable.
Lemma 8 (A residue calculation).
Define
for such that . Then has simple poles at for , and a double pole at . The residues at these poles are
and
(3.4) |
These residues are meromorphic functions of which are analytic at .
Proof.
The assumption that ensures that the poles under discussion do not coincide. Recall that has simple poles at the non-positive integers, but vanishes at the negative odd integers, so only has simple poles at the non-positive even integers . We have the Laurent expansion
about , from which we get that
for any function that is holomorphic in a neighborhood of . This leads to the calculation of .
Recall that has a double pole at , and as . We have the Laurent expansion
about , where is Euler’s constant. From this we have that if is holomorphic in a neighborhood of , then
This leads to the calculation of . ∎
For future reference, using the values , we note that
(3.5) |
Lemma 9 (The convexity bound for the Riemann Zeta function).
Lemma 10 (Stirling’s expansion).
Let be a fixed compact set. For and with , we have
(3.6) |
for any , where and are holomorphic functions of that depend on such that is a polynomial in of degree at most ,
(3.7) |
(3.8) |
Proof.
Throughout the proof, will denote a natural number, and will denote functions as described in the lemma, but all of these quantities may not be the same from one occurrence to the next, and will denote some constants. By [2, equation 8.344], we have
(3.9) |
Although [2, equation 8.344] just gives a bound for , we can infer that it is holomorphic for since every other term in (3.9) is. Using Taylor’s theorem, we write
and
Plugging back into (3.9), the term cancels with , and we get
Taking the exponential of both sides we get
Next we take a Taylor polynomials for to get
(3.10) | ||||
To obtain (3.6), we write
(3.11) |
and then multiply with (3.10). ∎
4. Obtaining the leading main term in Theorem 1
We focus on (1.2). Fix any constant satisfying . This parameter determines the length of our asymptotic expansion: we will see that the larger is, the more terms we may take on the right hand side of (1.2). Define the sets
Define for and an odd prime ,
where the sum is taken over the even primitive Dirichlet characters of modulus . Let denote the restriction of to the set . By the functional equation given in Lemma 3, we have that
Now, since in we have , the Dirichlet series representation of is absolutely convergent, and hence it follows that
The last equality follows by the total multiplicativity of the Dirichlet characters and the fact that if . For , we write the Gauss sum as
and then apply Corollary 5 to get
The sum may be extended to all natural numbers as follows:
where we wrote to get the last expression. By the following multiplicative property of the divisor function (which is also satisfied by ),
and the fact that , we get
(4.1) | ||||
Inserting the integral representation of given in Lemma 7, we have
The integral converges absolutely:
(4.2) |
and for , so we can interchange summation and integration to get
(4.3) | ||||
Moving the line of integration to , we pick up the residues calculated in Lemma 8, and get
where denotes the greatest integer less than or equal to , and
Note that this integral converges absolutely, since by Lemma 9 we have
for with .
Retracing our steps and inserting the final expressions for back into , we obtain the formula
(4.4) |
From this expression, it follows that
continues to a meromorphic function on , with value at equal to
(4.5) |
using (3.5). We see here the claimed main terms of Theorem 1, while the rest of the right hand side above is and contributes to the lower order main terms in Theorem 1. However, it still remains to study the shifted integral .
We will show in the next section that as a function of , continues to a meromorphic function on , with value at contributing additional lower order main terms of size .
To frame this in terms of the strategy laid out in the sketch, we let denote meromorphic continuation of to . Then
is meromorphic for , with on . Since also on , we get that on by the principle of analytic continuation.
The sum over the odd characters. Before moving on we note that we would follow similar calculations for (1.3). A couple of important differences would be as follows. Our main object of study would be
instead of as we saw in (4.1). We would use the Mellin inverse transform
(4.6) |
for instead of (3.1). Note that unlike (3.1), there is no additional term here. Consequently, the analogue of (4.3) would not have a term. For (1.2), this is the source of the main term , as we saw in (4.5). For (1.3), the main term must then have a different source, which turns out to be the analogue of . We will explain this in the next section. Using the inverse Mellin transform (4.6), the integral to study would be
instead of the integral in (4.3). Moving the line of integration to the left, the residue at would be
instead of (3.4). Evaluating at yields the leading main term in (1.3) and explains the term there instead of as in (1.2).
5. The shifted integral
The goal of this section is to show that
Lemma 11.
There exists a meromorphic function defined for such that for . At , we have
(5.1) |
for any integer and some constants .
Proof.
Let . Applying the reflection formula for and the functional equation for , we get
Since , we can expand
into an absolutely convergent sum. Exchanging the order of summation and integration, we get
where
The idea now is to understand the oscillatory and stationary behavior of the integrand, and use that information to determine the integral. Such stationary phase analysis can be found in the literature to determine the integral up to a suitable error term. However we cannot simply quote the literature because we need to first establish meromorphic continuation to a neighborhood of , after which we are permitted to determine the value at up to a suitable error term. Therefore, we proceed by revisiting the steps of stationary phase analysis, being careful to obtain meromorphic continuation.
We study the integral over finite dyadic intervals, as follows. Note that for each , the union
forms an open cover of . Thus there exists a partition of unity of by a collection of smooth functions of the form , where assumes one of the values below, and is supported on
(5.2) | ||||
with for any . Then we have that
where
We first consider the contribution of to . The integral is of bounded length, the integrand is holomorphic for , and the sum is absolutely bounded for . Thus analytically continues to , with
Now we restrict to the case (so that ). We apply Lemma 10 with for and , which is permissible since , , and . These conditions hold for in the wider set too. Thus we get
where
and and are holomorphic functions of such that
and
(5.3) |
and
First, we address the contribution of to . This equals
(5.4) |
which is bounded for by the absolutely convergent sum
Thus (5.4) has analytic continuation to with value at bounded by .
It remains to consider
where we define
(5.5) |
The last equality follows by the substitution . We now assume that is supported on the positive real axis because the negative case is treated similarly. Thus is supported on .
Case I. . In this case we have or by definition (5.2). So
for and
We can write
and then repeatedly integrate by parts to get
and so on, with each of these successive integrals an entire function of . In this way we see that for , we have
for any . This ensures the absolute convergence of the sum
for and therefore its analytic continuation to with value at bounded by .
Case II. . By construction (5.2), we are considering the unique function in this partition which contains a neighborhood of in its support. We have, using definition (5.5),
where
We have
Note that (so that is a stationary point). Taking a Taylor series expansion about , we get
for , so that
This uses the nice simplification .
We will evaluate by stationary phase analysis. As is the usual technique, we first isolate further. Let be a smooth function such that
We split up the integral as , where
Thus the integrand in is supported very close to while the integrand in is supported some distance away from .
Repeatedly integrating by parts in , we get
and so on, with each of these successive integrals an entire function of . Since in the support of , and for , we see that for , after integrating by parts times we have
where the last bound follows by taking . This ensures the absolute convergence of the sum above and therefore its analytic continuation to with value at bounded by .
It remains to consider , which we write as
(5.6) |
where
(5.7) |
Let
denote the Fourier transform of . Integrating by parts times, we have for and ,
(5.8) |
This uses for and in the support of . For , we have the trivial bound . Also note that (for ) and (for ) are entire functions of . By Fourier inversion, we have
where the last line uses the upper bound for given in (5.8). We can exchange the order of integration to get
where inner integral was extended to infinity because for ,
by completing the square, and this equals
by integrating by parts. Now,
by evaluating the Gaussian -integral using [2, equations 17.23.16, 17.23.17] and then extending the -integral to infinity using (5.8). Writing
we have
(5.9) |
where we used (5.8) for the last integral. All the integrals on the right hand side of (5.9) are absolutely convergent, so they are entire functions of . For the second and third integrals, by Taylor’s theorem applied to the function , we have the following bounds for :
(5.10) | ||||
where we used (5.8) with . Plugging back (5.9) into (5.6), we get that
(5.11) | ||||
In light of the bounds (5.10), the second and third sums on the right hand side of (5.11) analytically continue to , with value at being bounded by .
It remains to obtain the meromorphic continuation from to of
(5.12) |
where
By Fourier inversion, we have
Thus keeping in mind definition (5.7), we have
where is entire in and polynomial in , and the degree of this polynomial is for . For , we note that . Summing over , we get that (5.12) equals
This expression continues to a meromorphic function on (because the Riemann Zeta function does) and we have that its value at equals, using (5.3),
(5.13) |
for some constants and any , by taking large enough.
Recall that for this calculation, we have been assuming that is supported on the positive real axis. In the case that the support of is on the negative real axis, there is a stationary point at , and we instead obtain the expression
(5.14) |
for some constants . Adding together (5.13) and (5.14), we get (5.1). ∎
The sum over the odd characters. The treatment of the integral
(5.15) |
required to obtain (1.3), follows similar calculations, but we highlight some important differences with the treatment of the integral . Instead of (3.11), we have
Thus the leading terms in Stirling’s estimates for and differ only by a factor of , and this extra factor is carried through the entire calculation. In the end we get that the value at of the leading term in the meromorphic continuation of the integral (5.15) equals
(5.16) |
which accounts for the main term in (1.3). We give a few words of explanation for (5.16). In the first term of (5.16), the factor corresponds to (5.13), which arises from the stationary point at , and hence this term is also multiplied by the factor . In the second term of (5.16), the factor corresponds to (5.14), which arises from the stationary point at , and hence this term is also multiplied by the factor .
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