Non-Spectrality of Certain Self-Affine Measures on the Generalized Spatial Sierpinski Gasket ()
1. Introduction
Let
be an expanding integer matrix (that is, all the eigenvalues
) and
be a finite subset of cardinality
. The unique probability measure
satisfying the self-affine identity
(1.1)
with equal weight, where
forms an affine iterated function system (IFS)
.
is also called invariant measure or self-similar measure. Such μ is supported on an invariant set
(see [1]), which is a unique nonempty compact set satisfying
If there exists a set
such that
forms an orthogonal basis (Fourier basis) for the Hilbert space
, we call
a spectral measure. The set Λ is then called a spectrum for
and the pair
is called a spectrum pair. The study of spectral measures dates back to the work of Fuglede [2], whose famous spectral-tiling conjecture relation is difficult to establish in most cases. The research on the spectrality or non-spectrality of
become a hot topic, which has its origin in number theory, harmonic analysis, fractal geometry and dynamical systems [3]-[6].
Jorgensen and Pedersen found the first non-atomic, singular continuous spectral measure, which showed that the Fourier transform theory can be applied to certain classes of fractals [3] [7]. In all these studies, the Fourier transform
of
plays an important role. From (1.1),
is given by
where
denotes the transposed conjugate of M and
denotes the symbol function of D. It is known that there are several methods to deal with the spectrality of self-affine measure (see [8]-[11] and references cited therein). Compared with spectral self-affine measures, there are a lot of non-spectral self-affine measures.
Usually, the orthogonal exponentials in
is called
-orthogonal exponentials. Generally, the non-spectral problem can be divided into the following two classes.
Class (I): There are at most a finite number of orthogonal exponentials in
(but the supremum of these finite numbers may be infinite, see [12] [13] and references cited therein), that is,
-orthogonal exponentials contain at most finite elements. The main questions here are to estimate the number of orthogonal exponentials in
and to find them (see [14] [15]).
Class (II): There are natural infinite families of orthogonal exponentials in
, but none of them forms an orthogonal basis in
. The main question here is whether some of these families can be combined to form larger collections of orthogonal exponentials (see [16]-[18]).
For the generalized spatial Sierpinski gasket corresponding to
(1.2)
where
and
. The previous results on the non-spectrality of self-affine measures can be summarized as the following.
Theorem 1.1. For self-affine measure
given by (1.2) and
, the following spectrality and non-spectrality hold (see [12] [19]-[22]):
1) If
, then
is a non-spectral measure, and there exist at most 4 mutually orthogonal exponential functions in
, and the number 4 is the best;
2) If
and
, then there exist at most 4 mutually orthogonal exponential functions in
, and the number 4 is the best;
3) If
and
, then there exist at most 8 mutually orthogonal exponential functions in
, where the number 8 is the best possible;
4) If
and
, then for any
, there exist
mutually orthogonal exponential functions in
.
Theorem 1.2. [23] Let
corresponding to (1.2), if
and
(1.3)
for some
and
, then
is a non-spectral measure, and there exist at most 4 mutually orthogonal exponential functions in
, where the number 4 is the best.
Theorem 1.3. [24] Let
corresponding to (1.2) and
, if
(1.4)
then
is a non-spectral measure, and there exist at most 4 mutually orthogonal exponential functions in
, where the number 4 is the best.
Theorem 1.4. [25] Let
corresponding to (1.2) and
,
, if
(1.5)
then
is a non-spectral measure, and there exist at most 4 mutually orthogonal exponential functions in
, where the number 4 is the best.
In the case
, one can rewrite (1.3) as follows
(1.6)
From Theorem 1.2, we know that
is a non-spectral measure in the case (1.6), and there exist at most 4 mutually orthogonal exponential functions in
, where the number 4 is the best. In Theorem 1.3, Yuan is given the exact number of
-orthogonal exponentials in the case (1.5). This naturally leads to an open problem: How about the spectrality or non-spectrality of
in the case
(1.7)
Motivated by this, in the present paper, we resolve the above question in some cases. The main result of the paper is the following.
Theorem 1.5. Let the self-affine measure
corresponding to (1.2) (1.7) and
, if
(1.8)
where
, then
is a non-spectral measure, there are at most 4-element
-orthogonal exponentials, where the number 4 is the best.
2. The Zero Set
of
For the given digit set D in (1.2), it is known [19] that the zero set
where
Then the zero set of Fourier transform
can be presented as
(2.1)
where
(2.2)
(2.3)
(2.4)
and
Combined with (1.7) and (1.8), one can verify the following propositions hold.
Proposition 2.1. The sets
given by (2.2), (2.3) and (2.4) hold the following statements:
(i)
if and only if
,
;
(ii)
;
(ii) If
, then
;
(iv) If
, then
;
(v) If
, then
.
Proposition 2.2. Let
. Then the following statements hold:
(a) If
, then
and
;
(b) If
, then
and
;
(c) If
, then
and
;
(d) If
and
, then
; if
and
, then
;
(e) If
and
, then
;
(f) If
and
, then
.
3. Proof of Theorem 1.5
Assume that if
are such that the five functions
are mutually orthogonal in
, then
Equivalently, the following 10 differences
belong to
. In particular, we have
(3.1)
For convenience, define
From Proposition 2.1 and 2.2, one can obtain the following claims.
Claim 3.1. The set
(or
or
) can not contain three differences of the form
, where
are three different numbers.
In fact, if
(3.2)
then
(by Proposition 2.2 (a)). If
, then (by Proposition 2.1 (iv)),
and
, a contradiction. The same reason illustrates that
can not in the set
simultaneously. Without loss of generality, we may assume that
. By Proposition 2.1 (iv), Proposition 2.2 (a) and (3.2), we have
and
, then
, a contradiction (by Proposition 2.2 (f)). Hence, the set
can not contain three differences of the form
. If
(3.3)
then
(by Proposition 2.2 (b)). If
, then (by Proposition 2.1 (iii))
a contradiction of Proposition 2.1 (iii). If
, then
and
(by Proposition 2.1 (v)), a contradiction. Without loss of generality, let
(3.4)
Then from Proposition 2.1 (v), Proposition 2.2 (b) and (3.3) (3.4), we have
,
and
,
, which yields
, a contradiction of Proposition 2.2 (f). If
,
, from Proposition 2.1 (v), Proposition 2.2 (b) and (3.3), we have
, then
, a contradiction of Proposition 2.2 (d). Hence, the set
can not contain three differences of the form
. This proof is also suitable for the set
.
Based on Claim 3.1, we only need to consider the following four cases:
Case 1. 2-2-0 (2-0-2) distribution. In this case, we may assume (without loss of generality) that
(3.5)
Then (by Proposition 2.1 (iv) and Proposition 2.2 (a) (b))
(3.6)
and
(3.7)
We can divide (3.7) into four cases.
Case 1.1.
. In this case, from Proposition 2.1 (iii) (iv), we have
(3.8)
If
, then (by Proposition 2.1 (iii) and (3.6) (3.8))
(3.9)
which yields
. In the case
, from (3.8) and Proposition 2.2 (b), we have
. Hence,
and
. Combined with (3.9), we get
, a contradiction. In the case
, from Proposition 2.1 (v), we have
(3.10)
If
, then
(by Proposition 2.2 (b) and (3.8) (3.9)), a contradiction. If
, then
(by Proposition 2.2 (c) and (3.8) (3.10)), a contradiction. Hence,
. The same reason illustrates that
. Hence
Based on Claim 3.1, we only need to consider the following three cases.
Case 1.1.1
. In this case, from Proposition 2.2 (c) and (3.6), we have
and
, a contradiction (by Proposition 2.2 (d)).
Case 1.1.2
. In this case, from Proposition 2.2 (b) and (3.6), we have
,
. Combined with
, we get
and
. Now,
, we have
, a contradiction.
Case 1.1.3
. This case can be proved similarly to Case 1.1.2.
Case 1.2.
. This case can be proved similarly to Case 1.1.
Case 1.3.
. In this case, by Proposition 2.1 (v) and (3.6), we have
(3.11)
We first show that the following Claim holds.
Claim 3.2. The set
has at least one element in
.
In fact, if
(3.12)
then, from Claim 3.1, we need to divide (3.12) into the following three cases.
Case A:
. In this case, from (3.6) Proposition 2.1 (iii) and Proposition 2.2 (b), we have
(3.13)
In the case
, from (3.6) (3.11) (3.13) and Proposition 2.2 (b), we have
, a contradiction. In the case
, from (3.11) and (3.12), we have
and
. Combined with (3.6) (3.11) (3.13), we get
, a contradiction.
Case B:
. In this case, from Proposition 2.2 (b) and (3.6), we have
and
. For
and (3.12) (3.13), we get
and
. Combined with (3.6) and (3.9), we have
, a contradiction.
Case C:
. This case can be proved similarly to Case B.
Therefore, the set
has at least one element in
.
From Claim 3.2, without loss of generality, we may assume that
, then
(3.14)
By Proposition 2.2 (a) (f) and (3.11), we get that
and
. Then
. Based on Claim 3.1, we need to consider the following three cases.
Case 1.3.1
. In this case, from (3.6) (3.11) and Proposition 2.2 (b), we have
, a contradiction.
Case 1.3.2
. In this case, for
and Proposition 2.2 (b), we get
. Combined with (3.6) (3.11) (3.14), we have
, a contradiction of Proposition 2.1 (ii).
Case 1.3.3
. This case can be proved similarly to Case 1.3.2.
Case 1.4
. In this case, from (3.6) and Proposition 2.1 (iv) (v), we have
(3.15)
With the same method as Claim 3.2, we can prove that the set
has at least one element in
. Without loss of generality, we may assume that
, then (by Proposition 2.1 (v))
(3.16)
By Proposition 2.2 (c) and (3.15), we get
and
.
If
, then
(by Proposition 2.2 (a) and (3.6)). In the case
, from Proposition 2.2 (a) and (3.6), we have
,
. Combined with (3.6) (3.15), we get
, a contradiction. In the case
, from Proposition 2.1 (iv) and (3.6) (3.15), we have
and
. Combined with (3.15) (3.16), we have
, a contradiction. In the case
, for
and (3.6), we get
, a contradiction.
If
, then
and
(by Proposition 2.2 (b) and (3.6)). In the case
, from Proposition 2.2 (a) and (3.5), we get
(3.17)
By (3.5) (3.16) and (3.17), we have
and
, a contradiction of Proposition 2.1 (ii). In the case
, from Proposition 2.1 (iv) and (3.15), we have
and
, a contradiction. In the case
, from Proposition 2.1 (v) and (3.6) (3.15) (3.16), we get
, a contradiction.
Similarly, we can prove 2-0-2 distribution does not hold.
Case 2 2-1-1 distribution. In this case, we may assume that
(3.18)
then (by Proposition 2.1 (iv)(v) and Proposition 2.2 (a))
(3.19)
and
(3.20)
We can divide (3.20) into two cases.
Case 2.1.
. In this case, we have (by Proposition 2.1 (iv))
(3.21)
With the same method as Claim 3.2, we can prove that the set
has at least one element in
. Without loss of generality, we may assume that
, then (by (3.6) and Proposition 2.2 (a))
(3.22)
If
, then (by Proposition 2.2 (a) and (3.6)),
(3.23)
By Proposition 2.1 (iii) and (3.22) (3.23), we get
. In the case
, from Proposition 2.2 (b) and (3.19) (3.23), we have
, a contradiction. In the case
, from Proposition 2.2 (c) and (3.19) (3.22), we have
, a contradiction. Hence,
. The same reason illustrates that
. Then
Based on Claim 3.1, we need to consider the following three cases.
Case 2.1.1
. From Proposition 2.2 (c), we have
. Combined with (3.19) (3.21), we have
, a contradiction.
Case 2.1.2
. From Proposition 2.1 (v) Proposition 2.2 (c) and (3.21), we have
(3.24)
By Claim 3.1 and (3.22) (3.33), we know that
. In the case
, from Proposition 2.2 (b) and (3.19) (3.23), we have
, a contradiction. In the case
, from Proposition 2.2 (c) and (3.19) (3.22), we have
, a contradiction.
Case 2.1.3
. This case can be proved similarly to Case 2.1.2.
Case 2.2.
. This case can be proved similarly to Case 2.1.
Case 3 0-2-2 distribution. In this case, we may assume that
(3.25)
then (by Proposition 2.1 (iv) (v) and Proposition 2.2 (b) (c))
(3.26)
and
(3.27)
We can divide (3.27) into four cases.
Case 3.1.
. In this case, we have
(3.28)
With the same method as Claim 3.2, we can prove that the set
has at least one element in
. Without loss of generality, we may assume that
, then
(3.29)
From Claim 3.1 and (3.28) (3.29), we have
.
In the case
, from Proposition 2.2 (b) and (3.26) (3.28), we have
and
, a contradiction.
In the case
, from Proposition 2.2 (c) and (3.26), we have
and
, a contradiction.
In the case
, from Proposition 2.2 (b) (c) and (3.26) (3.29), we have
and
, a contradiction.
In the case
, from Proposition 2.2 (b) (c) and (3.26) (3.28) (3.29), we have
and
. Combined with (3.26), we get
, a contradiction.
Case 3.2.
. In this case, from Proposition 2.1 (iii) (iv), we have
(3.30)
With the same method as Claim 3.2, we can prove that the set
has at least one element in
. Without loss of generality, we may assume that
, then (by Proposition 2.1 (iii))
(3.31)
From Claim 3.1 and Proposition 2.2 (a), we have
. In the case
,
, from Proposition 2.2 (b) and (3.26) (3.30), we have
and
, a contradiction. In the case
,
, from Proposition 2.2 (c) and (3.26), we have
and
, a contradiction. In the case
,
, from Proposition 2.2 (b) (c) and (3.26) (3.31), we have
and
, a contradiction. In the case
,
, from
and (3.26), we have
,
and
. Combined with
and Proposition 2.2 (a), we get
, a contradiction.
Case 3.3.
. This case can be proved similarly to Case 3.2.
Case 3.4.
. In this case, from Proposition 2.1 (iv) (v), we have
(3.32)
With the same method as Claim 3.2, we can prove that the set
has at least one element in
. Without loss of generality, we may assume that
, then
(3.33)
From Claim 3.1 and Proposition 2.2 (a), we have
. In the case
,
, from Proposition 2.2 (b) and (3.26), we have
and
, a contradiction. In the case
,
, from Proposition 2.2 (b) (c) and (3.32), we have
, a contradiction. In the case
,
, from Proposition 2.2 (b) (c) and (3.32), we have
, a contradiction. In the case
,
, from Proposition 2.2 (c) and (3.25), we have
, a contradiction of (3.32).
Case 4. 1-2-1 distribution. In this case, we may assume that
(3.34)
then (by Proposition 2.1 (iii) (iv) (v))
(3.35)
and
(3.36)
We can divide (3.36) into two cases.
Case 4.1.
. In this case, we have
(3.37)
We can prove the following Claim hold.
Claim 3.3. The set
has at least one element in
.
In fact, if
Then, based on Claim 3.1, we need to consider the following three cases.
Case (a):
. In this case, from (3.35) and Proposition 2.2 (c), we have
, a contradiction.
Case (b):
. In this case, from (3.35) and Proposition 2.2 (b), we have
(3.38)
If
, then
and
(by Proposition 2.1 (iv) and (3.38)). In the case
, from Proposition 2.2 (a) and (3.35), we have
and
, a contradiction. In the case
, from Proposition 2.2 (c) and (3.38), we get
, a contradiction. If
, then (by Proposition 2.2 (c) and (3.38))
, a contradiction. If
,
, then,
and
(by Proposition 2.2 (c) and (3.38)). In the case
, from Proposition 2.2 (a) and (3.35), we have
and
, a contradiction. In the case
, from Proposition 2.2 (c) and (3.38), we get
, a contradiction. Hence the set
has at least one element in
. In this case, without loss of generality, we may assume that
(3.39)
It follows from Claim 3.1 that
. If
, then (by Proposition 2.2 (a) and (3.35) (3.38))
(3.40)
From Claim 3.1, we know that
. In the case
, from Proposition 2.2 (b) and (3.35) (3.40), we have
, a contradiction. In the case
, from (3.37) (3.39) (3.40) and Proposition 2.2 (c), we get
and
, a contradiction. If
, then
( by Proposition 2.2 (c) and (3.35) (3.38)), a contradiction.
Case (c):
. In this case, from (3.35) and Proposition 2.2 (b), we have
(3.41)
With the same method as Case (b), we can prove that the set
has at least one element in
. In this case, without loss of generality, we may assume that
(3.42)
Combined with (3.37), we have
. If
, from Proposition 2.2 (b) and (3.35) (3.41), we have
(3.43)
In the case
, from Proposition 2.2 (a) and (3.35) (3.43), we have
and
, a contradiction. In the case
, from Proposition 2.2 (c) and (3.41), we get
, a contradiction. If
, then (by Proposition 2.2 (c) and (3.35) (3.37) (3.42))
(3.44)
and
. In the case
, from Proposition 2.2 (a) and (3.35) (3.44), we have
,
and
, a contradiction. In the case
, from Proposition 2.1 (iv) and (3.35) (3.41) (3.44), we have
and
, a contradiction.
Hence the set
has at least one element in
. In this case, without loss of generality, we may assume that
, then (by Proposition 2.2 (a) and (3.37))
(3.45)
and
.
If
, then
(3.46)
If
, then (by Proposition 2.2 (a) and (3.35) (3.45))
(3.47)
and
. In the case
, from Proposition 2.2 (b) and (3.35) (3.47), we get
, a contradiction. In the case
, from Proposition 2.2 (c) and (3.35) (3.45), we have
, a contradiction. If
, then (by (3.35) (3.46))
(3.48)
and
. In the case
, from Proposition 2.1 (iii) and (3.35) (3.37) (3.45) (3.48), we have
(3.49)
Hence,
and
. Combined with (3.49), we get
, a contradiction. In the case
, from (3.35) (3.45), we have
, a contradiction. If
, then (by Proposition 2.2 (c) and (3.46))
, a contradiction.
If
, then (by Proposition 2.1 (v) and (3.35) (3.45))
(3.50)
If
, then (by Proposition 2.2 (a) and (3.35) (3.45))
(3.51)
and
. In the case
, from Proposition 2.2 (b) and (3.35) (3.51), we have
, a contradiction. In the case
, from Proposition 2.2 (c) and (3.35) (3.45), we get
, a contradiction. If
, then (by Proposition 2.1 (iv))
(3.52)
If
, then (by Proposition 2.2 (a) and (3.37))
and
. In the case
, from Proposition 2.2 (b) and (3.50) (3.52), we get
, a contradiction. In the case
, from Proposition 2.2 (c) (3.50) (3.52) and
, we have
and
, a contradiction. If
, then (by Proposition 2.2 (b) and (3.35) (3.52))
and
. Combined with (3.35) and (3.50), we have
, a contradiction. If
, then (by Proposition 2.2 (c) and (3.35) (3.45))
, a contradiction. If
, then (by Proposition 2.2 (c) and (3.35))
. Combined with (3.35) and (3.50), we have
, a contradiction.
Case 4.2.
. In this case, we have
(3.53)
With the same method as Claim 3.3, we can prove that the set
has at least one element in
. Without loss of generality, we may assume that
, then (by Proposition 2.2 (a) and (3.35))
(3.54)
If
, then (by Proposition 2.2 (a) and (3.35) (3.53) (3.54))
,
and
, a contradiction.
If
, then (by Proposition 2.2 (b) and (3.35))
(3.55)
If
, then (by Proposition 2.2 (a) and (3.35))
(3.56)
Combined with (3.54) and (3.55), we have
and
. In the case
, from Proposition 2.2 (b) and (3.35) (3.56), we get
, a contradiction. In the case
, from Proposition 2.2 (c) and (3.35) (3.54), we have
, a contradiction. If
, then (by Proposition 2.1 (iv) and (3.35) (3.55))
(3.57)
and
. In the case
, from Proposition 2.1 (iii) and (3.54), we get
(3.58)
Combined with (3.35) and (3.57), we have
, a contradiction. In the
case
, from Proposition 2.2 (c) and (3.54), we get
, a contradiction. If
, from Proposition 2.2 (c) and (3.55), we have
, a contradiction.
If
, then (by Proposition 2.1 (v))
(3.59)
Combined with (3.53), we have
(3.60)
If
, then (by Proposition 2.2 (a) and (3.35) (3.54))
(3.61)
Hence,
. In the case
, from Proposition 2.2 (b) and (3.35) (3.61), we have
, a contradiction. In the case
, from Proposition 2.2 (c) and (3.35) (3.54), we get
, a contradiction. If
, then (by Proposition 2.1 (iv))
(3.62)
In the case
, for
, Proposition 2.1 (i) and Claim 3.1, we have
. If
, then, for
and (3.53), we get
, a contradiction. If
, then (by Proposition 2.2 (b) and (3.35) (3.60) (3.62)),
and
, a contradiction. In the case
, from Proposition 2.2 (b) and (3.35) (3.60) (3.62), we get
, a contradiction. In the case
, from (3.35) and (3.54), we have
, a contradiction. If
, then (by Proposition 2.2 (c) and (3.35) (3.59))
. Combined with (3.53) and (3.54), we have
, a contradiction.
The above discussion shows that
can not contain five mutually orthogonal exponential functions. Take
where
. We can verify that
is a 4-element
-orthogonal exponentials, which yields the number 4 is the best.
Corollary 3.4. For the self-affine measure
corresponding to
if
and
where
, then there are at most 4-element
-orthogonal exponentials, and the number 4 is the best.
Example 3.5. Let
then there are at most 4-element
-orthogonal exponentials, and the number 4 is the best.
Take
, one can verify that
,
,
,
,
, which shows that the condition (1.8) holds. Then there are at most 4-element
-orthogonal exponentials, and the number 4 is the best.
Funding
This work is supported by the National Natural Science Foundation of China (No.12001346).