2 Elementary Estimates for Primes

Recall from Lecture 1:

2.1 Merten’s Theorems

Theorem 2.1 (Merten’s Theorem). Assuming that:

  • x≥3

Then
  • (i) ∑⁡p≤x log ⁡pp= log ⁡x+O(1)
  • (ii) ∑⁡p≤x1p= log ⁡ log ⁡x+M+O(1 log ⁡x) (for some M∈ℝ)
  • (iii) ∏⁡p≤x(1−1p)=c+o(1) log ⁡x (for some c>0)

Remark. Can show c=e−γ.

Proof.

2.2 Sieve Methods

Definition (Sieve problem). Let P⊆ℙ. Let

P(z)=∏p∈Pp≤zp,

and let A⊆ℤ. Denote

S(A,P,z)=|{n∈A:(n,P(z))=1}|.

Problem: Estimate S(A,P,z).

Note that if A⊆[x2,x]∩ℤ,

S(A,ℙ,x12)=|A∩ℙ|S(A,ℙ,x13)=|A∩(ℙ∪{p1p2:p1p2>x13})|

Sieve hypothesis: There exists a multiplicative g:ℕ→[0,1] and Rd∈ℝ such that

|{n∈A:n≡0(modd)}|=g(d)|A|+Rd

for all square-free d (no repeated prime factors).

Example.

Lemma. We have

S(A,P,z)=∑d|P(z)μ(d)|Ad|.

Proof. Recall that

𝟙n=1=(μ∗1)(n)

(since μ is the inverse of 1). Hence,

S(A,P,z)=∑n∈A𝟙(n,P(z))=1=∑n∈A∑d|P(z)d|nμ(d)=∑d|P(z)μ(a)|Ad|□

Example. Let

π(x,z)=|{n≤x:(n,P(z))=1}|.

Let P=ℙ. Let A=[1,x]∩ℤ. Then

|Ad|=xd+O(1).

By the previous lemma,

π(x,z)=S(A,ℙ,z)=∑d|P(z)μ(d)(xd+O(1))=x∑d|P(z)μ(d)d+O(∑d|P(z)|μ(d)|⏟≤1)=x∑d|P(z)μ(d)d+O(2π(z))P(z)=p1⋯pπ(2)=x∏p≤z(1+μ(p)p⏟−1)+O(2π(2))fundamental theorem of arithmetic=c+o(1)log⁡zx+O(2z)Merten’s theorem, for some c>0

For 2≤z≤log⁡x,

π(x,z)=c+o(1)log⁡zx.

Theorem (Sieve of Erastothenes – Legendre). Assuming that:

  • A⊆[1,x]∩ℕ

  • 2≤z≤x

  • Assume the Sieve Hypothesis

Then S(A,P,z)=|A|∏p≤2p∈P(1−g(p))+O(x12( log ⁡x)122− log ⁡x4 log ⁡z(∑d≤xd|P(z)|Rd|2)12+|A|e log ⁡x log ⁡z∏p≤zp∈P(1+g(p))e)

Proof. Recall from previous lecture that

S(A,P,z)=∑d|P(z)d≤xμ(d)|Ad|(since Ad=∅ for d>x)=∑d|P(z)d≤xμ(d)g(d)|A|+O(∑d≤xd|P(z)|Rd|)(sieve hypothesis)=|A|∑d|P(z)μ(d)g(d)+O(∑d≤xd|P(z)|Rd|+|A|∑d|P(z)d>xg(d))=|A|∏p≤zp∈P(1−g(p))+O(∑d≤xd|P(z)|Rd|+|A|∑d|P(z)d>xg(d))

We estimate the first error term using Cauchy-Schwarz:

∑d≤xd|P(z)|Rd|≤(∑d≤xd|P(z)|Rd|2)12(∑d≤xd|P(z)1)12.

Note that if d|P(z), d>x12, then

ω(d)≥log⁡x12log⁡z,

(ω(d) – number of distinct prime factors of d), since zω(d)≥d≥x12.

Hence, 2ω(d)≥2log⁡x2log⁡z, d|P(z), d>x12.

Now we get

∑d≤xd|P(z)1≤2−log⁡x2log⁡z∑d≤xd|P(z)2ω(d)⏟=τ(d)≤2−log⁡x2log⁡z∑d≤xτ(d)≪2−log⁡x2log⁡zxlog⁡x

(the last step is by Dirichlet’s divisor problem: ∑⁡d≤xτ(d)=(1+o(1))⋅x log ⁡x).

Substituting this in, the first error term becomes as desired.

Now we estimate the second error term. We have

∑d|P(z)d>xg(d)≤x−1log⁡z∑d|P(z)g(d)d1 log ⁡z(since d>x in the sum: Rankin’s trick)=x−1log⁡z∏p≤zp∈P(1+g(p)p1 log ⁡⁡z⏟≤z1 log ⁡⁡z=e)≤x−1log⁡z∏p≤zp∈P(1+eg(p))≤x−1 log ⁡⁡z⏟=e− log ⁡⁡x log ⁡⁡z∏p≤zp∈P(1+g(p))e(1+ey≤(1+y)e)

Combining the error terms, the claim follows. □

Example. Take A=[1,x]∩ℤ, P=ℙ. Then g(d)=1d, Rd=O(1), so the sieve gives us

S(A,P,z)=π(x,z)=(x+O(1))∏p≤z(1−1p)+O(x12(log⁡x)122− log ⁡x4 log ⁡zx12+(x+O(1))e− log ⁡x log ⁡z∏p≤z(1+1p)e)

By Merten’s Theorem,

∏p≤z(1−1p)=C+o(1)log⁡z∏p≤z(1+1p)≤∏p≤z(1−1p)−1=(1C+o(1))log⁡z

Hence,

π(x,z)=c+o(1)log⁡z+O(x(log⁡x)122− log ⁡x4 log ⁡z+xe− log ⁡x log ⁡z( log ⁡z)e).

Hence, for 2≤z≤exp⁡( log ⁡x10 log ⁡ log ⁡x),

π(x,z)=c+o(1)log⁡zx.

This asymptotic in fact holds for z≤xo(1).

In particular, the Erastothenes-Legendre sieve gives

π(x)≤π(x,z)+z≪xlog⁡xlog⁡ log ⁡x

for z=exp⁡( log ⁡x10 log ⁡ log ⁡x). Not quite the Chebyshev bound π(x)≪xlog⁡x.

2.3 Selberg Sieve

asymptotes good upper bound for primes



Erastothenes-Legendre ✓ ✗



Selberg ✗ ✓

Theorem 2.2 (Selberg sieve). Assuming that:

  • z≥2

  • A⊆ℤ finite

  • P⊆ℙ

  • Assume the sieve hypothesis

  • h:ℕ→[0,∞) be the multiplicative function supported on square-free numbers, given on the primes by

    h(p)={g(p)1−g(p)p∈P0p∉P

Then
S(A,P,z)≤|A|∑d≤zh(d)+∑d≤z2d|P(z)τ3(d)|Rd|.

Sieve hypothesis: There is a multiplicative g:ℕ→[0,1] and Rd∈ℝ such that

|Ad|=g(d)|A|+Rd

for all square-free d≥1.

Proof. Let (ρd)d∈ℕ be real numbers with

ρ1=1,ρd=0,d>z(∗)

Then,

𝟙(n,P(z))=1≤(∑d|nd|P(z)ρd)2.

(If (n,P(z))=1, get 1≤ρ otherwise use 0≤x2).

Summing over n∈A,

S(A,P,z)=∑n∈A𝟙(n,P(z))=1≤∑n∈A(∑d|nd|P(z)ρd)2=∑d1d2|P(z)ρd1ρd2∑n∈A[d1,d2]|n1=|A|∑d1,d2|P(z)ρd1ρd2g([d1,d2])+∑d1,d2|P(z)ρd1ρd2R[d1,d2]⏟E(sieve hypothesis)

([m,n] means lcm⁡(m,n)).

We first estimate E:

E≤max⁡k|ρk|2∑d1,d2|P(z)|R[d1,d2]|=max⁡k|ρk|2∑d≤zkd|P(z)∑d1,d2∈ℕ[d1,d2]=d|Rd|(d=[d1,d2])

We have

∑d1,d2∈ℕd=[d1,d2]1=∑l≤z∑d1′,d2′∈ℕd=ld1′d2′(d1′,d2′)=11(l=(d1,d2),d1′=d1∕l,[d1,d2]=ld1′d2′)≤τ3(d)

Therefore

E≤∑d≤zzd|P(z)τ3(d)|Rd|⋅max⁡k|ρk|2.

Now it suffices to prove that there is a choice of (ρd)d∈ℕ satisfying (∗) such that

Claim 1: ∑⁡d1,d2|P(z)ρd1ρd2g([d1,d2])=1∑d≤zh(d).

Claim 2: |ρk|≤1 for all k∈ℕ.

Proof of claim 1:

We have, writing k=(d1,d2), di′=dik,

∑d1,d2|P(z)ρd1ρd2g([d1,d2])=∑k|P(z)μ(k)2∑d1′,d2′|P(z)k(d1′,d2′)=1ρkd1′ρkd2′g(kd1′d2′)=∑k|P(z)μ(k)2g(k)∑d1′,d2′|P(z)k(d1′,d2′)=1ρkd1′ρkd2′g(d1′)g(d2′)(multiplicativity)

We have

𝟙(d1′,d2′)=1=∑c|d1′c|d2′μ(c)

(since μ∗1=I) so the previous expression becomes

∑k|P(z)μ(k)2g(k)∑c|P(z)kμ(c)∑d1′,d2′|P(z)d1′≡0(mod()c)d2′≡0(modc)ρkd1′ρkd2′g(d1′)g(d2′)=∑k|P(z)μ(k)2g(k)∑c|P(z)kμ(k)(∑d|P(z)kd≡0(modc))2=∑k|P(z)μ(k)2g(k)−1∑c|P(z)kμ(c)(∑d′|P(z)ckρckd′g(ckd′))2=∑n≤zh(m)−1(∑d|P(z)d≡0(modn)ρdg(d))2

(multiplicativity, d=cd′, m=ck, d=md′) since 1h=μ2g∗μ (check on primes 1h(p)=1g(p)−1).

Now we get

∑d1,d2|P(z)ρd1ρd2g([d1,d2])=∑m≤zh(m)−1ζm2

where

ζm=∑d|P(z)d≡0(modm)ρdg(d).

Want to minimise this subject to (∗).

We need to translate the condition ρ1=1. Note that

∑m≤zm≡0(modc)μ(m)ζm=∑d|P(z)ρdg(d)∑m|dc|mμ(m)⏟∑m′|dcμ(c)μ(m′)=μ(d)𝟙d=e=μ(e)ρeg(e)

Hence,

ρe=μ(e)g(e)∑m≤2m≡0(modc)μ(m)ζm.

Now,

ρ1=1=∑m≤zμ(m)ζm.

By Cauchy-Schwarz, we then get

(∑m≤zh(m)−1ζm2)(∑m≤zμ(m)2h(m))≥(∑m≤zμ(m)ζm)2=1.

Hence

∑m≤zh(m)−1ζm2≥1∑m≤zμ(m)2h(m)=1∑m≤zh(m).

Equality holds for Tm=h(m)G(z), where G(z)=∑⁡m≤zh(m). We now check that with these ζm, ρd=0 for d>z.

Note that

ρc=μ(c)g(c)G(z)∑m≤zm≡(modc)μ(m)h(m).

Hence, ρc=0 for c>2.

This proves Claim 1.

Now we prove Claim 2 (|ρc|≤1).

Note that any m has at most one representation as m=em′, where e|d, (m′,d)=1 (for any d∈ℕ).

Now,

G(z)≥∑c|d∑m′≤zc(m′,d)=1h(cm′)=∑c|dh(c)∑m′≤zc(m′,d)=1h(m′)≥∑c|dh(e)∑m′≤zd(m′,d)=1h(m′)

Now,

ρd=μ(d)2h(d)g(d)G(z)∑m′≤zd(m′,d)=1μ(m′)h(m′).

Substituting the lower bound for G(z),

|ρd|≤h(d)g(d)∑c|dh(e)=1,

since 1∗h=hg. □

Lemma 2.3. Assuming that:

  • z≥3

  • g:ℕ→[0,1] multiplicative

  • for some K,A∈ℝ we have

    ∑p≤zg(p) log ⁡p≤κ log ⁡z+A.

Then
1∑m≤zh(m)≤2∏p≤z1∕(eκ+1)(1−g(p)),

where h is defined in terms of g as in Selberg’s sieve.

Proof. Note that for any c∈(0,1),

∑m≤zh(m)≥∑m≤zm|P(zc)h(m)=G(z,c).

Then

∏p≤zcp∈P(1−g(p))−1−G(z,c)=∏p≤zcp∈P(1+h(p))−∑m≤zm|P(zc)h(m)=∑m>zm|P(zc)h(m)

By Rankin’s trick,

1−∏p≤zc(1−g(p))G(z,c)=∏p≤zc(1−g(p))∑m>zm|P(zc)h(m)≤∏p≤zc(1−g(p))z−λ log ⁡z∑m|P(zc)h(m)mλ log ⁡z(for any λ>0)=∏p≤zc(1−g(p))e−λ∏p≤zc(1+h(p)pλ log ⁡z)=e−λ∏p≤zc(1−g(p)+g(p)pλ log ⁡z≤e−λexp⁡(∑p≤zc(pλ log ⁡⁡z−1)⏟≤λ log ⁡⁡z( log ⁡⁡p)pλ log ⁡⁡z)≤exp⁡(−λ+λ log ⁡z∑p≤zcg(p)( log ⁡p)pλ log ⁡z)(1+t≤et)≤exp⁡(−λ+cecλλκ+λecλA log ⁡z)

Choose c=1λ and λ=eκ+1 to get the claim. □

The Brun-Titchmarsh Theorem

Theorem 2.4 (Brun-Titchmarsh Theorem). Assuming that:

  • x≥0, y≥2

  • 𝜀>0 and y is large in terms of 𝜀

Then
π(x+y)−π(x)≤(2+𝜀)ylog⁡y.

Remark. We expect

π(x+y)−π(x)=(n+o(1))ylog⁡x

in a wide range of y (e.g. y≥x𝜀 for some 𝜀>0 fixed). The prime number theorem gives this for y≫x. The Brun-Titchmarsh Theorem gives an upper bound of the expected order for y≥x𝜀.

Proof. Apply the Selberg sieve with A=[x,x+y]∩ℕ, P=ℙ. Note that for any d≥1,

|{a∈A:a≡0(modd)}=yd+O(1).

Hence, the sieve hypothesis holds with g(d)=1d, Rd=O(1).

Now, the function h in Selberg sieve is given on primes by

h(p)=g(p)1−g(p)=1p−1=1φ(p),

where φ is the Euler totient function. In general,

h(d)=μ(d)2⋅1φ(d)

(since φ is multiplicative). Now, for any z≥2, Selberg sieve yields

S(A,ℙ,z)≤y∑d≤zμ(d)2φ(d)+O(∑d≤z2τ3(d)).

By Problem 11 on Example Sheet 1, the error term is O(z2(log⁡z)2).

Take z=y12−𝜀10. Then

z2(log⁡z)2≪(y12−𝜀10)2( log ⁡y)2≪y1−𝜀20

(for y≥y0(𝜀)). We estimate

∑d≤zμ(d)2φ(d)=∑d≤zμ(d)2ddφ(d)=∑d≤zμ(d)2d⋅∏p|d(1+1p+1p2+⋯)⏟=pp−1=pφ(p)≥∑n≤z1n

since any n≤z has at least one representation as

n=dp1a1⋯pkak,

where d≤z is square-free and pi|d are primes and a1≥0.

We have proved

∑n≤z1n= log ⁡z+O(1)≥(1−110) log ⁡z

for z≥z0(𝜀).

Putting everything together gives us

π(x+y)−π(x)≤S(A,ℙ,z)+z≤y(1−𝜀10)log⁡z+z+y1−𝜀20≤(2+𝜀)ylog⁡y

for y≥y0(𝜀). □