5 The union-closed conjecture

Definition (Union-closed). Let A be a (finite) family of sets. Say that A is union closed if for any A,B∈A, we have A∪B∈A.

Conjecture. If A is a non-empty union-closed family, then there exists x that belongs to at least 12|A| sets in A.

Theorem (Justin Gilmer). There exists c>0 such that if A is a union-closed family, then there exists x that belongs to at least c|A| of the sets in A.

Justin Gilmer’s constant was about 1100.

His method has a “natural barrier” of 3−52.

We will briefly and “informally” discuss this.

A reason for this is that if we weaken the property union-closed to “almost union-closed” (if we pick two elements randomly, then with high probability the union is in the family), then 3−52 is the right bound.

Let A=[n](pn)∪[n](≥(2p−p2−o(1))n). With high probability, if A,B are random elements of [n](pn), then |A∪B|≥(2p−p2−o(1))n.

If 1−(2p−p2−o(1))=p then almost all of A is [n](pn).

PIC

One of the roots of the quadratic 1−3p+p2=0 is p=3−52.

If we want to prove Justin Gilmer’s Theorem, it is natural to let A,B be independent uniformly random elements of A and to consider H[A∪B]. Since A is union-closed, A∪B∈A, so H[A∪B]≤log⁡|A|. Now we would like to get a lower bound for H[A∪B] assuming that no x belongs to more than p|A| sets in A.

h(xy)≥c(xh(y)+yh(x)),h(x2)≥2cxh(x).

Lemma 5.1. Assuming that:

  • c>0 is such that

    h(xy)≥c(xh(y)+yh(x))

    for every x,y∈[0,1]

  • A is a family of sets such that every element (of ⋃⁡A) belongs to fewer than p|A| members of A

Then H[A∪B]>c(1−p)(H[A]+H[B]).

Proof. Think of A,B as characteristic functions. Write A<k for (A1,…,Ak−1) etc. By the Chain rule it is enough to prove for every k that

H[(A∪B)k|(A∪B)<k]>c(1−p)(H[Ak|A<k]+H[Bk|B<k]).

By Submodularity,

H[(A∪B)k|(A∪B)<k]≥H[(A∪B)k|A<k,B<k].

For each u,v∈{0,1}k−1 write p(u)=ℙ(Ak=0|A<k=u), q(v)=ℙ(Bk=0|B<k=v).

Then

H[(A∪B)k|A<k=u,B<k=v]=h(p(u)q(v))

which by hypothesis is at least

c(p(u)h(q(v))+q(v)h(p(u))).

So

H[(A∪B)k|(A∪B)<k]≥c∑u,vℙ(A<k=u)ℙ(B<k=v)(p(u)h(q(v))+q(v)h(p(u))).

But

∑uℙ(A<k=u)ℙ(Ak=0|A<k=u)=ℙ(Ak=0)

and

∑vℙ(B<k=v)h(q(v))=∑vℙ(B<k=v)H[Bk|B<k=v]=H[Bk|B<k].

Similarly for the other term, so the RHS equals

c(ℙ(Ak=0)H[Bk|B<k]+ℙ(Bk=0)H[Ak|A<k]),

which by hypothesis is greater than

c(1−p)(H[Ak|A<k]+H[Bk|B<k])

as required. □

This shows that if A is union-closed, then c(1−p)≤12, so p≥1−12c. Non-trivial as long as c>12.

We shall obtain 15−1. We start by proving the diagonal case – i.e. when x=y.

Lemma 5.2 (Boppana). For every x∈[0,1],

h(x2)≥ϕxh(x).

Proof. Write ψ for ϕ−1=5−12. Then ψ2=1−ψ, so h(ψ2)=h(1−ψ)=h(ψ) and ϕψ=1, so h(ψ2)=ϕψh(ψ). Equality also when x=0,1.

PIC

Toolkit:

ln⁡2h(x)=−xln⁡x−(1−x) ln ⁡(1−x)ln⁡2h′(x)=−ln⁡x−1+ ln ⁡(1−x)+1=ln⁡(1−x)− ln ⁡xln⁡2h ″(x)=−1x−11−xln⁡2h ‴(x)=1x2−1(1−x)2

Let f(x)=h(x2)−ϕxh(x). Then

f′(x)=2xh′(x2)−ϕh(x)−ϕxh′(x)f″(x)=2h′(x2)+4x2h″(x2)−2ϕh′(x)−ϕxh″(x)f‴(x)=4xh″(x2)+8xh″(x2)+8x3h‴(x2)−3ϕh″(x)−ϕxh‴(x)=12xh″(x2)+8x3h‴(x2)−3ϕh″(x)−ϕxh‴(x)

So

ln⁡2f ‴(x)=−12xx2(1−x2)+8x3(1−2x2)x4(1−x2)2+3ϕx(1−x)−ϕx(1−2x)x2(1−x)2=−12x(1−x2)+8(1−2x2)x(1−x2)2+3ϕx(1−x)−ϕ(1−2x)x(1−x)2=−12(1−x2)+8(1−2x2)+3ϕ(1−x)(1+x)2−ϕ(1−2x)(1+x)2x(1−x)2(1+x)2

This is zero if and only if

−12+12x2+8−16x2+3ϕ(1+x−x2−x3)−ϕ(1−3x2−2x3)=0

which simplifies to

−ϕx3−4x2+3ϕx−4+2ϕ=0.

Since this is a cubic with negative leading coefficient and constant term, it has a negative root, so it has at most two roots in (0,1). It follows (using Rolle’s theorem) that f has at most five roots in [0,1], up to multiplicity.

But

f′(x)=2x(log⁡(1−x2)− log ⁡x2)+ϕ(x log ⁡x+(1−x) log ⁡(1−x))−ϕx( log ⁡(1−x)− log ⁡x).

So f′(0)=0, so f has a double root at 0.

We can also calculate (using ψ2+ψ=1):

f′(ψ)=2ψ(log⁡ψ−2 log ⁡ψ)+ϕ(ψ log ⁡ψ+2(1−ψ) log ⁡ψ)−(2 log ⁡ψ− log ⁡ψ)=−2ψlog⁡ψ+ log ⁡ψ+2ϕ log ⁡ψ−2 log ⁡ψ− log ⁡ψ=2log⁡ψ(−ψ+ϕ−1)=2ϕlog⁡ψ(−ψ2+1−ψ)=0

So there’s a double root at ψ.

Also, note f(1)=0.

So f is either non-negative on all of [0,1] or non-positive on all of [0,1].

If x is small,

f(x)=x2log⁡1x2+(1−x2) log ⁡11−x2−ϕx(x log ⁡1x+(1−x) log ⁡11−x)=2x2log⁡1x−ϕx2 log ⁡1x+O(x2)

so there exists x such that f(x)>0. □

Lemma 5.3. The function f(x,y)=h(xy)xh(y)+yh(x) is minimised on (0,1)2 at a point where x=y.

Proof. We can extend f continuously to the boundary by setting f(x,y)=1 whenever x or y is 0 or 1. To see this, note first that it’s valid if neither x nor y is 0.

PIC

If either x or y is small, then

h(xy)=−xy(log⁡x+ log ⁡y)+O(xy)xh(y)+yh(x)=−x(ylog⁡y+O(y))−y(x log ⁡x+O(x))=h(x)+O(xy)

So it tends to 1 again.

One can check that f(12,12)<1, so f is minimised somewhere in (0,1)2.

Let (x∗,y∗) be a minimum with f(x∗,y∗)=α.

Let g(x)=h(x)x and note that

f(x,y)=g(xy)g(x)+g(y).

Also,

g(xy)−α(g(x)+g(y))≥0

with equality at (x∗,y∗). So the partial derivatives of LHS are both 0 at (x∗,y∗).

y∗g′(x∗y∗)−αg′(x∗)=0x∗g′(x∗y∗)−αg′(y∗)=0

So x∗g′(x∗)=y∗g′(y∗). So it’s enough to prove that xg′(x) is an injection. g′(x)=h′(x)x−h(x)x2, so

xg′(x)=h′(x)−h(x)x=log⁡(1−x)− log ⁡x+x log ⁡x+(1−x) log ⁡(1−x)x=log⁡(1−x)x

Differentiating gives

−1x(1−x)−log⁡(x−1)x2=−x−(1−x)log⁡(1−x)x2(1−x).

The numerator differentiates to −1+1+log⁡(1−x), which is negative everywhere. Also, it equals 0 at 0. So it has a constant sign. □

Combining this with Lemma 5.2, we get that

h(xy)≥ϕ2(xh(y)+yh(x)).

This allows us to take 1−1ϕ=1−5−12=3−52.