Bourbaki

§ 11. Classes of nilpotent elements and sl2\mathfrak{s}\mathfrak{l}_{2}-triplets

In this paragraph, g\mathfrak{g} denotes a finite dimensional Lie algebra.

1. Definition of sl2\mathfrak{s}\mathfrak{l}_{2}-triplets

Definition 1 0170

An sl2\mathfrak{s}\mathfrak{l}_2-triplet in g\mathfrak{g} is a sequence (x,h,y)(x, h, y) of elements of g\mathfrak{g}, distinct from (0,0,0)(0,0,0), such that

[h,x]=2x,[h,y]=−2y,[x,y]=−h [h, x] = 2x,[h, y] =-2y,[x, y] =-h

Let (x,h,y)(x, h, y) be an sl2\mathfrak{s}\mathfrak{l}_2-triplet in g\mathfrak{g}. The linear map τ\tau from sl(2,k)\mathfrak{s}\mathfrak{l}(2, k) to g\mathfrak{g} such that τ(X+)=x,τ(H)=h,τ(X−)=y\tau (X_+) =x, \tau (H) =h, \tau (X_-) =y is a homomorphism which is non-zero and hence injective (since sl(2,k)\mathfrak{s}\mathfrak{l}(2, k) is simple), and with image kx+kh+kykx+kh+ky. We thus obtain a canonical bijection from the set of sl2\mathfrak{s}\mathfrak{l}_2-triplets in g\mathfrak{g} to the set of injective homomorphisms from sl(2,k)\mathfrak{s}\mathfrak{l}(2, k) to g\mathfrak{g}. If g\mathfrak{g} is semi-simple and if (x,h,y)(x, h, y) is an sl2\mathfrak{s}\mathfrak{l}_2-triplet in g\mathfrak{g}, then xx and yy are nilpotent elements of g\mathfrak{g} and hh is a semi-simple element of g\mathfrak{g} (Chap. I, §6, no. 3, Prop. 4).

Lemma 1 0171

Let x,h,y,y′∈gx, h, y, y'\in \mathfrak{g}. If (x,h,y)(x, h, y) and (x,h,y′)(x, h, y') are sl2\mathfrak{s}\mathfrak{l}_2-triplets in g\mathfrak{g}, then y=y′y=y'.

Indeed, y−y′∈y-y'\in Ker(adgx_{\mathfrak{g}}x) and (adgh_{\mathfrak{g}}h)(y−y′)=−2(y−y′)(y-y') =-2(y-y'). But adgx_{\mathfrak{g}}x is injective on Ker(p+p+ adgh_{\mathfrak{g}}h) for every integer p>0(p >0 (§1, no. 2, Cor. of Prop. 2).

Lemma 2 0172

Let n\mathfrak{n} be a subalgebra of g\mathfrak{g} such that, for all n∈nn\in \mathfrak{n}, adg(n)_{\mathfrak{g}}(n) is nilpotent. Let h∈gh\in \mathfrak{g} be such that [h,n]=n[h,\mathfrak{n}] =\mathfrak{n}. Then eadgn.h=h+ne^{ad_{\mathfrak{g}}\mathfrak{n}}.h=h+\mathfrak{n}.

It is clear that eadg(n).h⊂h+ne^{ad_{\mathfrak{g}}(\mathfrak{n})}.h\subset h+\mathfrak{n}. We shall prove that, if v∈nv\in \mathfrak{n}, then h+v∈eadg(n).hh+v\in e^{ad_{\mathfrak{g}}(\mathfrak{n})}.h. It suffices to prove that h+v∈eadg(n).h+C0nh+v\in e^{ad_{\mathfrak{g}}(\mathfrak{n})}.h+\mathscr{C}0\mathfrak{n} for all p≥1p\geq 1 (since Cpn=0\mathscr{C}^p\mathfrak{n}= 0 for sufficiently large pp). This is clear for p=1p= 1 since C1n=n\mathscr{C}^1\mathfrak{n}=\mathfrak{n}. Assume now that we have proved the existence of yp∈ny_p\in \mathfrak{n} and zp∈Cpnz_p\in \mathscr{C}^p\mathfrak{n} such that h+v=eadgyp.h+zph+v=e^{ad_{\mathfrak{g}}y_p}.h+z_p. Since (adgh_{\mathfrak{g}}h)(n)=n(\mathfrak{n}) =\mathfrak{n}, (adgh_{\mathfrak{g}}h)∣n|\mathfrak{n} is a bijection from n\mathfrak{n} to n\mathfrak{n}, hence its restriction to Cpn\mathscr{C}^p\mathfrak{n}, which leaves Cpn\mathscr{C}^p\mathfrak{n} stable, is also bijective; consequently, there exists z∈Cpnz\in \mathscr{C}^p\mathfrak{n} such that zp=[z,h]z_p= [z, h]. Then

eadg(yp+z)h−eadgyph∈[z,h]+Cp+1n e^{ad_{\mathfrak{g}}(y_p+z)}h-e^{ad_{\mathfrak{g}}y_p}h\in [z, h] +\mathscr{C}^{p+1}\mathfrak{n}

so

eadg(yp+z)h∈h+v−zp+[z,h]+Cp+1n=h+v+Cp+1n e^{ad_{\mathfrak{g}}(y_p+z)}h\in h+v-z_p+ [z, h] +\mathscr{C}^{p+1}\mathfrak{n}=h+v+\mathscr{C}^{p+1}\mathfrak{n}

which establishes our assertion by induction on pp.

Lemma 3 0173

Let x∈g,p=x\in \mathfrak{g},\mathfrak{p}= Ker(ad xx),q=,\mathfrak{q}= Im(ad xx). Then [p,q]⊂q[\mathfrak{p},\mathfrak{q}]\subset \mathfrak{q}, and p∩q\mathfrak{p}\cap \mathfrak{q} is a subalgebra of g\mathfrak{g}.

If u∈pu\in \mathfrak{p} and v∈qv\in \mathfrak{q}, there exists w∈gw\in \mathfrak{g} such that v=[x,w]v= [x, w], so

[u,v]=[u,[x,w]]=[x,[u,w]]−[[x,u],w]=[x,[u,w]]∈q [u, v] = [u,[x, w]] = [x,[u, w]]-[[x, u], w] = [x,[u, w]]\in \mathfrak{q}

On the other hand, p\mathfrak{p} is a subalgebra of g\mathfrak{g}, so [p∩q,p∩q]⊂p∩q[\mathfrak{p}\cap \mathfrak{q},\mathfrak{p}\cap \mathfrak{q}]\subset \mathfrak{p}\cap \mathfrak{q}.

Lemma 4 0174

Let (x,h,y)(x, h, y) and (x,h′,y′)(x, h', y') be sl2\mathfrak{s}\mathfrak{l}_2-triplets in g\mathfrak{g}. There exists z∈gz\in \mathfrak{g} such that adgz_{\mathfrak{g}}z is nilpotent and such that

eadgzx=x,eadgzh=h′,eadgzy=y′ e^{ad_{\mathfrak{g}}z}x=x,e^{ad_{\mathfrak{g}}z}h=h',e^{ad_{\mathfrak{g}}z}y=y'

Let n=\mathfrak{n}= Ker(ad xx)∩\cap Im(ad xx). For all p∈Zp\in \mathbf{Z}, let gp=\mathfrak{g}_p= Ker(ad h−ph-p). By §1, no. 3 (applied to the adjoint representation of kx+ky+khkx+ky+kh on g\mathfrak{g}), we have that n⊂∑p>0gp\mathfrak{n}\subset \sum_{p>0}\mathfrak{g}_p, so adgn_{\mathfrak{g}}n is nilpotent for all n∈nn\in \mathfrak{n}, and [h,n]=n[h,\mathfrak{n}] =\mathfrak{n}. We have [x,h′−h]=0[x, h'-h] = 0 and [x,y−y′]=h′−h[x, y-y'] =h'-h, so h′−h∈nh'-h\in \mathfrak{n}. By Lemmas 2 and 3, there exists z∈nz\in \mathfrak{n} such that eadgzh=h′e^{ad_{\mathfrak{g}}z}h=h'. Since z∈z\in Ker adgx_{\mathfrak{g}}x, we have eadgzx=xe^{ad_{\mathfrak{g}}z}x=x. Lemma 1 now proves that eadgzy=y′e^{ad_{\mathfrak{g}}z}y=y'. Q.E.D.

Let G be a group of automorphisms of g\mathfrak{g}. Then two sl2\mathfrak{s}\mathfrak{l}_2-triplets (x,h,y)(x, h, y), (x′,h′,y′)(x', h', y') are said to be G-conjugate if there exists g∈Gg\in G such that gx=x′gx=x', gh=h′,gy=y′gh=h', gy=y'.

Proposition 1 0175

Let G be a group of automorphisms of g\mathfrak{g} containing Aute(g)_e(\mathfrak{g}). Let (x,h,y)(x, h, y) and (x′,h′,y′)(x', h', y') be sl2\mathfrak{s}\mathfrak{l}_2-triplets in g\mathfrak{g}. Let

t=kx+kh+ky,t′=kx′+kh′+ky′ \mathfrak{t}=kx+kh+ky,\mathfrak{t}'=kx'+kh'+ky'

Consider the following conditions:

(i) xx and x′x' are G-conjugate;

(ii) (x,h,y)(x, h, y) and (x′,h′,y′)(x', h', y') are G-conjugate;

(iii) t\mathfrak{t} and t′\mathfrak{t}' are G-conjugate.

We have (i) ⇐⇒\Leftarrow \Rightarrow (ii) =⇒=\Rightarrow (iii). If kk is algebraically closed, the three conditions are equivalent.

(i) ⇐⇒\Leftarrow \Rightarrow (ii): This follows from Lemma 4.

(ii) =⇒=\Rightarrow (iii): This is clear.

We assume that kk is algebraically closed and prove that (iii) =⇒=\Rightarrow (i). We treat first the case in which t=t′=g=sl(2,k)\mathfrak{t}=\mathfrak{t}'=\mathfrak{g}=\mathfrak{s}\mathfrak{l}(2, k). Since adgx_{\mathfrak{g}}x is nilpotent, the endomorphism xx of k2k^2 is nilpotent (Chap. I, §6, Th. 3), so there exists a matrix A∈GL(2,k)A\in \mathbf{G}\mathbf{L}(2, k) such that AxA−1=XAxA^{-1}=X, and consequently an automorphism α\alpha of sl(2,k)\mathfrak{s}\mathfrak{l}(2, k) such that α(x)=x′\alpha (x) =x'; now α∈\alpha \in Aute(g)(_e(\mathfrak{g}) (§5, no. 3, Cor. 2 of Prop. 5). We now pass to the general case; we assume that t\mathfrak{t} and t′\mathfrak{t}' are G-conjugate and prove that xx and x′x' are G-conjugate. We can assume that t=t′\mathfrak{t}=\mathfrak{t}'. By the preceding, there exists β∈\beta \in Aute(t)_e(\mathfrak{t}) such that βx=x′\beta x=x'. Now, if t∈tt\in \mathfrak{t} is such that adtt_{\mathfrak{t}}t is nilpotent, then adgt_{\mathfrak{g}}t is nilpotent; so β\beta extends to an element of Aute(g)_e(\mathfrak{g}).

Remark 0176

The three conditions of Prop. 1 are equivalent if we assume only that k=k2k=k^2 (cf. Exerc. 1).

2. M173-triplets in semi-simple Lie algebras

Lemma 5 0177

Let V be a finite dimensional vector space, A and B endomorphisms of V. Assume that A is nilpotent and that [A,[A,B]]=0[A,[A,B]] = 0. Then AB is nilpotent.

Put C=[A,B]C = [A,B]. Since [A,C]=0[A,C] = 0,

[A[A, BCp]=[A,B]Cp=Cp+1^p] = [A,B]C^p= C^{p+1}

for every integer p≥0p\geq 0. Consequently, Tr(Cp^p) =0= 0 for p≥1p\geq 1, which proves that C is nilpotent (Algebra, Chap. VII, §3, no. 5, Cor. 4 of Prop. 13). Now let k‾\overline{k} be an algebraic closure of kk, and let λ∈k‾,x∈V⊗kk‾\lambda \in \overline{k},x\in V\otimes_k\overline{k} be such that ABx=λxx=\lambda x, x≠0x\not= 0. The relation [[B,A],A]=0[[B,A],A] = 0 shows that [B,Ap]=p[B,A]Ap−1[B,A^p] =p[B,A]A^{p-1} for every integer p≥0p\geq 0. Let rr be the smallest integer such that Arx=0A^rx= 0. Then

λAr−1x=Ar−1\lambda A^{r-1}x= A^{r-1}ABx=ArBx=x= A^rBx= BArx−[B,Ar]x=−r[B,A]Ar−1x^rx-[B,A^r]x=-r[B,A]A^{r-1}x.

Since [B,A][B,A] is nilpotent and since Ar−1x≠0A^{r-1}x\not= 0, this proves that λ=0\lambda = 0. Thus, all the eigenvalues of AB are zero, hence the lemma.

Lemma 6 0178

Let h,x∈gh, x\in \mathfrak{g} be such that [h,x]=2x[h, x] = 2x and h∈h\in (ad xx)(g)(\mathfrak{g}). Then there exists y∈gy\in \mathfrak{g} such that (x,h,y)(x, h, y) is either (0,0,0)(0,0,0) or an sl2\mathfrak{s}\mathfrak{l}_2-triplet.

Let g′\mathfrak{g}' be the solvable Lie algebra kh+kxkh+kx. Since x∈[g′,g′]x\in [\mathfrak{g}',\mathfrak{g}'], adgx_{\mathfrak{g}}x is nilpotent (Chap. I, §5, no. 3, Th. 1); let n\mathfrak{n} be its kernel. Since [ad hh, ad x]=x] = 2 ad xx, we have (ad hh)n⊂n\mathfrak{n}\subset \mathfrak{n}. Let z∈gz\in \mathfrak{g} be such that h=−[x,z]h=-[x, z]. For any integer n≥0n\geq 0, put Mn=M_n= (ad xx)ng^n\mathfrak{g}. If n>0n >0, we have (§1, no. 1, Lemma 1)

[ad zz,(ad xx)n]=n^n] =n((ad hh)−n+-n+ 1)(ad xx)n−1^{n-1}

so, if u∈Mn−1u\in M_{n-1},

nn((ad hh)−n+1-n+ 1)u∈u\in (ad zz)(ad xx)u+Mnu+ M_n.

Since (ad hh)n⊂n\mathfrak{n}\subset \mathfrak{n}, it follows that

((ad hh)−n+1-n+ 1)(n∩Mn−1)⊂n∩Mn(\mathfrak{n}\cap M_{n-1})\subset \mathfrak{n}\cap M_n.

Since ad xx is nilpotent, Mn=0M_n= 0 for sufficiently large nn. Consequently, the eigenvalues of ad h∣nh|\mathfrak{n} are integers ≥0\geq 0. Thus, the restriction of ad h+2h+ 2 to n\mathfrak{n} is invertible.

Now [h,z]+2z∈n[h, z] + 2z\in \mathfrak{n} since

[x,[h,z]+2z]=[[x,h],z]+[h,[x,z]]+2[x,z] [x,[h, z] + 2z] = [[x, h], z] + [h,[x, z]] + 2[x, z]
=[−2x,z]+[h,−h]+2[x,z]=0 = [-2x, z] + [h,-h] + 2[x, z] = 0

Hence there exists z′∈nz'\in \mathfrak{n} such that [h,z′]+2z′=[h,z]+2z[h, z'] + 2z'= [h, z] + 2z, that is, [h,y]=−2y[h, y] =-2y, putting y=z−z′y=z-z'. Since [x,y]=[x,z]=−h[x, y] = [x, z] =-h, this completes the proof.

Proposition 2 (Jacobson-Morozov) 0179

Assume that g\mathfrak{g} is semi-simple. Let xx be a non-zero nilpotent element of g\mathfrak{g}. There exist h,y∈gh, y\in \mathfrak{g} such that (x,h,y)(x, h, y) is an sl2\mathfrak{s}\mathfrak{l}_2-triplet.

Let n=\mathfrak{n}= Ker(ad xx)2^2. If z∈nz\in \mathfrak{n}, then [ad xx,[ad xx, ad z]]=z]] = ad([x,[x,z]]x,[x, z]]) =0= 0. By Lemma 5, ad x∘x\circ ad zz is nilpotent, so Tr(ad x∘x\circ ad zz) =0= 0. This shows that xx is orthogonal to n\mathfrak{n} with respect to the Killing form Φ\Phi of g\mathfrak{g}. Since

Φ\Phi((ad xx)2y,y′^2y, y') =Φ(y=\Phi (y, (ad xx)2y′)^2y')

for all y,y′∈gy, y'\in \mathfrak{g}, and since Φ\Phi is non-degenerate, the orthogonal complement of n\mathfrak{n} is the image of (ad xx)2^2. Hence there exists y′∈gy'\in \mathfrak{g} such that x=x= (ad xx)2y′^2y'. Put

h=−2[x,y′] h=-2[x, y']

we have [h,x]=2x[h, x] = 2x and h∈h\in (ad xx)(g)(\mathfrak{g}). It now suffices to apply Lemma 6.

Corollary 017A

Assume that g\mathfrak{g} is semi-simple. Let G be a group of automorphisms of g\mathfrak{g} containing Aute(g)_e(\mathfrak{g}). The map which associates to any sl2\mathfrak{s}\mathfrak{l}_2-triplet (x,h,y)(x, h, y) in g\mathfrak{g} the nilpotent element xx defines, by passage to the quotient, a bijection from the set of G-conjugacy classes of sl2\mathfrak{s}\mathfrak{l}_2-triplets to the set of G-conjugacy classes of non-zero nilpotent elements.

This follows from Prop. 1 and 2.

Lemma 7 017B

Let K be a commutative field with at least 4 elements. Let G be the group of matrices (α0αβ−1)(\alpha 0\alpha \beta_{-1}) where α∈K∗,β∈K\alpha \in K^*,\beta \in K. Let G′G' be the group

of such matrices such that α=1\alpha = 1. Then G′=(G,G)G'= (G,G).

If α,α′∈K∗\alpha , \alpha '\in K^* and β,β′∈K\beta , \beta '\in K,

(αβ)((α′β′)((αβ)−1(α′β′)−1 (\alpha \beta )((\alpha '\beta ')((\alpha \beta )^{-1}(\alpha '\beta ')^{-1}

0 α−1\alpha^{-1} 0 α′−1\alpha^{'-1} 0 α−1\alpha^{-1} 0 α′−1\alpha^{'-1}

=(1−α′β′−αβα′2+α2α′β′+αβ) =(1-\alpha '\beta '-{\alpha \beta \alpha '}^2+\alpha^2\alpha '\beta '+\alpha \beta )

0 1

In particular,

(1β)((α′(1\beta )((\alpha ' 0 )((1β)−1(α′)((1\beta )^{-1}(\alpha ' 0 )−1=(1β(1−α′2)))^{-1}=(1\beta (1-{\alpha '}^2)).

0 1 0 α′−1\alpha^{'-1} 0 1 0 α′−1\alpha^{'-1} 0 1

But there exists α0′∈K∗\alpha '_0\in K^* such that α0′≠1\alpha '_0\not= 1 and α0′≠−1\alpha '_0\not=-1, and then k.(1−α0′2)k.(1-{\alpha '_0}^2) =k=k, hence the lemma.

Proposition 3 017C

Assume that g\mathfrak{g} is semi-simple. The group Aute(g)_e(\mathfrak{g}) is equal to its derived group. If g\mathfrak{g} is splittable, Aute(g)_e(\mathfrak{g}) is the derived group of Aut0(g)_0(\mathfrak{g}).

Let xx be a non-zero nilpotent element of g\mathfrak{g}. Choose h,y∈gh, y\in \mathfrak{g} be such that (x,h,y)(x, h, y) is an sl2\mathfrak{s}\mathfrak{l}_2-triplet (Prop. 2). The subalgebra s\mathfrak{s} of g\mathfrak{g} generated by (x,h,y)(x, h, y) can be identified with sl(2,k)\mathfrak{s}\mathfrak{l}(2, k). Let ρ\rho be the representation z→z \rightarrow adgz_{\mathfrak{g}}z of s=sl(2,k)\mathfrak{s}=\mathfrak{s}\mathfrak{l}(2, k) on g\mathfrak{g}, and let π\pi be the representation of SL(2,k)\mathbf{S}\mathbf{L}(2, k) compatible with ρ(\rho (§1, no. 4). The image of π\pi is generated by the exp(tt adgx_{\mathfrak{g}}x) and the exp(tt adgy_{\mathfrak{g}}y) with t∈k(t\in k(Algebra, Chap. III, §8, no. 9, Prop. 17), hence is contained in Aute(g)_e(\mathfrak{g}). Since SL(2,k)\mathbf{S}\mathbf{L}(2, k) is equal to its derived group (Lemma 7 and loc. cit.), exp(adgx_{\mathfrak{g}}x) belongs to the derived group G of Aute(g)_e(\mathfrak{g}). Hence Aute(g)_e(\mathfrak{g}) is equal to G. Assume now that g\mathfrak{g} is splittable. Since Aut0(g)/_0(\mathfrak{g})/Aute(g)_e(\mathfrak{g}) is commutative (§5, no. 3, Remark 3), the preceding proves that the derived group of Aut0(g)_0(\mathfrak{g}) is Aute(g)_e(\mathfrak{g}).

3. Simple elements

Definition 2 017D

An element hh of g\mathfrak{g} is said to be simple if there exist x,y∈gx, y\in \mathfrak{g} such that (x,h,y)(x, h, y) is an sl2\mathfrak{s}\mathfrak{l}_2-triplet in g\mathfrak{g}.

We also say that hh is the simple element of the sl2\mathfrak{s}\mathfrak{l}_2-triplet (x,h,y)(x, h, y).

Proposition 4 017E

Let hh be a non-zero element of g\mathfrak{g}. Then hh is simple if and only if there exists x∈gx\in \mathfrak{g} such that [h,x]=2x[h, x] = 2x and h∈h\in (ad xx)(g)(\mathfrak{g}).

The condition is clearly necessary. It is sufficient by Lemma 6.

Proposition 5 017F

Assume that g\mathfrak{g} is splittable semi-simple. Let h\mathfrak{h} be a splitting Cartan subalgebra of g\mathfrak{g}, R the set of roots of (g,h)(\mathfrak{g},\mathfrak{h}), and B a basis of R. Let hh be a simple element of g\mathfrak{g} belonging to h\mathfrak{h}. Then hh is conjugate under Aute(g,h)_e(\mathfrak{g},\mathfrak{h}) to an element h′h' of h\mathfrak{h} such that α(h′)∈{0,1,2}\alpha (h')\in \{0,1,2\} for all α∈B\alpha \in B.

The eigenvalues of adgh_{\mathfrak{g}}h belong to Z(\mathbf{Z}(§1, no. 2, Cor. of Prop. 2). Hence h∈hQh\in \mathfrak{h}_{\mathbf{Q}}. There exists an element ww of the Weyl group of (g,h)(\mathfrak{g},\mathfrak{h}) such that α(wh)≥0\alpha (wh)\geq 0 for all α∈B\alpha \in B (Chap. VI, §1, no. 5, Th. 2 (i)). In view of §2, no. 2, Cor. of Th. 2, we are reduced to the case in which α(h)∈N\alpha (h)\in \mathbf{N} for all α∈B\alpha \in B. Let R+R_+ be the set of positive roots relative to B, and R−=−R+R_-=-R_+. There exists an sl2\mathfrak{s}\mathfrak{l}_2-triplet in g\mathfrak{g} of the form (x,h,y)(x, h, y). Let T be the set of roots β\beta such that β(h)=−2\beta (h) =-2. Then T⊂R−T\subset R_- and y∈∑β∈Tgβy\in \sum_{\beta\in T}\mathfrak{g}^{\beta}. Assume that there

exists α∈B\alpha \in B such that α(h)>2\alpha (h)>2. For all β∈T\beta \in T, we have (α+β)(h)>0(\alpha +\beta )(h)>0, so α+β∉R−\alpha +\beta \notin R_- and α+β≠0\alpha +\beta \not= 0; on the other hand, since β∈R−\beta \in R_- and α∈B\alpha \in B, we have α+β∉R+\alpha +\beta \notin R_+; hence α+β∉R∪{0}\alpha +\beta \notin R\cup \{0\}, so [gα,gβ]=0[\mathfrak{g}^{\alpha},\mathfrak{g}^{\beta}] = 0. Thus, [y,gα]=0[y,\mathfrak{g}^{\alpha}] = 0. But adgy∣gα_{\mathfrak{g}}y|\mathfrak{g}^{\alpha} is injective since α(h)>0(\alpha (h)>0 (§1, no. 2, Cor. of Prop. 2). This contradiction proves that α(h)≤2\alpha (h)\leq 2 for all α∈B\alpha \in B.

Corollary 017G

If kk is algebraically closed and if g\mathfrak{g} is semi-simple of rank ll, the number of conjugacy classes of simple elements of g\mathfrak{g}, relative to Aute(g)_e(\mathfrak{g}), is at most 3l3^l.

Indeed, every semi-simple element of g\mathfrak{g} is conjugate under Aute(g)_e(\mathfrak{g}) to an element of h\mathfrak{h}.

Lemma 8 017H

Assume that kk is algebraically closed and that g\mathfrak{g} is semi-simple. Let hh be a semi-simple element of g\mathfrak{g} such that the eigenvalues of ad hh are rational. Let g0=\mathfrak{g}^0= Ker(ad hh),g2=,\mathfrak{g}^2= Ker(ad h−2h-2). Let GhG_h be the set of elementary automorphisms of g\mathfrak{g} leaving hh fixed. Let x∈g2x\in \mathfrak{g}^2 be such that [x,g0]=g2[x,\mathfrak{g}^0] =\mathfrak{g}^2. Then GhxG_hx contains a subset of g2\mathfrak{g}^2 that is dense and open in the Zariski topology.

Let h\mathfrak{h} be a Cartan subalgebra of g0\mathfrak{g}^0. This is a Cartan subalgebra of g\mathfrak{g} containing hh (Chap. VII, §2, no. 3, Prop. 10). We have h∈hQh\in \mathfrak{h}_{\mathbf{Q}}. Let R be the root system of (g,h),Q(\mathfrak{g},\mathfrak{h}), Q the group of radical weights. There exists a basis B of R such that α(h)≥0\alpha (h)\geq 0 for all α∈B\alpha \in B.

Let U be the set of z∈hz\in \mathfrak{h} such that α(z)≠0\alpha (z)\not= 0 for all α∈B\alpha \in B. Let (Hα′)α∈B(H'_{\alpha})_{\alpha\in B} be the basis of h\mathfrak{h} dual to B. If z∈Uz\in U, there exists a homomorphism from Q to k∗k^* that takes any γ∈Q\gamma \in Q to ∏α∈Bα(z)γ(Hα′)\prod_{\alpha\in B}\alpha (z)^{\gamma(H'_{\alpha})}. By §5, Prop. 2 and 4, the

endomorphism φ(z)\varphi (z) of the vector space g\mathfrak{g} which induces on gγ\mathfrak{g}^{\gamma} the homothety with ratio ∏α∈Bα(z)γ(Hα′)\prod_{\alpha\in B}\alpha (z)^{\gamma(H'_{\alpha})} is an elementary automorphism of g\mathfrak{g}, which clearly

belongs to GhG_h.

Let s∈hs\in \mathfrak{h}. If γ∈R\gamma \in R is such that gγ∩g2≠0\mathfrak{g}^{\gamma}\cap \mathfrak{g}^2\not= 0,

2=γ(h)=γ(∑α∈Bα(h)Hα′)=∑α∈Bα(h)γ(Hα′) 2 =\gamma (h) =\gamma (\sum_{\alpha\in B}\alpha (h)H'_{\alpha})=\sum_{\alpha\in B}\alpha (h)\gamma (H'_{\alpha})

since α(h)≥0\alpha (h)\geq 0 for all α∈B\alpha \in B, and since the γ(Hα′)\gamma (H'_{\alpha}) are integers either all ≥0\geq 0 or all ≤0\leq 0, we have γ(Hα′)∈N\gamma (H'_{\alpha})\in \mathbf{N} for all α∈B\alpha \in B. Thus, we can consider (for z∈hz\in \mathfrak{h}) the endomorphism ψ(z)\psi (z) of the vector space g2\mathfrak{g}^2 that induces on gγ∩g2\mathfrak{g}^{\gamma}\cap \mathfrak{g}^2 the homothety with ratio ∏α∈Bα(z)γ(Hα′)\prod_{\alpha\in B}\alpha (z)^{\gamma(H'_{\alpha})}. The map z→ψ(z)z \rightarrow \psi (z) from h\mathfrak{h} to End(g2\mathfrak{g}^2) is polynomial. For z∈Uz\in U, we have ψ(z)=φ(z)∣g2\psi (z) =\varphi (z)|\mathfrak{g}^2.

Let γ1,...,γr\gamma_1, . . . , \gamma_r be the distinct roots of (g,h)(\mathfrak{g},\mathfrak{h}) vanishing on hh. If y1∈gγ1,...y_1\in \mathfrak{g}^{\gamma_1}, . . ., yr∈gγry_r\in \mathfrak{g}^{\gamma_r}, we have eady1...eadyr∈Ghe^{ady_1}. . . e^{ady_r}\in G_h. We can thus define a map ρ\rho from h×gγ1×⋯×gγr\mathfrak{h}\times \mathfrak{g}^{\gamma_1}\times \cdots \times \mathfrak{g}^{\gamma_r} to g2\mathfrak{g}^2 by putting

ρ(z,y1,...,yr)=ψ(z)eady1...eadyrx \rho (z, y_1, . . . , y_r) =\psi (z)e^{ady_1}. . . e^{ady_r}x

for z∈h,y1∈gγ1,...,yr∈gγrz\in \mathfrak{h}, y_1\in \mathfrak{g}^{\gamma_1}, . . . , y_r\in \mathfrak{g}^{\gamma_r}. This map is polynomial, and ρ(U,gγ1,...,gγr)\rho (U,\mathfrak{g}^{\gamma_1}, . . . ,\mathfrak{g}^{\gamma_r}) ⊂Ghx\subset G_hx. By Chap. VII, App. I, Prop. 3 and 4, it suffices to prove that the tangent linear map of ρ\rho is surjective at some point.

Now let T be the tangent linear map of z→ψ(z)z \rightarrow \psi (z) at h0=∑α∈BHα′h_0=\sum_{\alpha\in B}H'_{\alpha}. Then T(z)T(z) is the endomorphism of g2\mathfrak{g}^2 that induces on gγ∩g2\mathfrak{g}^{\gamma}\cap \mathfrak{g}^2 the homothety with ratio

∑α∈Bγ(Hα′)α(h0)γ(Hα′)−1α(z)∏β∈B,β≠αβ(h0)γ(Hα′)=∑α∈Bγ(Hα′)α(z)=γ(z) \sum_{\alpha\in B}\gamma (H'_{\alpha})\alpha (h_0)^{\gamma(H'_{\alpha})-1}\alpha (z)\prod_{\beta\in B,\beta\not=\alpha}\beta (h_0)^{\gamma(H'_{\alpha})}=\sum_{\alpha\in B}\gamma (H'_{\alpha})\alpha (z) =\gamma (z)

Thus, the tangent linear map of z→ρ(z,0,...,0)z \rightarrow \rho (z,0, . . . ,0) at h0h_0 is the map z→[z,x]z \rightarrow [z, x]; its image is [x,h][x,\mathfrak{h}]. The tangent linear map at 0 of the map y1→ρ(h0,y1,0,...,0)y_1 \rightarrow \rho (h_0, y_1,0, . . . ,0) is the map y1→ψ(h0)[y1,x]y_1 \rightarrow \psi (h_0)[y_1, x]; this last map has image ψ(h0)[x,gγ1]=[x,gγ1]\psi (h_0)[x,\mathfrak{g}^{\gamma_1}] = [x,\mathfrak{g}^{\gamma_1}]. Similarly, the tangent linear map at 0 of the map yi→ρ(h0,0,...,0,yi,0,...,0)y_i \rightarrow \rho (h_0,0, . . . ,0, y_i,0, . . . ,0) has image [x,gγi][x,\mathfrak{g}^{\gamma_i}]. Finally, the tangent linear map of ρ\rho at (h0,0,...,0)(h_0,0, . . . ,0) has image

[x,h+gγ1+⋯+gγr]=[x,g0]=g2.Q.E.D [x,\mathfrak{h}+\mathfrak{g}^{\gamma_1}+\cdots +\mathfrak{g}^{\gamma_r}] = [x,\mathfrak{g}^0] =\mathfrak{g}^2.Q.E.D

\*The group GhG_h is an algebraic group with Lie algebra ad g0\mathfrak{g}^0.\*

Proposition 6 017I

Assume that kk is algebraically closed and that g\mathfrak{g} is semi-simple. Let G be a group of automorphisms of g\mathfrak{g} containing Aute(g)_e(\mathfrak{g}). Let (x,h,y)(x, h, y) and (x′,h′,y′)(x', h', y') be sl2\mathfrak{s}\mathfrak{l}_2-triplets in g\mathfrak{g}. The following conditions are equivalent:

(i) hh and h′h' are G-conjugate;

(ii) (x,h,y)(x, h, y) and (x′,h′,y′)(x', h', y') are G-conjugate.

We only have to prove the implication (i) =⇒=\Rightarrow (ii), and we are reduced immediately to the case in which h=h′h=h'. Introduce g2\mathfrak{g}^2 and GhG_h as in Lemma 8. We have x∈g2x\in \mathfrak{g}^2, and [x,g0]=g2[x,\mathfrak{g}^0] =\mathfrak{g}^2 by §1, no. 2, Cor. of Prop. 2. Hence GhxG_hx contains a subset of g2\mathfrak{g}^2 that is dense and open in the Zariski topology, and so does Ghx′G_hx'. So there exists a∈Gha\in G_h such that a(x)=x′a(x) =x'. We have a(h)=ha(h) =h, and consequently a(y)=y′a(y) =y' (no. 1, Lemma 1).

Corollary 1 017J

The map which associates to any sl2\mathfrak{s}\mathfrak{l}_2-triplet its simple element defines by passage to the quotients a bijection from the set of G-conjugacy classes of sl2\mathfrak{s}\mathfrak{l}_2-triplets to the set of G-conjugacy classes of simple elements.

Corollary 2 017K

If rk(g\mathfrak{g}) =l=l, the number of conjugacy classes, relative to Aute(g)_e(\mathfrak{g}), of non-zero nilpotent elements of g\mathfrak{g} is at most 3l3^l.

This follows from Cor. 1, the Cor. of Prop. 2, and the Cor. of Prop. 5.

Corollary 3 017L

If rk(g\mathfrak{g}) =l=l, the number of conjugacy classes, relative to Aute(g)_e(\mathfrak{g}), of subalgebras of g\mathfrak{g} isomorphic to sl(2,k)\mathfrak{s}\mathfrak{l}(2, k) is at most 3l3^l.

This follows from Cor. 1, Prop. 1, and the Cor. of Prop. 5.

4. Principal elements

Definition 3 017M

Assume that g\mathfrak{g} is semi-simple.

(i) A nilpotent element xx of g\mathfrak{g} is said to be principal if the dimension of Ker ad xx is the rank of g\mathfrak{g}.

(ii) A simple element hh of g\mathfrak{g} is said to be principal if hh is regular and the eigenvalues of ad hh in an algebraic closure of kk belong to 2Z2\mathbf{Z}.

(iii) An sl2\mathfrak{s}\mathfrak{l}_2-triplet (x,h,y)(x, h, y) of g\mathfrak{g} is said to be principal if the length of g\mathfrak{g}, considered as a module over kx+kh+kykx+kh+ky, is equal to the rank of g\mathfrak{g}.

Proposition 7 017N

Assume that g\mathfrak{g} is semi-simple. Let (x,h,y)(x, h, y) be an sl2\mathfrak{s}\mathfrak{l}_2-triplet in g\mathfrak{g}. The following conditions are equivalent:

(i) xx is principal;

(ii) hh is principal;

(iii) (x,h,y)(x, h, y) is principal.

For p∈Zp\in \mathbf{Z}, let gp=\mathfrak{g}^p= Ker(ad h−ph-p). Let g′=∑p∈Zg2p\mathfrak{g}'=\sum_{p\in\mathbf{Z}}\mathfrak{g}^{2p}. If g\mathfrak{g} is considered as

a module over a=kx+kh+ky,g′\mathfrak{a}=kx+kh+ky,\mathfrak{g}' is the sum of the simple submodules of odd dimension (§1, no. 2, Cor. of Prop. 2). Let ll (resp. l′l') be the length of g\mathfrak{g} (resp. g′\mathfrak{g}') considered as an a\mathfrak{a}-module. By §1, no. 2,

dim(Ker ad xx) =l≥l′==l\geq l'= dim(Ker ad hh)≥\geq rk(g\mathfrak{g}).

The equivalence of (i) and (iii) follows immediately. On the other hand, condition (ii) means that dim(Ker ad hh) == rk(g\mathfrak{g}) and g′=g\mathfrak{g}'=\mathfrak{g}, in other words that

dim(Ker ad hh) == rk(g\mathfrak{g}) and l=l′l=l'. The equivalence of (ii) and the other conditions follows.

Proposition 8 017O

Assume that g\mathfrak{g} is semi-simple ≠0\not= 0. Let h\mathfrak{h} be a splitting Cartan subalgebra of g\mathfrak{g}, R the root system of (g,h)(\mathfrak{g},\mathfrak{h}), B a basis of R,h0,h^0 the element of h\mathfrak{h} such that α(h0)=2\alpha (h^0) = 2 for all α∈B\alpha \in B.

(i) The element h0h^0 is simple and principal.

(ii) The elements xx of g\mathfrak{g} such that there exists an sl2\mathfrak{s}\mathfrak{l}_2-triplet of the form (x,h0,y)(x, h^0, y) are the elements of ∑α∈Bgα\sum_{\alpha\in B}\mathfrak{g}^{\alpha} that have a non-zero component in each gα\mathfrak{g}^{\alpha}.

The element h0h^0 is that considered in §7, no. 5, Lemma 2 (cf. loc. cit., formula (1)). It follows from this lemma that h0h^0 is simple principal and that, if x∈∑α∈Bgαx\in \sum_{\alpha\in B}\mathfrak{g}^{\alpha} has a non-zero component in each gα\mathfrak{g}^{\alpha}, there exists an sl2\mathfrak{s}\mathfrak{l}_2-triplet of the form (x,h0,y)(x, h^0, y). Conversely, let (x,h0,y)(x, h^0, y) be a sl2\mathfrak{s}\mathfrak{l}_2-triplet. We have [h0,x]=2x[h^0, x] = 2x, so x∈∑γ∈R,γ(h0)=2gγ=∑α∈Bgαx\in \sum_{\gamma\in R,\gamma(h^0)=2}\mathfrak{g}^{\gamma}=\sum_{\alpha\in B}\mathfrak{g}^{\alpha}. Similarly, y∈∑α∈Bg−αy\in \sum_{\alpha\in B}\mathfrak{g}^{-\alpha}. Write

h0=∑α∈BaαHαh^0=\sum_{\alpha\in B}a_{\alpha}H_{\alpha} where aα>0a_{\alpha}>0 for all α∈B\alpha \in B,

x=∑α∈BXαx=\sum_{\alpha\in B}X_{\alpha} where Xα∈gαX_{\alpha}\in \mathfrak{g}^{\alpha} for all α∈B\alpha \in B,

y=∑α∈BX−αy=\sum_{\alpha\in B}X_{-\alpha} where X−α∈g−αX_{-\alpha}\in \mathfrak{g}^{-\alpha} for all α∈B\alpha \in B.

Then

∑α∈BaαHα=h0=[y,x]=∑α,β∈B[X−β,Xα]=∑α∈B[X−α,Xα] \sum_{\alpha\in B}a_{\alpha}H_{\alpha}=h^0= [y, x] =\sum_{\alpha ,\beta\in B}[X_{-\beta}, X_{\alpha}] =\sum_{\alpha\in B}[X_{-\alpha}, X_{\alpha}]

so [X−α,Xα]≠0[X_{-\alpha}, X_{\alpha}]\not= 0 for all α∈B\alpha \in B.

Corollary 017P

In a splittable semi-simple Lie algebra, there exist principal nilpotent elements.

In a non-splittable semi-simple Lie algebra, 0 may be the only nilpotent element.

Proposition 9 017Q

Assume that kk is algebraically closed and that g\mathfrak{g} is semi-simple. All the principal simple (resp. nilpotent) elements of g\mathfrak{g} are conjugate under Aute(g)_e(\mathfrak{g}).

We retain the notations of Prop. 8. Let hh be a principal simple element. It is conjugate under Aute(g)_e(\mathfrak{g}) to an h′∈hh'\in \mathfrak{h} such that α(h′)∈{0,1,2}\alpha (h')\in \{0,1,2\} for all α∈B\alpha \in B (no. 3, Prop. 5). Since h′h' is principal simple, α(h′)≠0\alpha (h')\not= 0 and α(h′)∈2Z\alpha (h')\in 2\mathbf{Z} for all α∈B\alpha \in B, so α(h′)=2\alpha (h') = 2 for all α∈B\alpha \in B, and hence h′=h0h'=h^0. This proves the assertion for principal simple elements.

Let x,x′x, x' be principal nilpotent elements. There exist sl2\mathfrak{s}\mathfrak{l}_2-triplets (x,h,y)(x, h, y), (x′,h′,y′)(x', h', y'). By Prop. 7,h7,h and h′h' are principal simple, hence conjugate under Aute(g)_e(\mathfrak{g}) by the preceding. So xx and x′x' are conjugate under Aute(g)_e(\mathfrak{g}) (Prop. 6).

Lemma 9 017R

With the notations of Prop. 8, put gp=\mathfrak{g}^p= Ker(ad h0−ph^0-p) for p∈Zp\in \mathbf{Z}. Let g∗2\mathfrak{g}^2_* be the set of elements of g2=∑α∈Bgα\mathfrak{g}^2=\sum_{\alpha\in B}\mathfrak{g}^{\alpha} that have a non-zero component

in each gα\mathfrak{g}^{\alpha}. Let R+R_+ be the set of positive roots relative to B,n+=∑α∈R+gα,\mathfrak{n}_+=\sum_{\alpha\in R_+}\mathfrak{g}^{\alpha}, and x∈g∗2x\in \mathfrak{g}^2_*. Then eadn+.x=x+[n+,n+]e^{ad\mathfrak{n}_+}.x=x+ [\mathfrak{n}_+,\mathfrak{n}_+].

It is clear that eadn+.x⊂x+[n+,n+]e^{ad\mathfrak{n}_+}.x\subset x+ [\mathfrak{n}_+,\mathfrak{n}_+]. We prove that, if v∈[n+,n+]v\in [\mathfrak{n}_+,\mathfrak{n}_+], then x+v∈eadn+.xx+v\in e^{ad\mathfrak{n}_+}.x. Put n(p)=∑r≥pg2r\mathfrak{n}^{(p)}=\sum_{r\geq p}\mathfrak{g}^{2r}; it suffices to prove that

x+v∈eadn+.x+n(p) x+v\in e^{ad\mathfrak{n}_+}.x+\mathfrak{n}^{(p)}

for all p≥2p\geq 2. This is clear for p=2p= 2 since n(2)\mathfrak{n}^{(2)} =[n+,n+](= [\mathfrak{n}_+,\mathfrak{n}_+] (§3, no. 3, Prop. 9 (iii)). Assume that we have found z∈n+z\in \mathfrak{n}_+ such that v+x−eadz.x∈v+x-e^{adz}.x\in n(p)\mathfrak{n}^{(p)}. Since there exists an sl2\mathfrak{s}\mathfrak{l}_2-triplet of the form (x,h0,y)(x, h^0, y) (Prop. 8), §1, no. 2, Cor. of Prop. 2 proves that [x,g2p−2]=g2p[x,\mathfrak{g}^{2p-2}] =\mathfrak{g}^{2p}; hence, there exists z′∈g2p−2⊂n+z'\in \mathfrak{g}^{2p-2}\subset \mathfrak{n}_+ such that

v+x−eadz.x∈[z′,x]+n(p+1) v+x-e^{adz}.x\in [z', x] +\mathfrak{n}^{(p+1)}

So v+x∈ead(z+z′).x+n(p+1)v+x\in e^{ad(z+z')}.x+\mathfrak{n}^{(p+1)}, and our assertion is established by induction.

Proposition 10 017S

Assume that g\mathfrak{g} is semi-simple. Let h\mathfrak{h} be a splitting Cartan subalgebra of g\mathfrak{g}, R the root system of (g,h)(\mathfrak{g},\mathfrak{h}), B a basis of R, R+R_+ the set of positive roots relative to B, and n+=∑α∈R+gα\mathfrak{n}_+=\sum_{\alpha\in R_+}\mathfrak{g}^{\alpha}. The principal nilpotent elements belonging to n+\mathfrak{n}_+ are the elements of n+\mathfrak{n}_+ having a non-zero component in gα\mathfrak{g}^{\alpha} for all α∈B\alpha \in B.

Prop. 8 and Lemma 9 prove that such elements are principal nilpotent. We prove the converse. Evidently we can assume that g\mathfrak{g} is simple. Let h0h^0 and gp\mathfrak{g}^p be as in Prop. 8 and Lemma 9. Let ω\omega be the highest root, and put ω(h0)=2q\omega (h^0) = 2q; we have q=h−1q=h-1, where hh is the Coxeter number of R, cf. Chap. VI, §1, no. 11, Prop. 31. Then g2q=gω,g−2q=g−ω\mathfrak{g}^{2q}=\mathfrak{g}^{\omega},\mathfrak{g}^{-2q}=\mathfrak{g}^{-\omega}, and g2k=0\mathfrak{g}^{2k}= 0 for ∣k∣>q|k|> q. There exists a principal sl2\mathfrak{s}\mathfrak{l}_2-triplet (x0,h0,y0)(x^0, h^0, y^0). By §1, no. 2, Cor. of Prop. 2, (ad x0x^0)2q(g−ω)=gω^{2q}(\mathfrak{g}^{-\omega}) =\mathfrak{g}^{\omega}, so (ad x0x^0)2q≠0^{2q}\not= 0. Let xx be a principal nilpotent element of g\mathfrak{g} belonging to n+\mathfrak{n}_+. If k‾\overline{k} is an algebraic closure of k,x⊗1k,x\otimes 1 and x0⊗1x^0\otimes 1 are conjugate under an automorphism of g⊗kk‾\mathfrak{g}\otimes_k\overline{k} (Prop. 9), so (ad xx)2q≠0^{2q}\not= 0. There exists λ∈R\lambda \in R such that (ad xx)2qgλ≠0^{2q}\mathfrak{g}^{\lambda}\not= 0. Put x=∑n≥1xnx=\sum_{n\geq 1}x_n, where xn∈g2nx_n\in \mathfrak{g}^{2n}.

Then

(ad xx)2qgλ⊂^{2q}\mathfrak{g}^{\lambda}\subset (ad x1x_1)2qgλ+∑k>4q+λ(h0)gk=^{2q}\mathfrak{g}^{\lambda}+\sum_{k>4q+\lambda(h^0)}\mathfrak{g}^k= (ad x1x_1)2qgλ^{2q}\mathfrak{g}^{\lambda}, since 4q+λ(h0)≥4q−2q=2q4q+\lambda (h^0)\geq 4q-2q= 2q. Now (ad x1x_1)2qgλ⊂g4q+λ(h0)^{2q}\mathfrak{g}^{\lambda}\subset \mathfrak{g}^{4q+\lambda(h^0)}, where λ=−ω\lambda =-\omega. Thus, (ad x1x_1)2qg−ω=gω^{2q}\mathfrak{g}^{-\omega}=\mathfrak{g}^{\omega}. We have ω=∑α∈Bnαα\omega =\sum_{\alpha\in B}n_{\alpha}\alpha with nα>0n_{\alpha}>0 for all α∈\alpha \in B (Chap. VI, §1, no. 8, Remark). If there exists α0∈B\alpha_0\in B such that x1∈x_1\in

∑gα\sum\mathfrak{g}^{\alpha}, the relation

α∈B,α≠α0\alpha \in B,\alpha \not=\alpha_0
ω∉−ω+∑α∈B,α≠α0kα \omega \notin -\omega +\sum_{\alpha\in B,\alpha\not=\alpha_0}k\alpha

implies that gω⊄\mathfrak{g}^{\omega}\not\subset (ad x1x_1)pg−ω^p\mathfrak{g}^{-\omega} for all pp; this is absurd, so the component of x1x_1 in gα\mathfrak{g}^{\alpha} is non-zero for all α∈B\alpha \in B.

Exercises

See the exercises for § 11.

Transcribed from the printed volume. Not translated.