§ 11. Classes of nilpotent elements and sl2-triplets
In this paragraph, g denotes a finite dimensional Lie algebra.
1. Definition of sl2-triplets
Definition 1 0170
An sl2-triplet in g is a sequence (x,h,y) of elements of g, distinct from (0,0,0), such that
[h,x]=2x,[h,y]=−2y,[x,y]=−h
Let (x,h,y) be an sl2-triplet in g. The linear map τ from sl(2,k) to g such that τ(X+)=x,τ(H)=h,τ(X−)=y is a homomorphism which is non-zero and hence injective (since sl(2,k) is simple), and with image kx+kh+ky. We thus obtain a canonical bijection from the set of sl2-triplets in g to the set of injective homomorphisms from sl(2,k) to g. If g is semi-simple and if (x,h,y) is an sl2-triplet in g, then x and y are nilpotent elements of g and h is a semi-simple element of g (Chap. I, §6, no. 3, Prop. 4).
Let x,h,y,y′∈g. If (x,h,y) and (x,h,y′) are sl2-triplets in g, then y=y′.
Indeed, y−y′∈ Ker(adgx) and (adgh)(y−y′)=−2(y−y′). But adgx is injective on Ker(p+ adgh) for every integer p>0(§1, no. 2, Cor. of Prop. 2).
Let n be a subalgebra of g such that, for all n∈n, adg(n) is nilpotent. Let h∈g be such that [h,n]=n. Then eadgn.h=h+n.
It is clear that eadg(n).h⊂h+n. We shall prove that, if v∈n, then h+v∈eadg(n).h. It suffices to prove that h+v∈eadg(n).h+C0n for all p≥1 (since Cpn=0 for sufficiently large p). This is clear for p=1 since C1n=n. Assume now that we have proved the existence of yp∈n and zp∈Cpn such that h+v=eadgyp.h+zp. Since (adgh)(n)=n, (adgh)∣n is a bijection from n to n, hence its restriction to Cpn, which leaves Cpn stable, is also bijective; consequently, there exists z∈Cpn such that zp=[z,h]. Then
eadg(yp+z)h−eadgyph∈[z,h]+Cp+1n
so
eadg(yp+z)h∈h+v−zp+[z,h]+Cp+1n=h+v+Cp+1n
which establishes our assertion by induction on p.
Let x∈g,p= Ker(ad x),q= Im(ad x). Then [p,q]⊂q, and p∩q is a subalgebra of g.
If u∈p and v∈q, there exists w∈g such that v=[x,w], so
[u,v]=[u,[x,w]]=[x,[u,w]]−[[x,u],w]=[x,[u,w]]∈q
On the other hand, p is a subalgebra of g, so [p∩q,p∩q]⊂p∩q.
Let (x,h,y) and (x,h′,y′) be sl2-triplets in g. There exists z∈g such that adgz is nilpotent and such that
eadgzx=x,eadgzh=h′,eadgzy=y′
Let n= Ker(ad x)∩ Im(ad x). For all p∈Z, let gp= Ker(ad h−p). By §1, no. 3 (applied to the adjoint representation of kx+ky+kh on g), we have that n⊂∑p>0gp, so adgn is nilpotent for all n∈n, and [h,n]=n. We have [x,h′−h]=0 and [x,y−y′]=h′−h, so h′−h∈n. By Lemmas 2 and 3, there exists z∈n such that eadgzh=h′. Since z∈ Ker adgx, we have eadgzx=x. Lemma 1 now proves that eadgzy=y′. Q.E.D.
Let G be a group of automorphisms of g. Then two sl2-triplets (x,h,y), (x′,h′,y′) are said to be G-conjugate if there exists g∈G such that gx=x′, gh=h′,gy=y′.
Proposition 1 0175
Let G be a group of automorphisms of g containing Aute(g). Let (x,h,y) and (x′,h′,y′) be sl2-triplets in g. Let
t=kx+kh+ky,t′=kx′+kh′+ky′
Consider the following conditions:
(i) x and x′ are G-conjugate;
(ii) (x,h,y) and (x′,h′,y′) are G-conjugate;
(iii) t and t′ are G-conjugate.
We have (i) ⇐⇒ (ii) =⇒ (iii). If k is algebraically closed, the three conditions are equivalent.
(i) ⇐⇒ (ii): This follows from Lemma 4.
(ii) =⇒ (iii): This is clear.
We assume that k is algebraically closed and prove that (iii) =⇒ (i). We treat first the case in which t=t′=g=sl(2,k). Since adgx is nilpotent, the endomorphism x of k2 is nilpotent (Chap. I, §6, Th. 3), so there exists a matrix A∈GL(2,k) such that AxA−1=X, and consequently an automorphism α of sl(2,k) such that α(x)=x′; now α∈ Aute(g)(§5, no. 3, Cor. 2 of Prop. 5). We now pass to the general case; we assume that t and t′ are G-conjugate and prove that x and x′ are G-conjugate. We can assume that t=t′. By the preceding, there exists β∈ Aute(t) such that βx=x′. Now, if t∈t is such that adtt is nilpotent, then adgt is nilpotent; so β extends to an element of Aute(g).
2. M173 -triplets in semi-simple Lie algebras
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. Then AB is nilpotent.
Put C=[A,B]. Since [A,C]=0,
[A, BCp]=[A,B]Cp=Cp+1
for every integer p≥0. Consequently, Tr(Cp) =0 for p≥1, which proves that C is nilpotent (Algebra, Chap. VII, §3, no. 5, Cor. 4 of Prop. 13). Now let k be an algebraic closure of k, and let λ∈k,x∈V⊗kk be such that ABx=λx, x=0. The relation [[B,A],A]=0 shows that [B,Ap]=p[B,A]Ap−1 for every integer p≥0. Let r be the smallest integer such that Arx=0. Then
λAr−1x=Ar−1ABx=ArBx= BArx−[B,Ar]x=−r[B,A]Ar−1x.
Since [B,A] is nilpotent and since Ar−1x=0, this proves that λ=0. Thus, all the eigenvalues of AB are zero, hence the lemma.
Let h,x∈g be such that [h,x]=2x and h∈ (ad x)(g). Then there exists y∈g such that (x,h,y) is either (0,0,0) or an sl2-triplet.
Let g′ be the solvable Lie algebra kh+kx. Since x∈[g′,g′], adgx is nilpotent (Chap. I, §5, no. 3, Th. 1); let n be its kernel. Since [ad h, ad x]= 2 ad x, we have (ad h)n⊂n. Let z∈g be such that h=−[x,z]. For any integer n≥0, put Mn= (ad x)ng. If n>0, we have (§1, no. 1, Lemma 1)
[ad z,(ad x)n]=n((ad h)−n+ 1)(ad x)n−1
so, if u∈Mn−1,
n((ad h)−n+1)u∈ (ad z)(ad x)u+Mn.
Since (ad h)n⊂n, it follows that
((ad h)−n+1)(n∩Mn−1)⊂n∩Mn.
Since ad x is nilpotent, Mn=0 for sufficiently large n. Consequently, the eigenvalues of ad h∣n are integers ≥0. Thus, the restriction of ad h+2 to n is invertible.
Now [h,z]+2z∈n since
[x,[h,z]+2z]=[[x,h],z]+[h,[x,z]]+2[x,z]
=[−2x,z]+[h,−h]+2[x,z]=0
Hence there exists z′∈n such that [h,z′]+2z′=[h,z]+2z, that is, [h,y]=−2y, putting y=z−z′. Since [x,y]=[x,z]=−h, this completes the proof.
Proposition 2 (Jacobson-Morozov) 0179
Assume that g is semi-simple. Let x be a non-zero nilpotent element of g. There exist h,y∈g such that (x,h,y) is an sl2-triplet.
Let n= Ker(ad x)2. If z∈n, then [ad x,[ad x, ad z]]= ad([x,[x,z]]) =0. By Lemma 5, ad x∘ ad z is nilpotent, so Tr(ad x∘ ad z) =0. This shows that x is orthogonal to n with respect to the Killing form Φ of g. Since
Φ((ad x)2y,y′) =Φ(y, (ad x)2y′)
for all y,y′∈g, and since Φ is non-degenerate, the orthogonal complement of n is the image of (ad x)2. Hence there exists y′∈g such that x= (ad x)2y′. Put
h=−2[x,y′]
we have [h,x]=2x and h∈ (ad x)(g). It now suffices to apply Lemma 6.
Corollary 017A
Assume that g is semi-simple. Let G be a group of automorphisms of g containing Aute(g). The map which associates to any sl2-triplet (x,h,y) in g the nilpotent element x defines, by passage to the quotient, a bijection from the set of G-conjugacy classes of sl2-triplets to the set of G-conjugacy classes of non-zero nilpotent elements.
This follows from Prop. 1 and 2.
Let K be a commutative field with at least 4 elements. Let G be the group of matrices (α0αβ−1) where α∈K∗,β∈K. Let G′ be the group
of such matrices such that α=1. Then G′=(G,G).
If α,α′∈K∗ and β,β′∈K,
(αβ)((α′β′)((αβ)−1(α′β′)−1
0 α−1 0 α′−1 0 α−1 0 α′−1
=(1−α′β′−αβα′2+α2α′β′+αβ)
0 1
In particular,
(1β)((α′ 0 )((1β)−1(α′ 0 )−1=(1β(1−α′2)).
0 1 0 α′−1 0 1 0 α′−1 0 1
But there exists α0′∈K∗ such that α0′=1 and α0′=−1, and then k.(1−α0′2) =k, hence the lemma.
Proposition 3 017C
Assume that g is semi-simple. The group Aute(g) is equal to its derived group. If g is splittable, Aute(g) is the derived group of Aut0(g).
Let x be a non-zero nilpotent element of g. Choose h,y∈g be such that (x,h,y) is an sl2-triplet (Prop. 2). The subalgebra s of g generated by (x,h,y) can be identified with sl(2,k). Let ρ be the representation z→ adgz of s=sl(2,k) on g, and let π be the representation of SL(2,k) compatible with ρ(§1, no. 4). The image of π is generated by the exp(t adgx) and the exp(t adgy) with t∈k(Algebra, Chap. III, §8, no. 9, Prop. 17), hence is contained in Aute(g). Since SL(2,k) is equal to its derived group (Lemma 7 and loc. cit.), exp(adgx) belongs to the derived group G of Aute(g). Hence Aute(g) is equal to G. Assume now that g is splittable. Since Aut0(g)/Aute(g) is commutative (§5, no. 3, Remark 3), the preceding proves that the derived group of Aut0(g) is Aute(g).
3. Simple elements
Definition 2 017D
An element h of g is said to be simple if there exist x,y∈g such that (x,h,y) is an sl2-triplet in g.
We also say that h is the simple element of the sl2-triplet (x,h,y).
Proposition 4 017E
Let h be a non-zero element of g. Then h is simple if and only if there exists x∈g such that [h,x]=2x and h∈ (ad x)(g).
The condition is clearly necessary. It is sufficient by Lemma 6.
Proposition 5 017F
Assume that g is splittable semi-simple. Let h be a splitting Cartan subalgebra of g, R the set of roots of (g,h), and B a basis of R. Let h be a simple element of g belonging to h. Then h is conjugate under Aute(g,h) to an element h′ of h such that α(h′)∈{0,1,2} for all α∈B.
The eigenvalues of adgh belong to Z(§1, no. 2, Cor. of Prop. 2). Hence h∈hQ. There exists an element w of the Weyl group of (g,h) such that α(wh)≥0 for all α∈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 for all α∈B. Let R+ be the set of positive roots relative to B, and R−=−R+. There exists an sl2-triplet in g of the form (x,h,y). Let T be the set of roots β such that β(h)=−2. Then T⊂R− and y∈∑β∈Tgβ. Assume that there
exists α∈B such that α(h)>2. For all β∈T, we have (α+β)(h)>0, so α+β∈/R− and α+β=0; on the other hand, since β∈R− and α∈B, we have α+β∈/R+; hence α+β∈/R∪{0}, so [gα,gβ]=0. Thus, [y,gα]=0. But adgy∣gα is injective since α(h)>0(§1, no. 2, Cor. of Prop. 2). This contradiction proves that α(h)≤2 for all α∈B.
Corollary 017G
If k is algebraically closed and if g is semi-simple of rank l, the number of conjugacy classes of simple elements of g, relative to Aute(g), is at most 3l.
Indeed, every semi-simple element of g is conjugate under Aute(g) to an element of h.
Assume that k is algebraically closed and that g is semi-simple. Let h be a semi-simple element of g such that the eigenvalues of ad h are rational. Let g0= Ker(ad h),g2= Ker(ad h−2). Let Gh be the set of elementary automorphisms of g leaving h fixed. Let x∈g2 be such that [x,g0]=g2. Then Ghx contains a subset of g2 that is dense and open in the Zariski topology.
Let h be a Cartan subalgebra of g0. This is a Cartan subalgebra of g containing h (Chap. VII, §2, no. 3, Prop. 10). We have h∈hQ. Let R be the root system of (g,h),Q the group of radical weights. There exists a basis B of R such that α(h)≥0 for all α∈B.
Let U be the set of z∈h such that α(z)=0 for all α∈B. Let (Hα′)α∈B be the basis of h dual to B. If z∈U, there exists a homomorphism from Q to k∗ that takes any γ∈Q to ∏α∈Bα(z)γ(Hα′). By §5, Prop. 2 and 4, the
endomorphism φ(z) of the vector space g which induces on gγ the homothety with ratio ∏α∈Bα(z)γ(Hα′) is an elementary automorphism of g, which clearly
belongs to Gh.
Let s∈h. If γ∈R is such that gγ∩g2=0,
2=γ(h)=γ(α∈B∑α(h)Hα′)=α∈B∑α(h)γ(Hα′)
since α(h)≥0 for all α∈B, and since the γ(Hα′) are integers either all ≥0 or all ≤0, we have γ(Hα′)∈N for all α∈B. Thus, we can consider (for z∈h) the endomorphism ψ(z) of the vector space g2 that induces on gγ∩g2 the homothety with ratio ∏α∈Bα(z)γ(Hα′). The map z→ψ(z) from h to End(g2) is polynomial. For z∈U, we have ψ(z)=φ(z)∣g2.
Let γ1,...,γr be the distinct roots of (g,h) vanishing on h. If y1∈gγ1,..., yr∈gγr, we have eady1...eadyr∈Gh. We can thus define a map ρ from h×gγ1×⋯×gγr to g2 by putting
ρ(z,y1,...,yr)=ψ(z)eady1...eadyrx
for z∈h,y1∈gγ1,...,yr∈gγr. This map is polynomial, and ρ(U,gγ1,...,gγr) ⊂Ghx. By Chap. VII, App. I, Prop. 3 and 4, it suffices to prove that the tangent linear map of ρ is surjective at some point.
Now let T be the tangent linear map of z→ψ(z) at h0=∑α∈BHα′. Then T(z) is the endomorphism of g2 that induces on gγ∩g2 the homothety with ratio
α∈B∑γ(Hα′)α(h0)γ(Hα′)−1α(z)β∈B,β=α∏β(h0)γ(Hα′)=α∈B∑γ(Hα′)α(z)=γ(z)
Thus, the tangent linear map of z→ρ(z,0,...,0) at h0 is the map z→[z,x]; its image is [x,h]. The tangent linear map at 0 of the map y1→ρ(h0,y1,0,...,0) is the map y1→ψ(h0)[y1,x]; this last map has image ψ(h0)[x,gγ1]=[x,gγ1]. Similarly, the tangent linear map at 0 of the map yi→ρ(h0,0,...,0,yi,0,...,0) has image [x,gγi]. Finally, the tangent linear map of ρ at (h0,0,...,0) has image
[x,h+gγ1+⋯+gγr]=[x,g0]=g2.Q.E.D
\*The group Gh is an algebraic group with Lie algebra ad g0.\*
Proposition 6 017I
Assume that k is algebraically closed and that g is semi-simple. Let G be a group of automorphisms of g containing Aute(g). Let (x,h,y) and (x′,h′,y′) be sl2-triplets in g. The following conditions are equivalent:
(i) h and h′ are G-conjugate;
(ii) (x,h,y) and (x′,h′,y′) are G-conjugate.
We only have to prove the implication (i) =⇒ (ii), and we are reduced immediately to the case in which h=h′. Introduce g2 and Gh as in Lemma 8. We have x∈g2, and [x,g0]=g2 by §1, no. 2, Cor. of Prop. 2. Hence Ghx contains a subset of g2 that is dense and open in the Zariski topology, and so does Ghx′. So there exists a∈Gh such that a(x)=x′. We have a(h)=h, and consequently a(y)=y′ (no. 1, Lemma 1).
Corollary 1 017J
The map which associates to any sl2-triplet its simple element defines by passage to the quotients a bijection from the set of G-conjugacy classes of sl2-triplets to the set of G-conjugacy classes of simple elements.
Corollary 2 017K
If rk(g) =l, the number of conjugacy classes, relative to Aute(g), of non-zero nilpotent elements of g is at most 3l.
This follows from Cor. 1, the Cor. of Prop. 2, and the Cor. of Prop. 5.
Corollary 3 017L
If rk(g) =l, the number of conjugacy classes, relative to Aute(g), of subalgebras of g isomorphic to sl(2,k) is at most 3l.
This follows from Cor. 1, Prop. 1, and the Cor. of Prop. 5.
4. Principal elements
Definition 3 017M
Assume that g is semi-simple.
(i) A nilpotent element x of g is said to be principal if the dimension of Ker ad x is the rank of g.
(ii) A simple element h of g is said to be principal if h is regular and the eigenvalues of ad h in an algebraic closure of k belong to 2Z.
(iii) An sl2-triplet (x,h,y) of g is said to be principal if the length of g, considered as a module over kx+kh+ky, is equal to the rank of g.
Proposition 7 017N
Assume that g is semi-simple. Let (x,h,y) be an sl2-triplet in g. The following conditions are equivalent:
(i) x is principal;
(ii) h is principal;
(iii) (x,h,y) is principal.
For p∈Z, let gp= Ker(ad h−p). Let g′=∑p∈Zg2p. If g is considered as
a module over a=kx+kh+ky,g′ is the sum of the simple submodules of odd dimension (§1, no. 2, Cor. of Prop. 2). Let l (resp. l′) be the length of g (resp. g′) considered as an a-module. By §1, no. 2,
dim(Ker ad x) =l≥l′= dim(Ker ad h)≥ rk(g).
The equivalence of (i) and (iii) follows immediately. On the other hand, condition (ii) means that dim(Ker ad h) = rk(g) and g′=g, in other words that
dim(Ker ad h) = rk(g) and l=l′. The equivalence of (ii) and the other conditions follows.
Proposition 8 017O
Assume that g is semi-simple =0. Let h be a splitting Cartan subalgebra of g, R the root system of (g,h), B a basis of R,h0 the element of h such that α(h0)=2 for all α∈B.
(i) The element h0 is simple and principal.
(ii) The elements x of g such that there exists an sl2-triplet of the form (x,h0,y) are the elements of ∑α∈Bgα that have a non-zero component in each gα.
The element h0 is that considered in §7, no. 5, Lemma 2 (cf. loc. cit., formula (1)). It follows from this lemma that h0 is simple principal and that, if x∈∑α∈Bgα has a non-zero component in each gα, there exists an sl2-triplet of the form (x,h0,y). Conversely, let (x,h0,y) be a sl2-triplet. We have [h0,x]=2x, so x∈∑γ∈R,γ(h0)=2gγ=∑α∈Bgα. Similarly, y∈∑α∈Bg−α. Write
h0=∑α∈BaαHα where aα>0 for all α∈B,
x=∑α∈BXα where Xα∈gα for all α∈B,
y=∑α∈BX−α where X−α∈g−α for all α∈B.
Then
α∈B∑aαHα=h0=[y,x]=α,β∈B∑[X−β,Xα]=α∈B∑[X−α,Xα]
so [X−α,Xα]=0 for all α∈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 k is algebraically closed and that g is semi-simple. All the principal simple (resp. nilpotent) elements of g are conjugate under Aute(g).
We retain the notations of Prop. 8. Let h be a principal simple element. It is conjugate under Aute(g) to an h′∈h such that α(h′)∈{0,1,2} for all α∈B (no. 3, Prop. 5). Since h′ is principal simple, α(h′)=0 and α(h′)∈2Z for all α∈B, so α(h′)=2 for all α∈B, and hence h′=h0. This proves the assertion for principal simple elements.
Let x,x′ be principal nilpotent elements. There exist sl2-triplets (x,h,y), (x′,h′,y′). By Prop. 7,h and h′ are principal simple, hence conjugate under Aute(g) by the preceding. So x and x′ are conjugate under Aute(g) (Prop. 6).
With the notations of Prop. 8, put gp= Ker(ad h0−p) for p∈Z. Let g∗2 be the set of elements of g2=∑α∈Bgα that have a non-zero component
in each gα. Let R+ be the set of positive roots relative to B,n+=∑α∈R+gα, and x∈g∗2. Then eadn+.x=x+[n+,n+].
It is clear that eadn+.x⊂x+[n+,n+]. We prove that, if v∈[n+,n+], then x+v∈eadn+.x. Put n(p)=∑r≥pg2r; it suffices to prove that
x+v∈eadn+.x+n(p)
for all p≥2. This is clear for p=2 since n(2) =[n+,n+](§3, no. 3, Prop. 9 (iii)). Assume that we have found z∈n+ such that v+x−eadz.x∈ n(p). Since there exists an sl2-triplet of the form (x,h0,y) (Prop. 8), §1, no. 2, Cor. of Prop. 2 proves that [x,g2p−2]=g2p; hence, there exists z′∈g2p−2⊂n+ such that
v+x−eadz.x∈[z′,x]+n(p+1)
So v+x∈ead(z+z′).x+n(p+1), and our assertion is established by induction.
Proposition 10 017S
Assume that g is semi-simple. Let h be a splitting Cartan subalgebra of g, R the root system of (g,h), B a basis of R, R+ the set of positive roots relative to B, and n+=∑α∈R+gα. The principal nilpotent elements belonging to n+ are the elements of n+ having a non-zero component in gα for all α∈B.
Prop. 8 and Lemma 9 prove that such elements are principal nilpotent. We prove the converse. Evidently we can assume that g is simple. Let h0 and gp be as in Prop. 8 and Lemma 9. Let ω be the highest root, and put ω(h0)=2q; we have q=h−1, where h is the Coxeter number of R, cf. Chap. VI, §1, no. 11, Prop. 31. Then g2q=gω,g−2q=g−ω, and g2k=0 for ∣k∣>q. There exists a principal sl2-triplet (x0,h0,y0). By §1, no. 2, Cor. of Prop. 2, (ad x0)2q(g−ω)=gω, so (ad x0)2q=0. Let x be a principal nilpotent element of g belonging to n+. If k is an algebraic closure of k,x⊗1 and x0⊗1 are conjugate under an automorphism of g⊗kk (Prop. 9), so (ad x)2q=0. There exists λ∈R such that (ad x)2qgλ=0. Put x=∑n≥1xn, where xn∈g2n.
Then
(ad x)2qgλ⊂ (ad x1)2qgλ+∑k>4q+λ(h0)gk= (ad x1)2qgλ, since 4q+λ(h0)≥4q−2q=2q. Now (ad x1)2qgλ⊂g4q+λ(h0), where λ=−ω. Thus, (ad x1)2qg−ω=gω. We have ω=∑α∈Bnαα with nα>0 for all α∈ B (Chap. VI, §1, no. 8, Remark). If there exists α0∈B such that x1∈
∑gα, the relation
α∈B,α=α0
ω∈/−ω+α∈B,α=α0∑kα
implies that gω⊂ (ad x1)pg−ω for all p; this is absurd, so the component of x1 in gα is non-zero for all α∈B.
Exercises
See the exercises for § 11.