Structure of the nth Roots of a Matrix

Gabrielle ten Have

Mathematical Institute
University of Leiden
P. 0. Box 9512
2300 RA Leiden, the Netherlands

Submitted by Thomas J. Laffey

ABSTRACT

Let K be a subfield of C. We give a criterion for a nonsingular matrix A in M,, K

to have an nth root in M,K. The number of similarity classes of nth roots of A is
given for K = R. Further we indicate which matrices A in M,K have infinitely
many nth roots in M, K.

0. INTRODUCTION

Let A be a nonsingular matrix in M,Z or in M, K, m > 2, where K is

an arbitrary subfield of C. We are interested in the number of solutions or
solution classes in M,Z and M, K of the matrix equation X” = A. Recently,
Otero [6] published an article about the extraction of roots in matrix rings
over an arbitrary field F. He gives a module-theoretic criterion for a matrix in
M, F to have an nth root. In this paper we give a more constructive way of
finding roots in M, K. Further we answer a question of Otero by giving the
number of similarity classes of real nth roots of a real matrix. It is also shown
that, assuming the existence of an nth root X in M, K of a matrix A in
M, K, the existence of infinitely many complex nth roots similar to X of A
implies the existence of infinitely many nth roots of A in M, K.
Results on the more general matrix equation f(X) = A where A E M,C
and f is a complex holomorphic function defined on an open subset of C can
be found in [2] and in a recently published article of Evard and Uhlig [l]. In
the latter paper a wide range of results on the structure of complex and real

LINEAR ALGEBRA AND ITS APPLICATIONS 187: 59-66 (1993) 59

0 Elsevier Science Publishing Co., Inc., 1993

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60 GABRIiiLLE TEN HAVE

solutions is given. One of the results, mentioned in [I, Corollaries 4.7 and
4.81, includes the corollary stated in Section 2.

1. THE COMPLEX CASE

When K = C the structure of the solutions of X of X” = A is known.

Let the Jordan canonical form of A be given by

/
11
12

\ Is
Let (Y~ be the eigenvalue corresponding to the m, X mi Jordan block I,, and
z E M,,C.
For x E C let g(z) = x1/n denote any value of the nth root of x, and let
g(Ji) denote any of the nth roots of Ji (see for instance [2, p. 2321).
When A is non-singular, all solutions X of X” = A are given by the
matrices

g(A) := Z-‘U’g(J,)UZ

km \
= z-Iu-I d12) UZ

\ g(l,T),
for all nonsingular U E M,C satisfying UJA = JAU [2, p. 2321. When all
eigenvalues oi of A are distinct, the matrices commuting with JA are
polynomials in JA [5, p. 419, Proposition l] and thus polynomials in g(JA).
These matrices commuting with JA must consequently commute with g(JA),
too. Therefore we find exactly ns solutions of X” = A. These solutions can
be written as polynomials in A [2, p. 2331.
According to Lancaster and Tismenetsky [5, p. 418, Theorem 11, when not
all of the eigenvalues are distinct, there is at least one g(JA) for which an
infinity of nonsingular matrices U exists such that U commutes with JA but
not with the Jordan canonical form J, of g(JA). Since U is a block matrix,
partitioned as J, and g(JA) and consisting of upper-triangular Toeplitz
matrices [5, p. 4191, u commutes with g(JA) if and only if it commutes with
1,. Thus U does not commute with g(JA) either. In Theorem 2 we will prove
STRUCTURE OF THE nTH ROOTS 61

that these U induce infinitely many distinct solutions X of X” = A. Each

g(JA) represents one similarity class over C, whence we find exactly ns
similarity classes over C, some of which are finite.

2. ROOTS IN A FIELD K

Consider a subfield K of C. We will first introduce some terminology.

For any matrix A E M, K and any k E (1,. . , m}, define D,(h) as the
g.c.d. in K[ A] of the determinants of all k X k submatrices of AI - A. Set
D,(A) = 1. The quotients i,(A) = D,(A)/D,_ ,(A), which are polynomials in
A, are called the invariant polynomials of A. Let for each k the factorization
over K of the polynomials i,(A) in irreducible factors be given by ik(A> =
f (A)kl ..a Then we call the polynomials fk, i(A)kr with k =
;%,l, m an$j~~kik.
> > , . . . >j, the elementary divisors of A in K[ A]. The Jordan
blocks of a matrix A E M,C can be found directly from the elementary
divisors of A [2, p. 1511. Further, two matrices A, B E M, K are simi-
lar if and only if A and B have the same invariant polynomials [2, p. 197,
Theorem lo].
When h(x) = xrn + a,,_,x”-’ + ... +a,x + a, E K[x], the companion
matrix C(h) is defined as the m X m matrix

I --a,_, -urn_2 ... -a, -a, \

1 0 ... 0 0
C(h) = 0 1 ... O O>

\ 0 0 ..: ; 0 ,

which has h(x) as its characteristic polynomial and as its minimum (annihilat-
ing) polynomial. Suppose h(x) is irreducible over K with factorization over C
given by h(x) = (x - al> ... (x - a,). By definition we have, for any posi-
tive integer k, that hk is the minimum polynomial of C(hk>. It follows that
C(hk) is similar to the Jordan canonical form J((Y~) @ ... @ J(a,,,>, where
each J(oi) is a k X k Jordan block.
Let @ dA stand for the block-diagonal matrix A @ A @ ... @ A where A
appears d times. Then a matrix A E M,, K has a K-normal form C, =
@;= i djC(fik+, w h ere the f/g(x) are the elementary divisors in K[ x] of A [2,
pp. 149-1501. By the definition of elementary divisor the f,< x) are irreducible,
and by usin the aforementioned multiplicity di we can assume that no two
2
of the fj(x> 1 are the same. Note that, when mi is the degree of fi(x>, the
order rn of the matrix A is equal to C:=, d,kim,. Now, for every i, take an
(Y~= ‘Y!‘) which satisfies fi( (wi) = 0, and for j = 1, . . . , n, take the n distinct
62 GABRIELLE TEN HAVE

values yij such that r,; = (Y~. Let njj be given by nij = [K(yij): K((Y~)] for
i = l,..., t and j = 1,. . . , n.

THEOREM 1. Let K be a subfield of C, and let A E M,, K be nonsingu-

lar. Then, with notation as above, A has an n th root in M, K if and only
if there are nonnegative integers bi,, , bi, such that di = bjln,, +
biznj, + *** +binnin for i = 1,. , t.

Proof. Necessity: When for bi,, . . . , bi, E Z z O a block C(hk*) appears

bilnil + **a +binnin times in C,, this means that for every root a!‘)
of ft(x> = 0 (I = 1,. . . , m,) the irreducible Jordan block J(cr/“‘) appeafrs
biln,, + ... +binnin times in the Jordan canonical form of A. Since
f;(x) is irreducible, all K(a,“)> are isomorphic to K((Y~). We are going to
choose nth roots r,‘:‘, . . , y$, . . , y,‘;“J, . , -yJ”jJ of o$r), . . . , a!“i), re-
spectively, such that these r,‘jl’ ‘satisfy a polynomf$‘of degree mid, in K[ x].
This is done as follows. For j = 1, . . , n we take 7;) and each of the other
nij - 1 roots having the same minimum polynomial over K(cu,“)) as r/r).
Now for each of the other mi - 1 roots of f,(x) = 0 we choose the
corresponding conjugated roots of the yij(l) . Doing so, we have selected nij
nth roots of a!r) , a!“~). By construction these minij roots satisfy
a polynomial gi;(;)‘E K[x], th e minimum polynomial over K of 7;).
Now define C, I as the block-diagonal matrix @3YlbijC(g$), and C, as
CP1 @ .*+ @ CPt E M, K. To each characteristic root a/” of A corresponds a
root y!f) with (r!!))” = aj (I) of C,, and the Jordan blocks of a$“’ and -y!f)
have txe same oEJder k,. Thus Ci is similar to A, i.e., BC,“B-’ = A, xr
equivalently BC,” = AB, for some B E M,,,C. Since A, C; E M, K, the
entries of B can be found as solutions of linear equations with coefficients in
K. Therefore we can find B E M, K such that (BC, B-l>” = BC: BP1 = A.
Take P = BC,B-‘.
Sufficiency: Let P E M, K be a root of X” = A. The K-normal form of
A can be written as C, = @iZ1 diC(fikz). For each i take a root ai of
fj(x) = 0. These (Y~ appear in di Jordan blocks of A, each of size ki X ki.
Take all yij satisfying 7; = (Y~. Now each of the di ki X ki Jordan blocks
corresponding to cri originates from a ki X ki Jordan block of P correspond-
ing to one of the roots yij. Suppose P has cij ki X ki Jordan blocks
corresponding to the characteristic root yjj, where cij 2 0. We have Cy=,cij
equal to dj, since the characteristic roots of A are the nth powers of the
characteristic roots of P. On the other hand P E M, K. Hence, by the
definition of nij, each rij must appear in as many ki X ki Jordan blocks of
P as its nij - 1 conjugated roots over K(q). Thus, taking together blocks
that belong to conjugated roots, di = CJ.‘=leijcijnij for some nonnegative
integers eij. n
STRUCTURE OF THE nTH ROOTS 63

For the construction, find the Jordan canonical form of an nth root P of
A as indicated in the proof. From this form a K-normal form C, can
be deduced. Since C: is similar to A, a matrix Y E M, K exists such
that (Y-lC,Y)” = Y-‘Cp”Y = A. This Y can be found from the equation
C;Y = YA.

COROLLARY. Let m > 2. Let A E M,R be nonsingular. Then for odd n

a real solution to X” = A always exists, for even n a real solution exists if and
only ifeach elementary divisor (Jordan block) of A corresponding to a
negative eigenvalue occurs an even number of times.

In order to count the similarity classes of real solutions X of X” = A, let

the elementary divisors over C of A be as follows:

(h - A\i>‘lappears si times for i = 1,. , k, hi E R, ,,;

appears ti
(A - pi)'% times for i = 1,. . . ,I, pi E R <a;
(A - vi)‘& and (A - Vi)‘! appear ui times for i = 1,. . . , m, vi E C \ R.

Further, let

6 = 0 for n odd,
” 1 for n even

and

for n=2

for n even, ti odd

for n even, ti even

T, =

n-l

I
h/21
c z+j -1
for n 2 3odd,
j=o
_i
64 GABRIELLE TEN HAVE

PROPOSITION. With notation as above, for n > 2 the number of similar-

ity classes of real n th roots of the real matrix A is given by

Proof. Any choice of eigenvalues for a real nth root X of A induces a

similarity class of real nth roots of A. Thus we must count the sets of
eigenvalues admissible for the real matrix X. Now for a characteristic root A
of A count the real nth roots and the pairs of complex conjugated nth roots.
Then use the fact that is the number of j-combinations with
repetition of d distinct n

3. INFINITELY MANY SOLUTIONS

In the previous section we found when a solution X exists of X” = A

with X, A E M, K. Now we want to know for which A there are infinitely
many solutions.
Let X, A E M, K. When all eigenvalues of A are distinct, there are only
finitely many solutions X, as we showed in Section 1 for K = C. When not
all of the eigenvalues are distinct, we can find a g(JA) and infinitely many
nonsingular matrices U E M,,C such that U commutes with JA but not with
g(JA). Since U, JA, g(JA) E M,,C, it is not immediately clear that these
matrices U induce infinitely many distinct solutions X = g(A) E M,, K. By
construction we will prove that infinitely many such matrices X indeed exist.
As we saw in Section 1, each class of solutions X of X” = A is
determined by one of the nS possible Jordan canonical forms of g(JA). Fix a
solution P E M,n K with Jordan canonical form Jp. Then all solutions in the
same class as P are given by V-lPV where V commutes with A.

THEOREM 2. Let A and P be as above. Suppose there exists a nonsingu-

lar matrix U E M,,C that commutes with JA but not with Jp. Then there is an
infinite set of matrices {V,, V,, V,, } in M, K with every V, commuting
with A such that the matrices V,-‘PV, are distinct.

Proof. Let the Jordan canonical forms of A and P be given by JA =

J(q> @ -** @ ](a,>and Jp = J( &> @ ... e-J< /3,) respectively. The J(ayi)
and J( j3,) are mi X mi Jordan blocks for some mi E Z. For 1 < i, j < s let
aij be the degree of the g.c.d. of the elementary divisors (x - CZ~)~~and
STRUCTURE OF THE nTH ROOTS 65

(x - czjjm’ of A, and bij th e d e g ree of the g.c.d. of the elementary divisors

(1~ - pijrnl and (x - pj>“f of P. According to Lancaster and Tismenetsky [5,
p. 4181 the linear space of solutions X of AX = XA (and also of JAX = X]A)
has dimension a = CT, j= laij, and the linear space of solutions X of PX =
XP has dimension b = Cf, j= Ibij. Since we assumed the existence of a matrix
U E M,C commuting with JA but not with Jp, we must have a - b > 1.
Thus a matrix V E M,C exists commuting with A but not with P. As
solution of linear equations with coefficients in K, V can be taken in M, K.
We are going to define a set of matrices V = (VA,, V’,, VA,, . } such that for
VEV

AV = VA,

Take
I PV + VP,
det V # 0,
all V- ’ PV are distinct.

V, = V + AZ for A E K. There exists a certain constant

(1)

A,, E K
depending only on V such that V, is nonsingular for IAl > A,; thus we take
]A( > A, in the rest of the proof. Clearly V, fulfills the first three conditions
of (1) for all A if V satisfies these conditions. Now assume that VA,, . , V,
satisfy (1) for certain j > 1. We shall show that we can find a matrix VAj+:
such that VA,, . . . , VA]+, satisfy (1). Note that V-lPV = W- ‘PW exactly when
(W-‘)-lP(vW-l) = P, i.e., when VW-l commutes with P. Thus consider
VAj+,VAi’ = (V + Aj+lZ)VAi’ for Aj+i e (A,,. .., Aj} and for k = l,..., j.
Suppose there is a k such that V, Vi;’ commutes with P. We know that
A’V*; ’ does not commute with P f&‘any A’ # 0. Hence VA,+,+ hjVAy’ = (V +
A.+ i Z>V*L’ + A’V*; i does not commute with P for A’ # 0. Thus, we can
c 1:oose V, such that V,,, . . , VA,+, satisfy (l), since only finitely many values
A >, A,, for Aj + i are excluded. n

4. INTEGRAL SOLUTIONS

For a nonsingular matrix A E M,Z, several problems arise in the search

for integral nth roots. Firstly, no existence theorems are known for m > 2.
Secondly, no general results are known about the number of similarity classes
of matrices. For instance, the matrices

(t -Y)and(ii 2)
are similar over Q, but they are not similar over Z.
66 GABRIELLE TEN HAVE

For m = 2, [3] gi ves all solutions in case A # al for a E Z \ {0}, and (an
upper bound for) the number of similarity classes in case A = al.
For m 2 2, Latimer and MacDuffee [4] connect the number of similarity
classes over Z of the set of nonsingular matrices in M,Z having m distinct
characteristic roots with the number of ideal classes in a certain order. This
result can very well be used in case a matrix root P of A has m distinct
characteristic roots, although even then in some cases only a lower bound of
the number of similarity classes can be given. In case P has less than m
distinct characteristic roots, either because some Jordan blocks have order
greater than one or because some Jordan blocks occur more than once, no
results are known.

REFERENCES

1 J.-C. Evard and F. Uhlig, on the matrix equation j(X) = A, Linear Algebra
Appl. 162-164:447-519 (1992).
2 F. R. Gantmacher, Matrix Theory, Vol. 1, Chelsea, 1959.
3 G. N. ten Have, Matrix solutions of the equation X” = A, Zndag. Math. (N.S.)
2:57-64 (1991).
4 C. G. Latimer and C. C. MacDuffee, A correspondence between classes of ideals
and classes of matrices, Ann. Math. 34:313-316 (1933).
5 P. Lancaster and M. Tismenetsky, The Theory of Matrices, Academic, 1985.
6 D. E. Otero, Extraction of mth roots in matrix rings over fields, Linear Algebra
Appl. 128:1-26 (1990).
7 J. Riordan, An Introduction to CombinutoriuZ Analysis, Wiley, 1958.

Received 12 December 1991;final manuscript accepted 10 August 1992