VI.1.
The Maximum Principle 1
Chapter VI. The Maximum Modulus
Theorem
VI.1. The Maximum Principle
Note. We pick up where we left off in section IV.3 and introduce several more
versions of the Maximum Modulus Theorem.
Note. Recall the original version:
Theorem IV.3.11. Maximum Modulus Theorem.
If G is a region and f : G → C is an analytic function such that there is a point
a ∈ G with |f (a)| ≥ |f (z)| for all z ∈ G, then f is constant.
Theorem VI.1.2. Maximum Modulus Theorem—Second Version.
Let G be a bounded open set in C and suppose f is a continuous function on G
which is analytic in G. Then
max{|f (z)| | z ∈ G} = max{|f (z)| | z ∈ ∂G}.
(G is G closure and ∂G is the boundary of G.)
VI.1. The Maximum Principle 2
Note. The first version of the Maximum Modulus Theorem applies to an open
connected set, and the second version applies to a bounded connected set. Bound-
edness is necessary in the Maximum Modulus Theorem—Second Version as can be
seen by considering set G = {z | Im(z) ∈ (−π/2, π/2)} and f (z) = exp(exp z).
Then f is entire and so analytic and continuous, as needed. If z ∈ ∂(G) then
z = x ± iπ/2 where x ∈ R and
|f (z)| = | exp(exp(x ± iπ/2))| = | exp(±iex )| = 1.
But 1 is not a bound since f is unbounded on the real axis (f (x) = exp(exp x)).
We can get a third version of the Maximum Modulus Theorem by modifying the
boundary concept.
Definition. If f : G → R and a ∈ G or a = ∞ then the limit superior of f (z) as
z approaches a is
lim sup f (z) = lim+ (sup{f (z) | z ∈ G ∩ B(a; r)}) .
z→a r→0
(If a = ∞, B(a; r) is the ball in the metric of C∞ encountered in section I.6.)
Similarly, define
lim inf f (z) = lim+ (inf{f (z) | z ∈ G ∩ B(a; r)}) .
z→a r→0
Definition. If G ⊆ C then let ∂∞(G) denote the boundary of G in C∞ , called
the extended boundary of G. (Notice that for bounded G, ∂∞ (G) = ∂(G), and for
unbounded G ∂∞ (G) = ∂(G) ∪ {∞}.)
VI.1. The Maximum Principle 3
Theorem VI.1.4. Maximum Modulus Theorem—3rd Version.
Let G be a region in C and f an analytic function on G. Suppose there is a constant
M such that lim sup |f (z)| ≤ M for all a in ∂∞(G). Then |f (z)| ≤ M for all z in
z→a
G.
Note. For f (z) = exp(exp z) and G as in the above example, ∞ ∈ ∂∞(G) and
lim sup |f (z)| = ∞ (let z be real, positive and z → ∞). So the Maximum Modulus
z→∞
Theorem—3rd Version does not apply.
Note. We’ll see below that the hypothesis on the behavior of f “at ∞” can be
weakened (see Theorem VI.1.D).
Note. Two simpler versions of the maximum Modulus Theorem—3rd Version
(sometimes called the Maximum Modulus Theorem for Unbounded Domains) are
the following.
Theorem VI.1.A. Maximum Modulus Theorem for Unbounded Domains
(Simplified 1).
Let R > 0 and suppose f is analytic on the complement of B(a; R), continuous on
C \ B(a; R), |f (z)| ≤ M on ∂(B(a; R)), and lim |f (z)| ≤ M . Then |f (z)| ≤ M
|z|→∞
on C \ B(a; R).
VI.1. The Maximum Principle 4
Theorem VI.1.B. Maximum Modulus Theorem for Unbounded Domains
(Simplified 2).
Let R > 0 and suppose f is analytic on the complement of B(a; R). Suppose
limz→a,|z|>R |f (z)| ≤ M for all |a| = R and limz→∞ |f (z)| ≤ M . Then |f (z)| ≤ M
on C \ B(a; R).
Note. This simplified versions are often useful in applications involving polynomi-
als.
Note. Exercise VI.1.1 requests a proof of the following:
Theorem VI.1.C. Minimum Modulus Theorem. If f is a non-
constant analytic function on a bounded open set G and is continuous
on G−, then either f has a zero in G or |f | assumes its minimum value
on ∂(G).
Note. In the Maximum Modulus Theorem—3rd Version (Theorem VI.1.4), if
∞ ∈ ∂∞(G) then we required that limz→∞ |f (z)| ≤ M . In fact, this condition can be
weakened. The following is Corollary 1.6.13 from Q. I. Rahman and G. Schemisser’s
Analytic Theory of Polynomials, London Mathematical Society Monographs (Book
26), Clarendon Press (2002).
VI.1. The Maximum Principle 5
Theorem VI.1.D. Maximum Modulus Theorem for Unbounded Domains
2.
Let z(t), t ∈ [α, β], define a Jordan curves Γ with its trace in C (that is, Γ is a
simple closed curve in C), and denote the open interior of Γ by Ω. Also, let ϕ be
a function which is analytic in C \ {Γ ∪ Ω} and continuous on C \ Ω such that
|ϕ(z)| ≤ M for all z ∈ Γ. Suppose, in addition, that ϕ(z) tends to a finite limit ` as
z tends to infinity and set ϕ(∞) = `. Then, |ϕ(z)| ≤ M for all x in C∞ \ {Γ ∩ Ω},
unless ϕ is a constant.
Note. Of course the hypotheses of the simplified versions of the Maximum Mod-
ulus Theorem for Unbounded Domains (Theorems VI.1.B and VI.1.C) can now be
weakened by replacing “limz→∞ |f (z)| ≤ M ” with “limz→∞ |f (z)| is finite.”
Revised: 7/27/2018
