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182 The Prime Number Theorem
The method we used to derive Theorem 6.9 is very flexible, and can be
applied to many other situations. For example, the summatory function
M (x ) =
∑
n≤x
µ(n)
can be estimated by applying the above method with ζ′/ζ replaced by 1 /ζ.
Thus it may be shown that
M (x ) ≪ x exp
(
− c
√
log x
)
(6.17)
for x ≥ 2. If instead we were to apply the method to the function 1 /ζ(s + 1),
we would find that
∑
n≤x
µ(n)
n ≪ exp
(
− c
√
log x
)
, (6.18)
since 1 /(sζ(s + 1)) is analytic at s = 0. Hence in particular,
∞∑
n=1
µ(n)
n = 0. (6.19)
6.2.1 Exercises
1. (Landau 1901b; cf. Rosser & Schoenfeld 1962) Use Theorem 6.9 to show
that
π(2x ) − 2π(x ) =− 2(log 2) x (log x )−2 + O (x (log x )−3 ).
Deduce that for all large x , the interval ( x ,2x ] contains fewer prime num-
bers than the interval (0 ,x ].
2. Use Theorem 6.9 to show that if n is of the form n = ∏
p≤y p where y is
sufficiently large, then d (n) > n(log 2) /log log n .
3. (a) Use Theorem 6.9 to show that
∑
x <p≤y
1
p = log log y
log x + O
(
exp
(
− c
√
log x
))
.
(b) Use the above and Theorem 2.7 to show that
∑
p≤x
1
p = log log x + b + O
(
exp
(
− c
√
log x
))
where b = C0 − ∑
p
∑ ∞
k=2 1/(kp k ).
4. Show that for x ≥ 2,
∑
n≤x
/Lambda1 (n)
n = log x − C0 + O
(
exp
(
− c
√
log x
))
. | {
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6.2 The Prime Number Theorem 183
5. (cf. Cipolla 1902; Rosser 1939) Let p1 < p2 < ··· denote the prime num-
bers. Show that
pn = n
(
log n + log log n − 1 + log log n
log n − 2
log n + O
((log log n)2
(log n)2
)
.
6. (Landau 1900) Let πk (x ) denote the number of integers not exceeding x
that are composed of exactly k distinct primes.
(a) Show that
π2 (x ) =
∑
p≤√x
π(x /p) + O
(
x (log x )−2 )
.
(b) Show that the sum above is
∑
p≤√x
x
p log x /p + O
(
x (log log x )(log x )−2 )
.
(c) Using Theorem 6.9 and integration by parts, show that the sum above
is
x
∫ √x
2
du
u(log x /u) log u + O (x /log x ).
(d) Conclude that π2 (x ) = x (log log x )/log x + O (x /log x ).
7. (D. E. Knutson) Let dn denote the least common multiple of the numbers
1,2,..., n.
(a) Show that dn = exp(ψ(n)).
(b) Let E (z) = ∑ ∞
n=1 zn /dn . Show that this power series has radius of
convergence e.
(c) Show that E (1) is irrational.
8. (Landau 1905) Let Q(x ) denote the number of square-free integers not
exceeding x , and define R(x ) by the relation Q(x ) = (6/π2 )x + R(x ).
(a) Show that
R(x ) = M ( y){x /y2 }−
∑
d ≤y
µ(d ){x /d 2 }
+
∑
m≤x /y2
M
(√
x /m
)
− 2x
∫ ∞
y
M (u)u−3 du .
(b) T aking y = x 1/2 exp(−c√ log x ) where c is sufficiently small, show
that R(x ) ≪ x 1/2 exp(−c√ log x ).
9. Let N = N ( Q) = 1 + ∑
q ≤Q ϕ(q ) be the number of Farey points of order
Q, and for 0 ≤ α ≤ 1 write
card{(a,q ): q ≤ Q, (a,q ) = 1, a/q ≤ α}= N α + R | {
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184 The Prime Number Theorem
where R = R( Q,α).
(a) Show that if α = (1/Q)−, then R =− N /Q ≍− Q.
(b) Show that if α = 1 − 1/Q, then R = N /Q − 1 ≍ Q.
(c) Show that
R =−
∑
r ≤Q
{r α}M ( Q/r )
for 0 ≤ α ≤ 1.
(d) Show that R ≪ Q uniformly for 0 ≤ α ≤ 1.
10. (Landau 1903b; Massias, Nicolas & Robin 1988, 1989) Let f (n) denote
the maximal order of any element of the symmetric group Sn .
(a) Show that f (n) = max lcm( n1 ,n2 ,..., nk ) where the maximum is ex-
tended over all sets {n1 ,n2 ,..., nk ) of natural numbers for which
n1 + n2 +···+ nk ≤ n.
(b) Choose y as large as possible so that ∑
p≤y p ≤ n. Show that
log f (n) ≥
∑
p≤y
log p = (1 + o(1))(n log n)1/2 .
(c) Show that f (n) = max q1 q2 ··· qk where qi = pa(i )
i , pi ̸=p j for i ̸=
j , and ∑ qi ≤ n.
(d) Use the arithmetic–geometric mean inequality to show that ∏ qi ≤
(n/k)k .
(e) Show that if k is the number of qi ’s in (c), then k ≤ (2 +
o(1))(n/log n)1/2 .
(f) Conclude that log f (n) ≍ (n log n)1/2 .
11. Let λ(n) = (−1)/Omega1 (n) be Liouville’s lambda function.
(a) Show that ∑ ∞
n=1 λ(n)n−s = ζ(2s)/ζ(s) for σ> 1.
(b) Using the method of proof of Theorem 6.9, show that
∑
n≤x
λ(n) ≪ x exp
(
− c
√
log x
)
.
(c) Use (6.17) and the fact that λ(n) = ∑
d 2 |n µ(n/d 2 ) to give a second
proof of the above estimate.
12. (Landau 1907, Section 14) Let cn = 1i f n is a prime or a prime power,
cn = 0 otherwise.
(a) Show that µ(n)ω(n) =− ∑
d |n cd µ(n/d ).
(b) Use (6.18) and the method of the hyperbola to show that
∞∑
n=1
µ(n)ω(n)
n = 0. | {
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6.2 The Prime Number Theorem 185
13. Use the method of proof of Theorem 6.9 to show that
∑
n≤x
/Lambda1 (n)n−it = x 1−it
1 − it + O (x exp
(
− c
√
log x
)
+ O
(
x (log x )2 exp
(
−c log x
log τ
))
uniformly for |t |≤ x .
14. Use the method of proof of Theorem 6.9 to show that for any fixed real t ,
∞∑
n=1
µ(n)n−1−it = 1
ζ(1 + it ) .
15. (a) Use the method of proof of Theorem 6.9 to show that for any fixed
t ̸=0,
∞∑
n=1
/Lambda1 (n)
log n n−1−it = log ζ(1 + it ).
(b) Deduce that for any t ̸=0,
∏
p
(1 − p−1−it )−1 = ζ(1 + it ).
16. (Landau 1899b, 1901a, 1903c) Use the method of proof of Theorem 6.9 to
show that
(a)
∞∑
n=1
µ(n) log n
n =− 1;
(b)
∞∑
n=1
µ(n)(log n)2
n =− 2C0 ;
(c)
∞∑
n=1
λ(n) log n
n =− ζ(2).
17. T aking (6.18) and a quantitative form of the first part of the preceding
exercise for granted, use elementary reasoning to show that if q ≤ x then
(a)
∑
n≤x
(n,q )=1
µ(n)
n ≪ exp
(
− c
√
log x
)
,
(b)
∑
n≤x
(n,q )=1
µ(n) log n
n =− q
ϕ(q ) + O
(
exp
(
− c
√
log x
))
.
18. (Hardy 1921) Use the method of proof of Theorem 6.9 to show that
(a)
∞∑
n=1
µ(n)
ϕ(n) = 0;
(b)
∞∑
n=1
µ(n) log n
ϕ(n) = 0; | {
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186 The Prime Number Theorem
(c)
∞∑
n=1
µ(n)(log n)2
ϕ(n) = 4 A log 2
where A = ∏
p>2
(
1 − 1
( p−1)2
)
.
19. Let Q(x ) denote the number of square-free integers not exceeding x , and
recall Theorem 2.2.
(a) Show that
Q(x ) = 6
π2 x − x
∑
n>√x
µ(n)
n2 −
∑
n≤√x
µ(n){x /n2 }
where {θ}= x − [x ] is the fractional part of θ.
(b) Show that ∑
n>y µ(n)/n2 ≪ y−1 exp(−c√ log y) for y ≥ 2.
(c) Note that if k is a positive integer, then {x /n2 } is monotonic for n in
the interval √x /(k + 1) < n ≤ √x /k. Deduce that if x ≥ 2k2 , then
∑
√x /(k+1)<n≤√x /k
µ(n){x /n2 }≪
√
x /k exp
(
− c
√
log x
)
.
(d) By using the above for 1 ≤ k ≤ K = exp(−b√ log x ) where b is suit-
ably chosen in terms of c, show that
Q(x ) = 6
π2 x + O
(
x 1/2 exp
(
− c
2
√
log x
))
.
20. (Ingham 1945) Let F (n) = ∑
d |n f (d ) for all n. From our remarks at the
beginning of Chapter 2 we see that it is natural to expect a connection
between
(i) S(x ): = ∑
n≤x F (n) = cx + o(x );
(ii) ∑ ∞
n=1 f (n)/n = c.
Neither of these implies the other, but we show now that (i) implies that the
series (ii) is (C,1) summable toc.
(a) Show that S(x ) = ∑
n≤x f (n)[x /n].
(b) Show that
∑
n≤x
f (n)
n
(
1 − n
x
)
=
∫ x
1
S(v)
(∑
d ≤x /v
µ(d )/d
)
d v
v2 .
(c) Show that
∫ x
1
∑
d ≤x /v
µ(d )
d
d v
v → 1
as x →∞ . | {
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6.2 The Prime Number Theorem 187
(d) Use the estimate ∑
d ≤y µ(d )/d ≪ (log 2 y)−2 to show that
∫ x
1
⏐
⏐
⏐
⏐
⏐
∑
d ≤x /v
µ(d )
d
⏐
⏐
⏐
⏐
⏐
d v
v ≪ 1.
(e) Mimic the proof of Theorem 5.5, or use Exercise 5.2.6 to show that if
(i) holds, then
lim
x →∞
∑
n≤x
f (n)
n
(
1 − n
x
)
= c.
(f) Use Theorem 5.6 to show that if (i) holds and f (n) = O (1), then (ii)
follows.
(g) T ake f (n) = µ(n) to deduce that ∑ ∞
n=1 µ(n)/n = 0. (Of course we
used much more above in (d). For a result in the converse direction, see
Exercise 8.1.5.)
21. (Landau 1908b) Let R be the set of positive integers that can be expressed
as a sum of two squares, let R(x ) denote the number of such integers not
exceeding x , and let χ1 denote the non-principal character (mod 4), as in
Exercise 6.1.5.
(a) Show that
∑
n∈R
n−s = (1 − 2−s )−1 ∏
p≡1 (4)
(1 − p−s )−1 ∏
p≡3 (4)
(1 − p−2s )−1
for σ> 1.
(b) Show that the Dirichlet series above is f (s)√
ζ(s)L (s,χ1 ) where
f (s) = (1 − 2−s )−1/2 ∏
p≡3 (4)
(1 − p−2s )−1/2
is a Dirichlet series with abscissa of convergence σc = 1/2.
(c) Deduce that the Dirichlet series generating function for R has a
quadratic singularity at s = 1.
(d) Show that
R(x ) = 1
2πi
∫
C
f (s)
√
ζ(s)L (s,χ1 ) x s
s ds + O
(
x exp
(
− c
√
log x
))
where C is the contour running from 1 − c − i δ along a straight line
to 1 − i δ, then along the semicircle 1 + δei θ, −π/2 ≤ θ ≤ π/2, and
finally along a straight line to 1 − c + i δ. Here c should be sufficiently
small and δ = 1/log x .
(e) Show that the integral above is
= 1
2πi
∫
C
g(s)x s
√s − 1
ds | {
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188 The Prime Number Theorem
where
g(s) = f (s)
s
√
(s − 1)ζ(s)L (s,χ1 )
is analytic in a neighbourhood of 1.
(f) Show that
g(1) =
√ π
2
∏
p≡3 (4)
(1 − p−2 )−1/2 .
(g) Show that g(s) = g(1) + O (|s − 1|) when s is near 1.
(h) By means of Theorem C.3 with s = 1/2, or otherwise, show that
1
2πi
∫
C
x s
√s − 1
ds = x√π log x + O (x 1−c ).
(i) Show that if δ = 1/log x , then
∫
C
|s − 1|1/2 x σ |ds |≪ x
(log x )3/2 .
(j) Show that
R(x ) = bx√ log x + O
(
x (log x )−3/2 )
where
b = 2−1/2 ∏
p≡3 (4)
(1 − p−2 )−1/2 .
22. Let A denote the set of those positive integers that are composed entirely
of the prime 2 and primes ≡ 1 (mod 4), and let B be the the set of those
positive integers that are composed entirely of primes ≡ 3 (mod 4).
(a) Explain why any positive integer n has a unique representation in the
form n = a(n)b(n) where a(n) ∈ A and b(n) ∈ B.
(b) Let A(x ) denote the number of a ∈ A, a ≤ x . Show that
A(x ) = αx√ log x + O
( x
(log x )3/2
)
where α = 1/
√
2.
(c) Let B (x ) denote the number of b ∈ B, b ≤ x . Show that
B (x ) = βx√ log x + O
( x
(log x )3/2
)
where β =
√
2/π. | {
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6.2 The Prime Number Theorem 189
(d) For 0 ≤ κ ≤ 1 let Nκ(x ) denote the number of n ≤ x such that a(n) ≤
nκ. Show that
Nκ(x ) =
∑
a≤x κ
a∈A
∑
a1/κ−1 ≤b≤x /a
b∈B
1.
(e) Show that if κ is fixed, 0 ≤ κ ≤ 1, then
Nk (x ) = c(κ)x + O
( x√ log x
)
where
c(κ) = 1
π
∫ κ
0
du√u(1 − u) .
23. The definition of li( x ) is somewhat arbitrary because of the casual choice
of the lower endpoint of integration. A more intrinsic logarithmic integral
is Li(x ), which is defined to be
Li(x ) = lim
ε→0+
(∫ 1−ε
0
+
∫ x
1+ε
)dt
log t (6.20)
for x > 1. (Note that li( x ) = Li(x ) − Li(2).)
(a) Show that
∫ 1−ε
0
dt
log t =−
∫ ∞
− log(1−ε)
e−v d v
v .
(b) Show that
∫ 1−ε
0
dt
log t = log ε−
∫ ∞
0
(log v)e−v d v + O (εlog 1 /ε),
and explain why the integral on the right is Ŵ′(1) =− C0 .
(c) Show that if x > 1, then
∫ x
1+ε
dt
log t =
∫ log x
log(1+ε)
ev d v
v .
(d) Show that if x > 1, then
∫ x
1+ε
dt
log t = log log x − log ε+
∫ log x
1
ev − 1
v d v + O (ε).
(e) Show that if x > 1, then
Li(x ) = log log x + C0 +
∫ log x
0
ev − 1
v d v. | {
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190 The Prime Number Theorem
(f) Expand ev as a power series, and integrate term-by-term, to show that
if x > 1, then
Li(x ) = log log x + C0 +
∞∑
n=1
(log x )n
n!n . (6.21)
24. For 0 < x < 1 let
Li(x ) =
∫ x
0
dt
log t .
(a) Show that if 0 < x < 1, then
Li(x ) = x log log 1 /x −
∫ ∞
− log x
e−v log vd v.
(b) Show that if 0 < x < 1, then
Li(x ) = x log log 1 /x + C0 +
∫ − log x
0
e−v log vd v.
(c) Show that if 0 < x < 1, then
Li(x ) = log log 1 /x + C0 −
∫ − log x
0
1 − e−v
v d v.
(d) Show that if 0 < x < 1, then
Li(x ) = log log 1 /x + C0 +
∞∑
n=1
(log x )n
n!n .
(e) (P ´ olya & Szeg ¨ o 1972, p. 8) Show that
∞∑
n=1
zn
n!n =− ez
∞∑
n=1
(n∑
k=1
1
k
)
(−z)n
n! .
(f) Show that if 0 < x < 1, then
Li(x ) = log log 1 /x + C0 − x
∞∑
n=1
(n∑
k=1
1
k
)
(log 1 /x )n
n! . (6.22)
25. By repeated integration by parts we know that
Li(x ) = x
K∑
k=1
(k − 1)!
(log x )k + OK
( x
(log x )K +1
)
.
Our object is to determine how closely one can approximate to Li( x )b y | {
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6.2 The Prime Number Theorem 191
partial sums of the formal asymptotic expansion
Li(x ) ∼ x
∞∑
k=1
(k − 1)!
(log x )k .
(a) Show that the least term in the sum above occurs when k = [log x ] + 1.
(b) Show that if x ≥ e K , then
Li(x ) = x
K∑
k=1
(k − 1)!
(log x )k + Li(e)
+
K −1∑
k=1
(
k!
∫ ek+1
ek
dt
(log t )k+1 − (k − 1)!ek
kk
)
− (K − 1)!e K
K K + K !
∫ x
e K
dt
(log t )K +1 .
(c) Define R(x ) by the relation
Li(x ) = x
[log x ]∑
k=1
(k − 1)!
(log x )k + R(x ).
Show that R(x ) is increasing, continuous, and convex downward for
x ∈ [e K ,e K +1 ). Let αK = R(e K ), and let βK be the limit of R(x )a s x
tends to e K +1 from below .
(d) Show that
∫ e K +1
e K
dt
(log t )K +1 = e K
K K
∫ 1/K
0
e K w
(1 + w)K +1 d w.
(e) Show that the integrand on the right above is ≤ 1 in the range of inte-
gration.
(f) Show that the minimum of e K w/(1 + w)K +1 for w> 0 occurs when
w = 1/K .
(g) Show that
e K +1
(K + 1)K +1 <
∫ e K +1
e K
dt
(log t )K +1 < e K
K K +1 .
(h) Show that αK ր and that βK ց .
(i) Show that βK − αK ≪ K −1/2
(j) Show that R(x ) = c + O ((log x )−1/2 ) where
c = Li(e) +
∞∑
k=1
(
k!
∫ ek+1
ek
dt
(log t )k+1 − (k − 1)!ek
kk
)
. | {
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192 The Prime Number Theorem
(k) Show that if x ≥ e, then
α1 ≤ Li(x ) − x
[log x ]∑
k=1
(k − 1)!
(log x )k ≤ β1 (6.23)
where α1 =− 0.82316 ... and β1 = 1.259706 ... ..
26. (Ingham 1932, pp. 60–63) Suppose that η(t ) is defined for t ≥ 2, that η′(t )i s
continuous, η′(t ) → 0a s t →∞ , that η(t ) ց, that 1 /log t ≪ η(t ) ≤ 1/2,
and that ζ(s) ̸=0 for σ ≥ 1 − η(t ), t ≥ 2. For x ≥ 2, put
ω(x ) = min
2≤t <∞
η(t ) log x + log t .
(a) Show that there is an absolute constant c > 0 such that
π(x ) = li(x ) + O (x exp(−cω(x ))).
(b) Show that if a > 0 is fixed and (6.24) below holds, then (6.27) below
holds with b = 1/(1 + a).
(c) Show that (6.28) follows from (6.26).
6.3 Notes
Section 6.1. Jensen (1899) proved that if f satisfies the hypotheses of
Lemma 6.1, then
| f (0)|
n∏
k=1
R
|zk | = exp
(1
2π
∫ 2π
0
log | f ( Re i θ)| d θ
)
where z1 ,..., zn are the zeros of f in the disc |z|≤ R. Here the right-hand side
may be regarded as being the geometric mean of | f (z)| for z on the circle |z|=
R. Each factor of the product above is ≥ 1, and if |zk |≤ r , then R/|zk |≥ R/r .
Thus Lemma 6.1 follows easily from the above. The products used in the proofs
of Lemmas 6.1 and 6.3 are known as Blaschke products. Their use (usually with
infinitely many factors) is an important tool of complex analysis. Lemma 6.2 is
due to Borel (1897); it refines an earlier estimate of Hadamard. Carath´ eodory’s
contributions on this subject are recounted by Landau (1906; Section 4).
Lemma 6.4 is implicit in Landau (1909, p. 372), and may have been known
earlier. It can also be easily derived from the identity (10.29) that arises by
applying Hadamard’s theory of entire functions to the zeta function.
The Prime Number Theorem was first proved, in the qualitative form π(x ) ∼
x /log x , independently by Hadamard (1896) and de la V all´ ee Poussin (1896).
In these papers, it was shown that ζ(1 + it ) ̸=0, but no specific zero-free region | {
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6.3 Notes 193
was established. The first proof that ζ(1 + it ) ̸=0 given by de la V all´ ee Poussin
was rather complicated, but later in his long paper he gave a second proof
depending on the inequality 1− cos 2 θ ≤ 4(1 + cos θ). This is equivalent to the
non-negativity of the cosine polynomial 3 + 4 cos θ + cos 2 θ, which Mertens
(1898) used to obtain the result of Exercise 6.4. Our Lemma 6.5 is derived by
the same method. The classical zero-free region of Theorem 6.6 was established
first by de la V all´ ee Poussin (1899). The estimates (6.6) and (6.8) of Theorem 6.7
were first proved by Gronwall (1913).
Wider zero-free regions have been established by using exponential sum es-
timates to obtain better upper bounds for |ζ(s)| when σ is near 1 . The first such
improvement was derived by Hardy & Littlewood. Their paper on this was never
published, but accounts of their approach have been given by Landau (1924b)
and Titchmarsh (1986, Chapter 5). Littlewood (1922) announced that from
these estimates he had deduced thatζ(s) ̸=0 for σ ≥ 1 − c(log log τ)/log τ.
As explained by Ingham (1932, p. 66), Littlewood never published his com-
plicated proof, because the simpler method of Landau (1924a) had become
available.
In 1935, V inogradov introduced a new method for estimating W eyl sums. A
W eyl sum is a sum of the form ∑ N
n=1 e( f (n)) where f ∈ R[x ]. The quality of
V inogradov’s estimate depends on rational approximations to the coefficients
off , and on the degree of f . The function f (x ) = t log x is not a polynomial,
but by approximating to it by polynomials one can make V inogradov’s method
apply . This was first done by Chudakov (1936 a, b, c), who derived estimates
forζ(s) for σ near 1 that allowed him to deduce that ζ(s) ̸=0 for
σ> 1 − c(log τ)−a (6.24)
for a > 10/11. V inogradov (1936b) gave stronger exponential sum estimates,
which Titchmarsh (1938) used to obtain a zero-free region of the above form for
a > 4/5. Hua (1949) introduced a further refinement of V inogradov’s method,
from which Titchmarsh (1951, Chapter 6) and T atuzawa (1952) derived the
zero-free region
σ> 1 − c(log τ)−3/4 (log log τ)−3/4 .
By refining the passage from W eyl sums to the zeta function, Korobov (1958a)
obtained (6.24) fora > 5/7, and then Korobov (1958b, c) and V inogradov
(1958) obtained a > 2/3. In fact, V inogradov claimed that one can take a =
2/3, but this seems to be still out of reach. Richert’s polished exposition of
V inogradov’s method is reproduced in W alfisz (1963). Other expositions have
since been given by Karatsuba & V oronin (1992, Chapter 4), Montgomery
(1994, Chapter 4), and V aughan (1997). Richert (1967) used V inogradov’s | {
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194 The Prime Number Theorem
method to show that
ζ(s) ≪ t 100(1−σ)3/2
(log t )2/3 (6.25)
for σ ≤ 1, t ≥ 2. From this it follows that ζ(s) ̸=0 for
σ ≥ 1 − c(log τ)−2/3 (log log τ)−1/3 . (6.26)
The methods of Hadamard and de la V all´ ee Poussin depended on the analytic
continuation ofζ(s), on bounds for the size of ζ(s) in the complex plane, and
on Hadamard’s theory of entire functions. The first two of these are achieved
most easily by Riemann’s functional equation (see Corollaries 10.3–10.5). An
abbreviated account of the third is found in Lemma 10.11. Landau (1903a)
showed that one can obtain a zero-free region using only the local analytic
properties of the zeta function. This enabled Landau to prove the Prime Ideal
Theorem, which is the natural extension of the Prime Number Theorem to
algebraic number fields: IfK is an algebraic number field, then the number
of prime ideals p in K with N (p) ≤ x is asymptotic to x /log x as x →∞ .
This could not have been done at that time by the methods of Hadamard and
de la V all´ ee Poussin, since the analytic continuation and functional equation of
the Dedekind zeta functionζK (s) was established only later, by Hecke (1917).
Landau did not achieve Theorem 6.6 at the first attempt, but he refined his
approach in a series of papers culminating in the polished exposition of Landau
(1924a).
Section 6.2. Ingham (1932, pp. 60–65; cf. Titchmarsh 1986, pp. 56–60)
developed a general system by which any given zero-free region of the zeta
function can be used to derive an associated bound for the error term in the
Prime Number Theorem. In particular, he showed that ifζ(s) ̸=0 for s in the
region (6.24), then
ψ(x ) = x + O (x exp(−c(log x )b )) (6.27)
where b = 1/(1 + a). Similarly , from the zero-free region (6.26) it follows that
π(x ) = li(x ) + O
(
x exp
(
− c(log x )3/5 (log log x )−1/5 ))
. (6.28)
Tur ´an (1950) used his method of power sums to show conversely that (6.27)
implies (6.24). More general converse theorems have since been established by
St´ as (1961) and Pintz (1980, 1983, 1984). A similar converse theorem in which
an upper bound forM (x ) = ∑
n≤x µ(n) is used to produce a zero-free region
has been given by Allison (1970).
That M (x ) = o(x ) was first proved by von Mangoldt (1897). The quantitative
estimate (6.17) is due to Landau (1908a). The relation (6.19), asserted by Euler | {
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6.4 References 195
(1748; Chapter 15, no. 277), was first proved by von Mangoldt (1897). Landau
(1899a) and de la V all´ee Poussin (1899) shortly gave simpler proofs.
6.4 References
Allison, D. (1970). On obtaining zero-free regions for the zeta-function from estimates
of M (x ), Proc. Cambridge Philos. Soc. 67, 333–337.
Borel, E. (1897). Sur les z´ eros des fonctions enti` ers, Acta Math. 20, 357–396.
Chudakov , N. G. (1936a). Sur les z´ eros de la fonction ζ(s), C. R. Acad. Sci. Paris 202,
191–193.
(1936b). On zeros of the function ζ(s), Dokl. Akad. Nauk SSSR 1, 201–204.
(1936c). On zeros of Dirichlet’s L -functions, Mat. Sb. (1) 43, 591–602.
(1937). On W eyl’s sums, Mat. Sb. (2) 44, 17–35.
(1938). On the functions ζ(s) and π(x ), Dokl. Akad. Nauk SSSR 21, 421–422.
Cipolla, M. (1902). La determinazione assintotica dell’ nimo numero primo, Rend. Accad.
Sci. Fis-Mat. Napoli (3) 8, 132–166.
Euler, L. (1748). Introductio in analysin infinitorum , I, Lausanne; Opera omnia Ser 1,
V ol. 8, T eubner, 1922.
Gronwall, T . H. (1913). Sur la fonction ζ(s) de Riemann au voisinage de σ = 1, Rend.
Mat. Cir . P alermo 35, 95–102.
Hadamard, J. (1896). Sur la distribution des z´ eros de la fonction ζ(s) et ses cons´ equences
arithm´ etiques,Bull. Soc. Math. France 24, 199–220.
Hardy , G. H. (1921). Note on Ramanujan’s trigonometrical function cq (n), and certain
series of arithmetical functions, Proc. Cambridge Philos. Soc. 20, 263–271.
Hecke, E. (1917). ¨Uber die Zetafunktion beliebiger algebraischer Zahlk ¨ orper, Nachr .
Akad. Wiss. G ¨ottingen, 77–89; Mathematische W erke,G ¨ottingen: V andenhoeck &
Ruprecht, 1959, pp. 159–171.
Hua, L. K. (1949). An improvement of V inogradov’s mean-value theorem and several
applications, Quart. J. Math. Oxford Ser . 20, 48–61.
Ingham, A. E. (1932). The Distribution of Prime Numbers, Cambridge Tracts Math . 30.
Cambridge: Cambridge University Press.
(1945). Some T auberian theorems connected with the Prime Number Theorem, J.
London Math. Soc. 20, 171–180.
Jensen, J. L. W . V . (1899). Sur un nouvel et important th´ eor` eme de la th´ eorie des
fonctions, Acta Math. 22, 359–364.
Karatsuba, A. A. & V oronin, S. M. (1992). The Riemann Zeta-function . Berlin: de
Gruyter.
Korobov , N. M. (1958a). On the zeros of the function ζ(s), Dokl. Akad. Nauk SSSR 118,
231–232.
(1958b). W eyl’s estimates of sums and the distribution of primes, Dokl. Akad. Nauk
SSSR 123, 28–31.
(1958c). Evaluation of trigonometric sums and their applications, Usp. Mat. Nauk 13,
no. 4, 185–192.
Landau, E. (1899a). Neuer Beweis der Gleichung ∑ ∞
k=1
µ(k)
k = 0, Inaugural Dissertation,
Berlin; Collected W orks, V ol. 1. Essen: Thales V erlag, pp. 69–83. | {
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196 The Prime Number Theorem
(1899b). Contribution ` al at h ´ eorie de la fonction ζ(s) de Riemann, C. R. Acad. Sci.
Paris, 129, 812–815; Collected W orks , V ol. 1. Essen: Thales V erlag, 1985, pp.
84–88.
(1900). Sur quelques probl` emes r´ elatifs ` a la distribution des nombres premiers, Bull.
Soc. Math. France 28, 25–38; Collected W orks, V ol. 1. Essen: Thales V erlag, 1985,
pp. 92–105.
(1901a). ¨Uber die asymptotischen W erthe einiger zahlentheoretischer Functionen,
Math. Ann. 54, 570–591; Collected W orks, V ol. 1. Essen: Thales V erlag, 1985, pp.
141–162.
(1901b). Solutions de questions propos´ ees, Nouv . Ann. de Math. (4) 1, 281–283;
Collected W orks, V ol. 1. Essen: Thales V erlag, 1985, pp. 181–182.
(1903a). Neuer Beweis des Primzahlsatzes und Beweis des Primidealsatzes, Math.
Ann. 56, 645–670; Collected W orks, V ol. 1. Essen: Thales V erlag, 1985, pp. 327–
353.
(1903b). ¨Uber die Maximalordnung der Permutationen gegebenen Grades, Arch.
Math. Phys. (3) 5, 92–103; Collected W orks , V ol. 1. Essen: Thales V erlag, 1985,
pp. 384–396.
(1903c). ¨Uber die zahlentheoretische Funktion µ(k), Sitzungsber . Kaiserl. Akad. Wiss.
Wien math-natur . Kl. 112, 537–570; Collected W orks, V ol. 2. Essen: Thales V erlag,
1986, pp. 60–93.
(1905). Sur quelques in´ egalit´es dans la th´ eorie de la fonction ζ(s) de Riemann, Bull.
Soc. Math. France 33, 229–241; Collected W orks , V ol. 2. Essen: Thales V erlag,
1986, pp. 167–179.
(1906). ¨Uber den Picardschen Satz, V ierteljahrschr . der Naturf. Ges. Z ¨urich 51, 252–
318; Collected W orks, V ol. 3. Essen: Thales V erlag, 1986, pp. 113–179.
(1907). ¨Uber die Multiplikation Dirichlet’scher Reihen, Rend. Circ. Mat. P alermo 24,
81–160; Collected W orks, V ol. 3. Essen: Thales V erlag, 1986, pp. 323–401.
(1908a). Beitr¨ age zur analytischen Zahlentheorie, Rend. Mat. Circ. P alermo 26, 169–
302; Collected W orks, V ol. 3. Essen: Thales V erlag, 1986, pp. 411–544.
(1908b). ¨Uber die Einteilung der positiven ganzen Zahlen in vier Klassen nach der
Mindestzahl der zu ihrer additiven Zusammensetzung erforderlichen Quadrate,
Arch. Math Phys.(3) 13, 305–312; Collected W orks, V ol. 4. Essen: Thales V erlag,
1986, 59–66.
(1909). Handbuch der Lehre von der V erteilung der Primzahlen , Leipzig: T eubner.
(1924a). ¨Uber die Wurzeln der Zetafunktion, Math. Z. 20, 98–104; Collected W orks,
V ol. 8. Essen: Thales V erlag, 1987, pp. 70–76.
(1024b). ¨Uber die ζ-funktion und die L -funktionen, Math. Z. 20, 105–125; Collected
W orks, V ol. 8. Essen: Thales V erlag, 1987, pp. 77–98.
Littlewood, J. E. (1922). Researches in the theory of the Riemann ζ-function, Proc.
London Math. Soc. (2), 20, xxii–xxvii; Collected papers , V ol. 2. Oxford: Oxford
University Press, 1982, pp. 844–850.
von Mangoldt, H. (1897). Beweis der Gleichung ∑ ∞
k=1
µ(k)
k = 0, Sitzungsber . K ¨onigl.
Preuß. Akad. Wiss . Berlin, 835–852.
Massias, J.-P ., Nicolas, J.-L., & Robin, G. (1988). ´Evaluation asymptotique de l’ordre
maximum d’un ´ el´ ement du groupe sym´ etrique, Acta Arith. 50, 221–242.
(1989). Effective bounds for the maximal order of an element in the symmetric group,
Math. Comp. 53, 665–678. | {
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6.4 References 197
Mertens, F . (1897). Ueber eine Zahlentheoretische Function, Sitzungsber . Akad. Wiss.
Wien Abt. 2a 106.
(1898). ¨Uber eine Eigenschaft der Riemannscher ζ-Funktion, Sitzungsber . Kais. Akad.
Wiss. Wien Abt. 2a 107, 1429–1434.
Montgomery , H. L. (1994). T en Lectures on the Interface Between Analytic Number The-
ory and Harmonic Analysis , CBMS Regional Conf. Series in Math. 84. Providence:
Amer. Math. Soc.
Montgomery , H. L. & V aughan, R. C. (2001). Mean values of multiplicative functions,
P eriod. Math. Hungar . 43, 199–214.
Pintz, J. (1980). On the remainder term of the prime number formula, II. On a theorem
of Ingham, Acta Arith. 37, 209–220.
(1983). Oscillatory Properties of the Remainder T erm of the Prime Number Formula,
Studies in Pure Math. Basel: Birkh¨ auser, pp. 551–560.
(1984). On the remainder term of the prime number formula and the zeros of Rie-
mann’s zeta-function, Number Theory (Noordwijkerhout, 1983). Lecture notes in
math. 1068. Berlin: Springer-V erlag, pp. 186–197.
P´olya, G. & Szeg ¨ o, G. (1972). Problems and Theorems in Analysis, V ol. 1. Grundl.
math. Wiss. 193. New Y ork: Springer-V erlag.
Richert, H.-E. (1967). Zur Absch¨ atzung der Riemannschen Zetakunktion in der N¨ ahe
der V ertikalen σ = 1, Math. Ann. 169, 97–101.
Rosser, J. B. (1939). The n-th prime is greater than n log n, Proc. London Math. Soc. (2)
45, 21–44.
Rosser, J. B. & Schoenfeld, L. (1962). Approximate formulas for some functions of
prime numbers, Illinois J. Math. 6, 64–94.
St´ as, W . (1961). ¨Uber die Umkehrung eines Satzes von Ingham, Acta Arith. 6, 435–
446.
T atuzawa, T . (1952). On the number of primes in an arithmetic progression, Jap. J. Math.
21, 93–111.
Titchmarsh, E. C. (1938). On ζ(s) and π(x ), Quart. J. Math. Oxford Ser . 9, 97–108.
(1951). The Theory of the Riemann Zeta-function , Oxford: Oxford University
Press.
(1986). The Theory of the Riemann Zeta-function , Second Ed. Oxford: Oxford
University Press.
Tur ´an, P . (1950). On the remainder-term in the prime-number formula, II, Acta. Math.
Acad. Sci. Hungar . 1, 155–166; Collected P apers , V ol. 1. Budapest: Akad´ emiai
Kiado, 1990, pp. 541–551.
de la V all´ ee Poussin, C. J. (1896). Recherches analytiques sur la th´ eorie des nombres
premiers, I–III, Ann. Soc. Sci. Bruxelles 20, 183–256, 281–362, 363–397.
(1899). Sur la fonction ζ(s) et le nombre des nombres premiers inf´ erieurs ` a une limite
donn´ ee,Mem. Couronn ´es de l’Acad. Roy. Sci. Bruxelles 59.
V aughan, R. C. (1997). The Hardy–Littlewood Method , Second Edition, Cambridge
Tracts in Math. 125, Cambridge: Cambridge University Press.
V inogradov , I. M. (1935). On W eyl’s sums, Mat. Sb. 42, 521–530.
(1936a). A new method for resolving certain general questions in the theory of num-
bers, Mat. Sb. (1) 43, 9–19.
(1936b). A new method of estimation of trigonometrical sums, Mat. Sb. (1) 43, 175–
188. | {
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198 The Prime Number Theorem
(1947). The Method of Trigonometrical Sums in the Theory of Numbers , Trav . Inst.
Math. Stecklov 23; English translation, London: Interscience Publishers, 1954.
(1958). A new evaluation of ζ(1 + it ), Izv . Akad. Nauk SSSR 22, 161–164.
W alfisz, A. (1963). W eylsche Exponentialsummen in der neuren Zahlentheorie , Math.
Forschungsberichte 15. Berlin: Deutscher V erlag Wiss. | {
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7
Applications of the Prime Number Theorem
W e now use the Prime Number Theorem, and other estimates obtained by similar
methods, to estimate the number of integers whose multiplicative structure is
of a specified type.
7.1 Numbers composed of small primes
Let ψ(x ,y) denote the number of integers n,1 ≤ n ≤ x , all of whose prime
factors are ≤ y. Obviously , if y ≥ x , then
ψ(x ,y) = [x ] = x + O (1). (7.1)
Also, if n ≤ x , then n can have at most one prime factor p > √
x , and hence if
x 1/2 ≤ y ≤ x , then
ψ(x ,y) = [x ] −
∑
y<p≤x
∑
n≤x
p|n
1
= [x ] −
∑
y<p≤x
[x /p]
= x − x
∑
y<p≤x
1
p + O (π(x )).
By the estimates of Chebyshev and Mertens (Corollary 2.6 and Theorem 2.7(d)),
this is
= x
(
1 − log log x
log y
)
+ O
(x
log x
)
.
Thus if we take u = (log x )/(log y), so that y = x 1/u , then we see that
ψ
(
x ,x 1/u )
= (1 − log u)x + O
(x
log x
)
(7.2)
199 | {
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200 Applications of the Prime Number Theorem
0
1
1
Figure 7.1 The Dickman function ρ(u) for 0 ≤ u ≤ 4.
uniformly for 1 ≤ u ≤ 2. W e shall show more generally that there is a function
ρ(u) > 0 such that
ψ
(
x ,x 1/u )
∼ ρ(u)x (7.3)
as x →∞ with u bounded. The function ρ(u) that arises here is known as the
Dickman function ; it may be defined to be the unique continuous function on
[0,∞) satisfying the differential–delay equation
uρ′(u) =− ρ(u − 1) (7.4)
for u > 1 together with the initial condition that
ρ(u) = 1 (7.5)
for 0 ≤ u ≤ 1. Before proceeding further we note some simple properties of
this function. By dividing both sides of (7.4) by u and then integrating, we find
that
ρ(v) = ρ(u) −
∫ v
u
ρ(t − 1) dt
t (7.6)
for 1 ≤ u ≤ v. Also, from (7.4) we see that ( uρ(u))′ = ρ(u) − ρ(u − 1), so that
by integrating it follows that
uρ(u) =
∫ u
u−1
ρ(v) d v + C
for u ≥ 1, where C is a constant of integration. On taking u = 1 we deduce that
C = 0, and hence that
uρ(u) =
∫ u
u−1
ρ(v) d v (7.7)
for u ≥ 1.
As might be surmised from Figure 7.1, ρ(u) is positive and decreasing. T o
prove this, let u0 be the infimum of the set of all solutions of the equation
ρ(u) = 0. By the continuity of ρ it follows that ρ(u0 ) = 0. But ρ(u) > 0 for | {
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7.1 Numbers composed of small primes 201
0 ≤ u < u0 , and hence if we take u = u0 in (7.7), then the left-hand side is
0 while the right-hand side is positive, a contradiction. Thus ρ(u) > 0 for all
u ≥ 0, and by (7.4) it follows that ρ′(u) < 0 for all u > 1. Figure 7.1 also
suggests that ρ(u) tends to 0 rapidly as u →∞ . W e now establish a crude
estimate in this direction.
Lemma 7.1The function ρ(u) is positive and decreasing for u ≥ 0, and
satisfies the inequalities
1
2Ŵ(2u + 1) ≤ ρ(u) ≤ 1
Ŵ(u + 1) .
Proof For positive integers U we prove by induction that the upper bound
holds for 0 ≤ u ≤ U . T o provide the basis of the induction we need to show
that Ŵ(s) ≤ 1 for 1 ≤ s ≤ 2. This is immediate from the relations
Ŵ(1) = Ŵ(2) = 1,Ŵ ′′(s) =
∫ ∞
0
e−x x s−1 (log x )2 dx > 0( 0 < s < ∞).
(7.8)
Since ρ(u) is decreasing, we see by (7.7) that uρ(u) ≤ ρ(u − 1). Thus if the
desired upper bound holds for u ≤ U and if U ≤ u ≤ U + 1, then
ρ(u) ≤ ρ(u − 1)
u ≤ 1
uŴ(u) = 1
Ŵ(u + 1)
by (C.4).
After making the change of variables u = v/2, the desired lower bound
asserts that ρ(v/2) ≥ 1/(2Ŵ(v + 1)). W e let V run through positive integral
values, and prove by induction on V that the lower bound holds for 0 ≤ v ≤ V .
T o establish the lower bound for 0 ≤ v ≤ 2 it suffices to show that Ŵ(s) ≥ 1/2
for all s > 0. From (7.8) we see that Ŵ(s) ≥ 1 for 0 < s ≤ 1 and for s ≥ 2; thus
it remains to note that if 1 ≤ s ≤ 2, then
Ŵ(s) =
∫ ∞
0
e−x x s−1 dx ≥
∫ 1
0
e−x xd x +
∫ ∞
1
e−x dx = 1 − 1
e > 1
2 .
(The actual fact of the matter is that min s>0 Ŵ(s) = Ŵ(1.4616 ... ) =
0.8856 ... .) Since ρ(u) is decreasing, we see by (7.7) that uρ(u) ≥ ρ(u −
1/2)/2. Thus if the lower bound holds for 0 ≤ v ≤ V and if V ≤ v ≤ V + 1,
then
ρ(v/2) ≥ ρ((v − 1)/2)
v ≥ 1
2vŴ(v) = 1
2Ŵ(v + 1)
by (C.4). This completes the inductive step, so the proof is complete. □
W e now use elementary reasoning to show that (7.3) holds uniformly for u
in bounded intervals. | {
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202 Applications of the Prime Number Theorem
Theorem 7.2 (Dickman) Let ψ(x ,y) be the number of positive integers not
exceeding x composed entirely of prime numbers not exceeding y, and let ρ(u)
be defined as above. Then for any U ≥ 0 we have
ψ
(
x ,x 1/u )
= ρ(u)x + O
(x
log x
)
(7.9)
uniformly for 0 ≤ u ≤ U and all x ≥ 2.
Proof W e restrict U to integral values, and induct on U . The basis of the
induction is provided by (7.1) and (7.5). Also, (7.2) gives (7.9) for 1 ≤ u ≤ 2
since from (7.6) we see that
ρ(u) = 1 − log u (7.10)
for 1 ≤ u ≤ 2. Suppose now that U is an integer, U ≥ 2, and that (7.9) holds
uniformly for 0 ≤ u ≤ U . W e show that (7.9) holds uniformly for U ≤ u ≤
U + 1. T o this end we classify n according to the size of the largest prime
factor P (n)o f n. Thus we see that
ψ(x ,y) = 1 +
∑
p≤y
card{n ≤ x : P (n) = p}.
Here the first term on the right reflects the fact that if x ≥ 1, then ψ(x ,y)
counts the number n = 1 for which P (1) is undefined. In the sum on the right,
the summand is ψ(x /p, p), and hence we see that
ψ(x ,y) = 1 +
∑
p≤y
ψ(x /p, p). (7.11)
On differencing, it follows that if y ≤ z, then
ψ(x ,y) = ψ(x ,z) −
∑
y<p≤z
ψ(x /p, p). (7.12)
Suppose that z = x 1/U and that y = x 1/u with U ≤ u ≤ U + 1. Define u p by
the relation p = (x /p)1/u p . That is,
u p = log x
log p − 1,
which is ≤ u − 1 ≤ U if p ≥ y. Hence by the inductive hypothesis the right-
hand side of (7.12) is
ρ(U )x + O
(x
log x
)
− x
∑
y<p≤z
ρ((log x )/(log p) − 1)
p
+ O
(
x
∑
y<p≤z
1
p log x /p
)
. (7.13) | {
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7.1 Numbers composed of small primes 203
Let s(w) = ∑
p≤w 1/p, and write Mertens’ estimate (Theorem 2.7(d)) in the
form s(w) = log log w+ c + r (w). Then the sum in the main term above is∫ z
y
ρ((log x )/(log w) − 1) ds (w) =
∫ z
y
ρ((log x )/(log w) − 1) d log log w
+
∫ z
y
ρ((log x )/(log w) − 1) dr (w).
(7.14)
W e put t = (log x )/(log w). Since
d log log w = d w
wlog w =− dt
t ,
the first integral on the right-hand side of (7.14) is∫ u
U
ρ(t − 1) dt
t . (7.15)
By integrating by parts and the estimate r (w) ≪ 1/log wwe see that the second
integral on the right-hand side of (7.14) is
ρ((log x )/(log w) − 1)r (w)
⏐
⏐
⏐
⏐
z
y
−
∫ z
y
r (w) dρ((log x )/(log w) − 1)
≪ 1
log x
(
1 +
∫ z
y
1 |dρ((log x )/(log w) − 1)|
)
≪ 1
log x
since ρ is monotonic and bounded. By Mertens’ estimate (Theorem 2.7(d)) we
also see that the error term in (7.13) is
≪ x
log x
∑
y<p≤z
1
p ≪ x
log x
since log log z = log log y + O (1). On combining our estimates in (7.12) we
find that
ψ(x ,x 1/u ) = x
(
ρ(U ) −
∫ u
U
ρ(t − 1) dt
t
)
+ O
(x
log x
)
.
Thus by (7.6) we have the desired estimate for U ≤ u ≤ U + 1, and the proof
is complete. □
As for ψ(x ,y) when y < x ε, we show next that
ψ(x ,(log x )a ) = x 1−1/a+o(1) (7.16)
for any fixed a ≥ 1. The upper bound portion of this is obtained by means of
bounds for an associated Dirichlet series, while the lower bound is derived by
combinatorial reasoning. | {
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204 Applications of the Prime Number Theorem
An upper bound for ψ(x ,y) can be constructed by observing that if σ> 0,
then
ψ(x ,y) ≤
∑
n≤x
p|n⇒ p≤y
(x
n
)σ
≤ x σ ∑
p|n⇒ p≤y
1
nσ = x σ ∏
p≤y
(
1 − 1
pσ
)−1
.(7.17)
Rankin used this chain of inequalities to derive an upper bound for ψ(x ,y).
This approach is fruitful in a variety of settings, and has become known as
‘Rankin’s method’.
T o use the above, we must establish an upper bound for the product on the
right-hand side. The size of this product is a little difficult to describe, because its
behaviour depends on the size ofσ.I f σ is near 0, then most of the factors are ap-
proximately (1 − y−σ)−1 , and hence we expect the product to be approximately
(1 − y−σ)−y/log y .I f σ is larger (but still < 1), then the general factor is approx-
imately exp( p−σ), and hence the product is approximately the exponential of
∑
p≤y
p−σ ∼
∫ y
2
dt
t σ log t ∼ y1−σ
(1 − σ) log y .
W e begin by making these relations precise.
Lemma 7.3If 0 ≤ σ ≤ 1, then
∑
p≤y
p−σ =
∫ y
2
du
uσ log u + O
(
y1−σ exp
(
− c
√
log y
))
+ O (1). (7.18)
Proof W e write the left-hand side as∫ y
2−
u−σ d π(u) =
∫ y
2−
u−σ d li(u) +
∫ y
2−
u−σ dr (u)
where r (u) = π(u) − li(u). The first integral on the right is
∫y
2 u−σ(log u)−1 du .
By integrating by parts we find that the second integral is
y−σr ( y) − 2−σr (2−) + σ
∫ y
2
r (u)u−σ−1 du .
Suppose that b is a positive constant chosen so that r (u) ≪ u exp(−b√ log u).
Then the first two terms above can be absorbed into the error terms in (7.18) if
c< b. T o complete the proof it suffices to show that∫ y
2
u−σ exp(−b
√
log u) du ≪ 1 + y1−σ exp
(
− b
3
√
log y
)
, (7.19)
for then we have (7.18) with c = b/3.
T o prove (7.19) we note that if σ ≥ 1 − b/(2√ log y), then
u1−σ exp
(
− b
2
√
log u
)
= exp
(
(1 − σ) log u − b
2
√
log u
)
≤ exp
(b
2 (log u)/
√
log y − b
2
√
log u
)
≤ 1 | {
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7.1 Numbers composed of small primes 205
for 2 ≤ u ≤ y. Hence for σ in this range the integral in (7.19) is
≤
∫ y
2
du
u exp
(b
2
√ log u
)<
∫ ∞
2
du
u exp
(b
2
√ log u
)≪ 1.
Now suppose that
σ ≤ 1 − b
2√ log y . (7.20)
W e write the integral in (7.19) as
∫y1/4
2 +
∫y
y1/4 = I1 + I2 , say . Then
I1 ≤
∫ y1/4
2
u−σ du < y(1−σ)/4
1 − σ ,
which by (7.20) is
≪ y1−σ√
log y exp
(
− 3
4 (1 − σ) log y
)
≪ y1−σ exp
(
− b
3
√
log y
)
.
As for I2 , we note that if u ≥ y1/4 , then log u ≥ 1
4 log y. Hence
I2 ≤ exp
(
− b
2
√
log y
)∫ y
2
u−σ du ≤ exp
(
− b
2
√
log y
)y1−σ
1 − σ
≪ exp
(
− b
2
√
log y
)
y1−σ√
log y ≪ y1−σ exp
(
− b
3
√
log y
)
.
These estimates combine to give (7.19), so the proof is complete. □
Lemma 7.4 If y ≥ 2 and 1 − 4/log y ≤ σ ≤ 1, then
∑
p≤y
p−σ = log log y + O (1). (7.21)
If y ≥ 2 and 0 ≤ σ ≤ 1 − 4/log y, then
∑
p≤y
p−σ = y1−σ
(1 − σ) log y + log 1
1 − σ + O
( y1−σ
(1 − σ)2 (log y)2
)
. (7.22)
Proof Suppose that 1 − 4/log y ≤ σ ≤ 1. If u ≤ y, then
u−σ = u−1 u1−σ = u−1 exp
(
(1 − σ) log u
)
= u−1 (
1 + O ((1 − σ) log u)
)
= u−1 + O
(
u−1 (1 − σ) log u
)
.
Hence∫ y
2
du
uσ log u =
∫ y
2
du
u log u + O
(
(1 − σ)
∫ y
2
du
u
)
= log log y + O (1).
Thus (7.21) follows from Lemma 7.3.
T o prove (7.22) we let v = exp(4/(1 − σ)), and observe that v ≤ y. W e write
the integral in Lemma 7.3 as
∫v
2 +
∫y
v = I1 + I2 , say . By the above we see that
I1 = log log v + O (1) = log 1 /(1 − σ) + O (1). By integration by parts we see | {
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206 Applications of the Prime Number Theorem
that
I2 = y1−σ
(1 − σ) log y − v1−σ
(1 − σ) log v + 1
1 − σ
∫ y
v
du
uσ(log u)2 .
Here the first term on the right is one of the main terms in (7.22), and the second
term isO (1). Let J denote the integral on the right. T o complete the proof it
suffices to show that
J ≪ y1−σ
(1 − σ)(log y)2 . (7.23)
T o this end we integrate by parts again:
J = y1−σ
(1 − σ)(log y)2 − v1−σ
(1 − σ)(log v)2 + 2
1 − σ
∫ y
v
d w
wσ(log w)3 .
Here the second term on the right-hand side is e4 2−4 (1 − σ) ≪ 1 − σ, while
the first term on the right-hand side is larger. As for the integral on the right, we
observe that ifw ≥ v, then (log w)3 ≥ 4(log w)2 /(1 − σ). Hence the last term
on the right above has absolute value not exceeding J /2. Thus we have (7.23),
and the proof is complete. □
Lemma 7.5 Suppose that y ≥ 2.I f max
(
2/log y,1 − 4/log y
)
≤ σ ≤ 1,
then
∏
p≤y
(
1 − p−σ)−1
≍ log y. (7.24)
If 2/log y ≤ σ ≤ 1 − 4/log y, then
∏
p≤y
(1 − p−σ)−1 = 1
1 − σ
× exp
( y1−σ
(1 − σ) log y
(
1 + O
( 1
(1 − σ) log y
)
+ O ( y−σ)
))
. (7.25)
Proof The bound (7.24) is trivial when σ ≤ 2/3 since then y ≤ e12 . The
estimate (1 − δ)−1 = exp
(
δ + O (δ2 )
)
holds uniformly for |δ|≤ 1/2. W e take
δ = p−σ for p >v = e1/σ to deduce that
∏
v<p≤y
(
1 − p−σ)−1
= exp
(∑
v<p≤y
p−σ + O
(∑
v<p≤y
p−2σ
))
.
Now (7.24) follows at once from Lemma 7.4 when σ ≥ 2/3. Thus it remains
to establish (7.25). The sum in the error term above is ≪ 1 for σ> 5/8. If
3/8 ≤ σ ≤ 5/8, then by Lemma 7.4 it is ≪ y1/4 /log y.I f2 /log y ≤ σ ≤ 3/8,
then by Lemma 7.4 the sum is ≪ y1−2σ/log y. Thus in any case this error term | {
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7.1 Numbers composed of small primes 207
is majorized by the error terms on the right-hand side of (7.25). By Lemma 7.4,
the main term is
∑
v<p≤y
p−σ = y1−σ
(1 − σ) log y + log 1
1 − σ
+ O
( y1−σ
(1 − σ)2 (log y)2
)
+ O
(v
log v
)
.
Since 2 /log y ≤ σ ≤ 1 − 4/log y, y satisfies y ≥ e6 , and σ(1 − σ) log y ≥
2(1 − 2/log y) ≥ 4/3. Hence ( y1−σ)3/4 ≥ v and the second error term above
is dominated by the first.
It remains to consider the contribution of the primes p ≤ v.I f σ> 1/3, then
the contribution of these primes is ≪ 1, so we may suppose that 2 /log y ≤
σ ≤ 1/3. In this range
1 − p−σ ≍ σ log p = log p
log v .
Since
∑
p≤v
log
(
C log v
log p
)
≪ v,
it follows that
∏
p≤v
(1 − p−σ)−1 < exp(C v) = exp
(
Ce 1/σ)
≤ exp
(
Cy 1/2 )
,
which suffices. Thus the proof is complete. □
W e now bound ψ(x ,y) by combining Lemma 7.5 with the inequalities (7.17).
Theorem 7.6 If y = x 1/u and log x ≤ y ≤ x 1/9 , then
ψ(x ,y) < x (log y)e x p
(
− u log u − u log log u + u − u log log u
log u
+ O
(u
log u
)
+ O
(u2 log u
y
))
.
Here the first error term is larger than the second if y ≥ (log x ) log log x ,
while if y is smaller, then the second error term dominates.
Proof W e first note that we may suppose that y ≥ 9 log x , since the bound for
smaller y follows by taking y = 9 log x . T o motivate the choice of σ in (7.17)
we note that the expression to be minimized is approximately
x σ exp
(∫ y
2
u−σ
log u du
)
. | {
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208 Applications of the Prime Number Theorem
On taking logarithmic derivatives, this suggests that we should take σ to be the
root of the equation
log x = y1−σ
1 − σ. (7.26)
In actual fact we take
σ = 1 − log u + log log u
log y . (7.27)
It is easy to see that for this σ the right-hand side of (7.26) is
log x log u
log u + log log u ,
so it is reasonable to expect that the simple choice (7.27) is close enough to the
root of (7.26) for our present purposes.
From the inequalities 9 log x ≤ y ≤ x 1/9 it follows that the σ given by (7.27)
satisfies 2 /log y ≤ σ ≤ 1 − 1/log y. Hence the stated upper bound follows by
combining (7.17) with the estimates of Lemma 7.5. □
T o obtain companion lower bounds we observe that if k is chosen so that yk ≤
x , then ψ(x ,y) certainly counts all integers n composed of primes p ≤ y such
that /Omega1 (n) ≤ k. Put r = π( y), and suppose that p1 , p2 ,..., pr are the primes
not exceeding y. Then n is of the form n = pa1
1 pa2
2 ··· par
r , and ψ(x ,y) is at least
as large as the number of solutions of the inequality a1 + a2 +···+ ar ≤ k in
non-negative integers ai . For this quantity we have an exact formula, as follows.
Lemma 7.7 Let A (r,k) denote the number of solutions of the inequality a 1 +
a2 +···+ ar ≤ k in non-negative integers a i . Then A (r,k) =
(r +k
k
)
.
Analytic Proof Let ar +1 = k − ∑ r
i =1 ai . Then A(r,k) is the number of ways
of writing k = a1 + a2 +···+ ar +1 , which is the coefficient of x k in the power
series
(∞∑
a=0
x a
)r +1
= (1 − x )−r −1 =
∞∑
k=0
(r + k
k
)
x k
by the ‘negative’ binomial theorem. □
Combinatorial Proof Suppose that we have k circles ◦ and r bars | arranged
in a line. Let a1 be the number of circles to the left of the first bar, let a2 be the
number of circles between the first and second bar, and so on, so that ar is the
number of circles between the last two bars. (The number of circles to the right
of the last bar isk − ∑ ai .) Thus a configuration of circles and bars determines
a choice of non-negative ai with a1 + a2 +···+ ar ≤ k. But conversely , a | {
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7.1 Numbers composed of small primes 209
choice of such ai determines a configuration of circles and bars. The number
of ways of choosing the positions of the k circles in the r + k available places
is
(r +k
k
)
. □
Theorem 7.8 If log x ≤ y ≤ x , then
ψ(x ,y) ≫ x
y exp(−u log log x + u/2).
Proof Let r = π( y) and let k be the largest integer such that yk ≤ x . That is,
k = [u]. Then by Lemma 7.7 and Stirling’s formula we see that
ψ(x ,y) ≥
(r + k
k
)
≍
(r + k
k
)k (r + k
r
)r 1√
k
. (7.28)
The identity
k log(1 + r/k) + r log(1 + k/r ) =
∫ r
0
log(1 + k/t ) dt
shows that the left-hand side is an increasing function of r . It can be supposed
that x is sufficiently large. Let z = y/(k log y). Then the expression (7.28) is
≫
(
1 + y
k log y
)k (
1 + k log y
y
)y/log y 1√
k
≥ (z(1 + 1/z)z )k ,
Moreover u − 1 < k ≤ u ≤ y/log y and z(1 + 1/z)z is increasing for z ≥
1. Thus the above is ≥ (z′(1 + 1/z′)z′
)k ≥ (z′(1 + 1/z′)z′
)u−1 where z′ =
y/(u log y). As z′ ≤ y/
√
k this is
≥ 1
y
( y
u log y
)u (
1 + u log y
y
)y/log y
= x
y exp
(
−u log log x + y
log y log(1 + (log x )/y)
)
.
The stated inequality now follows on noting that log(1 + δ) ≥ δ/2 for 0 ≤
δ ≤ 1. □
When y is of the form y = (log x )a with a not too large, the upper bound of
Theorem 7.6 and the lower bound of Theorem 7.8 are quite close, and we have
Corollary 7.9If y = (log x )a and 1 ≤ a ≤ (log x )1/2 /(2 log log x ), then
x 1−1/a exp
( log x
5a log log x
)
<ψ (x ,y) < x 1−1/a exp
((log a + O (1)) log x
a log log x
)
.
Proof The lower bound follows from Theorem 7.8 since log y ≤ (log x )/
(4a log log x ) in the range under consideration. As for the upper bound, we
note that log u ≍ log log x , so that log log u = log log log x + O (1). Hence | {
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210 Applications of the Prime Number Theorem
log u + log log u = log log x − log a + O (1), and the result follows from
Theorem 7.6. □
For 1 ≤ u ≤ 4 we may use the differential equation (7.4) and the initial
condition (7.5) to derive formulæ for ρ(u) (see Exercise 7.1.6 below), but for
larger u we take a different approach.
Theorem 7.10 F or any real or complex number s we have
∫ ∞
0
ρ(u)e−us du = exp
(
C0 +
∫ s
0
e−z − 1
z dz
)
(7.29)
where C 0 is Euler’s constant. Conversely, for any u > 0 and any real σ0 we
have
ρ(u) = eC0
2πi
∫ σ0 +i ∞
σ0 −i ∞
exp
(∫ s
0
e−z − 1
z dz
)
eus ds . (7.30)
Proof Let F (s) denote the integral on the left-hand side of (7.29); this is the
Laplace transform of ρ(u). In view of the rapid decay of ρ(u) established in
Lemma 7.1, we see that the integral converges for all s, and hence that F (s)i s
an entire function. On integrating by parts we see that
F (s) = 1
s + 1
s
∫ ∞
1
ρ′(u)e−us du ,
and hence that
(sF (s))′ =−
∫ ∞
1
uρ′(u)e−us du .
The differential–delay identity (7.4) for ρ(u) thus yields a differential equation
for F (s),
(sF (s))′ = e−s F (s).
By separation of variables it follows that
F (s) = F (0) exp
(∫ s
0
e−z − 1
z dz
)
.
T o determine the value of F (0) we note that
1 = lim
s→+∞
sF (s) = F (0) exp
(∫ 1
0
e−z − 1
z dz +
∫ ∞
1
e−z
z dz
)
.
By integration by parts we see that
∫ 1
0
e−z − 1
z dz +
∫ ∞
1
e−z
z dz =
∫ ∞
0
e−z log zd z = Ŵ′(1) =− C0 (7.31) | {
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7.1 Numbers composed of small primes 211
by (C.12) and Theorem C.2. Hence F (0) = eC0 . An arithmetic proof of this
is found in Exercise 7.1.7 below . Thus we have the identity (7.29), and (7.30)
follows by applying the inverse Laplace transform to both sides.□
7.1.1 Exercises
1. (Chowla & V ijayaraghavan 1947) Show that if f (x ) is a function that tends
to infinity in such a way that log f (x ) = o(log x ) then almost all integers n
have a prime factor larger than f (n). That is
lim
x →∞
1
x card{n ≤ x : P (n) > f (n)}= 1
where P (n) denotes the largest prime factor of n.
2. (de Bruijn 1951b) Let P (n) denote the largest prime factor of n. Show that
∑
n≤x
log P (n) ∼ Dx log x
where D =
∫∞
0 ρ(u)(u + 1)−2 du is called Dickman’s constant .
3. (cf. Alladi & Erd ˝ os 1977) Let P (n) denote the largest prime factor of n.
(a) Show that
∑
n≤x
P (n) =
∑
√x <p≤x
p
[x
p
]
+ O
(
x 3/2 )
.
(b) Show that the sum on the right above is
=
∑
1≤k≤√x
k
∑
x /(k+1)<p≤x /k
p + O
(
x 3/2 )
.
(c) Show that
∑
p≤y
p = y2
2 log y + O
( y2
(log y)2
)
.
(d) Show that
∞∑
k=1
k
(1
k2 − 1
(k + 1)2
)
= π2
6 .
(e) Conclude that
∑
n≤x
P (n) = π2
12
x 2
log x + O
( x 2
(log x )2
)
.
4. Show that ρ(k) (u) has a jump discontinuity at u = k, and is continuous for
u > k.
5. (a) Show that ρ(u) is convex upwards for all u ≥ 1.
(b) Show that if u ≥ 2, then uρ(u) ≥ ρ(u − 1/2). | {
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212 Applications of the Prime Number Theorem
(c) Show that if u ≥ 2, then (2 u − 1)ρ(u) ≤ ρ(u − 1).
6. (a) Show that if 1 ≤ u ≤ 2, then ρ(u) = 1 − log u.
(b) Show that if 2 ≤ u ≤ 3, then
ρ(u) = 1 − log u +
∫ u
2
log(t − 1)
t dt .
(c) Show that if 3 ≤ u ≤ 4, then
ρ(u) = 1 − log u +
∫ u
2
log(t − 1)
t dt −
∫ u
3
(log u/t ) log( t − 2)
t − 1 dt .
7. Let P (σ) = ∏
p≤y (1 − p−σ)−1 .
(a) Explain why
P (1) =
∑
p|n⇒ p≤y
1
n = eC0 log y + O (1).
(b) Show that if σ ≥ 1, then P ′
P (σ) ≪ log y.
(c) Deduce that
− P ′(1) =
∑
n
p|n⇒ p≤y
log n
n ≪ (log y)2 .
(d) Conclude that
∑
n>x
p|n⇒ p≤y
1
n ≪ (log y)2
log x .
(e) Show that
∑
n≤x
p|n⇒ p≤y
1
n = (log y)
∫ u
0
ψ( yv,y)
yv d v + O (1)
where u = (log x )/log y.
(f) Deduce that
∫ ∞
0
ρ(u) du = eC0 .
(g) Show that ∑ ∞
n=1 nρ(n) = eC0 .
8. (Erd ˝ os & Nicolas 1981) Let α be fixed, 0 <α< 1.
(a) Let k be the least integer >α (log x )/log log x , put y = x 1/k , and set
r = π( y). Show that there are at least
(r
k
)
integers n ≤ x such that
ω(n) >α (log x )/log log x .
(b) Show that the number of integers n ≤ x such that ω(n) >
α(log x )/log log x is at least x 1−α+o(1) . | {
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7.1 Numbers composed of small primes 213
(c) Show that if σ> 1 and A ≥ 1, then the number of integers n ≤ x such
that ω(n) >α (log x )/log log x is at most
x σ A−k
∞∑
n=1
Aω(n)
nσ .
(d) Show that if A = log x and σ = 1 + (log log log x )/log log x , then the
above is x 1−α+o(1) .
9. (de Bruijn 1966) Assume that 0 <σ ≤ 3/log y, and note that this interval
covers a range that is not treated in Lemma 7.5.
(a) Show that 1− p−σ ≍ σ log p, and hence deduce that
∏
p≤y
(1 − p−σ)−1 ≤ exp
(∑
p≤y
log C
σ log p
)
≤ exp
(Cy
log y log 4
σ log y
)
(7.32)
for a suitable constant C .
(b) Write
∏
p≤y
(1 − p−σ)−1 = (1 − y−σ)−π( y) ∏
p≤y
1 − y−σ
1 − p−σ = F1 · F2 ,
say . Show that
F1 ≤ (1 − y−σ)−y/log y exp
( Cy
(log y)2 log 4
σ log y
)
.
(c) Note that
1 − p−σ
1 − y−σ = 1 − ( y/p)σ − 1
yσ − 1 , (7.33)
and hence deduce that the above is ≥ 1 − c log y/p
log y , so that
F2 ≤ exp
(
C
log y
∑
p≤y
log y/p
)
≤ exp
(
Cy /(log y)2 )
.
(d) Conclude that
∏
p≤y
(1 − p−σ)−1 ≤ (1 − y−σ)−y/log y exp
( Cy
(log y)2 log 4
σ log y
)
for 0 <σ ≤ 3/log y.
10. (de Bruijn 1966) Lemma 7.5 suffers from a loss of precision when
3/log y ≤ σ ≤ (log log y)/log y. T o obtain a refined estimate in this range,
write ∏
p≤y
(1 − p−σ)−1 = F1 · F2 · F3 | {
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214 Applications of the Prime Number Theorem
where the Fi are products over the intervals p ≤ exp(1/σ), exp(1 /σ) <
p ≤ y/exp(1/σ), and y/exp(1/σ) < p ≤ y, respectively .
(a) Use (7.32) to show that F1 ≤ exp
(
C σe1/σ)
.
(b) Use Lemma 7.5 to show that
F2 ≤ exp
(Cy 1−σ
e1/σ log y
)
.
(c) Use the identity (7.33) to show that
1 − p−σ
1 − y−σ ≥ 1 − cσ log y/p
yσ ,
and hence deduce that
F3 ≤ (1 − y−σ)−π( y) exp
(
C σ
∑
p≤y
log y/p
yσ
)
≤ (1 − y−σ)−y/log y exp
(y1−σ
(log y)2 + C σy1−σ
log y
)
.
(d) Conclude that
∏
p≤y
(1 − p−σ)−1 ≤ (1 − y−σ)−y/log y exp
(C σy1−σ
log y
)
when 3 /log y ≤ σ ≤ (log log y)/log y.
11. (de Bruijn 1966)
(a) For σ> 0 let f (σ) = x σ(1 − y−σ)−y/log y . Show that f (σ) is mini-
mized precisely when
σ = log(1 + y/log x )
log y .
(b) Show that for the above σ,
f (σ) = exp
(log x
log y log
(y + log x
log x
)
+ y
log y log
(y + log x
y
))
.
(c) Show that if y ≤ log x , then
ψ(x ,y) ≤ exp
(log x
log y log
(y + log x
log x
)
+ y
log y
(
1 + O
(1
log y
))
log
(y + log x
y
))
.
(d) Show that if log x ≤ y ≤ (log x )2 , then
ψ(x ,y) ≤ exp
(log x
log y
(
1 + O
(1
log y
))
log
(y + log x
log x
)
+ y
log y log
(y + log x
y
))
. | {
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7.2 Numbers composed of large primes 215
12. (Erd ˝ os 1963) Show that
ψ(x ,log x ) = exp
(
(2 log 2 + o(1)) log x
log log x
)
.
13. (de Bruijn 1966) Show that if a is fixed, 0 < a < 1, then
ψ(x ,(log x )a ) = exp((1/a − 1 + o(1))(log x )a ).
14. Let ψ2 (x ,y) denote the number of square-free integers n ≤ x composed
entirely of primes p ≤ y.
(a) Show that
ψ2 (x ,y) =
∑
d ≤x
p|d ⇒ p≤y
µ(d )ψ(x /d 2 ,y).
(b) (Ivi´ c) Let δ> 0 be fixed. Then
ψ2 (x ,y) ∼ 6
π2 ψ(x ,y)
uniformly for x δ ≤ y ≤ x .
(c) Show that ψ2 (x ,log x ) = ψ(x ,log x )1/2+o(1) .
(d) Show that if a > 1 and y ≥ (log x )a , then ψ2 (x ,y) = ψ(x ,y)1+o(1) .
(e) Show that if 0 < a < 1 and y ≤ (log x )a , then ψ2 (x ,y) = ψ(x ,y)o(1) .
(f) Show that ψ2 (x ,c log x ) = ψ(x ,c log x )φ(c)+o(1) for any fixed c > 0,
where
φ(c) =
⎧
⎪
⎪
⎨
⎪
⎪
⎩
c log 2
(c + 1) log( c + 1) − c log c (0 < c ≤ 2),
c log c − (c − 1) log( c − 1)
(c + 1) log( c + 1) − c log c (c ≥ 2).
7.2 Numbers composed of large primes
Let /Phi1 (x ,y) denote the number of integers n ≤ x composed entirely of primes
p ≥ y. The number 1 is such a number as it is an empty product. Thus it is clear
that if y > x , then
/Phi1 (x ,y) = 1 (7.34)
Also, if x 1/2 ≤ y ≤ x , then
/Phi1 (x ,y) = π(x ) − π( y−) + O (1) = x
log x − y
log y + O
( x
(log x )2
)
(7.35)
For smaller values of y we show that
/Phi1 (x ,y) ∼ w(u)x
log y (7.36) | {
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216 Applications of the Prime Number Theorem
0
1
1
Figure 7.2 Buchstab’s function w(u) and its horizontal asymptote e−C0 for 1 ≤ u ≤ 4.
where u = (log x )/log y and w(u) is a function determined by the initial con-
dition
w(u) = 1/u (7.37)
for 1 < u ≤ 2 and for u > 2 by the differential–delay equation
(uw(u))′ = w(u − 1). (7.38)
Before proceeding further we first derive some of the simplest properties of
the function w(u) depicted in Figure 7.2. By integrating (7.38) we deduce that
uw(u) =
∫u−1
1 w(v) d v + C for u > 2, and by letting u tend to 2 we find that
C = 1 so that
uw(u) =
∫ u−1
1
w(v) d v + 1 (7.39)
for u ≥ 2. From this it is evident that if w(v) ≤ 1 for v ≤ u − 1, then w(v) ≤ 1
for v ≤ u, and that if w(v) ≥ 1/2 for v ≤ u − 1, then w(v) ≥ 1/2 for v ≤
u. Thus we conclude that 1 /2 ≤ w(u) ≤ 1 for all u > 1. From the identity
uw′(u) = w(u − 1) − w(u) we deduce that |w′(u)|≤ 1/(2u) for all u > 2. Let
M (u) = maxv≥u |w′(v)|. Since w(u − 1) − w(u) =− w′(ξ) for some ξ, u −
1 <ξ< u, we know that
M (u) ≤ M (u − 1)/u.
Let k be chosen so that 1 < u − k ≤ 2. By using the above inequality k times
we find that
M (u) ≤ M (u − k)
u(u − 1) ··· (u − k + 1) ≪ 1
Ŵ(u + 1) .
That is,
w′(u) ≪ 1
Ŵ(u + 1) (7.40) | {
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7.2 Numbers composed of large primes 217
for u > 2. Since w′(u) tends to 0 rapidly , it follows that the integral
∫∞
2 w′(v) d v
converges absolutely , and hence we see that lim u→∞ w(u) exists. Since it is to
be expected that /Phi1 (x ,y) is approximately x ∏
p<y (1 − 1/p) when y is small,
it is not surprising that
lim
u→∞
w(u) = e−C0 . (7.41)
W e shall prove this later, as a consequence of Theorem 7.12. First we establish
the basic asymptotic estimate (7.36).
Theorem 7.11(Buchstab) Let /Phi1 (x ,y) denote the number of positive integers
n ≤ x composed entirely of prime numbers p ≥ y, and let w(u) be defined as
above. Then
/Phi1 (x ,y) = w(u)x
log y − y
log y + O
( x
(log x )2
)
(7.42)
uniformly for 1 ≤ u ≤ U and all y ≥ 2. Here u = (log x )/log y, which is to
say that y = x 1/u .
The term −y/log y can be included in the error term when y ≪ x /log x but,
in view of (7.35), has to be present when y is close to x . It might be difficult
to prove that the above holds uniformly for all u ≥ 1 because of the precise
form of the error term, but the weaker assertion (7.36) can be shown to hold for
u≥ 1 + ε, since sieve methods can be used when u is large.
Proof The number of positive integers n ≤ x whose least prime factor is p is
exactly /Phi1 (x /p, p). Hence by classifying integers according to their least prime
factor we see that
/Phi1 (x ,y) = 1 +
∑
y≤ p≤x
/Phi1 (x /p, p). (7.43)
This is an identity of Buchstab; similar ‘Buchstab identities’ are important in
sieve theory . W e show by induction onU that
/Phi1 (x ,y) = w(u)x
log y − y
log y + O
( x
(log x )2
)
(7.44)
for U ≤ u ≤ U + 1. When U = 1 this is (7.35), and it is only in this first range
that the second main term is significant. For the inductive step we apply (7.43)
withy = x 1/u and with y = x 1/U and subtract to see that
/Phi1
(
x ,x 1/u )
= /Phi1
(
x ,x 1/U )
+
∑
x 1/u ≤ p<x 1/U
/Phi1 (x /p, p). | {
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218 Applications of the Prime Number Theorem
Choose u p so that p = (x /p)1/u p . Then the above is
/Phi1
(
x ,x 1/U )
+
∑
x 1/u ≤ p<x 1/U
/Phi1
(
x /p,(x /p)1/u p
)
.
But u p = (log x )/log p − 1 ∈ [U − 1,U ], so by the inductive hypothesis,
when U ≥ 2, the above is
U w(U )x
log x + O
( x
(log x )2
)
+
∑
x 1/u ≤ p<x 1/U
(u p w(u p )x
p log x /p + O
( x
p(log x )2
)
+ O
( p
log p
))
.
The sum over p of the first error term is ≪ x /(log x )2 , and the sum over p of the
second is ≪ x 2/U /(log x )2 , which is acceptable since U ≥ 2. T o estimate the
contribution of the main term in the sum we write the Prime Number Theorem in
the formπ(t ) = li(t ) + R(t ), apply Riemann–Stieltjes integration, and integrate
the term involving R(t ) by parts, to see that the sum of the main term is
∫ x 1/U
x 1/u
x w
(log x
log t − 1
)
t (log t )2 dt +
[
f (t ) R(t )
⏐
⏐
⏐
x 1/U −
x 1/u −
−
∫ x 1/U
x 1/u
R(t ) df (t ) (7.45)
where
f (t ) =
x w
(log x
log t − 1
)
t log t .
Since f ′(t ) ≪ x /(t 2 log t ) and R(t ) ≪ t /(log t ) A , the terms involving R(t )
contribute an amount ≪U x /(log x ) A . By the change of variables v =
(log x )/log t − 1 we see that the first integral in (7.45) is
x
log x
∫ u−1
U −1
w(v) d v,
which by (7.39) is
= x
log x (uw(u) − U w(U )).
On combining our estimates we obtain (7.44), so the inductive step is
complete. □
W e now derive formulæ for w(u) similar to those in Theorem 7.10 involving
ρ(u).
Theorem 7.12 If ℜs > 0, then
s + s
∫ ∞
1
w(u)e−us du = exp
(
−C0 +
∫ s
0
1 − e−z
z dz
)
(7.46) | {
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7.2 Numbers composed of large primes 219
where C 0 is Euler’s constant. If u > 1 and σ0 > 0, then
w(u) = 1
2πi
∫ σ0 +i ∞
σ0 −i ∞
(
exp
(∫ ∞
s
e−z
z dz
)
− 1
)
eus ds . (7.47)
Since the right-hand side of (7.46) is an entire function, we see that the
Laplace transform of w(u) is entire apart from a simple pole at s = 0 with
residue e−C0 .
Proof Let G (s) denote the left-hand side of (7.46). Then(G (s)
s
)′
=−
∫ ∞
1
w(u)ue −us du .
By integrating by parts we see that this is
[w(u)ue −us
s
⏐
⏐
⏐
∞
1
− 1
s
∫ ∞
2
w(u − 1)e−us du = −e−s G (s)
s2
by (7.37) and (7.38). That is,
G ′(s) = G (s) 1 − e−s
s ,
which by the method of separation of variables implies that
G (s) = A exp
(∫ s
0
1 − e−z
z dz
)
where A is a positive constant. T o determine the value of A we note that
1 = lim
s→∞
G (s)
s = A exp
(∫ 1
0
1 − e−z
z dz −
∫ ∞
1
e−z
z dz
)
.
From (7.31) we deduce that A = e−C0 , and hence we have (7.46). T o obtain
(7.47) it suffices to take the inverse Laplace transform, since
∫ s
0
1 − e−z
z dz =
∫ ∞
s
e−z
z dz + log s + C0 .
□
7.2.1 Exercises
1. By using (7.31), or otherwise, show that
∫ s
0
1 − e−z
z dz = C0 + log s +
∫ ∞
s
e−z
z dz
when ℜs > 0.
2. (a) Show that
w(u) = 1 + log(u − 1)
u
for 2 ≤ u ≤ 3. | {
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220 Applications of the Prime Number Theorem
(b) Show that
w(u) = 1
u
(
1 + log(u − 1) +
∫ u
3
log(v − 2)
v − 1 d v
)
for 3 ≤ u ≤ 4.
(c) Show that
w(u) = 1
u
(
1 + log(u − 1) +
∫ u
3
log(v − 2)
v − 1 d v
+
∫ u
4
log u−1
v−1 log(v − 3)
v − 2 d v
)
for 4 ≤ u ≤ 5.
3. (Friedlander 1972) Let S be a set of positive integers not exceeding X , and
suppose that ( a,b) ≤ Y whenever a ∈ S, b ∈ S, a ̸=b. Let M ( X ,Y ) denote
the maximum cardinality of all such sets S.
(a) Let S0 be the set of those positive integers n ≤ X such that if d |n, d < n,
then d ≤ Y . Show that card S0 = M ( X ,Y ).
(b) Show that if Y ≤ X 1/2 , then
M ( X ,Y ) = 1 + π( X ) − π(Y ) +
∑
p≤Y
/Phi1 (Y, p).
(c) Show that if X 1/2 < Y ≤ X , then
M ( X ,Y ) = 1 + π( X ) − π(Y ) +
∑
p<X /Y
/Phi1 (Y, p) +
∑
X /Y ≤ p≤Y
/Phi1 ( X /p, p).
7.3 Primes in short intervals
Let Jacobsthal’s function g(q ) be the length of the longest gap between con-
secutive reduced residues modulo q . W e show that there are long gaps between
primes by showing that there exist integers q for which g(q ) is large. Since the
average gap between consecutive reduced residues (mod q )i s q /ϕ(q ), it is
obvious that
g(q ) ≥ q
ϕ(q ) .
If p1 < p2 < ··· < pk are the distinct primes dividing q , then by the Chinese
Remainder Theorem there is an x such that x ≡− i (mod pi ) for 1 ≤ i ≤ k.
Then ( x + i,q ) > 1 for 1 ≤ i ≤ k, and hence
g(q ) ≥ ω(q ) + 1. | {
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7.3 Primes in short intervals 221
These observations can be combined: It can be shown that
g(q ) ≫ q ω(q )
ϕ(q ) . (7.48)
This is not quite enough to produce long gaps between primes, but for certain
q we improve on the above to establish
Lemma 7.13 Let P = P (z) = ∏
p≤z p. Then
lim
z→∞
g
(
P (z)
)
z =∞ .
This immediately yields
Theorem 7.14 (W estzynthius) Let p n denote the n th prime number . Then
lim sup
n→∞
pn+1 − pn
log pn
=∞ .
Proof of Theorem 7.14 Suppose that N = g( P ) − 1 and that M is chosen,
P ≤ M < 2 P , so that ( M + m,P ) > 1 for 1 ≤ m ≤ N . But M + m > P ≥
( M + m,P ), and hence M + m is composite because it has the proper divisor
( M + m,P ). If n is chosen so that pn is the largest prime not exceeding M ,
then pn+1 − pn ≥ g( P ) and pn < 2 P , which is < e2z when z is large. Hence
pn+1 − pn
log pn
≥ g( P )
2z
which tends to infinity as z →∞ . □
Proof of Lemma 7.13 Let L be large and fixed, and put N = [zL /3]. W e show
that if z > z0 (L ), then there exists an integer M such that ( M + n,P (z)) > 1
for 1 ≤ n ≤ N . Put
P1 =
∏
p≤L
p, P2 =
∏
L <p≤L L
p, P3 =
∏
L L <p≤z/3
p, P4 =
∏
z/3<p≤z
p,
and let N be the set of those integers n,1 ≤ n ≤ N , such that ( n,P1 P3 ) = 1.
The members of N are (i) 1; (ii) integers n composed entirely of prime factors
of P2 ; (iii) primes p, z/3 < p ≤ N . Thus
card N ≤ 1 + ψ( N ,L L ) + π( N ) − π(z/3).
If z is sufficiently large, then L L < log N , so that ψ( N ,L L ) < N ε by Corol-
lary 7.9. Hence
card N <π ( N ). | {
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222 Applications of the Prime Number Theorem
W e choose M ≡ 0 (mod P1 P3 ), so that ( M + n,P1 P3 ) > 1i f1 ≤ n ≤ N , n /∈
N. T o bound the number of n ∈ N such that ( M + n,P2 ) = 1 we average as
in the proof of Lemma 3.5. Clearly
q∑
m=1
∑
n∈N
(m+n,q )=1
1 =
∑
n∈N
q∑
m=1
(m+n,q )=1
1 =
∑
n∈N
ϕ(q ) = ϕ(q ) card N
for any integer q . Hence
min
m
∑
n∈N
(m+n,q )=1
1 ≤ (card N)
∏
p|q
(
1 − 1
p
)
.
By taking q = P2 we see that there is an M (mod P2 ) such that
card{n ∈ N :( M + n,P2 ) = 1}≤ (card N)
∏
p| P2
(
1 − 1
p
)
.
For such an M ,
card{1 ≤ n ≤ N :( M + n,P1 P2 P3 ) = 1}≤ π( N )
∏
p| P2
(
1 − 1
p
)
.
By Mertens’ theorem (Theorem 2.7(e)), the product on the right is ∼ 1/L as
L →∞ . Suppose that L is chosen sufficiently large to ensure that this product
is ≤ 3/(2L ). Then the right-hand side above is
≲ 3 N
2L log N ∼ z
2 log z .
The number of primes dividing P4 is π(z) − π(z/3) ∼ 2z/(3 log z)a s z →∞ .
Thus if z is large, then there are more such primes than there are integers n,
1 ≤ n ≤ N , for which ( M + n,P1 P2 P3 ) = 1. Hence for each such n we may as-
sociate a prime pn , pn | P4 , in a one-to-one manner, and take M ≡− n (mod pn ).
Then ( M + n,P4 ) > 1 and we are done. □
The success of the argument just completed can be attributed to the fact that
the number of n,1 ≤ n ≤ N , for which ( n,P1 P3 ) = 1 is considerably smaller
than N ∏
p| P1 P3 (1 − 1/p). By considering how L may be chosen as a function
of z we obtain a quantitative improvement of Lemma 7.13 and hence also of
Theorem 7.14.
Theorem 7.15(Rankin) Let p n denote the n th prime number in increasing
order . There is a constant c > 0 such that
lim sup
n→∞
pn+1 − pn
(
(log pn )(log log pn )(log log log log pn )
(log log log pn )2
)≥ c. | {
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7.3 Primes in short intervals 223
Proof W e repeat the argument in the proof of Lemma 7.13, with the sole
change that L is allowed to depend on z.I f L is chosen so that
ψ( N ,L L ) < N
(log N )2 , (7.49)
then L = o(log N ), and hence
ψ( N ,L L ) = o
( z
log N
)
.
Since z/log N ≤ z/log z ≪ π(z/3), it follows that
ψ( N ,L L ) = o(π(z/3)),
and the proof proceeds as before.
By Theorem 7.6 we see that
ψ
(
N ,N 1/u )
< N
(log N )2
if u log u ≥ 3 log log N , which is the case if u ≥ 4(log log N )/log log log N .
T aking u = (log N )/log L L , we deduce that (7.49) holds if
L log L < (log N )(log log log N )
4 log log N .
This is satisfied if
L < (log N )(log log log N )
4(log log N )2 ,
since then log L < log log N . Since N > z when L ≥ 3, we conclude that we
may take
L = (log z)(log log log z)
4(log log z)2 .
Hence
g
(
P (z)
)
> z(log z)(log log log z)
13(log log z)2
for all z > z0 , and this gives the stated result. □
Concerning the maximum number of primes in a short interval, by the Brun–
Titchmarsh inequality (Theorem 3.9) and the Prime Number Theorem we see
that
π(x + y) − π(x ) < (2 + ε)π( y)
for y > y0 (ε). Let
ρ( y) = lim sup
x →∞
(π(x + y) − π(x )). (7.50) | {
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224 Applications of the Prime Number Theorem
Thus ρ( y) < (2 + ε)π( y). V ery little is known about ρ( y). It was once conjec-
tured that
π( M + N ) ≤ π( M ) + π( N ) (7.51)
for M > 1,N > 1, but there is now serious doubt as to the validity of this
inequality . Indeed, it seems likely that ρ( y) >π ( y) for all large y. T o see why ,
let
ρ( N ) = max
M
M +N∑
n=M +1
p|n⇒ p>N
1. (7.52)
Clearly ρ( N ) ≤ ρ( N ). W e expect that
ρ( N ) = ρ( N ) (7.53)
for all N , since this would follow from the
Prime k-tuple conjecture. Let a 1 ,a2 ,..., ak , be given integers. Then there
exist infinitely many positive integers n such that n + a1 ,n + a2 ,..., n + ak
are all prime, provided that for every prime number p there is an integer n such
that(n + ai , p) = 1 for i = 1,2,..., k.
W e now show that
ρ( N ) >π ( N ) for all large N , so that (7.51) and (7.53)
are inconsistent.
Theorem 7.16There is an absolute constant N 0 such that if N > N0 then
ρ( N ) − π( N ) ≫ N (log N )−2 .
Proof Suppose that N is even and that N > 2. Then for every M ,
M +N∑
n=M +1
p|n⇒ p>N
1 =
M +N∑
n=M +1
p|n⇒ p≥N
1 ≥
M +N −1∑
n=M +1
p|n⇒ p>N −1
1.
Hence ρ( N ) ≥ ρ( N − 1) when N is even, N > 2, so it suffices to treat the case
when N is odd, say N = 2K + 1. Let P(K ) denote the set of integers n with
K /(2 log K ) < |n|≤ K and |n| prime. Then
card P(K ) = 2(π(K ) − π(K /(2 log K ))),
so by Theorem 6.9,
card P(K ) = π(2K + 1) + (c + o(1)) K
(log K )2
where c = 2 log 2 − 1 > 0. W e now show that P(K ) can be translated to form
a set of integers {M + n : n ∈ P(K )} with each member coprime to ∏
p≤N p.
By the Chinese Remainder Theorem it suffices to show that for every prime | {
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7.3 Primes in short intervals 225
number p ≤ N there is a residue class r p (mod p) that contains no element of
P(K ).
Obviously each element of P(K ) is coprime to each prime p ≤ K /(2 log K ),
so we may take r p = 0 for such primes. It remains to treat the primes p for
which K /(2 log K ) < p ≤ 2K + 1. This is accomplished by means of a clever
application of Lemma 7.13. Suppose that K /(2 log K ) < p ≤ 2K + 1. W e
show that there is an r p such that if |hp + r p |≤ K , then hp + r p /∈ P(K ). By
Lemma 7.13 there is an interval J = [ M1 − 3 log K ,M1 + 3 log K ] in which
every integer j is divisible by a prime p j with p j ≤ 1
3 log K . By the Chinese
Remainder Theorem, we can choose r p so that r p ≡ M1 p (mod p j ) for each
j ∈ J . This can be done with 0 <r p ≤ exp
(
ϑ( 1
3 log K )
)
< K 1/2 .I f |h|≤
3 log K then h = j − M1 for some j ∈ J and so h ≡− M1 (mod p j ). Hence
hp + r p ≡− M1 p + r p ≡ 0 (mod p j ), which implies that hp + r p /∈ P(K ). On
the other hand, if |h| > 3 log K , then |hp + r p |≥
(3
2 − o(1)
)
K > K , so that
hp + r p /∈ P(K ) in this case also. Since the arithmetic progression hp + r p has
no element in common with P(K ) the proof is complete. □
7.3.1 Exercises
1. Show that the function ρ( N ) is weakly increasing.
2. (a) Show that in the prime k-tuple conjecture, the hypothesis that for every
prime p the numbers a j do not cover all residue classes (mod p)i s
satisfied for all p > k, so that it is enough to verify the hypothesis for
p ≤ k (a finite calculation for any given set of a j ).
(b) Prove the converse of the prime k-tuple conjecture: If there exist in-
finitely many integers n for which n + a j is prime for all j ,1 ≤ j ≤ k,
then for every prime p there is a residue class x (mod p) such that
x + a j ̸≡0 (mod p)(1 ≤ j ≤ k).
3. Show that g(q ) ≫ q ω(q )/ϕ(q ).
4. (cf. Erd ˝ os 1951) Show that if 0 < c < 1/2 then there exist arbitrarily large
numbers x such that the interval ( x ,x + c(log x )/log log x ) contains no
square-free number.
5. (cf. Erd ˝ os 1946, Montgomery 1987) Suppose that 2 ≤ h ≤ x . Let P de-
note the set of all primes p ≤ h, let D denote the set of positive integers
composed entirely of primes in P, and let f (n) = ∏
p|n,p∈P(1 − 1/p).
(a) Show that f (n) = ∑
d |n,d ∈D µ(d )/d .
(b) Show that
∑
x <n≤x +h
f (n) = 6
π2 h + O (log h)
uniformly in x . | {
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226 Applications of the Prime Number Theorem
(c) Show that
ϕ(n)
n ≥ f (n) −
∑
p|n
p>h
1
p .
(d) Among those primes p > h that divide an integer in the interval ( x ,x +
h], let Q be those for which p ≤ h log x , and R those for which p >
h log x . Show that
∑
p∈Q
1
p ≪ log log log x .
(e) Explain why
∏
p∈R
U <p≤2U
p
⏐
⏐
⏐
⏐
∏
x <n≤x +h
n,
and deduce that
card{ p ∈ R : U < p ≤ 2U }≪ h log x
log U .
(f) By summing over U = 2k h log x , show that
∑
p∈R
1
p ≪ 1
log(h log x ) .
(g) Show that
6
π2 h + O (log h) + O (log log log x ) ≤
∑
x <n≤x +h
ϕ(n)
n ≤ 6
π2 h + O (log h).
6. (cf. Pillai & Chowla 1930) Show that there is an absolute constant c > 0
such that there exist arbitrarily large x for which ϕ(n)/n < 1/4 when x <
n ≤ x + c log log log x . Deduce that
∑
n≤x
ϕ(n)
n − 6
π2 x = /Omega1 (log log log x ).
7. (Hausman & Shapiro 1973; cf. Montgomery & V aughan 1986)
(a) Show that
q∑
n=1
⎛
⎜
⎝
h∑
m=1
(m+n,q )=1
1 − ϕ(q )
q h
⎞
⎟
⎠
2
= ϕ(q )2
q
∑
r |q
r >1
µ(r )2 r 2
ϕ(r )2 {h/r }(1 −{ h/r })
∏
p|q
p∤r
p( p − 2)
( p − 1)2 . | {
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7.3 Primes in short intervals 227
(b) Use the inequality {α}(1 −{ α}) ≤ α to show that
q∑
n=1
⎛
⎜
⎝
h∑
m=1
(m+n,q )=1
1 − ϕ(q )
q h
⎞
⎟
⎠
2
≤ hϕ(q ).
8. (Erd ˝ os 1951) (a) For a positive integer q , let S(q ) denote the set of those
residue classes s modulo q 2 such that ( s,q ) is a perfect square. Show
that if q is square-free, then S(q ) contains exactly ∏
p|q ( p2 − p + 1)
elements.
(b) Show that if q is square-free and 1 ≤ h ≤ q 2 , then there is an integer
a such that the number of members of S(q ) in the interval ( a,a + h]
is at most
h
∏
p|q
(
1 − 1
p + 1
p2
)
.
(c) From now on, suppose that q is the product of those primes p ≤ y such
that p ≡ 3 (mod 4). By recalling Corollary 4.12, or otherwise, show
that the expression above is ≍ h/√ log y.
(d) Show that if an integer n can be expressed as a sum of two squares,
then n ∈ S(q ).
(e) Let R be the set of those primes p, y < p ≤ Cy , such that p ≡
3 (mod 4). Here C is an absolute constant, taken to be sufficiently
large to ensure that R has at least y/log y elements. Note that such a
constant exists, in view of Exercise 4.3.5(e). Let r denote the product of
all members of R. Suppose that the number of members of S(q ) lying
in the interval ( a,a + h]i s < y/log y. For each s ∈ S(q ) satisfying
a < s ≤ a + h, associate a prime p ∈ R. Suppose that the integer b is
chosen modulo p2 so that s + bq 2 ≡ p (mod p2 ). Show that the interval
(a + bq 2 ,a + bq 2 + h] does not contain a sum of two squares.
(f) Show that a and b can be chosen so that 0 < a + bq 2 < (qr )2 .
(g) Show that log qr ≪ y.
(h) Show that this construction succeeds with h ≍ y/√ log y ≫
(log qr )/(log log qr )1/2 .
(i) Conclude that there exist arbitrarily large x such that there is no sum of
two squares between x and x + c(log x )/(log log x )1/2 . Here c is a suit-
ably small positive constant. (Note that a stronger result is established
in the next exercise.) | {
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228 Applications of the Prime Number Theorem
9. (Richards 1982) For every prime p ≤ y, let β( p) denote the greatest positive
integer such that pβ ≤ y, and put
q =
∏
p≤y
p≡3 (4)
p2β( p) .
(a) Show that q = exp(2ψ( y;4 ,3)).
(b) Show that log q ≪ y.
(c) Suppose that 1 ≤ n ≤ y. Show that if n ≡ 3 (mod 4), then there is a
prime p|q such that p divides n to an odd power.
(d) Let x = (q − 1)/4. Show that x is an integer, and that 4 x ≡− 1
(mod q ).
(e) Show that if 1 ≤ i ≤ y/4 and p|q , then the power of p that exactly
divides x + i is the same as the power of p that exactly divides 4 i − 1.
(f) Deduce that no integer in the interval ( x ,x + y/4] can be expressed as
a sum of two squares.
(g) Conclude that there exist arbitrarily large numbers x such that no num-
ber between x and x + c log x is a sum of two squares. Here c is a
suitably small positive constant.
7.4 Numbers composed of a prescribed number of primes
Let σk (x ) denote the number of integers n with 1 ≤ n ≤ x and /Omega1 (n) = k. Then
σ1 (x ) = π(x ) ∼ x /log x . Consider σ2 (x ). Clearly
σ2 (x ) =
∑
p1 ,p2
p1 ≤ p2
p1 p2 ≤x
1 =
∑
p≤√x
(π(x /p) − π( p) + O (1)) .
By the Prime Number Theorem this is
=
∑
p≤√x
(1 + o(1)) x
p(log x /p) + O
(x
log x
)
.
Thus, by partial summation and a further application of the Prime Number
Theorem we find that
σ2 (x ) ∼ x log log x
log x . (7.54)
By inducting on k in this manner it can be shown that
σk (x ) ∼ x (log log x )k−1
(k − 1)! log x (7.55) | {
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7.4 Numbers composed of a prescribed number of primes 229
for any fixed k. Since the sum over all k ≥ 1 of the right-hand side is exactly x ,
it is tempting to think that the above holds quite uniformly in k. However this
is not the case, as we shall presently discover. T o obtain precise estimates that
are uniform ink we apply analytic methods. In Section 2.4 we determined the
asymptotic distribution of the additive function /Omega1 (n) − ω(n) by establishing
the mean value of the multiplicative function z/Omega1 (n)−ω(n) . In the same spirit
we shall derive information concerning the distribution of /Omega1 (n) from mean
value estimates of z/Omega1 (n) . Since the Euler product of this latter function behaves
badly when |z| is large, we start not with z/Omega1 (n) but with dz (n) defined by the
identities
ζ(s)z =
∏
p
(
1 − p−s )−z
=
∞∑
n=1
dz (n)n−s (σ> 1). (7.56)
Since dz ( p) = z = z/Omega1 ( p) , the functions dz (n) and z/Omega1 (n) are ‘nearby’, and hence
the mean value of z/Omega1 (n) can be derived from that for dz (n) by elementary
reasoning.
Theorem 7.17Let D z (x ) = ∑
n≤x dz (n), and let R be any positive real num-
ber . If x ≥ 2, then
Dz (x ) = x (log x )z−1
Ŵ(z) + O (x (log x )ℜz−2 )
uniformly for |z|≤ R.
Proof Let a = 1 + 1/log x . Then by Corollary 5.3,
Dz (x ) − 1
2πi
∫ a+iT
a−iT
ζ(s)z x s
s ds ≪
∑
1
2 x <n<2x
|dz (n)| min
(
1, x
T |x − n|
)
(7.57)
+ x a
T
∑
n
|dz (n)|n−a .
Since |dz (n)| is erratic, we must exercise some care in estimating the error terms
above. Let A ={ n : |n − x |≤ x /(log x )2 R+1 }. Without loss of generality we
may suppose that R is an integer. W e note that |dz (n)|≤ d|z|(n) ≤ dR (n). By
the method of the hyperbola we see by induction on R that
DR (x ) = xP R (log x ) + O R
(
x 1−1/R )
where PR is a polynomial of degree R − 1. Hence the contribution to the first
sum in the error term in (7.57) of the n ∈ A is
≪
∑
n∈A
|dz (n)|≪ x (log x )−R−2 | {
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230 Applications of the Prime Number Theorem
The contribution of the n /∈ A is
≪ T −1 (log x )2 R+1 x (log x )R−1 .
W e take T = exp
(√ log x
)
to see that this is also ≪ x (log x )−R−2 . The second
sum in the error term in (7.57) is ≪ ζ(a)R ≪ (log x )R . Thus the total error term
is ≪ x (log x )−R−2 .
If z is a positive integer, then ζ(s)z has a pole at s = 1, and we can extract
a main term by the calculus of residues, as in our proof of the Prime Number
Theorem (Theorem 6.9). On the other hand, ifz is not an integer, then ζ(s)z
has a branch point at s = 1, so greater care must be exercised in moving the
path of integration. Put b = 1 − c/log T where c is a small positive constant,
and replace the contour from a − iT to a + iT by a path consisting of C1 ,
C2 , C3 where C1 is a polygonal with vertices a − iT , b − iT , b − i /log x , C2
begins with a line segment from b − i /log x to 1 − i /log x , continues with
the semicircle {1 + ei θ/log x : −π/2 ≤ θ ≤ π/2}, and concludes with the line
segment from 1 + i /log x to b + i /log x , and finally C3 is polygonal with
vertices b + i /log x , b + iT , a + iT . By Theorem 6.7, ζ(s)z ≪ (log x )R on the
new path, so the integrals over C1 and C3 contribute an amount ≪ x (log x )−R−2 .
On C2 we have ζ(s)z /s = (s − 1)−z (1 + O (|s − 1|)). Hence
1
2πi
∫
C2
ζ(s)z x s
s ds = 1
2πi
∫
C2
(s − 1)−z x s ds + O
(∫
C2
|s − 1|1−ℜz x σ |ds |
)
.
(7.58)
By the change of variables s = 1 + w/log x we see that the main term above is
x (log x )z−1 1
2πi
∫
H2
w−z ew d w
where H2 starts at −β − i , loops around 0, and ends at −β + i where β =
c(log x )/log T . Let H1 be the contour H1 ={ w = u − i : −∞ < u ≤− β},
and similarly let H3 ={ w = u + i : −∞ < u ≤− β}. If we integrate over
the union of the Hi , then we obtain Hankel’s formula (see Theorem C.3)
for 1 /Ŵ(z). The integral over H1 is ≪R
∫∞
β e−u/2 du ≪R e−β/2 , which is
small since T = exp(√ log x ). Thus we see that the main term in (7.58) is
x (log x )z−1 /Ŵ(z) + O R (x exp(−c√log x )) for some constant c. On the semi-
circular part of C2 the integrand in the error term in (7.58) is ≪ x (log x )ℜz−1 ,s o
the contribution is ≪ x (log x )ℜz−2 . By the change of variables s = 1 + w/log x
we see that the linear portions of C2 contribute an amount
≪ x (log x )ℜz−2
∫ ∞
0
(u2 + 1)( R−1)/2 e−u du ≪R x (log x )ℜz−2 .
Thus we have the stated estimate, and the proof is complete. □ | {
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7.4 Numbers composed of a prescribed number of primes 231
W e now establish a procedure by which we can pass from dz (n) to other
nearby functions.
Theorem 7.18Suppose that ∑ ∞
m=1 |bz (m)|(log m)2 R+1 /m is uniformly
bounded for |z|≤ R, and for σ ≥ 1 let
F (s,z) =
∞∑
m=1
bz (m)m−s .
Let a z (n) be defined by the relation
ζ(s)z F (s,z) =
∞∑
n=1
az (n)n−s (σ> 1)
and let A z (x ) = ∑
n≤x az (n). Then for x ≥ 2,
Az (x ) = F (1,z)
Ŵ(z) x (log x )z−1 + O
(
x (log x )ℜz−2 )
.
Proof Since az (n) = ∑
m|n bz (m)dz (n/m), we see by Theorem 7.17 that
Az (x ) =
∑
m≤x /2
bz (m) Dz (x /m) +
∑
x /2<m≤x
bz (m)
= x
Ŵ(z)
∑
m≤x /2
bz (m)
m (log x /m)z−1 + O
(
x
∑
m≤x
|bz (m)|
m (log 2 x /m)ℜz−2
)
.
(7.59)
The error term here is
≪ x (log x )ℜz−2 ∑
m≤√x
|bz (m)|
m + x (log x )−R−2 ∑
m>√x
|bz (m)|
m (log m)2 R
≪ x (log x )ℜz−2 .
In the main term, when m ≤ x 1/2 we write
(log x /m)z−1 = (log x )z−1 + O
(
(log m)(log x )ℜz−2 )
.
Thus the first sum on the right-hand side of (7.59) is
= (log x )z−1 ∑
m≤x /2
bz (m)
m
+ O
⎛
⎝(log x )ℜz−2 ∑
m≤√
x
|bz (m)|
m log m + (log x )R−1 ∑
m>√x
|bz (m)|
m
⎞
⎠
= (log x )z−1 F (1,z) + O
(
(log x )ℜz−2 ∑
m
|bz (m)|
m (log m)2 R+1
)
, | {
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232 Applications of the Prime Number Theorem
which gives the result. □
Suppose that R < 2, and let
F (s,z) =
∏
p
(
1 − z
ps
)−1 (
1 − 1
ps
)z
(7.60)
for σ> 1, |z|≤ R. Then az (n) = z/Omega1 (n) in the notation of Theorem 7.18. Hence,
with σk (x ) defined as at the beginning of this section we find that
Az (x ) =
∑
n≤x
z/Omega1 (n) =
∞∑
k=0
σk (x )zk .
Here the power series on the right is actually a polynomial, since σk (x ) = 0 for
sufficiently large k, when x is fixed. Our asymptotic estimate for Az (x ) enables
us to recover an estimate for the power series coefficients σk (x ), since Cauchy’s
formula asserts that
σk (x ) = 1
2πi
∫
|z|=r
Az (x )
zk+1 dz (7.61)
for r < 2.
Theorem 7.19 Suppose that R < 2, that F (s,z) is given by (7.60), and that
G (z) = F (1,z)/Ŵ(z + 1). Then
σk (x ) = G
(k − 1
log log x
)x (log log x )k−1
(k − 1)! log x
(
1 + O R
( k
(log log x )2
))
(7.62)
uniformly for 1 ≤ k ≤ R log log x.
Since G (0) = G (1) = 1, we see that (7.55) holds when k = o(log log x ), and
also when k = (1 + o(1)) log log x , but that (7.55) does not hold in general. The
restriction to R < 2 is necessary because of the contribution of the prime p = 2
in the Euler product (7.60) for F (s,z). If z ≥ 2, then the behaviour is different;
see Exercises 7.4.5 and 7.4.6, below .
ProofOur quantitative form of the Prime Number Theorem (Theorem 6.9)
gives the case k = 1, so we may assume that k > 1. W e substitute the estimate of
Theorem 7.18 in (7.61) with r = (k − 1)/log log x . The error term contributes
an amount
≪ x (log x )r −2r −k = x
(log x )2 ek−1 (log log x )k
(k − 1)k
≪ x (log log x )k
(k − 1)!(log x )2 ≪ x (log log x )k−3
(k − 1)! log x . | {
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7.4 Numbers composed of a prescribed number of primes 233
This is majorized by the error term in (7.62) since G ((k − 1)/log log x ) ≫ 1.
The main term we obtain from (7.61) is xI /log x where
I = 1
2πi
∫
|z|=r
G (z)(log x )z z−k dz
= G (r )
2πi
∫
|z|=r
(log x )z z−k dz + 1
2πi
∫
|z|=r
(G (z) − G (r ))(log x )z z−k dz .
By integration by parts we find that
r
2πi
∫
|z|=r
(log x )z z−k dz = 1
2πi
∫
|z|=r
(log x )z z1−k dz .
W e multiply both sides by G ′(r ) and combine with the former identity to see
that
I = G (r )
2πi
∫
|z|=r
(log x )z z−k dx
+ 1
2πi
∫
|z|=r
(G (z) − G (r ) − G ′(r )(z − r ))(log x )z z−k dz . (7.63)
Here the first integral is (log log x )k−1 /(k − 1)! by Cauchy’s theorem, which
gives the desired main term. On the other hand,
G (z) − G (r ) − G ′(r )(z − r ) =
∫ z
r
(z − w)G ′′(w) d w ≪| z − r |2 ,
so that if we write z = re 2πi θ, then the second integral in (7.63) is
≪ r 3−k
∫ 1/2
−1/2
(sin πθ)2 e(k−1) cos 2 πθ d θ.
But | sin x |≤| x | and cos 2 πθ ≤ 1 − 8θ2 for −1/2 ≤ θ ≤ 1/2, so the above is
≪ r 3−k ek−1
∫ ∞
0
θ2 e−8(k−1)θ2
d θ ≪ r 3−k ek−1 (k − 1)−3/2 = (log log x )k−3 ek−1
(k − 1)k−3/2
≪ k(log log x )k−3 /(k − 1)!.
This completes the proof of the theorem. □
The decomposition in (7.63) is motivated by the observation that |(log x )z |
is largest, for |z|= r , when z = r . W e take the T aylor expansion to the second
term because⏐
⏐
⏐
∫
(z − r )2 (log x )z z−k dz
⏐
⏐
⏐≍
∫
|z − r |2 |(log x )z z−k || dz |,
whereas
⏐
⏐
⏐
∫
(z − r )(log x )z z−k dz
⏐
⏐
⏐= o
(∫
|z − r ||(log x )z z−k || dz |
)
. | {
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234 Applications of the Prime Number Theorem
By the calculus of residues we may write
I = 1
(k − 1)!
d k−1
dz k−1
(
G (z)(log x )z )⏐
⏐
⏐
z=0
=
k−1∑
ν=0
G (ν) (0)
ν!
(log log x )k−1−ν
(k − 1 − ν)! .
This gives a more accurate, but more complicated, main term.
In Section 2.3 we saw that /Omega1 (n) rarely differs very much from log log n.
In particular, from Theorem 2.12 we see that if r < 1, then the number
of n ≤ x for which /Omega1 (n) <r log log n is ≪r x /log log x .W en o wg i v ea
much sharper upper bound for the number of occurrences of such large
deviations.
Theorem 7.20Let A (x ,r ) denote the number of n ≤ x such that /Omega1 (n) ≤
r log log x , and let B (x ,r ) denote the number of n ≤ x for which /Omega1 (n) ≥
r log log x. I f 0 <r ≤ 1 and x ≥ 2, then
A(x ,r ) ≪ x (log x )r −1−r log r .
If 1 ≤ r ≤ R < 2 and x ≥ 2, then
B (x ,r ) ≪R x (log x )r −1−r log r .
Proof W e argue directly from Theorem 7.18, using a modified form of
Rankin’s method. If 0 ≤ r ≤ 1 and /Omega1 (n) ≤ r log log x , then r r log log x ≤ r /Omega1 (n) .
Hence
A(x ,r ) ≤ (log x )−r log r ∑
n≤x
r /Omega1 (n) .
By Theorem 7.18 this is
∼ F (1,r )
Ŵ(r ) x (log x )r −1−r log r
where F (s,z) is taken as in (7.60). This gives the result since F (1,r ) ≪ 1 and
Ŵ(r ) ≫ 1 uniformly for 0 <r ≤ 1.
Now suppose that 1 ≤ r ≤ R < 2 and that /Omega1 (n) ≥ r log log x . Then r /Omega1 (n) ≥
r r log log x , and hence
B (x ,r ) ≤ (log x )−r log r ∑
n≤x
r /Omega1 (n) .
Thus we have only to proceed as before to obtain the result. □ | {
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7.4 Numbers composed of a prescribed number of primes 235
In discussing Theorem 2.12 we proposed a probabilistic model, which in
conjunction with the Central Limit Theorem would predict that the quantity
αn = /Omega1 (n) − log log n√ log log n (7.64)
is asymptotically normally distributed. W e now confirm this.
Theorem 7.21Let αn be given by (7.64) and suppose that Y > 0. Then the
number of n, 3 ≤ n ≤ x , such that αn ≤ yi s
/Phi1 ( y)x + OY
( x
√ log log x
)
uniformly for −Y ≤ y ≤ Y where
/Phi1 ( y) = 1√
2π
∫ y
−∞
e−t 2 /2 dt .
Proof Let
βn = /Omega1 (n) − log log x√ log log x .
Since /Phi1 ′( y) ≪ 1 and αn − βn ≪ 1/√ log log x when x 1/2 ≤ n ≤ x and /Omega1 (n) ≤
2 log log x , it suffices to consider βn in place of αn . W e may of course also
suppose that x is large.
Let k be a natural number and let u be defined by writing k = u + log log x .
If |u|≤ 1
2 log log x , then by Stirling’s formula (see (B.26) or the more general
Theorem C.1) we see that
(log log x )k−1
(k − 1)!
= eu log x√2π log log x
(
1 + u
log log x
)1
2 −log log x −u (
1 + O
( 1
log log x
))
.
The estimate log(1 + δ) = δ − δ2/2 + O (|δ|3 ) holds uniformly for |δ|≤ 1/2.
By taking δ = u/log log x we find that
(
1 + u
log log x
)1
2 −log log x −u
= exp
(
−u + u − u2
2 log log x − u2
4(log log x )2 + O
( |u|3
(log log x )2
))
. | {
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236 Applications of the Prime Number Theorem
Suppose now that |u|≤ (log log x )2/3 . By considering separately |u|≤
(log log x )1/2 and (log log x )1/2 < |u|≤ (log log x )2/3 we see that
u
log log x ≪ 1√ log log x + |u|3
(log log x )2 .
Similarly , by considering |u|≤ 1 and |u| > 1 we see that
u2
(log log x )2 ≪ 1√ log log x + |u|3
(log log x )2 .
On combining these estimates we deduce that
(log log x )k−1
(k − 1)! = log x√2π log log x exp
( −u2
2 log log x
)
×
(
1 + O
( 1√ log log x
)
+ O
( |u|3
(log log x )2
))
uniformly for |u|≤ (log log x )2/3 . In Theorem 7.19 we have G (1) = 1 and
G
(k − 1
log log x
)
= G (1) + O
(1 +| u|
log log x
)
.
Hence by Theorem 7.19,
σk (x ) =
x exp
(
−(k−log log x )2
2 log log x
)
√2π log log x
×
(
1 + O
( 1√ log log x
)
+ O
(|k − log log x |3
(log log x )2
))
.
By Theorem 7.20 we know that the contribution of k ≤ log log x −
(log log x )2/3 is negligible. W e sum over the range
log log x − (log log x )2/3 ≤ k ≤ log log x + y(log log x )1/2 .
This gives rise to three sums, one for the main term and two for error terms.
Each of these sums can be considered to be a Riemann sum for an associated
integral, and the stated result follows.□
7.4.1 Exercises
1. Let p1 , p2 ,..., pK be distinct primes. Show that the number of n ≤ x
composed entirely of the pk is
(log x )K
K ! ∏ K
k=1 log pk
+ O
(
(log x )K −1 )
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7.4 Numbers composed of a prescribed number of primes 237
2. (a) Let dz (n) be defined as in (7.56), and suppose that |z|≤ R. Show that
|dz (n)|≤ d|z|(n) ≤ dR (n).
(b) Let F (s,z) be defined as in (7.60). Show that if 0 <r < 1 and σ> 1/2,
then 0 < F (σ,r ) < 1.
(c) Let F (s,z) be defined as in (7.60). Show that if 1 <r < 2, then the
Dirichlet series coefficients of F (s,r ) are all non-negative.
3. (a) Show that if
F (s,z) =
∏
p
(
1 + z
ps − 1
)(
1 − 1
ps
)z
,
then F (s,z) converges for σ> 1/2, uniformly for |z|≤ R.
(b) Show that if F (s,z) is taken as above, and if az (n) is defined as in
Theorem 7.18, then az (n) = zω(n) .
(c) Let ρk (x ) denote the number of n ≤ x for which ω(n) = k. Show that
if x ≥ 2, then
ρk (x ) = G
(k − 1
log log x
)x (log log x )k−1
(k − 1)! log x
(
1 + O R
( k
(log log x )2
))
uniformly for 1 ≤ k ≤ R log log x where G (z) = F (1,z)/Ŵ(z + 1).
(d) Show that G (0) = G (1) = 1.
(e) Let A(x ,r ) denote the number of n ≤ x for which ω(n) ≤ r log log x .
Show that
A(x ,r ) ≪ x (log x )r −1−r log r
uniformly for 0 <r ≤ 1.
(f) Let B (x ,r ) denote the number of n ≤ x for which ω(n) ≥ r log log x .
Show that
B (x ,r ) ≪ x (log x )r −1−r log r
uniformly for 1 ≤ r ≤ R.
4. (a) Show that if
F (s,z) =
∏
p
(
1 + z
ps
)(
1 − 1
ps
)z
,
then F (s,z) converges for σ> 1/2, uniformly for |z|≤ R.
(b) Show that if F (s,z) is taken as above, and if az (n) is defined as in
Theorem 7.18, then az (n) = µ(n)2 zω(n) .
(c) Let πk (x ) denote the number of square-free n ≤ x for which ω(n) = k.
Show that if x ≥ 2, then
πk (x ) = G
(k − 1
log log x
)x (log log x )k−1
(k − 1)! log x
(
1 + O R
( k
(log log x )2
))
uniformly for 1 ≤ k ≤ R log log x where G (z) = F (1,z)/Ŵ(z + 1). | {
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238 Applications of the Prime Number Theorem
(d) Show that G (0) = G (1) = 1.
5. (a) Show that if x ≥ 2, then
∑
n≤x
2/Omega1 (n) = cx (log x )2 + O (x log x )
where c is a positive constant.
(b) Show that if x ≥ 2, then
∑
n≤x
2ω(n) = cx log x + O (x )
where c is a positive constant.
6. Show that if (2 + ε) log log x ≤ k ≤ R log log x , then σk (x ) ∼ c2−k x log x .
7. Show that if δ ≤ r ≤ 1 − δ (or 1 + δ ≤ r ≤ 2 − δ), then A(x ,r ) (or
B (x ,r ), respectively) is ≍ x (log x )r −1−r log r /√ log log r .
8. Show that if x is large, then there is a k such that
σk (x ) ≥ x
3√ log log x .
9. Show that the mean value ∑
n≤x d (n) ∼ x log x is due to the numbers n ≤ x
for which |ω(n) − 2 log log x |≪ √ log log x .
10. Suppose that 1 /2 ≤ r ≤ R. Show that the number of square-free n ≤ x that
can be written as a sum of two squares and for which ω(n) ≥ r log log x is
≪R x (log x )r −1−r log 2 r .
11. (Addison 1957) Let Mq ,k (x ) denote the number of n ≤ x such that /Omega1 (n) ≡
k (mod q ).
(a) Show that if q is fixed, then Mq ,k (x ) ∼ x /q as x →∞ .
(b) Show that if q is fixed, q > 2, then
Mq ,k (x ) − x
q = /Omega1 ±
( x
(log x )κ
)
where κ = 1 − cos 2 π/q .
12. Show that
∑
1<n≤x
1
ω(n) ∼ x
log log x
as x →∞ .
13. Show that if x ≥ 2, then
∑
1<n≤x
/Omega1 (n)
ω(n) = x + O
( x
log log x
)
. | {
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7.5 Notes 239
14. Suppose that 0 ≤ α ≤ 1. Show that
∑
n≤x
card{m : m|n,m ≤ nα}
d (n) = 2
πx arcsin √α + O
( x√ log x
)
.
15. Show that if x ≥ 16, then
∑
n≤x
(n,/Omega1 (n))=1
1 = 6
π2 x + O
( x
log log log x
)
.
7.5 Notes
Section 7.1. Theorem 7.2 was first proved by Dickman (1930), and was redis-
covered by Chowla & V ijayaraghavan (1947), Ramaswami (1949), and Buch-
stab (1949). de Bruijn (1951a) gave a more precise estimate forψ(x ,y), over
a longer range of y. There is a considerable range of applications of ψ(x ,y),
such as those to the distribution of kth power residues, W aring’s problem, and
the complexity of arithmetical algorithms in computer science. As a reflection
of this there have been two significant survey articles, by Norton (1971) and by
Hildebrand & T enenbaum (1993).
Our treatment of ψ(x ,y) is fairly elementary , but it would be natural to take
a more analytic approach, and use Perron’s formula to write
ψ(x ,y) = 1
2πi
∫ c+i ∞
c−i ∞
∏
p≤y
(1 − p−s )−1 x s
s ds
= 1
2πi
∫ c+i ∞
c−i ∞
ζ(s)
∏
p>y
(1 − p−s ) x s
s ds .
For s not too large, an approximation to the product over p > y is provided by
the Prime Number Theorem, and this suggests the main term
/Lambda1 (x ,y) = 1
2πi
∫ c+i ∞
c−i ∞
ζ(s)e x p
(
−
∫ ∞
y
v−s (log v)−1 d v
)x s
s ds .
It can be shown that this is indeed a good approximation to ψ(x ,y)o v e rav e r y
long range, but the technical details are rather heavy . By Theorem 7.10 it is not
hard to show that
/Lambda1 (x ,y) = x
∫ ∞
0−
ρ(u − v)d ([ yv] y−v)
where we use (7.30) to extend the definition of ρ(u)t o u ≤ 0. It follows that
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240 Applications of the Prime Number Theorem
for a large range of u. For the further development of the theory , especially on
the analytic side, see Hildebrand & T enenbaum (1993).
Section 7.2. Theorem 7.11 is due to Buchstab (1937). The finer details of
the behaviour of /Phi1 (x ,y) when u is large are intimately connected with sieve
theory , especially that of the linear sieve, i.e., the sieve in which on average one
residue class (modp) is removed. The standard references are Greaves (2001),
Halberstam & Richert (1974), Selberg (1991).
Section 7.3. Theorem 7.14 was first proved by W estzynthius (1931). Erd ˝ os
(1935a) showed that
lim sup
n→∞
pn+1 − pn
(log pn )(log log pn )/(log log log pn )2 > 0,
and then Rankin (1938) obtained Theorem 7.15 with c = 1/3. The value of c
has been successively improved by Sch ¨ onhage (1963), Rankin (1963), Maier
& Pomerance (1990), culminating in the valuec = 2eC0 of Pintz (1997). Erd ˝ os
offered a $10,000 prize for the first proof that the limsup in Theorem 7.15 is
+∞.
Early studies of g( P (z)) were conducted by Backlund (1929), Brauer &
Zeitz (1930), Ricci (1934), and Chang (1938). The size of g( P (z)) is not known;
possibly it is ≍ z log z. However, it is conceivable that infinitely often pn+1 − pn
is as large as (log pn )θ where θ> 1. In particular, Cram´ er (1936) conjectured
that
lim sup
n→∞
pn+1 − pn
(log pn )2 = 1.
Theorem 7.16 is due to Hensley & Richards (1973).
Section 7.4. The analysis ofσk (x ) is based on Selberg’s exposition (1954) of
Sathe (1953a,b, 1954a,b). Sathe (1954b) also shows that the bound R log log x
cannot be replaced by 2 log log x + 1. Arguments giving rise to versions of
Theorem 7.20 occur in Erd ˝ os (1935b). A qualitative version of Theorem 7.21
is a special case of Erd ˝ os & Kac (1940). Quantitative versions with various
weaker error terms were obtained by LeV eque (1949) and Kubilius (1956).
Theorem 7.21 had been conjectured by LeV eque and was established by R´ enyi
& Tur´ an (1958). They also showed that the error term is both uniform inx and
best-possible.
7.6 References
Addison, A. W . (1957). A note on the compositeness of numbers, Proc. Amer . Math.
Soc. 8, 151–154. | {
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7.6 References 241
Alladi, K. & Erd ˝ os, P . (1977). On an additive arithmetic function, P acific J. Math . 71,
275–294.
Backlund, R. J. (1929). ¨Uber die Differenzen zwischen den Zahlen, die zu den n ersten
Primzahlen teilerfremd sind, Annales Acad. sci. F ennicae 32 (Lindel ¨ of-Festschrift),
Nr. 2, 9 pp.
Brauer, A. & Zeitz, H. (1930). ¨Uber eine zahlentheoretische Behauptung von Legendre,
Sitzungsb. Math. Ges. Berlin 29, 116–125.
de Bruijn, N. G. (1949). The asymptotically periodic behavior of the solutions of some
linear functional equations, Amer . J. Math. 71, 313–330.
(1950a). On the number of uncancelled elements in the sieve of Eratosthenes, Nederl.
Akad. W etensch. Proc. 52, 803–812. ( = Indag. Math. 12, 247–256)
(1950b). On some linear functional equations, Publ. Math. 1, 129–134.
(1951a). The asymptotic behaviour of a function occurring in the theory of primes,
J. Indian Math. Soc. 15 (A), 25–32.
(1951b). On the number of positive integers ≤ x and free of prime factors > y, Proc.
Nederl. Akad. W etensch. 54, 50–60.
(1966). On the number of positive integers ≤ x and free of prime factors > y, II,
Proc. Koninkl. Nederl. Akad. W etensch .A 69, 239–247. ( = Indag. Math. 28)
Buchstab, A. A. (1937). Asymptotic estimates of a general number-theoretic function,
Mat. Sb. (2) 44, 1239–1246.
(1949). On those numbers in an arithmetic progression all prime factors of which are
small in magnitude, Dokl. Akad. Nauk SSSR (N. S.) 67, 5–8.
Chang, T .-H. (1938). ¨Uber aufeinanderfolgende Zahlen, von denen jede mindestens
einer von n linearen Kongruenzen gen ¨ ugt, deren Moduln die ersten n Primzahlen
sind, Schr . Math. Sem. Inst. Angew . Math. Univ . Berlin 4, 35–55.
Chowla, S. D. & V ijayaraghavan, T . (1947). On the largest prime divisors of numbers,
J. Indian Math. Soc. (2) 12, 31–37.
Cram´ er, H. (1936). On the order of magnitude of the difference between consecutive
prime numbers, Acta Arith . 2, 23–46.
DeKoninck, J.-M. (1972). On a class of arithmetical functions, Duke Math. J. 39, 807–
818.
Dickman, K. (1930). On the frequency of numbers containing prime factors of a certain
relative magnitude, Ark. Mat. Astr . fys. 22, 1–14.
Duncan, R. L. (1970). On the factorization of integers, Proc. Amer . Math. Soc. 25,
191–192.
Erd ˝ os, P . (1935a). On the difference of consecutive primes, Quart. J. Math., Oxford ser .
6, 124–128.
(1935b). On the normal number of prime factors of p − 1 and some related problems
concerning Euler’s φ- function. Quart. J. Math., Oxford ser . 6, 205–213.
(1946). Some remarks about additive and multiplicative functions, Bull. Amer . Math.
Soc. 52, 527–537.
(1951). Some problems and results in elementary number theory , Publ. Math. Debre-
cen 2, 103–109.
(1962). On the integers relatively prime to n and on a number-theoretic function
considered by Jacobsthal, Math. Scand. 10, 163–170.
(1963). Problem and Solution Nr. 136, Wiskundige opgaven met de Oplossingen 21. | {
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242 Applications of the Prime Number Theorem
Erd ˝ os, P . & Kac, M. (1940). The Gaussian law of errors in the theory of additive number
theoretic functions, Amer . J. Math. 62, 738–742.
Erd ˝ os, P . & Nicolas, J.-L. (1981). Sur la fonction: nombre de facteurs premiers de n,
Enseignoment Math. (2) 27, 3–27.
Friedlander, J. B. (1972). Maximal sets of integers with small common divisors, Math.
Ann. 195, 107–113.
Greaves, G. (2001). Sieves in Number Theory , Ergeb. Math. (3) 43. Berlin: Springer-
V erlag.
Halberstam, H. (1970). On integers all of whose prime factors are small, Proc. London
Math. Soc. (3) 21, 102–107.
Halberstam, H. & Richert, H.-E. (1974). Sieve Methods , London Mathematical Society
Monographs No. 4. London: Academic Press, 1974.
Hardy , G. H. & Littlewood, J. E. (1923). Some problems of “Partitio Numerorum”: III
On the expression of a number as a sum of primes, Acta Math. 44, 1–70.
Hausman, M. & Shapiro, H. N. (1973). On the mean square distribution of primitive
roots of unity, Comm. Pure Appl. Math. 26, 539–547.
Hensley , D. & Richards, I. (1973). T wo conjectures concerning primes, Analytic Number
Theory , Proc. Sympos. Pure Math. 24. Providence: Amer. Math. Soc., 123–128.
(1973/4). Primes in intervals, Acta Arith. 25, 375–391.
Hildebrand, A. (1984). Integers free of large prime factors and the Riemann Hypothesis,
Mathematika 31, 258–271.
(1985). Integers free of large prime divisors in short intervals, Oxford Quart. J. 36,
57–69.
(1986a). On the number of positive integers ≤ x and free of prime factors > y,
J. Number Theory 22, 289–307.
(1986b). On the local behavior of ψ(x ,y), Trans. Amer . Math. Soc. 297, 729–751.
(1987). On the number of prime factors of integers without large prime divisors,
J. Number Theory 25, 81–106.
Hildebrand, A. & T enenbaum, G. (1986). On integers free of large prime factors, Trans.
Amer . Math. Soc. 296, 265–290.
(1993). Integers without large prime factors, J. Th ´eor . Nombres Bordeaux. 5, 411–484.
Kubilius, I. P . (1956). Probabilistic methods in the theory of numbers, Uspehi Mat. Nauk
(N.S.) 11 68, 31–66.
Legendre, A. M. (1798). Th´eorie des Nombres , First edition, V ol. 2, pp. 71–79.
LeV eque, W . J. (1949). On the size of certain number-theoretic functions, Trans. Amer .
Math. Soc. 66, 440–463.
Maier, H. & Pomerance, C. (1990). Unusually large gaps between consecutive primes,
Trans. Amer . Math. Soc. 322, 201–237.
Montgomery , H. L. (1987). Fluctuations in the mean of Euler’s phi function, Proc. Indian
Acad. Sci. (Math. Sci.) 97, 239–245.
Montgomery , H. L. & V aughan, R. C. (1986). On the distribution of reduced residues,
Ann. of Math. (2) 123 (1986), 311–333.
Norton, K. K. (1971). Numbers with Small F actors and the Least k ’th P ower Non-
Residues, Memoir 106, Providence: Amer. Math. Soc.
Pillai, S. S. & Chowla, S. D. (1930). On the error terms in some asymptotic formulæ in
the theory of numbers, I, J. London Math Soc. 5, 95–101. | {
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7.6 References 243
Pintz, J. (1997). V ery large gaps between consecutive primes, J. Number Theory 63,
286–301.
Ramaswami, V . (1949). The number of positive integers ≤ x and free of prime divisors
> y, and a problem of S. S. Pillai, Duke Math. J. 16, 99–109.
Rankin, R. A. (1938). The difference between consecutive primes, J. London Math. Soc.
13, 242–247.
(1963). The difference between consecutive primes, V, Proc. Edinburgh Math. Soc.
(2)13, 331–332.
R´enyi, A. & Tur´ an, P . (1958), On a theorem of Erd ˝ os–Kac, Acta Arith . 4, 71–84.
Ricci, G. (1934). Ricerche aritmetiche sui polinomi , II, Rend. P alermo 58, 190–208.
Richards, I. (1982). On the gaps between numbers which are sums of two squares, Adv .
in Math. 46, 1–2.
Sathe, L. G. (1953a,b,1954a,b). On a problem of Hardy on the distribution of integers
with a given number of prime factors I, II, III, IV, J. Indian Math. Soc. (N.S.) 17,
63–82 & 83–141, 18, 27–42 & 43–81.
Schinzel, A. (1961). Remarks on the paper “Sur certaines hypoth` eses concernant les
nombres premiers”, Acta Arith. 7, 1–8.
Sch ¨ onhage, A. (1963). Eine Bemerkung zur Konstruktion grosser Primzahll ¨ ucken, Arch.
Math. 14, 29–30.
Selberg, A. (1954). Note on a paper of L. G. Sathe, J. Indian Math. Soc. 18, 83–87.
(1991). Collected papers , V ol. II. Berlin: Springer-V erlag.
W estzynthius, E. (1931). ¨Uber die V erteilung der Zahlen, die zu den n ersten Primzahlen
teilerfremd sind, Comment. Phys.–Math. Soc. Sci. F ennica 5, Nr. 25, 37 pp. | {
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8
Further discussion of the
Prime Number Theorem
8.1 Relations equivalent to the Prime Number Theorem
The Prime Number Theorem asserts that
π(x ) ∼ x
log x (8.1)
as x →∞ . In this section we consider a number of asymptotic relations
that are equivalent to the Prime Number Theorem in the sense that they can
be derived from, and also imply the Prime Number Theorem, by means of
simple elementary arguments. These relations can also be proved by using the
same analytic machinery that we used to prove the Prime Number Theorem, but
the elementary techniques that we use to derive one relationship from another
have permanent utility .
In Corollary 2.5 we saw that π(x ) = ψ(x )/log x + O (x /(log x )2 ) and that
ψ(x ) = ϑ(x ) + O
(
x 1/2 )
. Hence (8.1) is equivalent to
ψ(x ) = x + o(x ), (8.2)
and also to
ϑ(x ) = x + o(x ). (8.3)
These equivalences are fairly trivial, since the arithmetic functions involved are
nearly the same. At a somewhat deeper level, we considerM (x ) = ∑
n≤x µ(n),
and show that the estimate
M (x ) = o(x ) (8.4)
is equivalent to the Prime Number Theorem. As was remarked in Chapter 6,
the relation (8.4) can be proved analytically , by applying the truncated Perron
formula to the Dirichlet series 1/ζ(s) and using the zero-free region of the zeta
function, as in the proof of the Prime Number Theorem. T o derive (8.4) from
244 | {
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8.1 Relations equivalent to the Prime Number Theorem 245
(8.2) it would be natural to express µ(n) as the Dirichlet convolution of /Lambda1 (n)
with some other function. As an aid to discovering such a function we would
write
1
ζ(s) = ζ′(s)
ζ(s) · 1
ζ′(s) .
Unfortunately , 1 /ζ′(s) =− 1/∑ (log n)n−s cannot be expanded as a Dirichlet
series (because log 1 = 0), so we reach an impasse. T o circumvent this difficulty
we introduce a valuable trick. Instead of treating M (x ) directly , we first consider
N (x ): = ∑
n≤x µ(n) log n. Since
M (x ) log x − N (x ) =
∑
n≤x
µ(n) log( x /n) ≪
∑
n≤x
log(x /n) ≪ x ,
it is clear that (8.4) is equivalent to the estimate
N (x ) = o(x log x ). (8.5)
T o derive (8.5) from (8.2) we observe that the Dirichlet series generating func-
tion ofµ(n) log n is −(1/ζ(s))′ = ζ′(s)/ζ(s)2 . Alternatively , in elementary lan-
guage, we recall (1.22), which asserts that
∑
d |n
/Lambda1 (d ) = log n
(
− ζ′
ζ (s) · ζ(s) =− ζ′(s)
)
.
By the M ¨ obius inversion formula, this gives
/Lambda1 (n) =
∑
d |n
µ(d ) log n/d
(
− ζ′
ζ (s) =− ζ′(s) · 1/ζ(s)
)
, (8.6)
as was already noted in the proof of Theorem 2.4. But
0 = (log n)
∑
d |n
µ(d )
(
0 = d
ds (ζ(s) · 1/ζ(s))
)
for all n, and so
/Lambda1 (n) =−
∑
d |n
µ(d ) log d
(
− ζ′
ζ (s) =− ζ(s) · (ζ′(s)/ζ(s)2 )
)
.
By M ¨ obius inversion a second time, we deduce that
µ(n) log n =−
∑
d |n
µ(d )/Lambda1 (n/d )
(
ζ′(s)/ζ(s)2 = (1/ζ(s)) · ζ′
ζ (s)
)
.
Since /Lambda1 (n/d ) is 1 on average, we adjust by this amount:
∑
d |n
µ(d )(1 − /Lambda1 (n/d )) =
{µ(n) log n (n > 1),
1( n = 1). | {
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246 Further discussion of the Prime Number Theorem
W e sum this over n ≤ x (which is to say we apply (2.7)) to see that
∑
d ≤x
µ(d )([x /d ] − ψ(x /d )) = N (x ) + 1.
From (8.2) we know that for any ε> 0 there is a large number C = C (ε) such
that |ψ( y) − [ y]| <ε y provided that y ≥ C . That is, |ψ(x /d ) − [x /d ]|≤ εx /d
for d ≤ x /C . Thus⏐
⏐
⏐
⏐
⏐
∑
d ≤x /C
µ(d ) (ψ(x /d ) − [x /d ])
⏐
⏐
⏐
⏐
⏐≤
∑
d ≤x /C
εx
d ≪ εx log x .
The remaining range we treat trivially:
∑
x /C <d ≤x
µ(d )(ψ(x /d ) − [x /d ]) ≪
∑
x /C <d ≤x
x
d ≪ x log 2 C.
Since εcan be taken arbitrarily small, we see that (8.5), and hence (8.4), follows
from (8.2).
It is worth pausing here to note that the choice of the main term above is
extremely delicate. If we had subtracted x /d instead of [ x /d ], then we would
have had to consider the question of the size of the sum ∑
d ≤x µ(d )/d , which
will be considered later. Since ∑
d ≤x µ(d )[x /d ] = 1 for all x ≥ 1, we avoid the
problem by this judicious choice of the main term.
T o complete our proof that (8.4) is equivalent to (8.2) we now assume (8.4),
and derive (8.2). By summing (8.6) over n, which is to say by applying (2.7),
we see that
ψ(x ) =
∑
d ≤x
µ(d )T (x /d )
where T (x ) = ∑
m≤x log m as in Section 2.2. W e recall that T (x ) = x log x −
x + O (log x ) by the integral test. The main term here is approximately the same
as applies to the summatory function of the divisor function, since Theorem 2.2
asserts thatD(x ) = ∑
m≤x d (m) = x log x + (2C0 − 1)x + O
(
x 1/2 )
. Indeed,
the arithmetic function d (m) − 2C0 , when summed over m, produces exactly
the same main terms as log m. That is, if f (m) = log m − d (m) + 2C0 and
F (x ) = ∑
m≤x f (m) then F (x ) ≪ x 1/2 . On the other hand, ∑
r |n µ(r )d (n/r ) =
1 for all n and ∑
d |n µ(d ) = 0 for all n > 1, so that
∑
d |n
µ(d ) f (n/d ) =
{/Lambda1 (n) − 1( n > 1),
2C0 − 1( n = 1).
On summing this over n ≤ x we find that
∑
d ≤x
µ(d ) F (x /d ) = ψ(x ) − [x ] + 2C0 . (8.7) | {
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8.1 Relations equivalent to the Prime Number Theorem 247
W e now use (8.4) to show that the left-hand side above is o(x ), which thus gives
(8.2). The reasoning employed at this point is useful for other purposes, so we
axiomatize the argument, as follows.
Theorem 8.1(Axer’s theorem) Suppose that a d is a sequence such that
(i) ∑
d ≤x ad = o(x ) and that (ii) ∑
d ≤x |ad |≪ x . Suppose also that F (x ) is
a function defined on [1,∞) such that (iii) F (x ) has bounded variation in the
interval [1,C ] for any finite C ≥ 1, and that (iv) F (x ) ≪ x /(log x )c for some
constant c > 1. Then
∑
d ≤x
ad F (x /d ) = o(x ).
By taking ad = µ(d ) and F (x ) as in (8.7), we see that (8.4) implies (8.2).
Proof Suppose that 1 ≤ U ≤ x /2. From (ii) and (iv) we see that
∑
x /(2U )<d ≤x /U
ad F (x /d ) ≪ U
(log U )c
∑
x /(2U )<d ≤x /U
|ad |≪ x
(log U )c .
On taking U = 2 j and summing over j ≥ J we find that
∑
d ≤x /2 J
ad F (x /d ) ≪ x
∞∑
j = J
1
j c ≪c
x
J c−1 .
This is small compared with x if J is large. Let A(x ) = ∑
d ≤x ad . T o treat the
remaining range, x /2 J < d ≤ x , we sum by parts. W e do not use the Riemann–
Stieltjes integral here because A( y) and F (x /y) may have common disconti-
nuities. Let n0 = [x /2 J ] and n1 = [x ]. Then
∑
n0 <d ≤n1
ad F (x /d ) =
∑
n0 <d ≤n1
( A(d ) − A(d − 1)) F (x /d )
=
∑
n0 <d ≤n1
A(d ) F (x /d ) −
∑
n0 −1<d ≤n1 −1
A(d ) F (x /(d + 1))
= A(n1 ) F (x /n1 ) − A(n0 ) F (x /(n0 + 1))
+
∑
n0 <d <n1
A(d ) ( F (x /d ) − F (x /(d + 1))) .
Since A(ni ) = o(x ) and F (x /ni ) ≪J 1, the first two terms are harmless. As the
points x /d are monotonically arranged in the interval [1 ,2 J ], the sum above
has absolute value not exceeding
(
max
d ≤x
| A(d )|
) ∑
n0 <d <n1
|F (x /d ) − F (x /(d + 1))|≤
(
max
d ≤x
| A(d )|
)
var[1,2 J ] F.
By (i) and (iii) this is o(x ) for any given J . Thus the proof is complete. □ | {
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248 Further discussion of the Prime Number Theorem
By means of a further application of Axer’s theorem, we now show that
∞∑
d =1
µ(d )
d = 0 (8.8)
is also equivalent to the Prime Number Theorem. W e take ad = µ(d ) and
F (x ) ={ x }= x − [x ] in Axer’s theorem. Thus from (8.4) we deduce that
∑
d ≤x
µ(d ){x /d }= o(x ).
But ∑
d ≤x µ(d )[x /d ] = 1 when x ≥ 1, so the left-hand side above is
−1 + x
∑
d ≤x
µ(d )
d .
Since this is o(x ), we obtain (8.8). T o derive (8.4) from (8.8) is easier, in view
of the following useful principle:
Lemma 8.2If ∑ ∞
d=1 ad /d converges, then ∑
d ≤x ad = o(x ).
Proof Let x be given, set r (u) = ∑
u<d ≤x ad /d , and note that
∑
d ≤x
ad =
∫ x
0
r (u) du .
But r (u) is bounded (independently of x ), and |r (u)| <ε for u > U0 , so the
integral is ≪ U0 + εx . That is, the sum is o(x ), as desired. □
8.1.1 Exercises
1. As in Section 2.2, let T (x ) = ∑
n≤x log n, and recall that T (x ) = x log x −
x + O (log x ).
(a) Show that T (x ) = ∑
d ≤x /Lambda1 (d )[x /d ].
(b) Show that
x
∑
d ≤x
/Lambda1 (d )
d = T (x ) −
∑
d ≤x
{x /d }−
∑
d ≤x
(/Lambda1 (d ) − 1){x /d }.
(c) Use (8.2) and Axer’s theorem to show that the last sum above is o(x ).
(d) Recall Exercise 2.1.1.
(e) Show that (8.2) implies that
∑
d ≤x
/Lambda1 (d )
d = log x − C0 + o(1), (8.9)
and note how this compares with Theorem 2.7(a). | {
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8.1 Relations equivalent to the Prime Number Theorem 249
(f) Apply Lemma 8.2 with ad = /Lambda1 (d ) − 1 to show that (8.9) implies (8.2).
Hence (8.2) and (8.9) are equivalent.
(g) Show that
∑
n≤x
/Lambda1 (n){x /n}= (1 − C0 )x + o(x ).
2. (a) By recalling the proof of Theorem 2.2(c), or otherwise, show that (8.2)
implies that
∫ x
1
ψ(u)
u2 du = log x − 1 − C0 + o(1). (8.10)
(b) Show that (8.10) implies (8.2).
3. Let b be defined as in Theorem 2.7. (a) Imitate the proof of Theorem 2.7(d)
to show that (8.2) implies that
∑
p≤x
1
p = log log x + b + o(1/log x ). (8.11)
(b) Show that (8.11) implies (8.1).
4. (a) Use (8.10) and Exercise 5.2.12 to show that
∑
d ≤x
µ(d )
d log(x /d ) = o(log x ). (8.12)
(b) Show that (8.10) implies that
∑
d ≤x
µ(d )
d log d = o(log x ). (8.13)
(c) By partial summation, derive (8.4) from (8.13), and thus show that (8.2),
(8.12) and (8.13) are all equivalent. (Note that a deeper assertion concerning
the sum in (8.13) was already proved in Exercise 6.2.15.)
5. Let F (n) = ∑
d |n f (d ) for all n. The opening remarks in Chapter 2 raise the
possibility of a connection between the two relations
(i) S(x ) = ∑
n≤x F (n) = cx + o(x );
(ii) ∑ ∞
d=1 f (d )/d = c.
In Exercise 6.2.19 we have seen that (i) and the hypothesis f (n) ≪ 1 imply
(ii). Apply Axer’s theorem with ad = f (d ), F (x ) ={ x } to show that (ii) and
the hypothesis ∑
n≤x | f (n)|≪ x imply (i).
6. Let dk (n)b et h e kth divisor function, as defined in Exercise 2.1.18. Put
D0 (x ) = 1, and for positive integral k let Dk (x ) = ∑
n≤x dk (n).
(a) Show that if k is a positive integer, then ∑
d ≤x µ(d ) Dk (x /d ) = Dk−1 (x ). | {
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250 Further discussion of the Prime Number Theorem
(b) Let g(n) be an arithmetic function, put G (x ) = ∑
n≤x g(n), and suppose
that
G (x ) = xP (log x ) + O (x /(log x )c )
where c > 1 and P is a polynomial of degree K . Let Pk be the polynomial
defined in Exercise 2.1.18, and explain why there exist constants ak so that
P (z) = ∑ K +1
k=1 ak Pk (z). By applying Axer’s theorem with F (x ) = G (x ) −∑ K +1
k=1 ak Dk (x ), show that
∑
d ≤x
µ(d )G (x /d ) = xQ (log x ) + o(x )
where Q is a polynomial of degree K − 1 with leading coefficient equal to
K times the leading coefficient of P .
7. Show that Axer’s theorem holds with hypothesis (iv) replaced by the weaker
condition that |F (x )|≤ ω(x )x for some non-negative function ω(x ) satisfy-
ing ω(x ) ց and
∫∞
1 ω(x )/xd x < ∞.
8.2 An elementary proof of the Prime Number Theorem
As we saw in Exercise 2.1.5, a version of M ¨ obius inversion asserts that the two
relationships
B (x ) =
∑
n≤x
A(x /n), A(x ) =
∑
n≤x
µ(n) B (x /n) (8.14)
are equivalent. Some familiar – and useful – examples of this pairing are
displayed in T able 8.1. In many instances of (8.14), the functionsA(x ) and
B (x ) are summatory functions of arithmetic functions a(n) and b(n), respec-
tively , in which case a(n) and b(n) are linked by the more common M ¨ obius
inversion
b(n) =
∑
d |n
a(d ), a(n) =
∑
d |n
µ(d )b(n/d ). (8.15)
The linear operator that takes A(x )t o B (x ) is continuous, but the transformation
is nevertheless quite unstable. For example, the choice of the functions A(x )i n
the second and third lines of T able 8.1 are very close, and yet the corresponding
functionsB (x ) differ quite substantially .
When the asymptotic rate of growth of A(x ) is known, it is easy to deduce that
of B (x ), as a form of Abelian theorem. For example, if A(x ) ∼ x as x →∞ ,
then B (x ) ∼ x log x . However, from the fourth line of T able 8.1 we see that | {
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8.2 An elementary proof of the Prime Number Theorem 251
T able 8.1
A (x) B (x)
1[ x ]
xx ∑
n≤x
1
n = x log x + C0 x + O (1)
[x ] ∑
n≤x
d (n) = x log x + (2C0 − 1)x + O
(
x 1/2 )
ψ(x ) ∑
n≤x
log n = x log x − x + O (log x )
x log xx
∑
n≤x
log x /n
n = 1
2 x (log x )2 + C1 x log x + C2 x + O (1)
some sort of T auberian converse would be useful, for the purpose of proving
the Prime Number Theorem. Unfortunately , it is difficult to establish anything
stronger than the trivial estimate
A(x ) ≪
∑
n≤x
|B (x /n)|. (8.16)
From this we see that if B (x ) ≪ 1, then A(x ) ≪ x . This is rather weak, since
the same upper bound for A(x ) can be deduced from a weaker upper bound for
B (x ): From (8.16) we see that
B (x ) ≪ x α, 0 ≤ α< 1 =⇒ A(x ) ≪α x . (8.17)
As a first application of this, we take A(x ) = ψ(x ) − x + 1 + C0 . Then from
lines 1, 2, and 4 of T able 8.1 we see that B (x ) ≪ log x , and by (8.17) it follows
that A(x ) ≪ x . That is, ψ(x ) ≪ x , which is the upper bound portion of Cheby-
shev’s estimate. T o achieve greater success we construct a prime number sum
in which the main term is larger thanO (x ).
Theorem 8.3 (Selberg) Let
/Lambda1 2 (n) = /Lambda1 (n) log n +
∑
bc=n
/Lambda1 (b)/Lambda1 (c).
Then for x ≥ 1,
∑
n≤x
/Lambda1 2 (n) = 2x log x + O (x ).
Clearly /Lambda1 2 (n) > 0 only when ω(n) ≤ 2. Thus the sum on the left above is
analogous to ψ(x ) but with prime powers replaced by products of two prime
powers, counted with suitable weights. | {
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252 Further discussion of the Prime Number Theorem
Proof W e begin by noting that
∑
d |n
/Lambda1 2 (d ) =
∑
d |n
/Lambda1 (d ) log d +
∑
d |n
∑
bc=d
/Lambda1 (b)/Lambda1 (c)
=
∑
d |n
/Lambda1 (d ) log d +
∑
b|n
/Lambda1 (b)
∑
c|n/b
/Lambda1 (c).
Here the sum over c is log n/b, so the above is
= log n
∑
d |n
/Lambda1 (d )
= (log n)2 . (8.18)
Hence by M ¨ obius inversion it follows that
/Lambda1 2 (n) =
∑
d |n
µ(d )(log n/d )2 . (8.19)
T ake now
A(x ) =
∑
n≤x
/Lambda1 2 (n) − 2x log x + c1 x + c2 (8.20)
where c1 and c2 are constants to be chosen later. Then by (8.18) and lines
1, 2, and 5 of T able 8.1 we see that the corresponding B (x ) given by (8.14)
is
B (x ) =
∑
n≤x
(log n)2 − 2x
∑
n≤x
log x /n
n + c1 x
∑
n≤x
1
n + c2 [x ].
By the integral test the first sum is
∫x
1 (log u)2 du + O ((log x )2 ) = x (log x )2 −
2x log x + 2x + O ((log x )2 ). Hence the above is
=− 2x log x + 2x − 2C1 x log x − 2C2 x
+ c1 x log x + c1 C0 x + c2 x + O ((log x )2 ).
W e now choose c1 and c2 so that the leading terms cancel. That is, we take
c1 = 2 + 2C1 and c2 =− 2 + 2C2 − c1 C0 . Then B (x ) ≪ (log x )2 , and hence
by (8.17) it follows that A(x ) ≪ x . The desired estimate then follows from
(8.20). □
Selberg’s identity may be modified in a variety of ways. For example, we
note that
∑
n≤x
/Lambda1 (n) log n =
∫ x
1
log ud ψ(u) = ψ(x ) log x −
∫ x
1
ψ(u)
u du . | {
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8.2 An elementary proof of the Prime Number Theorem 253
By Chebyshev’s estimate this last integral is ≪ x , and hence the above is
= ψ(x ) log x + O (x ). (8.21)
On inserting this in Selberg’s identity , we find that
ψ(x ) log x +
∑
n≤x
ψ(x /n)/Lambda1 (n) = 2x log x + O (x ). (8.22)
Our object is to show that each term on the left above is ∼ x log x as x →
∞. Suppose, to the contrary , that ψ(x ) is somewhat larger than anticipated,
say ψ(x ) = ax with a > 1. By combining Mertens’ estimate ∑
n≤x /Lambda1 (n)/n =
log x + O (1) with (8.22), we see that ψ( y)/y is on average approximately 2 − a
as y runs over the points x /pk , counted with the appropriate weights. Note that
2 − a < 1. That is, if x is chosen so that ψ(x ) is unusually large, then ψ(x /pk )
must be unusually small for many prime powers pk . Such an argument may
be repeated, so that one finds that ψ(x /( pk q ℓ)) is unusually large for many
prime powers q ℓ. The points x /pk and x /( pk q ℓ) are highly interlacing, so that
ψ( y) would have to switch rapidly back and forth between large and small
values. However, ψ(x ) is a (weakly) increasing function, which implies that
if it is unusually large at one point, then it continues to be unusually large for
some time after. More precisely , ifψ(x ) ≥ ax with a > 1, then ψ( y) ≥ √
ay
uniformly for x ≤ y ≤ √ax . Similarly , if ψ(x ) ≤ bx with b < 1 then ψ( y) ≤√
by uniformly for
√
bx ≤ y ≤ x . Of course an interval on which ψ( y)i s
large cannot overlap with one on which ψ( y) is small. One expects to reach a
contradiction by showing that these intervals are too numerous and too long to
all fit in the interval [1,x ]. Our remaining task is to convert this intuitive line
of reasoning into a rigorous proof.
Let R(x ) be defined by the relation ψ(x ) = x + R(x ). By combining the
estimate of Mertens cited above with (8.22) we see that
R(x ) log x +
∑
n≤x
R(x /n)/Lambda1 (n) ≪ x . (8.23)
Here the sum is a weighted average of values of R, but the total amount of
weight, ∑
n≤x /Lambda1 (n) = ψ(x ), remains in doubt. T o overcome this difficulty , we
iterate the identity (8.23) as follows: By replacing x in (8.23) by x /m we find
that
R(x /m) log x /m +
∑
n≤x /m
R(x /(mn ))/Lambda1 (n) ≪ x /m.
W e multiply this by /Lambda1 (m) and sum over all m ≤ x , and thus find that
∑
m≤x
R(x /m)/Lambda1 (m) log x /m +
∑
mn ≤x
R(x /(mn ))/Lambda1 (m)/Lambda1 (n) ≪ x log x . | {
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254 Further discussion of the Prime Number Theorem
W e multiply both sides of (8.23) by log x and subtract the above to see that
R(x )(log x )2 =−
∑
n≤x
R(x /n)/Lambda1 (n) log n
+
∑
mn ≤x
R(x /(mn ))/Lambda1 (m)/Lambda1 (n) + O (x log x ). (8.24)
This has the advantage over (8.23) that we know how much weight resides in the
coefficients on the right-hand side, by virtue of Theorem 8.3. W e now formulate
a T auberian principle that is appropriate to estimate the above expression.
Lemma 8.4Suppose that a n ≥ 0 and b n ≥ 0 for all n, and that
1
2 x log x ≤
∑
n≤x
an ≤ 3
2 x log x , (8.25)
1
2 x log x ≤
∑
n≤x
bn ≤ 3
2 x log x (8.26)
for all large x . Suppose also that
∑
n≤x
an + bn ∼ 2x log x (8.27)
as x →∞ . Finally, suppose that r (u) is a function such that
|r (u)|≤ βu (8.28)
for all large u where 0 <β ≤ 1, and that
r (v) − r (u) ≥− (v − u) (8.29)
when v ≥ u. Then
⏐
⏐
⏐
⏐
∑
n≤x
(an − bn )r (x /n)
⏐
⏐
⏐
⏐≤
(
β − β2
100 + o(1)
)
x (log x )2 .
Proof Without loss of generality the hypotheses hold for all x ≥ 1, u ≥ 1,
since changes in the definitions of an ,bn for small n, and r (u) for small u entail
additional error terms of magnitude O (x log x ). It suffices to show that
∑
n≤x
(an − bn )r (x /n) ≤
(
β − β2
100 + o(1)
)
x (log x )2 , (8.30)
since the reverse inequality can then be derived by exchanging the roles of an
and bn . By applying first (8.28) and then (8.27) we see that the left-hand side
above is trivially
≤ βx
∑
n≤x
an + bn
n ∼ βx (log x )2 . (8.31) | {
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8.2 An elementary proof of the Prime Number Theorem 255
W e write the left-hand side of (8.30) in the form
βx
∑
n≤x
an + bn
n −
∑
n≤x
an
(βx
n − r (x /n)
)
−
∑
n≤x
bn
(βx
n + r (x /n)
)
.
By (8.31), this is
∼ βx (log x )2 − SA − SB ,
say . Note that both factors of the summands in SA are non-negative, so that
SA ≥ 0. Similarly , SB ≥ 0. W e need to show that
SA + SB ≥
(β2
100 + o(1)
)
x (log x )2 . (8.32)
T o this end we show that
∑
y<n≤16 y
an
(βx
n − r (x /n)
)
+ bn
(βx
n + r (x /n)
)
≥ 1
16 β2 x log y (8.33)
for all large y. Then (8.32) follows on summing this over y = x 16−k ,1 ≤ k ≤
[(log x )/log 16] . In proving (8.33) we consider three cases.
Case 1. r (u) ≤ 1
2 βu for all u ∈ [ x
16 y , x
4 y ]. Then r (x /n) ≤ 1
2 βx /n for all n ∈
[4 y,16 y], and hence
∑
y<n≤16 y
an
(βx
n − r (x /n)
)
≥ 1
2 βx
∑
4 y<n≤16 y
an
n .
Since the denominator does not exceed 16 y, the above is
≥ βx
32 y
∑
4 y<n≤16 y
an .
Here the sum is ∑
n≤16 y an − ∑
n≤4 y an , which by (8.25) is ≥ 8 y log 16 y −
6 y log 4 y > 2 y log y. Thus the above is
≥ βx
16 log y.
Since β ≤ 1, this gives (8.33) in this case.
Case 2. r (u) ≥− 1
2 βu for all u ∈ [ x
4 y , x
y ]. Then r (x /n) ≥− 1
2 βx /n for n ∈
[ y,4 y]. Arguing as in the preceding case, but using (8.26) instead of (8.25), we
find that
∑
y<n≤4 y
bn
(βx
n + r (x /n)
)
≥ 1
2 βx
∑
y<n≤4 y
bn
n ≥ βx
8 y
∑
y<n≤4 y
bn ≥ βx log y
16 .
This gives (8.33) in this case.
If neither Case 1 nor Case 2 applies, then we have | {
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256 Further discussion of the Prime Number Theorem
Case 3. There is a u 1 ∈ [ x
16 y , x
4 y ] such that r (u1 ) ≥ 1
2 βu1 , a n dau 2 ∈ [ x
4 y , x
y ]
such that r (u2 ) ≤− 1
2 βu2 . Let u4 be the inf of those u ≥ u1 such that
r (u) ≤− 1
2 βu. W e show that r (u4 ) =− 1
2 βu4 . Suppose that r (u4 ) > − 1
2 βu4 ,
say r (u4 ) + 1
2 βu4 = δ> 0. Suppose that
u4 ≤ v< u4 + δ
1 − 1
2 β. (8.34)
Then by (8.29) we see that
r (v) ≥ r (u4 ) − (v − u4 ) =− 1
2 βu4 + δ − (v − u4 ).
From the upper bound in (8.34) we deduce that the above expression is >
− 1
2 βv. That is, the inequality r (u) ≤− 1
2 βu holds at no point of the interval
(8.34). Since this contradicts the definition of u4 , it follows that r (u4 ) ≤− 1
2 βu4 .
Now suppose that r (u4 ) < − 1
2 βu4 , say −r (u4 ) − 1
2 βu4 = δ> 0. Suppose also
that
u4 − δ
1 − 1
2 β ≤ u ≤ u4 . (8.35)
Then by (8.29) we see that
r (u) ≤ r (u4 ) + (u4 − u) =− 1
2 βu4 − δ + (u4 − u).
From the lower bound in (8.35) we deduce that this expression is ≤− 1
2 βu.
That is, the inequality r (u) ≤− 1
2 βu holds throughout the interval (8.35).
Since this contradicts the definition of u4 , we conclude that r (u4 ) =− 1
2 βu4 .
Put
u3 = 1 − 1
2 β
1 + 1
2 βu4 ,
and suppose that
u3 < u ≤ u4 . (8.36)
Then by (8.29) we see that
r (u) ≤ r (u4 ) + (u4 − u) =− 1
2 βu4 + (u4 − u).
From the lower bound in (8.36) we deduce that this expression is < 1
2 βu. That
is, the inequality r (u) ≥ 1
2 βu holds at no point of the interval (8.36), and hence
u1 ≤ u3 . | {
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8.2 An elementary proof of the Prime Number Theorem 257
T o summarize, we have x
16 y ≤ u1 ≤ u3 ≤ u4 ≤ x
y and |r (u)|≤ 1
2 βu for u3 <
u ≤ u4 . Hence
∑
x /u4 ≤n<x /u3
an
(βx
n − r (x /n)
)
+ bn
(βx
n + r (x /n)
)
≥ 1
2 βx
∑
x /u4 ≤n<x /u3
an + bn
n
=
(1
2 β + o(1)
)
x
(
(log x /u3 )2 − (log x /u4 )2 )
. (8.37)
T o estimate the last factor above we note that
log x
u3
− log x
u4
= log 1 + 1
2 β
1 − 1
2 β =
∞∑
r =0
β2r +1
(2r + 1)22r >β.
Also, since u3 and u4 do not exceed x /y, it follows that
log x
u3
+ log x
u4
≥ 2 log y.
Hence the expression (8.37) is
≥
(
β2 + o(1)
)
x log y.
Thus we have (8.33) in this case also, and the proof of Lemma 8.4 is complete.
□
T o complete the proof of the Prime Number Theorem we apply Lemma 8.4
with
an = /Lambda1 (n) log n, bn =
∑
bc=n
/Lambda1 (b)/Lambda1 (c).
W e combine Chebyshev’s estimates in the form
(log 2 + o(1))x ≤ ψ(x ) ≤ (2 log 2 + o(1))x
with (8.21) to see that
(log 2 + o(1))x log x ≤
∑
n≤x
an ≤ (2 log 2 + o(1))x log x . (8.38)
This gives (8.25), and (8.27) is Selberg’s identity as expressed in Theorem 8.3.
T o obtain (8.26) it suffices to subtract (8.38) from (8.27). W e apply the lemma
withr (u) = R(u) = ψ(u) − u. Then
r (v) − r (u) =
∑
u<n≤v
/Lambda1 (n) − (v − u) ≥− (v − u),
so we have (8.28). Let α = lim sup |r (u)|/u. Our object is to show that α = 0.
W e know that α ≤ 1/2, by Chebyshev’s estimates. Suppose that α> 0, and | {
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258 Further discussion of the Prime Number Theorem
choose β,0 <β ≤ 1 so that
β − β2
100 <α<β.
By combining the conclusion of Lemma 8.4 with (8.24) we deduce that α ≤
β − β2 /100, a contraction. Thus α = 0, and the proof of the Prime Number
Theorem is complete.
8.2.1 Exercises
1. For which entries in T able 8.1 are A(x ) and B (x ) summatory functions of
arithemtic functions a(n) and b(n) related as in (8.15) ?
2. If A(x ) = M (x ): = ∑
n≤x µ(n) in (8.14), then what is the function B (x )?
3. (a) V erify the Dirichlet series identity
(ζ′
ζ (s)
)′
+
(ζ′
ζ (s)
)2
= ζ′′
ζ (s).
(b) Compute the Dirichlet series coefficients of the three functions in the
above identity , and thus give a proof of (8.18) by means of formal Dirich-
let series.
(c) Compute the leading term of the Laurent expansions of the three func-
tions above, at the point s = 1.
(d) Suppose that ρ is a zero of ζ(s) of multiplicity m > 0. Compute the
singular portion of the Laurent expansions of the three functions above,
ats = ρ. Note that the pole of ζ′′/ζ at s = ρ is simple if and only if ρ
is a simple zero of ζ(s).
4. Let a = lim sup x →∞ ψ(x )/x and b = lim inf x →∞ ψ(x )/x . Suppose that a
sequence xν tending to infinity is chosen so that lim ν→∞ ψ(xν)/xν = a. Use
(8.22) to show that for each νa prime pν can be selected so that xν/pν →∞
and lim inf ν→∞ ψ(xν/pν)/(xν/pν) ≤ 2 − a. Thus show that a + b ≤ 2. By
a similar argument, show that a + b ≥ 2. Hence demonstrate that the relation
a + b = 2 is a consequence of (8.22).
5. (a) Show that
log x
∑
pk ≤x
k≥2
log p +
∑
pk q ℓ≤x
k+ℓ≥3
(log p) log q ≪ x .
Here p and q denote prime numbers.
(b) As usual, let ϑ(x ) = ∑
p≤x log p, and use Selberg’s identity to show
that
ϑ(x ) log x +
∑
p≤x
ϑ(x /p) log p = 2x log x + O (x ). | {
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8.3 The Wiener–Ikehara T auberian theorem 259
6. Show that ∑
d |n µ(d )(log n/d )2 = /Lambda1 (n) log n + ∑
d |n /Lambda1 (d )/Lambda1 (n/d ).
7. Let k be a positive integer, and put
/Lambda1 k (n) =
∑
d |n
µ(d )(log n/d )k .
(a) Show that
/Lambda1 k+1 (n) = /Lambda1 k (n) log n +
∑
d |n
/Lambda1 k (d )/Lambda1 (n/d ).
(b) Show that /Lambda1 k (n) ≥ 0 for all n, and that if /Lambda1 k (n) > 0, then ω(n) ≤ k.
8. Let c and M be positive constants, and suppose that f (x ) is a function
defined on [1 ,∞) such that (i) |
∫x
1 f (u)u−2 du |≤ M for all x ≥ 1, and also
(ii) | f (u) − f (v)|≤ c|u − v| whenever u ≥ 1 and v ≥ 1. Put
α = lim sup
x →∞
| f (x )|
x ,β = lim sup
x →∞
1
log x
∫ x
1
| f (u)|
u2 du .
Show that β ≤ α(1 − α2 /(32cM )).
8.3 The Wiener–Ikehara T auberian theorem
In Chapter 6 we developed some understanding of the analytic behaviour of
the zeta function, which allowed us to show thatζ(s) ̸=0 for σ ≥ 1 − c/log τ,
which in turn permitted us to establish the Prime Number Theorem with an error
term≪ x exp(−c√
log x ). On the other hand, it is reasonable to ask what is the
least information concerning the zeta function that would suffice to establish
the Prime Number Theorem in the weak form (8.1). In this section we establish
a general T auberian theorem, from which the Prime Number Theorem follows
from the information that the functions
ζ(s) − 1
s − 1 ,ζ ′(s) + 1
(s − 1)2
are continuous in the closed half-plane σ ≥ 1, and that
ζ(1 + it ) ̸=0 (8.39)
for all real t . Conversely from (8.2) we see that
− ζ′
ζ (s) = s
s − 1 + s
∫ ∞
1
ψ(x ) − x
x s+1 dx = o
(1
σ − 1
)
as σ → 1+ with t fixed, t ̸=0. But if ζ(s) had a zero of multiplicity m at 1 + it ,
then
ζ′
ζ (s) ∼ m
s − 1 | {
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260 Further discussion of the Prime Number Theorem
when s is near 1 + it . Since this is possible only when m = 0, we have (8.39).
The above observations can be paraphrased as ‘the Prime Number Theorem
is equivalent to the assertion (8.39)’, although one needs to bear in mind the
continuity conditions also.
Suppose that α(s) = ∑ ∞
n=1 an n−s . In Section 5.2 we derived information
concerning partial sums of this series at s = 1 from the behaviour of α(σ)a s
σ → 1+. W e now take much stronger hypotheses that concern α(s) throughout
the closed half-plane σ ≥ 1, but we obtain from them much stronger conclu-
sions, concerning partial sums of the series at s = 0. Our proof of the Hardy–
Littlewood T auberian theorem (Theorem 5.7) depended on a simple lemma con-
cerning one-sided polynomial approximation (Lemma 5.8). Our new approach
depends similarly on a corresponding lemma concerning one-sided trigonomet-
ric approximation, as follows.
Lemma 8.5Let E (x ) = ex for x ≤ 0, and E (x ) = 0 for x > 0. F or any given
ε> 0 there is a T and continuous functions f +(x ),f −(x ) with f ± ∈ L 1 (R)
such that
(i) f−(x ) ≤ E (x ) ≤ f+(x ) for all real x ;
(ii) ˆf ±(t ) = 0 for |t |≥ T ;
(iii)
∫∞
−∞ f+(x ) dx < 1 + ε,
∫∞
−∞ f−(x ) dx > 1 − ε.
Before proving the above, we first explore its consequences.
Since thef± ∈ L 1 (R), it follows that the Fourier transforms ˆf ±(t ) are uni-
formly continuous. Thus from (ii) above it follows that ˆf ±(±T ) = 0, so that
ˆf ±(t ) = 0 for all t with |t |≥ T . Since the f± are also continuous, it follows
by the Fourier integral theorem that
lim
τ→∞
∫ τ
−τ
(1 −| t |/τ) ˆf ±(t )e(tx ) dt = f±(x )
for all x . But the functions ˆf ± are supported on the fixed interval [ −T ,T ], so
the limit on the left above is simply
∫T
−T
ˆf ±(t )e(tx ) dt . That is,
f±(x ) =
∫ T
−T
ˆf ±(t )e(tx ) dt (8.40)
for all x . It may be further noted that
∫T
−T
ˆf ±(t )e2πitz dt is an entire function of
z. Thus f±(x ) is the restriction to the real axis of an entire function.
Theorem 8.6 (Wiener–Ikehara) Suppose that the function a (u) is non-
negative and increasing on [0,∞), that
α(s) =
∫ ∞
0
e−us da (u) | {
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8.3 The Wiener–Ikehara T auberian theorem 261
converges for all s with σ> 1, and that r (s): = α(s) − c/(s − 1) extends to a
continuous function in the closed half-plane σ ≥ 1. Then
∫ x
0
1 da (u) = cex + o(ex )
as x →∞ .
By making the change of variable a(u) = A (eu ), we obtain the following
equivalent formulation.
Corollary 8.7(Wiener–Ikehara) Suppose that A (v) is non-negative and in-
creasing on [1,∞), that
α(s) =
∫ ∞
1
v−s dA (v)
converges for all s with σ> 1, and that r (s): = α(s) − c/(s − 1) extends to a
continuous function in the closed half-plane σ ≥ 1. Then
∫ x
1
1 dA (v) = cx + o(x )
as x →∞ .
By setting A(v) = ∑
n<v an we obtain a useful T auberian theorem for Dirich-
let series.
Corollary 8.8(Wiener–Ikehara) Suppose that a n ≥ 0 for all n, that
α(s) =
∞∑
n=1
an n−s
converges for all s with σ> 1, and that r (s): = α(s) − c/(s − 1) extends to a
continuous function in the closed half-plane σ ≥ 1. Then
∑
n≤x
an = cx + o(x )
as x →∞ .
By taking an = /Lambda1 (n), we see that (8.39) gives the hypotheses with c = 1,
and hence we obtain the Prime Number Theorem in the form (8.2).
Proof of Theorem 8.6Ta k eδ> 0, and let E (u) be as in Lemma 8.5. Then
∫ x
0
e−δu da (u) = ex
∫ ∞
0
E (u − x )e−(1+δ)u da (u),
which by Lemma 8.5(i) is
≤ ex
∫ ∞
0
f+(u − x )e−(1+δ)u da (u). | {
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262 Further discussion of the Prime Number Theorem
By (8.40) this is
= ex
∫ ∞
0
∫ T
−T
ˆf +(t )e(tu − tx ) dt e −(1+δ)u da (u).
By Fubini’s theorem we may interchange the order of integration. Thus the
above is
= ex
∫ T
−T
ˆf +(t )e(−tx )
∫ ∞
0
e−(1+δ−2πit )u da (u) dt
= ex
∫ T
−T
ˆf +(t )e(−tx )α(1 + δ − 2πit ) dt . (8.41)
If a(u) = eu , then α(s) = 1/(s − 1), and thus from the above calculation we
see in particular that
∫ ∞
0
f+(u − x )e−δu du =
∫ T
−T
ˆf +(t )e(−tx ) 1
δ − 2πit dt .
On multiplying both sides by cex and combining this with (8.41), we deduce
that
∫ x
0
e−δu da (u) ≤ ex
∫ T
−T
ˆf +(t )e(−tx )r (1 + δ − 2πit ) dt
+ cex
∫ ∞
0
f+(u − x )e−δu du .
Since r (s) is uniformly continuous in the closed rectangle 1 ≤ σ ≤ 1 + δ,
|t |≤ 2πT , each of the above three terms tends to a limit as δ → 0+.
Thus
∫ x
0
1 da (u) ≤ ex
∫ T
−T
ˆf +(t )e(−tx ) r (1 − 2πit ) dt + cex
∫ ∞
0
f+(u − x ) du .
W e divide through by ex and let x tend to infinity . The first integral on the right
tends to 0 by the Riemann–Lebesgue lemma, and the second integral on the
right tends to
∫∞
−∞ f+(u) du . Thus we see that
lim sup
x →∞
e−x
∫ x
0
1 da (u) ≤ c
∫ ∞
−∞
f+(u) du ≤ c(1 + ε)
by Lemma 8.5(iii). By using f− similarly we may also show that
lim inf
x →∞
e−x
∫ x
0
1 da (u) ≥ c(1 − ε).
Since ε may be taken arbitrarily small, we obtain the stated result, apart from
the need to prove Lemma 8.5. □ | {
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8.3 The Wiener–Ikehara T auberian theorem 263
Proof of Lemma 8.5 W e assume, as we may , that T ≥ 1. Let
/Delta1 T (x ) = T
(sin πTx
πTx
)2
, JT (x ) = 3T
4
(sin πTx /2
πTx /2
)4
be the Fej´ er and Jackson kernels, respectively . These functions have a peak of
height≍T and width ≍ 1/T at 0, and have total mass 1. Set
f (x ) = ( E ⋆ JT )(x ) =
∫ ∞
−∞
E (u) JT (x − u) du .
This is a weighted average of the values of E (u) with special emphasis on those
u near x . W e show that
f (x ) = E (x ) + O (min(1,1/(Tx )2 )). (8.42)
T o establish this we consider several cases. If |x |≤ 1/T we simply observe
that 0 ≤ f (x ) ≤
∫∞
−∞ JT (u) du = 1. If x ≥ 1/T we observe that 0 ≤ f (x ) ≪
T −3 ∫0
−∞(x − u)−4 du ≪ 1/(Tx )3 . By the calculus of residues it is easy to show
that
∫∞
−∞ JT (u) du = 1. Hence
f (x ) − E (x ) =
∫ ∞
−∞
( E (u) − E (x )) JT (x − u) du .
Next, suppose that −1 ≤ x ≤− 1/T .I f2 x ≤ u ≤ 0, then E (u) − E (x )
= ex (eu−x − 1) = ex (u − x + O ((u − x )2 )). Thus
∫ 0
2x
( E (u) − E (x )) JT (x − u) du =− ex
∫ −x
x
uJ T (u) du
+ O
(∫ −x
x
u2 JT (u) du
)
.
Here the first integral on the right vanishes because the integrand is an odd
function, and the second integral is≪ 1/T 2 . On the other hand,
∫ ∞
0
( E (u) − E (x )) JT (x − u) du ≪ T −3
∫ ∞
−x
u−4 du ≪ 1/|Tx |3 ,
and similarly
∫2x
−∞ ≪ 1/|Tx |3 , so we have (8.42) in this case also. Finally ,
suppose that x ≤− 1. Then E (u) − E (x ) = ex (u − x + O ((u − x )2 )) for x −
1 ≤ u ≤ x + 1, so that
∫ x +1
x −1
( E (u) − E (x )) JT (x − u) du =− ex
∫ 1
−1
uJ T (u) du
+ O
(
ex
∫ 1
−1
u2 JT (u) du
)
≪ ex T −2 , | {
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264 Further discussion of the Prime Number Theorem
which is ≪ 1/(Tx )2 . On the other hand,
∫ x −1
−∞
( E (u) − E (x )) JT (x − u) du ≪ ex T −3
∫ ∞
1
u−4 du ≪ (Tx )−2 ,
and ∫ ∞
x +1
( E (u) − E (x )) JT (x − u) du ≪ T −3 x −4 ,
so we again have (8.42).
Clearly /Delta1 T (x ) ≪ T min(1,1/(Tx )2 ), but there is no inequality in the reverse
direction because /Delta1 T (x ) vanishes at integral multiples of 1 /T . T o overcome
this difficulty we consider also a translate of the Fej´ er kernel. Since
/Delta1 T (x ) + /Delta1 T (x + 1/(2T )) ≫ T min(1,1/(Tx )2 ),
we take
f±(x ) = f (x ) ± C
T (/Delta1 T (x ) + /Delta1 T (x + 1/(2T ))) .
By (8.42) we see that if C is taken large enough, then f−(x ) ≤ E (x ) ≤ f+(x )
for all x .
By Fubini’s theorem it is easy to see that if f1 , f2 ∈ L 1 (R) then the convo-
lution f1 ⋆ f2 is also in L 1 (R), and also that ˆf1 ⋆ f2 (t ) = ˆf1 (t )ˆf2 (t ). Hence
in particular, f ∈ L 1 (R) and ˆf (t ) = ˆE (t )ˆJT (t ). But ˆJT (t ) = 0 for |t |≥ T ,
so ˆf (t ) = 0 for |t |≥ T . Also, ˆ/Delta1 T (t ) = 0 for |t |≥ T , and we see that the
functions f± have the property (ii).
Finally , we note by Fubini’s theorem that
∫ ∞
−∞
f (x ) dx =
(∫ ∞
−∞
E (x ) dx
)(∫ ∞
−∞
JT (u) du
)
= 1 · 1 = 1,
and hence
∫∞
−∞ f±(x ) dx = 1 ± 2C /T . Thus we have (iii) if T ≥ C /ε, so the
proof is complete. □
8.3.1 Exercises
1. Use the Wiener–Ikehara theorem (Theorem 8.6) to show that M (x ) = o(x ).
2. (Dressler 1970; cf. Bateman 1972) Let f (n) denote the number of positive
integers k such that ϕ(k) = n.
(a) Show that if σ> 1, then
∞∑
n=1
f (n)
ns =
∞∑
k=1
1
ϕ(k)s =
∏
p
(
1 + 1
ϕ( p)s + 1
ϕ( p2 )s +···
)
,
and explain why this is not an Euler product in the usual sense. | {
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8.3 The Wiener–Ikehara T auberian theorem 265
(b) Let the above Dirichlet series be F (s). Show that F (s) = ζ(s)G (s) for
σ> 1, where
G (s) =
∏
p
(
1 − 1
ps + 1
( p − 1)s
)
.
(c) By writing
1
( p − 1)s − 1
ps = s
∫ p
p−1
u−s−1 du ,
show that the above is ≪ p−σ−1 for any fixed s.
(d) Let K be a compact set in the complex plane, and let σ0 = mins∈K σ.
Show that ( p − 1)−s − p−s ≪ p−σ0 −1 uniformly for s ∈ K.
(e) Show the product G (s) converges locally uniformly in the half-plane
σ> 0, and hence represents an analytic function in this region.
(f) Show that G (1) = ζ(2)ζ(3)/ζ(6).
(g) Use the Wiener–Ikehara theorem (Theorem 8.6) to show that the number
of integers k such that ϕ(k) ≤ x is asymptotic to G (1)x as x →∞ .
3. Show that Corollary 8.8 still holds if the hypothesis an ≥ 0 is replaced by
the weaker hypothesis that there is a constant C such that an ≥ C for all n.
4. Let σs (n) = ∑
d |n d s , and let cq (n) be Ramanujan’s sum, as discussed in
Section 4.1.
(a) Show that ifn is a positive integer, then
∞∑
q =1
cq (n)
q s = σ1−s (n)
ζ(s) (σ> 1).
(b) Show that if n is a fixed positive integer, then ∑
q ≤x cq (n) = o(x )a s
x →∞ .
(c) Show that if n is a positive integer, then
∑
q ≤x
cq (n)
[x
q
]
=
∑
d |n
d ≤x
d .
(d) By Axer’s theorem, or otherwise, show that if n is a positive integer, then
∞∑
q =1
cq (n)
q = 0.
(See also Exercise 4.1.8.)
5. (Graham & V aaler 1981) Let f+(x ) and f−(x ) be as in Lemma 8.5.
(a) Use the Poisson summation formula to show that
∞∑
n=−∞
f+(n/T ) = T
∞∑
k=−∞
ˆf +(kT ) . | {
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266 Further discussion of the Prime Number Theorem
(b) Explain why the right-hand side above is = T ˆf +(0) = T
∫
R f+(x ) dx .
(c) Explain why the left-hand side above is ≥ (1 − e−1/T )−1 .
(d) Deduce that ∫
R
f+(x ) dx ≥ 1
T (1 − e−1/T ) .
(e) Suppose that T ≥ 2. Show that the right-hand side above is = 1 +
1/(2T ) + O (1/T 2 ).
(f) Show similarly that
∫
R
f−(x ) dx ≤ 1
T (e1/T − 1) ,
and that the right-hand side is = 1 − 1/(2T ) + O (1/T 2 ) when T ≥ 2.
8.4 Beurling’s generalized prime numbers
One of the most valuable generalizations of the Prime Number Theorem is to
algebraic number fields. Suppose thatK is an algebraic number field of degree
d over the rationals, and let OK denote the ring of algebraic integers in K .F o r
some fields K the members of OK factor uniquely into primes, but in general
this is not the case. However, it is always true that ideals in OK factor uniquely
into prime ideals. For an ideal a of OK , let N (a) denote its norm, which is to
say the size of the quotient ring OK /a.F o r σ> 1 we can define the Dedekind
zeta function of K by the absolutely convergent series
ζK (s) =
∑
a
N (a)−s .
This is an ordinary Dirichlet series, since the N (a) are positive integers, and
thus the above can be written in the form ∑ an n−s where an is the number of
ideals with norm n.
Counting ideals a with N (a) ≤ x is rather like counting rational integers. The
ideals can be parametrized by the points of a lattice in Rd , so one is counting
lattice points in a certain region, which is approximately the volume of that
region, and thus it can be shown that the numberI (x ) of ideals a with N (a) ≤ x is
I (x ) = cx + O
(
x 1−1/d )
(8.43)
where c = c(K ) is a certain positive constant, called the ideal density . Here
the implicit constant may also depend on K , which we assume is fixed. By
Theorem 1.3 it follows that
ζK (s) = s
∫ ∞
1
I (x )x −s−1 dx = cs
s − 1 + s
∫ ∞
1
( I (x ) − cx )x −s−1 dx . | {
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8.4 Beurling’s generalized prime numbers 267
Since this latter integral is uniformly convergent for σ> 1 − 1/d + δ, we de-
duce that ζK (s) is analytic in the half-plane σ> 1 − 1/d apart from a simple
pole at s = 1 with residue c. Moreover, we see that if δ is fixed, δ> 0, then
ζK (s) ≪| t | uniformly for σ ≥ 1 − 1/d + δ, |t |≥ 1.
If a and b are two ideals in OK , then
N (ab) = N (a) N (b). (8.44)
Hence ζK (s) has an Euler product formula
ζK (s) =
∏
p
(1 − N (p)−s )−1
for σ> 1. On taking logarithmic derivatives we also see that
− ζ′
K
ζK
(s) =
∑
a
/Lambda1 (a) N (a)−s
where /Lambda1 (a) = log N (p)i f a = pk , /Lambda1 (a) = 0 otherwise. Thus, as in Lemma 6.5,
ℜ
(
−3 ζ′
K
ζK
(σ) − 4 ζ′
K
ζK
(σ + it ) − ζ′
K
ζK
(σ + 2it )
)
≥ 0
for σ> 1 and any real t . Also as in Chapter 6 we may derive a zero-free
region for ζK (s), namely that ζK (s) ̸=0 provided that σ> 1 − c/log τ. Here,
as before, τ =| t |+ 4, and c is a constant depending on K . Continuing as in
Chapter 6, we can derive estimates analogous to those in Theorem 6.7, but with
constants depending onK , and we may use our quantitative version of Perron’s
formula (Theorem 5.2) to establish a quantitative version of the Prime Ideal
Theorem:
Theorem 8.9 (Landau) Let K be an algebraic number field of finite de-
gree over Q, and let OK denote the ring of algebraic integers in K . Then
for x ≥ 2 the number of prime ideals p in OK such that N (p) ≤ xi s
li(x ) + OK (x exp(−c√
log x )) where c depends on K .
It is notable that the chain of reasoning we have just described depends only
on the estimate (8.43) and the identity (8.44). Thus the entire situation could
be abstracted as follows. Suppose we have a sequenceP of real numbers pi
such that 1 < p1 ≤ p2 ≤· · · and pi →∞ . W e call these numbers ‘generalized
primes’. W e form products of powers of these numbers, pa1
1 pa2
2 ··· pak
k , and
call such products ‘generalized integers’. Let N (x ) denote the number of such
products whose value does not exceed x .I f
N (x ) = cx + O (x θ) (8.45) | {
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268 Further discussion of the Prime Number Theorem
for some c > 0 and θ< 1, then by the reasoning we have outlined it follows
that the number P (x ) of generalized primes pi such that pi ≤ x is li( x ) +
O (x exp(−c√log x )).
The integers Z form an additive group, a cyclic group generated by the
number 1. Moreover, the positive integers form a multiplicative semigroup
with the primes as generators. From the additive property of the integers we
know that [x ] = x + O (1), which is a strong form of (8.45). However, it is now
quite clear that our proof of the Prime Number Theorem requires no further
knowledge of the additive nature of the integers beyond this estimate.
W e have seen that the estimate (8.45) gives a generalization of the Prime
Number Theorem with the classical error term. W e now consider the issue of
how much this hypothesis can be weakened, if the goal is only to obtain a
generalization of (8.1), namely thatP (x ) ∼ x /log x as x →∞ .
Theorem 8.10 (Beurling) Let P ={ pi } where 1 < p1 ≤ p2 ≤· · · and p i →
∞, and let N (x ) denote the number of products p a1
1 pa2
2 ··· pak
k ≤ x where the
ai are non-negative integers. Suppose that there is a positive constant c such
that
N (x ) = cx + O
( x
(log x )γ
)
(8.46)
for x ≥ 2. Let P (x ) denote the number of members of P not exceeding x . If
γ> 3/2, then
P (x ) ∼ x
log x (8.47)
as x →∞ .
Proof Let N ={ n j } where 1 = n1 < n2 ≤ n3 ≤· · · are the generalized inte-
gers, and for σ> 1 let
ζP(s) =
∑
n∈N
n−s .
Since the n ∈ N are not necessarily rational integers, the above is not necessarily
an ordinary Dirichlet series, but it is an example of a ‘generalized Dirichlet
series’. In any case it is an absolutely convergent series and by integration by
parts as in the proof of Theorem 1.3 we see that
ζP(s) =
∫ ∞
1−
u−s dN (u) = s
∫ ∞
1
N (u)u−s−1 du .
W e subtract cu from N (u) to see that
ζP(s) = cs
s − 1 + s
∫ ∞
1
( N (u) − cu )u−s−1 du . | {
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8.4 Beurling’s generalized prime numbers 269
From (8.46) we know that
∫∞
1 |N (u) − cu |u−2 du < ∞. Hence the integral
above is uniformly convergent for σ ≥ 1, and consequently it is continuous in
this closed half-plane. Thus we can extend the definition of ζP(s) so that ζP(s) =
c/(s − 1) + r0 (s) and r0 (s) is continuous for σ ≥ 1. T o bound the modulus
of continuity of r0 (s) we differentiate. Thus ζ′
P(s) =− c/(s − 1)2 + r1 (s) for
σ> 1 where
r1 (s) = r ′
0 (s) =
∫ ∞
1
( N (u) − cu )u−s−1 du − s
∫ ∞
1
( N (u) − cu )(log u)u−s−1 du .
If (8.46) holds with γ> 2, then
∫∞
1 |N (u) − cu |(log u)u−2 du < ∞ and then
r1 (s) is continuous in the closed half-plane σ ≥ 1. When γ is smaller, however,
the situation is more delicate. From now on we assume, as we may , that 3 /2 <
γ ≤ 2. Since
∫ ∞
2
(log u)1−γu−σ du =
∫ ∞
log 2
v1−γe−(σ−1)v d v
= (σ − 1)γ−2
∫ ∞
(σ−1) log 2
u1−γe−u du
≪ (σ − 1)− 1
2 +η,
where η = η(γ) > 0, from (8.46) we deduce that r1 (s) ≪ (σ − 1)− 1
2 +η uni-
formly for σ> 1. Consequently , if t is fixed, t ̸=0, then
ζP(σ + it ) − ζP(1 + it ) =
∫ σ
1
ζ′
P(α + it ) d α ≪ (σ − 1)
1
2 +η (8.48)
for σ> 1, σ near 1.
Next we use the above estimate to show that
ζP(1 + it ) ̸=0 (8.49)
when t is real, t ̸=0. By mimicking the proof of the usual Euler product formula
for ζ(s), we see that
ζP(s) =
∏
p∈P
(1 − p−s )−1
for σ> 1. This product is absolutely convergent, and each factor is non-zero,
so ζP(s) ̸=0 for σ> 1, and indeed we may write
log ζP(s) =
∑
p∈P
∞∑
r =1
1
r p−rs . (8.50)
Instead of the cosine polynomial 3 + 4 cos θ + cos 2 θ used in Chapter 6, we
must now employ a non-negative cosine polynomial a0 + ∑ K
k=1 ak cos kθ for
which the ratio a1 /a0 is larger. As we observed in Section 6.1, it is always the | {
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270 Further discussion of the Prime Number Theorem
case that a1 < 2a0 , but we can make a1 as close to 2 a0 as we wish by using the
Fej´ er kernel/Delta1 K (θ) with K large, since
/Delta1 K (θ) = 1 + 2
K∑
k=1
(
1 − k
K
)
cos 2 πkθ = 1
K
(sin πK θ
sin πθ
)2
≥ 0.
Hence if σ> 1, then
K∏
k=−K
ζP(σ + ikt )(1−|k|/K ) = exp
(∑
p∈P
∞∑
r =1
1
rp r σ
K∑
k=−K
(1 −| k|/K ) p−irkt
)
= exp
(∑
p∈P
∞∑
r =1
1
rp r σ /Delta1 K (rt (log p)/(2π))
)
.
Now ζP(σ − it ) = ζP(σ + it ), so that |ζP(σ − it )|=| ζP(σ + it )|. Also,
/Delta1 K (θ) ≥ 0 for all θ. Hence from the above we see that
ζP(σ)
K∏
k=1
|ζP(σ + ikt )|2(1−k/K ) ≥ 1.
Suppose that t is a fixed, non-zero real number. As σ tends to 1 from above,
the numbers |ζP(σ + ikt )| tend to finite limits, and ζP(σ) ≍ 1/(σ − 1). Thus
|ζP(σ + it )|≫ (σ − 1)
K
2(K −1)
as σ → 1+. Here the implicit constant may depend not only on P but also on
t . Suppose now that ζP(1 + it ) = 0. Then from (8.48) we have ζP(σ + it ) ≪
(σ − 1)
1
2 +η as σ → 1+. This contradicts the lower bound above if K is large
enough, say K > 1 + 1
2η. Hence ζ(1 + it ) ̸=0, as desired.
For n ∈ N let /Lambda1 (n) = log p if n = pr and p ∈ P, /Lambda1 (n) = 0 otherwise. On
differentiating (8.50) we see that
− ζ′
P
ζP
(s) =
∑
n∈N
/Lambda1 (n)n−s
for σ> 1. Set
S(x ) =
∑
n∈N
n≤x
/Lambda1 (n).
Suppose for the moment that γ> 2. Then r0 (s) and r1 (s) are both continuous
in the closed half-plane σ ≥ 1, and then
− ζ′
P
ζP
(s) = 1
s − 1 + r (s)
where
r (s) =− r0 (s) + (s − 1)r1 (s)
(s − 1)ζP(s) | {
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8.4 Beurling’s generalized prime numbers 271
is continuous in the closed half-plane σ ≥ 1. Then by the Wiener–Ikehara
theorem it follows that S(x ) ∼ x as x →∞ . Under the weaker hypothesis that
3/2 <γ ≤ 2 we are no longer able to guarantee that r1 (s) is continuous, but
by Plancherel’s identity it is bounded in mean-square. Thus, below , we follow
the lines of the proof of the Wiener–Ikehara theorem, but with an appeal to
Plancherel’s identity where continuity had sufficed before.
Suppose that δ> 0, that T is a large positive number, and that E (u) is defined
as in Lemma 8.5. Then∑
n∈N
n≤x
/Lambda1 (n)n−δ = x
∑
n∈N
/Lambda1 (n)n−1−δE (log n − log x )
which by Lemma 8.5 is
≤ x
∑
n∈N
/Lambda1 (n)n−1−δ f+(log n − log x )
≤ x
∑
n∈N
/Lambda1 (n)n−1−δ
∫ T
−T
ˆf +(t )
(x
n
)−2πit
dt
=− x
∫ T
−T
ˆf +(t )x −2πit ζ′
P
ζP
(1 + δ − 2πit ) dt . (8.51)
As for the main term, we note that similarly
∫ ∞
1
u−1−δ f+(log u − log x ) du =
∫ ∞
1
u−1−δ
∫ T
−T
ˆf +(t )
(x
u
)−2πit
du dt
=
∫ T
−T
ˆf +(t )x −2πit
∫ ∞
1
u−1−δ+2πit du dt
=
∫ T
−T
ˆf +(t )x −2πit 1
δ − 2πit dt .
W e multiply both sides of this by x and combine with (8.51) to see that
∑
n∈N
n≤x
/Lambda1 (n)n−δ ≤ x
∫ ∞
1
u−1−δ f+(log u − log x ) du
(8.52)
+ x
∫ T
−T
ˆf +(t )x −2πit
(
− ζ′
P
ζP
(1 + δ − 2πit ) − 1
δ − 2πit
)
dt .
By using our formulæ for ri (s) in terms of integrals we see that we may write
r1 (s) = r ′
0 (s) =− sJ (s) + r0 (s) − c
s
where
J (s) =
∫ ∞
1
( N (u) − cu ) (log u)u−s−1 du , | {
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272 Further discussion of the Prime Number Theorem
and
−ζ′
P(s) = c
(s − 1)2 − r0 (s) − c
s + sJ (s).
Thus
− ζ′
P
ζP
(s) − 1
s − 1 = c(s − 1) + (1 − 2s)r0 (s)
s(s − 1)ζP(s) + s
ζP(s) J (s)
and by splitting the integral at X , where X is a large parameter we have
− ζ′
P
ζP
(s) − 1
s − 1 = C (s) + R(s)
where
R(s) =
∫ ∞
X
( N (u) − cu ) (log u)u−s−1 du
and C (s) is continuous for σ ≥ 1. W e consider first the contribution of the
remainder R(s) to (8.52). By the Cauchy–Schwartz inequality we see that
⏐
⏐
⏐
⏐
∫ T
−T
ˆf +(t )x −2πit R(1 + δ − 2πit ) dt
⏐
⏐
⏐
⏐
2
(8.53)
≤
∫ T
−T
⏐
⏐
⏐ˆf +(t ) 1 + δ − 2πit
ζP(1 + δ − 2πit )
⏐
⏐
⏐
2
dt
∫ T
−T
⏐
⏐
⏐
∫ ∞
X
( N (u) − cu )(log u)
u2+δ−2πit du
⏐
⏐
⏐
2
dt .
In Theorem 5.4 we take σ = 1 + δ and w(u) = ( N (u) − cu ) log u for u ≥ X ,
w(u) = 0 otherwise. Thus we see that
∫ ∞
−∞
⏐
⏐
⏐
⏐
∫ ∞
X
( N (u) − cu )(log u)u−2−δ+2πit du
⏐
⏐
⏐
⏐
2
dt
=
∫ ∞
X
( N (u) − cu )2 (log u)2 u−3−2δ du ,
which by (8.46) is
≪
∫ ∞
X
u−1 (log u)2−2γ du ≪γ (log X )3−2γ
uniformly for δ> 0. The first integral on the right-hand side of (8.53) is also
uniformly bounded as δ tends to 0, since ζP(1 + it ) ̸=0. Thus the contribution
of R(s) to (8.52) is ≪γ (log X )3/2−γ, uniformly for δ> 0. Hence if we let δ
tend to 0 from above in (8.52), and divide through by x , we find that
S(x )
x ≤
∫ ∞
1
u−1 f+(log u − log x ) du +
∫ T
−T
ˆf +(t )x −2πit C (1 − 2πit ) dt
+ Oγ
(
(log X )3/2−γ)
. | {
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8.4 Beurling’s generalized prime numbers 273
As x tends to infinity , the first integral on the right tends to
∫∞
−∞ f+(v) d v. Since
ˆf +(t )C (1 − 2πit ) is a continuous function of t , by the Riemann–Lebesgue
lemma the second integral on the right tends to 0 as x tends to infinity . Hence
lim sup
x →∞
S(x )
x ≤
∫ ∞
−∞
f+(v) d v + Oγ
(
(log X )3/2−γ)
.
By Lemma 8.5 we know that the integral on the right is < 1 + ε if T is suffi-
ciently large. Since X may also be taken arbitrarily large, we conclude that the
limsup above is ≤ 1. By a similar argument with f+ replaced by f−, we find
that the corresponding liminf is ≥ 1, so we have the generalized Prime Number
Theorem in the form S(x ) ∼ x . By integrating by parts we obtain the desired
relation (8.47). □
W e now show that the exponent 3 /2 is critical in Beurling’s theorem.
Theorem 8.11 The primes P can be chosen in such a way that (8.46) holds
with γ = 3/2 but (8.47) fails.
The general idea is that if ζP(s) has a simple pole at s = 1 and zeros of
multiplicity 1 /2a t1 ± ia , say
ζP(s) = (s − 1 − ia )1/2 (s − 1 + ia )1/2
s − 1 H (s) (8.54)
where H (s) is analytic for σ>θ , θ< 1, then we can express N (x ) by Perron’s
formula applied to ζP(s). After moving the contour to the left, we would find
that the residue at s = 1 gives rise to the main term cx , and the loop of contour
around the branch points at 1 ± ia give oscillatory terms of size x /(log x )3/2 .
On the other hand,
− ζ′
P
ζP
(s) = 1
s − 1 − 1
2(s − 1 − ia ) − 1
2(s − 1 + ia ) − H ′
H (s),
which suggests that S is approximately
x − x 1+ia
2(1 + ia ) − x 1−ia
2(1 − ia ) .
This is of the order of magnitude x but not asymptotic to x . It is of course essen-
tial that the above main term should be increasing; we note that its derivative is
1− cos(a log x ) ≥ 0. For a rigorous construction we begin by defining primes
so that S(x ) approximates this main term, and then we show that the resulting
ζP(s) satisfies (8.54).
Proof Let a be a fixed positive real number, and set
f (x ) =
∫ x
1
1 − cos(a log u)
log u du . | {
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274 Further discussion of the Prime Number Theorem
W e note that this function is increasing and tends to infinity with x . Hence for
each positive integer j there is a unique real number p j such that f ( p j ) = j .I f
p j ≤ x < p j +1 , then P (x ) = j and j ≤ f (x ) < j + 1; hence P (x ) = [ f (x )].
By integration by parts we see that
∫ x
2
ui α
log u du = x 1+i α
(1 + i α) log x + O
( x
(log x )2
)
.
By taking α =− a,0,a, and combining, we see that
f (x ) =
(
1 − x ia
2(1 + ia ) − x −ia
2(1 − ia )
) x
log x + O
( x
(log x )2
)
,
and consequently
lim inf
x →∞
P (x )
x /log x = 1 − 1√
1 + a2 , lim sup
x →∞
P (x )
x /log x = 1 + 1√
1 + a2 .
Clearly
∑
p∈ P
p≤x
log p =
∫ x
1
log ud [ f (u)]
=
∫ x
1
log udf (u) −
∫ x
1
log ud { f (u)}
=
∫ x
1
1 − cos(a log u) du −
[
{ f (u)} log u
⏐
⏐
⏐
x
1
+
∫ x
1
{ f (u)}
u du
= x − x 1+ia
2(1 + ia ) − x 1−ia
2(1 − ia ) + O (log x ),
and hence
S(x ) = x − x 1+ia
2(1 + ia ) − x 1−ia
2(1 − ia ) + O
(
x 1/2 )
.
Let r (x ) denote this last error term. Then for σ> 1,
− ζ′
P
ζP
(s) =
∫ ∞
1
u−s dS (u)
= 1
s − 1 − 1
2(s − 1 − ia ) − 1
2(s − 1 + ia ) + g(s)
where g(s) is analytic for σ> 1/2. Hence
log ζP(s) =− log(s − 1) + 1
2 log(s − 1 − ia ) + 1
2 log(s − 1 + ia ) + G (s)
where G ′(s) =− g(s), and so we have (8.54) with H (s) = eG (s) .
T o complete the proof we need not only (8.54) but also an estimate of the
size of ζP(s) when σ< 1. T o this end we mimic the approach used to estimate | {
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8.4 Beurling’s generalized prime numbers 275
1/ζ(s) in Theorem 6.7. Since P (x ) ≪ x /log x it follows that log ζP(1 + δ +
it ) ≪ log 1 /δuniformly for 0 <δ ≤ 1/2. If t ≥ 4 + a and 1 − 1/log t ≤ σ ≤
1 + 1/log t , then
− ζ′
P
ζP
(s) =
∑
n≤t 2
n∈N
/Lambda1 (n)n−s +
∫ ∞
t 2
u−s dS (u).
Here the sum is
≪
∑
n≤t 2
n∈N
/Lambda1 (n)
n ≪ log t ,
and the integral is
t 2(1−s)
s − 1 − t 2(1+ia −s)
2(s − 1 − ia ) − t 2(1−ia −s)
2(s − 1 + ia ) − r (t 2 )
t 2s + s
∫ ∞
t 2
r (u)u−s−1 du ≪ 1,
so that
log ζP(s) =−
∫ 1+1/log t
σ
ζ′
P
ζP
(α + it )d α + log ζP(1 + 1/log t + it )
≪ 1 + log log t
for σ ≥ 1 − 1/log t . Hence there is a constant A such that ζP(s) ≪ (log t ) A for
σ ≥ 1 − 1/log t , t ≥ 4 + a.
W e now estimate N (x ) by taking an inverse Mellin transform of ζP(s).
However, the truncated Perron formula (Corollary 5.3) is not so useful since
we lack information concerning the number of generalized integers in a short
interval. T o avoid this difficulty we use Ces` aro weights as discussed in Section
5.1, by means of which we see that ifb > 1 and h > 0, then
1
2πih
∫ b+i ∞
b−i ∞
ζP(s) (x + h)s+1 − x s+1
s(s + 1) ds =
∑
n∈N
w+(n)
where
w+(u) =
⎧
⎨
⎩
1( u ≤ x ),
(x + h − u)/h (x < u ≤ x + h),
0( u > x + h).
W e now pull the contour to the left. In view of (8.54), at s = 1 we encounter a
simple pole with residue c(x + h/2) where c = aH (1). Because of the branch
points at 1 ± ia , we slit the plane by the segments σ ± ia for −∞ <σ ≤ 1.
Our contour follows the upper and lower sides of these segments; the integral
along these loops is≪
∫1
−∞(x + h)σ(1 − σ)1/2 d σ ≪ x /(log x )3/2 . By taking | {
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276 Further discussion of the Prime Number Theorem
more care, and using Theorem C.3, we could obtain oscillatory main terms of
this order of magnitude. On the rest of the contour we estimate the integral as
in the proof of the Prime Number Theorem, and thus we see that
N (x ) ≤
∑
n∈N
w+(n) = cx + 1
2 ch + O
( x
(log x )3/2
)
+ O
(x 2
h exp
(
− C
√
log x
))
.
On taking h = x /(log x )2 we obtain an upper bound of the desired type. T o
obtain a corresponding lower bound we argue similarly from the formula
1
2πih
∫ b+i ∞
b−i ∞
ζP(s) x s+1 − (x − h)s+1
s(s + 1) ds =
∑
n∈N
w−(n)
where
w−(u) =
⎧
⎨
⎩
1( u ≤ x − h),
(x − u)/h (x − h < u ≤ x ),
0( u ≥ x ).
□
8.5 Notes
Section 8.1. Historical accounts of the development of prime number theory
and of the various proofs of the Prime Number Theorem have been given
by Bateman & Diamond (1996), Narkiewicz (2000), and by Schwarz (1994).
Axer’s theorem originates in Axer (1911). The definitive account of Axer’s
theorem is that of Landau (1912).
Section 8.2. In former times, an argument was considered to be ‘non-
elementary’ if it involved Cauchy’s theorem or Fourier inversion. Prior to Sel-
berg’s elementary proof of the Prime Number Theorem, a distinction was drawn
between those results that could be obtained by elementary arguments, and those
that could not. Selberg’s elementary proof rendered the terminology nugatory .
Theorem 8.3 and a deduction of the Prime Number Theorem occur in Selberg
(1949). There are a number of variants of the less than straightforward T auberian
process used in the deduction; see, for example, Erd ˝ os (1949), Wright (1952),
and Levinson (1969). For a historical review of elementary proofs of the Prime
Number Theorem see Goldfeld (2004).
Quantitative estimates of the form
π(x ) = li(x )(1 + O ((log x )−a ))
have been derived by elementary methods. van der Corput (1956) obtained
a = 1/200, Kuhn (1955) obtained a = 1/10, Breusch a = 1/6 − ε, and | {
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8.5 Notes 277
Wirsing (1962) a = 3/4. Then Bombieri (1962a,b) and Wirsing (1964) showed
that the above is true for any fixed positive a. Subsequently , elementary tech-
niques have been used to show that
π(x ) = li(x ) + O (x exp(−c(log x )−b ))
for various values of b. Diamond & Steinig (1970) obtained b = 1/7 − ε, Lavrik
& Sobirov (1973) b = 1/6 − ε, and Srinivasan & Sampath (1988) b = 1/6.
Although the estimates obtained by elementary methods have thus far been
weaker than those derived by analytic means, we have no reason to believe that
this will always be the case.
Section 8.3. The theorem of Ikehara (1931) represented a major advance,
because it gave for the first time a T auberian theorem that could be used to
prove the Prime Number Theorem without imposing growth conditions on the
Dirichlet series generating function. Ikehara assumed thatα(s) − c/(s − 1) is
analytic in the closed half-plane σ ≥ 1. Wiener (1932) showed that mere conti-
nuity is enough, but this is of lesser significance, since still weaker hypotheses
are sufficient – see Korevaar (2006).
The heart of the Wiener–Ikehara proof of the Prime Number Theorem is
Lemma 8.5, which has the effect of enabling one to reduce directly to a use
of the Riemann–Lebesgue lemma on a finite section of the lineℜs = 1. In the
proof of Lemma 8.5 we see that it suffices to take T = C /ε, and from Exercise
8.3.5 we see that it is necessary to take T ≥ 1/(2ε) + O (1). Graham & V aaler
(1981) have shown that f+ and f− can be constructed so that equality is achieved
in Exercise 8.3.5(e),(g).
Lemma 8.5, with T small and ε large, is also useful for proving interesting
theorems of Fatou and Riesz. Fatou (1906) showed that if an = o(1), then the
series f (z) = ∑ an zn converges at any point of the circle |z|= 1 at which f is
analytic. Landau (1910, Section 10) gives Riesz’s proof that if ∑
n≤x an = o(x ),
then the Dirichlet series α(s) = ∑ an n−s converges at every point of the line
σ = 1 at which α(s) is analytic. Riesz (1916) extended this to generalized
Dirichlet series.
For detailed discussion of Wiener’s T auberian theorem, the Ikehara theorem,
and T auberian theorems associated with the elementary proof of the Prime
Number Theorem see Pitt (1958).
Section 8.4. The concept of generalized primes are introduced in Beurling
(1937). The hypothesis of Theorem 8.10 can be weakened: Kahane (1997) has
shown that if∫ ∞
1
( N (x ) − cx )2 x −3 (log x )2 dx < ∞,
then (8.47) still follows. | {
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278 Further discussion of the Prime Number Theorem
Theorem 8.11 is due to Diamond (1970b). Diamond (1973) also showed
that if (8.46) holds with γ> 1, then one has an estimate P (x ) ≪ x /log x of
the Chebyshev kind. Zhang (1993) showed that the hypothesis here can be
weakened to
∫ ∞
1
sup
y≤x
|N ( y) − cy |
y
dx
x < ∞ .
In the negative direction, Hall (1973) showed that if γ< 1, then the hypothesis
(8.46) is not sufficient to imply a Chebyshev estimate. Also, Kahane (1998) has
shown that the hypothesis
∫ ∞
1
|N (x ) − cx |
x 2 dx < ∞
does not imply a Chebyshev estimate. Zhang (1987b) has shown that if (8.46)
holds withγ> 1, then
∑
n≤x
n∈N
µ(n) = o(x ) .
In the classical context, the above is equivalent – by Axer’s theorem – to the
Prime Number Theorem. However, in the Beurling situation, if 1<γ ≤ 3/2,
the above holds but PNT may fail.
Nyman (1949) showed that if (8.46) holds for all γ (with the implicit con-
stant depending on γ), then P (x ) = li(x ) + Oc (x /(log x )c ) for all c. Malliavin
(1961) showed that if N (x ) = cx + O (x exp(−(log x )a )) where 0 < a < 1,
then π(x ) = li(x ) + O (x exp(−(log x )b )) with b = a/10. Both these authors
proved converse theorems in which an estimate for P (x ) is used to estab-
lish a corresponding estimate for N (x ), but those results have since been
sharpened by Diamond (1970a). It is now known that the method of Lan-
dau, in which one starts from (8.45) to derive the indicated error term, is
sharp: Diamond, Montgomery & V orhauer (2006) have shown that ifθ is given,
1/2 <θ< 1, then there exists a Beurling system for which (8.45) holds, but
P (x ) − li(x ) = /Omega1 ±(x exp(−c√
log x )).
Some of the ideas and themes developed in connection with the Prime Num-
ber Theorem have had ramifications in surprisingly diverse areas. See, for exam-
ple, Hejhal’s expositions (1976, 1983) of Selberg’s trace formula forPSL (2,R),
and the monograph of Parry & Pollicott (1990) on the periodic orbit structure
of hyperbolic dynamics.
Some writers avoid the term ‘Beurling’, and instead discuss ‘arithmetic
semigroups’. The mathematics is the same in either case. For more on this topic
see Bateman & Diamond (1969), and Knopfmacher (1990). | {
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8.6 References 279
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374–384. | {
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280 Further discussion of the Prime Number Theorem
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Subsets and Splits