Chapter 6: The metric space M (G) and normal families

Course 414, 200304

March 29, 2004

Remark 6.1 For G C open, we recall the notation M (G) for the set (algebra) of all mero-
morphic functions on G. We now consider convergence in M (G) is a way analogous to what we
did for H(G) in Chapter 5.
Before we do that, we explain how meromorphic functions on G can be regarded as functions
or maps from G to an extended complex plane C {} with one extra point at infinity added.
While the process of adding a point at infinity can be carried out very abstractly (Alexan-
droff one point compactification of a locally compact topological space), for the complex plane
we can visualise it rather geometrically via stereographic projection.

Stereographic Projection 6.2 There is a transformation which maps the complex plane C bi-
jectively to a sphere in R3 with one point removed. To explain it we consider C as embedded in
space R3 in the most obvious way:

z = x + iy C 7 (x, y, 0) R3 (x, y R)

and we consider the unit sphere S 2 in R3

S 2 = {(, , ) R3 : ||2 + ||2 + ||2 = 1}.

The North Pole of the sphere (0, 0, 1) will be a special point in our discussion and we sometimes
write N P for (0, 0, 1).
Define a mapping
P : C S2

by the geometrical rules that P (z) is the point (other than the North Pole N P) where the line
joining N P to z = (x, y, 0) intersects S 2 . This map P is called stereographic projection.
From a picture you can see that if |z| > 1, then P (z) is on the upper hemisphere. If |z| = 1,
then P (z) will be the same as z or (x, y, 0) while for |z| < 1, P (z) will be in the lower
hemisphere.

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414 200304 R. Timoney

P (z)

z
z

P (z)

Proposition 6.3 The stereographic projection map P : C S 2 \ {N P} = S 2 \ {(0, 0, 1)} is a

bijection and is given by
x2 + y 2 1
 
2x 2y
P (z) = P (x + iy) = , , . (1)
x2 + y 2 + 1 x2 + y 2 + 1 x2 + y 2 + 1
The inverse map is  
1
P (, , ) = , ,0 (2)
1 1
Proof. The line in R3 we used to define P has parametric equations
(, , ) = (0, 0, 1) + t((x, y, 0) (0, 0, 1)) = (tx, ty, 1 t)
and this meets S 2 at the values of t where
2 + 2 + 2 = 1
t2 x2 + t2 y 2 + (1 t)2 = 1
t2 x2 + t2 y 2 + 1 2t + t2 = 1
t2 (x2 + y 2 + 1) 2t = 0
t(t(x2 + y 2 + 1) 2) = 0
and so where t = 0 (the North Pole N P) and where t = 2/(x2 + y 2 + 1). This must be the value
of t for the point P (z), and so
 
2x 2y 2
P (z) = , ,1 2
x2 + y 2 + 1 x2 + y 2 + 1 x + y2 + 1
x2 + y 2 1
 
2x 2y
= , , .
x2 + y 2 + 1 x2 + y 2 + 1 x2 + y 2 + 1
One can check in a straightforward way that the map Q : S 2 \ {N P} C given by
 

Q(, , ) = , ,0
1 1
is the inverse by verifying Q P = idC and P Q = id are both identity maps.
Chapter 6 the metric space M (G) and normal families 3

Definition 6.4 The extended complex plane C defined as the complex plane C with one extra
point, denoted , adjoined.
If P () is defined to be the North Pole N P = (0, 0, 1) in S 2 , then stereographic projection
P: C S 2 is a bijection.
which we can identify with S 2 via the stereographic projection map P )
The sphere S 2 (or C
is called the Riemann sphere.
For z, w C we introduce a notation (z, w) for the Euclidean distance between P (z) and
P (w). (This means the straight line distance in R3 , as opposed to the length of the shortest path
on the sphere.) is called the chordal distance or chordal metric on the Riemann sphere.
Lemma 6.5 For z, w C,
2|z w|
(z, w) = p
(1 + |z|2 )(1 + |w|2 )
2
(z, ) = p
(1 + |z|2 )
Also if z, w are not zero
 
1 1
, = (z, w)
z w
 
1
, = (z, 0)
z
Proof. We have
x2 + y 2 1
 
2x 2y
P (x + iy) = , ,
x2 + y 2 + 1 x2 + y 2 + 1 x2 + y 2 + 1
and we want to compute
kP (x + iy) P (r + is)k
Observe that for unit vectors v, w R3
kv wk2 = (v w).(v w) = kvk2 + kwk2 2v.w = 2 2v.w
and so
kP (x + iy) P (r + is)k2 (x2 + y 2 + 1)(r2 + s2 + 1)
= 2 (x2 + y 2 + 1)(r2 + s2 + 1) (4xr + 4ys + (x2 + y 2 1)(r2 + s2 1))
 

= 2[(x2 + y 2 )(r2 + s2 ) + (r2 + s2 ) + (x2 + y 2 ) + 1

4(xr + ys) (x2 + y 2 )(r2 + s2 ) + (r2 + s2 ) + (x2 + y 2 ) 1]
= 2 2(x2 + y 2 ) + 2(r2 + s2 ) 4(xr + ys)
 

= 4[(x2 2xr + r2 ) + (y 2 2ys + s2 )]

= 4[(x r)2 + (y s)2 ]
= 4|(x + iy) (r + is)|2
4 414 200304 R. Timoney

Thus
(z, w)2 (|z|2 + 1)(|w|2 + 1) = 4|z w|2
and the formula for (z, w) is as claimed.
All the other statements in the proposition are quite easy to check.
(z, )2 = kP (x + iy) (0, 0, 1)k2
 2 2
 2
2x 2y x + y 1
= x2 + y 2 + 1 , x2 + y 2 + 1 , x2 + y 2 + 1 1

  2
2x 2y 2
= 2

2
, 2 2
, 2 2

x +y +1 x +y +1 x +y +1
1
= (4x2 + 4y 2 + 4)
(x + y 2 + 1)2
2
!2
4 4 2
= 2 = 2 = p
x + y2 + 1 |z| + 1 1 + |z|2
 
2  z1 w1 
 
1 1 2|w z|
, = r =p = (z, w)
z w   
(|z|2 + 1)(|w|2 + 1)
1 + |z|12 1 + |w|1 2
p
where we multiplied above and below by |zw| = |z|2 |w|2 . Finally,
 
1 2 2|z|
, = r =p = (z, 0).
z  1 2
 
(|z|2 + 1)
1+ z

Remark 6.6 Now (C, ) is a metric space (in fact the same as the sphere S 2 in R3 with the

subset metric, or the distance from R3 restricted to S 2 ) and so we can look at open balls in C,
2 2
open sets in C , limits of sequences in C , continuous functions and so on.
is open in the metric space (C,
Proposition 6.7 A subset U C ) is satisfies both

(i) U C is open (in C in the usual sense)

(ii) if U then there is some r > 0 so that
{z C : |z| > r} U

Proof. Note that the map P |C : C S 2 \ {N P} is continuous because the formula (1) for P
then P (U ) is
in Proposition 6.3 is clearly continuous from R2 to R3 . Hence if U is open in C
2 2
open in S (because the metrics on C and S are copies of one another) and the inverse image
(P |C )1 (P (U )) = U C is therefore open in C. If U (U C open), then U contains a
ball of some positive radius > 0 about . That is
: (, z) < } U.
B (, ) = {z C
Chapter 6 the metric space M (G) and normal families 5

Assuming < 2 (we can make smaller if necessary) we have for z C

r
2 4 4
(, z) = p < 1 + |z|2 > 2 |z| > 1
1 + |z|2 2

and so with r = (1/) 4 2 we have

{z C : |z| > r} U

This was under the assumption U C open.

Conversely assume U C satisfies the two conditions. The second condition tells us that
is an interior point of U if it is in U at all.

U and {z C : |z| > r} U B (, ) U

with = 2/ 1 + r2 .
The first condition U C open in C plus continuity of P 1 : S 2 \ {N P} C (which is clear
from the formula (2) in Proposition 6.3) implies that

(P 1 )1 (U C) = P (U C)

is open in S 2 \ {N P}. It follows that every point of P (U C) is an interior point relative to S 2

and so (since P transforms the distance to the distances on S 2 ) all points of U C are interior
)).
points (with respect to (C,

is a function, then we say that f is analytic if it

Definition 6.8 If G C is open and f : G C
satisfies
));
(a) f it is continuous (from G with its usual metric to (C,

(b)
f |f 1 (C) : f 1 (C) C
is analytic (in the usual sense); [Note that f 1 (C) is open in G by continuity of f , hence
f 1 (C) is open in C and so there is no problem looking at analyticity of this function.]
and
1 \ {0} is analytic when we define 1/f (z) = 0 at points
(c) the restriction of to f 1 (C)
f (z)
where f (z) = .

Note that 1/f (z) is continuous because of Lemma 6.5 and so the third condition means that
f and 1/f are treated equally.
A reasonable way to look at it is that the two maps z C \ {} = C 7 z C and
wC \ {0} 7 1/w C (with 1/ interpreted as 0) are two coordinate charts on C. In this
6 414 200304 R. Timoney

way we can regard C as a 2-dimensional manifold1 . Because the transition from coordinate z to

coordinate w is given by an analytic transition function w = 1/z on the intersection C(C\{0})
where both coordinates can be used, and the opposite w 7 z = 1/w is also analytic, we say
is a complex analytic manifold (of complex dimension 1, and these are actually called
that C
Riemann surfaces).
A map f with values in a complex manifold is analytic if f is continuous and each coordinate
map composed with f is analytic (on the open set where it makes sense). Our definition of
f: G C analytic fits the pattern that is used for maps with values in a general Riemann
surface.

Proposition 6.9 If G C is open and connected and f : G C is analytic but not identically
1
, then the points of f () are isolated in G.
That is z0 f 1 () implies there is a punctured disc D(z0 , r) \ {z0 } G \ f 1 ().

Proof. Note that f 1 (C \ {0}) is open and 1/f is analytic there. If z0 f 1 (), then z0

f 1 (C\{0})
and so there is r > 0 with D(z0 , r) f 1 (C\{0}) and 1/f is analytic on D(z0 , r).
Notice 1/f (z0 ) = 1/ = 0. If z0 is not an isolated point of f 1 () then z0 is not an isolated
zero of 1/f in D(z0 , r). Then 1/f is identically 0 on D(z0 , r) by the identity theorem for analytic
function, and in fact 1/f is identically 0 on the connected component of z0 in f 1 (C \ {0}). Call
this connected component G0 . Then f on G0 and (because connected components are open
and closed) G0 is open in f 1 (C \ {0}), hence in G.
But G0 is also closed in G because if (zn )n=1 is a sequence in G0 converging to a limit z G,
then continuity of f implies f (z) = limn f (zn ) = . So z f 1 (C \ {0}). Since G0 is
\ {0}) (being a connected component), we have z G0 .
closed in f 1 (C
Thus z0 G0 G is open in G, closed in G and nonempty. As G is connected, G0 = G and
so f . But this contradicts the assumptions.

Theorem 6.10 If G C is open and f is a meromorphic function on G, then we can define an

analytic C-valued be setting f (z) = at poles of f .
function f : G C
Conversely, if G C is open and connected and f : G C is analytic but not identically
, then f is a meromorphic function on G with poles at the points in f 1 ().

Proof. Starting with f meromorphic on G, we have an open set G0 G on which f is analytic

(in the usual sense with finite values) and so that each point of G \ G0 is a pole of f . If we define
f (z) = for each z G \ G0 , then f : G C will be continuous.
To verify continuity at points z0 G where f (z0 ) C is finite (so that z0 G0 ) use
limzz0 f (z) = f (z0 ) (or limzz0 |f (z) f (z0 )| = 0) to deduce

2|f (z) f (z0 )|

lim (f (z), f (z0 )) = lim p = 0.
zz0 zz0 (1 + |f (z)|2 )(1 + |f (z0 )|2
1
a metric space or topological space where in an open set around each point there is a coordinate system that
identifies it with an open piece of R2 ; we assume the coordinate functions are continuous from their domain to their
range in R2 and have continuous inverses; usually we also make the slightly technical assumption that there is a
countable dense subset in a manifold (or that the topology is second countable if we dont use a metric)
Chapter 6 the metric space M (G) and normal families 7

At poles z0 we know limzz0 |f (z)| = and so

2
lim (f (z), f (z0 )) = lim (f (z), ) = lim p =0
zz0 zz0 zz0 1 + |f (z)|2

Hence f : G C is continuous.
1
As f (C) is the complement of the poles of f in G, we know that the restriction of f to
1
f (C) is analytic. Since 1/f is meromorphic on each connected component of G unless f 0
\ {0}.
on the component (by Corollary 4.25) we can also see that 1/f is analytic on the set f 1 (C

Hence f : G C is analytic.
For the converse, if G is connected, f : G C is analytic but f 6 , then the points of
f () are isolated in G by Proposition 6.9. Thus f is analytic on H = f 1 (C), the points of
1

G \ H = f 1 () are isolated in G and at points z0 G \ H

2
0 = lim (f (z), f (z0 )) = lim (f (z), ) = lim p
zz0 zz0 zz0 1 + |f (z)|2

implies limzz0 |f (z)| = . Thus z0 is a pole of f by Proposition 4.16.

Remark 6.11 We now extend the notion of analyticity one step further to functions defined on
(and still allowing values in the extended complex plane).
(open subsets of) C
is open we say that a function f : G C
Definition 6.12 If G C is analytic if
with the metric )
(i) f is continuous (from G with the metric to C

(ii) f is analytic on G C

(iii) g(z) = f (1/z) is analytic on {z C : 1/z G} (we include z = 0 if G and g(0)

means f () in that case).
are analytic according to Definition 6.8
Lemma 6.13 If G C, the same functions f : G C
and Definition 6.12.

Proof. The type of continuity required in each case is different, as in one case we consider G
with the usual metric on C while in the other we use the metric . However, the open subsets
V G are the same in either case by Proposition 6.7. Thus looking at continuity in the form
U C open f 1 (U ) G open, we can see that the continuity requirements are equivalent.
The rest of the proof is straightforward.

Example 6.14 All rational functions

p(z)
r(z) =
q(z)
C.
(with p, q polynomials and q 6 0) are analytic r : C
8 414 200304 R. Timoney

Proof. By the Fundamental theorem of algebra, we can factor p and q and cancel common factors
to write Qj
(z i )
r(z) = Qi=1
k
i=1 (z i )

where j 0, k 0 and {1 , 2 , . . . , j } {1 , 2 , . . . , k } = .
It follows that r(z) is meromorphic on C with poles at z = i (1 i k). When suitably
interpreted at z = i , r(z) therefore becomes analytic r : C C. r(1/z) is also rational and so
there is a suitable value for r(1/0) = r() to make g(z) = r(1/z) analytic g : C C. One can
C
verify that r : C is continuous.

Remark 6.15 It is in fact the case that rational functions and the constant are the only analytic
functions f : C C. The first step of the proof is to observe that f 1 () cannot be an infinite
set if f is not identically .
Proof. As C is compact, an infinite number of distinct points zn C would have to have a
convergent subsequence. If the limit was in C, we would have a contradiction to Proposition 6.9.
If the limit was , we can switch that to 0 by looking at f (1/z) instead.
For each of points a C with f (a) = , we have a pole of the meromorphic function on C.
Hence a Laurent series about a with a finite number of negative terms

X
f (z) = an (z a)n (0 < |z a| < )
n=p

We call the sum of the negative terms the principal part of f at a and write it as
1
X
Pf,a (z) = an (z a)n
n=p

The sum of the principal parts of f at the (finitely many) points a C where f (a) = produces
a rational function r(z). Subtracting from f , gives f (z) r(z) analytic at all points of C. Hence
it has a power series about the origin. As f (1/z) r(1/z) has a pole or a removable singularity
at z = 0, it follows (as in Remark 4.18) that f (z) r(z) = p(z) = a polynomial. Hence
f (z) = r(z) + p(z) is rational.

Remark 6.16 We now describe the version of convergence appropriate for C-valued analytic
functions.

Definition 6.17 For G C is open we let C(G, C) = the set of all continuous functions : G
and H(G, C)
C, the analytic (or holomorphic) functions. A sequence (fn ) in C(G, C) is said
n=1
to converge uniformly with respect to on compact subsets of G if for each K G compact we
have
lim sup (fn (z), f (z)) = 0
n zK
Chapter 6 the metric space M (G) and normal families 9

Lemma 6.18 If (fn )

n=1 is a sequence in C(G, C) that converges uniformly with respect to on
then f C(G, C).
compact subsets of G to a limit function f : G C,

If (fn )n=1 is a sequence in H(G, C) that converges uniformly with respect to on compact
then f H(G, C).
subsets of G to a limit function f : G C,

Proof. Omitted. The first part is a standard fact from metric space theory. For the second,
analyticity of f at points z0 G where f (z) C is finite can be shown by establishing that for n
large fn has finite values near z0 and fn f uniformly (with respect to absolute value distance)
on some disk about z0 . For points where f (z0 ) = , we can consider 1/fn 1/f .

Proposition 6.19 Let G C be open. There is a metric on C(G, C) so that convergence of

sequences in corresponds to uniform convergence with respect to on compact subsets of G.

Proof. Choose an exhaustive sequence (Kn )

n=1 of compact subsets of G and define

X 1
(f, g) = sup (f (z), g(z))
n=1
2n zKn

The rest is not much different from the earlier case where we constructed on C(G). One
simplification here results from supzKn (f (z), g(z)) 2.

Definition 6.20 Let G C be open. A family F of meromorphic functions on G is called a

normal family if each sequence (fn )
n=1 in F has a subsequence that converges uniformly with
respect to on compact subsets of G to a limit function that is either
a meromorphic f on G, or

the constant function

Proposition 6.21 If G C is connected then a family F of meromorphic functions on G is a

).
normal family F is relatively compact when considered as a subset of (H(G, C),
= the meromorphic functions on G together with
Proof. In the case of G connected H(G, C)
the constant (by Theorem 6.10). Proposition 6.19 implies the result.

Definition 6.22 Let G C be open. A family F C(G, C) is called equicontinuous (with

respect to ) at a point z0 G if for each > 0 it is possible to find > 0 so that

|z z0 | < , f F (f (z), f (z0 )) < .

Theorem 6.23 (version of Ascoli) For G C open, a family F C(G, C) is relatively com-
) if and only if it is equicontinuous at each point of G.
pact in (C(G, C),

Proof. Omitted. It is not so different from the Ascoli theorem we had before (5.20), where we
left the proof to an appendix. The pointwise boundedness condition is not needed now because
is compact.
C
10 414 200304 R. Timoney

Remark 6.24 Montels theorem does not work for meromorphic functions. There is a theorem
for meromorphic functions that takes the place of Montels theorem. It relies on the notion of a
spherical derivative (f ) of a meromorphic function f . At points where f (z) C is finite, the
spherical derivative is
|f 0 (z)|
(f )(z) =
1 + |f (z)|2
and the definition at poles (where f (z) = ) relies on taking reciprocals. When f (z) is neither
0 nor one can see that  
1
(z) = (f )(z)
f
Theorem 6.25 (Marti criterion) If G C is open and connected and F is a family of mero-
morphic functions on G, then F is a normal family if and only if it satisfies

sup sup (f )(z) <

f F zK

for each compact K G.

This means uniform boundedness of the spherical derivative on each compact subset of G.

Proof. Omitted.

Remark 6.26 One application of these ideas (or variants of them) is in the topic of iteration
theory for analytic functions.
C
The most commonly studied case is the situation of rational maps f : C and iteration
means considering the composites

f, f 2 = f f, f 3 = f f 2 , . . .

Slightly more precisely, one considers a point z C and the long term behaviour of the iterated
images
z, f (z), f 2 (z) = f (f (z)), f 3 (z), . . .
and examines whether there is a trend.
The well-behaved set of z (for a given rational f ) is called the Fatou set F (f ) of f . It is
the largest open subset of C on which the family of iterates {f, f 2 , f 3 , . . .} is an equicontinuous
family. This means that a small change in z has a small long term effect on the iterates f n (z).
The Julia set J(f ) is the complement in C of the Fatou set. The Julia set is the bad set
where a small change in z can produce a major change in the behaviour of the sequence f n (z)
of iterates.
One basic theorem is that for polynomials f of degree 2 or more, is in the Fatou set and
the Julia set is not empty. The Mandelbrot set consists of those values of a parameter c C for
which the the Julia set J(pc ) is connected, where pc (z) = z 2 + c.
For lack of time, we wont deal with this topic.

Richard M. Timoney March 29, 2004