5 Morley’s Theorem

5.1 Introduction

The isolation and computation of invariants that determine some mathematical

structures up to isomorphism is a major theme of mathematics. The following
notion provides examples of structures whose isomorphism classes can be
determined by the simplest possible invariants — their size.

Definition 5.1.1. Given an infinite cardinal κ. We say that an L-theory T

is κ-categorical if all models of T of cardinality κ are isomorphic.

We have already encountered several examples of categorical theories:

• The theory of vector spaces over a fixed finite field is κ-categorical for
all κ ¥ ℵ0 .

• The theory of dense linear orders is ℵ0 -categorical but not κ-categorical

for any κ ¥ ℵ1 .

• The theory of algebraically closed fields of fixed characteristic is not

ℵ0 -categorical but κ-categorical for all κ ¥ ℵ1 .

Loś conjectured that these examples already cover all possible constellations
for countable complete theories with infinite models. This conjecture was
verified by Micheal D. Morley. Morely’s proof can be seen as the beginning
of modern model theory.

Theorem 5.1.2 (Morley). Let T be a countable, complete theory with infinite

models. Given some uncountable cardinal κ, the theory T is κ-categorical if
and only if it is ℵ1 -categorical.

In the remainder of this lecture course we will prove a strengthening of

Morley’s theorem, the Baldwin-Lachlan-theorem.

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5.2 Totally transcendental and ω-stable theories

In this section we let T denote a complete theory with infinite models. The
goal of the next sections is to prove the downwards direction of Morley’s
theorem.

Theorem 5.2.1. If T is countable and κ-categorical for some uncountable

cardinal κ, then it is ℵ1 -categorical.

The proof of this result relies on several central notions of model theory. The
following definition introduces the first of these concepts.

Definition 5.2.2. The theory T is totally transcendental if T has no model

M  pM, . . .q with a binary tree of consistent LM formulas, i.e. if M 
pM, . . .q is a model of T , then there is no sequence xϕspv0, . . . , vn
1q | s P  ω 2y
of LM -formulas such that the following statements hold for all s P  ω 2:

(i) M |ù D~x. ϕs p~xq,

(ii) M |ù @~x. ppϕsa 0 p~xq _ ϕsa 1 p~xqq Ñ ϕs p~xqq,

(iii) M |ù D~x. pϕs 0p~xq ^ ϕs 1p~xqq.

a a

Example 5.2.3. We present an example of a complete theory that is not

totally transcendental. Let T be the first order language with a unary predicate
symbol Ps for every s P  ω 2 and let TREE denote the LT -theory consisting
of the following sentences:

(i) @x. PHpxq,

(ii) Dx. Pspxq for every s P  ω 2,
(iii) @x. pPspxq Ø Ps 0pxq _ Ps 1pxqq for every s P  ω 2,
a a

(iv) Dx. pPs 0pxq ^ Ps 1pxqq for every s P  ω 2.

a a

In the problem class you will prove the following statements:

(a) TREE is complete,

(b) TREE has quantifier-elimination,

(c) TREE is not totally transcendental.

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The following result connects total transcendence and categoricity.

Theorem 5.2.4. If T is countable and κ-categorical for some uncountable

cardinal κ, then T is totally transcendental.

The proof of this statement relies on another fundamental concept of modern

model theory.

Definition 5.2.5. Given an infinite cardinal κ, the theory T is κ-stable if

for every model M  pM, . . .q of T , every A „ M of cardinality at most κ
and n P Nzt0u, the set SnM pAq has cardinality at most κ.

Proposition 5.2.6. The following statements are equivalent for every infinite
cardinal κ:

(i) T is κ-stable.

(ii) If M  pM, . . .q is a model of T and A „ M with |A| ¤ κ, then

|S1MpAq| ¤ κ.
Proof. (i) ñ (ii) is trivial. So assume that (ii) holds but (i) fails. Fix
1   n P N that is minimal such that there is a model M  pM, . . .q of T and
A „ M with |A| ¤ κ and |SnM pAq| ¡ κ. Let π : SnM pAq Ñ S1M pAq be given
by π ppq : tϕpv0 q | ϕpv0 q P pu. Then there is a q P S1M pAq with |π
1 pq q| ¡ κ.
Let M  pM , . . .q be an elementary extension of M such that there is
some a P M with q  tpM pa{Aq and the property that every type over
A Y tau is realized in M . Define τ : π
1 ptq uq Ñ SnM
1 pA Y tauq by setting
τ ppq : tϕpa, v1 , . . . , vn
1 q | ϕpv0 , . . . , vn
1 q P pu.

Claim. τ is a well-defined bijection.

Proof. Fix p P π
1 ptq uq and let F  tϕ0 pv0 , . . . , vn
1 q, . . . , ϕk
1 pv0 , . . . , vn
1 qu
be a finite subset of p. Then

Dx1, . . . , xn. pϕ0pv0, x1, . . . , xn
1q ^ . . . ^ ϕk
1pv0, x1, . . . , xn
1qq

is an element of π ppq  q  tpM pa{Aq and hence the set consisting of the
formulas ϕi pa, v1 , . . . , vn
1 q for 0 ¤ i   k is realized in M . So τ ppq is finitely
satisfiable over M .

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Next pick ϕpv0 , . . . , vn
1 q with ϕpa, v1 , . . . , vn
1 q R p. Then ϕpv0 , . . . , vn
1 q R
p and therefore ϕpv0 , . . . , vn
1 q P p. But then ϕpa, v1 , . . . , vn
1 q P τ ppq.
This shows that τ ppq is maximal and hence τ ppq P SnM
1 pA Ytauq. By definition
τ is injective. Now pick r P SnM
1 pA Y tauq. By our choice of M there are
a1 , . . . , an
1 P M with r  tpM pa, a1 , . . . , an
1 {Aq. Then π ppq  q and
τ ppq  r.

The minimality of n now implies that |SnM
1 pAq| ¤ κ which is a contradiction.

Example 5.2.7. Let p be either prime or 0 and let ACFp denote the theory
of algebraically closed fields of characteristic p. Fix an infinite cardinal κ,
a model K  pK, . . .q of ACFp and a subset A of K of cardinality at most
κ. Let F denote the subfield of K generated by A and let K  pK , . . .q be
an elementary extension of K in which every type over F is realized. Fix
q P S1K pF q and a P K with q  tpK pa{F q. Since ACFp has quantifier
elemination, the type q is uniquely determined by its quantifier-free formulas
and therefore it is uniquely determined by the set of all f pX q P F rX s with
f paq  0.

This shows that q is determined by the isomorphism-type of the field extention

F ras{F . Since there is at most one isomorphism-type of transcendental
extensions and every algebraic extension is unique determined by its minimal
polynomial in F rX s, we can conclude that |S1K pF q| ¤ 1 |F rX s| ¤ κ.

The following result shows that the notions of ω-stable (i.e. ℵ0 -stable) and
totally transcendental theories coincide for countable languages.

Theorem 5.2.8.

(i) If T is ω-stable, then T is totally transcendental.

(ii) If T is totally transcendental and κ is an infinite cardinal with κ ¥ |L|,

then T is κ-stable.

Proof.

(i) Assume that there is a model M  pM, . . .q of T with a binary tree

4
 xϕspv0, . . . , vn
1q | s P  ω 2y of consistent LM -formulas. Then there is
A „ M countable such that every ϕs is an LA -formula. Given x P ω 2,
the set px  tϕxæi pv0 , . . . , vn
1 q | i P ω u is finitely satisfiable in M and
hence there is an qx P SnM pAq with px „ qx . If x, y P ω 2 with x  y, then
there is a minimal i P ω with xpiq  y piq and therefore ϕxæpi 1q P qx zqy .
This shows that the map x ÞÑ qx is an injection and hence SnM pAq is
uncountable.

(ii) Assume that there is a model M  pM, . . .q of T and A „ M such

that |A| ¤ κ and |S1M pAq| ¡ κ. Let B denote the set of LA -formulas
ϕpv q with |tp P S1M pAq | ϕpv q P pu| ¡ κ. Since there are at most
κ-many LA -formulas, we know that B  H. We inductively construct
a sequence xϕs | s P  ω 2y of elements of B.

Assume that s P  ω 2 and ϕs pv q P B is already constructed. Then |tq P

S1M pAq | ϕs pv q P q u| ¡ κ. If ψ pv q is an LA -formula that is not in B, then
ψ pv q is contained in at most κ-many types in S1M pAq. Since there are
at most κ-many LA -formulas, we know that |tq P S1M pAq | q † B u| ¤ κ.
This shows that there are p, q P S1M pAq with ϕs pv q P p X q, p, q „ B
and p  q. But then there is an LA -formula ψ pv q with ψ pv q P p and
ψ pv q P q. Set ϕsa 0 pv q : ϕs pv q ^ ψ pv q and ϕsa 1 pv q : ϕs pv q ^ ψ pv q.
Since each ϕna i pv q is contained in elements of S1M pAq, we know that
M ( Dx. ϕsa i pxq for all i   2. Moreover, we know that

M ( @x. ppϕsa 0 pxq _ ϕsa 1 pxq Ñ ϕs pxqq

This shows that the above sequence is a binary tree of consistent LA -

formulas for M and therefore T is not totally transcendental.

5.3 Order indiscernibles

In this subsection we will complete the proof of Theorem 5.2.4 by proving

the following statement.

Theorem 5.3.1. Let T be a countable, complete theory with infinite models.

If T is κ-categorical for some uncountable cardinal κ, then T is ω-stable.

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The proof of this result relies on the following concept.

Definition 5.3.2. Let i be a linear order and let M  pM, . . .q be an L-

structure. A sequence xai P M | i P I y is a sequence of order indiscernibles
for M if for every L-formula ϕpv0 , . . . , vn q, for all i0  I     I in and for all
j0  I     I jn we have M ( ϕpai0 , . . . , ain q Ø ϕpaj0 , . . . , ajn q.

Example 5.3.3. In the problem class, you will show that xq | q P Qy is a

sequence of order indiscernibles for pQ,  q.

The following result shows that we can always find models with infinite
sequences of order indiscernibles.

Theorem 5.3.4. Let T be a theory with infinite models and let I be an infinite
linear order. Then there exists a model M of T of cardinality |I | |T | that
has a sequence of order indiscernibles that is indexed by I.

The proof of this result relies on a fundamental combinatorial result that

generalizes the Pigeonhole Principle. Given some set X and a natural number
n we write rX sn to denote the set of all n-element subsets of X. Given a
function c with domain rX sn , a subset H of X is c-homogeneous if c æ rH sn
is constant.

Theorem 5.3.5 (Ramsey). If x is an infinite set and c : rX sn Ñ t0, . . . , k u

is a function with k, n P Nzt0u, then there is an infinite c-homogeneous subset
of X.

Proof. By induction on 0   n P N. For n  1, this statement follows from the

Pigeonhole Principle. Let n ¡ 1 and assume that the statement holds for all
m   n. Fix a function c : rX sn Ñ t0, . . . , k u with X infinite and 0   k P N.
In the following, we construct

• a strictly „-decreasing sequence xXi | i P Ny of infinite subsets of X

with X0  X,

• a sequence xxi P Xi | i P Ny of elements of X and

• a sequence xki ¤ k | i P Ny of natural numbers.

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Assume Xi is constructed. Pick some xi P Xi and define ci : rXi ztxi usn
1 Ñ
t0, . . . , ku by setting cipaq : cpa Y txiuq. By the induction hypothesis, there
is an infinite subset Xi 1 of Xi ztxi u and ki ¤ k with ci æ rXi 1 sn
1  ki .

By the Pigeonhole Principle, we can find K „ N infinite and k ¤ k with

ki  k for all i P K. Set H  txi | i P K u. Now let a P rH sn . Then there is
b P rK sn with a  txi | i P bu. Set m  minpbq and a  aztxm u. Then

cpaq  cm pa q  km  k.

This shows that H is c-homogeneous.

Proof of Theorem 5.3.4. Let T be an L-theory with infinite models and let I
be an infinite linear order. We let LI denote the expansion of L that adds
constant symbols c9i for every i P I. Define TI to be the LI -theory that consists
of T and the following additional axioms:

• “c9i  cj ” for all i  I j.

9

• “ϕpci , . . . , ci q Ñ ϕpcj , . . . , cj q” for every L-formula ϕpv0 , . . . , vn q, all

9 0 9 n 9 0 9 n

i0  I     I in and all j0  I    cI jn .

Claim. TI is finitely satisfiable.

Proof. Let F „ TI be finite. Fix I0 „ I finite such that all new constants
that appear in F are already of the form c9i for i P I0 . Finally, fix L-formulas
ϕ0 pv0 , . . . , vn0 q to ϕk
1 pv0 , . . . , vnk
1 q such that every axiom in F asserting
indiscernibility refers to one of these formulas. Set n : maxtn0 , . . . , nk
1 u.

By our assumption, there is an infinite model M  pM, . . .q of T . Fix a

linear ordering C of M . Given a P rM sn , let x0 C    C xn
1 be the monotone
enumeration of a with respect to C and set

cpaq : ti   k | M |ù ϕi px0 , . . . , xni qu.

By Ramsey’s Theorem, there is an infinite subset H of M that is c-homogeneous.

Let M denote some LI -expansion of M with c9M  P H for all i P I and
i 0
c9i C c9j for all i, j P I0 with i  I j. Then M |ù F .
M M

7
By the Compactness Theorem, the above claim shows that TI has a model
M of cardinality |I | |T |. But then xc9M
i | i P I y is a sequence of order
indiscernibles for the L-retract of M.

Towards a proof of Theorem 5.3.1, we now show that models with well-
ordered sequences of order indiscernibles realize only countably many types
over countable subsets.

Remember that given some L-structure M  pM, . . .q and A „ M , the

substructure generated by A is the unique substructure with domain

ttMpa0, . . . , an
1q | tpv0, . . . , vn
1q is an L-term and a0, . . . , an
1 P Au.

The domain of this substructure is also equal to the intersection of the domains
of all substructures whose domains contain A. We say that M is generated
by A if this substructure is equal to M.

Lemma 5.3.6. Assume that L is countable. Let I be an infinite well-ordering

and let M  pM, . . .q be an L-structure with a sequence of xai | i P I y of
order indiscernibles. If M is generated by the set tai | i P I u and A „ M is
countable, then only countably many types in S1M pAq are realized in M.

Proof. Assume, towards a contradiction, that there is A „ M countable such

that uncountably many types in S1M pAq are realized in M. Then there is
I0 „ I countable with

A „ ttM pai0 , . . . , ain
1 q | tpv0 , . . . , vn
1 q is an L-term and i0 , . . . , in
1 P I0u.

In particular, if we set A0 : tai | i P I0 u, then uncountably many types
in S1M pA0 q are realized in M. Since L is countable and M is generated by
tai | i P I u, there is an L-term tpv0, . . . , vnq such that uncountably many
types in S1M pA0 q are realized by elements of the form t pai0 , . . . , ain q with
ti0, . . . , inu P rI sn 1.
Let  denote the unique equivalence relation on rI sn 1 with the property
that for all i0  I     I in and all j0  I     I jn , we have ti0 , . . . , in u 
tj0, . . . , jnu if and only if the following statements hold for all m ¤ n and
k P I0 :

8
 (i) im  I k if and only if jm  I k.
(ii) im  k if and only if jm  k.

Claim. If i0  I     I in and j0  I     I jn with ti0 , . . . , in u  tj0 , . . . , jn u,

then tpM pai0 , . . . , ain {A0 q  tpM paj0 , . . . , ajn {A0 q.
Proof. Let ϕpv0 , . . . , vn k q be an L-formula and pick bn 1 , . . . , bn k P A0 .
Then there are L-terms tn 1 pv0 , . . . , vl q to tn k pv0 , . . . , vl q and c0 , . . . , cl P I0
with bi  tM i pac0 , . . . , acl q for all n   i ¤ k. Since i0  I     I in and
j0  I     I jn are in the same  I -position with respect to c0 , . . . , cl P I0 , we
can use indiscernibility to conclude that:

M |ù ϕpai0 , . . . , ain , bn 1 , . . . , bn k q
ôM |ù ϕpai , . . . , ai , tn 1pac , . . . , ac q, . . . , tn k pac , . . . , ac qq
0 n 0 l 0 l

ôM |ù ϕpaj , . . . , aj , tn 1pac , . . . , ac q, . . . , tn k pac , . . . , ac qq

0 0 0 l 0 l

ôM |ù ϕpaj , . . . , aj , bn 1, . . . , bn k q.
0 n

Since there are uncountably many types in S1M pA0 q that are realized by an
element of the form t pai0 , . . . , ain q with ti0 , . . . , in u P rI sn 1 , the above claim
shows that  has uncountably many equivalence classes. Given i P I, set
C piq : tj P I0 | j  I iu.

Claim. The set C : tC piq | i P I u is countable.

Proof. It suffices to show that C0 : C ztHu is countable. Since I is a
well-ordering, for every C P C0 , there is a unique  I -minimal iC P I with
C  C piC q. Now if C, D P C0 with C € D, then iC  I iD and there is a j P I0
with iC ¤ j   iD . Since I0 is countable and C0 is well-ordered by €, we can
conclude that C0 is countable.

Since there are uncountably many -equivalence classes on rI sn 1 , the Pi-

geonhole Principle and the above claim show that we can find

• a sequence xaα P rI sn 1 | α   ω1y of pairwise -inequivalent elements

of rI sn 1 ,

• a subset K „ t0, . . . , nu,

9
 • a sequence xik P I0 | k P K y and
• a sequence xCk P C | k ¤ ny

with the property that whenever α   ω1 and iα0  I     I iαn is the monotone
enumeration of aα , then the following statements hold:

(a) K  tk ¤ n | iαk P I0u.

(b) iαk  ik for all k P K.

(c) C piαk q  Ck for all k ¤ n.

But then aα  aβ for all α   β   ω1 , which is a contradiction.

Definition 5.3.7. A Skolem theory for a language L is a theory S in a

language L … L such that the following statements hold.

(i) S has quantifier elemination.

(ii) S is universal.

(iii) Every L-structure has an L -expansion that is a model of S.

(iv) |L | ¤ |L| ℵ0 .

Lemma 5.3.8. Every first-order language has a Skolem theory.

Proof. Define a sequence xLi | i P Ny of first-order languages such that L0  L

”
and Li 1 extends Li by n-ary functions fϕ for every quantifier-free Li -formula
ϕpv0 , . . . , vn q. Let L  iPN Li and

S : t@~x. pDy. ϕp~x, y q Ñ ϕp~x, fϕ p~xqqq | ϕpv0 , . . . , vn q P L quantifier-freeu.

In the problem class, you will verify that L and S satisfy the statements
(i)–(iv) of Definiton 5.3.7.

Lemma 5.3.9. Let T be a countable L-theory with infinite models. If κ is

an infinite cardinal, then there is a model M  pM, . . .q of T of cardinality κ
with the property that for every A „ M countable, only countably-many types
in S1M pAq are realized in M.

10
Proof. Let S be a Skolem theory for L. Since S has quantifier-elimination,
for every sentence ϕ in T , there is a universal L -sentence ϕ such that
S $ ϕ Ø ϕ . Set T  S Y tϕ | ϕ P T u. Then T is a countable theory
with infinite models and Theorem 5.3.4 yields a model M  pM, . . .q of T
of cardinality κ that has a sequnece xaα | α   κy of order indiscernibles. Let
M0  pM0 , . . .q be the substructure of M generated by taα | α   κu. Then
|M0|  κ. Since universal sentences are downwards-absolute, we know that
M0 is also a model of T and hence it is a model of S Y T . Since S has
quantifier elmination, this implies that M0   M and hence xaα | α   κy is a
sequence of order indiscernibles of M0 that generates M0 . In this situation,
Lemma 5.3.6 yields the conclusion of the lemma.

We are now ready to show that uncountably categorical theories are ω-

stable.

Proof of Theorem 5.3.1. Let κ be an uncountable cardinal and let T be a

countable, complete theory with infinite models that is not ω-stable. By
Propositon 5.2.6 there is a model M  pM, . . .q of T and A „ M countable
with the property that S1M pAq is uncountable. Pick an elementary extension
M  pM , . . .q of M such that there is B „ M of cardinality ℵ1 with the
property that the map b ÞÑ tpM pb{Aq is injective.

By the Löwenheim-Skolem Theorem, there is an elementary substructure

M0  pM0 , . . .q of M of cardinality ℵ1 with A Y B „ M0 . Finally, there
is an elementary extension M1  pM1 , . . .q of M0 of cardinality κ. Then
M1 is a model of T of cardinality κ with the property that there is A „ M1
countable such that uncountably many types in S1M1 pAq are realized in M1 .

In contrast, Lemma 5.3.9 yields a model M2  pM2 , . . .q of T of cardinality κ

with the property that for every A „ M2 countable, only countably many types
in S1M2 pAq are realized in M2 . But then M1 and M2 are non-isomorphic
models of T of cardinality κ. Hence T is not κ-categorical.

Proof of Theorem 5.2.4. Let κ be an uncountable cardinal and let T be an

uncountable, complete theory with infinite models that is κ-categorical. Then

11
Theorem 5.3.1 implies that T is ω-stable and we can use Theorem 5.2.8.(i) to
conclude that T is totally transcendental.

5.4 Lachlan’s Theorem

In this section, we let T denote a complete theory with infinite models.

Towards the proof of the downwards direction of Morley’s theorem, we study
the constuction of elementary extensions that omit all countable sets of
formulas that were omitted in the original model.

Theorem 5.4.1 (Lachlan). If T is totally tanscendental and M  pM, . . .q

is an uncountable model of T and κ ¥ |M | is a cardinal, then M has an
elementary extension of cardinality κ that omits every countable set of unary
LM -formulas that is omitted in M.

The proof of this result relies on the following concepts:

Definition 5.4.2. Let M  pM, . . .q be an L-structure and let A be a subset

of M .

(i) M is a prime extension of A if for every model N  pN, . . .q, every ele-
mentary map f : A Ñ N can be extended to an elementary embedding
of M into N .

(ii) A subset B „ M is constructible over A if there is an ordinal λ and

an enumeration xbα | α   λy of B with the property that for all
α   λ the type tpM pbα {A Y Bα q is isolated in S1M pS Y Bα q, where
Bα  tbβ | β   αu.

Proposition 5.4.3. Let M  pM, . . .q be an L-structure and let A „ M

such that M is constructible over A. Then M is a prime extension of A.

Proof. Fix an enumeration xaα | α   λy of M such that tpM paα {A Y Aα q

is isolated in S1M pA Y Aα q for all α   λ, where Aα  taβ | β   αu. Pick
an L-structure N  pN, . . .q and an elementary map f0 : A Ñ N . We can
inductively construct an increasing, continuous sequence

xfα : A Y Aα Ñ N | α ¤ λy
12
of elementary maps.

Assume that α   λ and fα : A Y Aα Ñ N is already constructed. Let

S1 pf q : S1N pranpfα qq Ñ S1M pA Y Aα q

be the homeomorphism induced by fα as in Lemma 4.1.18. Then there

is a unique p P S1N pranpf qq with S1 pfα qppq  tpM paα {A Y Aα q. Since this
type is isolated in S1M pA Y Aα q, p is isolated in S1M pranpf qq and hence there
is a b P N with p  tpM pb{ranpfα qq. If we set fα 1  fα Y tpaα , bqu, then
fα 1 : AYAα 1 Ñ N is an elementary map extending fα . Since M  α λ Aα ,
”
”
the map α λ fα : M Ñ N is an elementary embedding.

Proposition 5.4.4. If T is totally transcendental, M  pM, . . . q is a model

of T and A „ M , then the isolated types are dense in SnM pAq.

Proof. Assume that the isolated types are not dense in SnM pAq. By induction
we construct a binary tree xϕs pv1 , . . . , vn
1 q | s P  ω 2y of consistent LM -
formulas with the property that for every s P  ω 2, the formula ϕs pv0 , . . . , vn
1 q
is not contained in any isolated type in SnM pAq.

First, our assumption yields a consistent formula ϕH pv0 , . . . , vn
1 q. Next

assume ϕs pv0 , . . . , vn
1 q is defined for s P  ω 2. Then the set

p : tψ pv0 , . . . , vn
1 q LM -formula | M |ù @~x. ϕs p~xq Ñ ψ p~xqu

is not a type and since p is finitely satisfiable, there is an LM -formula

ψ pv0 , . . . , vn
1 q such that both p Y tψ u and p Y t ψ u are finitely satisfiable.
Set ϕsa 0 : ϕs ^ ψ and ϕsa 1 : ϕs ^ ψ. Since ϕs is not contained in any
isolated type, we know that the same is true for ϕsa 0 and ϕsa 1 and hence
our requirements are satisfied. This contradiction shows that T is not totally
transcendental.

Theorem 5.4.5. Assume that T is totally transcendental. If M  pM, . . . q

is a model of T and A „ M , then there is an elementary submodel M0 
pM0, . . . q of M such that A „ M0 and M0 is constructible over A.
Proof. With the help of Zorns Lemma, we find a sequnece xaα | α   λy of
elements of M such that the following statements hold.

13
 (i) For all α   λ, the type tpMpaα{A Y Aαq is isolated in S1MpA Y Aαq
where Aα  taβ | β   αu for α ¤ λ.
(ii) There is no b P M zAλ with the property that the type tpM pb{A Y Aλ q
is isolated in S1M pA Y Aλ q.

Then A „ Aλ , as the formula v  a isolates tpM pa{Aq in S1M pAq for all a P A.

Claim. The set Aλ is the domain of an elementary submodel M0 of M.

Proof. Let ϕpv q be an LAλ -formula with M |ù Dx ϕpxq. By Proposition 5.4.4,
the formula ϕpv q is contained in an isolated type p P S1M pAλ q. Pick b P M
with p  tpM pb{Aλ q. Then the maximality of our sequence implies that
b P Aλ . By the Tarski-Vaught-criterion, this yields the statement of our
claim.

By our construction and the above claim, M0 is an elementary submodel of

M with A „ Aλ and the property that M0 is constructible over A.

Lemma 5.4.6. Let M  pM, . . . q be an L-structure and let A, B P rM s ω

with A  ta0 , . . . , am
1 u and B  tb0 , . . . , bn
1 u. Then the following state-
ments are equivalent.

(i) tpM p~a, ~bq is isolated in Sm

M
n pHq.

(ii) tpM p~a{B q is isolated in Sm

M
pB q and tpMp~bq is isolated in SnMpHq.
Proof. Assume that piq holds and let ϕp~x, ~y q be an L-formula that isolates
tpM p~a, ~bq in Sm
M
n pHq.

Claim. ϕp~x, ~bq isolates tpM p~a{B q in Sm M

pB q.
Proof. Let ψ p~xq P tp p~a{B q. Then ψ p~xq  σ p~x, ~bq for some L-formula σ.
M

But now M |ù σ p~a, ~bq and thus σ P tpM p~a, ~bq. Since this type is isolated by
ϕ we get
M |ù @~x. @~y . pϕp~x, ~xq Ñ σ p~x, ~y qq
and thus
M |ù @~x. pϕp~x, ~bq Ñ ψ p~xqq.

14
So the type tpM p~a{B q is isolated by the LB formula ϕp~x, ~bq.

Claim. D~y . ϕp~x, ~y q isolates tpM p~bq in SnM pHq.

Proof. If ψ px0 , . . . , xn
1 q P tpM p~bq, then ψ pxm , . . . , xm n
1 q P tpM p~a, ~bq and
thus
M |ù @~x. pϕp~xq Ñ ψ pxm , . . . , ψm n
1 qq.
But then
M |ù @~x. pD~y . ϕp~x, ~y q Ñ ψ p~xqq
which proves the claim.

Now assume that (ii) holds. Let ϕ0 p~x, ~y q be an L-formula such that ϕ0 p~x, ~bq
isolates tpM p~a{B q and let ϕ1 p~y q be an L-formula which isolates tpM p~bq.

Claim. ϕ0 p~x, ~y q ^ ϕ1 p~y q isolates tpM p~a, ~bq in Sm M

n pHq.
Proof. First note that ϕ0 p~x, ~y q ^ ϕ1 p~y q is indeed an element of tpM p~a, ~bq. So
pick ψ p~x, ~y q P tpM p~a, ~bq. In particular ψ p~x, ~bq P tpM p~a{B q. Therefore by our
choice of ϕ0 we see that

M |ù @~x. pϕ0 p~x, ~bq Ñ ψ p~x, ~bqq.

But this means that @~x. pϕ0 p~x, ~y q Ñ ψ p~x, ~y qq is an element of tpM p~bq. There-
fore by our choice of ϕ1 we obtain

M |ù @~y . pϕ1 p~y q Ñ @~x. pϕ0 p~x, ~y q Ñ ψ p~x, ~y qqq

which is equivalent to

M |ù @~x. @~y . ppϕ0 p~x, ~y q ^ ϕ1 p~y qq Ñ ψ p~x, ~y qq.

This establishes that ϕ0 p~x, ~y q ^ ϕ1 p~y q isolates tpM p~a, ~bq as claimed.

The three claims together imply the result.

Corollary 5.4.7. Let M  pM, . . . q be an L-structure and let A „ M .

(i) If M is constructible over A, then M is atomic over A, i.e. if ~a P M n

then tpM p~a{Aq is isolated in SnM pAq.

15
 (ii) Assume that T is totally transcendental and M is a model of T . If M
is a prime extension of A, then M is atomic over A.

Proof.

(i) Let xaα | α   λy be an enumeration of M such that tpM paα {A Y Aα q is

isolated in S1M pA Y Aα q for all α   λ where Aα  taβ | β   αu.

Claim. If α0        αn   λ, then the type tpMpaα , . . . , aα {Aq is

0 n

isolated in SnM 1 pAq.

Proof. We proceed by induction on αn   λ. Since tpM paαn {A Y Aαn q
is isolated in S1M pA Y Aαn q we can find an LA -formula ϕpv, ~x, ~y q and
~b P pAαn ztaα , . . . , aα uqm with the property that the formula ϕpv, ~a, ~bq
0 n
1

isolates tpM paαn {Aαn q in S1MA pAαn q. Here we use ~a to denote the tuple
paα0 , . . . , aαn
1 q and we use MA to explicitly refer to the canonical
LA -expansion of M.

Now in particular tpMA paαn {taα0 , . . . , aαn
1 , b0 , . . . , bm
1 uq is isolated

by the formula ϕpv, ~a, ~bq. By our induction hypothesis we know that
tpMA p~a, ~bq is also isolated. Thus by Lemma 5.4.6 we observe that
tpMA p~a, aαn , ~bq is isolated. But this shows that tpM p~a, aαn {Aq is isolated
in SnM 1 pAq as we claimed.

Now by permuting and duplicating variables, we can use the claim to

derive (i).

(ii) By Theorem 5.4.5, there is some elementary substructure M0  pM0 , . . . q

of M such that A „ M0 and M0 is constructible over A. By our as-
sumption on M, the identity map idA on A extends to an elementary
embedding ι : M Ñ M0 . By (i), M0 is atomic over A. Therefore, if
a0 , . . . , an
1 P M , then tpM0 pιpa0 q, . . . , ιpan
1 q{Aq is isolated in SnM0 pAq
and hence tpM pa0 , . . . , an
1 {Aq is isolated in SnM pAq.

Proof of Theorem 5.4.1. Let T be a totally transcendental theory. Fix a

model M  pM, . . .q of T that is uncountable. We call an LM -formula ϕpv q
large if its realization set
ϕpM q : ta P M | M |ù ϕpaqu

16
is uncountable.

Claim. There is a minimal large LM -formula ϕ pv q, i.e. ϕ pv q has the prop-

erty that for all LM -formulas ψ pv q either ϕ pv q ^ ψ pv q or ϕ pv q ^ ψ pv q is
not large.
Proof. Assume otherwise. Since the formula ϕH : v  v is large, the
assumption allows us to inductively construct a binary tree xϕs pv q | s P  ω 2y
of consistent LM -formulas that are large. But this contradicts our assumption
that T is totally transcendental.

Claim. The set p : tψ pv q LM -formula | ϕ ^ ψ is largeu is an element of

S1M pM q that is not realized in M and has the property that every countable
subset of p is realized in M.
Proof. Pick ψ0 , . . . , ψn
1 P p and assume that ϕ ^ pψ0 ^ . . . ^ ψn
1 q is not
large. Then ϕ ^ p ψ0 _ . . . _ ψn
1 q is large and hence there is an i   n
with ϕ ^ ψi large. But this contradicts the minimality of ϕ . This shows
that p is finitely satisfiable over M.

For every LM -formula ψ pv q we have

ϕ pM q  pϕ ^ ψ qpM q Y pϕ ^ ψ qpM q

and since ϕ pM q is uncountable, either ϕ ^ ψ or ϕ ^ ψ is large. This

shows that p is maximal and thus p P S1M pM q.

If a P M , then the LM -formula v  a9 is not large and hence v  a9 P p .

Therefore p is not realized by a. However, fix q „ p countable. Since
pϕ ^ ψqpM q is countable for every ψ P q, there is an a P ϕpM q with
a R p ψ qpM q for all ψ P q. But then a realizes q.

Now let N  pN, . . .q be an elementary extension of M such that |M |  |N |

and p  tpN pa{M q for some a P N . By Theorem 5.4.5 there is an elementary
submodel M  pM , . . .q of N with M Ytau „ M and M is constructible
over M Y tau. Then Proposition 5.4.3 shows that M is a prime extension of
M Y tau and by Corollary 5.4.7 is atomic over M Y tau.

17
Claim. If b P M , then every countable subset q of tpM pb{M q is already
realized in M .
Proof. Let ψ pv0 , v1 q be an LM -formula such that ψ pv, a9 q isolates the type
tpM pb{M q in S1M pM Y tauq. If σ pv q P q, then

M |ù @x. pψpx, aq Ñ σpxqq

9

and therefore the formulas @x. pψ px, v q Ñ σ pxqq and Dx. ψ px, v q are both
elements of p  tpM pa{M q. By the above claim, the countable subset

tDx. ψpx, vqu Y t@x. pψpx, vq Ñ σpvqq | σ P qu

of p is realized in M . Pick a0 P M that realizes this set and b0 PM with
M |ù ψ pb0 , a0 q. But then M |ù σ pb0 q for all σ P q.

The above computations show that every uncountable model M  pM, . . .q

of T has an elementary extension M  pM , . . .q such that |M |  |M | and
every countable set of LM -formulas that is omitted in M is also omitted in
M . Given some uncountable model M  pM, . . .q of T and some cardinal
κ ¥ |M |, let xMα | α ¤ κy denote the unique continuous elementary chain
with M0  M and Mα 1  pMα q . Then Mκ is an elementary extension of
M of cardinality κ with the property that all countable subsets of LM -formulas
that are omitted in M are omitted in Mκ .

5.5 The downwards direction of Morley’s Theorem

The following generalization of Theorem 4.2.4 is the last ingredient needed in

the proof of Theorem 5.2.1.

Theorem 5.5.1. Let T be a countable, complete theory with infinite models

and let κ be an infinite cardinal. Then T is κ-categorical if and only if all
models of T of cardinality κ are saturated.

Lemma 5.5.2. Let T be a complete theory with infinite models and let κ be
an infinite cardinal. If T is κ-stable and λ ¤ κ is an infinite regular cardinal,
then there is a λ-saturated model of T of cardinality κ.

18
Proof. By induction, we construct a continuous elementary chain

xMα  pMα, . . .q | α ¤ λy
of models of T of cardinality κ with the property that for all α   λ and n P N,
all types in SnMα pMα q are realized in Mα 1 .

In the problem class you will show that the assumption that T is κ-stable
implies that T has a model M0 of cardinality κ. Next, if Mα is already
constructed for some α   λ, then SnMα pMα q has cardinality κ for all n P N
and hence there is an elementary extension Mα 1 of Mα of cardinality κ in
which all types in SnMα pMα q are realized for all n P N.

If A „ Mλ has cardinality less than λ and p P SnMλ pAq, then the regularity
of λ implies that A „ Mα for some α   λ. So there is a q P SnMα pMα q with
p „ q and hence there is an ~a P Mαn 1 with q  tpMα 1 p~a{Aq. But then
p  tpMλ p~a{Aq.

Proof of Theorem 5.5.1. By Theorem 4.2.4 we may assume that κ is uncount-

able. If all models of T of cardinality κ are saturated, then Lemma 4.2.3
shows that all models of T of cardinality κ are pairwise isomorphic. Therefore
T is κ-categorical.

For the other direction, assume that T is κ-categorical. Then Theorem 5.3.1
implies that T is ω-stable and Theorem 5.2.8 shows that T is also κ-stable.
By Lemma 5.5.2, if λ ¤ κ is regular, then there is a model of T of cardinality
κ that is λ-saturated. Since T is κ-categorical, this lemma implies that every
model of T of cardinality κ is λ-saturated for all regular λ ¤ κ. Hence every
such model is saturated.

Proof of Theorem 5.2.1. Let κ be an uncountable cardinal and let T be a

countable, complete theory with infinite models. Assume that T is not
ℵ1 -categorical. Then Theorem 5.5.1 yields a model M  pM, . . .q of T of
cardinality ℵ1 that is not saturated.

Hence there is some A „ M countable and p P SnM pAq that is not realized
in M. By Theorem 5.2.4, T is totally transcendental and hence we can
apply Theorem 5.4.1 to find an elementary extension N  pN, . . .q of M of

19
cardinality κ that omits every countable set of LM -formulas that is omitted
in M. Since p is a countable set of LM -formulas that is omitted in M we
know that p is also omitted in N . But this means that N is not saturated.
This contradicts Theorem 5.5.1.

5.6 Vaughtian pairs

In the remainder of this lecture course we will prove the missing upwards-
direction of Morley’s Theorem. The concept defined next will turn out to be
crucial for the arguments. Remember that, given an L-structure M  pM, . . .q
and an LM -formula ϕpv q, then the realization set ϕpM q is defined to be the
set ta P M | M |ù ϕpaqu.

Definition 5.6.1. An L-theory T has a Vaughtian pair if there are two

models M  pM, . . .q and N  pN, . . .q of T and an LM -formula ϕpv q such
that the following statements hold:

1. N is a proper elementary extension of M.

2. ϕpM q is infinite.

3. ϕpM q  ϕpN q.

In the following we will work to prove the theorem stated next that directly
implies Morley’s Theorem.

Theorem 5.6.2 (Baldwin-Lachlan). Let T be a countable, complete theory

with infinite models and let κ be an uncountable cardinal. Then T is κ-
categorical if and only if T is ω-stable and has no Vaughtian pairs.

For the forward direction of this result it remains to show that uncountably
categorical theories have no Vaughtian pairs. This statement will be a corollary
of the following “two-cardinal theorem.”

Theorem 5.6.3 (Vaught). Let T be a countable, complete theory with infinite

models. If T has a Vaughtian pair then there is a model M  pM, . . .q of T of
cardinality ℵ1 and an LM -formula ϕpv q with the property that |ϕpM q|  ℵ0 .

20
Lemma 5.6.4. Let T be can L-theory, let M  pM, . . .q be a model of T ,
let a0 , . . . , an P M and let L be the first-order language extending L by new
constant symbols a9 0 , . . . , a9 n . Set

T : T Y tϕpa0, . . . , anq | ϕ P tpMpa0, . . . , anqu.

9 9

Then the following statements hold:

(i) T is complete.

(ii) Given an infinite cardinal κ, T is κ-stable if and only if T is κ-stable.

(iii) If ϕpv0 , . . . , vn 1 q is an L-formula with the property that there is an

elementary extension N of M such that M, N and the LM -formula
ϕpv, a9 0 , . . . , a9 n q witness that T has a Vaughtian pair, then the canonical
L -extensions of M and N together with the L -formula ϕpv, a9 0 , . . . , a9 n q
witness that T has a Vaughtian pair.

(iv) The theory T has a Vaughtian pair if and only if T has a Vaughtian
pair.

Proof. Exercise.

Remember that an L-structure M  pM, . . .q is ω-homogeneous if for every

finite A „ M , every f : A Ñ M elementary and every a P M there is some
g : A Y tau Ñ M elementary with f „ g.

Lemma 5.6.5. Let T be a countable, complete theory L-theory with infinite

models.

(i) Every countable model of T has a countable ω-homogeneous elementary

extension.

(ii) The union of a elementary chain of ω-homogeneous models is again

ω-homogeneous.

(iii) Let M  pM, . . .q and N  pN, . . .q be countable, ω-homogeneous

models of T . If M and N realize the same types in Sn pT q for all n P N,
then M and N are isomorphic.

21
Proof.

(i) Given a countable model M  pM, . . .q of T , there is a countable

elementary extension M  pM , . . .q of M with the property that for
all A „ M finite, all f : A Ñ M elementary and every a P M , the type

S1 pf
1 qptpM pa{Aqq P S1M pf 2 rAsq

is realized in M (see Lemma 4.1.18 for the definition of the map

S1 pf
1 q : S1M pAq Ñ S1M pf 2 rAsq).

Now, given a countable model M0 of T , let xMα  pMα , . . .q | α ¤ ω y

denote the unique continuous elementary chain with Mα 1  pMα q
for all n   ω. Let A „ Mω be finite, let f : A Ñ Mω be elementary and
fix a P Mω . Then there is an n   ω with A Y f 2 rAs Y tau „ Mn and
f : A Ñ Mn elementary. By our construction, there is a b P Mn 1 with

tpMn 1
pb{Aq  S1pf
1qptpM pa{Aqq.
n

Let ϕpv0 , . . . , vn q be an L-formula with Mω |ù ϕpa, a0 , . . . , an
1 q for

a0 , . . . , an
1 P A. Then ϕpv, a9 0 , . . . , a9 n
1 q P tpMn pa{Aq and therefore
Mn 1 |ù ϕpb, f pa0 q, . . . , f pan
1 qq. This shows that

g : f Y tpa, bqu : A Y tau Ñ Mω

is an elementary map with f „ g. Thus Mω is ω-homogeneous.
(ii) Let xMα  pMα , . . .q | α   λy be an elementary chain of ω-homogeneous
L-structures with union M  pM, . . .q, let A „ M be finite, let f : A Ñ
M be elementary and fix a P M . Pick α   λ with A Y f 2 rAsYtau „ Mα .
Then f : A Ñ Mα is elementary and there is some g : A Y tau Ñ Mα
elementary with f „ g. But then g : A Y tau Ñ M is also elementary.

(iii) The proof will follow from the following two claims.

Claim. Let A „ M be finite, let f : A Ñ N be elementary and fix

a P M . Then there is a g : A Y tAu Ñ N elementary with f „ g.

22
 Proof. Pick an enumeration xai | i   ky of A. By our assumption,
there are b0 , . . . , bk P N with

tpN pb0 , . . . , bk qtpM pa0 , . . . , ak
1 , aq P Sk

pT q. 1

Let h : tb0 , . . . , bk
1 u Ñ N be the unique map with hpbi q  f pai q for all
i   k.

Since f is elementary, we have

tpN pf pa0 q, . . . , f pak
1 qq  tpM pa0 , . . . , ak
1 q  tpN pb0 , . . . , bk
1 q.

So the map h is elementary and there is h : tb0 , . . . , bk u Ñ N elementary

with h „ h . But this implies that

tpN pf pa0 q, . . . , f pak
1 q, h pbk qq  tpN pb0 , . . . , bk q

 tpMpa0, . . . , ak
1, aq
and hence we can conclude that

g : f
Y tpa, hpbk qqu : A Y tau Ñ N
is an elementary map with f „ g.

Claim. Let A „ M be finite, let f : A Ñ N be elementary and fix

a P M and b P N . Then there is a B „ M finite and g : B Ñ N
elementary with A Y tau „ B, f „ g and b P ranpg q.
Proof. Apply the first claim twice (first to f and then to g
1 ).

Now pick an enumeration xan | n P Ny of M and an enumeration

xbn | n P N y of N . Let f0 denote the empty map. Then f0 is an
elementary map from M to N . By the above claim, there is a sequence
xfn : An Ñ N | n P Ny of finite elementary maps with an P An „ An 1
”
and bn P ranpfn q for all n P N. But then f  tfn | n P Nu is an
isomorphism of M and N .

As the last ingredient for the proof of Theorem 5.6.3, we need to introduce
relativization of L-formulas. Given an L-formula ϕpv q, we define the rela-
tivization ψ ϕpvq pv0 , . . . , vn
1 q of an L-formula ψ pv0 , . . . , vn
1 q in which v does
not appear by induction:

23
 • ψ ϕpvq : ψ for atomic L-formulas ψ,

p ψqϕpvq : ψϕpvq,
•
ϕpv q ϕpv q
• pψ0 ^ ψ1 qψpvq : ψ0 ^ ψ1 ,

• pDx. ψ qϕpvq : Dx. ϕpxq ^ ψ ϕ pv q.

Proposition 5.6.6. Let ϕpv q be an L-formula and let M be an L-structure

such that the following statements hold.

(i) ϕpM q  H.

(ii) M |ù ϕpv q for some constant symbol c in L.

(iii) M |ù @x0 , . . . , xn . pϕpx0 q ^    ^ ϕpxn qq Ñ ϕpf px0, . . . , xnqq for every

pn 1q-ary function symbol f in L.
Then there is a unique substructure Mϕ of M with domain ϕpM q and we
have
Mϕ |ù ψ pa9 0 , . . . , a9 n
1 q ô M |ù ψ ϕpvq pa9 0 , . . . , a9 n
1 q
for every L-formula in which v does not appear and all a0 , . . . , an
1 P ϕpM q.
Proof. Exercise.

Proof of Theorem 5.6.3. Let T be a countable, complete theory with infinite

models that has a Vaughtian pair. By Lemma 5.6.4.(iii), we may assume that
there is an L-formula ϕpv q that witnesses the existence of a Vaughtian pair
for T .

Let L denote the expansion of L by a unary predicate symbole P and we let

Tϕ denote the L -theory consisting of T and the following axioms.

• Dx. P pxq,

• P pcq for every constant symbol c in L,

• @x0, . . . , xn. pP px0q^  ^ P pxnqq Ñ P pf px0, . . . , xnqq for every pn 1q-

ary function symbol f in L,

• Dx. P pxq,

24
 • @x0, . . . , xn
1. pP px0q ^    ^ P pxn
1qq Ñ pψp~xq Ø ϕP pvqp~xq for every
L-formula ψ pv0 , . . . , vn
1 q,

• @x0 , . . . , xn . pϕpx0 q^  ^ ϕpxn qq Ñ Dx. pϕpxq^ x  x0 ^  ^ x  xn
1 q

for all n P N,

• @x. ϕpxq Ø pP pxq ^ ϕP pvq pxqq.

Let M  pM, . . . q N be models of T that together with the formula ϕpv q

 

witness that T has a Vaughtian pair. Let NM denote the unique L -extension
of N with P NM  M . Then NM is model of Tϕ .

In the other direction, if N is a model of Tϕ , then we let N 0 denote the

L-reduct of N and we let N 1 denote the L-reduct of Nppvq .

Claim. If N is a model of Tϕ , then the models N 1 and N 0 together with the

formula ϕpv q witness that T has a Vaughtian pair.
Proof. Clear.

Claim. There is a countable model N of Tϕ with the property that the

L-structures N0 and N1 are isomorphic and and ω-homogeneous.
Proof. We inductively construct an elementary chain xNi | i P Ny of count-
able models of Tϕ . By our assumption and the above claims, there is a
countable model N0 of Tϕ . Now assume that N3i  pN3i , . . . q is constructed
for some i P N. Given a P N3i , the set

tP pvqu Y tϕP pv | ψ P tpN paqu

0
3i

is finitely satisfiable in N3i . This shows that there is a countable elementary

extension N3i 1  pN3i 1 , . . . q of N3i with the property that for every a P N3i ,
there is a b P P pN3i 1 q with tpN3i paq  tpN3i pbq.
0

Next, given A „ N3i 1 finite, f : A Ñ N3i 1 elementary with respect to N3i0 1

and a P N3i 1 , the set S1 pf
1 qptpN3i 1 pa{Aqq is finitely satisfiable in N3i 1 .
0

As in the proof of Lemma 5.6.5.(ii), this shows that there is a countable

elementary extension N3i 2  pN3i 2 , . . . q of N3i 1 with the property that for
every finite A „ N3i 1 , every f : A Ñ N3i 1 elementary with respect to N3i0 1

25
and every a P N3i 1 , there is g : A Y tau Ñ N3i 2 elementary with respect to
N3i0 2 with f „ g.

Finally, if A „ P pN3i 2 q finite, f : A Ñ P pN3i 2 q elementary with respect to

N3i1 2 and a P P pN3i 2 q, then the set

tP pvqu Y tψP pvq | ψ P S1pf
1qptpN pa{Aqqu1

3i 2

is finitely satisfiable in N3i 2 . This shows there is a countable elementary

extension N3i 3  pN3i 3 , . . . q of N3i 2 with the property that for every
A „ N3i 2 finite, all f : A Ñ N3i 2 elementary with respect to N3i1 2 and all
a P N3i 2 , there is g : A Y tau Ñ N3i 3 elementary with respect to N3i1 3 with
f „ g.

Let N denote the union of the above chain. Then N0 is the union of the
elementary chain xNi0 | i P Ny and N1 is the union of the elementary chain
xNi1 | i P Ny and the above construction ensures that the following statements
hold:

• N0 and N1 realize the same types in Sn pT q for all n P N.

• N0 and N1 are both ω-homogeneous.

By Lemma 5.6.5.(ii), this ensures that the L-structures N0 and N1 are
isomorphic.

We now inductively construct a continuous, strictly increasing elementary

chain xMα | α   ω1 y of countable L-structures isomorphic to N1 . Set
M0  N1 . Next, fix α   ω1 and assume that Mα  pMα , . . . q is already
constructed. Pick an isomorphism π : N1 Ñ Mα . Then there is a model Nα
of Tϕ with Mα  Nα1 and an isomorphism πα : N Ñ Nα that extends π.
Define Mα 1  Nα0 . Then Mα 1 is a countable, proper elementary extension
of Mα that is isomorphic to N1 . Finally, if α   ω1 is a limit ordinal,
then Mα is the union of an elementary chain of countable, ω-homogeneous
models and therefore Lemma 5.6.5.(ii) implies that Mα is also countable
and ω-homogeneous. Fix p P Sn pT q. If p is realized in M0 , then the same
element realizes p in Mα . In the other direction, if p is realized in Mα , then
there is β   α such that p is realized in Mβ and, since M0 and Mβ are

26
isomorphic, this shows that p is also realized in M0 . By Lemma 5.6.6.(iii),
these computations show that M0 and Mα are isomorphic.

Let M denote the union of this chain. Then M has cardinality ℵ1 . Moreover,
the above constructions ensure that ϕpMα q  ϕpMα 1 q holds for all α   ω1 .
This implies that ϕpM0 q  ϕpMα q holds for all α   ω1 and hence also
ϕpM0 q  ϕpM q. In particular, we have |ϕpMq|  ℵ0 .

The following lemma will allow us to use Theorem 5.6.3 to show that un-
countably categorical theories do not have Vaughtian pairs.

Lemma 5.6.7. Let κ be an infinite cardinal, let M  pM, . . .q be a κ-

saturated L-structure and let ϕpv q be an LM -formula. If ϕpM q has cardinality
less than κ, then ϕpM q is finite.

Proof. Exercise.

Corollary 5.6.8. Let κ be an uncountable cardinal and let T be a countable,

complete theory with infinite models that is κ-categorical. Then T does not
have Vaughtian pairs.

Proof. Assume that T has a Vaughtian pair. Then Theorem 5.6.3 yields a
model M  pM, . . .q of T of cardinality ℵ1 and some LM -formula ϕpv q with
the property that |ϕpM q|  ℵ0 . By Theorem 5.2.1, T is ℵ1 -categorical and
hence Theorem 5.5.1 implies that M is saturated. But then Lemma 5.6.7
shows that |ϕpM q| is finite or ℵ1 which is a contradiction.

Corollary 5.6.9. Let κ be an uncountable cardinal and let T be a countable,

complete theory with infinite models that is κ-categorical. If M  pM, . . .q is
a model of T , A „ M and ϕpv q is an LA -formula with ϕpM q infinite, then
M is constructible over A Y ϕpM q and hence M is a prime extension of
A Y ϕpM q.

Proof. By Corollary 5.6.8, T does not have Vaughtian pairs. This implies
that every elementary submodel M0  pM0 , . . .q of M with A Y ϕpM q „ M0
is equal to M. By Theorem 5.2.4, T is totally transcendental and therefore

27
we can use Theorem 5.4.5 to conclude that M is constructible over A Y ϕpM q.
The last conclusion of the corollary follows from Proposition 5.4.3.

We close this section by isolating an important consequence of the non-

existence of Vaughtian pairs that will be used in the next section.

Lemma 5.6.10. Let T be a complete L-theory with infinite models that does
not have Vaughtian pairs. Given an L-formula ϕpv0 , . . . , vn q, there is a natural
number kϕ with the property that for every model M  pM, . . .q of T and all
a0 , . . . , an
1 P M , the following statements are equivalent:

(i) ϕpM, a9 0 , . . . , a9 n
1 q is infinite.

(ii) ϕpM, a9 0 , . . . , a9 n
1 q contains at least kϕ -many elements.

Proof. Assume towards a contradiction that such a natural number does

not exist for a fixed L-formula ϕpv0 , . . . , vn
1 q. Let L denote the first-order
language that extends L by a unary predicate symbol P9 and constant symbols
c90 , . . . , c9n
1 . Next, let T denote the L -theory that consists of T together
with the following axioms:

• P9 pc9q for every constant symbol c9 in L,

• @x0, . . . , xm. pP px0q^  ^P pxmqq Ñ P pf px0, . . . , xmqq for every pm 1q-
9 9 9 9

ary function symbol f9 in L,

• @x0, . . . , xm
1. ψpx0, . . . , xm
1q Ø ψP pvqpx0, . . . , xm
1q for every L-formula

9

ψ pv0 , . . . , vm
1 q in which the variable v does not appear,

• Dx. P pxq ^ P pc0 q ^    ^ P pcn
1 q,

9 9 9 9 9

• @x. ϕpx, c0 , . . . , cn
1 q Ñ P pxq.

9 9 9

By our assumption, if k P N, then there is a model Mk  pMk , . . .q of T and

a0 , . . . , an
1 P Mk such that ϕpMk , a0 , . . . , an
1 q is a finite set with more than
9 9

k-many elements. Let Nk  pNk , . . .q denote a proper elementary extension


of Mk and let Nk denote the canonical L -expansion of Nk with P N  Mk 9 k
N
and ci  ai for all i   n. Then ϕpMk , a0 , . . . , an
1 q  ϕpNk , a0 , . . . , an
1 q
9
k
9 9 9 9

28
and hence Nk is a model of T together with
© ©
D x0 , . . . , x k . xi  xj ^ ϕpxi , c90 , . . . , c9n
1 q.
 ¤
i j k ¤
i k

This shows that the theory

© ©
T Y tDx0 , . . . , xk . xi  xj ^ ϕpxi , c90 , . . . , c9n
1 q | k P Nu
 ¤
i j k ¤
i k

is finitely satisfiable and therefore the Compactness Theorem yields a model

N  of this theory. Let N denote the L-reduct of N  , let M denote the

L-reduct of NPpvq and set ai : c9N
9 i for all i   n. Then the models M and N
together with the formula ϕpv, a9 0 , . . . , a9 n
1 q witness that T has a Vaughtian
pair, which is a contradiction.

Corollary 5.6.11. Let T be a complete theory with infinite models that does
not have a Vaughtian pair. Given an L-formula ϕpv0 , . . . , vn q, there is an L-
formula ϕ pv0 , . . . , vn
1 q with the property that for every model M  pM, . . .q
of T and all a0 , . . . , an
1 P M , the following statements are equivalent:

(i) ϕpM, a9 0 , . . . , a9 n
1 q is infinite.

(ii) M |ù ϕ pa0 , . . . , an
1 q.

Proof. Let kϕ be the natural number given by Lemma 5.6.10 and set
© ©
ϕ pv0 , . . . , vn
1 q : Dx0 , . . . , xk . xi  xj ^ ϕpxi , v0 , . . . , vn
1 q.
 ¤
i j k ¤
i k

Given a model M  pM, . . .q of T and a0 , . . . , an
1 P M , we have M |ù

ϕ pa9 0 , . . . , a9 n
1 q if and only if ϕpM, a9 0 , . . . , a9 n
1 q has at least kϕ -many ele-
ments. By Lemma 5.6.10, these two statements are also equivalent to (i).

5.7 Strongly minimal formulas

In the following we will use the algebraic closure operation to study models
of ℵ1 -categorical theories. Remember that, given some L-structure M 
pM, . . .q and A „ M , an LA-formula ϕpvq is algebraic if the set ϕpM q is finite.
29
Moreover, we say that a P M is algebraic over A if there is an algebraic
LA -formula ϕpv q with M |ù ϕpaq. Finally, we let aclpAq (“algebraic closure of
A”) denote the set of all elements of M that are algebraic over A. Note that
algebraic (respectively non-algebraic) formulas remain algebraic (respectively
non-algebraic) in all elementary extensions of the given model. Throughout
this section we let T denote a complete theory with infinite models.

Definition 5.7.1. Given a model M  pM, . . .q of T , a non-algebraic LM -

formula ϕpv q is minimal in M if for all LM -formulas ψ pv q, the set ϕpM q X
ψ pM q is either finite or cofinite in ϕpM q.

Proposition 5.7.2. If T is totally transcendental, M  pM, . . . q is a model

of T and ϕH pv q is a non-algebraic LM -formula, then there is an LM -formula
ϕpv q that is minimal in M and satisfies ϕpM q „ ϕH pM q.

Proof. Assume the above conclusion is false. By induction, we construct a

binary tree xϕs pv q | s P  ω 2y of consistent non-algebraic LM -formulas with
ϕs pM q „ ϕH pM q for all s P  ω 2. Assume that ϕs pv q is already constructed
for some s P  ω 2. Since ϕs pM q „ ϕH pM q and ϕs pv q is non-algebraic, our
assumption implies that ϕs pv q is not minimal in M and hence there is an LM -
formula ψ pv q with the property that ϕsa 0 : ϕs ^ ψ and ϕsa 1 : ϕs ^ ψ are
both non-algebraic formulas. Since ϕsa i pM q „ ϕs pM q the above conditions
are satisfied. This construction shows that T is not totally transcendental, a
contradiction.

Definition 5.7.3. Given a model M  pM, . . . q of T , a non-algebraic LM -

formula ϕpv q is strongly minimal in M if ϕpv q is minimal in all elementary
extensions of M.

Lemma 5.7.4. Assume that T does not have Vaughtian pairs. If M 

pM, . . . q is a model of T , ϕpv0, . . . , vnq is an L-formula and a1, . . . , an P M
such that the M-formula ϕpv, a9 1 , . . . , a9 n q is minimal in M, then ϕpv, a9 1 , . . . , a9 n q
is strongly minimal in M.

Proof. Assume that there is an elementary extension N  pN, . . . q of M

such that ϕpv, a9 1 , . . . , a9 n q is not minimal in N . Then there are n ¥ n, an

30
L-formula ψ pv0 , . . . , vn q and an 1 , . . . , an P N such that the sets
ϕpN, a9 1 , . . . , a9 n q X ψ pN, a9 1 , . . . , a9 n q

and
ϕpN, a9 1 , . . . , a9 n q X ψ pN, a9 1 , . . . , a9 n q
are both infinite.

Let ϕ0 pv1 , . . . , vn q be the L-formula corresponding to ϕ ^ ψ in Corollary 5.6.11

and let ψ1 pv1 , . . . , vn q be the L-formula corresponding to ϕ ^ ψ in the same
way. Then

N |ù Dxn 1 , . . . , xn . ψ0 ap
9 1, . . . , a
9 n , xn 1 , . . . , xn q^ψ1pa1, . . . , an, xn
9 9 1 , . . . , xn q
and hence we can find bn 1 , . . . , bn P M with
M |ù ψ0 pa9 1 , . . . , a9 n , b9 n 1 , . . . , b9 n q ^ ψ1 pa9 1 , . . . , a9 n , b9 n 1 , . . . , b9 n q.

But this implies that the set

ϕpM, a9 1 , . . . , a9 n q X ϕpM, a9 1 , . . . , a9 n , b9 n 1 , . . . , b9 n q

is neither finite nor cofinite in ϕpM, a1 , . . . , an q.

In the problem class, you showed that the algebraic closure operation satis-
fies all properties of a pregeometry except for possibly (Exchange). In the
following, we will show that this property holds if we restrict the operation
to sets defined by strongly minimal formulas.

Definition 5.7.5. If M  pM, . . . q is an L-structure, A „ M and ϕpvq an

LA -formula, then we define

clM,A,ϕ : P pϕpM qq Ñ P pϕpM qq, B ÞÑ aclMpA Y B q X ϕpM q

Note that in the above situation, we have aclM pA Y B q  aclMA pB q, where

we use MA to explicitly denote the canonical LA -expansion of M. In the
following, we will work towards the proof of the next result.

31
Theorem 5.7.6. Let M  pM, . . . q be a model of T , A „ M and ϕpv q
an LA -formula that is strongly minimal in M. Then pϕpM q, clM,A,ϕ q is a
pregeometry.

Definition 5.7.7. Let M  pM, . . . q be a model of T , let A „ M and let

p P S1M pAq.

(i) The type p is algebraic if it contains an algebraic LA -formula.

(ii) If p is algebraic, then we define degppq : mint|ϕpM q| | ϕpv q P pu.

Proposition 5.7.8. Let M  pM, . . . q model of T , A „ M and p P S1M pAq.

(i) If ϕpv q P p is algebraic with degppq  |ϕpMq|, then ϕpv q isolates p.

(ii) The type p is algebraic if and only if there is an a P M which is algebraic

over A with p  tpM pa{Aq.

(iii) If p is algebraic and N is an elementary extension of M, then p has at

most degppq-many realizations in N .

(iv) If the type p is not algebraic, then there is an elementary extension

N  pN, . . . q of M such that N zM contains infinitely many realizations
of p.

(v) The type p is algebraic if and only if for every elementary extension N
of M, p has only finitely many realizations in N .

Proof.

(i) Set degppq  n and pick ϕpv q P p algebraic with |ϕpM q|  n. Fix
ψ pv q P p. Then pϕ ^ ψ qpM q „ ϕpM q and, since ϕ ^ ψ is an algebraic
LA -formula in p, the minimality of ϕpv q implies |ϕpM q|  |pϕ ^ ψ qpM q|
Therefore ϕpM q  pϕ ^ ψ qpM q and M |ù @x. ϕpxq Ñ ψ pxq. This shows
that ϕ isolates p.

(ii) First, assume that p is algebraic. By (i), there is an algebraic L-formula

ϕpv q P p that isolates p. If a P M with M |ù ϕpaq, then p  tpM pa{Aq
and ϕpv q witnesses that a is algebraic over A.

In the other direction, if a P M is algebraic over A with p  tpM pa{Aq,

32
 then there is an algebraic LA -formula ϕpv q with M |ù ϕpaq and hence
ϕpv q witnesses that p is algebraic.

(iii) Pick ϕpv q P p algebraic with degppq  |ϕpM q|. If N  pN, . . . q is

an elementary extension of M and a P N with p  tpN pa{Aq, then
a P ϕpN q  ϕpM q.

(iv) Assume that p is not algebraic. Let L denote the first order language
that extends LM by a constant symbol ci for every i P N and let T
denote the L -theory

DiagL pMq Y tψ pci q, a9  ci , ci

 cj | a P M, i, j P N, i  j u
™
By our assumption, if ψ0 , . . . , ψm P p, then i¤m ϕi P p is not alge-
™
braic and hence i¤m ψi pM q is infinite. This shows that T is finitely
satisfiable and hence there is a model N  pN , . . . q whose L-reduct
is an elementary extension of M and N zM contains infinitely many
realizations of p.

(v) This statement is a direct consequence of (iii) and (iv).

Lemma 5.7.9. Let M  pM, . . . q be a model of T , A „ B „ M and

p P S1M pAq non-algebraic. Then there is q P S1M pB q non-algebraic with p „ q.

Proof. Set q0 : p Y t ψ | ψ pv q algebraic LB -formulau.

Claim. q0 is finitely satisfiable.

Proof. Assume not. Then there is ϕpv q P p and algebraic LB -formulas
ψ1 , . . . , ψn with

M |ù @x. ϕpxq Ñ pϕ1 pxq _    _ ϕn pxqq.

”
But then ϕpM q „ tψi pM q | 1 ¤ i ¤ nu is finite and hence ϕpv q P p witnesses
that p is algebraic, a contradiction.

By the above claim, there is q P S1MpB q non-algebraic with p „ q0 „ q.

Lemma 5.7.10. Let M  pM, . . .q be a model of T and let ϕpvq be
an
LM -formula. Then ϕpv q is minimal in M if and only if there is a unique
non-algebraic type p P S1M pM q with ϕpv q P p.

33
Proof. First assume that ϕpv q is minimal in M and define

p  tψ | ψ pv q LM -formula with ϕ ^ ψ algebraicu.

Then the minimality of ϕpv q in M implies that for every LM -formula ψ pv q

either ψ P p or ψ P p. Moreover, if ψ0 , . . . , ψn P p then ψ0 ^    ^ ψn P p.
This shows that p is a non-algebraic type in S1M pM q with ϕpv q P p. Finally,
if q P S1M pM q is non-algebraic with ϕpv q P q, then p „ q and hence p  q.

In the other direction, if ϕpv q is not minimal in M, then there is an LM -

formula ψ pv q with both ϕ ^ ψ and ϕ ^ ψ non-algebraic. Define

p0 : tϕ ^ ψ u Y tv
 a | a P ϕpM q X ψpM qu,
9

p1 : tϕ ^ ψ u Y tv  a | a P ϕpM qzψ pM qu.

9

Since ϕpM q X ψ pM q and ϕpM qzψ pM q are both infinite, both p0 and p1 are
finitely satisfiable in M . Hence there are q0 , q1 P S1M pM q with p0 „ q0 and
p1 „ q1 . Since p0 and p1 are not realized in M, Proposition 5.7.8.(ii) implies
that q0 and q1 are both non-algebraic types containing ϕpv q.

Lemma 5.7.11. Let M  pM, . . .q be a model of T , let A „ M and let ϕpv q

be an LA -formula that is minimal in M. If a0 , . . . , an P ϕpM q and b0 , . . . , bn P
ϕpM q satisfy ai R aclM pA Y ta0 , . . . , ai
1 q and bi R aclM pA Y tb0 , . . . , bi
1 q
for all i ¤ n, then tpM pa0 , . . . , an {Aq  tpM pb0 , . . . , bn {Aq.

Proof. We proceed by induction on n P N. If n  1, then tpM pa0 {Aq 

tpM pb0 {Aq by our assumptions and Lemma 5.7.10. So assume that the state-
ment holds for n. Fix ψ pv0 , . . . , vn q P tpM pa0 , . . . , an {Aq. By the minimality
of ϕpv q in M, we know that the set ϕpM qX ψ pa9 0 , . . . , a9 n
1 , M q is either finite
or cofinite in ϕpM q. Since an R aclM pA Y ta0 , . . . , an
1 uq is an element of this
set, it must be cofinite in ϕpM q.

By our induction hypothesis, tpM pa0 , . . . , an
1 {Aq  tpM pb0 , . . . , bn
1 {Aq
and therefore ϕpM q X ψ pb9 0 , . . . , b9 n
1 , M q is also cofinite in ϕpM q. Since
bn R aclM pA Y tb0 , . . . , bn
1 uq, we know that b R ϕpM qzψ pb9 0 , . . . , b9 n
1 , M q
and hence ψ P tpM pb0 , . . . , bn {Aq. This shows that tpM pa0 , . . . , an {Aq „
tpM pb0 , . . . , bn {Aq and hence they must be equal.

34
Definition 5.7.12. Let M  pM, . . .q be a model of T and let A „ M . A
non-algebraic type p P S1M pAq is strongly minimal if there is an LA -formula
ϕpv q P p that is strongly minimal.

Lemma 5.7.13. Let M  pM, . . .q be a model of T , let N  pN, . . .q be an

elementary extension of M, let A „ M and let A „ B „ N . If p P S1M pAq is
a strongly minimal type, then there is a unique non-algebraic type q P S1N pB q
with p „ q.

Proof. Since p is non-algebraic as an element of S1N pAq, Lemma 5.7.9 yields

a non-algebraic type q P S1N pB q with p „ q. Pick an LA -formula ϕpv q P p
that is strongly minimal in M. Since ϕpv q is minimal in N , we can apply
Lemma 5.7.10 to conclude that q is the unique non-algebraic type in S1N pB q
that contains ϕpv q. Hence it is the unique non-algebraic type in S1N pB q that
extends p.

Proof of Theorem 5.7.6. Let M  pM, . . .q be a model of T , let A „ M and

let ϕpv q be an LA -formula that is strongly minimal in M. As remarked before,
we have aclM pA Y B q  aclMA pB q for all B „ M . In the problem class it
was shown that the function aclMA : P pMq Ñ P pMq satisfies (Reflexivity),
(Finite character) and (Transitivity). But this implies that the function
clM,A,ϕ : P pϕpM qq Ñ P pϕpM qq satisfies the same properties. Hence it suffices
to show that clM,A,ϕ satisfies (Exchange).

Fix B „ ϕpM q and a, b P ϕpM q with a R clM,A,ϕ pB q and b R clM,A,ϕ pB Y tauq.

Assume that a P clM,A,ϕ pB Y tbuq  aclM pA Y B Y tbuq X ϕpM q. Pick an
LAYB -formula ψ pv0 , v1 q and k P N with
ª
ψ pv0 , v1 q ^ Dx0 , . . . , xk
1 . @x. ψ px, v1 q Ñ x  xi
 
i k

contained in tpM pa, b{A Y B q. Since a, b R aclM pA Y B q, we know that the

types tpM pa{A Y B q and tpM pb{A Y B q are non-algebraic and they both
contain the strongly minimal formula ϕpv q. Hence Lemma 5.7.10 allows us to
conclude that tpM pa{A Y B q  tpM pb{A Y B q.

Moreover, a combination of Proposition 5.7.8.(iv) and Lemma 5.7.13 shows

that for everey elementary extension N0  pN0 , . . .q of M, there is a further

35
elementary extension N1  pN1 , . . .q such that N1 zN0 contains infinitely
many realizations of tpM pa{A Y B q. Since algebraic closures do not grow
in elementary extensions, this observation allows us to find an elementary
extension N  pN, . . .q of M, C „ N infinite and d P N such that C Y tdu
consists of realizations of tpM pa{A Y B q, aclM pA Y B q X C  H and d R
aclM pA Y B Y C q. In this situation, Lemma 5.7.11 implies that tpM pa, b{A Y
B q  tpN pc, d{A Y B q for all c P C. In particular, we have C „ ψ pN, dq and
|ψpN, dq| ¤ k which is a contradiction.

5.8 The Baldwin-Lachlan-Theorem

As above, we let T denote a countable complete L-theory with infinite

models.

The results of the previous section allow us to make the following defini-
tion.

Definition 5.8.1. If M  pM, . . . q is a model of T , A „ M and ϕpv q is an

L-formula that is strongly minimal in M, then we define

dimA,ϕ pMq  dimpϕpMq, clM,A,ϕ q

Proposition 5.8.2. Let M  pM, . . . q and N  pN, . . . q be models of T ,

A „ M X N and let ϕpv q be an LA -formula that is strongly minimal in M
and N . If f : ϕpMq Ñ ϕpN q is an LA -elementary bijection, then f maps
bases of pϕpMq, clM,A,ϕ q to bases of pϕpN q, clN ,A,ϕ q. In particular, we have
dimA,ϕ pMq  dimA,ϕ pN q.

Proof. Let B „ ϕpMq be a basis of pϕpMq, clM,A,ϕ q. First, pick a P ϕpMq 

clM, A, ϕpB q  aclMA pB qX ϕpMq. Then there is an LA -formula ψ pv0 , . . . , vn q
and b1 , . . . , bn P B with the property that the LAYB -formula ψ pv, b1 , . . . , bn q
witnesses that a P aclMA pB q. Given 1 ¤ i ¤ n, set c  f pbi q. Then the
LAYf 2 rB s -formula ψ pv, c91 , . . . , c9n q witnesses that f paq is algebraic over f 2 rB s.
This shows that ϕpN q  clN ,A,ϕ pf 2 rB sq

Next, assume that there is b P B with f pbq P clN ,A,ϕ ppf 2 rB sqztf pbuq. Then
there is an LA -formula ψ pv0 , . . . , vn q, b1 , . . . , bn P B ztbu and c1 , . . . , cn P ϕpN q

36
such that ci  f pbi q for all 1 ¤ i ¤ n and the LAYf 2 rB s -formula ψ pv, c1 , . . . , cn q
witnesses that f pbq is algebraic over pf 2 rB sqztbu. But then elementarity
implies that the LAYB -formula ψ pv, b9 1 , . . . , b9 n q witnesses that b is algebraic
over B ztbu, a contradiction.

Lemma 5.8.3. Let M  pM, . . . q and N  pN, . . . q be L-structures, let

A „ M and let B „ N . If f : A Ñ B is an elementary bijection, then there
is an -elementary bijection g : aclM pAq Ñ aclN pB q with f „ g.

Proof. With the help of Zorns’s Lemma, we find an elementary bijection

g : A Ñ B with A „ A „ aclM pAq and B „ B „ aclN pB q and f „ g that
is „-maximal with these properties. Pick a P aclM pAq „ aclM pA q. Then
Proposition 5.7.8 (ii) yields an L-formula ψ pv0 , . . . , vn q and a1 , . . . , an P A
with the property that the LA -formula ψ pv, a9 1 , . . . , a9 n q is algebraic and
isolates tpM pa{A q. Given 1 ¤ i ¤ n, let bi  g pai q. By Lemma ??, the LB -
formula ψ pv, b1 , . . . , bn q isolates the type S1 pf
1 qptpM pa{A qq and hence there
is b P N with tpN pb{B q  S1 pf qptpM ppa{A qq. Since elementarity implies
that ψ pv, b9 1 , . . . , b9 n q is algebraic, we know that b P aclN pB q  aclN pB q and,
if we set k  g Ytpa, bqu, then k : A Ytau Ñ B Ytbu is an elementary bijection
with f „ g „ k, because the elementarity of G implies that a P A if and only
if b P B . By maximality of g, we know that g  k and hence A  aclM pAq.

An analogous argument shows that B aclN pB q.

Lemma 5.8.4. Let M  pM, . . . q and N  pN, . . . q be models of T , let
A „ N X M with ThL pMq  ThL pN q and let ϕpv q be an LA -formula
A A

that is strongly minimal in M and N . Then the following statements are

equivalent:

(i) There is an LA -elementary bijetion f : ϕpMq Ñ ϕpN q

(ii) dimA,ϕ pMq  dimA,ϕ pN q.

Proof. The forward implication is given by Proposition 5.8.2. Hence as-

sume that piiq holds and fix a bijection f : B Ñ C between a basis B of
pϕpMq, clM,A,ϕq and a basis C of pϕpN q, clM,A,ϕq.

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Claim. If b1 , . . . , bn P B with bi  bj for all 1 ¤ i   j ¤ n, then the
restriction of f to tb1 , . . . , bn u is an LA -elementary map.

Proof. By induction of n P N, where the case c  0 directly follows from our

assumptions. Assume that the above statement holds for n P N and pick
b1 , . . . , bn 1 P B with bi  bj for all 1 ¤ i   j ¤ n 1. Let f0 denote the
restriction of f to tb1 , . . . , bn u. Given 1 ¤ i ¤ n 1, set ci  f pbi q. Let

S1 pf0
1 q : S1MA ptb1 , . . . , bn uq Ñ S1NA ptc1 , . . . , cn uq

denote the map induced by f0
1 as in Lemma 4.1.18 and set q  S1 pf0
1 qptpMa pbn 1 {tb1, . . . , bnuqq
Then ϕpv q P q and elementarity implies that q is non-algebraic. Since
tpNA pcn 1 {tc1 , . . . , cn uq is aloso non-algebraic and it also contains ϕpv q, we
can apply Lemma 5.7.10 to conclude that q  tpNa pcn 1 {tc1 , . . . , cn uq But this
shows that the restriction of f to tb0 , . . . , bn u is an La -elementary map.

The above claim shows that f : B Ñ C is an LA -elementary bijection

and hence Lemma 5.8.3 yields an elementary bijection g : aclMA pB q Ñ
aclNA pC q extending f . Since B is a basis of pϕpMq, clM,A,ϕ q and C is a
basis of pϕpN q, clN ,A,ϕ q, we know that ϕpMq  clM,A,ϕ pB q „ aclNA pC q
and ϕpN q „ aclN pC q. In particular, the LA -elementarity of g implies that
g æ ϕpMq : ϕpMq Ñ ϕpN q is an LA -elementary bijection.

Proof of Theorem 5.6.2. Let T be a countable complete theory with infinite

models and let κ be an uncountable cardinal.

If T is κ-categorial, then Theorem 5.3.1 implies that T is ω-stable and

Corollary 5.6.8 shows that T has no Vaughtian pairs.

In the other direction, assume that T is ω-stable and does not have Vaughtian
pairs. Let M be a countable model of T . Then Theorem 5.2.8 implies that
T is totally transcendental and Theorem 5.4.5 yields an elementary submodel
M0  pM0 , . . . q of M that is constructible over H. By Proposition 5.7.2,
there is an LM0 -formula ϕpv q that is minimal in M0 . Moreover, Lemma 5.7.4
shows that ϕpv q is also strongly minimal in M0 .

Fix models M1 and M2 of T of cardinality κ. Since Proposition 5.4.3 shows

that M0 is a prime extension of H, we may assume that M0 is an elementary

38
submodel of M1 and M2 . Given i P t1, 2u, the non-existance of Vaughtian
pairs for T implies that there is no proper elementary submodel of Mi
whose domain contains M0 Y ϕpMi q. In particular, Proposition 5.4.3 and
Theorem 5.4.5 imply Mi is a prime extention of M0 Y ϕpMi for all i P t1, 2u.
Moreover, since M is countable, we know that the sets ϕpM1 q and ϕpM2 q
both have cardinality κ and this allows us to conclude that

dimA,ϕ pM1 q  κ  dim A, ϕpM2 q

In this situation, Lemma 5.8.4 yields an LM0 -elementary bijection f : ϕpM1 q Ñ

ϕpM2 q, because ThLM0 pM1 q  ThLM0 pM2 q. Since M1 is a prime extension
of of M0 Y ϕpM1 q, there is g : M1 Ñ M2 LM0 -elementary embedding ex-
tending f But then ranpg q is an elementary submodel of M2 that contains
M0 Y ϕpM2 q and hence g is an isomorphism between M1 and M2 .

Proof of Theorem 5.1.2. Let T be a countable complete theory with infinite

models and let κ be uncountable cardinal. If T is κ-categorical, then The-
orem 5.2.1 implies that T is ℵ1 -categorical. In the other direction, if T is
ℵ1 -categorical, then Theorem 5.3.1 shows that T is ω-stable, Corollary 5.6.8
implies that T does not have Vaughtian pairs and hence we can apply Theo-
rem 5.6.2 to conclude that T is κ-categorical.

39