Some New Lower Bounds for the Estrada Index

Juan L. Aguayo and Juan R. Carmona∗

Instituto de Ciencias Fı́sicas y Matemáticas,
Universidad Austral de Chile, Independencia 631, Valdivia, Chile

Jonnathan Rodrı́guez
Departamento de Matemáticas, Facultad de Ciencias Básicas
Universidad de Antofagasta, Antofagasta, Chile.

Abstract
Let G be a graph on n vertices and λ1 , λ2 , . . . , λn its eigenvalues. The Estrada
index of G is an invariant that is calculated from the eigenvalues of the
adjacency matrix of a graph. In this paper, we present some new lower
bounds obtained for the Estrada Index of graphs and in particular of bipartite
graphs that only depend on the number of vertices, the number of edges,
Randić index, maximum and minimum degree and diameter.
Keywords:
Estrada Index; Adjacency matrix; Lower bound; Randić Index; Graph.
2000 MSC: 05C50, 15A18

1. Introduction
In this paper, we consider undirected simple graphs G with by edge set
denoted by E(G) and its vertex set V (G) = {1, . . . , n} with cardinality m
and n, respectively. We say that G is an (n, m) graph. If e ∈ E(G) has
end vertices i and j, then we say that i and j are adjacent and this edge is
denoted by ij. For a finite set U , |U | denotes its cardinality. Let Kn be the
complete graph with n vertices and Kn its (edgeless) complement. A graph
G is bipartite if there exists a partitioning of V (G) into disjoint, nonempty

∗
Corresponding author
Email addresses: juanaguayo@uach.cl, juan.carmona@uach.cl (Juan L. Aguayo
and Juan R. Carmona), jonnathan.rodriguez@uantof.cl (Jonnathan Rodrı́guez)

Preprint submitted to October 25, 2019

sets V1 and V2 such that the end vertices of each edge in G are in distinct sets
V1 , V2 . A graph G is a complete bipartite graph if G is bipartite and each
vertex in V1 is connected to all the vertices in V2 . If |V1 | = p and |V2 | = q, the
complete bipartite graph is denoted by Kp,q . For more properties of bipartite
graphs, see [20].

If i ∈ V (G), then N G(i) is the set of neighbors of the vertex i in G,

that is, N G(i) = {j ∈ V (G) : ij ∈ E(G)}. For the i-th vertex of G, the
cardinality of N G(i) is called the degree of i and it is denoted by d(i). The
maximum vertex degree is denoted by ∆ and the minimum vertex degree of
G, is denoted by δ. The general Randić index Rα (G) of G, is defined as
X
Rα = (d(i)d(j))α ,
ij∈E(G)

where α is ar arbitary real number. Si α = −1/2 we obtain the Randić

index or connectivity index or branching index, denoted by R (see [24]).
Let i, j ∈ V (G), a walk of G from i to j is a finite alternating sequence
i0 (= i)e1 i1 e2 i2 . . . ek−1 ik−1 ek ik (= j) of vertices and edges such that er = ir1 ir
for r = 1, 2, . . . , k. The number k is the length of the walk. In particular,
if the vertex ir , r = 0, 1, . . . , k, in the walk are all distinct then the walk is
called a path. The path graph of n vertices is denoted by Pn . A closed path
or cycle , is a path i1 , . . . , ik (where k ≥ 3) together with the edge i1 ik . The
cycle graph of n vertices is denoted by Cn . If each pair of vertices in a graph
is joined by a walk, the graph is said to be connected, in this case, we say
that A(G) is irreducible. The distance between two vertices i and j, denoted
by d(i, j), is the number of edges of a shortest path between i and j, and its
maximum value over all pair of vertices is called diameter of the graph G, is
that,
D = diam(G) = max{d(i, j) : i, j ∈ V (G)}).
The adjacency matrix A(G) of the graph G is a symmetric matrix of order
n with entries aij , such that aij = 1 if ij ∈ E(G) and aij = 0 otherwise.
Denoted by λ1 ≥ . . . ≥ λn to the eigenvalues of A(G), see [5, 6]. A matrix is
singular if it has zero as an eigenvalue, otherwise, it is called non-singular.
The Estrada index of the graph G is defined as
n
X
EE(G) = eλi .
i=1

2
This spectral quantity is put forward by Ernesto Estrada [8] in the year 2000.
There have been found a lot of chemical and physical applications, including
quantifying the degree of folding of long-chain proteins, [8, 9, 10, 16, 17, 19],
and complex networks [11, 12, 25, 27, 28, 29]. Mathematical properties of
this invariant can be found in e.g. [13, 15, 18, 22, 30, 31, 32].

Denote by Mk = Mk (G) to the k-th spectral moment of the graph G, i.e.,

n
X
Mk = (λi )k .
i=1

Then, we can write the Estrada index as

∞
X Mk
EE(G) = .
k=0
k!

In [5], for an (n, m)-graph G, the authors proved that

M0 = n, M1 = 0, M2 = 2m, M3 = 6t, (1)

where t is the number of triangles in G.

In this work, under motivation of paper [2], we obtain new lower bounds
for the Estrada index of graphs and bipartite graphs in terms of number of
vertices, number of edges, Randić index, maximum and minimum degree and
diameter.

2. Lemmas for new lower bounds for the Estrada index

We list some known results that will be needed in the following sections.

Lemma 1 (D. Cvetković, M. Doob, H. Sachs [5]). Let G be a connected

graph with m edges, n vertices, then
2m
λ1 ≥ .
n

3
Lemma 2 (Bollobás, Erdös [1]). Let G be a non-trivial graph with n ver-
tices, then
n
R≤ .
2
Lemma 3 (Favaron, Mahéo, J.-F. Saclé [14]). Let G be a connected graph
with m edges, then
m
λ1 ≥ .
R
Lemma 4 (Favaron, Mahéo, J.-F. Saclé [14]). Let G be a non-empty
graph with maximum vertex degrees ∆. Then
√
λ1 ≥ ∆,
Lemma 5 (Favaron, Mahéo, J.-F. Saclé [14]). If G is a graph with n
vertices, m edges, and degree sequence d1 , d2 , . . . , dn , then
R1/2
λ1 ≥
m
Lemma 6 (Cvetković, Doob, Sachs [5]). G has only one distinct eigen-
value if and only if G is an empty graph. G has two distinct eigenvalues
µ1 > µ2 with multiplicities m1 and m2 if and only if G is the direct sum of
m1 complete graphs of order µ1 + 1. In this case, µ2 = 1 and m2 = m1 µ1 .
Lemma 7 (Stevanovic [26]). If G is a connected graph with n vertices and
diameter D. Then √
λ1 ≥ D n − 1.
Lemma 8 (Das, Mojallal [7]). If G is a graph with n vertices, m edges,
and minimum degree δ. Then
2(m − δ)
λ1 ≥ .
n−1
Remark 9. The case of equality is not discussed in [7]. In the development
of our work, we hope that a family that fulfills equality is the following
Γ = {G ∪ K1 /G is r − regular}.
Indeed, if G = (n.m) we have to, G ∪ K1 is obtained
2( nr
2
− 0)
= r = λ1 (G ∪ K1 ).
n
4
Lemma 10 (Hong [21]). If G is a connected unicyclic graph, then

λ1 ≥ 2,

with equality if and only if G is a cycle Cn .

Lemma 11 (Collatz, Sinogowitz [4]). If G is a connected graph with n

vertices, then  
π
λ1 ≥ 2 cos
(n + 1)
with equality if and only if G is isomorphic to Pn .

3. Main Results
In this section, we present our main results for the Estrada Index, which
are lower bounds that are a function of known structural elements of the
graph.

3.1. Lower bound for the Estrada index

Consider the following function

f (x) = (x − 1) − ln(x), x > 0. (2)

that is is decreasing in (0, 1] and increasing in [1, +∞) Thereby, f (x) ≥

f (1) = 0, implying that

x ≥ 1 + ln x, x > 0, (3)

the equality holds if and only if x = 1. Let G be a graph of order n, using

(1) and (3), we get:
n
X
EE(G) ≥ eλ1 + (n − 1) + ln eλk
k=2
n
X
= eλ1 + (n − 1) + λk (4)
k=2
= eλ1 + (n − 1) + M1 − λ1
= eλ1 + (n − 1) − λ1 .

5
Remark 12. The equality in (4) holds if and only if λ2 = . . . = λn = 0.
Then, by Lemma 6, G is isomorphic to Kn .

Define the function

φ(x) = ex + (n − 1) − x, x ≥ 0. (5)

Note that, this is an increasing function on Dφ = [0, +∞).

Next, together with that the above Remark 12, we will establish the
following results based on the Lemmas mentioned in the previous section.

Theorem 13. Let G be a connected graph with m edges, then

m
m
EE(G) > e ( R ) + (n − 1) − , (6)
R
with R = R(G) the Randić index of G.

Proof. Using Lemma 3 and (5), we have

m
φ(λ1 ) ≥ φ .
R
As G is connected, the equality in (6) is not verified, see Remark 12.

Theorem 14. Let G be a non-empty graph with maximum vertex degrees ∆.

Then √ √
EE(G) > e ∆ + (n − 1) − ∆. (7)

Proof. Using Lemma 4 and (5), we have

√
φ(λ1 ) ≥ φ( ∆).

As G is non empty, the equality in (7) is not verified. (see Remark 12)

Theorem 15. If G is a graph with n vertices, m edges and degree sequence

d1 , d2 , . . . , dn , then
R1/2 R1/2
EE(G) > e m + (n − 1) − , (8)
m

6
Proof. Using Lemma 5 and (5), we have
 
R1/2
φ(λ1 ) ≥ φ .
m

As G is non empty, the equality in (8) is not verified, see Remark 12.

Theorem 16. If G is a connected graph with n vertices and diameter D.

Then, √ √
D
EE(G) > e n−1 + (n − 1) − D n − 1. (9)

Proof. Using Lemma 7 and (5), we have

√
φ(λ1 ) ≥ φ( D n − 1).

As G is connected, the equality in (9) is not verified. (see Remark 12)

Theorem 17. If G is a graph with n vertices, m edges and minimum degree

δ. Then
2(m−δ) 2(m − δ)
EE(G) ≥ e (n−1) + (n − 1) − . (10)
(n − 1)
Moreover, the equality is verified hold if and only if G is isomorph to Kn .

Proof. Ussing Lemma 8 and (5), we have

 
2(m − δ)
φ(λ1 ) ≥ φ .
(n − 1)

The equality is verified, from Remark 12, if and only if G is isomorph to

Kn .

Theorem 18. If G is a connected unicyclic graph, then

EE(G) > e2 + (n − 3). (11)

Proof. Using Lemma 10 and (5), we have

φ(λ1 ) ≥ φ(2).

As G is connected, the equality in (11) is not verified. (see Remark 12)

7
Theorem 19. If G is a connected graph with n vertices, then
 
π
2 cos ( n+1 ) π
EE(G) > e + (n − 1) − 2 cos . (12)
n+1

Proof. Using Lemma 11 and (5), we have

  
π
φ(λ1 ) ≥ φ 2 cos .
n+1

As G is connected, the equality in (12) is not verified. (see Remark 12)

3.2. The Estrada index of a bipartite graph

In the following result, we obtain a sharp lower bound of the Estrada

index for a bipartite graph. Considering (1) and (3), we obtain
n−1
X
EE(G) = e λ1
+e −λ1
+ e λk
k=2
n−1
(13)
X
≥ 2 cosh λ1 + (n − 2) + λk
k=2
= 2 cosh λ1 + (n − 2) + M1 + λ1 − λ1
= 2 cosh λ1 + (n − 2).

Since,
Φ(x) = 2 cosh x + (n − 2), (14)
is an increasing function on DΦ = [0, +∞).

Theorem 20. Let G be a connected graph with m edges, then

m
EE(G) ≥ 2 cosh + (n − 2), (15)
R
with R = R(G) the Randı́c index of G. Moreover, the equality is verified hold
if and only if G is isomorph to Kp,q , where p + q = n.

8
Proof.
Using Lemma 4 and (14), we have
m
Φ(λ1 ) ≥ Φ .
R
So we obtain m
EE(G) ≥ 2 cosh + (n − 2).
R
Suppose that equality in (15) is maintained. Then in (13) inequalities are
changed by equalities. Thus, by (3), we have
m
|λ1 | = |λn | = and λ2 = . . . = λn−1 = 0. (16)
R
From (16), considering to the definition of imprimitivity h in ([23], Section
III) and by the general form of the Frobenius matrix of a nonnegative, irre-
ducible and symmetric matrix, we have to A(G) is permutationally equivalent
to a block matrix of the form
 
0p,p C
,
C T 0q,q

where C = (ci,j ), ci,j = 1 for i = 1, . . . , q. and j = 1, . . . , p. Then G = Kp,q ,

with p + q = n.
pq
On the other hand, if G = Kp,q , we have to m = pq and R = √ , then:
pq
m √
2 cosh + (p + q − 2) = 2 cosh( pq) + (p + q − 2) = EE(Kp,q ).
R

Theorem 21. Let G be a non-empty graph with n vertices and maximum

vertex degrees ∆. Then
√
EE(G) ≥ 2 cosh ∆ + (n − 2), (17)

with equality if and only if G ∼

= Sn or G ∼
= S∆+1 ∪ (n − ∆ − 1)K1 .

Proof. Using Lemma 4 and (14), we have

√ 
Φ(λ1 ) ≥ Φ ∆ .

9
So we obtain √
EE(G) ≥ 2 cosh ∆ + (n − 2).
Suppose that equality in (17) is hold. Then in (13) inequalities are
changed by equalities.
√ Thus, by (3), we have λ2 = . . . = λn−1 = 0 and
λ1 = −λn = ∆. Since
Xn
λ2i = 2m,
i=1

then
∆=m
By Caporossi et al in [3], Theorem 1, we have
√
E(G) = 2 m

and G is isomorphic to a complete bipartite graph with isolate vertices.

We claim two cases.
• Case 1: Supposed a connected graph G then G ∼ = Kp,q where p+q = n.
Without loss of generality, we can suppose that p = max{p, q} = ∆.
Moreover, we have pq = ∆, thereby q = 1. Therefore, G ∼
= Sn .
• Case 2: If G is not connect graph then G is isomorphic to a complete
bipartite graph with isolate vertices, i.e, G ∼
= Kp,q ∪(n−p−q)K1 . Then,
without loss of generality, we can suppose that p = max{p, q} = ∆.
Moreover, we have pq = ∆. Asi G ∼ = K1,∆ ∪ (n − ∆ − 1)K1 .
On the other hand, if G is isomorphic to the graph in Theorem, the equality
in (17) is easily verified.

Theorem 22. If G is a graph with n vertices, m edges, then

 
R1/2
EE(G) ≥ 2 cosh + (n − 2). (18)
m
The equality in (19) holds if and only if G ∼
= Kp,q ∪ (n − p − q)K1 .

Proof. Using Lemma 5 and (5), we have

 
R1/2
φ(λ1 ) ≥ φ .
m

10
So we obtain
 
R1/2
EE(G) ≥ 2 cosh + (n − 2).
m
Suppose that equality in (19) is hold. Then in (13) inequalities are
changed by equalities. Thus, by (3), we have λ2 = . . . = λn−1 = 0 and
R1/2
λ1 = −λn = m . Then the adjacency matrix of G it has a index of im-
primitivity h = 2. Then, similar to the proofs in Theorem 21, one can easily
obtain that G ∼ = Kp,q the complete bipartite graph, with p + q = n, or
G∼ = Kp,q ∪ (n − p − q)K1 .
On the other hand, if G if G ∼= Kp,q ∪ (n − p − q)K1 , we have to m = pq
√
and R1/2 = pq pq, then:
 
R1/2 √
2 cosh + (n − p − q − 2) = 2 cosh( pq) + (n − p − q − 2) = EE(G).
m

Theorem 23. If G is a connected graph with n vertices and diameter D.

Then, √
EE(G) ≥ 2 cosh D n − 1 + (n − 2). (19)
with equality if and only if G ∼
= Sn .

Proof. Using Lemma 8 and (5), we have

√
φ(λ1 ) ≥ φ( D n − 1).

So we obtain
√
D
EE(G) ≥ 2 cosh n − 1 + (n − 2).
Suppose that equality in (19) is maintained. Then in (13) inequalities are
changed by equalities. Thus, by (3), we have
√
|λ1 | = |λn | = D n − 1 and λ2 = . . . = λn−1 = 0. (20)

From (20), the adjacency matrix of G it has a index of imprimitivity h = 2

and similar to the proofs in Theorem 21, one can easily obtain that G ∼
= Kp,q ,
with p + q = n. Further of (20) we have that
√ √
pq = D n − 1. (21)

11
For equality in (21) is verified, we must consider the following:

D = 2, pq = n − 1 and p + q = n.
Note that we have a system of equations for p and q based on n. After
solving the system we get the following pair of solutions (p, q) = (1, n − 1) =
(n − 1, 1), therefore G ∼
= Sn .
On the other hand, if G ∼= Sn it is easy to check that the equality in (19)
holds.
Theorem 24. If G is a graph with n vertices, m edges and minimum degree
δ. Then
2(m − δ)
EE(G) ≥ 2 cosh + (n − 2). (22)
(n − 1)
Equality is holds if and only if G is isomorph to Kp,p ∪ K1 , where n = 2p + 1.
Proof. Using Lemma 7 and (5), we have
 
2(m − δ)
φ(λ1 ) ≥ φ .
(n − 1)
So we obtain

2(m − δ)
EE(G) ≥ 2 cosh + (n − 2).
(n − 1)
Suppose that equality in (22) is maintained. Then in (13) inequalities are
changed by equalities. Thus, by (3), we have
2(m − δ)
|λ1 | = |λn | = and λ2 = . . . = λn−1 = 0. (23)
(n − 1)
Then the adjacency matrix of G it has a index of imprimitivity h = 2. Then,
similar to the proofs in the Theorem 21, one can easily obtain that G ∼= Kp,q
∼
the complete bipartite graph, with p + q = n, or G = Kp,q ∪ (n − p − q)K1 .
Note that the first case is discarded because it does not comply with equality
2(m − δ)
λ1 = . (24)
n−1
If G ∼
= Kp,q ∪ (n − p − q)K1 , then δ = 0, and
2m
λ1 = = λ1 (Kp,q ).
n−1

12
Thus we conclude that p = q and p + 1 = n − 1. Then G is isomorph to
Kp,p ∪ K1 , where n = 2p + 1. On the other hand, if G ∼
= Kp,p ∪ K1 it is easy
to check that the equality in (22) holds.

Theorem 25. If G is a connected unicyclic graph, then

EE(G) ≥ 2 cosh(2) + (n − 2). (25)

with equality if and only if G ∼

= C4 .

Proof. Using Lemma 10 and Lemma 5, we have

φ(λ1 ) ≥ φ(2).

Suppose that equality in (25) is maintained. Then in (13) inequalities are

changed by equalities. Thus, by (3), we have

|λ1 | = |λn | = 2 and λ2 = . . . = λn−1 = 0. (26)

From (26), the adjacency matrix of G it has a index of imprimitivity h = 2

and similar to the proofs in Theorem 20, one can easily obtain that G ∼= Kp,q ,
∼
with p + q = n. Further of (26) y el Lemma 10 we have that G = Cn . Then
the only cycle that meets the conditions is C4 . On the other hand, if G ∼
= C4
it is easy to check that the equality in (25) holds.

Theorem 26. If G is a connected graph with n vertices, then

  
π
EE(G) ≥ 2 cosh 2 cos + (n − 2). (27)
n+1
with equality if and only if G ∼
= P2 or G ∼
= P4 .

Proof. Using Lemma 11 and (5), we have

  
π
φ(λ1 ) ≥ φ 2 cos .
n+1
Suppose that equality in (27) is maintained. Then in (13) inequalities are
changed by equalities. Thus, by (3), we have
 
π
|λ1 | = |λn | = 2 cos and λ2 = . . . = λn−1 = 0. (28)
n+1

13
From (28), the adjacency matrix of G it has a index of imprimitivity h = 2
and similar to the proofs in Theorem 20, one can easily obtain that G ∼ = Kp,q ,
with p + q = n. Further of (28) and Lemma 11, we have G ∼ = Pn . Thus,
the only paths that are complete bipartite are G ∼ = P2 and G ∼ = P3 . On the
other hand, if G ∼
= 2P or G ∼ P
= 3 it is easy to check that the equality in (27)
holds.

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