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Inequalities for f*-vectors of lattice polytopes

  • Matthias Beck , Danai Deligeorgaki EMAIL logo , Max Hlavacek and Jerónimo Valencia-Porras
Published/Copyright: April 26, 2024
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Abstract

The Ehrhart polynomial ehrP(n) of a lattice polytope P counts the number of integer points in the n-th dilate of P. The f*-vector of P, introduced by Felix Breuer in 2012, is the vector of coefficients of ehrP(n) with respect to the binomial coefficient basis {n10,n11,,n1d}, where d = dim P. Similarly to h/h*-vectors, the f*-vector of P coincides with the f-vector of its unimodular triangulations (if they exist). We present several inequalities that hold among the coefficients of f*-vectors of lattice polytopes. These inequalities resemble striking similarities with existing inequalities for the coefficients of f-vectors of simplicial polytopes; e.g., the first half of the f*-coefficients increases and the last quarter decreases. Even though f*-vectors of polytopes are not always unimodal, there are several families of polytopes that carry the unimodality property. We also show that for any polytope with a given Ehrhart h*-vector, there is a polytope with the same h*-vector whose f*-vector is unimodal.

1 Introduction

For a d-dimensional lattice polytope P ⊂ ℝd (i.e., the convex hull of finitely many points in ℤd) and a positive integer n, let ehrP(n) denote the number of integer lattice points in nP. Ehrhart’s famous theorem [11] says that ehrP(n) evaluates to a polynomial in n. Similar to the situations with other combinatorial polynomials, it is useful to express ehrP(n) in different bases; here we consider two such bases consisting of binomial coefficients:

ehrP(n)=k=0dhkn+dkd=k=0dfkn1k. (1)

We call (f0,f1,,fd) the f*-vector and (h0,h1,,hd) the h*-vector of P. Stanley [15] proved that the h-vector of any lattice polytope is nonnegative (whereas the coefficients of ehrP(n) written in the standard monomial basis can be negative). Breuer [9] proved that the f*-vector of any lattice polytopal complex is nonnegative (whereas the h-vector of a complex can have negative coefficients); his motivation was that various combinatorially-defined polynomials can be realized as Ehrhart polynomials of complexes and so the nonnegativity of the f*-vector yields a strong constraint for these polynomials. The f*- and h*-vector can also be defined through the Ehrhart series of P:

EhrP(z):=1+n1ehrP(n)zn=k=0dhkzk(1z)d+1=1+k=0dfk(z1z)k+1.

It is thus sometimes useful to add the definition f1 := 1. The polynomial k=0dhkzk is the h*-polynomial of P, and its degree is the degree of P. For general background on Ehrhart theory, see, e.g., [3]. The f*- and h*-vectors share the same relation as f- and h-vectors of polytopes/polyhedral complexes, namely

k=0dhkzk=k=0d+1fk1zk(1z)dk+1 (2)
hk=j=1k1(1)kj1djkj1fj (3)
fk=j=0k+1dj+1kj+1hj. (4)

The (very special) case that P admits a unimodular triangulation yields the strongest connection between f*/h*-vectors and f/h-vectors: in this case the f*/h*-vector of P equals the f/h-vector of the triangulation, respectively.

Example 1

Let P be the square [−1, 1]2. The unimodular triangulation of P shown in Figure 1 has f-vector (f0, f1, f2) = (9, 16, 8), where fi counts its i-dimensional faces. Equivalently, f*(P) = (9, 16, 8), and one easily checks that (1) yields the familiar Ehrhart polynomial ehrP(n) = (2n + 1)2.

Figure 1 A (regular) unimodular triangulation of the square [−1, 1]2.
Figure 1

A (regular) unimodular triangulation of the square [−1, 1]2.

Example 2

The f*-vector of a d-dimensional unimodular simplex Δ equals [d+11,d+12,,d+1d+1], coinciding with the f-vector of Δ considered as a simplicial complex. If we include f1 = 1, it gives the only instance of a symmetric f*-vector of a lattice polytope P, since the equality f1 = fd combined with (4) implies that hi = 0 for 1 ≤ id.

There has been much research on (typically linear) constraints for the h*-vector of a given lattice polytope; see, e.g., [16; 17]. On the other hand, f*-vectors seem to be much less studied, and our goal is to rectify that situation. Our motivating question is how close the f*-vector of a given lattice polytope is to being unimodal, i.e., the f*-coefficients increase up to some point and then decrease. Our main results are as follows.

Theorem 3

Let d ≥ 2 and let P be a d-dimensional lattice polytope. Then

  1. f0<f1<<fd21fd2;

  2. f3d4>f3d4+1>>fd;

  3. fkfd1k for integer 0kd22.

Examples 1 and 2 yield cases of polytopes for which the inequalities f3d41<f3d4andfd2>fd2+1 hold, respectively, and thus the strings of inequalities in (a) and (b) can, in general, not be extended further. We record the following immediate consequence of Theorem 3.

Corollary 4

Let P be a d-dimensional lattice polytope. Then for 0 ≤ kd,

fkmin{f0,fd}.

We remark that one can prove that if P is of degree d ≥ 2, equal to its dimension, then f0fd, except when the h*-vector of P satisfies h2==hd=1.

Theorem 5

The f*-vector of a d-dimensional lattice polytope, where 1 ≤ d ≤ 13, is unimodal. On the other hand, there exists a 15-dimensional lattice simplex with nonunimodal f*-vector.

Even though f*-vectors are quite different from f-vectors of polytopes, the above results resemble striking similarities with existing theorems on f-vectors. Namely, Björner [5; 6; 7] proved that the f-vector of a simplicial d-polytope satisfies the inequalities in Theorem 3 (with the *s removed, the last coordinate dropped, and d22 replaced by d32 in (c)). In fact, Björner also showed that in the f-analogue of Theorem 3(b) the decrease starts from 3(d1)4 instead of 3d4 , and that the inequalities in Theorem 3(a) and (b) cannot be further extended, by constructing a simplicial polytope with f-vector that peaks at fj, for any j with d2j3(d1)4.

Corollary 4 compares the entries of the f*-vector with the minimum between the first and the last entry. Note that a similar relation for f-vectors of polytopes was recently proven by Hinman [14], answering a question of Bárány from the 1990s. (Hinman also proved a stronger result, namely certain lower bounds for the ratios fk/f0 and fk/fd−1.)

The f-analogue of Theorem 5 for simplicial polytopes is again older: Björner [5] showed that the f-vector of any simplicial d-polytope is unimodal for d ≤ 15 (later improved to d ≤ 19 by Eckhoff [10]), and he and Lee [4] produced examples of 20-dimensional simplicial polytopes with nonunimodal f-vectors.

For a special class of polytopes we can increase the range in Theorem 3(b). A lattice polytope P is Gorenstein of index g if

  • nP contains no interior lattice points for 1 ≤ n < g,

  • gP contains a unique interior lattice point, and

  • ehrP (ng) equals the number of interior lattice points in nP, for n > g.

This is equivalent to P having degree d + 1 − g and a symmetric h*-vector (with respect to its degree).

Theorem 6

Let P be a d-dimensional Gorenstein polytope of index g. Then

fk1>fkfor12d+1+d+1g2kd.

Going even further, for a certain class of polytopes we can prove unimodality of the f*-vector, a consequence of the following refinement of Theorem 3(b) for polytopes with degree < d2 .

Theorem 7

Let P be a d-dimensional lattice polytope with positive degrees. Then

fk1>fkford+s2kd,

unless the degree of P is 0, i.e., P is a unimodular simplex with f*-vector as in Example 2.

This theorem implies that lattice d-polytopes of degree s satisfying s2s − 1 ≤ d2 have a unimodal f*-vector (see Proposition 9 below for details). One family with asymptotically small degree, compared to the dimension, is given by taking iterated pyramids. Given a polytope P ⊂ ℝd, we denote by Pyr(P) ⊂ ℝd+1 the convex hull of P and the (d + 1)st unit vector. It is well known that P and Pyr(P) have the same h*-vector (ignoring an extra 0), and so we conclude:

Corollary 8

If P is any lattice polytope then Pyrn(P) has unimodal f*-vector for sufficiently large n.

2 Proofs

We start with a few warm-up proofs which only use the fact that h*-vectors are nonnegative.

Proof of Theorem 3(a)

It follows by (4) and the nonnegativity of h*(P) that, for 1 ≤ k d2 ,

fkfk1=j=0k+1d+1jk+1jd+1jkjhj0.

In fact, fkfk1 is bounded below by d+1k+1d+1kh0>0, for 1 ≤ k < d2 , since h0 = 1. □

Proof of Theorem 3(c)

For 0 ≤ k d22 , it follows by (4) that

fd1kfk=j=0dkd+1jdkjd+1jk+1jhj=j=0d12kd+1jk+1d+1jk+1jhj+j=d2kdkd+1jdkjd+1jk+1jhj.

We have d+1jk+1d+1jk+1j0 since k+1jk+1d+1j2 holds for 0 ≤ jd − 1 − 2k. Similarly, d+1jdkjd+1jk+1j0 holds because k+1jdkjd+1j2 for d − 2kj. Therefore, it follows by the nonnegativity of the h*-vector that fd1kfk0.

Proof of Theorem 7

Since hj = 0 for js + 1, equation (4) gives

fk1fk=j=0sd+1jkjd+1jk+1jhj=j=0s2kdjk+1jd+1jkjhj.

For d+s2kd, we have k + 1 − j > 0 and 2kdj > 0 for all j = 0, …, s − 1, and k + 1 − j > 0, 2kdj ≥ 0 for j = s. Therefore, the claim follows by the nonnegativity of the h*-vector and the positivity of h0 . □

Proposition 9

Let P be a d-dimensional lattice polytope that has degree at most s, with s ≥ 1. If d ≥ 2s2 − 2s − 2 then the f*-vector of P is unimodal with a (not necessarilysharp”) peak at fp , where d2pd+s21.

Proof

By Theorems 3(a) and 7, it suffices to show that fd2+ifd2+i+1 implies fd2+i+1fd2+i+2, or that 2fd2+1+ifd2+2+ifd2+i0 for 0 ≤ i s2 − 2.

As hj = 0 for js + 1, by equation (4) we can express 2fd2+1+ifd2+2+ifd2+i as the sum

j=0s2d+1jd2+2j+id+1jd2+3j+id+1jd2+1j+ihj=j=0s2d2id2+2j+i(d2i)(d21i)(d2+2j+i)(d2+3j+i)1d+1jd2+1j+ihj.

Since d ≥ max{2s2 − 2s − 2, 0} we have that (d2+3j+i)(d2+2j+i) is positive for j = 0, …, s and since h* is nonnegative, it remains to show that

2(d2i)(d2+3j+i)(d2i)(d21i)(d2+2j+i)(d2+3j+i)=d(2j5)(d2d2)+4i(d2d2)12i+4ij4i26+5jj2=d4i2+4ij12ij2+5j6 if d is even,d4i2+4ij8ij2+3j1 if d is odd, (5)

is nonnegative for 0 ≤ js. Indeed, the conditions js and 0 ≤ i s2 − 2 imply that (5) is bounded below by

d4i212ij26d4(s22)212(s22)s26=d2s2+2s+2,

which is nonnegative by assumption. □

The next proofs use more than just the nonnegativity of the h*-vector. The first result needs the following elementary lemma on binomial coefficients.

Lemma 10

Let j, k, n be positive integers such that kn + 1 − j. Then, for n ≠ 2k − 1,

nknk1njknjk1.

Proof

It suffices to prove the statement for the cases i) j = 1 and the quantities nknk1andn1kn1k1 having the same sign, and ii) the point when the signs change, i.e., n = 2k and j = 2. To show case i), we simplify

nknk1=(n1)!k!(nk)!nnk+1n2k+1

and

n1kn1k1=(n1)!k!(nk)!n2k.

If n ≥ 2k then the inequalities

nn(k1)(n2k+1)n2k+1>n2k

imply that

nknk1>n1kn1k1. (6)

If n ≤ 2k − 2, we have k(− 2k + 2 + n) ≤ 0 which is equivalent to

nn(k1)(2kn1)2kn

and so again (6) holds as a weak inequality.

To show case ii), we compute

2kk2kk1=(2k)!k!(k+1)!=(2k2)!k!(k1)!2k(2k1)k(k+1)

and

2k2k2k2k1=(2k2)!k!(k1)!.

Since 2(2k − 1) ≥ (k + 1) for any positive k, we conclude that

2kk2kk12k2k2k2k1.

We are now prepared to prove Theorem 3(b).

Proof of Theorem 3(b)

The inequality fd1>fd holds by Theorem 7. Now, let 3d4+1k<d. By equation (4),

fk1fk=j=0k+1d+1jkjd+1jk+1jhj. (7)

The difference d+1jkjd+1jk+1j is nonnegative whenever kjd+1j2 and negative otherwise. Hence, the difference is nonnegative whenever j ≤ 2kd and negative whenever j > 2kd. Since 2d − 2k < 2k + 1 − d for 3d4 +1 ≤ k, from (7) we obtain

fk1fkj=02d2kd+1jkjd+1jk+1jhj (8)
+j=2k+1dk+1d+1jkjd+1jk+1jhj (9)

where the differences appearing in (8) are nonnegative and the ones in (9) are negative. Our aim is to compare the sums in (8) and (9) so as to conclude that fk1fk is positive.

Using standard identities for binomial coefficients, the right hand-side of (8) equals

j=02d2kl=j2d2k1dlkldlk+1l+2kd+13k2d2kd+13k2d+1hj=l=02d2k1dlkldlk+1lj=02d2k1lhj+2kd+13k2d2kd+13k2d+1j=02d2khj,

whence we conclude that the right hand-side of (8) is bounded below by

dkdk+1h0+2kd+13k2d2kd+13k2d+1j=02d2khj>2kd+13k2d2kd+13k2d+1j=02d2khj (10)

since dkdk+1>0 for 3d4+1k<d, andh0=1,hj0 for j = 1, …, 2d − 2k − 1.

On the other hand, for the differences appearing in (9), using that 2d − 2k < j and jk + 1, it follows by Lemma 10 that

d+1(2d2k)d+1kd+1(2d2k)dkd+1jd+1kd+1jdk,

i.e.,

2kd+13k2d2kd+13k2d+1d+1jkjd+1jk+1j.

Hence for j ≥ 2k + 1 − d,

2kd+13k2d2kd+13k2d+1d+1jkjd+1jk+1j.

Since both d+1jkj+d+1jk+1jandhj are nonnegative for j ≥ 2k + 1 − d, the sum in (9) is bounded below by

2kd+13k2d2kd+13k2d+1j=2k+1ddhj. (11)

Now (10) and (11) yield

fk1fk>2kd+13k2d2kd+13k2d+1j=02d2khjj=2k+1ddhj.

Hibi [12] showed that the inequality

j=0m+1hjj=dmdhj (12)

holds for m=0,,d21. Since 2d2k1d21 for 3d4+1k, we can use (12) to finally obtain

fk1fk>0.

Proof of Theorem 5

If d = 1 or 2, there is nothing to prove. If 3 ≤ d ≤ 6, then by Theorem 3, either

f0fd2f3d4fd

or

f0fd2f3d4fd.

For 7 ≤ d ≤ 13, we will show that if fifi+1, then fi+1fi+2 for d2i3d42. By Theorem 3, this will imply the unimodality of (f0,f1,,fd). Below, we examine each value of d separately, and make use of the inequality

j=1m+1(hjhd+1j)>0, (13)

which holds for m=0,,d21 by [16, Remark 1.2], as well as the nonnegativity of h*-vectors to deduce that fi+1fi+2c(fifi+1) for some nonnegative real c in each case.

Suppose that d = 7 and f3f4. Then, by (4) (and h0 = 1), we compute

2f4f3f5=14h0+14h1+10h2+5h3+h4h5h6>j=13(hjh8j),

hence f4f5f3f4. Likewise, for d = 8 we have

2f5f4f6=6h0+14h1+14h2+10h3+5h4+h5h6h7>j=13hjh9j,

and similarly for d = 9,

f5f62(f4f5)>j=14hjh10j,

and for d = 10,

2f6f5f7>2j=15hjh11j.

For d = 11, we need to consider two values: i = 5 and i = 6. The claim follows since

f6f72(f5f6)>2j=15hjh12j,

and

f7f845(f6f7)>3j=15hjh12j.

For d = 12, i also takes two values: i = 6 and i = 7. Now,

f7f854(f6f7)>3j=16hjh13j,

and also

f8f912(f7f8)>3j=16hjh13j.

Finally, for d = 13, the desired inequality holds for both values i = 6 and i = 7 as weak inequality:

f7f873(f6f7)3j=16hjh14j

and

2f8f7f94j=16hjh14j.

To construct a polytope with nonunimodal f*-vector, we employ a family of simplices introduced by Higashitani [13]. Concretely, denote the jth unit vector by ej and let

Δw:=conv{0,e1,e2,,e14,w}

where

w:=(1,1,,17,131,131,,1317,132).

It has h*-vector

(1,0,0,,07,131,0,0,,07)

and, via (4), f*-vector

(16,120,560,1820,4368,8008,11440,13001,12488,11676,11704,10990,7896,3788,1064,132).

We record the following consequence of Theorem 5, which follows by the nonnegativity of h*-vectors.

Corollary 11

Every lattice polytope of degree at most 5 has unimodal f*-vector.

Proof

Let P be a d-dimensional lattice polytope of degree at most 5. We know from Theorem 5 that f* is unimodal when d ≤ 13.

Suppose that d ≥ 14. The proof is similar to the proof of Proposition 9, but we need to be a bit more precise with bounds. By Theorems 3(a) and 7, it suffices to show that fd2+ifd2+i+1 implies fd2+i+1fd2+i+2, for i=0,,d+52d23. Note that d+52=d2+52, hence i = 0. Arguing as in the proof of Proposition 9, we can reduce the proof to showing that the expression in (5) in Proposition 9 is nonnegative for 0 ≤ j ≤ 5 and i = 0, i.e., that

d(2j5)d2d26+j(5j)0. (14)

The inequality in (14) holds for 0 ≤ j ≤ 5 since

d(2j5)d2d26+j(5j)d11.

Proof of Theorem 6

Let s:=d+1g(and12d+1+d+1g2kd). We first consider the case that s is odd; the case s even will be similar. Since hj = 0 for j > s and hj=hsj,

fk1fk=j=0sdj+1kjdj+1kj+1hj=j=0s2dj+1kjdj+1kj+1hj+j=s2+1sdj+1kjdj+1kj+1hj=j=0s2dj+1kjdj+1kj+1+ds+j+1ks+jds+j+1ks+j+1hj.

Because we assume k12(d+1+s2),

dj+1kjdj+1kj+1>0

for 0js2. The inequality

dj+1kjdj+1kj+1+ds+j+1ks+jds+j+1ks+j+1>0

follows directly if ds+j+1ks+jds+j+1ks+j+10 or ks + j + 1 < 0. Otherwise, Lemma 10 implies that, for the same range of j,

dj+1kjdj+1kj+1+ds+j+1ks+jds+j+1ks+j+10.

In fact, the last inequality is strict for k12(d+1+s2); the proof is analogous to that of Lemma 10. Finally we use that hj ≥ 0 (for 0 ≤ j s2) and h0 = 1 to deduce that fk1fk>0.

The computations in the case s even is very similar. Now we write

fk1fk=j=0sdj+1kjdj+1kj+1hj=j=0s21dj+1kjdj+1kj+1+ds+j+1ks+jds+j+1ks+j+1hj+ds2+1ks2ds2+1ks2+1hs2

and use the same argumentation as in the case s odd. □

3 Concluding remarks

There are many avenues to explore f*-vectors, e.g., along analogous studies of h*-vectors, and we hope the above results form an enticing starting point. The techniques in our proof of Theorem 5 do not offer much insight in the case of 14-dimensional lattice polytopes as there are candidate f*-vectors with corresponding h*-vectors that satisfy all inequalities discussed in [16]. It is unknown, though, if such polytopes exist.

Higashitani [13, Theorem 1.1] provided examples of d-dimensional polytopes with nonunimodal h*-vector for all d ≥ 3. Therefore, by Theorem 5 we have examples of polytopes that have such an h*-vector but their f*-vector is unimodal. It would be interesting to know if the opposite can be true, that is, if there exist polytopes with unimodal h*-vector and nonunimodal f*-vector. By Corollary 11, such polytopes would need to have degree at least 6.

Whenever one detects that a given polynomial is unimodal, it is natural to ask about the stronger property that the polynomial is log concave or, even stronger, real rooted. Our methods do not yield these properties but it would be interesting if one could extend, e.g., Corollary 8 or Proposition 9 along these lines.

Finally, starting with Stapledon’s work [16], there has been much recent attention to symmetric decompositions of h- and h*-polynomials; see, e.g., [1; 2] and, in particular, [8] where analogous decompositions for f-vectors are discussed. We believe this line of research is worthy of attention with regards to understanding f*-vectors and the inequalities that hold among their coefficients.

Funding statement: Danai Deligeorgaki was partially supported by the Knut and Alice Wallenberg Foundation.

Acknowledgements

We thank the organizers of Research Encounters in Algebraic and Combinatorial Topics (REACT 2021), where our collaboration got initiated. We are grateful to Luis Ferroni, Katharina Jochemko, Michael Joswig, Matthias Schymura, Liam Solus and Lorenzo Venturello for helpful conversations. We would also like to thank the anonymous referees for the careful reading and suggestions.

  1. Communicated by: M. Joswig

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Received: 2022-12-01
Published Online: 2024-04-26
Published in Print: 2024-04-25

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