Startseite Fusion systems realizing certain Todd modules
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Fusion systems realizing certain Todd modules

  • Bob Oliver EMAIL logo
Veröffentlicht/Copyright: 23. November 2022

Abstract

We study a certain family of simple fusion systems over finite 3-groups, ones that involve Todd modules of the Mathieu groups 2 M 12 , M 11 , and A 6 = O 2 ( M 10 ) over F 3 , and show that they are all isomorphic to the 3-fusion systems of almost simple groups. As one consequence, we give new 3-local characterizations of Conway’s sporadic simple groups.

Fix a prime 𝑝. A fusion system over a finite 𝑝-group 𝑆 is a category whose objects are the subgroups of 𝑆, and whose morphisms are injective homomorphisms between the subgroups satisfying certain axioms first formulated by Puig [44], and modeled on the Sylow theorems for finite groups. The motivating example is the fusion system of a finite group 𝐺 with S Syl p ( G ) , whose morphisms are those homomorphisms between subgroups of 𝑆 induced by conjugation in 𝐺.

The general theme in this paper is to study fusion systems over finite 𝑝-groups 𝑆 that contain an abelian subgroup A S such that A F and C S ( A ) = A . In such situations, we let Γ = Aut F ( A ) be its automizer, try to understand what restrictions the existence of such a fusion system imposes on the pair ( A , O p ( Γ ) ) , and also look for tools to describe all fusion systems that “realize” a given pair ( A , O p ( Γ ) ) for 𝐴 an abelian 𝑝-group and Γ Aut ( A ) .

This paper is centered around one family of examples: those where p = 3 , where O 3 ( Γ ) 2 M 12 , M 11 , or A 6 = O 3 ( M 10 ) , and where 𝐴 is elementary abelian of rank 6, 5, or 4, respectively. But we hope that the tools we use to handle these cases will also be useful in many other situations. Our main results can be summarized as follows.

Theorem A

Let ℱ be a saturated fusion system over a finite 3-group 𝑆 with an elementary abelian subgroup A S such that C S ( A ) = A and such that either

  1. rk ( A ) = 6 and O 3 ( Aut F ( A ) ) 2 M 12 ; or

  2. rk ( A ) = 5 and O 3 ( Aut F ( A ) ) M 11 ; or

  3. rk ( A ) = 4 and O 3 ( Aut F ( A ) ) A 6 .

Assume also that A F . Then A S , 𝑆 splits over 𝐴, and O 3 ( F ) is simple and isomorphic to the 3-fusion system of Co 1 in case (i), to that of Suz , Ly , or Co 3 in case (ii), or to that of U 4 ( 3 ) , U 6 ( 2 ) , McL , or Co 2 in case (iii).

Theorem A is proven below as Theorem 4.14 (case (i)) and Theorem 5.20 (cases (ii) and (iii)). As one consequence of these results, we give new 3-local characterizations of the three Conway groups as well as of McL and U 6 ( 2 ) (Theorems 6.1,  6.2, and 6.3).

All three cases of Theorem A have already been shown in earlier papers using very different methods. In [48, Theorem A], van Beek determined (among other results) all fusion systems ℱ over a Sylow 3-subgroup of Co 1 with O 3 ( F ) = 1 . In [7], Baccanelli, Franchi, and Mainardis listed all saturated fusion systems ℱ with O 3 ( F ) = 1 over a Sylow 3-subgroup of the split extension E 81 A 6 , and this includes the four systems that appear in case (iii) of the above theorem. In [41], Parker and Semeraro develop computer algorithms that they use to list, among other things, all saturated fusion systems ℱ over 3-groups of order at most 3 7 with O 3 ( F ) = 1 and O 3 ( F ) = F . However, our goals are different from those in the earlier papers, in that we want to develop tools which can be used in other situations within the framework of the general problem described above, and are using these Todd modules as test cases.

The proof of Theorem A is straightforward, following a program that also seems to work in many other cases. Set Z = Z ( S ) . We first show that

F = C F ( Z ) , N F ( A ) .

We then construct a special subgroup Q S of exponent 3 with

Z ( Q ) = [ Q , Q ] = Z

(of order 3 or 9) and Q / Z ( Q ) E 81 , and show that 𝑄 is normal in C F ( Z ) . This is the hardest part of the proof, especially when O 3 ( Aut F ( A ) ) 2 M 12 . Finally, we determine the different possibilities for O 3 ( Out F ( Q ) ) , and show that this group together with O 3 ( Aut F ( A ) ) determines O 3 ( F ) up to isomorphism.

Theorem A involves just one special case of the following general problem. Given a prime 𝑝, a finite group Γ = O p ( Γ ) , and a finite F p Γ -module 𝑀 (or more generally, a finite Z / p k Γ -module for some k > 1 ), we say that a saturated fusion system ℱ over a finite 𝑝-group 𝑆 “realizes” ( Γ , M ) if there is an abelian subgroup A S such that C S ( A ) = A , A F , and

( O p ( Aut F ( A ) ) , A ) ( Γ , M ) .

We want to know whether a given module can be realized in this sense, and if so, list all of the distinct saturated fusion systems that realize it.

In the papers [32, 17, 35], we studied this question under the additional assumption that | Γ | be a multiple of 𝑝 but not of p 2 , and the answer in that case was already quite complicated. In this more general setting, all we can hope to do for now is to look at a few more cases, and try to develop some tools that can be used in greater generality. For example, in a second paper [34] still in preparation, we give some criteria for the nonrealizability of certain F p Γ -modules. As one application of those results, when Γ M 11 , M 12 , or 2 M 12 , we show that, up to extensions by trivial modules, the only F p Γ -modules that can be realized in the above sense are the Todd modules of M 11 and 2 M 12 and their duals (when p = 3 ), and the simple 10-dimensional F 11 [ 2 M 12 ] -modules.

As pointed out by the referee, Theorem A in this paper is closely related to the list of amalgams by Papadopoulos in [38]. It seems quite possible that the results in this paper can be used to strengthen or generalize the main theorem in [38], but if so, that will have to wait for a separate (short) paper.

General definitions and properties involving saturated fusion systems are surveyed in Section 1, while the more technical results needed to carry out the program described above are listed in Section 2. In Section 3, we set up some notation for working with Todd modules for 2 M 12 and M 11 , notation which we hope might also be useful in other contexts. Case (i) of Theorem A is proven in Section 4, and the remaining cases in Section 5. The 3-local characterizations of the Conway groups and some others are given in Section 6. We finish with two appendices: one containing a few general group theoretic results, and another more specifically focused on groups with strongly 𝑝-embedded subgroups.

Notation and terminology

Most of our notation for working with groups is fairly standard. When P G and x N G ( P ) , we let c x P Aut ( P ) denote conjugation by 𝑥 on the left: c x P ( g ) = g x = x g x - 1 (though the direction of conjugation very rarely matters). Our commutators have the form [ x , y ] = x y x - 1 y - 1 . If 𝐺 is a group and α Aut ( G ) , then [ α ] Out ( P ) denotes its class modulo Inn ( G ) . If φ Hom ( G , H ) is a homomorphism, 𝑄 is normal in both 𝐺 and 𝐻, and φ ( Q ) = Q , then φ / Q Hom ( G / Q , H / Q ) denotes the induced map between quotients. Also, Syl p ( G ) is the set of Sylow 𝑝-subgroups of a finite group 𝐺, S ( G ) is the set of all subgroups of 𝐺, and Z 2 ( G ) is the second term in its upper central series ( Z 2 ( G ) / Z ( G ) = Z ( G / Z ( G ) ) ).

Other notation used here includes the following:

  • E p m is always an elementary abelian 𝑝-group of rank 𝑚;

  • p a + b denotes a special 𝑝-group 𝑃 with

    Z ( P ) = [ P , P ] E p a and P / Z ( P ) E p b ;

  • p + 1 + 2 m (when 𝑝 is odd) is an extraspecial 𝑝-group of order p 1 + 2 m and exponent 𝑝;

  • A B is a central product of groups 𝐴 and 𝐵;

  • A B and A . B are a semidirect product and an arbitrary extension of 𝐴 by 𝐵;

  • UT n ( q ) is the group of upper triangular ( n × n ) -matrices over F q with 1’s on the diagonal; and

  • Γ L n ( q ) and P Γ L n ( q ) denote the extensions of GL n ( q ) and PGL n ( q ) by their field automorphisms.

Also, 2 M 12 , 2 A n , and 2 Σ n ( n = 4 , 5 , 6 ) denote nonsplit central extensions of C 2 by the groups M 12 , A n , and Σ n , respectively.

1 Background

We begin with a survey of the basic definitions and terminology involving fusion systems that will be needed here, such as normalizer fusion systems, the Alperin–Goldschmidt fusion theorem for fusion systems, and the model theorem. Most of these definitions and results are originally due to Puig [44].

1.1 Basic definitions and terminology

A fusion systemℱ over a finite 𝑝-group 𝑆 is a category whose objects are the subgroups of 𝑆, and whose morphism sets Hom F ( P , Q ) are such that

  • Hom S ( P , Q ) Hom F ( P , Q ) Inj ( P , Q ) for all P , Q S ; and

  • every morphism in ℱ factors as an isomorphism in ℱ followed by an inclusion.

For this to be very useful, more conditions are needed.

Definition 1.1

Let ℱ be a fusion system over a finite 𝑝-group 𝑆.

  1. Two subgroups P , P S are ℱ-conjugate if Iso F ( P , P ) , and two elements x , y S are ℱ-conjugate if there is φ Hom F ( x , y ) such that φ ( x ) = y . The ℱ-conjugacy classes of P S and x S are denoted P F and x F , respectively.

  2. A subgroup P S is fully normalized in ℱ (fully centralized in ℱ) if

    | N S ( P ) | | N S ( Q ) | ( | C S ( P ) | | C S ( Q ) | )

    for each Q P F .

  3. The fusion system ℱ is saturated if it satisfies the following two conditions.

    • (Sylow axiom) For each subgroup P S fully normalized in ℱ, 𝑃 is fully centralized and Aut S ( P ) Syl p ( Aut F ( P ) ) .

    • (Extension axiom) For each isomorphism φ Iso F ( P , Q ) in ℱ such that 𝑄 is fully centralized in ℱ, 𝜑 extends to a morphism φ ¯ Hom F ( N φ , S ) , where

      N φ = { g N S ( P ) φ c g φ - 1 Aut S ( Q ) } .

In the following lemma, we describe another important property of fully normalized subgroups.

Lemma 1.2

Lemma 1.2 ([6, Lemma I.2.6 (c)])

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆. Then, for each P S and each Q P F F f , there is

ψ Hom F ( N S ( P ) , S ) such that ψ ( P ) = Q .

We next recall a few more classes of subgroups in a fusion system. As usual, for a fixed prime 𝑝, a proper subgroup 𝐻 of a finite group 𝐺 is strongly 𝑝-embedded if p | H | , and p | H H x | for each x G H .

Definition 1.3

Let ℱ be a fusion system over a finite 𝑝-group 𝑆. For P S ,

  • 𝑃 is ℱ-centric if C S ( Q ) Q for each Q P F ;

  • 𝑃 is ℱ-essential if 𝑃 is ℱ-centric and fully normalized in ℱ, and the group Out F ( P ) = Aut F ( P ) / Inn ( P ) contains a strongly 𝑝-embedded subgroup;

  • 𝑃 is weakly closed in ℱ if P F = { P } ;

  • 𝑃 is strongly closed in ℱ if, for each x P , x F P ; and

  • 𝑃 is normal in ℱ ( P F ) if each morphism in ℱ extends to a morphism that sends 𝑃 to itself. Let O p ( F ) F be the largest subgroup of 𝑆 normal in ℱ.

  • 𝑃 is central in ℱ if each morphism in ℱ extends to a morphism that sends 𝑃 to itself via the identity. Let Z ( F ) F be the largest subgroup of 𝑆 central in ℱ.

Clearly, if 𝑃 is weakly closed in ℱ, then it must be normal in 𝑆.

It follows immediately from the definitions that if P 1 and P 2 are both normal in ℱ, then so is P 1 P 2 . So O p ( F ) is defined, and a similar argument applies to show that Z ( F ) is defined.

The following notation is useful when referring to some of these classes of subgroups.

Notation 1.4

For each fusion system ℱ over a finite 𝑝-group 𝑆, define

  • F f = { P S P is fully normalized in F } ;

  • F c = { P S P is F -centric } and F c f = F c F f ; and

  • E F = { P S P is F -essential } .

1.2 The Alperin–Goldschmidt fusion theorem for fusion systems

The following is one version of the Alperin–Goldschmidt fusion theorem for fusion systems. This theorem is our main motivation for defining ℱ-essential subgroups here.

Theorem 1.5

Theorem 1.5 ([6, Theorem I.3.6])

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆. Then each morphism in ℱ is a composite of restrictions of automorphisms α Aut F ( R ) for R E F { S } .

Equivalently, Theorem 1.5 says that F = Aut F ( P ) P E F { S } . Here, whenever ℱ is a fusion system over 𝑆, and 𝒳 is a set of fusion subsystems and morphisms in ℱ, we let X denote the smallest fusion system over 𝑆 that contains 𝒳. Since an intersection of fusion subsystems over 𝑆 is always a fusion system over 𝑆 (not necessarily saturated, of course), the subsystem X is well defined.

In fact, up to ℱ-conjugacy, the essential subgroups form the smallest possible set of subgroups that generate ℱ.

Proposition 1.6

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆, and let 𝒯 be a set of subgroups of 𝑆 such that F = Aut F ( P ) P T . Then each ℱ-essential subgroup R < S is ℱ-conjugate to a member of 𝒯.

Proof

Fix R F f such that R < S and R F T = , and set

Aut F 0 ( R ) = α Aut F ( R ) α = α ¯ | R , some α ¯ Hom F ( P , S ) , where R < P S .

We will prove that Aut F 0 ( R ) = Aut F ( R ) . It will then follow that 𝑅 is not ℱ-essential (see [6, Proposition I.3.3 (b)]), thus proving the proposition.

Fix α Aut F ( R ) . By assumption, there are isomorphisms

R = R 0 α 1 R 1 α 2 R 2 α 3 α k R k = R

such that α = α k α 1 , together with automorphisms

β i Aut F ( P i ) for 1 i k

such that R i - 1 , R i P i T and α i = β i | R i - 1 .

By Lemma 1.2 and since R F f , for each 0 i k , there is

χ i Hom F ( N S ( R i ) , N S ( R ) ) such that χ i ( R i ) = R ,

where we take χ 0 = χ k = Id N S ( R ) . For each 1 i k , set

R ^ i - 1 = N P i ( R i - 1 ) , α ^ i = ( χ i ) ( β i | R ^ i - 1 ) ( χ i - 1 - 1 | χ i - 1 ( R ^ i - 1 ) ) Hom F ( R ^ i - 1 , S ) .

Then α ^ i | R = ( χ i | R i ) α i ( χ i - 1 - 1 | R i - 1 ) Aut F ( R ) for each 𝑖.

For each 𝑖, P i > R i - 1 since P i T , while R i - 1 R F and R F T = . Hence R ^ i - 1 > R for each 1 i k . By construction, α = ( α ^ k | R ) ( α ^ 1 | R ) , and so α Aut F 0 ( R ) . Since α Aut F ( R ) was arbitrary, this proves that

Aut F 0 ( R ) = Aut F ( R ) ,

as claimed. ∎

The next two lemmas give different conditions for a subgroup to be normal in a fusion system. Both are consequences of Theorem 1.5.

Lemma 1.7

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆. A subgroup Q S is normal in ℱ if and only if it is weakly closed and contained in all ℱ-essential subgroups.

Proof

This is essentially the equivalence (a) ⇔ (c) in [6, Proposition I.4.5]. ∎

In general, strongly closed subgroups in a saturated fusion system need not be normal. The next lemma describes one case where this does happen.

Lemma 1.8

Lemma 1.8 ([6, Corollary I.4.7 (a)])

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆. If A S is an abelian subgroup that is strongly closed in ℱ, then A F .

1.3 Normalizer fusion subsystems and models

If ℱ is a fusion system over a finite 𝑝-group 𝑆, then a fusion subsystem E F over a subgroup T S is a subcategory ℰ whose objects are the subgroups of 𝑇 such that ℰ is itself a fusion system over 𝑇. For example, the full subcategory of ℱ with objects the subgroups of 𝑇 is a fusion subsystem of ℱ. If we want our fusion subsystems to be saturated, then, of course, the problem of constructing them is more subtle.

One case where this is straightforward is the construction of normalizers and centralizers of subgroups in a fusion system.

Definition 1.9

Let ℱ be a fusion system over a finite 𝑝-group 𝑆. For each Q S , we define fusion subsystems C F ( Q ) N F ( Q ) F over C S ( Q ) N S ( Q ) by setting

Hom C F ( Q ) ( P , R ) = { φ | P φ Hom F ( P Q , R Q ) , φ ( P ) R , φ | Q = Id Q } , Hom N F ( Q ) ( P , R ) = { φ | P φ Hom F ( P Q , R Q ) , φ ( P ) R , φ ( Q ) = Q } .

It follows immediately from the definitions that a subgroup Q S is normal or central in ℱ if and only if N F ( Q ) = F or C F ( Q ) = F , respectively.

Theorem 1.10

Theorem 1.10 ([6, Theorem I.5.5])

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆, and fix Q S . Then C F ( Q ) is saturated if 𝑄 is fully centralized in ℱ, and N F ( Q ) is saturated if 𝑄 is fully normalized in ℱ.

We next look at models for constrained fusion systems and, in particular, for normalizer fusion subsystems of centric subgroups.

Definition 1.11

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆.

  1. The fusion system ℱ is constrained if there is a subgroup Q S that is normal in ℱ and ℱ-centric, equivalently, if O p ( F ) F c .

  2. A model for a constrained fusion system ℱ over 𝑆 is a finite group 𝑀 with S Syl p ( M ) such that

    S Syl p ( M ) , F S ( M ) = F , and C M ( O p ( M ) ) O p ( M ) .

By the model theorem (see [6, Theorem III.5.10]), every constrained fusion system has a model, unique up to isomorphism. We will need this only in the following situation.

Proposition 1.12

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆. Then, for each Q F c f , the normalizer fusion subsystem N F ( Q ) is constrained and hence has a model: a finite group 𝑀 with N S ( Q ) Syl p ( M ) such that

Q M , C M ( Q ) Q , and F N S ( Q ) ( M ) = N F ( Q ) .

Furthermore, 𝑀 is unique in the following sense: if M * is another model for N F ( Q ) , also with Q M * and N S ( Q ) Syl p ( M * ) , then M M * via an isomorphism that restricts to the identity on N S ( Q ) .

Proof

The subsystem N F ( Q ) is constrained since the subgroup 𝑄 is normal and N F ( Q ) -centric. So, by the model theorem [6, Theorem III.5.10], it has a model, and any two models for N F ( Q ) are isomorphic via an isomorphism that is the identity on N S ( Q ) . ∎

1.4 Subsystems of index prime to 𝑝

We next turn to fusion subsystems of index prime to 𝑝. By analogy with groups, this really corresponds to subgroups of a finite group 𝐺 that contain O p ( G ) (but are not necessarily normal).

Definition 1.13

Let ℱ be a fusion system over a finite 𝑝-group 𝑆. A fusion subsystem E F has index prime to 𝑝 if ℰ is also a fusion system over 𝑆, and Aut E ( P ) O p ( Aut F ( P ) ) for each P S .

There is clearly always a smallest fusion subsystem of ℱ of index prime to 𝑝: namely, the subsystem O * p ( F ) over 𝑆 generated by the automorphism groups O p ( Aut F ( P ) ) . The corresponding result for saturated fusion subsystems is more subtle.

Theorem 1.14

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆. Then there is a (unique) smallest saturated fusion subsystem O p ( F ) F of index prime to 𝑝. This has the property that, for each P S and each φ Hom F ( P , S ) , there are morphisms φ 0 Hom O p ( F ) ( P , S ) , α Aut F ( S ) such that φ = α φ 0 .

Proof

See [6, Theorem I.7.7] or [11, Theorem 5.4] for the existence and uniqueness of O p ( F ) . The last statement follows from [11, Lemma 3.4 (c)], or since the map θ : Mor ( F c ) Γ p ( F ) sends Aut F ( S ) surjectively. ∎

In fact, the theorems in [6, 11] cited above both describe the subsystem O p ( F ) in more precise detail.

Proposition 1.15

For each saturated fusion system ℱ over a finite 𝑝-group 𝑆, we have O p ( F ) c = F c , O p ( F ) f = F f , and E O p ( F ) = E F .

Proof

By Theorem 1.14, if P S and Q P F , then there is α Aut F ( S ) such that α ( Q ) P O p ( F ) . From this, it follows immediately that O p ( F ) and ℱ have the same centric subgroups and the same fully normalized subgroups. To see that they have the same essential subgroups, it remains to check that Out O p ( F ) ( P ) has a strongly 𝑝-embedded subgroup if and only if Out F ( P ) does, and this is shown in Lemma B.1. ∎

We also need the following result, which gives a more precise description of O p ( F ) , but under very restrictive conditions on ℱ.

Proposition 1.16

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆 such that

  1. E F and each member of E F is weakly closed in ℱ; and

  2. no intersection of two distinct members of E F is ℱ-centric.

Then,
  1. for each R E F and each R P S ,

    Aut O p ( N F ( R ) ) ( P ) = { α Aut F ( P ) α | R O p ( Aut F ( R ) ) } ;

  2. Aut O p ( F ) ( S ) = Aut O p ( N F ( R ) ) ( S ) R E F .

Proof

For each R E F , set E R = O p ( N F ( R ) ) .

(a) Fix R E F , and let 𝐻 be a model for N F ( R ) (see Proposition 1.12). Then O p ( H ) is a model for E R , and an extension of 𝑅 by O p ( H / R ) O p ( Out F ( R ) ) . Hence

Aut E R ( R ) = Aut O p ( H ) ( R ) = O p ( Aut H ( R ) ) = O p ( Aut F ( R ) ) .

Let 𝑃 be such that R P S . Then α Aut E R ( P ) implies

α | R Aut E R ( R ) = O p ( Aut F ( R ) ) .

Conversely, if α Aut F ( P ) is such that α | R O p ( Aut F ( R ) ) = Aut E R ( R ) , then by the extension axiom and since α | R normalizes Aut P ( R ) , there is β Aut E R ( P ) such that β | R = α | R . So, by [6, Lemma I.5.6] and since R F c , there is x Z ( R ) such that α = β c x , and hence α Aut E R ( P ) .

(b) Set

F 0 = O p ( Aut F ( R ) ) R E F , O * p ( F ) = O p ( Aut F ( P ) ) P S

as (not necessarily saturated) fusion systems over 𝑆. Thus O * p ( F ) is the minimal fusion subsystem in ℱ of index prime to 𝑝. For P F c , since 𝑃 is contained in at most one member of E F by (ii), the sets Hom F ( P , S ) and Hom F 0 ( P , S ) and groups Aut F ( P ) and Aut F 0 ( P ) are described in Table 1.

Table 1

In each case, either 𝑅 is the unique member of E F such that P R , or R = S if there is no such member.

Hom E ( P , S ) Aut E ( P )
{ α | P α Aut F ( R ) } { α | P α Aut F ( R ) , α ( P ) = P }
F 0 { α | P α O p ( Aut F ( R ) ) } { α | P α O p ( Aut F ( R ) ) , α ( P ) = P }

In particular, this shows that the subgroup Aut F 0 ( P ) is normal of index prime to 𝑝 in Aut F ( P ) for each P F c , and hence by [6, Lemma I.7.6 (a)] that F 0 has index prime to 𝑝 in ℱ. Thus F 0 = O * p ( F ) (the inclusion F 0 O * p ( F ) is immediate from the definitions). So

Aut O p ( F ) ( S ) = α Aut F ( S ) α | P Hom O p * ( F ) ( P , S ) , some P F c = α Aut F ( S ) α | P Hom F 0 ( P , S ) some P F c = α Aut F ( S ) there exist P F c , P R E F { S } , β O p ( Aut F ( R ) ) such that α | P = β | P = α Aut F ( S ) α | R O p ( Aut F ( R ) ) some R E F { S } = Aut E R ( S ) R E F ,

the first equality by [6, Theorem I.7.7], the second since F 0 = O * p ( F ) , the third by Table 1, the fourth since α | P = β | P implies α | R = β c x for some x Z ( P ) (see [6, Lemma I.5.6]), and the last by (a) (applied with P = S ). ∎

One can also show that O p ( F ) = O p ( N F ( R ) ) R E F under the hypotheses of Proposition 1.16. However, that will not be needed here.

1.5 Quotient fusion systems

Quotient fusion systems of ℱ over 𝑆 are formed by dividing out by a subgroup of 𝑆, not by a fusion subsystem of ℱ.

Definition 1.17

Let ℱ be a fusion system, and assume Q S is strongly closed in ℱ. In particular, Q S . Let F / Q be the fusion system over S / Q , where for each P , R S containing 𝑄, we set

Hom F / Q ( P / Q , R / Q ) = { φ / Q Hom ( P / Q , R / Q ) φ Hom F ( P , Q ) , ( φ / Q ) ( g Q ) = φ ( g ) Q for all g P } .

We refer to [16, Proposition II.5.11] for the proof that F / Q is saturated whenever ℱ is. In fact, the definition and saturation of F / Q hold whenever 𝑄 is weakly closed in ℱ. This is not surprising since we are looking only at morphisms in ℱ between subgroups containing 𝑄 so that F / Q = N F ( Q ) / Q .

If 𝑄 is strongly closed in ℱ, then every morphism φ Hom F ( P , R ) for arbitrary P , Q S induces a (unique) morphism φ ¯ Hom ( P Q / Q , R Q / Q ) . (Just note that φ ( P Q ) R Q .) A much deeper theorem states that each such morphism φ ¯ also lies in F / Q . We refer to [6, Theorem II.5.12] and [16, Theorem II.5.14] for proofs of this result first shown by Puig. In this paper, however, we work with F / Q only in the special case where Q F , in which case this property is automatic.

We will need the following lemma, comparing essential subgroups in ℱ and in F / Z when 𝑍 is central in ℱ.

Lemma 1.18

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆, and fix Z Z ( F ) . Then, for each R S , we have R E F if and only if R Z and R / Z E F / Z .

Proof

If R E F , then R F c , and hence R Z ( S ) Z . So, from now on, we always assume that R Z . We will show that the following hold for each R S containing 𝑍:

  1. R F f if and only if R / Z ( F / Z ) f ;

  2. the natural map Ψ : Out F ( R ) Out F / Z ( R / Z ) is surjective and its kernel is a 𝑝-group; and

  3. R / Z ( F / Z ) c if and only if R F c and Ψ is an isomorphism.

It follows immediately from (a), (b), and (c) and Definition 1.3 that R E F if R / Z E F / Z . Conversely, if R E F , then O p ( Out F ( R ) ) = 1 since Out F ( R ) has a strongly 𝑝-embedded subgroup (see [6, Proposition A.7 (c)]), so Ψ is an isomorphism, and R / Z E F / Z by (a), (b), and (c) again.

Point (a) is clear since

( R / Z ) F / Z = { P / Z P R F } , N S / Z ( P / Z ) = N S ( P ) / Z whenever Z P S .

The natural map Ψ : Aut F ( R ) Aut F / Z ( R / Z ) is surjective by definition of F / Z . If [ α ] Ker ( Ψ ) , where [ α ] is the class of α Aut F ( R ) , then for some x R , α c x R induces the identity on R / Z and (since Z Z ( F ) ) the identity on 𝑍, and hence has 𝑝-power order by Lemma B.5. So Ker ( Ψ ) is a 𝑝-group, proving (b).

By (a), it suffices to prove (c) when R F f and R / Z ( F / Z ) f . Assume R / Z ( F / Z ) c . Then C S ( R ) / Z C S / Z ( R / Z ) R / Z , so R F c . For each [ α ] Ker ( Ψ ) , the class of α Aut F ( R ) , we have [ α ] O p ( Out F ( R ) ) Out S ( R ) , so α = c x R for some x N S ( R ) such that c x R Aut ( R ) induces an inner automorphism on R / Z . Hence x Z ( R / Z ) C S / Z ( R / Z ) , so we have x Z R / Z since R / Z ( F / Z ) c , and x R . Thus α Inn ( R ) , and Ψ is an isomorphism in this case.

Conversely, assume R F c and Ψ is an isomorphism, and let y N S ( R ) be such that y Z C S / Z ( R / Z ) . Then [ y , R ] Z , so [ c y R ] Ker ( Ψ ) = 1 . So we have c y R Inn ( R ) , and y R C S ( R ) = R since 𝑅 is ℱ-centric. This shows that C S / Z ( R / Z ) R / Z and hence R / Z ( F / Z ) c , finishing the proof of (c). ∎

If ℱ is a saturated fusion system over 𝑆 and P Q S , then P F and Q F implies Q / P F / P : this follows easily from the definitions. However, P F and Q / P F / P need not imply that Q F , as is seen by the following example. Let 𝑝 be any prime, set G = C p Σ p (wreath product), fix S Syl p ( G ) (so S C p C p ), and set F = F S ( G ) . Set P = O p ( G ) E p p . Then P F and S / P F / P , but 𝑆 is not normal in ℱ.

In the following lemma, we give two conditions under which

P F and Q / P F / P

does imply that Q F .

Lemma 1.19

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆, and let P Q S be such that P F and Q / P F / P . If 𝑄 is abelian or if P Z ( F ) , then Q F .

Proof

Since Q / P is normal, it is strongly closed in F / P , and hence 𝑄 is strongly closed in ℱ. So if 𝑄 is abelian, then it is normal by Lemma 1.8. If P Z ( F ) , then 𝑄 is contained in all ℱ-essential subgroups by Lemma 1.18 and since Q / P is contained in all F / P -essential subgroups (Lemma 1.7), and so Q F by Lemma 1.7 again. ∎

2 General lemmas

As noted in the introduction, in our general setting, we want to analyze a saturated fusion system ℱ over a finite 𝑝-group 𝑆 with an abelian subgroup A S and Γ = Aut F ( A ) , where the group 𝐴 and the action of O p ( Γ ) are given. In this section, we give some of the tools that will be used in Sections 4 and 5 to do this.

In practice, we do not get very far without knowing that the subgroup 𝐴 is normal in 𝑆 and weakly closed in ℱ, and this should perhaps be included in our general assumptions. But in many cases, it follows easily from the weaker assumptions on 𝐴 and O p ( Γ ) .

Lemma 2.1

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆, and let A S be such that no member of A F { A } is contained in N S ( A ) . Then 𝐴 is weakly closed in ℱ.

Proof

Assume otherwise: then S > N S ( A ) , and hence N S ( N S ( A ) ) > N S ( A ) . Choose x N S ( N S ( A ) ) N S ( A ) . Then A x A , contradicting the assumption that 𝐴 not be 𝑆-conjugate to any other subgroup of N S ( A ) . ∎

The importance of 𝐴 being weakly closed in our general situation is illustrated by the following lemma.

Lemma 2.2

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆, and assume A S is an abelian subgroup that is weakly closed in ℱ.

  1. If R F f , and R Q F for some Q A , then R A .

  2. For each P , Q A ,

    Hom F ( P , Q ) = Hom N F ( A ) ( P , Q ) .

    Hence each φ Hom F ( P , Q ) extends to some φ ¯ Aut F ( A ) .

  3. No element of C S ( A ) A is ℱ-conjugate to any element of 𝐴.

Proof

(a) Assume Q A and R S are ℱ-conjugate and R F f . By the extension axiom, each ψ Iso F ( Q , R ) extends to some ψ ¯ Hom F ( C S ( Q ) , S ) . Then C S ( Q ) A since 𝐴 is abelian, ψ ¯ ( A ) = A since 𝐴 is weakly closed in ℱ, and so R = ψ ¯ ( Q ) A .

(b) Assume P , Q A and φ Hom F ( P , Q ) , and choose R P F that is fully centralized in ℱ. Then we have R A by (a), and there is ψ Iso F ( φ ( P ) , R ) . By the extension axiom again, 𝜓 extends to ψ ^ Hom F ( A , S ) and ψ φ extends to φ ^ Hom F ( A , S ) , and ψ ^ ( A ) = A = φ ^ ( A ) since 𝐴 is weakly closed. Then

ψ ^ - 1 φ ^ Aut F ( A ) , and ( ψ ^ - 1 φ ^ ) | P = ψ - 1 ( ψ φ ) = φ .

(c) Assume that x C S ( A ) A is ℱ-conjugate to y A . By (a), we can arrange that y F f , so by Lemma 1.2, there is φ Hom F ( N S ( x ) , S ) such that φ ( x ) = y . But A N S ( x ) , φ ( A ) = A since 𝐴 is weakly closed, and this is impossible since φ ( x ) A and x A . So no element in C S ( A ) A is ℱ-conjugate to any element of 𝐴. ∎

In many of the cases we want to consider, the assumptions we choose on 𝐴 and on Γ imply that O p ( F ) is simple (see, e.g., [6, Definition I.6.1]). For example, if ℱ is a saturated fusion system over 𝑆, and A S is such that C S ( A ) = A , and we set Γ = Aut F ( A ) and Γ 0 = O p ( Γ ) , and assume also that Ω 1 ( A ) is a simple F p Γ -module and Γ 0 / O p ( Γ 0 ) is a simple group (and Γ 0 C p ), then either A F or the fusion system O p ( F ) is simple. However, this will not be needed, and before proving it here, we would first have to define normal fusion subsystems.

2.1 Proving that F = N F ( A ) , C F ( Z )

When analyzing fusion systems in our setting, we first check whether

F = N F ( A ) , C F ( Z ) for some choice of Z Z ( S ) .

The following lemma will be our tool for doing this.

Proposition 2.3

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆, let A S be an abelian subgroup that is weakly closed in ℱ, and fix

1 Z Z ( S ) A .

Then either F = C F ( Z ) , N F ( A ) , or there are R E F and α Aut F ( R ) such that 𝛼 is not a morphism in C F ( Z ) , N F ( A ) , and such that

α ( Z ) A , α ( Z ) N F ( A ) f , and R = C S ( α ( Z ) ) = N S ( α ( Z ) ) .

Proof

Set F 0 = C F ( Z ) , N F ( A ) : the smallest fusion system over 𝑆 (not necessarily saturated) that contains both C F ( Z ) and N F ( A ) . We first claim that

(2.4) N F ( Z ) C F ( Z ) , Aut F ( S ) F 0 .

The second inclusion is clear: Aut F ( S ) = Aut N F ( A ) ( S ) since 𝐴 is weakly closed in ℱ by assumption. If φ Hom N F ( Z ) ( P , Q ) , where P , Q Z , then by the extension axiom, since S = C S ( Z ) , φ | Z Aut F ( Z ) extends to some α Aut F ( S ) , and φ = α ( α - 1 φ ) , where α - 1 φ Hom C F ( Z ) ( P , S ) . This proves the first inclusion in (2.4).

By Lemma 1.2 and as Z Z ( S ) is fully normalized in ℱ, for each X Z F , there is ψ X Hom F ( N S ( X ) , S ) such that ψ X ( X ) = Z . Set

Z = { X Z F ψ X Mor ( F 0 ) } .

If ψ Hom F ( N S ( X ) , S ) is another morphism such that ψ ( X ) = Z , we have ψ ψ X - 1 Mor ( N F ( Z ) ) , and hence ψ Mor ( F 0 ) if and only if ψ X Mor ( F 0 ) by (2.4). So 𝒵 is independent of the choices of the ψ X .

If X Z F and X A , then A N S ( X ) and ψ X ( A ) = A , so ψ X Mor ( F 0 ) . Thus

(2.5) X Z F and X A X Z .

If φ Hom F ( P , S ) is such that P Z , X = φ ( Z ) Z , then φ ( P ) C S ( X ) since P S = C S ( Z ) , so ψ X φ is defined and in N F ( Z ) F 0 , and hence φ = ( ψ X | φ ( P ) ) - 1 ( ψ X φ ) is also in F 0 . Thus,

(2.6) for each φ Hom F ( P , S ) with Z P S , φ ( Z ) Z φ Mor ( F 0 ) .

Assume F > F 0 . By Theorem 1.5 (the Alperin–Goldschmidt fusion theorem), there are R E F { S } and α Aut F ( R ) such that α Mor ( F 0 ) . Since we have Aut F ( S ) = Aut F 0 ( S ) by (2.4), it follows that R E F . Choose such 𝑅 and 𝛼 with | R | maximal. Since 𝑅 is ℱ-centric, we have R Z ( S ) Z . Set X = α ( Z ) ; then X Z by (2.6), and hence X A by (2.5). Also, R C S ( X ) N S ( X ) since R C S ( Z ) = S .

For each Y Z F Z , we have ψ Y Mor ( F 0 ) by definition of 𝒵. Hence ψ Y is a composite of restrictions of automorphisms of members of E F { S } of order at least | N S ( Y ) | , and at least one of these automorphisms is not in F 0 . So, by the maximality assumption on 𝑅, | R | | N S ( Y ) | for all Y Z F Z and, in particular, for all Y X N F ( A ) . Since R N S ( X ) , this shows that 𝑋 is fully normalized in N F ( A ) and also that R = C S ( X ) = N S ( X ) . ∎

Note in particular the following special case of Proposition 2.3.

Corollary 2.7

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆, let A S be an abelian subgroup that is weakly closed in ℱ, and fix

1 Z Z ( S ) A .

Assume that A C F ( Z ) but A F . Then there are R E F and α Aut F ( R ) such that α ( Z ) A , α ( Z ) N F ( A ) f , and R = C S ( α ( Z ) ) = N S ( α ( Z ) ) .

Proof

By assumption, C F ( Z ) N F ( A ) < F . So C F ( Z ) , N F ( A ) F , and the result follows from Proposition 2.3. ∎

2.2 Normality of subgroups

The results in this subsection will be useful when showing that certain subgroups, especially abelian subgroups, are strongly closed or normal in a fusion system.

Lemma 2.8

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆, and let Q S be a normal subgroup that is not weakly closed in ℱ. Then there are P Q F { Q } , R E F { S } , and α Aut F ( R ) such that R Q , P = α ( Q ) , R = N S ( P ) , P N F ( Q ) f , and | R | | N S ( U ) | for all U Q F { Q } .

Proof

Let 𝒲 be the set of pairs ( R , α ) where

R E F { S } , R Q , α Aut F ( R ) , and α ( Q ) Q .

As 𝑄 is not weakly closed in ℱ, there is φ Hom F ( Q , S ) such that φ ( Q ) Q , and hence W by the Alperin–Goldschmidt fusion theorem (Theorem 1.5).

Then choose ( R , α ) W such that | R | is maximal. By Lemma 1.2, for each U Q F { Q } , there is a morphism φ Hom F ( N S ( U ) , S ) such that φ ( U ) = Q . By Theorem 1.5 again, there is ( R 1 , α 1 ) W such that | R 1 | | N S ( U ) | , and | R | | R 1 | by the maximality of | R | . Thus it follows that | R | | N S ( U ) | for each U Q F { Q } .

Now set P = α ( Q ) . Then P R since Q R , so R N S ( P ) , with equality since we just saw | R | | N S ( P ) | . Also, P N F ( Q ) f since | R | | N S ( U ) | for each U Q F { Q } P N F ( Q ) . ∎

The following is a more technical result that will be needed when proving that Q / Z C F ( Z ) / Z in case (i) of Theorem A.

Proposition 2.9

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆, and let A S be an abelian subgroup that is weakly closed in ℱ but not normal. Let 1 = A 0 < A 1 < < A m = A be such that [ S , A i ] A i - 1 for each 1 i m . Set E 0 = F , and for each 1 i m , set A ¯ i = A i / A i - 1 and E i = C E i - 1 ( A ¯ i ) / A ¯ i , regarded as a fusion system over S / A i . (Note that A ¯ i Z ( S / A i - 1 ) .) Then there are 0 m - 2 , R S , and α Aut F ( R ) , such that

  • R A + 1 , [ α , A i ] A i - 1 for 1 i , and X = def α ( A + 1 ) A ;

  • R = N S ( X ) , R / A = C S / A ( X / A ) , and X / A N E ( A / A ) f ; and

  • R / A E E .

Proof

The fusion systems E i are all saturated by Theorem 1.10 and [16, Proposition II.5.11], applied iteratively. Also, A / A m - 1 is weakly closed in E m - 1 since 𝐴 is weakly closed in ℱ. All E m - 1 -essential subgroups contain

Z ( S / A m - 1 ) A / A m - 1

since they are centric, so A / A m - 1 E m - 1 by Lemma 1.7. Since A E 0 = F by assumption, there is 0 m - 2 such that A / A E and A / A + 1 E + 1 .

We now apply Corollary 2.7, with A / A , A + 1 / A , and E in the role of 𝐴, 𝑍, and ℱ. Here, A + 1 / A Z ( S / A ) since [ A + 1 , S ] A , while A / A E by assumption. Since A / A is abelian, it is normal in C E ( A ¯ + 1 ) by Lemma 1.19 and since A / A + 1 E + 1 = C E ( A ¯ + 1 ) / A ¯ + 1 . So, by Corollary 2.7, there are R S containing A , and α ¯ Aut E ( R / A ) , such that

R / A = C S / A ( α ¯ ( A ¯ + 1 ) ) E E ,

and

(2.10) X / A = def α ¯ ( A ¯ + 1 ) A / A , R / A = N S / A ( X / A ) , X / A N E ( A / A ) f .

Also, R / A Z ( S / A ) A ¯ + 1 since R / A is E -centric, so R A + 1 .

Set α = α ¯ , and choose α i Aut C E i ( A ¯ i + 1 ) ( R / A i ) Aut E i ( R / A i ) for decreasing indices i = - 1 , - 2 , , 0 so that α i / A ¯ i + 1 = α i + 1 for each i < . Set α = α 0 Aut F ( R ) ; then [ α , A i ] A i - 1 for each 𝑖 by definition of the E i , and X = α ( A + 1 ) A since X / A = α ¯ ( A ¯ + 1 ) A / A . The other claims listed in the proposition follow easily from (2.10). ∎

2.3 Equalities between fusion systems

We finish the section with two sets of conditions for showing that two fusion systems over the same 𝑝-group are equal. Proposition 2.11 will be applied to the fusion systems encountered in Section 4, and Proposition 2.13 to those in Section 5.

Proposition 2.11

Let F 1 E F 2 be saturated fusion systems over a finite 𝑝-group 𝑆. Assume that Q S is centric and normal in all three, and that

Aut F 1 ( Q ) = Aut F 2 ( Q ) .

Assume also that the homomorphism

H 1 ( Out F 1 ( Q ) ; Z ( Q ) ) H 1 ( Out E ( Q ) ; Z ( Q ) )

induced by restriction is surjective. Then F 1 = F 2 .

Proof

Let M 1 H M 2 be models for F 1 E F 2 (Definition 1.11), where S H is a Sylow 𝑝-subgroup of all three. Thus M 1 and M 2 are both extensions of 𝑄 by Out F 1 ( Q ) = Out F 2 ( Q ) , and the difference of the two extensions (up to isomorphism) is represented by an element χ H 2 ( Out F 1 ( Q ) ; Z ( Q ) ) (see [30, Theorem IV.8.8]). Also, 𝜒 vanishes after restriction to H 2 ( Out E ( Q ) ; Z ( Q ) ) since M 1 and M 2 both contain 𝐻, so χ = 0 since Out E ( Q ) has index prime to 𝑝 in Out F 1 ( Q ) . Thus there is an isomorphism ψ : M 1 M 2 such that ψ | Q = Id Q . Note that 𝜓 also induces the identity on H / Q and on S / Q since they inject into Aut ( Q ) , but need not induce the identity on 𝑆.

Set ψ 0 = ψ | H Aut ( H ) . Consider the commutative diagram

where η 1 , η 2 are defined as in [37, Lemma 1.2]. Since ρ 1 is surjective by assumption, ρ 2 is also surjective. So there is α Aut ( M 1 ) such that α | H = ψ 0 c z | H for some z Z ( Q ) , and upon replacing 𝛼 by α c z - 1 , we can arrange that α | H = ψ 0 .

Now set φ = ψ α - 1 : M 1 M 2 . Then φ | H = ψ 0 ψ 0 - 1 = Id H , and in particular, φ | S = Id S . Since M 1 and M 2 are models for F 1 and F 2 , we conclude that F 1 = F 2 . ∎

The other criterion we give for two fusion systems to be equal applies only to fusion systems satisfying some very restrictive hypotheses, which are stated separately for easier reference.

Hypotheses 2.12

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆. Assume A , Q S are such that

  1. E F = { A , Q } ;

  2. 𝐴 is abelian, S = A Q , and C S ( A Q ) = A ; and

  3. p | N Aut ( A ) ( O p ( Aut F ( A ) ) ) / O p ( Aut F ( A ) ) | .

Note that F = N F ( R ) if E F = { R } has order 1, while F = N F ( S ) if E F = . So the next proposition still holds if we assume E F { A , Q } instead of assuming equality. However, since the extra cases that would be added are rather trivial and will not be encountered in this paper, we decided to use the more restrictive version.

Proposition 2.13

Let F 1 and F 2 be two saturated fusion systems over the same finite 𝑝-group 𝑆, and let A , Q S be normal subgroups with respect to which Hypotheses 2.12 hold for F 1 and for F 2 . Assume also that

O p ( N F 1 ( A ) ) = O p ( N F 2 ( A ) ) and O p ( Aut F 1 ( Q ) ) = O p ( Aut F 2 ( Q ) ) .

Then O p ( F 1 ) = O p ( F 2 ) .

Proof

If Hypotheses 2.12 hold for F i ( i = 1 , 2 ), then they also hold for O p ( F i ) (note in particular that E O p ( F i ) = E F i by Proposition 1.15). So it suffices to prove the proposition when F i = O p ( F i ) for i = 1 , 2 .

Since S = A Q , where 𝐴 and 𝑄 are both properly contained in 𝑆, we have Q A and A Q . Note that 𝑄 is nonabelian since otherwise C S ( A Q ) = S , contradicting Hypothesis 2.12 (ii). Also, 𝐴 and 𝑄 are weakly closed in F i for i = 1 , 2 since otherwise there would be

α Aut F i ( S ) with α ( A ) A or α ( Q ) Q ,

which is impossible since 𝛼 permutes the members of E F i .

Set

Θ = Aut F 1 ( S ) , Aut F 2 ( S ) Aut ( S ) .

Fix R { A , Q } . Each element of Θ normalizes 𝑅 since 𝑅 is weakly closed in F 1 and in F 2 . For each α Θ such that α | R = Id R , 𝛼 also induces the identity on S / R since C S ( R ) R (since R E F i by Hypothesis 2.12 (i)), and hence 𝛼 has 𝑝-power order. Thus

(2.14) { α Θ α | R = Id R } O p ( Θ ) ( for R { A , Q } ) ;

this subgroup is normal in Θ since all elements in Θ normalize 𝑅.

By points (i) and (ii) in Hypotheses 2.12 and since 𝐴 and 𝑄 are weakly closed, the conclusions of Lemma 1.16 hold for F 1 and F 2 . (Note that Q A F c since it is strictly contained in the abelian group 𝐴.) By Lemma 1.16 (b) and since O p ( F i ) = F i for i = 1 , 2 by assumption,

(2.15) Aut F i ( S ) = Aut O p ( N F i ( A ) ) ( S ) , Aut O p ( N F i ( Q ) ) ( S )

for i = 1 , 2 .

Again, fix R { A , Q } . If α Aut O p ( N F 1 ( R ) ) ( S ) , then

α | R O p ( Aut F 1 ( R ) ) = O p ( Aut F 2 ( R ) )

by Lemma 1.16 (a), so α | R = β | R for some β Aut F 2 ( S ) by the extension axiom and since α | R is normalized by Aut S ( R ) . By Lemma 1.16 (a) again, we have β Aut O p ( N F 2 ( R ) ) ( S ) . Also, α - 1 β O p ( Θ ) by (2.14) and since α | R = β | R . Upon repeating this argument with the roles of F 1 and F 2 exchanged, we have shown that

Aut O p ( N F 1 ( R ) ) ( S ) O p ( Θ ) = Aut O p ( N F 2 ( R ) ) ( S ) O p ( Θ ) .

Together with (2.15), this implies that

(2.16) Aut F 1 ( S ) O p ( Θ ) = Aut F 2 ( S ) O p ( Θ ) .

For R { A , Q } , set

Γ ( R ) = O p ( Aut F 1 ( R ) ) = O p ( Aut F 2 ( R ) ) ,

where the last two groups are equal by assumption. Then, for i = 1 , 2 ,

(2.17) Aut F i ( R ) = Γ ( R ) { α | R α Aut F i ( S ) }

by the Frattini argument and the extension axiom (and since R S ).

Set Θ ( A ) = Aut F 1 ( A ) , Aut F 2 ( A ) . Then Γ ( A ) Θ ( A ) since it is normal in each Aut F i ( A ) . Since N Aut ( A ) ( Γ ( A ) ) / Γ ( A ) has order prime to 𝑝 by Hypothesis 2.12 (iii), we have

O p ( Θ ( A ) ) = O p ( Γ ( A ) ) = Γ ( A ) .

By (2.17), for each α Aut F 1 ( A ) , there are α 0 Γ ( A ) and α ^ Aut F 1 ( S ) such that α = α 0 ( α ^ | A ) . By (2.16), there is β ^ Aut F 2 ( S ) such that α ^ - 1 β ^ O p ( Θ ) . Set β = α 0 ( β ^ | A ) Aut F 2 ( A ) . Then α - 1 β = ( α ^ - 1 β ^ ) | A has 𝑝-power order, hence lies in O p ( Θ ( A ) ) = Γ ( A ) , and we have shown that Aut F 1 ( A ) Aut F 2 ( A ) . A similar argument proves the opposite inclusion, and thus

(2.18) Aut F 1 ( A ) = Aut F 2 ( A ) .

For i = 1 , 2 ,

Aut F i ( Q ) = Γ ( Q ) { α | Q α Aut F i ( S ) } = Γ ( Q ) { α | Q α Aut O p ( N F i ( Q ) ) ( S ) } , { α | Q α Aut O p ( N F i ( A ) ) ( S ) } Γ ( Q ) Aut O p ( N F i ( Q ) ) ( Q ) , { α | Q α Aut O p ( N F i ( A ) ) ( S ) } = Γ ( Q ) { α | Q α Aut O p ( N F i ( A ) ) ( S ) } ,

the first equality by (2.17), the second by (2.15), and the last since

Aut O p ( N F i ( Q ) ) ( Q ) = Γ ( Q )

by Lemma 1.16 (a). The opposite inclusion is clear, so

(2.19) Aut F 1 ( Q ) = Aut F 2 ( Q )

since O p ( N F 1 ( A ) ) = O p ( N F 2 ( A ) ) by assumption.

For R { A , Q } , consider the homomorphism

Θ = Aut F 1 ( S ) , Aut F 2 ( S ) Ψ R N Aut F 1 ( R ) ( Aut S ( R ) ) = N Aut F 2 ( R ) ( Aut S ( R ) ) ,

where Aut F 1 ( R ) = Aut F 2 ( R ) by (2.18) or (2.19), and where Ψ R is induced by restriction to 𝑅 and is surjective by the extension axiom. Hence Ψ R sends O p ( Θ ) into the group

O p ( N Aut F i ( R ) ( Aut S ( R ) ) ) = Aut S ( R ) .

So, for each β O p ( Θ ) , there are g , h S such that β | A = c h A and β | Q = c g Q . Then β ( c g S ) - 1 is the identity on 𝑄 and conjugation by h g - 1 after restriction to 𝐴, so we have h g - 1 C S ( Q A ) = A by Hypothesis 2.12 (ii), and β ( c g S ) - 1 | A = Id . Since S = A Q by Hypothesis 2.12 (ii), this shows that β = c g S and hence that O p ( Θ ) = Inn ( S ) . So Aut F 1 ( S ) = Aut F 2 ( S ) by (2.16). Since E F i = { A , Q } by Hypothesis 2.12 (i), this together with (2.18) and (2.19) (and Theorem 1.5) shows that

F 1 = Aut F 1 ( S ) , Aut F 1 ( A ) , Aut F 1 ( Q ) = Aut F 2 ( S ) , Aut F 2 ( A ) , Aut F 2 ( Q ) = F 2 .

3 Todd modules in characteristic 3

We describe here the notation we use in Sections 4 and 5 to make computations involving Todd modules: first the Todd module for 2 M 12 , and afterwards those for M 11 and A 6 O 2 ( M 10 ) .

3.1 The ternary Golay code and the group 2 M 12

We first set up notation for handling the ternary Golay code 𝒢 and its automorphism group 2 M 12 . Our notation is based on that used by Griess in [23, Chapter 7] to describe the ternary Golay code. We begin by fixing some very general notation for describing 𝑛-tuples of elements in a field.

Notation 3.1

For a finite set X = { 1 , 2 , , n } and a field 𝐾, we regard K X as the vector space of maps X K and let { e i i X } be its canonical basis,

{ e i i X } K X , where e i ( j ) = { 1 if i = j , 0 if i j , for i , j X .

We also set e J = j J e j for J X . Let

Perm X ( K ) Mon X ( K ) Aut ( K X )

be the subgroups of permutation automorphisms and monomial automorphisms, respectively: automorphisms that permute the basis { e i } or the subspaces { K e i } , respectively. Thus, if | X | = n , then Perm X ( K ) Σ n and Mon X ( K ) K × Σ n . Let

π = π X , K : Mon X ( K ) Perm X ( K )

be the canonical projection that sends a monomial automorphism to the corresponding permutation automorphism; thus Ker ( π X , K ) is the group of automorphisms that send each K e i to itself.

Now set I = { 1 , 2 , 3 , 4 } , and regard F 3 I as the space of 4-tuples of elements of F 3 as well as that of functions I F 3 . Let T F 3 I be the tetracode subgroup,

(3.2) T = { ( a , b , b + a , b + 2 a ) a , b F 3 } = { ξ F 3 I ξ ( 3 ) = ξ ( 1 ) + ξ ( 2 ) , ξ ( 4 ) = ξ ( 1 ) + ξ ( 3 ) } .

Thus 𝒯 is a 2-dimensional subspace of F 3 I . By [23, Lemma 7.3],

(3.3) Aut ( T ) = def { α Mon I ( F 3 ) α ( T ) = T } GL 2 ( 3 ) 2 Σ 4 .

More precisely, each linear automorphism of 𝒯 extends to a unique monomial automorphism of F 3 I , and each permutation of 𝐼 lifts to a monomial automorphism of F 3 I , unique up to sign, that acts on 𝒯.

Set Δ = F 3 × I so that F 3 Δ is a 12-dimensional vector space over F 3 . Define C 1 , C 2 , C 3 , C 4 F 3 Δ by setting

C i = e ( 0 , i ) + e ( 1 , i ) + e ( 2 , i ) for i I ,

and set C = { C i i I } . Thus e Δ = i I C i . Define

G r : F 3 I F 3 Δ by setting G r ( ξ ) = i I e ( ξ ( i ) , i )

(the “graph” of 𝜉). Thus, for each ( c , i ) Δ , G r ( ξ ) ( c , i ) = 1 if c = ξ ( i ) , and it is zero otherwise. Finally, define G < G ¯ < F 3 Δ by setting

(3.4) G ¯ = C G r ( T ) and G = C i + G r ( ξ ) i I , ξ T .

Finally, for i , j I and ξ T , we define

C i j = C i - C j G and g r ξ = G r ( ξ ) - G r ( 0 ) G .

The C i are clearly linearly independent in G ¯ . The relations

(3.5) G r ( ξ ) + G r ( η ) + G r ( θ ) = i I ξ ( i ) η ( i ) C i for all ξ , η , θ T such that ξ + η + θ = 0

among the C i and G r ( ξ ) are easily checked. So, for any F 3 -basis { ξ 1 , ξ 2 } of 𝒯,

G ¯ = C 1 , C 2 , C 3 , C 4 , G r ( 0 ) , G r ( ξ 1 ) , G r ( ξ 2 ) , G = C 12 , C 13 , C 14 , g r ξ 1 , g r ξ 2 , C 1 + G r ( 0 ) .

These elements in each of these two sets are independent in F 3 Δ and hence form bases for G ¯ and 𝒢, respectively. So dim ( G ¯ ) = 7 and dim ( G ) = 6 .

The subspace 𝒢 is the ternary Golay code. We refer to [23, Lemmas 7.8 and 7.9] for more details and more properties. Note in particular that we have G = G under the standard inner product on F 3 Δ (i.e., that for which the standard basis { e ( c , i ) ( c , i ) Δ } is orthonormal).

We next look at automorphisms of 𝒢.

Notation 3.6

The following notation is used throughout this section and the next.

  1. Set M ^ 12 = { ξ Mon Δ ( F 3 ) ξ ( G ) = G } .

  2. For η F 3 I , assume that t r η Perm Δ ( F 3 ) is the translation that sends e ( c , i ) to e ( c + η ( i ) , i ) . Thus, for ξ F 3 Δ , we have t r η ( ξ ) ( c , i ) = ξ ( c - η ( i ) , i ) .

  3. Fix α Mon I ( F 3 ) , and let ε i F 3 × ( i I ) and σ Σ I be such that

    α ( e i ) = ε i e σ ( i ) for all i .

    Let τ ( α ) Perm Δ ( F 3 ) be the automorphism that sends e ( c , i ) to e ( ε i c , σ ( i ) ) . Thus, for ξ F 3 Δ , we have ( τ ( α ) ( ξ ) ) ( c , i ) = ξ ( ε σ - 1 ( i ) c , σ - 1 ( i ) ) .

  4. Define

    N 0 = t r T τ ( Aut ( T ) ) = t r η , τ ( α ) η T , α Aut ( T ) M ^ 12 ,

    and set N = N 0 × { ± Id } M ^ 12 .

By [23, Proposition 7.29], M ^ 12 2 M 12 .

Note the following relations for η , θ F 3 I , i I , and α Mon I ( F 3 ) :

t r η ( C i ) = C i , τ ( α ) ( C i ) = C π ( α ) ( i ) , t r η ( G r ( θ ) ) = G r ( θ + η ) , τ ( α ) ( G r ( θ ) ) = G r ( α ( θ ) ) .

To see the last equality, note that, for α Mon I ( F 3 ) with ε i F 3 × and σ Σ I as above and for θ = i I θ ( i ) e i in F 3 I , we have

τ ( α ) ( G r ( θ ) ) = i I τ ( α ) ( e ( θ ( i ) , i ) ) = i I e ( ε i θ ( i ) , σ ( i ) ) = G r ( θ ) ,

where

θ = i I ε i θ ( i ) e σ ( i ) = α ( θ ) .

In particular, these formulas show that the action of N 0 on F 3 Δ sends G ¯ and 𝒢 to themselves.

Lemma 3.7

We have N = N M ^ 12 ( t r T ) , and this is a maximal subgroup of M ^ 12 .

Proof

By construction, we have N N M ^ 12 ( t r T ) . Conversely, by [23, Theorem 7.20], 𝑵 is the subgroup of all elements of M ^ 12 whose action on Δ permutes the columns F 3 × { i } and hence contains the normalizer of t r T .

For the maximality of N M ^ 12 or of

N / { ± Id } E 9 GL 2 ( 3 ) in M ^ 12 / { ± Id } M 12 ,

see [15, p. 235] or [4, p. 8]. Note that if we regard M 12 as a group of permutations of 12 points, then N / { ± Id } M 9 Σ 3 is the subgroup of those permutations that normalize a set of three of the points. ∎

One easy consequence of Lemma 3.7 is that N 0 = M ^ 12 Perm Δ ( F 3 ) . In other words, the elements of N 0 are the only ones in M ^ 12 that permute the coordinates in Δ without sign changes. But this will not be needed later.

To simplify later calculations, we next describe 𝒢 and the action of N 0 on it in terms of ( 3 × 3 ) matrices over F 3 . In general, for a vector space 𝑉 over a field 𝐾, we let S 2 ( V ) denote its symmetric power

S 2 ( V ) = ( V K V ) / ( v w ) - ( w v ) v , w V .

For v , w V , let [ v w ] S 2 ( V ) denote the class of v w V K V , and write v 2 = [ v v ] for short. When α Aut K ( V ) , we let S 2 ( α ) Aut K ( S 2 ( V ) ) be the automorphism S 2 ( α ) ( [ v w ] ) = [ α ( v ) α ( w ) ] .

Definition 3.8

Let 𝒯 be the tetracode subgroup of (3.2).

  1. Choose a map of sets λ : I T such that, for each i I , λ ( i ) 0 and ( λ ( i ) ) ( i ) = 0 . Define a map of sets

    Φ 0 : C G r ( T ) S 2 ( T F 3 )

    by setting

    Φ 0 ( C i ) = ( λ ( i ) , 0 ) 2 and Φ 0 ( G r ( ξ ) ) = ( ξ , 1 ) 2

    for all i I and all ξ T .

  2. Define Θ * : N 0 Aut ( T F 3 ) by setting

    Θ * ( t r η τ ( α ) ) ( ξ , a ) = ( α ( ξ ) + a η , a )

    for each η , ξ T , α Aut ( T ) , and a F 3 .

We now check that the maps Φ 0 and Θ * extend to a natural isomorphism from the F 3 N 0 -module 𝒢 to the group S 2 ( T F 3 ) with action of a certain subgroup of Aut ( T F 3 ) .

Lemma 3.9

The following statements hold.

  1. The map Φ 0 of Definition 3.8 (a) is independent of the choice of 𝜆 and extends to a surjective homomorphism Φ ¯ : G ¯ S 2 ( T F 3 ) . This in turn restricts to an isomorphism Φ * from 𝒢 onto S 2 ( T F 3 ) .

  2. The map Θ * of Definition 3.8 (b) is an isomorphism from N 0 T Aut ( T ) onto the group of all automorphisms of T F 3 that are the identity modulo T 0 .

  3. For each β N 0 and each γ G ,

    (3.10) Φ * ( β ( γ ) ) = S 2 ( Θ * ( β ) ) ( Φ * ( γ ) ) .

    Thus it follows that Θ * and Φ * define an isomorphism from 𝒢 as an F 3 N 0 -module to S 2 ( T F 3 ) with its natural structure as a module over

    Θ * ( N 0 ) < Aut ( T F 3 ) .

Proof

(a) For each i I , the choice of λ ( i ) is unique up to sign. So we have that Φ ¯ ( C i ) = ( λ ( i ) , 0 ) 2 is independent of the choice of λ ( i ) .

We first check that i I Φ 0 ( C i ) = 0 . It suffices to show that i I λ ( i ) 2 = 0 in S 2 ( T ) . Independently of our choices, { λ ( i ) i I } is a set of representatives of the four subspaces of dimension 1 in F 3 2 . So the λ ( i ) are permuted up to sign by each α Aut ( T ) , and the sum of the λ ( i ) 2 is fixed by each such 𝛼. Hence the sum must be zero. (Alternatively, this can be shown directly by choosing coordinates and then computing with matrices.)

We next check that (3.5) holds for the images of the elements in C G r ( T ) under Φ 0 as defined above. So fix ξ , η , θ T such that ξ + η + θ = 0 . If we have ξ = η = θ , then (3.5) clearly holds. Otherwise, ξ - η 0 , so there is a unique index j I such that ( ξ - η ) ( j ) = 0 . Then ξ - η = ± λ ( j ) , and so

( ξ , 1 ) 2 + ( η , 1 ) 2 + ( θ , 1 ) 2 = ( ξ , 0 ) 2 + ( η , 0 ) 2 + ( θ , 0 ) 2 = ( ξ , 0 ) 2 + ( η , 0 ) 2 + ( - ξ - η , 0 ) 2 = - ( ξ - η , 0 ) 2 = - ( λ ( j ) , 0 ) 2 = i I { j } ( λ ( i ) , 0 ) 2 ,

where the first equality holds since ξ + η + θ = 0 , and the last one since

i I Φ 0 ( C i ) = 0 .

Thus Φ 0 extends to a homomorphism defined on a vector space over F 3 with basis C G r ( T ) , modulo the subspace generated by relations (3.5). This quotient space is generated by the images of the C i , as well as those of 0, ξ 1 , and ξ 2 for any basis { ξ 1 , ξ 2 } of 𝒯, hence has dimension 7 and is isomorphic to G ¯ . So Φ 0 extends to a homomorphism Φ ¯ from G ¯ to S 2 ( T F 3 ) .

Now, Φ ¯ ( C ) = ( η , 0 ) 2 = S 2 ( T 0 ) since T # = { λ ( i ) ± 1 i I } . Hence

Φ ¯ ( N 0 ) = S 2 ( T 0 ) ( ξ , 1 ) × 2 ξ T = S 2 ( T F 3 ) .

Thus Φ ¯ is onto, and a comparison of dimensions shows that Ker ( Φ ¯ ) = e Δ . Since e Δ G , Φ ¯ restricts to an isomorphism Φ * from 𝒢 to Sym 3 ( F 3 ) .

(b) One easily checks that Θ * as defined above restricts to homomorphisms on { t r η η T } T and on Aut ( T ) . So it remains only to check conjugacy relations: for α Aut ( T ) and η T , we have

Θ * ( α ) ( Θ * ( t r η ) ( Θ * ( α ) - 1 ( ξ , a ) ) ) = Θ * ( α ) ( α - 1 ( ξ ) + a η , a ) = ( ξ , a α ( η ) , a ) = Θ * ( t r α ( η ) ) ( ξ , a ) = Θ * ( α t r η α - 1 ) ( ξ , a ) .

Thus Θ * is well defined on N 0 , and it clearly defines an isomorphism onto the group of all β Aut ( T F 3 ) that are the identity modulo T 0 .

(c) For each ξ , η T , i I , and α Aut ( T ) , we have

Φ ¯ ( t r η ( G r ( ξ ) ) ) = ( ξ + η , 1 ) 2 = ( Θ * ( t r η ) ( ξ , 1 ) ) 2 = S 2 ( Θ * ( t r η ) ) ( Φ ¯ ( G r ( ξ ) ) ) ,
Φ ¯ ( τ ( α ) ( G r ( ξ ) ) ) = ( α ( ξ ) , 1 ) 2 = ( Θ * ( τ ( α ) ) ( ξ , 1 ) ) 2 = S 2 ( Θ * ( τ ( α ) ) ) ( Φ ¯ ( G r ( ξ ) ) ) ,
Φ ¯ ( t r η ( C i ) ) = Φ ¯ ( C i ) = ( λ ( i ) , 0 ) 2 = S 2 ( Θ * ( t r η ) ) ( Φ ¯ ( C i ) ) .
Also, for all α Aut ( T ) inducing the permutation σ Σ I , and all i I ,

Φ ¯ ( τ ( α ) ( C i ) ) = Φ ¯ ( C σ ( i ) ) = ( λ ( σ ( i ) ) , 0 ) 2 = ( ± Θ * ( τ ( α ) ) ( λ ( i ) , 0 ) ) 2 = S 2 ( Θ * ( τ ( α ) ) ) ( Φ ¯ ( C i ) ) ,

where λ ( σ ( i ) ) = ± τ ( α ) ( λ ( i ) ) by definition (and uniqueness up to sign) of λ ( i ) . Since

G ¯ = C G r ( T ) and N 0 = t r η , τ ( α ) η T , α Aut ( T ) ,

this proves (3.10). ∎

To simplify computations still farther, we now describe elements in N 0 and 𝑨 as ( 3 × 3 ) -matrices over F 3 . Fix an isomorphism T F 3 2 (e.g., by restriction to the first two coordinates) so that T F 3 is identified with F 3 3 and Aut ( T F 3 ) with GL 3 ( F 3 ) . We then identify S 2 ( T F 3 ) with the group Sym 3 ( F 3 ) of symmetric ( 3 × 3 ) matrices over F 3 by sending the class [ v w ] (for v , w F 3 3 ) to 1 2 ( v w t + w v t ) . More explicitly,

[ ( a b c ) ( d e f ) ] is sent to ( a d ( a e + b d ) ( a f + c d ) / 2 ( a e + b d ) / 2 b e ( b f + c e ) / 2 ( a f + c d ) / 2 ( b f + c e ) / 2 c f ) .

Let

Φ : G Sym 3 ( F 3 ) ,

(3.11) Θ : N 0 { ( a b c d e f 0 0 1 ) | a , b , c , d , e , f F 3 , a e - b d 0 } GL 3 ( F 3 )

be the composites of Φ * and Θ * with the isomorphisms induced by this identification T F 3 2 . Lemma 3.9 (c) now takes the following form.

Lemma 3.12

For each β N 0 and each ξ G ,

Φ ( β ( ξ ) ) = Θ ( β ) Φ ( ξ ) Θ ( β ) t Sym 3 ( F 3 ) .

As a first, very simple application, we describe the Jordan blocks for actions on 𝑨.

Lemma 3.13

There are exactly two conjugacy classes of elements of order 3 in M ^ 12 : those in one class act on 𝒢 with three Jordan blocks of lengths 1 , 2 , 3 , and those in the other with two Jordan blocks of length 3. In particular, for each x M ^ 12 of order 3, rk ( C G ( x ) ) 3 .

Proof

Each element of order 3 in M 12 is the image of a unique element of order 3 in 2 M 12 . So M ^ 12 has two conjugacy classes of elements of order 3 since M 12 does (see, e.g., [23, Exercise 7.34 (ii)]). With the help of Lemma 3.12, it is straightforward to check that

Θ - 1 ( ( 1 0 1 0 1 0 0 0 1 ) )

acts on 𝒢 with three Jordan blocks of lengths 1 , 2 , 3 and that

Θ - 1 ( ( 1 1 0 0 1 1 0 0 1 ) )

acts with two Jordan blocks of length 3. Thus these elements are in different classes, and each element of order 3 in M ^ 12 is conjugate to one of them and acts on 𝒢 in one of these two ways. The last statement holds since the rank of C G ( x ) is equal to the number of Jordan blocks. (See also [23, Exercise 7.37].) ∎

The notation developed in this subsection is summarized in Table 2.

Table 2

Notation used for certain subgroups of Γ = M ^ 12 and their action on A = Φ ( G ) .

Γ = M ^ 12 = { α Mon Δ ( F 3 ) α ( G ) = G } 2 M 12
N 0 = t r T τ ( Aut ( T ) ) M ^ 12
𝑵 = N 0 × { ± Id } = { α M ^ 12 α permutes the K i }
Θ : N 0 { ( A v 0 1 ) | A GL 2 ( 3 ) , v F 3 2 } GL 3 ( 3 )
𝑻 = Θ - 1 ( UT 3 ( F 3 ) ) Syl 3 ( N 0 ) Syl 3 ( Γ )

𝑨 = Φ ( G ) = Sym 3 ( F 3 )
β ( X ) = Θ ( β ) X Θ ( β ) t for β N 0 , X A

3.2 Notation for the Todd modules of M 11 and A 6

We next set up notation to work with the Todd modules of the groups M 11 and A 6 O 2 ( M 10 ) . In particular, we get explicit descriptions of the actions of certain subgroups of A 6 and M 11 .

Let G F 3 Δ be as in (3.4) and Notation 3.6. By [23, Lemma 7.12], 𝒢 contains exactly 12 pairs { ± θ } of elements of weight 12. Three of those pairs lie in C : the elements of the form i I ε i C i for ε i F 3 × and i I ε i = 0 . (The other nine have the form ± ( e Δ + G r ( ξ ) ) for ξ T .) By a direct check, for each basis { ξ , η } of 𝒯, the six elements

(3.14) { ± ( ( ξ , 0 ) 2 + ( η , 0 ) 2 ) , ± ( ( ξ , 0 ) 2 - ( η , 0 ) 2 ) ± [ ( ξ , 0 ) ( η , 0 ) ] } S 2 ( T F 3 )

are the images of the six elements of weight 12 in C under the isomorphism

Φ * : G S 2 ( T F 3 )

of Lemma 3.9 (a). We want to identify M 11 as the subgroup of elements in M ^ 12 that are the identity on one of these subspaces, and similarly for M 10 .

To simplify these descriptions, we identify 𝒯 with F 9 via some arbitrarily chosen isomorphism. We adopt the following notation for elements of F 9 :

F 9 = F 3 [ i ] , where i 2 = - 1 , ζ = 1 + i of order 8 in F 9 × , ϕ Aut ( F 9 ) : ϕ ( a + b i ) = a - b i for a , b F 3 .

We also write x ¯ = ϕ ( x ) for x F 9 .

Notation 3.15

Assume Notation 3.6 and Table 2, and choose an F 3 -linear isomorphism κ : T F 9 . Define elements θ 1 , θ 2 , θ 3 S 2 ( T ) S 2 ( T F 3 ) by setting

θ 1 = S 2 ( κ ) - 1 ( [ 1 1 + i i ] ) , θ 2 = S 2 ( κ ) - 1 ( [ 1 1 - i i + 1 i ] ) , θ 3 = S 2 ( κ ) - 1 ( [ 1 1 - i i - 1 i ] ) .

Set θ i * = Φ * - 1 ( θ i ) G . By (3.14), ± θ 1 * , ± θ 2 * , and ± θ 3 * are elements of weight 12 in 𝒢, and the only ones in C G .

Set K 1 = θ 1 * and K 2 = θ 2 * , θ 3 * , both subspaces of 𝒢, and define

M ^ 11 = N M ^ 12 ( K 1 ) and M ^ 10 = N M ^ 12 ( K 2 ) .

Also, set M ^ 0 = O 3 ( M ^ ) and N ( ) = N M ^ for = 10 , 11 , and set T = t r T .

Finally, define λ : F 9 × ϕ Aut ( T ) by setting

λ ( u ) = κ - 1 ( x u x ) κ for u F 9 × and λ ( ϕ ) = κ - 1 ϕ κ .

(Recall that we compose from right to left.) For x F 9 and u F 9 × , set

( ( x ) ) = t r κ - 1 ( x ) T , [ u ] = τ ( λ ( u ) ) N , and [ ϕ ] = τ ( λ ( ϕ ) ) N .

Also, for ξ N 0 , we write - ξ = ξ ( - Id ) N .

For easy reference, we summarize in Table 3 some of the basic properties of groups defined in Notation 3.15.

Lemma 3.16

Assume Notation 3.15. Then, for = 10 , 11 ,

M ^ 0 = C M ^ 12 ( K 12 - ) = C M ^ ( K 12 - ) ,

and the groups M ^ , M ^ 0 , N ( ) , and 𝑻 are as described in Table 3. In particular, T Syl 3 ( M ^ ) = Syl 3 ( M ^ 0 ) .

Table 3

In particular, N ( 10 ) = N ( 11 ) ( E 9 SD 16 ) × C 2 .

= 10 = 11
𝑻 t r T = ( ( x ) ) x F 9 t r T = ( ( x ) ) x F 9
N ( ) T [ ζ ] , [ ϕ ] , - Id T [ ζ ] , [ ϕ ] , - Id
N ( ) M ^ 0 T - [ i ] T - [ ζ ] , [ ϕ ]
M ^ 0 A 6 M 11
M ^ / M ^ 0 D 8 C 2

Proof

By definition (see Notation 3.6 (d)), each element of 𝑵 normalizes the subspace C G and hence permutes the six elements ± θ 1 , ± θ 2 , ± θ 3 (the only elements of weight 12 in C G ). Some of these actions are described in Table 4.

Table 4
g N [ ζ ] [ i ] [ ϕ ] - Id
θ 1 * g - θ 1 * θ 1 * θ 1 * - θ 1 *
θ 2 * g - θ 3 * - θ 2 * θ 3 * - θ 2 *
θ 3 * g θ 2 * - θ 3 * θ 2 * - θ 3 *

Consider, for example, the case θ 2 * [ ζ ] . Set ξ = κ - 1 ( 1 ) and η = κ - 1 ( i ) , where κ : T F 9 is as in Notation 3.15. Then

Φ * ( θ 2 * ) = θ 2 = S 2 ( κ ) - 1 ( [ 1 1 - i i + 1 i ] ) = [ ξ ξ - η η + ξ η ] .

Since ζ = 1 + i and i ζ = - 1 + i , we get

Φ * ( θ 2 * [ ζ ] ) = S 2 ( κ ) - 1 ( [ ( 1 + i ) ( 1 + i ) - ( - 1 + i ) ( - 1 + i ) + ( 1 + i ) ( - 1 + i ) ] ) = [ ( ξ + η ) ( ξ + η ) - ( - ξ + η ) ( - ξ + η ) + ( ξ + η ) ( - ξ + η ) ] = [ 4 ( ξ η ) - ξ ξ + η × η ] = - Φ * ( θ 3 * ) .

Hence we have θ 2 * [ ζ ] = - θ 3 * . The other computations are similar, but simpler in most cases.

Recall (Notation 3.6 (d)) that

N = ( t r T τ ( Aut ( T ) ) ) × { ± Id } ,

where Aut ( T ) GL 2 ( 3 ) 2 Σ 4 by (3.3). Since the element [ - 1 ] = [ i ] 2 centralizes K 1 K 2 by Table 4, each element of t r T = [ [ - 1 ] , t r T ] also centralizes K 1 K 2 . Also, each noncentral element of O 2 ( τ ( Aut ( T ) ) ) = [ i ] , [ ζ ϕ ] Q 8 fixes one of the θ i * and sends the other two to their negative, and hence each element of order 3 in τ ( Aut ( T ) ) acts by permuting the sets { ± θ i * } ( i = 1 , 2 , 3 ) cyclically. From this, we conclude that N ( 10 ) = N ( 11 ) is as described in Table 3 and also that

C N ( 10 ) ( K 2 ) = T - [ i ] and C N ( 11 ) ( K 1 ) = T - [ ζ ] , [ ϕ ] .

In particular, N ( 10 ) / C N ( 10 ) ( K 2 ) D 8 and N ( 11 ) / C N ( 11 ) ( K 1 ) C 2 .

It remains only to show that M ^ 0 = C M ^ ( K 12 - ) . For = 10 or = 11 , consider the action of M ^ = N M ^ 12 ( K 12 - ) on G / K 12 - . Since

M ^ 10 0 O 3 ( M 10 ) A 6 and M ^ 11 0 M 11

by definition of M 10 and M 11 as permutation groups, and as dim ( G / K 12 - ) = 4 or 5, respectively, this quotient is absolutely irreducible as an F 3 M ^ 0 -module by Lemma 5.2. Hence C Aut ( G / K 12 - ) ( M ^ 0 ) = { ± Id } , and so

(3.17) | N ( ) / C N ( ) ( K 12 - ) | | M ^ / C M ^ ( K 12 - ) | | M ^ / M ^ 0 | 2 | Out ( M ^ 0 ) | .

We just saw that

| N ( 10 ) / C N ( 10 ) ( K 2 ) | = 8 = 2 | Aut ( A 6 ) | , | N ( 11 ) / C N ( 11 ) ( K 1 ) | = 2 = 2 | Aut ( M 11 ) | ,

and so the inequalities in (3.17) are all equalities. Hence

M ^ 0 = C M ^ ( K 12 - ) = C M ^ 12 ( K 12 - ) ,

and the descriptions of N ( ) M ^ 0 and M ^ / M ^ 0 in Table 3 all hold. ∎

As seen in Lemma 5.2, there are three different representations that appear under Hypotheses 5.1: one of A 6 and two of M 11 . We will refer to these throughout the rest of the section as the “ A 6 -case” (when Γ 0 A 6 ), the “ M 11 -case” (when Γ 0 M 11 and 𝑨 is its Todd module), and the “ M 11 * -case” (when Γ 0 M 11 and 𝑨 is the dual Todd module).

Lemma 3.18

Assume Notation 3.15. We summarize here the notation we use for the F 3 M ^ 10 - and F 3 M ^ 11 -modules we are working with and describe explicitly the action of the subgroup N ( 10 ) or N ( 11 ) .

  1. ( A 6 -case) We identify the Todd module for M ^ 10 with

    A ( 10 ) = def F 3 × F 9 × F 3

    in such a way that N ( 10 ) acts as follows:

    a , b , c ( ( x ) ) = a , b - a x , c + Tr ( x b ¯ ) - a N ( x ) for x F 9 , a , b , c [ u ] = a , u b , N ( u ) c for u F 9 × , a , b , c [ ϕ ] = a , b ¯ , c and a , b , c - Id = - a , - b , - c .

  2. ( M 11 -case) We identify the Todd module for M ^ 11 with

    A ( 11 ) = def F 3 × F 9 × F 9

    in such a way that N ( 11 ) acts as follows:

    a , b , c ( ( x ) ) = a , b - a x , c + b x + a x 2 for x F 9 , a , b , c [ u ] = a , u b , u 2 c for u F 9 × , a , b , c [ ϕ ] = a , b ¯ , c ¯ and a , b , c - Id = - a , - b , - c .

  3. ( M 11 * -case) We identify the dual Todd module for M ^ 11 with

    A ( 11 ) * = def F 9 × F 9 × F 3

    in such a way that N ( 11 ) acts as follows:

    a , b , c ( ( x ) ) = a , b - a x , c + Tr ( b x + a x 2 ) for x F 9 , a , b , c [ u ] = u - 2 a , u - 1 b , c for u F 9 × , a , b , c [ ϕ ] = a ¯ , b ¯ , c and a , b , c - Id = - a , - b , - c .

Proof

(b) Define

κ ^ 11 : S 2 ( T F 3 ) A ( 11 ) = F 3 × F 9 × F 9

by setting

κ ^ 11 ( [ ( ξ , r ) ( η , s ) ] ) = r s , r κ ( η ) + s κ ( ξ ) , κ ( ξ ) κ ( η ) .

This is surjective since A ( 11 ) is generated by the elements

κ ^ 11 ( [ ( 0 , 1 ) ( η , s ) ] ) = s , κ ( η ) , 0 and κ ^ 11 ( [ ( 1 , 0 ) ( η , 0 ) ] ) = 0 , 0 , κ ( η ) .

Also, κ ^ 11 ( θ 1 ) = 0 , so Ker ( κ ^ 11 Φ ) = θ 1 * = K 1 since they both are 1-dimensional. Thus the action of M ^ 12 on 𝒢 induces an action of M ^ 11 = N M ^ 12 ( K 1 ) on G / K 1 A ( 11 ) .

For θ T , t r θ ( ξ , r ) = ( ξ + r θ , r ) and t r θ ( η , s ) = ( η + s θ , s ) . So if we set x = κ ( θ ) and a , b , c = κ ^ 11 ( [ ( ξ , r ) ( η , s ) ] ) , then

a , b , c ( ( x ) ) = κ ^ 11 ( [ ( ξ + r θ , r ) ( η + s θ , s ) ] ) = r s , ( r κ ( η ) + s κ ( ξ ) ) + 2 r s κ ( θ ) , κ ( ξ ) κ ( η ) + κ ( θ ) ( r κ ( η ) + s κ ( ξ ) ) + r s κ ( θ ) 2 = a , b - a x , c + b x + a x 2 .

The other formulas follow by similar (but simpler) arguments.

(c) The description of the action of N ( 11 ) on A ( 11 ) * follows from that in (b), together with the relation ξ g , η = ξ , η g - 1 for ξ A ( 11 ) * and η A ( 11 ) , where the nonsingular pairing

A ( 11 ) * × A ( 11 ) = ( F 9 × F 9 × F 3 ) × ( F 3 × F 9 × F 9 ) - , - F 3

is defined by a , b , z , y , c , d = y z + Tr ( a d + b c ) .

(a) This proof is similar to that of (b), except that κ ^ 11 is replaced by the map

κ ^ 10 : S 2 ( T F 3 ) A ( 10 ) = F 3 × F 9 × F 3 ,

defined by setting

κ ^ 10 ( [ ( ξ , r ) ( η , s ) ] ) = r s , r κ ( η ) + s κ ( ξ ) , Tr ( κ ( ξ ) κ ( η ) ¯ ) .

This is easily seen to be surjective. For i = 2 , 3 , we have

κ ^ 10 ( θ i * ) = 0 , 0 , Tr ( 1 1 - i ı ¯ ± 1 ı ¯ ) = 0 ,

and so Ker ( κ ^ 10 ) = θ 2 * , θ 3 * = K 2 since they are both 2-dimensional. So the action of M ^ 12 on 𝒢 induces an action of

M ^ 10 = N M ^ 12 ( K 2 ) on G / K 2 A ( 11 ) .

The formulas for a , b , c ( ( x ) ) , a , b , c [ u ] , and a , b , c [ ϕ ] follow from arguments similar to those used in case (b). ∎

4 The Todd module for 2 M 12

We are now ready to look at fusion systems that involve the Todd module for 2 M 12 . Throughout the section, we refer to the following assumptions.

Hypotheses 4.1

Set p = 3 . Let F be a saturated fusion system over a finite 3-group 𝑺, and let A S be an elementary abelian subgroup such that C S ( A ) = A . Set Γ = Aut F ( A ) , Γ 0 = O 3 ( Γ ) , and assume that rk ( A ) = 6 and Γ 0 2 M 12 .

The main result in this section is Theorem 4.14, where we show that if F satisfies these hypotheses, then either A F , or F is isomorphic to the 3-fusion system of the sporadic group Co 1 .

Standard results in the representation theory of 2 M 12 show that, in the above situation, 𝑨 must be the Todd module for Γ = Γ 0 or its dual. In fact, we can assume in all cases that it is the Todd module.

Lemma 4.2

Assume Hypotheses 4.1. Then Γ = Γ 0 2 M 12 , 𝑨 is the Todd module for Γ , and 𝑨 is absolutely irreducible as an F 3 Γ -module.

Proof

By [24, § 4 and Table 5], the only 6-dimensional faithful F 3 Γ 0 -modules are the Todd module and its dual, and they are absolutely irreducible and not isomorphic. Also, Out ( Γ 0 ) Out ( M 12 ) C 2 , and composition with an outer automorphism of Γ 0 sends the Todd module to its dual. So the action of Γ 0 on 𝑨 does not extend to any extension of Γ 0 by an outer automorphism, and Γ = Γ 0 C Γ ( Γ 0 ) . As subgroups of Aut ( A ) , we have

C Γ ( Γ 0 ) Aut F 3 Γ 0 ( A ) = { ± Id } = Z ( Γ 0 ) ,

where Aut F 3 Γ 0 ( A ) = { ± Id } since 𝑨 is absolutely irreducible. Hence

Γ = Γ 0 2 M 12 .

Now, Out ( Γ ) Out ( M 12 ) C 2 , and by [24, § 4] again, an outer automorphism of Γ acts by exchanging the Todd module with its dual. So ( Γ , A * ) ( Γ , A ) as pairs, and we can assume that 𝑨 is the Todd module for Γ . ∎

We next check that, under Hypotheses 4.1, 𝑨 is weakly closed in F and 𝑺 splits over 𝑨. These are easy consequences of Lemma 3.13.

Lemma 4.3

Assume that A S and F satisfy Hypotheses 4.1, and let 𝑀 be a model for N F ( A ) (see Proposition 1.12). Then

  1. 𝑨 is weakly closed in F and hence normal in 𝑺; and

  2. 𝑺 and 𝑀 both split over 𝑨.

Proof

By Lemma 4.2, Aut F ( A ) M ^ 12 , and A G as F 3 M ^ 12 -modules.

(a) If A * < N S ( A ) is such that A * E 3 6 and A * A , then for x A * A , A A * C A ( x ) , where rk ( C A ( x ) ) 3 by Lemma 3.13 and since c x A has order 3 in Aut F ( A ) . Hence we have rk ( Aut A * ( A ) ) 3 , which is impossible since rk ( Aut S * ( A ) ) = rk 3 ( 2 M 12 ) = 2 . So 𝑨 is the only element of A F contained in N S ( A ) . Hence 𝑨 is weakly closed in F by Lemma 2.1.

(b) Choose θ M such that c θ is the central involution in Aut F ( A ) 2 M 12 (Lemma 4.2). Then | θ | = 2 or 6, and after replacing 𝜃 by θ 3 if necessary, we can assume | θ | = 2 . Also, 𝜃 fixes at least one element in each coset h A of 𝑨 in 𝑀 since the cosets have odd order. Hence M = A C M ( θ ) and S = A C S ( θ ) , while A C M ( θ ) = 1 since 𝜃 acts as - Id on 𝑨. This proves that C M ( θ ) and C S ( θ ) are splittings of 𝑀 and 𝑺 over 𝑨. ∎

We use throughout this section the notation set up in Section 3.1 for working with the Todd module for 2 M 12 , as summarized in Notation 4.4. In Subsection 4.1, we set up notation for some of the subgroups of 𝑺 and Γ that we have to work with. All of this is then applied in Subsection 4.2 to prove Theorem 4.14 describing fusion systems satisfying Hypotheses 4.1.

Notation 4.4

Assume Hypotheses 4.1 and Notation 3.6. Identify

Γ = M ^ 12 2 M 12 and A = Φ ( G ) = Sym 3 ( F 3 ) ,

where M ^ 12 is as in Notation 3.6 (a). Let N 0 M ^ 12 be as in Notation 3.6 (d), set N = N 0 × { ± Id } , and let

Θ : N 0 { ( a b c d e f 0 0 1 ) | a , b , c , d , e , f F 3 , a e b d } GL 3 ( F 3 )

be the isomorphism defined by (3.11). Thus

β ( X ) = Θ ( β ) X Θ ( β ) t

for all β N 0 and X A by Lemma 3.12. Finally, define

T = Θ - 1 ( UT 3 ( F 3 ) ) Syl 3 ( N 0 ) Syl 3 ( Γ ) ,

and set

M = A Γ and S = A T Syl 3 ( M ) .

4.1 Some subgroups of Γ and 𝑺

We begin by listing the additional notation that will be needed, in particular, notation to describe the subgroups of index 3 in 𝑻.

Notation 4.5

Define

Z = Z ( S ) = C A ( T ) and A * = [ T , A ] .

Define elements η 0 , η ± 1 , η , η ^ T as follows:

η k = Θ - 1 ( ( 1 1 0 0 1 k 0 0 1 ) ) ( for k F 3 ) , η = Θ - 1 ( ( 1 0 0 0 1 1 0 0 1 ) ) , η ^ = Θ - 1 ( ( 1 0 1 0 1 0 0 0 1 ) ) .

Thus T = η 0 , η and Z ( T ) = η ^ . For each k F 3 { } , set

U k = η ^ , η k T , W k = { a A [ a , U k ] Z = Z ( S ) } A ( so W k / Z = C A / Z ( U k ) ) , Q k = W k U k S .

For k F 3 , set

Q k = { Q S Q A = W k , Q A = U k A } .

In addition, we set

Q ^ = A * U 3 3 + 4 .

For 1 i , j 3 and x F 3 , let a i j x A = Sym 3 ( F 3 ) be the symmetric ( 3 × 3 ) -matrix with 𝑥 in positions ( i , j ) and ( j , i ) (or 2 x in position ( i , i ) if i = j ) and 0 elsewhere, and set a i j = a i j 1 .

The actions of the η k on 𝑨 are described explicitly in Table 5.

Table 5
𝜂 η ( ( t u r u v s r s a ) ) [ η , ( t u r u v s r s a ) ]
η k = ( 1 1 0 0 1 k 0 0 1 ) ( t - u + v u + v + k ( r + s ) r + s u + v + k ( r + s ) v - k s + a k 2 s + a k r + s s + a k a ) ( - u + v v + k ( r + s ) s v + k ( r + s ) - k s + a k 2 a k s a k 0 )
( k F 3 )
η = ( 1 0 0 0 1 1 0 0 1 ) ( t u + r r u + r v - s + a s + a r s + a a ) ( 0 r 0 r - s + a a 0 a 0 )
η ^ = ( 1 0 1 0 1 0 0 0 1 ) ( t - r + a u + s r + a u + s v s r + a s a ) ( - r + a s a s 0 0 a 0 0 )
Lemma 4.6

Assume Notation 4.4 and 4.5.

  1. We have

    Z = { ( t 0 0 0 0 0 0 0 0 ) | t F 3 } and A * = { ( t u r u v s r s 0 ) | t , u , v , r , s F 3 } ,

    and

    Aut N F ( A * ) ( A ) = Aut N Γ ( A * ) ( A ) , where N Γ ( A * ) = N .

  2. For each k F 3 { } ,

    W k = { { ( t u r u - k r 0 r 0 0 ) | r , t , u F 3 } if k F 3 , { ( t u 0 u v 0 0 0 0 ) | t , u , v F 3 } if k = , C A ( U k ) = { Z if k F 3 , W if k = , Q k { 3 + 1 + 4 if k F 3 , E 3 5 if k = . N S ( Q k ) = { S if k = 0 , A * T < S if k 0 .

  3. More generally, if k F 3 and Q Q k , then

    N S ( Q ) A if k = 0 , A N S ( Q ) = A * if k 0 .

Proof

The descriptions of 𝑍 and A * follow immediately from the formulas in Notation 4.4. From this, we see that A * = [ N 0 , A ] , and hence it is normalized by 𝑵. Since 𝑵 is a maximal subgroup of Γ by Lemma 3.7, it must be the full normalizer of A * .

The formulas in point (b) follow easily from those in Table 5. (Note, for each k F 3 { } , that 𝑻 normalizes Q k since it normalizes U k and W k .)

If Q Q k for some k F 3 , then an element a A normalizes 𝑄 if and only if [ a , U k ] W k , which holds for all a A if k = 0 , but only for a A * if k = ± 1 . ∎

Note that, for each k F 3 , the subgroup W k η ^ , a 23 η k lies in Q k since

( a 23 η k ) 3 C A ( η k ) W k ,

but is not extraspecial since [ η ^ , a 23 η k ] = [ η ^ , a 23 ] W k Z . Thus members of the Q k need not be extraspecial. However, as shown in the next lemma, all subgroups of 𝑺 not in 𝑨 and isomorphic to E 3 5 or 3 + 1 + 4 are members of Q k for some 𝑘.

Lemma 4.7

Assume Notations 4.4 and 4.5.

  1. There are exactly three abelian subgroups of 𝑺 of order 3 5 not contained in 𝑨, and all of them are conjugate to Q E 3 5 by elements of A A * .

  2. If P S is extraspecial of order 3 5 , then Z ( P ) = Z , and P Q k for some k F 3 . If, in addition, 𝑃 is weakly closed in N F ( Z ) , then P = Q 0 .

  3. For each saturated fusion system ℰ over 𝑺 and each k F 3 , Q k is ℰ-centric.

Proof

(a) Assume B S is abelian and such that B A and | B | = 3 5 . For each η S A , we have rk ( C A ( η ) ) 3 by Lemma 3.13, so rk ( B A / A ) = 2 and rk ( B A ) = 3 . Thus B A = U k A for some k F 3 { } such that

rk ( W k ) rk ( C A ( U k ) ) 3 ,

and k = by Lemma 4.6 (a). By the same lemma, B A = W .

Thus B = W b 1 η ^ , b 2 η for some b 1 , b 2 A uniquely determined modulo W . Since [ η ^ , η ] = 1 and A S , we have

1 = [ b 1 η ^ , b 2 η ] = b 1 ( η ^ b 2 η ^ - 1 ) ( η b 1 - 1 η - 1 ) b 2 - 1 = [ η ^ , b 2 ] [ b 1 , η ] ,

and hence

[ η ^ , b 2 ] = [ η , b 1 ] [ η ^ , A ] [ η , A ] = a 12 .

So, by Table 5 again, b 1 a 13 x and b 2 a 23 x ( mod W ) for some x F 3 .

In particular, there are at most three subgroups of 𝑺 isomorphic to E 3 5 and not in 𝑨. Since N S ( Q ) = A * T has index 3 in 𝑺, there are exactly three such subgroups, and they are all conjugate to Q by elements of A A * . More precisely, the three subgroups W a 13 x η ^ , a 23 x η for x F 3 all have the form Q β for some β a 33 .

(b) Assume that P S is extraspecial of order 3 5 , and set P 0 = P A . Then P 0 and P / P 0 are both elementary abelian (since [ P , P ] = Z ( P ) P 0 ), and hence P 0 E 27 and P / P 0 E 9 . So it follows that P A = U k A for some k F 3 { } , and Z ( P ) C A ( U k ) . Since U k = η ^ , η k and C A ( η ^ ) = W , this means that Z ( P ) C W ( η k ) , and hence Z ( P ) = Z if k F 3 (while C A ( U ) = W ). So if k , then [ P 0 , U k ] = Z , and hence P 0 W k in this case, with equality since rk ( W k ) = 3 for each 𝑘 (Lemma 4.6). Thus P Q k if k F 3 .

Conjugation by the element ( - I 0 0 1 ) N lies in Aut F ( S ) = Aut N F ( Z ) ( S ) , and its action on 𝑺 exchanges the sets Q 1 and Q - 1 . So no member of either of these is weakly closed in N F ( Z ) . Each member of Q 0 has the form

Q = W 0 g 1 η 0 , g 2 η ^ for some g 1 , g 2 A ,

and - Id N sends 𝑄 to W 0 g 1 - 1 η 0 , g 2 - 1 η ^ . Since

c - Id Aut F ( S ) = Aut N F ( Z ) ( S ) ,

𝑄 is weakly closed only if g i g i - 1 ( mod W 0 ) for i = 1 , 2 , which occurs only if g 1 , g 2 W 0 and hence Q = Q 0 . Thus Q 0 is the only member of Q 0 Q 1 Q - 1 that could be weakly closed in N F ( Z ) .

If k = , then

Z ( P ) C A ( U ) [ η ^ , A ] [ η , A ] = a 12

by Table 5, and so

P 0 { a A [ U , a ] Z ( P ) } = W

with equality since rk ( W ) = 3 = rk ( P 0 ) . But [ U , W ] = 1 , so W Z ( P ) , a contradiction.

(c) For each k F 3 and each Q Q k ,

C S ( Q ) C A U k ( W k ) = A

since Q k = U k W k is extraspecial (Lemma 4.6 (b)), and hence

C S ( Q ) = C A ( U k ) = Z

by the same lemma. Since ( Q k ) F Q 0 Q 1 Q 2 by (b), this proves that Q k is ℰ-centric for each saturated fusion system ℰ over 𝑺. ∎

Point (c) in Lemma 4.7 is not true if one replaces Q k (for k F 3 ) by Q . If F and 𝑺 satisfy Hypotheses 4.1, then one can show that Q ^ C F ( W ) and that Out C F ( W ) ( Q ^ ) 2 A 4 . (Since F is isomorphic to the fusion system of Co 1 by Theorem 4.14, this follows from the structure of C Co 1 ( W ) Q ^ .2 A 4 .) The subgroup Q ^ contains exactly four elementary abelian subgroups of rank 5 (the three described in Lemma 4.7 and A * ), and they are permuted transitively by Out C F ( W ) ( Q ^ ) . So Q ( A * ) F , and hence it is not F -centric.

4.2 Fusion systems involving the Todd module for 2 M 12

We now begin to apply results from Section 2. Recall that our goal is to describe all fusion systems that satisfy Hypotheses 4.1 with A F .

Proposition 4.8

Assume Hypotheses 4.1 with Γ = M ^ 12 and 𝑨 as in Notation 4.4, and set Z = Z ( S ) . Then F = C F ( Z ) , N F ( A ) .

Proof

Assume otherwise. By Proposition 2.3, there are subgroups X Z F and R E F such that

X A , R = C S ( X ) = N S ( X ) , Z = α ( X ) for some α Aut F ( R ) .

Fix x X A . In all cases, R A = C A ( X ) = C A ( x ) since | X | = | Z | = 3 and hence X = x . Also, | x | = 3 as x X Z F , where 𝑍 has order 3. Set R 0 = R A .

Case 1: Assume first that | R A / A | = 3 so that

R A = A x and R = C S ( X ) = C A ( x ) x .

Then Aut A ( R ) C A / R 0 ( x ) E 3 m , where 𝑚 is the number of Jordan blocks of length at least 2 for the action of 𝑥 on 𝑨, and m = 2 by Lemma 3.13.

Thus | Out A ( R ) | = 9 . Since Out A ( R ) acts trivially on R 0 and | R : R 0 | = 3 , this contradicts Lemma B.7.

Case 2: Assume that | R A / A | = 9 and hence that

Aut R ( A ) = U k for some k F 3 { } .

If k F 3 , then Z = C A ( R ) < C A ( x ) by Lemma 4.6 (b), and hence

Z [ R , C A ( x ) ] [ R , R ] .

Since X [ R , R ] , no automorphism of 𝑅 sends 𝑋 to 𝑍.

Now assume k = , so R 0 = C A ( x ) = C A ( R ) E 27 by Lemma 4.6 (b) again. Also, Out A ( R ) C A / R 0 ( U ) E 9 (see Table 5). So, by Lemma B.6 (b), for each characteristic subgroup P R , we have either | P | 3 4 or | R / P | 3 4 . Since | R | = 3 5 , and since 𝑅 is not extraspecial by Lemma 4.7 (b), this implies that R E 3 5 .

Set B = Out A ( R ) E 9 so that B Out S ( R ) . Moreover, let H < Out F ( R ) be a strongly 3-embedded subgroup that contains Out S ( R ) (recall R E F ), fix g Out F ( R ) H , and set L = B , B g . Then L H and 3 | H L | , so by Lemma B.2 (b), the subgroup H L is strongly 𝑝-embedded in 𝐿.

Since rk ( C R ( B ) ) = 3 and rk ( R ) = 5 , we have

rk ( C R ( L ) ) = rk ( C R ( B ) C R ( B g ) ) 1 .

Also, we have rk ( R / C R ( L ) ) 4 by Lemma B.6 (b) again, so rk ( C R ( L ) ) = 1 , and R / C R ( L ) is a faithful 4-dimensional representation of 𝐿. For each x B # , rk ( [ x , R ] ) = rk ( [ x , U ] ) = 2 , and so [ x , R / C R ( L ) ] has rank 1 or 2, and 𝑥 acts on R / C R ( L ) with Jordan blocks of lengths 2 + 2 or 2 + 1 + 1 . By Proposition B.10, L SL 2 ( 9 ) with the natural action on R / C R ( L ) , and hence we get rk ( [ x , R / C R ( L ) ] ) = 2 for each x B # . Thus C R ( L ) [ x , R ] = 1 for each x B # . But this is impossible: from Table 5, we see that the subgroups [ x , R ] are precisely the four subgroups of rank 2 in W E 27 that contain a 12 , and hence each element of W lies in at least one of them.

Case 3: Finally, assume that | R A / A | > 9 . Then R A / A = S / A 3 + 1 + 2 , and A X = A η ^ . From Table 5, we see that R 0 = C A ( η ^ ) = Z a 12 , a 22 E 27 .

From the formulas in Table 5 again, we see that Z a 12 [ T , R 0 ] [ R , R ] and hence that Z [ R , [ R , R ] ] . Since [ R , [ R , R ] ] A , it does not contain 𝑋, so no automorphism of 𝑅 sends 𝑋 to 𝑍, contradicting our assumptions. ∎

We next show that Q 0 is normal in C F ( Z ) . The following lemma is a first step towards doing this. From now on, we set Q = Q 0 since this subgroup plays a central role in studying these fusion systems satisfying Hypotheses 4.1.

Lemma 4.9

Assume Hypotheses 4.1, and Notations 4.4 and 4.5, and set Q = Q 0 . Then

  1. 𝑸 is weakly closed in F ;

  2. 𝑸 is normal in N N F ( A ) ( Z ) ;

  3. C Γ ( Z ) E 9 GL 2 ( 3 ) and N Γ ( U 0 ) = N Γ ( Z ) ( E 9 GL 2 ( 3 ) ) × C 2 ; and

  4. 𝑍 and W 0 are the only proper nontrivial subspaces of 𝑨 invariant under the action of C Γ ( Z ) .

Proof

(c) Since Z = C A ( U 0 ) (see Table 5), we have N Γ ( U 0 ) N Γ ( Z ) . Also, N Γ ( U 0 ) N N ( U 0 ) T E 8 , so the index of N Γ ( U 0 ) in Γ divides 880. By [23, Lemma 7.12 and Exercise 7.36], the orbits of Γ acting on the projective space P ( A ) have lengths 132, 220, and 12, so 𝑍 must be in an orbit of length 220, and hence | N Γ ( Z ) | = 3 2 96 = | N | .

Recall (Lemma 3.13) that there are two conjugacy classes of elements of order 3 in Γ , differing by the number of Jordan blocks for their actions on 𝑨. Thus all elements in U 0 # and U # are in one of the classes, while elements in U k η ^ for k { ± 1 } are in the other. Since C A ( U 0 ) = Z while C A ( U ) = W by Lemma 4.6 (b), U 0 and U are not Γ -conjugate.

As noted earlier (see [24, § 4]), while 𝑨 is not isomorphic to its dual A * as F 3 Γ -modules, the pairs ( Γ , A ) and ( Γ , A * ) are isomorphic via an outer automorphism α Aut ( Γ ) Inn ( Γ ) . Hence, by Table 5,

rk ( C A ( U 0 ) ) = 1 and rk ( C A ( α ( U 0 ) ) ) = rk ( C A * ( U 0 ) ) = rk ( A / [ U 0 , A ] ) = 3 ,

so α ( U 0 ) is not Γ -conjugate to U 0 . Since all elements of order 3 in α ( U 0 ) are conjugate to each other, α ( U 0 ) must be Γ -conjugate to U . Thus 𝛼 exchanges the classes of U 0 and U .

By the description of the action of 𝑵 on 𝑨 in Notation 4.4, 𝑵 normalizes the subgroup A * of index 3 in 𝑨. So it also normalizes a subgroup of order 3 in the dual space A * , and hence α ( N ) N Γ ( X ) for some X A of order 3. The length of the orbit of 𝑋 under the action of Γ divides | Γ : N | = 220 , so 𝑋 is in the orbit of 𝑍 by earlier remarks, and α ( N ) = N Γ ( X ) is Γ -conjugate to N Γ ( Z ) . Thus N Γ ( Z ) N ( E 9 GL 2 ( 3 ) ) × C 2 . Since N 0 acts via the identity on A / A * , a similar argument shows that C Γ ( Z ) N 0 . Finally, since U = O 3 ( N ) and α ( U ) is Γ -conjugate to U 0 , we get that O 3 ( N Γ ( Z ) ) is Γ -conjugate to U 0 , so | N Γ ( U 0 ) | = | N Γ ( α ( U ) ) | | N Γ ( Z ) | . Since N Γ ( U 0 ) N Γ ( Z ) , they must be equal.

(d) Since C Γ ( Z ) has index 2 in N Γ ( Z ) = N Γ ( U 0 ) by (c), 𝑍 and W 0 are both invariant under its action on 𝑨 (recall W 0 / Z = C A / Z ( U 0 ) by definition). We must show that there are no other invariant subgroups.

As noted in the proof of (c), the action of C Γ ( Z ) on 𝑨 is (up to isomorphism) dual to the action of N 0 E 9 GL 2 ( 3 ) on 𝑨. Set

B = Θ - 1 ( { ( A 0 0 1 ) | A GL 2 ( 3 ) } ) < N 0 .

Then 𝑨 splits as a direct sum of the three irreducible F 3 B -submodules

W = { ( a b 0 b c 0 0 0 0 ) | a , b , c F 3 } , { ( 0 0 x 0 0 y x y 0 ) | x , y F 3 } , { ( 0 0 0 0 0 0 0 0 z ) | z F 3 } ,

of which only W is N 0 -invariant. Since N 0 = U B , it now follows that the only proper nontrivial F 3 N 0 -submodules are W and A * , and hence (after dualizing) that 𝑨 also has only two proper nontrivial F 3 C Γ ( Z ) -submodules.

(b) Since M = A Γ is a model for N F ( A ) (Lemma 4.3 (b)), it suffices to show that Q N M ( Z ) = A N Γ ( Z ) . As [ Q , A ] = [ U 0 , A ] = W 0 Q , where the second equality holds by Table 5, we have A N M ( Q ) . Also, N Γ ( Z ) = N Γ ( U 0 ) by (c); this group normalizes W 0 since U 0 normalizes W 0 = [ U 0 , A ] , and hence N Γ ( Z ) also normalizes Q = U 0 W 0 . So Q A N Γ ( Z ) .

(a) We first check that

(4.10) Q F Q 0 = { Q } .

Assume otherwise: assume P Q F Q 0 and P Q . By Lemma 1.2, there is φ Hom F ( N S ( P ) , S ) such that φ ( P ) = Q , and A N S ( P ) by Lemma 4.6 (c). Then φ ( A ) = A since 𝑨 is weakly closed (Lemma 4.3 (a)), and φ ( Z ) = Z since Z = Z ( N S ( P ) ) = Z ( S ) . (Note that N S ( P ) = U 0 A or 𝑺.) Thus it follows that φ Mor ( N N F ( A ) ( Z ) ) , so φ ( Q ) = Q by (b), contradicting our assumption that P Q .

If 𝑸 is not weakly closed, then there are R E F { S } , α Aut F ( R ) , and P R by Lemma 2.8 such that R Q , P = α ( Q ) Q , and R = N S ( P ) . Then P Q 0 by (4.10), so by Lemma 4.7 (b), there is k { ± 1 } such that P Q k . By Lemma 4.6 (c) again, R A = N S ( P ) A = A * . Also, R A contains both Q A = U 0 A and P A = U k A , so R A = S and | S / R | = 3 . In particular, R S .

We next claim that

(4.11) β Aut F ( R ) , β ( A * ) = A * β ( Q ) = Q .

Fix such a 𝛽. Since β ( A * ) = A * and 𝑨 is weakly closed, β | A * extends to some β ^ Aut F ( A ) = Γ by Lemma 2.2 (b). Also, we have β ( Z ) = Z since Z = Z ( R ) , so β ^ N Γ ( Z ) = N Γ ( U 0 ) by (c), and β ^ normalizes C A / Z ( U 0 ) = W 0 / Z . So it follows that β ( W 0 ) = W 0 ; hence β ( Q ) A * = β ( W 0 ) = W 0 , and β ( Q ) Q 0 by Lemma 4.7 (b) again. So β ( Q ) = Q by (4.10), proving (4.11).

In particular, we have α ( A * ) A * = R A by (4.11) and since α ( Q ) Q , so α ( A * ) A , and by Lemma 4.7 (a), α ( A * ) is one of the three subgroups 𝑨-conjugate to Q . Since R S , all three of these subgroups are in the Aut F ( R ) -orbit of 𝑸. In particular, Q = U W R , so R U Q A * = T A * , with equality since both have index 3 in 𝑺.

Suppose that Aut F 0 ( R ) Aut F ( R ) is the stabilizer of A * . We just saw that the Aut F ( R ) -orbit of A * consists of A * together with the three subgroups conjugate to Q by elements of 𝑨. So Aut F 0 ( R ) has index 4 in Aut F ( R ) . By (4.11), β ( Q ) = Q for each β Aut F 0 ( R ) , and hence the Aut F ( R ) -orbit of 𝑸 has order at most 4. Since R S , all three members of the 𝑨-conjugacy class of P Q k lie in this orbit. Also, the element Θ - 1 ( ( - I 0 0 1 ) ) N N 0 ( T ) M exchanges the two classes Q 1 and Q - 1 and normalizes R = T A * , so the Aut F ( R ) -orbit of 𝑸 has at least three members from each of these classes. Since this contradicts the earlier observation that the orbit has at most four members, we conclude that 𝑸 is weakly closed in F . ∎

We are now ready to prove that Q C F ( Z ) .

Lemma 4.12

Assume Hypotheses 4.1 and Notation 4.5, and again set Q = Q 0 . Then Q C F ( Z ) .

Proof

For 1 i j 3 , let A i j A be the subgroup of those elements represented by symmetric ( 3 × 3 ) -matrices with entries 0 except possibly in positions ( i , j ) and ( j , i ) . We also set Δ = W 0 A 22 = W A 13 since this “triangular shaped” subgroup appears frequently in the arguments below.

Define inductively

Z = B 0 < B 1 < B 2 < B 3 < B 4 = B = Q

by setting B i / B i - 1 = C Q / B i - 1 ( S ) . Thus

B 0 = A 11 , B 1 = B 0 A 12 , B 2 = W 0 = B 1 A 13 , B 3 = B 2 η ^ , B 4 = Q = B 3 η 0 ,

and B i S for each 𝑖 since 𝑍 and 𝑸 are normal.

Assume Q C F ( Z ) . Then Q / Z C F ( Z ) / Z by Lemma 1.19 and since Z Z ( C F ( Z ) ) . By Proposition 2.9, applied with C F ( Z ) / Z and Q / Z in the role of ℱ and 𝐴, there are 2 , R S , and α Aut C F ( Z ) ( R ) such that

  1. R B + 1 , α ( B i ) = B i for all i , and X = def α ( B + 1 ) Q ;

  2. R = N S ( X ) and R / B = C S / B ( X / B ) ; and

  3. if = 0 , then R E C F ( Z ) and R / Z E C F ( Z ) / Z .

Note, in (​(3)​), that R E C F ( Z ) by Lemma 1.18 together with Proposition 2.9.

We will show that this is impossible. Fix an element

t X Q = α ( B + 1 ) Q .

Thus X = B t (recall B F ). Set R 0 = R A so that R 0 = N A ( X ) and R 0 / B = C A / B ( X / B ) by (​(2)​). We claim that

  1. R A and hence R 0 A and t A ;

  2. | t | = 3 ; and

  3. t η ^ A implies R A t , η ^ .

To see these, note first that if R A , then α Aut F ( R ) Mor ( C N F ( A ) ( Z ) ) since F C F ( Z ) and 𝑨 is weakly closed (Lemma 4.3 (a)). So it follows that α ( R Q ) = R Q since Q N N F ( A ) ( Z ) by Lemma 4.9 (b), contradicting the assumption that t α ( B + 1 ) Q . Hence we have R A . Also, B A , while X = B t A since A R 0 = N A ( X ) , so t A , finishing the proof of (​(4)​).

Since B + 1 Q has exponent 3, so does X = α ( B + 1 ) . Hence | t | = 3 , proving (​(5)​). If t η ^ A , then R A / A C S / A ( t ) = t A , η ^ A , so R A t , η ^ , proving (​(6)​).

Since t S A by (​(4)​), and each element in S A is 𝑺-conjugate to an element of η A for η = η ^ ± 1 or η k ± 1 for k F 3 { } , we can arrange that t η A for η { η ^ , η , η 0 , η ± 1 } . The proof now splits up naturally into different cases, depending on the class t A and on ℓ. The following arguments, covering all possible pairs ( t A , ) , are summarized in Table 6.

Table 6

In all cases, R 0 = R A , where R / B = C S / B ( t ) . In the matrices used to describe R 0 , an “∗” means an arbitrary element of F 3 , independent of the other entries.

= 0 = 1 = 2
B { ( * 0 0 0 0 0 0 0 0 ) } { ( * * 0 * 0 0 0 0 0 ) } { ( * * * * 0 0 * 0 0 ) }

t η ^ A R 0 = Δ = { ( * * * * * 0 * 0 0 ) } ; α - 1 ( t ) [ R , R ] t [ R , R ] R = Δ t , u , v with u η 0 A , v η A ; Z ( R / B 1 ) = R 0 t / B 1 E 27 , Z ( R / Z t ) = B 1 t / Z t C 3 } impossible R 0 = A * = { ( * * * * * * * * 0 ) } ; A * E 3 5 , α ( A * ) A R A * Q ; α ( A * ) R R = A * T ; R Q weakly closed α ( Q ) = Q R 0 = A impossible by (​(4)​)

t η 0 A R 0 = { ( * * * * 0 0 * 0 * ) } , R = R 0 t , u , where u η ^ A * , [ t , u ] = t 3 = u 3 = 1 ; [ A 23 , R ] B 2 t = Z 2 ( R ) , [ A 23 , B 2 t ] Z A 13 = Z ( Z 2 ( R ) R E C F ( Z ) ( Lemma  B.9 ) impossible by (​(3)​) R 0 = { ( * * * * * 0 * 0 * ) } , R = R 0 t , u with u η ^ A * α ( t ) B 2 [ R , R ] , while t [ R , R ] R 0 = A impossible by (​(4)​)

t η k A , k { ± 1 , } R 0 = W k = { ( * * r * - k r 0 r 0 0 ) } or { ( * * 0 * * 0 0 0 0 ) } ; R = R 0 t , u , where [ t , u ] Z ; R Q k , R / Z E 3 4 ; Proposition  B.10 Aut C F ( Z ) / Z ( R / Z ) ( P ) SL 2 ( q ) ; | Aut S / Z ( R / Z ) | = | N S ( R ) / R | = 3 3 Aut S / Z ( R / Z ) Aut C F ( Z ) / Z ( R / Z ) R 0 = Δ = { ( * * * * * 0 * 0 0 ) } ; R = Δ t , u for some t η k A , u η ^ A , [ t , u ] Z ; set x = α - 1 ( t ) B + 1 B ; then C R ( x ) C R ( t ) C Δ ( η k ) t , u for u u Δ : nonabelian of order 3 4 , C R ( x ) { Δ E 3 4 if = 1 , W x E 3 4 if = 2

t η ^ A : Since [ η ^ , A ] = B 2 = [ η 0 , A ] , [ t , u ] = 1 for some element u η 0 A , and hence R R 0 t , u .

  • If = 0 , then R 0 = Δ . So

    α - 1 ( t ) B 1 = [ Δ , η 0 ] = [ R 0 , u ] [ R , R ] ,

    and hence t [ R , R ] . This implies that R = Δ t , u , v for some v η A , and hence that Z ( R ) = Z and Z 2 ( R ) = B 1 t E 27 .

    By the above relations, we have

    Z ( R / B 1 ) = Δ t / B 1 E 27 , while Z ( R / ( Z t ) ) = B 1 t / Z t C 3 .

    So no α Aut ( R ) sends B 1 into Z t .

  • If = 1 , then R 0 = A * = Δ A 23 E 3 5 . Set E = α ( A * ) . Then t α ( B 2 ) E , so E E 3 5 is not contained in 𝑨, and 𝐸 is 𝑨-conjugate to Q = W η ^ , η by Lemma 4.7 (a). Since Q ^ = A * Q S , this implies that R Q ^ . Thus R = Q ^ u = A * η ^ , η , u , and it has index 3 in 𝑺.

    Let a A 33 be such that u η 0 a A * . The element η 0 normalizes both A * and Q = W η ^ , η . Hence η 0 normalizes each of the four subgroups of Q ^ isomorphic to E 3 5 , while A 33 normalizes A * and permutes the other three transitively. Since A * R , we must have E = α ( A * ) R , and this is possible only if a = 1 . Thus R = Q ^ η 0 = A * T .

    In particular, Q = B 2 η ^ , η 0 R , and α ( Q ) = Q since 𝑸 is weakly closed in F by Lemma 4.9 (a). This contradicts the assumption that α ( B 2 ) = B 1 t Q .

  • If = 2 , then R 0 = A , contradicting (​(4)​).

t η 0 A : Since [ η ^ , A ] = B 2 = [ η 0 , A * ] , 𝑡 commutes with some element u η ^ A * . Thus R = R 0 t , u by (​(6)​), where u η ^ A * , and [ t , u ] = u 3 = 1 .

  • If = 0 , then R 0 = B 2 A 33 (recall W 0 = B 2 ). So it follows that Z ( R ) = Z , and R / Z 3 + 1 + 2 × E 9 . Then

    Z 2 ( R ) = B 2 t 3 + 1 + 2 × C 3 and Z ( Z 2 ( R ) ) = Z ( B 2 t ) = Z A 13 ,

    and so both of these are characteristic in 𝑅.

    Since [ A 23 , R ] B 2 Z 2 ( R ) and [ A 23 , Z 2 ( R ) ] = [ A 23 , t ] = A 13 Z ( Z 2 ( R ) ) (and since [ A 23 , Z ( Z 2 ( R ) ) ] = 1 ), we have R E C F ( Z ) by Lemma B.9, contradicting (​(3)​).

  • If = 1 , then R 0 = B 2 A 22 A 33 E 3 5 . So α ( t ) B 2 [ R 0 , t , u ] [ R , R ] , while t [ R , R ] , a contradiction.

  • If = 2 , then R 0 = A , contradicting (​(4)​).

t η k A for k = , ± 1 : We have W k R 0 Δ in all cases. As | t | = 3 by (​(5)​), we have t η k A * , and t η k Δ if k = ± 1 . This follows from Lemma A.5, together with the formulas in Table 5. So if k = ± 1 , then [ η ^ , t ] [ η ^ , Δ ] = Z , and we set u = η ^ R . If k = , then [ η ^ , t ] [ η ^ , A * ] = B 1 , and [ u , R 0 t ] Z (and hence u R ) for some u η ^ A 13 . In all cases, [ t , u ] Z , and R = R 0 t , u by (​(6)​).

  • If = 0 , then we have R 0 = W k , and so R Q k , and R / Z E 3 4 in all cases. Since R / Z E C F ( Z ) / Z by (​(3)​), the group Aut C F ( Z ) / Z ( R / Z ) GL 4 ( 3 ) has a strongly embedded subgroup, and hence O 3 ( Aut C F ( Z ) / Z ( R / Z ) ) SL 2 ( 9 ) or PSL 2 ( 9 ) by Proposition B.10. So Aut S / Z ( R / Z ) N S ( R ) / R E 9 : a Sylow 3-subgroup of ( P ) SL 2 ( 9 ) .

    In all cases, N S ( R ) A = A * . If k = ± 1 , then N S ( R ) = A * t , η ^ , η 0 , and so | N S ( R ) / R | = 3 3 . If k = , then t Z ( R ) since α - 1 ( t ) B 1 Z ( R ) , so R E 3 5 and is 𝑺-conjugate to Q by Lemma 4.7 (a). So

    | N S ( R ) / R | = | N S ( Q ) / Q | = 3 3 ,

    and we also get a contradiction in this case.

  • If = 1 or 2, then R 0 = Δ and R = Δ t , u , where u η ^ A 13 and [ t , u ] Z . Set x = α - 1 ( t ) B + 1 B . Then it follows that C R ( x ) C R ( t ) , where either C R ( t ) = C Δ ( t ) t E 27 , or C Δ ( t ) t , u is nonabelian of order 3 4 . If = 1 , then x A , so C R ( x ) R 0 E 3 4 . If = 2 , then x η ^ B 2 η ^ Δ (and x R ), so C R ( x ) W x E 3 4 . So this is impossible in either case. ∎

We can now determine Out F ( Q ) . Let Sp 4 * ( 3 ) GL 4 ( 3 ) denote the group of matrices that preserve a symplectic form up to sign. Thus Sp 4 * ( 3 ) contains Sp 4 ( 3 ) with index 2.

Lemma 4.13

Assume Hypotheses 4.1 and Notation 4.5. Then

Out F ( Q ) = Out ( Q ) Sp 4 * ( 3 ) .

Also,

Out N F ( A ) ( Q ) N M ( Q ) / Q = A N M ( U 0 ) / W 0 U 0 ( A / W 0 ) ( N M ( U 0 ) / U 0 ) E 27 ( GL 2 ( 3 ) × C 2 ) ,

where the action of C M ( U 0 ) / U 0 GL 2 ( 3 ) on O 3 ( Out N F ( A ) ( Q ) ) A / W 0 is irreducible.

Proof

The model 𝑀 for N F ( A ) is a semidirect product of 𝑨 by

Γ = Aut F ( A ) 2 M 12

(Lemmas 4.2 and 4.3 (b)). Since 𝑸 is weakly closed in F by Lemma 4.9 (a), we have

N M ( Q ) = N M ( A U 0 ) = A N Γ ( U 0 ) ,

where N Γ ( U 0 ) ( E 9 GL 2 ( 3 ) ) × C 2 by Lemma 4.9 (c). The description of

Out N F ( A ) ( Q ) N M ( Q ) / Q

is now immediate, where the action of C M ( U 0 ) / U 0 on A / W 0 is irreducible by Lemma 4.9 (d).

Since N F ( A ) < F by assumption and F = C F ( Z ) , N F ( A ) by Proposition 4.8, we have N F ( Z ) > N N F ( A ) ( Z ) . Since 𝑸 is F -centric by Lemma 4.7 (c) and normal in N F ( Z ) by Lemma 4.12, N F ( Z ) is constrained and

Aut F ( Q ) > Aut N F ( A ) ( Q ) .

Since Out N F ( A ) ( Q ) is maximal in Out ( Q ) , we conclude that

Out F ( Q ) = Out ( Q ) Sp 4 * ( 3 ) .

We are now ready to identify all fusion systems satisfying Hypotheses 4.1.

Theorem 4.14

Let F be a saturated fusion system over a finite 3-group 𝑺 with a subgroup A S such that

A E 3 6 , C S ( A ) = A , and O 3 ( Aut F ( A ) ) 2 M 12 .

Assume also that A F . Then A S , 𝑺 splits over 𝑨, and F is simple and isomorphic to the 3-fusion system of Co 1 .

Proof

By Lemma 4.2, Aut F ( A ) 2 M 12 , and it acts on 𝑨 as the Todd module. By Lemma 4.3, 𝑨 is normal in 𝑺 and weakly closed in F , and S A T , where T Syl 3 ( Γ ) is defined in Notation 4.4. So we are in the situation of Notations 4.4 and 4.5 and can use the terminology listed there. Set Q = Q 0 ; then Q C F ( Z ) by Lemma 4.12, and this is the only subgroup of 𝑺 isomorphic to 3 + 1 + 4 and weakly closed in N F ( Z ) by Lemma 4.7 (b).

Set G * = Co 1 , fix S * Syl 3 ( G ) , and let A * S * be the unique subgroup isomorphic to E 3 6 . Set Z * = C A * ( S * ) = Z ( S * ) . By [18, Theorem 3.1] (see also the discussion about the subgroup ! 333 on [18, p. 424]), the fusion system F S * ( G * ) satisfies Hypotheses 4.1.

Let 𝑀 be a model for N F ( A ) (see Proposition 1.12), and set M * = N G * ( A * ) . By Lemmas 4.2 and 4.3 (b), 𝑀 and M * are both semidirect products of E 3 6 by 2 M 12 acting as the Todd module, so there is an isomorphism φ : M * M such that φ ( S * ) = S . Set F * = ( F S * ( G * ) ) φ . Thus F * is a fusion system over 𝑺 isomorphic to F S * ( G * ) . We will show that F * = F . By construction, we have N F ( A ) = N F * ( A ) .

Set

F 1 = C F ( Z ) , F 2 = C F * ( Z ) , and E = C N F ( A ) ( Z ) .

Since N F ( A ) = N F * ( A ) , ℰ is contained in F 2 as well as in F 1 . All three of these are fusion systems over 𝑺, and 𝑸 is centric and normal in each of them by Lemmas 4.7 (c) and 4.12. Also, Out F 1 ( Q ) = Out F 2 ( Q ) Sp 4 ( 3 ) since they have index 2 in Out F ( Q ) and Out F * ( Q ) , respectively, where

Out F ( Q ) = Out F * ( Q ) = Out ( Q )

by Lemma 4.13.

By Lemma 4.13,

Out N F ( A ) ( Q ) = Aut A ( Q ) ( N Γ ( Z ) / U 0 ) E 27 ( GL 2 ( 3 ) × C 2 ) ,

where the action of C Γ ( Z ) / U 0 GL 2 ( 3 ) on Aut A ( Q ) A / W 0 is irreducible. In particular, Out E ( Q ) has no normal subgroup of index 3, and hence

H 1 ( Out E ( Q ) ; Z ( Q ) ) Hom ( E 27 GL 2 ( 3 ) , Z / 3 ) = 0 .

So F 1 = F 2 by Proposition 2.11.

Thus

C F ( Z ) = C F * ( Z ) and N F ( A ) = N F * ( A ) .

Since F = C F ( Z ) , N F ( A ) by Proposition 4.8 again, and similarly for F * , we have F = F * .

The 3-fusion system of Co 1 was shown to be simple by Aschbacher [5, 16.10] (see also [36, Theorem A]). ∎

5 Todd modules for M 10 and M 11

We now look at Todd modules for the Mathieu groups M 11 and M 10 . More generally, rather than looking only at M 10 -representations, we work with representations of extensions of O 3 ( M 10 ) A 6 . We want to determine all saturated fusion systems over finite 3-groups which involve these modules. Throughout the section, we refer to the following hypotheses.

Hypotheses 5.1

Set p = 3 . Let F be a saturated fusion system over a finite 3-group 𝑺, and let A S be an elementary abelian subgroup such that C S ( A ) = A . Set Γ = Aut F ( A ) , Γ 0 = O 3 ( Γ ) , and assume that one of the following holds:

  1. rk ( A ) = 4 and Γ 0 A 6 ; or

  2. rk ( A ) = 5 and Γ 0 M 11 .

We will see in Lemma 5.4 that 𝑨 is weakly closed in F under these assumptions.

The irreducible F 3 A 6 - and F 3 M 11 -modules are, of course, very well known. In particular, there are only three modules that we need to consider.

Lemma 5.2

There are exactly one isomorphism class of faithful 4-dimensional F 3 A 6 -modules, and exactly two isomorphism classes of faithful 5-dimensional F 3 M 11 -modules. All of these modules are absolutely irreducible.

Proof

We refer for simplicity to [27, p. [4]] for the table of characters of A 6 in characteristic 3: there are none of degree 2, two of degree 3 which are not realized as F 3 A 6 -modules (since GL 3 ( 3 ) has order prime to 5), and one of degree 4 which is realized (as the natural module for A 6 ). This proves the claim for F 3 A 6 -modules.

By [26, § 7A], there are exactly two isomorphism classes of irreducible 5-dimensional F ¯ 3 M 11 -modules, one the dual of the other. In both cases, these are the smallest degrees of nontrivial Brauer characters. It is well known that they can be realized as F 3 M 11 -modules; we give one explicit construction in Lemma 3.18 (b) and (c). ∎

Note

Of the two distinct 5-dimensional F 3 M 11 -modules, what we call the “Todd module” is the one that has a set of eleven 1-dimensional subspaces permuted by M 11 . That one of the modules has this form is clear by the construction in Notation 3.15.

As noted in the proof of Lemma 5.2, the 4-dimensional F 3 A 6 -module is the natural module for A 6 : a subquotient of the 6-dimensional permutation module. However, for our constructions here (e.g., when we want to extend it to an F 3 Aut ( A 6 ) -module), it will be easier to work with it as a quotient module of the Todd module for 2 M 12 described in Section 4.

5.1 Preliminary results

The main goal in this subsection is to show that F = C F ( Z ) , N F ( A ) whenever Hypotheses 5.1 hold (Proposition 5.7). But we first describe more explicitly how the notation of Section 3.2 is used in the situation of Hypotheses 5.1. Recall that T Syl 3 ( M ^ ) by Lemma 3.16.

Notation 5.3

Assume Hypotheses 5.1 and Notation 3.15 as well as the notation in Lemma 3.18. Identify Γ 0 with M ^ 0 = O 3 ( M ^ ) for = 10 or 11 in such a way that T = Aut S ( A ) , and identify 𝑨 with A ( ) or (in the M 11 * -case) with A ( 11 ) * . Thus Z = Z ( S ) = C A ( T ) . Finally, set A * = [ S , A ] = [ T , A ] .

For later reference, we collect in Table 7 some easy computations involving some of the subgroups of 𝑨 and Γ defined above.

Table 7

In all cases, s S A , and x F 9 is such that c s = ( ( x ) ) T . The last line gives the Jordan block lengths for the action of 𝑠 on 𝑨.

A 6 -case
𝑨 F 3 × F 9 × F 3
[ s , a , b , c ] 0 , - a x , Tr ( b ¯ x ) - a N ( x )
A * = [ T , A ] 0 × F 9 × F 3
[ s , A ] { 0 , a x , c a , c F 3 }
C A ( T ) = Z ( S ) 0 × 0 × F 3
C A ( s ) = Z ( A s ) { 0 , b , c Tr ( b x ¯ ) = 0 }
Jd. bl. lth. of c s 3 + 1

M 11 -case M 11 * -case

𝑨 F 3 × F 9 × F 9 F 9 × F 9 × F 3
[ s , a , b , c ] 0 , - a x , b x + a x 2 0 , - a x , Tr ( b x + a x 2 )
A * = [ T , A ] 0 × F 9 × F 9 0 × F 9 × F 3
[ s , A ] { 0 , a x , c a F 3 , c F 9 } 0 × F 9 × F 3
C A ( T ) = Z ( S ) 0 × 0 × F 9 0 × 0 × F 3
C A ( s ) = Z ( A s ) 0 × 0 × F 9 { 0 , b , c Tr ( b x ) = 0 }
Jd. bl. lth. of c s 3 + 2 3 + 2

The next lemma gives a first easy consequence of the computations in Table 7.

Lemma 5.4

Assume that A S and F satisfy Hypotheses 5.1. Then 𝑨 is weakly closed in F and in particular is normal in 𝑺.

Proof

By Lemma 5.2, 𝑨 is one of the F 3 Γ 0 -modules described in Lemma 3.18. From that lemma and Table 7, we see that, in all of these cases, N S ( A ) / A E 9 , | C A ( x ) | = 9 for each x N S ( A ) A , and | A : C A ( N S ( A ) ) | 3 3 . So 𝑨 is the unique abelian subgroup of index 9 in N S ( A ) , and hence by Lemma 2.1 is weakly closed in F . ∎

The following properties will also be needed.

Lemma 5.5

Assume Hypotheses 5.1 and Notation 5.3.

  1. In the A 6 - and M 11 -cases, for x S A and a A , we have ( a x ) 3 = x 3 if and only if a A * . In all cases, x S A and a A * implies ( a x ) 3 = x 3 .

  2. In all cases, if A F , then [ S , S ] = A * .

Proof

(a) By Lemma A.5, for a A and x S A , x 3 = ( a x ) 3 if and only if [ x , [ x , a ] ] = 1 , i.e., if [ x , a ] C A ( x ) . By Table 7, this holds if and only if a A * in the A 6 - and M 11 -cases, while [ x , A * ] = Z C A ( x ) in the M 11 * -case.

(b) Assume otherwise: assume [ S , S ] > A * = [ S , A ] . Then, since S / A E 9 in all cases, [ S , S ] contains A * with index 3.

Assume we are in the M 11 * -case. Thus | A / A * | = 9 by Table 7, and hence we have A * < [ S , S ] < A . By Lemma 3.16, there is an element - [ i ] N Γ 0 ( T ) , and this extends to α Aut F ( S ) by the extension axiom. By the formulas in Lemma 3.18 (c), no subgroup of index 3 in 𝑨 and containing A * is normalized by 𝛼. In particular, α ( [ S , S ] ) [ S , S ] , which is impossible.

Now assume we are in the A 6 - or M 11 -case. Then | A / A * | = 3 by Table 7 again, so [ S , S ] = A , and S / A * is nonabelian of order 27. Let x S A and y S A x be arbitrary. Then S = A x , y and [ x , y ] A A * . So we have x 3 ( x y ) 3 = ( x 3 ) y by (a). In particular, x 3 1 , and since 𝑥 was arbitrary, no element of S A has order 3.

Assume R E F . Then we have that A R = Ω 1 ( R ) is characteristic in 𝑅. For each a N A ( R ) R , we have [ a , R ] R A and [ a , R A ] = 1 , contradicting Lemma B.9. Thus N A ( R ) R , so N A R ( R ) = R , and hence A R . Thus each F -essential subgroup contains 𝑨, contradicting the assumption that A F . ∎

In Notation 5.3, we identified O 3 ( Γ ) = O 3 ( M ^ ) (for = 10 or 11). In fact, this extends to an inclusion Γ M ^ .

Lemma 5.6

Assume Hypotheses 5.1 and Notation 5.3. Then, for = 10 , 11 , we have N ( ) = N M ^ ( T ) , and this is a maximal subgroup of M ^ . Also, as subgroups of Aut ( A ) , we have

  • M ^ 10 = N Aut ( A ) ( Γ 0 ) Γ if Γ 0 = M ^ 10 0 A 6 ; and

  • M ^ 11 = N Aut ( A ) ( Γ 0 ) Γ if Γ 0 = M ^ 11 0 M 11 .

Proof

For = 10 , 11 ,

N ( ) = N M ^ = N M ^ 12 ( T ) M ^ = N M ^ ( T ) ,

where the second equality holds by Lemma 3.7. The maximality of N ( ) in M ^ is well known in both cases, but we note the following very simple argument. If N ( ) is not maximal in M ^ , then since it has index 10 or 55 when = 10 or 11, respectively, there is N ( ) < H < M ^ , where [ H : N ( ) ] = n for n { 2 , 5 , 11 } . But then 𝐻 has exactly 𝑛 Sylow 3-subgroups where n 2 ( mod 3 ) , contradicting the Sylow theorems.

Now let { 10 , 11 } be such that Γ 0 = M ^ 0 . Since 𝑨 is absolutely irreducible as an F 3 M ^ 0 -module by Lemma 5.2, we have C Aut ( A ) ( M ^ 0 ) = { ± Id } , and hence

| M ^ / M ^ 0 | | N Aut ( A ) ( M ^ 0 ) / M ^ 0 | 2 | Out ( M ^ 0 ) | .

These inequalities are equalities by Table 3 and since

| Out ( A 6 ) | = 4 and | Out ( M 11 ) | = 1 ,

so M ^ = N Aut ( A ) ( M ^ 0 ) Γ . ∎

We can now begin to apply some of the lemmas in Section 2.

Proposition 5.7

Assume Hypotheses 5.1 and Notation 5.3. Then

F = C F ( Z ) , N F ( A ) .

Proof

Assume otherwise, and recall that A S by Lemma 5.4. By Proposition 2.3, there are subgroups X Z F and R E F such that

X A , R = C S ( X ) = N S ( X ) , Z = α ( X ) for some α Aut F ( R ) .

Set R 0 = R A .

Fix x X A . Then | x | = 3 since x X Z and Z A has exponent 3. Also, R 0 = C A ( X ) = C A ( x ) : since either | X | = | Z | = 3 and hence X = x , or else we are in the M 11 -case and C A ( x ) = Z = C A ( S ) . Since 𝑥 acts on 𝑨 in all cases with two Jordan blocks (Table 7), we have | R 0 | = | C A ( x ) | = 9 .

Case 1: Assume first that | R A / A | = 3 . Then R = R 0 x , and hence | R | = 27 .

If we are in the A 6 -case, then each member of the 𝑺-conjugacy class of 𝑅 has the form C A ( y ) y = R 0 y for some y x A , and y x A * by Lemma 5.5 (a) and since y 3 = 1 = x 3 . Since C A ( x ) has index 3 in A * , there are at most three such subgroups, so | N S ( R ) / R | 1 3 [ S : R ] = 9 , contradicting Lemma B.6 (b).

In the M 11 - and M 11 * -cases, | N R A ( R ) / R | = | C A / R 0 ( x ) | = 9 since 𝑥 acts on 𝑨 with Jordan blocks of length 3 and 2 (Table 7). Thus | Out A ( R ) | = 9 . Since Out A ( R ) acts trivially on R 0 , and | R / R 0 | = 3 , this contradicts Lemma B.7.

Case 2: Now assume that | R A / A | E 9 . Thus R A = S and | R | = 81 .

Assume first we are in the A 6 - or M 11 * -case. Then

| Z | = 3 and Z = C A ( R ) < C A ( x ) .

So there are y R A x and a C A ( x ) C A ( R ) such that 1 [ y , a ] Z , and hence Z [ R , C A ( x ) ] [ R , R ] . Since X [ R , R ] , no automorphism of 𝑅 sends 𝑋 to 𝑍.

Now assume we are in the M 11 -case. Then R 0 = Z and N S ( R ) = R A * , so | N S ( R ) / R | = | A * / Z | = 9 , and hence R E 81 by Lemma B.6 (b). Each element of order 3 in Aut S ( R ) acts on 𝑅 with Jordan blocks of length at most 2, so by Proposition B.10, O 3 ( Aut F ( R ) ) SL 2 ( 9 ) with the natural action on 𝑅. Also, each element of order 8 in N O 3 ( Aut F ( R ) ) ( Aut S ( R ) ) restricts to an element α Aut F ( Z ) of order 8 (note that Z = [ N S ( R ) , R ] ), and this in turn extends to some β Aut F ( S ) and hence to β | A Aut F ( A ) since 𝑨 is weakly closed in F by Lemma 5.4. But M ^ 11 0 Aut F ( A ) M ^ 11 M 11 × C 2 by Lemma 5.6, so F 9 × ϕ or its product with { ± Id } is a Sylow 2-subgroup of Aut F ( A ) , and by Lemma 3.18 (b), the subgroups of order 8 in these groups do not act faithfully on 𝑍. So this case is impossible. ∎

5.2 The subgroup Q C F ( Z )

So far, we have shown that F = N F ( A ) , C F ( Z ) in all cases where Hypotheses 5.1 hold. Our next step in studying these fusion systems is to prove that C F ( Z ) is constrained by constructing a normal centric subgroup Q C F ( Z ) , and proving (as one consequence) that 𝑺 splits over 𝑨.

Proposition 5.8

Assume Hypotheses 5.1 where A F . Then there is a unique special subgroup Q S of exponent 3 such that Z ( Q ) = Z , Q A = A * , and Q / Z E 81 , and E C F ( Z ) = { Q } . In particular, Q C F ( Z ) , and 𝑸 is weakly closed in F and F -centric.

Proof

Assume Notation 5.3. Define

Q = { Q S Q A = A * , Q / Z abelian of order 3 4 } , Q 0 = { Q Q Q of exponent 3 } .

Recall that [ S , S ] = A * by Lemma 5.5 (b). Also, S / A * is elementary abelian by Lemma A.1 (a), applied to the group S / Z with center A * / Z .

We will prove that

(5.9) E C F ( Z ) Q 0 and | Q 0 | 1 .

Since F = C F ( Z ) , N F ( A ) by Proposition 5.7, and since F N F ( A ) (recall A F by assumption), E C F ( Z ) . So (5.9) implies that E C F ( Z ) = Q 0 has order 1, and for Q Q 0 , Q C F ( Z ) and 𝑄 is weakly closed in ℱ. By construction, C S ( Q ) = C S ( T ) = Z , so 𝑄 is also ℱ-centric.

It thus remains to prove (5.9). Set S ¯ = S / Z and similarly for subgroups and elements of 𝑺. In all cases, Z ( S ¯ ) = A ¯ * E 9 .

Let ρ : Q / A * Z be the homomorphism of Lemma A.1 (b) that sends g A * to g 3 . (Note that 𝜌 is defined on Q ¯ = Q / Z in the lemma, but factors through Q / A * since A * is elementary abelian.)

A 6 - and M 11 -cases: Here, | A / A * | = 3 , so | Q 0 | | Q | = 1 by Lemma A.1 (c), applied with S ¯ and A * ¯ in the role of 𝑆 and 𝑍. Let Q Q be the unique element. Then E C F ( Z ) / Z { Q ¯ } by [32, Lemma 2.3 (a)] and since Q ¯ is the unique abelian subgroup of index 3 in S ¯ , and so E C F ( Z ) { Q } by Lemma 1.18.

Since 𝑸 is the only member of 𝒬, it is normalized by Aut F ( S ) . By Table 3, the element

β 0 = { - [ i ] N ( 10 ) M ^ 10 0 Aut F ( A ) in the A 6 -case , - [ ζ ] N ( 11 ) M ^ 11 0 Aut F ( A ) in the M 11 -case

normalizes Aut S ( A ) and hence extends to some β Aut F ( S ) . Also, by construction of N ( 10 ) = N ( 11 ) , 𝛽 permutes the cosets g A * for g Q A * (in two orbits of length 4 in the A 6 -case, or one orbit of length 8 in the M 11 -case), and 𝜌 is constant on each of these orbits.

In the A 6 -case, where | Z | = 3 , this implies that ρ = 1 and hence Q Q 0 . In the M 11 -case, where | Z | = 9 , it implies that either Q Q 0 , or all elements of Q A * have order 9 and hence A * is characteristic in 𝑸. But in that case, Q E C F ( Z ) by Lemma B.9 since, for a A A * , we have [ a , Q ] A * and [ a , A * ] = 1 . We conclude that E C F ( Z ) Q 0 in either case, finishing the proof of (5.9).

M 11 * -case: Now, | A / A * | = 9 . Assume R E C F ( Z ) . Then

R Z and R ¯ E C F ( Z ) / Z

by Lemma 1.18, and hence R ¯ Z ( S ¯ ) = A * ¯ . If R ¯ is not abelian, then Z ( R ¯ ) = A * ¯ , so A * ¯ is characteristic in R ¯ , contradicting Lemma B.9 since [ x , R ¯ ] A * ¯ and [ x , A * ¯ ] = 1 for each x S ¯ R ¯ . Thus R ¯ is abelian, and is maximal abelian since it is F / Z -centric. So R Q { A } by Lemma A.1 (d), and E C F ( Z ) Q { A } .

As N ( 11 ) ( E 9 SD 16 ) × C 2 is a maximal subgroup of M ^ 11 by Lemma 5.6 and normalizes 𝑍 by Lemma 3.18 (c), we see that Aut N F ( Z ) ( A ) = C Aut F ( A ) ( Z ) has index 2 in N ( 11 ) and hence contains 𝑻 as a normal subgroup. So A E C F ( Z ) , and E C F ( Z ) Q .

Assume 𝑅 is not of exponent 3, and set R 0 = Ω 1 ( R ) . Then R 0 has index 3 in 𝑅 by Lemma A.1 (b), so R 0 / Z ( R 0 ) E 9 , where Z ( R 0 ) A * . Since | A / A * | = 9 and 9 | Aut ( R 0 / Z ( R 0 ) ) | , there is x A A * such that [ x , R 0 ] Z ( R 0 ) . Also, [ x , R ] A * R 0 and [ x , Z ( R 0 ) ] = 1 , and by Lemma B.9, this contradicts the assumption that R E C F ( Z ) . Thus E C F ( Z ) Q 0 .

It remains to show that | Q 0 | 1 . Assume otherwise: assume Q 1 and Q 2 are both in Q 0 . Define ψ : S / A A / A * by setting, for each g A S / A ,

ψ ( g A ) = ( g A Q 1 ) - 1 ( g A Q 2 ) A / A * .

(Note that g A Q i S / A * for i = 1 , 2 .) Since

( g 1 ) 3 = 1 = ( g 2 ) 3 for g i g A Q i ,

and g 2 g 1 ψ ( g A ) , we have [ g , [ g , ψ ( g A ) ] ] = 1 by Lemma A.5. Using the formulas in Lemma 3.18 (c), we identify S / A and A / A * with F 9 , and through that identify 𝜓 with an additive homomorphism ψ ^ : F 9 F 9 such that

0 = [ ( ( x ) ) , [ ( ( x ) ) , ψ ^ ( x ) , 0 , 0 ] ] = 0 , 0 , Tr ( x 2 ψ ^ ( x ) )

for each x F 9 . Thus x 2 ψ ^ ( x ) i F 3 , and

ψ ^ ( x ) { i F 3 if x = ± 1 , ± i , F 3 if x = ± ζ , ± ζ 3 .

Hence ψ ^ is not onto, and either ψ ^ ( 1 ) = ψ ^ ( i ) = 0 or ψ ^ ( ζ ) = ψ ^ ( ζ 3 ) = 0 . This proves that ψ ^ = 0 and hence Q 1 = Q 2 , and finishes the proof of (5.9). ∎

We list some of the properties of these subgroups Q S in Table 8 for easy reference. They follow immediately from the descriptions in Lemma 3.18 and Proposition 5.8.

Table 8
Γ 0 rk ( A ) rk ( Z ) | S | Q | Out S ( Q ) |
A 6 -case A 6 4 1 3 6 3 + 1 + 4 3
M 11 -case M 11 5 2 3 7 3 2 + 4 3
M 11 * -case M 11 5 1 3 7 3 + 1 + 4 9

One easy consequence of Proposition 5.8 is that S A T .

Corollary 5.10

Assume Hypotheses 5.1 where A F , and let 𝑀 be a model for N F ( A ) (see Proposition 1.12). Then 𝑺 and 𝑀 split over 𝑨.

Proof

Let Q S be the special subgroup of exponent 3 of Proposition 5.8. To prove that 𝑺 splits over 𝑨, it suffices to show that 𝑸 splits over Q A = A * . If | Z | = 9 (i.e., in the M 11 -case), then we are in the situation of Lemma A.1 (d), so there is B Q abelian of index 9 such that B A * = Z , and any complement in 𝐵 to 𝑍 is a splitting of 𝑸 over A * .

If | Z | = 3 , then consider the space Q ¯ = Q / Z , with symplectic form 𝔟 defined by b ( x Z , y Z ) = σ ( [ x , y ] ) for some σ : Z F 3 . Following the standard procedure for constructing a symplectic basis for Q ¯ , we fix a basis { a 1 , a 2 } for A * / Z , choose b 1 Q ¯ a 1 , and choose b 2 a 1 , b 1 a 2 . Then { a 1 , b 1 , a 2 , b 2 } is a basis for Q ¯ , and b 1 , b 2 Q ¯ is totally isotropic and lifts to a splitting of 𝑸 over A * .

Since 𝑺 splits over 𝑨, it follows from Gaschütz’s theorem (see [3, (10.4)]) that 𝑀 also splits over 𝑨. ∎

Recall that, for = 10 , 11 , we set T = O 3 ( N ( ) ) E 9 , a Sylow 3-subgroup of M ^ , and set M ^ 0 = O 3 ( M ^ ) . Also, Γ was chosen so that Γ 0 = M ^ 0 (see Notation 5.3), and then Γ M ^ by Lemma 5.6.

Notation 5.11

Assume Hypotheses 5.1 and Notations 3.15 and 5.3. Let 𝑀 be a model for N F ( A ) , and set M 0 = O 3 ( M ) . Then 𝑀 splits over 𝑨 by Corollary 5.10, and we identify

M = A Γ A M ^ and M 0 = A Γ 0 = A M ^ 0 ,

where = 10 if Γ 0 A 6 and = 11 if Γ 0 M 11 . Thus S = A T Syl 3 ( M ) and Q = A * T S .

One easily sees that 𝑸 is special with Z ( Q ) = Z and Q / Z E 81 . Also, 𝑸 has exponent 3 by Lemma 5.5 (a) and hence is the subgroup described in Proposition 5.8. In particular, Q C F ( Z ) , and E C F ( Z ) = { Q } .

Recall Notation 3.15 and Lemma 3.16: T = { ( ( x ) ) x F 9 } , and

N ( 10 ) = N ( 11 ) = ( ( x ) ) , [ u ] , [ ϕ ] , - Id x F 9 , u F 9 × ( E 9 SD 16 ) × { ± Id } .

Lemma 5.12

Assume Hypotheses 5.1 and Notation 5.11, and also that A F . Then conditions (i)–(iii) in Hypotheses 2.12 hold for F , 𝑺, 𝑨, and 𝑸.

Proof

Since 𝑀 is a model for N F ( A ) , we have

S Syl 3 ( M ) and M / A Γ = Aut F ( A ) .

Each pair of distinct Sylow 3-subgroups of Γ 0 = O 3 ( Γ ) A 6 or M 11 intersects trivially. Hence, for each subgroup 𝑅 such that A < R < S , 𝑺 is the unique Sylow 3-subgroup of 𝑀 that contains 𝑅. So 1 Out S ( R ) Out M ( R ) = Out F ( R ) , and hence Out F ( R ) = Out N F ( A ) ( R ) does not have a strongly 3-embedded subgroup. Thus no such 𝑅 can be N F ( A ) -essential, proving that E N F ( A ) { A } .

By Proposition 5.7, F = N F ( A ) , C F ( Z ) . Hence E F E N F ( A ) E C F ( Z ) by Proposition 1.6, while E C F ( Z ) { Q } by Proposition 5.8. So E F { A , Q } . Also, A E F by Lemma B.1 and since Γ 0 = O 3 ( Aut F ( A ) ) A 6 or M 11 and hence has a strongly embedded subgroup, and Q E F since otherwise 𝑨 would be normal in F . Thus E F = { A , Q } , proving Hypothesis 2.12 (i).

Recall that Q = A * T . So S = A Q , and C S ( Q A ) = C S ( A * ) = A by the relations in Lemma 3.18. This proves Hypothesis 2.12 (ii).

By Lemma 5.2, 𝑨 is absolutely irreducible as an F 3 Γ 0 -module, where

Γ 0 = O 3 ( Aut F ( A ) )

as earlier. Thus the centralizer in Aut ( A ) of Γ 0 is { ± Id } . Since Out ( A 6 ) and Out ( M 11 ) are 2-groups,

N Aut ( A ) ( O p ( Aut F ( A ) ) ) / O p ( Aut F ( A ) )

is also a 2-group, and so Hypothesis 2.12 (iii) holds. ∎

The following notation for elements in 𝑸 will be useful.

Notation 5.13

For a , b F 9 , and z F 9 (in the M 11 -case) or z F 3 (in the A 6 - or M 11 * -case), set

a , b , z = 0 , a , z ( ( b ) ) A * T = Q .

Thus each element of 𝑸 is represented by a unique triple a , b , z for a , b F 9 and z F 3 or F 9 . We sometimes write a , b , * Q / Z to denote the class of a , b , z for arbitrary 𝑧.

We list in Table 9 some of the relations among such triples: all of these are immediate consequences of the definition in Notation 5.13 and the relations in Lemma 3.18.

Table 9

Here, a , b , c , d F 9 and u F 9 × in all cases, z , y F 3 in the A 6 - and M 11 * -cases, and z , y F 9 in the M 11 -case. Also, r F 3 in the A 6 - and M 11 -cases, and r F 9 in the M 11 * -case. In all cases, μ ( b , c ) is such that a , b , z c , d , y = a + c , b + d , z + y + μ ( b , c ) .

A 6 -case
μ ( b , c ) = Tr ( b ¯ c )
a , b , z r , 0 , 0 a - b r , b , z + r b 2 a + b r , b , z + Tr ( r b 2 )
a , b , z [ u ] u a , u b , u 2 z u - 1 a , u b , z
a , b , z [ ϕ ] a ¯ , b ¯ , z ¯ a ¯ , b ¯ , z
a , b , z - Id - a , b , - z - a , b , - z

The next two lemmas give more information about Out ( Q ) and Out F ( Q ) . We start with the case where Γ 0 A 6 .

Lemma 5.14

Assume Hypotheses 5.1, and Notations 5.3 and 5.11, with Γ 0 A 6 . Thus M 0 = A M ^ 10 0 E 81 A 6 . Then each α N Aut ( Q ) ( Aut S ( Q ) ) extends to some α ¯ Aut ( M 0 ) .

Proof

Since N ( 10 ) = N M ^ 10 ( T ) by Lemma 5.6, we have

(5.15) N M 0 ( S ) = A ( N ( 10 ) M ^ 10 0 ) = S β , where β = - [ i ] N ( 10 ) ,

by Lemma 3.16, and 𝛽 acts on 𝑺 via

(5.16) ( a , b , c ( ( x ) ) ) β = - a , - i b , - c ( ( i x ) ) .

For calculations in Out ( Q ) , we use Notation 5.13, and the ordered basis

B = { 1 , 0 , * , i , 0 , * , 0 , 1 , * , 0 , i , * }

for Q / Z . With respect to ℬ, the symplectic form 𝔟 defined by commutators has matrix ± ( 0 I - I 0 ) , and conjugation by 1 , 0 , 0 (a generator of Out S ( Q ) ) has matrix ( I - I 0 I ) by Table 9.

We identify Out ( Q ) with Aut ( Q / Z , ± b ) : the group of automorphisms of Q / Z that preserve 𝔟 up to sign. We have

N Aut ( Q / Z ) ( Out S ( Q ) ) = N GL 4 ( 3 ) ( ( I I 0 I ) ) = { ( A X 0 ± A ) | A GL 2 ( 3 ) , X M 2 ( F 3 ) } ,

and hence

(5.17) N Out ( Q ) ( Out S ( Q ) ) = ( I X 0 I ) , ( A 0 0 A ) , ( I 0 0 - I ) | A , X M 2 ( F 3 ) , X = X t , A A t = ± I = ( I X 0 I ) , ( A 0 0 A ) , ( I 0 0 - I ) | X = X t , A { ( 1 1 - 1 1 ) , ( 1 0 0 - 1 ) } E 27 ( SD 16 × C 2 ) .

Here, each element of the form ( A 0 0 ± A ) in N Out ( Q ) ( Out S ( Q ) ) is conjugation by some element of N ( 10 ) and hence extends to an automorphism of M 0 .

It remains to prove the lemma for automorphisms of the form ( I X 0 I ) when X = X t . Define α 1 , α 2 , α 3 Aut ( S ) as follows. In each case, α i | A = Id , and ω i : T A is such that α i ( g ) = ω i ( g ) g for all g T ,

α 1 ( a , b , c ( ( x ) ) ) = a , b + x , c + N ( x ) ( ( x ) ) , ω 1 ( ( ( x ) ) ) = 0 , x , N ( x ) , α 2 ( a , b , c ( ( x ) ) ) = a , b + x ¯ , c - Tr ( x 2 ) ( ( x ) ) , ω 2 ( ( ( x ) ) ) = 0 , x ¯ , - Tr ( x 2 ) , α 3 ( a , b , c ( ( x ) ) ) = a , b + i x ¯ , c + Tr ( i x 2 ) ( ( x ) ) , ω 3 ( ( ( x ) ) ) = 0 , i x ¯ , Tr ( i x 2 ) .

Each of the α i is seen to be an automorphism of 𝑺 by checking the cocycle condition

ω i ( ( ( x + y ) ) ) = ω i ( ( ( x ) ) ) + ω i ( ( x ) ) ( ( ( y ) ) )

on ω i . (Note the relation N ( x + y ) = ( x + y ) ( x ¯ + y ¯ ) = N ( x ) + N ( y ) + Tr ( x ¯ y ) .) The class of α i | Q as an automorphism of Q / Z has matrix ( I X 0 I ) for X = I , ( 1 0 0 - 1 ) , or ( 0 1 1 0 ) , respectively, and thus the classes [ α i | Q ] generate

O 3 ( N Out ( Q ) ( Out S ( Q ) ) )

by (5.17). Since α 1 is conjugation by 1 , 0 , 0 , it extends to M 0 . For i = 2 , 3 , the automorphism α i extends to S β since [ α i , c β ] = 1 in Aut ( S ) : this follows upon checking the relation ω i β ( ( ( x ) ) ) = ω i ( ( ( x β ) ) ) using (5.16).

Recall that Γ 0 = M ^ 10 0 A 6 . Then N Γ 0 ( T ) = T β (see (5.15)), and the cohomology elements [ ω 1 ] , [ ω 2 ] , [ ω 3 ] H 1 ( T ; A ) are all stable under the action of 𝛽. Since T Syl 3 ( Γ 0 ) is abelian, fusion in Γ 0 A 6 among subgroups of 𝑻 is controlled by N Γ 0 ( T ) = T β , and hence the [ ω i ] are stable under all fusion in Γ 0 . So they are restrictions of elements of H 1 ( Γ 0 ; A ) by the stable elements theorem (see [14, Theorem XII.10.1] or [13, Theorem III.10.3]), and each α i extends to an automorphism α ¯ i of M 0 = A Γ 0 that is the identity on 𝑨. ∎

The next lemma is needed to handle the cases where Γ 0 M 11 .

Lemma 5.18

Assume Hypotheses 5.1 and Notation 5.11, where Γ 0 M 11 . Let Q S be as in Proposition 5.8, set Δ = Out F ( Q ) and Δ 0 = O 3 ( Δ ) .

  1. If we are in the M 11 -case (i.e., if | Z ( S ) | = 9 ), then there is γ ¯ Aut F ( S ) of order 2 that acts on Q / Z via ( x x - 1 ) . For each such γ ¯ , if we set γ = [ γ ¯ | Q ] Out F ( Q ) , then

    Δ C Out ( Q ) ( γ ) Γ L 2 ( 9 ) .

    If, furthermore, 1 U 0 < U Syl 3 ( C Out ( Q ) ( γ ) ) , and if ξ C Out ( Q ) ( γ ) has 2-power order and acts on 𝑈 by ( x x - 1 ) , then for H 2 A 4 or H 2 A 5 , there is a unique subgroup X C Out ( Q ) ( γ ) isomorphic to 𝐻, containing U 0 , and normalized by 𝜉.

  2. If we are in the M 11 * -case (i.e., if | Z ( S ) | = 3 ), then there is γ ¯ Aut F ( S ) of order 4 such that [ γ ¯ | Q ] Out F ( Q ) centralizes Out S ( Q ) . For each such γ ¯ ,

    Δ 0 = O 3 ( C Out ( Q ) ( γ ¯ | Q ) ) SL 2 ( 9 ) .

Proof

Recall that M = A Γ is a model for N F ( A ) , and

M 0 = O 3 ( M ) = A Γ 0 .

(a) Assume we are in the M 11 -case. By Lemma 3.16 and Table 9, the element

[ - 1 ] N ( 11 ) M ^ 11 0 M

acts on Q / Z via ( x x - 1 ) . Set γ ¯ = c [ - 1 ] Aut F ( S ) ; thus γ ¯ has order 2 and inverts Q / Z .

Now let γ ¯ Aut F ( S ) be an arbitrary element of order 2 that acts on Q / Z via ( x x - 1 ) , and set γ = [ γ ¯ | Q ] Δ = Out F ( Q ) . As Q UT 3 ( 9 ) by the relations in Lemma 3.18 (b), we can apply Lemma A.2 to the group Out F ( Q ) Out ( Q ) . By Lemma A.2 (a), (c), and since γ Δ has order 2 and inverts all elements of Q / Z , we have C Out ( Q ) ( γ ) Γ L 2 ( 9 ) . By the same lemma and since O 3 ( Δ ) = 1 , Δ is sent isomorphically into Aut ( Q / Z ) ; hence (since 𝛾 is sent to Z ( Aut ( Q / Z ) ) ) we have γ Z ( Δ ) . So Δ C Out ( Q ) ( γ ) .

Now fix subgroups

1 U 0 < U Syl 3 ( C Out ( Q ) ( γ ) ) ,

and an element ξ C Out ( Q ) ( γ ) of 2-power order that acts on 𝑈 by ( x x - 1 ) . In particular, | U | = 9 and | U 0 | = 3 . Since O 3 ( C Out ( Q ) ( γ ) ) SL 2 ( 9 ) 2 A 6 , there is a surjective homomorphism Ψ : O 3 ( C Out ( Q ) ( γ ) ) A 6 with kernel of order 2 such that Ψ ( U 0 ) is generated by a 3-cycle. (Recall that A 6 has an outer automorphism that exchanges the two classes of elements of order 3.) Also, c ξ induces (via Ψ) an automorphism ξ of A 6 . Since ξ has 2-power order and inverts all elements in Ψ ( U ) , it must be inner, and conjugation by a product of two disjoint transpositions. So there is a unique subgroup X ¯ A 6 that contains Ψ ( U 0 ) , is normalized by ξ , and is isomorphic to H / Z ( H ) (i.e., to A 4 or A 5 ). Thus X = Ψ - 1 ( X ¯ ) is the unique subgroup satisfying the corresponding conditions in Out ( Q ) .

(b) Assume we are in the M 11 * -case. By Lemma 5.6 (and Notation 5.3),

M ^ 11 0 = Γ 0 Γ M ^ 11 ,

where [ M ^ 11 : M ^ 11 0 ] = 2 by Table 3. By Table 3 and Lemma 5.6,

N M ^ 11 ( T ) / T = N ( 11 ) / T SD 16 × C 2 ,

and hence this group has two subgroups of order 8, generated by [ ζ ] and - [ ζ ] , of which only the subgroup - [ ζ ] lies in Γ 0 . By Table 9, these elements act on Q / Z as follows:

(5.19) a , b , * [ ζ ] = ζ - 1 a , ζ b , * and a , b , * - [ ζ ] = ζ 3 a , ζ b , * .

By comparing characteristic polynomials or traces for the actions of the ζ i on F 9 , we see that Q / Z splits as a sum of two nonisomorphic irreducible F 3 C 8 -modules under the action of [ ζ ] , while the two summands under the action of - [ ζ ] are isomorphic.

Set U = Out S ( Q ) = Out A ( Q ) Syl 3 ( Δ ) . Since U E 9 and all elements of order 3 in 𝑈 are in class 3C or 3D (see Table 9), we have

Δ 0 2 A 6 SL 2 ( 9 )

by Lemma A.4. In particular, there is an element γ 0 N Δ 0 ( U ) of order 8 that acts on Q / Z , as an F 3 C 8 -module, with two irreducible summands not isomorphic to each other. By the extension axiom, γ 0 extends to γ ¯ 0 Aut F ( S ) , and γ ¯ 0 | A N Γ ( T ) has order 8. By comparison with the formulas in (5.19), we see that γ ¯ 0 | A must be conjugate to [ ζ ] and hence does not lie in Γ 0 . Thus Γ > Γ 0 , and hence Γ = M ^ 11 M 11 × C 2 . So c - [ i ] S Aut F ( S ) , it has order 4 and acts on 𝑨 by r , s , t - [ i ] = r , i s , - t (see Lemma 3.18 (c)) and hence centralizes

U = Out S ( Q ) A / A * .

Now let γ ¯ Aut F ( S ) be an arbitrary automorphism of order 4 that centralizes U = Out S ( Q ) . Since Aut ( Δ 0 ) Aut ( 2 A 6 ) Aut ( A 6 ) , where Out ( A 6 ) E 4 , and since each outer automorphism of Σ 6 exchanges 3-cycles with products of disjoint 3-cycles, we have C Aut ( Δ 0 ) ( U ) C Σ 6 ( V ) = V for V Syl 3 ( Σ 6 ) . Since γ ¯ | Q Δ acts on Δ 0 and centralizes 𝑈 (and since γ ¯ has order prime to 3), we conclude that c γ ¯ Δ 0 = Id Δ 0 and hence Δ 0 C Out ( Q ) ( γ ¯ ) .

From the list in [20] of subgroups of PSp 4 ( 3 ) , we see that Δ 0 SL 2 ( 9 ) 2 A 6 has index 2 in a maximal subgroup of Sp 4 ( 3 ) and hence index 4 in a maximal subgroup of Out ( Q ) Sp 4 * ( 3 ) . So Δ 0 = O 3 ( C Out ( Q ) ( γ ¯ ) ) . ∎

5.3 Fusion systems involving the Todd modules for M 10 and M 11

We are now ready to state and prove our main theorem on fusion systems satisfying Hypotheses 5.1.

Theorem 5.20

Let F be a saturated fusion system over a finite 3-group 𝑺, with a subgroup A S . Set Γ 0 = O 3 ( Aut F ( A ) ) , and assume that either

  1. A E 3 4 and Γ 0 A 6 ; or

  2. A E 3 5 and Γ 0 M 11 .

Assume also that A F . Then A S , 𝑺 splits over 𝑨, F is almost simple, and either
  1. Γ 0 A 6 and O 3 ( F ) is isomorphic to the 3-fusion system of one of the groups U 4 ( 3 ) , U 6 ( 2 ) , McL , or Co 2 ; or

  2. Γ 0 M 11 , | Z ( S ) | = 9 , and O 3 ( F ) is isomorphic to the 3-fusion system of Suz or Ly ; or

  3. Γ 0 M 11 , | Z ( S ) | = 3 , and F is isomorphic to the 3-fusion system of Co 3 .

(Note that (a), (b), and (c) correspond to the A 6 -, M 11 -, and M 11 * -cases, respectively.)

Proof

By Lemma 5.4, A S , and it is weakly closed in F . By the same lemma, 𝑨 is the unique 4-dimensional F 3 A 6 -module if Γ 0 A 6 , and 𝑨 is the Todd module or its dual if Γ 0 M 11 . Also, 𝑺 splits over 𝑨 by Corollary 5.10 and since A F . So we are in the situation of Notations 5.3 and 5.11 and can use the terminology listed there.

By Proposition 5.8, there is a unique special subgroup Q S of exponent 3 such that

Z ( Q ) = Z = Z ( S ) , Q A = A * , and Q / Z E 81 .

Also, E C F ( Z ) = { Q } , so Q C F ( Z ) . Set

Γ = Aut F ( A ) , Δ = Out F ( Q ) , Γ 0 = O 3 ( Γ ) , Δ 0 = O 3 ( Δ )

for short.

If | Z | = 3 (i.e., if we are in the A 6 - or M 11 * -case), then Q 3 + 1 + 4 , and by Table 8, Out S ( Q ) S / Q has order 3 (if Γ 0 A 6 ) or 9 (if Γ 0 M 11 ). Also, all elements of order 3 in Γ 0 act on Q / Z with two Jordan blocks of length 2 (see Table 9), and hence they have class 3C or 3D in O 3 ( Out ( Q ) ) Sp 4 ( 3 ) by Lemma A.3. So, by Lemma A.4, Δ 0 is isomorphic to 2 A 4 , 2 A 5 , ( Q 8 × Q 8 ) C 3 , or 2 - 1 + 4 . A 5 if Γ 0 A 6 , while Δ 0 2 A 6 if Γ 0 M 11 .

If | Z | = 9 , then Γ 0 M 11 and 𝑨 is its Todd module. Also, Q UT 3 ( 9 ) by the relations in Lemma 3.18 (b). So Aut ( Q ) / O 3 ( Aut ( Q ) ) Γ L 2 ( 9 ) by Lemma A.2 (a), (b). Since O 3 ( Δ 0 ) = 1 (recall that Q E F and hence Out ( Q ) has a strongly 3-embedded subgroup), Δ 0 is isomorphic to a subgroup of SL 2 ( 9 ) . The subgroups of SL 2 ( 9 ) are well known, and since Out S ( Q ) S / Q has order 3, we have Δ 0 2 A 4 or 2 A 5 .

Table 10
Γ 0 A 6 M 11

Δ 0 2 A 4 2 A 5 ( Q 8 × Q 8 ) C 3 2 - 1 + 4 . A 5 2 A 4 2 A 5 2 A 6
G * U 4 ( 3 ) McL U 6 ( 2 ) Co 2 Suz Ly Co 3

Thus, in all cases, ( Γ 0 , Δ 0 ) is one of the pairs listed in the first two rows of Table 10. Let G * be the finite simple group listed in the table corresponding to the pair ( Γ 0 , Δ 0 ) , and fix S * Syl 3 ( G * ) . If G * U 4 ( 3 ) , then it has maximal parabolic subgroups of the form E 81 A 6 and 3 + 1 + 4 .2 Σ 4 , so F S * ( G * ) satisfies Hypotheses 5.1, and there are subgroups A * , Q * S * such that

A * A , Q * Q , O 3 ( Aut G * ( A * ) ) A 6 , O 3 ( Aut G * ( Q * ) ) 2 A 4 .

In all of the other cases, we refer to the tables in [4, pp. 7–40], which show that F S * ( G * ) also satisfies Hypotheses 5.1 with subgroups A * A and Q * Q such that O 3 ( Aut G * ( A * ) ) Γ 0 and O 3 ( Aut G * ( Q * ) ) Δ 0 .

Let 𝑀 be a model for N F ( A ) (see Proposition 1.12), and set M * = N G * ( A * ) . By Corollary 5.10, applied to F and to F S * ( G * ) , we have

O 3 ( M ) A Γ 0 O 3 ( M * ) .

Choose an isomorphism

φ : O 3 ( M * ) O 3 ( M )

such that φ ( A * ) = A and φ ( S * ) = S , and set F * = ( F S * ( G * ) ) φ . Then F * is a fusion system over 𝑺 isomorphic to F S * ( G * ) , and we will apply Proposition 2.13 to show that F * = O 3 ( F ) .

The fusion system F S * ( G * ) is simple in all cases by [36, Proposition 4.1 (b), Proposition 4.5 (a), or Table 4.1]. (See also [5, (16.3) and (16.10)], which cover almost all cases.) So F * = O 3 ( F * ) . By construction,

O 3 ( N F ( A ) ) = O 3 ( N F * ( A ) ) .

By Lemma 5.12, the fusion systems F and F * both satisfy Hypotheses 2.12 with respect to A , Q S . So, by Proposition 2.13, to show that O 3 ( F ) = F * , it remains to show that O 3 ( Out F ( Q ) ) = O 3 ( Out F * ( Q ) ) , and this will be shown by considering the three cases separately. Set

Γ * = Aut F * ( A ) , Δ * = Out F * ( Q ) , Γ 0 * = O 3 ( Γ * ) , Δ 0 * = O 3 ( Δ * ) ,

and note that Δ 0 Δ 0 * in all cases by the choice of G * .

The A 6 -case: Since Δ 0 Δ 0 * are both subgroups of Out ( Q ) with the same Sylow 3-subgroup Out S ( Q ) , Lemma A.4 applies to show that they are conjugate in Out ( Q ) , and hence

Δ 0 = Δ 0 * γ 0 for some γ 0 N Aut ( Q ) ( Aut S ( Q ) ) .

By Lemma 5.14, γ 0 extends to some γ Aut ( H 0 ) , and γ ( S ) = S since S = Q A . So, upon replacing F * by F * ( γ | S ) , we can arrange that Δ 0 * = Δ 0 without changing Γ 0 * .

The M 11 -case: Let γ Aut F ( S ) = Aut F * ( S ) be as in Lemma 5.18 (a): 𝛾 has order 2, and γ | Q acts on Q / Z by inverting all elements. Then

Δ 0 , Δ 0 * O 3 ( C Out ( Q ) ( γ | Q ) ) SL 2 ( 9 ) 2 A 6

by that lemma.

Set U 0 = Out S ( Q ) C 3 , and let U Syl 3 ( C Out ( Q ) ( γ | Q ) ) be the (unique) Sylow 3-subgroup that contains U 0 . Set

h = - [ ζ ] N ( 11 ) M ^ 11 0 < M 0

(see Lemma 3.16), and set ξ ¯ = c h S Aut F ( S ) = Aut F * ( S ) . Since 𝑸 is weakly closed in F and F * by Proposition 5.8, we have ξ = def [ ξ ¯ | Q ] Δ Δ * . So it follows that Δ 0 Δ 0 * both contain U 0 and are normalized by 𝜉, and they are both isomorphic to 2 A 4 or 2 A 5 . Hence Δ 0 = Δ 0 * by the last statement in Lemma 5.18 (a).

The M 11 * -case: By Lemma 5.18 (b), applied to either fusion system F or F * , there is γ ¯ Aut F ( S ) = Aut F * ( S ) of order 4 such that γ ¯ | Q commutes with Aut S ( Q ) . By the same lemma, for any such 𝛾, we have Δ 0 = C Out ( Q ) ( γ ) = Δ 0 * . Also, in this case, since G * Co 3 , we have Out ( F * ) Out ( G * ) = 1 by [33, Proposition 3.2], and hence F = O 3 ( F ) . ∎

The automizers of the subgroups 𝑨 and 𝑸 in each case of Theorem 5.20 are described more explicitly in Table 11. We refer again to [4, pp. 7–40] in all cases except that of U 4 ( 3 ) .

Table 11

In all cases, F is a fusion system over S = A T , and is realized by the group 𝐺. Also, A S is abelian with C S ( A ) = A and Z = Z ( S ) , Γ = Aut F ( A ) , and Γ 0 = O 3 ( Γ ) . The subsystem C G ( Z ) is constrained with Q = O 3 ( C G ( Z ) ) and Z = Z ( Q ) .

𝑨 Γ 0 𝑸 Γ = Aut F ( A ) Δ = Out F ( Q ) 𝐺
A 6 -case E 3 4 A 6 3 + 1 + 4 A 6 2 Σ 4 U 4 ( 3 )
Σ 6 ( Q 8 × Q 8 ) Σ 3 U 6 ( 2 )
M 10 2 Σ 5 McL
( A 6 × C 2 ) . E 4 2 - 1 + 4 . Σ 5 Co 2

M 11 -case E 3 5 M 11 3 2 + 4 M 11 ( 2 A 4 D 8 ) . C 2 Suz
M 11 × C 2 ( 2 A 5 C 8 ) . C 2 Ly

M 11 * -case E 3 5 M 11 3 + 1 + 4 2 × M 11 ( 2 A 6 C 4 ) . C 2 Co 3

Note that, by [12, Theorem A (a), (d)], the 3-fusion system of U 6 ( 2 ) is isomorphic to those of U 6 ( q ) for each q 2 , 5 ( mod 9 ) , and to those of L 6 ( q ) for each q 4 , 7 ( mod 9 ) . Thus U 6 ( 2 ) could be replaced by any of these other groups in the statement of Theorem 5.20.

6 Some 3-local characterizations of the Conway groups

We finish with some new 3-local characterizations of the three Conway groups, U 6 ( 2 ) , and McLaughlin’s group. In each case, the new result is obtained by combining an earlier characterization of the some group with the classifications of fusion systems in Theorem 4.14 or 5.20. It seems likely that one could get stronger results with a little more work, but we prove here only ones that follow easily from Theorems 4.14 and 5.20 together with the earlier characterizations.

We first combine Theorem 4.14 with the 3-local characterization of Co 1 shown by Salarian [45], to get the following slightly simpler characterization.

Theorem 6.1

Let 𝐺 be a finite group. Assume A S Syl 3 ( G ) are such that

  1. A E 3 6 , C G ( A ) = A , and N G ( A ) / A 2 M 12 ;

  2. 𝐴 is not strongly closed in 𝑆 with respect to 𝐺; and

  3. O 3 ( C G ( Z ( S ) ) ) = 1 and | O 3 ( C G ( Z ( S ) ) ) | > 3 .

Then G Co 1 .

Proof

By Salarian’s theorem [45, Theorem 1.1], to show that G Co 1 , it suffices to find subgroups H 1 , H 2 S Syl 3 ( G ) that satisfy the following three conditions:

  1. H 1 = N G ( Z ( O 3 ( H 1 ) ) ) , O 3 ( H 1 ) 3 ± 1 + 4 , H 1 / O 3 ( H 1 ) Sp 4 ( 3 ) C 2 , and C H 1 ( O 3 ( H 1 ) ) = Z ( O 3 ( H 1 ) ) ;

  2. O 3 ( H 2 ) E 3 6 and H 2 / O 3 ( H 2 ) 2 M 12 ; and

  3. ( H 1 H 2 ) / O 3 ( H 2 ) is an extension of an elementary abelian group of order 9 by GL 2 ( 3 ) × C 2 .

Set Z = Z ( S ) , H 1 = N G ( Z ) , and H 2 = N G ( A ) . Since H 1 , H 2 S (recall A S by assumption), it suffices to prove (i)–(iii).

Set F = F S ( G ) . Then A F by (2), and hence ℱ is isomorphic to the fusion system of Co 1 by (1) and Theorem 4.14. In particular, 𝑆 is isomorphic to the 3-group 𝑺 of Notations 4.4 and 4.5, so we can identify 𝑆 with 𝑺 and use the notation defined there for subgroups of 𝑺.

Condition (ii) holds by (1). Also,

( H 1 H 2 ) / O 3 ( H 2 ) = N H 2 ( Z ) / A N Aut F ( A ) ( Z ) ,

where N Aut F ( A ) ( Z ) ( E 9 GL 2 ( 3 ) ) × C 2 by Lemma 4.9 (c), so (iii) holds.

Set P = O 3 ( C G ( Z ) ) . Then | P | > 3 by (3), so P > Z . Also, P C F ( Z ) , so

P O 3 ( C F ( Z ) ) = Q 0 3 + 1 + 4

by Lemma 4.12. The action of Out C F ( Z ) ( Q 0 ) Sp 4 ( 3 ) on Q 0 / Z E 81 is irreducible, and hence P = Q 0 . Thus Q 0 = O 3 ( C G ( Z ) ) = O 3 ( H 1 ) since C G ( Z ) is normal of index at most 2 in H 1 = N G ( Z ) .

Now, Q 0 is ℱ-centric by Lemma 4.7, so Z = Z ( Q 0 ) Syl 3 ( C G ( Q 0 ) ) , and hence C G ( Q 0 ) = K × Z ( Q 0 ) = K × Z for some 𝐾 of order prime to 3. Also, we have K C G ( Z ) since Q 0 C G ( Z ) , so it follows that K O 3 ( C G ( Z ) ) = 1 by (3). Thus C H 1 ( Q 0 ) = Z = Z ( Q 0 ) , and hence H 1 / Q 0 Out F ( Q 0 ) . Since Out F ( Q 0 ) Sp 4 ( 3 ) : 2 by Lemma 4.13, this finishes the proof of (i) and hence the proof of the theorem. ∎

The following 3-local characterization of Co 3 simplifies slightly that shown by Korchagina, Parker, and Rowley.

Theorem 6.2

Let 𝐺 be a finite group. Assume A S Syl 3 ( G ) are such that

  1. A E 3 5 , C G ( A ) = A , | Z ( S ) | = 3 , and O 3 ( N G ( A ) / A ) M 11 ;

  2. 𝐴 is not strongly closed in 𝑆 with respect to 𝐺; and

  3. O 3 ( C G ( Z ( S ) ) ) = 1 and | O 3 ( C G ( Z ( S ) ) ) | > 3 .

Then G Co 3 .

Proof

By the theorem of Korchagina, Parker, and Rowley [28, Theorem 1.1], to show that G Co 3 , it suffices to find subgroups M 1 , M 2 G and A S that satisfy the following two conditions:

  1. M 1 = N G ( Z ( S ) ) is of the form 3 + 1 + 4 . C 2 . C 2 . PSL 2 ( 9 ) . C 2 ; and

  2. M 2 = N G ( A ) is of the form E 3 5 ( C 2 × M 11 ) .

Set Z = Z ( S ) , M 1 = N G ( Z ) and M 2 = N G ( A ) ; we claim that (i) and (ii) hold for this choice of subgroups.

Set F = F S ( G ) . Then A F by (2). By Table 7 and since | Z | = 3 by (1), 𝐴 is the dual Todd module for O 3 ( Aut F ( A ) ) M 11 . Hence ℱ is isomorphic to the fusion system of Co 3 by Theorem 5.20 (c). In particular, 𝑆 is isomorphic to the 3-group 𝑺 of Notation 5.3, so we can identify 𝑆 with 𝑺 and use the notation defined there for subgroups of 𝑺.

Condition (ii) holds by (1), and since N G ( A ) / A Aut F ( A ) M 11 × C 2 by Table 11.

Set P = O 3 ( C G ( Z ) ) . Then | P | > 3 by (3), so P > Z . Also, P C F ( Z ) , so P O 3 ( C F ( Z ) ) = Q 3 + 1 + 4 by Proposition 5.8. Since 5 | SL 2 ( 9 ) | , the action of Out C F ( Z ) ( Q ) SL 2 ( 9 ) on Q / Z E 81 is irreducible, and hence P = Q . Thus Q = O 3 ( C G ( Z ) ) = O 3 ( M 1 ) since C G ( Z ) is normal of index at most 2 in M 1 = N G ( Z ) .

Now, 𝑄 is ℱ-centric by Proposition 5.8, so Z = Z ( Q ) Syl 3 ( C G ( Q ) ) , and hence C G ( Q ) = K × Z ( Q ) = K × Z for some 𝐾 of order prime to 3. Also, K C G ( Z ) since Q C G ( Z ) , so K O 3 ( C G ( Z ) ) = 1 by (3). Thus we have C M 1 ( Q ) = Z = Z ( Q ) , and hence M 1 / Q Out F ( Q ) . Since ℱ is the fusion system of Co 3 , and since Out F ( Q ) 2 ( A 6 × C 2 ) . C 2 by Table 11, this finishes the proof of (i) and hence the proof of the theorem. ∎

Finally, we combine Theorem 5.20 with results of Parker, Rowley, and Stroth, to get some new 3-local characterizations of McL and U 6 ( 2 ) as well as of Co 2 .

Theorem 6.3

Let 𝐺 be a finite group, fix S Syl 3 ( G ) , and set Z = Z ( S ) . Assume A S is such that

  1. A E 3 4 , C G ( A ) = A , and O 3 ( N G ( A ) / A ) A 6 ;

  2. 𝐴 is not strongly closed in 𝑆 with respect to 𝐺; and

  3. O 3 ( C G ( Z ) ) = 1 and | O 3 ( C G ( Z ) ) | > 3 .

Then O 3 ( N G ( Z ) ) 3 + 1 + 4 and C G ( O 3 ( C G ( Z ) ) ) = Z . Also, the following hold, where 𝑘 denotes the index of O 3 ( N G ( A ) / A ) in N G ( A ) / A :
  1. If 5 | C G ( Z ) | , then 𝐺 is isomorphic to McL , Aut ( McL ) , or Co 2 , depending on whether k = 2 , 4, or 8, respectively.

  2. If 5 | C G ( Z ) | , | O 2 ( C G ( Z ) / O 3 ( C G ( Z ) ) ) | 2 6 , and k 4 , then G U 6 ( 2 ) or U 6 ( 2 ) C 2 when k = 2 or 4, respectively.

Proof

Set F = F S ( G ) . Then A F by (2). So, by (1) and Theorem 5.20 (a), O 3 ( F ) is isomorphic to the fusion system of Co 2 , U 4 ( 3 ) , McL , or U 6 ( 2 ) .

Set Q = O 3 ( C F ( Z ) ) : an extraspecial group of order 3 5 with Z ( Q ) = Z by Proposition 5.8. We claim that Q / Z is a simple F 3 Out F ( Q ) -module. Assume otherwise, and consider the elements a = 1 , 0 , 0 S and β = [ c - [ i ] ] Out F ( Q ) in the notation of Tables 3 and 9. Assume 0 V < Q / Z is a proper nontrivial submodule, and choose 0 x V . If x C Q / Z ( a ) , then the elements [ a , x ] , β ( [ a , x ] ) , 𝑥, β ( x ) all lie in 𝑉 and generate Q / Z (see Table 9), contradicting the assumption that V < Q / Z . Thus V C Q / Z ( a ) , with equality since

V x , β ( x ) = C Q / Z ( a ) .

But if C Q / Z ( a ) were a submodule, then by Lemma B.9, 𝑄 would not be ℱ-essential, contradicting Proposition 5.8.

Set P = O 3 ( C G ( Z ) ) . Then P > Z by (3), and P Q since P C F ( Z ) . Also, P / Z is an F 3 Out F ( Q ) -submodule of Q / Z , so P = Q 3 + 1 + 4 since Q / Z is simple.

Now, 𝑄 is ℱ-centric by Proposition 5.8, so Z = Z ( Q ) Syl 3 ( C G ( Q ) ) , and hence C G ( Q ) = K × Z ( Q ) = K × Z for some 𝐾 of order prime to 3. Also, K C G ( Z ) since Q C G ( Z ) , so K O 3 ( C G ( Z ) ) = 1 by (3). Thus we have C G ( Q ) = Z = Z ( Q ) , and hence C G ( Z ) / Q Out F ( Q ) .

If 5 | C G ( Z ) / Q | = | Out F ( Q ) | , then by Table 11 again, O 3 ( F ) is the fusion system of McL or Co 2 . In the former case, O 3 ( N G ( Z ) ) 3 + 1 + 4 .2 A 5 and C G ( O 3 ( C G ( Z ) ) ) = C G ( Q ) Q , so conditions (i)–(iii) in [43, Theorem 1.1] all hold, and G McL or Aut ( McL ) by that theorem (with k = 2 or 4).

If O 3 ( F ) is the fusion system of Co 2 , then by Table 11,

  1. Q = O 3 ( C G ( Z ) ) is extraspecial of order 3 5 , O 2 ( C G ( Z ) / Q ) is extraspecial of order 2 5 , and C G ( Z ) / O 3 , 2 ( C G ( Z ) ) A 5 ; and

  2. 𝑍 is not weakly closed in 𝑆 with respect to 𝐺.

So G Co 2 by a theorem of Parker and Rowley [40, Theorem 1.1]. Also, k = 8 in this case.

If 5 | C G ( Z ) | , | O 2 ( C G ( Z ) / Q ) | 2 6 , and k 4 , then by Table 11, C G ( Z ) / Q contains 2 A 4 with index 𝑘 or ( Q 8 × Q 8 ) C 3 with index k / 2 , and the first would imply

| O 2 ( C G ( Z ) / Q ) | 2 5 .

So O 3 ( F ) is the fusion system of U 6 ( 2 ) , and C G ( Z ) / Q contains a normal subgroup isomorphic to ( Q 8 × Q 8 ) C 3 . Hence C G ( Z ) is “similar to a 3-centralizer in a group of type PSU 6 ( 2 ) or F 4 ( 2 ) ” in the sense of Parker and Stroth [42, Definition 1.1], and F * ( G ) U 6 ( 2 ) or F 4 ( 2 ) by [42, Theorem 1.3]. The group F 4 ( 2 ) does contain subgroups isomorphic to E 81 (a maximal torus and the Thompson subgroup of a Sylow 3-subgroup), but all such subgroups have automizer the Weyl group of F 4 , and so we conclude that G U 6 ( 2 ) or U 6 ( 2 ) C 2 . ∎

Award Identifier / Grant number: UMR 7539

Award Identifier / Grant number: GRA2

Award Identifier / Grant number: EP/K032208/1

Funding statement: B. Oliver is partially supported by UMR 7539 of the CNRS. Part of this work was carried out at the Isaac Newton Institute for Mathematical Sciences during the programme GRA2, supported by EPSRC grant nr. EP/K032208/1.

A Some special 𝑝-groups

In this section, we give a few elementary results on special or extraspecial 𝑝-groups and their automorphism groups. Most of them involve 𝑝-groups of the form p 2 + 4 or p + 1 + 4 , but we start with the following, slightly more general lemma.

Lemma A.1

Fix a prime 𝑝, and let 𝑄 be a finite nonabelian 𝑝-group such that Z ( Q ) = [ Q , Q ] and it is elementary abelian. Set Z = Z ( Q ) and Q ¯ = Q / Z for short. Then the following hold.

  1. The quotient group Q ¯ is elementary abelian, and hence 𝑄 is a special 𝑝-group.

  2. If 𝑝 is odd, then there is a homomorphism ρ : Q ¯ Z such that g p = ρ ( g Z ) for each g Q .

  3. Assume Q ¯ E p 3 and Z E p 2 . Then there is a unique abelian subgroup A Q of order p 4 and index 𝑝.

  4. Assume | Q ¯ | = p 4 , and | Z | p 2 . Then, for each g Q Z , there is an abelian subgroup A Q of index p 2 such that g A , and 𝐴 is unique if [ g , Q ] = Z E p 2 . If | Z | = p 2 and [ g , Q ] = Z for each g Q Z , then there are exactly p 2 + 1 abelian subgroups of index p 2 in 𝑄, any two of which intersect in 𝑍.

Proof

Set P ¯ = P Z / Z and g ¯ = g Z Q / Z for each H Q and g Q . Since [ Q , Q ] Z ( Q ) , the commutator map Q ¯ × Q ¯ Z is bilinear.

(a) For each g , h Q , we have [ g , h ] Z and [ g , h ] p = 1 by assumption. Hence [ g p , h ] = 1 for all h Q , so g p Z ( Q ) = Z , and Q ¯ = Q / Z is elementary abelian.

(b) For each g , h Q , since [ h , g ] Z ( Q ) , we have

( g h ) n = g n h n [ h , g ] n ( n - 1 ) / 2 for each n 1 .

(Recall that [ h , g ] = h g h - 1 g - 1 here.) So if 𝑝 is odd, then ( g h ) p = g p h p for each g , h Q .

(c) Assume | Q | = p 5 and | Z | = p 2 . Since | [ Q , Q ] | > p , there is at most one abelian subgroup of index 𝑝 in 𝑄 (see [32, Lemma 1.9]).

Fix a , b , c Q such that { a ¯ , b ¯ , c ¯ } is a basis for Q ¯ E p 3 , and consider the three commutators [ a , b ] , [ a , c ] , and [ b , c ] . Since rk ( Z ) = 2 , one of these is in the subgroup generated by the other two, and without loss of generality, we can assume there are i , j Z such that [ a , b ] = [ a , c ] i [ b , c ] j = [ a , c i ] [ b , c j ] (recall [ Q , Q ] Z ( Q ) ). Then [ a c j , b c - i ] = 1 , and hence Z a c j , b c - i is abelian of index 𝑝 in 𝑄.

(d) Assume Q ¯ E p 4 and | Z | p 2 , and fix g Q Z . Then commutator with 𝑔 defines a homomorphism χ : Q / Z g Z , and this is not injective since rk ( Q / Z g ) > rk ( Z ) . So there is h Q Z g such that [ g , h ] = 1 and Z g , h is abelian. If [ g , Q ] = Z E p 2 , then 𝜒 is surjective, Ker ( χ ) is generated by the class of ℎ, and hence Z g , h is the only abelian subgroup of index p 2 in 𝑄 containing 𝑔.

Now assume [ g , Q ] = Z E p 2 for each g Q Z , and let 𝒜 be the set of abelian subgroups of index p 2 in 𝑄. Then each P ¯ Q ¯ of order 𝑝 is contained in A ¯ for some unique A A , and each such A ¯ has p 2 - 1 subgroups of order 𝑝. So | A | = ( p 4 - 1 ) / ( p 2 - 1 ) = p 2 + 1 . ∎

In the rest of the section, we prove some more specialized results on certain special 𝑝-groups. Recall that, for each prime power 𝑞 and each n 2 , we let UT n ( q ) denote the group of upper triangular ( n × n ) matrices with 1’s on the diagonal. The groups UT 3 ( q ) are a special case of what Beisiegel calls “semi-extraspecial 𝑝-groups” in [8].

Lemma A.2

Let 𝑝 be an odd prime, and set q = p m for some m 1 . Further, set Q = UT 3 ( q ) and Z = Z ( Q ) , and let

Ψ : Aut ( Q ) Aut ( Q / Z )

be the natural homomorphism. We regard Q / Z as a 2-dimensional F q -vector space in the canonical way.

  1. The image Ψ ( Aut ( Q ) ) is the group of all F q -semilinear automorphisms of Q / Z , hence isomorphic to Γ L 2 ( q ) . For α Aut ( Q ) , we have α | Z = Id if and only if Ψ ( α ) is linear of determinant 1.

  2. We have Ker ( Ψ ) = O p ( Aut ( Q ) ) Hom ( Q / Z , Z ) E p n , where n = 2 m 2 .

  3. Let γ Aut ( Q ) be any automorphism such that Ψ ( γ ) = - Id Q / Z . Then

    C Aut ( Q ) ( γ ) C Out ( Q ) ( γ ) Ψ ( Aut ( Q ) ) .

    More precisely, each α ¯ Ψ ( Aut ( Q ) ) is the image under Ψ of a unique element in C Aut ( Q ) ( γ ) and of a unique class in C Out ( Q ) ( γ ) , and hence

    Aut ( Q ) = O p ( Aut ( Q ) ) C Aut ( Q ) ( γ ) , Out ( Q ) = O p ( Out ( Q ) ) C Out ( Q ) ( γ ) .

Proof

(a), (b) See [39, Proposition 5.3].

(c) For short, set

U = Ker ( Ψ ) = O p ( Aut ( Q ) ) .

Fix γ Aut ( Q ) such that Ψ ( γ ) = - Id . Then γ | Z = Id Z since Z = [ Q , Q ] . Each β U has the form β ( g ) = g χ ( g ) for some χ Hom ( Q , Z ) with Z Ker ( χ ) , and

( β γ ) ( g ) = γ β ( γ - 1 ( g ) ) = γ ( γ - 1 ( g ) χ ( g - 1 ) ) = g χ ( g ) - 1 = β - 1 ( g ) .

Thus c γ sends each element of 𝑈 to its inverse, and since γ α - I U (where α - I Aut ( Q ) is defined as in the proof of (a)), we have γ 2 = ( α - I ) 2 = Id . Note also that C Aut ( Q ) ( γ ) U = 1 .

Fix α Aut ( Q ) . Then [ α , γ ] U since Ψ ( γ ) Z ( Aut ( Q / Z ) ) , so c γ sends the coset α U to itself. Since γ 2 = 1 and | α U | = | U | is odd (a power of 𝑝), there is some α α U C Aut ( Q ) ( γ ) . Since C Aut ( Q ) ( γ ) U = 1 , there is at most one such element α α U centralized by 𝛾.

A similar argument shows that each [ α ] Out ( Q ) is congruent modulo the subgroup U / Inn ( Q ) to a unique class of automorphisms that centralizes the class of 𝛾 in Out ( Q ) . ∎

When working with automorphisms of extraspecial groups 3 + 1 + 4 , we will need to know the conjugacy classes of elements of order 3 in Sp 4 ( 3 ) .

Lemma A.3

Let 𝑉 be a 4-dimensional F 3 -vector space with nondegenerate symplectic form 𝔟. Thus Aut ( V , b ) Sp 4 ( 3 ) . There are four conjugacy classes of elements of order 3 in Aut ( V , b ) .

  1. The elements g Aut ( V , b ) in class 3A or 3B are those that act on 𝑉 with one Jordan block of length 2 and two of length 1. Also, g 3A implies g - 1 3B .

  2. The elements g Aut ( V , b ) in class 3C or 3D are those that act on 𝑉 with two Jordan blocks of length 2. If B = { v 1 , v 2 , v 3 , v 4 } is a basis for 𝑉 with respect to which the form 𝔟 has matrix ± ( 0 I - I 0 ) , and if 𝑔 has matrix ( I X 0 I ) with respect to ℬ, then g 3C if det ( X ) = 1 and g 3D if det ( X ) = - 1 .

Proof

The conjugacy classes of elements of order 3 in Sp 4 ( 3 ) were first determined by Dickson in [19, p. 138].

Fix g Aut ( V , b ) of order 3. Its Jordan blocks have length at most 3, so there must be at least two of them. Thus dim ( C V ( g ) ) 2 and C V ( g ) [ g , V ] 0 , so there are v , w V such that { g v - v , w } are linearly independent and lie in C V ( g ) . Also, ( g v - v ) w since 𝑔 preserves 𝔟, so W = g v - v , w C V ( g ) is totally isotropic.

Fix a basis B = { v 1 , v 2 , v 3 , v 4 } such that W = v 1 , v 2 , and with respect to which 𝔟 has matrix ± ( 0 I - I 0 ) . Then 𝑔 has matrix ( I X 0 B ) with respect to ℬ, and B = I and X = X t since 𝑔 preserves 𝔟. Such a matrix ( I X 0 I ) has Jordan blocks of length 2 + 2 if det ( X ) 0 , or of length 2 + 1 + 1 if det ( X ) = 0 , showing that such elements lie in at least two different conjugacy classes of subgroups.

If 𝑔 and ℎ have matrices ( I X 0 I ) and ( I Y 0 I ) , respectively, where 𝑋 and 𝑌 are invertible, then W = C V ( g ) = C V ( h ) . So if they are conjugate in Aut ( V , b ) , they are conjugate by a matrix of the form ( A 0 0 ( A t ) - 1 ) , and hence Y = A X A t and det ( Y ) = det ( X ) det ( A ) 2 = det ( X ) . Thus there are at least three conjugacy classes of subgroups of order 3, and since there are exactly three by [19], they are distinguished by det ( X ) when there is a generator of the form ( I X 0 I ) .

There are 40 maximal isotropic subspaces, each of which is fixed by three subgroups of the form ( I X 0 I ) for det ( X ) = 1 , and six of that form with det ( X ) = - 1 . Also, there are 40 3-dimensional subspaces, each of which is fixed by exactly one subgroup of the form ( I X 0 I ) with det ( X ) = 0 . Hence there are 120, 240, and 40 subgroups conjugate to ( I X 0 I ) for det ( X ) = 1 , −1, and 0, respectively. Since they are named in order of occurrence in the group, they correspond to the classes 3C, 3D, and 3AB, respectively. ∎

Finally, we consider certain subgroups of extraspecial groups of order 3 5 .

Lemma A.4

Assume 𝑄 is extraspecial of order 3 5 and exponent 3. Let

1 P Out ( Q )

be such that O 3 ( P ) = 1 , O 3 ( P ) = P , and each element of order 3 in 𝑃 is of type 3C or 3D. Then either

  1. 𝑃 is isomorphic to 2 A 4 , 2 A 5 , or ( Q 8 × Q 8 ) C 3 , in each of which cases there is one Sp 4 ( 3 ) -conjugacy class containing elements of type 3C and one containing elements of type 3D; or

  2. P 2 - 1 + 4 . A 5 or 2 A 6 , in each of which cases there is just one conjugacy class.

Proof

Set Z = Z ( Q ) and V = Q / Z , and let 𝔟 be the symplectic form on 𝑉 defined by taking commutators in 𝑄. Thus 𝑉 is a 4-dimensional vector space over F 3 , and O 3 ( Out ( Q ) ) Aut ( V , b ) Sp 4 ( 3 ) . Let R O 3 ( Out ( Q ) ) be a maximal subgroup that contains 𝑃. By a theorem of Dickson [20, § 71] (see also [31, Theorem 10]), 𝑅 must lie in one of five conjugacy classes.

  • If 𝑅 is in one of the two classes of maximal parabolic subgroups, then

    O 3 ( R ) / O 3 ( R ) SL 2 ( 3 ) 2 A 4 .

    Since O 3 ( P ) = 1 , it follows that P 2 A 4 .

  • If R Sp 2 ( 3 ) C 2 2 A 4 C 2 , then P O 3 ( R ) 2 A 4 × 2 A 4 , and 𝑉 splits as a direct sum of 2-dimensional F 3 P -submodules. Each g P of order 3 is in class 3C or 3D and hence acts on 𝑉 with two Jordan blocks of length 2, and thus acts nontrivially on each of the two direct summands. In other words, each such 𝑔 acts diagonally on O 2 ( R ) Q 8 × Q 8 , and so P ( Q 8 × Q 8 ) C 3 . Hence either P = ( Q 8 × Q 8 ) C 3 , or P 2 A 4 diagonally embedded in 2 A 4 × 2 A 4 .

  • If O 2 ( R ) Sp 2 ( 9 ) 2 A 6 , then from a list of subgroups of 2 A 6 SL 2 ( 9 ) (see [22, Theorem 6.5.1]), we see that P 2 A 4 , 2 A 5 , or 2 A 6 .

  • Assume R 2 - 1 + 4 . A 5 , and let P ^ be the image of 𝑃 in R / O 2 ( R ) A 5 . Then P ^ C 3 , A 4 , or A 5 : these are up to conjugacy the only nontrivial subgroups of A 5 generated by elements of order 3. Also, 𝑃 acts faithfully on

    O 2 ( R ) / Z ( R ) E 16 .

    Since O 3 ( R ) = 1 , 𝑃 must be isomorphic to one of the following groups:

    P ^ C 3 P Q 8 C 3 , P ^ A 4 P A 4 ,  2 A 4 , or 2 1 + 3 . A 4 ( Q 8 × Q 8 ) C 3 , P ^ A 5 P A 5 ,  2 A 5 , or 2 - 1 + 4 . A 5 .

    The groups A 4 and A 5 cannot occur as subgroups of Sp 4 ( 3 ) since an element of order 3 would have to permute three distinct eigenspaces for the action of O 2 ( A 4 ) E 4 and hence have a Jordan block of length 3, which contradicts Lemma A.3.

Thus 𝑃 is isomorphic to 2 A 4 , 2 A 5 , ( Q 8 × Q 8 ) C 3 , 2 - 1 + 4 . A 5 , or 2 A 6 . By [20, § 11 and § 46], there are two conjugacy classes of subgroups isomorphic to 2 A 4 and two of subgroups isomorphic to 2 A 5 . Since 2 A 6 SL 2 ( 9 ) < Sp 4 ( 3 ) has elements of both types 3C and 3D (the elements ( 1 1 0 1 ) and ( 1 ζ 0 1 ) are in different classes by the criterion in Lemma A.3), the two classes in each case are distinguished by having elements of type 3C or 3D. Likewise, by [20, § 49], there are two classes of subgroups of the form ( Q 8 × Q 8 ) C 3 (and not isomorphic to 2 A 4 × Q 8 ), and they are also distinguished by having elements of type 3C or 3D. Finally, by [20, § 61 and § 68], there is just one conjugacy class of subgroups isomorphic to 2 A 6 and one of subgroups isomorphic to 2 - 1 + 4 . A 5 . ∎

We finish the section with the following well-known and elementary lemma.

Lemma A.5

Fix a prime 𝑝. Let 𝐺 be a finite 𝑝-group, let A G be a normal elementary abelian 𝑝-subgroup, and assume x G A is such that x p A . Let Φ x End ( A ) be the homomorphism Φ x ( a ) = [ x , a ] = a x a - 1 . Then, for each a A , ( a x ) p = x p if and only if ( Φ x ) p - 1 ( a ) = 1 .

Proof

Set U = A x / A C p , u = x A U , and regard 𝐴 as an F p U -module. Then

( a x ) p = a a x a x p - 1 x p = ( ( 1 + u + + u p - 1 ) a ) x p = ( u - 1 ) p - 1 a x p = Φ x p - 1 ( a ) x p

(in additive notation). So ( a x ) p = x p if and only if Φ x p - 1 ( a ) = 0 . ∎

B Strongly 𝑝-embedded subgroups

We collect here some of the basic properties, especially for odd primes 𝑝, of finite groups with strongly 𝑝-embedded subgroups. All of the results here are proven independently of the classification of finite simple groups (but see remarks in the proof of Proposition B.10).

Lemma B.1

Let 𝐺 be a finite group, and let G 0 G be normal of index prime to 𝑝. Then G 0 has a strongly 𝑝-embedded subgroup if and only if 𝐺 does.

Proof

Recall (see [25, Theorem X.4.11 (b)]) that 𝐺 has a strongly 𝑝-embedded subgroup if and only if there is a partition Syl p ( G ) = X 1 X 2 , with X 1 , X 2 , such that, for each S 1 X 1 and S 2 X 2 , we have S 1 S 2 = 1 (𝐺 is “𝑝-isolated” in the terminology of [25]). Since Syl p ( G 0 ) = Syl p ( G ) , the lemma follows immediately. ∎

Lemma B.2

Let 𝐺 be a finite group with a strongly 𝑝-embedded subgroup H < G .

  1. Each proper subgroup H ^ < G that contains 𝐻 is also strongly 𝑝-embedded in 𝐺.

  2. For each normal subgroup K G , either H K / K is strongly 𝑝-embedded in G / K , or H K = G , or p | G / K | .

Proof

(a) Assume H H ^ < G . If g G H ^ is such that p | H ^ H ^ g | , then there is x H ^ H ^ g of order 𝑝. Since 𝐻 contains a Sylow 𝑝-subgroup of H ^ , there are a , b H ^ such that x H a and x H g b . Thus

p | H a H g b | = | H H a - 1 g b | ,

so a - 1 g b H since 𝐻 is strongly 𝑝-embedded. Hence g H ^ since a , b H ^ . So H ^ is also strongly 𝑝-embedded in 𝐺.

(b) If K G and H K < G , then H K is strongly 𝑝-embedded in 𝐺 by (a). Hence H K / K is strongly 𝑝-embedded in G / K if p | H K / K | , equivalently, if p | G / K | . ∎

The next few lemmas provides different ways of showing that certain groups do not have strongly 𝑝-embedded subgroups.

Lemma B.3

Fix a finite group 𝐺 containing a strongly 𝑝-embedded subgroup. Let { K i } i I be a finite set of normal subgroups, set K I 0 = i I 0 K i for each I 0 I , and assume K I = 1 . Let J I be the set of those i I such that p | K i | . Then the following hold.

  1. In all cases, J and G / K J has a strongly 𝑝-embedded subgroup.

  2. If p 2 | G | or (more generally) if there is a 𝑝-subgroup T G such that N G ( T ) is strongly 𝑝-embedded in 𝐺, then there is j J such that G / K j has a strongly 𝑝-embedded subgroup.

Proof

Fix S Syl p ( G ) , and let H < G be the minimal strongly 𝑝-embedded subgroup that contains 𝑆.

(a) We show this by induction on | I J | . If I = J , there is nothing to prove, so assume I J , fix i 0 I J , and set I 0 = I { i 0 } . Then we have p | K i 0 | and K i 0 K I 0 = 1 , so I 0 and [ K i 0 , K I 0 ] = 1 . For each g K I 0 , we have H K i 0 C H ( g ) H H g , and p | H K i 0 | since 𝑆 contains some Sylow 𝑝-subgroup of K i 0 . Thus g H , and so K I 0 H . So p | K I 0 | , and H / K I 0 is strongly 𝑝-embedded in G / K I 0 by Lemma B.2 (b). Since | I 0 J | < | I J | , we now conclude by the induction hypothesis (applied to the group G / K I 0 and the subgroups { K i / K I 0 } i I 0 ) that J and that G / K J has a strongly 𝑝-embedded subgroup.

(b) Assume T S is such that H = N G ( T ) is strongly 𝑝-embedded in 𝐺. In particular, if | S | = p , this holds for T = S . We must show that G / K j has a strongly 𝑝-embedded subgroup for some j J , and it suffices to do this when I = J and | J | = 2 , e.g., when I = J = { 1 , 2 } . Thus K 1 K 2 = 1 , and p | K i | for i = 1 , 2 . Set K = K 1 K 2 .

Assume neither G / K 1 nor G / K 2 contains a strongly 𝑝-embedded subgroup. Then G = H K 1 = H K 2 by Lemma B.2 (b). Also,

[ H K , T ] = [ N K ( T ) , T ] T K = 1 ,

and H K = N K ( T ) = C K ( T ) . So, for i = 1 , 2 , we have

K = ( H K ) K i = C K ( T ) K i

since G = H K i , and hence [ K , T ] = [ K i , T ] K i .

Thus [ K , T ] K 1 K 2 = 1 . But then 𝐾 and 𝐻 both normalize 𝑇, so G = H K normalizes 𝑇, contradicting the assumption that H = N G ( T ) < G . ∎

The next lemma is an easy consequence of the well-known list of subgroups of PSL 3 ( p ) .

Lemma B.4

Fix a prime 𝑝 and n 2 . Let G GL n ( p ) be a subgroup such that G SL n ( p ) , p 2 | G | , and 𝐺 acts irreducibly on F p n . Then n 4 .

Proof

Since p 2 | GL 2 ( p ) | , we have n 3 . From the list of maximal subgroups of PSL 3 ( p ) (see [22, Theorem 6.5.3]), we see that there is no proper subgroup G < SL 3 ( p ) (hence none in GL 3 ( p ) ) such that 𝐺 is irreducible on F p 3 and p 2 | H | . So n 4 . ∎

In the next few lemmas, Φ ( P ) denotes the Frattini subgroup of a finite 𝑝-group 𝑃.

Lemma B.5

Let 𝑃 be a finite 𝑝-group, and let P 0 P 1 P m = P be a sequence of subgroups, all normal in 𝑃 and such that P 0 Φ ( P ) . Let α Aut ( P ) be such that [ α , P i ] P i - 1 for all 1 i m . Then 𝛼 has 𝑝-power order.

Proof

For each such 𝛼, α / P 0 Aut ( P / P 0 ) has 𝑝-power order by [21, Theorem 5.3.2], and hence 𝛼 has 𝑝-power order by [21, Theorem 5.1.4]. ∎

Lemma B.6

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆, and assume P E F . Let P 0 P 1 P m = P be a sequence of subgroups such that P 0 Φ ( P ) and such that P i is normalized by Aut F ( P ) for each 0 i m . Assume also that [ P , P i ] P i - 1 for each 1 i m .

  1. If | N S ( P ) / P | = p , then there is at least one index i = 1 , , m such that rk ( P i / P i - 1 ) 2 and such that the image of Aut F ( P ) in Aut ( P i / P i - 1 ) has a strongly 𝑝-embedded subgroup.

  2. If | N S ( P ) / P | p 2 , then there is at least one index i = 1 , , m such that rk ( P i / P i - 1 ) 4 . If there is a unique such index 𝑖, then the image of Aut F ( P ) in Aut ( P i / P i - 1 ) has a strongly 𝑝-embedded subgroup.

Proof

Fix i = 1 , , m . Since [ P , P i ] P i - 1 , the homomorphism

Aut F ( P ) Aut ( P i / P i - 1 )

induced by restriction to P i contains Inn ( P ) in its kernel and hence factors through a homomorphism φ i : Out F ( P ) Aut ( P i / P i - 1 ) . Set K i = Ker ( φ i ) Out F ( P ) .

Assume that α Aut F ( P ) is such that its class [ α ] Out F ( P ) lies in i = 1 m K i . Thus [ α , P i ] P i - 1 for each 𝑖, so 𝛼 has 𝑝-power order by Lemma B.5 and since P 0 Φ ( P ) . So i = 1 m K i is a normal 𝑝-subgroup of Out F ( P ) . Since Out F ( P ) has a strongly 𝑝-embedded subgroup (recall P E F ), we have O p ( Out F ( P ) ) = 1 (recall O p ( - ) is contained in all Sylow 𝑝-subgroups), and hence i = 1 m K i = 1 . We are thus in the situation of Lemma B.3.

Recall that N S ( P ) / P Out S ( P ) Syl p ( Out F ( P ) ) . As in Lemma B.3, let 𝐽 be the set of all i = 1 , , m such that | K i | is prime to 𝑝, and set K J = j J K j . By Lemma B.3 (a), J and Out F ( P ) / K J contains a strongly 𝑝-embedded subgroup.

Without loss of generality, in both points (a) and (b), we can assume that the filtration by the P i is maximal. Thus each quotient P i / P i - 1 is elementary abelian, and the action of Out F ( P ) on it is irreducible.

(a) If | Out S ( P ) | = p , then by Lemma B.3 (b), there is j J such that

Im ( φ j ) Out F ( P ) / K j

contains a strongly 𝑝-embedded subgroup.

(b) Now assume that | Out S ( P ) | p 2 . Recall that the action of Out F ( P ) on P j / P j - 1 is irreducible for each j J . So rk ( P j / P j - 1 ) 4 for each j J by Lemma B.4. In particular, if there is a unique 𝑖 such that rk ( P i / P i - 1 ) 4 , then | J | = 1 , and Out F ( P ) / K j has a strongly 𝑝-embedded subgroup for j J . ∎

The next lemma provides another way to show that certain subgroups of a 𝑝-group 𝑆 cannot be essential in any fusion system over 𝑆.

Lemma B.7

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆. Assume P < S and T Aut S ( P ) are such that

| T / ( T Inn ( P ) ) | p 2 and [ P : C P ( T ) ] = p .

Then P E F .

Proof

Assume otherwise: assume 𝑃 is ℱ-essential. Set G = Out F ( P ) , and set

T ¯ = T Inn ( P ) / Inn ( P ) Out S ( P ) .

Thus | T ¯ | p 2 by assumption. Let H < G be a strongly 𝑝-embedded subgroup that contains Out S ( P ) Syl p ( G ) . Fix g G H , and set

K = T , T g Aut F ( P ) .

Since 𝐻 is strongly 𝑝-embedded and g H , no 𝑝-subgroup of 𝐺 can intersect nontrivially with both T ¯ and T ¯ g , and in particular, either

(B.8) O p ( K ) T Inn ( P ) or O p ( K ) T g Inn ( P ) .

By assumption, we have that C P ( T ) has index 𝑝 in 𝑃, and so does C P ( T g ) . If C P ( T ) = C P ( T g ) , then 𝐾 is an abelian 𝑝-group, contradicting (B.8). So it follows that C P ( K ) = C P ( T ) C P ( T g ) has index p 2 in 𝑃, and P / C P ( K ) E p 2 . The group of elements of 𝐾 that induce the identity on P / C P ( K ) is a 𝑝-group by Lemma B.5, and hence contained in O p ( K ) . Since p 2 | GL 2 ( p ) | , we have [ T : O p ( K ) T ] p , and since | T ¯ | p 2 , this implies O p ( K ) T Inn ( P ) . But O p ( K ) T g Inn ( P ) by a similar argument; this again contradicts (B.8), and so 𝑃 cannot be ℱ-essential. ∎

The next lemma gives yet another simple criterion for a subgroup not to be essential. Again, Φ ( - ) denotes the Frattini subgroup.

Lemma B.9

Let ℱ be a saturated fusion system over a finite 𝑝-group 𝑆, and fix P S . Assume there are subgroups P 0 P 1 P k = P , all normalized by Aut F ( P ) , such that P 0 Φ ( P ) . Assume also there is x N S ( P ) P such that [ x , P i ] P i - 1 for each 1 i k . Then P E F .

Proof

By Lemma B.5 and since P 0 Φ ( P ) , the group Γ of all α Aut ( P ) such that [ α , P i ] P i - 1 for 1 i k is a 𝑝-subgroup of Aut ( P ) , and Γ Aut F ( P ) is normal in Aut F ( P ) since the P i are normalized by Aut F ( P ) . So we have c x O p ( Aut F ( P ) ) , and either c x Inn ( P ) , in which case x P C S ( P ) P and hence 𝑃 is not ℱ-centric, or O p ( Out F ( P ) ) 1 , in which case Out F ( P ) has no strongly 𝑝-embedded subgroup (since O p ( - ) is contained in all Sylow 𝑝-subgroups). In either case, P E F . ∎

We finish by listing the subgroups of SL 4 ( p ) that have strongly 𝑝-embedded subgroups and order a multiple of p 2 . We indicate how to arrange the proof so as to be independent of the classification of finite simple groups.

Proposition B.10

Fix an odd prime 𝑝, let 𝑉 be a 4-dimensional vector space over F p , and let H < G Aut ( V ) be such that p 2 | G | and 𝐻 is strongly 𝑝-embedded in 𝐺. Set G 0 = O p ( G ) . Then either G 0 SL 2 ( p 2 ) and 𝑉 is its natural module, in which case each element of order 𝑝 in G 0 acts on 𝑉 with two Jordan blocks of length 2, or G 0 PSL 2 ( p 2 ) and 𝑉 is the natural Ω 4 - ( p ) -module, in which case each element of order 𝑝 in G 0 acts on 𝑉 with Jordan blocks of lengths 1 and 3.

Proof

By Aschbacher’s theorem [2], applied to the finite simple classical group PSL 4 ( p ) , either 𝐺 is contained in a member of one of the “geometric” classes C i ( 1 i 8 ) defined in [2], or the image of 𝐺 in Aut ( V ) / Z ( Aut ( V ) ) PGL 4 ( p ) is almost simple.

By Lemma B.1, G 0 = O p ( G ) also has a strongly 𝑝-embedded subgroup.

Case 1: Assume 𝐺 is contained in a member of Aschbacher’s class C k for some 1 k 8 . Since F p has no proper subfields, the class C 5 is empty.

If k = 1 or k = 2 , then G 0 acts reducibly on 𝑉, contradicting Lemma B.6 (b).

If k = 3 , then G 0 is contained in SL 2 ( p 2 ) (where 𝑉 is the natural module). Since SL 2 ( p 2 ) is generated by any two of its Sylow 𝑝-subgroups (and since they have order p 2 ), G 0 cannot be a proper subgroup of SL 2 ( p 2 ) .

If k = 4 or 7, the restriction of 𝑉 to G 0 splits as a tensor product of 2-dimensional representations, and G 0 is isomorphic to a subgroup of SL 2 ( p ) SL 2 ( p ) . By Lemma B.2 (b), the image of G 0 in PSL 2 ( p ) × PSL 2 ( p ) has a strongly 𝑝-embedded subgroup. But this contradicts Lemma B.3 (a), applied with K i the kernels of the two projections to PSL 2 ( p ) .

The class C 6 consists of the normalizers of K 2 ± 1 + 4 (if p 3 ( mod 4 ) ) or that of K C 4 2 1 + 4 (if p 1 ( mod 4 ) ). Thus Out ( K ) Σ 3 C 2 , Σ 5 , or Σ 6 , respectively. If k = 6 , then since p 2 | G | , we have p = 3 and K 2 + 1 + 4 , so G 0 is a subgroup of SL 2 ( 3 ) SL 2 ( 3 ) , and 𝐺 is contained in a member of C 7 .

Assume k = 8 . The class C 8 consists of the normalizers of

Sp 4 ( p ) , Ω 4 + ( p ) SL 2 ( p ) SL 2 ( p ) , and Ω 4 - ( p ) PSL 2 ( p 2 ) .

The symplectic group Sp 4 ( p ) is generated by the two parabolic subgroups that contain 𝑆, each of which would be contained in a strongly 𝑝-embedded subgroup if there were one. So G Sp 4 ( p ) , and the proper subgroups of this group are eliminated by again applying Aschbacher’s theorem using similar arguments. The subgroup SO 4 + ( p ) is in class C 7 . This leaves the case G 0 Ω 4 - ( p ) PSL 2 ( p 2 ) (see [1, Théorème 5.21] or [47, Corollary 12.43]), with equality since PSL 2 ( p 2 ) is generated by any two of its Sylow 𝑝-subgroups.

Case 2: It remains to check the cases where the image in PGL 4 ( p ) of 𝐺 is almost simple, and show that none of them (aside from those already listed) have strongly 𝑝-embedded subgroups. By [10, Tables 8.9 and 8.13], the only almost simple groups that could appear in this way as maximal subgroups of SL 4 ( p ) are normalizers of L 2 ( 7 ) or A 7 (if p 1 , 2 , 4 ( mod 7 ) ), or U 4 ( 2 ) (if p 1 ( mod 6 ) ) in L 4 ( p ) , or A 6 , A 7 (if p = 7 ), L 2 ( p ) (if p > 7 ) in Sp 4 ( p ) . None of these subgroups can occur when p = 3 , which is the only odd prime whose square can divide the order of the subgroup, so they and their subgroups do not come under consideration.

The tables in [10] were made using the classification of finite simple groups. But lists of maximal subgroups of PSL 4 ( q ) and PSp 4 ( q ) for odd 𝑞, compiled independently of the classification, had already appeared in [31] for the symplectic case, and in [9, Chapter VII] and the main theorems in [49, 46] for the linear case.

Elements of order 𝑝: The description of the Jordan blocks for the natural action of SL 2 ( p 2 ) is clear. So assume 𝑉 is the natural module for

G 0 = Ω 4 - ( p ) PSL 2 ( p 2 ) .

The isomorphism extends to an isomorphism

GO 4 - ( p ) P Γ L 2 ( p 2 )

between automorphism groups, so all elements of order 𝑝 in G 0 have similar actions on 𝑉. Hence it suffices to describe the action of one element 𝑡 of order 𝑝 in Ω 3 ( p ) Ω 4 - ( p ) . The action of Ω 3 ( p ) on F p 3 is induced by the conjugation action of PSL 2 ( p ) on the additive group M 2 0 ( F p ) of ( 2 × 2 ) -matrices of trace 0 (see, e.g., [29, Proposition A.5]), and using this, one easily checks that 𝑡 acts with one Jordan block of length 3.∎

Acknowledgements

The author would especially like to thank the referee for the many helpful suggestions, including some involving potential connections with other papers. He would also like to thank the Isaac Newton Institute for its hospitality while the paper was being revised.

  1. Communicated by: Christopher W. Parker

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Received: 2022-04-19
Revised: 2022-08-23
Published Online: 2022-11-23
Published in Print: 2023-05-01

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