⚜ PRINCIPIA ORTHOGONA · Book XXVIII · Ch 4 ← Ch 3 · Book XXVIII contents · Ch 5 →
Book XXVIII · chapter 4 · rung 28
MATHEMATICS · PUREHISTORY · MATHEMATICS

Riemann–Roch and the Letter K

Grothendieck built K for Riemann–Roch, and Riemann–Roch is the even-dimensional index theorem
SourceRiemannRoch.lean · ch04-verify.py
Checked2 theorems, no sorryAx
axiom report
Toolchainlean 4.32.0 · Mathlib v4.32.0
TextsBlackadar · Rosenberg · Dugger · Atiyah
K-theory did not start in operator theory. Grothendieck started it for the Riemann–Roch theorem, and Riemann–Roch turned out to be an index theorem, the even-dimensional companion of the Toeplitz index in Chapter 3. This chapter follows that line from the sources, and computes the theorem on the sphere and on curves of genus 0 to 4.
1 · Why the letter K

Grothendieck, Riemann and Roch

Blackadar opens his book with the history: “The first notions of K-theory were developed by Grothendieck in his work on the Riemann–Roch theorem in algebraic geometry. K-theory as a part of algebraic topology was begun by Atiyah and Hirzebruch [1961].” Rosenberg's Algebraic K-Theory and Its Applications (GTM 147) says that the Riemann–Roch theorem “motivated Grothendieck’s first work on K-theory”, and describes what the theorem does: it “gives a formula for the difference of the dimensions of two vector spaces”. Chapter 2 showed Zois' account that the letter K is Grothendieck's Klasse. CITED

A difference of two dimensions is what this book calls an index. Grothendieck built K0 to make such differences into elements of a group. Rosenberg: “Thus both involve a formal difference of two free modules”. CITED

For the curious reader

In the held scan of Rosenberg the text layer never says “Roch”. The character recognition read it as “Roth” ten times, so a search for “Riemann-Roch” finds nothing and “Riemann-Roth” finds all ten. It is the Book XIV problem again (Book XIV ch 1 reads a scan by OCR): a name is only as reliable as the text layer it passes through. COMPUTED

2 · The even case

An index on a surface

Blackadar states the Atiyah–Singer index theorem, Inda(D) = Indt(D), and gives “Two special cases” that “illustrate the typical content of the Index Theorem in the odd- and even-dimensional cases respectively”. The odd case is the Toeplitz operator on the circle (Chapter 3). The even case is the ∂̄ operator of a holomorphic line bundle L on a compact Riemann surface of genus g: “The Index Theorem in this case gives the Riemann–Roch Theorem”, Inda(∂̄) = d − g + 1, “where d is the degree of L” (Ex. 24.1.2, p. 249). CITED

Dugger gives the classical form (Theorem 28.16): for any divisor D on a Riemann surface X,

ℓ(D) − ℓ(K − D) = 1 + deg(D) − g

He adds that “The first equality, with 1 + deg(D) − g, is the classical statement.” The left side is a kernel dimension minus a cokernel dimension, so it is an index. CITED

3 · On the sphere, by hand

Two charts, one map, an index of d + 1

Cover the Riemann sphere ℂP¹ by U₀ (z finite) and U₁ (z ≠ 0). A section of the line bundle O(d) is a power series in z on U₀ (monomials zᵏ, k ≥ 0), a series in z⁻¹ times zᵈ on U₁ (k ≤ d), and anything on the overlap. Riemann–Roch becomes the index of one map, δ(f, g) = f − g. Its kernel is the global sections h⁰, the monomials allowed on both charts. Its cokernel is h¹, the monomials allowed on neither. Both source and target are infinite-dimensional, which is Chapter 2's ∞ − ∞, and the index is still a number. MODEL

dh⁰ = ker δh¹ = coker δindex
-403-3
-302-2
-201-1
-1000
0101
1202
2303
3404
4505

The script runs d = −8 … 8 twice, once by counting monomials and once as an exact matrix on the window |k| ≤ 12. The two runs agree, and the index is d + 1 = deg D − g + 1 with g = 0 every time. h¹ vanishes exactly when d ≥ −1. COMPUTED

In Lean, RiemannRoch.ell_P1 proves the kernel side: the polynomials of degree ≤ d, which are the space L(d·∞), have dimension d + 1. It uses Mathlib's degreeLTEquiv. KERNEL-CHECKED

4 · Genus 0 to 4

Where the g in “d − g + 1” comes from

On the curve y² = f(x), with f of degree 2g + 1, the functions whose only pole is at the point at infinity are spanned by xᵃyᵇ (b = 0 or 1). x has a pole of order 2 and y one of order 2g + 1. Counting monomials with pole order ≤ n gives ℓ(n·∞). MODEL

For g = 0 to 4 and every n up to 30, the count equals n − g + 1 as soon as n ≥ 2g − 1, where ℓ(K − D) = 0 and Riemann–Roch predicts exactly that. Below that point the count falls short. The pole orders never reached are 1, 3, …, 2g − 1, and there are exactly g of them. These are the Weierstrass gaps, and the genus is the number of missing pole orders. COMPUTED

5 · What Lean has

No Riemann–Roch, no genus

The pinned Mathlib has no Riemann–Roch theorem and no genus of a curve; the script checks both. Riemann–Roch and Noether's Toeplitz theorem are the even and odd cases of the same theorem, and both are formalised here only at the algebraic level: the shift's index in Chapters 1–2, and the polynomial count on the sphere in this chapter. WANTED

Sources
  1. B. Blackadar, K-Theory for Operator Algebras, 2nd ed.: §1 intro (PDF p. 15); Theorem 24.1.1 and Ex. 24.1.2 (p. 249). Held.
  2. J. Rosenberg, Algebraic K-Theory and Its Applications, GTM 147, Springer 1994: preface and §1.1 (PDF pp. 5, 10). Held (scan; see the box in §1).
  3. D. Dugger, A Geometric Introduction to K-Theory, §28, Theorem 28.16 (PDF pp. 216–219). Held.
  4. M. F. Atiyah, K-Theory, notes by D. W. Anderson (Benjamin 1967), from lectures at Harvard in the fall of 1964. Held.
  5. Grothendieck's own Riemann–Roch (Borel–Serre 1958; SGA 6). Not held.