5.II.

Similarity
5.II.1. Definition and Examples
5.II.2. Diagonalizability
5.II.2. Eigenvalues and Eigenvectors

5.II.1. Definition and Examples

H and H are matrix-equivalent if nonsingular P and Q s.t. H = PHQ.

VB
1
id Q

h
H

WD
P id

h
H

WD

VB

For the special case W = V, we have H = PHP1.

VB

P
VB

h
H

VB

id

id
VB

P
h
H

h B B id B B h B B id B B

Definition 1.1:
Similar Matrices
Matrices T and S are similar if nonsingular P s.t. T = PSP1.

Hv u

PHv Pu

PHP 1Pv Pu

H v u

Example 1.2:

2 3
S

2 1
P

1
1

2
P 1SP
1

1 2 3 2 1
1 1 1 1
1

0 1

1 1 1 1

1 0

1
2

0 1

T
1
1

Example 1.3:
The only matrix similar to the zero matrix Z is itself: PZP1 = PZ = Z.
The only matrix similar to the identity matrix I is itself: PIP1 = PP1 = I.
Similarity is a special case of matrix equivalent.
Similarity matrix equivalent (but not vice versa).
Matrix equivalence classes can be
subdivided into similarity classes.
Canonical form of similarity class is the Jordan form.

Exercises 5.II.1.
1.

Show that these matrices are not similar.

1 0 4
1 1 3

2 1 7

1 0 1
0 1 1

3 1 2

2. Are there two matrices A and B that are similar while A2 and B2 are not
similar?
3. Show that if TI and N are similar, then T and N+I are also similar.

5.II.2. Diagonalizability
Definition 2.1:
Diagonalizable Matrices
A transformation is diagonalizable if it has a diagonal representation wrt
the same basis for the codomain as for the domain.
A diagonalizable matrix is one that is similar to a diagonal matrix:
T is diagonalizable if there is a nonsingular P such that PTP1 is diagonal.
Example 2.2:

4 2
1 1

1 2 4 2 1 2
1 1 1 1 1 1

Example 2.3:
Proof:

0 0

1
0

is diagonalizable.
1

2 4 1 2

3 3 1 1

2 0

0
3

is not diagonalizable.

Since N2 = 0, the corresponding map n n is the zero map.

There is no s.t. N = n is diagonal because the square of a

nonzero diagonal matrix cannot be the zero matrix.

Thus, the diagonal matrix cannot be a canonical form.

Corollary 2.4:
A transformation t is diagonalizable iff a basis = 1 , , n
and scalars 1, , n s.t. t (i ) = i i i.
Proof
:
By definition, t is diagonalizable iff a basis = 1 , , n s.t.
tB B t
L
1 B

n B

M O
0

M
n

1
L
1

n B

QED

Example 2.5:
3 2
To diagonalize T

0
1

i.e.,

t 1 1

3 2
0 1 1 E2 1

2nd eq.
1 = 1
b2 = 0

and

tE2 E2
t 2 2

b1 0

2 E
2

b1 0
b
2 0

b2 0

2b1 2b2 0

2 3

2
3
0

b1
3 2 b1
0 1 b b

2
2

1 or

3 2
0 1 2 E2 2

1 E
2

tB B

is to find s.t.

1 0

discarded

b1 b2

1
1 a
1

1
2 b
0

 3 2

0 1

1 = 1
2 3

1 1 3 2 1
1 0 0 1 1

1
0 1 1 3
1 0
0 1 1 1 0

0
3

1 a

1
2 b
0

Exercises 5.II.2.
1. Find a formula for the powers of this matrix.

3 1
4 2

Hint: What form do the powers of a diagonal matrix have?

2. Show that matrices of this form are not diagonalizable.
1 c
0 1

c0

5.II.3. Eigenvalues and Eigenvectors

Definition 3.1:
Eigenvalues & Eigenvectors of a Map
A transformation t : V V has a scalar eigenvalue
if a nonzero eigenvector s.t. t () =.

Example 3.2:
x
y

z

Projection map

a

x, y, z

has an eigenvalue of 1 associated with any eigenvector of the form

x, y 0.

x
y

0

Example 3.3:
Trivial Space
The only transformation on the trivial space {0} is 0 0.
This map has no eigenvalues because there are no non-zero vectors v mapped to
a scalar multiple v of themselves.

Example 3.4:
1
Consider the homomorphism t : 1 1 given by
c0 + c1x (c0 +c1) + (c0 +c1) x
The range of t is one-dimensional.
Thus an application of t to a vector in the range will simply rescale that vector:
c + c x (2c) + (2c) x
i.e., t has an eigenvalue of 2 associated with eigenvectors c + cx, where c 0.
It also has an eigenvalue of 0 associated with eigenvectors c cx , where c 0.

Definition 3.5:
Eigenvalues & Eigenvectors of a Matrix
A square matrix T has a scalar eigenvalue associated with the non-zero
eigenvector if T = .
Remark 3.6:
Eigenvalues of a map are also the eigenvalues of matrices representing that
map.
So similar matrices have the same eigenvalues.
But the eigenvectors are different:
similar matrices need not have the same eigenvectors.
Example 3.4a: 1
Consider the homomorphism t : 1 1 given by
c0 + c1x (c0 +c1) + (c0 +c1) x
It has an eigenvalue of 2 associated with eigenvectors c + cx, where c 0.
Wrt basis = 1+x, 1x , we have
2 0
2 is an eigenvalue of T
c
T tB B

where c 0.
0 0
associated with eigenvector 0

Wrt basis = 2+x, 1, we have
S tD D

3 1

3 1

2 is an eigenvalue of S
c
associated with eigenvector c

where c 0.

Example 3.7:
What are the eigenvalues and eigenvectors of this matrix?
Solution:

1
2
1

T I

0 T

2 3

1 2 1
T 2 0 2

1 2 3

z1 0
0
z

2

z3 0

There is a non-zero solution iff TI is singular, i.e. | TI | = 0.

0

3 4 2 4 2

1 = 0, 2 = 2, 3 = 2.

For 1 = 0,

1
2

2 1
0 2

1 2 3

z1 0
z2 0


z3 0

1 0 1 z1 0
0 1 1 z 0
~
2
0 0 0 z 0

z1
1


z2 a 1
z

3
1

For 2 = 2,
or 3 = 2,

1 2 1
2 2 2

1 2 1

Example 3.8:
S I

For 1 = ,

For 2 = 3,

1 0 1 z1 0
z1 0
0 1 0 z 0
0
z

2
2 ~
z 0

0
0
0

3
z3 0

z1
1
z b
0
2

z

3
1

1
S

0
3

1
0
3
1
0
0 3

3 0

z1 0
z
2 0

3 1 z1 0
0
z
0

2 0

1 = , 2 = 3.
z1
z a
2

1
0

1
z1

z b 3
2
1

Definition 3.9:
Characteristic Polynomial
The characteristic polynomial of a square matrix T is the determinant of the
matrix T I, where is a variable.
The characteristic (secular) equation is | T I | = 0.
The characteristic polynomial of a transformation t is the polynomial of any t.
The characteristic polynomial of a transformation is well-defined, that is,
any choice of basis yields the same polynomial.
Lemma 3.10:
A linear transformation on a nontrivial vector space has at least one eigenvalue.
Proof:
Any root of the characteristic polynomial is an eigenvalue.
Over the complex numbers, any polynomial of degree one or greater has a root.
(This is the reason that in this chapter weve gone to scalars that are complex.)
QED

Definition 3.11: Eigenspace

The eigenspace of a transformation t associated with the eigenvalue is
V 0
t

The eigenspace of a matrix is defined analogously.

Lemma 3.12:

An eigenspace is a subspace.

Proof: Only closure need be checked (Follows directly from linearity of

t).
Example 3.13:
In Example 3.8 the eigenspace associated with the eigenvalue and
the eigenspace associated with the eigenvalue 3 are these.
a

V a R
0

V3 3 b R
b

Example 3.14:
In Example 3.7, these are the eigenspaces associated with the
eigenvalues 0 and 2.

V0

a 1 a R

1

V2

b 0
b

Remark 3.15:
The characteristic equation is 0 = x(x2)2 so 2 is an eigenvalue twice.
However V2 is 1-D so there is a deficient of eigenvectors.

Example 3.16:
With respect to the standard bases, this matrix
represents projection:

x x
y a
y

z 0

The eigenspaces are

V0

a 0
a

1 0 0
0 1 0

0 0 0

x, y , z C
b

V1 c
b
,
c

Note that V1 is 2-D.

Any linear combination of eigenvectors belonging to the same
eigenvalue is an eigenvector belonging to that eigenvalue.

Theorem 3.17:
For any set of distinct eigenvalues of a map or matrix, a set of associated
eigenvectors, one per eigenvalue, is linearly independent.
Proof by induction: see Hefferon p.364.
Example 3.18:
The eigenvalues of

2 2
1 1

4 8 3

2
0

A set of associated eigenvectors like

are distinct: 1 = 1, 2 = 2, 3 = 3.
2

1
0

9
,
4

2
1

is L.I.

Corollary 3.19:
An nn matrix with n distinct eigenvalues is diagonalizable.
Proof:
The eigenvectors form a basis of the column space.

Exercises 5.II.3.
1. Find the characteristic equation, and the eigenvalues and associated
eigenvectors for
2 1
5 2

2. Find the eigenvalues and associated eigenvectors of the differentiation operator

d/dx : 2 2 .
3. Prove that if T is nonsingular and has eigenvalues 1 , , n then T1 has
eigenvalues 1/1 , , 1/n . Is the converse true?
4. Show that if A is an n square matrix and each row (column) sums to c then c
is a characteristic root of A.