Skip to main content
Proceedings of the National Academy of Sciences of the United States of America logoLink to Proceedings of the National Academy of Sciences of the United States of America
. 2023 Oct 18;120(43):e2304891120. doi: 10.1073/pnas.2304891120

On Viazovska’s modular form inequalities

Dan Romik a,1
PMCID: PMC10614599  PMID: 37851677

Significance

Viazovska’s 2017 solution of the sphere packing problem in 8 dimensions used modular forms to solve a fundamental problem in geometry. A key element of Viazovska’s proof consisted of proving two inequalities satisfied by certain functions defined in terms of modular forms. The inequalities were verified through computer calculations, but the approach appeared complicated and lacking in conceptual insight. This paper gives a proof of Viazovska’s modular form inequalities that removes the reliance on computer calculation, thereby simplifying and clarifying Viazovska’s groundbreaking work. The approach may be useful in analyzing problems where similar modular form inequalities have appeared, such as in the sphere packing problem in dimension 24 and in the study of universal optimality in energy minimization problems.

Keywords: Jacobi thetanull function, Eisenstein series, modular form, inequality, sphere packing

Abstract

Viazovska proved that the E8 lattice sphere packing is the densest sphere packing in 8 dimensions. Her proof relies on two inequalities between functions defined in terms of modular and quasimodular forms. We give a direct proof of these inequalities that does not rely on computer calculations.


Viazovska (1) proved that the sphere packing associated with the E8 lattice, which has a packing density of π4384, is the densest sphere packing in 8 dimensions. Her proof relied on properties of certain functions, denoted ϕ0(z) and ψI(z), which were defined in terms of classical modular and quasimodular forms: the Eisenstein series E2, E4, and E6, and the Jacobi thetanull functions θ2, θ3, and θ4. A key step in the proof consisted of showing that these functions satisfied a certain pair of inequalities; this was essential to verifying that a radial function defined by taking an integral transform of ϕ0(z) and ψI(z) (combined in a particular way) was the so-called magic function that had been conjectured to exist by Cohn and Elkies (2) and certifies the correct sphere packing bound.

The goal of this paper is to give a direct proof of Viazovska’s inequalities. To recall the result, let z denote a complex variable taking values in the upper half plane, and denote q=eπiz. Let σα(n)=d|ndα denote the divisor function. Recall the definitions of the functions E2, E4, E6, θ2, θ3, and θ4:

E2(z)=124n=1σ1(n)q2n,θ2(z)=n=q(n+1/2)2,E4(z)=1+240n=1σ3(n)q2n,θ3(z)=n=qn2,E6(z)=1504n=1σ5(n)q2n,θ4(z)=n=(1)nqn2.

Next, set

ϕ0(z)=1728(E2(z)E4(z)E6(z))2E4(z)3E6(z)2, [1]
ψI(z)=128θ3(z)4+θ4(z)4θ2(z)8+θ4(z)4θ2(z)4θ3(z)8, [2]

and define functions A(t), B(t) of a real variable t>0 by

A(t)=t2ϕ0(i/t)36π2ψI(it),B(t)=t2ϕ0(i/t)+36π2ψI(it).

Theorem 1

(Viazovska’s modular form inequalities). The functions A(t), B(t) satisfy

A(t)<0(t>0), [V1]
B(t)>0(t>0). [V2]

Viazovska’s original proof of Theorem 1 relied heavily on computer calculations. The proof consisted of two main steps: first, analogues of the inequalities [V1]–[V2] were verified numerically for approximating functions A0(6)(t), A(6)(t), B0(6)(t), B(6)(t) of A(t) and B(t), which were formed by truncating the asymptotic expansions of A(t) and B(t) near t=0 and t=; this could be done in a finite calculation. Second, rigorous bounds were derived that made it possible to deduce the inequalities [V1]–[V2] from the corresponding inequalities for the approximating functions.

Another pair of inequalities of similar flavor to [V1]–[V2] was proved by Cohn et al. (3) in their subsequent proof of optimality of the Leech lattice packing in 24 dimensions. Their proof used different techniques, but that proof as well remained dependent on extensive computer calculations.

Below, we give a proof of Theorem 1 that is fully human-verifiable and requires no numerical calculations beyond the elementary manipulation of a few standard mathematical constants. This helps to simplify and demystify a critical step in Viazovska’s celebrated sphere packing proof.

1. Proof of [V1]

It is sufficient to prove that ϕ0(it)>0 and ψI(it)>0 for all t>0. The first of these claims follows immediately from the standard identities (4, pp. 20, 21, 49]

E43E62=1728q2n=1(1q2n)24, [3]
E2E4E6=32πidE4dz=720n=1nσ3(n)q2n, [4]

which imply that both E43E62 and E2E4E6 take positive real values on the positive imaginary axis.

For the claim about ψI(it), recall Jacobi’s identity θ24+θ44=θ34 (see ref. 4, p. 28), and set λ(z)=θ24/θ34=1θ44/θ34 (the modular lambda function; see ref. 4, p. 63). It is clear from these defining relations of λ(z) that for t>0, λ(it) takes real values in (0,1). Now note that

1128ψI=θ34+θ44θ28+θ44θ24θ38=1θ34·θ38+θ34θ44θ28+1θ34·θ44θ24θ34=1θ341λ2+1λ·1λλ+(1λ)λ=1θ34(1λ)(2+λ+2λ2)λ2.

Since the function x(1x)(2+x+2x2)x2 is positive for x(0,1), and since θ3(it)4>0 for t>0, we get the claim that ψI(it)>0.

2. Proof of [V2]

We will make use of the standard modular transformation properties (1, pp. 996–997]

θ2(z+1)4=θ2(z)4,θ2(1/z)4=z2θ4(z)4, [5]
θ3(z+1)4=θ4(z)4,θ3(1/z)4=z2θ3(z)4, [6]
θ4(z+1)4=θ3(z)4,θ4(1/z)4=z2θ2(z)4, [7]
E2(z+1)=E2(z),E2(1/z)=z2E2(z)6izπ, [8]
E4(z+1)=E4(z),E4(1/z)=z4E4(z), [9]
E6(z+1)=E6(z),E6(1/z)=z6E6(z). [10]

Using [8]–[10], a simple calculation shows that

z2ϕ0(1/z)=1728[(E2E4E6)2E43E62z212iπ·E4(E2E4E6)E43E62z36π2E42E43E62].

(This is a slightly simplified version of equation 29 from ref. 1.) Similarly, with the help of [5]–[7], we see that

z2ψI(1/z)=128θ34+θ24θ48+θ24θ44θ38.

We will separate the proof of [V2] into two parts, proving separately that

B(t)>0for t1andt2B(1/t)>0for t1,

that is, equivalently, that

π236t2ϕ0(i/t)<ψI(it)for t1,π236ϕ0(it)<t2ψI(i/t)for t1.

It is convenient to clear the denominators in each of these inequalities by multiplying both sides by E43E62, which is also equal to 274(θ2θ3θ4)8 by a well-known identity. (4, p. 29] We therefore define

f(z)=1864·π236(E43E62)ϕ0(z)=π218(E2E4E6)2, [11]
f~(z)=1864·π236(E43E62)z2ϕ0(1/z)=π218(E2E4E6)2z2+2πi3E4(E2E4E6)z+2E42, [12]
g(z)=1864(E43E62)z2ψI(1/z)=θ28(θ312+θ24θ38+θ24θ48θ412), [14]
g~(z)=1864(E43E62)ψI(z)=θ48(θ312+θ44θ38+θ28θ44θ212). [16]

By the above remarks, in order to deduce [V2], it will be sufficient to prove the following inequalities:

f(it)<g(it)for t1, [V2-I]
f~(it)<g~(it)for t1. [V2-II]

As a final bit of preparation, recall the known explicit evaluations

E2(i)=3π,E4(i)=3Γ(1/4)864π6,E6(i)=0, [15]
θ2(i)=Γ(1/4)(2π)3/4,θ3(i)=Γ(1/4)2π3/4,θ4(i)=Γ(1/4)(2π)3/4. [16]

Here, Γ(·) denotes the Euler gamma function. The numerical value of Γ(1/4) is approximately 3.62561 (5). For the proof of Eq. 16, see ref. 6, p. 325 and ref. 7, equation 2.21, p. 307. The identity E2(i)=3/π is an immediate consequence of Eq. 8. The relation E6(i)=0 is proved in ref. 8, p. 40, and the formula for E4(i) follows from Eq. 16 and the identity E4=12(θ28+θ38+θ48), proved, e.g., in ref. 4, p. 29; see also ref. 9, p. 290.

A. Proof of [V2-I].

The functions f(z), g(z) have Fourier expansions

f(z)=28800π2q4+1036800π2q6+14169600π2q8+=:n=4anqn, [17]
g(z)=20480q3+2015232q5+41656320q7+=:n=3bnqn. [18]

The coefficients an in Eq. 17 are nonnegative: This is immediate from Eq. 4. Similarly, we have bn0 for all n. To see this, let γ(z)=θ28θ312+θ212θ38, and observe that, by Eqs. 57, g(z) can be represented as

g(z)=γ(z)γ(z+1). [19]

The Fourier coefficients of γ are manifestly nonnegative, and, since the substitution zz+1 corresponds to replacing each occurrence of q by q in the Fourier series, the relationship [19] means that the Fourier expansion of g consists of twice the odd terms in the Fourier expansion of γ and therefore also has nonnegative coefficients.

From the above remarks, it now follows that the function te3πtf(it)=n=4aneπ(n3)t is a nonincreasing function of t. Using [15], we then get for all t1 the bound

e3πtf(it)e3πf(i)=e3ππ2183π3Γ(1/4)864π602=e3π9Γ(1/4)168192π1213130.47. [20]

On the other hand, by Eq. 18 and the observation about the nonnegativity of the coefficients bn, the bound e3πtg(it)=20480+n=4bneπ(n3)t20480 holds for all t>0. Combining this with [20] gives [V2-I].

B. Proof of [V2-II].

In a similar vein, we examine the q-series expansions of f~(z), g~(z) and their properties. From Eqs. 12 and 14, we obtain expansions of the forms

f~(z)=2+(480πiz+960)q2+(28800π2z2+123840πiz+123840)q4+(1036800π2z2+3150720πiz+2100480)q6+=:n=0cn(z)qn, [21]
g~(z)=2+240q210240q3+134640q41007616q5+=:n=0dnqn. [22]

Here, [22] is a conventional Fourier series, whereas [21] is a more unusual expansion in powers of q=eπiz in which each coefficient cn(z) is itself a quadratic polynomial in z. It is convenient to renormalize these expressions, defining new functions

F~(z)=f~(z)2q2=n=2cn(z)qn2=(480πiz960)+(28800π2z2123840πiz123840)q2+, [23]
G~(z)=g~(z)2q2=n=2dnqn2=240+10240q134640q2+1007616q3+. [24]

The inequality [V2-II] can now be restated as the claim that G~(it)<F~(it) for all t1. This will follow from the combination of the following two lemmas.

Lemma 2.

G~(it)288 for all t1.

Lemma 3.

F~(it)468 for all t1.

The following auxiliary claim will be used in the proof of Lemma 2.

Lemma 4.

We have (1)ndn0 for n0.

Proof: By Eqs. 57, the function g~(z+1)=n=0(1)ndnqn can be written as

g~(z+1)=θ312θ28+θ38θ212+θ312θ48+θ38θ412. [25]

The claim is that the Fourier series of this function has nonnegative coefficients. This fact was proved by Slipper (10, p. 76], who deduced it from a certain identity representing the function on the right-hand side of Eq. 25 in terms of the theta series of a certain 20-dimensional lattice, known as “DualExtremal(20,2)a”. Here is a self-contained proof that uses only elementary properties of the thetanull functions. Denote for convenience

Z=θ34,X=θ24,Y=2ZX.

Then X and Z have Fourier series with nonnegative coefficients, and, again recalling the identity θ24+θ44=θ34, we see that Y=θ34+θ44=θ3(z)4+θ3(z+1)4 (recall [6] above), so the Fourier series of Y also has nonnegative coefficients. Now, observe that g~(z+1) can be expressed as

g~(z+1)=Z3X2+Z2X3+Z3(ZX)2+Z2(ZX)3=1166X5+15X4Y+10X3Y2+Y5,

and therefore also has nonnegative Fourier coefficients.

Proof of Lemma 2: Define

H(z)=G~(z)G~(z+1)2=m=1(d2m+1)q2m1, [26]
=10240q+10007616q3+. [27]

Two crucial properties of H(z) are a) the function tH(it)=m=1(d2m+1)eπ(2m1)t is nonincreasing (each summand is nonincreasing, by Lemma 4); and b) G~(it)+240H(it) for all t>0 (this follows from Lemma 4 together with the observation that the constant coefficient in Eq. 24 is 240). Now note that, by Eqs. 57, 14, and 24, H(z) can be expressed explicitly as

H(z)=12q2[θ48(θ312+θ44θ38+θ28θ44θ212)2θ38(θ412+θ34θ48+θ28θ34+θ212)+2]=12q2θ28θ312+θ212θ38+θ212θ48θ28θ412=12q2θ28(θ312θ412)+θ212(θ38+θ48).

Therefore, using the evaluations [16], we get that for all t1,

G~(it)240+H(it)240+H(i)=240+e2π2Γ(1/4)(2π)3/420(21/4)121+(21/4)8+1=240+e2π2Γ(1/4)20(2π)15(8+4)=240+6e2πΓ(1/4)20(2π)15287.02,

as claimed.

Proof of Lemma 3: We strategically separate F~(z) into three components, defining

F~1(z)=480πiz+(28800π2z2123840πiz123840)q2, [28]
F~2(z)=π218q2(E2E4E6)2z22q2(E421)+(28800π2z2+123840)q2, [29]
F~3(z)=2πi3q2E4(E2E4E6)z+(480πiz+123840πizq2), [30]

so that, by Eqs. 12 and 23, we have

F~(z)=F~1(z)+F~2(z)+F~3(z). [31]

We now make the following elementary observations:

  • (a)

    The function tF~1(it) is monotone increasing on [1,).

    Proof: Assume that t1. A trivial calculation gives that
    ddt(F~1(it))=480πe2πte2πt+120π2t2636πt+774480πe2πte2π+120π2t2636πt+774.
    The last expression is of the form e2πt times a quadratic polynomial in t, which, it is easy to check, is positive on the real line. Thus, we have shown that F~1(t)>0 for t1, which proves the claim.
  • (b)

    The function tF~2(it) is monotone increasing on [1,).

    Proof: Let (αn)n=2 and (βn)n=1 be the coefficients in the Fourier series
    (E2E4E6)2=n=2αnq2n,E421=n=1βnq2n.
    Clearly, αn0 [Eq. 4] and βn0 for all n. One can also easily check that α2=518400 and β2=61920. Then, on inspection of Eq. 29, we see that
    F~2(it)=2β1+n=3π218αnt22βneπ(2n2)t.
    The summand associated with n=2 is precisely canceled out by the term (28800π2z2+123840)q2 in Eq. 29. Now for each n3, the nth summand in this series is easily seen to be an increasing function of t for t1(n1)π, so in particular for t1. Thus, tF~2(it) is also increasing for t1.
  • (c)

    F~3(it)0 for all t>0.

    Proof: Let (δn)n=1 be the coefficients in the Fourier series E4(E2E4E6)=n=1δnq2n. Then δn0 for all n, and we have δ1=720 and δ2=185760. Referring to Eq. 30, we then see that
    F~3(it)=2πt3n=3δneπ(2n2)t0,
    since the summands associated with n=1,2 are canceled by the term (480πiz+123840πizq2) in Eq. 30.

Finally, combining [31] with the observations (a)–(c) above, we get that for t1,

F~(it)F~1(it)+F~2(it)F~1(i)+F~2(i)=480π+123840e2π+e2π(π218(E2(i)E4(i)E6(i))22(E4(i)21))=480π+123840e2π+e2π245Γ(1/4)168192π12468.39,

as claimed.

Acknowledgments

Author contributions

D.R. designed research; performed research; and wrote the paper.

Competing interests

The author declares no competing interest.

Footnotes

This article is a PNAS Direct Submission.

Data, Materials, and Software Availability

There are no data underlying this work.

References

  • 1.Viazovska M., The sphere packing problem in dimension 8. Ann. Math. 185, 991–1015 (2017). [Google Scholar]
  • 2.Cohn H., Elkies N., New upper bounds on sphere packings. I. Ann. Math. 157, 689–714 (2003). [Google Scholar]
  • 3.Cohn H., Kumar A., Miller S. D., Radchenko D., Viazovska M., The sphere packing problem in dimension 24. Ann. Math. 185, 1017–1033 (2017). [Google Scholar]
  • 4.D. Zagier, “Elliptic modular forms and their applications” in The 1-2-3 of Modular Forms: Lectures at a Summer School in Nordfjordeid, Norway, R. Kristian Eds. (Springer, 2008), pp. 1–103.
  • 5.B. Cloitre, Sequence A068466 in the Online Encyclopedia of Integer Sequences (2002). https://oeis.org/A068466. Accessed 22 March 2023.
  • 6.B. C. Berndt, Ramanujan’s Notebooks, Part V (Springer-Verlag, 1998).
  • 7.Cox D. A., The arithmetic-geometric mean of Gauss. Enseign. Math. 30, 275–330 (1984). [Google Scholar]
  • 8.Apostol T. M., Modular Functions and Dirichlet Series in Number Theory (Springer, New York, ed. 2, 1990). [Google Scholar]
  • 9.Tsumura H., On certain analogues of Eisenstein series and their evaluation formulas of Hurwitz type. Bull. London Math. Soc. 40, 289–297 (2008). [Google Scholar]
  • 10.Slipper A., “Modular magic: The theory of modular forms and the sphere packing problem in dimensions 8 and 24,” Bachelor’s thesis, Harvard University (2018). https://legacy-www.math.harvard.edu/theses/senior/slipper/slipper.pdf. Accessed 28 February 2023.

Associated Data

This section collects any data citations, data availability statements, or supplementary materials included in this article.

Data Availability Statement

There are no data underlying this work.


Articles from Proceedings of the National Academy of Sciences of the United States of America are provided here courtesy of National Academy of Sciences

RESOURCES